DHS_ST_SBIR_FY13.1_Solicitation_Final.pdf

THE DEPARTMENT OF HOMELAND SECURITY

SMALL BUSINESS INNOVATION RESEARCH (SBIR) PROGRAM

PHASE I PROGRAM SOLICITATION FY 13.1

for the Science and Technology (S&T) Directorate

Solicitation Number: HSHQDC-13-R-00009

KEY DATES:

Pre-solicitation issued: December 4, 2012 Solicitation released: December 20, 2012 Phase I proposals submitted and accepted: December 20, 2012 – January 23, 2013 Direct contact with technical points of contact permitted:

December 4, 2012 through December 19, Last day to submit questions to STSBIR.PROPOSALS@hq.dhs.gov:

January 9, 2013 no later than 2:00 p.m.

Eastern Time (ET)

Last date replies posted to the SBIR Program website at https://sbir2.st.dhs.gov: January 16, 2013

Closing date of Phase I solicitation/deadline for receipt of proposals: January 23, 2013, 2:00 p.m. ET

IMPORTANT:

• Changes Made to this Solicitation Since the Pre-solicitation was Released on December

4, 2012:

o Section 4.1 was updated to remove the requirement that federal employees sign Non-Disclosure and Statements of Financial Interest documents. This requirement remains for non-federal employees.

o Section 5.12.

Section 5.12.p., Publications Approval was deleted. A new Section

5.12.p., entitled “Advertisements, Publicizing Awards, and News Releases” was added.

Section 5.12.q., entitled “Additional FAR Clauses”, was added.

o Section 5.13.

Section 5.13.q., entitled “Additional FAR Clauses” was deleted and moved to Section 5.12.q.

o Appendix B.

For additional clarification, changes have been made to the following topic descriptions in Appendix B:

• H-SB013.1-004 GPS Disruption Detection and Localization

• H-SB013.1-005 Quick Disconnect Cables for Utility Power

Distribution Systems mailto:STSBIR.PROPOSALS@hq.dhs.gov https://sbir2.st.dhs.gov/

The contact information for each of the topic descriptions has been removed. Direct contact with the topic authors is no longer permitted.

Technical questions about the topic descriptions should be submitted to STSBIR.PROPOSALS@hq.dhs.gov.

• Changes Made in the SBIR Program and in this Solicitation. This solicitation has been extensively rewritten and incorporates many changes as a result of the SBIR/STTR Reauthorization Act of 2011. Guidance provided by the Small Business Administration (SBA) via the updated SBIR Policy Directive (dated August 6, 2012) has been incorporated in this solicitation, where applicable. Please note that some of the guidance provided in the updated SBIR Policy Directive will be implemented over time and not necessarily implemented in this solicitation. For your reference, the updated SBIR Policy Directive is available at http://www.gpo.gov/fdsys/pkg/FR-2012-08-06/pdf/2012-18119.pdf. Please read this entire solicitation carefully prior to submitting your proposal.

• Deadline for Receipt of Phase I Proposals. Proposals must be completely uploaded and submitted via the electronic submission system at https://sbir2.st.dhs.gov and electronically date stamped no later than 2:00 p.m. ET on January 23, 2013.

• DHS SBIR Proposal Submission System. The Proposal Submission system was implemented in April 2011. Please allow sufficient time to register your company in the DHS SBIR proposal submission system, and submit your full complete Phase I proposal via the system. Register early and begin the submission process early.

Note: The SBA Company Registry Database was not operational at the time this solicitation was released. As a result, this solicitation does not require you to register in SBA’s Company Registry, as stated in the SBIR Policy Directive, prior to submitting your SBIR proposal to the DHS S&T Directorate’s SBIR submission system.

• Late Proposals and Proposals Received via Any Other Means Other Than the DHS

Submission Website. Late proposals will not be accepted or evaluated. Proposals received via any other means except the DHS submission website will not be accepted or evaluated.

