NAVY-20_4 BAA-OPEN-v2.doc

DEPARTMENT OF THE NAVY (DON)

20.4 Small Business Innovation Research (SBIR)

Defense Industrial Base (DIB) Technology Acceleration

DEPARTMENT OF THE NAVY (DON)

SMALL BUSINESS INNOVATION RESEARCH (SBIR) PROGRAM

DON SBIR 20.4 - Engaging the Defense Industrial Base (DIB)

SBIR Technology Acceleration Broad Agency Announcement (BAA) April 13, 2020: DON 20.4 BAA issued for Pre-release April 27, 2020: DON 20.4 BAA begins accepting proposals May 28, 2020: Deadline for receipt of proposals no later than 12:00 noon EDT

IMPORTANT

· DON is requesting, from innovative startups and firms, proposals that demonstrate development and commercialization of dual-use technologies responsive to topic requirements while also meeting unmet market demands. Companies proposing scalable high-impact technologies addressing commercial market needs that can be leveraged by the Navy are strongly encouraged to apply.

· This BAA leverages Navy Technology Acceleration processes resulting in awards within 45 days from the close of this BAA, and initial payments within 15 days of awards.

· Proposers that are more than 50% owned by multiple venture capital operating companies (VCOC), hedge funds (HF), private equity firms (PEF) or any combination of these (as defined in section 3.24) are eligible to submit proposals in response to topics in this BAA.

· Submission: Proposals for the DON 20.4 DIB SBIR Phase I Technology Acceleration BAA will 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 noon EDT, May 28, 2020. Proposals submitted after that time will not be accepted.

· Classified proposals are NOT allowed.

· A Phase I proposal template, unique to Technology Acceleration topics, will be available prior to the BAA open date to assist small businesses with generating a Phase I Technical Proposal (Volume 2). The template will be located on https://www.navysbir.com/links_forms.htm.

· For general questions related to the instructions of this BAA, please contact the DON SBIR/STTR Program Management Office (PMO) via email at navy-sbir-sttr@navy.mil.

· If you have questions related to the proposal submission process via the DSIP, please contact the DoD SBIR/STTR Help Desk at 1-703-214-1333 or dodsbirsupport@reisystems.com.

TABLE OF CONTENTS

1.0

INTRODUCTION

NAVY - 4

2.0

PROGRAM DESCRIPTION

NAVY - 4

3.0

DEFINTIONS

NAVY - 5

4.0

PROPOSAL FUNDAMENTALS

NAVY - 9

5.0

PHASE I PROPOSAL

NAVY - 15

6.0

PHASE I EVALUATION CRITERIA

NAVY - 19

7.0

PHASE I CONTRACT

NAVY - 19

8.0

PHASE II PROPOSAL

NAVY - 20

9.0

PHASE II EVALUATION CRITERIA

NAVY - 21

10.0

COMMERCIALIZATION READINESS PROGRAM (CRP)

NAVY - 21

11.0

CONTRACTUAL REQUIREMENTS

NAVY - 22

12.0

TOPIC INDEX & DESCRIPTIONS

NAVY - 26

OVERVIEW INFORMATION

Federal Agency Name – Department of the Navy (DON) Funding Opportunity Title: Small Business Innovation Research (SBIR) Announcement Type: Phase I – Defense Industrial Base (DIB) Technology Acceleration Key Dates (All times listed herein are Eastern Time.):

Pre-release: April 13, 2020 Open: April 27, 2020 Close: May 28, 2020 Funding Opportunity: Department of the Navy is requesting, from innovative startups and firms, proposals that demonstrate development and commercialization of dual-use technologies responsive to topic requirements while also meeting unmet market demands. Companies proposing scalable high-impact technologies addressing commercial market needs that can be leveraged by the Navy are strongly encouraged to apply.

Unique Technology Acceleration features and requirements:

· Five (5) page Technical Proposal (Volume 2)

· Phase I Base only, no Phase I Option

· Phase I Base cost not to exceed $150,000

· Phase I Base period of performance is five (5) months

· No discretionary Technical and Business Assistance (TABA) will be authorized for Phase I

· Technology Acceleration topics are broad in scope with multiple Focus Areas. Only ONE proposal will be accepted per proposer per Technology Acceleration topic; therefore, each proposer must select one Focus Area under which to propose. In the event a proposer submits more than one proposal per Technology Acceleration topic, DON will only evaluate the proposal submission with the latest date and time stamp – all other proposals submitted to the same Technology Acceleration topic by the same proposer will be rejected.

