PROGRAM SOLICITATION
Number 02.1
Small Business
Innovation
Research Program
IMPORTANT
The DoD updates its SBIR mailing list annually. To remain on the mailing list or to be added to the list, send in the Mailing List form (Reference H) found at the back of this solicitation or complete the electronic form at www.pbcinc.com/sbir/pdf/ref_h.pdf. Failure to send the form annually will result in removal of your name from the mailing list.
To stay in touch with the SBIR opportunities and to receive e-mail updates on the DoD SBIR and STTR programs you are invited to subscribe to the DoD ListServ by e-mailing . In the body of the message type SUB DODSBIRSTTR-L firstname lastname and send it. Or you may send a blank message to:
If you have questions about the Defense Department's SBIR program, please call the SBIR/STTR Help Desk at (866) 216-4095, or see the DoD SBIR/STTR Web Site, at http://www.acq.osd.mil/sadbu/sbir.
U.S. Department of Defense
SBIR Program Office
Washington, DC 20301
October 1, 2001: Solicitation issued for public release
December 3, 2001: DoD begins accepting proposals
January 16, 2002: Deadline for receipt of proposals at the DoD Components by 3:00 p.m. local time
IMPORTANT NEW INFORMATION ABOUT THE DOD SBIR PROGRAM
1. The DoD SBIR/STTR Help Desk can address your questions about this solicitation, proposal preparation, contract negotiations, getting paid, government accounting requirements, intellectual property protection, commercialization reporting, the Fast Track, and other program-related areas. You may contact the Help Desk by:
Phone: 866-216-4095 (8AM to 6PM EST)*
Fax: 866-888-1079
Email:
(*The Help Desk maintains extended hours 8 am – 8pm for the ten days previous to the close of the solicitation)
2. The DoD SBIR/STTR Web Site (http://www.acq.osd.mil/sadbu/sbir) offers electronic access to many important resources for SBIR participants, such as the initial public release of each SBIR solicitation, sample SBIR proposals, model SBIR contracts, links to the Component SBIR programs within DoD, answers to commonly-asked questions about SBIR contracting, descriptive data on the SBIR program, and the latest program updates.
3. Your SBIR Proposal Cover Sheet (formerly, “Appendix A and B”) and Company Commercialization Report must now be submitted electronically through www.dodsbir.net/submission, as described in Sections 3.4b and n. If you submit a proposal, you must submit a company commercialization report whether or not you have previously received SBIR or STTR awards.
4. DoD has adopted commercialization of SBIR technology (in military and/or private sector markets) as a critical measure of performance for both the DoD SBIR program and the companies that participate in the program. This new policy is reflected in Sections 3.4h and 3.6 of this solicitation (Commercialization Strategy); Section 3.4n (Company Commercialization Report on Prior SBIR Awards); Section 4.4 (Assessing Commercial Potential of Proposals); and Section 5.4 (Commercialization Report Updates).
5. Under DoD’s “Fast Track” policy (Section 4.5), SBIR projects that attract some matching cash from an outside investor for the Phase II effort receive expedited processing and interim funding between Phases I and II. See http://www.acq.osd.mil/sadbu/sbir/fsttrack.html#results.
6. Fast Track application coversheets must be submitted electronically through www.dodsbir.net/submission. Only the coversheets can be submitted electronically. The required letter from an outside investor and a concise statement of work for interim must still be submitted in hard copy with the signed, printed Fast Track coversheet.
7. Each DoD Component (Army, Navy, Air Force, etc.) has developed its own Phase II Enhancement policy. Under this policy, the Component will provide a Phase II company with additional Phase II SBIR funding if the company can match the additional SBIR funds with non-SBIR funds from DoD acquisition programs or the private sector. See each Component’s section of the solicitation for details.
8. You may contact the DoD authors of solicitation topics to ask questions about the topics before you submit a proposal. Procedures for doing so are discussed in Section 1.5c of this solicitation. Please note that you may talk by telephone with a topic author to ask such questions only between October 1, when this solicitation was publicly released, and December 3, when DoD begins accepting proposals. At other times, you may submit written questions as described in Section 1.5c.
9. A number of the Navy and Air Force topics are supported by a DoD acquisition program (e.g. New Attack Submarine), as noted in the text of the topic. These acquisition programs are potentially important end customers for innovative new products resulting from SBIR projects. Information on how to contact these programs is posted on the DoD SBIR/STTR Web Site, at http://www.acq.osd.mil/sadbu/sbir/liaisons/liaisons.htm
10. Beginning October 2002, all DoD SBIR and STTR solicitations will be available in electronic format only from the DoD SBIR/STTR web site, in accordance with the Government Paperwork Elimination Act (GPEA).
