ML20083Q601
| ML20083Q601 | |
| Person / Time | |
|---|---|
| Issue date: | 02/28/1983 |
| From: | NRC OFFICE OF NUCLEAR REGULATORY RESEARCH (RES) |
| To: | |
| References | |
| NUREG-BR-0059, NUREG-BR-59, NUDOCS 8302280044 | |
| Download: ML20083Q601 (44) | |
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1 NUREG/BR-0059 p,a ancoy United States s..'
Nuclear Regulatory Commission
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Fr4 24, oft 2 Small Business Ennovation Research Program INogram Solicitation FY 1983
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U.S. Nuclear Regulatory Commission Offico of Nuclear Regulatory Research SBIR Program Manager CLOSING DATE: June 3,1983 R88 2 8834 "
BR-0059 R PDR
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l CONTENTS Page 1.0 PROGRAM DESCRIPTION.
I 1.1 Introduction.........................
I 1.2 Three-Phase Program 1
1.3 Follow-On Funding 2
1.4 Eligibility and Limitations 3
2.0 DEFINITIONS............................
4 2.3 Research or Research and Development.
4 2.1 Small Business........................
4 2.3 Minority and Disadvantaged business 4
2.4 Women-0wneo and Operated Firm 4
3.0 SCHEDULE 5
4.0 PP1POSAL PREPARATION INSTRUCTIONS AND REQUIREMENTS 6
4.1 Proposal Requirements 6
4.2 Proprietary Information 6
4.3 General Content 7
4.4 Phase I Proposal Format 7
4.5 Other Information 10 50 METHOD OF SELECTION AND EVALUATION CRITERIA............
11 5.1 Introduction.........................
11 5.2 Screening Criteria.
11 5.3 Evaluation Criteria - Phase I 12 5.4 Evaluation Criteria - Phase II 13 6.0 CONSIDERATIONS 14 6.1 Awards......
14 6.2 Reports 14 6.3 Payment Schedule.
15 6.4 Technical Data..
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- 6. 5 Copyrights..........................
15 6.6 Patents 15 6.7 Marking and Treatment of Proposal Information 15 6.8 Estimated Costs snd Budgets 16 6.9 Limitations 17 6.10 Contractor Commitments.
17 6.11 Software.
18 6.12 Additional Information..............
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CONTENTS (Continued)
.Page 7.0 SUBMISSION OF PROPOSALS......................
20 7.1 Address 20 7.2 Deadline for Proposals....................
20 8.0 SCIENTIFIC AND TECHNICAL INFORMATION SOURCES 22 9.0 CONTACT WITH NRC 24 9.1 Oral Communications 24 9.2 Questions Pertaining to this Solicitation 24 9.3 Requests for Additional Copies of this Solicitation 24 9.4 Technical Questions About the NRC SBIR Program........
24 9.5 Information on Proposal Status................
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9.6 Correspondence Relating to Proposals.............
24 10.0 (ECHNICAL TOPICS 25 10.1 Introduction....
25 10.2 Engineering Technology for Nuclear Power Plants 25 10.3 Thermal Hydraulic Computational and Test Assessment Research.
26 10.4 Risk Analysis Research....................
28 10.5 Facility Operations, Siting, and Waste...
29 APPENDICES A - Proposal Cover Sheet A-1 B - Project Summary........................
B-1 i'
C - Sample Statement of Work C-1 D - Optional ~3rm 60 D-1 E - Proposal Cata Sheet.
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NRC PROGRAM SOLICITATION FOR SMALL BUSINESS INNOVATION RESEARCH 1.0 PROGRAM DESCRIPTION 1.1 Introduction The Nuclear Regulatory Commission (NRC) invites science-based and high-technology small business firms to submit research proposals under this pro-gram solicitation entitled Small Business Innovation Research (SBIR).
Firms with strona research capabilities in science or engineering in any of the following topic areas are encouraged to participate.
NRC will support high-quality research proposals on important scientific or engineering problems and i
opportunities that could lead to significant advancement in the safety of nuclear operations or nuclear power plants.
Objectives of the solicitation include stimulating technological innovation in the private sector, strengthening the role of small business in weeting Federal research and development needs, increasing the commercial application of NRC-supported research results, and improving the return on investment frcm Federally funded research for economic and social benetits to the Nation.
Proposals will be considered in the following topic areas:
(1) Mechanical, materials, electrical and cheinical scientific research which concentrates on system integrity with particular emphasis on the aging effect; P
(2) Research in utilizing advanced computational techniquec to solve pheno-menology of heat exchange, mass and momentum for systems analysis of multicomponent complex operations of nuclear power; (3) Research on risk analysis of nuclear facilities and operations as relates to power reactors, fuel cycle facilities, transport and waste management; and (4) Research relating to the safe operation, safeguards, siting, health exposure and waste management of nuclear facilities and nuclear operations.
1.2 Three-Phase Program This program solicitation is issued pursuant to the Small Business Innovation Development Act of 1982, Public Law 97-219.
Under Phase I, NRC anticipates l
making approximately 7 to 8 awards during fiscal year 1983 to small businesses in amounts ranging up to $50,000 over a period generally not to exceed six 1
(6) months.
Phase I is to determine, insofar as possible, the scientific or i
technical merit and feas flity of ideas submitted under the SBIR program.
The proposal should concentrate on that research which will significantly 1
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contribute to proving the scientific or technical feasibility of the approach or concept and which would be a prerequisite to further NRC support in Phase II.
Phase II wards are expected to be made during fiscal year 1984 to firms with approaches that appear sufficiently promising as a result of the fist phase.
Phase II awards are expected to be in the $D0,000 to $500,000 range and to cover a period generally not to exceed 24 months.
It is anticipated that one-third to one-half of Phase I awardees will receive Phase II awards, depending upon Phase I results and availability of funds.
Phase II is the' principal research or research and development effort; it will require a more-comprehensive proposal, outlining the proposed effort in detail.
t Under Phase III it is intended that non-Federal capital be used by the small business to pursue commercial applications of the research or research and development.
Also, under Phase III, Federal agencies may award non-SBIR funded follow-on contracts for products or processes which meet the mission needs of those agencies.
Both Phase I and II contracts ry include a profit or fee.
This solicitation is for Phcse I preposals only at this time.
NRC is interested i
in research on advanced concepts in scientific or engineering areas, particularly where the research may serve as a base for technological innovation.
- 1. 3 Follow-on Funding L
In addition to supporting scientific and engineering research, another important i
goal of the solicitation is the conversion of NRC-supported research into technological innovation by private firms.
Therefore, on an optional basis, tha solicitation includes an incentive for proposers to obtain a contingent commitment for private follow-on funding prior to Phase II to continue the innovation process where it is felt that the research also has commercial potential.
Federal funding pays for research on NRC objectives (Phases-I and II); private capital provides for follow-Un developmental funding to meet l
commercial objectives (Phase III).
Proposers who feel that their research has the ptential to meet market needs, in addition to meeting the research objectives of the 611 citation, are encour-aged to obtain private venture capital or other follow-on funding to pursue j
the development phase. The commitment for the follow-on funding must be from a third party. The commitment should be obtained only after receiving a Phase I award but prior to Phase II.
This commitment may be contingent on the NRC supported research meeting a few specific technical objectives in Phase II which, if met, would justify private investment to pursue further development for commercial purposes in Cnase III.
i Phase I proposals which (1) briefly describe potential commercial applications of the research and (2) indicate that the proposing firm intends to obtain follow-on funding for further development, will receive extra consideration as a point of merit in the evaluation process.
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1 The awardee will be permitted to obtain commercial rights to an invention made in either phase, subject to certain conditions, in accordance with 35 USC &
206 and NRC patent policies.
1.4 Eligibility and Limitations Limitations I
A proposal must be limited to one topic listed in this progra.a solicitation.
When a proposal has relevance to more than one topic, the proposer must decide which topic is the most relevant and submit it under that topic only.
- However, an organization may submit separate proposals on different topics or different proposals on the same topic under this solicitation.
If a proposal substan-tially the same as the one submitted in response to this solicitation has ban previously funded or is either funded, pending, or about to be submitted to another Federal agency, or to the NRC as a separate action, the proposer must so indicate and provide the information required by Section 4.4(12).
This solicitation does not obligate the NRC to make any awards under either Phase I or Phase II.
The NRC is not responsible for any monies expended by the proposer before award of any contract.
Eligibility Each organization submittinp a proposal must qualify as a small business for research purposes as defineo ey the Small Business Administration.
In addition, the primary employment of the principal investigator must be with the small business firm at the time of award and during the conduct of the proposed research.
Joint ventures are permitted, provided the entity created qualifies as a small business in accordance with the Small Business Act,15 USC 631, and the cefini-tion included in this solicitation.
Note:
NRC does not fund product development, technical assistance, or pit 6t plant efforts.
It normally will not support clinical research, i.e.,
research on the etiology, diagnosis, or treatmen+ of physical or mental disease, abnotmality, or malfunction in human beings or animals, nor does it fund market, h sified, or weapons-related research.
NRC also does not fund research that is duplicative of research supported by other Federal mission agencies such as energy research.
Information may be obtained on other Federal agencies directly from these agencies.
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2.0 DEFINITIONS The followjng definitions apply for purposes of this solicitation:
2.1 Research or Research and Development Any activity which is (A) a systematic, intensive study directed toward i
greater knowledge or tmderstanding 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 and systems or methods, including design, develop-ment, and improvement of prototypes and new processes to meet specific requirements.
