FY12 1 SBIR Solicitation 20120523 amendmt 1.pdf

HSHQDC-12-R-00052

U.S. Department of Homeland Security

SMALL BUSINESS INNOVATION RESEARCH (SBIR)

PROGRAM

SBIR Phase 12.1

Solicitation No.HSHQDC-12-R-00052

ISSUED BY:

OFFICE OF PROCUREMENT OPERATIONS

May 2012

THE DEPARTMENT OF HOMELAND SECURITY

SMALL BUSINESS INNOVATION RESEARCH (SBIR) PROGRAM

PHASE I PROGRAM SOLICITATION FY 12.1

Domestic Nuclear Detection Office (DNDO)

KEY DATES

IMPORTANT INFORMATION

Solicitation Issuance and Deadline. The Solicitation was posted on fbo.gov on 15 May 2012.

It will be available for download in electronic format. The deadline for proposal submission is 3 July 2012 at 2:00 PM ET.

Question and Answer Period. Questions regarding the solicitation and topics are to be submitted via email to dndosbir12questions@hq.dhs.gov. The deadline for questions, as listed in the table above, is 24 May 2012 at 12:00 PM ET (noon). The answers to the submitted questions are anticipated to be posted on fbo.gov on 25 May 2012. Telephone inquiries will not be accepted.

Questions received after 24 May 2012 at 12:00 PM ET (noon) will not be accepted. Questions submitted using any other method other than the email submission instructions outlined above will not be accepted.

Proposal Submission System. This year’s solicitation will only accept proposal submissions submitted via email to dndosbir12proposals@hq.dhs.gov. See section 6.14 for classified proposals submission.

General Information: If you have questions about the DHS DNDO SBIR Program not specific to this Solicitation, please submit your questions via email at dndosbir@hq.dhs.gov.

DATE EVENT

9 MAY 2012

WEDNESDAY Pre-solicitation Posted

15 MAY 2012

TUESDAY

Solicitation Posted: Open for Questions and Full Proposal Submission

24 MAY 2012

THURSDAY

Questions Submission Deadline for Full Proposals, 12:00 PM (noon) ET

25 MAY 2012

FRIDAY DNDO: Responses Posted to Questions for Full Proposals

3 JULY 2012

TUESDAY Full Proposals Submission Deadline, 2:00 PM ET

SUMMER 2012 Anticipated Award Date mailto:dndosbir12questions@hq.dhs.gov� mailto:dndosbir12proposals@hq.dhs.gov� mailto:dndosbir.@hq.dhs.gov�

Contract and Procurement Personnel. Michele Mutschler, Contracting Officer; Heather Poindexter, Contract Specialist; Mandy Wylie, Contract Specialist; Christine Chui, Contract Specialist; Michael Lipperini, Contract Specialist.

About DNDO SBIR FY 12.1 Solicitation. There are seven (7) topics in this Solicitation (see Section 8.0).

TABLE OF CONTENTS

1 SBIR PROGRAM DESCRIPTION

1.1 Introduction

1.2 SBIR Three Phase Program

1.3 SBIR Offeror Eligibility and Limitations

1.4 SBIR Research and Analytical Work

1.5 SBIR Conflict of Interest

1.6 Outreach Conference and Events

2 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

3 PROPOSAL PREPARATION INSTRUCTIONS AND REQUIREMENTS

3.1 Proposal Requirements

3.2 Questions About DNDO SBIR Solicitation Topics and Proposal Submission

3.3 Instructions for Filename and Proposal ID

3.4 Administrative and Technical Content Guidelines

3.5 Limitations on Length of Phase I Proposals

3.6 Phase I Proposal Format

3.7 Page Numbering

3.8 Prior Phase I and Phase II Awards Addendum

3.9 Phase III Awards Resulting from DHS SBIR Awards Addendum

3.10 Phase II Proposal Invitation

3.11 Phase II Proposal Format

3.12 False Statements

3.13 Fraud, Waste and Abuse

4 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 Special Funding and Period of Performance Considerations

