[Federal Register Volume 61, Number 176 (Tuesday, September 10, 1996)]
[Notices]
[Pages 47736-47737]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-22971]
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DEPARTMENT OF COMMERCE
National Oceanic and Atmospheric Administration (NOAA)
Small Business Innovation Research (SBIR)
AGENCY: Office of Research and Technology Applications, National
Oceanic and Atmospheric Administration, Department of Commerce.
ACTION: Notice.
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SUMMARY: Proposals are sought from high tech small businesses to
respond to agency research needs in ocean science. The ``Small Business
Research and Development Enhancement Act of 1992'' requires the
Department of Commerce (DOC), 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. DOC has the unilateral
right to select SBIR research topics and awardees, and to award several
or no grants under a given topic. Phase I is to determine the technical
feasibility of ideas submitted for consideration 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 approach, a
prerequisite to further support in Phase 2. Only firms that are awarded
Phase 1 contracts or grants under this solicitation will be given the
opportunity of submitting a Phase 2 proposal immediately following
completion of Phase 1. Phase 2 is the R&D or prototype development
phase. It will require a comprehensive proposal, outlining the effort
in detail. Further information regarding Phase 2 proposal requirements
will be provided to all firms receiving Phase 1 grants. In Phase 3, it
is intended that non-SBIR capital be used by small business to pursue
commercial applications of Phase 2.
DATES: Strict deadlines for submission to the FY 1997 program are:
Opening Date: October 1, 1996, Closing Date: January 15, 1997. Awards
will be announced in July 1997.
ADDRESSES: Proposals are to be submitted to: U.S. Department of
Commerce, NOAA, Procurement Operations Branch, Code OA313, 1325 East-
West Highway, SSMC2, Station 4301 Silver Spring, Maryland 20910, ATTN:
SBIR Proposals, Telephone: (301) 713-0829.
FOR FURTHER INFORMATION CONTACT:
Dr. Joseph Bishop, Telephone: (301) 713-3565, Fax: (301) 713-4100.
SUPPLEMENTARY INFORMATION:
Funding Availability
Because of ongoing debates concerning the Federal budget, it is
uncertain how much money will be available through this announcement.
Funding levels will depend on final FY 1997 budget appropriations.
During FY 1996, total funding was $600,000. This included 4 Phase 1
awards of $50,000, and 2 Phase 2 awards of $200,000.
Program Authority
Authority: The Small Business Research and Development
Enhancement Act of 1992, P.L. 102-564
(CFDA NO. 11.476)--Small Business Innovation Research
Program Objectives
SBIR invites small businesses to submit research proposals on ocean
science topics described in the annual solicitation. Objectives of this
solicitation include stimulating technological innovation in the
private sector, strengthening the rule of small business in meeting
Federal research and development needs, increasing the commercial
application of innovations derived from Federal research, and improving
the return on investment from Federally-funded research for the
economic benefit of the Nation.
Program Priorities
In FY 1997, SBIR will give priority attention to individual
proposals in the areas listed below.
Underwater Visual Imaging System
Aquaculture: Water Reuses and Effluent Treatment Systems
Aquaculture: Developing and Improving Marine Species Culture
Molecular and Immunological Probes
Mapping Sonar for Small Underwater Vehicles
Electronic Still Camera for Small Underwater Vehicles
[[Page 47737]]
Sampling and Remediation of Contaminated Sediments
Recreational Boat Charting
Matching Requirements: None.
Type of Funding Instrument: Grant.
Eligibility
For-profit small businesses of less than 500 people, including
affiliates, at least 51% owned by U.S. citizens or permanent resident
aliens. All work must be done in the United States. The principal
investigator must be employed full-time with the small business.
Award Period: For Phase 1, 6 months; for Phase 2, 24 months.
Indirect Costs: The total dollar amount of the indirect costs
proposed in an application under this program must not exceed the
indirect cost rate negotiated and approved by a cognizant Federal
agency prior to the proposed effective date of the award or 100 percent
of the total proposed direct costs dollar amount in the application,
whichever is less.
Application Forms and Kit: See ``For further Information Contact''
section for where to obtain a copy of the solicitation, which contains
forms and complete details.
Project Funding Priorities: None.
Evaluation Criteria: Phase 1 proposals will be rated by DOC
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 1 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 DOC, and the commercial potential,
if successful.
(c) How well do the research objectives, if achieved, establish the
feasibility of the proposed concept and justify a Phase 2 effort?
