National Science Foundation
Small Business Innovation Research and Small Business Technology Transfer
1999 SBIR/STTR Phase I Program Solicitation and Phase II Instruction Guide
CHAPTER 9.0 STTR Proposal Preparation Instructions for Phase I and Phase II
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Table of Contents]
9.1 Contact NSF
9.2 Considerations
9.3 General Requirements for Phase I Proposals
9.4 Proposal Cover Page and Project Summary
9.5 STTR Phase I Proposal Instructions
9.6 STTR Phase II Proposal Instructions
9.7 Model Format for Written Cooperative Agreement
9.8 Check Lists
9.1 Contact NSF.
Questions about the NSF STTR Program should be directed to the STTR Program
Manager at the following address: STTR Program Office, National Science
Foundation, Room 550, 4201 Wilson Blvd., Arlington, VA 22230, telephone (703)
306-1390 or by email at sbir@nsf.gov
9.2 Considerations.
Reference Chapter 3.0 sections
3.1.2,
3.1.3,
3.1.4,
3.1.5.
9.3 General Requirements for Phase I Proposals.
9.3.1 Page Limitation.
Reference
Chapter 3.0, section 3.2.1.
9.3.2 Type Size and Spacing.
Reference
Chapter 3.0, section 3.2.2.
9.3.3 Requirement Format.
Reference
Chapter 3.0, section 3.3.
The following forms are required for preparing a STTR Phase I proposal.
Proposal Cover page and Certification Page
(
Attachment B-STTR).
- Project Summary
(
Attachment C).
- Information about Principal Investigators/Project Directors
(
Attachment A).
- Technical Proposal in 12 parts
(
Chapter 3, Section 3.5)
including graphics and starting at page 3 with a table of contents.
- Summary Proposal Budget
(
Attachment D)
and Budget Explanation Page (a separate Budget/Attachment D and Budget
Explanation Page is also required for each subawardee).
- Company Commercialization History
(
Chapter 3, Section 3.5,Part 12).
Phase I proposals must be presented within the 25-page limitation. The
following do not count towards the page count:
- The Proposal Cover Page's Certification Page.
- The Information about Principal Investigator/Project Directors.
- The Budget Instruction Page.
- The Company Commercialization History.
9.4 Proposal Cover Page and Project Summary.
Reference
Chapter 3.0, section 3.4.
9.4.1 Page 1: Proposal Cover Page and Certification (NSF Form 1207).
Reference
Chapter 3.0, Section 3.4.1.
Use
Attachment B-STTR
for STTR Phase I proposals.
9.4.2 Page 2: Project Summary (NSF Form 1304).
Reference
Chapter 3.0, Section 3.4.2.
The Project Summary should begin as follows: "This Small Business
Technology Transfer Phase I project..."
9.4.3 Information about Principal Investigator/Project Directors (NSF Form 1225).
(Attachment A)
Reference
Chapter 3.0, Section 3.4.3.
9.5 STTR Phase I Proposal Preparation Instructions.
The technical proposal shall contain the following parts in the following
order. (Note: Parts that are not applicable must be noted as "Not Applicable".)
Part 1. Table of Contents. Page 3
Reference
Chapter 3.0, Section 3.5, Part 1.
Part 2. Identification and Significance of the Innovation.
Make a clear statement of the specific research problem or opportunity
addressed and its importance. For further information reference
Chapter 3.0, Section 3.5, Part 2.
Part 3. Phase I Research Objectives.
Reference
Chapter 3.0, Section 3.5, Part 3.
Part 4. Phase I Research Plan.
Reference
Chapter 3.0, Section 3.5, Part 4.
Describe the Phase I research plan in detail.
- Indicate what is planned and how the research will be carried out.
- Include a technical discussion of the proposed concept, the methods
planned to achieve each objective or task, and the sequence of
experiments, tests and computations.
- Link the objectives and the questions which the Phase I research effort
is designed to answer.
- Specifically address the amount and type of work to be performed both by
the small business concern and by the research institution and describe
the necessary cooperation, coordination, and complementarity.
- List key personnel involved in the project and describe the programmatic
and fiscal arrangements for the cooperative research.
Part 5. Commercial Potential.
Reference
Chapter 3.0, Section 3.5, Part 5.
Part 6. Company Information and Management Team.
Reference
Chapter 3.0, Section 3.5, Part 6.
Part 7. Consultants and Subawards.
Reference
Chapter 3.0, Section 3.5, Part 8.
