|DEPARTMENT OF THE NAVY (DoN)
15.1 Small Business Innovation Research (SBIR)
Proposal Submission Instructions
Revised Closing Date: February 25, 2015, at 6:00 a.m. ET
Responsibility for the implementation, administration, and management of the Department of the Navy (DoN) SBIR Program is with the Office of Naval Research (ONR). The Acting Director of the DoN SBIR Program is Mr. Robert Smith, email@example.com. For program and administrative questions, please contact the Program Managers listed in Table 1; do not contact them for technical questions. For technical questions about the topic, contact the Topic Authors listed for each topic during the period 12 December 2014 through 14 January 2015. Beginning 15 January 2015, the SBIR/STTR Interactive Technical Information System (SITIS) (www.dodsbir.net/Sitis) listed in Section 4.15.d of the DoD SBIR Program Solicitation must be used for any technical inquiry. For inquiries or problems with electronic submission, contact the DoD SBIR/STTR Help Desk at [1-800-348-0787] or Help Desk email at [firstname.lastname@example.org].
TABLE 1: NAVY SYSTEMS COMMANDS (SYSCOM) SBIR PROGRAM MANAGERS
Point of Contact
N151-001 thru N151-004
Ms. Elizabeth Madden
N151-005 thru N151-026
Ms. Donna Moore
N151-027 thru N151-060
Mr. Dean Putnam
N151-061 thru N151-079
Ms. Lore-Anne Ponirakis
Mr. John Thom
The Navy’s SBIR Program is a mission oriented program that integrates the needs and requirements of the Navy’s Fleet through R&D topics that have dual use potential, but primarily address the needs of the Navy. Companies are encouraged to address the manufacturing needs of the Defense Sector in their proposals. Information on the Navy SBIR Program can be found on the Navy SBIR/STTR website at www.navysbir.com. Additional information pertaining to the DoN’s mission can be obtained from the DoN website at www.navy.mil.
PHASE I GUIDELINES
Follow the instructions in the DoD SBIR Program Solicitation at www.dodsbir.net/solicitation for program requirements and proposal submission guidelines. Please keep in mind that Phase I should address the feasibility of a solution to the topic. It is highly recommended that proposers follow the Navy proposal template located at www.navysbir.com/submission.htm as a guide for structuring proposals. Inclusion of cost estimates for travel to the sponsoring SYSCOM’s facility for one day of meetings is recommended for all proposals.
Technical Volumes that exceed the 20 page limit will be reviewed only to the last word on the 20th page. Information beyond the 20th page will not be reviewed or considered in evaluating the proposal. To the extent that mandatory technical content is not contained in the first 20 pages of the proposal, evaluators may deem the proposal as non-responsive and score it accordingly.
The Navy requires proposers to include, within the 20-page limit, an option that furthers the effort and will bridge the funding gap between Phase I and the Phase II start. Phase I options are typically exercised upon the decision to fund the Phase II. The Phase I base amount and Period of Performance shall not exceed $80,000 and six months; the Phase I option amount and Period of Performance shall not exceed $70,000 and six months.
PHASE I PROPOSAL SUBMISSION CHECKLIST:
The following criteria must be met or the proposal will be REJECTED.
____1. Include a header with company name, DoD proposal number, and DoD topic number on each page of your Technical Volume.
____2. Include tasks (separately) to be completed during the option period in the 20-page Technical Volume and include the costs as a separate section in the Cost Volume. Costs for the base and option should be clearly separate, and identified on the Proposal Cover Sheet, in the Cost Volume, and in the work plan section of the proposal.
____3. BREAK OUT SUBCONTRACTOR, MATERIAL AND TRAVEL COSTS IN DETAIL. In the Cost Volume, it is important to provide sufficient detail for the subcontract, material and travel costs. Subcontractor costs should be detailed at the same level as the prime to include at a minimum personnel names, rate per hour, number of hours, material costs (if any), and travel costs (if any). Material costs should include at a minimum listing of items and cost per item. Travel costs should include at a minimum the purpose of the trip, number of trips, location, length of trip, and number of personnel. Use the “Explanatory Material Field” in the DoD Cost Volume worksheet for this information.
____4. If Discretionary Technical Assistance (DTA) is proposed, add information required to support DTA in the “Explanatory Material Field” in the DoD Cost Volume worksheet.
