SBIR/STTR 2004-1 National Aeronautics and Space Administration SMALL BUSINESS INNOVATION RESEARCH (SBIR) & SMALL BUSINESS TECHNOLOGY TRANSFER (STTR) Program Solicitations Opening Date: July 7, 2004 Closing Date: September 9, 2004 An electronic version of this document is located at: http://sbir.nasa.gov TABLE OF CONTENTS 1. Program Description 1 1.1 Introduction 1 1.2 Program Authority and Executive Order 1 1.3 Program Management 1 1.4 Three-Phase Program 2 1.5 Eligibility Requirements 3 1.6 General Information 4 2. Definitions 5 2.1 Commercialization 5 2.2 Cooperative R/R&D Agreement 5 2.3 Cooperative Research or Research and Development 5 2.4 Essentially Equivalent Work 5 2.5 Funding Agreement 5 2.6 HUBZone-Owned SBC 5 2.7 Innovation 6 2.8 Intellectual Property 6 2.9 Principal Investigator 6 2.10 Research Institution 6 2.11 Research or Research and Development (R/R&D) 6 2.12 SBIR/STTR Technical Data 6 2.13 SBIR/STTR Technical Data Rights 6 2.14 Small Business Concern 6 2.15 Socially and Economically Disadvantaged Individual 7 2.16 Socially and Economically Disadvantaged Small Business Concern 7 2.17 Subcontract 7 2.18 United States 7 2.19 Women-Owned Small Business 7 3. Proposal Preparation Instructions and Requirements 8 3.1 Fundamental Considerations 8 3.2 Phase I Proposal Requirements 8 3.3 Phase II Proposal Requirements 13 3.4 SBA Data Collection Requirement 16 4. Method of Selection and Evaluation Criteria 17 4.1 Phase I Proposals 17 4.2 Phase II Proposals 18 4.3 Debriefing of Unsuccessful Offerors 20 5. Considerations 21 5.1 Awards 21 5.2 Phase I Reporting 21 5.3 Payment Schedule for Phase I 22 5.4 Release of Proposal Information 22 5.5 Access to Proprietary Data by Non-NASA Personnel 22 5.6 Final Disposition of Proposals 22 5.7 Proprietary Information in the Proposal Submission 22 5.8 Limited Rights Information and Data 23 5.9 Cost Sharing 24 5.10 Profit or Fee 24 5.11 Joint Ventures and Limited Partnerships 24 5.12 Similar Awards and Prior Work 24 5.13 Contractor Commitments 24 5.14 Additional Information 26 5.15 Property and Facilities 26 5.16 False Statements 26 6. Submission of Proposals 27 6.1 Submission Requirements 27 6.2 Submission Process 27 6.3 Deadline for Phase I Proposal Receipt 28 6.4 Acknowledgment of Proposal Receipt 28 6.5 Withdrawal of Proposals 29 6.6 Service of Protests 29 7. Scientific and Technical Information Sources 30 7.1 NASA SBIR/STTR Homepage 30 7.2 NASA Commercial Technology Network 30 7.3 NASA Technology Utilization Services 30 7.4 United States Small Business Administration 31 7.5 National Technical Information Service 31 8. Submission Forms and Certifications 32 FORM A - SBIR Cover Sheet 33 Guidelines for Completing SBIR Cover Sheet 34 FORM B - SBIR Proposal Summary 35 Guidelines for Completing SBIR Proposal Summary 36 FORM C - SBIR Budget Summary 37 Guidelines for Preparing SBIR Budget Summary 38 SBIR Check List 40 FORM A - STTR Cover Sheet 41 Guidelines for Completing STTR Cover Sheet 42 FORM B - STTR Proposal Summary 44 Guidelines for Completing STTR Proposal Summary 45 FORM C - STTR Budget Summary 46 Guidelines for Preparing STTR Budget Summary 47 Model Cooperative R/R&D Agreement 49 Model Allocation of Rights Agreement 50 STTR Check List 54 Appendix A: Phase I Sample Table of Contents 55 Appendix B: Example Format for Briefing Chart 55 9. Research Topics for SBIR and STTR 56 9.1 SBIR Research Topics 56 9.1.1 Aeronautics 57 9.1.2 Biological and Physical Research 71 9.1.3 Earth Science 99 9.1.4 Exploration Systems 121 9.1.5 Space Science 167 9.2 STTR Research Topics 193 2004 NASA SBIR/STTR Program Solicitations 1. Program Description 1.1 Introduction This document includes two NASA program solicitations with separate research areas under which small business concerns (SBCs) are invited to submit proposals: the Small Business Innovation Research (SBIR) program and the Small Business Technology Transfer (STTR) program. Program background information, eligibility requirements for participants, the three program phases, and information for submitting responsive proposals is contained herein. The 2004 Solicitation period for Phase I proposals begins July 7, 2004, and ends September 9, 2004. The purposes of the SBIR/STTR programs, as established by law, are to stimulate technological innovation in the private sector; to strengthen the role of SBCs in meeting Federal research and development needs; to increase the commercial application of these research results; and to encourage participation of socially and economically disadvantaged persons and women-owned small businesses. To be eligible for selection, a proposal must be based on an innovation having high technical or scientific merit that is responsive to a NASA need described herein, and which offers potential commercial application. Proposals must be submitted via the Internet (http://sbir.nasa.gov) and include all relevant documentation. Unsolicited proposals will not be accepted. Selection preference will be given to eligible proposals where the innovations are judged to have significant potential for commercial application. NASA plans to select for award those proposals offering the best value to the Government and the Nation. Subject to the availability of funds, approximately 300 SBIR and 40 STTR Phase I proposals will be selected for negotiation of fixed-price contracts in November 2004. Historically, the ratio of Phase I proposals to awards is approximately 8:1 for SBIR and 5:1 for STTR, and approximately 40% of the selected Phase I contracts are selected for Phase II follow-on efforts. 1.2 Program Authority and Executive Order SBIR: This Solicitation is issued pursuant to the authority contained in P.L. 106-554. Government wide SBIR policy is provided by the Small Business Administration (SBA) through its Policy Directive. The current law authorizes the program through September 30, 2008. STTR: This Solicitation is issued pursuant to the authority contained in P.L. 107-50. Government wide STTR policy is provided by the SBA through its Policy Directive. The current law authorizes the program through September 30, 2009. Executive Order: President Bush issued an executive order on February 24, 2004 directing federal agencies that administer the SBIR and STTR programs to encourage innovation in manufacturing related research and development consistent with the objectives of each agency and to the extent permitted by law. 1.3 Program Management The Office of Exploration Systems provides overall policy direction for the NASA SBIR/STTR programs. The Program Management Office is hosted at the Goddard Space Flight Center. The Procurement Management Office is hosted at Glenn Research Center. The SBIR Program Solicitation is aligned with NASA's Strategic Enterprises (http://www.nasa.gov). The needs of all Strategic Enterprises are reflected in the research topics identified in Section 9. The STTR Program Solicitation research areas correspond to the central underlying technological competencies of each participating NASA Center. The Jet Propulsion Laboratory (JPL) does not participate in the management of the STTR Program. Information regarding the Strategic Enterprises and the NASA Centers can be obtained at the following web sites: NASA Strategic Enterprises Aeronautics http://www.hq.nasa.gov/office/aero Biological and Physical Research http://spaceresearch.nasa.gov Earth Science http://www.earth.nasa.gov Education http://education.nasa.gov/ Exploration Systems http://www.nasa.gov Space Flight http://www.hq.nasa.gov/osf Space Science http://spacescience.nasa.gov NASA Installations Ames Research Center (ARC) http://www.arc.nasa.gov Dryden Flight Research Center (DFRC) http://www.dfrc.nasa.gov Glenn Research Center (GRC) http://www.grc.nasa.gov Goddard Space Flight Center (GSFC) http://www.gsfc.nasa.gov Jet Propulsion Laboratory (JPL) http://www.jpl.nasa.gov Johnson Space Center (JSC) http://www.jsc.nasa.gov Kennedy Space Center (KSC) http://www.ksc.nasa.gov Langley Research Center (LaRC) http://www.larc.nasa.gov Marshall Space Flight Center (MSFC) http://www.msfc.nasa.gov Stennis Space Center (SSC) http://www.ssc.nasa.gov 1.4 Three-Phase Program Both the SBIR and STTR programs are divided into three funding and development stages. 1.4.1 Phase I. The purpose of Phase I is to determine the scientific, technical, and commercial merit and feasibility of the proposed innovation, and the quality of the SBC's performance with a relatively small NASA investment before consideration of further Federal support in Phase II. Successful completion of Phase I objectives is a prerequisite to Phase II consideration. Phase I must concentrate on establishing the scientific or technical merit and feasibility of the proposed innovation and on providing a basis for continued development in Phase II. Proposals must conform to the format described in Section 3.2. Evaluation and selection criteria are described in Section 4.1. NASA is solely responsible for determining the relative merit of proposals, their selection for award, and judging the value of Phase I results. Maximum value and period of performance for Phase I contracts: Phase I Contracts Maximum Contract Value SBIR $ 70,000 STTR $ 100,000 Maximum Period of Performance SBIR 6 months STTR 12 months 1.4.2 Phase II. The objective of Phase II is to continue the Research or Research and Development (R/R&D) effort from Phase I. Only SBCs awarded Phase I contracts are eligible for Phase II funding agreements. Phase II projects are chosen as a result of competitive evaluations based on selection criteria provided in Section 4.2. The maximum value for SBIR/STTR Phase II contracts is $600,000 with a maximum period of performance of 24 months. 1.4.3 Phase III. NASA may award Phase III contracts for products or services with non-SBIR/STTR funds. The competition for SBIR Phase I and Phase II awards satisfies any competition requirement of the Armed Services Procurement Act, the Federal Property and Administrative Services Act, and the Competition in Contracting Act. Therefore, an agency that wishes to fund an SBIR Phase III project is not required to conduct another competition in order to satisfy those statutory provisions. Phase III work may be for products, production, services, R/R&D, or any combination thereof. A Federal agency may enter into a Phase III SBIR agreement at any time with a Phase I or Phase II awardee. There is no limit on the number, duration, type, or dollar value of Phase III awards made to a business concern. There is no limit on the time that may elapse between a Phase I or Phase II award and Phase III award. The small business size limits for Phase I and Phase II awards do not apply to Phase III awards. 1.5 Eligibility Requirements 1.5.1 Small Business Concern. Only firms qualifying as SBCs, as defined in Section 2.14, are eligible to participate in these programs. Socially and economically disadvantaged and women-owned SBCs are particularly encouraged to propose. STTR: To be eligible, SBCs must submit a cooperative research agreement with a Research Institution (RI). 1.5.2 Place of Performance. For both Phase I and Phase II, the R/R&D must be performed in the United States (Section 2.18). However, based on a rare and unique circumstance, for example, if a supply or material or other item or project requirement is not available in the United States, NASA may allow that particular portion of the research or R&D work to be performed or obtained in a country outside of the United States. Proposals must clearly indicate if any work will be performed outside the United States. Approval by the Contracting Officer for such specific condition(s) must be in writing. 1.5.3 Principal Investigator. The primary employment of the PI must be with the SBC under the SBIR Program, while under the STTR Program the PI may be employed with the RI. Primary employment means that more than half of the PI's total employed time (including all concurrent employers, consulting, and self-employed time) is spent with the SBC. Primary employment with a small business concern precludes full-time employment at another organization. If the PI does not currently meet these primary employment requirements, the offeror must explain how these requirements will be met if the proposal is selected for contract negotiations that may lead to an award. REQUIREMENTS SBIR Primary Employment - PI must be with the SBC Employment Certification - The offeror must certify in the proposal that the primary employment of the PI will be with the SBC at the time of award and during the conduct of the project. Co-Principal Investigators - Not Acceptable Misrepresentation of Qualifications - Will result in rejection of the proposal or termination of the contract Substitution of PIs - Must receive advanced written approval from NASA STTR Primary Employment - PI must be employed with the RI or SBC Employment Certification - If the PI is not an employee of the SBC, the offeror must describe the management process to ensure SBC control of the project. Co-Principal Investigators - Not Acceptable Misrepresentation of Qualifications - Will result in rejection of the proposal or termination of the contract Substitution of PIs - Must receive advanced written approval from NASA 1.6 General Information 1.6.1 Solicitation Distribution. This 2004 SBIR/STTR Program Solicitation is available via the NASA SBIR/STTR homepage (http://sbir.nasa.gov). SBCs are encouraged to check the SBIR/STTR homepage for program updates. Any updates or corrections to the Solicitation will be posted there. If the SBC has difficulty accessing the Solicitation, contact the Help Desk (Section 1.6.2). 1.6.2 Means of Contacting NASA SBIR/STTR Program (1) NASA SBIR/STTR Homepage: http://sbir.nasa.gov (2) Each of the NASA field installations has its own homepage, including strategic planning and program information. Please consult these homepages as noted in Section 1.3 for more details on the technology requirements within the subtopic areas. (3) Help Desk. For inquiries, requests, and help-related questions, contact via: e-mail: sbir@reisys.com telephone: 301-937-0888 between 8:00 a.m.-5:00 p.m. (Mon.-Fri., Eastern Time) facsimile: 301-937-0204 The requestor must provide the name and telephone number of the person to contact, the organization name and address, and the specific questions or requests. (4) NASA SBIR/STTR Program Manager. Specific information requests that could not be answered by the Help Desk should be mailed or e-mailed to: Paul Mexcur, Program Manager NASA SBIR/STTR Program Management Office Code 408, Goddard Space Flight Center Greenbelt, MD 20771-0001 Winfield.P.Mexcur@nasa.gov 1.6.3 Questions About This Solicitation. To ensure fairness, questions relating to the intent and/or content of research topics in this Solicitation cannot be answered during the Phase I solicitation period. Only questions requesting clarification of proposal instructions and administrative matters will be answered. 2. Definitions 2.1 Commercialization Commercialization is a process of developing markets and producing and delivering products or services for sale (whether by the originating party or by others). As used here, commercialization includes both Government and non-Government markets. 2.2 Cooperative R/R&D Agreement A financial assistance mechanism used when substantial Federal programmatic involvement with the awardee during performance is anticipated by the issuing agency. The Cooperative R/R&D Agreement contains the responsibilities and respective obligations of the parties. 