FINANCIAL ASSISTANCE
FUNDING OPPORTUNITY ANNOUNCEMENT
U.S. Department of Energy
Office of Science
SBIR/STTR Phase I Funding Opportunity Notice
Funding Opportunity Number: DE-PS02-06ER06-30
Announcement Type: Initial
CFDA Number: 81.049
Issue Date: 9/20/06
Application Due Date: 11/21/06 8:00PM Eastern Time
NOTE: REQUIREMENTS FOR GRANTS.GOV
Where to Submit
Applications must be submitted through Grants.gov to be considered for award. You cannot submit an application through Grants.gov unless you are registered. Please read the registration requirements carefully and start the process immediately. Remember you have to update your Central Contract Registry (CCR) registration annually. If you have any questions about your registration, you should contact the Grants.gov Helpdesk at 1-800-518-4726 to verify that you are still registered in Grants.gov.
Registration Requirements
There are several one-time actions you must complete in order to submit an application through Grants.gov (e.g., obtain a Dunn and Bradstreet Data Universal Numbering System (DUNS) number, register with the Central Contract Registry (CCR), register with the credential provider, and register with Grants.gov). See http://www.grants.gov/GetStarted. Use the Grants.gov Organization Registration Checklist at http://www.grants.gov/assets/OrganizationRegCheck.doc to guide you through the process. Designating an E-Business Point of Contact (EBiz POC) and obtaining a special password called an MPIN are important steps in the CCR registration process. Applicants, who are not registered with CCR and Grants.gov, should allow at least 21 days completing these requirements.
IMPORTANT NOTICE TO POTENTIAL APPLICANTS: When you have completed the process, you should call the Grants.gov Helpdesk at 1-800-518-4726 to verify that you have completed the final step (i.e. Grants.gov registration).
Questions
Questions relating to the registration process, system requirements, how an application form works, or the submittal process must be directed to Grants.gov at 1-800-518-4726 or support@grants.gov. Part VII of this announcement explains how to submit other questions to the Department of Energy (DOE).
Application Receipt Notices
After an application is submitted, the Authorized Organization Representative (AOR) will receive a series of five e-mails. It is extremely important that the AOR watch for and save each of the emails. It may take up to two (2) business days from application submission to receipt of email Number 2. When the AOR receives email Number 5, it is their responsibility to follow the instructions in the email to logon to IIPS and verify that their application was received by DOE. You will need the Submission Receipt Number (email Number 1) to track a submission. The titles of the five e-mails are:
Number 1 – Grants.gov Submission Receipt Number
Number 2 – Grants.gov Submission Validation Receipt for Application Number
Number 3 – Grants.gov Grantor Agency Retrieval Receipt for Application Number
Number 4 – Grants.gov Agency Tracking Number Assignment for Application Number
Number 5 – DOE e-Center Grant Application Received
The last email will contain instructions for the AOR to register with the DOE e-Center. If the AOR is already registered with the DOE e-Center, the title of the last email changes to:
Number 5 – DOE e-Center Grant Application Received and Matched
This email will contain the direct link to the application in IIPS. The AOR will need to enter their DOE e-Center user id and password to access the application.
VERY IMPORTANT – Download PureEdge Viewer
In order to download the application package, you will need to install PureEdge Viewer. This small, free program will allow you to access, complete, and submit applications electronically and securely. For a free version of the software, visit the following web site: http://www.grants.gov/DownloadViewer.
TABLE OF CONTENTS
PART I – FUNDING OPPORTUNITY DESCRIPTION
PART II – AWARD INFORMATION
PART III – ELIGIBILITY INFORMATION
Eligible Applicants
Cost Sharing or Matching
Other Eligibility Requirements
PART IV – APPLICATION AND SUBMISSION INFORMATION
Address to Request Application Package
A. Letter of Intent and Pre-Application
B. Content and Form of Application
C. Submissions from Successful Applicants
D. Submission Dates and Times
E. Intergovernmental Review
F. Funding Restrictions
G. Other Submission and Registration Requirements
PART V – APPLICATION REVIEW INFORMATION
A. Criteria
B. Review and Selection Process
C. Anticipated Notice of Selection and Award Dates
PART VI – AWARD ADMINISTRATION INFORMATION
A. Award Notices
B. Administrative and National Policy Requirements
C. Reporting
PART VII – QUESTIONS/AGENCY CONTACTS
A. Questions
B. Agency Contacts
PART VIII – OTHER INFORMATION
A. Modifications
B. Government Right to Reject or Negotiate
C. Commitment of Public Funds
D. Proprietary Application Information
E. Evaluation and Administration by Non-Federal Personnel
F. Intellectual Property Developed under this Program
G. Notice of Right to Request Patent Waiver
H. Notice Regarding Eligible/Ineligible Activities
Appendices/Reference Material
A. Definitions
B. Working with National Laboratories, Universities, Research Institutions, and Other Subcontractors
C. Scientific and Technical Information Sources
PART I – FUNDING OPPORTUNITY DESCRIPTION
This notice describes Phase I funding
opportunities for the Small Business Innovation Research (SBIR) and the Small
Business Technology Transfer (STTR) programs for Fiscal Year 2007. This notice
also includes some aspects of the Phase II process as reference information.