2.2 Small Business A business concern, inc% ding its affiliates, which is independently owned and operated, and at the th.< of award:
(1) Meets the size criteria for research and development of 500 employees or less and other regulatory requirements of 13 CFR, Part 121.3-8 of SBA Rules and Regulations, and FPR 1-1.701-1; and, for purposes of this solicitation, (2) is the primary source of employment of the principal investigator of the proposed effort at the time of award and during the conduct of the proposed research.
Primary employment means that more than one-half, or at least 20 hours2.314815e-4 days <br />0.00556 hours <br />3.306878e-5 weeks <br />7.61e-6 months <br /> (average) per week, of the principal investigator's time is spent with the small businers.
2.3 Minority and Disadvantaged Business, A concern that is:
(1) At least 51 percent owned by one or more minority and disadvantaged individuals; or, in the case of a publicly owned business, at least 51 percent of the stock of which is owned by one or more minority and disadvantaged individuals; and (2) Whose management and daily business operations are controlled by one or l
l more of such individuals, l
l A minority and disadvantaged individual is defined as a member of any of the following groups:
Black Americans; Hispanic Americans; Native Americans:
Asian-Pacific Americans; or Asian-Indian Americans.
2.4 Women Owned and Operated Firm A qualified small business firm that is owned, controlled, and operated by one or more women w! ' are citizens of the U.S.
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i 3.0 SCHEDULE To be considered for tais program solicitation, Phase I proposals must be received by the Nuclear Regulatory commission by 5:00 p.m., EST, June 3, 1983.
Awards are anticipated approximately September 1, 1983, for a Phase I perfor-mance period of September 15, 1983-March 14, 1984.
Phan II awards are anticipated in June 1984.
l Phase I Proposal due at NRC by June 3, 1983 Notification of awards and declinations approximately September 1, 1983 Period of research performance September 15, 1983--March P',, 1984 Report due at NRC ty March 14, 1984 l
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4.0 PROPOSAL PREPARATION INSTPUCTIONS AND REQUIREMENTS I
l 4.1 Proposal Requirements The purpose of a proposal to NRC under the SBIR program is to provide rufficient 1
information to persuade NRC, and members of the research community who review l
the proposal, that the proposed work represents a sound approach to the-investigation of an important scientific or engineering question and is worthy j
of support under the stated criteria.
A proposal should be self-contained and written with the care and thoroughness accorded papers for publication.
Each proposal should be reviewed carefully by the applicant to ensure inclusion of data essential for evaluation.
The scientific or technical merit of the proposed research is the primary concern for all research supported by the NRC.
A proposal may respond to any of the topics listed, but must be limited to ore topic or suotopic.
The same i
proposal may not be submitted under more than one topic.
However, an organiza-tion may submit separate proposals on different topics or different proposals on the same topic under this solicitation. Where similar research is discussed under more than one topic, the proposer should choose that topic whose descrip-l tion appears most relevant to the proposer's technical concept, f
The quality of the scientific or technical content of the proposal will be the principal basis upon which preposals will be evaluated.
l The proposed research or research and development must be responsive to the NRC program objectiv1s, but can also serve as the base for technological innovation, new commercial products, processes, or services which benefit the public.
Proposals must be confined principally to advanced concepts in nuclear energy-related scientific or engineering research, or research and development. The research may be carried out throuoh construction and evaluation of a laboratory prototype, where necessary.
Proposals pancipally for the development of proven concepts toward commercialization or for market research should not be submitted, since such efforts are considered the responsibility of the private sector.
The objective of the follow-on funding option, is to fund development efforts in Phase III using non-Federal capital, as a continuation of the research supported by NRC under Phases I and II.
l 4.2 Proprietary Information If the proposal contains proprietary information such as trade secrets or coa-fidention commercia or financial information, or confidential personal infor-mation or data affecting the national security, such information will be treated in confidence to the extent permitted by law, provided it is clearly marked in &ccordance with Section 6.7.
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It should be noted, however, that the submiss un of propriccary information is discouraged unless it is deemed essential for the program evaluation of the proposal.
4.3 General Content This solicitation is designed to reduce the investment of time and cost to small firms in preparing a formal proposal.
Those who wish to respond should submit a research proposal of no more than 20 pages (no type smaller than elite on standard 8 " x 11" paper) not counting the budget.,
The proposal should be direct, concise, and informative.
Promoi.fonal and non project-related discussion is discouraged.
To meet NRC requirements, all items are to be covered fully and in the order set forth below, but the space allocated to each will depend on the prob'am chosen and the principal investigator's approach.
In the interest of equity to all proposers, all information, except for tne budget, must be included in the 20 pages with no additional attachments.
It is not necessary to provide a lengthy discourse on the commercial applica-tions in the Phase I proposal exc9pt to discuss them briefly under Section 4.4, items 3 and 4, as appropriate.
The proposal must be principally directed at research or research and development on the specific topic or subtopic chosen.
4.4 Phase I Proposal Format (i) Cover Sheet--Photocopy and complete the form in Appendix A as page 1 of each copy of each proposal. All pages shall be consecutively numbered.
(2) Project Summary--Photocopy and complete the form identified as Appendix B as page 2 of your proposal.
The technical abstract should include a brief description of the problem or opportunity, project objectives, description of the effort and anticipated results.
Potential applications of the proposed research should also be summarized in the spcce provided.
The Project Summary of successful proposers may be published by the NRC and, therefore, should not contain proprietary information.
(3) Identification and Significance of the Problem or Opportunity--Define the specific technical problem or opportunity addressed and its importance.
(Begin on third page of your proposal.)
(4) Background, Technical Approach and Anticipated Benefits (a)
Indicate the overall background and technical approach to the problem or opportuM ty and the part that the proposed research plays in providing r. eded results.
(b) State the anticipated results of the approach if the project is successful and is carried over into Phases II and III.
This should address:
(1) the technical, economic, social and other benefits to the Nation and to users of the results such as tne commercial sector, the Federal Government, or other researchers; (2) the estimated total cost of the approach, including an approximation of Phase II 7
project costs, and, if appropriate, (3) any specific policy issues or decisions which might be affected by the results.
(c) Discuss the significance of the Phase I effort in providing a founda-tion for Phase II research and development effort.
(5) Phase I Technical Objectives--Enumerate the specific objectives of the Phase I research, including the question!, it will try to answer to determine the feasibility of the propoted approach.
(6) Phase I Work Plan--This section must provide an explicit, detailed description of the Phase I research approach.
The plan should indicate not only what is planned but how the work will be carried out.
Phase I effort should attempt to determine the technical feasibility of the proposed concept.
The research plan should be linked with the objectives and the questions
'the Phase I effort is designed to answer.
The methods planned to achieve each objective or task should be discussed explicitly and in detail.
This section should be a substantial portion of the total proposal.
(7) Phase I Statement of Work--The Statement of Work must summarize items 5.
and 6. above by very briefly stating the principal project objective (s),
identifying the tasks to be performed and the performance schedule.
It should also identify the deliverable which for Phase I usually will be just one item, the Final Report.
(8) Facilities / Equipment--Describe available instrumentation and physical facilities necessary to carry out the Pha n I effort.
Item of equipment to be purchased (as detailed in the Optional Form 60, Appendix D) shall be justified under this Section.
(9) Consultants--Involvement of university or other consultants in the planning and/or research stages of the project is acceptable.
If such involvement is intended, it should be described in detail and included in the Optional Form 60 budget (if appropriate).
(10) Related Work--Describe significant activities directly related to the proposed effort, including any conducted by the principal investigator, by the proposing firm, consultants, or others, how it interfaces with the proposed project, and any planned coordination with outside sources.
The proposal must persuade reviewers of the proposer's awareness of the state-of-the-art in the specific topic.
(11) Key Personnel--Identify key senior personnel involved in Phase I effort including information on directly related education and experience.
List relevant publications by key personnel.
A resume of the principal investigator, including a list of publications (if any), must be included.
(12) Current and Pending Support--If a proposal substantially the same as the one submitted in response to this solicitation has been previously funded or is either funded, pending, or about to be submitted to another 8
Federal agency, or to the NRC in a separate action, the proposer must provide the following information:
(a) The name and address of the agency (s) to which a proposal was submitted, or will be submitted, or from which an award is expected or has been received.
(b) Date of proposal submission or date of award.
(c) Title of proposal, (d) Name and title of principal investigator for each proposal submitted' or award received.
(e) Title, number, and date of SBIR Program Solicitations under which the proposal was submitted or award received.
(f) Specify the applicable research topics for each SBIR proposal submitted or award received.
(13) Pre-existing Relevant Patents and Inventions--Indicate whether the proposed work directly relates to or is dominated by any pre-existing patents or patent applications owned or controlled by the proposing organization or affiliated firms or others.
(14) Budget--Photocopy and complete the budget form in Appendix D (Optional Form 60) for the Phase I effort only.
Under the direct labor category, list all key personnel by name as well as by number of hours dedicated to the project, The budget portion of the proposal must be stapled together with the rest of the proposal, but may be in addition to the 20 page proposal limitation.
(15) External Review--It is anticipated that, in addition to Government personnel, scTentists and engineers from outside the Government may be used in the proposal review process.
These may include personnel employed at universities, National Laboratories and in the private sector.
The NRC will take into consideration, when making its decision to use outsice evaluators, its obligations to avoid conflicts of interest and any competitive relationship between the proposer and the prospective outside evaluator.
Proposers are requested to specifically authorize external review, for evaluation purposes only, on the cover page of l
their proposals.