Part 8. Equipment, Instrumentation, Computers and Facilities.
Reference
Chapter 3.0, Section 3.5, Part 8.
Part 9. Equivalent or Overlapping Proposals to other Federal Agencies.
Reference
Chapter 3.0, Section 3.5, Part 9.
Part 10. Current and Pending Support of Principal Investigator, Research
Institution Investigator and Senior Personnel.
Provide information about all research to which the Principal Investigator, the
Research Institution Investigator, and other senior personnel have committed
time for the period of performance under an STTR grant, whether or not salary
for the person involved is included in the budgets of the various projects.
Reference
Chapter 3.0, Section 3.5, Part 10.
Part 11. Written Cooperative Agreement.
The Written Cooperative Agreement should be provided to NSF with the Phase I
proposal. If the Agreement has not been signed at the time the proposal has
been submitted, the negotiation process should be underway and a statement to
that effect must be provided to NSF with the Phase I proposal. When an award is
being considered, the signed Agreement MUST be provided to NSF upon request.
The Agreement between the small business concern and the research institution
must cover the allocation of intellectual property rights, if any, to carry out
follow-on research development, or commercialization.
A model agreement relating to these issues is provided in
Section 9.7.
This model is for guidance only and may be
modified by the parties. The Agreement must contain the signatures of an
official of the small business concern and an appropriate official of the
research institution.
By signing the proposal, the official of the small business concern certifies
that the agreement negotiated with the research institution is satisfactory to
the small business concern.
Part 12. Summary Proposal Budget.
(
Attachment D)
In the STTR Program, research is to be conducted jointly by a small business
concern and a nonprofit research institution. Not less than 40 percent of the
work conducted under an STTR award must be performed by the small business
concern, and not less than 30 percent of the work must be performed by the
nonprofit research institution. That is, a minimum of 40 percent of the
total budget must be allocated to the small business concern, and a minimum
of 30 percent of the total budget must be allocated to the cooperating
research institution
(
Chapter 3.0, Section 3.5, Part 11).
- Expenditures for consultants and subcontractors do not count towards
the requirement that not less than 40 percent of the work must be
performed by the small business concern, and that not less than 30
percent of the work must be performed by the research institution.
- Complete a Form 1030B for the total budget. Phase I estimates must be
shown in detail on this form. Funds for the research institution should
be shown on G.5. --Subcontracts--of the NSF Summary Proposal Budget.
- Breakouts of the budgets for the small business concern and for the
subcontract to the research institution must be provided on separate
Form 1030Bs. Proposers are encouraged to use photocopies of Appendix
D-1 for these breakouts.
- Purchases of routine analytical or other routine services from
commercial sources are not regarded as reportable subcontract
activity. For such activity no letter is required. The item--
routine analytical or other routine services--should be reported in the
Budget
(
Attachment D)
under Other Direct Costs/Other.
In the Summary Proposal Budget and in the breakout budget for the small
business concern, the Principal Investigator and senior personnel employed by
the small business concern should be listed by name with their time commitments
budgeted in person-months and in dollar amount for the period of performance.
In the breakout budget for the subcontracting research institution, the
Research Institution Investigator and senior personnel employed by the research
institution should be listed by name with their time commitments budgeted in
person-months and in dollar amount for the period of performance.
- The budget should reflect cost for work to be done only after the
effective date of the award. Any costs incurred prior to the issuance
of an award document are at the grantee's own risk.
- The reimbursement rates for consultants are a direct cost which cannot
exceed the daily rate paid to an Executive Level IV or
equivalent--currently $453 per day. Consultant travel should be
shown under the travel category.
- Equipment and foreign travel cannot be included in the Phase I budget.
Equipment is defined as an article of non-expendable, tangible
property, having a useful life of more than one year and an acquisition
cost of $5,000 or more per unit.
- The budget should indicate in general terms the categories of
expendable materials and supplies required, with their estimated costs.
The breakdown should be more detailed when the cost exceeds $5,000.
- The total budget on line L of Form 1030B (including a fee of up to 7%)
must not exceed $100,000 for the Phase I proposal.
- Reasonable fees (estimated profit) will be considered under both phases
of the solicitation. The amount of the fee included in the proposed
budget will not exceed 7 percent of total project costs. Cost-sharing
is permitted; however, it is not required nor will it be a factor in
the evaluation of a proposal.
- The small firm and the research institution should submit separate
copies of NSF Form 1030B. Each organization should have their own
principal investigator and appropriate organizational representative
sign Form 1030B.
