FY12 1 SBIR DHS SBIR-2012.1.pdf

THE DEPARTMENT OF HOMELAND SECURITY

SMALL BUSINESS INNOVATION RESEARCH (SBIR) PROGRAM

PHASE I PROGRAM SOLICITATION FY 12.1

For the Science and Technology (S&T) Directorate

Solicitation Number: DHS SBIR-2012.1

KEY DATES:

Pre-solicitation issued: October 25, 2011 Solicitation released: November 16, 2011 Phase I proposals submitted and accepted: November 16, 2011 through January 5, Direct contact with technical points of contact permitted:

October 25, 2011 through November 15, 2011

Last day to submit questions to STSBIR.PROPOSALS@dhs.gov:

December 22, 2011 no later than 3:00 p.m. Eastern Time (ET)

Last date replies posted to the SBIR Program website at https://sbir2.st.dhs.gov:

December 29, 2011

Closing date of Phase I solicitation/deadline for receipt of proposals:

January 5, 2012, 2:00 p.m. ET

IMPORTANT:

• Deadline for Receipt of Phase I Proposals. Proposals must be completely uploaded and submitted via the electronic submission system at https://sbir2.st.dhs.gov and electronically date stamped no later than 2:00 PM ET on January 5, 2012.

• DHS SBIR Proposal Submission System. A new Proposal Submission system was implemented in April 2011. Please allow sufficient time to register your company, and submit your full complete Phase I proposal. Register early and begin the submission process early. Late proposals will not be accepted or evaluated. Proposals received via any other means except the DHS submission website will not be accepted or evaluated. As the close date draws near, heavy traffic on the web server may cause delays. Plan ahead and leave ample time to prepare and submit your proposal. Proposers bear the risk of website inaccessibility due to heavy usage in the final hours before the Solicitation closing time. In accordance with FAR 52.215-1, proposers are responsible for submitting proposals, and any modifications or revisions, so as to reach the Government office designated in the solicitation by the time specified in the Solicitation. FAR Clause 52.215-1, Instruction to Offerors – Competitive Acquisition (JAN 2004) is hereby incorporated into this Solicitation in its entirety. Section 6 of this Solicitation provides registration and submission mailto:STSBIR.PROPOSALS@dhs.gov� https://sbir2.st.dhs.gov/� instructions. Proposers are also advised to review the step-by-step registration and submission instructions provided in the Small Business Innovation Research (SBIR)/Broad Agency Announcement (BAA) Public Portal: Registration and Submissions Training Guide found at https://sbir2.st.dhs.gov, click on “Reference Materials”.

• Option Cost Proposal. If the offeror chooses to include, within the 25 page limit of the Technical Proposal, an option which furthers the effort and will bridge the funding gap between Phase I and the Phase II start, the Phase I Option Cost Proposal must be included as part of the Phase I proposal, if the proposer would like to be considered for interim funding. The Phase I option may be exercised upon the decision to fund the Phase II project. The option should not exceed $50,000 and four

(4) months. Further details are provided in Section 3.5 of this Solicitation.

• Mandatory Briefing Chart. A mandatory one-page briefing chart must be submitted to summarize the project. The Briefing Chart will not be evaluated or used in the evaluation process. It will be used to describe the project if the proposal is recommended for award. It must not contain any proprietary or classified data.

Submission of the Briefing Chart is not counted against the 25-page limit. See Section 6.2(b)(5) for further details. The template for the mandatory Briefing Chart is provided in Section 10.

• Classified Proposals. Classified proposals are not accepted under the DHS SBIR

Program.

• Vendor Questions. Vendors may submit questions to STSBIR.PROPOSALS@dhs.gov no later than 3:00PM ET, December 22, 2011. DHS will post replies no later than December 29, 2011 on the SBIR Program website at https://sbir2.st.dhs.gov.

• No Printed Solicitation Books. Solicitations are available only in electronic format from the FedBizOpps.Gov website, https://www.fbo.gov, in accordance with the Government Paperwork Elimination Act (GPEA). For convenience, the DHS SBIR Program website at https://sbir2.st.dhs.gov will link to the FedBizOpps.Gov website after the Solicitation is posted there.

• About this DHS SBIR FY 12.1 Solicitation. There are six (6) topics in this

Solicitation for which proposals are sought.

• Contract Specialist/Contracting Officer: Jenista M. Featherstone, Jenista.featherstone@dhs.gov

• For administrative purposes only, submissions to this Solicitation will be handled by DHS Support Contractors.

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• Information: If you have questions about the DHS SBIR Program, please submit your questions via email STSBIR.PROGRAM@dhs.gov. If you have questions or problems related to the electronic submission of your proposal, please contact the SBIR Help Desk at dhssbir@reisys.com or call 703-480-7676.