If the proposal does not expressly authorize external l
reviews, and evaluation outside the Government is nevertheless desired, the proposer should be aware that NRC may be unable to give the proposal full consideration.
(16) Information On Applicant's Current Research Commitments--Each proposal must list all research, in addition to the proposed project, to which i
the principal ' investigator (s), and other senior research personnel have committed a portion of their time for the proposed contract period of performance, whether or not salary for the person involved is included in the budgets of the various projects.
This irformation should include the titles and dates of current grants or contracts, the source of 9
funds, annual budget levels, and the person-months devoted to each project by each of the senior personnel.
The proposal must also provide analogous information for all other proposed research which is being considered by, or which will be submitted in the near future to, other possible sponsors including other Foundation programs.
(17) Curriculum Vitae--Proposers are encouraged not to include numerous curriculum vitae, resumes, or bibliographies in the 20 page proposal.
The largest section of the proposal should be devoted to the research plan. Where curriculum vitae are extensive, listing of the relavant experience and publications of the principal scientists or engineers for the proposed project is sufficient.
The vita of the principal investiga-tor is required (See Item 11 of the Phase I Format).
4.5 Other Information o Bindings--Please do not use special bindings or covers.
Staple the pages in the upper left hand corner of each proposal, o Packaging--All 10 copies of a proposal must be sent in the same package.
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5.0 ME1H00 0F SELECTION AND EVALUATION CRITERIA 5.1 Introduction Phase I proposals will be judged on a competitive basis in a two-stage process.
All will be screened initially Dy NRC staff to ensure that they meet stated solicitation requirements.
Proposals meeting these requirements will then be evaluated by scientists or engineers knowledgeable in the topic area.
Propo-sais will be judged first on their relevance to the chosen topic. Those found to be relevant will then be evaluated using the criteria listed in Section 5.3.
Final decisions will be made by the NRC based upon these criteria and consid-eration of other factors, including possible duplication of other research, In the evaluation and handling of proposals, every and program balance.
effort will be made to protect the confidentiality of the proposal and any There is no commitment by NRC to make any awards on any topic, evaluations.
to make a specific number of awards or to be responsible for any monies expended by the proposer before award of a contract.
Phase II proposals will be subject to a technical review process similar to Phase I.
Proposals will be judged against Phase II criteria on a competitive basis.
Final decisions will be made by NRC based upon the scientific and technical evaluations and other factors, including the commitment for follow-on funding, the possible duplication with other research, program balance, and budget limitations.
5.2 Screening Criteria To avoid misunderstanding, proposers should be aware that proposals not satis-fying all the screening criteria will be returned to the proposing ograniza-tion without review. Those proposals may not be resubmitted (with or without revision) under this solicitation.
All copies of these proposals, not used in The the screening process, will be retu-ned with the letter of notification.
screening criteria are:
(1) The proposing firm must qualify as a small business.
It must be a for-profit institution and employ no more than 500 employees.
If it is a subsidiary of another firm, this limit applies to all employees of the senior parent organization.
(2) The Fhase I proposal may not en red 20 pages of regular-size type (no smaller than elite), includn J tht: cover sheet and abstract.
No attach-ments of additional information are allowed in the interest of equitable treatment for all proposers.
Supplementary materials, revisions, and substitutions will not be accepted after the due date for proposals.
(3) The Phase I proposal must be limited to one topic: however, a firm may submit proposals on different approaches or topics.
Duplicate proposals will be returned without review.
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(4) Phase I budgets must not exceed $50,000, including subcontracts, indirect cost, and fee.
(5) The project duration of Phase I should not exceed 6 months.
The proposed start date for Phase I may be scheduled at a date later than September 1983 in cases where the research is better served.
(6) The principal investicator's primary employment also must be with the small business concern prior to an award being made and during the period of the award.
That is, more than one-half of the princpal investigator's time must be spent with the small business firm during the period of performance.
(7) A minimum of two-thirds of expendicures under each SBIR Phase I project must be carried out by the proposing firm, that is, exclusive of subcontact or consulting costs.
(8) Phase I proposals must be for scientific and engineering research activi-ties only. A firm must not prepose product technical assistance, pilot plant construction, demonstration projects, market research, classified research, or patent applications and/or litigation (9) The proposed research must fall within the solicited topic.
A firtr may not propose research duplicative of that supported by other Federal agencies.
Examples of research not supported by NSF are weapons related, and energy research, exrept where specifically solicited in SBIR topic description.
(10) A proposal must contain adequate information to be reviewed as research.
NRC reserves the right not to submit to technical review any proposal which it finds to have insufficient information for that purpose.
5.S Evaluation Criteria--Phase I The NRC plans to select for award those proposals offering the best value to the Government with approximately equal consideration given to each of the following criteria, except for number one which will receive twice the value of any other item:
(1) The scientific / technical quality of the Phase I research proposal and its relevance te the proposal's stated objectives, with special emphasis on its innovatk a and originality.
(2) Qualification of the principal investigator, other key staff, and consul-tants, if any, and the adequacy of available or obtainable instrumentation and facilities.
(3) Anticipated benefits, technical and/or economic, of the proposed research (Phase I and Phase II), if successful.
(4) Adequacy of the Phase I proposed effort to show progress toward providing the feasibility of the concept.
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Technical reviewers will base their conclusions only on information contained in the proposal.
It cannot be assumed that reviewers are acquainted with the firm or key individuals or any experiments referred to, but not described in referred professional journals.
Relevant journal articles should be identified in the proposal.
Where proposals are otherwise of approximately equal merit, proposals received from a small, minority and disadvantaged business will receive special consid-erstion.
5.4 Evalration Criteria--Phase II A Phase II proposal can be submitted only by a Phase I awardee.
It can be submitted at any time when progress attained under Phase I is deemed sufficient to jdstify the effort to be proposed under Phase II.
It must contain enough information on progress accomplished under Phase I by the time of Phase II proposal submission to enable an evaluation of the project's promise if continued into Phase II. The Phase II proposal will be reviewed for overall merit based upon the criteria below.
Each item will receive approximately equal weight, except for item one, which will receive twice the value of any other item:
(1) The scientific / technical quality of the proposed research, with spacial emphasis on its innovation and originality.
(2) The qualifications of the principal in9stigator and other key personnel to carry out the proposed work.
(3) Anticipated benefits, technical and/or ecc.enic, of the proposed research.
(4) Degree to which the Phase I objectives were met at the time of Phase II proposal submission.
(5) The adequacy of the Phase II objectives to meet the problem or opportunity.
Phase II proposal evaluations may include on-site evaluations of the Phase I effort.
The reasonableness of the proposed costs vis-a-vis the effort to be performed will be examined to determine those proposals that offer the test value to the Government.
In the case of proposals of apprnimately equal merit, the provision of a follow-on funding commitment for continued development from non-Federal l
funding sources will be a special consideration.
The follow-on funding commitment must provide that a specific amount c. Phase III funds will be made available to or by the ; mall business and indicate the dates the funds l
will be made available.
It must also contain specific technical objectives i
which, if achieved in Phase II, will make the commitment exercisable by the l
small business.
The terms cannot be contingent upon the obtaining of a l
patent due to the length of time this process requires.
The commitment shall be submitted with the Phase Il proposal.
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6.0 CONSIDERATIONS 6.1 Awards The NRC expects to make approximately 6 to 8 firm fixed price Phase I awards l
ranging up to $50,000 to small businesses in fiscal year 1983. Awards are expected to be made no later than Septem% r, 1983.
NRC will announce the names of those firms receiving awards, ad successful proposers will then normally have six.(6) months after award to carry out their proposed Phase I effort.
It is anticipated that one-third to one-half of the Phase I awardees will receive Phase II awards, depending upon the result of the Phase I efforts and the availability of funds.
Phase II is to further develop idcas explored under Phase I.
Those Phase II proposers who wish to maintain project continuity 4
must submit proposals no later than 30 days prior to the expiration of the Phase I contract.
i The period of performance under Phase II will depend upon the scope of the j
effort, but normally will not exceed 24 months.
Phase II award decisions will be based upon evaluation of progress attained under Phase I and of the Phase II proposal.
Phase II awards will gene > ally r6 age from $200,000 to
$500,000, depending upon the scope of research or research and development.
4 Prior to Phase II, the NRC Coni.racting Officer may request certain organiza-tinaal, management and financial information for administrative purposes to assure that the applicant adheres to certain standards apolicable to Federal cost-type contracts.
6.2 Reports
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Six copies ~of a final report in the format per NRC Manual, Chapter 3202, on the Phase I project must be submitted to NRC at the completion of the Phase I effort.
The final report shall include a single page project summary as the first page (use fenn, Appendix B) identifying the purpose of the research, a l
brief description of the research carried out, the research findings or results, and ptential applications of the research in a final paragraph. The summary may be published by the NRC and therefore should not contain proprietary infor-mation.
The balance of the report should indicate in detail the project objec-i tives, work carried out, results obtained, and estimates 'of technical feasibility.
To avoid duplication of effort, language used to report Phase I proy n s in a Phase II proposal, if submitted, may be used verbatim in the final report with changes only-to accommodate results obtained after Phase II proposal submission, and modifications required to integrate the final report into a self-contained, comprehensive and logically structured document.
All reports must carry an acknowledgement statement on the cover page such as "This material is based upon work supported by the Nuclear Regulatory 14
Commission under award number Any opinions, findings, and con-clusions or recommendations expressed in the publication are those of the author (s) anc' do not necessarily reflect the views of the Nuclear Regulatory Commission."
