24.1 SBIR Pre-Solicitation 11082023 publish updated 1205.pdf

U.S. Department of Homeland Security (DHS) Small Business Innovation Research

(SBIR) Program

THIS IS A PRE-SOLICITATION

DHS IS NOT SEEKING PROPOSALS AT THIS TIME

Due Date: See Section 3.8

Issued By:

DHS Office of Procurement Operations on behalf of:

The DHS Small Business Innovation Research (SBIR) Program

U.S. DEPARTMENT OF HOMELAND SECURITY (DHS) SMALL BUSINESS INNOVATION RESEARCH

(SBIR) PROGRAM

1.0 PROGRAM DESCRIPTION

1.1 SUMMARY

1.2 DHS SBIR PROGRAM, PURPOSE AND OBJECTIVES

1.3 THREE PHASE PROGRAM

1.4 KEY DATES AND EVENTS

1.5 ELIGIBILITY

1.6 SBIR OFFICE CONTACTS

1.7 DEFINITIONS

1.8 FRAUD, WASTE AND ABUSE

2.0 REGISTRATION, CERTIFICATIONS, DATA COLLECTION, DISCLOSURE

2.1 MANDATORY REGISTRATIONS

2.2 REQUIRED CERTIFICATIONS

2.3 DATA COLLECTION REQUIREMENT

2.4 DISCLOSURE

3.0 PROPOSAL PREPARATION INSTRUCTIONS AND REQUIREMENTS

3.1 PROPOSAL PREPARATION AND LENGTH OF PROPOSAL

3.2 PROPOSAL COVER SHEET, TECHNICAL ABSTRACT, PROJECT AIMS, AND SUMMARY OF

RESULTS

3.3 PROJECT PLAN

3.4 TECHNICAL PROPOSAL FORMAT AND CONTENT

3.5 COST PROPOSAL

3.6 BRIEFING CHART

3.7 COMMERCIALIZATION REPORT

3.8 DHS PHASE II TRANSITION RATE BENCHMARK ............................. ERROR! BOOKMARK NOT DEFINED.

3.9 QUESTIONS

4.0 METHOD OF SELECTION AND EVALUATION CRITERIA

4.1 EVALUATION CRITERIA AND FACTORS

4.2 PROPOSAL REVIEW FEEDBACK

4.3 CONTRACTOR SUPPORT SERVICES IN SUPPORT OF THE SELECTION PROCESS

5.0 CONSIDERATIONS

5.1 AWARDS

5.2 REPORTS AND DELIVERABLES

5.3 INVOICE INSTRUCTIONS

5.4 INNOVATIONS, INVENTIONS AND PATENTS

5.5 COST‐SHARING

5.6 PROFIT OR FEE

5.7 JOINT VENTURES OR LIMITED PARTNERSHIPS

5.8 RESEARCH AND ANALYTICAL WORK

5.9 AWARDEE COMMITMENTS AND SUMMARY STATEMENTS

5.10 RELEASE OF PROPOSAL INFORMATION

5.11 DISCRETIONARY TECHNICAL AND BUSINESS ASSISTANCE (TABA)

5.12 COMMERCIALIZATION ASSISTANCE MARKETPLACE

5.13 CLASSIFIED PROPOSALS

5.14 ANIMAL AND/OR HUMAN SUBJECTS

5.15 EXPORT CONTROL

5.16 DHS SBIR PHASE II ENHANCEMENT PROGRAMS

5.17 ADDITIONAL INFORMATION

6.0 SUBMISSION OF PROPOSALS

7.0 RESEARCH TOPICS

APPENDIX A – RESEARCH TOPIC DESCRIPTIONS ................................................................................... A-1

APPENDIX B – DEFINITIONS ......................................................................................................................... B-1

ATTACHMENT 1: SBIR FUNDING CERTIFICATION – TIME OF AWARD .............................................. 1-1

ATTACHMENT 2: SBIR FUNDING CERTIFICATION – LIFE CYCLE CERTIFICATION ........................ 2-1

ATTACHMENT 3: REQUIRED DISCLOSURES OF FOREIGN AFFILIATIONS OR RELATIONSHIPS TO

FOREIGN COUNTRIES .................................................................................................................................... 3-1

ATTACHMENT 4: BRIEFING CHART TEMPLATE ..................................................................................... 4-1

ATTACHMENT 5: CWMD NON-DISCLOSURE AGREEMENT ................................................................... 5-1

ATTACHMENT 6: PRE-SOLICITATION PROVISIONS AND CONTRACT CLAUSES .............................. 6-1

Small Business Innovation Research (SBIR) Program Pre-Solicitation

1.0 PROGRAM DESCRIPTION

1.1 Summary

The Department of Homeland Security (DHS) Small Business Innovation Research (SBIR) Program invites small business concerns (SBCs) to review this Pre-Solicitation for awareness of the upcoming 24.1 DHS SBIR Solicitation.

The DHS SBIR Program Office encourages all small business concerns, including small disadvantaged, women‐owned, veteran‐owned, service‐disabled veteran‐owned, and socially and economically disadvantaged small business concerns, with the capability to conduct research and development for homeland security‐related topic areas described in Appendix A, and to commercialize the results of that R/R&D, to submit proposals in response to topics described in the

24.1 Solicitation.

IMPORTANT:

• Please read this Pre-Solicitation carefully. This Pre-Solicitation is being provided for planning purposes, to allow SBCs to become familiar with the requirements for the upcoming 24.1 Solicitation. Failure to comply with the requirements in the 24.1 Solicitation will likely result negatively in the proposal evaluation or elimination from consideration for award. The final 24.1 Solicitation may differ from the Pre-Solicitation.