Phase I opportunities are announced annually pursuant to the Small Business
Innovation Development Act of 1982 (Public Law 97-219), Small Business
Innovation Research Program Reauthorization Act of 2000 (Public Law 106-554),
the Small Business Research and Development Act of 1992 (Public Law 102-564),
and the Small Business Technology Transfer Program Reauthorization Act of 2001
(Public Law 107-50). Small businesses (see definition in Part III – Eligibility
Information) with strong research capabilities in science or engineering are
encouraged to apply. Some topics may seek manufacturing-related innovations in
accordance with Executive Order 13329, “Encouraging
Innovation in Manufacturing.”
The objectives of these programs include increasing private sector
commercialization of technology developed through DOE-supported research and
development (R&D), stimulating technological innovation in the private sector,
and improving the return on investment from federally-funded research for
economic and social benefits to the nation. DOE will support high-quality
research or R&D on advanced concepts concerning important mission-related
scientific or engineering problems and opportunities that are likely to lead to
significant public benefit if the research is successful.
The major difference between the SBIR and STTR programs is that STTR
grants must involve substantial cooperative research collaboration between the
small business and a single research
institution (see definitions in Appendices/Reference Material at the end of this
Notice). However, it should be noted that the SBIR program also permits
substantial collaboration between the small business and other organizations,
including research institutions. The difference is that in SBIR, the
collaboration is optional, while in STTR, the collaboration is required and
must be cooperative in nature. In the remainder of the notice,
italics will be used to identify information that pertains exclusively
to the STTR program.
Program Phases:
Phase I: Phase I grants resulting from this competition will be
made during fiscal year 2007 to small businesses, in amounts up to $100,000.
Phase I is to evaluate, insofar as possible, the scientific or technical merit
and feasibility of ideas that appear to have commercial potential. The grant
application should concentrate on research that will contribute to proving
scientific or technical feasibility of the approach or concept. Success in a
DOE Phase I is a prerequisite to further DOE support in Phase II.
An important goal of these programs is the commercialization of DOE-supported
research or R&D. Following the start of Phase I, awardees whose research or R&D
has identifiable potential to meet market needs are encouraged to seek
commitments from private sector or Federal non-SBIR/STTR funding sources for
both Phases II and III. The commitments should be obtained prior to the Phase
II grant application submission. The commitment for Phase III may be made
contingent on the DOE-supported research or R&D meeting some specific technical
objectives in Phase II, which, if met, would justify funding to pursue further
development for commercial purposes in Phase III. Having such commitments in
place at the time of a Phase II application could result in receiving extra
credit during the evaluation of the application. Full details will be provided
in the Phase II Funding Notice.
Phase II: Phase II is the principal R&D effort, and only previous DOE Phase I grantees will be eligible to compete for subsequent Phase II continuation of their Phase I projects. Phase II awards are expected to be made during fiscal year 2008 to small businesses with approaches that appear sufficiently promising as a result of the Phase I effort. Phase II grant awards are expected to be in amounts up to $750,000. Supplemental applications to request additional funding above $750,000 at the end of the two year period in Phase II will be accepted with approval from the designated DOE Project Officer. A separate funding notice will be published during the conduct of the Phase II research period to request supplemental applications. The period of performance under Phase II will depend on the scope of the effort, but normally will not exceed a 12-month initial budget period with an option for a continuation of up to 12 months. Funds will be allocated over the two budget periods. Second year funding will be contingent on the demonstration of adequate progress, evaluation of programmatic priorities, and availability of funds. Successful Phase II applicants will be issued a grant amendment covering a four-month interim period of performance while the Phase II effort is being negotiated. Should the two parties fail to agree on terms covering the Phase II effort, allowable costs incurred during the four-month interim period will be paid in accordance with Federal and DOE commercial cost principles (See FAR, Part 31, www.arnet.gov/far/loadmainre.html). It is anticipated that one-third to one-half of Phase I awardees will receive Phase II awards, depending on Phase I results, programmatic priorities, an availability of funds. Instructions and eligibility requirements for submitting Phase II grant applications will be posted at a later date on the Web at www.grants.gov. The work proposed for Phase I and Phase II, assuming that it proceeds successfully, should be suitable in nature for subsequent progress to Phase III.