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TABLE OF CONTENTS

Page

1.0 SBIR PROGRAM DESCRIPTION

1.1 SBIR Introduction

1.2 SBIR Three Phase Program

1.3 SBIR Proposer Eligibility and Limitations

1.4 SBIR Research and Analytical Work

1.5 SBIR Conflicts of Interest

1.6 Questions about the SBIR Solicitation Topics and Proposal Submission

1.7 Outreach Conferences and Events

2.0 DEFINITIONS

2.1 Research or Research and Development

2.2 Small Business Concern

2.3 Research Institution

2.4 Socially and Economically Disadvantaged Small Business Concern

2.5 Women-Owned Small Business Concern

2.6 Funding Agreement

2.7 Subcontract

2.8 Commercialization

2.9 Essentially Equivalent Work

2.10 Historically Black Colleges and Universities/Minority Institutions (HBCU/MI)

2.11 Historically Underutilized Business Zone (HUBZone) Small Business Concern

2.12 Service-Disabled Veteran

2.13 Small Business Concern Owned and Controlled by Service-Disabled Veterans

2.14 Small Business Concern Owned and Controlled by Veterans

2.15 United States

2.16 Manufacturing-related R&D as a Result of Executive Order 13329

2.17 Energy Independence and Security Act of 2007

2.18 Foreign National (Foreign Person) means any person who is not:

2.19 Research Involving Human Subjects

2.20 Research Involving Animal Subjects

3.0 PROPOSAL PREPARATION INSTRUCTIONS AND REQUIREMENTS

3.1 Proposal Requirements

3.2 Administrative and Technical Checklist

3.3 Proprietary Information

3.4 Limitations on Length of Proposal

3.5 Phase I Proposal Format

3.6 Page Numbering

3.7 Prior Awards Addendum

3.8 Phase III Awards Resulting from DHS SBIR Awards Addendum

3.9 Phase II Proposal Invitation

3.10 Phase II Proposal Format

3.11 SBIR Phase II Cost Match

3.12 False Statements

4.0 METHOD OF SELECTION AND EVALUATION CRITERIA

4.1 Introduction

4.2 Evaluation Criteria - Phase I

4.3 Evaluation Criteria – Phase II

4.4 Assessing Commercial Potential of Proposals

4.5 DHS SBIR Commercialization Assistance Program

5.0 CONTRACTUAL CONSIDERATIONS

5.1 Phase I Awards

5.2 Phase II Awards

5.3 Phase I Reports

5.4 Commercialization Updates in Phase II

5.5 Payment Schedule

5.6 Release of Proposal Information

5.7 Markings of Proprietary Proposal Information

5.8 Copyrights

5.9 Patents and Invention Reporting

5.10 Technical Data Rights

5.11 Contractor Commitments

5.12 Contractor Registration

5.13 Additional Information

6.0 SUBMISSION OF PROPOSALS

6.1 Registration

6.2 Submissions

6.3 Proposal Deadline

6.4 Notification of Proposal Receipt

6.5 Information on Proposal Status

6.6 Evaluation Results and Debriefing of Unsuccessful Proposers

6.7 Correspondence Relating to Proposals

7.0 SCIENTIFIC AND TECHNICAL INFORMATION ASSISTANCE

7.1 SAFETY Act

7.2 Scientific and Technical Reference

7.3 State and Other Assistance Available

8.0 TECHNICAL TOPICS

8.1 DHS SCIENCE AND TECHNOLOGY (S&T) DIRECTORATE: SBIR TOPICS

8.1.1 SBIR Topic Number: H-SB012.1-001

8.1.2 SBIR Topic Number: H-SB012.1-002

8.1.3 SBIR Topic Number: H-SB012.1-003

8.1.4 SBIR Topic Number: H-SB012.1-004

8.1.5 SBIR Topic Number: H-SB012.1-005

8.1.6 SBIR Topic Number: H-SB012.1-006

9.0 DHS SBIR FY 12.1 PHASE I SBIR CHECKLIST

10.0 TEMPLATE FOR THE MANDATORY BRIEFING CHART

DHS SOLICITATION FOR THE

SMALL BUSINESS INNOVATION RESEARCH (SBIR) PROGRAM

For the Science and Technology (S&T) Directorate

1.0 SBIR PROGRAM DESCRIPTION

1.1 SBIR Introduction

The Department of Homeland Security (DHS) Small Business Innovation Research (SBIR) Program Office, on behalf of the Science & Technology (S&T) Directorate invites small business concerns to submit proposals under this Solicitation for the Small Business Innovation Research (SBIR) Program. Small business concerns with the capability to conduct research or research and development (R/R&D) in any of the homeland security-related topic areas described in Section 8.0, and to commercialize the results of that R/R&D are encouraged to participate.

Objectives of the DHS SBIR Program include stimulating technological innovation, strengthening the role of small business in meeting DHS research/research and development needs, fostering and encouraging participation of socially and economically disadvantaged persons and women-owned small business concerns in technological innovation, and increasing the commercial application of DHS supported research or R&D results.

The Federal SBIR Program is mandated by the Small Business Innovation Development Act of 1982 (Public Law 97-219), the Small Business Research and Development Act of 1992 (Public Law 102-564), and the Small Business Reauthorization Act of 2000 (Public Law 106-554).

Most recently, Public Law 112-36 provided for an additional temporary extension of programs under the Small Business Act and the Small Business Investment Act of 1958, extending authorization of the SBIR Program to November 18, 2011. A new authorization or extension (continuing resolution) is anticipated prior to this end date. The basic design of the DHS SBIR Program is in accordance with the Small Business Administration (SBA) SBIR Policy Directive, 2002. The guidelines presented in this Solicitation incorporate and use the flexibility of the SBA Policy Directive to encourage proposals based on scientific and technical approaches most likely to yield results important to DHS and the private sector.”

