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					                                PROGRAM SOLICITATION

                                          Number 97.2

                                        Small Business
                                          Innovation
                                       Research Program




                                          IMPORTANT

          The DoD updates its SBIR mailing list annually. To remain on the mailing list
          or to be added to the list, send in the Mailing List form (Reference E) found at
          the back of this solicitation or complete the electronic form at
          http://www.teltech.com/sbir/form.html. Failure to send the form annually will
          result in removal of your name from the mailing list.

          If you have general questions about the Defense Department's SBIR program,
          please call the SBIR/STTR Help Desk at (800) 382-4634, or see the DoD
          SBIR/STTR Home Page, at http://www.acq.osd.mil/sadbu/sbir.




U.S. Department of Defense
SBIR Program Office
Washington, DC 20301


                                                              Opening Date: Thurs., May 1, 1997
                                                              Closing Date: Wed., July 16, 1997

                                                              Deadline for receipt of proposals at
                                                              the DoD Component is 2:00 p.m.
                                                              local time.
                      IMPORTANT NEW FEATURES OF THE DEFENSE
                           DEPARTMENT'S SBIR PROGRAM
         This solicitation reflects a number of important changes in the Defense Department’s SBIR program that
have been implemented over the past two years. The purpose of these changes is (1) to make the program more user-
friendly to small firms and (2) to increase commercialization of SBIR research in military and/or private sector
markets. The main changes are as follows:

1.      The Department’s SBIR/STTR Help Desk can address your questions about this solicitation, the proposal
        preparation process, contract negotiation, payment vouchers, government accounting requirements,
        intellectual property protection, the Fast Track, obtaining outside financing, and other program-related
        areas. You may contact the Help Desk by:

        Phone:            800-382-4634 (8AM to 8PM EST)
        Fax:              800-462-4128
        Email:            SBIRHELP@us.teltech.com

2.      The SBIR/STTR Home Page (http://www.acq.osd.mil/sadbu/sbir) offers electronic access to answers to
        commonly-asked questions, sample SBIR proposals, model SBIR contracts, abstracts of ongoing SBIR
        projects, early releases of the SBIR solicitation, the latest updates on the SBIR program, information on the
        Small Business Technology Transfer (STTR) program, hyperlinks to sources of business assistance and
        financing, and other useful information.

3.      The Department now gives its highest priority for Phase II award to SBIR projects that qualify for
        the “Fast Track” by attracting independent third-party investors. These Fast Track projects also
        receive interim funding between Phases I and II as well as expedited processing. See Section 4.5 of this
        solicitation for complete information on how to participate in the Fast Track. Thus far, almost all projects
        qualifying for the Fast Track have received interim funding and a very high percentage have been selected
        for Phase II award. Approximately 10 percent of the Phase II awards resulting from the 1996 SBIR
        solicitations will be Fast Track projects.

4.      You may contact the DoD authors of solicitation topics to ask questions about the topics before you
        submit a proposal. Procedures for doing so are discussed in Section 1.5(c) of this solicitation. Please note
        that, to ensure competitive fairness, you may talk by telephone with a topic author to ask such questions
        only during the six weeks preceding the date on which the solicitation officially opens. At other times, you
        may submit written questions, and all such questions and the responses will be posted electronically on the
        Internet for general viewing.

5.      All companies submitting a Phase I or Phase II proposal must complete a Company
        Commercialization Report (Appendix E) -- a simplified listing of the commercialization status of the
        company’s prior Phase II efforts (see Section 3.4(n)).

6.      An SBIR proposal that meets the goals of a solicitation topic but does not use the exact approach
        specified in the topic will still be considered. For further information on this new Department policy, see
        Section 4.1 of this solicitation.
                                                                      TABLE OF CONTENTS

                                                                                                                                                                                       Page

1.0    PROGRAM DESCRIPTION ......................................................................................................................................... 1-3

1.1    Introduction ...................................................................................................................................................................... 1
1.2    Three Phase Program ........................................................................................................................................................ 1
1.3    Proposer Eligibility and Limitations ................................................................................................................................. 1
1.4    Conflicts of Interest........................................................................................................................................................... 2
1.5    Questions about the SBIR Process and Solicitation Topics .............................................................................................. 2
1.6    Requests for Copies of DoD SBIR Solicitation ................................................................................................................ 3
1.7    SBIR Conferences and Outreach ...................................................................................................................................... 3

2.0    DEFINITIONS ............................................................................................................................................................... 3-4

2.1    Research or Research and Development ........................................................................................................................... 3
2.2    Small Business .................................................................................................................................................................. 3
2.3    Socially and Economically Disadvantaged Small Business .............................................................................................. 3
2.4    Women-Owned Business .................................................................................................................................................. 4
2.5    Funding Agreement........................................................................................................................................................... 4
2.6    Subcontract ....................................................................................................................................................................... 4
2.7    Commercialization ............................................................................................................................................................ 4

3.0    PROPOSAL PREPARATION INSTRUCTIONS AND REQUIREMENTS ................................................................ 4-6

3.1    Proposal Requirements ..................................................................................................................................................... 4
3.2    Proprietary Information..................................................................................................................................................... 4
3.3    Limitations on Length of Proposal .................................................................................................................................... 4
3.4    Phase I Proposal Format ................................................................................................................................................... 5
3.5    Bindings ............................................................................................................................................................................ 6
3.6    Phase II Proposal Format .................................................................................................................................................. 6

4.0    METHOD OF SELECTION AND EVALUATION CRITERIA ................................................................................. 7-10

4.1    Introduction ...................................................................................................................................................................... 7
4.2    Evaluation Criteria - Phase I ............................................................................................................................................. 7
4.3    Evaluation Criteria - Phase II ............................................................................................................................................ 7
4.4    Assessing Commercial Potential of Proposals .................................................................................................................. 8
4.5    SBIR Fast Track ................................................................................................................................................................ 8

5.0    CONTRACTUAL CONSIDERATION ..................................................................................................................... 10-13

5.1    Awards (Phase I) ............................................................................................................................................................. 10
5.2    Awards (Phase II) ........................................................................................................................................................... 10
5.3    Phase I Report ................................................................................................................................................................. 10
5.4    Other Reports .................................................................................................................................................................. 11
5.5    Payment Schedule ........................................................................................................................................................... 11
5.6    Markings of Proprietary or Classified Proposal Information .......................................................................................... 11
5.7    Copyrights....................................................................................................................................................................... 12
5.8    Patents ............................................................................................................................................................................. 12
5.9    Technical Data Rights ..................................................................................................................................................... 12
5.10   Cost Sharing.................................................................................................................................................................... 12
5.11   Joint Ventures or Limited Partnerships ........................................................................................................................... 12
5.12   Research and Analytical Work ........................................................................................................................................ 12
5.13   Contractor Commitments ................................................................................................................................................ 12




                                                                                          i
                                                                                                                                                                              Page
5.14   Additional Information ................................................................................................................................................... 13

6.0    SUBMISSION OF PROPOSALS .............................................................................................................................. 14-15

6.1    Address ........................................................................................................................................................................... 14
6.2    Deadline of Proposals ..................................................................................................................................................... 14
6.3    Notification of Proposal Receipt ..................................................................................................................................... 14
6.4    Information on Proposal Status ....................................................................................................................................... 14
6.5    Debriefing of Unsuccessful Offerors............................................................................................................................... 14
6.6    Correspondence Relating to Proposals ........................................................................................................................... 15

7.0    SCIENTIFIC AND TECHNICAL INFORMATION ASSISTANCE ........................................................................ 15-16

7.1    DoD Technical Information Services Available.............................................................................................................. 15
7.2    Other Technical Information Assistance Sources ........................................................................................................... 15
7.3    DoD Counseling Assistance Available ........................................................................................................................... 16
7.4    State Assistance Available .............................................................................................................................................. 16

8.0    TECHNICAL TOPICS ................................................................................................................................................... 17

       DEPARTMENT OF THE ARMY
       Proposal Submission ...........................................................................................................................................ARMY 1
       Army SBIR Points of Contact .............................................................................................................................ARMY 4
       Proposal Check List ............................................................................................................................................ARMY 5
       Subject/Word Index ............................................................................................................................................ARMY 6
       Topic Index ........................................................................................................................................................ARMY 21
       Topic Descriptions .............................................................................................................................................ARMY 27

       DEPARTMENT OF THE NAVY
       Proposal Submission ............................................................................................................................................ NAVY 1
       Navy Topic Titles................................................................................................................................................. NAVY 4                Navy SBIR

       DEFENSE ADVANCED RESEARCH PROJECTS AGENCY
       Submission of Proposals ................................................................................................................................... DARPA                   1
       Checklist ........................................................................................................................................................... DARPA         2    Index of D
       Subject/Word Index .......................................................................................................................................... DARPA                 5
       Topic Descriptions ............................................................................................................................................ DARPA               9

       U.S. SPECIAL OPERATIONS COMMAND
       Proposal Submission ........................................................................................................................................ SOCOM                  1
       SOCOM Topic Index ...................................................................................................................................... SOCOM                      2
       Subject/Word Index ......................................................................................................................................... SOCOM                  3
       Topic Descriptions ........................................................................................................................................... SOCOM                4

