NOAA 2011-1 Amendment 0001 dtd 11-2-2010 .pdf

SBIR

Small Business

Innovation Research

FY 2011

NOAA Program Solicitation: NOAA 2011-1

Amendment 0001 (November 2, 2010)

Opening Date: October 13, 2010 Closing Date: January 12, 2011

U.S. DEPARTMENT OF COMMERCE

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

SUMMARY OF CHANGES:

Amendment 0001 Paragraph 3.6, Proposed Budget was revised.

Paragraph 3.7, Multiple Proposals was incorporated.

Paragraph 6.2, Proposal Submission was revised.

Paragraph 8.2.6W, Corrected website link.

Paragraph 8.4.2W, Corrected website link.

TABLE OF CONTENTS

1.0 PROGRAM DESCRIPTION

1.1 Introduction

1.2 Three-Phase Program

1.2.1 Phase I – Feasibility Research

1.2.2 Phase II – Research and Development

1.2.3 Phase III – Commercialization

1.3 Manufacturing-related Priority

1.4 Energy Efficiency and Renewable Energy Priority

1.5 Eligibility

1.6 Contact with NOAA

2.0 DEFINITIONS

2.1 Small Business Concern

2.1.1 Socially and Economically Disadvantaged Small Business Concern (See 13 CFR 124 Parts 103 and 104 for additional information)

2.1.2 Women-Owned Small Business

2.1.3 Historically Underutilized Business Zone (HUBZone) Small Business

Concern (See 13 CFR Part 126 for additional details)

2.2 Joint Venture

2.3 Research or Research and Development

2.4 Funding Agreement

2.5 Subcontract

2.6 Commercialization

2.7 Feasibility

2.8 Essentially Equivalent Work

2.9 SBIR Technical Data

2.10 SBIR Technical Data Rights

3.0 PROPOSAL PREPARATION INSTRUCTIONS AND REQUIREMENTS

3.1 Proposal Requirements

3.2 Phase I Proposal Limitations

3.3 Phase I Proposal Format

3.3.1 Cover Sheet

3.3.2 Project Summary

3.3.3 Technical Content

3.4 Equivalent Proposals or Awards

3.5 Prior SBIR Phase II Awards

3.6 Proposed Budget

3.7 Multiple Proposals

4.0 METHOD OF SELECTION AND EVALUATION CRITERIA

4.1 Introduction

4.2 Phase I Screening Criteria

4.3 Phase I Evaluation and Selection Criteria

4.4 Phase II 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 Deliverables

5.5 Proprietary Information, Inventions, and Patents

5.5.1 Limited Rights in Information and Data

5.5.2 Copyrights

5.5.3 Rights in Data Developed under SBIR Contracts

5.5.4 Patents

5.6 Awardee Commitments

5.7 Additional Information

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

5.9 Research Projects Involving Vertebrate Animals

6.0 SUBMISSION OF PROPOSALS

6.1 Deadline for Proposals and Modifications

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

9.0 SUBMISSION FORMS

9.1 NOAA/SBIR Coverpage

9.2 NOAA/SBIR Project Summary Form

9.3 NOAA/SBIR Proposal Summary Budget

10.0 NOAA/SBIR CHECKLIST

11.0 SBIR NATIONAL CONFERENCES

DEPARTMENT OF COMMERCE

NATIONAL OCEANIC AND ATMOSPHERIC ADMINISTRATION

PROGRAM SOLICITATION FOR SMALL BUSINESS INNOVATION RESEARCH

(SBIR)

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. The SBIR Program is not a substitute for existing unsolicited proposal mechanisms. 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.

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, plan to commercialize the final product, and a company presentation to the panel (more information concerning company presentations will be sent to all Phase I awardees under consideration for a Phase II contract). 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 Manufacturing-related Priority

Executive Order (EO) 13329 “Encouraging Innovation in Manufacturing” requires SBIR agencies, to the extent permitted by law and in a manner consistent with the mission of that department or agency, to give high priority within the SBIR programs to manufacturing-related research and development (R&D). “Manufacturing-related” is defined as “relating to manufacturing processes, equipment and systems; or manufacturing workforce skills and protection.”

