ARMY SPARTN SBIR BAA 20.5 FINAL.pdf

DEPARTMENT OF THE ARMY

SMALL BUSINESS INNOVATION RESEARCH (SBIR) PROGRAM

Army Special Program Awards for Required Technology Needs (SPARTN)

SBIR Broad Agency Announcement (BAA) 20.5

August 24, 2020: SPARTN BAA issued for pre-release September 18, 2020: SPARTN BAA begins accepting proposals

October 8, 2020: Deadline for receipt of proposals no later than 12:00 p.m. ET

IMPORTANT

The Army SPARTN SBIR BAA is issued out of cycle from the traditional DoD/Army SBIR BAAs and is subject to the contents contained herein. This pilot program is intended to better incentivize commercial participation under a streamlined process that accelerates tech transitions and creates greater commercialization opportunities for recurring revenue. This BAA also strives to create a more rapid award time from solicitation closing.

This BAA deviates from the traditional Army SBIR period of performance and potential contract award guidelines, as well as other proposal instructions included in traditional in cycle Army SBIR BAAs. Please take note of the contents of this BAA when preparing proposals.

Webinars: A series of webinars will be conducted on both the SPARTN program in general and the specific topic during the pre-release period. Companies can register for these webinars on Eventbrite at https://aal_innovation.eventbrite.com/ and the dial in information will be sent prior to the event. The webinars will be hosted on Google Meets.

Webinar Schedule:

General SPRTN Webinar #1 - AUG 28 – 1:00 PM ET General SPRTN Webinar #2 - SEP 08 – 2:00 PM ET Fire Faster Webinar #1 - AUG 27 – 5:00 PM ET Fire Faster Webinar #2 - SEP 03 1:30 PM ET

Any changes in date or time of the webinars will be posted on aal.army/spartn and on SITIS. All webinars will be recorded and posted to aal.army/spartn, as well as in SITIS, after the event.

Submission: Phase I Proposals for the Army SPARTN SBIR BAA must be submitted through the Defense SBIR/STTR Innovation Portal (DSIP) at https://www.dodsbirsttr.mil/submissions.

Deadline for Receipt: Proposals must be completely submitted no later than 12:00 p.m. ET, October 8, 2020. Proposals submitted after 12:00 p.m. will not be evaluated.

Classified proposals will not be accepted under this BAA.

The Small Business Administration, through its SBIR/STTR Policy Directive, purposely departs from normal Government solicitation formats and requirements and authorizes agencies to simplify the SBIR/STTR award process and minimize the regulatory burden on small business. Therefore, consistent with the SBA SBIR/STTR Policy Directive, the Army is soliciting all SBIR proposals as a Broad Agency Announcement.

For general questions related to the instructions of this BAA, please contact the Army SBIR Program Management Office

(PMO) via email at usarmy.apg.ccdc.mbx.sbir-program-managers-helpdesk@mail.mil.

Help Desk: If you have questions about the Defense Department's SBIR or STTR Programs, please call the DoD SBIR/STTR Help Desk at 1-703-214-1333, or email to DoDSBIRSupport@reisystems.com.

The Help Desk is available from 9:00 AM – 5:00 PM (ET), Monday – Friday.

Table of Contents

1.0 INTRODUCTION

2.0 PROGRAM DESCRIPTION

3.0 DEFINITIONS

4.0 PROPOSAL FUNDAMENTALS

5.0 PHASE I PROPOSAL

6.0 PHASE I EVALUATION CRITERIA

7.0 PHASE II PROPOSAL

8.0 PHASE II EVALUATION CRITERIA

9.0 CONTRACTUAL REQUIREMENTS

10.0 TOPICS

1.0 INTRODUCTION

The Army invites small business firms to submit proposals under this BAA for the Army SBIR SPARTN pilot program. Firms with the capability to conduct research and development (R&D) in topics identified in this BAA and to commercialize the results of that R&D are encouraged to participate.

This BAA is initially soliciting Phase I proposals only. Potential future Phase II proposals may be submitted at a later time in accordance with this BAA and any future communication from the Army SBIR

PMO.

A separate BAA will not be issued requesting Phase II proposals, and unsolicited proposals will not be accepted. All firms that receive a Phase I award originating from this BAA will be eligible to participate in Phase II and Phase IIB competitions and potential Phase III awards. Submission of Phase II and Phase IIB proposals will be in accordance with instructions provided by the Army. A general outline of Phase II and Phase IIB submissions is included in this BAA. Additional details on the due date, content, and submission requirements of the Phase II proposals will be provided by the Army following Phase I award. If a firm submits their Phase II proposal prior to the dates provided by the Army, it may be rejected without evaluation.

The Army is not obligated to make any awards under this BAA and all awards are subject to the availability of funds. The Army is not responsible for any monies expended by the proposer before the issuance of any award.

