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
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 should be attached with the heading "Addendum--Phase II History" (see Part IV, Section C, 2 Other Attachments).
3. RESEARCH
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
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
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
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 that includes the hourly rate and number of proposed hours
for the principal investigator and senior/key persons 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
· 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.
·
Round all funds to the nearest dollar.
Complete level-of-effort worksheet located 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
(Attach in Field 11 – Research & Related Other
Project Information)
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 Field 11 of the Research & Related Other Project Information Form because Question 7 will not accept the attachment for a Phase I grant application submission. 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: company name, 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-
If applicable, complete SF-
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 |
PureEdge
Form |
N/A |
|
Project Summary/Abstract |
PDF |
Field
6 |
|
Project Narrative, including required
appendices |
PDF |
Field
7 |
|
RESEARCH
& RELATED SENIOR/ |
PureEdge
Form |
N/A |
|
Biographical Sketch |
PDF |
Attach
to appropriate block |
|
RESEARCH
& RELATED BUDGET |
PureEdge
Form |
N/A |
|
Budget Justification |
PDF |
Field
K |
|
SBIR/STTR
INFORMATION |
PureEdge
Form |
N/A |
|
Commercialization Plan for Phase I (See
Question 7) |
PDF |
Attach
to appropriate block |
|
Commercialization History, if
applicable (See Question 8) |
PDF |
Attach
to appropriate block |
|
SF- |
PureEdge
Form |
N/A |
D. SUBMISSIONS
FROM SUCCESSFUL APPLICANTS.
If
selected for award, DOE reserves the right to request additional or clarifying
information for any reason deemed necessary, including, but not limited to:
§ Indirect cost information
§ Other
budget information
§ Name and phone number of the Designated
Responsible Employee for complying with national policies prohibiting
discrimination (See 10
§ Representation
of Limited Rights Data and Restricted Software, if applicable
§ Commitment
Letter from Third Parties Contributing to Cost Sharing, if applicable
§ Fee
justification
§ Representation
concerning financial management system
§ Consultant
documentation/verification of rates
SBIR/STTR Certifications
If selected for an award, applicants will be required to sign and submit one or more of the following certifications. Forms will be provided by the DOE Contract Specialist during award negotiation. (The following links are provided for information purposes.)
a. Principal Investigator Certification
http://www.science.doe.gov/sbir/solicitations/FY
2008/picert.htm
b. Property and Commercialization Rights Agreement Certification
http://www.science.doe.gov/sbir/Solicitations/FY%202002/model.htm
E. SUBMISSION DATES
APPLICATION
DUE DATE.
Applications must be received by
Unsolicited
grant applications will not be accepted in either Phase I or Phase II.
Any submission incorporating data
affecting the national security will not be accepted for evaluation.
F. INTERGOVERNMENTAL
REVIEW.
This program is not subject to Executive Order 12372 – Intergovernmental Review of Federal Programs.
G. FUNDING
RESTRICTIONS.
Cost Principles Costs must be allowable in accordance with the
applicable Federal cost principles referenced in 10
Indirect Costs
Indirect costs are normally a component of a project budget and derive from
an applicant’s ‘Indirect Rate(s)’, established in accordance with its financial
management system. Experience has shown that creating and supporting
these rates can be one of the most problematic elements of a budget, and the
subsequent negotiation of costs for the project. Applicants are
encouraged to be proactive in ensuring that all proposed rates are established
timely and in accordance with applicable cost principles.
If you are selected for award, establishing the acceptability of your proposed indirect costs, if any, is essential to the review of your budget and may take various forms, including:
- An Indirect Cost Rate Agreement (ICRA) in effect with your cognizant Federal agency covering the period of performance of this award, supporting the indirect rate(s) proposed.
- If no ICRA exists, an Indirect Cost Rate Proposal may be submitted to DOE for evaluation
- Indirect rates which have been accepted for estimating purposes by DOE or another Federal agency for the period of performance of this award.
If you are proposing indirect costs and do not already have an Indirect Cost Rate Agreement with your cognizant Federal agency or documentation of rates accepted for estimating purposes by DOE or another Federal agency, it is recommended that you begin preparing an Indirect Cost Rate Proposal to be submitted, upon request, to the contract specialist who will evaluate your proposal if you are selected.
