SBIR 2010 SOL.doc

SBIR

Small Business

Innovation

Research

FY 2010

NOAA

Program

Solicitation

Opening Date:

October 14, 2009 Closing Date: January 14, 2010 October 2009

NOAA 2010-1

U.S. DEPARTMENT OF COMMERCE

http://www.oar.noaa.gov/ORTA

TABLE OF CONTENTS

PAGE

1.0 PROGRAM DESCRIPTION

1.1 Introduction

1.2 Three-Phase Program

1.3 Eligibility

1.4 Contact with NOAA

2.0 DEFINITIONS

2.1 Small Business Concern

2.2 Research or Research and Development

2.3 Socially and Economically Disadvantaged Small Business Concern

2.4 Women-Owned Small Business

2.5 Funding Agreement

2.6 Subcontract

2.7 Commercialization

3.0 PROPOSAL PREPARATION INSTRUCTIONS AND REQUIREMENTS

3.1 Proposal Requirements

3.2 Phase 1 Proposal Limitations

3.3 Phase 1 Proposal Format

3.4 Equivalent Proposals or Awards

………………………………………………………..11

3.5 Prior SBIR Phase 2 Awards

3.6 Proposed Budget

4.0 METHOD OF SELECTION AND EVALUATION CRITERIA

4.1 Introduction

4.2 Phase 1 Screening Criteria

4.3 Phase 1 Evaluation and Selection Criteria

4.4 Phase 2 Evaluation and Selection Criteria

4.5 Release of Proposal Review Information

5.0 CONSIDERATIONS

5.1 Awards

5.2 Reports

5.3 Payment Schedule

5.4 Proprietary Information, Inventions, and Patents

5.5 Awardee Commitments

5.6 Additional Information

5.7 Research Projects with Human Subjects, Human Tissue, Data or Recordings Involving Human Subjects

5.8 Research Projects Involving Vertebrate Animals

6.0 SUBMISSION OF PROPOSALS

6.1 Deadline for Proposals

6.2 Proposal Submission

6.3 Warning

7.0 SCIENTIFIC AND TECHNICAL INFORMATION SOURCES

7.1 General Information

7.2 Oceanography and Marine Science

8.0 RESEARCH TOPICS

8.1 Ecosystems

8.2 Climate

8.3 Weather and Water

8.4 Commerce and Transportation

9.0 SUBMISSION FORMS

9.1 Cover Page

9.2 Project Summary Form

9.3 Proposal Summary Budget

9.4 Budget Instructions

10.0 CHECKLIST

11.0 SBIR NATIONAL CONFERENCES

DEPARTMENT OF COMMERCE

NATIONAL OCEANIC AND ATMOSPHERIC ADMINISTRATION

PROGRAM SOLICITATION FOR SMALL BUSINESS INNOVATION RESEARCH

1.0 PROGRAM DESCRIPTION

1.1 Introduction

The Department of Commerce (DOC) National Oceanic and Atmospheric Administration (NOAA), invites small businesses to submit research proposals under this solicitation. Firms with strong research capabilities in any of the areas listed in Section 8 of this solicitation are encouraged to participate. Unsolicited proposals are not accepted under the Small Business Innovation Research (SBIR) program.

Objectives of this program include stimulating technological innovation in the private sector and strengthening the role of small business in meeting Federal research and development (R&D) needs. This program also seeks to increase the commercial application of innovations derived from Federal research and to foster and encourage participation by socially and economically disadvantaged and woman-owned small businesses. Also, in accordance with E.O. 13329, the NOAA SBIR program will give a high priority, where feasible, to proposals that are directed toward innovations that will aid the manufacturing sector of the Nation’s economy.

1.2 Three-Phase Program The “Small Business Innovation Research Program Reauthorization Act of 2000” requires the Department of Commerce to establish a three-phase SBIR program by reserving a percentage of its extramural R&D budget to be awarded to small business concerns for innovation research.

The funding vehicles for NOAA’s SBIR program in both Phase I and Phase II are contracts. This document solicits Phase I proposals only.

NOAA has the unilateral right to select SBIR research topics and awardees in both Phase I and Phase II, and to award several or no contracts under a given subtopic.

1.2.1 Phase I – Feasibility Research

The purpose of Phase I is to determine the technical feasibility of the proposed research and the quality of performance of the small business concern receiving an award. Therefore, the proposal should concentrate on research that will significantly contribute to proving the feasibility of the proposed research, a prerequisite to further support in Phase II.

1.2.2 Phase II – Research and Development

Only firms that are awarded Phase I contracts under this solicitation will be given the opportunity to submit a Phase II proposal immediately following completion of Phase I. Phase II is the R&D or prototype development phase. It will require a comprehensive proposal outlining the research in detail and a plan to commercialize the final product. NOAA may require delivery of the prototype. Each Phase II applicant will be required to provide information for the SBA Tech-Net Database System (http://tech-net.sba.gov) when advised this system can accept their input.

Further information regarding Phase II proposals and Tech-Net requirements will be provided to all firms receiving Phase I contracts.