6.3 Payment Schedule Payments will be made in accordance with a payment schedule agreed to by the Contracting Officer.
In addition to customary progress payments, requests for advance payments based upon demons + rated need will be considered.
The offeror shall include his cash flow requirements as part of the budget submission for Phase I.
6.4 Technical Data Rights in technical data, including software, developed under the terms of any contract resulting from proposals submitted in response to th s solicita-tion shall remain with the contractor, except that the Government shall have the licited right to use such cata for Government purposes and shall not release such data outside the Government without permission of the contractor for a period of two years from completion of the project from which the data was generated unless the data has already been released to the general public.
However, the Government shall retain a royalty-free license for Government use of any technical data delivered under an SBIR funding agreement whether patented or rot.
6.5 Copyrights With prior written permiss on of the contractir:g officer, the awardee Nrmally i
may copyright (consistent W th appropriate national security considerations, if any) material developed with NRC support.
NRC receives a oyalty-free license for the h deral Government and requires that each p d ication contain an appropriate acknowledgment and disclaimer statement.
6.6 Patents l
Small business firms normally may retain the principal worldwide patent l
rights to any invention developed with Government support. The Government l
receives a royalty-free license for its use, reserves the right to require l
the patentholder to license others in certain limited circumstances, and requires that anyone exclusively licensed to sell the invention in the United States must normally manufacture it domestically.
To the extent authorized by 35 USC 205, the Government will not make public any information disclosing a Government-supported invention for a two year period to allow the awardee a reasonable time to pursue a patent.
6.7 Markhas and Treatment of Proposal Information The proposal submitted in response to t!.is solicitation may contain technical data and other data, including trade secrets and/or privilegd or confidential l
commercial or financial information, which the proposer does not want discloseJ j
to the public or used by the Government for any purpose other than proposal 15 l
l evaluation.
To protect such data the proposer should type at the bottom of the cover page (page one) of his proposal the following notice.
The data submitted on pages of this proposal have been submitted in confidence and contain trade secrets and/or privileged or confidential commercial or financial information, and such data shall be used or disclosed only for evaluation purposes, pro,ided that if a contiact is awarded to this proposer as a result of or in connection with the submission of this proposal, the Government shall have the night to use or disclose the data herein to the extent provided in the contract. This restriction does not limit the Government's right to use or disclose data obtained without restriction from any source, including the proposer.
In addition, each page of the propasal containing proprietary data which the proposer wishes to restrict must be marked with the following legend:
"Use or disclosure of the proposal data on lines specifically identified by asterisk (*) are subject to the restriction on the cover page of this proposal."
Arbitrary and unwarranted use of this restriction is discouraged.
The Government assumes no liability for disclosure or use of unmarked data and may use or disclose such data for any purpose.
In the event properly marked data contained in a proposal in response to this solicitation is requested pursuant to the Freedom of Information Act, 5 USC 552, the proposer will be advised of such request, in accordance with 10 CFR 703.9, and prior to such release of information he will be requested to expeditiously submit to NRC a detailed listing of all information in his proposal which he believes to be exempt from disclosure under the Act.
Such action and coopera-tion on the part of the proposer will ensure that any information released by NRC pursuant to the Act is properly determinea.
- 6. 8 Estimat Q Costs and Budgets A Phase I price proposal must be submitted in detail in the format shown in Appendix 0.
Some items of this standard form may not apply to the proposed project.
If such is the case, there is no need to fill out each and every line of the form. What matters is that enough information be provided to allow NRC to understand how the proposer plans to use the requested funds if the cont m t is awarded.
Both Phase I and II contracts may include a profit or fee.
Equipment and Travel Equipment budgets may be included under Phases I and II.
The inclusion of equipment will be carefully reviewed relative to need and appropriateness for tha research proposed.
Equipment is defined as an article of non-expendable, tangible, personal property, having a useful life of more than one year and an acquisition cost 16
of $500 or more per unit. Title to equipment will be vested with NRC, unless it is determined that transfer of title to the contractor would be 1
i more cost effective than recovery of the equipment by the NRC.
Budgets for travel funds must be justified and related to the needs of the project.
i Cost-Sharing i
Cost-sharing is permitted for proposals under this solicitation; however, cost-sharing is not required nor will it be an evaluation factor in the consideration of a proposal.
6.9 Limitations Restriction to Small Business A small business must meet certain criteria to be eligible under this soli-citation and certify to this on the Cover Sheet (Appendix A).
See Section 2.2 for definition.
In addition, a minimum of two-thirds of each SBIR project must be carried out in the proposing firm, that is, exclusive of subcontract or consulting costs.
6.10 Contractor Commitments Upon zward of a contract, the contractor will be required to make certain legal commitments through acceptance of numerous provisions in the Phase I contract.
The outline that follows is illustrative of the types of provisions that will be included in the Phase I contract.
This is not a complete list of previsions to be included in Phase I contracts, nor does it contain specific wording of these clauses.
Copies of complete general provisions will be made available prior to award.
(1) Standards of Work--Work performed under the contract must conform to high professional standards.
(2) Inspection--Work performed under the contract is subject to Government inspection and evaluation at all reasonable times.
i (3) Examination of Records--The Comptroller General (or a duly authorized i
representative) shall have the right to examine any directly pertinent records of the contractor involving tr6nsactions related to this contract.
(4) Default-The Covernment may terminate the contract if the contractor i
fails to perform the work contracted.
1 (5) Termination for Convenience--The contract may be terminated at any time by the Government if it deems termination to be in its best interest, in which case the contractor will be compensated for work performed and for reasonable termination costs.
i f
17
(6) Disputes--Any dispute concerning the contract which cannot be resolved by agreement shall be decided by the contracting officer with right of appeal.
(7) Contract Work Hours--The contractor may not require an employee to work more than eight hours a day or forty hours a week unless the employee is compensated accordingly (thct is, receives overtime pay).
(8) Equal Opportunity--The contractor will not discriminate against any employee or applicant for employment because of race, color, religion, sex, or national origin.
(9) Affirmative Action for Veterans--The contractor will not discriminate against any employee or applicant for employment because he or she is a disabled veteran of the Vietnam era.
(10) Affirmative Action for Handicapped--The contractor will not discrainate against any employee or applicant for emrloyment because he or she is physically or mentally handicapped.
(11) Officials Not to Benefit--No member of or delegate to Congress shall benefit from the contract.
(12) Covenant Aoainst Contingent Fees--No person or agency has been employed
~
to solicit or secure the contract upon an understanding for compensation except bonafide employees or commercial agencies maintained by the contractor for the purpose of securing business.
(13) Gratuities--The contract may be terminated by the Government if any l
gratuities have been offered to any representative of the Government to l
secure the contract.
(14) Patent Infringement--The contractor shall report each notice or claim of patent infringesnent based on the performance of the contract.
6.11 Softwa;e l
Data banks and software produced with NRC support and useful to others normally l
must be made available to users, at no cost, by publication or, on request, l
by duplication or loan for reproduction.
However, NRC may waive or modify this requirement if requiring publ'c availability would be unfair or wculd I
inhibit the development and commercialization of the software.
l 6.12 Additional Information i
(1) This Program Solicitation is intended for informational purposes and reflects current planning.
If there is any inconsistency between the information contained herein and the terms of any resulting SBIR funding agreement, the terms of the funding agreement are controlling.
(2) Before award of an SBIR funding agreement, the Government may request the proposer to submit certain organizational, management, personnel, l
and financial information to assure responsibility of the proposer.
18
(3) The Government is not responsible for any monies expended by the proposer before award of any funding agreement.
(4) This Program Solicitation is not'an offer by the Government and does not oaligate the Government to make any specific number of awards.
- Also, awards under this program are contingent upon the availability of funds.
(5) The SBIR program is not a substitute for existing unsolicited proposal mechanisms.
Unsolicited proposals shall not be accepted under the SBIR program in either Phase I or Phase II.
(6) If an award is made pursuant to a proposal submitted under this Program Solicitation, the contractor or grantee or party to a cooperative agree-ment will be required to certify that he or she has not previously been, l
nor is currently being, paid for essentially equivalent work by any agency of the Federal Government.
t l
l 1
19 l
7.0 SUBMISSION OF PROPOSALS 7.1 Address Proposals (10 cenies) must be addiessed to:
U.S. Nuclear Regulatory Commission Division of Contracts Attn:
SBIR Washington, DC 20555 Secure packaging is mandatory. The NRC cannot be responsible for the processing of proposals damaged in transit.
Do not send separate "information" copies or several packages containing parts of the single proposa!.
One copy must be signed as an original by the principal investigator and an official empowered to commit the proposer.
Other copies may be photocopied.
If a proposal acknowledgment card with the proposal number endorsed upon it is not received from NRC within three weeks following the closing date of this solicitation, the proposer should write the NRC Contracts Division promptly or telephone NRC at 301-492-4297.
Hand-carried solicitations--Hand-carried offers should be addressed as indicated above and delivered to:
U.S. Nuclear Regulatory Commission Division of Contracts ATTN: SBIR Room 2223 4550 Montgomery Avenue Bethesda, Maryland 20614 Telegraphic proposals are not authorized, and if submitted, such proposals shall be rejected.
7.2 Deadline for Proposals Deadline for receipt (10 copies) at the Nuclear Regulatory Commission is 5:00 p.m., EST, June 3, 1983.