(d) Qualifications of the principal investigator(s), other key
staff, and consultants, and the probable adequacy of available or
obtainable instrumentation and facilities.
Selection Procedures: After review by technical specialists, a
selection committee will choose proposals for award based on funds
available and agency needs.
Other Requirements:
(1) Federal Policies and Procedures--Recipients and subrecipients
are subject to all Federal laws and Federal and DOC policies,
regulations, and procedures applicable to Federal financial assistance
awards.
(2) Past Performance--Unsatisfactory performance under prior
Federal awards may result in an application not being considered for
funding.
(3) Preaward Activities--If applicants incur any costs prior to an
award being made, they do so solely at their own risk of not being
reimbursed by the Government. Notwithstanding any verbal or written
assurance that may have been received, there is no obligation on the
part of DOC to cover preaward costs.
(4) No Obligation for Future Funding--If an application is selected
for funding, DOC has no obligation to provide any additional future
funding in connection with that award. Renewal of an award to increase
funding or extend the period of performance is at the total discretion
of DOC.
(5) Delinquent Federal Debts--No award of Federal funds shall be
made to an applicant who has an outstanding delinquent Federal debt
until either:
i. The delinquent account is paid in full,
ii. A negotiated repayment schedule is established and at least one
payment is received, or
iii. Other arrangements satisfactory to DOC are made.
(6) Name Check Review--All for-profit applicants are subject to a
name check review process. Name checks are intended to reveal if any
key individuals associated with the applicant have been convicted of or
are presently facing criminal charges such as fraud, theft, perjury, or
other matters which significantly reflect on the applicant's management
honestly or financial integrity.
(7) Primary Applicant Certifications--All primary applicants must
submit a completed Form CD-511, ``Certifications Regarding Debarment,
Suspension, and Other Responsibility Matters; Drug-Free Workplace
Requirements and Lobbying,'' and the following explanations are hereby
provided:
i. Nonprocurement Debarment and Suspension--Prospective
participants (as defined at 15 CFR Part 26, Section 105) are subject to
15 CFR Part 26, ``Nonprocurement Debarment and Suspension'' and the
related section of the certification form prescribed above applies;
ii. Drug-Free Workplace--Grantees (as defined at 15 CFR part 26,
Section 605) are subject to 15 CFR Part 26, Subpart F, ``Government-
wide Requirements for Drug-Free Workplace (Grants)'' and the related
section of the certification form prescribed above applies;
iii. Anti-lobbying--Persons (as defined at 15 CFR Part 28, Section
105) are subject to the lobbying provisions of 31 U.S.C. 1352,
``Limitation on use of appropriated funds to influence certain Federal
contracting and financial transactions,'' and the lobbying section of
the certification form prescribed above applied to applications/bids
for grants, cooperative agreements, and contracts for more than
$100,000, and loans and loan guarantees for more than $150,000, or the
single family maximum mortgage limit for affected programs, whichever
is greater; and
iv. Anti-Lobbying Disclosures--Any applicant that has paid or will
pay for lobbying using any funds must submit an SF-LLL, ``Disclosure of
Lobbying Activities,'' as required under 15 CFR Part 28, Appendix B.
(8) Lower Tier Certifications--Recipients shall require applicants/
bidders for subgrants, contracts, subcontracts, or other lower tier
covered transactions at any tier under the award to submit, if
applicable, a completed Form CD-512, ``Certifications Regarding
Debarment, Suspension, Ineligibility and Voluntary Exclusion-Lower Tier
covered Transactions and Lobbying'' and disclosure form, SF-LLL,
``Disclosure of Lobbying Activities.'' Form CD-512 is intended for the
use of recipients and should not be transmitted to DOC. SF-LLL
submitted by any tier recipient or subrecipient should be submitted to
DOC in accordance with the instructions contained in the award
document.
(9) False Statements--A false statement on an application is
grounds for denial or termination of funds and grounds for possible
punishment by a fine or imprisonment as provided in 28 U.S.C. 1001.
Intergovernmental Reviews: Applications under this program are
subject to Executive Order 12372, ``Intergovernmental Review of Federal
Programs.''
Purchase of American-Made Equipment and Products: When purchasing
either equipment or a product with funds provided through the grant,
purchase only American-made equipment and products, to the extent
possible in keeping with the overall research needs of the project.
Kurt J. Schnebele,
Executive Director of the Office of Oceanic and Atmospheric Research.
[FR Doc. 96-22971 Filed 9-9-96; 8:45 am]
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