As the close date draws near, heavy traffic on the web server may cause delays. Plan ahead and leave ample time to prepare and submit your proposal. Proposers bear the risk of website inaccessibility due to heavy usage in the final hours before the solicitation closing time. In accordance with FAR 52.215-1, proposers are responsible for submitting proposals, and any modifications or revisions, so as to reach the Government office designated in the solicitation by the time specified in the solicitation. FAR Clause 52.215-1, Instruction to Offerors – Competitive Acquisition (JAN 2004) is hereby incorporated into this solicitation by reference. Section 6 of this solicitation provides registration and submission instructions.

Proposers are also advised to review the step-by-step registration and submission instructions provided in the Small Business Innovation Research (SBIR)/Broad Agency Announcement (BAA) Public Portal: Registration and Submissions Training Guide can be found at https://sbir2.st.dhs.gov, click on “Reference Materials.”

http://www.gpo.gov/fdsys/pkg/FR-2012-08-06/pdf/2012-18119.pdf

• Phase I Option. Beginning with this solicitation, the Phase I option implemented in prior S&T Directorate SBIR solicitations is no longer effective. It has been discontinued as the SBIR/STTR Reauthorization Act of 2011 (Section 5105) eliminated the Phase II invitation process.

• Mandatory Briefing Chart. A mandatory one-page briefing chart must be submitted to summarize the proposed project. The Briefing Chart will not be evaluated or used in the evaluation process. It will be used to describe the project if the proposal is recommended for award. It must not contain any proprietary or classified data. Submission of the Briefing Chart is not counted against the 25-page limit. See Section 6.2(b)(4) for further details. The template for the mandatory Briefing Chart is provided in Appendix C.

• Classified Proposals. Classified proposals are not accepted under the DHS S&T Directorate

SBIR Program.

• Proposer Questions. Proposers may submit questions to

STSBIR.PROPOSALS@hq.dhs.gov no later than 2:00 p.m. Eastern Time (ET), January 9, 2013. DHS will post replies no later than January 16, 2013 on FedBizOpps and on the SBIR Program website at https://sbir2.st.dhs.gov.

• No Printed Solicitation Books. Solicitations are available only in electronic format from the

FedBizOpps.Gov website, https://www.fbo.gov, in accordance with the Government Paperwork Elimination Act (GPEA). For convenience, the DHS SBIR Program website at https://sbir2.st.dhs.gov will link to the FedBizOpps.Gov website after the solicitation is posted there.

• About this DHS SBIR FY 13.1 Solicitation. There are five (5) topics in this solicitation for which Phase I proposals are sought.

• Contracting Officer: Mandy Wylie (mandy.wylie@hq.dhs.gov)

• Handling of Proposal Submissions. For administrative purposes only, submissions to this solicitation will be handled by DHS Support Contractors.

• Information. If you have questions about the DHS S&T Directorate SBIR Program, please submit your questions via email to STSBIR.PROGRAM@hq.dhs.gov. If you have questions after December 19, 2012 about the technical topic descriptions included in this solicitation, please submit your questions by January 9, 2013 at 2:00 p.m. Eastern Time (ET), via email to STSBIR.PROPOSALS@hq.dhs.gov. If you have questions or problems related to the electronic submission of your proposal, please contact the SBIR Help Desk at dhssbir@reisystems.com or call 703-480-7676.

http://www.fbo.gov/ https://sbir.dhs.gov/ mailto:Mandy.wylie@hq.dhs.gov mailto:STSBIR.PROGRAM@hq.dhs.gov mailto:dhssbir@reisystems.com