• This Pre-Solicitation contains topics for the DHS SBIR Program. Section 7.0 outlines the Six (6) research topics. Unsolicited proposals will not be accepted.

• Prior to proposal submission, Offerors must register with SAM.gov and the Small Business Administration (SBA) Company Registration Database. See Section 2.1.

o Note: Completion of SAM.gov registration can be a lengthy process (up to several weeks). It is recommended to initiate this as soon as possible.

• Offerors that are majority‐owned by multiple venture capital operating companies, hedge funds or private equity firms are NOT ELIGIBLE to submit proposals in response to the 24.1 Solicitation.

See Section 1.5.

• Per the SBA SBIR Policy Directive, dated May 3, 2023 (hereafter referred to as “the Policy Directive”) to be eligible for a Phase I award, Offerors must meet or exceed the Phase II Transition Rate Benchmark. See Section 3.7, DHS Phase II Transition Rate Benchmark.

1.2 DHS SBIR Program, Purpose and Objectives

The statutory purpose of the SBIR Program is to strengthen the role of innovative small business concerns in Federally funded R/R&D. Program objectives are as follows:

(1) stimulate technological innovation;

(2) strengthen the role of small business concerns in meeting Federal R/R&D needs;

(3) foster and encourage participation by socially and economically disadvantaged small businesses (SDBs) and by women‐owned small businesses (WOSBs); and

(4) increase private sector commercialization of innovations developed through Federal R/R&D, thereby increasing competition, productivity, and economic growth.

The federal SBIR Program is mandated by the Small Business Research and Development Act of 1982 (Public Law 97‐219), the Small Business Research and Development Act of 1992 (Public Law 102‐564), and the SBIR and STTR Extension Act of 2022 (Public Law 117‐183).

The DHS SBIR Program follows the policies and practices of the Policy Directive. This Solicitation incorporates and uses the flexibility of the Policy Directive to encourage innovative proposals in response to the research topics listed in Appendix A.

1.3 Three Phase Program

The SBIR Program is a three-phase program. The objective of Phase I is to determine the scientific, technical, and commercial merit, feasibility of the proposed effort, and the Offeror’s quality of performance, with a relatively small agency investment prior to providing further Federal support in Phase II. Phase I proposals should concentrate on R/R&D which will significantly contribute to proving the scientific and technical feasibility, and commercialization potential of the proposed effort. The successful completion of Phase I is a prerequisite for further DHS support in Phase II. Offerors are encouraged to consider whether the R/R&D being proposed also has private sector potential, either for the proposed application or as a base for other applications.

The objective of Phase II is to continue the R/R&D effort from the completed Phase I. Phase II efforts further develop work from Phase I that meets program needs and exhibits potential for commercial application. Phase II is the principal R&D effort and is expected to produce a well‐ defined deliverable prototype. Phase II awards may be made to Offerors based on the results of their Phase I projects, and the scientific merit, technical merit, and commercialization potential of the Phase II proposal.

In accordance with the SBIR and STTR Extension Act of 2022 (Public Law 117‐183) all small businesses awarded a Phase I contract originating from the 24.1 Solicitation are eligible to submit a Phase II proposal. A Contracting Officer will notify Phase I awardees with Phase II proposal submission requirements and deadlines.

SBIR Phase III refers to work that derives from, extends, or completes an effort made under prior SBIR funding agreements, but is funded by sources other than the SBIR Program. Phase III work is typically oriented towards commercialization of SBIR research or technology. Under Phase III, the SBIR awardee is expected to seek contracts and obtain funding from the private sector and/or the Federal government (non‐SBIR federal government sources) to develop the prototype or supply goods or services related to the work performed under the SBIR contract(s) into a viable product or non‐R&D service for sale in DHS and/or private sector markets.

A Phase III award, by its nature, is an SBIR award, has SBIR status, and must be accorded SBIR data rights. Phase III proposals can only be submitted by, and made to, a Phase I and/or Phase II awardee or successor in interest. The competition for SBIR Phase I and Phase II awards satisfies any competition requirement of the Armed Services Procurement Act, the Federal Property and Administrative Services Act, and the Competition in Contracting Act. Therefore, an agency that wishes to fund an SBIR Phase III project is not required to conduct another competition in order to satisfy those statutory provisions.

1.4 Key Dates and Events

The following chart shows the projected important events and corresponding dates of the 24.1 DHS SBIR Solicitation:

KEY DATES*

EVENT DATE*

Pre‐Solicitation issued: November 08, 2023 Direct questions to Topic POC permitted: November 08, 2023 – December 14, 2023 Solicitation released: December 18, 2023 Phase I proposals submission: December 18, 2023 – January 18, 2024 Questions for public response: January 2, 2024,1:00 pm, ET Q&A Posted on SAM.gov January 10, 2024 Deadline for receipt of proposals: January 18, 2024, 1:00 pm, ET Phase I Begins:

~ Early May 2024 Phase II Proposals Due: ~ October 2024

Phase II Begins: ~ March 2025 *The dates in the table above are approximate dates and are subject to change without notice.