4.6 SBIR Phase II Cost Match

5 CONTRACTUAL CONSIDERATIONS

5.1 Phase I Awards

5.2 Phase II Awards

5.3 Phase I report

5.4 Commercialization Updates in Phase II

5.5 Payment Schedule

5.6 Marking of Proprietary Proposal Information

5.7 Copyrights

5.8 Patents and Invention Reporting

5.9 Technical Data Rights

5.10 Contractor Commitments

5.11 Additional Information

6 SUBMISSION OF PROPOSALS

6.1 Instructions to the Offerors

6.2 Proposal Preparation Costs

6.3 General Instructions

6.4 Alternate Proposals

6.5 Proposal Integrity

6.6 Proposal Submission Instructions

6.7 Proposal Deadline

6.8 Information on Proposal Status

6.9 Evaluation Results

6.10 Representation and Certifications

6.11 Veterans Employment and Training Service Report (VETS-100)

6.12 Contractor Registration

6.13 Security-Submitting a Classified Response to this Solicitation

7 SCIENTIFIC AND TECHNICAL INFORMATION ASSISTANCE

6.14 SAFETY Act

6.15 Scientific and Technical Reference

6.16 State and Other Assistance Available

8 TECHNICAL TOPICS

8.1 SBIR TOPIC NUMBER 12.1-001

8.2 SBIR TOPIC NUMBER 12.1-002

8.3 SBIR TOPIC NUMBER 12.1-003

8.4 SBIR TOPIC NUMBER 12.1-004

8.5 SBIR TOPIC NUMBER 12.1-005

8.6 SBIR TOPIC NUMBER 12.1-006

8.7 SBIR TOPIC NUMBER 12.1-007

9 Attachment 1: DNDO SBIR FY 12.1 Cover Sheet 10 Attachment 2: Cost Proposal Form 11 DHS FY2012.1 Phase I SBIR Checklist

DHS/DNDO SOLICITATION FOR THE

SMALL BUSINESS INNOVATION RESEARCH (SBIR) PROGRAM

1 SBIR PROGRAM DESCRIPTION

1.1 Introduction

The Department of Homeland Security (DHS), Office of Procurement Operations, hereafter referred to as DHS, invites small business firms to submit full proposals for the Small Business Innovation Research (SBIR) Program, Phase 12.1. Firms with the capability to conduct research or research and development (R/R&D) in any of the 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/DNDO SBIR Program include stimulating technological innovation, strengthening the role of small business in meeting research and development needs, fostering and encouraging participation by socially and economically disadvantaged 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 112-81 provided for a reauthorization of the SBIR Program through September 30, 2017. 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 DNDO SBIR FY12 Program Solicitation, are solicited pursuant to the public laws cited above. The purposed of Phase I is to determine, insofar as possible, the scientific, technical, and commercial merit and feasibility of ideas submitted under the SBIR Program. Phase I awards do not exceed $150,000 in cost, and the period of performance normally should not exceed six (6) months. However, DNDO may provide a longer performance period where appropriate for a particular project. Proposals should 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/DNDO 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/DNDO and/or the private sector. Offerors are encouraged to consider whether the research or research and development they are proposing to DHS/DNDO also has private sector potential, either for the proposed application or as a base for other applications.

Subsequent Phase II awards may be made to firms on the basis of results of their Phase I projects and the scientific, technical, and commercial merit of the Phase II proposal. Phase II awards are up to $1,000,000, and the period of performance under Phase II is a subject of negotiation between the awardee and DNDO. The duration of Phase II normally should not exceed two (2) years. However, DNDO may provide a longer performance period where appropriate for a particular project. 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 3.11.

Under Phase III, the small business is expected to obtain funding from the private sector and/or non-SBIR Government sources to develop the prototype into a viable product or non-R&D service for sale in Government and/or private sector markets.

This Solicitation is for 12.1 Phase I proposals only. Only proposals submitted in response to topics contained in this solicitation will be accepted and considered for 12.1 Phase I award.

Offerors 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 if it is responsive to any of the topics listed in Section 8.0.