       OFFICE OF THE SECRETARY OF DEFENSE
       Program Description .............................................................................................................................................. OSD 1
       OSD Topic Descriptions ........................................................................................................................................ OSD 3




                                                                                         ii
                                                                                                                                                                  Page

9.0   SUBMISSION FORMS AND CERTIFICATIONS

      Appendix A - Proposal Cover Sheet ..................................................................................................................... APPX A
      Appendix B - Project Summary .............................................................................................................................APPX B
      Appendix C - Cost Proposal ..................................................................................................................................APPX C
      Appendix D - Fast Track Application Form.......................................................................................................... APPX D
      Reference A - Notification of Proposal Receipt Request ......................................................................................... REF 1
      Reference B - DTIC Information Request................................................................................................................ REF 3
      Reference C - Directory of Small Business Specialists ............................................................................................ REF 5
      Reference D - SF 298 Report Documentation Page ................................................................................................. REF 9
      Reference E - DoD SBIR Mailing List ................................................................................................................... REF 11




                                                                               iii
iv
                           DoD PROGRAM SOLICITATION FOR
                        SMALL BUSINESS INNOVATION RESEARCH
                                              1.0 PROGRAM DESCRIPTION


1.1 Introduction                                                      proving the scientific, technical, and commercial feasibility
                                                                      of the proposed effort, the successful completion of which
      The Army, Navy, Defense Advanced Research                       is a prerequisite for further DoD support in Phase II. The
Projects Agency (DARPA), Special Operations Command                   measure of Phase I success includes evaluations of the
(SOCOM), and Office of the Secretary of Defense (OSD),                extent to which Phase II results would have the potential to
hereafter referred to as DoD Components, invite small                 yield a product or process of continuing importance to DoD
business firms to submit proposals under this solicitation            and the private sector. Proposers are encouraged to
for the Small Business Innovation Research (SBIR)                     consider whether the research and development they are
program. Firms with the capability to conduct research and            proposing to DoD Components also has private sector
development (R&D) in any of the defense-related topic                 potential, either for the proposed application or as a base
areas described in Section 8.0, and to commercialize the              for other applications.
results of that R&D, are encouraged to participate.                         Subsequent Phase II awards will be made to firms on
      Objectives of the DoD SBIR Program include                      the basis of results of their Phase I effort and the scientific,
stimulating technological innovation, strengthening the role          technical, and commercial merit of the Phase II proposal.
of small business in meeting DoD research and                         Phase II awards are typically up to $750,000 in size over a
development needs, fostering and encouraging participation            period generally not to exceed 24 months (subject to
by minority and disadvantaged persons in technological                negotiation). Phase II is the principal research or research
innovation, and increasing the commercial application of              and development effort and is expected to produce a well-
DoD-supported research or research and development                    defined deliverable prototype. A more comprehensive
results.                                                              proposal will be required for Phase II.
      The Federal SBIR Program is mandated by Public                        Under Phase III, the small business is expected to
Laws PL 97-219, PL 99-443, and PL 102-564. The basic                  obtain funding from the private sector and/or non-SBIR
design of the DoD SBIR Program is in accordance with the              Government sources to develop the prototype into a viable
Small Business Administration (SBA) SBIR Policy                       product or non-R&D service for sale in military and/or
Directive, January 1993. The DoD Program presented in                 private sector markets.
this solicitation strives to encourage scientific and technical             This solicitation is for Phase I proposals only. Only
innovation in areas specifically identified by DoD                    proposals submitted in response to this solicitation will be
Components. The guidelines presented in this solicitation             considered for Phase I award. Proposers who were not
incorporate and exploit the flexibility of the SBA Policy             awarded a contract in response to a prior SBIR solicitation
Directive to encourage proposals based on scientific and              are free to update or modify and re-submit the same or
technical approaches most likely to yield results important           modified proposal if it is responsive to any of the topics
to DoD and the private sector.                                        listed in Section 8.0.
                                                                            For Phase II, no separate solicitation will be issued
1.2 Three Phase Program                                               and no unsolicited proposals will be accepted. Only those
                                                                      firms that were awarded Phase I contracts will be
     This program solicitation is issued pursuant to the              considered (Section 4.3 and 5.2).
Small Business Innovation Development Act of 1982, PL                       DoD is not obligated to make any awards under either
97-219, PL 99-443, and PL 102-564. Phase I is to                      Phase I, II, or III, and all awards are subject to the
determine, insofar as possible, the scientific, technical, and        availability of funds. DoD is not responsible for any
commercial merit and feasibility of ideas submitted under             monies expended by the proposer before award of any
the SBIR Program. Phase I awards are typically up to                  contract.
$100,000 in size over a period not to exceed six months.
Proposals should concentrate on that research or research             1.3 Proposer Eligibility and Limitations
and development which will significantly contribute to
     Each proposer must qualify as a small business for               must be performed by the proposing firm. The percent of
research or research and development purposes as defined              work is usually measured by dollars of labor effort,
in Section 2.0 and certify to this on the Cover Sheet                 although proposers planning to subcontract a significant
(Appendix A) of the proposal. In addition, a minimum of               fraction of their work should verify how it will be measured
two-thirds of the research and/or analytical work in Phase I          with their DoD contracting officer during contract
must be carried out by the proposing firm. For Phase II, a            negotiations. For both Phase I and II, the primary
minimum of one-half of the research and/or analytical work            employment of the principal investigator must be with the


                                                                  1
small business firm at the time of the award and during the             Fax: 800-462-4128
conduct of the proposed effort. Primary employment                      Email:   SBIRHELP@us.teltech.com
means that more than one-half of the principal
investigator's time is spent with the small business.                    The DoD SBIR/STTR Home Page offers electronic
Primary employment with a small business concern                     access to answers to commonly asked questions, sample
precludes full-time employment at another organization.              SBIR proposals, model SBIR contracts, abstracts of
Deviations from the requirements in this paragraph must be           ongoing SBIR projects, early releases of the SBIR
approved in writing by the contracting officer (during               solicitation, the latest updates on the SBIR program,
contract negotiations).                                              hyperlinks to sources of business assistance and financing,
      For both Phase I and Phase II, all research or research        and other useful information.
and development work must be performed by the small
business concern in the United States. "United States"               DOD SBIR/STTR
means the fifty states, the Territories and possessions of the       HOME PAGE: http://www.acq.osd.mil/sadbu/sbir
United States, the Commonwealth of Puerto Rico, the
Commonwealth of the Northern Mariana Islands, the Trust                  b. General Questions About a DoD Component.
Territory of the Pacific Islands, and the District of                General questions pertaining to a particular DoD
Columbia. Work subcontracted by the small business to                Component (Army, Navy, Air Force, etc) should be
others may be performed outside the United States if, in the         submitted in accordance with the instructions given at the
view of DoD evaluators of the company's proposal, such               beginning of that Component's topics, in Section 8.0 of this
work will result in the transfer of foreign technology,              solicitation.
knowledge, or resources to the United States, or otherwise
serve the SBIR program's goal of commercialization of new                c. Technical questions about solicitation topics.
technology in U.S. military and/or private sector markets.           Approximately six weeks before this solicitation officially
      Joint ventures and limited partnerships are permitted,         opens on May 1, 1997, the solicitation topics are released
provided that the entity created qualifies as a small business       electronically on the DoD SBIR/STTR Home Page
in accordance with the Small Business Act, 15 USC 631,               (http://www.acq.osd.mil/sadbu/sbir), along with the
and the definition included in Section 2.2.                          names of the topic authors and their phone numbers. This
                                                                     early release gives proposers an opportunity to ask
1.4 Conflicts of Interest                                            technical questions about specific solicitation topics by
                                                                     telephone before the solicitation opens.
     Awards made to firms owned by or employing current                  Once a solicitation opens, telephone questions will no
or previous Federal Government employees could create                longer be accepted, but proposers may ask written
conflicts of interest for those employees in violation of 18         questions through the SBIR Interactive Topic Information
USC and 10 USC 2397. Such proposers should contact the               System (SITIS), in which the questioner and respondent
cognizant Ethics Counselor from the employees'                       remain anonymous and all questions and answers are
Government agency for further guidance.                              posted electronically for general viewing. Proposers may
                                                                     submit written questions to SITIS via the DoD SBIR/STTR
1.5 Questions about the SBIR Process and Solicitation                Home Page -- see the shortcut menu at the top of the Page.
Topics                                                               Alternatively, proposers may submit written questions to
                                                                     SITIS via e-mail, fax, paper mail, or telephone as follows:
   a. General Questions/Information.            The DoD                  Defense Technical Information Center
SBIR/STTR Help Desk is prepared to address general                       MATRIS Office, DTIC-AM
questions about this solicitation, the proposal preparation              ATTN: SBIR Coordinator
process, contract negotiation, payment vouchers,                         53355 Cole Road
Government accounting requirements, intellectual property                San Diego, CA 92152-7213
protection, the Fast Track, financing strategies, and other              Phone:     (619) 553-7006
program-related areas.                                                   Fax: (619) 553-7053
The Help Desk may be contacted by:                                       Email:     sbir@dticam.dtic.mil

   Phone:      800-382-4634 (8AM to 8PM EST)
   The SITIS service for this solicitation opens on or
around March 20, 1997 and closes to new questions on                     To remain on the DoD Mailing list for the SBIR and
June 16, 1997. SITIS will post all questions and answers             STTR solicitations, send in the Mailing List form
on the Internet (see shortcut bar at the top of the DoD SBIR         (Reference E).You may also order additional copies of this
Home Page), from March 20, 1997 through July 16, 1997.               solicitation from:
(Answers will also be emailed or faxed directly to the                        DoD SBIR Support Services
inquirer if the inquirer provides an email address or fax                     2850 Metro Drive, Suite 600
number.) Answers are generally posted within seven                            Minneapolis, MN 55425-1566
working days of question submission.                                          (800) 382-4634

1.6 Requests for Copies of DoD SBIR Solicitation

                                                                 2
   The solicitations can also be accessed via Internet                  The DoD holds three National SBIR Conferences a year
through the DoD SBIR/STTR Home Page at                               and participates in many state-organized conferences for
http://www.acq.osd.mil/sadbu/sbir.                                   small business. For information on these events, see our
                                                                     Home Page (http://www.acq.osd.mil/sadbu/sbir). We
1.7 SBIR Conferences and Outreach                                    have a special outreach effort to socially and economically
                                                                     and disadvantaged firms.