1.2.3 Phase III – Commercialization In Phase III, it is intended that non-SBIR capital be used by the small business to pursue commercial applications of Phase II.

1.3 Eligibility

Each organization submitting a proposal must qualify as a small business (Section 2.1) for research or R&D purposes (Section 2.2) at the time of the award. In addition, the primary employment of the principal investigator must be with the small business at the time of the award and during the conduct of the research. More than one-half of the principal investigator’s time must be spent with the small business for the period covered by the award. Primary employment with a small business precludes full-time employment with another organization. The NOAA program manager in consultation with the contracting officer must approve deviation from these requirements.

Also, for both Phase I and Phase II, the work must be performed in the United States. “United States” means the fifty states, the territories and possessions of the United States, the Commonwealth of Puerto Rico, the District of Columbia, the Republic of the Marshall Islands, the Federated States of Micronesia, and the Republic of Palau. The NOAA program Manager in consultation with the contracting officer may approve exceptions to this requirement.

Joint ventures and limited partnerships are eligible, provided the entity created qualifies as a small business as defined in this solicitation. Consultative arrangements between firms and universities or other non-profit organizations are encouraged, with the small business serving as the prime contractor.

1.4 Contact with NOAA

In the interest of competitive fairness, oral or written communication with NOAA or any of its components concerning additional information on the technical topics described in Section 8 of this solicitation is prohibited.

Requests for general information on the NOAA SBIR program may be addressed to:

Kelly K. Wright, NOAA SBIR Program Manager

1335 East West Highway, SSMC1, Suite 106

Silver Spring MD 20910 – 3284

Telephone: 301-713-3565, Fax: 301-713-4100

E-mail: kelly.wright@noaa.gov Additional scientific and technical information sources are listed in Section 7.

2.0 DEFINITIONS

2.1 Small Business Concern

A Small Business Concern is one that, at the time of award for Phase I and Phase II is:

(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 percent participation by business entities in the joint venture;

(c) (i) At least 51 percent owned and controlled by one or more individuals who are citizens of, or permanent resident aliens in, the United States, (ii) 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; or (iii) a joint venture in which each entity to the venture must meet the requirements of either (i) or (ii) of this section;

(d) Including its affiliates, 500 or fewer employees.

2.2 Research or Research and Development

Any activity that is (a) a systematic, intensive study directed toward greater knowledge or understanding of the subject studied; (b) a systematic study directed specifically toward applying new knowledge to meet a recognized need; or (c) a systematic application of knowledge toward the production of useful materials, devices, systems, or methods, and includes design, development, and improvement of prototypes and new processes to meet specific requirements.

In general, the NOAA SBIR program will fund Phase I and Phase II proposals with objectives that can be defined by (b) and (c) above.

2.3 Socially and Economically Disadvantaged Small Business Concern

Is one that is:

(a) at least 51 percent owned by (1) an American Indian tribe or a native Hawaiian organization, or (2) one or more socially and economically disadvantaged individuals, and

(b) controlled by one or more such individuals in its management and daily business operations.

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, or any other individual found to be socially and economically disadvantaged by the Small Business Administration (SBA) pursuant to Section 8(a) of the Small Business Act, 15 U.S. Code (U.S.C.) 637(a).

2.4 Women-Owned Small Business A small business that is at least 51 percent owned by a woman or women who also control (meaning to exercise the power to make policy decisions) and operate (meaning being actively involved in the day-to-day management) the small business.

2.5 Funding Agreement

The funding vehicles for NOAA’s SBIR program in Phase I and Phase II are firm-fixed price contracts.

2.6 Subcontract

This is any agreement, other than one involving an employer-employee relationship, entered into by the contractor, calling for supplies or services required solely for the performance of the original firm-fixed price contract.

2.7 Commercialization

This is locating or developing markets and producing and delivering products or services for sale (whether by the originating party or by others). As used here, commercialization includes both Government and private sector markets.

3.0 PROPOSAL PREPARATION INSTRUCTIONS AND REQUIREMENTS

3.1 Proposal Requirements

The objective is to provide sufficient information to demonstrate that the proposed work represents a sound approach to the investigation of an important scientific or engineering innovation. The proposal must meet all the requirements of the subtopic in Section 8 to which it applies. A proposal must be self-contained and written with all the care and thoroughness of a scientific paper submitted for publication. It should indicate a thorough knowledge of the current status of research in the subtopic area addressed by the proposal. A proposal will not be deemed acceptable if it represents presently available technology. Each proposal should be checked carefully by the offeror to ensure inclusion of all essential material needed for a complete evaluation. The proposal will be peer reviewed as a scientific paper. All units of measurement should be in the metric system.

NOAA reserves the right not to submit to technical review any proposal which has insufficient scientific and technical information, or one which fails to comply with the administrative procedures as outlined in the NOAA/SBIR Checklist in Section 10.

The proposal must not only be responsive to the specific NOAA program interests described in Section 8 of the solicitation, but also serve as the basis for technological innovation leading to new commercial products, processes, or services. An organization may submit different proposals on different subtopics or different proposals on the same subtopic under this solicitation. When the proposed innovation applies to more than one subtopic, the offeror must choose that subtopic which is most relevant to the offeror’s technical concept.