For SBIR Phases II and III, no separate solicitation will be issued.

DHS will invite Phase II proposals from a group of Phase I awardees to maintain the momentum of the Phase I R/R&D and to accomplish an expeditious review leading to a Phase II award. Phase II proposals will be submitted directly to the Contracting Officer and Contract Specialist(s) identified in the Phase II invite letter.

Only those firms that were awarded Phase I contracts are eligible to participate in Phases II and III.

DHS is not obligated to make any awards under Phase I, II, or III. DHS is not liable for any costs expended by the Offeror before award of any contract.

1.3 SBIR Offeror Eligibility and Limitations

Each Offeror must qualify as a small business for research or research and development purposes as defined in Section 2 and must certify to that effect on the Cover Sheet of its proposal. For both SBIR Phases I and II, the primary employment of the principal investigator must be with the small business firm 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 must be performed by the small business concern and its subcontractors in the United States.

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 must be performed by the proposing firm unless otherwise approved in writing by the Contracting Officer. 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 must be performed by the proposing firm, unless otherwise approved in writing by the Contracting Officer. The percentage of work is usually measured by both direct and indirect cost for Phase II.

1.5 SBIR Conflict of Interest

Awards made to firms owned by or employing current or previous Federal Government employees could create conflicts of interest for those employees and be in violation of Federal law. Offerors shall identify all possible conflicts of interest in their proposals.

1.6 Outreach Conference and Events

The DHS SBIR Program team participates in the National SBIR Conferences and in many regional and state-organized conferences for small business. 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.

General SBIR Program Information and Outreach: For any inquiries regarding the DNDO SBIR program, please submit your inquiry via email to: dndosbir@hq.dhs.gov.

mailto:dndosbir@hq.dhs.gov�

2 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.

2.2 Small Business Concern

A small business concern is one that at the time of award of a Phase I, Phase II or Phase III contract meets all of the following criteria:

a. 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. 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. At least 51 percent owned and controlled by one or more individuals who are citizens of, or permanent resident aliens in, the United States, except in the case of a joint venture, where each entity to the venture must be 51 percent owned and controlled by one or more individuals who are citizens of, or permanent resident aliens in, the United States; and

d. Not more than 500 employees, including its affiliates.

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.

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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/ffrdclist/ 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.

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 3.6.c(9).

2.8 Commercialization

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.

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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 DTIC web site, http://www.dtic.mil/dtic/aboutus/dodprograms/hbcu.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 HUB Zone 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

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 Manufacturing encompasses improvements in existing methods or processes, or wholly new processes, machines or systems. Four main areas include:

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1. Unit process level technologies that create or improve manufacturing processes including:

• Fundamental improvements in existing manufacturing processes that deliver substantial productivity, quality, or environmental benefits.

• Development of new manufacturing processes, including new materials, coatings, methods, and associated practices.

2. Machine level technologies that create or improve manufacturing equipment, including:

• Improvements in capital equipment that create increased capability (such as accuracy or repeatability), increased capacity (through productivity improvements or cost reduction), or increased environmental efficiency (safety, energy efficiency, environmental impact).

• New apparatus and equipment for manufacturing, including additive and subtractive manufacturing, deformation and molding, assembly and test, semiconductor fabrication, and nanotechnology.

3. Systems level technologies for innovation in the manufacturing enterprise, including:

• Advance in controls, sensors, networks, and other information technologies that improve the quality and productivity of manufacturing cells, lines, systems, and facilities.

• Innovation in extended enterprise functions critical to manufacturing, such as quality systems, resource management, supply change integration, and distribution, scheduling and tracking.

• Technologies that enable integrated and collaborative product and process development, including computer-aided and expert systems for design, tolerance, process and materials selection, life-cycle cost estimation, rapid prototyping, and tooling.

4. Environment or societal level technologies that improve workforce abilities, productivity, and manufacturing competitiveness, including:

• Technologies for improved workforce health and safety, such as human factors and ergonomics.

• Technologies that aid and improve workforce manufacturing skill and technical excellence, such as educational systems incorporating improved manufacturing knowledge and instructional methods.