The NOAA SBIR Program solicits manufacturing-related projects through many of the subtopics described in this Solicitation. Further, NOAA encourages innovation in manufacturing by giving high priority, where feasible, to projects that can help the manufacturing sector through technological innovation in a manner consistent with NOAA’s mission. This prioritization will not interfere with the core project selection criteria: scientific and technical merit, and the potential for commercial success.

1.4 Energy Efficiency and Renewable Energy Priority

The Energy Independence and Security Act of 2007 (P.L. 110-140) directs SBIR Programs to give high priority to small business concerns that participate in or conduct energy efficiency or renewable energy system R&D projects.

The NOAA SBIR Program solicits energy efficiency or renewable energy system R&D projects through many of the subtopics described in this Solicitation. Further, NOAA encourages innovation in energy efficiency or renewable energy system R&D by giving high priority, where feasible, to projects that conduct energy efficiency or renewable energy system R&D through technological innovation in a manner consistent with NOAA’s mission. This prioritization will not interfere with the core project selection criteria: scientific and technical merit and the potential for commercial success.

1.5 Eligibility

Each organization submitting a proposal for both Phase I and Phase II 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.

For Phase I, a minimum of two-thirds of the research and/or analytical effort must be performed by the awardee. For Phase II, a minimum of one-half of the research and/or analytical effort must be performed by the awardee.

Unsolicited proposals or proposals not responding to subtopics listed herein are not eligible for SBIR awards. Only proposals that are directly responsive to the subtopics as described in Section 8 will be considered.

1.6 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 strictly prohibited.

Requests for additional general SBIR information shall be submitted in writing via email or fax to:

Joan Clarkston, Contract Specialist 601 E. 12th Street, Rm 1756 Kansas City, MO 64106 E-mail: joan.e.clarkston@noaa.gov Fax: (816) 426-7469

Additional scientific and technical information sources are listed in Section 7.

In order to assure a timely response from the government and prevent potential delays in this procurement, all questions shall be submitted no later than December 15, 2010.

2.0 DEFINITIONS

Definitions are from “Small Business Innovation Research Policy Directive; Notice of final Policy Directive,” Federal Register, September 24, 2002 (Vol. 67, Number 185) unless specifically noted.

2.1 Small Business Concern

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

(a) is organized for profit, with a place of business located in the United States, which operates primarily within the United States or which makes a significant contribution to the United States economy through payment of taxes or use of American products, materials or labor;

(b) is in the legal form of an individual proprietorship, partnership, limited liability company, corporation, joint venture, association, trust or cooperative, except that where the form is a joint venture, there can be no more than 49 percent participation by foreign business entities in the joint venture;

(c) is at least 51 percent owned and controlled by one or more individuals who are citizens of, or permanent resident aliens in, the United States, except in the case of a joint venture, where each entity to the venture must be 51 percent owned and controlled by one or more individuals who are citizens of, or permanent resident aliens in, the United States; and

(d) has, including its affiliates, not more than 500 employees.

2.1.1 Socially and Economically Disadvantaged Small Business Concern (See 13 CFR 124 Parts 103 and 104 for additional information)

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).

2.1.2 Women-Owned Small Business

An SBC that is at least 51 percent owned by one or more women, or in the case of any publicly owned business, at least 51 percent of the stock is owned by women, and women control the management and daily business operations

2.1.3 Historically Underutilized Business Zone (HUBZone) Small Business Concern (See 13 CFR Part 126 for additional details)

Status as a qualified HUBZone Small Business Concern is determined by the Small Business Administration.

2.2 Joint Venture

An association of concerns with interests in any degree or proportion by way of contract, express or implied, consorting to engage in and carry out a single specific business venture for joint profit, for which purpose they combine their efforts, property, money, skill, or knowledge, but not on a continuing or permanent basis for conducting business generally. A joint venture is viewed as a business entity in determining power to control its management.

2.3 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) in the above paragraph.