For technical questions about the topics during the pre-release period, contact the Topic Authors listed for each topic in the BAA. To obtain answers to technical questions during the formal BAA period, visit https://www.dodsbirsttr.mil/submissions/.

Specific questions pertaining to the Army SBIR Program should be submitted to:

Monroe Harden Acting Program Manager, Army SBIR usarmy.apg.ccdc.mbx.sbir-program-managers-helpdesk@mail.mil U.S. Army Combat Capabilities Development Command 6662 Gunner Circle Aberdeen Proving Ground, MD 21005-1322

TEL: 866-570-7247

2.0 PROGRAM DESCRIPTION

2.1 Objectives

The objectives of the Army SBIR Program include stimulating technological innovation, strengthening the role of small business in meeting Army research and development needs, fostering and encouraging participation by minority and disadvantaged persons in technological innovation, and increasing the commercial application of Army-supported research or research and development results.

The goal of the SPARTN SBIR BAA is to improve commercialization rates of SBIR-funded technology and to attract the most innovative small businesses through a rapid award process and increased contract award amounts. The SPARTN BAA aims to better incentivize commercial participation under a streamlined process that accelerates tech transitions and creates greater commercialization opportunities for recurring revenue in the topic areas identified in this BAA.

2.2 Three Phase Program

The SPARTN SBIR BAA Program is a three-phase program, with the potential for an additional “Phase IIB” contract as outlined in this section.

Phase I:

Phase I awards under this BAA will be for four months (no option period) for a maximum award amount of $200,000, funded solely by Army SBIR funding. Technologies selected could range from enabling technologies to complete solutions. In general, Phase I is intended to determine, to the extent possible, the scientific, technical, and commercial merit and feasibility of ideas submitted under the SBIR Program. Proposals should concentrate on research or research and development which will significantly contribute to proving the scientific and technical feasibility, and commercialization potential of the proposed effort, and the successful completion of which is a prerequisite for further support in Phase II. Proposers are encouraged to consider whether the research or research and development being proposed also has private sector potential, either for the proposed application or as a base for other applications. At the end of Phase I, companies must conduct a concept demonstration of proposed technology and deliver a solution design brief describing how the demonstrated solutions contribute to solving the problem. Soldier/end user touch points will occur at least once during this phase, and more often if necessary. The Army Applications Lab (AAL) will conduct an optional cohort program for selected companies to help them better understand the problem and connect them with relevant Army stakeholders.

Phase II:

Phase II awards will be made to firms on the basis of results of their Phase I effort and/or the scientific merit, technical merit, and commercialization potential of the Phase II proposal. Phase II contracts awarded as a result of this BAA will be 9 to 24 months in length, with a consolidated $1,500,000 traditional award funded by SBIR funding, plus a potential additional $1,000,000 (or more) consisting of $500,000 in SBIR funding and at least $500,000 in non-SBIR matching funding (Government or private sector). The $1,000,000 (or more) addition may be included in the Phase II proposal (with a corresponding technical approach) and, if selected for funding, may be funded as part of the base award or included as an option to potentially be exercised. While firms are encouraged to include in their proposal the work to be performed with the additional $1,000,000 and evidence of outside matching funding, this will not be a criteria for Phase II selection. Evidence of matching funding must be included in order to be eligible for award above the $1,500,000 traditional award amount.

Phase II contracts will be “gated” as base and option periods, with the time frames and amounts of each “gate” to be determined by the proposed approach. The first gate develops the technology and delivers an operational prototype. Soldier touch points are embedded in the development process to enable companies a direct opportunity to understand and collaboratively discuss how their technology can meet Army needs. The first gate is to be completed in 9 to 12 months. The second “gate” will involve a technology demonstration, user testing, and an advanced soldier touchpoint to further mature technology applications for military use. The goal of the second gate is to understand technology scaling needs into procurement in coordination with both Science and Technology (S&T) and advanced development partners.

Phase IIB:

This SPARTN SBIR BAA includes the potential for a Phase IIB award, which can range up to $24,000,000 in total funding, to include $6,000,000 in Army SBIR funding, $6,000,000 in other Government non-SBIR program funding, and $12,000,000 in private capital/outside funding. For a technology to enter this phase, a non-SBIR government program stakeholder must agree to lead programmatic efforts under the successive award and provide non-SBIR appropriated funds. The goal of this stage is for the Army, in coordination with industry, to further develop dual use technologies and create pathways to commercialization internal and external to the DOD. These efforts are intended to culminate in advanced development and transition of the technology to a program of record. Period of performance and specific deliverables/contract requirements for this stage will be defined at a later time based on the proposed technology advancement and Government program needs.