2.3 Cooperative Research or Research and Development For purposes of the NASA STTR Program, cooperative R/R&D is that which is to be conducted jointly by the SBC and the RI in which at least 40 percent of the work (amount requested, including cost sharing if any, less fee if any) is performed by the SBC and at least 30 percent of the work is performed by the RI. 2.4 Essentially Equivalent Work The "scientific overlap," which occurs when (1) substantially the same research is proposed for funding in more than one contract proposal or grant application submitted to the same Federal agency; (2) substantially the same research is submitted to two or more different Federal agencies for review and funding consideration; or (3) a specific research objective and the research design for accomplishing an objective are the same or closely related in two or more proposals or awards, regardless of the funding source. 2.5 Funding Agreement Any contract, grant, cooperative agreement, or other funding transaction entered into between any Federal agency and any entity for the performance of experimental, developmental, research and development, services, or research work funded in whole or in part by the Federal Government. 2.6 HUBZone-Owned SBC "HUBZone" is an area that is located in one or more of the following: * A qualified census tract (as defined in section 42(d)(5)(C)(i)(1) of the Internal Revenue Code of 1986); * A qualified "non-metropolitan county" that is: not located in a metropolitan statistical area (as defined in section 143(k)(2)(B) of the Internal Revenue Code of 1986), and - in which the median household income is less than 80 percent of the non-metropolitan State median household income, or - that based on the most recent data available from the Secretary of Labor, has an unemployment rate that is not less than 140 percent of the statewide average unemployment rate for the State in which the county is located; * Lands within the external boundaries of an Indian reservation. To participate in the HUBZone Empowerment Contracting Program, a concern must be determined to be a "qualified HUBZone small business concern." A firm can be found to be a qualified HUBZone concern, if: * It is small, * It is located in a "historically underutilized business zone" (HUBZone) * It is owned and controlled by one or more U.S. Citizens, and * At least 35% of its employees reside in a HUBZone. 2.7 Innovation Something new or improved, having marketable potential, including (1) development of new technologies, (2) refinement of existing technologies, or (3) development of new applications for existing technologies. 2.8 Intellectual Property The separate and distinct types of intangible property that are referred to collectively as "intellectual property," including but not limited to: patents, trademarks, copyrights, trade secrets, SBIR/STTR technical data (as defined in this section), ideas, designs, know-how, business, technical and research methods, and other types of intangible business assets, and including all types of intangible assets either proposed or generated by the SBC as a result of its participation in the SBIR/STTR Program. 2.9 Principal Investigator The one individual designated by the applicant to provide the scientific and technical direction to a project supported by the funding agreement. 2.10 Research Institution A U.S. research institution is one that is: 1) a contractor-operated Federally funded research and development center, as identified by the National Science Foundation in accordance with the Government wide Federal Acquisition Regulation issued in Section 35(c)(1) of the Office of Federal Procurement Policy Act (or any successor legislation thereto), or 2) a nonprofit research institution as defined in Section 4(5) of the Stevenson-Wydler Technology Innovation Act of 1980, or 3) a nonprofit college or university. 2.11 Research or Research and Development (R/R&D) Any activity that is (1) a systematic, intensive study directed toward greater knowledge or understanding of the subject studied, (2) a systematic study directed specifically toward applying new knowledge to meet a recognized need, or (3) a systematic application of knowledge toward the production of useful materials, devices, systems, or methods, including the design, development, and improvement of prototypes and new processes to meet specific requirements. 2.12 SBIR/STTR Technical Data Technical data includes all data generated in the performance of any SBIR/STTR funding agreement. 2.13 SBIR/STTR Technical Data Rights The rights an SBC obtains in data generated in the performance of any SBIR/STTR funding agreement that an awardee delivers to the Government during or upon completion of a Federally funded project, and to which the Government receives a license. 2.14 Small Business Concern An SBC is one that, at the time of award of Phase I and Phase II funding agreements, meets the following criteria: (1) Is organized for profit, with a place of business located in the United States, which operates primarily within the United States or which makes a significant contribution to the United States economy through payment of taxes or use of American products, materials or labor; (2) is in the legal form of an individual proprietorship, partnership, limited liability company, corporation, joint venture, association, trust or cooperative, except that where the form is a joint venture, there can be no more than 49 percent participation by business entities in the joint venture; (3) is at least 51 percent owned and controlled by one or more individuals who are citizens of, or permanent resident aliens in, the United States, except in the case of a joint venture, where each entity to the venture must be 51 percent owned and controlled by one or more individuals who are citizens of, or permanent resident aliens in, the United States; and (4) has including its affiliates, not more than 500 employees. The terms "affiliates" and "number of employees" are defined in greater detail in 13 CFR Part 121. 2.15 Socially and Economically Disadvantaged Individual A member of any of the following groups: African Americans, Hispanic Americans, Native Americans, Asian-Pacific Americans, Subcontinent-Asian Americans, other groups designated from time to time by SBA to be socially disadvantaged, or any other individual found to be socially and economically disadvantaged by SBA pursuant to Section 8(a) of the Small Business Act, 15 U.S.C. 637(a). 2.16 Socially and Economically Disadvantaged Small Business Concern A socially and economically disadvantaged SBC is one that is: (1) at least 51 percent owned by (i) an Indian tribe or a native Hawaiian organization or (ii) one or more socially and economically disadvantaged individuals; and (2) whose management and daily business operations are controlled by one or more socially and economically disadvantaged individuals. See 13 CFR Part 124.103 and 124.104. 2.17 Subcontract Any agreement, other than one involving an employer-employee relationship, entered into by an awardee of a funding agreement calling for supplies or services for the performance of the original funding agreement. 2.18 United States Means the 50 states, the territories and possessions of the Federal Government, the Commonwealth of Puerto Rico, the District of Columbia, the Republic of the Marshall Islands, the Federated States of Micronesia, and the Republic of Palau. 2.19 Women-Owned Small Business A women-owned SBC is one that is at least 51 percent owned by a woman or women who also control and operate it. "Control" in this context means exercising the power to make policy decisions. "Operate" in this context means being actively involved in the day-to-day management. 3. Proposal Preparation Instructions and Requirements 3.1 Fundamental Considerations Multiple Proposal Submissions. Each proposal submitted must be based on a unique innovation, must be limited in scope to just one subtopic and may be submitted only under that one subtopic. An offeror may submit any number of proposals, and may submit more than one proposal to the same subtopic; however, an offeror should not submit the same (or substantially equivalent) proposal to more than one subtopic. Submitting substantially equivalent proposals to several subtopics may result in all such proposals being rejected without evaluation. STTR: All Phase I proposals must provide sufficient information to convince NASA that the proposed SBC/RI cooperative effort represents a sound approach for converting technical information resident at the RI into a product or service that meets a need described in a Solicitation research topic. End Deliverables. The deliverable item at the end of a Phase I contract shall be a comprehensive report that justifies, validates, and defends the experimental and theoretical work accomplished and may include delivery of a product or service. Deliverable items for Phase II contracts include products or services in addition to required reporting of further developments or applications of the Phase I results. These deliverables may include prototypes, models, software, or complete products or services. The reported results of Phase II must address and provide the basis for validating the innovation and the potential for implementation of commercial applications. Reporting shall be submitted electronically via the SBIR/STTR homepage. NASA requests that all deliverable items be submitted in PDF format, and encourages companies to do so. Other acceptable formats are MS Word, MS Works, and WordPerfect. 3.2 Phase I Proposal Requirements 3.2.1 General Requirements Page Limitation. A Phase I proposal shall not exceed a total of 25 standard 8 1/2 x 11 inch (21.6 x 27.9 cm) pages inclusive of the technical content and the required forms. Proposal items required in Section 3.2.2 will be included within this total. Forms A, B, and C count as one page each. Each page shall be numbered consecutively at the bottom. Margins should be 1.0 inch (2.5 cm). Proposals exceeding the 25-page limitation will be rejected during administrative screening. Web site references, product samples, videotapes, slides, or other ancillary items will not be considered during the review process. Offerors are requested not to use the entire 25-page allowance unless necessary. Type Size. No type size smaller than 10 point is to be used for text or tables, except as legends on reduced drawings. Proposals prepared with smaller font sizes will be rejected without consideration. Header/Footer Requirements. Header must include firm name, proposal number, and project title. Footer must include the page number and proprietary markings if applicable. Margins can be used for header/footer information. Classified Information. NASA does not accept proposals that contain classified information. 3.2.2 Format Requirements. All required items of information must be covered in the proposal. The space allocated to each part of the technical content will depend on the project chosen and the offeror's approach. Each proposal submitted must contain the following items in the order presented: (1) Cover Sheet (Form A), electronically endorsed, (2) Proposal Summary (Form B), (3) Budget Summary (Form C), (4) Technical Content (11 Parts in order as specified in Section 3.2.4, not to exceed 22 pages), including all graphics, with a table of contents, (5) Briefing Chart (Optional - not included in the 25-page limit and must not contain proprietary data). STTR: Each STTR proposal must also contain a Cooperative R/R&D Agreement between the SBC and RI following the required items listed above. The agreement is included as part of the 25-page limit. 3.2.3 Forms 3.2.3.1 Cover Sheet (Form A). A sample Cover Sheet form is provided in Section 8. The offeror shall provide complete information for each item and submit the form as required in Section 6. The proposal project title shall be concise and descriptive of the proposed effort. The title should not use acronyms or words like "Development of" or "Study of." The NASA research topic title must not be used as the proposal title. 3.2.3.2 Proposal Summary (Form B). A sample Proposal Summary form is provided in Section 8. The offeror shall provide complete information for each item and submit Form B as required in Section 6. The technical abstract portion is limited to 200 words and shall summarize the implications of the approach and the anticipated results of both Phase I and Phase II. Potential NASA and non-NASA commercial applications of the technology should also be presented. If the technical abstract is judged to be non responsive to the subtopic, the proposal will be rejected without further evaluation. Note: The Cover Sheet (Form A) and the Proposal Summary (Form B), including the Technical Abstract, are public information and may be disclosed. Do not include proprietary information. 3.2.3.3 Budget Summary (Form C). The offeror shall complete the Summary Budget, following the instructions provided with the form (Section 8). A text box is provided on the electronic budget form for additional explanation. Information shall be submitted to explain the offeror's plans for use of the requested funds to enable NASA to determine whether the proposed budget is fair and reasonable. The government is not responsible for any monies expended by the applicant before award of any contract. Property. Proposed costs for materials may be included. "Materials" means property that may be incorporated or attached to a deliverable end item or that may be consumed or expended in performing the contract. It includes assemblies, components, parts, raw materials, and small tools that may be consumed in normal use. Any purchase of equipment or products under an SBIR/STTR contract using NASA funds should be American-made to the extent possible. NASA will not fund facility acquisition as a direct cost (Section 5.15). Travel. Travel during Phase I is not normally allowed to prove technical merit and feasibility of the proposed innovation. However, where the offeror deems travel to be essential for these purposes, it is necessary to limit it to one person, one trip to the sponsoring NASA installation. Proposed travel must be described as to purpose and benefits in proving feasibility, and is subject to negotiation and approval by the Contracting Officer. Trips to conferences are not allowed under the Phase I contract. Profit. A profit or fee may be included in the proposed budget as noted in Section 5.10. Cost Sharing. See Section 5.9. 