Any proposal received at the office designated in the solicitation after the exact time specified for receipt will not be considered unless it is received before award is made, and:
(1) it was sent by registered or certified mail not later than May 30, 1983; or (2) it was sent by mail and it is determined by the Government that the late receipt was due solely to mishandling by the Government after receipt at the Government installa-tion; or (3) it is the only proposal received; or (4) it offers significant cost or technical advantages to the Government, and it is received before a deter-mination of the competitive range has been made.
20
Any modification of a proposal is subject to th? same conditions outlined above. The only acceptable evidence to establish:
(1) the date of mailing of a late prcposal or modification sent either by registered mail or certified mail is the U.S. Postal Service postmark on the wrapper or on the original receipt from the U.S. Postal Service.
If neither postmark shows a legible date, the proposal or modification of proposal shall be deemed to have been mailed late.
(The term " postmark" means a printed, stamped, or otherwise placed impression that is readily identifiable without further action as having beer. supplied and affixed on the date of mailing by employees of the U.S. Postal Service.); (2) the time of receipt at the Government installation is the time-date stamp of such installation on the
- proposal wrapper or other documentary evidence of receipt maintained by the installation.
Notwithstanding the above, a late modificati-on of an otherwise successful proposal which makes its terms more favorable to the Government will be considered at any tone it is received and may be accepted.
Proposals may be withdrawn by written or telegraphic notice received at any time prior to award.
Proposals may be withdrawn in person by an offeror or his authorized representative, provided his identity is made known and he signs a receipt for the proposal prior to award.
(NOTE:
The term " telegram" includes mailgrams.)
i 21
f
- 8. 0 SCIENTIFIC AND TECHNICAL INFORMATION SOURCES Publications - Copies of scientific or technological publications frequently can be obtained from the two libraries shown below for nominal fees, in addition to public or university libraries and Federal agency documentation or information centers.
Linda Hall Library John Crerar Library 5109 Cherry Street 35 West 33rd Street Kansas City, M0 64110 Chicago, IL 60616 Tel. (816)363-4600 Tel. (312)225-2526 TWX 910-221-5131 NTIS documents can be obtained from:
National Technical Information Service 5285 Port Royal Road Springfield, VA 22161 Tel. (703)487-4600 Telecopier or 3M facsimile (703)321-8199 NRC/NAS documents can be obtained from:
National Academy of Sciences 2102 Constitution Avenue Washington, DC 20418 Tel. (202)393-8100 i
l NSF reports can be obtained from:
NSF Information Resources, Rm. 419 National Science Foundation Washington, DC 20550 Tel. (202)357-7484 Copies of scientific and technical articles, reports and/or bibliographies can be obtained from appropriate Federal agencies such as:
l Defense Technical Information Center Cameron Station Alexandria, VA 22314 Tel. (800)336-5013 l
Technology Transfer Division NASA P.O. Box 8757 Baltimore / Washington International Airport Baltimore, MD 21240 l
22
Department of Energy Technical Information Center P.O. Box 62 Oak Ridge, TN 37830 Note: The NRC Long-Range Research Plan (LRRP), NUREG-0961, p ovides the commis-sion the framework for planning research releTLnt to current regulatory objec-t.ves or to future needs. This document can be helpful to proposes for further understanding the complete research activities of the NRC.
The document can be obtained through the following sources:
1.
The NRC Public Document Room, 1717 H Street, N.W., Washington, DC 20555 2.
The NRC/GPO Sales Program, U.S. Nuclear Regulatory Commission, Washington, DC 20555 3.
The National Technical Information Service, Springfield, VA 22161 23
9.0 CONTACT WITH NRC 9.1 Oral Communications Oral communications with NRC regarding this solicitation during Phase I proposal preparation period are restricted for reasons of competitive fairness.
9.2 Questions Pertaining to This Solicitation Any and all questions pertaining to this solicitation should be addressed in writing to the address listed in Section 9.6.
No telephone inquiries will be accepted.
9.3 Requests for Additional Copies of This Solicitation Additional copies of this solicitation can be ordered by writing the NRC at the address listed in Section 9.6.
No telephone requests will be accepted.
9.4 Technical Questions About the NRC SBIR Program 5
Questions about technical aspects of the NRC SBIR Program, but not pertaining to administrative processing of soliciations or to requests for additional copies, can be submitted to Mr. Wayne Batson, Office of Nuclear Regulatory Research, c/o SBIR Program flanager.
9.5 Information on Proposal Status Evaluation of proposals and award of contracts will require approximately four to six months and no information on propo.a1 status will be available until the final selection is made.
9.6 Correspondence Relating to Proposals All correspondence relating to proposals should cite the specific proposal number and be addressed to:
Nuclear Regulatory Commission Division of Contracts Attn:
SBIR Washington, DC 20555 24
i 10.0 TECHNICAL TOPICS 10.1 Introduction Proposals will be considered on basic and applied research to advance the safety of the design, operation, siting, systems and subsystems performance of nuclear power and waste products from nuclear power applications.
Specific area descriptions are as follows:
10.2 Engineering Technology for Nuclear Power Plants This topic covers a wide range of interest in the application of engineering disciplines to assure safety in nuclear power plants.
Of particular importance is the need to understand time-related issues such as the mechanisms of aging and degradation of structures, systems and components important to safety, and methods of examination and testing to oetermine the condition of these struc-tures, systems and components.
Also of interest are methods for evaluation of environmental and dyr imic qualification of mechanical and electrical equipment, structural analysis.ethods, and applications of chemical processes - all as applied to nuclear power plant safety.
Research not applicable to nuclear power plants and/or fuel cycle facilities are excluded from this topic.
Pro-posals are solicited in, but not limited to, the following subtopics:
A.
Nuclear Power Plant Aging
- Methods to analyze and understand aging effects such as the com-bined effects of time, temperature, radiation and stress.
- Improved examination and testing methods to determine the condition of these structures and components.
B.
Mechanical and Structural Engineering
- Component structural reliability with an emphasis on assuring containment integrity.
- Qualification of mechanical equipment such as pumps, valves, and snv9ers, and seismic qualification of mechanical and electrical equpment.
- Evaluation of seismic safety margins to realistically define the probabilities of radioactive release due to earthquakes.
C.
Materials Engineering (Concentrating on Primary System Integrity)
- Pressurized thermal shock program, which involves the evaluation of the effects of overcooling transients on pressure vessels, particularly those built to older materials specifications.
25
l 4
i
- Validation of safety of piping subjected to thermal shock, water hammer and seismic loadings.
D.
Electrical Equipment Qualification ~(Including Fire Protection)
- Independent assessment of qualification test methodologies condi-tions, determination of the nuclear source ters and its effects on electric equipment, and development of validated aging techniques.
- Validation of the NRC fire protection requirements and determina-tion of the safety margins that exist in the fire protection guidelines used in licensing.-
E.
Chemical Engineering i
- Fuel Cycle facility research aimed at developing and validating models for evaluation of criticality safety systems, spent fuel l
storage capability, and response tn accidents, with emphasis on deriving source terms for releases resulting from postulated acci-dents or occurences.
l
- Effluent control and chemical systems research including studies of fission product chemistry and of removal effectiveness of various systems.
- Decommissioning research to help establishment and validation of decommi wioning criteria by which decisions will be made,to assure 7
that facilities are satisfactorily decomissioned and their sites can be released for unrestricted public access.
10.3 Thermal Hydraulic Computational and Test Assessment Research This category of research incorporates three interrelated areas which must be i
j acequately understood in order to accurately model thermal hydraulic behavior in a full-s ale reactor system.
Thermal hydraulic research involves finding theoretical and experimental models which describe the dynamics of multiphase interactions occurring in various reactor components or throughout the reactor system as a whole.
Computatiorel research involves the development of advanced computer ; odes to accurately describe transient thermal hydraulic behavior in reactor systems.
These codes are partially based on the models developed through thermal hydraulic research, and will be helpful in assessing reactor safety.
Test assessment research involves examining and developing experi-nntal procedures, instrumentation, scaling theories, and hardware in order to obtain test results which are truly applicable to reactor situations.
l Research assistance is needed in each of these areas and proposals are solicited L
in, but not limited to, the following topics.
i A.
Two-Phase Flow Regime Map (1) Compile all existing two phase flow maps and compare them against experimental data.
LOFT and Semiscale data must be included, and will be provided.
26
(2) If existing two phase flow regime maps are not suitable, develop a new map based on experimental data.
B.
Study of Kinematic Wave Propagation Properties A study to better understand the kinematic wave propagation properties of two phase flow is needed. Develop a functional form to model the velocity correlations in the momentum equations for two phase flows based on theory arid any necessary small-scale experimentation.
C.
Safety and Relief Valve Critical Flows (1) NRC will provide and the contractor should collect single phase critical flow data for typical PWR safety and pressure relief valves.
(2) Develop analytical models based on this data which are suitable for use in RELAP5 and TRAC computer codes.
D.
Condensation Studies (1) NRC will provide and the contractor should collect data which describes condensation effects due to injection of cold water into a steam filled pipe.
(2) Develop analytical models based on this data which can be applied at reactor conditions to describe condensation during ECC injection into a steam filled cold leg.
These models must be suitable for use in RELAPS and TRAC computer codes.
E.
Fission Product Transport in Steam Generators (1) Perform small scale experimentation to model fission product transport (particularly iodine) in the steam generator as a result of tube ruptures during a loss-of-coa. ant accident.
(2) Based on these experiments and theory (models have been developed by ANL), develop a model which can be used to describe the radiological source term resulting from fission transpe.t into the secondary coolant system.