1.2 SBIR Three Phase Program

SBIR opportunities, including this DHS FY12.1 SBIR Program Solicitation, are solicited pursuant to the public laws cited above. The purpose of Phase I is to determine, insofar as possible, the scientific, technical, and commercial merit and feasibility of ideas submitted under the SBIR Program. For the S&T SBIR Program, Phase I (base) awards are up to $100,000 in cost and up to a six-month period of performance for the research or research and development.

Proposals must concentrate on that research or research and development (R/R&D) which will significantly contribute to proving the scientific, technical, and commercial feasibility of the proposed effort, the successful completion of which is a prerequisite for further DHS support in Phase II. Several different proposed solutions to a given topic may be funded. The measure of

Phase I success includes evaluations of the extent to which Phase II results would have the potential to yield a product or process of continuing importance to DHS and/or the private sector.

Proposers are encouraged to consider whether the research or research and development they are proposing to DHS also has private sector potential, either for the proposed application or as a base for other applications. DHS encourages proposers to include, within the 25 page limit, an option which furthers the effort and will bridge the funding gap between Phase I and the Phase II start. Phase I options may be exercised upon the decision to fund the Phase II project. The option should not exceed $50,000 and four (4) months. Further details are provided in Section 3.5 of this Solicitation.

Subsequent Phase II awards may be made to small business concerns on the basis of results of their Phase I efforts and the scientific, technical, and commercial merit of the Phase II Proposal.

For the S&T SBIR Program, Phase II awards are up to $750,000 in cost, and up to 24 months in duration. Phase II is the principal research or research and development effort and is expected to produce a well-defined deliverable prototype. A more comprehensive proposal will be required for Phase II. Further details are provided in Section 3.7 of this Solicitation.

SBIR Phase III refers to work that derives from, extends, or logically concludes effort(s) performed under prior SBIR funding agreements. Phase III is typically oriented towards commercialization of SBIR research or technology. SBIR awardees may seek contracts with the private sector or the Federal government (non-SBIR federal government funding sources) to further develop or supply goods or services related to the work performed under a concerns SBIR contract(s).

This Solicitation is for Phase I Proposals only. Only proposals submitted in response to this Solicitation will be considered for Phase I awards. Only proposals submitted in response to topics contained in this Solicitation will be accepted and considered for Phase I award. Proposers who were not awarded a contract in response to a prior SBIR solicitation may update or modify and re-submit the same or modified proposal only if it is responsive to any of the topics listed in Section 8.0 of this Solicitation.

A separate solicitation will not be issued for Phase II of this SBIR FY 12.1 Program Solicitation.

Only those concerns that received Phase I awards are eligible to participate in Phases II and III DHS will select and invite Phase I awardees to submit a Phase II Proposal to continue the research and maintain the momentum of the Phase I R/R&D. DHS uses the invitation process to accomplish an expeditious review leading to a Phase II award. Phase II Proposals shall be submitted online in accordance with Section 6.0 of this Solicitation.

DHS is not obligated to make any awards under either Phases I, II, or III, and all awards are subject to the availability of funds. DHS is not liable for any costs expended by the proposer before award of any contract.

1.3 SBIR Proposer Eligibility and Limitations

Each proposer must qualify as a small business for research or research and development purposes as defined in Section 2.0 of this Solicitation and must certify to this on Cover Sheet A of its Proposal. For both SBIR Phases I and II, the primary employment of the principal investigator must be with the small business concern at the time of the award and during the conduct of the proposed effort. Primary employment means that more than one-half of the principal investigator's time is spent with the small business. Primary employment with a small business concern precludes full-time employment at another organization. For both Phase I and Phase II, all research or research and development work shall be performed by the small business concern and its subcontractors in the United States. Deviations from the requirements in this paragraph must be approved in writing by the Contracting Officer (during contract negotiations).

Joint ventures and limited partnerships are permitted, provided that the entity created qualifies as a small business in accordance with the Small Business Act, 15 USC 631, and the definition included in Section 2.2 of this Solicitation.

1.4 SBIR Research and Analytical Work

a. For Phase I, a minimum of two-thirds of the research and/or analytical work shall be performed by the proposing small business concern. The percentage of work is usually measured by both direct and indirect costs for Phase I.

b. For Phase II, a minimum of one-half of the research and/or analytical work shall be performed by the proposing small business concern, unless otherwise approved in writing by the Contracting Officer. The percentage of work is usually measured by both direct and indirect costs for Phase II.

1.5 SBIR Conflicts of Interest

Awards made to small business concerns owned by or employing current or previous Federal Government employees could create conflicts of interest for those employees and could be in violation of federal law. Such proposers should contact the cognizant Ethics Counselor from the employee’s Government agency for further guidance.