3.2.4 Technical Content. This part of the submission shall not contain any budget data and must consist of all eleven parts listed below in the given order. All parts must be numbered and titled; parts that are not applicable must be noted as "Not Applicable." Part 1: Table of Contents. The technical content shall begin with a brief table of contents indicating the page numbers of each of the parts of the proposal. A sample table of contents is included in Appendix A. Part 2: Identification and Significance of the Innovation. The first paragraph of Part 2 shall contain: (1) A clear and succinct statement of the specific innovation proposed, and why it is an innovation, and (2) A brief explanation of how the innovation is relevant and important to meeting the technology need described in the subtopic. The initial paragraph shall contain no more than 200 words. NASA will reject proposals that lack explanation of the innovation. In subsequent paragraphs, Part 2 may also include appropriate background and elaboration to explain the proposed innovation. Part 3: Technical Objectives. State the specific objectives of the Phase I R/R&D effort including the technical questions that must be answered to determine the feasibility of the proposed innovation. Part 4: Work Plan. Include a detailed description of the Phase I R/R&D plan. The plan should indicate what will be done, where it will be done, and how the R/R&D will be carried out. The plan should address the objectives and the questions cited in Part 3 above. Discuss in detail the methods planned to achieve each objective or task. Task descriptions, schedules, resource allocations, estimated task hours for each key personnel, and planned accomplishments including project milestones shall be included. STTR: The work plan will specifically address the percentage and type of work to be performed by the SBC and the RI. The plan will provide evidence that the SBC will exercise management direction and control of the performance of the STTR effort, including situations in which the PI may be an employee of the RI. At least 40 percent of the work (amount requested including cost sharing, less fee, if any) is to be performed by the SBC as the prime contractor, and at least 30 percent of the work is to be performed by the RI. Part 5: Related R/R&D. Describe significant current and/or previous R/R&D that is directly related to the proposal including any conducted by the PI or by the offeror. Describe how it relates to the proposed effort and any planned coordination with outside sources. The offeror must persuade reviewers of his or her awareness of key recent R/R&D conducted by others in the specific subject area. At the offeror's option, this section may include concise bibliographic references in support of the proposal if they are confined to activities directly related to the proposed work. Part 6: Key Personnel and Bibliography of Directly Related Work. Identify key personnel involved in Phase I activities whose expertise and functions are essential to the success of the project. Provide bibliographic information including directly related education and experience. The PI is considered key to the success of the effort and must make a substantial commitment to the project. The following requirements are applicable: Functions. The functions of the PI are: planning and directing the project; leading it technically and making substantial personal contributions during its implementation; serving as the primary contact with NASA on the project; and ensuring that the work proceeds according to contract agreements. Competent management of PI functions is essential to project success. The Phase I proposal shall describe the nature of the PI's activities and the amount of time that the PI will personally apply to the project. The amount of time the PI proposes to spend on the project must be acceptable to the Contracting Officer. Qualifications. The qualifications and capabilities of the proposed PI and the basis for PI selection are to be clearly presented in the proposal. NASA has the sole right to accept or reject a substitute PI based on factors such as education, experience, demonstrated ability and competence, and any other evidence related to the specific assignment. Eligibility. This part shall also establish and confirm the eligibility of the PI (Section 1.5.3), and indicate the extent to which other proposals recently submitted or planned for submission in 2004 and existing projects commit the time of the PI concurrently with this proposed activity. Any attempt to circumvent the restriction on PIs working more than half time for an academic or a nonprofit organization by substituting an ineligible PI will result in rejection of the proposal. Part 7: Relationship with Phase II or Future R/R&D. State the anticipated results of the proposed R/R&D effort if the project is successful (through Phase I and Phase II). Discuss the significance of the Phase I effort in providing a foundation for the Phase II R/R&D continuation. Part 8: Company Information and Facilities. Provide adequate information to allow the evaluators to assess the ability of the offeror to carry out the proposed Phase I and projected Phase II and Phase III activities. The offeror should describe the relevant facilities and equipment, their availability, and those to be acquired, to support the proposed activities. NASA will not fund the purchase of equipment, instrumentation, or facilities under Phase I contracts as a direct cost. Special tooling may be allowed. (Section 5.15) The capability of the offeror to perform the proposed activities and bring a resulting product or service to market must be indicated. Qualifications of the offeror in marketing related products or services or in raising capital should be presented. Note: Government wide SBIR and STTR policies prohibit the use of any SBIR/STTR award funds for the use of Government equipment and facilities. This does not preclude an SBC from utilizing a government facility or government equipment, but any charges for such use cannot be paid for with SBIR/STTR funds (SBA SBIR Policy Directive, Section 9 (f)(3)). In rare and unique circumstances, the Small Business Administration (SBA) may issue a case-by-case waiver to this provision after review of an agency's written justification. NASA cannot guarantee that a waiver from this policy can be obtained from SBA. If a proposed project or product demonstration requires a Government facility for successful completion, the offeror must provide a statement, signed by the appropriate Government official at the facility, verifying that it will be available for the required effort. The proposal must confirm that such facilities are not available from private sources, and include relevant information on funding sources(s) (private, other Government, internal) for the effort. Part 9: Subcontracts and Consultants (Including Signed Commitment Letters). The SBC may establish business arrangements with other entities or individuals to participate in performance of the proposed R/R&D effort. The offeror must describe all subcontracting or other business arrangements, and identify the relevant organizations and/or individuals with whom arrangements are planned. The expertise to be provided by the entities must be described in detail, as well as the functions, services, number of hours and labor rates. The proposal must include a signed statement by each participating organization or individual that they will be available at the times required for the purposes and extent of effort described in the proposal. The signed statement should be scanned and included in the technical content. This statement is included in the 25-page limit. Failure to provide certification(s) may result in rejection of the proposal. Subcontractors' and consultants' work must be performed in the United States. The following restrictions apply to the use of subcontracts/consultants: SBIR The proposed business arrangements must not exceed one-third of the research and/or analytical work (amount requested including cost sharing if any, less fee, if any). STTR The proposed business arrangements with individuals or organizations other than the RI must not exceed 30 percent of the work (amount requested including cost sharing if any, less fee, if any). Note: For STTR, the Cooperative Agreement is the signed commitment from the RI, thus no additional letter from the RI is required in Part 9. Part 10: Potential Applications. The Phase I proposal shall forecast both the NASA and the non-NASA commercial potential of the project assuming success through Phase II. The offeror, in the Phase II proposal, will be required to provide more detailed information regarding product development and potential markets (Sections 3.3.4 and 4.2.2). Part 11: Similar Proposals and Awards. A firm may elect to submit proposals for essentially equivalent work to other Federal program solicitations (Section 2.4). Firms may also choose to resubmit previously unsuccessful proposals to NASA. However, it is unlawful to receive funding for essentially equivalent work already funded under any Government program. The Office of Inspector General has full access to all proposals submitted to NASA. The offeror must inform NASA of related proposals and awards and clearly state whether the SBC has submitted currently active proposals for similar work under other Federal Government program solicitations or intends to submit proposals for such work to other agencies. For all such cases, the following information is required: (a) The name and address of the agencies to which proposals have been or will be submitted, or from which awards have been received (including proposals that have been submitted to previous NASA SBIR Solicitations); (b) Dates of such proposal submissions or awards; (c) Title, number, and date of solicitations under which proposals have been or will be submitted or awards received; (d) The specific applicable research topic for each such proposal submitted or award received; (e) Titles of research projects; (f) Name and title of the PI/project manager for each proposal that has been or will be submitted, or from which awards have been received; (g) If resubmitting to NASA, please briefly describe how the proposal has been changed and/or updated since it was last submitted. Note: All eleven (11) parts of the technical proposal must be included. Parts that are not applicable must be included and marked "Not Applicable." A proposal omitting any part will be considered non responsive to this Solicitation and will be rejected during administrative screening. 3.2.5 Cooperative R/R&D Agreement (Applicable for STTR proposals only). The Cooperative R/R&D Agreement (not to be confused with the Allocation of Rights Agreement, Section 4.1.4) shall be a single-page document (see example in Section 8) signed by the SBC and the RI. This agreement counts toward the 25-page limit. 3.2.6 Prior Awards Addendum (Applicable for SBIR awards only). If the SBC has received more than 15 Phase II awards in the prior 5 fiscal years, submit name of awarding agency, date of award, funding agreement number, amount, topic or subtopic title, follow-on agreement amount, source, and date of commitment and current commercialization status for each Phase II. The addendum is not included in the 25-page limit and content should be limited to information requested above. Offerors are encouraged to use spreadsheet format. 3.2.7 Briefing Chart (Optional). All technically meritorious proposals will be advocated to NASA senior management prior to selection. To assist NASA personnel in preparing information to advocate your proposal, a single-page briefing chart, as described in the on line electronic handbook, is strongly encouraged. Submission of the briefing chart is optional, is not counted against the 25-page limit, and should not contain any proprietary data. An example chart has been provided in Appendix B. 3.3 Phase II Proposal Requirements 3.3.1 General Requirements. The Phase I contract will serve as a request for proposal (RFP) for the Phase II follow-on project. Phase II proposals are more comprehensive than those required for Phase I. Phase II proposals are required to be submitted electronically by utilizing the electronic handbook system hosted on the NASA SBIR homepage (http://sbir.nasa.gov). Submission of a Phase II proposal is strictly voluntary and NASA assumes no responsibility for any proposal preparation expenses. Page Limitation. A Phase II proposal shall not exceed a total of 50 standard 8 1/2 x 11 inch (21.6 x 27.9 cm) pages. All items required in Section 3.3.2 will be included within this total. Forms A, B, and C count as one page each. Each page shall be numbered consecutively at the bottom. Margins should be 1.0 inch (2.5 cm). Proposals exceeding the 50-page limitation may be rejected during administrative screening. Type Size. No type size smaller than 10 point is to be used for text or tables, except as legends on reduced drawings. Proposals prepared with smaller font sizes will be rejected without consideration. Header/Footer Requirements. Header must include firm name, proposal number, and project title. Footer must include the page number and proprietary markings if applicable. Margins can be used for header/footer information. Classified Information. NASA does not accept proposals that contain classified information. 3.3.2 Format Requirements. All required items of information must be covered in the proposal. The space allocated to each part of the technical content will depend on the project and the offeror's approach. Each proposal submitted must contain the following items in the order presented: (1) Cover Sheet (Form A), electronically endorsed, (2) Proposal Summary (Form B), (3) Budget Summary (Form C), (4) Technical Content (11 Parts in order as specified in Section 3.3.4), including all graphics, and starting with a table of contents, (5) Briefing Chart (Optional - not included in the 50-page limit and must not contain proprietary data). 3.3.3 Forms 3.3.3.1 Cover Sheet (Form A). A sample copy of the Cover Sheet is provided in Section 8. The offeror shall provide complete information for each item and submit the form as required in Section 6. The proposal project title shall be concise and descriptive of the proposed effort. The title should not use acronyms or words like "Development of" or "Study of." The NASA research topic title must not be used as the proposal title. 3.3.3.2 Proposal Summary (Form B). A sample copy of the Proposal Summary is provided in Section 8. The offeror shall provide complete information for each item and submit Form B as required in Section 6. The technical abstract portion is limited to 200 words and shall summarize the implications of the approach and the anticipated results of Phase II. Potential NASA and non-NASA commercial applications of the technology should also be presented. If the technical abstract is judged to be non responsive to the subtopic, the proposal will be rejected without further evaluation. Note: The Proposal Cover (Form A) and the Proposal Summary (Form B), including the Technical Abstract, are public information and may be disclosed. Do not include proprietary information. 3.3.3.3 Budget Summary (Form C). The offeror shall complete the Budget Summary, following the instructions provided with the form (Section 8). A text box is provided on the electronic budget form for additional explanation. Sufficient information shall be submitted to explain the offeror's plans for use of the requested funds to enable NASA to determine whether the proposed budget is fair and reasonable. The Government is not responsible for any monies expended by the applicant before award of any funding agreement. Property. Proposed costs for materials may be included. "Materials" means property that may be incorporated or attached to a deliverable end item or that may be consumed or expended in performing the contract. It includes assemblies, components, parts, raw materials, and small tools that may be consumed in normal use. Any purchase of equipment or products under an SBIR/STTR contract using NASA funds should be American-made to the extent possible. NASA will not fund facility acquisition under Phase II as a direct cost (Section 5.15). Travel. Travel during Phase II is not normally allowed to prove technical merit and feasibility of the proposed innovation. However, where the offeror deems travel to be essential for these purposes, it is necessary to limit it to one person, one trip to the sponsoring NASA installation. Proposed travel must be described as to purpose and benefits in proving feasibility, and is subject to negotiation and approval by the Contracting Officer. Trips to conferences are not allowed under the Phase II contract. Profit. A profit or fee may be included in the proposed budget as noted in Section 5.10. Cost Sharing. See Section 5.9. 