Proposals principally for the commercialization of proven concepts or for market research must not be submitted for Phase I funding, since such efforts are considered the responsibility of the private sector.

The proposal should be direct, concise, and informative. Promotional and other material not related to the project shall be omitted. The Phase I proposal must provide a description of potential commercial applications.

3.2 Phase I Proposal Limitations

· Page Length - no more than 25 pages, consecutively numbered, including the cover page, project summary, main text, references, resumes, any other enclosures or attachments, and the proposal summary budget.

· Paper Size - must be 21.6 cm X 27.9 cm (8 ½” X 11”).

· Print Size - must be easy to read with a fixed pitch font of 12 or fewer characters per inch or proportionally spaced font of point size 10 or larger with no more than six lines per inch. Margins should be at least 2.5cm.

Supplementary material, revisions, substitutions, audio or videotapes, or computer floppy disks will not be accepted.

Proposals not meeting these requirements will be returned without review.

3.3 Phase I Proposal Format

3.3.1 Cover Sheet

Complete Section 9.1 “Cover Page” as page 1 of each copy of each proposal. NO OTHER COVER WILL BE ACCEPTED. Xerox copies are permitted.

3.3.2 Project Summary

Complete Section 9.2 “Project Summary” as page 2 of your proposal. The technical abstract should include a brief description of the problem or opportunity, the innovation, project objective, and technical approach.

In summarizing anticipated results, include technical implications of the approach (for both Phase I and II) and the potential commercial applications of the research. The Project Summary of the proposals that receive an award will be published by NOAA and, therefore, must not contain proprietary information.

3.3.3 Technical Content

Beginning on page 3 of the proposal, include the following items with headings as shown:

(a) Identification and Significance of the Problem or Opportunity. Make a clear statement of the specific research problem or opportunity addressed, its innovativeness, commercial potential, and why it is important. Show how it applies to a specific subtopic in Section 8.

(b) Phase I Technical Objectives. State the specific objectives of the Phase I effort, including the technical questions it will try to answer to determine the feasibility of the proposed approach.

(c) Phase I Work Plan. Include a detailed description of the Phase I R&D plan. The plan should indicate not only what will be done, but also where it will be done, and how the R&D will be carried out. The methods planned to achieve each objective or task should be discussed in detail. This section should be at least one-third of the proposal.

(d) Related Research or R&D. Describe research or R&D that is directly related to the proposal, including any conducted by the principal investigator or by the proposer’s firm. Describe how it relates to the proposed effort, and describe any planned coordination with outside sources. The purpose of this section is to persuade reviewers of the proposer’s awareness of recent development in the specific topic area and assure them that the proposed research represents technology presently not available in the marketplace.

(e) Key Personnel and Bibliography of Related Work. Identify key personnel involved in Phase I, including their related education, experience, and publications. Where resumes are extensive, summaries that focus on the most relevant experience and publications are suggested. List all other commitments that key personnel have during the proposed period of contract performance.

(f) Relationship with Future R&D. Discuss the significance of the Phase I effort in providing a foundation for the Phase II R&D effort. Also state the anticipated results of the proposed approach, if Phases I and II of the project are successful.

(g) Facilities and Equipment. The conduct of advanced research may require the use of sophisticated instrumentation or computer facilities. The proposer should provide a detailed description of the availability and location of the facilities and equipment necessary to carry out Phase I.

(h) Consultants and Subcontracts. The purpose of this section is to convince NOAA that: (1) research assistance from outside the firm materially benefits the proposed effort, and (2) arrangements for such assistance are in place at the time the proposal is submitted.

Outside involvement in the project is encouraged where it strengthens the conduct of the research; such involvement is not a requirement of this solicitation.

1. Consultant – A person outside the firm, named in the proposal as contributing to the research, must provide a signed statement confirming his/her availability, role in the project, and agreed consulting rate for participation in the project. This statement is part of the page count.

2. Subcontract – Similarly, where a subcontract is involved in the research, the subcontracting institution must furnish a letter signed by an appropriate official describing the programmatic arrangements and confirming its agreed participation in the research, with its proposed budget for this participation. This letter is part of the page count.

(i) Potential Commercial Applications and Follow-on Funding Commitment. Describe in detail the commercial potential of the proposed research, how commercialization would be pursued, benefits over present products on the market, and potential use by the Federal Government.

(j) Cooperative Research and Development Agreements (CRADA). State if the applicant is a current CRADA partner with NOAA, or with any other Federal agency, naming the agency title of the CRADA, and any relationship with the proposed work.

(k) Guest Researcher. State if the applicant is a guest researcher at NOAA, naming the sponsoring laboratory.

(l) Cost Sharing. Cost participation could serve the mutual interest of NOAA and certain SBIR contractors by helping to assure the efficient use of available resources. Except where required by other statutes, NOAA does not encourage or require cost sharing on Phase I projects, nor will cost sharing be a consideration in evaluation of Phase I proposals.