11. The DoD will maintain the ListServ e-mail broadcast service. To stay in touch with SBIR opportunites, subscribe to the DoD ListServ by e-mailing . In the body of the message, type SUB DODSBIRSTTR-L firstname lastname and send. Or you may send a blank message to: . As always, you are encouraged to visit the DoD SBIR website periodically for changes to the SBIR and STTR programs. Additional questions about this policy can be directed to the DoD SBIR Help Desk at 1-866-216-4095 or via e-mail at , Additional information about this policy directive can be found at www.acq.osd.mil/sadbu/sbir.
12. PL106-554, which reauthorized the SBIR program through 2008, establishes the collection of "output and outcomes data". The DoD has been collecting much of this data through the Submission site; however, a few new data collection fields have been added. Carefully review your firm and Phase II commercialization information on www.dodsbir.net/submission and enter the necessary updates and entries.
TABLE OF CONTENTS
Page
1.0 PROGRAM DESCRIPTION 1-3
1.1 Introduction 1
1.2 Three Phase Program 1
1.3 Proposer Eligibility and Limitations 1
1.4 Conflicts of Interest 2
1.5 Questions about SBIR and Solicitation Topics 2
1.6 Requests for Copies of DoD SBIR Solicitation 3
1.7 SBIR Conferences and Outreach 3
2.0 DEFINITIONS 3-4
2.1 Research or Research and Development 3
2.2 Small Business 3
2.3 Socially and Economically Disadvantaged Small Business 3
2.4 Women-Owned Business 3
2.5 Funding Agreement 4
2.6 Subcontract 4
2.7 Commercialization 4
3.0 PROPOSAL PREPARATION INSTRUCTIONS AND REQUIREMENTS 4-6
3.1 Proposal Requirements 4
3.2 Proprietary Information 4
3.3 Limitations on Length of Proposal 4
3.4 Phase I Proposal Format 4
3.5 Bindings 6
3.6 Phase II Proposal Format 6
3.7 False Statements 6
4.0 METHOD OF SELECTION AND EVALUATION CRITERIA 7-10
4.1 Introduction 7
4.2 Evaluation Criteria - Phase I 7
4.3 Evaluation Criteria - Phase II 7
4.4 Assessing Commercial Potential of Proposals 8
4.5 SBIR Fast Track 8
5.0 CONTRACTUAL CONSIDERATION 10-14
5.1 Awards (Phase I) 10
5.2 Awards (Phase II) 10
5.3 Phase I Report 10
5.4 Commercialization Updates in Phase II 11
5.5 Payment Schedule 11
5.6 Markings of Proprietary or Classified Proposal Information 11
5.7 Copyrights 12
5.8 Patents 12
5.9 Technical Data Rights 12
5.10 Cost Sharing 12
5.11 Joint Ventures or Limited Partnerships 12
5.12 Research and Analytical Work 12
5.13 Contractor Commitments 12
5.14 Contractor Registration 13
5.15 Additional Information 13
Page
6.0 SUBMISSION OF PROPOSALS 14-15
6.1 Address 14
6.2 Deadline of Proposals 14
6.3 Notification of Proposal Receipt 15
6.4 Information on Proposal Status 15
6.5 Debriefing of Unsuccessful Offerors 15
6.6 Correspondence Relating to Proposals 15
7.0 SCIENTIFIC AND TECHNICAL INFORMATION ASSISTANCE 16-17
7.1 DoD Technical Information Services Available 16
7.2 Other Technical Information Assistance Sources 16
7.3 DoD Counseling Assistance Available 17
7.4 State Assistance Available 17
8.0 TECHNICAL TOPICS 18
CHEMICAL AND BIOLOGICAL DEFENSE
General Information CBD 1
Proposal Checklist CBD 4
Title Index CBD 5
Topic Descriptions CBD 6
DEPARTMENT OF THE NAVY
Introduction NAVY 1
SBIR Program Managers Points of Contact NAVY 4
Phase I Proposal Checklist NAVY 5
Title Index NAVY 6
Word/Phrase Index NAVY 9
Topic Descriptions NAVY 20
DEPARTMENT OF AIR FORCE
Proposal Preparation Instructions AF 1
Electronic Submission of References A and B Appendices: AF 4
Proposal Submission Instructions AF 5
Topic Index AF 8
Topic Descriptions AF 13
DEFENSE ADVANCED RESEARCH PROJECTS AGENCY
Submission of Proposals DARPA 1
Checklist DARPA 3
Index of Topics DARPA 5
Subject/Word Index DARPA 6
Topic Descriptions DARPA 9
BALLISTIC MISSLE DEFENSE ORGANIZATION
General Information BMDO 1
Topic Index BMDO 5
Topic Descriptions BMDO 6
DEFENSE THREAT REDUCTION AGENCY
Introduction DTRA 1
Topic Descriptions DTRA 2
U.S. SPECIAL OPERATIONS COMMAND
Proposal Submission SOCOM 1
Topic Index SOCOM 3
Topic Descriptions SOCOM 4
NATIONAL IMAGERY AND MAPPING AGENCY
Proposal Submission Instructions NIMA 1
Proposal Checklist NIMA 3
Topic Descriptions NIMA 4
9.0 SUBMISSION FORMS AND CERTIFICATIONS
Reference A - Cost Proposal REF A
Reference B - Fast Track Application Form REF B
Reference C - Notification of Proposal Receipt Request REF C
Reference D - Directory of Small Business Specialists REF D
Reference E - SF 298 Report Documentation Page REF E
Reference F - DoD Fast Track Guidance REF F
Reference G - DoD’s Critical Technologies REF G
Reference H - DoD SBIR Mailing List REF H
21
DoD PROGRAM SOLICITATION FOR
SMALL BUSINESS INNOVATION RESEARCH
1.0 PROGRAM DESCRIPTION
21
1.1 Introduction