For your convenience in preparing an Indirect Cost Rate
proposal, links are provided below to the document titled “Guidance for
Indirect Rate Submission” and to a model indirect rate proposal spreadsheet.
http://www.science.doe.gov/sbir/solicitations/FY 2008/GuidanceIR0407.doc
http://www.science.doe.gov/sbir/solicitations/FY 2008/Copy of Simple Indirect Rate Model.xls
Pre-award Costs
Recipients may charge to an award resulting from this announcement pre-award costs that were
incurred within the ninety (90) calendar day period immediately preceding the
effective date of the award, if the costs are allowable in accordance with the
applicable Federal cost principles referenced in 10
Pre-award costs are incurred at the applicant’s risk. DOE is under no obligation to reimburse such costs if for any reason the applicant does not receive an award or if the award is made for a lesser amount than the applicant expected, or if the costs are found to be unallowable, unreasonable, or not allocable to the project.
H. OTHER SUBMISSION
1. Where to Submit.
APPLICATIONS
MUST BE SUBMITTED THROUGH GRANTS.
2. Registration Process.
You must COMPLETE the one-time registration process (all steps)
before you can submit your first application through Grants.gov (See www.grants.gov/GetStarted).
We recommend that you start this process at least three weeks before the
application due date. It may take 21 days or more to complete the entire
process. Use the Grants.gov Organizational Registration Checklists at http://www.grants.gov/assets/OrganizationRegCheck.doc
to guide you through the process. IMPORTANT:
During the
When you have completed the process, you should call the Grants.gov Helpdesk at
1-
3. 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
ONCE THE
Part V -
APPLICATION REVIEW INFORMATION
A. CRITERIA
1. Initial Review Criteria.
The
SBIR/STTR Office will perform an initial administrative screening to ensure
that the application meets the requirements described in Part
Phase I grant applications will be judged on a
competitive basis against other
applicants within the same technical program area in several stages. Those passing the initial administrative screening
will be evaluated by DOE technical managers (either the topic author or a
technical expert within the program area) to ensure that they (1) meet stated
funding opportunity notice requirements, (2) are responsive to the topic and
subtopic, (3) contain sufficient information for a meaningful technical review,
(4) are for research or for research and development, (5) do not duplicate
other previous or current work, and (6) are of high overall quality as compared
to other grant applications received in the same topic. Grant
applications which fail to pass will be declined without further review.
2. Merit Review Criteria.
Evaluation Criteria for Phase I applications only:
DOE plans to make selections for Phase I awards from those grant applications judged to
have the highest overall merit within their technical program area, with
approximately equal consideration given to each of the following criteria:
1. Strength of the Scientific/Technical Approach as evidenced by (1) the innovativeness of the idea and the approach, (2) the significance of the scientific or technical challenge, and (3) the thoroughness of the presentation.
2. Ability to Carry out the Project in a Cost Effective Manner as evidenced by (1) the qualifications of the Principal Investigator, other key staff, subcontractors and consultants, if any, and the level of adequacy of equipment and facilities; (2) the soundness and level of adequacy of the work plan to show progress toward proving the feasibility of the concept; and (3) the degree to which the DOE investment in the project would be justified by the level of proposed research effort.
3. Impact as evidenced by (1) the significance of the technical and/or economic benefits of the proposed work, if successful, (2) the likelihood that the proposed work could lead to a marketable product or process, and (3) the likelihood that the project could attract further development funding after the SBIR or STTR project ends.
Evaluation Criteria for Phase II applications only:
The Phase II grant application must contain enough information on progress
accomplished under Phase I, by the time of Phase II grant application
submission, to enable an evaluation of the project's promise if continued into
Phase II.
Phase II grant applications will be evaluated using the following
criteria:
1. Strength of the scientific/technical approach as evidenced by: (1) the strength and innovativeness of the overall idea and approach for the combined Phase I/Phase II project, (2) the significance of the scientific or technical challenge, and (3) the thoroughness of the presentation.
