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This Solicitation is Now Closed
Environmental Protection: Industrial Pollution
Prevention, Waste Treatment, and Environmental Products
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PROPOSALS DUE: Wednesday, June 6, 2001
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The New York State Energy Research and Development Authority (NYSERDA) seeks proposals to support the development, demonstration, marketing and commercialization of energy-efficient technologies in the areas of:
1) Pollution Prevention - methods, products, and technologies to reduce, reuse, and recycle industrial wastes at the point of generation. Strategies may include, but are not limited to: process changes, separations, feedstock substitutions, product modifications and reformulations, and recovering and treating process wastes for reuse on-site or by another company.
2) Waste Treatment - treating or pretreating waste at the facility where it is generated. Treatment projects will only be considered in cases where the proposer demonstrates that pollution prevention (reduction, recovery, and reuse) options have been evaluated. Pretreatment must result in waste that can be discharged into a sewer system without affecting downstream sewage treatment processes. Municipal water and wastewater treatment plant demonstrations will not be funded under this program, however, they are eligible for funding under a separate program that will be issued during Spring 2001 (Check NYSERDA’s webpage at www.nyserda.org for additional information).
3) Environmental Products - developing environmental technology products for potable and process water treatment, industrial wastewater treatment, municipal wastewater treatment, solid and hazardous waste management, sludge and process residuals management, recovery and recycling, brownfield site remediation, dredge material disposal management, combustion efficiency improvements for solid waste or sludge incineration, air pollution control and instrumentation, sensors, and pollution monitoring devices.
PROJECT TYPES- Financial assistance for industrial pollution prevention, waste treatment, and environmental products is available to support:
Feasibility Studies - Detailed engineering feasibility studies of innovative, energy-efficient industrial waste reduction, reuse, treatment or pretreatment methods and technologies or environmental products. Multiple awards of up to $50,000 are anticipated for innovative feasibility studies. Feasibility studies to evaluate commercially available methods or technologies may be eligible for funding under NYSERDA’s FlexTech program (see contact information about the FlexTech program below).
Development, Demonstration, and Commercialization Projects - Development, demonstration, and commercialization of innovative technologies, processes and new products. Market research/market assessments up to $25,000 are eligible for funding as part of an environmental product development project. Multiple awards of up to $250,000 are anticipated for development, demonstration, and commercialization projects.
Proposals may request funds for any combination of project areas (pollution prevention, waste treatment, environmental products) and financial assistance categories (feasibility study, product development, demonstration, market assessment, and commercialization).
All proposals must be cost-shared. On most projects, NYSERDA will contribute up to a maximum of 50% of total project costs or $250,000. If the proposer’s facility (or a majority of facilities) or demonstration site is located in a New York State Empire Development Zone (EDZ), NYSERDA will contribute up to a maximum of 60% of total project costs or $250,000. A copy of the proposing facility’s or demonstration site’s EDZ certificate or other supporting documentation must be submitted with the proposal.
All proposals must have substantial New York State impact and produce significant economic benefits, such as processing or manufacturing at a site or sites in New York State. Demonstration sites must be in New York State.
NOTE: This program includes market assessment services for new products and processes developed under this Program Opportunity Notice. Please see more information in the proposal instructions.
If you have questions about the scope of this solicitation, please contact one of the following individuals by e-mail, or by calling (518) 862-1090 and selecting the appropriate extension:
| Adele Ferranti, ext. 3206 Senior Project Manager Pollution Prevention af1@nyserda.org |
Barry Liebowitz, ext. 3248 Project Manager Waste Treatment and Env. Products bnl@nyserda.org |
Contractual questions may be directed to Gina Wilder at (518) 862-1090, ext. 3232; fax (518) 862- 1091; e-mail gmw@nyserda.org
If you would like to request additional information about the FlexTech program, please contact Mark Mayhew at (518) 862-1090 ext. 3319 or by e-mail at msm@nyserda.org.
PROPOSAL SUBMISSION:
Proposals must be received at NYSERDA by 3:00 pm Eastern Daylight Time on June 6, 2001. Proposals will NOT be accepted by fax or e-mail. Late proposals, and proposals received more than 15 days in advance of the due date, will be returned unopened. Proposers must submit eight (8) copies of the proposal with a completed Proposal Checklist attached to the front of each copy. Proposals must be clearly labeled on the outside of the package as follows:
Karen Whalen, PON No. 541-01
NYSERDA
17 Columbia Circle
Albany, NY 12203-6399
I. PROGRAM INTEREST AREAS
NYSERDA seeks proposals to develop, demonstrate, and commercialize innovative projects in the areas of pollution prevention, waste treatment, and environmental products. Work proposed must be innovative and address energy-efficient pollution prevention and treatment strategies that improve downstream treatment efficiencies, or reduce or eliminate the volume or toxicity of industrial wastes at the point of generation. Treatment projects will only be considered in cases where the proposer demonstrates that pollution prevention (reduction, recovery, and reuse) options have been evaluated.
