SBIR/STTR 2006-1 National Aeronautics and Space Administration SMALL BUSINESS INNOVATION RESEARCH (SBIR) & SMALL BUSINESS TECHNOLOGY TRANSFER (STTR) Program Solicitations Opening Date: July 7, 2006 Closing Date: September 7, 2006 The electronic version of this document is 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......................................................................................................................................... 2 1.4 Three-Phase Program.......................................................................................................................................... 2 1.5 Eligibility Requirements ..................................................................................................................................... 3 1.6 General Information............................................................................................................................................ 4 2. Definitions............................................................................................................................................................... 5 2.1 Allocation of Rights Agreement ......................................................................................................................... 5 2.2 Commercialization.............................................................................................................................................. 5 2.3 Cooperative Research or Research and Development (R/R&D) Agreement...................................................... 5 2.4 Cooperative Research or Research and Development (R/R&D) ........................................................................ 5 2.5 Essentially Equivalent Work............................................................................................................................... 5 2.6 Funding Agreement ............................................................................................................................................ 5 2.7 HUBZone-Owned SBC ...................................................................................................................................... 5 2.8 Innovation ........................................................................................................................................................... 6 2.9 Intellectual Property (IP)..................................................................................................................................... 6 2.10 Principal Investigator (PI)................................................................................................................................. 6 2.11 Research Institution (RI)................................................................................................................................... 6 2.12 Research or Research and Development (R/R&D)........................................................................................... 6 2.13 SBIR/STTR Technical Data.............................................................................................................................. 6 2.14 SBIR/STTR Technical Data Rights .................................................................................................................. 6 2.15 Small Business Concern (SBC) ....................................................................................................................... 7 2.16 Socially and Economically Disadvantaged Individual...................................................................................... 7 2.17 Socially and Economically Disadvantaged Small Business Concern ............................................................... 7 2.18 Subcontract ....................................................................................................................................................... 7 2.19 United States ..................................................................................................................................................... 7 2.20 Women-Owned Small Business........................................................................................................................ 7 3. Proposal Preparation Instructions and Requirements ....................................................................................... 8 3.1 Fundamental Considerations............................................................................................................................... 8 3.2 Phase 1 Proposal Requirements .......................................................................................................................... 8 3.3 Phase 2 Proposal Requirements ........................................................................................................................ 13 3.4 SBA Data Collection Requirement ................................................................................................................... 18 4. Method of Selection and Evaluation Criteria.................................................................................................... 19 4.1 Phase 1 Proposals.............................................................................................................................................. 19 4.2 Phase 2 Proposals.............................................................................................................................................. 20 4.3 Debriefing of Unsuccessful Offerors ................................................................................................................ 22 5. Considerations...................................................................................................................................................... 23 5.1 Awards.............................................................................................................................................................. 23 5.2 Phase 1 Reporting ............................................................................................................................................. 23 5.3 Payment Schedule for Phase 1.......................................................................................................................... 24 5.4 Release of Proposal Information....................................................................................................................... 24 5.5 Access to Proprietary Data by Non-NASA Personnel ...................................................................................... 24 5.6 Final Disposition of Proposals .......................................................................................................................... 24 5.7 Proprietary Information in the Proposal Submission ........................................................................................ 24 i 5.8 Limited Rights Information and Data................................................................................................................25 5.9 Cost Sharing ......................................................................................................................................................26 5.10 Profit or Fee.....................................................................................................................................................26 5.11 Joint Ventures and Limited Partnerships.........................................................................................................26 5.12 Similar Awards and Prior Work......................................................................................................................26 5.13 Contractor Commitments ................................................................................................................................26 5.14 Additional Information....................................................................................................................................27 5.15 Property and Facilities.....................................................................................................................................28 5.16 False Statements..............................................................................................................................................28 6. Submission of Proposals ......................................................................................................................................29 6.1 Submission Requirements .................................................................................................................................29 6.2 Submission Process ...........................................................................................................................................29 6.3 Deadline for Phase 1 Proposal Receipt..............................................................................................................30 6.4 Acknowledgment of Proposal Receipt ..............................................................................................................30