3.3.4 Technical Proposal. This part of the submission shall not contain any budget data and must consist of all eleven parts listed below in the given order. All parts must be numbered and titled; parts that are not applicable must be noted as "Not Applicable." Part 1: Table of Contents Part 2: Identification and Significance of the Innovation and Results of the Phase I Proposal. Provide a brief explanation of the specific innovation and describe how it is relevant to meeting NASA's technology needs. In addition, describe how the Phase I effort has proven the feasibility of the innovation, provided a rationale for both NASA and commercial applications, and demonstrated the ability of the offeror to conduct the required R/R&D. Part 3: Technical Objectives. Define the specific objectives of the Phase II research and technical approach. Part 4: Work Plan.Provide a detailed work plan defining specific tasks, performance schedules, project milestones, and deliverables. Part 5: Related R/R&D. Describe R/R&D related to the proposed work and affirm that the stated objectives have not already been achieved and that the same development is not presently being pursued elsewhere under contract to the Federal Government. Part 6: Key Personnel. Identify the key technical personnel for the project, confirm their availability for Phase II, and discuss their qualifications in terms of education, work experience, and accomplishments relevant to the project. Part 7: Phase III Efforts, Commercialization and Business Planning. Describe plans for Phase III commercialization (including applications/sales back to NASA) in terms of each of the following areas: (1) Market Feasibility and Competition: Describe the target market of the product or service, the unique competitive advantage of the product, the potential market size (Government and/or non Government), the offeror's estimated market share after first year of sales and after 5 years, and, competition from similar and alternative technologies and/or competing domestic or foreign entities. (2) Strategic Relevance to the Offeror: Describe the role the product or service has in the company's current business plan and in its strategic planning for the next 5 years. (3) Key Management, Technical Personnel and Organizational Structure: Describe (a) the skills and experiences of key management and technical personnel in bringing innovative technology to the market, (b) current organizational structure, and (c) plans and timelines for obtaining needed business development expertise and other necessary personnel. (4) Production and Operations: Describe product development to date as well as milestones and plans for reaching production level, including plans for obtaining necessary physical resources. (5) Financial Planning: Delineate private financial resources dedicated to development of product or service (both business development and technical development) to date. Describe the expected financial needs and potential sources to meet those needs that will be necessary to bring product or service to market. Provide evidence of current financial condition, e.g., standard financial statements including a current cash flow statement. (6) Intellectual Property: Describe patent status, technology lead, trade secrets or other demonstration of a plan to achieve sufficient IP protection to realize the commercialization stage and attain at least a temporal competitive advantage. Part 8: Company Information and Facilities. Describe the capability of the firm to carry out Phase II and Phase III activities, including its organization, operations, number of employees, R/R&D capabilities, and experience relevant to the work proposed. This section shall also provide adequate information to allow the evaluators to assess the ability of the SBC to carry out the proposed Phase II activities. The offeror should describe the relevant facilities and equipment currently available, and those to be purchased, to support the proposed activities. NASA will not fund the acquisition of equipment, instrumentation, or facilities under Phase II contracts as a direct cost. Special tooling may be allowed. (Section 5.15) Government-wide SBIR and STTR policies prohibit the use of any SBIR/STTR award funds for the use of Government equipment and facilities. This does not preclude an SBC from utilizing a Government facility or Government equipment, but any charges for such use cannot be paid for with SBIR/STTR funds (SBA SBIR Policy Directive, Section 9 (f)(3)). In rare and unique circumstances, SBA may issue a case-by-case waiver to this provision after review of an agency's written justification. NASA cannot guarantee that a waiver from this policy can be obtained from SBA. If a proposed project or product demonstration requires a Government facility for successful completion, the offeror must provide a statement, signed by the appropriate Government official at the facility, verifying that it will be available for the required effort. The proposal must confirm that such facilities are not available from private sources, and include relevant information on funding sources(s) (private, other Government, internal) for the effort. Part 9: Subcontracts and Consultants (Including Subcontract Commitment Letters). Describe in detail any subcontract, consultant, or other business arrangements involving participation in performance of the proposed R/R&D effort and provide written evidence of their availability for the project. The proposal must include a signed statement from each subcontractor and/or consultant that they will be available at the times required for the purposes and extent of effort described in the proposal. The signed statement should be scanned and included in the technical content. This statement is included in the 50-page limit. Failure to provide certification(s) may result in rejection of the proposal. Subcontractors' and consultants' work must be performed in the United States. Note the following restrictions on subcontracts/consultants: SBIR Phase II Proposal STTR Phase II Proposal A minimum of one-half of the work (contract cost less profit) must be performed by the proposing SBC. A minimum of 40 percent of the work must be performed by the proposing SBC and 30 percent by the RI. Note: The Cooperative Research established with a specific RI in STTR Phase I contracts shall continue with the same RI in Phase II. Part 10: Potential Applications: Describe both the potential NASA and non-NASA commercial applications of the project assuming successful development of the proposed objectives. Part 11: Similar Proposals and Awards. If applicable, provide updated material (Reference Phase I Proposal Requirements, Part 11). 3.3.5 Capital Commitments Addendum Supporting Phase II and Phase III. Describe and document capital commitments from non-SBIR/STTR sources or from internal SBC funds for pursuit of Phase II and Phase III. Offerors for Phase II contracts are strongly urged to obtain non-SBIR/STTR funding support commitments for follow-on Phase III activities and additional support of Phase II from parties other than the proposing firm. Funding support commitments must provide that a specific, substantial amount will be made available to the firm to pursue the stated Phase II and/or Phase III objectives. They must indicate the source, date, and conditions or contingencies under which the funds will be made available. Alternatively, self-commitments of the same type and magnitude that are required from outside sources can be considered. If Phase III will be funded internally, offerors should describe their financial position. Evidence of funding support commitments from outside parties must be provided in writing and should accompany the Phase II proposal. Letters of commitment should specify available funding commitments, other resources to be provided, and any contingent conditions. Expressions of technical interest by such parties in the Phase II research or of potential future financial support are insufficient and will not be accepted as support commitments by NASA. Letters of commitment should be added as an addendum to the Phase II proposal. This addendum will not be counted against the 50-page limitation. 3.3.6 Briefing Chart (Optional). All technically meritorious proposals will be advocated to NASA senior management prior to selection. To assist NASA personnel in preparing information to advocate your proposal, a single-page briefing chart, as described in the on line electronic handbook is strongly encouraged. Submission of the briefing chart is optional, is not counted against the 50-page limitation, and should not contain any proprietary data. An example chart has been provided in Appendix B. 3.4 SBA Data Collection Requirement Each SBC applying for a Phase II award is required to update the appropriate information in the Tech-Net database for any of its prior Phase II awards. In addition, upon completion of Phase II, the SBC is required to update the appropriate information in the Tech-Net database and is requested to voluntarily update the information annually thereafter for a minimum period of five years. For complete information on what to enter, go to http://technet.sba.gov. 4. Method of Selection and Evaluation Criteria All Phase I and II proposals will be evaluated and judged on a competitive basis. Proposals will be initially screened to determine responsiveness. Proposals passing this initial screening will be technically evaluated by engineers or scientists to determine the most promising technical and scientific approaches. Each proposal will be judged on its own merit. The Agency is under no obligation to fund any proposal or any specific number of proposals in a given topic. It also may elect to fund several or none of the proposed approaches to the same topic or subtopic. 4.1 Phase I Proposals Proposals judged to be responsive to the administrative requirements of this Solicitation and having a reasonable potential of meeting a NASA need, as evidenced by the technical abstract included in the Proposal Summary (Form B), will be evaluated by evaluators with a knowledge of the subtopic area. 4.1.1 Evaluation Process. Proposals should provide all information needed for complete evaluation and evaluators are not expected to seek additional information. Evaluations will be performed by NASA scientists and engineers at the Centers identified in the Solicitation for each subtopic. Also, qualified experts outside of NASA (including industry, academia, and other Government agencies) may assist in performing evaluations as required to determine or verify the merit of a proposal. Offerors should not assume that evaluators are acquainted with the firm, key individuals, or with any experiments or other information. Any pertinent references or publications should be noted in Part 5 of the technical proposal. 4.1.2 Phase I Evaluation Criteria. NASA plans to select for award those proposals offering the best value to the Government and the Nation. NASA will give primary consideration to the scientific and technical merit and feasibility of the proposal and its benefit to NASA. Each proposal will be judged and scored on its own merits using the factors described below: Factor 1. Scientific/Technical Merit Feasibility The proposed R/R&D effort will be evaluated on whether it offers a clearly innovative and feasible technical approach to the described NASA problem area. Proposals must clearly demonstrate relevance to the subtopic. Specific objectives, approaches and plans for developing and verifying the innovation must demonstrate a clear understanding of the problem and the current state of the art. The degree of understanding and significance of the risks involved in the proposed innovation must be presented. Factor 2. Experience, Qualifications and Facilities The technical capabilities and experience of the PI or project manager, key personnel, staff, consultants and subcontractors, if any, are evaluated for consistency with the research effort and their degree of commitment and availability. The necessary instrumentation or facilities required must be shown to be adequate and any reliance on external sources, such as Government Furnished Equipment or Facilities, addressed (Section 5.15). Factor 3. Effectiveness of the Proposed Work Plan The work plan will be reviewed for its comprehensiveness, effective use of available resources, cost management and proposed schedule for meeting the Phase I objectives. The methods planned to achieve each objective or task should be discussed in detail. STTR: The clear delineation of the responsibilities of the SBC and RI for the success of the proposed cooperative R/R&D effort will be evaluated. The offeror must demonstrate the ability to organize for effective conversion of intellectual property into products or services of value to NASA and the commercial marketplace. Factor 4. Commercial Merit and Feasibility The proposal will be evaluated for any potential commercial applications in the private sector or for use by the Federal Government,as evidenced by the SBC's record of commercializing SBIR or other research, the existence of second phase funding commitments from private sector or non-SBIR funding sources, the existence of third phase follow-on commitments for the subject of the research, and the presence of other indicators of the commercial potential of the innovation. Scoring of Factors and Weighting: Factors 1, 2, and 3 will be scored numerically with Factor 1 worth 50 percent and Factors 2 and 3 each worth 25 percent. The sum of the scores for Factors 1, 2, and 3 will comprise the Technical Merit score. The score for Commercial Merit will be in the form of an adjectival rating (Excellent, Very Good, Average, Below Average, Poor). For Phase 1 proposals, Technical Merit carries more weight than Commercial Merit. 4.1.3 Selection. Each Center will make recommendations for award among those proposals that it evaluates and will rank those proposals recommended for award relative to all other recommended proposals at that Center. Center rankings will be forwarded to the Program Management Office for analysis and presented to the Source Selection Official and Strategic Enterprise Representatives. Final selection decisions will consider the Center rankings as well as overall NASA priorities, program balance and available funding. However, recommendations and relative rankings developed by the Centers do not guarantee selection for award. The Source Selection Official has the final authority for choosing the specific proposals for contract negotiation. The list of selections will be posted on the NASA SBIR/STTR Homepage (http://sbir.nasa.gov). All firms will receive a formal notification letter. A Contracting Officer will negotiate an appropriate contract to be signed by both parties before work begins. 4.1.4 Allocation of Rights Agreement (STTR awards only). After being selected for Phase I contract negotiations, but before the contract starts, the offeror shall, if requested, provide to the Contracting Officer, a completed Allocation of Rights Agreement (ARA), which has been signed by authorized representatives of the SBC, RI and subcontractors and consultants, as applicable. The ARA shall state the allocation of intellectual property rights with respect to the proposed STTR activity and planned follow-on research, development and/or commercialization. 4.2 Phase II Proposals 4.2.1 Evaluation Process. The Phase II evaluation process is similar to the Phase I process. NASA plans to select for award those proposals offering the best value to the Government and the Nation. Each proposal will be reviewed by NASA scientists and engineers and by qualified experts outside of NASA as needed. In addition, those proposals with high technical merit will be reviewed for commercial merit. NASA uses a peer review panel to evaluate commercial merit. Panel membership will include non-NASA personnel expert in business development and technology commercialization. 