____5. The Phase I base amount and Period of Performance shall not exceed $80,000 and six months and the option amount and Period of Performance shall not exceed $70,000 and six months. The costs for the base and option periods are clearly separate, and identified on the Proposal Cover Sheet, in the Cost Volume, and in the Technical Volume. If proposing direct DTA, a total of up to $5,000 combined may be added to the Base or Option periods.
____6. Upload the Technical Volume and the DoD Proposal Cover Sheet, the DoD Company Commercialization Report, and Cost Volume electronically through the DoD submission site (https://www.dodsbir.net/submission/SignIn.asp) by 6:00 am ET, 25 February 2015.
____7. After uploading the file on the DoD SBIR/STTR submission site, review it to ensure that it appears correctly. Contact the DoD SBIR/STTR Help Desk immediately with any problems.
PHASE II GUIDELINES
All Phase I awardees will be allowed to submit an Initial Phase II proposal for evaluation and selection. The Phase I Final Report, Initial Phase II Proposal, and Transition Outbrief (as applicable), will be used to evaluate the offeror’s potential to progress to a workable prototype in Phase II and transition technology in Phase III. Details on the due date, content, and submission requirements of the Initial Phase II Proposal will be provided by the awarding SYSCOM either in the Phase I award or by subsequent notification. NOTE: All SBIR/STTR Phase II awards made on topics from solicitations prior to FY13 will be conducted in accordance with the procedures specified in those solicitations (for all DoN topics, this means by invitation only).
Section 4(b)(1)(ii) of the SBIR Policy Directive permits the Department of Defense and by extension the DoN, during fiscal years 2012 through 2017, to issue a Phase II award to a small business concern that did not receive a Phase I award for that R/R&D. NOTE: The DoN will NOT be exercising this authority for SBIR Phase II awards. Therefore, in order for any small business firm to receive a Phase II award, the firm must be a recipient of a Phase I award under that topic and submit an Initial Phase II proposal.
The Navy typically awards a cost plus fixed fee contract for Phase II. The Phase II contracts can be structured in a way that allows for increased funding levels based on the project’s transition potential. To accelerate the transition of SBIR-funded technologies to Phase III, especially those that lead to Programs of Record and fielded systems, the Commercialization Readiness Program was authorized and created as part of section 252 of the National Defense Authorization Act of Fiscal Year 2006. The statute set-aside is 1% of the available SBIR funding to be used for administrative support to accelerate transition of SBIR-developed technologies and provide non-financial resources for the firms (e.g. the Navy's Transition Assistance Program).
DISCRETIONARY TECHNICAL ASSISTANCE
The SBIR Policy Directive section 9(b), allows the DoN to provide discretionary technical assistance (DTA) to its awardees to assist in minimizing the technical risks associated with SBIR projects and commercializing products and processes. Firms may request, in their Phase I and Phase II proposals, to contract these services themselves in an amount not to exceed $5,000 per year. This amount is in addition to the award amount for the Phase I or Phase II project.
Approval of direct funding for DTA will be evaluated for approval by the DoN SBIR office if the firm’s proposal (1) clearly identifies the need for assistance (purpose and objective of required assistance), (2) provides details on the provider of the assistance (name and point of contact for performer); and unique skills/specific experience to carry out the assistance proposed, and (3) the cost of the required assistance (costs and hours proposed or other details on arrangement). This information must be included in the firm’s cost proposal specifically identified as “Discretionary Technical Assistance” and cannot be subject to any profit or fee by the requesting SBIR firm. In addition, the provider of the DTA may not be the requesting firm, an affiliate of the requesting firm, an investor of the requesting firm, or a subcontractor or consultant of the requesting firm otherwise required as part of the paid portion of the research effort (e.g. research partner). Failure to include the required information in the proposal will result in the request for DTA being disapproved. Exceeding proposal limits identified for Phase I ($150,000 for Base, Option, and DTA) without including the required identification of DTA will result in the proposal’s REJECTION without evaluation.
Phase I awardees that propose more than $150,000 in total funding (Base, Option and DTA) cannot receive a purchase order. Purchase orders are a type of Simplified Acquisition Procedure (SAP) intended to reduce administrative costs, promote efficiency and economy in contracting, and avoid unnecessary burdens for agencies and contractors. The need to issue a Firm Fixed Price (FFP) contract may result in contract delays if the SYSCOM normally issues purchase orders for Phase I awards.