This model must be suitable for use in onsite and offsite dose calculations.
F.
Instrumentation Evaluation Evaluate the performance of the following two phase flow instruments:
(1) Impedance probes, (2) Film probes, (3) String probes, (4) Liquid level detectors, (5) Fluid distribution grids, (6) Drag disks, (7) Turbine flowmeters, and (8) Gamma' densitometers.
27
All proposals should discuss the performance criteria which would be used in the evaluation.
These instruments are not for commercial reactor applications.
G.
Turbine Flow Meter Studies Develop a turbine flowmeter model for low void fraction flows. This model must be assessed against experimental data.
H.
RELAPS Conversion Tasks The RELAPS is an advanced, one-dimensional, fast-running system analysis code primarily used for nuclear power plant analysis.
The code is written in CDC FORTRAN.
The purpose of this task is to convert. and debug RELAPS s
on UNIVAC, IBM, and CRAY.
I.
PWR Data Deck Preparation (1) Prepare nuclear power plant input decks for RELAPS and TRAC code runs.
(2) Proposals should primarily demonstrate experience with codes.
System descriptions will be provided.
J.
Pl!R Data Deck Preparation (1) NRC will provide the description of BWR nuclear power plant to be modeled.
(2) The contractor should prepare input decks for RELAP5 and TRAC-BWR computer codes.
(3) Proposals should primarily demonstrate the experiences with codes.
K.
Code Exportability Processing Complex codes treating material motions and interactions are frequently specialized to the requirements of a few, large central computers at national laboratories.
Automatic or semiautomatic routines similar to but better than the Japanese routine LAXYM are needed to provide economic methods of conversion for use on other computers of U.S. manufactu e.
It is assumed that source decks are maintained in FORTRAN and that converted decks will adhere as closely as passible to the FORTRAN 77 standard.
10.4 Risk Analysis Research The purpose of this research category is to develop independently generated i
information on risk analysis of nuclear facilities and operations such as nuclear power reactors, fuel cycle facilities, transportation of nuclear materials, and waste management.
Research undertaken in this area should seek to advance risk analysis methodology and applications and provide data for risk analysis.
(
28
i A.
Reactor Risk Analysis (1) Component Susceptibilities - There exists extensive amounts of envi-ronmental qualification test data from which can be inferred component susceptibility to adverse environments under norraal and accident conditions.
This data must be collected and analyzed for use in common cause failure analysis of nuclear power plant reliability.
(2) Hazard Data Base for External Events - A review of historical data must be made for each reactor site.
The data shoul? include the number, proximity, and type of dams, a review of floods and flood potential in a vicinity of the site, and other phenomena sucn as tornadoes, hurricanes, and other severe storms.
The results should be catalogued by reactor site.
(3) PRA Data Recuirements - A detailed review of the types of data that are requirec for a PRA must be performed and documented.
This review must include data required fcr calculation of probabilities, as well as consequences of the accident sequences.
B.
Transportation Emerge cy Response Guidance - NRC has the responsibility to assist FEMA in developing and promulgating guidance to State and local gWernments in the preparation of their radiological emergency response phns for responding to radiological transportation emergencies.
NRu has completed the first two phases of a three phase program to develop such guidance.
The third phase which will include a cost effective approach.will include input from appropriate state agencies or their representatives.
Program envisions the development of a straw man program by the contractor whicP will then be modified by agency and state inputs.
10.5 Facility Operations, Siting and Waste A.
Health, Siting Research The purpose of this research is to enhance knowledge and understanding relative to assessing (1) the health risks from exposure to ionizing radiation and (2) the effect of site characteristics on public health and safety.
Research into the assessment of health risks includes studying the role of ionizing radiation in the incidence of somatic (cancer) and genetic effects in animals and humans.
It includes dosimetric methods for irter-nal and external radiation evposures.
It also includes analy'ical methods of calculating the risks to individuals and populations from exposure to ionizing radiation.
Research into the effect of site factors on risk associated with nuclear facilities includes evaluating the potential effects of plant accidents on their surroundings and the potential effects of external conditions on 29
plant safety.
Specific topics where research would reduce uncertainty in the evaluation of overall plant safety include:
(1) - Determination of the range of conditions resulting from external events _to which systems important to plant safety may Le exposed, 1
the response to safety systems to those conditions, and the probabil-ity of hazardous onsite conditione given the occurrence of specific external events involving toxic, corrosive, flammable or explosive materials.
(2) Development of probabilistic techniques which can be used to assess the level of seismic hazards.
(One such technique developed for the NRC by Lawrence Livermore National Laboratory is described in NUREG/CR-1582, vols. 1-5.)
(3) Determination of the cause of earthquakes in the eastern United States and reduce in the uncertainties in their frequency and magnitude.
(4) Development / improvement in hypocentral location techniques using digital (transmission and recording of data) seismographic stations, to calculate attenuation relationships, source parameters, radiation pattern characteristics, focal mechanisms, etc. for the evaluation of seismic hazards.
(5) Developmentofatechniquetopropagateearthquakeground50tions through realistic 2-D and 3-D models of the soil /r.ck column between
" bedrock" and the foundation of civil structures.
l (6) Assessment of deterministic versus stochastic techniques for predicting potential flood hazards at nuclear power plants including the consid-eration of a variety of hydrological and meteorological conditions.
(7) Instrumentation and related procedures to remotely locate, track and define the exte.it of airborne effluent plumes during adverse weather conditions or in complex topographical situations.
1 (8) Methods of reliably forecasting meteorological paramet'ers which are I
needed to predict the dispersion of airborne effluent plumes to l
distances of 50 miles during emergency situations.
I B.
Research into the management of radioactive wastes includes evaluation and prediction of the performance of manmade and natural systems during and after waste emplacement.
Specific topics where research is needed include:
(1) Effect of natural variation of mechanical and thermomechanical prop-l erties on the stability and integrity of underground structures sub-jected to thermal loading.
(2) Analysis of the chemistry and electrochemistry of groundwater in contact with basalt surfaces as a function of time and as affected by temperature, groundwater impurities and waste package interfaces.
30
(3) Development of techniques for the calculation of binding energies of sigma phase in stainless steel in contact with molten glass as affected by alloying additions.
(4) Assessment of thixocast wrought iron as a corrosion resistant and mechanically tough container material including chemical and physical properties and fabrication techniques.
(5) Development of multidimensione.1 exact and semi-exact solutions to idealized waste isolation performance problems for use in testing numerical methuds utilized in more complex situations.
(6) Modularization of radioactive waste computer codes for use on micro-computers or minicomput ers.
C.
Facility Operations and Safeguards Research The purpose of this research category is to develop independently generated safety information which can be used to reduce the potential for hardware failures and human-error related incidents in operating nuclear facilities.
Research undertaken in this program should seek and define methods to minimize the probability of abnormal operation or accidents, to provide for the ameloriation of the consequences of an accident if one should occur, and to improve the physical protection and material accounting systems employed at nuclear facilities.
Specific areas of interest include:
(1) Feasibility of greater control room automation to reduce human error.
(2) Feasibility of a systems approach to EMP, EMI, and lightning protec-tion of nucitar power plants.
(3) Feasibility of using robotics to reduce occupational radiation exposure.
(4) Feasibility of methods of reducing medical personnel radiation expo-sure, such as by mechanizing radiopharmaceutical preparation procedures.
(5) Feasibility of improving physical protection of NPP's so as to reduce any detrimental effects on plant safety.
l (6) Feasibility of methods of selecting candidates for NPP operators I
whose performance will not be significantly impaired by stressful l
conditions.
l (7) Feasibility of simple unintrusive methods of determining whether NPP l
operating personnel are fit for duty.
(8) Feasibility of methods of determining the water level in a reactor pressure vessel during a loss-of-coolant accident.
31
(9) Feasibility of cathods of detecting radioactive isotopes in human excreta at levels down to natural background levels.
(10) Feasibility of novel methods of decontaminating radioactive components and systems.
(11) Feasibility of using indices other than protein urea for detecting damage to the kidneys due to deposite uranium.
(12) Feasibility of improved respirators to protect ngainst radioactive particulates.
(13) Feasibility of using DTPA to determine radionuclide body burdens.
(14) Feasibility of improved methods of testing operability of standby instrumentation and contrei equipment.
(15) Feasibility of improvod metods of notifying offsite populace of an accident at a NPP.
Research results will be used to confirm and improve reactor and other nuclear facility protection, instrumentation and control; quantify and reduce the human contribution to risk; and reduce occupational radiation exposures.
32
-*m-w
.._s.
m m
.m APPENDIX A-NUCLEAR REGULATORY COMISSION SMALL BilSINESS INNOVATION RESEARCH CROP 05AL COVER SHEET Proj:ct
Title:
Topic No.
Subtopic No.
Topic Area Submitted by:
Firm Mailing Address:
State Zip Small Business Certification:
Year Firm Founded 1.
The above organization certifies that it is a small business firm and meets the definition stated in the Small Business Act 15 U.S.C. 631 and in the Definition Section of this Program Solicitation.
Yes No 2.
The Principal Investigator's primary employmer.t will be with this firm at the time of award and during the conduct i
of the research.
Yes No 3.
Two thirds or more of this project will be carried out in t.he proposing firm.
Yes No 7
4.
The above organization qualifies as a manority-owned and operated small business._
Yes
- No 5.