TABLE OF CONTENTS

Page

1.0 SBIR PROGRAM DESCRIPTION

1.1 SBIR Introduction

1.2 SBIR Three Phase Program

1.3 SBIR Proposer Eligibility and Limitations

1.4 SBIR Research and Analytical Work

1.5 Conflicts of Interest

1.6 Questions about the SBIR Solicitation Topics and Proposal Submission

1.7 Outreach to Small Businesses

1.8 Definitions

1.8.1 Commercialization

1.8.2 Energy Independence and Security Act of 2007

1.8.3 Essentially Equivalent Work

1.8.4 Foreign National (Foreign Person)

1.8.5 Funding Agreement

1.8.6 Historically Black Colleges and Universities/Minority Institutions (HBCU/MI) .13

1.8.7 Historically Underutilized Business Zone (HUBZone) Small Business Concern .13

1.8.8 Joint Venture

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

1.8.10 Research or Research and Development

1.8.11 Research Involving Animal Subjects

1.8.12 Research Involving Human Subjects

1.8.13 SBIR Technical Data

1.8.14 SBIR Technical Data Rights

1.8.15 Small Business Concern

1.8.16 Socially and Economically Disadvantaged Small Business Concern (SDB)

1.8.17 Socially and Economically Disadvantaged Individual

1.8.18 Subcontract

1.8.19 United States

1.8.20 Women-Owned Small Business Concern (WOSB)

1.9 Fraud, Waste and Abuse

1.10 False Statements

2.0 CERTIFICATIONS

3.0 PROPOSAL PREPARATION INSTRUCTIONS AND REQUIREMENTS

3.1 Proposal Requirements

3.2 Administrative and Technical Preparation Tips

3.3 Proprietary Information

3.4 Limitations on Length of Proposal

3.5 Phase I Proposal Format

3.6 Page Numbering

3.7 Prior Phase II Awards Addendum

3.8 Phase III Awards Resulting from DHS SBIR Awards Addendum

3.9 Phase II Proposal Submission

3.10 Phase II Proposal Format

3.11 SBIR Phase II Cost Match

4.0 METHOD OF SELECTION AND EVALUATION CRITERIA

4.1 Introduction

4.2 Evaluation Factors

4.3 Evaluation Criteria

4.4 Assessing Commercial Potential of Proposals

4.5 DHS SBIR Commercialization Assistance Program (CAP)

5.0 CONTRACTUAL CONSIDERATIONS

5.1 Phase I Awards

5.2 Phase II Awards

5.3 Phase I Reports

5.4 Commercialization Updates in Phase II

5.5 Payment Schedule

5.6 Release of Proposal Information

5.7 Markings of Proprietary Proposal Information

5.8 Copyrights

5.9 Patents

5.10 Invention Reporting

5.11 Rights in Data Developed Under SBIR Funding Agreements

5.12 Contractor Commitments

5.13 Contractor Registration

5.14 Additional Information

6.0 SUBMISSION OF PROPOSALS

6.1 Registration

6.2 Submissions

6.3 Proposal Deadline

6.4 Notification of Proposal Receipt

6.5 Information on Proposal Status

6.6 Evaluation Results and Unsuccessful Proposers

6.7 Correspondence Relating to Proposals

7.0 SCIENTIFIC AND TECHNICAL INFORMATION ASSISTANCE

7.1 Discretionary Technical Assistance to SBIR Awardees

7.2 SAFETY Act

7.3 Scientific and Technical Reference

7.4 State and Other Assistance Available

8.0 TECHNICAL TOPICS

8.1 DHS Science and Technology (S&T) Directorate: SBIR Topics

9.0 DHS SBIR FY 13.1 PHASE I SBIR CHECKLIST

Appendix A: CERTIFICATIONS

A.1 SBIR Funding Agreement Certification A.2 SBIR Funding Agreement Certification - Life Cycle Certification

Appendix B: SBIR TOPICS SBIR Topic Number: H-SB013.1-001 SBIR Topic Number: H-SB013.1-002 SBIR Topic Number: H-SB013.1-003 SBIR Topic Number: H-SB013.1-004

SBIR Topic Number: H-SB013.1-005 Appendix C: TEMPLATE FOR THE MANDATORY BRIEFING CHART