Proposals may address technologies at varying stages of maturity, from feasibility assessments and market research, through proof of concept and early product development, to field evaluation and market introduction. Projects should seek to study the feasibility, development, or demonstration of new environmental products, energy-efficient industrial process waste reduction, reuse, treatment, or pretreatment methods and technologies or new applications of existing technologies. Projects are required to emphasize replicability or collaboration, commercialization, and marketability rather than basic or fundamental research.
MARKET ASSESSMENT SERVICES FOR EQUIPMENT/PROCESS MANUFACTURERS IN NYS
This program will include a market assessment service to successful PON 541 proposers who desire or need such services. NYSERDA has solicited market assessment firms to assist successful PON 541 proposers (hereinafter “contractors”) in determining the market potential (size, location) of their newly developed products or processes. After contracts are negotiated with proposers, any or all proposals NYSERDA has received from market assessment firms will be made available to contractors for review. The contractors can evaluate the proposals (which will include billing rate information) and separately contract with the firms selected for market assessment studies prior to beginning their project tasks. Proposers may also team with their own market research firms to complete the required tasks. The costs of the market assessment services will be cost-shared 50/50 between the contractors and NYSERDA. These costs will be in addition to project costs awarded to contractors under this solicitation and NYSERDA funds will be limited to $25,000 per contractor. Note that providing market assessment proposals to contractors does not constitute an endorsement of firms or services. NYSERDA has collected proposals from market assessment firms and will merely distribute them as a service to contractors. Marketing assessments will not include expenditures for marketing efforts (such as advertisements, etc.) for the new products.
PROGRAM OBJECTIVES
Program objectives are to provide measurable energy, environmental, and economic benefits in New York State as follows:
- Energy benefits are sought in the form of energy conservation, reduced energy requirements per unit of product manufactured or selecting the most energy-efficient option.
- Environmental benefits are sought in the form of eliminating or reducing the volume or toxicity of waste releases, including more accurate measurement and control of a waste stream/pollutant.
- Economic benefits are sought in the form of creation or retention of manufacturing jobs in New York State and improving the competitiveness of New York State manufacturers. In addition, economic benefits are also sought in the form of reduced costs per unit of product manufactured, improving product yield, maximizing the efficiency of process inputs, and reducing the life-cycle costs of waste treatment systems.
Projects considered under this solicitation may address areas already within the scope of existing NYSERDA projects or entirely new approaches to achieving NYSERDA’s stated energy, environmental, and economic goals.
II. PROGRAM REQUIREMENTS
- Be innovative and include applied research and development components.
- Emphasize development of marketable products rather than basic research.
- Provide direct and quantifiable energy, environmental, and economic benefits to New York State and New York State manufacturers.
- Include a commercialization or implementation plan, even if only preliminary estimates and strategies can be presented. Product development projects must include a description of the market potential, applications for the technology being developed, and a comparative analysis of competing technologies. If necessary, obtaining outside expertise to assist with market assessments and commercialization plans is encouraged and can be included as part of the project scope and total project costs.
- Provide cost sharing:
- In the form of cash or in-kind labor, materials, equipment, facilities, and other resources, subject to reasonable and verifiable valuation. Cofunding may be from the proposer or other private or government sources. NYSERDA’s funds cannot be used to reimburse or replace normal expenses of other government organizations.
- In the amount of 50% or more of the total project cost or, in the case of a facility in an EDZ, 40% of the total project costs. The quality of the proposer's co-funding is examined during the proposal evaluation process. Cash, labor, and materials are considered superior to other types of co-funding. The type of co-funding offered should be appropriate for the proposer's financial condition and the product's stage of development (degree of risk). The level of co-funding will be considered an indicator of the proposer's commitment to the success of the project.
- Provide sharing of success by agreeing to provide royalty payments to NYSERDA upon product commercialization (described below).
Other Requirements
- A proposal may be considered non-responsive if it fails to comply with the requirements on pages 1-5, the Proposal Format of Section III, or the General Conditions of Section V.
- Prior to an award being made, potential contractors may be required to demonstrate: access to financial resources sufficient to perform the proposed work, technical experience and adequate facilities (or the ability to access them), a good performance record, and the ability to qualify for an award under applicable laws and regulations.