· Phase I Kick-Off Brief will be required as the first deliverable on the Phase I contract.

For general questions related to the instructions of this BAA, please contact the DON SBIR/STTR Program Management Office (PMO) via email at navy-sbir-sttr@navy.mil.

1.0 INTRODUCTION

Department of the Navy is requesting, from innovative startups and firms, proposals that demonstrate development and commercialization of dual-use technologies responsive to topic requirements while also meeting unmet market demands. Companies proposing scalable high-impact technologies addressing commercial market needs that can be leveraged by the Navy are strongly encouraged to apply.

While the Phase II proposal process is covered in this announcement, this BAA is for Phase I proposals only.

A separate BAA will not be issued requesting Phase II proposals, and unsolicited proposals will not be accepted. All firms that are awarded Phase I awards originating from this DON 20.4 BAA will be eligible to participate in Phase II competitions and potential Phase III awards. The DON will provide, either in the Phase I award or by subsequent notification, full details on the due date, content, and submission requirements of the Phase II proposal . If a firm submits its Phase II proposal prior to the dates provided, it may be rejected without evaluation.

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

2.0 PROGRAM DESCRIPTION

2.1 Objectives DON SBIR/STTR Programs are mission-oriented programs that integrate the needs and requirements of the DON’s Fleet through research and development (R&D) topics that have dual use potential, but primarily address the needs of the DON. More information on the programs can be found on the DON 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.

DoD SBIR/STTR Programs and DON SBIR/STTR Programs follow the policies and practices of the Small Business Administration (SBA) SBIR and STTR Policy Directive updated on May 2, 2019. The guidelines presented in this BAA incorporate and make use of the flexibility of the SBA SBIR and STTR Policy Directive to encourage proposals based on scientific and technical approaches most likely to yield results important to the DON and the private sector. The SBIR and STTR Policy Directive is available at: https://www.sbir.gov/sites/default/files/SBIR-STTR_Policy_Directive_2019.pdf.

2.2 Three Phase Program The SBIR Program is a three-phase program. Phase I is to determine, to the extent possible, the scientific, technical, and commercial merit and feasibility of ideas submitted under the SBIR Program. Phase I awards for this DON 20.4 Technology Acceleration BAA will be $150,000 each. Phase I awards for the DON 20.4 Technology Acceleration BAA will have a period of performance of 5 months. Proposals should concentrate on research or research and development (R/R&D) that will significantly contribute to proving the scientific and technical feasibility, and commercialization potential of the proposed effort, the successful completion of which is a prerequisite for further support in Phase II. Proposers are encouraged to consider whether the R/R&D being proposed also has private sector potential, either for the proposed application or as a base for other applications.

Phase II awards will be made to firms on the basis of results of their Phase I efforts and/or the scientific merit, technical merit, and commercialization potential of the Phase II proposal. The maximum Phase II proposal/award amount including all Options is $1,700,000 (unless non-SBIR/STTR funding is being added). Individual DON Systems Commands (SYSCOMs) may award amounts, including Base and all Options, of less than $1,700,000 based on available funding. The structure of the Phase II proposal/award, including maximum amounts as well as the breakdown between Base and Option amounts, will be provided to all Phase I awardees either in the Phase I award or in a subsequent notification. A Phase II contractor may receive up to one additional, sequential Phase II award for continued work on the project.

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 by sources other than the SBIR Program. Phase III work is typically oriented toward commercialization of SBIR research or technology.

3.0 DEFINITIONS

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

3.1 Performance Benchmarks for Progress Toward Commercialization SBA SBIR and STTR Policy Directive Sec 6.(a)(7) establishes 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 SBA. The ratio of Phase II awards received to Phase I awards received during this period must be at least 0.25.

Phase I applicants can find additional information on performance benchmarking 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 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/?id=ddtc_kb_article_page&sys_id=24d528fddbfc930044f9ff621f961987.

NOTE: Export control compliance statements found in this BAA or Navy proposal instructions or templates 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, and 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. See Section 4.19, Fraud and False Statements, 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.

3.10 HBCU/MI – Historically Black Colleges and Universities and Minority Institutions Listing 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 the Phase I and Phase II, the primary employment of the principal investigator must be with the small business concern 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 concern 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 instruction 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 issues 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/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: https://www.govinfo.gov/content/pkg/CFR-2011-title13-vol1/pdf/CFR-2011-title13-vol1-sec121-702.pdf).

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. Section 4.4, Majority Owned in Part, identifies if concerns are eligible to submit proposals in response to this BAA.