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

A Foreign National (Foreign Person) is an individual 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 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.

3 PROPOSAL PREPARATION INSTRUCTIONS AND REQUIREMENTS

3.1 Proposal Requirements

A proposal to any topic under the DNDO SBIR Program is to provide sufficient information to persuade DNDO 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 quality of the scientific or technical content of the proposal will be the principal basis upon which proposals will be evaluated. The proposed R/R&D must be responsive to the chosen topic, although need not use the exact approach specified in the Solicitation topics.

Any small business contemplating a proposal for work on any specific topic should 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 firm has the capability to implement the technical approach, i.e., has or can obtain people and equipment suitable to the task.

As funding is limited, DNDO reserves the right to select and fund only those proposals considered to be superior in overall technical quality and highly relevant to the DNDO mission. As a result, DNDO may fund more than one proposal in a specific topic area if the technical quality of the proposal(s) is deemed superior, or it may not fund any proposals in a topic area. Each proposal submitted to this Solicitation must be responsive to only one topic.

Proposals must be submitted in the English language and based on U.S. currency.

3.2 Questions About DNDO SBIR Solicitation Topics and Proposal Submission

a. Q &A Period. Questions in response to this solicitation must be submitted via email to dndosbir12questions@hq.dhs.gov by 24 May 2012, 2012 at 12:00 P.M. (noon) Eastern Time. ANY question(s) received after that date/time will not be addressed. Questions submitted through any other mechanism such as email to a DHS personal email account, via facsimile, via telegram or via regular/overnight mail will not be accepted.

The Government will compile all questions received timely and electronically post the questions and responses on the fbo.gov site. Questions in response to this Solicitation will not be addressed by anyone other than the DHS Contracting Officer.

b. Electronic Proposal Submission. All Phase I proposals shall be submitted via email to dndosbir12proposals@hq.dhs.gov. Proposals submitted through any other mechanism such as to a DHS personal email account, via facsimile, via telegram, via mail (regular U.S. mail or any overnight mail) or by hand delivery will not be evaluated or considered. Late proposals will not

c. Proposal Receipt Confirmation Requests. When requesting proposal confirmation receipts, Offerors be evaluated or considered. Proposals must be submitted and electronically date/time stamped no later than 3 July 2012, 2:00 PM, Eastern Time.

must address their requests via email to the Contracting Officer at michele.mutschler@hq.dhs.gov (please include the above dndosbir12proposals@hq.dhs.gov in the “cc” line). Telephone calls will not be accepted.

The full Solicitation is available to download in electronic format on the fbo.gov site.

The DHS Office of Procurement Operations does not anticipate that classified mailto:dndosbir12questions@hq.dhs.gov� http://www.fedbizopps.gov/� mailto:dndosbir12proposals@hq.dhs.gov� mailto:michele.mutschler@hq.dhs.gov� proposals be submitted in response to this Solicitation. However, for those Offerors intending to submit a classified proposal, see Section 6.14 for instructions.

3.3 Instructions for Filename and Proposal ID

Follow the guidelines below for naming the proposal file that will be sent as an attachment in portable document format (.pdf) for submission. The file name will also be the proposal ID on the cover sheet.

File name instructions for proposal submission:

In the email subject line: “DNDOSBIR 12.1 Full Proposal Submission for <company>” Each proposal file name will include the following:

DNDOSBIR12- <topic#>-FP-0##- XXXX

• topic# - last 2 digit numbers from topic ID in Section 8.

• ## - sequential number of proposal submission (e.g, 01 – first proposal for the first topic)

• XXXX – four- letter (can be less) character shorthand for organization name (all uppercase)

Example: Company A, Inc.’s submission for one proposal against topic 2 with attachment in email.