In addition, the following guidelines should be considered when developing proposals:
- Teaming arrangements are encouraged, where appropriate, to enhance the likelihood of project success and increase manufacturing opportunities in New York State. Teams may include commercial firms, marketing firms, industry associations or research organizations, universities, government agencies, end-users, and other stakeholders. Include letters of commitment from each team member in the proposal appendix.
Multiphase projects are acceptable as long as the proposal:
- Briefly describes all phases along with significant milestones, and provides an estimate of the total cost of all phases.
- Only requests funding for the first phase and adheres to the funding limit for the appropriate project category described on page 1 of this PON. The proposer must accept that any contract awarded to fund the first phase of a multiphase project does not in any way obligate NYSERDA to fund later phases. Additional phases may need to be submitted under a future PON for competitive evaluation to receive additional funding.
III. PROPOSAL FORMAT
Total proposal length should be 13 pages or less, plus letters of commitment or support in an appendix. Suggested page limits for each section are provided in parentheses. If you believe additional or proprietary information must be submitted to prepare an adequate proposal, please contact an individual listed on page 2 of this PON, as applicable. Costly bindings or other presentation material should not be used - a staple in the upper left corner is preferred. Your goal as a proposer should be to concisely present the information needed to fully address the evaluation criteria (see Section IV).
Proposals that exceed the page limits or fail to follow the format guidelines may be rejected as non- responsive.
Intent to Propose Form - This form is optional. However, we use this information to better prepare for the proposals to be received, and to improve our outreach activities. Please submit the form in advance, as indicated on the Intent to Propose form attached to this PON.
Proposal Checklist - Complete the proposal checklist, attached to this PON, and include it as the front cover of each copy of the proposal. Note the following:
- Indicate whether you accept the Standard Terms and Conditions as contained in the attached Sample Agreement (or download from www.nyserda.org/sttdforms.hmtl). If you do not accept the standard terms and conditions, be prepared to provide alternate terms with justification based on the risk and benefit to NYSERDA and New York State.
- Be sure the individual signing the Checklist is authorized to commit the proposer’s organization to the proposal as submitted.
- Be sure the proposal includes a statement that the proposer agrees to provide NYSERDA with metrics data for a period of five years after the project is completed.
1. One-page Executive Summary - Briefly summarize your proposal emphasizing the following:
- The waste or environmental problem or opportunity and its significance to New York State.
- Your proposed solution and how it will solve the problem or exploit the opportunity.
- List of the project team members and their qualifications to do the work.
- Benefits if the project is successful. Include the market potential and quantify the energy, environmental, and economic benefits to the extent possible.
The executive summary should be no more than one page in length.
2. Problem Statement and Proposed Solution - Describe the following (two pages):
- The waste or environmental problem or opportunity, and its significance to New York State.
- Your proposed solution and how it addresses the problem or opportunity, its technical basis, innovative characteristics, and current stage of research and development.
- Its relevance to regional waste reduction plans or environmental regulations.
- Alternative solutions, and why your proposed solution is superior.
- If this proposal addresses a subsequent phase of a previously funded NYSERDA project, a brief status report on the earlier phase(s).
3. Proposed Work Scope and Schedule - Provide the following (two to three pages):
- Technical or performance goals for proposed technology or system.
- List of major tasks to be accomplished and two- or three-sentence description of each. Typical task titles may include, but are not limited to, the following: project management and reporting, market evaluation/requirements definition, preliminary design, prototype construction, testing, final design, and demonstration. (Note that NYSERDA will expect to receive written progress reports and a final report, and have occasional project meetings, as part of the project management task. These activities should be considered when developing your cost proposal.)
- Duration of the project and timing of major milestones, such as design reviews, test result reviews, and delivery of products.
- If applicable, a brief description of additional phases of development or commercialization activities required but not currently proposed, and their anticipated duration.
4. Proposer Qualifications - Identify the following:(one to three pages, depending on team size)
- Proposer and any other team members and major subcontractors. Provide a chart showing the relationship between team members.
- Project Manager and other key individuals.
- Qualifications of all businesses, organizations, and individuals named above, including relevant experience and references.
- NYSERDA contracts awarded in the past five years, if any.
5. Project Benefits - Identify and quantify expected outcomes and potential benefits of the project (two pages).
- Quantify the following direct benefits to New York
State to the extent possible:
- Energy benefits- compare to other or current technologies
- Environmental benefits (examples include emission reductions, elimination of hazardous materials, etc.)