2. Ability to carry out the project in a cost effective manner as evidenced by: (1) the qualifications of the Principal Investigator, other key staff, consultants and subcontractors, if any, and the level of adequacy of equipment and facilities; (2) the soundness and level of adequacy of the work plan to meet the problem or opportunity; (3) with regard to the Phase I objectives, the degree to which Phase I has proven feasibility of the concepts; and (4) the degree to which the DOE investment in the project would be justified by the level of proposed research effort.
3. Impact as evidenced by: (1) the significance of the technical and/or economic benefits of the proposed work, if successful, (2) the likelihood that the proposed work could lead to a marketable product or process, and (3) the likelihood that the project could attract further development funding after the SBIR or STTR project ends. The following evidence is also evaluated: (4) the information contained in the company’s commercialization plan, including past history of commercializing SBIR/STTR or other research, (5) the existence of Phase II funding commitments from the applicant, other private sector, or non-SBIR/STTR funding sources, and (6) Phase III follow-on funding commitments for the subject of the research.
Each criterion will be assigned a rating based on the evidence provided. The overall score of the application is determined by the average of the ratings for the three criteria. The Impact criterion is evaluated in two parts; technical potential and business capability. Technical potential as evidenced by 1, 2, and 3 is evaluated during peer review and is provided a rating. Business capability as evidenced in 4, 5, and 6 is evaluated internally by DOE experts and provided a rating. The ratings for technical potential and business capability are then averaged into one rating for the Impact criterion.
B. REVIEW
1. Merit Review.
Grant applications that pass the initial review criteria as stated above will be further evaluated by outside independent scientific and engineering experts to determine the most promising technical and scientific approaches. Each grant application will be judged competitively against the Phase I evaluation criteria on its own merit. Final decisions will be made by the DOE SBIR/STTR Program Manager based on the evaluation criteria and consideration of other factors, such as budget and program balance.
2. Selection.
The Selection Official will consider the merit review
recommendation, program policy factors, and the amount of funds
available.
The
DOE will not fund any grant application for which there is a reservation with
respect to any of the three evaluation criteria, as determined by the review
process. In addition, because the DOE supports only high quality research
and development, grant applications will be considered candidates for funding
only if they receive strong endorsements with respect to at least two of the
three criteria. From those grant applications considered candidates for
funding, each of the participating DOE program areas will select up to a pre-determined
number for funding. (The pre-determined number is proportional to a
program area’s monetary contribution to the SBIR/STTR programs.)
3. Discussions
and Award.
The
Government may enter into discussions with a selected applicant for any reason
deemed necessary, including, but not limited to: (1) the budget is not
appropriate or reasonable for the requirement; (2) only a portion of the
application is selected for award; (3) the Government needs additional
information to determine that the recipient is capable of complying with the
requirements in 10
C. ANTICIPATED
NOTICE OF SELECTION
DOE anticipates notifying applicants selected for award by mid-April 2008 and making awards by mid-to-late June 2008.
PART VI - AWARD ADMINISTRATION
INFORMATION
A. AWARD
NOTICES.
This funding notice is intended for informational purposes and reflects current
planning. If there is any inconsistency between the information contained
herein and the terms of any resulting SBIR or STTR award, the terms of the
award shall control.
1. Notice of Selection.
DOE will notify applicants selected for award. This notice of selection is not an authorization to begin performance. (See Part IV.G with respect to the allowability of pre-award costs.)
Organizations whose applications have not been selected
will be advised as promptly as possible.
Written comments from the technical evaluators will be provided to all awardees
(business officials) automatically with the award notification via email.
Unsuccessful applicants may request written evaluator comments up to 30 days
after the public announcement of the final selections. The identity
of reviewers and their affiliation will not be disclosed.
If an application is selected
for award under the SBIR program that includes a subcontract to a
Federally-owned, contractor-operated lab (such as Argonne National Laboratory),
the SBIR office will require the awardee to complete a Certification for Using
a National Laboratory. This certification form will be provided to the
awardee with the award notification.
2. Notice of
Award.