1.0 SBIR PROGRAM DESCRIPTION

1.1 SBIR Introduction

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

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

The Federal SBIR Program is mandated by the Small Business Innovation Development Act of 1982 (Public Law 97-219), the Small Business Research and Development Act of 1992 (Public Law 102-564), and the SBIR/STTR Reauthorization Act of 2011 (Public Law 112-81). The basic design of the DHS S&T Directorate’s SBIR Program is in accordance with the Small Business Administration (SBA) SBIR Policy Directive, dated August 6, 2012. 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

The statutory purpose of the Small Business Innovation Research (SBIR) Program is to strengthen the role of innovative small business concerns (SBCs) in Federally-funded research or research and development R/R&D. Specific program purposes are to: (1) stimulate technological innovation; (2) use small business to meet 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), in technological innovation; and (4) increase private sector commercialization of innovations derived from Federal R/R&D, thereby increasing competition, productivity, and economic growth. The SBIR Program is a phased process, uniform throughout the Federal Government. SBIR opportunities, including this DHS S&T Directorate FY13.1 SBIR Program solicitation, are solicited pursuant to the public laws cited in Section 1.1 above. The purpose of Phase I is to determine, insofar as possible, the scientific and technical merit and feasibility of the proposed effort submitted under the SBIR Program that appear to have commercial potential, and determine the quality of performance of the small business concern with a relatively small agency investment before consideration of further Federal support in Phase II . For the S&T Directorate’s SBIR Program, Phase I awards are up to $100,000 in cost and up to a six-month period of performance for the research or research and development. Proposals must concentrate on that R/R&D which will significantly contribute to proving the scientific, technical, and commercial feasibility of the proposed effort, the successful completion of which is a prerequisite for further DHS support in Phase II. Several different proposed solutions to a given topic may be funded. The measure of Phase I success includes evaluations of the extent to which Phase II results would have the potential to yield a product or process of continuing importance to DHS and/or the private sector. Proposers are encouraged to consider whether the research or research and development they are proposing to DHS also has private sector potential, either for the proposed application or as a base for other applications. If the Phase I offeror chooses to acquire technical assistance services from a vendor of his/her choice, up to $5,000/year of additional funds may be made available to the Phase I awardee, in addition to the $100,000 award. See Section 7.1 for additional details.

The purpose 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 particular program needs and exhibits potential for commercial application. A more comprehensive proposal will be required for Phase II. (See Section 3.10.) Phase II awards are made to small business concerns on the basis of their results of work performed under the Phase I awards and the scientific and technical merit, feasibility and commercial potential of the Phase II proposal. For the S&T Directorate’s SBIR Program, Phase II awards are up to $750,000 in cost, and generally up to 24 months in duration.

Phase II is the principal R/R&D effort and is expected to produce a well-defined deliverable prototype. Award amounts cannot be exceeded by more than 50% without DHS receiving a waiver from the Small Business Administration. If the Phase II offeror chooses to acquire technical assistance services from a vendor of his/her choice, up to $5,000 per year of additional funds may be made available, in addition to the $750,000 award. See Section 7.1 for additional details. A Phase II awardee may receive up to one additional, sequential Phase II award to continue the work of the initial Phase II award.

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 is typically oriented towards commercialization of SBIR research or technology. It is expected that the SBIR awardee will seek contracts and obtain funding from the private sector and/or the Federal government (non-SBIR federal government funding 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.

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

Although Phase II proposals are not required at this time, this solicitation contains guidance for submitting a Phase II proposal, as a separate Phase II solicitation will not be issued. Phase II proposals, if submitted at this time, will be rejected without evaluation. The SBIR/STTR Reauthorization Act of 2011 eliminated the Phase II invitation process (Section 5105 of Public Law 112-81). Therefore, all small businesses that are awarded Phase I contracts as a result of this solicitation will be eligible to participate in Phases II and III. A DHS Contracting Officer, or a contracting office acting on behalf of the S&T Directorate’s SBIR Program will notify Phase I awardees of the Phase II proposal submission requirements and the deadline for Phase II submissions at least 30 days in advance. DHS is not obligated to make any awards under Phases I, II, or III, and all awards are subject to the availability of funds. DHS is not liable for any costs expended by the proposer before award of any contract.