4.2.2 Evaluation Factors. The evaluation of Phase II proposals under this Solicitation will apply the following factors: Factor 1. Scientific/Technical Merit and Feasibility The proposed R/R&D effort will be evaluated on its innovativeness, originality, and potential technical value, including the degree to which Phase I objectives were met, the feasibility of the innovation, and whether the Phase I results indicate a Phase II project is appropriate. Factor 2. Experience, Qualifications and Facilities The technical capabilities and experience of the PI or project manager, key personnel, staff, consultants and subcontractors, if any, are evaluated for consistency with the research effort and their degree of commitment and availability. The necessary instrumentation or facilities required must be shown to be adequate and any reliance on external sources, such as Government Furnished Equipment or Facilities, addressed (Section 5.15). Factor 3. Effectiveness of the Proposed Work Plan The work plan will be reviewed for its comprehensiveness, effective use of available resources, cost management and proposed schedule for meeting the Phase I objectives. The methods planned to achieve each objective or task should be discussed in detail. Factor 4. Commercial Potential. NASA will assess the proposed commercialization plan in terms of its credibility, objectivity, reasonableness of key assumptions and awareness of key risk areas and critical business vulnerabilities, as applicable to the following factors: (1) Commercial potential of the technology: This includes assessment of (a) a well-defined commercial product or service; (b) a realistic target market niche; (c) a commercial product or service that has strong potential for uniquely meeting a well-defined need within the target market; and (d) a commitment of necessary financial, physical, and/or personnel resources. (2) Commercial intent of the offeror: This includes assessing the commercial venture for (a) importance to the offeror's current business and strategic planning; (b) reliance on (or lack thereof) Government markets; and (c) adequacy of funding sources necessary to bring technology to identified market. (3) Capability of the offeror to realize commercialization: This includes assessment of (a) the offeror's past success in bringing SBIR/STTR or other innovative technology to commercial application; (b) the offeror's business planning; (c) the likelihood that the offeror will be able to obtain the remaining necessary financial, technical, and personnel-related resources to bear; and (d) the current strength and continued financial viability of the offeror. In applying these commercial criteria, NASA will assess proposal information in terms of credibility, objectivity, reasonableness of key assumptions, independent corroborating evidence, internal consistency, demonstrated awareness of key risk areas and critical business vulnerabilities, and other indicators of sound business analysis and judgment. 4.2.3 Evaluation and Selection. Factors 1, 2, and 3 will be scored numerically with Factor 1 worth 50 percent and Factors 2 and 3 each worth 25 percent. The sum of the scores for Factors 1, 2, and 3 will comprise the Technical Merit score. Proposals receiving numerical scores of 85 percent or higher will be evaluated and rated for their commercial potential using the criteria listed in Factor 4 and by applying the same adjectival ratings as set forth for Phase I proposals. Where technical evaluations are essentially equal in potential, cost to the Government may be considered in determining successful offerors. For Phase II proposals, commercial merit is a critical factor. Each Center will make recommendations for award among those proposals that it evaluates and will rank those proposals recommended for award relative to all other recommended proposals at that Center. The Center Recommendation Report (which includes the Center analysis and ranking) will be forwarded to the Program Management Office for analysis and presented to the Source Selection Official and Strategic Enterprise Representatives. Final selection decisions will consider the Center rankings as well as overall NASA priorities, program balance and available funding, as well as any other evaluations or assessments (particularly pertaining to commercial potential) that may become available. However, recommendations and relative rankings developed by the Centers do not guarantee selection for award. The Source Selection Official has the final authority for choosing the specific proposals for contract negotiation. Note: Companies with Prior NASA SBIR Awards NASA has instituted a comprehensive commercialization survey/data gathering process for companies with prior NASA SBIR awards. Information received from SBIR companies completing the survey is kept confidential, and will not be made public except in broad aggregate, with no company-specific attribution. Responding to the survey is strictly voluntary. However, the SBIR Source Selection Official does see the information contained within the survey as adding to the program's ability to use past performance in decision making. If you have not completed a survey, or if you would like to update a previously submitted response, please go on line at http://sbir.nasa.gov/SBIR/survey.html. 4.3 Debriefing of Unsuccessful Offerors After Phase I and Phase II selection decisions have been announced, debriefings for unsuccessful proposals will be available to the offeror's corporate official or designee via e-mail. Telephone requests for debriefings will not be accepted. Debriefings are not opportunities to reopen selection decisions. They are intended to acquaint the offeror with perceived strengths and weaknesses of the proposal and perhaps identify constructive future action by the offeror. Debriefings will not disclose the identity of the proposal evaluators, nor provide proposal scores, rankings in the competition, the content of or comparisons with, other proposals. 4.3.1 Phase I Debriefings. For Phase I proposals, debriefings will be automatically e-mailed to the designated business official within 60 days. If you have not received your debriefing by this time, contact the SBIR/STTR Program Support Office at sbir@reisys.com. 4.3.2 Phase II Debriefings. To request debriefings on Phase II proposals, offerors must request via e-mail to the SBIR/STTR Program Support Office at sbir@reisys.com within 60 days after selection announcement. The offeror will be contacted by the appropriate Field Center for debriefing. Late requests will not be honored. 5. Considerations 5.1 Awards 5.1.1 Availability of Funds. Both Phase I and Phase II awards are subject to availability of funds. NASA has no obligation to make any specific number of Phase I or Phase II awards based on this Solicitation, and may elect to make several or no awards in any specific technical topic or subtopic. SBIR * NASA plans to announce the selection of approximately 300 proposals resulting from this Solicitation, for negotiation of Phase I contracts with values not exceeding $70,000. Following contract negotiations and awards, Phase I contractors will have up to 6 months to carry out their programs, prepare their final reports, and submit Phase II proposals. SBIR * NASA anticipates that approximately 40 percent of the successfully completed Phase I projects from the SBIR 2004 Solicitation will be selected for Phase II. Phase II agreements are fixed-price contracts with performance periods not exceeding 24 months and funding not exceeding $600,000. STTR * NASA plans to announce the selection of approximately 40 proposals resulting from this Solicitation, for negotiation of Phase I contracts with values not exceeding $100,000. Following contract negotiations and awards, Phase I contractors will have up to 12 months to carry out their programs, prepare their final reports, and submit Phase II proposals. STTR * NASA anticipates that approximately 40 percent of the successfully completed Phase I projects from the STTR 2004 Solicitation will be selected for Phase II. Phase II agreements are fixed-price contracts with performance periods not exceeding 24 months and funding not exceeding $600,000. 5.1.2 Contracting. Fixed-price contracts will be issued for both Phase I and Phase II awards. Simplified contract documentation is employed; however, SBCs selected for award can reduce processing time by examining the procurement documents, submitting signed representations and certifications, and responding to the Contracting Officer in a timely manner. NASA will make a Phase I model contract and other documents available to the public on the NASA SBIR/STTR homepage (http://sbir.nasa.gov) at the time of the selection announcement. From the time of proposal selection until the award of a contract, only the Contracting Officer is authorized to commit the Government, and all communications must be through the Contracting Officer. Note: Costs incurred prior to and in anticipation of award of a contract are entirely the risk of the contractor in the event that a contract is not subsequently awarded. 5.2 Phase I Reporting Interim progress reports are required as described in the contract. These reports shall document progress made on the project and activities required for completion to provide NASA the basis for determining whether the payment is warranted. A final report must be submitted to NASA upon completion of the Phase I R/R&D effort in accordance with contract provisions. It shall elaborate the project objectives, work carried out, results obtained, and assessments of technical merit and feasibility. The final report shall include a single-page summary as the first page, in a format provided in the Phase I contract, identifying the purpose of the R/R&D effort and describing the findings and results, including the degree to which the Phase I objectives were achieved, and whether the results justify Phase II continuation. The potential applications of the project results in Phase III either for NASA or commercial purposes shall also be described. The final project summary is to be submitted without restriction for NASA publication. All reports are required to be submitted electronically via the SBIR/STTR homepage. 5.3 Payment Schedule for Phase I Payments can be authorized as follows: one-third at the time of award, one-third at project mid-point after award, and the remainder upon acceptance of the final report by NASA. The first two payments will be made 30 days after receipt of valid invoices. The final payment will be made 30 days after acceptance of the final report, the New Technology Report, and other deliverables as required by the contract. Electronic funds transfer will be employed and offerors will be required to submit account data if selected for contract negotiations. 5.4 Release of Proposal Information In submitting a proposal, the offeror agrees to permit the Government to disclose publicly the information contained on the Proposal Cover (Form A) and the Proposal Summary (Form B). Other proposal information (data) is considered to be the property of the offeror, and NASA will protect it from public disclosure to the extent permitted by law including the Freedom of Information Act. 5.5 Access to Proprietary Data by Non-NASA Personnel 5.5.1 Non-NASA Reviewers. In addition to Government personnel, NASA, at its discretion and in accordance with 1815.207-71 of the NASA FAR Supplement, may utilize qualified individuals from outside the Government in the proposal review process. Any decision to obtain an outside evaluation shall take into consideration requirements for the avoidance of organizational or personal conflicts of interest and the competitive relationship, if any, between the prospective contractor or subcontractor(s) and the prospective outside evaluator. Any such evaluation will be under agreement with the evaluator that the information (data) contained in the proposal will be used only for evaluation purposes and will not be further disclosed. 5.5.2 Non-NASA Access to Confidential Business Information. In the conduct of proposal processing and potential contract administration the Agency may find it necessary to provide access to proposals to other NASA contractor and subcontractor personnel. NASA will provide access to such data only under contracts that contain an appropriate Handling of Data clause that requires the contractors to fully protect the information from unauthorized use or disclosure. 5.6 Final Disposition of Proposals The Government retains ownership of proposals accepted for evaluation, and such proposals will not be returned to the offeror. Copies of all evaluated Phase I proposals will be retained for one year after the Phase I selections have been made, after which time unsuccessful proposals will be destroyed. Successful proposals will be retained in accordance with contract file regulations. 5.7 Proprietary Information in the Proposal Submission Information contained in unsuccessful proposals will remain the property of the applicant. The Government may, however, retain copies of all proposals. Public release of information in any proposal submitted will be subject to existing statutory and regulatory requirements. If proprietary information is provided by an applicant in a proposal, which constitutes a trade secret, proprietary commercial or financial information, confidential personal information or data affecting the national security, it will be treated in confidence to the extent permitted by law. This information must be clearly marked by the applicant as confidential proprietary information. NASA will treat in confidence pages listed as proprietary in the following legend that appears on Cover Sheet (Form A) of the proposal: "This data shall not be disclosed outside the Government and shall not be duplicated, used, or disclosed in whole or in part for any purpose other than evaluation of this proposal. If a funding agreement is awarded to the offeror as a result of or in connection with the submission of this data, the Government shall have the right to duplicate, use or disclose the data to the extent provided in the funding agreement and pursuant to applicable law. This restriction does not limit the Government's right to use information contained in the data if it is obtained from another source without restriction. The data subject to this restriction are contained in pages _____ of this proposal." Note: Do not label the entire proposal proprietary. The Proposal Cover (Form A), the Proposal Summary (Form B), and the Optional Briefing Chart should not contain proprietary information. 5.8 Limited Rights Information and Data Rights to data used in, or first produced under, any Phase I or Phase II contract are specified in the clause at FAR 52.227-20, Rights in Data--SBIR/STTR Program. The clause provides for rights consistent with the following: 5.8.1 Non Proprietary Data. Some data of a general nature are to be furnished to NASA without restriction (i.e., with unlimited rights) and may be published by NASA. These data will normally be limited to the project summaries accompanying any periodic progress reports and the final reports required to be submitted. The requirement will be specifically set forth in any contract resulting from this Solicitation. 5.8.2 Proprietary Data. When data that is required to be delivered under an SBIR/STTR contract qualifies as "proprietary," i.e., either data developed at private expense that embody trade secrets or are commercial or financial and confidential or privileged, or computer software developed at private expense that is a trade secret, the contractor, if the contractor desires to continue protection of such proprietary data, shall not deliver such data to the Government, but instead shall deliver form, fit, and function data. 5.8.3 Non Disclosure Period. The Government, for a period of 4 years from acceptance of all items to be delivered under an SBIR/STTR contract, shall use the data, i.e., data first produced by the contractor in performance of the contract, where such data are not generally known, and which data without obligation as to its confidentiality have not been made available to others by the contractor or are not already available to the Government, agrees to use these data for Government purposes. These data shall not be disclosed outside the Government (including disclosure for procurement purposes) during the 4-year period without permission of the contractor, except that such data may be disclosed for use by support contractors under an obligation of confidentiality. After the 4-year period, the Government has a royalty-free license to use, and to authorize others to use on its behalf, these data for Government purposes, but the Government is relieved of all disclosure prohibitions and assumes no liability for unauthorized use by third parties. 