A Notice of Financial Assistance Award issued by the
contracting officer is the authorizing award document. It normally
includes, either as an attachment or by reference: 1. General Terms and
Conditions for DOE SBIR and STTR grants; 2. Special Terms and Conditions;
3. Applicable program regulations, if any; 4. Application as
approved by DOE.; 5. DOE assistance regulations at 10
B. ADMINISTRATIVE
1. Terms and Conditions and National Policy Requirements.
Successful applicants must comply with the terms and conditions in the award document. The General Terms and Conditions for DOE SBIR and STTR Grants and the National Policy Assurances To Be Incorporated As Award Terms are located at http://grants.pr.doe.gov.
2. Cooperative Research and Development
Agreements
SBIR/STTR grant recipients who have chosen a DOE laboratory as a subcontractor
may be required to implement a Cooperative Research and Development Agreement
(CRADA). CRADAs are collaborative research agreements between DOE
laboratories and their partners, and are approved by the DOE Contracting
Officer with the cognizant national laboratory. In many cases, the
CRADA could be used as a vehicle for the property and commercialization rights
agreement required by the STTR program.
Immediately after the applicant small business is notified that it has been chosen for an SBIR/STTR grant, the company should contact the laboratory to determine if a CRADA will be required. If the DOE laboratory requires a CRADA, no work may be initiated by the laboratory under the grant until the CRADA has been approved.
Implementation of a CRADA begins with project definition
and milestones, and leads to a statement of work. Standard terms and
conditions, with a total of 60 options to provide maximum flexibility, are
available from the laboratory for use by partners and laboratories. A
streamlined, short-form CRADA document that can reduce the need for legal
review is also available.
3. Work-For-Others Agreements
"Work-for-Others" agreements are used by DOE
national laboratories when performing tasks that are less cooperative in nature
than tasks that require a CRADA (i.e., the work is directed by the primary
contractor rather than being fully collaborative). Nonetheless, it is
recommended, even when operating under a work-for-others agreement, that the
small business negotiate a written agreement for the disposition of
intellectual property that laboratory employees may develop during the course of
their work for the grantee.
4. When To Negotiate These Agreements
It is recommended that small business applicants to the
SBIR/STTR programs attempt, to the maximum extent practicable, to negotiate
these agreements before submitting the grant application. It is during
this period that the small business will have maximum leverage in conducting
negotiations. If satisfactory terms cannot be agreed upon at this time,
the small business still would have the option of finding an alternative research
institution or subcontractor. Once the grant application has been
submitted to the DOE, and subsequently reviewed and selected for award, the
small business may be locked-in to the subcontractor identified in the grant
application. Also, after selection for award, there would only be a short
time available for conducting these negotiations before the grant would begin.
C. REPORTING.
Reporting requirements are identified on the Federal
Assistance Reporting Checklist and Instructions, DOE F 4600.2, attached to the award
agreement.
PART
A. QUESTIONS
Questions regarding the content of the announcement must be submitted through the “Submit Question” feature of the DOE Industry Interactive Procurement System (IIPS) at
http://e-center.doe.gov. Locate the program announcement on IIPS and then click on the “Submit Question” button. Enter required information. You will receive an electronic notification that your question has been answered. DOE/NNSA will try to respond to a question within 3 business days, unless a similar question and answer have already been posted on the website.
Questions relating to the registration process, system
requirements, how an application form works, or the submittal process must be
directed to Grants.gov at
Questions regarding general program requirements must be directed to:
SBIR/STTR Program Office,
Technical questions regarding the technical topic descriptions may be
directed to the appropriate topic authors while the solicitation is open.
Contact information may be found within each topic description. Questions
asked after the deadline date of
B. Agency Contact
Name: Larry James
E-mail: sbir_sttr@science.doe.gov
Telephone:
All questions should be submitted through
the “Submit Question” feature of IIPS (See Section A in this Part)
PART VIII - OTHER INFORMATION
A. MODIFICATIONS.
Notices
of any modifications to this announcement will be posted on Grants.gov and the
DOE Industry Interactive Procurement System (IIPS). You can receive an
email when a modification or an announcement message is posted by joining the
mailing list for this announcement through the link in IIPS. When you
download the application at Grants.gov, you can also register to receive
notifications of changes through Grants.gov.