1.3 SBIR Proposer Eligibility and Limitations

To receive SBIR funds, each Phase I and Phase II awardee must qualify as a small business concern at the time of award and at any other time set forth in SBA’s regulations at 13 CFR

121.701 through 121.705. Each small business concern submitting a proposal under this solicitation must certify that it meets the size, ownership and other requirements of the SBIR Program on the Cover Sheet of the proposal. For both SBIR Phases I and II, the primary employment of the principal investigator must be with the small business concern at the time of the award and during the conduct of the proposed project. Primary employment means that more than one-half of the principal investigator's time is spent in the employ of 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 R/R&D work must be performed by the small business concern and its subcontractors in the United States. Deviations from the requirements in this paragraph must be approved in writing by the Contracting Officer (during contract negotiation).

Joint ventures and limited partnerships are eligible provided the entity created qualifies as a small business, as defined in Section 1.8.8 of this solicitation and 13 CFR 121.103 (h).

a. Majority Ownership in Part by Multiple Venture Capital, Hedge Fund, and Private Equity Firms. For this FY13.1 solicitation, the S&T Directorate’s SBIR Program will not accept proposals from or make awards to small business concerns that are owned in majority part by multiple venture capital operating companies, hedge funds, or private equity firms. Small business concerns with such ownership are ineligible to submit proposals under this solicitation.

b. Benchmark Rates. As set forth in the Policy Directive, agencies must apply two benchmark rates addressing an offeror’s progress towards commercialization. These benchmarks are the Phase I to Phase II Transition Rate and the Commercialization Rate.

For this solicitation, the DHS S&T Directorate’s SBIR Program will not apply its Phase I to Phase II Transition Rate Benchmark. The Phase I to Transition Rate Benchmark will be implemented for future solicitations. The Phase I to Phase II Transition Rate benchmark sets the minimum required number of Phase II awards the offeror must have for a given number of Phase I awards during a specified period. In addition, for this solicitation, the DHS S&T Directorate’s SBIR Program will not apply its Commercialization Rate Benchmark. The Commercialization Rate Benchmark will be implemented for future solicitations. The Commercialization Rate Benchmark sets the minimum Phase III commercialization results a Phase I offeror must have realized from its prior Phase II awards.

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 small business concern. The percentage of work is measured by total dollars, including 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 small business concern. The percentage of work is measured by total dollars, including both direct and indirect costs for Phase II.

1.5 Conflicts of Interest

Awards made to small business concerns owned by or employing current or previous Federal Government employees could create conflicts of interest for those employees, which may be a violation of federal law of FAR Part 3 and the Ethics in Government Act of 1978, as amended.

You should contact the cognizant Ethics Counselor from the employee’s Government agency for further guidance if you are a small business that is owned by or employs current or previous Federal Government employees.

1.6 Questions about the SBIR Solicitation Topics and Proposal Submission

a. Where to Get Help. All general questions about this solicitation and other program-related areas, as well as proposal preparation, should be submitted via email to STSBIR.PROPOSALS@hq.dhs.gov. Questions about the electronic submission of proposals should be submitted to the Help Desk at 703-480-7676, or via email to dhssbir@reisystems.com. The Help Desk may be contacted from 9:00 a.m. to 5:00 p.m.

ET.

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

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

mailto:STSBIR.PROPOSALS@hq.dhs.gov mailto:dhssbir@reisystems.com https://www.sbir.dhs.gov/ https://sbir.dhs.gov/

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

e. Technical Questions about Solicitation Topics. From December 4, 2012 through December 19, 2012, this solicitation is issued for pre-release on the Federal Business Opportunities (https://www.fbo.gov) website and linked on the DHS SBIR website (https://sbir2.st.dhs.gov) with the names, phone numbers and email addresses of the Technical Point of Contact for each technical topic. During this period, proposers have an opportunity to contact Technical Points of Contact by telephone or by email to ask technical questions about specific technical topics contained in this solicitation.