                                                      2.0 DEFINITIONS

      The following definitions apply for the purposes of                c. Has, including its affiliates, a number of employees
this solicitation:                                                   not exceeding 500, and meets the other regulatory
                                                                     requirements found in 13 CFR Part 121. Business
2.1 Research or Research and Development                             concerns, other than investment companies licensed, or
                                                                     state development companies qualifying under the Small
    Basic Research - Scientific study and experimentation            Business Investment Act of 1958, 15 USC 661, et seq., are
to provide fundamental knowledge required for the solution           affiliates of one another when either directly or indirectly
of problems.                                                         (1) one concern controls or has the power to control the
    Exploratory Development - A study, investigation or              other; or (2) a third party or parties controls or has the
minor development effort directed toward specific problem            power to control both. Control can be exercised through
areas with a view toward developing and evaluating the               common ownership, common management, and contractual
feasibility and practicability of proposed solutions.                relationships. The term "affiliates" is defined in greater
    Advanced Development - Proof of design efforts                   detail in 13 CFR Sec. 121.103. The term "number of
directed toward projects that have moved into the                    employees" is defined in 13 CFR Sec. 121.106. Business
development of hardware for test.                                    concerns include, but are not limited to, any individual,
    Engineering Development - Full-scale engineering                 partnership, corporation, joint venture, association or
development projects for DoD use but which have not yet              cooperative.
received approval for production.

2.2 Small Business                                                   2.3 Socially and Economically Disadvantaged Small
                                                                     Business
     A small business concern is one that, at the time of
award of a Phase I or Phase II contract:                                  A small business that is at the time of award of a
                                                                     Phase I or Phase II contract:
    a. Is independently owned and operated and organized
for profit, is not dominant in the field of operation in which          a. At least 51% owned by an Indian tribe or a native
it is proposing, and has its principal place of business             Hawaiian organization, or one or more socially and
located in the United States;                                        economically disadvantaged individuals, and

    b. Is at least 51% owned, or in the case of a publicly              b. Whose management and daily business operations
owned business, at least 51% of its voting stock is owned            are controlled by one or more socially and economically
by United States citizens or lawfully admitted permanent             disadvantaged individuals.
resident aliens;

     A socially and economically disadvantaged individual            means being actively involved         in   the   day-to-day
is defined as a member of any of the following groups:               management of the business.
Black Americans, Hispanic Americans, Native Americans,
Asian-Pacific Americans, Subcontinent-Asian Americans,               2.5 Funding Agreement
or other groups designated by SBA to be socially and
economically disadvantaged.                                               Any contract, grant, or cooperative agreement entered
                                                                     into between any Federal Agency and any small business
2.4 Women-Owned Small Business

     A women-owned small business is one that is at least
51% 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



                                                                 3
concern for the performance of experimental,                          supplies or services required solely for the performance of
developmental, or research work funded in whole or in part            the original contract. This includes consultants.
by the federal Government. Only the contract method will
be used by DoD components for all SBIR awards.                        2.7 Commercialization

2.6 Subcontract                                                            The process of developing a product or non-R&D
                                                                      service for sale (whether by the originating party or by
     A subcontract is any agreement, other than one                   others), in Government and/or private sector markets.
involving an employer-employee relationship, entered into
by a Federal Government contract awardee calling for
                3.0 PROPOSAL PREPARATION INSTRUCTIONS AND REQUIREMENTS

3.1 Proposal Requirements                                             •   Use the free technical information services from DTIC
                                                                          and other information assistance organizations (Section
      A proposal to any DoD Component under the SBIR                      7.1 - 7.4).
Program is to provide sufficient information to persuade              •   Mark proprietary information as instructed in Sec. 5.5.
the DoD Component that the proposed work represents an                •   Limit your proposal to 25 pages (excluding Company
innovative approach to the investigation of an important                  Commercialization Report).
scientific or engineering problem and is worthy of support            •   Use a type size no smaller than 12 pitch or 11 point.
under the stated criteria.                                            •   Do not include proprietary or classified information in
      The quality of the scientific or technical content of the           the project summary (Appendix B).
proposal will be the principal basis upon which proposals             •   Include a copy of Appendix A, Appendix B, and
will be evaluated. The proposed research or research and                  Appendix E as part of the original of each proposal.
development must be responsive to the chosen topic,                       (Additional copies of all Appendices can be
although need not use the exact approach specified in the                 downloaded                                          from
topic (see Section 4.1). Any small business contemplating                 http://www.acq.osd.mil/sadbu/sbir).
a bid for work on any specific topic should determine that            •   Do not use a proportionally spaced font on Appendix A
(a) the technical approach has a reasonable chance of                     and Appendix B.
meeting the topic objective, (b) this approach is innovative,
not routine, and (c) the firm has the capability to implement         3.2 Proprietary Information
the technical approach, i.e. has or can obtain people and
equipment suitable to the task.                                            If information is provided which constitutes a trade
      Those responding to this solicitation should note the           secret, proprietary, commercial or financial information,
proposal preparation tips listed below:                               confidential personal information, or data affecting the
                                                                      national security, it will be treated in confidence to the
•   Read and follow all instructions contained in this                extent permitted by law, provided it is clearly marked in
    solicitation, including the instructions in Section 8.0 of        accordance with Section 5.5.
    the DoD component to which you are applying.
                                                                      3.3 Limitations on Length of Proposal

      This solicitation is designed to reduce the investment          Report (Appendix E)) will not be considered for review or
of time and cost to small firms in preparing a formal                 award.
proposal. Those who wish to respond must submit a direct,
concise, and informative research or research and                     3.4 Phase I Proposal Format
development proposal of no more than 25 pages, excluding
Company Commercialization Report (Appendix E), (no                         All pages shall be consecutively numbered and the
type smaller than 11 point or 12 pitch on standard 8_" X              ORIGINAL of each proposal must contain a completed
11" paper with one (1) inch margins, and a maximum of 6               copy of Appendix A, Appendix B and Appendix E.
lines per inch), including Proposal Cover Sheet (Appendix
A), Project Summary (Appendix B), Cost Proposal                          a. Cover Sheet. Complete and sign Appendix A,
(Appendix C), and any enclosures or attachments.                      photocopy the completed form, and use a copy as Page 1 of
Promotional and non-project related discussion is                     each additional copy of your proposal.
discouraged. Cover all items listed below in Section 3.4 in
the order given. The space allocated to each will depend                 b. Project Summary.          Complete Appendix B,
on the problem chosen and the principal investigator's                photocopy the completed form, and use a copy as Page 2 of
approach. In the interest of equity, proposals in excess of           each additional copy of your proposal. The technical
the 25-page limitation (including attachments, appendices,            abstract should include a brief description of the project
or references, but excluding Company Commercialization                objectives and description of the effort. Anticipated
                                                                      benefits and commercial applications of the proposed


                                                                  4
research or research and development should also be                   (1) State the anticipated results of the proposed approach if
summarized in the space provided. The Project Summaries                    the project is successful.
of proposals selected for award will be publicly released on          (2) Discuss the significance of the Phase I effort in
the Internet and, therefore, should not contain proprietary                providing a foundation for Phase II research or
or classified information.                                                 research and development effort.