3.4 Equivalent Proposals or Awards

A firm may have received other SBIR awards or elected to submit essentially equivalent proposals under other SBIR program solicitations. In these cases, a statement must follow the Technical Content section in the proposal indicating:

(a) the name and address of all agencies to which a proposal was submitted or from which an SBIR award was received;

(b) the date of proposal submission or date of award;

(c) the title, number, and date of the SBIR program solicitation under which a proposal was submitted or award received;

(d) the specific applicable research topic for each proposal submitted or award received;

(e) the title of the research project; and

(f) the name and title of the principal investigator for each proposal submitted or award received.

If no equivalent proposal is under consideration or equivalent award received, a statement to that effect must be included in this section.

3.5 Prior SBIR Phase II Awards

If a small business concern has received one or more Phase II awards from any of the Federal agencies in the prior five fiscal years, it must submit on a separate page, the names of awarding agencies, dates of awards, funding agreement numbers, amounts, topic or subtopic titles, follow-on agreement amounts, sources and dates of commitments, and current commercialization status for each Phase II. This required information shall not be part of the page count limitation.

3.6 Proposed Budget

Complete the “NOAA/SBIR Proposal Summary Budget” (Section 9.3) for the Phase I effort, and include it as the last page of the proposal. Some items on this form may not apply. Enough information should be provided to allow NOAA to understand how the offeror plans to perform if the contract is awarded. A complete cost breakdown should be provided giving labor rates, proposed number of hours, overhead, G&A, and profit. A reasonable profit will be allowed. When proposing travel, identify the number of trips, people involved, labor categories, destination of travel, duration of trip, commercial airfare or mileage rate, per diem expenses, and purpose of travel. Budgets for travel funds must be justified and related to the needs of the project. Where equipment is to be purchased, list each individual item with the corresponding cost. The inclusion of equipment will be carefully reviewed relative to need and appropriateness for the research proposed. Equipment is defined as an article of nonexpendable, tangible property having a useful life of more than one year and an acquisition cost of $5,000 or more per unit.

SBA Policy requires that NOAA not issue SBIR awards that include provisions for subcontracting any portion of the contract back to the originating agency or any other Federal Government agency or to other units of the Federal Government. Requests for waivers from this requirement must be sent to the NOAA program manager.

For Phase I, the proposing firm must perform a minimum of two-thirds of the research and/or analytical effort. The total cost for all consultant fees, facility leases, usage fees, and other subcontract or purchase agreements may not exceed one-third of the total contract price. For Phase II, the proposing firm must perform one-half of the research and/or analytical effort.

4.0 METHOD OF SELECTION AND EVALUATION CRITERIA

4.1 Introduction

All Phase I and II proposals will be evaluated on a competitive basis. Each Phase I proposal will be screened by NOAA to ensure that it meets the administrative requirements outlined in Section 4.2. Proposals that meet these requirements will be peer reviewed, undergo competitive review within each laboratory, and may also undergo a third round of competitive review across the agency.

4.2 Phase I Evaluation Criteria

To avoid a misunderstanding, small businesses are cautioned that Phase I proposals not satisfying all the evaluation criteria shall be returned without peer review and eliminated from consideration for a contract. Proposals may not be resubmitted (with or without revisions) under this solicitation. All copies of proposals that fail the screening process will be returned. The evaluation criteria are:

(a) The proposing firm must qualify as a small business (Section 2.1). If it is a subsidiary of another firm, this limit applies to all employees under control of the parent organization.

(b) The Phase I proposal must meet all of the requirements stated in Section 3.

(c) The Phase I proposal must be limited to one subtopic and clearly address research for that subtopic.

(d) Phase I proposal budgets must not exceed $95,000.

(e) The project duration for the Phase I research must not exceed six months.

(f) The proposing firm must carry out a minimum of two-thirds of expenditures under each Phase I project.

(g) The proposal must contain information sufficient to be peer reviewed.

4.3 Phase I Evaluation and Selection Criteria

Phase I proposals will be rated by NOAA and/or external scientists or engineers with equal consideration given to the following criteria, except for item (a), which will receive twice the value of any of the other items:

(a) The scientific and technical merit of the Phase I research plan and its relevance to the objectives, with special emphasis on its innovativeness and originality.

(b) Importance of the problem or opportunity and anticipated benefits of the proposed research to NOAA, and the commercial potential, if successful.

(c) How well the research objectives, if achieved, establish the feasibility of the proposed concept and justify a Phase II effort.

(d) Qualifications of the principal investigator(s), other key staff, and consultants, and the probable adequacy of available or obtainable instrumentation and facilities.

Reviewers will base their ratings on information contained in the proposal. It cannot be assumed that reviewers are acquainted with any experiments referred to, key individuals and facilities.

Final award decisions will be made by NOAA based upon ratings assigned by reviewers and consideration of additional factors, including possible duplication of other research, the importance of the proposed research as it relates to NOAA needs, and the availability of funding. NOAA may elect to fund several or none of the proposals received on a given subtopic. Approximately one-third of subtopic areas are generally funded in this solicitation. Upon selection of a proposal for a Phase I award, NOAA reserves the right to negotiate the amount of the award.