- Budgets for travel funds must be justified and related to the needs of
the project. Travel expenses for attendance at technical conferences
are not permitted unless the conference directly relates to the
project.
- Tuition costs are not considered research or research and development.
Accordingly, they are not acceptable costs and should not be included
in the budget.
Part 13. Prior SBIR/STTR Phase II Awards.
Reference
Chapter 3.0, Section 3.5, Part 12.
PHASE II INSTRUCTIONS
In general STTR Phase II proposals follow the format of SBIR Phase
II proposals (reference
Chapter 10.0).
9.6 STTR Phase II Proposal Instructions.
The objective of Phase II is to continue the R/R&D effort from Phase I.
Only NSF STTR Phase I awardees may compete for NSF STTR Phase II projects. The
STTR Phase II proposals have fixed dates, reference the
Table of Deadlines. Section 6.3.
9.6.1 Phase II Proposal Contents.
In general, STTR Phase II proposals follow the format of STTR Phase I proposals
(reference Chapter 9.0, Section 9.5).
The Phase
II proposal is limited to a total of 35 consecutively numbered pages (single-
or doubled-spaced). Phase II proposals shall be addressed in the following
"Part" order listed.
Part 1: Phase II Proposal Cover and Certification.
(
Attachment F-STTR).
Reference
Chapter 3.0, section 3.4.1.
The performance period
for STTR Phase II cannot exceed 24 months. The Phase I award number shall be
included on the cover page.
Part 2: Project Summary.
(
Attachment C)
Reference
Chapter 3.0, section 3.4.2.
The summary should begin as follows: "This Small Business
Innovation Research Phase II project ..."
Information about Principal Investigator/Project Directors (NSF Form 1225).
(
Attachment A)
Reference
Chapter 3.0, Section 3.4.3.
Part 3. Table of Contents.
Part 4. Results of the Phase I Project.
Briefly describe how Phase I has proven the feasibility of the innovation,
provided a rationale for both NSF and commercial applications, and demonstrated
the ability of the proposer to conduct R/R&D.
Part 5. Phase II Technical Objectives, Approach, and Work Plan.
Define the specific technical objectives of the Phase II research and technical
approach to meet these objectives. Provide a work plan defining specific tasks,
performance schedules, milestones, and deliverables.
Part 6. Company Information.
Reference
Section 3.5, Part 6.
Part 7. Management Team.
Identify the key personnel for the project, confirm their specific availability
for Phase II, and discuss their qualifications in terms of education, work
experience, and accomplishments that are relevant to the project. For any PI
who is an employee of an academic or non-profit organization, provide a release
statement as described in
Chapter 1.0, Section 1.4.4
of this solicitation. Also reference
Section 3.5, Part 6.
Part 8. Facilities and Equipment.
Discuss requirements for and the availability of equipment, instrumentation,
and facilities required for Phase II. If a proposer proposes the use of unique
or one-of-a-kind Government facilities, a statement, describing the uniqueness
of the facility and it's availability to the proposer at specified times,
signed by the appropriate Government Official must be included with the
proposal.
Part 9. Consultant and Subaward Agreements.
Information on the qualifications of the consultants, their education,
experience, any directly relevant publications, and how their efforts will
contribute to the proposal. Propers should have in their own file evidence of
the commitment of consultants to participate in the project.
In addition, provide a signed statement from each consultant, whether paid or
unpaid, confirming his/her availability and time commitment, role in the
project, and agreed consulting rate (not to exceed $453 per day).
In the case of subawardee involvement, research other than at the cooperating
research institution, the subawardee must furnish a letter signed by an
appropriate official describing the programmatic arrangements and confirming
its agreed participation in the research along with its proposed budget on an
NSF Form 1030A.
For further clarification reference
Chapter 3.0, Section 3.5, Part 7.
Part 10. Equivalent or Overlapping Proposals to other Federal Agency.
Reference
Chapter 3.0, Section 3.5, Part 9.
Part 11. Current and Pending Support of Principal Investigator and Senior Personnel.
Reference
Chapter, 3, Section 3.5, Part 10.
Part 12. Summary Proposal Budget. (Attachment D)
The NSF Summary Proposal Budget page must be used for Phase II proposals and it
must show information for the total project. Read the second page of the budget
form. Also provide the required explanation of budget items. The proposed costs
indicated on the proposal budget should be consistent with the scope of the
research effort and must be based on accurate, complete, and current cost or
pricing data. Phase II awards are typically up to $450,000 and for up to 24
months. Reference
Chapter 3, section 3.5, Part 11
for more information regarding proposal budget preparation.