- Economic benefits (examples include increased product sales, near-term manufacturing jobs created or retained, increased product yield, waste treatment life- cycle cost reductions, etc.)
Identify other benefits (examples include compliance with New York State or federal regulations, reduced liability, worker safety, etc.)
Metrics- Describe how the success of the project can be measured or verified in the long term (five years).
5a. Metrics Statement-
The proposal must include a statement from the proposer committing to provide NYSERDA with written metrics (sales data, number of jobs created or maintained, energy data, environmental data and any other data) which will be used to quantify direct benefits to New York State for a period of five years after the project is complete.
6. Technology Transfer and Commercialization - Indicate the following (one to two pages):
- How the results of this project will be implemented or commercialized, and the parties involved in doing so.
- Product development proposals should demonstrate a clear understanding of target markets, total market potential, and relevance of the product for New York State and world-wide markets. Proposals may include expansion of the market analysis/user needs assessment as part of the proposed work.
- Product development projects should have a well-developed commercialization strategy.
- Justification of the product or system cost to the user (life-cycle cost, payback period, etc.)
7. Cost-Sharing Summary and Budget
a. Cost Sharing - The proposal should show cofunding of at least 50% of the total cost of the project, or 40% of the total costs if the facility is in an EDZ. Cofunding can be from the proposer, other team members, and other government or private sources. Contributions of direct labor for which the laborer is paid, and purchased materials, may be considered “cash” contributions. Unpaid labor, indirect labor, labor by employees of government or professional organizations, use of equipment or facilities, or other general overhead are typically considered “in-kind” contributions. Present cost-sharing in the following format.
| NYSERDA | $ | % |
| Proposer | ||
| - cash | $ | % |
| - in-kind | $ | % |
| Other Sources (list) | ||
| - cash | $ | % |
| - in-kind | $ | % |
| TOTAL | $ | 100% |
b. Contract Pricing Proposal Forms (CPPF- see attached form or download from www.nyserda.org/stdforms.html) - Submit a completed form for each of the following:
- The total project, including in-kind contributions;
- Each subcontractor with a proposed subcontract in excess of $10,000; and
Attach detailed budget breakdowns for equipment, material, and travel. Provide rates for each skill type or labor category identified.
Recoupment - For product development projects that may eventually result in commercial sales, NYSERDA will require a royalty based on sales. NYSERDA's standard royalty is 1.5% of sales for products manufactured in New York State and 5% of sales for products manufactured outside of New York State.
Appendix - Letters of Commitment or Support - If you are relying on any other organization or business to do some of the work, provide services or equipment, or share in the non-NYSERDA cost, include a letter from that organization or business describing their commitment. Also include letters of commitment or support from businesses or organizations critical to the future commercialization, demonstration, or implementation of the project. Absence of letters of commitment or support will be interpreted as the proposer not having commitment or support from those parties.
IV. PROPOSAL EVALUATION
Proposals will be reviewed by a Technical Evaluation Panel (TEP) consisting of NYSERDA staff and selected non-NYSERDA reviewers and will be scored and ranked according to the following criteria, listed in order of importance. In addition, NYSERDA staff evaluates proposals in the context of the “other considerations” listed below.
After the proposals are reviewed, NYSERDA will issue a letter to each proposer indicating the proposal evaluation results. Proposers receiving favorable evaluations will be invited to submit a detailed statement of work, budget, and schedule, and may also be asked to address specific questions or recommendations of the TEP or NYSERDA staff, for final consideration.
EVALUATION CRITERIA
Requirements - A negative response
to any one of the questions identified below by a check mark (
)
may eliminate the proposal from further consideration. Does
the proposal:
- Address the innovative aspect(s) of
the project?
- Address energy-efficient waste reduction
and treatment challenges of New York State?
- Show consistency with environmental
regulations?
- Emphasize development of marketable
products rather than basic research?
- Provide direct and quantifiable energy,
environmental, and economic benefits in New York State?
- Include a description of the potential
markets, commercialization or implementation plan?
- Provide appropriate cost sharing?
- Problem/Proposed Solution/Scope - How significant is the problem or opportunity? Is the proposed project likely to solve the problem or exploit the opportunity? Is the proposed work technically feasible, innovative, and superior to alternatives? Is the work strategy sound?
- Project Benefits - Will a significant part of the work on the project take place in New York? Will there be economic benefits in New York State in the form of subsequent manufacturing activity? How significant are the energy, environmental, and economic benefits to New York State? Are there additional significant benefits? Is there a statement in the proposal agreeing to provide benefit/metrics data to NYSERDA for a five year period after project completion?