1.6 Questions about the SBIR Solicitation Topics and Proposal Submission

a. Where to Get Help. All general questions about this Solicitation and other program-related areas, as well as proposal preparation, should be submitted via email to STSBIR.PROPOSALS@dhs.gov. Questions about the electronic submission of proposals should be submitted to the Help Desk at 703-480-7676, or via email to dhssbir@reisys.com. The Help Desk may be contacted from 8:30 a.m. to 5:00 p.m. ET.

b. The DHS SBIR Website. The DHS SBIR website at https://sbir2.st.dhs.gov offers electronic access to: SBIR solicitations, frequently asked questions (FAQs), answers to FAQs, abstracts of previously funded SBIR Phase I and Phase II projects, the latest updates on the SBIR Program, and hyperlinks to other useful information. Phase I award information is posted on the website generally four months after the close of the solicitation.

c. Electronic Proposal Submission. DHS uses electronically supported business processes for the SBIR program. All proposers must have access to the Internet and an email address. (Note: If you do not have direct access to the Internet, public access to the Internet is available at most public libraries, local schools or at a Small Business Development Center (SBDC) in your area.) All Phase I and Phase II Proposals shall be submitted via the electronic submission website at https://sbir2.st.dhs.gov. Paper mailto:STSBIR.PROPOSAL@dhs.gov� mailto:sbirhd@sainc.com� https://www.sbir.dhs.gov/� submissions and proposals received by any other means will not be accepted, evaluated or considered for award. The Small Business Innovation Research (SBIR)/Broad Agency Announcement (BAA) Public Portal: Registration and Submissions Training Guide can be found at https://sbir2.st.dhs.gov, click on “Reference Materials.” The Guide provides step-by-step instructions for registering your company and submitting your proposal for the DHS SBIR Program. (Please follow the instructions for submitting an SBIR proposal. Note that the SBIR program does not accept white papers

– these are limited to the BAA process.) Proposers are strongly encouraged to read this guide and follow the instructions for proposal submission.

d. General Questions about the DHS SBIR Program. General questions pertaining to the DHS SBIR Program should be submitted to STSBIR.PROGRAM@dhs.gov or by calling the DHS SBIR Program Director, Ms. Elissa I. Sobolewski, 202-254-6768.

e. Technical Questions about Solicitation Topics. From October 25, 2011 through November 15, 2011, this Solicitation is issued for pre-release on the Federal Business Opportunities (https://www.fbo.gov) website and linked on the DHS SBIR website (https://sbir2.st.dhs.gov) with the names, phone numbers and email addresses of the Technical Point of Contact for each technical topic. During this period, proposers have an opportunity to contact Technical Points of Contact by telephone or by email to ask technical questions about specific technical topics contained in this Solicitation.

Questions should be limited to specific information related to improving the understanding of a particular topic’s requirements. Proposers may not ask for advice or guidance on its solution approach, nor submit additional material to the Technical Points of Contact. If information given in response to a question is deemed necessary for the preparation of proposals, that information will be made available via an updated topic description(s).

No further direct contact between proposers and Technical Points of Contact shall occur from November 16, 2011 through January 5, 2012 for reasons of competitive fairness. However, proposers may submit written questions to STSBIR.PROPOSALS@dhs.gov. Questions must be limited to technical information related to improving the understanding of a particular topic’s requirements. Any other questions, such as those asking for advice or guidance on solution approach, will not receive a response.

If information given in response to a question is deemed necessary for the preparation of proposals, that information will be made available to the public for general viewing on the FedBizOpps.Gov website at https://fbo.gov and on the DHS website at https://sbir2.st.dhs.gov. Responses to the questions received after November 15, 2011 will be posted on FedBizOpps.Gov as an amendment to the Solicitation. Responses to questions received after December 22, 2011 will be posted on the SBIR Program website at https://sbir2.dhs.gov.

f. All proposers are advised to monitor both the FedBizOpps.Gov website at https://www.fbo.gov and the DHS SBIR website at https://sbir2.st.dhs.gov during the solicitation period for questions and answers, and other information relevant to the topic under which they are proposing.

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1.7 Outreach Conferences and Events

The DHS SBIR Program team participates in the National SBIR Conferences and in many regional and state-organized conferences for small business. For information on these events, visit the DHS SBIR Program website at https://sbir2.st.dhs.gov and click on “News and Events,” or refer to the http://www.sbir.gov website for upcoming SBIR outreach events. The DHS Program Office encourages small disadvantaged, women-owned, veteran-owned, service-disabled veteran-owned, and socially and economically disadvantaged small businesses to participate in the conferences and events, as well as in the solicitations.

2.0 DEFINITIONS

The following definitions apply for the purposes of this Solicitation:

2.1 Research or Research and Development

Any activity that is:

a. Basic Research. Scientific study and experimentation to provide fundamental knowledge required for the solution of problems.

b. Exploratory Development. A study, investigation or minor development effort directed toward specific problem areas with a view toward developing and evaluating the feasibility and practicability of proposed solutions.

c. Advanced Development. Proof of design efforts directed toward projects that have moved into the development of hardware for test.

d. Engineering Development. Full-scale engineering development projects for DHS or first responder use but which have not yet received approval for production.

e. Human Research. For the purposes of Human Research Protection, “research” is defined as a systematic investigation including RDT&E, designed to develop generalizable knowledge (32 CFR 219).