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

No further direct contact between proposers and Technical Points of Contact shall occur from December 20, 2012 through January 23, 2013 for reasons of competitive fairness. However, proposers may submit written questions to STSBIR.PROPOSALS@hq.dhs.gov. Questions must be limited to technical information related to improving the understanding of a particular topic’s requirements. Any other questions, such as those asking for advice or guidance on solution approach, will not receive a response.

If information given in response to a question is deemed necessary for the preparation of proposals, that information will be made available to the public for general viewing on the FedBizOpps.Gov website at https://www.fbo.gov and on the DHS website at https://sbir2.st.dhs.gov. Responses to the questions received by January 9, 2013 will be posted on FedBizOpps.Gov as an amendment to the solicitation and will be posted on the SBIR Program website at https://sbir2.st.dhs.gov. DHS will not respond to questions received related to the technical topics after the last day to submit questions.

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

1.7 Outreach to Small Businesses

The DHS S&T Directorate’s SBIR Program team participates in the National SBIR Conferences and in many regional and state-organized conferences for small businesses. For information on these events, visit the DHS SBIR Program website at https://sbir2.st.dhs.gov and click on “News and Events,” or refer to the http://www.sbir.gov website for upcoming SBIR outreach events.

The DHS Program Office encourages small disadvantaged, women-owned, veteran-owned, service-disabled veteran-owned, and socially and economically disadvantaged small businesses to participate in the conferences and events, as well as in the DHS SBIR solicitations.

mailto:STSBIR.PROGRAM@hq.dhs.gov https://www.fbo.gov/ https://www.sbir.dhs.gov/ mailto:STSBIR.PROPOSALS@hq.dhs.gov https://www.fbo.gov/ https://www.sbir.dhs.gov/ https://sbir2.dhs.gov/ https://www.fbo.gov/ https://www.sbir.dhs.gov/ http://www.sbir.gov/

1.8 Definitions

The following definitions apply for the purposes of this solicitation:

1.8.1 Commercialization

The process of developing products, processes, technologies, or services and the production and delivery (whether by the originating party or others) of products, processes, technologies, or services for sale to or use by the Federal Government or commercial markets.

1.8.2 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 Section 4 of the proposal (Related Research/Research and Development) and a brief explanation of how it is related to energy efficiency or alternative and renewable energy should be provided.

1.8.3 Essentially Equivalent Work

Work that is substantially the same research, which is proposed for funding in more than one contract proposal or grant application submitted to the same Federal agency or submitted to two or more different Federal agencies for review and funding consideration; or work where a specific research objective and the research design for accomplishing an objective are the same or closely related to another proposal or award, regardless of the funding source.

1.8.4 Foreign National (Foreign Person)

A foreign national (foreign person) means any person who is not:

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

b) a lawful permanent resident; or

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

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

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

1.8.5 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, including products or services, funded in whole or in part by the Federal Government.

1.8.6 Historically Black Colleges and Universities/Minority Institutions (HBCU/MI) Listings for the Historically Black Colleges and Universities (HBCU) and Minority Institutions (MI) are available through the Department of Education website, http://www2.ed.gov/about/offices/list/ocr/edlite-minorityinst-list-pg2.html.

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

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

1.8.8 Joint Venture

See 13 CFR 121.103(h).

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

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

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.

http://www2.ed.gov/about/offices/list/ocr/edlite-minorityinst-list-pg2.html http://www.sba.gov/hubzone

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, tolerancing, 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.

1.8.10 Research or Research and Development

Any activity that is:

a. A systematic, intensive study directed toward greater knowledge or understanding of the subject studied;

b. A systematic study directed specifically toward applying new knowledge to meet a recognized need; or

c. A systematic application of knowledge toward the production of useful materials, devices, and systems or methods, including the design, development, and improvement of prototypes and new processes to meet specific requirements.

1.8.11 Research Involving Animal Subjects

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

1.8.12 Research Involving Human Subjects

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

1.8.13 SBIR Technical Data

All data generated during the performance of an SBIR award.