1.5 Eligibility

Not eligible - Offerors that are majority‐owned by multiple venture capital operating companies, hedge funds or private equity firms are not eligible to submit proposals in response to the 24.1 Solicitation nor are they eligible to receive a DHS SBIR award. Offerors must register with the SBA Company Registration Database prior to submission of proposal. See Section 2.1.

To receive SBIR funds, each awardee of a Phase I or Phase II award must qualify as an SBC, at the time of award and at any other time set forth in SBA’s regulations, as defined in 13 CFR 121.701 through 121.705.

For both Phase I and Phase II, the primary employment of the principal investigator must be with the Offeror at the time of the award and during contract performance. Primary employment means that more than one‐half of the principal investigator’s time is spent in the employ of the Offeror.

This precludes full‐time employment with another organization.

For both Phase I and Phase II, all research or research and development must be performed by the Offeror and its subcontractors in the United States in accordance with Section 5.8 Research and Analytical Work.

1.6 SBIR Office Contacts

For general questions about the DHS SBIR Program, please contact STSBIR.PROGRAM@hq.dhs.gov.

1.7 Definitions

Definitions provided in the Policy Directive and the Federal Acquisition Regulation (FAR) apply for the purposes of this Pre-Solicitation. Terms that are unique to the SBIR Program, this specific mailto:STSBIR.PROGRAM@hq.dhs.gov.

Pre-Solicitation, or may be unfamiliar to Offerors, are defined in Appendix B.

1.8 Fraud, Waste and Abuse

DHS and the SBIR Program Office are taking proactive measures to reduce the vulnerability of the SBIR Program to fraud, waste, and abuse.

Offerors must review the training video prior to submission of proposals. The training can be found at https://youtu.be/0hfCQDq10Qk.

To report SBIR fraud, please contact the DHS SBIR Program Office or the DHS Office of the Inspector General (OIG):

DHS Office of Inspector General/MAIL STOP 0305 Attn: Office of Investigations - Hotline 245 Murray Lane SW Washington, DC 20528-0305

Online: Allegation Form: https://hotline.oig.dhs.gov/#step-1

Call: 1-800-323-8603 toll free

TTY: 1-844-889-4357 toll free

To reach someone within DHS SBIR Program Office about fraud, waste and abuse, please contact DHS S&T SBIR Program PM at STSBIR.PROGRAM@hq.dhs.gov.

2.0 REGISTRATION, CERTIFICATIONS, DATA COLLECTION, DISCLOSURE

2.1 Mandatory Registrations

In order to prepare and submit SBIR proposals to DHS under the 24.1 Solicitation, Offerors should register in the DHS SBIR Portal at https://sbir.dhs.gov/sbir/public.

Proposing firms must register in the System for Award Management (SAM). SAM is the official U.S. Government system that consolidated the capabilities of the Central Contractor Registration (CCR)/Federal Register, Online Representations and Certifications Application (ORCA), and the Excluded Parties List System (EPLS) databases. To register in SAM and/or update company’s records, visit https://www.sam.gov/SAM/. Registration in SAM will generate the Unique Entity ID (UEI) number and the Commercial and Government Entry (CAGE) code. The UEI is required for registration in the U.S. Small Business Administration’s (SBA) Company Registry Database at http://sbir.gov/registration. The CAGE code will be assigned by DLA during the registration process in SAM.gov. For more information about the Commercial and Government Entry (CAGE) code, please visit www.fsd.gov.

Prior to submitting the complete proposal to DHS, each Offeror must:

1. Register with SAM.gov and obtain a UEI and a CAGE code;

2. Affirm registration in the SBA Company Registry;

3. Input the company’s SBC Control ID number in the Company Data section of the DHS SBIR

Cover Sheet;

4. Upload a copy of the SBA Company Registration, updated within the previous 6 months, as https://youtu.be/0hfCQDq10Qk https://hotline.oig.dhs.gov/ https://hotline.oig.dhs.gov/#step-1 mailto:STSBIR.PROGRAM@hq.dhs.gov https://www.sam.gov/SAM/ http://sbir.gov/registration http://www.fsd.gov/ part of the proposal submission. Failure to include this form will result in your proposal being deemed NON-RESPONSIVE and not evaluated (see Section 3.1).

2.2 Required Certifications

At the time of proposal submission, each Offeror must certify via the Cover Sheet of the proposal that it meets the size, ownership, and other requirements of the SBIR Program. In addition, the Policy Directive includes certifications requirements set forth in the SBIR and STTR Extension Act of 2022 (Public Law 117‐183). The certifications require Offerors to certify that they are meeting the Program’s requirements at award and during the life cycle of the funding agreement.

The DHS SBIR Programs will implement the certifications as follows:

1. SBIR Funding Agreement Certification – Time of Award (Attachment 1) – If selected for award, this certification will be provided by the Contracting Officer to the Offeror for completion prior to issuing the Phase I and Phase II award.

2. SBIR Funding Agreement Certification – Life Cycle Certification (Attachment 2) ‐ The Life Cycle Certification will be included in resultant Phase I and Phase II contracts and is considered a deliverable.

2.3 Data Collection Requirement

Each Phase I and Phase II applicant is required to either enter information into SBA’s database at www.SBIR.gov or to update previously entered information. Companies should login to www.SBIR.gov using the account created when registering for the SBA company registry database. The following are examples of data to be entered into the database:

• Any business concern or subsidiary established for the commercial application of a product or service for which an SBIR award is made.

