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: September
17, 2008
PREAPPLICATION
DUE DATE: Not Required
LETTER OF
INTENT DUE DATE: Not Required
APPLICATION DUE DATE: November 20, 2008, 08:00 PM Eastern Time
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.
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Microsoft (MS) Vista Operating System and the new Microsoft (MS) Office 2007
versions of Word, Excel, and Power Point.
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find a computer with a previous version Microsoft Operating System, such as
Windows XP.
If you attach a file created using MS Office 2007, you will
not get an error message when you submit the
application, HOWEVER, your entire
application will not be able to be processed or accepted at Grants.gov and will
not reach DOE. Grants.gov can accept
applications with attachments created in MS Office 2007 if the attachments are
saved in the prior format. See the http://www.grants.gov/assets/Vista_and_office_07_Compatibility.pdf
for detailed instructions on how to do this.
A file created in MS Office 2007 can be identified by the "x"
at the end of the file extension, for example "sample.docx" for a
Word file. Contact Grants.gov at
1-800-518-4726 with any questions.
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 2009. 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 2009 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 2010 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, and
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 an 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 Fiscal Year 2008 was $
99,683. 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 with a project
period begin date in June 2009.
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 foreign 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, where each entity to the
venture must be 51 percent owned and controlled by one or more individuals who
are citizens of, or permanent resident aliens in, the United States; and); and
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. 121.303(a). The term "number of
employees" is defined in 13 C.F.R. 121.302(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 foreign 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, except in the case of a
joint venture, where each entity to the venture must be 51 percent owned and
controlled by one or more individuals who are citizens of, or permanent
resident aliens in, the United States; and
4. Has, including its affiliates, not more than 500
employees and meets the other regulatory requirements found in 13 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 permitted for proposals under this program solicitation;
however, cost-sharing is not required. Cost-sharing will not be an evaluation
factor in consideration of your Phase I proposal.
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. DOE's evaluation of the grant application is critically dependent on the qualifications of the PI. Any changes in the PI that are made after award selection are strongly discouraged and must be pre-approved by DOE. 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 39 weeks, would require a commitment of 117 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 an SBIR
grant, the applicant must meet the general requirements and the PI’s primary
employment must be with the small business applicant 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 an STTR grant, the
applicant must meet the general requirements and the PI's primary employment
may be with the small business applicant 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%202009/level_of_effort.doc or http://www.sc.doe.gov/sbir/solicitations/FY%202009/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 an 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, a minimum of 50% of the research or analytical effort must be carried
out by the small business applicant).
STTR
Restrictions:
To be awarded an STTR grant, at least 40% of the research or
analytical effort must be allocated to the small business applicant, 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 applicant.
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 research institution 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 applicant
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 applicant 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
applicant 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 applicant and any subcontractor (including the research institution collaborating in an STTR project) reflect the controlling management position of the small business applicant 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 Vista and
Office 2007 Compatibility: Grants.gov is currently incompatible with both the new
Microsoft (MS) Vista Operating System and the new Microsoft (MS) Office 2007
versions of Word, Excel, and Power Point.
In order to create and submit your application to Grants.gov, you must
use a computer with a previous version of Microsoft Operating System, such as
Windows XP.
If you attach a file created using MS Office 2007, you will
not get an error message when you submit the
application, HOWEVER, your entire
application will not be able to be processed or accepted at Grants.gov and will
not reach DOE. Grants.gov can accept
applications with attachments created in MS Office 2007 if the attachments are
saved in the prior format. See the http://www.grants.gov/assets/Vista_and_office_07_Compatibility.pdf
for detailed instructions on how to do this.
A file created in MS Office 2007 can be identified by the "x"
at the end of the file extension, for example "sample.docx" for a
Word file. Contact Grants.gov at
1-800-518-4726 with any questions.
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 DOE
Financial Assistance Forms Page at http://management.energy.gov/business_doe/business_forms.htm,
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 of Energy 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. The DOE’s and
public’s interest in the problem should be clearly stated. (Typically one to
three sentences).
Statement of how
this problem or situation is being addressed. Describe how this
problem or situation is being addressed.
The overall objective or approach of the combined Phase I and Phase II
projects should be clearly stated. (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. The DOE 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. (This summary should be a maximum of two sentences, but no more than 50 words.)
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 font, 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 grammatical, 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%202009/Table_of_contents_sub.htm. Each technical topic is subdivided into
subtopics, designated by the letters a, b, c, d, etc. 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.
g. Phase I Performance Schedule – Briefly describe the important milestones and the estimated percentage of time for completing each task described in the work plan.
h. 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.
i. 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
j. 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 funds provided by the financial assistance award.
k. 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 Attachments (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 was
submitted or award was received.