4.0 PROPOSAL FUNDAMENTALS

Unless otherwise specified, Section 4 applies to both Phase I and Phase II.

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. Proposers must meet eligibility requirements for Small Business Ownership and Control (see 13 CFR § 121.702 and Section 4.4 of this BAA). 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 guide can be found here:

https://www.sbir.gov/sites/default/files/elig_size_compliance_guide.pdf

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 concern 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) For all proposers with greater than 20 Phase I awards over the past five fiscal years excluding the most recent year (currently FY 2014-2018), the ratio of Phase II awards to Phase I awards must be at least 0.25.

(2) For all proposers with greater than 15 Phase II awards over the last ten fiscal years excluding the last two years (currently FY 2008-2017), 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 that fail to meet minimum performance requirements. These companies are not eligible to submit a proposal for a Phase I award for a period of one year from that date.

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

Proposers which are more than 50% owned by multiple venture capital operating companies (VCOC), hedge funds (HF), private equity firms (PEF) or any combination of these (as defined in Section 3.24) are eligible to submit proposals in response to topics within this BAA.

The following must be satisfied for proposals to be accepted and evaluated:

a. Prior to submitting a proposal concerns must register with the SBA Company Registry Database.

b. The proposer within its submission must submit the Majority-Owned VCOC, HF, and PEF Certification. This certification must be included in the Supporting Documents Volume (Volume 5). A copy of the Certification for Applicants can be found at https://navysbir.com/Docs/SBIR_VC_Certification.pdf.

c. Should a proposer become a member of this ownership class after submitting its application and prior to any receipt of a funding agreement, the proposer must immediately notify the Contracting Officer, register in the appropriate SBA database, and submit the required certification which can be found on https://navysbir.com/links_forms.htm.

4.5 Conflicts of Interest

Contract awards to proposers 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 this DON 20.4 Technology Acceleration BAA. If topics will require classified work during Phase II, the proposer 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

Due to the short timeframe associated with Phase I of the SBIR/STTR process, the DON is not accepting proposals with research that proposes use of human subjects (see Section 3.17). If selected for Phase II, instructions for inclusion of this type of research will be provided by the awarding SYSCOM.

The ability to obtain Institutional Review Board (IRB) approval for proposals that involve human subjects can take 6-12 months. Before the DON 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. If the use of human subjects is included under a 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. No funding can be provided towards research involving human subjects until ALL approvals are granted.

4.8 Research Involving Animal Subjects

Due to the short timeframe associated with Phase I of the SBIR/STTR process, the DON is NOT accepting proposals with research involving animal subjects. If selected for Phase II, instructions for inclusion of this type of research will be provided by the awarding SYSCOM.

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 3.16).

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.

4.9 Research Involving Recombinant DNA Molecules

Due to the short timeframe associated with Phase I of the SBIR/STTR process, the DON is NOT accepting proposals with research involving recombinant DNA molecules. If selected for Phase II, instructions for inclusion of this type of research will be provided by the awarding SYSCOM.

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 Debrief

Requests for a debrief must be made within 15 calendar days of select/non-select notification via email as specified in the select/non-select notification. Please note debriefs are typically provided in writing via email to the Corporate Official identified in the 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 BAA Protests

Interested parties have the right to protest this BAA by filing directly with the Contracting Officer (listed below) with the protest, or by filing with the Government Accountability Office (GAO). If the protest is filed with the GAO, a copy of the protest must be received in the office designated below within one day of filing with the GAO. The protesting firm shall obtain written and dated acknowledgment of receipt of the protest from:

Dina Marinelli, Contracting Officer dina.marinelli@navy.mil

4.12 Selection and Award Protests

Protest of Phase I and Phase II selections and awards need to be directed to the cognizant Contracting Officer for the DON Topic Number or filed with the GAO. Contact information for the Contracting Officer may be obtained from the DON SBIR/STTR Program Management Office listed in the select/non-select notification. If the protest is to be filed with GAO, please refer to instructions provided in Section 4.11 of this instruction. Protests of the small business status of a selected firm may also be made to the Small Business Administration.

4.13 Phase I Award Information

a. Number of Phase I Awards. The number of Phase I awards will be consistent with the DON budget. No Phase I contracts will be awarded until evaluation of all qualified proposals for a specific topic is completed.

b. Type of Funding Agreement. Historically, the DON has awarded a Firm Fixed Price (FFP) contract or a small purchase agreement for Phase I. In addition to the negotiated contract award types the DON may (under appropriate circumstances) propose the use of an Other Transaction Agreement (OTA) as specified in 10 U.S.C. 2371/10 U.S.C. 2371b and related implementing policies and regulations. The DON may choose to use a Basic Ordering Agreement (BOA) for Phase I awards.

c. Dollar Value. The Phase I Base amount must not exceed $150,000. Costs for the Base must be clearly identified in the Cover Sheet (Volume 1) and in Volume 3.

d. Timing. Proposers will typically be notified of select/non-select status for a Phase I award within 30 days of the closing date for this BAA and awarded within 45 days.