• Revenue from the sale of new products or services resulting from the research conducted under each Phase II award.

• Additional investment from any source, other than Phase I or Phase II awards, to further the research and development conducted under each Phase II award.

The Offeror may apportion sales or additional investment information relating to more than one Phase II award among those awards if it notes the apportionment for each award.

In addition, each Phase II awardee is required to update the appropriate information on the award in the database upon completion of the last deliverable under the funding agreement and is requested to voluntarily update the information in the database annually thereafter for a minimum period of 5 years.

2.4 DISCLOSURE

All SBIR and STTR applicants must disclose their foreign relationships as required by Section 4(c) of the SBIR and STTR Extension Act of 2022 (P.L. 117-183). Each Offeror submitting a proposal or application for a federally funded award must disclose information regarding ties to the People’s Republic of China and other foreign countries of concern. Details on the requirements of the act can be found at https://www.congress.gov/bill/117th-congress/senate-bill/4900/text.

http://www.sbir.gov/ https://gcc02.safelinks.protection.outlook.com/?url=https%3A%2F%2Fwww.congress.gov%2Fbill%2F117th-congress%2Fsenate-bill%2F4900%2Ftext&data=05%7C01%7C%7C041aeb631fb949f6d72308dac73a500f%7Ced5b36e701ee4ebc867ee03cfa0d4697%7C0%7C0%7C638041350646314367%7CUnknown%7CTWFpbGZsb3d8eyJWIjoiMC4wLjAwMDAiLCJQIjoiV2luMzIiLCJBTiI6Ik1haWwiLCJXVCI6Mn0%3D%7C2000%7C%7C%7C&sdata=5csq5F35BWAJvlngiL%2B3wC%2BktC09kbs7uJZpnV1jZIc%3D&reserved=0

Prior to submitting the complete proposal to DHS, each Offeror must upload a completed copy of Disclosure of Foreign Relationships (Attachment 3) as part of the proposal submission. Failure to include this form will result in your proposal being deemed NON-RESPONSIVE and not evaluated (see Section 3.1).

3.0 PROPOSAL PREPARATION INSTRUCTIONS AND REQUIREMENTS

3.1 Proposal Preparation and Length of Proposal

Offerors responding to the 24.1 Solicitation must submit a direct, concise, and informative research or research and development proposal. Each complete proposal must be submitted via the DHS SBIR Portal at https://sbir.dhs.gov/sbir/public.

The Offeror will need to submit all the mandatory proposal sections. Some sections will be generated by the proposal submission portal and some will require a PDF upload. Some sections which require PDF upload have a page limit.

The table below describes each mandatory section and, when applicable, page limitations.

Proposals submitted which do not contain all mandatory sections and/or exceed page limitations as described in the table below, will be deemed NON-RESPONSIVE and will not be evaluated. All pages, including attachments and appendices will be counted toward the limitations. It is the responsibility of the Offeror to ensure that once the proposal is submitted and uploaded into the system, it complies with the page limits. Only information included in the proposal submission will be considered for evaluation purposes; no referenced materials will be considered.

Mandatory Proposal Requirements Phase I Phase II

System Generated

Cover Sheet As generated by system

Cost Proposal As generated by system

Project Plan As generated by system Foreign Access Management

Screening, Form 11055 As generated by system – if applicable

PDF

Uploads

Technical Proposal Limited to 15 pages Limited to 40 pages Briefing Chart1 Limited to 1 page Limited to 1 page

SBA Company Registration Limited to 1 page Limited to 1 page Disclosure of Foreign Relationships2 No Page Limit No Page Limit

Commercialization Report N/A No page limit – if applicable

Non-disclosure Agreement3 Topic DHS241-006 ONLY The NDA from Phase I applies to Phase II

The Cover Sheet, Cost Proposal, Project Plan and Foreign Access Management Screening (Form 11055) are completed electronically via the DHS SBIR online proposal submissions system, which will determine the page number and format. The Technical Proposal, Briefing Chart, SBA Company Registration, Disclosure of Foreign Relationships, NDA and the Commercialization Report, if applicable, are uploaded as PDF documents and the Offeror is responsible for ensuring compliance with the solicitation instructions.

1 Briefing Chart Template is Attachment 4 in the Solicitation.

2 Required Disclosures of Foreign Affiliations or Relationships to Foreign Countries is Attachment 3 in the solicitation.

https://sbir.dhs.gov/sbir/public

3.2 Proposal Cover Sheet, Technical Abstract, Project Aims, and Summary of Results It is a requirement for the Offeror to provide basic details about the proposed effort on the proposal Cover Sheet. Additionally, the Cover Sheet includes the following fillable sections: Technical Abstract, Project Aims, and Summary of Results.

The Technical Abstract is limited to 250 words. The abstract must identify the purpose of the work and briefly describe the work to be carried out, the finding or results, and the potential commercial applications of the effort. If the Offeror’s proposal is selected for award, the Technical Abstract section will be publicly posted on the DHS SBIR website and on the SBA’s website; therefore, do not include proprietary or sensitive information in the Technical Abstract section of the Cover Sheet.

The Project Aims section is limited to 500 words. The Offeror should state the specific objectives of the research and development effort, define the proposed product, process or service to ultimately be developed. This section is intended for internal Government use and it will not be released.