5.8.4 Copyrights. Subject to certain licenses granted by the contractor to the Government, the contractor receives copyright to any data first produced by the contractor in the performance of an SBIR/STTR contract. 5.8.5 Patents. The contractor may normally elect title to any inventions made in the performance of an SBIR/STTR contract. The Government receives a nonexclusive license to practice or have practiced for or on behalf of the Government each such invention throughout the world. Small business concerns normally may retain the principal worldwide patent rights to any invention developed with Government support. The Government receives a royalty-free license for Federal Government use, reserves the right to require the patent holder to license others in certain circumstances, and requires that anyone exclusively licensed to sell the invention in the United States must normally manufacture it domestically. In accordance with the Patent Rights Clause (FAR 52.227-11), SBIR/STTR contractors must disclose all subject inventions, which means any invention or discovery which is or may be patentable and is conceived or first actually reduced to practice in the performance of the contract. Once disclosed, the contractor has 2 years to decide whether to elect title. If the contractor fails to do so within the 2-year time period, the Government has the right to obtain title. To the extent authorized by 35 USC 205, the Government will not make public any information disclosing such inventions, allowing the contractor the allowable time to file a patent. Costs associated with patent applications are not allowable. 5.8.6 Invention Reporting. SBIR awardees must report inventions to the awarding agency within 2 months of the inventor's report to the awardee. The reporting of inventions should be accomplished in accordance with the negotiated contract. 5.9 Cost Sharing Cost sharing occurs when a Contractor proposes to bear some of the burden of reasonable, allocable and allowable contract costs. Cost sharing is permitted, but not required for proposals under this Solicitation. Cost sharing is not an evaluation factor in consideration of your proposal. Cost sharing, if included, should be shown in the summary budget. No profit will be paid on the cost-sharing portion of the contract. STTR: If cost sharing is proposed, then these added funds shall be included in the 40/30 work percentage distribution and reflected in the Summary Budget (Form C). 5.10 Profit or Fee Both Phase I and Phase II contracts may include a reasonable profit. The reasonableness of proposed profit is determined by the Contracting Officer during contract negotiations. 5.11 Joint Ventures and Limited Partnerships Both joint ventures and limited partnerships are permitted, provided the entity created qualifies as an SBC in accordance with the definition in Section 2.14. A statement of how the work load will be distributed, managed, and charged should be included in the proposal. A copy or comprehensive summary of the joint venture agreement or partnership agreement should be appended to the proposal. This will not count as part of the 25-page limit for the Phase I proposal. 5.12 Similar Awards and Prior Work If an award is made pursuant to a proposal submitted under either SBIR or STTR Solicitation, the firm will be required to certify that it has not previously been paid nor is currently being paid for essentially equivalent work by any agency of the Federal Government. Failure to acknowledge or report similar or duplicate efforts can lead to the termination of contracts or civil or criminal penalties. 5.13 Contractor Commitments Upon award of a contract, the contractor will be required to make certain legal commitments through acceptance of numerous clauses in the Phase I contract. The outline that follows illustrates the types of clauses that will be included. This is not a complete list of clauses to be included in Phase I contracts, nor does it contain specific wording of these clauses. Copies of complete provisions will be made available prior to contract negotiations. 5.13.1 Standards of Work. Work performed under the contract must conform to high professional standards. Analyses, equipment, and components for use by NASA will require special consideration to satisfy the stringent safety and reliability requirements imposed in aerospace applications. 5.13.2 Inspection. Work performed under the contract is subject to Government inspection and evaluation at all reasonable times. 5.13.3 Examination of Records. The Comptroller General (or a duly authorized representative) shall have the right to examine any directly pertinent records of the contractor involving transactions related to the contract. 5.13.4 Default. The Government may terminate the contract if the contractor fails to perform the contracted work. 5.13.5 Termination for Convenience. The contract may be terminated by the Government at any time if it deems termination to be in its best interest, in which case the contractor will be compensated for work performed and for reasonable termination costs. 5.13.6 Disputes. Any dispute concerning the contract that cannot be resolved by mutual agreement shall be decided by the Contracting Officer with right of appeal. 5.13.7 Contract Work Hours. The contractor may not require a non-exempt employee to work more than 40 hours in a work week unless the employee is paid for overtime. 5.13.8 Equal Opportunity. The contractor will not discriminate against any employee or applicant for employment because of race, color, religion, age, sex, or national origin. 5.13.9 Affirmative Action for Veterans. The contractor will not discriminate against any employee or applicant for employment because he or she is a disabled veteran or veteran of the Vietnam era. 5.13.10 Affirmative Action for Handicapped. The contractor will not discriminate against any employee or applicant for employment because he or she is physically or mentally handicapped. 5.13.11 Officials Not to Benefit. No member of or delegate to Congress shall benefit from an SBIR or STTR contract. 5.13.12 Covenant Against Contingent Fees. No person or agency has been employed to solicit or to secure the contract upon an understanding for compensation except bona fide employees or commercial agencies maintained by the contractor for the purpose of securing business. 5.13.13 Gratuities. The contract may be terminated by the Government if any gratuities have been offered to any representative of the Government to secure the contract. 5.13.14 Patent Infringement. The contractor shall report to NASA each notice or claim of patent infringement based on the performance of the contract. 5.13.15 American-Made Equipment and Products. Equipment or products purchased under an SBIR or STTR contract must be American-made whenever possible. 5.13.16 Export Control Laws. The contractor shall comply with all U.S. export control laws and regulations, including the International Traffic in Arms Regulations (ITAR) and the Export Administration Regulations (EAR). Offerors are responsible for ensuring that all employees who will work on this contract are eligible under export control and International Traffic in Arms (ITAR) regulations. Any employee who is not a U.S. citizen or a permanent resident may be restricted from working on this contract if the technology is restricted under export control and ITAR regulations unless the prior approval of the Department of State or the Department of Commerce is obtained via a technical assistance agreement or an export license. Violations of these regulations can result in criminal or civil penalties. 5.14 Additional Information 5.14.1 Precedence of Contract Over Solicitation. This Program Solicitation reflects current planning. If there is any inconsistency between the information contained herein and the terms of any resulting SBIR/STTR contract, the terms of the contract are controlling. 5.14.2 Evidence of Contractor Responsibility. Before award of an SBIR or STTR contract, the Government may request the offeror to submit certain organizational, management, personnel, and financial information to establish responsibility of the offeror. Contractor responsibility includes all resources required for contractor performance, i.e., financial capability, work force, and facilities. 5.14.3 Central Contractor Registration: Offerors should be aware of the requirement to register in the Central Contractor Registration (CCR) database prior to contract award. To avoid a potential delay in contract award, offerors are strongly encouraged to register prior to submitting a proposal. The CCR database is the primary repository for contractor information required for the conduct of business with NASA. It is maintained by the Department of Defense. To be registered in the CCR database, all mandatory information, which includes the DUNS or DUNS+4 number, and a CAGE code, must be validated in the CCR system. The DUNS number or Data Universal Number System is a 9-digit number assigned by Dun and Bradstreet Information Services (http://www.dnb.com) to identify unique business entities. The DUNS+4 is similar, but includes a 4-digit suffix that may be assigned by a parent (controlling) business concern. The CAGE code or Commercial Government and Entity Code is assigned by the Defense Logistics Information Service (DLIS) to identify a commercial or Government entity. If an SBC does not have a CAGE code, one will be assigned during the CCR registration process. The DoD has established a goal of registering an applicant in the CCR database within 48 hours after receipt of a complete and accurate application via the Internet. However, registration of an applicant submitting an application through a method other than the Internet may take up to 30 days. Therefore, offerors that are not registered should consider applying for registration immediately upon receipt of this solicitation. Offerors and contractors may obtain information on CCR registration and annual confirmation requirements via the Internet at http://www.ccr.gov or by calling 888-CCR-2423 (888-227-2423). 5.15 Property and Facilities In accordance with the Federal Acquisition Regulations (FAR) Part 45, it is NASA's policy not to provide facilities (capital equipment, tooling, test and computer facilities, etc.) for the performance of work under contract. An SBC will furnish its own facilities to perform the proposed work as an indirect cost to the contract. Special tooling required for a project may be allowed as a direct cost. When an SBC cannot furnish its own facilities to perform required tasks, an SBC may propose to acquire the use of available non Government facilities. Rental or lease costs may be considered as direct costs as part of the total funding for the project. If unique requirements force an offeror to acquire facilities under a NASA contract, they will be purchased as Government Furnished Equipment (GFE) and will be titled to the Government. An offeror may propose the use of unique or one-of-a-kind Government facilities if essential for the research. If a proposed project or product demonstration requires a Government facility for successful completion, the offeror must provide a statement, signed by the appropriate Government official at the facility, verifying that it will be available for the required effort. The proposal must confirm that such facilities are not available from private sources, and include relevant information on funding sources(s) (private, other Government, internal) for the effort. 5.16 False Statements Knowingly and willfully making any false, fictitious, or fraudulent statements or representations may be a felony under the Federal Criminal False Statement Act (18 U.S.C. Sec 1001), punishable by a fine of up to $10,000, up to five years in prison, or both. 6. Submission of Proposals 6.1 Submission Requirements NASA utilizes a paperless, electronic process for management of the SBIR/STTR programs. This management approach requires that a proposing firm have Internet access and an e-mail address. Paper submissions are no longer accepted. An Electronic Handbook for submitting proposals via the internet is hosted on the NASA SBIR/STTR Homepage (http://sbir.nasa.gov). The handbook will guide the firms through the various steps required for submitting an SBIR/STTR proposal. All electronic handbook submissions will be through a secure connection. Communication between NASA and the firm will be via a combination of electronic handbooks and e-mail. 6.2 Submission Process To begin the submission process, SBCs must first register in the handbook. It is recommended that the Business Official, or an authorized representative designated by the Business Official, be the first person to register for the SBC. The SBC's Employer Identification Number (EIN)/Taxpayer Identification Number is required during registration. For successful proposal submission, SBCs must complete all three forms on line, upload their technical proposal in an acceptable format, and have the Business Official electronically endorse the proposal. Electronic endorsement of the proposal is handled on line with no additional software requirements. The term "technical proposal" refers to the part of the submission as described in Section 3.2.4 for Phase I and 3.3.4 for Phase II. STTR: The Research Institution is required to electronically endorse the Cooperative Agreement prior to the SBC endorsement of the completed proposal submission. 6.2.1 What Needs to Be Submitted. The entire proposal including Forms A, B, and C must be submitted via the Submissions Handbook located at https://sbir.gsfc.nasa.gov/SBIR04/phase1/submissions/ a. Forms A, B, and C are to be completed online. b. The technical proposal is uploaded from your computer via the Internet utilizing secure communication protocol. c. Firms are encouraged to upload an optional briefing chart, which is not included in the page count (See Sections 3.2.8 and 3.3.6). Note: Other forms of submissions such as postal, paper, fax, diskette, or e-mail attachments are not acceptable. 6.2.2 Technical Proposal Submissions. NASA converts all technical proposal files to PDF format for evaluation purposes. Therefore, NASA requests that technical proposals be submitted in PDF format, and encourages companies to do so. Other acceptable formats are MS Works, MS Word, and WordPerfect. Unix and TeX users please note that due to PDF difficulties with non-standard fonts, please output technical proposal files in DVI format. Graphics. For reasons of space conservation and simplicity the offeror is encouraged, but not required, to embed graphics within the document. For graphics submitted as separate files, the acceptable file formats (and their respective extensions) are: Bit-Mapped (.bmp), Graphics Interchange Format (.gif), JPEG (.jpg), PC Paintbrush (.pcx), WordPerfect Graphic (.wpg), and Tagged-Image Format (.tif). Virus Check. The offeror is responsible for performing a virus check on each submitted technical proposal. As a standard part of entering the proposal into the processing system, NASA will scan each submitted electronic technical proposal for viruses. The detection, by NASA, of a virus on any electronically submitted technical proposal, may cause rejection of the proposal. 