Phase III: Under Phase III, it is intended that
non-SBIR capital be used by the small business
to pursue commercial applications of the R&D. That is, the SBIR/STTR funding
pays for research or R&D meeting DOE objectives identified by the DOE (Phases I
and II); non-SBIR capital provides follow-on
developmental funding to meet commercial objectives (Phase III). Additionally,
under Phase III, Federal agencies may award non-SBIR/STTR funded follow-on
grants or contracts for (1) products or processes that meet the mission needs of
those agencies, or (2) further research or R&D. The competition for SBIR/STTR
Phase I and Phase II awards satisfies any competition requirement of the Armed
Services Procurement Act, the Federal Property and Administrative Services Act,
and the Competition in Contracting Act. Therefore, an agency that wishes to
fund an SBIR/STTR Phase III project is not required to conduct another
competition in order to satisfy those statutory provisions. As a result, in
conducting actions relative to a Phase III SBIR/STTR award, it is sufficient to
state for purposes of a Justification and Approval pursuant to FAR 6.302-5 that
the project is a SBIR/STTR Phase III award that is derived from, extends, or
logically concludes efforts performed under prior SBIR/STTR funding agreements
and is authorized under 10 U.S.C. 2304(b) (2) or 41 U.S.C. 253(b) (2).
A. TYPE OF AWARD INSTRUMENT.
DOE anticipates awarding grants under this program announcement.
B. ESTIMATED FUNDING.
C. MAXIMUM AND MINIMUM AWARD SIZE.
Ceiling (i.e., the maximum amount for an individual award made under this announcement): $100,000
Floor (i.e., the minimum amount for an individual award made under this announcement): n/a
DOE anticipates making awards that will run for up to 9 months.
G. TYPE OF APPLICATION.
DOE will accept new Phase I applications under this announcement.
A. ELIGIBLE SBIR/STTR
APPLICANTS
Only small
businesses are eligible to receive SBIR/STTR awards. Joint ventures, as defined
in “Appendices/Reference Material,” may apply, provided the entity created also
qualifies as a small business. A small business is
one that at the time of award of Phase I (or Phase II, if applicable):
(1) is organized for profit, with a place
of business located in the United States, which operates primarily within the
United States or which makes a significant contribution to the United States
economy through payment of taxes or use of American products, materials or
labor;
(2) is in the legal form of an individual proprietorship, partnership, limited
liability company, corporation, joint venture, association, trust or
cooperative, except that where the form is a joint venture, there can be no more
than 49 percent participation by foreign business entities in the joint venture;
(3) is at least 51 percent owned and controlled by one or more individuals who
are citizens of, or permanent resident aliens in, the United States, except in
the case of a joint venture, where each entity to the venture must be 51 percent
owned and controlled by one or more individuals who are citizens of, or
permanent resident aliens in, the United States; and
(4) has, including its affiliates, not more than 500 employees and meets the
other regulatory requirements found in 13
CFR
Part
121. Business concerns, other than investment companies licensed, or state
development companies qualifying under the Small Business Investment Act of
1958, 15 U.S.C. 661, et seq., are affiliates of one another when either directly
or indirectly, (a) one concern controls or has the power to control the other;
or (b) a third-party/parties controls or has the power to control both.
Control can be exercised through common ownership, common management, and
contractual relationships. The term “affiliates” is defined in greater detail
in 13 CFR 121.3-2(a). The term “number of employees” is defined in 13 CRF
121.3-2(t).
Business concerns include, but are not limited to, any individual (sole
proprietorship), partnership, corporation, joint venture, association, or
cooperative. Further information may be obtained by contacting the Small
Business Administration Size District Office at http://www.sba.gov/size/.
B. COST SHARING
Cost sharing is not required. Any commercial contributions will be
considered as part of the evaluation.
C. OTHER ELIGIBILITY REQUIREMENTS
The research or R&D must be performed in the United
States for both Phases I and II. "United States" means the 50 states, the
territories and possessions of the United States, the Commonwealth of
Puerto Rico, the Trust Territory of the Pacific Islands, and the District of
Columbia. Non-U.S. citizens are eligible to perform work on SBIR/STTR
projects provided he/she legally resides in the U.S. and is legally
empowered to work in the U.S. at the time that an award is made.