For Phase I proposals only, the Offeror should state the specific objectives of the Phase I R/R&D effort, including the technical questions the Offeror will answer to determine the Phase I feasibility of the proposed approach and the impact that the results of the proposed research will exert on the research field(s) involved. The Offeror should state concisely and realistically what the proposed research is intended to accomplish in terms of its potential for technological innovation and commercial application. The proposed product, process or service that will ultimately be developed must be defined. Milestones for each of the aims should be included, as these will be used in the evaluation process.

For Phase II proposals only, the Offeror should state the specific objectives of the Phase II research and development effort including the impact that the results of the proposed research will exert on the research field(s). The Offeror should state concisely and realistically what the proposed research is intended to accomplish in terms of its potential for technological innovation and commercial application. The proposed product, process or service that will ultimately be developed must be defined. Milestones for each of the aims should be included, as these will be used in the evaluation process.

The Summary of Results section is limited to 500 words, must not contain proprietary information, and is for Government use only. The Offeror should provide the anticipated results and implications of the approach (both Phases I and II) and the potential commercial applications of the research.

3.3 Project Plan

Summarize the Phase I approach indicating the proposed tasks and a brief description of each task.

Tasks are activities required to produce the project’s deliverables (including data) and reach the milestones.

3.4 Technical Proposal Format and Content

Prepare the Technical Proposal in single column format, 12‐point Times New Roman, with 1” margins on 8 ½” x 11” paper. Company name, topic number, and proposal number must be included in the header of each page. (The header may be included in the 1” margin.) The use of 10‐ point font is permissible for imbedded tables, figures, and graphics. See Section 3.1 for page limitations for Phase I and Phase II proposals.

The Technical Proposal must be a single file, including tables, figures, graphics, and table of contents (if included). Do not lock, password protect, or encrypt the file to be uploaded.

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 include the following sections in the order provided:

PROPOSAL FORMAT

PHASE I PROPOSAL PHASE II PROPOSAL

I. Identification and Significance of the Problem or Opportunity

I. Identification and Significance of the Problem or Opportunity

II. Phase I Technical Objectives II. Phase I Technical Objectives and Results III. Phase I Work Plan III. Phase II Work Plan IV. Related R/R&D IV. Related R/R&D

V. Key Personnel and Bibliography of Directly Related Work

V. Key Personnel and Bibliography of Directly Related Work

VI. Relationship with Future R/R&D VI. Relationship with Future R/R&D VII. Commercialization Strategy VII. Commercialization Plan VIII. Facilities/Equipment VIII. Facilities/Equipment IX. Subcontractors/Consultants IX. Subcontractors/Consultants X. Potential Post Applications X. Prior, Current, or Pending Support of Similar

Proposals or Awards XI. Prior, Current, or Pending Support of Similar Proposals or Awards

The following is a brief description of each section of the Technical Proposal as applicable for each Phase:

• 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.

• Technical Objectives (Phase I proposals only) – State the specific objectives of the Phase I R/R&D effort, including the technical questions that must be answered to determine the feasibility, as described in the solicitation topic, of the proposed innovation/approach.

• Technical Objectives and Results (Phase II proposals only) – State the specific objectives of the Phase I R/R&D effort including the technical questions addressed to develop a prototype, as described in the solicitation topic. Address the progress, results and findings of the Phase I effort.

• Work Plan (Phase I proposals only) (including the efforts of the subcontractor(s)/consultant(s), if applicable) – Provide an explicit, detailed description of the Phase I approach. The Plan should elaborate on project tasks to explain how, when, and where the work will be conducted, a schedule of major events, and the final product(s) to be delivered. The Phase I effort should determine the technical feasibility of the proposed concept, and address the questions cited in the Technical

Objectives immediately above. The methods planned to achieve each objective or task should be discussed explicitly and in detail. Task descriptions, schedules, resource allocations, estimated task hours for each key personnel and planned accomplishments, including project milestones, should be included. This section will be a substantial portion of the total Technical Proposal.

• Work Plan (Phase II proposals only) (including the efforts of the subcontractor(s)/ consultant(s), if applicable) – Provide an explicit, detailed description of the Phase II approach. The Plan should elaborate on project tasks to explain how, when, and where the work will be conducted, a schedule of major events, the final product to be delivered, and the completion date of the effort. The Phase II effort should satisfy the anticipated results, as specified in the topic description. The methods planned to achieve each objective or task should be discussed explicitly and in detail. Task descriptions, schedules, resource allocations, estimated task hours for each key personnel and planned accomplishments, including project milestones, should be included. This section should be a substantial portion of the total proposal.

• Related Research/Research and Development – Describe significant (current and/or previous) R/R&D activities that are directly related to the proposed effort, including any conducted by the principal investigator, the Offeror, consultants, or others. Discuss any planned coordination with outside sources. Describe how these activities relate to the proposed project. Describe previous efforts similar but directly related to the proposed effort. For each effort, 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. The Offeror should persuade reviewers of his or her awareness of key, recent R/R&D conducted by others in the specific topic area.

• Key Personnel and Bibliography of Directly Related Work – Identify key personnel who will be involved in the effort including information on directly related education, experience, and bibliographic information. A concise resume for the Principal Investigator and all key personnel, including a list of relevant publications (if any), should be included. All resumes will count toward the appropriate page limitation, see Section 3.1. Offerors must identify any foreign national(s) expected to be involved on proposed 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. Do not include Privacy Act Information. SB foreign national(s) must first be cleared by S&T’s Foreign Disclosure Office prior to working and accessing data or information on awarded SBIR efforts.