4.14 Phase II Award Information

a. Number of Phase II Awards. The number of Phase II awards will depend upon the results of the Phase I efforts and the availability of funds. Historically, approximately 40% of the Phase I awards will result in Phase II projects. This is merely an advisory estimate and the Government may make no awards, fewer awards, or more awards.

b. Type of Funding Agreement. Historically, the DON has awarded a Cost-Plus-Fixed-Fee (CPFF) contract for Phase II. In addition to the negotiated contract award types the DON may (under appropriate circumstances) propose the use of an Other Transaction Agreement (OTA) as specified in 10 U.S.C. 2371/10 U.S.C. 2371b and related implementing policies and regulations. The DON may choose to use a Basic Ordering Agreement (BOA) for Phase II awards.

c. Average Dollar Value. The maximum Phase II proposal/award amount including all Options is $1,700,000 (unless non-SBIR/STTR funding is being added). Individual SYSCOMs may award amounts, including Base and all Options, of less than $1,700,000, or pursue waivers to exceed the amount, based on available funding. The structure of the Phase II proposal/award, including maximum amounts as well as breakdown between Base and Option amounts will be provided to all Phase I awardees.

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, DON 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.

4.15 Questions

a. General Questions about this BAA and BAA Topics. For general questions related to the instructions of this BAA, please contact the DON SBIR/STTR PMO via email at navy-sbir-sttr@navy.mil.

b. Proposal Submission Questions. For questions related to the proposal preparation and electronic submission process via the DSIP, please contact the DoD SBIR/STTR Help Desk at from 9:00 am to 5:00 pm ET Monday through Friday at:

1-703-214-1333 dodsbirsupport@reisystems.com

c. Direct Contact with Topic Authors During Pre-release. From April 13 to April 26, 2020 this BAA is issued for Pre-release with the names of the topic authors and their phone numbers and/or e-mail addresses. During the Pre-release period, proposers have an opportunity to contact topic authors by telephone or e-mail to ask technical questions about specific BAA 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 you may not submit additional material to the topic author.

d. Contact with Topic Authors During Open. Post Pre-release, beginning on April 27, 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 to navy-sbir-sttr@navy.mil by May 13, 2020. DON will not respond to technical questions received after this date.

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.

Responses to pertinent questions received by May 13, 2020 will be posted on www.navysbir.com.

4.16 Registrations and Certifications

Proposers must be registered in the DSIP in order to prepare and submit proposals: https://www.dodsbirsttr.mil/submissions.

It is strongly encouraged that proposers are registered in SAM, https://beta.sam.gov, by May 28, 2020 or verify their registrations are still active and will not expire within 60 days of BAA close. Additionally, proposers should confirm that they are registered to receive contracts (not just grants) and the address in SAM matches the address on the proposal.

Follow instructions found on SAM 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 DSIP at https://www.dodsbirsttr.mil/submissions.

In addition to the standard federal and DoD procurement certifications, the SBA SBIR and STTR 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.

Proposers that are eligible under Section 4.4 (Majority Ownership in Part) must register with the SBA Company Registry Database prior to submitting a proposal.

4.17 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.

4.18 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 (see Section 3.4) 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. See Section 5.2.e.

4.19 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.

4.20 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.”

4.21 State and Other Assistance Available

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

a. Information and technical assistance;

b. Matching funds to SBIR recipients;

c. Assistance in obtaining Phase III funding.

Contact your State SBIR/STTR Support Office at https://www.sbir.gov/state_services?state=105813# for further information. Small Businesses may seek general administrative guidance from small and disadvantaged business utilization specialists located in various Defense Contract Management activities throughout the continental United States.

4.22 Discretionary Technical and Business Assistance (TABA)

Due to the shorter period of performance proposed under the Technology Acceleration Phase I, TABA may NOT be proposed. TABA costs included in Volume 2 or 3 will be disapproved. Guidance for submitting TABA in Phase II will be provided to Phase I awardees.