Restrictions on Submitting Applications
a. Choice of Topic and Subtopic – Each grant application must be submitted to
only one topic and, within it, to only one subtopic. DOE will not
assign a topic and/or subtopic to grant applications; this must be done by the
applicant. When a grant application has relevance to more than one subtopic,
the applicant must decide which subtopic is the most relevant and submit
the grant application under that subtopic only.
b. Responsiveness – To be considered responsive, a grant application must fall within the description of the subtopic, and also satisfy any conditions contained in the introductory section of that topic. The language in both the topic introductions and the subtopics should be taken literally. Applications that do not directly address the subtopic statement will be declined for non-responsiveness, and will not be peer reviewed.
c. Submitting to Both Programs - Grant applications that include a substantial amount of cooperative research collaboration (at least 30%) with a single research institution may be considered for funding in both programs. Applicants may indicate their interest in being considered for both programs by selecting the appropriate box on the SBIR/STTR Information Form.
d. Duplicate Applications – Duplicate grant
applications, even if submitted to different topics and/or subtopics, will be
rejected without review. The application with the latest transmission time
will be accepted for evaluation.
e. Multiple Applications – There is no limit on the number of different grant applications a small business may submit, even to the same subtopic.
Restrictions on the Principal Investigator (PI)
a. General PI Requirements and Restrictions - The Principal Investigator (PI) is the key individual designated by the applicant to direct the project. The PI must be knowledgeable in all technical aspects of the grant application and be capable of leading the research effort. Because DOE's evaluation of the grant application is critically dependent on the qualifications of the PI, changes in the PI that are made after award selection are strongly discouraged. Requests for PI changes will be closely scrutinized and may cause delays in grant execution.
In addition, the
PI
is expected to devote to the project a considerable part of his or her time.
“Considerable” means at least 195 hours for both SBIR and STTR
Phase
I projects, or a minimum of five hours per week for the duration of the
project. Applicants must state the duration of the project in weeks, if
the project is to be completed in less than nine months, in order to make clear
that this requirement is fully met. In order to ensure appropriate technical
guidance for the project, only one PI will be accepted per project.
Processing of applications that include co-PIs
may be delayed while the error is corrected by the applicant. Before a grant is
awarded, the PI will be required to sign a statement certifying adherence to
these requirements.
Non-U.S.
citizens are eligible to perform work on SBIR/STTR projects provided he/she
legally resides in the U.S. and is legally empowered to work in the U.S. at the
time that an award is made.
b. Additional PI Restrictions when submitting to SBIR Only - To be awarded a SBIR grant, the applicant must meet the general requirements and the PI’s primary employment must be with the small business at the time of award and during the conduct of the proposed research. Primary employment means that no less than 20 hours per week is spent in the employment of the small business during the conduct of the project and no more than 19 hours per week spent in the employment of another organization.
c. Additional PI Restrictions when submitting to STTR Only - To be awarded a STTR grant, the applicant must meet the general requirements and the PI's primary employment may be with the small business or the research institution. However, the small business must still provide technical control and oversight of the project. If the PI is employed by the research institution, their primary employment (at least 20 hours per week) must be with the research institution in order to qualify under STTR.
d. PI Restrictions when submitting to Both SBIR and STTR – Applicants submitting to both programs must adhere to the PI restrictions set forth. Therefore, if the PI is employed by the small business, the applicant is eligible to submit to both programs. However, in cases where the PI is employed by the Research Institution, the application will only be considered under the STTR Program.
Restrictions on the Level of Small Business Participation
For both SBIR and STTR, there are requirements on the amount of the research or analytical effort that must be performed by the small business in order to be selected for and to receive a grant. The research or analytical effort is defined as the total requested funding minus the cost of any purchased or leased equipment, materials, and supplies (whether purchased by the applicant, a research institution, or by any other subcontractor). A level of effort worksheet may be found at http://www.science.doe.gov/sbir/solicitations/FY 2007/level of effort.doc to assist you in assuring the application is in compliance. Work performed by a consultant, a DOE national laboratory, or any other subcontractor, will be considered as external to the applicant organization when complying with these requirements.
SBIR Restrictions:
To be awarded a SBIR grant, a minimum of two-thirds or 67% of the research or analytical effort must be carried out by the small business applicant during Phase I; correspondingly, a maximum of one-third or 33% of the effort may be performed by an outside party such as consultants or subcontractors. (In Phase II, up to one-half of the effort may be performed by an outside party such as consultants or subcontractors).
STTR Restrictions:
To be awarded a STTR grant, at least 40% of the research or analytical effort must be allocated to the small business, and at least 30% of the effort must be allocated to a single research institution. (The same requirement is applicable for both Phase I and Phase II.)
Guidance for Submitting to both SBIR and STTR:
Grant applications that include a substantial amount of cooperative research collaboration with a single research institution may be considered for funding in both programs, ONLY if the Principal Investigator is employed by the small business.