Foreign nationals must receive separate clearances for each award including awards from multiple topics and multiple awards on the same topic. All foreign nationals who will perform work under the proposed SBIR effort must complete the DHS Foreign Access Management Screening, Form 11055 as part of the proposal submission process. Failure to include this information for each foreign national will impact the ability for them to participate in the event of an award.

• Relationship with Future Research/Research and Development (Phase I proposals only) – State the anticipated results of the proposed approach if the project is successful through Phase I and Phase II. 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).

• Relationship with Future Research/Research and Development (Phase II proposals only) – State the anticipated results of the proposed approach if the project is successful through Phase II and Phase III. Discuss the significance of the Phase II effort in providing a foundation for Phase III commercialization efforts.

• Commercialization Strategy (Phase I proposals only) – (1) Explicitly describe the company’s strategy (vision) for commercializing the proposed technology and how it will transition to the specific operational component in DHS, other Federal Agencies, and/or private sector markets. (2) Provide specific information on what related technologies, if any, already exist in the market and why the technology being proposed will be superior and how this information was ascertained. (3) Include a discussion on the Offeror’s current capability to commercialize previously developed technologies, as well as how the Offeror intends to develop the proposed technology all the way to the market. Responses to (1), (2), and (3) should be specific to the technology being proposed.

Failure to respond to any of the items listed will result in a lower valuation for criterion c (See Section 4.1 for Phase I evaluation criteria). If the Offeror has no commercial experience (item (3)) this should clearly be stated, and Offeror should describe how Offeror intends to bring the necessary experience to the company.

• Commercialization Plan (Phase II proposals only) – The Commercialization Plan should address the following: (Failure to address each item listed below in some detail will result in a lower valuation for criterion b (See Section 4.1 for Phase II evaluation criteria):

a. Company Information. Focused objectives/core competencies; specialization area(s); products and significant product sales; and history of previous Federal and non‐Federal funding, regulatory experience, and subsequent commercialization. Does the Offeror have marketing expertise and, if not, how does the Offeror intend to bring that expertise into the company?

b. Customer and Competition. Provide a clear description of key technology objectives, current competitors, and advantages (cost and technical) compared to competing products or services, description of hurdles to acceptance of the innovation. Address who the customers will be, and for non‐DHS customers explain the demand drivers for this technology. Estimate the market size. Has the Offeror contacted anyone in the projected target customer base including DHS customers?

Identify potential factors that could have positive and/or negative impacts regarding the transition of the proposed product.

c. Market. Provide milestones, target dates, analyses of market size, and the estimated market share after first and five-year sales. Provide detailed explanation on the plan to obtain market share.

d. Financing. Provide detailed information on the identification and acquisition of costs associated in transitioning the proposed product/services into the market. If available, provide brief discussion on potential financial sources. What are the plans for securing necessary funding for Phase III?

e. Intellectual Property (IP). Provide a detailed description on how the company plans to acquire and protect appropriate IP of the proposed product/service. What is the IP strategy and how will it be protected? Address patent status, technology lead, trade secrets or other demonstrations of a plan to achieve sufficient protection to realize the commercialization stage and attain at least a temporal competitive advantage.

f. Assistance and Mentoring. Provide plans for securing needed technical or business assistance through mentoring, partnering, or through arrangements with state assistance programs, small business development centers, federally funded research laboratories, Manufacturing Extension Partnership centers, or other assistance providers. Address how the product will be produced.

The Commercialization Plan should also include a schedule and the basis for that schedule showing the quantitative results from the Phase II project that the company expects to report in its Company Commercialization Report Updates one year after the start of the Phase II, at the completion of Phase II, and after the completion of Phase II (i.e., amount of additional investment, sales revenue, etc.).

• Facilities/Equipment – Provide information to allow the evaluators to assess the ability of the Offeror to carry out the activities of the proposed phase as well as all subsequent phases. Describe available instrumentation and physical facilities necessary to carry out the proposed effort.

Equipment to be purchased, as detailed in the Cost Proposal, should be justified under this section.

Also state whether the facilities where the proposed work will be performed meet environmental laws and regulations of federal, state, 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.

• Subcontractors/Consultants – Involvement of any subcontractor(s) or consultant(s) (including universities, and technical assistance providers) is permitted. If such involvement is proposed, it should be described in detail in this section and in the Cost Proposal. Subcontractors’ or consultants’ involvement under Technical and Business Assistance (see Section 5.11) should be clearly delineated from involvement by other subcontractors and consultants. A minimum of two‐ thirds of the research and/or analytical work in Phase I, as measured by total contract value, should be carried out by the proposing Offeror. A minimum of one‐half of the research and/or analytical work in Phase II, as measured by total contract value, should be carried out by the proposing Offeror. If the Offeror determines that it needs to acquire services from a non‐U.S. source, it must fully explain in its proposal why a non‐U.S. source must be used, and why no qualified U.S. source exists to perform the same services.

• Potential Post Applications – Briefly describe the following: (1) whether and by what means the proposed project appears to have potential commercial application; and (2) whether and by what means the proposed project appears to have potential use by the Federal Government.