· The title of the specific research
topic to which the application was submitted or award was received.
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 an 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 and/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 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.
Please make sure that you complete the form in full. For example, in the past, companies have failed to complete the column(s) for the number of person-months to be devoted to the project. Incomplete budgets may create delays if the applicant is selected for award.
A separate budget form must be completed by the
applicant and each subawardee for the support requested. 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, meets 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, section 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%202009/level_of_effort.doc or http://www.sc.doe.gov/sbir/solicitations/FY%202009/level_of_effort.xls
(Attach in Field 11 – Research & Related Other
Project Information)
5. SBIR/STTR
INFORMATION FORM.
Complete all the required fields in accordance with the
pop-up instructions on the form. To activate the instruction, turn on the
“Help Mode” (Icon with the pointer and question mark at the top of the form).
Question 7, Commercialization Plan
Commercialization Plan. A succinct commercialization plan must be included in a Phase I grant application. Attach the file in 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 |
|
Field 6 |
|
Project Narrative, including required appendices |
|
Field 7 |
|
Level of Effort Worksheet |
|
Field 11 |
|
RESEARCH
& RELATED SENIOR/ |
PureEdge Form |
N/A |
|
Biographical Sketch |
|
Attach to appropriate block |
|
RESEARCH & RELATED BUDGET |
PureEdge Form |
N/A |
|
Budget Justification |
|
Field K |
|
SBIR/STTR INFORMATION |
PureEdge Form |
N/A |
|
Commercialization Plan for Phase I (See Question 7) |
|
Attach to appropriate block |
|
Commercialization History, if applicable (See Question 8) |
|
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
2009/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 November 20, 2008, 08:00 PM Eastern Time. You are
encouraged to transmit your application well before the deadline.
APPLICATIONS RECEIVED AFTER THE DEADLINE WILL NOT BE REVIEWED OR CONSIDERED FOR
AWARD.
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: 1) An Indirect Cost Rate
Agreement (ICRA) in effect with your cognizant Federal agency which covers the
period of performance of this award and supports the indirect rate(s) proposed;
2) If no ICRA exists, an Indirect Cost Rate Proposal may be submitted to DOE
for evaluation; or 3) 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 2009/GuidanceIR0407.doc
http://www.science.doe.gov/sbir/solicitations/FY 2009/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 Checklist at http://www.grants.gov/assets/OrganizationRegCheck.doc
to guide you through the process. IMPORTANT: During the Central Contract Registry (
When you have completed the process, you should call the Grants.gov Helpdesk at
1- 800-518-4726 to verify that you have completed the final step (i.e., Grants.gov registration).
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.
The SBIR/STTR Office will perform an initial administrative screening to ensure that the application meets the requirements described in Part III, Eligibility Information.
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.
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:
a. 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.
b. 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.
c. 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.
Merit Review
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:
a.
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.
b. 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.
c. 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 Phase I award by mid-to-late
April 2009 and making awards by mid-to-late June 2009.
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, section 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, the DOE Special Terms and Conditions for Use in Most Grants and Cooperative Agreements, and the National Policy Assurances To Be Incorporated As Award Terms are located at http://managment.energy.gov/business_doe/business_forms.htm.
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 small business applicant 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 1-800-518-4726 or support@grants.gov.
DOE cannot answer these questions.
Questions regarding general program requirements must be directed to: SBIR/STTR Program Office, 301-903-1414 or
sbir-sttr@science.doe.gov.
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 November 20, 2008, will not be
answered.
B. Agency Contact.
Name: Carl Hebron
E-mail: sbir-sttr@science.doe.gov
Telephone: 301-903-1414
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
When using subcontractors, including research institutions, the small business is responsible for protecting its own interests with regard to the retention of intellectual property and commercialization rights.
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 royalty‑free license for the
Federal Government and requires that each publication contain an appropriate
acknowledgment and disclaimer statement.
e. Patents – Small businesses may retain
the principal worldwide patent rights to any invention developed with Federal
support. The government receives a royalty-free license for Federal use,
reserves the right to require the patent holder to license others in certain
circumstances, and requires that anyone exclusively licensed to sell must
normally manufacture it domestically. Information regarding patent rights
in inventions supported by Federal funding can be found in the Code of Federal
Regulations, 37
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) 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 foreign 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 foreign 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
1. 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
2. A non-profit college or university, or
3. A non-profit medical or surgical
hospital, or
4. 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 (DOE) 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.
5. 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.
COMMERCIALIZATION
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.
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 DOE 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
1-800-553-6847.
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
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.