5.0 PHASE I PROPOSAL

5.1 Introduction

This BAA and the DSIP are designed to reduce the time and cost required to prepare a formal proposal. Proposals are to be submitted electronically to https://www.dodsbirsttr.mil/submissions.

A complete proposal consists of:

Volume 1: Proposal Cover Sheet

Volume 2: Technical Proposal

Volume 3: Cost Volume

Volume 4: Company Commercialization Report – not in use for the DON 20.4 BAA

Volume 5: Supporting Documents

The DSIP provides a structure for providing these five volumes, but the proposer must begin its submission by providing information for the Proposal Cover Sheet. Once the proposer begins a Proposal Cover Sheet they will be assigned a proposal number. Please make note of this proposal number and print it for future reference. Proposers are strongly encouraged to begin the DSIP registration process as early as possible.

5.2 Phase I Proposal Submission Requirements

The following MUST BE MET or the proposal will be deemed noncompliant and may be REJECTED.

a. Proposal Cover Sheet (Volume 1). On DSIP, https://www.dodsbirsttr.mil/submissions, prepare the Proposal Cover Sheet. The Cover Sheet must include a brief technical abstract of no more than 200 words that describe the proposed R&D project with a discussion of anticipated benefits and potential commercial applications. Do not include proprietary or classified information in the Proposal Cover Sheet. If your proposal is selected for award, the technical abstract and discussion of anticipated benefits may be publicly released on the Internet. Once the Cover Sheet is saved, the system will assign a proposal number. You may modify the cover sheet as often as necessary until the BAA closes.

b. Technical Proposal (Volume 2). The Technical Proposal (Volume 2) must be a single Portable Document Format (PDF) file. Perform a virus check before uploading the Volume 2 file. If a virus is detected, it may cause rejection of the proposal. Do not lock or encrypt the uploaded file. Do not include or embed active graphics such as videos, moving pictures, or other similar media in the document.

The Technical Proposal (Volume 2) must meet the following requirements:

· Content is responsive to evaluation criteria as specified in section 6.0 (Phase I Evaluation Criteria)

· Not to exceed five (5) pages, regardless of page content

· Phase I Base period of performance only, no Phase I Option

· Single column format, single-spaced typed lines

· Standard 8 ½” x 11” paper

· Page margins one-inch on all sides. A header and footer may be included in the one-inch margin.

· No font size smaller than 10-point*

· No discretionary Technical and Business Assistance (TABA) will be authorized for Phase I.

· Content requirements as specified in the Technology Acceleration Phase I Proposal Template which will be made available on https://navysbir.com/links_forms.htm.

· Include the Focus Area number for the topic you are proposing to as a prefix to the Phase I Proposal title. For example, “(2)” before the Proposal title to indicated Focus Area 2.

*For headers, footers, listed references, and imbedded tables, figures, images, or graphics that include text, a font size smaller than 10-point is allowable; however, proposers are cautioned that the text may be unreadable by evaluators.

The header on each page of Volume 2 should contain your company name, topic number, and proposal number assigned by the DSIP when the Cover Sheet was created.

Volume 2 is the technical proposal. Additional documents may be submitted to support Volume 2 in accordance with the instructions for Supporting Documents Volume (Volume 5) as detailed below.

Disclosure of Information (DFARS 252.204-7000) In order to eliminate the requirements for prior approval of public disclosure of information (in accordance with DFARS 252.204-7000) under this or any subsequent award, the proposer shall identify and describe all fundamental research to be performed under its proposal, including subcontracted work, with sufficient specificity to demonstrate that the work qualifies as fundamental research. Fundamental research means basic and applied research in science and engineering, the results of which ordinarily are published and shared broadly within the scientific community, as distinguished from proprietary research and from industrial development, design, production, and product utilization, the results of which ordinarily are restricted for proprietary or national security reasons. Simply identifying fundamental research in the proposal does NOT constitute acceptance of the exclusion. All exclusions will be reviewed and noted in the award. NOTE: Fundamental research included in the technical proposal that the proposer is requesting be eliminated from the requirements for prior approval of public disclosure of information, must be uploaded in a separate document (under “Other”) in the Supporting Documents Volume (Volume 5).

c. Cost Volume (Volume 3). The Phase I Base amount must not exceed $150,000. Costs for the Base must be clearly identified on the Proposal Cover Sheet (Volume 1) and in Volume 3.

d.

Period of Performance. The Phase I Base Period of Performance must be exactly five (5) months.

Complete the Cost Volume in the format shown in the Cost Breakdown Guidance by using the online cost volume form on DSIP. Some items in the Cost Breakdown Guidance may not apply to the proposed project.