• Prior, Current, or Pending Support of Similar Proposals or Awards – WARNING – While it is permissible, with proposal notification, to submit identical proposals or proposals containing a significant amount of essentially equivalent work (see Appendix B) for consideration under numerous Federal program solicitations, it is unlawful to enter into funding agreements (contracts or grants) requiring essentially equivalent effort. If there is any question concerning this, it must be disclosed to the soliciting agency or agencies before award.

If an Offeror elects to submit identical proposals or proposals containing a significant amount of essentially equivalent work in response to the 24.1 Solicitation, or other Federal program solicitations, or is substantially the same as another proposal that has been funded, is now being funded, will be submitted to other agencies for funding consideration, or is pending with DHS or another Federal Agency, the Offeror must indicate so on the Proposal Cover Sheet and provide the following information in the Technical Proposal:

a. Name and address of the Federal Agency(s) to which a proposal was submitted, will be submitted, or from which an award is expected or has been received

b. Date of proposal submission or date of award

c. Title of proposal

d. Name and title of principal investigator or project manager for each proposal submitted or award received

e. Title, number, and date of solicitation(s) under which the proposal was submitted, will be submitted, or under which award is expected or has been received

f. If award was received, state contract number

g. Specify the applicable topics for each SBIR Proposal submitted or award received

Note: If this section does not apply, the following statement should be included in the Technical Proposal:

“No prior, current, or pending support for proposed work.”

3.5 Cost Proposal

All Offerors must submit a cost proposal via as part of the submission to the SBIR Portal at https://sbir.dhs.gov/sbir/public. Proposed costs and period of performance must not exceed the maximum thresholds outlined below.

SBIR Topic Proposal Structure*

Phase I Phase II $175,000** $1,000,000 - $1,500,000***

5 months 24 months

Notes: * Proposal Structure may be modified in 24.1 Solicitation or in Phase II Proposal Submission Instructions. Phase II Proposal Submission Instructions will provide specific maximum funding threshold.

**Phase I total is not inclusive of Discretionary Technical and Business Assistance. If requesting assistance, the potential total is $175K plus assistance. See Section 5.11 *** Phase II maximum funding threshold IS inclusive of the Discretionary Technical and Business Assistance. See Section 5.11. If requesting assistance, the total must not exceed the maximum funding threshold provided in Phase II Proposal Submission Instructions.

For additional information on the items in the Cost Proposal, reference Section 4.3.2 of the Portal Registration and SBIR Submission Guide located under “Resources” at https://sbir.dhs.gov/sbir/public.

Additionally, more information about cost proposals and accounting standards can be found on the DCAA customer guidance page, available at https://www.dcaa.mil/Customers/Guidance/.

Proposals submitted under the 24.1 Solicitation will be considered valid for 180 days. If a proposal is selected for award, Offerors should be prepared to submit further cost/pricing documentation to the Contracting Officer in order to justify items on the cost proposal.

The following are required elements of the cost proposal:

• Direct Labor – list the name, labor category, labor hours and labor rate of each employee working on the project

• Overhead Cost – specify the current overhead rate. Use overhead rate approved by a cognizant federal agency, if available.

• Other Direct Cost – include direct material, special testing, equipment, travel, subcontracts, etc.

https://sbir.dhs.gov/sbir/public.

https://www.dcaa.mil/Customers/Guidance/

For Phase I planning purposes, Offerors should budget a mandatory post-award meeting trip to Washington, DC. In the event that an in-person post award meeting is not feasible, then a virtual event will take place. Refer to the table below for details:

PHASE I POST AWARD DETAILS

Duration Event

1-3 Hours Contract Kickoff sessions with Topic Managers (Virtual)

Post Award Conference

1 Day Session includes: Several presentations including a program background and contracting overview

1 Day Commercialization workshop

3.6 Briefing Chart

The mandatory one‐page Briefing Chart should provide a very concise summary of the overall effort. The Briefing Chart is uploaded during proposal submission and may be used in the evaluation process. The briefing chart MUST NOT contain proprietary or classified data. Offerors must use the Briefing Chart template provided in Attachment 4.

3.7 Commercialization Report

All Phase II Offerors with previous Phase II awards from any federal agency must submit a Commercialization Report. It is important to note that this is a separate document from the Commercialization Plan required as part of the Phase II Technical Proposal.

Offerors that have not received any Phase II awards should check the appropriate box on the Cover Sheet certifying that the company has not received SBIR Phase II funding from any agency.

Offerors with no prior Phase II awards will not be negatively impacted in the evaluation process.

Instead, such companies will be evaluated based on the Commercialization Plan, see Section 3.3.

If applicable, the succinct Commercialization Report should be in PDF format and submitted as a separate upload during the Phase II proposal submission. The following are examples of company commercialization data expected in the Commercialization Report:

• Any business concern or subsidiary established for the commercial application of a product or service for which an SBIR award is made.

• Revenue from the sale of new products or services resulting from the research conducted under each Phase II award; delineate revenue by government, open market, prime contractors, other awards, and when this revenue event occurred.

• Additional investment from any source, other than Phase I or Phase II awards, to further the research and development and/or commercialization conducted under each Phase II award.

• Whether the Phase II technology has been used in a fielded DHS system or acquisition program, and, if so, which system or program.

• The number of patents resulting from the contractor’s participation in the SBIR Program and whether any licenses based on these patents have been issued.

• Whether the company has completed an initial public offering (IPO) of stock, merged or been acquired resulting, in part, from any DHS SBIR Phase II project.