   c. Identification and Significance of the Problem or                  h. Commercialization Strategy.             Describe, in
Opportunity. Define the specific technical problem or                 approximately one page, your company's strategy for
opportunity addressed and its importance. (Begin on Page              converting your proposed SBIR research into a product or
3 of your proposal.)                                                  non-R&D service with widespread commercial use --
                                                                      including private sector and/or military markets.
    d. Phase I Technical Objectives. Enumerate the
specific objectives of the Phase I work, including the                    i. Key Personnel. Identify key personnel who will
questions it will try to answer to determine the feasibility of       be involved in the Phase I effort including information on
the proposed approach.                                                directly related education and experience. A concise
                                                                      resume of the principal investigator, including a list of
   e. Phase I Work Plan. Provide an explicit, detailed                relevant publications (if any), must be included.
description of the Phase I approach. The plan should
indicate what is planned, how and where the work will be                  j. Facilities/Equipment.          Describe     available
carried out, a schedule of major events, and the final                instrumentation and physical facilities necessary to carry
product to be delivered. Phase I effort should attempt to             out the Phase I effort. Items of equipment to be purchased
determine the technical feasibility of the proposed concept.          (as detailed in Appendix C) shall be justified under this
The methods planned to achieve each objective or task                 section. Also state whether or not the facilities where the
should be discussed explicitly and in detail. This section            proposed work will be performed meet environmental laws
should be a substantial portion of the total proposal.                and regulations of federal, state (name) and local
                                                                      Governments for, but not limited to, the following
    f. Related Work. Describe significant activities                  groupings:     airborne emissions, waterborne effluents,
directly related to the proposed effort, including any                external radiation levels, outdoor noise, solid and bulk
conducted by the principal investigator, the proposing firm,          waste disposal practices, and handling and storage of toxic
consultants, or others. Describe how these activities                 and hazardous materials.
interface with the proposed project and discuss any planned
coordination with outside sources. The proposal must                      k.Consultants. Involvement of university or other
persuade reviewers of the proposer's awareness of the state-          consultants in the project may be appropriate. If such
of-the-art in the specific topic.                                     involvement is intended, it should be described in detail
    Describe previous work not directly related to the                and identified in Appendix C. A minimum of two-thirds of
proposed effort but similar. Provide the following: (1)               the research and/or analytical work in Phase I, as measured
short description, (2) client for which work was performed            by dollars of labor effort, must be carried out by the
(including individual to be contacted and phone number),              proposing firm, unless otherwise approved in writing by
and (3) date of completion.                                           the contracting officer.

    g. Relationship with Future Research or Research
and Development.
    l. Prior, Current, or Pending Support of Similar                         be submitted, or from which an award is expected or
Proposals or Awards. Warning -- While it is permissible,                     has been received.
with proposal notification, to submit identical proposals or          (2) Date of proposal submission or date of award.
proposals containing a significant amount of essentially              (3) Title of proposal.
equivalent work for consideration under numerous federal              (4) Name and title of principal investigator for each
program solicitations, it is unlawful to enter into contracts                proposal submitted or award received.
or grants requiring essentially equivalent effort. If there is        (5) Title, number, and date of solicitation(s) under which
any question concerning this, it must be disclosed to the                    the proposal was submitted, will be submitted, or
solicitating agency or agencies before award.                                under which award is expected or has been received.
    If a proposal submitted in response to this solicitation is       (6) If award was received, state contract number.
substantially the same as another proposal that has been              (7) Specify the applicable topics for each SBIR proposal
funded, is now being funded, or is pending with another                      submitted or award received.
Federal Agency or DoD Component or the same DoD                       Note: If Section 3.4.1 does not apply, state in the proposal
Component, the proposer must so indicate on Appendix A                "No prior, current, or pending support for proposed work."
and provide the following information:
(1) Name and address of the Federal Agency(s) or DoD                     m. Cost Proposal. Complete the cost proposal in the
       Component to which a proposal was submitted, will              form of Appendix C for the Phase I effort only. Some
                                                                      items of Appendix C may not apply to the proposed


                                                                  5
project. If such is the case, there is no need to provide             (1) What is the first product that this technology will go
information on each and every item. What matters is that                   into?
enough information be provided to allow the DoD                       (2) Who will be your customers, and what is your estimate
Component to understand how the proposer plans to use                      of the market size?
the requested funds if the contract is awarded.                       (3) How much money will you need to bring the technology
                                                                           to market, and how will you raise that money?
(1) List all key personnel by name as well as by number of            (4) Does your company contain marketing expertise and, if
      hours dedicated to the project as direct labor.                      not, how do you intend to bring that expertise into the
(2) Special tooling and test equipment and material cost                   company?
      may be included under Phases I and II. The inclusion            (5) Who are your competitors, and what is your price
      of equipment and material will be carefully reviewed                 and/or quality advantage over your competitors?
      relative to need and appropriateness for the work
      proposed. The purchase of special tooling and test                  Copies of Appendices along with additional
      equipment must, in the opinion of the Contracting               instructions regarding Phase II proposal preparation and
      Officer, be advantageous to the Government and                  submission will be provided by the DoD Components to all
      should be related directly to the specific topic. These         Phase I winners at time of Phase I contract award.
      may include such items as innovative instrumentation
      and/or automatic test equipment. Title to property
      furnished by the Government or acquired with
      Government funds will be vested with the DoD
      Component, unless it is determined that transfer of
      title to the contractor would be more cost effective
      than recovery of the equipment by the DoD
      Component.
(3) Cost for travel funds must be justified and related to the
      needs of the project.
(4) Cost sharing is permitted for proposals under this
      solicitation; however, cost sharing is not required nor
      will it be an evaluation factor in the consideration of a
      Phase I proposal.

    n. Company Commercialization Report on Prior
SBIR Awards. All small business concerns submitting a
Phase I or Phase II proposal must complete Appendix E
(Company Commercialization Report), listing the
commercialization status of the concern's prior Phase II
efforts. (This required proposal information shall not be
counted toward proposal pages count limitations.) A
Report showing that a small business concern has received
no prior Phase II awards will not affect the concern's ability
to obtain an SBIR award.

3.5 Bindings

     Do not use special bindings or covers. Staple the
pages in the upper left hand corner of each proposal.

3.6 Phase II Proposal Format

      This solicitation is for Phase I only. A Phase II
proposal can be submitted only by a Phase I awardee and
only in response to a request from the agency; that is,
Phase II is not initiated by a solicitation.
   Each Phase II proposal must contain a Cover Sheet
(Appendix A), a Project Summary Sheet (Appendix B), and
a Company Commercialization Report (Appendix E). In
addition, each Phase II proposal must contain a two-page
commercialization strategy, addressing the following
questions:




                                                                  6
                       4.0 METHOD OF SELECTION AND EVALUATION CRITERIA

4.1 Introduction                                                     4.2 Evaluation Criteria - Phase I

      Phase I proposals will be evaluated on a competitive                 The DoD Components plan to select for award those
basis and will be considered to be binding for six (6)               proposals offering the best value to the Government and the
months from the date of closing of this solicitation unless          nation considering the following factors.
offeror states otherwise. If selection has not been made                a. The soundness and technical merit of the proposed
prior to the proposal's expiration date, offerors will be                    approach and its incremental progress toward topic
requested as to whether or not they want to extend their                     or subtopic solution
proposal for an additional period of time. Proposals                    b. The potential for commercial (Government or
meeting stated solicitation requirements will be evaluated                   private sector) application and the benefits
by scientists or engineers knowledgeable in the topic area.                  expected to accrue from this commercialization
Proposals will be evaluated first on their relevance to the             c. The adequacy of the proposed effort for the
chosen topic. A proposal that meets the goals of a                           fulfillment of requirements of the research topic
solicitation topic but does not use the exact approach                  d. The qualifications of the proposed principal/key
specified in the topic will be considered relevant.                          investigators supporting staff and consultants.
(Prospective proposers should contact the topic author as                    Qualifications include not only the ability to
described in Section 1.5 to determine whether submission                     perform the research and development but also the
of such a proposal would be useful.)                                         ability to commercialize the results.
    Proposals found to be relevant will then be evaluated
using the criteria listed in Section 4.2. Final decisions will            Where technical evaluations are essentially equal in
be made by the DoD Component based upon these criteria               merit, cost to the Government will be considered in
and consideration of other factors including possible                determining the successful offeror. Evaluators may also
duplication of other work, and program balance. A DoD                consider the effect of work that the proposer anticipates
Component may elect to fund several or none of the                   subcontracting to others for performance outside the United
proposed approaches to the same topic. In the evaluation             States, as discussed in Section 1.3.
and handling of proposals, every effort will be made to                   Technical reviewers will base their conclusions only
protect the confidentiality of the proposal and any                  on information contained in the proposal. It cannot be
evaluations.     There is no commitment by the DoD                   assumed that reviewers are acquainted with the firm or key
Components to make any awards on any topic, to make a                individuals or any referenced experiments. Relevant
specific number of awards or to be responsible for any               supporting data such as journal articles, literature,
monies expended by the proposer before award of a                    including Government publications, etc., should be
contract.                                                            contained or referenced in the proposal.
      For proposals that have been selected for contract
award, a Government Contracting Officer will draw up an              4.3 Evaluation Criteria - Phase II
appropriate contract to be signed by both parties before
work begins. Any negotiations that may be necessary will                  The Phase II proposal will be reviewed for overall
be conducted between the offeror and the Government                  merit based upon the criteria below.
Contracting Officer. It should be noted that only a duly               a. The soundness and technical merit of the proposed
appointed contracting officer has the authority to enter into                approach and its incremental progress toward topic
a contract on behalf of the U.S. Government.                                 or subtopic solution.
      Phase II proposals will be subject to a technical                b. The potential for commercial (Government or
review process similar to Phase I. Final decisions will be                   private sector) application and the benefits
made by DoD Components based upon the scientific and                         expected to accrue from this commercialization. In
technical evaluations and other factors, including a                         particular, proposals that show strong evidence of
commitment for Phase III follow-on funding, the possible                     commercial potential by qualifying for the Fast
duplication with other research or research and                              Track (Section 4.5) will receive the Department's
development, program balance, budget limitations, and the                    highest priority for Phase II award, and a
potential of a successful Phase II effort leading to a product               significantly higher percentage of such proposals
of continuing interest to DoD.                                               will be selected for Phase II award.
      Upon written request and after final award decisions             c. The adequacy of the proposed effort for the
have been announced, a debriefing will be provided to                        fulfillment of requirements of the research topic.
unsuccessful offerors on their proposals.
    d. The qualifications of the proposed principal/key                     perform the research and development but also the
         investigators supporting staff and consultants.                    ability to commercialize the results.
         Qualifications include not only the ability to