1.8.14 SBIR Technical Data Rights

The rights an SBIR awardee obtains in data generated during the performance of any SBIR Phase I, Phase II, or Phase III award that an awardee delivers to the Government during or upon completion of a Federally-funded project, and to which the Government receives a license.

1.8.15 Small Business Concern

A concern that meets the requirements set forth in 13 CFR 121.702, available at:

http://www.ecfr.gov/cgi-bin/text-idx?c=ecfr;sid=03878acee7c064a02cac0d870e00ef43;rgn=div8;view=text;node=13%3A1.0.1.1.

17.1.273.45;idno=13;cc=ecfr

1.8.16 Socially and Economically Disadvantaged Small Business Concern (SDB) See 13 CFR Part 124, Subpart B.

1.8.17 Socially and Economically Disadvantaged Individual

See 13 CFR 124.103 and 124.104.

1.8.18 Subcontract

Any agreement, other than one involving an employer-employee relationship, entered into by an awardee of a funding agreement calling for supplies or services for the performance of the original funding agreement. This includes consultants. See Section 3.5.b (10) of this solicitation.

1.8.19 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.

1.8.20 Women-Owned Small Business Concern (WOSB)

A small business concern that is at least 51 percent owned by one or more women, or in the case of a publicly owned business, at least 51 percent of the stock is owned by women, and women control the management and daily business operations.

1.9 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. Fraud includes any false representation about a material fact or any intentional deception designed to deprive the United States unlawfully of something of value or to secure from the United States a benefit, privilege, allowance or consideration to which an individual or business is not entitled. Waste includes extravagant, careless, or needless expenditure of Government funds, or the consumption of Government property, that results from deficient practices, systems, controls, or decisions. Abuse includes any intentional or improper use of Government resources, such as misuse of rank, position, or authority or resources. The Policy Directive, Section 7 (f) (1) (i thru ix) provide examples of fraud, waste and abuse relating to the SBIR Program.

http://www.ecfr.gov/cgi-bin/text-idx?c=ecfr;sid=03878acee7c064a02cac0d870e00ef43;rgn=div8;view=text;node=13%3A1.0.1.1.17.1.273.45;idno=13;cc=ecfr http://www.ecfr.gov/cgi-bin/text-idx?c=ecfr;sid=03878acee7c064a02cac0d870e00ef43;rgn=div8;view=text;node=13%3A1.0.1.1.17.1.273.45;idno=13;cc=ecfr http://www.ecfr.gov/cgi-bin/text-idx?c=ecfr;sid=03878acee7c064a02cac0d870e00ef43;rgn=div8;view=text;node=13%3A1.0.1.1.17.1.273.45;idno=13;cc=ecfr

To report SBIR fraud, please contact the DHS Office of the Inspector General (OIG) via anonymous hotline, facsimile, online allegation form or mail as follows:

• Anonymous Hotline: 1-800-323-8603

• Fax: 202-254-4292

• Mail: DHS Office of Inspector General/MAIL STOP 2600, Attention: Office of

Investigations-Hotline, 245 Murray Drive SW, Building 410, Washington, DC 20528

In addition, the DHS OIG recently announced the release of its online Hotline Investigative Referral Submission Form. The Hotline Investigative Referral Submission Form can be accessed at https://www.oig.dhs.gov/hotline/hotline.php, or by visiting the DHS OIG Public Website at http://www.oig.dhs.gov. Click on the red colored "Hotline: Report Corruption, Fraud, Waste or Abuse" banner, then on the "DHS OIG Investigative Referral Submission Form."

To reach someone with the S&T Directorate’s SBIR Program Office about fraud, waste and abuse, please contact Frank Barros, DHS S&T SBIR Program Analyst, at francis.barros@hq.dhs.gov.

1.10 False Statements

Knowingly and willfully making any false, fictitious, or fraudulent statements or representations, may be a felony under the False Statement Act (18 U.S.C. §1001), punishable by a fine of up to $10,000, up to five years in prison, or both.