2.2 Small Business Concern

A small business concern is one that, on the date of award for both Phase I and Phase II funding agreements, meets all of the following criteria:

a. Is organized for profit, with a place of business located in the United States, which operates primarily within the United States or which makes a significant contribution to the United States economy through payment of taxes or use of American products, materials, or labor;

b. Is in the legal form of an individual proprietorship, partnership, limited liability company, corporation, joint venture, association, trust or cooperative, except that where the form is a joint venture, there can be no more than 49 percent participation by foreign business entities in the joint venture;

c. Is (1) at least 51 percent owned and controlled by one or more individuals who are citizens of the United States or permanent resident aliens in the United States,(2) at http://www.sbir.gov/� least 51% owned and controlled by another business concern that is itself at least 51% owned and controlled by individuals who are citizens of, or permanent resident aliens in the United States; or (3) a joint venture in which each entity to the venture must meet the requirements of either (1) or (2) of this section; and

d. Has, including its affiliates, not more than 500 employees.

Control can be exercised through common ownership, common management, and contractual relationships. The term "affiliates" is defined in greater detail in 13 CFR 121.103. The term "number of employees" is defined in 13 CFR 121.106.

A business concern may be in the form of an individual proprietorship, partnership, limited liability company, corporation, joint venture, association, trust, or cooperative. Further information may be obtained at http://sba.gov/size, or by contacting the Small Business Administration's Government Contracting Area Office or Office of Size Standards.

2.3 Research Institution

A Research Institution is any organization located in the United States that is:

a. A university;

b. A nonprofit institution as defined in section 4(5) of the Stevenson-Wydler Technology Innovation Act of 1980; or

c. A contractor-operated federally funded research and development center (FFRDC), as identified by the National Science Foundation in accordance with the government-wide Federal Acquisition Regulation issued in accordance with section 35(c)(1) of the Office of Federal Procurement Policy Act. (See http://www.nsf.gov/statistics/ffrdc/ for a list of eligible FFRDCs.)

2.4 Socially and Economically Disadvantaged Small Business Concern A socially and economically disadvantaged small business concern is one that is at least 51% owned and controlled by one or more socially and economically disadvantaged individuals, or an Indian tribe, including Alaska Native Corporations (ANCs), a Native Hawaiian Organization (NHO), or a Community Development Corporation (CDC). Control includes both the strategic planning (as that exercised by boards of directors) and the day-to-day management and administration of business operations. See 13 CFR 124.109, 124.110, and 124.111 for special rules pertaining to concerns owned by Indian tribes (including ANCs), NHOs or CDCs, respectively.

2.5 Women-Owned Small Business Concern

A women-owned small business is one that is at least 51 percent owned and controlled by one or more women, or in the case of a publicly owned business, at least 51 percent of the stock of which is owned by women, and who also control and operate it. "Control" in this context means exercising the power to make policy decisions. "Operate" in this context means being actively involved in the day-to-day management of the business.

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2.6 Funding Agreement

Any contract, or grant, or cooperative agreement entered into between any Federal Agency and any small business concern for the performance of experimental, developmental, or research work funded in whole or in part by the Federal Government.

2.7 Subcontract

A subcontract is any agreement, other than one involving an employer-employee relationship, entered into by an awardee of a funding agreement calling for supplies or services for the performance of the original funding agreement. This includes consultants. See Section 3.5.b (9) of this Solicitation.

2.8 Commercialization

Commercialization is the process of developing marketable products or services and delivering products or services for sale (whether by the originating party or by others) to Government or commercial markets.

2.9 Essentially Equivalent Work

This occurs when (1) substantially the same research is proposed for funding in more than one contract proposal or grant application submitted to the same Federal agency; (2) substantially the same research is submitted to two or more different Federal agencies for review and funding consideration; or (3) a specific research objective and the research design for accomplishing an objective are the same or closely related in two or more proposals or awards, regardless of the funding source.

2.10 Historically Black Colleges and Universities/Minority Institutions (HBCU/MI) Listings for the Historically Black Colleges and Universities (HBCU) and Minority Institutions (MI) are available through the Department of Education website, http://www.ed.gov/about/offices/list/ocr/edlite-minorityinst.html.

2.11 Historically Underutilized Business Zone (HUBZone) Small Business Concern HUBZone small business concern means a small business concern that appears on the List of Qualified HUBZone Small Business Concerns maintained by the Small Business Administration.

See http://www.sba.gov/hubzone for more details.

2.12 Service-Disabled Veteran

A veteran with a disability that is service connected as defined in 38 U.S.C. §101(16).

2.13 Small Business Concern Owned and Controlled by Service-Disabled Veterans A small business concern that:

a. not less than 51 percent of which is owned by one or more service-disabled veterans or, in the case of any publicly owned business, not less than 51 percent of the stock of which is owned by one or more service-disabled veterans; and http://www.ed.gov/about/offices/list/ocr/edlite-minorityinst.html� http://www.sba.gov/hubzone�

b. the management and daily business operations of which are controlled by one or more service-disabled veterans or, in the case of a veteran with permanent and severe disability, the spouse or permanent caregiver of such a veteran.

2.14 Small Business Concern Owned and Controlled by Veterans

A small business concern that:

a. not less than 51 percent of which is owned by one or more veterans or, in the case of any publicly owned business, not less than 51 percent of the stock of which is owned by one or more; and

b. the management and daily business operations of which are controlled by one or more veterans.

2.15 United States

"United States" means the fifty states, the territories and possessions of the Federal Government, the Commonwealth of Puerto Rico, the Republic of the Marshall Islands, the Federated States of Micronesia, the Republic of Palau, and the District of Columbia.