                                                                 7
      The reasonableness of the proposed costs of the effort        Phases I and II). As discussed in detail below, companies
to be performed will be examined to determine those                 which obtain such third-party matching funds and thereby
proposals that offer the best value to the Government.              qualify for the SBIR Fast Track will receive (subject to the
Where technical evaluations are essentially equal in merit,         qualifications described herein):
cost to the Government will be considered in determining
the successful offeror. Evaluators may also consider the            (1) Interim funding on the order of $40,000 (generally,
effect of work that the proposer anticipates subcontracting              $30,000 to $50,000) between Phases I and II;
to others for performance outside the United States, as
discussed in Section 1.3.                                           (2) The Department's highest priority for Phase II SBIR
      Phase II proposal evaluation may include on-site                   funding; and
evaluations of the Phase I effort by Government personnel.
                                                                    (3) An expedited Phase II selection decision and, upon
4.4 Assessing Commercial Potential of Proposals                          selection, an expedited Phase II award.

A Phase I or Phase II proposal's commercial potential can              b. How To Qualify for the SBIR Fast Track. To
be evidenced by:                                                    qualify for the SBIR Fast Track, a company must submit
   a. The     small    business     concern's    record   of        the following items, within 120 days after the effective start
        commercializing SBIR or other research,                     date of its Phase I contract, to the same address the
        particularly as reflected in its Company                    company would send its Phase II proposal (see back of
        Commercialization Report (Appendix E).                      Appendix D):
   b. The existence of second phase funding
        commitments from private sector or non-SBIR                 (1) A completed fast-track application form, found at
        funding     sources      --   especially    matching             Appendix D. (IMPORTANT: Please also send a copy
        commitments provided under the Fast Track (see                   to OSD SBIR -- see back of Appendix D.)
        Section 4.5).
   c. The existence of third phase follow-on commitments            (2) A commitment letter from an independent third-party
        for the subject of the research.                                 investor -- such as another company, a venture capital
   d. The presence of other indicators of commercial                     firm, an "angel" investor, or a non-SBIR Government
        potential of the idea, including the small business'             program -- indicating that the third-party investor will
        commercialization strategy (discussed in Sections                match both interim and Phase II SBIR funding, in
        3.4h and 3.6, above).                                            cash, contingent upon the company's receipt of interim
                                                                         and Phase II SBIR funds. For guidance on what types
   If a company chooses to submit a third phase follow-on                of relationships between a small company and outside
commitment per (3) above, the commitment should state                    investors in the company meet the conditions for the
that the small business or a third party will provide follow-            Fast Track, see "Official Fast Track Guidance" on our
on funding in Phase III, and indicate the dates on which the             Home Page (http://www.acq.osd.mil/sadbu/sbir), or
funds will be made available. The commitment should also                 contact the DoD SBIR Help Desk (tel. 800/382-4634).
contain specific technical objectives which, if achieved in
Phase II, will make the commitment exercisable by the                    The matching rates are as follows:
small business. The terms should not be contingent upon
the obtaining of a patent due to the length of time this                 (a) For companies that have 10 or fewer employees
process requires. The funding commitment should be                           and have never received a Phase II SBIR award
submitted with the Phase II proposal.                                        from DoD or any other Federal Agency, the
                                                                             minimum matching rate is 25 cents for every
4.5 SBIR Fast Track                                                          SBIR dollar. (For example, if such a company
                                                                             receives an interim SBIR award of $40,000 and a
   a. In General. On a two-year pilot basis, the DoD                         Phase II award of $750,000, it must obtain
SBIR program will implement a fast-track SBIR process for                    matching funds of $10,000 and $187,500
companies which, during their Phase I projects, attract                      respectively for the two awards.)
independent third-party investors that will match both
phase II SBIR funding and interim SBIR funding (between
     (b) For companies that have received 5 or more
          Phase II SBIR awards from the federal                          (c) For all other companies, the minimum matching
          Government (including DoD), the minimum                            rate is 50 cents for every SBIR dollar. (For
          matching rate is 1 dollar for every SBIR dollar.                   example, if such a company receives an interim
          (For example, if such a company receives an                        SBIR award of $40,000 and a Phase II award of
          interim SBIR award of $40,000 and a Phase II                       $750,000, it must obtain matching funds of
          award of $750,000, it must obtain matching                         $20,000 and $375,000 respectively for the two
          funds of $40,000 and $750,000 respectively for                     awards.)
          the two awards.)


                                                                8
          The commitment letter should indicate that the
          third-party funds will pay for work that is                     Note: It is DoD policy that the vast majority of Phase
          connected to the particular SBIR project, and                   I contracts which qualify for the Fast Track will
          should describe the general nature of that work.                receive interim SBIR funding. However, the DoD
          The work funded by the third-party investor may                 contracting office has the discretion and authority, in
          be additional research and development on the                   any particular instance, to deny interim funding to a
          project or, alternatively, it may be other activity             Phase I      contractor when doing so is in the
          related to the project (e.g., marketing) that is                Government's interest (e.g., when the project no
          outside the scope of the SBIR contract.                         longer meets a military need).

(3) A concise statement of work and cost proposal for the            (2) Receive the Department's highest priority for Phase II
     interim SBIR effort (if an interim option was not                    award.    Specifically, it is DoD policy that the
     previously negotiated on the Phase I contract). The                  percentage of fast-track Phase I projects which receive
     statement of work should be under 4 pages in length,                 Phase II awards will be significantly higher than the
     and the cost proposal should be under 1 page in                      overall percentage of Phase I projects which receive
     length.                                                              Phase II awards. (Historically, roughly one-third of
                                                                          Phase I projects at DoD receive Phase II awards.)
(4) A concise report on the status of the Phase I project, if
     required by the DoD component that is funding the               (3) Receive notification of whether it has been selected for
     project. This report should be under 4 pages in                      a Phase II award, within an average of two months --
     length.                                                              and, in all cases, no longer than ten weeks -- after the
                                                                          completion of its Phase I project.
   In addition:
                                                                     (4) If selected, receive its Phase II award within an average
(1) The company must submit its Phase II proposal no later                 of five months from the completion of its Phase I
     than 30 days prior to completion of its Phase I                       project.
     project, unless a different deadline for fast-track
     Phase II proposals is specified in the Phase II
     proposal instructions of the sponsoring DoD
     component.

(2) If the company receives an interim and/or Phase II
      SBIR award from DoD, its matching funds must
      arrive before corresponding installments of SBIR
      funds are released. For example, a company whose
      matching rate is 50 cents to the dollar must certify, to
      the satisfaction of its DoD contracting officer, that it
      has received $20,000 in cash from the third-party
      investor before the contracting officer will release
      $40,000 in interim SBIR funds. Similarly, the
      company must certify that it has received $30,000 in
      third-party funds before the contracting officer will
      release a $60,000 installment of phase II funds. (A
      simple letter stating that the third-party funds have
      arrived, with an attached copy of the bank statement,
      should generally suffice.)

   Failure to meet these conditions in their entirety and
within the time frames indicated will generally disqualify a
company from participation in the SBIR Fast Track.
Deviations from these conditions must be approved in
writing by the contracting officer. If disqualified, the
company will still be eligible to compete for a Phase II
SBIR award through the regular procedures.

   c. Benefits of Qualifying for the Fast Track.            A
company which qualifies for the Fast Track will:

(1) Receive interim SBIR funding on the order of $40,000
     (generally, $30,000 to $50,000), commencing at the
     end of Phase I.