2.4 Funding Agreement

Any contract, grant, or cooperative agreement entered into between any Federal agency and any small business concern (SBC) for the performance of experimental, developmental, or research work, including products or services, funded in whole or in part by the Federal Government.

For purposes of this Solicitation, NOAA intends to award contracts in accordance with the Federal Acquisition Regulation.

2.5 Subcontract

Any agreement, other than one involving an employer-employee relationship, entered into by an awardee of a funding agreement calling for supplies or services for the performance of the original funding agreement..

2.6 Commercialization

The process of developing marketable products or services and producing and delivering products or services for sale (whether by the originating party or by others) to Government or commercial markets.

As used here, commercialization includes both Government and private sector markets.

2.7 Feasibility

The practical extent to which a project can be performed successfully.

2.8 Essentially Equivalent Work

This occurs when (1) substantially the same research is proposed for funding in more than one contract proposal or grant application submitted to the same Federal agency;

(2) substantially the same research is submitted to two or more different Federal agencies for review and funding consideration; or (3) a specific research objective and the research design for accomplishing an objective are the same or closely related in two or more proposals or awards, regardless of the funding source.

2.9 SBIR Technical Data

All data generated during the performance of a SBIR award.

2.10 SBIR Technical Data Rights

The rights an SBC obtains in data generated during the performance of any SBIR Phase I, Phase II, or Phase III award that an awardee delivers to the Government during or upon completion of a Federally-funded project, and to which the Government receives a license.

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. 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 it determines 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. Proposals that do not pass the screening criteria (outlined in Section 4.2) will be returned to the offeror without further consideration.

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. Any pages included after the 25th will not be reviewed. The only exception to the page count limitation are those pages necessary to comply with the itemization of prior SBIR Phase II awards, per Section 3.5.

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 other electronic media 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

Research or Research Development plan. The plan should indicate not only what will be done, but also where it will be done, and how the Research will be carried out. The method(s) planned to achieve each objective or task, mentioned in item (b) above, 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 directly 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. Offerors may propose 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 more than 15 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. Proposed travel costs cannot exceed the rates and amount specified in the Joint Travel Regulations. 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.

Kick-off Meetings and/or Final Phase I Presentation/Demonstration is not required unless specifically mentioned in the specific research subtopic in section 8. If the offeror would like to propose a Kick-Off Meeting and/or Final Phase I Presentation/Demonstration, it must be included in the proposal and reference the costs in the budget in order to be considered by the government.

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 contracting officer. Upon receipt, the government shall review the request and make a determination whether to forward the request to SBA for review. SBA may issue a waiver on a case-by-case basis.

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.

3.7 Multiple Proposals

Offerors may submit multiple proposals to this solicitation. Offerors should submit separate proposal packages for each topic area they wish to be considered. If offerors have multiple proposals with different method or deliverables that they wish to propose on the same topic area, a separate proposal package should e provided for each method or deliverable.

4.0 METHOD OF SELECTION AND EVALUATION CRITERIA

4.1 Introduction

All Phase I and II proposals will be evaluated and judged on a competitive basis. A proposal will not be deemed acceptable if it represents presently available technology. 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 (reviewers may be NOAA employees or outside of NOAA), undergo competitive review within each laboratory, and may also undergo a third round of competitive review across the agency. Each proposal should be checked by the offeror to ensure inclusion of all essential material needed for a complete evaluation.

4.2 Phase I Screening Criteria

To avoid a misunderstanding, small businesses are cautioned that Phase I proposals not satisfying all the screening 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. The screening criteria are:

(a) The proposing firm must qualify as a small business in accordance with Section 2.1.

(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 include all essential material needed in accordance with Section 3 for a complete evaluation in accordance with the criteria in paragraph 4.3.

Screening Criteria for Phase II Proposals shall be provided at a later date for all Phase I awardees.

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 or 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. 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 and 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 (more information concerning company presentations will be sent to all Phase I awardees under consideration for a Phase II contract). 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 prior commercialization of products and/or services by the small business, 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 approximately 15 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 half 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 five months after the completion of Phase I.