If you choose to be considered in both programs, prepare the grant application to meet the requirements of the SBIR program. It is unlikely that STTR requirements can be satisfied unless the subcontract for the single RI is at least $30,000, this figure does not include costs for purchased/leased equipment or materials/supplies. Applicants should indicate their interest in being considered for both programs by clicking the appropriate box on the SBIR/STTR Information Form (see Part IV, Section C, 5). It is understood that because some requirements differ for the two programs, adjustments may be required after the grant application is selected for award. These adjustments will be addressed during the negotiation period before the grant begins.
Restrictions on the Management of SBIR/STTR Projects
All SBIR and STTR funding agreements are made with the Small Business regardless of the proportion of the work or funding of each of the performers (small business, research institution, subcontractor, etc.) under the grant. As the primary grantee, the small business has the overall responsibility of the project, including financial management and the direction and control of the performance. For STTR projects, where the principal investigator is from the research institution, the small business will maintain the overall supervision of the project, while the principal investigator will manage the research portion of the project.
It is recommended that all agreements between the small business and any subcontractor (including the research institution collaborating in a STTR project) reflect the controlling management position of the small business during the performance of the Phase I and/or Phase II. This includes, but is not limited to, any business plan concerning agreements and responsibilities between the parties or for the commercialization of the resulting technology.
PART IV – APPLICATION AND SUBMISSION INFORMATION
A. ADDRESS TO REQUEST APPLICATION PACKAGE.
Application forms and instructions are available at Grants.gov. To access these materials, go to http://www.grants.gov, select “Apply for Grants,” and then select “Download Application Package.” Enter the CFDA and/or the funding opportunity number located on the cover of this announcement and then follow the prompts to download the application package. NOTE: You will not be able to download the Application Package unless you have installed PureEdge Viewer (See: http://www.grants.gov/DownloadViewer).
B. LETTER OF INTENT AND PRE-APPLICATION.
1.
Letter of Intent.
Letters of Intent are not required.
2. Pre-application.
Pre-applications are not required.
C. CONTENT AND FORMS OF SBIR/STTR APPLICATION
You must complete the mandatory forms and any applicable optional forms (e.g., SF-LLL- Disclosure of Lobbying Activities) in accordance with the instructions on the forms and the additional instructions below. Files that are attached to the forms must be in Adobe Portable Document Format (PDF) unless otherwise specified in this announcement.
1. SF 424 (R&R).
Complete this form first to populate data in other forms. Identify the technical topic and subtopic in the title field (number 11) of this form. Complete all the required fields in accordance with the pop-up instructions on the form. To activate the instructions, turn on the “Help Mode” (Icon with the pointer and question mark at the top of the form). The list of certifications and assurances referenced in Field 18 can be found on the Applicant and Recipient Page at http://grants.pr.doe.gov, under Certifications and Assurances.
2. RESEARCH AND RELATED Other Project Information.
Complete questions 1 through 5 and attach files. The files must comply with the following instructions:
Project Summary/Abstract (Field 6 on the Form)
The project
summary/abstract must contain a summary of the proposed activity suitable for
dissemination to the public. This document must not include any proprietary or
sensitive business information as the Department may make it available to the
public. The project summary must not exceed 1 page when printed using standard
8.5” by 11” paper with 1” margins (top, bottom, left and right) with font not
smaller than 11 point. Save this information in a file named “Summary.pdf,”
and click on “Add Optional Other Attachment” to attach.
The summary must include:
Statement of the problem or situation that is being addressed. Describe the
problem or situation being addressed – be sure that the Department of Energy and
National interest in the problem is clear. (Typically one to three sentences).
General statement of how this problem is being addressed. This is the overall objective of the combined Phase I and Phase II projects. How is this problem being addressed? – i.e., What is the overall approach of the combined Phase I/Phase II project? (Typically one to two sentences).
Commercial Applications and Other Benefits. Summarize the future applications
and/or public benefits if the project is carried over into Phase II and beyond.
Do not repeat information already provided above.
Key Words - Provide listing of key words that describe this effort.
Summary for Members of Congress: (Layman’s Terms, Two Sentences Maximum, 50 words). The Department notifies members of Congress of awards in their districts. Therefore, please provide, in clear and concise layman’s terms, a very brief summary of the project, suitable for a possible press release from a Congressional office.
Project Narrative
(Field 7 on the form)
The project narrative must be no longer
than 20 pages of text. It must be typed in 12-point, with 1 inch margins. All
grant applications must be submitted in response to a specific technical topic
and subtopic announced in this notice. This information should be identified in
a header on each page of the project narrative as well as on the SF 424 R&R in
the title field (number 11).