B. GOVERNMENT RIGHT TO REJECT OR NEGOTIATE.
DOE
reserves the right, without qualification, to reject any or all applications
received in response to this announcement and to select any application, in
whole or in part, as a basis for negotiation and/or award.
C. COMMITMENT
OF PUBLIC FUNDS.
The
Contracting Officer is the only individual who can make awards or commit the
Government to the expenditure of public funds. A commitment by
other than the Contracting Officer, either explicit or implied, is invalid.
D. PROPRIETARY APPLICATION INFORMATION.
Patentable ideas, trade secrets, proprietary or confidential commercial or financial information, disclosure of which may harm the applicant, should be included in an application only when such information is necessary to convey an understanding of the proposed project. The use and disclosure of such data may be restricted, provided the applicant includes the following legend on the first page of the project narrative and specifies the pages of the application which are to be restricted:
“The
data contained in pages _____ of this application have been submitted in
confidence and contain trade secrets or proprietary information, and such data
shall be used or disclosed only for evaluation purposes, provided that if this
applicant receives an award as a result of or in connection with the submission
of this application, DOE shall have the right to use or disclose the data
herein to the extent provided in the award. This restriction does not
limit the government’s right to use or disclose data obtained without
restriction from any source, including the applicant.”
To
protect such data, each line or paragraph on the pages containing such data
must be specifically identified and marked with a legend similar to the
following:
“The
following contains proprietary information that (name of applicant) requests
not be released to persons outside the Government, except for purposes of
review and evaluation.”
E. EVALUATION
In
conducting the merit review evaluation, the Government may seek the advice of
qualified non‑Federal personnel as reviewers. The Government may also use
non-Federal personnel to conduct routine, nondiscretionary administrative
activities. The applicant, by submitting its application, consents to the
use of non-Federal reviewers/administrators. Non-Federal reviewers must
sign conflict of interest and non-disclosure agreements prior to reviewing an application.
Non-Federal personnel conducting administrative activities must sign a
non-disclosure agreement.
F. INTELLECTUAL PROPERTY DEVELOPED UNDER THIS
PROGRAM.
Property and Commercialization Rights Agreements
It is in the best interest of the small
business, when collaborating with a research institution or other
subcontractors, to negotiate a written agreement for allocating, between the
parties, intellectual property rights and rights to carry out any follow-on
research, development, or commercialization. For STTR awards only, the
small business and the research institution must certify that this agreement
has been completed. This certification will be requested by the Contract
Specialist after award selection, but before the grant is signed. A
model agreement, found at www.science.doe.gov/sbir/Solicitations/FY%202002/model.htm,
may be used or revised through negotiation between the small business and the
research institution. The completed agreement should not be
submitted with the grant application, but retained by the parties to the
agreement. The Federal government will not be a party to any agreement
between the small business and any subcontractor, including the STTR research
institution. However, applicants are reminded that nothing in such
agreements should conflict with any provisions setting forth the respective
rights of the
Intellectual Property Including Innovations, Inventions, and Patents
a. Proprietary Information – Information contained in unsuccessful grant applications will remain the property of the applicant. The government will retain for three years one file copy of each unsuccessful grant application. Public release of information in any grant application submitted will be subject to existing statutory and regulatory requirements, such as the Freedom of Information and Privacy Acts.
If proprietary information is provided in a grant
application that constitutes proprietary technical data, confidential personnel
information, or proprietary commercial or financial information, it will be
treated in confidence, to the extent permitted by law, provided
this information is clearly marked by the applicant in accordance with
paragraph D. above, and provided appropriate page numbers are inserted into the
Proprietary Notice legend printed on the first page of the project narrative. Applications will not automatically
be withheld in their entirety unless justified by the applicant. The
government will limit dissemination of such information to official channels to
the extent permitted by law. Any other legend may be unacceptable to the
government and may constitute grounds for removing the grant application from
further consideration and without assuming any liability for inadvertent
disclosure.
b. Protection
of Grant Application Information – DOE's policy is to use data included in
grant applications for evaluation purposes only and to protect, to the extent
allowed by law, such information from unauthorized use or disclosure. In
addition to government personnel, scientists and engineers from outside the
government may be used in the grant application evaluation process. The
decision to obtain outside evaluation will take into consideration requirements
for the avoidance of organizational conflicts of interest and the competitive
relationship, if any, between the applicant and the prospective outside evaluator.