Phase III:

Under Phase III, the Proposer is required to obtain funding from either the private sector, a non-SBIR Government source, or both, to develop the prototype into a viable product or non-R&D service for sale in military or private sector markets. SBIR Phase III refers to work that derives from, extends, or completes an effort made under prior SBIR funding agreements, but is funded only by sources other than the SBIR Program. Phase III work is typically oriented towards commercialization of SBIR research or technology.

3.0 DEFINITIONS

The following definitions from the SBA SBIR/STTR Policy Directive, the Federal Acquisition Regulation (FAR), and other cited regulations apply for the purposes of this BAA:

3.1 Performance Benchmarks for Progress toward Commercialization

In accordance with the SBA SBIR-STTR Policy Directive Sec 6(a)(7), DoD established a threshold for the application of a benchmark where it is applied only to Phase I applicants that have received more than twenty (20) awards over the prior five (5) fiscal years as determined by the Small Business Administration.

The ratio of Phase II awards received to Phase I awards received during this period must be at least 0.25.

Additional information on performance benchmarking for Phase I applicants can be found at https://www.sbir.gov/performance-benchmarks.

3.2 Commercialization

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

3.3 Cooperative Research and Development

Research and development conducted jointly by a small business concern and a research institution. For purposes of the SBIR Program, this refers to work conducted by a research institution as a subcontractor to the small business concern. At least two-thirds of the research and/or analytical work in Phase I must be conducted by the proposing firm.

3.4 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 the objective are the same or closely related to another proposal or award, regardless of the funding source.

3.5 Export Control

The International Traffic in Arms Regulations (ITAR), 22 CFR Parts 120 through 130, and the Export

Administration Regulations (EAR), 15 CFR Parts 730 through 799, will apply to all projects with military or dual-use applications that develop beyond fundamental research, which is basic and applied research ordinarily published and shared broadly within the scientific community. More information is available at https://www.pmddtc.state.gov/ddtc_public.

NOTE: Export control compliance statements found in the individual Component-specific proposal instructions are not meant to be all inclusive. They do not remove any liability from the submitter to comply with applicable ITAR or EAR export control restrictions or from informing the Government of any potential export restriction as fundamental research and development efforts proceed.

3.6 Federal Laboratory

As defined in 15 U.S.C. §3703, means any laboratory, any federally funded research and development center (FFRDC), or any center established under 15 U.S.C. §§ 3705 & 3707 that is owned, leased, or otherwise used by a Federal agency and funded by the Federal Government, whether operated by the Government or by a contractor.

3.7 Foreign Nationals

Foreign Nationals (also known as Foreign Persons) as defined by 22 CFR 120.16 means any natural person who is not a lawful permanent resident as defined by 8 U.S.C. § 1101(a)(20) or who is not a protected individual as defined by 8 U.S.C. § 1324b(a)(3). It also means any foreign corporation, business association, partnership, trust, society or any other entity or group that is not incorporated or organized to do business in the United States, as well as international organizations, foreign governments and any agency or subdivision of foreign governments (e.g., diplomatic missions).

“Lawfully admitted for permanent residence” means 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, such status not having changed.

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

3.8 Fraud, Waste and Abuse

a. 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.

b. 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.

c. Abuse includes any intentional or improper use of Government resources, such as misuse of rank, position, or authority or resources.

d. The SBIR Program training related to Fraud, Waste and Abuse is available at:

https://www.sbir.gov/tutorials/fraud-waste-abuse/tutorial-1. See Section 4.18 for reporting Fraud, Waste and Abuse.

3.9 Funding Agreement

Any contract, 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. Only the contract method will be used by DoD Components for all SBIR awards.

3.9 HBCU/MI - Historically Black Colleges and Universities and Minority Institutions

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

3.11 Certified HUBZone Small Business Concern

An SBC that has been certified by SBA under the Historically Underutilized Business Zones (HUBZone) Program (13 C.F.R. § 126) as a HUBZone firm listed in the Dynamic Small Business Search (DSBS).

3.12 Principal Investigator

The principal investigator/project manager is the one individual designated by the applicant to provide the scientific and technical direction to a project supported by the funding agreement.

For both Phase I and Phase II, the primary employment of the principal investigator must be with the small business firm at the time of 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.

This precludes full-time employment with another organization. Occasionally, deviations from this requirement may occur, and must be approved in writing by the contracting officer after consultation with the agency SBIR/STTR Program Manager/Coordinator. Further, a small business firm or research institution may replace the principal investigator on an SBIR/STTR Phase I or Phase II award, subject to approval in writing by the contracting officer.

3.13 Proprietary Information

Proprietary information is information that you provide which constitutes a trade secret, proprietary commercial or financial information, confidential personal information or data affecting the national security.