2.16 Manufacturing-related R&D as a Result of Executive Order 13329 This Solicitation complies with Executive Order 13329, “Encouraging Innovation in Manufacturing”, issued on February 26, 2004, directing Federal agencies that administer the SBIR program to encourage innovation in manufacturing related research and development consistent with the objectives of each agency and to the extent permitted by law. DHS encourages the submission of proposals that deal with some aspect of innovative manufacturing technology. If a proposal has a connection to manufacturing, for example, (i) manufacturing processes, equipment, and systems; or (ii) manufacturing workforce skills and protection, this should be indicated in the Section 4 of the proposal (Related Work) and a brief explanation of how it is related to manufacturing should be provided.

2.17 Energy Independence and Security Act of 2007

The Energy Independence and Security Act of 2007, section 1203, amended the Small Business Act (15 U.S. C. 638) to encourage innovation in energy efficiency. The Act encourages federal agencies and departments to give high priority to small business concerns that participate in or conduct energy efficiency or renewable energy system research and development projects. If a proposal has a connection to energy efficiency or alternative and renewable energy, this should be indicated in Part 4 of the proposal (Related Work) and a brief explanation of how it is related to energy efficiency or alternative and renewable energy should be provided.

2.18 Foreign National (Foreign Person) means any person who is not:

a. a citizen or national of the United States; or

b. a lawful permanent resident; or

c. a protected individual as defined by 8 U.S.C.1324b(a)(3).

"Lawful permanent resident" is a person having the status of having been lawfully accorded the privilege of residing permanently in the United States as an immigrant in accordance with the immigration laws and such status not having changed.

"Protected individual" is an alien who is lawfully admitted for permanent residence, is granted the status of an alien lawfully admitted for temporary residence under 8 U.S.C.1160(a) or 8 U.S.C.1255a(a)(1), is admitted as a refugee under 8 U.S.C.1157, or is granted asylum under section 8 U.S.C.1158; but does not include (i) an alien who fails to apply for naturalization within six months of the date the alien first becomes eligible (by virtue of period of lawful permanent residence) to apply for naturalization or, if later, within six months after November 6, 1986, and (ii) an alien who has applied on a timely basis, but has not been naturalized as a citizen within two (2) years after the date of the application, unless the alien can establish that the alien is actively pursuing naturalization, except that time consumed in the Service's processing the application shall not be counted toward the 2-year period.

2.19 Research Involving Human Subjects

DHS has adopted Department of Health and Human Services (HHS) policies governing human subjects research, as set forth in 45 C.F.R. Part 46 (Subparts A-D). Subpart A of 45 C.F.R. part 46 is HHS’ codification of the Federal Policy for the Protection of Human Subjects (also known as The Common Rule) which represents the basic foundation for the protection of human subjects in most research conduct or supported by U.S. Federal departments and agencies. All research involving human subjects shall be conducted in accordance with DHS Management Directive Number 026-04.

2.20 Research Involving Animal Subjects

DHS has adopted the principles of the U.S. Department of Agriculture (USDA) implementation of the Animal Welfare Act, the Public Health Service (PHS) implementation of the Health Care extension Act, and the other related federal principles and guidelines as they represent the ethical foundation for the care and use of animals in research. All research involving the care and use of animals in research shall be conducted in accordance with DHS Management Directive Number 026-01.

3.0 PROPOSAL PREPARATION INSTRUCTIONS AND REQUIREMENTS

3.1 Proposal Requirements

A proposal to the Science and Technology Directorate and the Domestic Nuclear Detection Office, as appropriate, under the DHS SBIR Program must provide sufficient information to persuade DHS that the proposed work represents an innovative approach to the investigation of an important scientific or engineering problem and is worthy of support under the stated criteria.

The proposed research or research and development must be responsive to the chosen topic (see Section 4.1 of this Solicitation). Any small business contemplating submitting a proposal for work on any specific topic shall determine that (a) the technical approach has a reasonable chance of meeting the topic objective, (b) this approach is innovative, not routine, with commercial application, and (c) the company has the capability to implement the technical approach, i.e., has or can obtain people and equipment suitable to the task.

Classified proposals are not accepted under the DHS SBIR Program. Classified proposals will not be accepted under this DHS S&T SBIR Solicitation and will be appropriately destroyed upon receipt. In the event that classified work will be undertaken in Phase II, companies invited to submit a proposal must have or be able to obtain the proper facility and personnel clearances in order to perform Phase II work.

Proposers must be registered in the DHS SBIR Proposal Submission system at https://sbir2.st.dhs.gov in order to prepare and submit proposals (see Section 6.0).

3.2 Administrative and Technical Checklist

Proposers responding to this Solicitation should note the administrative and technical preparation tips listed below.

a. Read and follow all instructions contained in this Solicitation.

b. IMPORTANT: Please refer to the “Registrations and Submissions Training Guide” at https://sbir2.st.dhs.gov and click on “Reference Materials” for step-by-step instructions for registering your company and submitting your proposal.

c. IMPORTANT: Before submitting a proposal for the first time, your company must first be registered in the system. It is recommended that the Business Official, or an authorized representative designated by the Business Official, be the first person to register your company. Your company’s Taxpayer Identification Number (TIN) is required during registration. (If your company does not have a TIN, you can generate a unique ID by following the prompts provided in the system.) After your company is registered, new users must register by associating their information with the company’s existing record. You will need to know your company’s TIN, the state where your company is registered as a taxpayer, and the Company PIN (Personal Identification Number) that was established at the time the company was registered in the system.