The evaluation will be performed under an agreement with the evaluator that the
information contained in the grant application will be used only for evaluation
purposes and will not be further disclosed.
c. Rights in
Data Developed Under SBIR/STTR Funding Agreements – Rights in
technical data, including software developed under the terms of any funding
agreement resulting from grant applications submitted in response to this
solicitation, shall remain with the grantee, except that the government shall
have the limited right to use such data for government purposes and shall not
release such proprietary data outside the government without permission of the
grantee for a period of not less than four years from delivery of the last
deliverable under that agreement (either Phase I, Phase II, or federally-funded
SBIR Phase
d. Copyrights
– With prior written permission of the cognizant
DOE Contracting Officer, the awardee
may copyright and publish (consistent with appropriate national security
considerations, if any) material developed with DOE support. DOE receives
a
e. Patents – Small
businesses may retain the principal worldwide patent rights to any invention
developed with Federal support. The government receives a
G. NOTICE OF RIGHT TO REQUEST PATENT
WAIVER.
Not
applicable.
H. NOTICE REGARDING ELIGIBLE/INELIGIBLE
ACTIVITIES.
Eligible
activities under this program include those which describe and promote the
understanding of scientific and technical aspects of specific energy
technologies, but not those which encourage or support political activities
such as the collection and dissemination of information related to potential,
planned or pending legislation.
APPENDICES/REFERENCE MATERIAL
A. Definitions:
RESEARCH OR RESEARCH
Research or R&D is any scientific or engineering activity which is (1) a systematic, intensive study directed toward greater knowledge or understanding of the subject; (2) a systematic study directed specifically toward applying new knowledge to meet a recognized need; and/or (3) a systematic application of knowledge toward the production of useful materials, devices, and systems or methods, including design, development, and improvement of prototypes and new processes to meet specific requirements.
INNOVATION
Something new or improved, having marketable potential, including (1) development of new technologies, (2) refinement of existing technologies, or (3) of new applications for existing technologies.
SMALL BUSINESS
1. ELIGIBLE SBIR APPLICANTS
Only
a. 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;
b. 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;
c. 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);
d. 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).
2. ELIGIBLE STTR APPLICANTS
Only
a. 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;
b. 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;
c. At least 51% owned and controlled by one or
more individuals who are citizens of, or permanent resident aliens in, the
d. 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).
SOCIALLY
A socially and economically disadvantaged small business is one:
a. that is at least 51% owned by (i) an Indian tribe or a native Hawaiian organization, or (ii) one or more socially and economically disadvantaged individuals; and,
b. whose management and daily business operations are controlled by one or more socially and economically disadvantaged individuals. A socially and economically disadvantaged individual is defined as a member of any of the following groups: Black Americans, Hispanic Americans, Native Americans, Asian-Pacific Americans, Subcontinent Asian Americans, other groups designated from time to time by the Small Business Administration (SBA) to be socially disadvantaged, or any other individual found to be socially and economically disadvantaged by SBA pursuant to section 8(a) of the Small Business Act, 15 U.S.C. 637(a).
WOMAN-OWNED SMALL BUSINESS
A woman-owned small business is a
small business that is at least 51% owned by a woman or women who also control
and operate it. "Control" in this context means exercising the
power to make policy decisions. "Operate" in this context means
being actively involved in the day-to-day management.
SUBCONTRACT
A subcontract is any agreement, other than one involving an
employer-employee relationship, entered into by the primary recipient of a
Federal Government grant, calling for supplies or services required solely for
the performance of the original grant award.
HISTORICALLY UNDERUTILIZED BUSINESS
A small business concern meeting the following criteria:
1. Located in a “historically underutilized business zone” or HUBZone area located in one or more of the following:
a. A qualified census tract (as defined in section 42 (d)(5)(c)(i)(l) of the Internal Revenue Code of 1986; or
b. A qualified “non-metropolitan county” (as defined in section 143(k)(2)(B) of the International Revenue Code of 1986) with a median household income of less than 80% of the state median household income or with an unemployment rate of not less than 140% of the statewide average, based on U.S. Department of Labor recent data; or
c. Lands within the boundaries of federally recognized Indian reservations.