4.4 Phase II Evaluation and Selection Criteria

The Phase II proposal will undergo NOAA and external peer review for the purpose of determining overall technical or scientific merit. Review panels, composed of senior technical specialists, will make the final Phase II selection decision based on the written reviews and the company presentation to the panel. Each of the following evaluation criteria will receive approximately equal weight, except for item (a), which will receive twice the value of any of the other items:

(a) The scientific and technical merit with emphasis on innovation and originality.

(b) Degree to which the Phase I objectives were met.

(c) The commercial potential of the proposal as evidenced by: 1) a record of commercialization, 2) the existence of Phase II funding commitments from non-SBIR sources, 3) existence of Phase III follow-on commitments, and 4) the presence of other indications of commercial potential of the research.

(d) The adequacy of the Phase II objectives to meet the problem or opportunity.

(e) The qualifications of the principal investigator and other key personnel to carry out the proposed work.

Upon selection of a proposal for Phase II award, NOAA reserves the right to negotiate the amount of the award. NOAA is not obligated to fund any specific Phase II proposal.

4.5 Release of Proposal Review Information

After final award decisions have been announced, the technical evaluations of a proposal will be provided to the proposer only upon written request and for a period not to exceed 90 days. The identity of the reviewers will not be disclosed.

5.0 CONSIDERATIONS

5.1 Awards

Contingent upon availability of funds, NOAA anticipates making about 10 Phase I firm-fixed price contracts of no more than $95,000 each. Performance period, with no exception, shall be no more than six months. Historically, NOAA has funded about ten percent of the Phase I proposals submitted which is approximately one-third of the subtopic areas.

Phase II awards shall be for no more than $400,000 (except for subtopics with the suffix “SG”, which are limited to $300,000). The period of performance in Phase II will depend upon the scope of the research, but should not normally exceed 24 months.

It is anticipated that approximately one-third of the Phase I awardees will receive Phase II awards, depending upon the availability of funds. To provide for an in-depth review of the Phase I final report and the Phase II proposal and commercialization plan, Phase II awards will be made approximately seven months after the completion of Phase I.

For planning purposes, proposers should understand that Phase I awards are made in July, Phase II proposals are due the following February, and Phase II awards are made during August and September.

This solicitation does not obligate NOAA to make any awards under either Phase I or Phase II. Furthermore, NOAA is not responsible for any monies expended by the proposer before award of any contract resulting from this solicitation.

5.2 Reports

Copies of a final report on the Phase I project shall be submitted electronically to NOAA upon completion of the Phase I research. The final report shall include a single-page project summary as the first page, identifying the purpose of the research, and giving a brief description of the research carried out, the research findings or results, and the commercial applications of the research in a final paragraph. The remainder of the report should indicate in detail the research objectives, research work carried out, results obtained, and estimates of technical feasibility.

All final reports must carry an acknowledgement on the cover page such as: “This material is based upon work supported by the Department of Commerce under contract number _________. Any opinions, findings, conclusions or recommendations expressed in this publication are those of the author(s) and do not necessarily reflect the views of the Department of Commerce.”

Progress reports (submitted electronically), in a brief letter format will be required also.

5.3 Payment Schedule

The specific payment schedule (including payment amounts) for each contract will be incorporated into the contract upon completion of negotiations between the Government and the successful Phase I or Phase II contractor.

5.4 Proprietary Information, Inventions, and Patents

5.4.1 Limited Rights in Information and Data

Information contained in unsuccessful proposals will remain the property of the proposer, except that the “Project Summary” page may be made available to a limited audience through the SBA Tech-Net System. The Government may, however, retain copies of all proposals. Any proposal, which is funded, will not be made available to the public, except for the “Project Summary” page.

The inclusion of proprietary information is discouraged unless it is absolutely necessary for the proper evaluation of the proposal.

Proprietary information submitted to NOAA will be treated in confidence, to the extent permitted by law, if it is confined to a separate page with a numbering system key, and marked with a legend reading: “Following is proprietary information which (name of proposing firm) requests not be released to persons outside the Government, except for purposes of evaluation.”

Any other legend will be unacceptable to NOAA and may constitute grounds for return of the proposal without further consideration. Without assuming any liability for inadvertent disclosure, NOAA will limit dissemination of such information to its employees and, where necessary for evaluation, to outside reviewers on a confidential basis.

Since technical reports may eventually be made available to the public, such reports shall not contain any language limiting their use other than for SBIR data as described below.

5.4.2 Copyrights

The contractor may normally establish claim to copyright any written material first produced in the performance of an SBIR contract. If a claim to copyright is made, the contractor shall affix the applicable copyright notice of 17 U.S.C. 401 or 402 an acknowledgment of Government sponsorship (including contract number) to the material when delivered to the Government, as well as when the written material or data are published or deposited for registration as a published work in the U.S. Copyright Office. For other than computer software, the contractor gives to the Government, and others acting on its behalf, a paid-up, nonexclusive, irrevocable, worldwide license to reproduce, prepare derivative works, distribute copies to the public, and perform publicly and display publicly, by or on behalf of the Government.

For computer software, the contractor gives to the Government, and others acting on its behalf, a paid-up, nonexclusive, irrevocable, worldwide license for all such computer software to reproduce, prepare derivative works, and perform publicly and display publicly, by or on behalf of the Government.