3.14 Research Institution

Any organization located in the United States that is:

a. A university.

b. A nonprofit institution as defined in Section 4(5) of the Stevenson-Wydler Technology

Innovation Act of 1980.

c. A contractor-operated federally funded research and development center, as identified by the

National Science Foundation in accordance with the government-wide Federal Acquisition Regulation issued in accordance with Section 35(c)(1) of the Office of Federal Procurement Policy Act. A list of eligible FFRDCs is available at: https://www.nsf.gov/statistics/ffrdclist/.

3.15 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 design, development, and improvement of prototypes and new processes to meet specific requirements.

3.16 Research Involving Animal Subjects

All activities involving animal subjects shall be conducted in accordance with DoDI 3216.01 “Use of Animals in DoD Programs,” 9 C.F.R. parts 1-4 “Animal Welfare Regulations,” National Academy of Sciences Publication “Guide for the Care & Use of Laboratory Animals,” as amended, and the Department of Agriculture rules implementing the Animal Welfare Act (7 U.S.C. §§ 2131-2159), as well as other applicable federal and state law and regulation and DoD instructions.

“Animal use” protocols apply to all activities that meet any of the following criteria:

a. Any research, development, test, evaluation or training, (including experimentation) involving an animal or animals.

b. An animal is defined as any living or dead, vertebrate organism (non-human) that is being used or is intended for use in research, development, test, evaluation or training.

c. A vertebrate is a member of the subphylum Vertebrata (within the phylum Chordata), including birds and cold-blooded animals.

See DoDI 3216.01 for definitions of these terms and more information about the applicability of DoDI

3216.01 to work involving animals.

3.17 Research Involving Human Subjects

All research involving human subjects shall be conducted in accordance with 32 C.F.R. § 219 “The Common Rule,” 10 U.S.C. § 980 “Limitation on Use of Humans as Experimental Subjects,” and DoDD

3216.02 “Protection of Human Subjects and Adherence to Ethical Standards in DoD-Supported Research,” as well as other applicable federal and state law and regulations, and DoD component guidance. Proposers must be cognizant of and abide by the additional restrictions and limitations imposed on the DoD regarding research involving human subjects, specifically as they regard vulnerable populations (DoDD 3216.02), recruitment of military research subjects (DoDD 3216.02), and informed consent and surrogate consent (10 U.S.C. § 980) and chemical and biological agent research (DoDD 3216.02). Food and Drug Administration regulation and policies may also apply.

“Human use” protocols apply to all research that meets any of the following criteria:

a. Any research involving an intervention or an interaction with a living person that would not be occurring or would be occurring in some other fashion but for this research.

b. Any research involving identifiable private information. This may include data/information/specimens collected originally from living individuals (broadcast video, web-use logs, tissue, blood, medical or personnel records, health data repositories, etc.) in which the identity of the subject is known, or the identity may be readily ascertained by the investigator or associated with the data/information/specimens.

See DoDD 3216.02 for definitions of these terms and more information about the applicability of DoDI

3216.02 to research involving human subjects.

3.18 Research Involving Recombinant DNA Molecules

Any recipient performing research involving recombinant DNA molecules and/or organisms and viruses containing recombinant DNA molecules shall comply with the National Institutes of Health Guidelines for Research Involving Recombinant DNA Molecules, dated January 2011, as amended. The guidelines can be found at:

https://osp.od.nih.gov/wp-content/uploads/2016/05/NIH_Guidelines.pdf. Recombinant DNA is defined as (i) molecules that are constructed outside living cells by joining natural or synthetic DNA segments to DNA molecules that can replicate in living cells or

(ii) molecules that result from the replication of those described in (i) above.

3.19 Service-Disabled Veteran-Owned Small Business (SDVOSB)

A small business concern owned and controlled by a Service-Disabled Veteran or Service-Disabled Veterans, as defined in Small Business Act 15 USC § 632(q)(2) and SBA’s implementing SDVOSB regulations (13 CFR 125).

3.20 Small Business Concern (SBC)

A concern that meets the requirements set forth in 13 C.F.R. § 121.702 (available here).

An SBC must satisfy the following conditions on the date of award:

a. Is organized for profit, with a place of business located in the United States, which operates primarily within the United States or which makes a significant contribution to the United States economy through payment of taxes or use of American products, materials or labor;

b. Is in the legal form of an individual proprietorship, partnership, limited liability company, corporation, joint venture, association, trust or cooperative, except that if the concern is a joint venture, each entity to the venture must meet the requirements set forth in paragraph (c) below;

c. Is more than 50% directly owned and controlled by one or more individuals (who are citizens or permanent resident aliens of the United States), other small business concerns (each of which is more than 50% directly owned and controlled by individuals who are citizens or permanent resident aliens of the United States), or any combination of these; and

d. Has, including its affiliates, not more than 500 employees. (For explanation of affiliate, see www.sba.gov/size.)