Subject: DNDOSBIR 12.1 Full Proposal Submission for Company A Attachment: DNDOSBIR12-02-FP-001-COMA (pdf format)

3.4 Administrative and Technical Content Guidelines

Read and follow all instructions contained in this solicitation. All proposals that fail to address the following items will be considered "non-compliant" and will be eliminated from further consideration.

a. Proposals shall be submitted electronically to dndosbir12proposals@hq.dhs.gov

b. The proposal adheres to the topic requirements and the proposal cost adheres to the funding thresholds specified in the Solicitation. The costs on the cover sheets must match the cost in the cost proposal.

and prepared as instructed in this solicitation. A complete full proposal consists of the proposal cover sheet(s), quad chart, technical proposal and cost proposal merged together in a single pdf file for submission. The format of the file name is described in Section 3.3.

c. The abstract on the cover sheet and the quad chart does NOT contain proprietary information. Further, on the cover sheet, mark “does contain” proprietary information should the technical proposal includes proprietary information (as instructed in Section 5.6).

d. The content in the technical proposal, including supporting data (if applicable), shall include all of the items in Section 3.5(b) in the order specified.

e. The header on each page of your technical proposal section shall contain your company name, topic number, and proposal ID (the header may be included in the one- inch margins).

f. Limit your proposal to the page limitations as specified in Section 3.4.

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

(1) inch margins all around. Page numbers may be printed within the one inch margin.

h. The technical proposal shall not be in two-column format.

i. Follow the guidelines for the proposal ID and file name in Section 3.3.

3.5 Limitations on Length of Phase I Proposals

This Solicitation is designed to reduce the investment of time and cost to small firms in preparing a formal proposal. Those who wish to respond must submit a direct, concise, and informative research or research and development proposal of no more than the page limitations established for Phase I, including proposal cover sheet and cost proposal.

Promotional and non-project related discussion is discouraged. The space allocated to each section will depend on the problem chosen and the principal investigator's approach. The Phase I proposal length is limited to 25 pages. In the interest of fairness, pages in excess of the 25-page limitation (including attachments, appendices, or references as specified) will not

3.6 Phase I Proposal Format

be read or considered for purposes of evaluation or award.

a. Proposal Cover Sheets. Prepare the proposal cover sheets, including a brief technical abstract of the proposed R/R&D project and a discussion of anticipated benefits and potential commercial applications. The cover sheets will count as the first two pages of your proposal regardless of how they are printed. If proposal is selected for award, the technical abstract and discussion of anticipated benefits will be publicly released;

therefore, do not include proprietary or classified information in these sections.

b. Quad Chart Summary. Quad charts are one page documents that provide a very concise summary of the overall effort and are generally updated either annually, by each phase, or when significant changes occur within an effort. The main elements of the quad chart should include a picture, graphic or artist’s conception of the effort, a summary of technical approach and risks, a summary of relevance and goals, and a summary of schedule, budget and team. The Quad Chart shall further contain a title bar and the four quadrants as described below (landscape format preferred). The template is provided below:

• Title Bar: Full proposal Title, Lead Organization

• (Upper Left): A clear photograph, drawing, or diagram of concept.

o Provide a simple, legible, but sufficiently detailed graphic to convey the main concept or idea of the research effort and/or development prototype.

• (Upper Right): Relevance and Goals and Commercialization o Relevance and Goals o Research goals and desired end state including performance targets o Advantages over other state-of-the-art solutions o Key technical challenges o Commercialization Strategy o Describe the current market potential for product/service development and estimated unit cost of the product.

o End user interests or agreements

• (Lower Left): Technical Approach o Technological innovation supporting the approach, as appropriate.

o Specify how the problem will be addressed o Describe current status of the proposed effort in the first phase o Describe the key technical challenges and/or risks o Planned technical accomplishments/milestones for the following year, as applicable

• (Lower Right): Cost, Schedule, and Team o Cost and Schedule o Provide milestones, primary deliverables, and task durations for the first phase and any following, as appropriate o Provide duration for future phases (if applicable) o Provide estimated cost per phase o Team o List the prime organization, principal investigator, and program manager o List subcontractors and key personnel

c. Technical Proposal.