NOTE, PARTS 13-16 DO NOT COUNT TOWARDS THE PAGE LIMIT
Part 13. Payment Schedule and Project Milestone Chart.
This section does not count towards the page limit.
A payment schedule and project milestone chart are required components for all
Phase II proposals.
Based on the expected utilization of resources and expenditures of funds, if
the standard payment schedule as described in the SBIR Phase II Grant General
Conditions, Article 6,
(
http://www.nsf.gov/cgi-bin/getpub?sbirii)
is not appropriate, you must provide a list of the number of payments, the
percentage amount of each payment, and a brief justification for the departure
from the standard schedule (see
Chapter 5.0).
For complete instructions on
preparing the Payment Schedule information
and the Project Milestone Chart, reference
Chapter 10, section 10.2, Part 13.
Part 14. Commercialization Plan and Follow-On Funding Commitment(s).
This section does not count towards the page limit.
Reference
Chapter 10, section 10.2, Part 14.
Part 15. Written Cooperative Agreement.
The Written Cooperative Agreement provided in the Phase I proposal should be
updated. Reference Chapter 9, Section 9.7.
Part 16. Company Commercialization History.
Reference
Chapter 3, section 3.5, Part 12.
9.7 Model Format for Written Cooperative Agreement.
Model Agreement
Small Business Technology Transfer (STTR) Program Allocation Of Rights In
Intellectual Property And Rights To Carry Out Follow-On Research, Development,
or Commercialization.
This Agreement between _____________________________, a small business concern
organized as a______________________under the laws of _________________ and having a
principal place of business at_________________________________________
______________________________________________________, ("SBC") and
________________________________________, a research institution having a principal place
of business at ________________________________________, ("RI") is entered into
for the purpose of allocating between the parties certain rights relating to an STTR
project to be carried out by SBC and RI (hereinafter referred to as the
"PARTIES") under an STTR funding agreement that may be awarded by the National
Science Foundation (NSF) to SBC to fund a proposal entitled
"____________________________________________________________
_______________"submitted, or to be submitted, to NSF by SBC on or about
________________, 199__.
- Applicability of this Agreement.
- This Agreement shall be applicable only to matters relating to the
STTR project referred to in the preamble above.
- If a funding agreement for an STTR project is awarded to an SBC
based upon the STTR proposal referred to in the preamble above, SBC
will promptly provide a copy of such funding agreement to RI, and
SBC will make a subaward to RI in accordance with the funding
agreement, the proposal, and this Agreement. If the terms of such
funding agreement appear to be inconsistent with the provisions of
this Agreement, the Parties will attempt in good faith to resolve
any such inconsistencies. However, if such resolution is not
achieved within a reasonable period, SBC shall not be obligated to
award nor RI to accept the subaward. If a subaward is made by SBC
and accepted by RI, this Agreement shall not be applicable to
contradict the terms of such subaward or of the funding agreement
awarded by NSF to SBC except on the grounds of fraud,
misrepresentation, or mistake, but shall be considered to resolve
ambiguities in the terms of the subaward.
- The provisions of this Agreement shall apply to any and all
consultants, subcontractors, independent contractors, or other
individuals employed by SBC or RI for the purposes of this STTR
project.
- Background Intellectual Property.
- "Background Intellectual Property" means property and the legal
right therein of either or both parties developed before or
independent of this Agreement including inventions, patent
applications, patents, copyrights, trademarks, mask works, trade
secrets and any information embodying proprietary data such as
technical data and computer software.
- This Agreement shall not be construed as implying that either party
hereto shall have the right to use Background Intellectual Property
of the other in connection with this STTR project except as
otherwise provided hereunder.
- The following Background Intellectual Property of SBC may be
used nonexclusively and, except as noted, without compensation
by RI in connection with research or development activities for
this STTR project (if "none" so state):
________________________________________
- The following Background Intellectual Property of RI may be used
nonexclusively and, except as noted, without compensation by SBC
in connection with research or development activities for this
STTR project (if "none" so state):
____________________________________________
- The following Background Intellectual Property of RI may be used
by SBC nonexclusively in connection with commercialization of
the results of this STTR project, to the extent that such use is
reasonably necessary for practical, efficient and competitive
commercialization of such results but not for commercialization
independent of the commercialization of such results upon the
condition that SBC pay to RI, in addition to any other royalty
including any royalty specified in the following list, a royalty
of __% of net sales or leases made by or under the authority of
SBC of any product or servicethat embodies, or the manufacture
or normal use of which entails the use of, all or any part of
such Background Intellectual Property (if "none" so
state): ___________________________________________________.