5.4.3 Data Rights

Except for copyrighted data, the Government shall normally have unlimited rights to data in Phase I, II, or III awards, such as:

(a) data specifically identified in the SBIR contract to be delivered without restriction;

(b) form, fit, and function data delivered under the contract;

(c) data delivered under the contract that constitute manuals or instructions and training material for installation, operation, or routine maintenance and repair of items, components, or processes delivered or furnished for use under the contract; and

(d) all other data delivered under the contract.

According to Federal Acquisition Regulation 52.227-20, Rights and Data – SBIR Program (March 1994), the contractor is authorized to affix the following “SBIR Rights Notice” to SBIR data delivered under the contract:

SBIR RIGHTS NOTICE

These SBIR data are furnished with SBIR rights under Contract No. ______________ (and subcontract _______________, if appropriate). For a period of four years after acceptance of all items to be delivered under this contract, the Government agrees to use these data for Government purposes only, and they shall not be disclosed outside the Government (including disclosure for procurement purposes) during such period without permission of the contractor, except that, subject to the forgoing use and use by support contractors. After the aforesaid four-year period, the Government has a royalty-free license to use, and to authorize others to use on its behalf, these data for Government purposes, but is relieved of all disclosure prohibitions and assumes no liability for unauthorized use.

(END OF NOTICE)

The Government’s sole obligation with respect to any properly identified SBIR data shall be as set forth in the paragraph above. The four-year period of protection applies for Phases I, II, and III.

5.4.4 Patents

Small business firms normally may retain the worldwide patent rights to any invention made with NOAA support. As described in more detail in FAR 52.227-11, NOAA receives a royalty-free license for Federal Government use, reserves the right to require the patent holder to license others in certain circumstances, and requires that anyone exclusively licensed to sell the invention in the United States must substantially manufacture it domestically. To the extent authorized by 35 U.S.C. 205, NOAA will not make public any information disclosing a NOAA-supported invention to allow the contractor a reasonable time to pursue a patent (less than four years). SBIR awardees must report inventions that are planned to be patented to the SBIR Program Office, 1335 East West Highway, Room 106, Silver Spring, MD 20910.

5.5 Awardee Commitments

Upon the award of a contract, the contractor will be required to make certain legal commitments. The outline that follows illustrates the types of clauses to which the contractor would be committed. This list is not a complete list of clauses to be included in Phase I funding agreements, and is not the specific wording of such clauses. Copies of complete terms and conditions are available upon request.

(a) Standards of Work. Work performed under the contract must conform to high professional standards.

(b) Inspection of Work. Work performed under the contract is subject to Government inspection and evaluation at all reasonable times.

(c) Examination of Records. The Comptroller General (or a duly authorized representative) shall have the right to examine pertinent records of the contractor involving transactions related to this contract.

(d) Default. The Government may terminate the agreement if the contractor fails to perform the work contracted.

(e) Termination for Convenience. The Government may terminate the contract at any time if it deems termination to be in the best interest, in which case the contractor will be compensated for work performed and for reasonable termination costs.

(f) Disputes. Any dispute about the contract, which cannot be resolved by agreement, shall be decided by the Contracting Officer with right to appeal.

(g) Contract Work Hours. The contractor cannot require an employee to work more than eight hours a day or 40 hours a week, unless the employee is compensated accordingly (i.e., received overtime pay).

(h) Equal Opportunity. The contractor will not discriminate against any employee or applicant for employment because of race, color, religion, sex, or national origin.

(i) Affirmative Action for Veterans. The contractor will not discriminate against any employee or applicant for employment because he or she is a disabled veteran or veteran of the Vietnam era.

(j) Affirmative Action for the Handicapped. The contractor will not discriminate against any employee or applicant for employment because he or she is physically or mentally handicapped.

(k) Officials Not to Benefit. No Government official shall benefit personally from any SBIR contract.

(l) Covenant Against Contingent Fees. No person or agency has been employed to solicit or secure the contract upon an understanding for compensation, except bona fide employees or commercial agencies maintained by the contractor for the purpose of securing business.

(m) Gratuities. The Government may terminate the contract if any gratuity has been offered to any representative of the Government to secure the contract.

(n) Patent Infringement. The contractor shall report each notice or claim of patent infringement based on the performance of the contract.

(o) American-Made Equipment and Products. When purchasing either equipment or a product with funds provided through the contract, purchase only American-made equipment and products to the extent possible, in keeping with the overall research needs of the project.

5.6 Additional Information

(a) Projects. The responsibility for the performance of the principal investigator, and other employees or consultants, who carry out the proposed work, lies with the management of the organization receiving an award.

(b) Organizational Information. Before award of an SBIR contract, the Government may request the proposer to submit certain organizational, management, personnel, and financial information to assure responsibility of the proposer.

(c) Duplicate Awards. If an award is made under this solicitation, the contractor will be required to certify that he or she has not previously been, nor is currently being, paid for essentially equivalent work by any agency of the Federal Government. Severe penalties may result from such actions.