6.2.3 Technical Proposal Uploads. Firms will upload their proposals using the Submissions electronic handbook. Directions will be provided to assist users. All transactions via the EHB are encrypted for security. Proposals can be uploaded multiple times with each new upload replacing the previous version. An e-mail will be sent acknowledging each successful upload. An example is provided below: Sample E-mail for Successful Upload of Technical Proposal Subject: Successful Upload of Technical Proposal Upload of Technical Document for your NASA SBIR/STTR Proposal No. _________ This message is to confirm the successful upload of your technical proposal document for: Proposal No. ____________ (Uploaded File Name/Size/Date) Please note that any previous uploads are no longer considered as part of your submission. This e-mail is NOT A RECEIPT OF SUBMISSION of your entire proposal IMPORTANT! The Business Official or an authorized representative must electronically endorse the proposal in the Electronic Handbook using the "Sign Proposal" step. Upon endorsement, you will receive an e-mail that will be your official receipt of proposal submission. . Thank you for your participation in NASA's SBIR/STTR program. NASA SBIR/STTR Program Support Office You may upload the technical proposal multiple times but only the final uploaded and electronically endorsed version may be considered for review. 6.3 Deadline for Phase I Proposal Receipt All Phase I proposal submissions must be received no later than 5:00 p.m. EDT on Thursday, September 9, 2004, via the NASA SBIR/STTR homepage (http://sbir.nasa.gov). The server/electronic handbook will not be available for Internet submissions after this deadline. Any proposal received after that date and time shall be considered late and handled according to NASA FAR Supplement 1815.208. 6.4 Acknowledgment of Proposal Receipt The final proposal submission includes successful completion of Form A (electronically endorsed by the SBC Official), Form B, Form C, and the uploaded technical proposal. NASA will acknowledge receipt of electronically submitted proposals upon endorsement by the SBC Official to the SBC Official's e-mail address as provided on the proposal cover sheet. If a proposal acknowledgment is not received, the offeror should call NASA SBIR/STTR Program Support Office at 301-937-0888. An example is provided below: Sample E-mail for Official Confirmation of Receipt of Full Proposal: Subject: Official Receipt of your NASA SBIR/STTR Proposal No. _______________ Confirmation No. __________________ This message is to acknowledge electronic receipt of your NASA SBIR/STTR Proposal No. _______________. Your proposal, including the forms and the technical document, has been received at the NASA SBIR/STTR Support Office. SBIR/STTR 2004 Phase I xx.xx-xxxx (Title) Form A completed on: Form B completed on: Form C completed on: Technical Proposal Uploaded on: File Name: File Type: File Size: Briefing Chart (Optional) completed on: Proposal endorsed electronically by: This is your official confirmation of receipt. Please save this email for your records, as no other receipt will be provided. The official selection announcement is currently scheduled for November 19, 2004, and will be posted via the SBIR/STTR homepage (http://sbir.nasa.gov). Thank your for your participation in the NASA SBIR/STTR program. NASA SBIR/STTR Program Support Office 6.5 Withdrawal of Proposals Proposals may be withdrawn via the electronic handbook system hosted on the NASA SBIR homepage (http://sbir.nasa.gov) with the endorsement by the designated SBC Official. 6.6 Service of Protests Protests, as defined in Section 33.101 of the FAR, that are filed directly with an agency, and copies of any protests that are filed with the General Accounting Office (GAO), shall be served on the Contracting Officer by obtaining written and dated acknowledgement of receipt from the NASA SBIR/STTR Program Manager at the address listed below: Paul Mexcur, Program Manager NASA SBIR/STTR Program Management Office Code 408, Goddard Space Flight Center Greenbelt, MD 20771-0001 Winfield.P.Mexcur@nasa.gov The copy of any protest shall be received by the NASA SBIR/STTR Program Manager within one day of filing a protest with the GAO. 7. Scientific and Technical Information Sources 7.1 NASA SBIR/STTR Homepage Detailed information on NASA's SBIR/STTR Programs is available at: http://sbir.nasa.gov. 7.2 NASA Commercial Technology Network The NASA Commercial Technology Network (NCTN) contains a significant amount of on line information about the NASA Commercial Technology Program. The address for the NCTN homepage is: http://nctn.hq.nasa.gov/ 7.3 NASA Technology Utilization Services The National Technology Transfer Center (NTTC), sponsored by NASA in cooperation with other Federal agencies, serves as a national resource for technology transfer and commercialization. NTTC has a primary role to get Government research into the hands of U.S. businesses. Its gateway services make it easy to access databases and to contact experts in your area of research and development. For further information, call 800-678-6882. NASA's network of Regional Technology Transfer Centers (RTTCs) provides business planning and development services. However, NASA does not accept responsibility for any services these centers may offer in the preparation of proposals. RTTCs can be contacted directly as listed below to determine what services are available and to discuss fees charged. Alternatively, to contact any RTTC, call 800-472-6785. Northeast: Center for Technology Commercialization Massachusetts Technology Park 1400 Computer Drive Westboro, MA 01581-5043 Phone: 508-870-0042 URL: http://www.ctc.org Mid-Atlantic: Technology Commercialization Center, Inc. 12050 Jefferson Avenue, Suite 340 Newport News, VA 23606 Phone: 757-269-0025 URL: http://www.teccenter.org Southeast: Georgia Institute of Technology 151 6th Street 216 O'Keefe Building Atlanta, GA 30332-0640 Phone: 800-472-6785 URL: http://www.edi.gatech.edu/nasa/ Mid-West: Great Lakes Industrial Technology Center Battelle Memorial Institute 20445 Emerald Parkway Drive, SW, Suite 200 Cleveland, OH 44135 Phone: 216-898-6400 URL: http://www.glitec.org Mid-Continent: Mid-Continent Technology Transfer Center Texas Engineering Extension Service 301 Tarrow Street College Station, TX 77840-7896 Phone: 800-472-6785 URL: http://www.mcttc.com/ Far-West: Far-West Technology Transfer Center University of Southern California 3716 South Hope Street, Suite 200 Los Angeles, CA 90007-4344 Phone: 800-642-2872 URL: http://www.usc.edu/dept/engineering/TTC/NASA 7.4 United States Small Business Administration The Policy Directives for the SBIR/STTR Programs, which also state the SBA policy for this Solicitation, may be obtained from the following source. SBA information can also be obtained at: http://www.sba.gov/. Office of Innovation, Research and Technology U.S. Small Business Administration 409 Third Street, S.W. Washington, DC 20416 Phone: 202-205-7701 7.5 National Technical Information Service The National Technical Information Service, an agency of the Department of Commerce, is the Federal Government's central clearinghouse for publicly funded scientific and technical information. For information about their various services and fees, call or write: National Technical Information Service 5285 Port Royal Road Springfield, VA 22161 Phone: 703-605-6040 URL: http://www.ntis.gov 8. Submission Forms and Certifications FORM A - SBIR COVER SHEET Subtopic Number 1. PROPOSAL NUMBER: 04 - . 2. SUBTOPIC TITLE: 3. PROPOSAL TITLE: 4. SMALL BUSINESS CONCERN (SBC): NAME: MAILING ADDRESS: CITY/STATE/ZIP: PHONE: FAX: EIN/TAX ID: DUNS + 4: CAGE CODE: NUMBER OF EMPLOYEES: 5. AMOUNT REQUESTED $ DURATION: MONTHS 6. CERTIFICATIONS: OFFEROR CERTIFIES THAT: As defined in Section 1 of the Solicitation, the offeror certifies: a. The Principal Investigator is "primarily employed" by the Yes No organization as defined in the SBIR Solicitation b. As referenced in Section 5.13.16, PI is U.S. Citizen or Permanent Resident Yes No As defined in Section 2 of the Solicitation, the offeror qualifies as a: c. SBC Yes No Number of employees: _____ d. Socially and economically disadvantaged SBC Yes No e. Woman-owned SBC Yes No f. HUBZone-owned SBC Yes No As defined in Section 3.2.4 Part 11 of the Solicitation indicate if g. Work under this project has been submitted for Federal funding only to the NASA Yes No SBIR Program h. Funding has been received for work under this project by any other Federal Yes No grant, contract, or subcontract As described in Section 3 of this solicitation, the offeror meets the following requirements completely: i. All 11 parts of the technical proposal are included in part order Yes No j. Subcontracts/consultants proposed? Yes No i) If yes, limits on subcontracts/consultants met Yes No ii) If yes, copy of agreement enclosed Yes No k. Government equipment or facilities required (cannot use SBIR funds)? Yes No i) If yes, signed statement enclosed in Part 8 Yes No ii) If yes, non-SBIR funding source identified in Part 8? Yes No 7. ACN NAME: E-MAIL: 8. I understand that providing false information is a criminal offense under Title 18 US Code, Section 1001, False Statements, as well as Title 18 US Code, Section 287, False Claims. 9. ENDORSEMENT BY SBC OFFICIAL: NAME: TITLE: PHONE: E-MAIL: SIGNATURE: DATE: NOTICE: This data shall not be disclosed outside the Government and shall not be duplicated, used, or disclosed in whole or in part for any purpose other than evaluation of this proposal, provided that a funding agreement is awarded to the offeror as a result of or in connection with the submission of this data, the Government shall have the right to duplicate, use or disclose the data to the extent provided in the funding agreement and pursuant to applicable law. This restriction does not limit the Government's right to use information contained in the data if it is obtained from another source without restriction. The data subject to this restriction are contained in pages __________ of this proposal. Guidelines for Completing SBIR Cover Sheet Complete Cover Sheet Form A electronically. 1. Proposal Number: This number does not change. The proposal number consists of the four-digit subtopic number and four-digit system-generated number. 2. Subtopic Title: Enter the title of the subtopic that this proposal will address. Use abbreviations as needed. 3. Proposal Title: Enter a brief, descriptive title using no more than 80 keystrokes (characters and spaces). Do not use the subtopic title. Avoid words like "development" and "study." 4. Small Business Concern: Enter the full name of the company submitting the proposal. If a joint venture, list the company chosen to negotiate and receive contracts. If the name exceeds 40 keystrokes, please abbreviate. Address: Address where mail is received City, State, Zip: City, 2-letter State designation (i.e. TX for Texas), 9-digit Zip code (i.e. 20705-3106) Phone, Fax: Number including area code EIN/Tax ID: Employer Identification Number/Taxpayer ID DUNS + 4: 9-digit Data Universal Number System plus a 4-digit suffix given by parent concern CAGE Code: Commercial Government and Entity Code (Issued by Central Contractor Registration (CCR)) 5. Amount Requested: Proposal amount from Budget Summary. The amount requested should not exceed $70,000 (see Sections 1.4.1, 5.1.1). Duration: Proposed duration in months. The requested duration should not exceed 6 months (see Sections 1.4.1, 5.1.1). 6. Certifications: Answer Yes or No as applicable for 6a, 6b, 6c, 6d, 6e, 6f, 6g and 6h (see the referenced sections for definitions). 6b. Offerors are responsible for ensuring that all employees who will work on this contract are eligible under export control and International Traffic in Arms (ITAR) regulations. Any employee who is not a U.S. citizen or a permanent resident may be restricted from working on this contract if the technology is restricted under export control and ITAR regulations. Violations of these regulations can result in criminal or civil penalties. 6h. SBCs should choose "No" to confirm that work under this project has not been funded under any other Federal grant, contract or subcontract. 6j. Subcontracts/consultants proposed? By answering yes, the SBC certifies that subcontracts/consultants have been proposed and arrangements have been made to perform on the contract, if awarded. i) If yes, limits on subcontracting and consultants met: By answering yes, the SBC certifies that business arrangements with other entities or individuals do not exceed one-third of the work (amount requested including cost sharing if any, less fee, if any) and is in compliance with Section 3.2.4, Part 9. ii) If yes, copy of agreement enclosed: By answering yes, the SBC certifies that a copy of any subcontracting or consulting agreements described in Section 3.2.4 Part 9 is included as required. Copy of the agreement may be submitted in a reduced-size format. 6k. Government furnished equipment required? By answering yes, the SBC certifies that unique, one-of-a-kind Government Furnished Facilities or Government Furnished Equipment are required to perform the proposed activities (see Sections 3.2.4 Part 8, 3.3.4 Part 5, 5.17). By answering no, the SBC certifies that no such Government Furnished Facilities or Government Furnished Equipment are required to perform the proposed activities. i) If yes, signed statement enclosed in Part 8: By answering yes, the SBC certifies that a statement describing the uniqueness of the facility and its availability to the offeror at specified times, signed by the appropriate Government official, is enclosed in the proposal. ii) If yes, non-SBIR funding source identified in Part 8: By answering yes, the SBC certifies that it has a confirmed, non-SBIR funding source for whatever charges may be incurred when utilizing the required Government facility. 7. ACN Name and E-mail: Name and e-mail address of Authorized Contract Negotiator. 8. Endorsement of this form certifies understanding of this statement. 9. Endorsement: An official of the firm must electronically endorse the proposal cover. FORM B - SBIR PROPOSAL SUMMARY Subtopic Number 1. Proposal Number 04 - . . 2. Subtopic Title 3. Proposal Title 4. Small Business Concern Name: Address: City/State: Zip: Phone: 5. Principal Investigator/Project Manager Name: Address: City/State: Zip: Phone: E-mail: 6. Technical Abstract (Limit 200 words or 2,000 characters, whichever is less): 7. Potential NASA Application(s): (Limit 100 words or 1,500 characters, whichever is less) 8. Potential Non-NASA Commercial Application(s): (Limit 100 words or 1,500 characters, whichever is less) Guidelines for Completing SBIR Proposal Summary Complete Proposal Summary Form B electronically. 1. Proposal Number: Same as Cover Sheet. 2. Subtopic Title: Same as Cover Sheet. 3. Proposal Title: Same as Cover Sheet. 4. Small Business Concern: Same as Cover Sheet. 5. Principal Investigator/Project Manager: Enter the full name of the PI/MS and include all required contact information. 6. Technical Abstract: Summary of the offeror's proposed project in 200 words or less. The abstract must not contain proprietary information and must describe the NASA need addressed by the proposed R/R&D effort. 