- Project Intellectual Property.
- "Project Intellectual Property" means the legal rights relating to
inventions (including Subject Inventions as defined in 37 CFR
§ 401), patent applications, patents, copyrights,
trademarks, mask works, trade secrets and any other legally
protectable information, including computer software, first made or
generated during the performance of this STTR Agreement.
- Except as otherwise provided herein, ownership of Project
Intellectual Property shall vest in the party whose personnel
conceived the subject matter or first actually reduced the subject
matter to practice, and such party may perfect legal protection
therein in its own name and at its own expense. Jointly made or
generated Project Intellectual Property shall be jointly owned by
the Parties unless otherwise agreed in writing. The SBC shall have
the first option to perfect the rights in jointly made or generated
Project Intellectual Property unless otherwise agreed in writing.
- The ownership, including rights to any revenues and profits,
resulting from any product, process, or other innovation or
invention based on the cooperative shall be allocated between
the SBC and the RI as follows:
SBC Percent: ________ RI Percent:__________
- Expenses and other liabilities associated with the development
and marketing of any product, process, or other innovation or
invention shall be allocated as follows: the SBC will be
responsible for ___ percent and the RI will be responsible for
___ percent.
- The Parties agree to disclose to each other, in writing, each and
every Subject Invention, which may be patentable or otherwise
protectable under the United States patent laws in Title 35, United
States Code. The Parties acknowledge that they will disclose Subject
Inventions to each other and the awarding agency within ______
months after their respective inventor(s) first disclose the
invention in writing to the person(s) responsible for patent matters
of the disclosing Party. All written disclosures of such inventions
shall contain sufficient detail of the invention, identification of
any statutory bars, and shall be marked confidential, in accordance
with 35 U.S.C. §205.
- Each party hereto may use Project Intellectual Property of the other
nonexclusively and without compensation in connection with research
or development activities for this STTR project, including inclusion
in STTR project reports to the NSF and proposals to the NSF for
continued funding of this STTR project through additional phases.
- In addition to the Government's rights under the Patent Rights
clause of 37 CFR & sect; 401.14, the Parties agree that the
Government shall have an irrevocable, royalty free, nonexclusive
license for any governmental purpose in any Project Intellectual
Property.
- SBC will have an option to commercialize the Project Intellectual
Property of RI, subject to any rights of the Government therein, as
follows--
- Where Project Intellectual Property of RI is a potentially
patentable invention, SBC will have an exclusive option for a
license to such invention, for an initial option period of __
months after such invention has been reported to SBC. SBC may,
at its election and subject to the patent expense reimbursement
provisions of this section, extend such option for an additional
__ months by giving written notice of such election to RI prior
to the expiration of the initial option period. During the
period of such option following notice by SBC of election to
extend, RI will pursue and maintain any patent protection for
the invention requested in writing by SBC and, except with the
written consent of SBC or upon the failure of SBC to reimburse
patenting expenses as required under this section, will not
voluntarily discontinue the pursuit and maintenance of any
United States patent protection for the invention initiated by
RI or of any patent protection requested by SBC.
For any invention for which SBC gives notice of its election to
extend the option, SBC will, within ___ days after invoice,
reimburse RI for the expenses incurred by RI prior to expiration
or termination of the option period in pursuing and maintaining
(i) any United States patent protection initiated by RI and (ii)
any patent protection requested by SBC. SBC may terminate such
option at will by giving written notice to RI, in which case
further accrual of reimbursable patenting expenses hereunder,
other than prior commitments not practically revocable, will
cease upon RI's receipt of such notice. At any time prior to the
expiration or termination of an option, SBC may exercise such
option by giving written notice to RI, whereupon the parties
will promptly and in good faith enter into negotiations for a
license under RI's patent rights in the invention for SBC to
make, use and/or sell products and/or services that embody, or
the development, manufacture and/or use of which involves
employment of, the invention.
The terms of such license will include: (i) payment of
reasonable royalties to RI on sales of products or services
which embody, or the development, manufacture or use of which
involves employment of, the invention; (ii) reimbursement by SBC
of expenses incurred by RI in seeking and maintaining patent
protection for the invention in countries covered by the license
(which reimbursement, as well as any such patent expenses
incurred directly by SBC with RI's authorization, insofar as
deriving from RI's interest in such invention, may be offset in
full against up to of accrued royalties in excess of any minimum
royalties due RI); and, in the case of an exclusive license,
(iii) reasonable commercialization milestones and/or minimum
royalties.