                                                                 9
                                      5.0 CONTRACTUAL CONSIDERATIONS
                          Note: Eligibility and Limitation Requirements (Section 1.4) Will Be Enforced

5.1 Awards (Phase I)                                                  Phase II work while the total Phase II proposal is being
                                                                      evaluated and a contract is negotiated. This modification
    a. Number of Phase I Awards. The number of Phase I                would normally become effective at the completion of
awards will be consistent with the agency's RDT&E                     Phase I or as soon thereafter as possible. Funding, scope of
budget, the number of anticipated awards for interim Phase            work, and length of performance for this interim period will
I modifications, and the number of anticipated Phase II               be subject to negotiations.        Issuance of a contract
contracts. No Phase I contracts will be awarded until all             modification for the interim period does not commit the
qualified proposals (received in accordance with Section              Government to award a Phase II contract. See special
6.2) on a specific topic have been evaluated. All proposers           instructions for each DoD Component in Section 8. (For
will be notified of selection/non-selection status for a Phase        Phase I projects which qualify for the SBIR Fast Track, the
I award no later than January 16, 1998. The DoD                       instructions in Section 4.5 supersede those in this
Components anticipate making 450 Phase I awards from                  paragraph.)
this solicitation. On average, 1 in 8 Phase I proposals
receive funding.                                                          d. Average Dollar Value of Awards. Phase II
                                                                      awards will be made to small businesses based on results of
   b. Type of Funding Agreement.            All winning               the Phase I efforts and the scientific, technical, and
proposals will be funded under negotiated contracts and               commercial merit of the Phase II proposal. Average Phase
may include a fee or profit. The firm fixed price or cost             II awards will typically cover 2 to 5 person-years of effort
plus fixed fee type contract will be used for all Phase I             over a period generally not to exceed 24 months (subject to
projects (see Section 5.4). Note: The firm fixed price                negotiation). PL 102-564 states that the Phase II awards
contract is the preferred type for Phase I.                           may be up to $750,000 each without justification. See
                                                                      special instructions for each DoD Component in Section 8.
   c. Average Dollar Value of Awards.                  DoD
Components will make Phase I awards to small businesses               5.3 Phase I Report
typically on a one-half person-year effort over a period
generally not to exceed six months (subject to negotiation).             a. Content. A final report is required for each Phase I
PL 102-564 allows agencies to award Phase I contracts up              project. The report must contain in detail the project
to $100,000 without justification. Where applicable,                  objectives, work performed, results obtained, and estimates
specific funding instructions are contained in Section 8 for          of technical feasibility. A completed SF 298, "Report
each DoD Component.                                                   Documentation Page", will be used as the first page of the
                                                                      report. In addition, Monthly status and progress reports
5.2 Awards (Phase II)                                                 may be required by the DoD agency. (A blank SF 298 is
                                                                      provided in Section 9.0, Reference D.)
    a. Number of Phase II Awards. The number of Phase
II awards will depend upon the results of the Phase I efforts             b. Preparation.
and the availability of funds. The DoD Components                     (1) To avoid duplication of effort, language used to report
anticipate that approximately one-third of its Phase I                     Phase I progress in a Phase II proposal, if submitted,
awards will result in Phase II projects.                                   may be used verbatim in the final report with changes
                                                                           to accommodate results after Phase II proposal
   b. Type of Funding Agreement. Each Phase II                             submission and modifications required to integrate the
proposal selected for award will be funded under a                         final report into a self-contained comprehensive and
negotiated contract and may include a fee or profit.                       logically structured document.
                                                                      (2) Block 12a (Distribution/Availability Statement) of the
    c. Project Continuity. Phase II proposers who wish to                  SF298, "Report Documentation Page" in each
maintain project continuity must submit proposals no later                 unclassified final report must contain one of the
than 30 days prior to the expiration date of the Phase I                   following statements:
contract and must identify in their proposal the work to be                 (a) Approved for public release; distribution
performed for the first four months of the Phase II effort                       unlimited.
and the costs associated therewith. These Phase II                          (b) Distribution authorized to U.S. Government
proposers may be issued a modification to the Phase I                            Agencies only; contains proprietary information.
contract, at the discretion of the Government, covering an
interim period not to exceed four months for preliminary
(3) Block 13 (Abstract) of the SF 298, "Report                             results and the potential applications of the effort.
     Documentation Page") must include as the first                        Since the abstract will be published by the DoD, it
     sentence, "Report developed under SBIR contract".                     must not contain any proprietary or classified data.
     The abstract must identify the purpose of the work and           (4) Block 14 (Subject Terms) of the SF 298 must include
     briefly describe the work carried out, the finding or                  the term "SBIR Report".


                                                                 10
                                                                     submitted will be subject to existing statutory and
   c. Submission. SIX COPIES of the final report on each             regulatory requirements.
Phase I project shall be submitted to the DoD in                            If proprietary information is provided by a proposer in
accordance with the negotiated delivery schedule. Delivery           a proposal which constitutes a trade secret, proprietary
will normally be within thirty days after completion of the          commercial or financial information, confidential personal
Phase I technical effort. One copy of each unclassified              information or data affecting the national security, it will be
report shall be delivered directly to the DTIC, ATTN:                treated in confidence, to the extent permitted by law,
Document Acquisition, 8725 John J Kingman Road, Suite                provided this information is clearly marked by the proposer
0944, Ft. Belvoir, VA 22060-6218.                                    with the term "confidential proprietary information" and
                                                                     provided that the following legend which appears on the
5.4 Other Reports                                                    title page (Appendix A) of the proposal is completed:

      If asked, the contractor will be required to provide              "For any purpose other than to evaluate the
DoD with a report during Phase II, and each year for five               proposal, this data except Appendix A and B shall
years after completion of Phase II, detailing: (1) the                  not be disclosed outside the Government and shall
revenue from sales of new products or non-R&D services                  not be duplicated, used, or disclosed in whole or in
resulting from the SBIR project, and (2) the sources and                part, provided that if a contract is awarded to the
amounts of non-SBIR, non-STTR funding received from                     proposer as a result of or in connection with the
the Government and/or private sector sources to further                 submission of this data, the Government shall have
develop the SBIR technology.                                            the right to duplicate, use or disclose the data to the
                                                                        extent provided in the contract. This restriction does
5.5 Payment Schedule                                                    not limit the Government's right to use information
                                                                        contained in the data if it is obtained from another
      The specific payment schedule (including payment                  source without restriction. The data subject to this
amounts) for each contract will be incorporated into the                restriction is contained in page(s)_________of this
contract upon completion of negotiations between the DoD                proposal."
and the successful Phase I or Phase II offeror. Successful
offerors may be paid periodically as work progresses in                    Any other legend may be unacceptable to the
accordance with the negotiated price and payment                     Government and may constitute grounds for removing the
schedule. Phase I contracts are primarily fixed price                proposal from further consideration and without assuming
contracts, under which monthly payments may be made.                 any liability for inadvertent disclosure. The Government
The contract may include a separate provision for payment            will limit dissemination of properly marked information to
of a fee or profit. Final payment will follow completion of          within official channels.
contract performance and acceptance of all work required                   In addition, each page of the proposal containing
under the contract. Other types of financial assistance may          proprietary data which the proposer wishes to restrict must
be available under the contract.                                     be marked with the following legend:

5.6 Markings of Proprietary or Classified Proposal                      "Use or disclosure of the proposal data on lines
Information                                                             specifically identified by asterisk (*) are subject to
                                                                        the restriction on the cover page of this proposal."
      The proposal submitted in response to this solicitation
may contain technical and other data which the proposer              If all of the information on a particular page is proprietary,
does not want disclosed to the public or used by the                 the proposer should so note by including the word
Government for any purpose other than proposal                       "PROPRIETARY" in both the header and footer on that
evaluation.                                                          page.
      Information contained in unsuccessful proposals will                  The Government assumes no liability for disclosure or
remain the property of the proposer except for Appendices            use of unmarked data and may use or disclose such data for
A and B. The Government may, however, retain copies of               any purpose.
all proposals. Public release of information in any proposal
      In the event properly marked data contained in a                     Those proposers that have a classified facility
proposal in response to this solicitation is requested               clearance may submit classified material with their
pursuant to the Freedom of Information Act, 5 USC 552,               proposal. Any classified material shall be marked and
the proposer will be advised of such request and prior to            handled in accordance with applicable regulations.
such release of information will be requested to                     Arbitrary and unwarranted use of this restriction is
expeditiously submit to the DoD Component a detailed                 discouraged. Offerors must follow the Industrial Security
listing of all information in the proposal which the proposer        Manual for Safeguarding Classified Information (DoD
believes to be exempt from disclosure under the Act. Such            5220.22M) procedures for marking and handling classified
action and cooperation on the part of the proposer will              material.
ensure that any information released by the DoD
Component pursuant to the Act is properly determined.                5.7 Copyrights