The technical proposal will begin following the cover sheet and quad chart. The company/organization name, SBIR topic number, and proposal ID should be included in the header of each page (the header may be included in the one- inch margins). The technical proposal follows the order below:

(1) Identification and Significance of the Problem or Opportunity. Define the specific technical problem or opportunity addressed and its importance (begin on page 3 of your proposal file).

(2) Phase I Technical Objectives. Enumerate the specific objectives of the Phase I work, including the questions it will try to answer to determine the feasibility of the proposed approach.

(3) Phase I Work Plan. Provide an explicit, detailed description of the Phase I approach. The plan should 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 should determine the technical feasibility of the proposed concept. The methods planned to achieve each objective or task should be discussed explicitly and in detail. This section should be a substantial portion of the total proposal.

Technical reviewers will base their conclusions only on information contained in the proposal. Relevant supporting data such as journal articles, literature, including Government publications, etc., should be contained or referenced in the proposal and will count towards the 25-page limit.

(4) Related Work. Describe significant activities directly related to the proposed effort, including any conducted by the principal investigator, the proposing firm, 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 Offeror'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. (b) Discuss the significance of the Phase I effort in providing a foundation for Phase II research or research and development effort.

(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, the size of the market, and how this amount was ascertained. 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 needed and how this amount was arrived at, sales revenue, etc.). (For Phase II proposals, a more detailed commercialization strategy will be required.)

(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. All resumes will count toward the 25-page limitation.

Identify any non-U.S. citizen 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. Upon request, the Offeror may need to provide additional information during negotiations in order to verify the non-U.S. citizen’s eligibility to participate on a 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. 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) shall 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, including data that verifies the absence of non-federal facilities or personnel capable of supporting the research effort.

(b) The concurrence of the small business’ chief business official to use the Federal facility or personnel.

If a proposed project or product demonstration requires the use of unique Government facilities or equipment to be funded by the SBIR program, then the Offeror must provide a) a letter from the small business company official explaining why the SBIR research project requires the use of the Federal facility or personnel, including data that verifies the absence of non-Federal facilities or personnel capable of supporting the research effort, and b) a statement signed by the appropriate Government official at the facility, verifying that it will be available for the required effort. The proposal should also include relevant information on the funding source(s) private, internal, or other Government. Failure to provide this explanation and the site manager’s written authorization of use may invalidate any proposal selection. If the Offeror proposes the use of SBIR funds for Government equipment or facilities, this explanation will be provided to the SBA during the waiver process.

(9) Subcontractors/Consultants. Involvement of a university or other subcontractors or consultants in the project may be appropriate (see Section 2.3). If such involvement is intended, it should be described in detail and identified in the cost proposal. A minimum of two-thirds of the research and/or analytical work in Phase I, as measured by direct and indirect costs, must be carried out by the proposing firm, unless otherwise approved in writing by the Contracting Officer. No portion of an SBIR award may be subcontracted back to any Federal Government Agency or Federally Funded Research and Development Centers (FFRDCs). SBA may issue a case-by-case waiver to this provision after review of the DHS/DNDO written justification that includes the following information: (a) an explanation of why the SBIR research project requires the use of the Federal/FFRDC facility or personnel, including data that verifies the absence of non-federal facilities or personnel capable of supporting the research effort; (b) why the Agency will not and cannot fund the use of the Federal/FFRDC facility or personnel for the SBIR project with non-SBIR money; and (c) the concurrence of the small business concern’s chief business official to use the Federal/ FFRDC facility or personnel.

Award is contingent on the sponsoring agency obtaining a waiver.

(10) 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 for consideration under numerous Federal program solicitations, it is unlawful to enter into 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 a proposal submitted in response to this solicitation is substantially the same as another proposal that has been funded, is now being funded, or is pending with another Federal Agency, the Offeror must so indicate on the Proposal Cover Sheet and provide the following information:

(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 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 Section 3.6.c (10) does not apply, state in the proposal "No prior, current, or pending support for proposed work."

d. Cost Proposal. Complete the cost proposal form provided in Attachment 2. Some items in the cost breakdown guidance may not apply to the proposed project. If such is the case, there is no need to provide information on each and every item. The information provided should be sufficient to allow DHS to understand how the Offeror plans to use the requested funds if the contract is awarded. Cost proposals shall provide detailed information to include quotes for materials, agreements with subcontractors and all other supporting documentation to support the cost proposal.