3.21 Subcontract

A subcontract is any agreement, other than one involving an employer-employee relationship, entered into by an awardee of a funding agreement calling for supplies or services for the performance of the original funding agreement. This includes consultants.

3.22 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.

3.23 Women-Owned Small Business Concern

An SBC that is at least 51% owned by one or more women, or in the case of any publicly owned business, at least 51% of the stock is owned by women, and women control the management and daily business operations.

3.24 Business Concern that is Majority-Owned by Multiple Venture Capital Operating Companies, Hedge Funds or Private Equity Firms

A concern which is more than 50% owned by multiple venture capital operating companies, hedge funds, private equity firms, or any combination of these as set forth in 13 C.F.R. § 121.702.

4.0 PROPOSAL FUNDAMENTALS

4.1 Introduction

The proposal must provide sufficient information to demonstrate to the evaluator(s) 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, although it need not use the exact approach specified in the topic. Anyone contemplating a proposal for work on any specific topic should determine that:

a. The technical approach has a reasonable chance of meeting the topic objective,

b. This approach is innovative, not routine, with potential for commercialization and

c. The proposing firm has the capability to implement the technical approach, i.e., has or can obtain people and equipment suitable to the task.

4.2 Proposer Eligibility and Performance Requirements

a. Each proposer must qualify as a small business concern as defined by 13 C.F.R §§ 701-705 at time of award and certify to this in the Cover Sheet section of the proposal. The eligibility requirements for the SBIR/STTR programs are unique and do not correspond to those of other small business programs (see Section 3.15 of this BAA). Proposers must meet eligibility requirements for Small Business Ownership and Control (see 13 CFR § 121.702).

b. A minimum of two-thirds of the research and/or analytical work in Phase I must be conducted by the proposing firm. For Phase II, a minimum of one-half (50%) of the research and/or analytical work must be performed by the proposing firm. The percentage of work is measured by both direct and indirect costs.

c. 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.

d. For both Phase I and Phase II, all research or research and development work must be performed by the small business concern and its subcontractors in the United States.

e. Benchmarks. Proposers with prior SBIR/STTR awards must meet two benchmark requirements for Progress towards Commercialization as determined by the Small Business Administration (SBA) on June 1 each year.

(1) Phase I to Phase II Transition Rate: For all proposers with greater than 20

Phase I awards over the past five fiscal years excluding the most recent year, the ratio of Phase II awards to Phase I awards must be at least 0.25.

(2) Commercialization Benchmark: For all proposers with greater than 15 Phase

II awards over the last ten fiscal years excluding the last two years, the proposer must have received, to date, an average of at least $100,000 of sales and/or investments per Phase II award received or have received a number of patents resulting from the SBIR work equal to or greater than 15% of the number of Phase II awards received during the period.

Consequence of failure to meet the benchmarks:

SBA will identify and notify Agencies on June 1st of each year the list of companies which fail to meet minimum performance requirements. These companies will not be eligible to submit a proposal for a Phase I award for a period of one year from that date.

Because this requirement only affects a company’s eligibility for new Phase I awards, a company that fails to meet minimum performance requirements may continue working on its current ongoing SBIR/STTR awards and may apply for and receive new Phase II and Phase III awards.

To provide companies with advance warning, SBA notifies companies on April 1st if they are failing the benchmarks. If a company believes that the information used was not complete or accurate, it may provide feedback through the SBA Company Registry at www.sbir.gov.

In addition, SBA has posted a Guide to SBIR/STTR Program Eligibility to help small businesses understand program eligibility requirements, determine if they will be eligible at the time of award, and accurately complete necessary certifications.

The benchmark information on the companies will not be available to the public.

More detail is available at https://www.sbir.gov/performance-benchmarks.

4.3 Joint Ventures

Joint ventures and limited partnerships are permitted, provided that the entity created qualifies as a small business in accordance with the Small Business Act, 13 U.S.C. § 121.701.

4.4 Majority Ownership in Part

Majority ownership in part by multiple venture capital, hedge fund, and private equity firms: Small businesses that are owned in majority part by multiple venture capital operating companies (VCOCs), hedge funds, or private equity funds are ineligible to submit applications or receive awards for opportunities in this BAA.

4.5 Conflicts of Interest

Contract awards to firms 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

4.6 Classified Proposals

Classified proposals will not be accepted under the DoD SBIR Program. If topics will require classified work during Phase II, the proposing firm must have a facility clearance in order to perform the Phase II work. For more information on facility and personnel clearance procedures and requirements, please visit the Defense Security Service Web site at: http://www.dss.mil/index.html.

4.7 Research Involving Human Subjects

For Phase I purposes, proposals submitted in response to this BAA shall not include research involving human subjects. The following language still applies to any future phase awards should research involving human subjects be proposed at that point.