- Where Project Intellectual Property of RI is other than a
potentially patentable invention, SBC will have an exclusive
option for a license, for an option period extending until
months following completion of RI's performance of that phase of
this STTR project in which such Project Intellectual Property of
RI was developed by RI. SBC may exercise such option by giving
written notice to RI, whereupon the parties will promptly and in
good faith enter into negotiations for a license under RI's
interest in the subject matter for SBC to make, use and/or sell
products or services which embody, or the development,
manufacture and/or use of which involve employment of, such
Project Intellectual Property of RI. The terms of such license
will include: (i) payment of reasonable royalties to RI on sales
of products or services that embody, or the development,
manufacture or use of which involves employment of, the Project
Intellectual Property of RI and, in the case of an exclusive
license, (ii) reasonable commercialization milestones and/or
minimum royalties.
- Where more than one royalty might otherwise be due in respect of
any unit of product or service under a license pursuant to this
Agreement, the parties shall in good faith negotiate to
ameliorate any effect thereof that would threaten the commercial
viability of the affected products or services by providing in
such license(s) for a reasonable discount or cap on total
royalties due in respect of any such unit.
- Follow-on Research or Development.
All follow-on work, including any licenses, contracts, subcontracts,
sublicenses or arrangements of any type, shall contain appropriate
provisions to implement the Project Intellectual Property rights
provisions of this agreement and insure that the Parties and the
Government obtain and retain such rights granted herein in all future
resulting research, development, or commercialization work.
- Confidentiality/Publication.
- Background Intellectual Property and Project Intellectual Property
of a party, as well as other proprietary or confidential information
of a party, disclosed by that party to the other in connection with
this STTR project shall be received and held in confidence by the
receiving party and, except with the consent of the disclosing party
or as permitted under this Agreement, neither used by the receiving
party nor disclosed by the receiving party to others, provided that
the receiving party has notice that such information is regarded by
the disclosing party as proprietary or confidential. However, these
confidentiality obligations shall not apply to use or disclosure by
the receiving party after such information is or becomes known to
the public without breach of this provision or is or becomes known
to the receiving party from a source reasonably believed to be
independent of the disclosing party or is developed by or for the
receiving party independently of its disclosure by the disclosing
party.
- Subject to the terms of paragraph (a) above, either party may
publish its results from this STTR project. However, the publishing
party will negotiate the right of refusal with the other party with
respect to a proposed publication, as well as a day period in which
to review proposed publications and submit comments, which will be
given full consideration before publication. Furthermore, upon
request of the reviewing party, publication will be deferred for up
to additional days for preparation and filing of a patent
application which the reviewing party has the right to file or to
have filed at its request by the publishing party.
- Liability.
- Each party disclaims all warranties running to the other or through
the other to third parties, whether express or implied, including
without limitation warranties of merchantability, fitness for a
particular purpose, and freedom from infringement, as to any
information, result, design, prototype, product or process deriving
directly or indirectly and in whole or part from such party in
connection with this STTR project.
- SBC will indemnify and hold harmless RI with regard to any claims
arising in connection with commercialization of the results of this
STTR project by or under the authority of SBC. The PARTIES will
indemnify and hold harmless the Government with regard to any claims
arising in connection with commercialization of the results of this
STTR project.
- Termination.
- This agreement may be terminated by either Party upon ___ days
written notice to the other Party. This agreement may also be
terminated by either Party in the event of the failure of the other
Party to comply with the terms of this agreement.
- In the event of termination by either Party, each Party shall be
responsible for its share of the costs incurred through the
effective date of termination, as well as its share of the costs
incurred after the effective date of termination, and which are
related to the termination. The confidentiality, use, and/or
non-disclosure obligations of this agreement shall survive any
termination of this agreement.
AGREED TO AND ACCEPTED--
Small Business Concern
By: ______________________________________________Date: _____________
Print name: _________________________________________________________
Title: ______________________________________________________________
Research Institution
By: ______________________________________________ Date: ____________
Print name: _________________________________________________________
Title: ______________________________________________________________
9.8 Check List.
The STTR proposal check list included in this Solicitation
(
SBIR/STTR Phase I Checklist or
SBIR/STTR Phase II Checklist)
is provided to assist the proposer in completing a responsive proposal. It
should not be submitted with the proposal.