                                                                11
     To the extent permitted by statute, the awardee may               it be an evaluation factor in the consideration of any Phase
copyright (consistent with appropriate national security               I proposal.
considerations, if any) material developed with DoD
support. DoD receives a royalty-free license for the                   5.11 Joint Ventures or Limited Partnerships
Federal Government and requires that each publication
contain an appropriate acknowledgement and disclaimer                       Joint ventures and limited partnerships are eligible
statement.                                                             provided the entity created qualifies as a small business as
                                                                       defined in Section 2.2 of this solicitation.
5.8 Patents
                                                                       5.12 Research and Analytical Work
      Small business firms normally may retain the
principal worldwide patent rights to any invention                         a. For Phase I a minimum of two-thirds of the research
developed with Government support. The Government                      and/or analytical work must be performed by the proposing
receives a royalty-free license for its use, reserves the right        firm unless otherwise approved in writing by the
to require the patent holder to license others in certain              contracting officer.
limited circumstances, and requires that anyone exclusively
licensed to sell the invention in the United States must                   b. For Phase II a minimum of one-half of the research
normally manufacture it domestically. To the extent                    and/or analytical work must be performed by the proposing
authorized by 35 USC 205, the Government will not make                 firm, unless otherwise approved in writing by the
public any information disclosing a Government-supported               contracting officer.
invention for a period of five years to allow the awardee to
pursue a patent.                                                           The percentage of work is usually measured in dollars
                                                                       of labor effort, although proposers planning to subcontract
5.9 Technical Data Rights                                              a significant fraction of their work should verify how it will
                                                                       be measured with their contracting officer during contract
    Rights in technical data, including software, developed            negotiations.
under the terms of any contract resulting from proposals
submitted in response to this solicitation generally remain            5.13 Contractor Commitments
with the contractor, except that the Government obtains a
royalty-free license to use such technical data only for                    Upon award of a contract, the contractor will be
Government purposes during the period commencing with                  required to make certain legal commitments through
contract award and ending five years after completion of               acceptance of Government contract clauses in the Phase I
the project under which the data were generated. Upon                  contract. The outline that follows is illustrative of the types
expiration of the five-year restrictive license, the                   of provisions required by the Federal Acquisition
Government has unlimited rights in the SBIR data. During               Regulations that will be included in the Phase I contract.
the license period, the Government may not release or                  This is not a complete list of provisions to be included in
disclose SBIR data to any person other than its support                Phase I contracts, nor does it contain specific wording of
services contractors except: (1) For evaluational purposes;            these clauses. Copies of complete general provisions will
(2) As expressly permitted by the contractor; or (3) A use,            be made available prior to award.
release, or disclosure that is necessary for emergency repair
or overhaul of items operated by the Government. See                      a. Standards of Work. Work performed under the
FAR clause 52.227-20, "Rights in Data - SBIR Program"                  contract must conform to high professional standards.
and DFARS 252.227-7018, "Rights in Noncommercial
Technical Data and Computer Software -- SBIR Program."                    b. Inspection. Work performed under the contract is
                                                                       subject to Government inspection and evaluation at all
5.10 Cost Sharing                                                      reasonable times.

       Cost sharing is permitted for proposals under this
solicitation; however, cost sharing is not required nor will
    c. Examination of Records. The Comptroller General                 contractor will be compensated for work performed and for
(or a fully authorized representative) shall have the right to         reasonable termination costs.
examine any directly pertinent records of the contractor
involving transactions related to this contract.                           f. Disputes. Any dispute concerning the contract
                                                                       which cannot be resolved by agreement shall be decided by
   d. Default. The Government may terminate the                        the contracting officer with right of appeal.
contract if the contractor fails to perform the work
contracted.                                                                g. Contract Work Hours. The contractor may not
                                                                       require an employee to work more than eight hours a day or
   e. Termination for Convenience. The contract may be                 forty hours a week unless the employee is compensated
terminated at any time by the Government if it deems                   accordingly (that is, receives overtime pay).
termination to be in its best interest, in which case the

                                                                  12
   h. Equal Opportunity. The contractor will not                    is any inconsistency between the information contained
discriminate against any employee or applicant for                  herein and the terms of any resulting SBIR contract, the
employment because of race, color, religion, sex, or                terms of the contract are controlling.
national origin.
                                                                        b. Small Business Data. Before award of an SBIR
   i. Affirmative Action for Veterans. The contractor               contract, the Government may request the proposer to
will not discriminate against any employee or applicant for         submit certain organizational, management, personnel, and
employment because he or she is a disabled veteran or               financial information to confirm responsibility of the
veteran of the Vietnam era.                                         proposer.

   j. Affirmative Action for Handicapped.              The             c. Proposal Preparation Costs. The Government is not
contractor will not discriminate against any employee or            responsible for any monies expended by the proposer
applicant for employment because he or she is physically or         before award of any contract.
mentally handicapped.
                                                                       d. Government Obligations.              This Program
   k.Officials Not to Benefit. No member of or delegate             Solicitation is not an offer by the Government and does not
to Congress shall benefit from the contract.                        obligate the Government to make any specific number of
                                                                    awards. Also, awards under this program are contingent
   l. Covenant Against Contingent Fees. No person or                upon the availability of funds.
agency has been employed to solicit or secure the contract
upon an understanding for compensation except bona fide                e. Unsolicited Proposals. The SBIR Program is not
employees or commercial agencies maintained by the                  a substitute for existing unsolicited proposal mechanisms.
contractor for the purpose of securing business.                    Unsolicited proposals will not be accepted under the SBIR
                                                                    Program in either Phase I or Phase II.
   m. Gratuities. The contract may be terminated by the
Government if any gratuities have been offered to any                   f. Duplication of Work. If an award is made pursuant
representative of the Government to secure the contract.            to a proposal submitted under this Program Solicitation, the
                                                                    contractor will be required to certify that he or she has not
   n. Patent Infringement. The contractor shall report              previously been, nor is currently being, paid for essentially
each notice or claim of patent infringement based on the            equivalent work by an agency of the Federal Government.
performance of the contract.
                                                                        g. Classified Proposals. If classified work is proposed
   o. Military Security Requirements. The contractor                or classified information is involved, the offeror to the
shall safeguard any classified information associated with          solicitation must have, or obtain, security clearance in
the contracted work in accordance with applicable                   accordance with the Industrial Security Manual for
regulations.                                                        Safeguarding Classified Information (DoD 5220.22M).
                                                                    The Manual is available on-line at http://www.dis.mil or in
   p. American Made Equipment and Products.                         hard copy from:
When purchasing equipment or a product under the SBIR                                    Defense Investigative Service
funding agreement, purchase only American-made items                                     1340 Braddock Place
whenever possible.                                                                       Alexandria, VA 22314
                                                                                         Phone: (703) 325-5324
5.14 Additional Information

    a. General. This Program Solicitation is intended for
information purposes and reflects current planning. If there
                                          6.0 SUBMISSION OF PROPOSALS


      An original plus (4) copies of each proposal or               6.1 Address
modification will be submitted, in a single package, as
described below, unless otherwise stated by specific                      Each proposal or modification package must be
instructions in Section 8.0.                                        addressed to that DoD Component address which is
                                                                    identified for the specific topic in that Component's
NOTE: THE ORIGINAL OF EACH PROPOSAL MUST                            subsection of Section 8.0 to this solicitation.
CONTAIN A COMPLETED APPENDIX A (COVER SHEET),                             The name and address of the offeror, the solicitation
APPENDIX B (PROJECT SUMMARY), AND APPENDIX E                        number and the topic number for the proposal must be
(COMPANY COMMERCIALIZATION REPORT).                                 clearly marked on the face of the envelope or wrapper.



                                                               13
      Mailed or handcarried proposals must be delivered to            may also be withdrawn in person by an offeror or his
the address indicated for each topic. Secured packaging is            authorized representative, provided his identity is made
mandatory. The DoD Component cannot be responsible                    known and he signs a receipt for the proposal. (NOTE: the
for the processing of proposals damaged in transit.                   term telegram includes mailgrams.)
      All copies of a proposal must be sent in the same                      Any modification or withdrawal of a proposal is
package. Do not send separate information copies or                   subject to the same conditions outlined above. Any
several packages containing parts of the single proposal.             modification may not make the proposal longer than 25
                                                                      pages (excluding Company Commercialization Report).
6.2 Deadline of Proposals                                             Notwithstanding the above, a late modification of an
                                                                      otherwise successful proposal which makes its terms more
      Deadline for receipt of proposals at the DoD                    favorable to the Government will be considered at any time
Component is 2:00 p.m. local time, July 16, 1997. Any                 it is received and may be accepted.
proposal received at the office designated in the solicitation
after the exact time specified for receipt will not be                6.3 Notification of Proposal Receipt
considered unless it is received before an award is made,
and: (a) it was sent by registered or certified mail not later              Proposers desiring notification of receipt of their
than July 8, 1997 or (b) it was sent by mail and it is                proposal must complete and include a self-addressed
determined by the Government that the late receipt was due            stamped envelope and a copy of the notification form
solely to mishandling by the Government after receipt at              (Reference A) in the back of this brochure. If multiple
the Government installation.                                          proposals are submitted, a separate form and envelope is
                                                                      required for each. Notification of receipt of a proposal by
Note: There are no other provisions for late receipt of               the Government does not by itself constitute a
      proposals under this solicitation.                              determination that the proposal was received on time or
                                                                      not. The determination of timeliness is solely governed by
      The only acceptable evidence to establish (a) the date          the criteria set forth in Section 6.2.
of mailing of a late-received proposal sent either by
registered mail or certified mail is the U. S. Postal Service         6.4 Information on Proposal Status
postmark on the wrapper or on the original receipt from the
U.S. Postal Service. If neither postmark shows a legible                    Evaluation of proposals and award of contracts will
date, the proposal shall be deemed to have been mailed                be expedited, but no information on proposal status will be
late. The term postmark means a printed, stamped, or                  available until the final selection is made. However,
otherwise placed impression (exclusive of a postage meter             contracting officers may contact any and all qualified
machine impression) that is readily identifiable without              proposers prior to contract award.
further action as having been supplied and affixed on the
date of mailing by employees of the U. S. Postal Service.             6.5 Debriefing of Unsuccessful Offerors
Therefore, offerors should request the postal clerk to place
a hand cancellation bull's-eye postmark on both the receipt                 Upon written request and after final award decisions
and the envelope or wrapper; (b) the time of receipt at the           have been announced, a debriefing will be provided to
Government installation is the time-date stamp of such                unsuccessful offerors for their proposals. The written
installation on the proposal wrapper or other documentary             request should be sent to the DoD organization that
evidence of receipt maintained by the installation.                   notified the proposer that the proposal was not selected for
      Proposals may be withdrawn by written notice or a               award.
telegram received at any time prior to award. Proposals
6.6 Correspondence Relating to Proposals                               should be addressed to the DoD Component whose
                                                                      address is associated with the specific topic number.
     All correspondence relating to proposals should cite
the SBIR solicitation number and specific topic number
and

