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D. COMPANY COMMERCIALIZATION REPORT -- All SBIR and STTR proposals must be accompanied by an on-line report that summarizes the "value" of all prior SBIR & STTR awards to the offeror. Provide the required data for each prior Phase II award; e.g., name of the awarding agency, solicitation topic number, and cumulative revenue (award amounts) for both
[1] follow-on R&D, and
[2] sales of products and services
supported by:
(a) the Defense Department
(directly under a contract and/or indirectly under a subcontract to a prime contractor),
(b) other government agencies, and/or
(c) the private sector.
A relevant success story(ies) which resulted directly from a Phase I award or non
SBIR/STTR award may be summarized briefly and submitted separately.
E. TRANSITION (COMMERCIALIZATION/MARKETING) PLAN -- In a brief (2-page) unclassified, non-proprietary summary, appropriate for public release, indicate your strategy for rapidly moving the technology to widespread commercial use including military, government and/or private sector markets. Answer the following questions: What is the first product that this technology will go into? Who will be your customers? How much money will you need to bring the technology to market, and how will you raise the money? Does your company contain marketing expertise and, if not, how do you intend to bring that expertise into the company? Why is the price and/or quality of your product/services better than competitors? Identify primary individuals, DoD components, and private sector companies that have been and/or will be informed of progress in these efforts. Describe marketing tasks to be conducted over the basic two-year Phase II performance period and indicate milestones. (Progress in fulfilling these transition plans will provide one basis for exercising the Phase II Option.)
F. SUPPORTING MATERIAL. A projectable transparency and a reproducible hard copy or standard electronic (e.g., MS Word or Power Point) file approved for public release should be submitted; as required to support any subsequent Phase II award recommendation and/or announcement. This 1- or 2-sheet summary may be submitted under separate cover or by e-mail and should include the following: Proposal title; Solicitation topic number; Firm name (city, state); Principal investigator's name & phone number; and a photograph or graphic to portray the Phase I results, planned Phase II product, and/or the potential dual-use applications. The summary should also include the proposed costs of basic proposal and options; future naval capability, enabling technology, and/or projected system cost savings; requesting official and/or technical point-of-contact (name, organization, & phone number); key plans/milestones for Phase II tasks/subtasks; and both a government and a private-sector follow-on contract (Phase III) sponsor. Carefully labeled electronic information files may be submitted (indicate file name, type, & size).
SECTION 3 - PROPOSAL SUBMISSION
Unless submitted in its entirety to the Navy SBIR/STTR Home Page,
http://www.onr.navy.mil/sbir, or unless the Phase II contract was solicited for negotiation off-site (e.g., at another naval activity), the original and 4 copies of the entire proposal and supporting materials- must be submitted to the address below. Only a single hard copy of an electronically-submitted proposal should be submitted to the "Local" SBIR Program Manager and/or to the requesting official (e.g., the cognizant S&T Program Officer, Systems Command, Warfare Center, or Laboratory Contracting Officer, Contracting Officer's Representative, or Technical Point of Contact). The coversheets showing the solicitation topic & proposal (assigned tracking) numbers should be signed by the Principal Investigator & Corporate Official, and the cost proposal should be signed by the Corporate Official.
Note: Each package should be marked: SBIR PHASE II PROPOSAL (DoD Solicitation TOPIC #N__-__.) -- If not a Navy topic, the proper acronym for the soliciting agency may be substituted for the N; e.g., A for Army, F for Air Force, etc.
REGULAR MAIL ADDRESS:
Office of Naval Research
ATTN: ONR SBIR Program Manager, ONR 364
800 North Quincy Street, B.C.T.#3, Suite 500
Arlington VA 22217-5660
EXPRESS MAIL & HAND-CARRY ADDRESS:
Office of Naval Research
ATTN: ONR SBIR Program Manager -- (703) 696-4286/6686
4015 Wilson Boulevard (Ballston Centre Tower #3, Room 537)
Arlington, Virginia 22203
SECTION 4 - METHOD OF SELECTION AND EVALUATION CRITERIA
The Phase II proposal will be evaluated by knowledgeable government scientists or engineers (unless specified otherwise in the request for the proposal). Every effort will be made to protect information designated as proprietary in the proposals.
A. EVALUATION CRITERIA
The basic Phase II proposal will be reviewed for overall merit based on the criteria presented below with the first two criteria having equal weights, the sum of which is greater than that of the other two. The proposed Phase II option will be separately evaluated in the same manner.
1. The soundness, technical merit, and innovation of the proposed approach and its incremental progress toward topic or subtopic solution.
2. The qualifications of the proposed principal/key investigators, supporting staff and consultants. Qualifications include not only the ability to perform the research and development but also the ability to commercialize the results.