Will you permit NRC to disclose tha title only of your project plus the name, address, and telephone number of the corporate official of your firm, if your proposal does not result in an award, to firms that may be interested in contacting you for l
further information or possible investment?
Yes No 6.
This proposal may be subject to external review.
Yes No Project Amount (Phase I):
Preposed Duration:
' Number of employees (average for previous 12 months)*
Currently ENDORSEMENTS Principal Investigator (Project Manager)
Corporate Official (Business) lName~
Name t Title Title
- Signature Signature
' Social Security No.**
Date Tel. No. (
)
Tel. No. (
)
- I* a subsidiary of another firm, the number of employees stated above must include all employees under the control of the senior parent organization.
- Submission of this information is voluntary and refusal to disclose the information will not affect an organization's eligibility for award.
Social security numbers are used to
' monitor and facilitate the receipt and processing of numerous proposals, as well as to
- taintain data on actions taken.
l A-1 i
,,e,
-,-,,-- e, - - n,,,,,+
,,--n-.,-.,n,
..e-,.,--
-n,-e.--
o----,,..,,<
e n.,,----,,a.,e<~,-,,-.,,~~-r,,n a~----
APPENDIX B U.S. NUCLEAR REGULATORY COMMISSION SMALL BUSINESS INNOVATION RESEARCH PROGRAM PHASE I - FY 1983 PROJECT
SUMMARY
FOR NRC USE ONLY Program Office TIM Proposal No.
Topic No.
TO BE COMPLETED BY PROP 0'dR e
iame and Address of Proposer dame and Title of Principal Investigator ritle of Project rechnical Abstract (Limit to two hundred words)
\\nticipated Results/ Potential Commercial Applicat;ons of the Research B-1
APPENDIX C SAMPLE STATEMENT OF WORK 1.
Project Objective The contractor shall investigate the electrocatalytic production of styrene from ethylbenzene in solid electrolyte fuel cells.
The effort is directed toward defining optimal operating conditions for achieving high yields of styrene with simultaneous electric energy generation.
2.
Scope of Work The work to be performed consists of the following tasks:
2.1 Construction of tubular stabilized zirconia fuel cells with a platinum cathode and an iron oxide or platinum anode.
Both anode materials are quite promising and a decision between the two will be made after preliminary runs.
2.2 Measurement of the styrene cell activity and yieM as a function of velocity, temperature, and inlet concentration of ethylbenzene and external resistive load.
2.3 Measurement of the cell electric power output and overpotential as a function of the operating parameters described in 2.2.
2.4 Preliminary engineering and economic analysis according tn the results of 2.2 and 2.3.
2.5 Final Report preparation.
3.
Performance Schedule O
Task 2.1 completed two months after start of work.
Tasks 2.2 and 2.3 completed four months after start of work.
l Task 2.4 completed five months after start of work.
Task 2.5 completed six months after start of work.
4.
Deliverable The contractor shall provide a Final Report containing the data from the experiments performed according to Tasks 2.2 and 2.3, along with analyses and conclusions based on this data.
C-1
App:ndix D 5
CCNTRACT PRICIN3 PR2POSAl.
ofrice of Mitucemine and Budget APPto'al No. 29-ROl84 (RESEARCil AND del'ELOPAfENT)
"U "U' U' This form is for uw when (I) submission of cost or pricing data (see FPR I-3.807-3) is required and (ii) substitution for the Optional Form 59 is authorized by the contratting officer.
NAME OF OftEtot
$UPPLit$ AND/04 $1RVICl$ TO Sf FUPNISHED HOME OvFICE ADDRES$
(Title of Proposed Effort)
DIYtslON($) AND LOCATION ($) WHERE wCRK t$ TO St PERFORA.1D TOTAL AMOUNT OF PROPOSAL Gov'T $O0CITAflON NO.
5 DETAIL DESCRIPTION OF COST ELEMENTS TOTAL R EF E R-
- 1. 01ECT MATEtiAL (Iremne en Tah,6,t A)
EST COST ($1 EST COST' ENCE 2
- 4. rURCHA$ED PAtt$
- 6. $USCONitACTED ITEMS
- s. OTHit-(f) RAW MAfttlAL s 1 (J) YOUR STANDARD COMMERCIAL ITEMS (J) INTERDivi$lONAL TRANSFFR$ (,4r other thwe gest)
TO TAL DIRECT.\\t 411 RI.4L
- 2. MATERIAL OVERHEAD' (Rote
%XI bWJr )
E STIM ATED RATE /
EST T DIECT LAton (spesifr)
HOUR $
HOUR COST ($)
_Rrincipal Trtvestigator 101.*L DIRECT LATo0R l
- 4. LA80s OvfRHE AD (3prisfy Department er Ceir Center)'
O H. RATE X SASE =
EST CO$f (f) l TO TAL L4tiOR OITRIll.AD
$ $PECLAL 1ESTING (lesinding peld u era et Gen ernment installatoees)
E51 CO51 ($ I 10TAL SPECI.4L 1E511NG 6 $PECIAL EOulPMENT (if dorest sharge) (IIemne ee Ishshir A) l
- 7. TRAVEL (if direst sharge) (Giue details en atlashed %!>< dele)
Est CO$1 f S)
- n. TRAN$PotTAflON
- 6. PER DIEM 09 $US$151ENCE 10 T.4 L TR 4 t TL 8 CONSULTANTS (idents/p-parpose-rate)
IST COST t $1 l
10IALcO%%LLY1%TS l-9 OTHER DIREC1 CO515 (IIemne en i shobot A) 1D IUI AL DIRECT LO\\T A %D oi'lRoll AD
- 11. GENERAL AND ADMINI$fRAfivE EXPENSE (Rate
% of sest elemest %es.
I2 ROYAlflE$
- 13.
10 T.4L l% II\\t A ll D LO\\1 14 FEE Of PROFif l $.
10TAL i s titt 4 IID CO\\ T A %D liL OR PRolli 3
OPTION Al.10RM 60 October 1971 General Sersmes Ailinanistrafnwi FPR l-16 806 1060-101 4
This proposal is subrnitted for use in connection with and in responw to (Deur,6e RFP. etc.)
and reflects our best estimates as of this date, in accordante with the Instructions en OSerors and the Footnotes whkh follow.
TYPED NAME AND TITLE SIGNATURE NAME OF FIRM DATE OF SUBMI5540N EXHIBIT A-SUFFORilNG $CHEDULE (Specify. If more space is needed, use res erse)
COSI EL NO.
ITEM DESCRIPTION (See footnote $J EST COST ($)
i
- 1. HAS ANY EXECUTIVE AGENCY OF 7HE UNITED STAfts GOVERNMENT PERFORMED ANY REVIEW OF YOUR ACCOUNTS OR RECORDS IN CONNECTION WITH ANY OTHER GovtRNMENT PRIME CONTRACT OR SUSCONTRACT WITHIN TME PAST TWElvt MONTM57 YES NO (if yes. idestify below.)
NAME AND ADDRESS OF RfviEWING OFFICE AND INDIVIDUAL TELEPHONE NUMBER /ENTEN$lON
- u. WILL YOU REQUIRE TME USE OF ANY GovtRNMENT PROPERTY IN THE PERFORMANCE OF THis PROPOSED LONTRACT?
Ytb { NO (if yes identofy en verme er separate page)
Ill. DO YOU REtJulRE GovtRNMENT CONTRACT FINANONG TO PERFORM TMis PROPOSED CONTRACT?
O ve5
~O
< l/ ><..s< t>/r >
Aova~ce 'a'-'~'5
'Roo55 'av=<~'5 o' ou^Ra~'tioto*~5 IV. DO YOU NOW HOLD ANY CONTRACT (Or, de pen he#e wey sedspeedently fedeced (JR(,D) projects) FOR THE SAME OR SIMILAR WORK CALLED FOR SY THIS PROPOSED CONTRACT 7 Yt$
NO (If yes. identofp.):
- v. DOES TMts COST
SUMMARY
CONFORM WITH THE COST PRINCIPLES SET FORTH IN AGENCY REGULATION $7 YE S NO (if no esplain en reterse er super.nte page)
See Rer+rse fer testrn<tiees med feetnotes OPTIONAI. FORM 60 (10-71) 2
- - - ~~ ~
- - - ~ -
i i
\\
INSTRUCTIONS TO OFFEROR $
- l. The purpose of this form is to provide a saandard format by which
- 3. When attachmens of supporting cost or pricing data to this form is the oseror submits to the Governmens a summary of incurred and.
impracticable, she data will be described (uith uhedules as appropriere).
estimated costs (and artsched sepperting infernstien) suitable for de.
and made available to the contracting oEcer or his representatise upon inited review and analysis. Prior to the award of a contract resulting '
request.
Oom shis proposal she useror shall, under she conditions stated in FPR l.3.807 3 be required to submit a Certificate of Current Cow or
- 4. The formats for the ** Cost Element " and she " Proposed Contract Pricing Data (See FPR l.3.80h3(h) and 1 3.807 4).
Estimate" are nos intended as rigid requirements. These may be pre.
sented in diferent formas wish the prior approval of the Consracting
- 2. In addition to the speci6c information, required by this form, the OEcer if required for more efective and eEcient presentation. In all o8eror is espected, in good faith, to inrorporate in and submit with t>ther respects this form mill be completed and submitted without this form any addnional de*a, supportinh schedules, or substantiation change.
which are reasonably required for the conduct of an appropriate re.
view and analysis in the hght of the specific facts of this procurement.
S. By submission of this proposal the oseror grants to the Contracting For efective negotiations, is is essential that there be a clear under.
