[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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