If a firm requests and is awarded DTA in a Phase II proposal, it will be eliminated from participating in the Navy Transition Assistance Program (TAP), the Navy Opportunity Forum, and any other assistance the Navy provides directly to awardees.
All Phase II awardees not receiving funds for DTA in their award must attend a one-day Navy TAP meeting during the second year of the Phase II. This meeting is typically held in the summer in the Washington, D.C. area. Information can be obtained at: www.dawnbreaker.com/navytap. Awardees will be contacted separately regarding this program. It is recommended that Phase II cost estimates include travel to Washington, D.C. for this event.
PHASE III GUIDELINES
A Phase III SBIR award is any work that derives from, extends, or completes effort(s) performed under prior SBIR funding agreements, but is funded by sources other than the SBIR Program. Thus, any contract or grant where the technology is the same as, derived from, or evolved from a Phase I or a Phase II SBIR/STTR contract and awarded to the company that was awarded the Phase I/II SBIR is a Phase III SBIR contract. This covers any contract/grant issued as a follow-on Phase III SBIR award or any contract/grant award issued as a result of a competitive process where the awardee was an SBIR firm that developed the technology as a result of a Phase I or Phase II SBIR. The Navy will give SBIR Phase III status to any award that falls within the above-mentioned description, which includes assigning SBIR Data Rights to any noncommercial technical data and/or noncommercial computer software delivered in Phase III that was developed under SBIR Phase I/II effort(s). Government prime contractors and/or their subcontractors follow the same guidelines as above and ensure that companies operating on behalf of the Navy protect the rights of the SBIR company.
EVALUATION AND SELECTION
The Navy will evaluate and select Phase I and Phase II proposals using the evaluation criteria in Sections 6.0 and 8.0 of the DoD SBIR Program Solicitation respectively, with technical merit being most important, followed by qualifications of key personnel and commercialization potential of equal importance. Due to limited funding, the Navy reserves the right to limit awards under any topic and only proposals considered to be of superior quality will be funded. NOTE: The Navy does NOT participate in the FAST Track program.
Protests of Phase I and II selections and awards shall be directed to the cognizant Contracting Officer for the Navy Topic Number. Contact information for Contracting Officers may be obtained from the Navy SYSCOM SBIR Program Managers listed in Table 1.
One week after Phase I solicitation closing, e-mail notifications that proposals have been received and processed for evaluation will be sent. Consequently, e-mail addresses on the proposal coversheets must be correct.
The Navy typically awards a Firm Fixed Price (FFP) contract or a small purchase agreement for Phase I.
In accordance with section 4.10 of the DoD Instructions, requests for a debrief must be made within 30 days of non-award notification.
Contract deliverables are typically progress reports and final reports. Deliverables required by the contract, shall be uploaded to https://www.navysbirprogram.com/navydeliverables/.
Award and Funding Limitations
In accordance with SBIR Policy Directive section 4(b)(5), there is a limit of one sequential Phase II award per firm per topic. Additionally in accordance with SBIR Policy Directive section 7(i)(1), each award may not exceed the award guidelines (currently $150,000 for Phase I and $1 million for Phase II, excluding DTA) by more than 50% (SBIR/STTR program funds only) without a specific waiver granted by the SBA.
Topic Award by Other Than the Sponsoring Agency
Due to specific limitations on the amount of funding and number of awards that may be awarded to a particular firm per topic using SBIR/STTR program funds (see above), Head of Agency Determinations are now required (for all awards related to topics issued in or after the SBIR 13.1/STTR 13A solicitation) before a different agency may make an award using another agency’s topic. This limitation does not apply to Phase III funding. Please contact the original sponsoring agency before submitting a Phase II proposal to an agency other than the one that sponsored the original topic. (For DoN awardees, this includes other Navy SYSCOMs.)
Transfer Between SBIR and STTR Programs
Section 4(b)(1)(i) of the SBIR Policy Directive provides that, at the agency’s discretion, projects awarded a Phase I under a solicitation for SBIR may transition in Phase II to STTR and vice versa. A firm wishing to transfer from one program to another must contact its designated technical monitor to discuss the reasons for the request and the agency’s ability to support the request. The transition may be proposed prior to award or during the performance of the Phase II effort. Agency disapproval of a request to change programs will not be grounds for granting relief from any contractual performance requirement(s). All approved transitions between programs must be noted in the Phase II award or an award modification signed by the contracting officer that indicates the removal or addition of the research institution and the revised percentage of work requirements.
