FINANCIAL ASSISTANCE
FUNDING
<
Office of
Science
Annual Phase I Small Business Innovation Research
(SBIR)
Small Business Technology Transfer (STTR)
Funding
Funding
Announcement
Type: Initial
CFDA Number:
81.049
ISSUE DATE:
PREAPPLICATION
DUE DATE: Not Required
LETTER OF
INTENT DUE DATE: Not Required
APPLICATION DUE DATE:
NOTE: REQUIREMENTS FOR GRANTS.
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. If
you have any questions about your registration, you should contact the
Grants.gov Helpdesk at
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 (
IMPORTANT NOTICE TO POTENTIAL APPLICANTS: When you have completed the process, you should call
the Grants.gov Helpdesk at
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
Application Receipt Notices: After
an application is submitted, the Authorized
Organization Representative (
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
Number 5 – DOE e-Center Grant Application Received and Matched
This email will contain the
direct link to the application in IIPS. The
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.
Microsoft Windows Vista users: Please note that PureEdge does not work with
Microsoft Windows Vista at this time. Grants.gov provides an alternative solution at
http://www.grants.gov/resources/download_software.jsp#citrixnonwindow
The default file format used by Microsoft
Office 2007 presents compatibility issues with Grants.gov. For solutions to the Office 2007
compatibility issue, go to http://www07.grants.gov/help/submit_application_faqs.jsp
TABLE OF CONTENTS
PART I – FUNDING
PART II – AWARD INFORMATION
A.
Type of
Award Instrument
B.
Estimated
Funding
C.
Maximum and
Minimum Award Size
D.
Expected
Number of Awards
E.
Anticipated
Award Size
F.
Period of
Performance
G.
Type of
Application
PART
A.
Eligible SBIR
Applicants
B.
Eligible
STTR Applicants
C.
Cost Sharing
or Matching
D.
Other
Eligibility Requirements
PART IV – APPLICATION
A.
Address to
Request Application Package
B.
Letter of
Intent and Pre-Application
C.
Content and
Form of Application
D.
Submissions
from Successful Applicants
E.
Submission
Dates and Times
F.
Intergovernmental
Review
G.
Funding
Restrictions
H.
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
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
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 2008. 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
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.
Other than different eligibility requirements (see Part
Program Phases:
Phase I: Phase I grants resulting from this competition
will be made during fiscal year 2008 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
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 2009
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 brief
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 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
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).
PART II – AWARD
INFORMATION
A. TYPE OF AWARD INSTRUMENT.
DOE anticipates awarding
grants under this program announcement.
B. ESTIMATED FUNDING.
Approximately $36 Million is expected to
be available for new Phase I awards under this announcement.
C. MAXIMUM
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
D. EXPECTED NUMBER OF AWARDS.
DOE anticipates making approximately
360 awards under this announcement. SBIR and STTR awards are
subject to the availability of funds and this funding opportunity announcement does not obligate DOE to
make any awards under either Phase I or Phase II.
E. ANTICIPATED AWARD SIZE.
The average award size for this program in
FY 2007 was $ 99,740. DOE expects the average award
size to be similar under this announcement.
F. PERIOD OF PERFORMANCE.
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.
PART
A. ELIGIBLE
SBIR APPLICANTS.
Only
1. 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. 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% participation by business entities
in the joint venture;
3. At least 51% owned and controlled by one or
more individuals who are citizens of, or permanent resident aliens in, the
United States, or it must be a for-profit business concern that is at least 51%
owned and controlled by another for-profit business concern that is at least
51% 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);
4. Has, including its affiliates, not more
than 500 employees and meets the other regulatory requirements found in 13
C.F.R. 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 C.F.R.
121.3-2(a). The term "number of employees" is defined in 13 C.F.R.
121.3-2(t).
Further information
may be obtained by contacting the Small Business Administration Size District
Office at http://www.sba.gov/size/.
Small business concerns submitting to both programs must meet eligibility requirements of both SBIR and STTR applicants.
B. ELIGIBLE
STTR APPLICANTS.
Only
1. 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. 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% participation by business entities
in the joint venture;
3. At least 51% owned and controlled by one or
more individuals who are citizens of, or permanent resident aliens in, the
4. Has, including its affiliates, not more than
500 employees and meets the other regulatory requirements found in 13 C.F.R.
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 C.F.R. 121.3-2(a). The term "number of
employees" is defined in 13 C.F.R. 121.3-2(t).
Further
information may be obtained by contacting the Small Business Administration
Size District Office at http://www.sba.gov/size/.
Small business concerns submitting to both programs must meet eligibility requirements of both SBIR and STTR applicants.
C.
Cost
sharing is not required. However, any commercial contributions will be
considered as part of the evaluation.
D. OTHER ELIGIBILITY REQUIREMENTS.
The research or R&D must be performed in
the
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 required to
devote to the project a considerable part of his or her time.
“Considerable” means a minimum average of 3 hours per week for the duration of
the project for both SBIR and STTR Phase I projects. For example a 9-month project, lasting 37
weeks, would require a commitment of 111 hours. 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 it 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
is legally empowered to work in the
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.sc.doe.gov/sbir/solicitations/FY%202008/level_of_effort.doc or http://www.sc.doe.gov/sbir/solicitations/FY%202008/level_of_effort.xls 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).
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
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).
Microsoft Windows Vista users: Please
note that PureEdge does not work with Microsoft Windows Vista at this time. Grants.gov provides an alternative solution
at http://www.grants.gov/resources/download_software.jsp#citrixnonwindow
The default file format used by
Microsoft Office 2007 presents
compatibility issues with Grants.gov.
For solutions to the Office 2007 compatibility issue, go to http://www07.grants.gov/help/submit_application_faqs.jsp
B. LETTER OF
INTENT
1. Letter
of Intent.
Letters of Intent are not required.
2. Pre-application.
Pre-applications
are not required.
C. CONTENT
You
must complete the mandatory forms and any applicable optional forms (e.g., SF-
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
Complete questions 1 through 5 and attach files.
If the answer to question 3 is “Yes”, you must identify proprietary information with a legend on the first page of your project narrative and on each page that contains proprietary information in accordance with instructions provided in Part VIII, Sections D and F.
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:
Company name
Project Title
Principal Investigator
Topic number / subtopic letter
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 public 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 and should be in a single PDF file with the exception of the budget justification, level-of-effort worksheet, and project summary, which must be attached separately as directed in Grants.gov. 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 (topic number and subtopic letter) 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). The project narrative header should also include company name, and project title. Sequentially number each page of the project narrative.
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
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
at: www.sc.doe.gov/sbir/Solicitations/FY%202008/Table_of_contents_sub.htm.
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. Cover page – Provide company and project information
including company name and address, principal investigator, project title,
topic number and subtopic letter.
b. Proprietary Data Legend – If applicable. See Part VIII, Sections D and F.
c. Identification and
Significance of the Problem or
d. 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
e. 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.
f. 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.
g. 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.
h. 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
i. 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.
j. 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 an authorized representative of 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