The Navy, Air Force, Defense Advanced Research Projects Agency (DARPA), Ballistic Missile Defense Organization (BMDO) Defense Threat Reduction Agency (DTRA), U.S. Special Operations Command (SOCOM), National Imagery and Mapping Agency (NIMA), and Chemical and Biological Defense (CBD) hereafter referred to as DoD Components, invite small business firms to submit proposals under this solicitation for the Small Business Innovation Research (SBIR) program. Firms with the capability to conduct research and development (R&D) in any of the defense-related topic areas described in Section 8.0, and to commercialize the results of that R&D, are encouraged to participate.
Objectives of the DoD SBIR Program include stimulating technological innovation, strengthening the role of small business in meeting DoD research and development needs, fostering and encouraging participation by minority and disadvantaged persons in technological innovation, and increasing the commercial application of DoD-supported research or research and development results.
The Federal SBIR Program is mandated by Public Laws PL 97-219, PL 99-443, PL 102-564 and PL 106-554. The basic design of the DoD SBIR Program is in accordance with the Small Business Administration (SBA) SBIR Policy Directive, January 1993. The DoD Program presented in this solicitation strives to encourage scientific and technical innovation in areas specifically identified by DoD Components. The guidelines presented in this solicitation incorporate and exploit the flexibility of the SBA Policy Directive to encourage proposals based on scientific and technical approaches most likely to yield results important to the DoD and the private sector.
1.2 Three Phase Program
This program solicitation is issued pursuant to the Small Business Innovation Development Act of 1982, PL 97-219, PL 99-443, PL 102-564 and PL 106-554. 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 are typically $60,000 to $100,000 in size over a period not to exceed six months (nine months for the Air Force). Proposals should concentrate on that research or research and development 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 DoD support in Phase II. 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 DoD and the private sector. Proposers are encouraged to consider whether the research or research and development they are proposing to DoD Components also has private sector potential, either for the proposed application or as a base for other applications.
Subsequent Phase II awards will be made to firms on the basis of results of their Phase I effort and the scientific, technical, and commercial merit of the Phase II proposal. Phase II awards are typically $500,000 to $750,000 in size over a period generally not to exceed 24 months (subject to negotiation). 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.
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 military and/or private sector markets.
Under a policy approved by the Under Secretary of Defense for Acquisition and Technology in October 1998, DoD now tracks the extent to which technologies developed under Phase II are successfully commercialized in Phase III (in military and/or private sector markets), as discussed in Section 5.4 of this solicitation. Furthermore, DoD has adopted such commercialization success as a critical measure of performance for both the DoD SBIR program and the firms that participate in the program.
This solicitation is for Phase I proposals only. Only proposals submitted in response to this solicitation will be considered for Phase I award. Only proposals submitted in response to topics contained in this solicitation will be accepted. Proposers who were not awarded a contract in response to a prior SBIR solicitation are free to update or modify and re-submit the same or modified proposal if it is responsive to any of the topics listed in Section 8.
For Phase II, no separate solicitation will be issued and no unsolicited proposals will be accepted. Only those firms that were awarded Phase I contracts will be considered (Section 4.3 and 5.2).
DoD is not obligated to make any awards under either Phase I, II, or III, and all awards are subject to the availability of funds. DoD is not responsible for any monies expended by the proposer before award of any contract.
1.3 Proposer Eligibility and Limitations
Each proposer must qualify as a small business for research or research and development purposes as defined in Section 2.0 and certify to this on the Cover Sheet of the proposal. In addition, a minimum of two-thirds of the research and/or analytical work in Phase I must be carried out by the proposing firm. For Phase II, a minimum of one-half of the research and/or analytical work must be performed by the proposing firm. The percent of work is usually measured by both direct and indirect costs, although proposers planning to subcontract a significant fraction of their work should verify how it will be measured with their DoD contracting officer during contract negotiations. For both Phase 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. Deviations from the requirements in this paragraph must be approved in writing by the contracting officer (during contract negotiations).