Due to the short timeframe associated with Phase I of the SBIR process, the Navy does not recommend the submission of Phase I proposals that require the use of Human Subjects, Animal Testing, or Recombinant DNA. For example, the ability to obtain Institutional Review Board (IRB) approval for proposals that involve human subjects can take 6-12 months, and that lengthy process can be at odds with the Phase I goal for time to award. Before Navy makes any award that involves an IRB or similar approval requirement, the proposer must demonstrate compliance with relevant regulatory approval requirements that pertain to proposals involving human, animal, or recombinant DNA protocols. It will not impact the Navy’s evaluation, but requiring IRB approval may delay the start time of the Phase I award and if approvals are not obtained within two months of notification of selection, the decision to award may be terminated. If the use of human, animal, and recombinant DNA use is included under a Phase I or Phase II proposal, please carefully review the requirements at: http://www.onr.navy.mil/About-ONR/compliance-protections/Research-Protections/Human-Subject-Research.aspx. This webpage provides guidance and lists approvals that may be required before contract/work can begin.
Due to the typical lengthy time for approval to obtain Government Furnished Equipment (GFE), it is recommended that GFE is not proposed as part of the Phase I proposal. If GFE is proposed and is determined during the proposal evaluation process to be unavailable, proposed GFE may be considered a weakness in the proposal.
NAVY SBIR 15.1 Topic Index
N151-001 Improved Softwall Shelter Heating System
N151-002 Light-weight Vehicle Exhaust System for Amphibious Vehicles
N151-003 Low Complexity Suspension System for Amphibious Vehicles
N151-004 Compact Auxiliary Power System for Amphibious Combat Vehicle
N151-005 Real-Time Exploitation of Video Synthetic Aperture Radar Imagery
N151-006 Low Power, Low Cost, Lightweight, Multichannel Optical Fiber Interrogation Unit for
Structural Health Management of Rotor Blades
N151-007 Sensory System for the Transition from Aided to Unaided Vision During Flight to Mitigate
N151-008 Innovative, Low Cost, Highly Durable Fuel Bladder for Naval Applications
N151-009 Novel Isogeometric Analysis Based Automation of High-Fidelity Finite Element Analysis
Model Creation from Computer Aided Design
N151-010 Development of 7050 T-74 Aluminum Alloy Alternative for use in Additive
Manufacturing (AM) Systems
N151-011 Compact Deep Vector Sensor Array
N151-012 Innovative Approach to Rapidly Qualify Ti-6Al-4V Metallic Aircraft Parts Manufactured
by Additive Manufacturing (AM) Techniques
N151-013 Deep Long Life Passive Sonobuoy Sensor System
N151-014 Automated Test Program Set Analysis for Maintenance Data Metrics Generation
N151-015 Minimized Space, Weight and Power Network Architecture Solution
N151-016 Direct Replacement Ignition Upgrade for Present and Future Combustors and Augmentors
N151-017 Adaptive Scanning for Compressor Airfoils
N151-018 Integrated Laser and Modulator
N151-019 Hardware Open Systems Technologies (HOST) Conformant Secure Network Server
N151-020 Command and Control of Multiple Unmanned Air Vehicles in Anti-Access Area-Denial or
Highly Limited Communication Bandwidth Environment
N151-021 Advanced Modeling and Visualization of Effects for Future Electronic Warfare Systems
N151-022 Method for Removal of Airfield Paint Markings and Aircraft Tire Rubber Build-up from
Installed AM2 Mat Surfaces
N151-023 Low-Cost-By-Design Widely Tunable Mid-Wave Infrared Surface Emitting Lasers
N151-024 Next Generation In-Situ Antenna Analysis and Design Toolbox
N151-025 Ignition Composition with Low Moisture Susceptibility
N151-026 Small Non-Cooperative Collision Avoidance Systems Suited to Small Tactical Unmanned
N151-027 Condition Based Monitoring Computational Processes
N151-028 Coastal Battlefield Reconnaissance and Analysis (COBRA) Comprehensive Model for
Scene Generation, Target Injection and Sensor Performance
N151-029 Advanced Radio Magnetic Powder for Additive Manufacturing