Grant applications, submitted to DOE under SBIR/STTR programs, must
provide sufficient information to convince DOE, and members of the research
community who review the grant application, that the application is responsive
to the topic and subtopic under which it is submitted, that the proposed work
represents a sound approach to the investigation of an important scientific or
engineering question, and that it is worthy of support under the stated
criteria. The Phase I grant application should describe self-contained research
that will contribute to proving scientific or technical feasibility of the
approach or concept. It should be written with the care and thoroughness
accorded papers for publication--direct, concise, informative, and free from
grammar, typographical, and spelling errors. Illustrations and charts should be
clearly labeled and correctly referenced in the text. Promotional and
non-project-related discussion detracts from the professional quality of the
proposal. The work proposed for Phase I, assuming that it proceeds
successfully, should be suitable in nature for subsequent progression to Phases
II and III.
Technical reviewers will base their conclusions only on information contained in the grant application. Do not assume that reviewers are acquainted with the small business, key individuals, or any theory or experiments referred to, but not described. (This includes material in refereed professional journals--those in which the articles have been subjected to peer review, and material referenced on Internet Web pages). Relevant journal articles should be summarized in the grant application. Information provided via Web links will not be reviewed.
Specifically excluded from this funding notice are grant applications principally for literature surveys, for compilations of the work of others, for technical assessments, or for technical status surveys. If any of these types of tasks are included in the work plan, the grant (if awarded) may be reduced in proportion to that effort. In addition, grant applications primarily for the development of already proven concepts will be declined, because such efforts are considered the responsibility of the private sector.
Narrative descriptions of the technical topics are provided. Each technical
topic is subdivided into a maximum of 4 subtopics, designated by the letters a,
b, c, or d. A grant application must respond to a specific technical topic
and, within it, to only one subtopic. NOTE: The topic numbers change
each year. Be sure to identify the correct topic number on the SF 424 R&R in
the title field (number 11). The application will be evaluated under the topic
number identified. The DOE will not be responsible for reassigning applications
to the correct topic number if identified incorrectly.
The Project Narrative format should follow the outline below:
a. Identification and Significance of the Problem or Opportunity, and Technical Approach – Define the specific technical problem or opportunity addressed by your application. Provide enough background information so that the importance of the problem/opportunity is clear. Indicate the overall technical approach to the problem/opportunity and the part that the proposed research plays in providing needed results.
b. Anticipated Public Benefits – Discuss the technical, economic, social, and other benefits to the public as a whole anticipated if the project is successful and is carried over into Phases II and III. Identify specific groups in the commercial sector as well as the Federal Government that would benefit from the projected results. Describe the resultant product or process, the likelihood that it could lead to a marketable product, and the significance of the market.
c. Technical Objectives – State the specific technical objectives of the Phase I effort, including the questions it will try to answer to determine the feasibility of the proposed approach.
d. Phase I Work Plan – Provide an explicit, detailed description of the Phase I research approach and work to be performed. Indicate what will be done, by whom (small business, subcontractors, research institution, or consultants), where it will be done, and how the work will be carried out. If applicant is making a commercial or in-kind contribution to the project, please describe in detail here. The Phase I effort should attempt to determine the technical feasibility of the proposed concept which, if successful, would provide a firm basis for the Phase II grant application.
Relate the work plan to the objectives of the proposed project. Discuss the methods planned to achieve each objective or task explicitly and in detail. This section should be a substantial portion of the total grant application.
Phase I Performance Schedule – Briefly describe the important milestones and the estimated percentage of time for completing each task described in the work plan.
e. Related Research or R&D – Demonstrate knowledge of key recent work conducted by others in the specific area of the proposed project. If not already addressed, describe significant research that is directly related to the grant application, including any conducted by the Principal Investigator or by the applicant organization. Describe how it relates to the proposed effort and any planned coordination with outside sources. Applicants should be or become familiar with the references provided following each topic description.
f. Principal Investigator and other Key Personnel – The Principal
Investigator (PI) must be knowledgeable in all technical aspects of the grant
application and be capable of leading the research effort and meet the
requirements described in Part III, C. Describe the effort to be performed by
the PI during the project.
g. Facilities/Equipment – Describe available equipment and physical facilities necessary to carry out the Phase I effort. Items of equipment to be leased or purchased must be described and justified in this section. Equipment is defined as an article of tangible, nonexpendable, personal property, including exempt property, charged directly to the award, having a useful life of more than one year, and an acquisition cost of $5,000 or more per unit. Title to equipment purchased under this award lies with the government. It may be transferred to the grantee where such transfer would be more cost effective than recovery of the property by the government. Awardees wishing to obtain title should contact their Contract Specialist prior to project completion for the procedure to follow.
If the equipment, instrumentation, and facilities are not the property of the applicant and are not to be purchased or leased, the source must be identified and their availability and expected costs specifically confirmed in this section. A principal of the organization that owns or operates the facilities/equipment must certify regarding the availability and cost of facilities/equipment and any associated technician cost; a copy of this certification must be submitted as part of the grant application.