2. Owned
and controlled by one or more
3. At least 35% of its employees must reside in a HUBZone.
To find out if your business is in a Hubzone,
use the mapping utility provided by the Small Business Administration at its
Hubzone Contracting Website: https://eweb1.sba.gov/hubzone/internet/general/findout.cfm.
JOINT VENTURE
A joint venture is an association between two or more firms to
participate jointly in a single business enterprise. There must be a community
of interests, a sharing of profits and losses, and, for the purposes of this
funding notice, the new entity must qualify as a small business. If a
joint venture is selected for award, the Contract Specialist from the
Contracting Office will request a signed agreement from the parties
involved. The agreement must state which company will negotiate the grant
and serve as the main point of contact.
RESEARCH INSTITUTION
A research institution is a
a. A non-profit research institution as defined in section 4(5) of the Stevenson-Wydler Technology Innovation Act of 1980 (i.e., an organization owned and operated exclusively for scientific or educational purposes, no part of the net earnings of which inures to the benefit of any private shareholders or individual), or
b. A non-profit college or university, or
c. A non-profit medical or surgical hospital, or
d. A contractor-operated federally-funded research and development center (FFRDC), as identified by the National Science Foundation in accordance with the government-wide Federal Acquisition Regulation issued in accordance with section 35(c) (1) of the Office of Federal Procurement Policy Act (or any successor legislation thereto). Department of Energy FFRDCs include Ames Laboratory, Argonne National Laboratory, Brookhaven National Laboratory, Fermi National Accelerator Laboratory, Idaho National Engineering Laboratory, Lawrence Berkeley National Laboratory, Lawrence Livermore National Laboratory, Los Alamos National Laboratory, National Renewable Energy Laboratory, Oak Ridge Institute for Science and Education, Oak Ridge National Laboratory, Pacific Northwest National Laboratory, Princeton Plasma Physics Laboratory, Sandia National Laboratories, Savannah River Technology Center, Stanford Linear Accelerator Center, and the Thomas Jefferson National Accelerator Facility.
e. A government-owned, government-operated facility, such as the National Energy Technology Laboratory (NETL), is not eligible to act as either a partner or subcontractor in DOE SBIR/STTR projects.
The process of developing markets and producing and delivering products
for sale (whether by the originating party or by others). As used here,
commercialization includes both government and private sector markets.
CONSULTANT
An individual who provides professional advice or services for a fee.
INTELLECTUAL PROPERTY
The separate and distinct types of intangible property that are referred to collectively as “intellectual property,” including but not limited to: patents, trademarks, copyrights, trade secrets, SBIR/STTR technical data, ideas, designs, know-how, business, technical and research methods, and other types of intangible business assets, and including all types of intangible assets either proposed or generated by a small business as a result of its participation in the SBIR or STTR program.
B. Working with National Laboratories,
Universities, Research Institutions, and Other Subcontractors
DOE User Facilities
The Department of Energy operates a number of major scientific user
facilities to serve researchers from universities, national laboratories, and
industry. These facilities enable the
acquisition of new knowledge that often cannot be obtained by any other
means. In the last year, over 9,800 scientists conducted
experiments at these user facilities. Thousands of other researchers collaborate
with these users and analyze the data from the experiments at the facilities to
publish new scientific findings in peer-reviewed journals. These
facilities may be found at www.sc.doe.gov/bes/besfacilities.htm
and www.sc.doe.gov/ober/facilities.html.
Potential applicants to the SBIR or STTR programs should consider whether the
use of any of these facilities would contribute to the scientific efforts
proposed in Phases I or II. For approved experiments (access to these
facilities is through a peer-reviewed system), operating time is available
without charge to those scientists whose intent is to publish their results in
the open literature. If the investigator wishes to perform proprietary
research, the user must pay the full-cost recovery rate for facility usage (in
which case, the cost could be charged to the SBIR/STTR project); in return, the
facility will treat all technical data generated as proprietary, and the user
may take title to any inventions resulting from the research. Information
on other laboratory facilities which may be available on a case-by-case basis
may be obtained through the
Identifying Institutions
Experts at institutions such as DOE contractor-operated national
laboratories, universities, colleges, or other research institutions, may be
consulted during the preparation of the grant application. Any of these
institutions may also serve as a subcontractor to SBIR/STTR Phase I or Phase II
projects, providing technical expertise, facilities, or equipment. In
such cases, the small business must have the necessary expertise to direct the
project.