For planning purposes, proposers should understand that Phase I awards are tentatively issued in July 2011, Phase II proposals are due approximately February 2012, and Phase II awards are issued tentatively June 2012.

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

Progress reports scheduled periodically during the Phase I and Phase II periods of performance will include all technical details regarding the research conducted up to that point in the project and will provide detailed plans for the next stages of the project.

The acceptance of each progress report will be contingent upon appropriate alignment with the solicited and proposed milestones. Consideration will be given to changes from the solicited and proposed milestones if results from experimentation warrant a deviation from plan. Inclusion of proprietary information within the progress reports and final report may be necessary in order to effectively communicate progress and gain appropriate consultation from NOAA experts regarding next steps. All such proprietary information will be marked according to instructions provided in section 5.5.

Final reports submitted under Phase I and Phase II 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 National Oceanic and Atmospheric Administration (NOAA) 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 NOAA.”

5.3 Payment Schedule

The specific payment schedule (including payment amounts) for each award will be incorporated into the contract. Typically Phase I has approximately three progress reports with invoices submitted which includes the final report. The final report shall be due six months from contract award. Phase II progress reports and invoices are typically due every two to four months with the final report due 24 months from the date of award.

5.4 Deliverables

Offers submitted in response to subtopics that require delivery of a prototype should state in the proposal, the plan to develop and deliver the specified prototype.

Notwithstanding the absence of such an explicit statement in the offeror’s proposal, delivery of the developed prototype as called for by the Solicitation subtopic is required.

5.5 Proprietary Information, Inventions, and Patents

5.5.1 Limited Rights in Information and Data

Information contained in unsuccessful proposals will remain the property of the proposer. 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. Information contained in unsuccessful proposals will remain the property of the offeror. The Government may, however, retain copies of all proposals. Public release of information in any proposal submitted will be subject to existing statutory and regulatory requirements. If proprietary information is provided by an offeror in a proposal, which constitutes a trade secret, proprietary commercial or financial information, confidential personal information or data affecting the national security, it will be treated in confidence, to the extent permitted by law. This information must be clearly marked by the offeror with the term “confidential proprietary information” and the following legend must appear on the first page of the technical section of the proposal:

“These data shall not be disclosed outside the Government and shall not be duplicated, used, or disclosed in whole or in part for any purpose other than evaluation of this proposal. If a funding agreement is awarded to this offeror as a result of or in connection with the submission of these data, the Government shall have the right to duplicate, use, or disclose the data to the extent provided in the funding agreement and pursuant to applicable law. This restriction does not limit the Government’s right to use information contained in the data if it is obtained from another source without restriction. The data subject to this restriction are contained on pages _____ of this proposal.”

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

Examples of laws that restrict the government to protect confidential/proprietary information about business operations and trade secrets possessed by any company or participant include: Freedom of Information Act (FOIA) – 5. U.S.C. § 552(b); Economic Espionage Act – 18 U.S.C. § 1832; and Trade Secrets Act – 18 U.S. C. § 1905.

In view of the above, proposers are cautioned that proposals are likely to be less competitive if significant details are omitted due to the proposer’s reluctance to reveal confidential/proprietary information.

5.5.2 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.

5.5.3 Rights in Data Developed under SBIR Contracts

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.

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.

5.5.4 Patents

Small business firms normally may retain the worldwide patent rights to any invention made with NOAA support. The government 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, the government will not make public any information disclosing a government-supported invention for a minimum 4-year period (that may be extended by subsequent SBIR funding agreements) to allow the awardee a reasonable time to pursue a patent. 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 via email to Kelly.wright@noaa.gov.

5.6 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.

5.7 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) Your firm is required to obtain a Dunn and Bradstreet Number

(DUNS) and register in the Central Contractor Registration (CCR) database and the Online Representations and Certifications (ORCA) database in order to be eligible to receive a contract award. You can obtain a DUNS 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. It is required that the CCR and ORCA databases be filled out upon submission of the proposal. Within these databases, 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.

5.8 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

5.9 Research Projects Involving Vertebrate Animals

Any proposal that includes research…