When registration is complete, users can begin the proposal submission process.

d. Submit your proposal electronically via the website (https://sbir2.st.dhs.gov) and prepare your SBIR Proposal as instructed on the website. A complete full Proposal consists of Cover Sheet A, Cover Sheet B, the Cost Proposal, the Technical Proposal, and mandatory Briefing Chart (template provided in Section 10). (For Phase II Proposals, a Company Commercialization Report is also required if the proposer has received prior SBIR Phase II funding.) Cover Sheets A and B, as well as the Cost Proposal, are fillable forms in the system and completed online. The Cover Sheet consists of two different forms – Cover Sheet A and B – which must be completed. The Cost Proposal page has seven different sections/tabs that must be completed (tabs are labeled as follows: Section A, Section B, Section C, Section D, Section E, Section F, and Summary). The Technical Proposal must be uploaded in PDF format from a computer via the Internet utilizing a secure communications protocol. The Technical Proposal must not exceed 10 MB. mandatory Briefing Chart (PDF format, not to exceed 2MB) must be uploaded to the system. The Briefing Chart must not contain proprietary data. IMPORTANT – Completing the Cover Sheets, Cost Proposal, and uploading the Technical Proposal and mandatory Briefing Chart is not sufficient. You must submit your proposal within the electronic submission system by first clicking the Submit Proposal link. Once the “Submit Proposal” confirmation page is displayed, https://sbir2.st.dhs.gov/� review it to ensure all forms have been completed. It is recommended that you print this page for your records. Finally, you must click the “Submit Proposal” button to submit your proposal. The system will automatically send a Submission Confirmation email to the email address of the user submitting the Proposal, and the email addresses of the PI and the POC specified on Cover Sheet B. If you do not receive an email, contact the Help Desk as instructed in Section 1.6 of this Solicitation.

e. The Technical Proposal adheres to the topic description requirements and the Cost Proposal adheres to the funding thresholds specified in this Solicitation. Both the Technical Proposal and the Cost Proposal adhere to the requirements of this Solicitation.

f. The Technical Abstract entered in Cover Sheet B, limited to 250 words, contains NO proprietary information. The Technical Abstract must summarize the implications of the approach and the anticipated results of both Phase I and Phase II, including an assessment of technology readiness levels (TRLs) at the beginning and end of the resultant Phase I contract. In the event of an award, this Technical Abstract will be published/posted at https://sbir2.st.dhs.gov.

g. Mark proprietary information within the Technical Proposal as instructed in Section 5.6 of this Solicitation.

h. The content in the Technical Proposal must include all of the items in Section 3.5(b) of this Solicitation in the order specified. The Phase I option is addressed, if applicable.

i. The header on each page of your Technical Proposal must contain your company name, topic number, and proposal number. (The header may be included in the one-inch margins.)

j. Limit your proposal to the page limitations established for Phase I and/or Phase II proposals.

k. Use a type size no smaller than a 12-point font on standard 8 1/2 " X 11" paper with one (1) inch margins.

l. The Technical Proposal must not be in two-column or more format. The Technical Proposal must be submitted in Portable Document Format (PDF) format. Do not upload security/password protected files. The proposer is responsible for performing a virus check on each submitted technical proposal. As a standard part of entering the proposal into the processing system, DHS will scan each electronic technical proposal for viruses. The detection, by DHS, of a virus on any electronically submitted technical proposal, may cause rejection of the proposal.

3.3 Proprietary Information

If information is provided that the proposer believes constitutes a trade secret, proprietary commercial or financial information, or personal information or data, it will be treated in confidence to the extent permitted by law, provided that it is clearly marked in accordance with Section 5.6 of this Solicitation. The mandatory Briefing Chart must not contain proprietary data.

3.4 Limitations on Length of Proposal

This Solicitation is designed to reduce the investment of time and cost to small business concerns in preparing a formal proposal. Those who wish to respond must submit a direct, concise, and informative research or research and development proposal of no more than the page limitations established for Phase I and/or Phase II Proposals, including proposal cover sheets and cost proposal. Promotional and non-project related discussion is discouraged and will not be evaluated if submitted. The space allocated to each section will depend on the problem chosen and the principal investigator's approach. In the interest of fairness, pages in excess of the Phase I, 25-page limitation (and Phase II, 50-page limitation) (including attachments, appendices, or references) will not be considered for review or award.