(1) List all key personnel by name as well as by number of hours dedicated to the project as direct labor.

(2) Special tooling and test equipment and material cost may be included under

Phases I and II. The inclusion of equipment and material will be carefully reviewed relative to need and appropriateness for the work proposed. The purchase of special tooling and test equipment must, in the opinion of the Contracting Officer, be advantageous to the Government and should be related directly to the specific topic. These may include such items as innovative instrumentation and/or automatic test equipment. Title to property furnished by the Government or acquired with Government funds will be vested with DHS unless it is determined that transfer of title to the contractor would be more cost effective than recovery of the equipment by DHS.

(3) Cost for travel funds must be justified and related to the needs of the project.

DHS requests that you budget, as a minimum, travel to attend a one day meeting with DNDO program management personnel at the beginning of the contract and one day meeting at the last month of the contract. Reasonable travel costs may include two one-day meetings. This meeting may consist of a Phase I Kick-Off meeting or a presentation of your project findings to your Phase I Program Manager. Hence, travel will typically be held at the beginning of your Phase I award and at the conclusion of the Phase I effort.

(4) Cost sharing is permitted for proposals under this Solicitation; however, cost sharing is not required nor will it be an evaluation factor in the consideration of a Phase I proposal.

(5) A brief explanation of cost estimates for equipment, materials, and consultants or subcontractors can be placed in the comment section of the cost proposal.

However, when a proposal is selected for award, the Offeror should be prepared to submit further documentation to the Contracting Officer to substantiate costs (e.g., supporting documentation of all cost estimates for equipment, materials, travel and consultants or subcontractors). In addition, audit information from DCAA will be required to justify the hourly rates, labor overhead, G&A and any profit or fee. For more information about cost proposals and accounting standards, see the DCAA publication called “Information for Contractors” available at http://www.dcaa.mil.

3.7 Page Numbering

Proposal pages should be numbered consecutively. The cover sheet(s) and quad chart summary will count as pages 1-3. The technical proposal shall begin on page 4.

3.8 Prior Phase I and Phase II Awards Addendum

If the Offeror has received more than 15 Phase II awards in the prior five fiscal years across all SBIR agencies, provide a Prior Awards Addendum in the Phase I technical proposal section.

The Prior Awards Addendum must include the following: the name of the awarding agency, date of the award, period of performance of the Phase I and Phase II awards, Phase I and Phase II funding agreement numbers, Phase I and Phase II award amounts, and Phase I project title (include Phase II project title also, if different from the Phase I project title). Also provide the commercialization status for each prior Phase II award. The Prior Awards Addendum is not included in the 25-page limit, but must be included in the technical proposal section. The content in the Addendum should be limited to the information requested in this section.

3.9 Phase III Awards Resulting from DHS SBIR Awards Addendum

If the Offeror has received any Phase III awards resulting from work on any DHS SBIR award, provide related Phase I and/or Phase II contract numbers, name of the Phase III awarding agency, date of the award, period of performance, funding agreement number, award amount, project title, and current commercialization status for each award. The Phase III Awards Addendum is not included in the 25-page limit, but must be included with the technical proposal. The content in the addendum should be limited to the information requested in this section.

3.10 Phase II Proposal Invitation

This solicitation is for Phase I only. A Phase II proposal may be submitted only by a Phase I awardee and only in response to a request from the Contracting Officer. DHS/DNDO Program Managers for the applicable topic may recommend that Phase I performers be invited to submit Phase II proposals based upon site visits, the monthly and/or final reports, and progress made towards the accomplishment of Phase I technical objectives and plans for Phase II. Not all Phase I performers will be invited to submit a Phase II proposal. The number of Phase II proposal invitations will depend upon the number of Phase I awards made in the topic, the funding available, and the quality of the Phase I research.