The Commercialization Report for any prior Phase II award received by the company must be current as of the end of the company’s last full fiscal year (FY). The company may apportion sales if it notes the apportionment for each award.

3.8 Performance Benchmark Requirements

The Phase I to Phase II Transition Rate requirement only applies to SBIR and STTR Phase I applicants that have received more than 20 Phase I awards over the past 5 fiscal years, excluding the most recent year. Companies must meet the required benchmark rate of transition from Phase I to Phase II.

The current Transition Rate Benchmark has two tiers:

• Companies that have received more than 20 Phase I awards and less than 51, an awardee must have received an average of one Phase II for every four Phase I awards received during the most recent 5-year time period (which excludes the most recently-completed fiscal year) to be eligible to submit a proposal for a new Phase I award. That is, the ratio of Phase II to Phase I awards must be at least 0.25.

• Companies that have received 51 or more Phase I awards during the past five fiscal years, excluding the most recently completed fiscal year. It requires the company to average a ratio of Phase II to Phase I awards of at least 0.50, meaning they must average one Phase II for every two Phase I awards received during the measurement period.

More information on the Transition Rate and the method used for calculation can be found at:

https://www.sbir.gov/performance-benchmarks.

3.9 Questions

General Questions Questions pertaining to the DHS SBIR Program should be submitted to STSBIR.PROGRAM@hq.dhs.gov.

Technical Questions During the Pre-Solicitation period, dates specified in Section 1.4, technical questions concerning the topics should be directed via email towards the Technical Point of Contact (POC) for each topic, listed in the 24.1 Pre-Solicitation SBIR Topic Areas (Appendix A). Telephone inquiries will not be addressed.

Questions are limited to technical information related to improving the understanding of a topic’s requirements. Any questions or inquiries seeking advice or guidance on a solution approach are unacceptable and will not receive a response.

Rules for submitting questions after Pre-Solicitation ends will be outlined in the 24.1 Solicitation.

Electronic Submission Questions Questions about the electronic submission of proposals should be submitted to the Help Desk at

(571) 446-4869, or via email to OIPPortalHelpDesk@hq.dhs.gov. The Help Desk may be contacted from 9:00 a.m. to 5:00 p.m. ET, Monday through Friday excluding Federal Holidays.

https://www.sbir.gov/performance-benchmarks mailto:STSBIR.PROGRAM@hq.dhs.gov mailto:OIPPortalHelpDesk@hq.dhs.gov mailto:.

4.0 METHOD OF SELECTION AND EVALUATION CRITERIA

4.1 Evaluation Criteria and Factors

The Phase I evaluation criteria, listed in decreasing order of importance, are as follows:

a. Technical Merit – the soundness, technical merit, and innovation of the proposed approach and its incremental progress toward topic or subtopic solution.

b. Staff Qualifications and Capability – the qualifications of the proposed principal investigator, key personnel, supporting staff, and consultants. Qualifications include the ability to perform the research and development.

c. Potential for Commercialization – the potential for commercial application, either in the Government or private sector, and the benefits expected to accrue from this commercialization.

d. Cost/Price The reasonableness of the cost proposal. The evaluation of cost/price will include whether the level of effort and other direct costs are appropriate for the proposed work.

The Phase II evaluation criteria, listed in decreasing order of importance, are as follows:

a. Technical Merit – the soundness, technical merit, and innovation of the proposed approach and its incremental progress toward topic or subtopic solution.

b. Potential for Commercialization – the potential for commercial application, either in the Government or private sector, and the benefits expected to accrue from this commercialization.

The lack of a Company Commercialization Report, due to the offeror having no prior Phase II awards, will not affect its ability to receive an award.

c. Staff Qualifications and Capability – the qualifications of the proposed principal investigator, key personnel, supporting staff, and consultants. Qualifications include the ability to perform the research and development.

d. Cost/Price – The reasonableness of the cost proposal. The evaluation of cost/price will include whether the level of effort and other direct costs are appropriate for the proposed work.

Evaluators will assess the strengths, weaknesses, and deficiencies of the above criteria using the following definitions:

a. Strength – An aspect of the proposal that benefits the Government in terms of the quality of the Offeror’s performance, cost effectiveness, or reduced risk towards successful contract performance.

b. Weakness – A flaw in the proposal that decreases the likelihood successful contract performance.

A “significant weakness” is a flaw that dramatically increases the risk of unsuccessful contract performance. When weaknesses are identified, the Government will provide comment(s) on the significance of the weakness.

c. Deficiency – A material failure of a proposal that would result in an unacceptable risk level of contractor performance.

4.2 Proposal Review Feedback

DHS will make award decisions, and notify applicants of its decisions, within 90 calendar days from the closing date of the 24.1 Solicitation. Specific instructions on requesting feedback will be provided to each Offeror upon notification that their proposal was not selected for award.

Requests for proposal feedback must be received within three (3) business days of the notification and will only be provided to Offerors upon request.

4.3 Contractor Support Services in Support of the Selection Process Offerors are advised that non‐federal, contract support personnel will be used to carryout administrative functions for the SBIR Program Office and topic program managers. The contract support personnel will have access to proposals. Administrative duties may include, but are not limited to, making and distributing copies of proposal, scheduling and attending meetings, taking and compiling notes, etc.

In addition to administrative functions contractor support (Mayvin, Inc.) will be used as advisors in the source selection process for Topic DHS241-006.