2.0 CERTIFICATIONS

The Policy Directive includes certifications requirements set forth in Section 5143 of the SBIR/STTR Reauthorization Act of 2011. The certifications require small businesses to certify that they are meeting the Program’s requirements during the life cycle of the funding agreement.

The DHS S&T Directorate’s SBIR Program will implement the certifications as follows:

• SBIR Funding Agreement Certification: required at the time of a Phase I and/or Phase II award. This certification addresses the ownership and control requirements for the Program set forth in SBA’s regulations and the performance of work requirements for the small business and principal investigator. The certification also addresses whether all or a portion of the work has been submitted to another agency for consideration of an award and whether the other agency has or has not funded the work. The purpose of this part of the certification is to ensure that two or more agencies do not fund the same or similar work. This certification will be provided by the Contracting Officer to the small business for completion prior to issuing the award.

• SBIR Funding Agreement Certification – Life Cycle Certification: required for all Phase I and Phase II SBIR awardees that are working on an SBIR award. The certification seeks to ensure that once awarded the SBIR contract, the small business concern continues to meet the Program’s requirements (e.g., performing the required percentage of work, employing the principal investigator). The Life Cycle Certification will be required to be submitted prior to final payment on the Phase I award, prior to receiving https://www.oig.dhs.gov/hotline/hotline.php http://www.oig.dhs.gov/ mailto:francis.barros@hq.dhs.gov

50% of the total award amount on the Phase II award, and prior to final payment on the Phase II award. The Life Cycle Certification will be included in resultant contracts and considered a deliverable. The contract will provide the timeline for when the deliverables are due.

As required by the SBIR Policy Directive, the SBIR Funding Agreement Certification and the SBIR Funding Agreement Certification – Life Cycle Certification are included in this solicitation and can be found at Appendix A. The certifications are provided as a reference to the small business concerns that may receive awards under this solicitation. Please note that the Certification for Applicants that are Majority- Owned by multiple Ventured Capital Operating Companies, Hedge Fund or Private Equity Firms is not included in this solicitation because such firms are not eligible to submit proposals under this FY13.1 solicitation.

Certifications Concerning Size, Ownership and Other SBIR Program Requirements. The SBIR Policy Directive also addresses the requirement in Section 5140 of the SBIR/STTR Reauthorization Act of 2011 that agencies request permission from small business concerns to disclose the title and abstract of the proposed project, as well as the name and other information of the corporate official of the small business concern, to appropriate local and state economic development organizations, if the proposal does not result in an SBIR award. The DHS S&T Directorate’s SBIR Program collects this information from offerors via the Cover Sheet in the online proposal submission system.

3.0 PROPOSAL PREPARATION INSTRUCTIONS AND

REQUIREMENTS

3.1 Proposal Requirements

Proposals must provide sufficient information to persuade DHS that the proposed work represents an innovative approach to the investigation of an important scientific or engineering problem and is worthy of support under the stated criteria. The proposed research or research and development must be responsive to the chosen topic (see Section 8.1 and Appendix B of this solicitation). Any small business contemplating submitting a proposal for work on any specific topic shall determine that (a) the technical approach has a reasonable chance of meeting the topic objective, (b) this approach is innovative, not routine, with commercial application, and (c) the company has the capability to implement the technical approach, i.e., has or can obtain people and equipment suitable to the task.

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

Proposers must be registered in the DHS SBIR Proposal Submission system at https://sbir2.st.dhs.gov in order to prepare and submit proposals (see Section 6.1).

3.2 Administrative and Technical Preparation Tips

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

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

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

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

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

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

f. The Technical Abstract entered in the Cover Sheet, limited to 250 words, contains NO proprietary information. The Technical Abstract must summarize the implications of the https://www.sbir.dhs.gov/ approach and the anticipated results of both Phase I and Phase II, including an assessment of technology readiness levels (TRLs) at the beginning and end of the resultant Phase I contract.