All research involving human subjects, to include use of human biological specimens and human data, shall comply with the applicable federal and state laws and agency policy/guidelines for human subject protection (see Section 3.12).

Institutions to be awarded funding for research involving human subjects must provide documentation of a current Federal Assurance of Compliance with Federal regulations for human subject protection, for example a Department of Health and Human Services, Office for Human Research Protections Federal- wide Assurance (http://www.hhs.gov/ohrp). Additional Federal Assurance documentation may also be requested by the awarding DoD Component. All institutions engaged in human subject research, to include subcontractors, must also have a valid Assurance. In addition, personnel involved in human subjects research must provide documentation of completing appropriate training for the protection of human subjects. Institutions proposing to conduct human subject research that meets one of the exemption criteria in 32 CFR

219.101 are not required to have a Federal Assurance of Compliance. Proposers should clearly segregate research activities involving human subjects from other research and development activities in their proposal.

If selected, institutions must also provide documentation of Institutional Review Board (IRB) approval or a determination from an appropriate official in the institution that the work meets one of the exemption criteria with 32 CFR 219. As part of the IRB review process, evidence of appropriate training for all investigators should accompany the protocol. The protocol, separate from the proposal, must include a detailed description of the research plan, study population, risks and benefits of study participation, recruitment and consent process, data collection and data analysis.

The amount of time required for the IRB to review and approve the protocol will vary depending on such things as the IRB’s procedures, the complexity of the research, the level of risk to study participants and the responsiveness of the Investigator. The average IRB approval process can last between one and three months. Once the IRB has approved the research, the awarding DoD Component will review the protocol and the IRB’s determination to ensure that the research will be conducted in compliance with DoD and

DoD Component policies. The DoD review process can last between three to six months.

Ample time should be allotted to complete both the IRB and DoD approval processes prior to recruiting subjects. No funding can be used towards human subject research until ALL approvals are granted. Submitters proposing research involving human and/or animal use are encouraged to separate these tasks in the technical proposal and cost proposal in order to avoid potential delay of contract award.

4.8 Research Involving Animal Subjects

involving animal subjects. The following language still applies to any future phase awards should research involving animal subjects be proposed at that point.

All research, development, testing, experimentation, education or training involving the use of animals shall comply with the applicable federal and agency rules on animal acquisition, transport, care, handling, and use (see Section 3.11).

For submissions containing animal use, proposals should briefly describe plans for their Institutional Animal Care and Use Committee (IACUC) review and approval.

All Recipients must receive their IACUC’s approval as well as secondary or headquarters-level approval by a DoD veterinarian who is trained or experienced in laboratory animal medicine and science. No animal research may be conducted using DoD funding until all the appropriate DoD office(s) grant approval. Submitters proposing research involving human and/or animal use are encouraged to separate these tasks in the technical proposal and cost proposal in order to avoid potential delay of contract award.

4.9 Research Involving Recombinant DNA Molecules

involving recombinant DNA molecules. The following language still applies to any future phase awards should research involving recombinant DNA molecules be proposed at that point.

All research involving recombinant DNA molecules shall comply with the applicable federal and state law, regulation and any additional agency guidance. Research shall be approved by an Institutional Biosafety Committee.

4.10 Debriefing/Technical Evaluation Narrative

After final award decisions have been announced, the technical evaluations of the submitter's proposal may be provided to the submitter. Debrief instructions and timelines will be submitted along with select/non-select notices following technical evaluations and award selections. Please note debriefs are typically provided in writing via email to the Corporate Official identified in the firm proposal within 60 days of receipt of the request. Requests for oral debriefs may not be accommodated. If contact information for the Corporate Official has changed since proposal submission, a notice of the change on company letterhead signed by the Corporate Official must accompany the debrief request.

4.11 Pre-Award and Post Award BAA Protests

Interested parties have the right to protest as prescribed in FAR 33.106(b) and FAR 52.233-2. For purposes of pre-award protests related to the terms of this BAA, as well as protests related to a selection or award decision, protests should be served to the Contracting Officer (listed below). For protests filed with the Government Accountability Office (GAO), a copy of the protest shall be submitted to the Contracting Officer listed below within one day of filing with the GAO. Protests of small business status of a selected firm may also be made to the Small Business Administration.

Army Contracting Command – Aberdeen Proving Ground (Research Triangle Park Division)

Mr. Christopher Justice Contracting Officer E-mail:

christopher.d.justice4.civ@mail.m il

4.12 Phase I Award Information

All Phase I and Phase II proposals will be evaluated and judged on a competitive basis.