To the extent possible in keeping with the overall purposes of the program, only American-made equipment and products should be purchased with financial assistance provided under both Phase I and Phase II awards.
h. Consultants and Subcontractors (including Research Institutions for STTR)
Research Institution – If the grant application contains substantial
collaboration with a research institution
(required for STTR, optional for SBIR), (1) identify the name and address of
the institution, the name, phone number, and email address of the certifying
official from the research institution, and the total dollar amount of the
subcontract, and (2) describe in detail the work to be done by this institution
in the Work Plan section. The research institution will be considered a
subcontractor to the small business applicant. The research institution must
provide a letter of commitment on official letterhead from the institution which
commits the institution to participate in the project as described in the grant
application. The letter should be attached as an “other attachment” (see Part
IV, Section C, 2). If selected for award, participation of the research
institution will be verified by the Contracting Office.
Other Consultants
and Subcontractors
– Involvement of
consultants or subcontractors in the planning and research stages of the project
is permitted provided the work is performed in the United States. If
consultants and/or subcontractors are to be used, this section of the
application must identify them by name, identify whether the party is being
proposed as a consultant versus as a subcontractor, and should provide "Letters
of Commitment" from the consultants and/or subcontractors. The letters must
provide a detailed cost estimate [including costs for labor, equipment,
and materials, if any] for the consultant or
subcontractor, as well as a specific statement certifying that they have
agreed to serve in the manner and to the extent described in the Work
Plan
section of the grant application. Each letter must be on official letterhead
with an authorizing representative’s contact information provided and submitted
as an “other attachment” to the application (see Part IV, Section C, 2). If
selected for award, the Contracting Officer will verify the participation of
any subcontractors and/or consultants and will require budget and budget
explanations for subcontractors and verification of the rates for consultants.
Note: Consultants should not be employees of either the small business or any
subcontractor.
Non-U.S.
citizens are eligible to perform work on SBIR/STTR projects provided he/she
legally resides in the U.S. and is legally empowered to work in the U.S. at the
time that an award is made. None of the small business personnel can also be
consultants or employees of a subcontractor.
Other Attachment (Field 11 on the form)
If you need to elaborate on your responses to questions 1-5 on the “Other Project Information” document, provide the information in a single file named “projinfo.pdf”. Click on “Add Attachments” in Field 11 to attach file.
Also, attach the following files, if applicable:
Similar Grant Applications, Proposals, or Awards
Please respond to question 5 and include the following:
· The name, address, and point of contact including telephone number of the agency(s) to which a proposal or grant application was submitted, or will be submitted, or from which an award is expected or has been received.
· The date of submission or the date of award.
· The title of the grant application.
· The name and title of the project manager or Principal Investigator for each proposal or grant application submitted or award received.
· The number and date of the funding opportunity notice under which the application or award was received.
· The title of the specific research topic to which the application or award was submitted.
· In the event that a proposal or grant application is selected for award by more than one agency, a negotiation will be conducted among the parties to avoid duplication of effort.
Documentation of Multiple SBIR Phase II Awards
Public Law 102-564 requires that a small business that submits a SBIR Phase I grant application that has already received more than 15 Phase II SBIR awards, as totaled from all Federal agencies with SBIR programs during the preceding five fiscal years, must document the extent to which it was able to secure Phase III funding to develop concepts resulting from previous Phase II awards. Accordingly, such small business concerns shall submit, for each SBIR Phase II award, the name of the awarding agency, the date of the award, the funding agreement number, the funding amount, the topic or subtopic title, the amount of follow-on funding, the source and the date that the follow-on funding was provided, and the current commercialization status. This required information will not be counted toward the page count and should be attached with the heading "Addendum--Phase II History" (see Part IV, Section C, 2 Other Attachments).
3. RESEARCH AND RELATED Senior/Key Person.
Complete this form before the Budget form to populate data on the Budget form. The Principal Investigator (PI) is the key individual designated by the applicant to direct the project. Only one PI is acceptable per project. The PI does not need to be a U.S, citizen; however, all work must be performed in the United States. See “Restrictions on the Principal Investigator” in Part III C, Other Eligibility Requirements.
Beginning with the Principal Investigator (PI), provide a profile for each senior/key person proposed. Each senior/key person must be aware that he/she is included in the grant application and must agree to perform the work if selected for award. A senior/key person is any individual who contributes in a substantive, measurable way to the scientific/technical development or execution of the project, whether or not a salary is proposed for this individual. Subawardees and consultants must be included if they meet this definition. For each senior/key person provide:
Biographical Sketch.