- Proposer(s) - To what degree does the team have relevant and necessary technical and business background and experience? Does the team include a New York State business, thereby providing economic benefits in the form of jobs? How firm are the commitments and support from essential participants, cofunders, and related businesses and organizations?
- Project Outcome and Cost - Is the overall project cost justified based on the expected benefits? How significant is the potential market or deployment opportunity? Is the implementation or commercialization strategy well-conceived and appropriate for the stage of development? How appropriate are the proposer’s cofunding contributions (sources and amounts) with respect to the degree of risk, potential to benefit from the work, and financial status of the organization?
OTHER CONSIDERATIONS
Proposals will be reviewed to determine if they reflect NYSERDA’s overall objectives, including: risk/reward relationships, similar ongoing or completed projects, the general distribution of NYSERDA projects among industries and other organizations, and the distribution of projects within New York State.
V. GENERAL CONDITIONS
Proprietary Information - Careful consideration should be given before confidential information is submitted to NYSERDA as part of your proposal. The proposer should determine whether the information is critical for evaluating a proposal, or whether general, non-confidential information may be adequate for review purposes. The New York State Freedom of Information Law, as embodied in the Public Officers Law, provides for public access to information NYSERDA possesses. Public Officers Law, Section 87(d) (2) provides for exceptions to disclosure for records or portions thereof that "are trade secrets or are submitted to an agency by a commercial enterprise or derived from information obtained from a commercial enterprise and which if disclosed would cause substantial injury to the competitive position of the subject enterprise." Information submitted to NYSERDA that the proposer wishes to have treated as proprietary, and confidential trade secret information, should be identified and labeled "Confidential" or "Proprietary" on each relevant page at the time of disclosure. This information should include a written request to except it from disclosure, including a written statement of the reasons why the information should be excepted. See the procedure described in Public Officers law, Section 89(5). Proposers who want to submit confidential or proprietary information must contact the Director of Contract Management, Robert Callender, at (518) 862-1090, extension 3233, to discuss classification and handling prior to submitting the proposal. Failure to follow proper procedures may result in a delay in reviewing the proposal, or return of the proposal without evaluation on the grounds that it is non-responsive to the solicitation.
Minority- and Women-Owned Business Policy - It is the policy of New York State to maximize opportunities for the participation of New York State business enterprises, including minority and women-owned business enterprises, as bidders, subcontractors and suppliers on its procurement contracts.
Information on the availability of New York State subcontractors and suppliers is available from:
Empire State Development
Division for Small Business
30 S. Pearl St.
Albany, NY 12245
A directory of certified minority and women-owned business enterprises is available from:
Empire State Development
Minority and Women’s Business Development Division
30 S. Pearl St.
Albany, NY 12245
Contract Award - NYSERDA may award a contract based on initial proposals without discussion, or following limited discussion or negotiations. Proposals should not be excessively long, or submitted in an elaborate format that includes expensive binders or graphics. Each offer should be submitted using the most favorable cost and technical terms. NYSERDA may request additional data or material to support proposals.
Limitation - This solicitation does not commit NYSERDA to award a contract, pay any costs incurred in preparing a proposal, or to procure or contract for services or supplies. NYSERDA reserves the right to accept or reject any or all proposals received, to negotiate with all qualified sources, or to cancel in part or in its entirety the solicitation when it is in NYSERDA's best interest.
Disclosure Requirement - The proposer shall disclose, by a person authorized to contractually obligate the organization, any indictment for an alleged felony, or any conviction for a felony within the past five years, under the laws of the United States or any state or territory of the United States, and shall describe circumstances for each. When a proposer is an association, partnership, corporation, or other organization, this disclosure requirement includes the organization and its officers, partners, and directors or members of any similarly governing body. If an indictment or conviction should come to the attention of NYSERDA after the award of a contract, NYSERDA may exercise its stop-work right pending further investigation, or terminate the agreement; the contractor may be subject to penalties for violation of any law which may apply in the particular circumstances. Proposers must also disclose if they have ever been debarred or suspended by any agency of the U.S. Government or the New York State Department of Labor.
Standard Agreement and Terms and Conditions - The proposer should review NYSERDA’s Standard Cost-Share Agreement and Standard Terms and Conditions available at www.nyserda.org/stdforms.html or may be requested by phone from any of the persons listed on page one. If you have any questions about NYSERDA’s terms and conditions, contact Gina Wilder (ext. 3232).
Attachments:
Intent to Propose
Proposal Checklist (REQUIRED)
Contract Pricing Proposal Form (Budget) - (see item #7)
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