(d) It is recommended that upon submission of your proposal you obtain a Dunn and Bradstreet Number. You will need this number to be eligible to receive an award. You can obtain this number free of charge by contacting Dunn and Bradstreet by phone at 1-800-333-0505 or on-line at http://www.dnb.com/US/duns_update/index.html. In addition, all award winners will be required to fill-out on-line forms located at: http://www.ccr.gov/ and http://orca.bpn.gov/. It is required that these forms be filled out upon submission of the proposal. Within these forms please pay special attention to filling out the data required in the North American Industry Classification System (NAICS) and the Federal Supply Classification (FSC) portions of the forms. This will greatly expedite the contract award process.

This program solicitation is intended for information purposes and reflects current planning. If there is any inconsistency between the information contained herein and the terms of any resulting SBIR contract, the terms of the contract are controlling.

5.7 Research Projects with Human Subjects, Human Tissue, Data or Recordings Involving Human Subjects

Any proposal that includes research involving human subjects, human tissue, data or recordings involving human subjects must meet the requirements of the Common Rule for the Protection of Human Subjects, codified for the Department of Commerce at 15 CFR Part 27. Any questions regarding these requirements should be addressed to Ms. Kelly Wright. Telephone: 301-713-3565 or e-mail: kelly.wright@noaa.gov

5.8 Research Projects Involving Vertebrate Animals

Any proposal that includes research involving vertebrate animals (including fish) must be in compliance with the National Research Council’s “Guide for the Care and Use of Laboratory Animals” which can be obtained from National Academy Press, 2101 Constitution Avenue, NW, Washington, D.C. 20055. In addition, such proposals must meet the requirements of the Animal Welfare Act (7 U.S.C. 2131 et seq.), 9 CFR Parts 1, 2, and 3, and if appropriate, 21 CFR Part 58. These regulations do not apply to proposed research using pre-existing images of animals or to research plants that do not include live animals that are being cared for, euthanized, or used by the project participants to accomplish research goals, teaching, or testing. These regulations also do not apply to obtaining animal materials from commercial processors of animal products or to animal cell lines or tissues from tissue banks.

6.0 SUBMISSION OF PROPOSALS

6.1 Deadline for Proposals

Deadline for Phase I proposal receipt (six copies) at the Central Region Acquisition Division is 4:00 p.m. (EST) on January 14, 2010.

NOAA assumes no responsibility for evaluating proposals received after the stated deadline or that do not adhere to the other requirements of this solicitation (see 10.0 NOAA SBIR Checklist). Such proposals may be returned to the proposer without review.

Federal Acquisition Regulation (FAR 52.215-1) regarding late proposals shall apply.

Letters of instruction will be sent to those eligible to submit Phase II proposals. The Phase II proposals are due after receipt of the Phase I Final Report, approximately seven months after commencement of the Phase I contract.

Proposers are cautioned of unforeseen delays that can cause late arrival of proposals at NOAA, resulting in them not being included in the evaluation procedures. No information on the status of proposals under scientific/technical evaluation will be available until formal notification is made.

6.2 Proposal Submission

Hardcopy submission of NOAA proposals should be sent in six copies to:

ATTN: SBIR Proposals

U.S. Department of Commerce, NOAA

Central Region Acquisition Division

601 E. 12th Street, Room 1756 Kansas City, Missouri 64106 Telephone: 816-426-7400 Acknowledgment of receipt of a proposal by NOAA will be made. All correspondence relating to proposals must cite the specific proposal number identified in the acknowledgment.

(a) Packaging: Secure packaging is mandatory. NOAA cannot process proposals damaged in transit. All six copies of the proposal must be sent in the same package. Do not send separate “information copies,” or several packages containing parts of a single proposal, or two packages of six copies of the same proposal. The top copy must be signed as an original by the principal investigator and the corporate official. Other copies may be photocopies.

(b) Bindings: Do not use special bindings or covers. Staple the pages in the upper left hand corner of each proposal. Separation or loss of proposal pages cannot be the responsibility of NOAA.

6.3 Warning

While it is permissible, with proper notification to NOAA, to submit identical or essentially equivalent proposals for consideration under numerous Federal program solicitations, it is unlawful to enter into contracts requiring essentially equivalent effort. If there is any question concerning this, it must be disclosed to the soliciting agency or agencies before award.

7.0 SCIENTIFIC AND TECHNICAL INFORMATION SOURCES

7.1 General Information

The following web pages may be sources for additional technical information:

http://www.noaa.gov http://www.lib.noaa.gov

7.2 Oceanography and Marine Science

Scientific information in the areas of oceanography and marine science may be obtained from organizations shown in the website http://www.nsgo.seagrant.org/SGDirectors.html 8.1

TOPIC:

ECOSYSTEMS

8.1.1R

SUBTOPIC:

In-Field Sensors for Detection of Microbial

Contaminants in Coastal Waters Microbial contamination adversely impacts coastal water quality, and poor water quality has negative economic, health, and environmental impacts. The development and implementation of rapid and automated methods for monitoring and identifying microbial contamination in coastal waters is needed to support an ecosystems approach to managing coastal resources. The products derived from this SBIR call should help with some or all of the following: elucidate the relationships between human activities, ocean processes, and health outcomes and to facilitate ecological forecasting. Proposals are requested for development of sensors that meet the requirements for biological observing in the field, including meeting the detection limits needed for the NOAA-related field applications (e.g., demonstrated, detection limits appropriate for targets in real field samples). Designs may couple marine biotechnology and engineering approaches to enable field portable and in-situ biosensors that allow rapid enumeration of microbial targets of interest. Targets of interest include microbes that pose a risk to the health of humans, fisheries, protected resources, and/or ecosystems. Applications may include environmental or ballast water quality assessments, biosecure aquaculture, and protection of threatened or endangered species. Integrated mechanical, electrical, fluidic, and molecular biological innovations are needed in order to efficiently filter large volumes of water, process and detect microbes (viable or nucleic acids) with minimal to no human interaction, and to meet size, power, cost, and real-world detection limit requirements. To enable validation of ecological forecasting models and to support coastal management decisions, design and testing of portable or in-situ sensors should include the capacity to integrate biological data with physical and climatological data generated from automated platforms.

References:

Clark, J.S., et al. 2001. Ecological Forecasts: An Emerging Imperative, Science, 293, 657-660.

Goodwin, K.D. and R.W. Liktaker. 2008. Emerging technologies for monitoring recreational waters for bacteria and viruses. IN: Oceans and Human Health: Risk and Remedies from the Seas. P.J. Walsh, S.L. Smith, W.H. Gerwick, H. Solo-Gabriele, L. Fleming, eds. Academic Press, New York, pp. 381-404, ISBN-13: 978-0123725844.

Noble, R.T., and Weisber, S.B. 2005. A review of technologies for rapid detection of bacteria in recreational waters. Journal of Water and Health, 4, 381-392.

8.1.2F

Aquaculture: Sustainable Marine Aquaculture

Operations

The purpose of this topic is to develop innovative products and services to support the development of environmentally, socially, and economically sustainable marine aquaculture. The focus is on products and services that will allow the aquaculture industry to expand in a way that is compatible with healthy marine ecosystems and other users of coastal and ocean resources.

As marine aquaculture technology moves from research to operations, there is a critical need to provide commercial products and services to aquaculture producers at a cost that does not jeopardize the economic viability of the industry. This includes, but is not limited to, methods, tools, instruments, technologies, and equipment for:

· Producing fish, shellfish, and marine algae in hatcheries

· Selecting appropriate sites for marine aquaculture operations

· Raising fish, shellfish, and marine algae to market size in land-based, coastal, and open-ocean grow-out facilities

· Preventing, diagnosing, and controlling disease

· Meeting the nutritional requirements of marine species in all life stages (from hatchery to market size), including use of diets that rely less on fish oil and fish meal without sacrificing the human health benefits of seafood consumption

· Preventing or reducing effluents and escapes from marine aquaculture facilities

· Excluding predators from aquaculture facilities in ocean and coastal waters

· Mitigating environmental impacts

References:

Nash, C.E., 2004. Achieving Policy Objectives to Increase the Value of the Seafood Industry in the United States: The Technical Feasibility and Associated Constraints. Food Policy 29, 621-641.

National Marine Fisheries Service, 2007. Summary of the National Marine Aquaculture Summit. Available at http://aquaculture2007.noaa.gov/pdf/summitsum_web_1_08.pdf National Oceanic and Atmospheric Administration, 2007. NOAA 10 Year Plan for Marine Aquaculture. Available at http://aquaculture.noaa.gov/pdf/finalnoaa10yrrweb.pdf 8.1.3F

SUBTOPIC:

Aquaculture: Sustainable Marine Aquaculture Management

The purpose of this topic is to develop innovative products and services to support sound management of marine aquaculture. There is a need for resource managers and regulators to have access to affordable equipment, instruments, tools and techniques to assess the potential risks and benefits of marine aquaculture facilities and to monitor the impacts of marine aquaculture operations on marine ecosystems. This includes, but is not limited to, methods, tools, technologies, and equipment for:

· Analyzing the risks associated with marine aquaculture production

· Evaluating proposed sites for marine aquaculture facilities

· Monitoring operations and their environmental impacts

· Analyzing genetic differences between farmed and wild, and providing methods to distinguish the two

References:

Nash, C.E., 2004. Achieving Policy Objectives to Increase the Value of the Seafood Industry in the United States: The Technical Feasibility and Associated Constraints. Food Policy 29, 621-641.

National Marine Fisheries Service, 2007. Summary of the National Marine Aquaculture Summit. Available at http://aquaculture2007.noaa.gov/pdf/summitsum_web_1_08.pdf National Oceanic and Atmospheric Administration, 2007. NOAA 10 Year Plan for Marine Aquaculture. Available at http://aquaculture.noaa.gov/pdf/finalnoaa10yrrweb.pdf

8.1.4SG

Subtopic:

Development of Hazard Resilient Structures and

Infrastructure Systems Using New Technologies NOAA’s National Sea Grant College Program is focused on promoting hazard resilient coastal communities.