3.5 Phase I Proposal Format

The Phase I Proposal length is limited to 25 pages.

a. Proposal Cover Sheets. Prepare the Proposal Cover Sheets (A and B) (as provided on the electronic submission website https://sbir2.st.dhs.gov), including a brief technical abstract of the proposed R&D project and a discussion of anticipated benefits and potential commercial applications. Cover Sheet A will count as one page towards the 25 page limit of your proposal no matter how it prints out. Cover Sheet B counts as one page towards the 25 page limit no matter how it prints out. The Cost Proposal counts as one page towards the 25 page limit no matter how it prints out. The Technical Proposal is not to exceed 22 pages, including the table of contents and all graphics. The mandatory one-page Briefing Chart is not included in the 25 page limit and must not contain proprietary data. If your proposal is selected for award, the technical abstract (limited to 250 words) will be publicly released/posted on the DHS SBIR website and the Small Business Administration’s TechNet website; therefore, do not include proprietary or classified information in the Technical Abstract section of Cover Sheet B.

b. Technical Proposal. Create a single file that covers the following items in the order given below. Begin your Technical Proposal on Page 3 (since the Cover Sheets are pages 1 and 2) and put your company name, topic number, and proposal number in the header of each page. (The header may be included in the one-inch margins.) The Technical Proposal must not be longer than 22 pages, since the Cover Sheets count as two pages and the Cost Proposal counts as one page (no matter how they print out). The Technical Proposal file must be in Portable Document Format (PDF) for evaluation purposes. Perform a virus check before uploading the Technical Proposal file. If a virus is detected, it may cause rejection of the proposal. The Technical Proposal must be a single file, including graphics and table of contents (if included). Do not lock, password protect, or encrypt the file you upload.

(1) Identification and Significance of the Problem or Opportunity. Succinctly define the specific technical problem or opportunity addressed; the proposed innovation; the relevance and significance of the proposed innovation to a need(s) within the topic description; the proposed innovation relative to the state of the art; and the importance of the work proposed.

(2) Phase I Technical Objectives. State the specific objectives of the Phase I R/R&D effort including the technical questions that must be answered to determine the feasibility of the proposed innovation/approach.

(3) Phase I Work Plan. Provide an explicit, detailed description of the Phase I approach. The Plan must indicate what is planned, how, when, and where the work will be carried out, a schedule of major events, the final product to be delivered, and the completion date of the effort. The Phase I effort must determine the technical feasibility of the proposed concept. The methods planned to achieve each objective or task must be discussed explicitly and in detail. Task descriptions, schedules, resource allocations, estimated task hours for each key personnel and planned accomplishments, including project milestones, must be included. This section must be a substantial portion of the total proposal.

(4) Related Work. Describe significant (current and/or previous) activities directly related to the proposed effort, including any conducted by the principal investigator, the proposing small business, consultants, or others. Describe how these activities interface with the proposed project and discuss 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. Describe previous work not directly related to the proposed effort but similar. Provide the following: (a) short description, (b) client for which work was performed (including individual to be contacted and phone number), and (c) date of completion.

(5) Relationship with Future Research or Research and Development.

(a) State the anticipated results of the proposed approach, assuming project success through Phase I and Phase II.

(b) Discuss the significance of the Phase I effort in providing a foundation for Phase II research or research and development effort, application and commercialization efforts (Phase III).

(6) Commercialization Strategy. Describe, in approximately two (2) pages, your company's strategy for commercializing this technology in DHS, other Federal Agencies, and/or private sector markets. Provide specific information on the market need the technology will address and the size of the market. Also, include a schedule showing the quantitative commercialization results from this SBIR project that your company expects to achieve and when (i.e., amount of additional investment, sales revenue, etc.).

(7) Key Personnel. Identify key personnel who will be involved in the Phase I effort including information on directly related education and experience. A concise resume of the principal investigator, including a list of relevant publications (if any), must be included (please do not include Privacy Act Information in the resume). All resumes will count toward the 25-page limitation. Identify any non- U.S. citizen(s) that you expect to be involved on this project (including direct employees, subcontractors and consultants), their country of origin, type of visa or work permit under which they are performing, and an explanation of their anticipated level of involvement on this project. Please do not include Privacy Act Information. You may be asked to provide additional information during negotiations in order to verify the non-U.S. citizen’s eligibility to participate on an SBIR contract. Supplemental information provided in response to this paragraph will be protected in accordance with Privacy Act (5 U.S.C. 552(a), if applicable, and the Freedom of Information Act (5 U.S.C. 552(b)(6)).

(8) Facilities/Equipment. Provide sufficient information to allow the evaluators to assess the ability of the proposer to carry out the proposed Phase I and projected Phase II and Phase III activities. Describe available instrumentation and physical facilities necessary to carry out the Phase I effort. Items of equipment to be purchased (as detailed in the Cost Proposal) must be justified under this section.

Also state whether or not the facilities where the proposed work will be performed meet environmental laws and regulations of federal, state (name), and local governments for, but not limited to, the following groupings: airborne emissions, waterborne effluents, external radiation levels, outdoor noise, solid and bulk waste disposal practices, and handling and storage of toxic and hazardous materials.

Note: Government wide SBIR policies restrict the use of any SBIR funds for the use of Government equipment and facilities. This does not preclude a small business from utilizing a Government facility or Government equipment, but any charges for such use may not be paid for with SBIR funds (Small Business Administration (SBA) Policy Directive, Section 9(f)(3)). DHS may not and cannot fund the use of the Federal facility or personnel for the SBIR project with non-SBIR funds. In rare and unique circumstances, SBA may issue a waiver to this provision after review of an agency’s written justification. DHS cannot guarantee that a waiver from this policy can be obtained from SBA. The following information is required for consideration of a waiver:

(a) An explanation of why the SBIR research project requires the use of the Federal facility or personnel,…