HIGH EFFICIENCY LIGHTING
PRODUCTS & DEMONSTRATIONS
$1.2 Million Available
Program Opportunity Notice (PON) No. 629-01

The New York State Energy Research and Development Authority (NYSERDA) invites proposals to develop, demonstrate, and evaluate high efficiency lighting products. Proposals should be clearly labeled A (Product Development) or B (Demonstration and Evaluation). Examples of technologies eligible for support include:

NYSERDA will make multiple awards up to $200,000 per project. A minimum of $600,000 is dedicated to A and B projects seeking to develop innovative and promising technologies that do not yet have wide market penetration, including, but not limited to, technology areas listed above.

Funds may be used to support A) design, testing, development, and commercialization of new technologies or substantial improvements to existing technologies, or B) demonstration and evaluation of commercially available technologies or promising prototype technologies. Category B projects must include evaluation and information dissemination activities and, if not yet commercially available, an intent to commercialize based on the results of the evaluation. New product development proposals and proposals to evaluate not-yet-commercialized technologies must address how the technology/system will be introduced into widespread commercial use. Basic or fundamental research is not eligible under this solicitation.

All product development proposals must be cost-shared, with 50% cofunding or above preferred. Cost-sharing for demonstration and evaluation projects is not a requirement for temporary installations. Projects involving permanent installations must cost-share a portion of equipment and installation costs. Proposals to demonstrate and evaluate commercially available technologies may be also eligible for financial incentives under other NYSERDA programs listed on our website (http://www.nyserda.org/rddopps.html).

The proposed work must seek to demonstrate/yield quantifiable energy benefits, have substantial New York State impact, and produce significant economic benefits such as reduced energy consumption and job creation. Associated environmental benefits and significant non-energy benefits are also important evaluation criteria.

To receive a paper copy of the instructions for submitting a proposal, contact Karen Whalen at kew@nyserda.org, or by fax at (518) 862-1091. Technical questions may be directed to Marsha Walton at (518) 862-1090, ext. 3271, or via e-mail at mlw@nyserda.org. Proposers are strongly encouraged to call to discuss technical details of their project prior to finalizing their proposals. Contractual questions may be directed to Jane Powers at ext. 3342 or jap@nyserda.org.

Proposals* must clearly labeled and submitted to:

Karen Whalen, PON 629-01
NYSERDA
17 Columbia Circle
Albany, NY 12203-6399

__________
*Faxed or e-mailed proposals will not be accepted. Late proposals will be returned unopened.

I. PROPOSAL REQUIREMENTS

Submit ten (10) hard copies of the proposal in the following format:

• Title & Principal Contact
  A completed proposal checklist with the project title, and name, address, and telephone number of the principal contact person must be attached to the front of all copies of the proposal. Indicate whether you accept the Standard Terms and Conditions in the Sample Agreement. If you do not, be prepared to provide alternative terms with justification based on the risk and benefit to NYSERDA and New York State.
  
  
• Abstract (approximately half a page)
  Summarize the proposed effort and benefits to New York State.
  
  
• Introduction/Background (approximately 1-2 pages)
  Briefly describe the proposed high efficiency lighting technology in the context of conventional, state-of-the-art or commercially available competing lighting products. Explain the underlying scientific and technological principles. Identify the project's goals and objectives and how you intend to reach them. Describe the competitive advantage of the proposed technology in the marketplace. Delineate your research design and the proposed methodology from which you will develop a detailed Statement of Work. Details may be provided in an appendix.
  
  
• Statement of Work (not more than 5 pages)
  The Statement of Work is the primary contractual document that identifies the deliverables and provides a basis for NYSERDA's payment. It is an action document that specifically delineates each step or procedure required to accomplish the project's goals and objectives. Therefore, each action should be identified, indicating who will perform it, how it will be performed and its anticipated result(s). Be clear and specific. The Statement of Work must be prepared as an ordered set of tasks.

  Tasks - Arrange your tasks logically and elaborate on each one using about a paragraph. Be specific as to who will perform the work, when, where, and how. Use the following format to describe each task or subtask.

  Task 1: Task Title
  "The Contractor shall..."

• Energy, Environmental and Economic Benefits (approximately 1-2 pages)
  Describe the energy benefits in terms of energy conservation, peak load reduction, improved energy efficiency, use of renewable energy sources, or recycled materials. Explain why NYSERDA should consider funding your project and how New York State will benefit. Quantify the energy, environmental and other tangible benefits resulting from the proposed development or demonstration effort; include a cost/benefit analysis, and a description of competing technologies. Describe the market potential for the proposed activities, both within New York State and worldwide.
  
  
• Metrics (approximately 1 page)
  Describe how the contractor or NYSERDA can measure or evaluate the benefits of the proposed work to New York State (e.g. energy saved, peak load reduced, jobs created, pollution avoided, etc.). In addition, demonstration and evaluation projects should describe how the information generated by the project will be used to promote market acceptance of the lighting technology being evaluated. Suggested metrics for longer-term evaluation of the impact of demonstration and evaluation projects are welcome. Extensive or complex details may be provided in an appendix.
  
