Small Business Innovation Research (SBIR)

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

• 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] BILLING CODE 3510-08-M