For
STTR, the small business must conduct cooperative R&D with a research
institution (see definition list).
An alliance between the small business and a research institution must be
formed before submitting the grant application. Grants will be awarded to
the small business, which will receive all funding for the project and disperse
the appropriate funds to the research institution.
A list of DOE National
Laboratories and points of contact is available at http://www.science.doe.gov/sbir/newweb/labcontacts.htm.
Also, inquiries may be made at a
local library to locate supporting expertise or facilities from an appropriate
university or other research institution to assist with the proposed
project. For help in contacting personnel at DOE and other Federal agency
laboratories, go to www.federallabs.org,
or contact the
C. Scientific and Technical
Information Sources
Applicants may want to obtain scientific and technical information related to
their proposed effort as background or for other purposes. Sources of
this information are listed in the references for each technical topic and
below.
1. National Technical Information
Service
Reports resulting from Federal research and those received from exchange
agreements with foreign countries and international agencies are available to
the public in both paper copy and microfiche through the National Technical
Information Service (NTIS). They may be ordered electronically from http://www.ntis.gov or by phone at
2. DOE Office of Scientific and
Technical Information
The Office of Scientific and Technical Information (OSTI), within the
Office of Science, advances science and sustains technological creativity by
making research and development (R&D) findings available and useful to
Department of Energy (DOE) researchers and the American people. OSTI’s systems
directly support the goals of the American Competitiveness Initiative by
maximizing the exposure and dissemination of the knowledge emanating from research
in the physical sciences. OSTI’s innovation in knowledge discovery and
diffusion accelerates this process.
OSTI is responsible for fulfilling the requirements of the Energy Policy Act of 2005 to maintain “… publicly available collections of scientific and technical information resulting from research, development, demonstration, and commercial application activities supported by the Department.” OSTI collects, preserves, and disseminates research results via Web-based information systems developed on behalf of DOE.
Potential SBIR applicants may obtain information from the following OSTI sources, available freely via the Web at www.osti.gov or at the specific URLs below.
¨
¨ Energy Citations Database (www.osti.gov/energycitations), over 2 million searchable citations covering disciplines of interest to DOE from 1948 to the present, with links to full-text when available.
¨ DOE R&D Project Summaries (http://www.osti.gov/rdprojects/AdvancedSearchScreen.jsp), a searchable database of descriptions of approximately 22,000 ongoing or recently completed DOE research projects.
¨ E-print Network (www.osti.gov/eprints), which offers single-query access to a network of scientific and technical information and communication, searching more than 900,000 manuscripts, scholarly papers, and other scientific documents residing on approximately 22,000 Web sites, as well as a deep Web search across 52 major e-print databases.
¨ EnergyFiles (www.osti.gov/energyfiles), a virtual library utilizing subject pathways for searching more than 500 science and technology databases and Web sites covering disciplines of interest to DOE.
¨ Science Conferences (www.osti.gov/scienceconferences), a portal providing a unified search of 26 Web sites for science and technology conference proceedings and conference papers of interest to DOE.
¨ DOE R&D Accomplishments (www.osti.gov/accomplishments), a central forum for information about the outcomes of past DOE R&D.
¨ Federal R&D Project Summaries (www.osti.gov/fedrnd), a searchable portal to 750,000 federal research project summaries at DOE and five other leading science agencies.
¨ Science.gov (www.science.gov), a Web portal providing single-query search of more than 50 million pages of science information and research results from DOE and 11 other federal science agencies.
3. Other Sources
Literature and database searches for abstracts, publications, patents, lists of Federal research in progress, and names of potential consultants in the specific research area can be obtained at good technical libraries (especially those of universities), and from some State organizations.