  
• Implementation, Commercialization, or Technology Transfer Strategy (approximately 3-4 pages)
  Briefly describe the project outcome/implementation/commercialization/technology transfer goals and outline a plan to achieve those goals. Present a strategy that emphasizes dissemination of knowledge and know-how developed in the project. This may include published papers, conference presentations, or participation in a trade show. Discuss the marketability of the particular technology. Discuss the possible effects on the New York State economy. List related projects that have been successfully completed by the proposer and/or subcontractors. For each project, provide a brief project summary and the name and phone number of a client contact. NYSERDA reserves the right to contact anyone so listed. Be creative in developing additional means of technology transfer.
  
  
• Proposer Qualifications (approximately 2-3 pages + one-page resumes)
  Briefly describe your organization and the section/department/group proposing to carry out the work. Describe your long-term and short-term research, development and commercialization goals and explain how the proposed work strengthens these goals. Describe your recent accomplishments in developing and commercializing a new product or process. Submit one-page resumes of all key project personnel, including those of subcontractors and consultants. Include education and experience that are relevant to the proposed work. The company or related product brochures may be enclosed in an appendix.
  
  
• Sharing of Project Success
  NYSERDA requires a royalty payment from the Contractor for projects that produce sales or licensing revenues. NYSERDA's standard terms are described in the attached sample agreement.
  
  
• Project Plan and Schedule (not more than 5 pages)
  • Prepare a master schedule showing starting and completion times for each task (item), in terms of weeks or months. Projects should be completed within a 24-month period. Identify major milestones, tests, demonstrations, reports and other deliverables, as well as meetings. Generally, NYSERDA requires a project kick-off meeting and other meetings as appropriate at key decision points, monthly progress reports and a final report.
    
    
  • Prepare an organizational chart listing all key personnel, including any subcontractors and other sponsors involved in the project, showing their roles or responsibilities. Explain how coordination with all project participants will be accomplished.
    
    
  • Prepare a tasking chart, describing approximately in hours, days or other units of time the effort contributed by each of the key personnel to each task and total effort by each individual.
    
    
• Letters of Commitment
  Include letters of commitment, signed by a person authorized to contractually obligate the organization, for all participating organizations and cofunders.
  
  
• Contract Pricing Proposal Forms (CPPF)
  Submit a completed form for each of the following:
  • The total project, including in-kind contributions;
  • Each subcontractor;
  • Each task.

  
  Attach detailed budget breakdowns for equipment, material, and travel.

II. PROPOSAL EVALUATION

Proposals that meet all the Proposal Requirements will be reviewed and ranked for technical merit, program merit, and cost-value relationship, including cost-sharing or cofunding, by a Technical Evaluation Panel (TEP) consisting of NYSERDA staff and selected outside reviewers. Proposals will be scored according to the following technical criteria listed in order of importance.

Proposed Work - Does the proposed work result in a new and improved product or system, or provide critical information about an innovative product or system? Does the product/system replace an old product/system or address a market need? Is the proposed work unique and/or innovative, well-conceived, and technologically feasible? Is the development or demonstration strategy sound?

New York State Benefits - Does the project result in quantifiable energy savings? Does a significant portion of the proposed activity occur in New York State? Does the proposed work lead to New York State economic growth and/or yield environmental benefits? Does the team include New York State organization(s)? Does a significant portion of the proposed activity occur in New York State?

Statement of Work - Is the Statement of Work comprehensive, realistic, explicit, and consistent with the proposal requirements? Does the Statement of Work outline a well-conceived course of action? Are staff allocations and schedule reasonable?

Resulting Technologies/Products/Evaluations- Do the results advance the present know-how? Are the resulting technologies, products, or design strategies marketable? Is the project outcome implementation strategy, such as commercialization, marketing, technology-transfer, etc. well-conceived and sound? Does the proposal address "sharing of project success" requirements?

Proposer(s) - Do the technical and management/business teams have the relevant and necessary technical and business background and experience, respectively? Does the team show a balance of technical, operations, marketing and administrative expertise? Does the team demonstrate resourcefulness, cooperation and teamwork?

Cost Criteria
Is the overall cost reasonable? Is the cofunding 50% or more for product development projects? Are the proposer's cofunding contributions (cash, in-kind services etc.) justified and reasonable? Are permanent installations being evaluated cofunded?

Other Considerations - Projects will be reviewed to determine if they reflect NYSERDA's overall objectives. The considerations include:

• The balance among NYSERDA projects of long-term and short-term benefits, risk/reward relationships, and similar presently or previously funded projects.
  
  
• The general distribution of NYSERDA projects among diverse commercial, industrial, and other organizations, as well as the distribution of projects within New York State.

III. GENERAL CONDITIONS

Proprietary Information
Careful consideration should be given before confidential information is submitted to NYSERDA as part of your proposal. Please consider if such information is critical for evaluating a proposal, and whether general, non-confidential information, may be adequate for review purposes.

The New York State Freedom of Information Law, Public Officers Law, Article 6, 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 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 procedure described in Public Officers law, Section 89(5).

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 South Pearl Street
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 South Pearl Street
Albany, NY 12245

Limitation
This solicitation does not commit NYSERDA to award a contract. NYSERDA does not pay any costs associated with proposal preparation. 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 the best interest of NYSERDA.

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. NYSERDA will use the attached Sample Agreement to contract successful proposals.

Attachments
Proposal Checklist
Contract Pricing Proposal Form (see item #7)
Sample Agreement

17 Columbia Circle, Albany, NY 12203-6399    Toll-Free: 1-866-NYSERDA or Local: 518-862-1090    Fax: 518-862-1091
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© 2004 New York State Energy Research and Development Authority