OEccr, or his authorised representative, the right so esamine, for the j
standing of:
riorpose of verifying the cost or pricing data submitted, those txsoks, i
(
rs ords, documents and other supporting data which will permit ade-l'
- a. The esisting. veri 6able data.
quhe evaluation of such cost or pricing data, along =sch ske compusa-
- b. The ludgmental (actors applied in projecting from known data snew and projections used therein. This right may be esercised in con-to the estimate, and
"'Ct'Oh *ish any negotiations prior to contract award.
t
- c. The contingencies used by the oferor in his preposed prica.
In short, she oseror's estimating process itself needs to be disclosed.
FOOTNOTES I Eeur in this alumn thew nuesury and vessunble cents abah in the
.I ledkate the rates and med provide ne appropriate esplanatin. Where judgment of the eferer uillproperly be incurredin the ofcientperform.unce agreement has been reached uith Generument reprewetatires ee the une of tf the centract. II* ben ney of the costs in this celame knur already born foruerd prking races, deurske Ihr ensure of the agreement. Preside the securred fe.g., en a letur centract er thangi order), deuribe thent en an method of ampuutin and applustion of nur eserhand espeau, including etsnched sepperting uhedule, identify all sales and treesfers berusee your cess breakdeu n and shouing trends ned budgetary dets as necesury to plants, disisines. er organisations under a comen centrol, ubich arr in-preu mle a basis for esalentin of the rensenableness of proposed races.
cluded at other thJe the leuse of cost to the original treesferrer er carrret market prke.
4 If the coulcost entered herr is in excess of SDO. preside en a separate page the felleu-iug information en each seperate ista of reyntty er Ikense 2 When spect in additin to th.rt nuailable in Esbibk A is arquirsd. et-fer: name and address of skenser; date ofikeese sgreement; pnues num-u<h uperate pages as nuesury and identify in this " Reference" estaan the acuchment in ubish the information supporting the spuipe cost element bars. panet appikatin serial numbers. er other basis en uhkh the nyalty is payable; brsef deuripton. including any part er mdri numbert of **ch may be fened. Ne stand.ordformat is prrurubed; housser. Ihr cost er prk ung daIn must be accurate, complete and curreet, and the judgeret facters cntract item er compneet en uhah the reystry is payeble: persensege er deller rate of royalty per unit; anit prke of centract item; number of used in projesting fue the det.e se the estaments mast be suced in safciens units; and Incal deltsr amount of nyalties. In additin, if spurfully re-detail to noble the Centracting Ofcer to etalente the propoul. For es-quested by the centracting ofcer, a copy of the current Ikense agreement emple, preside the basis used for prking anterints such as by ender que-and identsfcation of apptkeble claims of spusfc pounts shall be pnuided.
Intsens, shop estomaus. or unteur prurs; the ressen for an of everhead rates avhkh depart signifactly from esperienced rates (redused solame, a 3 Pnoide a list of prinsip.nl hems uichie each category indicating kneu n planned major re-arrnagement, etc.); er justifcation for se incorow in er anticipated source, questity. anit prke. competirin ebuierd. and basis inher rates Plase any c(anthipated arage and wiery increases. ru.). Identsfy med n. ef esubli,hing se,rce and rea,enablenes, of cost.
entsegencies a hkh arr included in the pnpesed prke, such aus esticipated costs of rejuts and defutise nerh. er anticipated ruhniurf defcatties.
?
f CONTINUATION OF EXHitif A-$UPPORilNG $CHEDULE AND REPUE$ TO QUE$ TION $ N AND V, r
i i
3 OPTIONAL FORM 60 (10-71)
APPENDIX E PROPOSAL DATA SHEET The PROPOSAL DATA SHEET, included in this Solicitation, is an essential part of the Federal Government's effort to monitor and assess the effects of SBIR programs. The form is intended to gather certain limited data on firm charac-teristics, origins and experiences, to establish a beceline against which effects can be measured.
It was designed by the National Science Foundation, which will be. responsible for tabulating the data for the White House Office of Science and Technology Policy in cooperation with public and private sector repratantatives including members of the small business community.
The submission of this form is required as part of the SBIR application process.
However, the form is confidential, and the data requested by it will under no circumstances be available to proposal reviewers or used.in the review process.
Data will be released only in a form which does not permit identification of individual respondents or firms.
Since part'of the information requested is specific to the project rather than the firm, you should submit a separate data sheet for each project, even though the firm-level data are the same.
Photocopies of this form are acceptable for this purpose.
PROPOSAL DATA SHEET INSTRUCTIONS The' project title, agency, topic number, firm specification, principal investigator, corporation official, and project amount and duration are requested for purposes of uniquely identifying the project. ~ Employment and sales data (Items 1 and 2) are needed to establish the size of the fire prior to SBIR awards.- You should answer these questions (and the others) even if your firm is just beginning operations or will not begin operations unless an SBIR award is received-(in this case, employment and sales would be zero).
The estimated percentages requested in these items need not be exact, but should represent your best approximation.
InItem3(firmfounding)m,eansagroupofindividualsleavingafirmorother use the current year if your firm is just beginning operations. A " spinoff source together to found a new firm; a single individual leaving a firm to start a new firm should be marked as a "startup" rather than as a spinoff.
Question 5, regarding prior submission, should be answered "yes" only if the previous proposal was similar to the SBIR proposal both in topic and scope.
For example, if you are submitting to SBIR a scaled-down version of a previously declined proposal, you should answer "no" here.
In Question 6, on previous R&D effort, you should answer "none" unless the previous R&D effort was of significant scope; casual exploration of an idea through literature search or limited experimentation would not be classified as " previous effort."
To ensure confidentiality of responses, do NOT return this form to the agency evaluating your SBIR proposal (s).
- Instead, simply return this form directly to NSF.
THANK YOU FOR YOUR ASSISTANCE!
E-1
... -... ~.
.. ~.,
Wil BUSIESS IMOVATION RESEARCH PROGRMt
{
-PROPOSAL DATA SHEET
(
Se info:mation requested in this data sheet is needed for program monitoring and evaluation purposes. Its sulanission is required, but it will N77 he used in the proposal review process, ard will NOT be made available to proposal reviewers.
All data will be held SIRICTLY CONIDDrrIAL, and will NDr be released in -
any.fom that allows identification of individual respondents or fins.
Project Title Agency to Wiich sutznitted Mpic No.
Subtopic No.
Mpic Area l
f 21s is the "%pic Area" referred to in the questions below.. If a fim sutunits proposals in different topic areas, separate data sheets reflecting these different areas should be prepared. motocopies of this fom may be used for this purpose.
I Submitted by:
Fim Mailing Address City State ZIP I
Principal Investigator (Project Manager)
Corporation Official (Business Contact) 3 None None l
Title Title M1. te.
Tel. No.
l Project Junount (Phase I): S Proposed Duration:
i 7
- 1) M 1oyees: Current total staff
[ Note: if fi m is a wholly-owned sulwidiary, i
"unployees" naast incitee ay employees trder the control of the parent organization.]
k 1 htimated percentage of total employees involved in activities related directly to i
the M pic Area of this proposal i
t h eimated percentage of total employees with scientific or engineering degrees at least at the boccalaureate level
- 2) Please indicate approxim&te total sales / revenues of firm for most recent full fiscal year:
)
l[lNonetodate l_lS2,000,001-S5,000,000
~
l[lSO-$250,000 l] $5,000,001 - $10,000,000 l] S250,001 - 3500,000 j] S10,000,001 - S25,000,000 l
l] S500,001 - S1,000,000 l] $25,000,001 - S50,000,000 l] S1,000,001 - $2,000,000
[] over $50,000,000 i
]
1 htimated percentage of total sales / revenues derived fran exports l
1 htimated percentage of total sales / revenues derived from activities related directly to the wie Area of this proposal
f Estimated percentage of total sales / revenues currently derival fran each of the following sources (percentages should total to 1001):
4 Manufacturing 4 Private contract research and developnent t consulting / services t hderal research and develognent t other sources
- 3) Year fim was fouruled I
At its founding was your firm trincipally:
((Astartupbypreviously
(( A spinoff fra a university or nonprofit maffiliated individual (s) research group
(( A spinoff fran another fim
[jOther(pleasespecify)
- 4) Has your firm ever receive! a Federal R&D grant or contract prior to this application?
O Yes O No l
.If yes, please list the hderal agency (ies) fra which you received such support:
s
- 5) Has this proposal or a similar proposal been submittei to a hderal agency under a progran other than SIR before this application?
l C Yes O==
t
- 6) Please describe any previous research and develognent effort in your fim with respect to this 1bpic Area (check all responses that apply):
((None
(( Previous research/ development in another setting by current investigators l_l ResecrcVdevelopment supported by
(([ Research/develognent supported by resources
~
resources internal to the fi:2n obtained fr a hderal sources 1
[l Research/develognent supported by resources obtained from grivate fims, venture capital fi as, or other nonfederal sources Please return this for:n in the inserted envelope DIREM,Y to the tetional Science Ebmdation. If the envelope is missing, the address is:
SIR Assessment g
Roan 1237 National Scienm Ebundation 1800 G Street NW leshington, tc 20550 THANK YOU FOR YOUR ASSISTANCE!
r LLC 55bulak]t 1 as LS hat ACK C LY LL ELCL 4
ech Auxec ccer PLLICY
- f. RUBL4CAIM M1 gg 2-bGI hA5hlhblLh Lt 4 g3g