Proposals will be initially screened to determine responsiveness. Proposals passing this initial screening will be technically evaluated by Government employee engineers or scientists to determine the most promising technical and scientific approaches. Each proposal will be judged on its own merit. The Army is under no obligation to fund any proposal or any specific number of proposals in a given topic. It also may elect to fund several or none of the proposed approaches to the same topic.

a. Number of Phase I Awards. The number of Phase I awards will be consistent with the Army SBIR PMO budget, with up to 15 awards expected per topic.

b. Type of Funding Agreement. Phase I awards will be made via Firm Fixed Price contract or small purchase (Purchase Order).

c. Dollar Value. Phase I awards under this BAA may not exceed $200,000.00, consisting of only a base period (no option period).

d. Timing. The Army anticipates, but is not bound to, award of Phase I contracts within 45 days of solicitation closing.

4.13 Phase II Award Information

The Army expects Phase I awardees to submit Phase II proposals no more than 30 days prior to the end of the period of performance of the Phase I contract. Further details on the due date, content, and submission requirements of the Phase II proposal will be provided by the Army by subsequent notification following Phase I award.

Additional Phase II Information:

a. Number of Phase II Awards. The number of Phase II awards will be consistent with the Army SBIR PMO budget, with up to 5 awards expected per topic.

b. Type of Funding Agreement. Phase II awards will be made via Firm Fixed Price contract or cost reimbursement/cost plus fixed fee contract.

c. Dollar Value. Phase II contracts awarded as a result of this BAA will be 9 to 24 months in length, with a consolidated $1,500,000 traditional award funded by SBIR funding, plus a potential additional $1,000,000 (or more) consisting of $500,000 in SBIR funding and at least $500,000 in non-SBIR matching funding (Government or private sector). Refer to the “Program Description” section of this BAA for a more detailed discussion.

d. Timing. The average time between DoD's receipt of a Phase II proposal and the award of a Phase II contract is six months. However, the Army intends to use accelerated evaluation, selection, and award processes to minimize the gap between the end of a Phase I award and the start of the Phase II award.

Additional Phase IIB Information:

a. Number of Phase IIB Awards. The number of Phase IIB awards is unknown at this time and is subject to non-SBIR program support as described in the “Program Description” section of this BAA.

b. Type of Funding Agreement. Phase IIB awards will be made via Firm Fixed Price contract or cost reimbursement/cost plus fixed fee contract, or potentially an Other Transaction (OT).

c. Dollar Value. Phase IIB awards are sequential Phase 2 awards that use SBIR, other Government non-SBIR program funding, and private investment in a 1:1:2 ratio.

The maximum SBIR contribution to the contract would be $6,000,000.Refer to the “Program Description” section of this BAA for a more detailed discussion.

d. Timing. Dependent on proposal submission time, technical scope of proposal submission and coordination with Government non-SBIR program funding office.

4.14 Questions about this BAA and BAA Topics

a. General Questions Concerning this BAA and BAA Topics. For general questions related to the contents of this BAA, please contact the Army SBIR PMO via email at usarmy.apg.ccdc.mbx.sbir-program-managers-helpdesk@mail.mil.

b. Proposal Submission Questions. For questions related to the proposal preparation and electronic submission process via DSIP, please contact the DOD SBIR/STTE Help Desk from 9:00 AM through 5:00 PM, Monday through Friday at (703) 214-1333 or dodsbirsupport@reisystems.com.

c. Direct Contact with Topic Authors During Pre-Release. During the pre-release period of August 24, 2020 through September 17, 2020, proposers may contact the topic authors listed in this BAA via telephone or e-mail to ask technical questions regarding the specific topics.

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 solution approach, and additional material may not be submitted to the topic author for review.

d. Pre-Release Webinars. A series of webinars will be conducted on both the SPARTN program in general and the specific topics during the pre-release period. Companies can register for these webinars on Eventbrite at https://aal_innovation.eventbrite.com/ and the dial in information will be sent prior to the event. The webinars will be hosted on Google Meets.

Webinar Schedule:

General SPRTN Webinar #1 - AUG 28 – 1:00 PM ET General SPRTN Webinar #2 - SEP 08 – 2:00 PM ET Fire Faster Webinar #1 - AUG 27 – 5:00 PM ET Fire Faster Webinar #2 - SEP 03 1:30 PM ET

Any changes in date or time of the webinars will be posted on aal.army/spartn and on SITIS. All webinars will be recorded and posted to aal.army/spartn, as well as in SITIS, after the event.

e. Topic Q&A (formerly SITIS). Once DoD begins accepting proposals on

September 18, 2020 no further direct contact between proposers and topic authors is allowed unless the Topic Author is responding to a question submitted during the Pre-release period. However, proposers may submit written questions through Topic Q&A at https://www.dodsbirsttr.mil/submissions/login. In Topic Q&A, the questioner and respondent remain anonymous and all questions and answers are posted electronically for general viewing.