3. The potential for commercial (Government or private sector) application and the benefits expected to accrue from this commercialization. A proposal's commercial potential will be assessed using the following criteria:
a. The commercialization strategy (see Sections 3.4h and 3.6) and, as discussed in that strategy: (i) any commitments of additional investment in the technology during Phase II from the private sector, DoD prime contractors, non-SBIR/STTR DoD programs, or other sources, and (ii) any Phase III follow-on funding commitments; and
b. The record of commercializing its prior SBIR and STTR projects, as shown in its Company Commercialization Report (see Section 3.4n). If the "Commercialization Achievement Index" shown on the first page of the Report is at the 5th percentile or below, the proposer will receive no more than half of the evaluation points available under evaluation criterion c in Sections 4.2 and 4.3 ("potential for commercialization"), unless the SBIR program manager for the DoD Component receiving the proposal (Army, Navy, Air Force, etc.) recommends, in writing, that an exception be made for that proposer, and the contracting officer approves the exception A Company Commercialization Report showing that the proposing firm has no prior Phase II awards will not affect the firm's ability to win an award. Such a firm's proposal will be evaluated for commercial potential based on its commercialization strategy in item A.3.a, above.
Evidence of a commitment for follow-on funding should specify the amount of Phase II and/or III funds that will be made available to the small business and by whom, as well as a deadline for achieving certain technical objectives, which, if achieved in Phase II, will precipitate such a transaction. Such terms cannot be contingent upon the issuance of a patent due to the time required for this process. Benefits to the DON are considered to be possible reductions of total ownership costs of a naval or defense system or subsystem.
B. SELECTION PROCESS
1. Every effort will be made to protect information marked as proprietary.
2. Proposal evaluations may include on-site evaluations of the Phase I effort by government personnel.
3. In order to expedite and increase program commercialization, the Navy and Marine Corps will withhold at least 25% of their SBIR funds to "fast-track certain Phase II proposals (i.e., the Navy will match match firm, cash third-party commitments to support selected Phase II proposals, as long as they are obtained within the 150 days after the Phase I award). Such a third-party commitment for follow-on R&D will be considered in selecting any Phase II proposal for support.
4. The Company Commercialization Report and Transition Plan are not considered to be integral parts of the technical proposal (which is limited to 40 pages), but the Commercialization Achievement Index must be provided and will be considered, and the plan must be acceptable to the government, if a contract is to be awarded.
5. Where technical evaluations of Phase II proposals are essentially equal in score, cost to the government will be considered in determining the successful offeror(s).
SECTION 5 - CONTRACTUAL CONSIDERATIONS
All clauses of the applicable DoD SBIR Program Solicitation also apply
(e.g., reports, copyrights, technical data rights, contractor commitments, etc.)
A. Phase II BASIC AWARDS. An appropriate contract must be drawn up by a Government Contracting Officer and signed by both parties before any work is authorized -- before any work should begin for proposals that have been selected for support. Any negotiations that may be necessary will be conducted between the offeror and the Government Contracting Officer. ONR Phase II awards are usually "Cost Plus Fixed Fee" and are usually funded incrementally. Each Phase II proposal selected for an award may include a fee or profit unless "cost-shared" by the firm.
B. PHASE II OPTION(S). A Phase II Enhancement Option may be exercised as justified pending the availability of funds. The Phase II "Bridge" Option may be awarded, if the contractor has accomplished Phase II objectives, the firm followed their Phase II transition plan, and/or a commitment of funds for commercialization of the technology has been received. The Government has no obligation to exercise a negotiated Phase II option. The Statement of Work for the Option may be revised only if the negotiated costs remain valid. An option may be incrementally funded.
C. STATUS REPORTS. Exercise of the Phase II option depends on progress toward commercialization. Consequently, Phase II awardees must agree to update their Transition Plans each year during the execution of the Phase II award and for five years thereafter. One- to two-page updates should be sent to the specified Technical Point of Contact at the naval activity administering the contract, and a copy to the Office of Naval Research; ATTN: Navy SBIR Program Manager, ONR 364; 800 North Quincy Street; Arlington, VA 22217-5660. Indicate the levels of effort and funding required for each Phase III; Phase II progress briefing attendees; and financial commitments. Provide information detailing (a) sources and amounts of non-SBIR funding used and/or required for follow-on R&D, and (b) sales of new products resulting from the research project. Note: Such information is extremely valuable for assessing the firm's potential for success and, to some extent, the impact of the SBIR Program.
D. PHASE III AWARDS. Follow-on R&D (Phase III Commercialization) may not be funded by the SBIR Program. However, each award should be summarized on-line by submission to the Navy SBIR/STTR Internet Home Page (select "Submission" or "Success Stories"). The Navy, ONR/SYSCOM, and laboratory SBIR Program Managers as well as the Technical Point of Contact, should be able to assist you in acquiring non-SBIR funds, as required. Please notify them of any Phase III award(s); i.e., the associated contract number and amount ($). Phase IIIs supported by an acquisition program awarded within the 2-year Phase II period of performance may be justify matching funds for expanding the Phase II (1:4 up to an additional $250K).
E. TRANSFER OF TITLE TO CONTRACTOR ACQUIRED PROPERTY. Upon authorization, immediately or 2 years after the Phase I, II, or III (if funded), certain specific contractor acquired property may be transferred to the small business. The Administrative Contracting Officer and its designated Property Administrator will follow established procedures in disposing or transferring (to a gaining contract) of government property that the Government retains title in consultation with the Procurement Contracting Officer.
F. ACKNOWLEDGMENTS. In reports and presentations please acknowledge financial support received from the Navy SBIR Program Element (PE 0605502N) and/or any other sponsor.
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