7. Potential NASA Application(s): Summary of the direct or indirect NASA applications of the project, assuming the goals of the proposed R/R&D are achieved. Limit your response to 100 words or 1,500 characters, whichever is less. 8. Potential Non-NASA Commercial Application(s): Summary of the direct or indirect NASA applications of the project, assuming the goals of the proposed R/R&D are achieved. Limit your response to 100 words or 1,500 characters, whichever is less. FORM C - SBIR BUDGET SUMMARY PROPOSAL NUMBER: SMALL BUSINESS CONCERN: DIRECT LABOR: Category Hours Rate Cost $ TOTAL DIRECT LABOR: (1) $ OVERHEAD COST ______% of Total Direct Labor or $ ______ OVERHEAD COST: (2) $ OTHER DIRECT COSTS (ODCs): Category Cost $ TOTAL OTHER DIRECT COSTS: (3) $ Explanation of ODCs ______________________________________ ______________________________________ ______________________________________ (1)+(2)+(3)=(4) SUBTOTAL: (4) $ GENERAL & ADMINISTRATIVE (G&A) COSTS ______% of Subtotal or $ ______ G&A COSTS: (5) $ (4)+(5)=(6) TOTAL COSTS (6) $ ADD PROFIT or SUBTRACT COST SHARING PROFIT/COST SHARING: (As applicable) (7) $ (6)+(7)=(8) AMOUNT REQUESTED: (8) $ PHASE I DELIVERABLES: Upon selection, SBCs will be required to submit mandatory deliverables such as progress reports, final report and New Technology report as per their contract. Samples of all required contract deliverables are available in the NASA SBIR/STTR Firms Library via the NASA SBIR homepage (http://sbir.nasa.gov). If your firm is proposing any additional deliverables, list them below: Deliverable Quantity Project Delivery Milestone AUDIT AGENCY: If a Federal agency has ever audited your accounting system, please identify the agency, office location, and contact information below: Agency: _________________________ Office/Location: _________________________ Phone: _________________________ Email: ________________________________ Guidelines for Preparing SBIR Budget Summary Complete Budget Summary Form C electronically. The offeror electronically submits to the Government a pricing proposal of estimated costs with detailed information for each cost element, consistent with the offeror's cost accounting system. This summary does not eliminate the need to fully document and justify the amounts requested in each category. Such documentation should be contained, as appropriate, in the text boxes provided on the electronic form. Firm: Same as Cover Sheet. Proposal Number: Same as Cover Sheet. Direct Labor: Enter labor categories proposed (e.g., Principal Investigator/Project Manager, Research Assistant/Laboratory Assistant, Analyst, Administrative Staff), labor rates and the hours for each labor category. Overhead Cost: Specify current rate and base. Use current rate(s) negotiated with the cognizant Federal auditing agency, if available. If no rate(s) has (have) been negotiated, a reasonable indirect cost (overhead) rate(s) may be requested for Phase I for acceptance by NASA. Show how this rate is determined. The offeror may use whatever number and types of overhead rates are in accordance with the firm's accounting system and approved by the cognizant Federal negotiating agency, if available. Multiply Direct Labor Cost by the Overhead Rate to determine the Overhead Cost. Example: A typical SBC might have an overhead rate of 30 percent. If the total direct labor costs proposed are $50,000, the computed overhead costs for this case would be .3x50,000=$15,000, if the base used is the total direct labor costs. or provide a number for total estimated overhead costs to execute the project. Note: If no labor overhead rate is proposed and the proposed direct labor includes all fringe benefits, you may enter "0" for the overhead cost line. Other Direct Costs (ODCs): - Materials and Supplies: Indicate types required and estimate costs. - Documentation Costs or Page Charges: Estimate cost of preparing and publishing project results. - Subcontracts: Include a completed budget including hours and rates and justify details. (Section 3.2.4, Part 9.) - Consultant Services: Indicate name, daily compensation, and estimated days of service. - Computer Services: Computer equipment leasing is included here. List all other direct costs that are not otherwise included in the categories described above. Explanations of all items identified as ODCs must be provided under "Explanation of ODCs." Offeror should include the basis used for estimating costs (vendor quote, catalog price, etc.) For example, if "Materials" is listed as an ODC, include a description of the materials, the quantity required and basis for the proposed cost. Note: NASA will not fund the purchase of capital equipment or supplies that are not to be delivered to the government or consumed in the production of a prototype. The cost of capital equipment should be depreciated and included in G&A if appropriate. Subtotal (4): Sum of (1) Total Direct Labor, (2) Overhead and (3) ODCs General and Administrative (G&A) Costs (5): Specify current rate and base. Use current rate negotiated with the cognizant Federal negotiating agency, if available. If no rate has been negotiated, a reasonable indirect cost (G&A) rate may be requested for acceptance by NASA. Show how this rate is determined. If a current negotiated rate is not available, NASA will negotiate a reasonable rate with the offeror. Multiply (4) subtotal (Total Direct Cost) by the G&A rate to determine G&A Cost. or provide an estimated G&A costs number for the proposal. Total Costs (6): Sum of Items (4) and (5). Note that this value will be used in verifying the minimum required work percentage for the SBC. Profit/Cost Sharing (7): See Sections 5.11 and 5.12. Profit to be added to total budget, shared costs to be subtracted from total budget, as applicable. Amount Requested (8): Sum of Items (6) and (7), not to exceed $70,000. Deliverables and Audit Information (9): Deliverables: List any additional deliverables, if applicable. Include the deliverable name, quantity (include unit of measurement, i.e., 2 models or 1.5 lbs. of material), and the proposed delivery milestone (i.e., end of contract). This section should only be completed if the offeror is proposing a deliverable in addition to the mandatory deliverables (progress report, final report and New Technology Report). Audit Agency: Complete the "Contact Information" section if your firm's accounting system has been audited by a Federal agency. Provide the agency name, the office branch or location, and the phone number and/or email. SBIR CHECK LIST For assistance in completing your proposal, use the following checklist to ensure your submission is complete. 1. The entire proposal including any supplemental material shall not exceed a total of 25 8.5 x 11 inch pages (Section 3.2.1). 2. The proposal and innovation is submitted for one subtopic only. (Section 3.1). 3. The entire proposal is submitted consistent with the requirements and in the order outlined in Section 3.2 4. The technical proposal contains all eleven parts in order. (Section 3.2.4). 5. Certifications in Form A are completed. 6. Proposed funding does not exceed $70,000. (Sections 1.4.1, 5.1.1). 7. Proposed project duration should not exceed 6 months. (Sections 1.4.1, 5.1.1). 8. Entire proposal including Forms A, B, and C submitted via the Internet. 9. Form A electronically endorsed by the SBC Official. 10. Proposals must be received no later than 5:00 p.m. EDT on Thursday, September 9, 2004 (Section 6.3). FORM A - STTR COVER SHEET 1. PROPOSAL NUMBER: 04 - 2. RESEARCH TOPIC: 3. PROPOSAL TITLE: 4. SMALL BUSINESS CONCERN (SBC) RESEARCH INSTITUTION (RI) NAME: NAME: ADDRESS: ADDRESS: CITY/STATE/ZIP: CITY/STATE/ZIP : PHONE: FAX: PHONE: FAX: EIN/TAX ID: EIN/TAX ID: DUNS + 4: CAGE CODE: 5. AMOUNT REQUESTED: $_____________________ DURATION: _________ MONTHS 6. CERTIFICATIONS: THE ABOVE SBC CERTIFIES THAT: As defined in Section 2 of the Solicitation, the offeror qualifies as a: a. SBC Yes No Number of employees: ____ b. As referenced in Section 5.13.16, PI is U.S. Citizen or Permanent Resident Yes No c. Socially and economically disadvantaged SBC Yes No d. Woman-owned SBC Yes No e. HUBZone-owned SBC Yes No As described in Section 2.8 of the Solicitation, the partnering institution qualifies as a: f. FFRDC Yes No g. Nonprofit research institute Yes No h. Nonprofit college or university Yes No As described in Section 3 of the Solicitation, the offeror meets the following requirements completely: i. Cooperative Agreement signed by the SBC and RI enclosed Yes No j. All eleven parts of the technical proposal included in part order Yes No k. Subcontracts/consultants proposed? (Other than the RI) Yes No i) If yes, limits on subcontracts/consultants met Yes No ii) If yes, copy of agreement enclosed Yes No l. Government equipment or facilities required (cannot use STTR funds)? Yes No i) If yes, signed statement enclosed in Part 8 Yes No ii) If yes, non-STTR funding source identified in Part 8? Yes No As defined in Section 3.2.4 of the Solicitation, indicate if: m. Work under this project has been submitted for funding only to the NASA STTR Yes No Program n. Funding has been received for work under this project by any other Federal Yes No grant, contract, or subcontract 7. ACN NAME: E-MAIL: 8. The SBC will perform ___% of the work and the RI will perform ___% of the work of this project. 9. I understand that providing false information is a criminal offense under Title 18 US Code, Section 1001, False Statements, as well as Title 18 US Code, Section 287, False Claims. 10. ENDORSEMENT BY SBC OFFICIAL: NAME: TITLE: PHONE: E_MAIL: SIGNATURE: DATE: NOTICE: This data shall not be disclosed outside the Government and shall not be duplicated, used, or disclosed in whole or in part for any purpose other than evaluation of this proposal, provided that a funding agreement is awarded to the offeror as a result of or in connection with the submission of this data, the Government shall have the right to duplicate, use or disclose the data to the extent provided in the funding agreement and pursuant to applicable law. This restriction does not limit the Government's right to use information contained in the data if it is obtained from another source without restriction. The data subject to this restriction are contained in pages _____ of this proposal. Guidelines for Completing STTR Cover Sheet Complete Cover Sheet Form electronically. 1. 1. Proposal Number: This number does not change. The proposal number consists of the program year (i.e. 04) and unique four-digit system-generated number. 2. Research Topic: NASA research topic number and title (Section 9). 3. Proposal Title: A brief, descriptive title, avoid words like "development of" and "study of," and do not use acronyms or trade names. 4. Small Business Concern: Full name and address of the company submitting the proposal. If a joint venture, list the company chosen to negotiate and receive contracts. If the name exceeds 40 keystrokes, please abbreviate. Research Institution: Full name and address of the research institute. Mailing Address: Address where mail is received City, State, Zip: City, 2-letter State designation (i.e. TX for Texas), 9-digit Zip code (i.e. 20705-3106) Phone, Fax: Number including area code EIN/TAX ID: Employer Identification Number/Taxpayer ID DUNS + 4: 9-digit Data Universal Number System plus a 4-digit suffix given by parent concern CAGE Code: Commercial Government and Entity Code (Issued by Central Contractor Registration (CCR) 5. Amount Requested: Proposal amount from Budget Summary. The amount requested should not exceed $100,000 (see Sections 1.4.1, 5.1.1). Duration: Proposed duration in months. The requested duration should not exceed 12 months (see Sections 1.4.1, 5.1.1). 6. Certifications: Answer Yes or No as applicable for 6a, 6b, 6c, 6d, 6e, 6f and 6g (see Section 2 for definitions). 6b. Offerors are responsible for ensuring that all employees who will work on this contract are eligible under export control and International Traffic in Arms (ITAR) regulations. Any employee who is not a U.S. citizen or a permanent resident may be restricted from working on this contract if the technology is restricted under export control and ITAR regulations. Violations of these regulations can result in criminal or civil penalties. 6i. Cooperative Agreement signed by the SBC and RI: By answering yes, the SBC/RI certifies that a Cooperative Agreement signed by both SBC and RI is enclosed in the proposal (see Sections 3.2.2, 3.2.5). 6j. All eleven parts of the technical proposal included: By answering yes, the SBC/RI certifies that the proposal consists of all eleven parts numbered and in the prescribed order (see Section 3.2.4). 6k. Subcontracts/consultants proposed? By answering yes, the SBC/RI certifies that subcontracts/consultants have been proposed and arrangements have been made to perform on the contract, if awarded. i) If yes, limits on subcontracting and consultants met: By answering yes, the SBC/RI certifies that business arrangements with other entities or individuals do not exceed 30 percent of the work (amount requested including cost sharing if any, less fee, if any) and is in compliance with Section 3.2.4, Part 9. ii) If yes, copy of agreement enclosed: By answering yes, the SBC/RI certifies that a copy of any subcontracting or consulting agreements described in Section 3.2.4 Part 9 is included as required. Copy of the agreement may be submitted in a reduced size format. 6l. Government furnished equipment required? By answering yes, the SBC/RI certifies that unique, one-of-a-kind Government Furnished Facilities or Government Furnished Equipment are required to perform the proposed activities (see Sections 3.2.4 Part 8, 3.3.4 Part 8, 5.15). By answering no, the SBC/RI certifies that no such Government Furnished Facilities or Government Furnished Equipment are required to perform the proposed activities. i) If yes, signed statement enclosed in Part 8: By answering yes, the SBC/RI certifies that a statement describing the uniqueness of the facility and its availability to the offeror at specified times, signed by the appropriate Government official, is enclosed in the proposal. ii) If yes, non-SBIR funding source identified in Part 8. By answering yes, the SBC certifies that it has confirmed, non-SBIR funding source for whatever charges may be incurred when utilizing the required Government facility. 6n. SBCs should choose "No" to confirm that work under this project has not been funded under any other Federal grant, contract or subcontract. 7. ACN Name and E-mail: Name and e-mail address of Authorized Contract Negotiator. 8. Proposals submitted in response to this Solicitation must be jointly developed by the SBC and the RI, and at least 40 percent of the work (amount requested including cost sharing, less fee, if any) is to be performed by the SBC as the prime contractor, and at least 30 percent of the work is to be performed by the RI (see Section 3.2.4). 9. Endorsement of this form certifies understanding of this statement. 10. Endorsements: An official of the firm must electronically endorse the proposal cover. FORM B - STTR PROPOSAL SUMMARY 1. Proposal Number 04 - __ __ __ __ 2. Research Topic: 3. Proposal Title: 4. Small Business Concern 5. Research Institution Name: Name: Address: Address: City/State: City/State: Zip: Zip: Phone: Phone: 6. Principal Investigator/Project Manager: 7. Technical Abstract (Limit 200 words or 2,000 characters, whichever is less): 8. Potential NASA Application(s): (Limit 100 words or 1,500 characters, whichever is less) 9. Potential Non-NASA Commercial Application(s): (Limit 100 words or 1,500 characters, whichever is less) Guidelines for Completing STTR Proposal Summary Complete Form B electronically. 1. Proposal Number: Same as Cover Sheet 2. Research Topic: Same as Cover Sheet. 3. Proposal Title: Same as Cover Sheet. 4. Small Business Concern: Same as Cover Sheet. 5. Research Institution: Same as Cover Sheet. 6. Principal Investigator/Project Manager: Enter the full name of the PI/PM and include all required contact information. 7. Technical Abstract: Summary of the offeror's proposed project in 200 words or less. The abstract must not contain proprietary information and must describe the NASA need addressed by the proposed R/R&D effort. 8. Potential NASA Application(s): Summary of the direct or indirect NASA applications of the project, assuming the goals of the proposed R/R&D are achieved. Limit your response to 100 words or 1,500 characters, whichever is less. 9. Potential Non-NASA Commercial Application(s): Summary of the direct or indirect NASA applications of the project, assuming the goals of the proposed R/R&D are achieved. Limit your response to 100 words or 1,500 characters, whichever is less. FORM C - STTR BUDGET SUMMARY PROPOSAL NUMBER: SMALL BUSINESS CONCERN: DIRECT LABOR: Category Hours Rate Cost $ TOTAL DIRECT LABOR: (1) $ OVERHEAD COST ______% OF TOTAL DIRECT LABOR OR $ ______ OVERHEAD COST: (2) $ OTHER DIRECT COSTS (ODCs) including RI budget: Category Cost $ TOTAL OTHER DIRECT COSTS: (3) $ Explanation of ODCs ______________________________________ _____________________