Questions are limited to technical information related to improving the understanding of a topic’s requirements. Any other questions, such as those asking for advice or guidance on solution approach, will not receive a response. Proposing firms may locate the topic to which they want to submit a technical question by using the Topic Search feature on this Web site.

Then, using the form at the bottom of the topic description, enter and submit the question. Answers are generally posted within seven (7) business days of question submission (answers will also be e-mailed directly to the inquirer).

The DSIP Topic Q&A for this BAA opens on September 8, 2020 and closes to new questions on September 17, 2020 at 12:00 PM ET. Once the BAA closes to proposal submission, no communication of any kind with the topic author or through Topic Q&A regarding your submitted proposal is allowed.

Proposing firms are advised to monitor Topic Q&A during the BAA period for questions and answers. Proposing firms should also frequently monitor DSIP for updates and amendments to the topics.

4.15 Registrations and Certifications

Proposing firms must be registered in the Defense SBIR/STTR Innovation Portal (DSIP) at:

https://www.dodsbirsttr.mil/submissions/ in order to prepare and submit proposals.

Before the DoD Components can award a contract, proposing firms must be registered in the System for Award Management (SAM). If you were previously registered in CCR, your information has been transferred to SAM. However, it is in the firm’s interest to visit

SAM and ensure that all of the firm’s data is up to date from SAM and other databases to avoid delay in award. SAM replaced the Central Contractor Registration (CCR), Online Representations and Certifications Application (ORCA), and the Excluded Parties List System (EPLS). SAM allows firms interested in conducting business with the federal government to provide basic information on business capabilities and financial information.

To register, visit www.sam.gov.

Follow instructions found on the SAM Web site on how to obtain a Commercial and Government Entry (CAGE) code and Data Universal Numbering System (DUNS) number. Once a CAGE code and DUNS number are obtained, update the firm’s profile on the Defense SBIR/STTR Innovation Portal (DSIP) at https://www.dodsbirsttr.mil/submissions/.

In addition to the standard federal and DoD procurement certifications, the SBA SBIR Policy Directive requires the collection of certain information from firms at time of award and during the award life cycle. Each firm must provide this additional information at the time of the Phase I and Phase II award, prior to final payment on the Phase I award, prior to receiving 50% of the total award amount for a Phase II award, and prior to final payment on the Phase II award.

4.16 Promotional Materials

Promotional and non-project related discussion is discouraged, and additional information provided via Universal Resource Locator (URL) links or on computer disks, CDs, DVDs, video tapes or any other medium will not be accepted or considered in the proposal evaluation.

4.17 Prior, Current, or Pending Support of Similar Proposals or Awards

IMPORTANT -- While it is permissible, with proposal notification, to submit identical proposals or proposals containing a significant amount of essentially equivalent work for consideration under numerous federal program BAAs or solicitations, it is unlawful to enter into contracts or grants requiring essentially equivalent effort. If there is any question concerning prior, current, or pending support of similar proposals or awards, it must be disclosed to the soliciting agency or agencies as early as possible.

4.18 Fraud and False Statements

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

The Department of Defense, Office of Inspector General Hotline (“Defense Hotline”) is an important avenue for reporting fraud, waste, abuse, and mismanagement within the Department of Defense. The Office of Inspector General operates this hotline to receive and investigate complaints or information from contractor employees, DoD civilians, military service members and public citizens.

Individuals who wish to report fraud, waste or abuse may contact the Defense Hotline at (800) 424-9098 between 8:00 a.m. and 5:00 p.m. Eastern Time or visit http://www.dodig.mil/Components/Administrative- Investigations/DoD- Hotline/Hotline-Complaint/ to submit a complaint. Mailed correspondence should be addressed to the Defense Hotline, The Pentagon, Washington, DC 20301-1900, or e-mail addressed to hotline@dodig.mil.

4.19 Adequate Accounting System

In order to reduce risk to the small business and avoid potential contracting delays, it is suggested that companies interested in pursuing Phase II SBIR contracts and other contracts of similar size with the Department of Defense (DoD), have an adequate accounting system per General Accepted Accounting Principles (GAAP), Generally Accepted Government Auditing Standards (GAGAS), Federal Acquisition Regulation (FAR) and Cost Accounting Standards (CAS) in place. The accounting system will be audited by the Defense Contract Audit Agency (DCAA). DCAA’s requirements and standards are available on their Website at: http://www.dcaa.mil and click on “Guidance” and then click on “Audit Process Overview Information for Contractors,” and also at: http://www.dcaa.mil and click on “Checklists and Tools” and then click on “Pre-award Accounting System Adequacy Checklist.”

4.20 State and Other Assistance Available

Many states have established programs to provide services to those small business firms and individuals wishing to participate in the Federal SBIR Program. These services vary from state to state, but may include:

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