                     7.0 SCIENTIFIC AND TECHNICAL INFORMATION ASSISTANCE

7.1 DoD Technical Information Services Available                            DTIC, a major component of the DoD Scientific and
                                                                      Technical Information Program, serves DoD as well as
     Recognizing that small businesses may not have                   other federal agencies and their contractors by managing
strong technical information service support, the Defense             the technical information resulting from by DoD-funded
Technical Information Center (DTIC) provides information              research and development.
access, much of it at no cost, to assist SBIR participants in               DTIC also provides access to specialized reference
bid-making decisions and in the preparation of proposals.             services and subject matter expertise within the
                                                                      DoD-sponsored Centers for Analysis of Scientific and


                                                                 14
Technical Information (IACs) which are concerned with                Ft. Belvoir, VA 22060-6218
engineering, technical and scientific documents and                  (800) 363-7247 (800 DOD-SBIR)
databases worldwide.                                                 (703) 767-8228 (FAX)
      For the majority of SBIR topics, DTIC prepares a               EMail sbir@dtic.mil
Technical Information Package (TIP), a bibliographic                 WWW http://www.dtic.mil/dtic/sbir
listing of DoD-funded work in technical areas relating to
the topic. TIPs also may include information provided by             DTIC Boston Regional Office
the topic author and references to other information                 Building 1103, 5 Wright Street
sources.                                                             Hanscom AFB
      Firms participating in SBIR are strongly encouraged            Bedford, MA 01731-5000
to request the TIPs for their solicitation topic areas.              (617) 377-2413
Requests can be made online via the DTIC SBIR Home
Page on Internet, by sending Reference B at the back of              DTIC Albuquerque Regional Office
this solicitation, or by telephone, fax, or email.                   PL/SUL
      DTIC will return requested material, along with a user         3550 Aberdeen Ave, SE
code, good for the remainder of the fiscal year for use in           Kirtland AFB, NM 87117-6008
obtaining additional information or technical reports. A             (505) 846-6797
firm may receive a total of ten technical reports at no cost
from DTIC during a solicitation period. Additional reports,          DTIC Dayton Regional Office
custom bibliographies, and services outside the solicitation         2690 C Street, Suite 4
period may be charged to a major credit card or an NTIS              Wright-Patterson AFB, OH 45433-7552
deposit account.                                                     (513) 255-7905
      Internet services, accessed via the DTIC SBIR Home
Page (http://www.dtic.mil/dtic/sbir), include TIPs as well           DTIC Los Angeles Regional Office
as current DoD SBIR and STTR Solicitations and Award                 222 N. Sepulveda Blvd., Suite 906
Abstracts publications.          Solicitation and awards             El Segundo, CA 90245-4320
information is also accessible via gopher (gopher.dtic.mil)          (310) 335-4170
on port 70, or file transfer (asc.dtic.mil). The FTP login is
"anonymous", password is your E-Mail address, SBIR files             7.2 Other Technical Information Assistance Sources
are in the /pub/sbir directory. Also on Internet is SITIS for
technical questions and answers concerning DoD topic                      Other sources provide technology search and/or
descriptions. See section 7.2 for a complete description of          document services and can be contacted directly for service
this important service.                                              and cost information. These include:
      Call, or visit (by prearrangement) DTIC at the
location most convenient to you. Written communications                 National Technical Information Services
must be made to the Ft. Belvoir, Va., address.                          5285 Port Royal Road
                                                                        Springfield, VA 22161
Defense Technical Information Center                                    (703) 487-4600 (PH)/ (703) 321-8547 (FAX)
ATTN: DTIC-SBIR
8725 John J Kingman Road, Suite 0944
   University of Southern California                                    Midcontinent Technology Transfer Center
   Technology Transfer Center                                           Texas Engineering Experiment Station
   3716 South Hope Street, Suite 200                                    The Texas A&M University System
   Los Angeles, CA 90007-4344                                           301 Tarrow, Suite 119
   (800) 872-7477 (outside CA)                                          College Station, TX 77843-8000
   (213) 743-6132                                                       (409) 845-8762
   (213) 746-9043 (FAX)                                                 (409) 845-3559 (FAX)

   Center for Technology Commercialization                              Mid-Atlantic Technology Applications Center
   Massachusetts Technology Park                                        University of Pittsburgh
   100 North Drive                                                      823 William Pitt Union
   Westborough, MA 01581                                                Pittsburgh, PA 15260
   (508) 870-0042                                                       (800) 257-2725
   (508) 366-0101 (FAX)                                                 (412) 648-7000
                                                                        (412) 648-7003 (FAX)
   Great Lakes Technology Transfer Center/Battelle
   25000 Great Northern Corporate Center, Suite 260                     Southern Technology Application Center
   Cleveland, OH 44070                                                  University of Florida, College of Engineering
   (216) 734-0094                                                       Box 24, One Progress Boulevard
   (216) 734-0686 (FAX)                                                 Alachua, FL 32615
                                                                        (904) 462-3913

                                                                15
(800) 225-0308 (outside FL)           Federal Information Exchange, Inc.
(904) 462-3898 (FAX)                  555 Quince Orchard Road, Suite 200
                                      Gaithersburg, MD 20878
                                      (301) 975-0103
                                      (301) 975-0109 (FAX)

                                   7.3 DoD Counseling Assistance Available

                                         Small business firms interested in participating in the
                                   SBIR Program may seek general administrative guidance
                                   from small and disadvantaged business utilization
                                   specialists located in various Defense Contract
                                   Management activities throughout the continental United
                                   States. These specialists are available to discuss general
                                   administrative requirements to facilitate the submission of
                                   proposals and ease the entry of the small high technology
                                   business into the Department of Defense marketplace. The
                                   small and disadvantaged business utilization specialists are
                                   expressly prohibited from taking any action which would
                                   give an offeror an unfair advantage over others, such as
                                   discussing or explaining the technical requirements of the
                                   solicitation, writing or discussing technical or cost
                                   proposals, estimating cost or any other actions which are
                                   the offerors responsibility as outlined in this solicitation.
                                   (See Reference C at the end of this solicitation for a
                                   complete listing, with telephone numbers, of Small and
                                   Disadvantaged Business Utilization Specialists assigned to
                                   these activities.)

                                   7.4 State Assistance Available

                                         Many states have established programs to provide
                                   services to those small firms and individuals wishing to
                                   participate in the Federal SBIR Program. These services
                                   vary from state to state, but may include:
                                      - Information and technical assistance;
                                      - Matching funds to SBIR recipients;
                                      - Assistance in obtaining Phase III funding.

                                     Contact your State Government Office of Economic
                                   Development for further information.




                              16
                                                               8.0 TECHNICAL TOPICS
     Section 8 contains detailed topic descriptions outlining the technical areas in which DoD Components request proposals for
innovative R&D from small businesses. Topics for each participating DoD Component are listed and numbered separately.
Each DoD Component Topic Section contains topic descriptions, addresses of organizations to which proposals are to be
submitted, and special instructions for preparing and submitting proposals to organizations within the component. Read and
follow these instructions carefully to help avoid administrative rejection of your proposal.

          Component Topic Sections                                                                                                               Pages

          Army ............................................................................................................................................ ARMY 1-138
          Navy............................................................................................................................................. NAVY 1-53
          DARPA ........................................................................................................................................ DARPA 1-33
          SOCOM ....................................................................................................................................... SOCOM 1-7
          OSD ............................................................................................................................................. OSD 1-17

          Appendices A, B, C, D and E follow the Component Topic Sections. Appendix A is a Proposal Cover Sheet,
Appendix B is a Project Summary form, Appendix C is an outline for the Cost Proposal, Appendix D is the Fast Track
Application Form, and Appendix E is the Company Commercialization Report. A completed copy of Appendix A, Appendix B,
and Appendix E, as well as a completed Cost Proposal, must be included with each proposal submitted.

           Many of the topics in Section 8 contain references to technical literature or military standards, which may be accessed
as follows:

•         References with "AD" numbers are available from DTIC, by calling 800/DoD-SBIR or sending an e-mail message to
          sbir@dtic.dla.mil
•         References with "MIL-STD" numbers are available from the DoD Index of Specifications and Standards (DODISS) at
          Internet address http://www.dtic.mil/dps-phila/dodiss
•         Other references can be found in your local library or at locations mentioned in the reference.




                                                                                     17

				
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