N151-030 Automated Acoustic Monitoring System
N151-031 Automated Visual Location Fix for Submarine Navigation
N151-032 Submarine Navigation in a GPS-Denied Environment
N151-033 Using Environmental Information in State Estimation for Undersea Systems
N151-034 Active Signal Processing Enhancements for Classification of Low Signal-to-Noise Ratio
(SNR) Sonar Signals in Doppler Clutter
N151-035 Organic Submarine Multi-Sensor Fusion
N151-036 Next Generation Electronic Warfare Human Machine Interface (HMI) for Submarines
N151-037 Fat Line Tow Cable
N151-038 Submarine Meteorological Sensor
N151-039 Compact, Low-Voltage, Multiple-Beam Electron Gun for High-Power Miniature
N151-040 Automated Visual Detection of Small Contacts on the Horizon
N151-041 Chart Data Overlay of Live Video for Submarine Navigation
N151-042 Thin Walled Corrosion Resistant Steel (CRES) Pipe Proactive Joint Reinforcement
N151-043 Undersea Vehicle Navigation
N151-044 Electro-Optical Infrared (EO/IR) Imaging System to Improve Navigation
N151-045 Submarine Component Design Tool to Assess Relative Resistance to High Intensity
N151-046 Low-Cost Gallium Nitride (GaN) on Diamond Semiconductors for Microwave Power
N151-047 Innovative Data Compression Algorithms to Increase System Throughput Efficiency on
Navy Ship-to-Shore Communication Networks
N151-048 Long Life, Highly Efficient Electrical Energy Storage for Sensor Systems
N151-049 Machine Learning Algorithm for Target Detection on the Coastal Battlefield and
Reconnaissance (COBRA) System
N151-050 Wideband Acoustic Signature Capability for Next Generation Mobile Anti-Submarine
Warfare (ASW) Training Target
N151-051 Automated Analysis of Combat Systems Software
N151-052 Temporary Crack Repairs for Aluminum Structures on Surface Ships
N151-053 Coastal Battlefield Reconnaissance and Analysis (COBRA) Multi-Spectral Illuminator
N151-054 Threat Suitability Tactical Decision Aid for Anti-Submarine Warfare
N151-055 Multi-ship Sonar Bistatic Automatic Active Localization
N151-056 Prognostic Monitoring and Condition Reporting for Remote Multi-Mission Vehicle
N151-057 Direct Band-Pass Analog-to-Digital Conversion
N151-058 Vertical Take Off and Landing Tactical Unmanned Aerial Vehicle (VTUAV) Passive
Acoustic Sensing and Magnetic Anomaly Detection for Anti-Submarine Warfare (ASW)
N151-059 Digital Direction Finding (DF) System for the Next Generation Submarine Electronic
N151-060 Power Technologies for Navy Conventional Ammunition Fuzes
N151-061 Air-Droppable At-Sea In-Water Lifting System
N151-062 Electrochemically Assisted Safe Ionic Propellant
N151-063 Ultra-wideband Direct Digitization Above 50 GHz for Earth Observing Satellites
N151-064 Cognitive Radio Architectures for Cyberspace Operations
N151-065 Innovative Power Electronic Switch for Naval Applications in Extreme Temperatures
N151-066 Soft Elastomeric Technology for Rapidly Deployable Manipulation Capability
N151-067 Orthogonal Approach to Malware Detection and Classification
N151-068 Ultra-High Temperature Thermoelectrics
N151-069 Medical Informatics Decision Assistance and Support (MIDAS)
N151-070 Development of Marinized Protective Coatings for Higher Temperature Operations of
Marine Gas Turbine Engines
N151-071 Offensive Mine Warfare (MIW) Planning and Assessment Software Framework
N151-072 Resin Infusible Carbon Fiber Unidirectional Broadgoods for Fatigue Dominated
N151-073 Enhanced Cell Designs for Improved Internal Heat Transfer for High Rate and Power
Capable, Large-Format Batteries
N151-074 Acoustic Signature Bundling for Classification
N151-075 Technology for Ship to Shore Connector Concepts with Combined High Speed and
N151-076 Compact, Polarization Preserving Antennas for the 40-200 GHz Frequency Range
N151-077 Developing Psychological Flexibility
N151-078 Development of a Diver Biometric Device (DBD)
N151-079 Ultra-low Diffusivity High Temperature Capable Insulation
N151-080 Counter Intelligence Surveillance and Reconnaissance and Targeting (C-ISRT),
Assessment for Electromagnetic Maneuver Warfare (EMW) and Integrated Fires (IF)