Complete a biographical sketch for each senior/key person and attach to the “Attach Biographical Sketch” field in each profile. The biographical information for each person must not exceed 2 pages when printed on 8.5” by 11” paper with 1 inch margins (top, bottom, left, and right) with font not smaller than 11 point and must include:
Education and Training. Undergraduate, graduate and postdoctoral training, provide institution, major/area, degree and year.
Research and Professional Experience: Beginning with the current position list, in chronological order, professional/academic positions with a brief description.
Publications. Provide a list of up to 10 publications most closely related to the proposed project. For each publication, identify the names of all authors (in the same sequence in which they appear in the publication), the article title, book or journal title, volume number, page numbers, year of publication, and website address if available electronically.
Patents, copyrights and software systems developed may be provided in addition to or substituted for publications.
Current and Pending Support. Provide a list of all current and pending support
(both Federal and non-Federal) for the Project Director/Principal Investigator
and senior/key persons, including subawardees, for ongoing projects and pending
applications.
4. RESEARCH AND RELATED BUDGET.
Complete the Research and Related Budget form in accordance with the instructions on the form (Activate Help Mode to see instructions) and the following instructions. You must complete a separate budget for the support requested (one budget for the applicant and a budget for each subawardee). The form will generate a cumulative budget for the total project period. You must complete all the mandatory information on the form before the NEXT PERIOD button is activated. You may request funds under any of the categories (other than “Participant/Trainee Support Costs”) listed as long as the item and amount are necessary to perform the proposed work, meet all the criteria for allowability under the applicable Federal cost principles, and are not prohibited by the funding restrictions in this announcement (See PART IV, G).
Budget Justification (Field K on the form).
Provide the
required supporting information for all proposed costs (See R&R Budget
instructions. Attach a single budget justification file (will not count in page
limit) for the entire project period in Field K. The file automatically
carries over to each budget year. Please note, if you are selected for an
award, additional budget information will most likely be required.
Notes regarding Budget:
· Although there is no absolute cap on indirect costs, grant applications will be evaluated for overall economy and value to DOE.
· Tuition expenses are only allowable if requested from a subcontractor that is a University and if the amount requested for tuition is reasonable and comparable to the amount a student would be paid for performing research during the grant period.
· Travel funds must be justified and directly related to the needs of the project. Travel expenses for technical conferences are not permitted unless the purpose of attending the conference directly relates to the project (e.g., to present research results of the project). Funds to cover travel expenses outside of the U.S. is considered an unallowable cost unless written approval has been obtained from the SBIR/STTR Program Manager.
· Grants may include a profit or fee for the small business.
· Any commercial and/or in-kind contribution to the project should be reflected in the project narrative and not included on the budget pages.
5. SBIR/STTR INFORMATION FORM
Complete all the required fields in accordance with the pop-up instructions on the form. To activate the instruction, turn on the “Help Mode” (Icon with the pointer and question mark at the top of the form).
Question 7, Commercialization Plan
Commercialization Plan. A succinct commercialization plan must be included in a Phase I grant application. Attach the file in the block provided. The Commercialization Plan will be evaluated under the “Impact” criteria. The plan should include:
(a) Company Information: Describe core competencies; size; specialization areas; products with significant sales; and history of previous Federal and non-federal funding, regulatory experience, and subsequent commercialization (see question 8 for specific information requested).
(b) Market: Analyses of market size, and estimated market share after first year sales and after 5 years.
(c) Intellectual Property: Patent status, technology lead, trade secrets or other demonstration of a plan to achieve sufficient protection to realize the commercialization stage.
Question 8, Company Commercialization History.
If the answer to the this question is yes, provide your commercialization history in a table which includes: title of the project; source of funding (if Federal, indicate whether SBIR, STTR or other); year the funding was received; total sales of the resulting product or service (include sales by your company and any licensee- identify the licensee); and total revenues obtained from commercialization (identify sources of these revenues). Attach in the block provided.
6. SF-LLL Disclosure of Lobbying Activities
If applicable, complete SF- LLL. Applicability: If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the grant/cooperative agreement, you must complete and submit Standard Form - LLL, "Disclosure Form to Report Lobbying.”
Summary of
Required Forms/Files
Your application must include the following documents:
|
Name of Document |
Format |
Attach to |
|
SF 424 (R&R) |
PureEdge Form |
N/A |
|
RESEARCH AND RELATED Other Project Information |
PureEdge Form |
N/A |
|
Project Summary/Abstract |
|
Field 6 |
|
Project Narrative, including required appendices |
|
Field 7 |
|
RESEARCH & RELATED SENIOR/KEY PERSON |
PureEdge Form |
N/A |
|
Biographical Sketch |
|
Attach to appropriate block |
|
RESEARCH & RELATED BUDGET |
PureEdge Form |
N/A |