Army BAA 21.4 Rev 3.pdf

DEPARTMENT OF THE ARMY

SMALL BUSINESS INNOVATION RESEARCH (SBIR) PROGRAM

SBIR 21.4 Broad Agency Announcement (BAA)

Small Business Opportunity (SBO) Announcement

PART I: OVERVIEW INFORMATION

● Federal Agency Name – Department of the Army, Assistant Secretary of the Army, Acquisition, Logistics and Technology (ASA ALT), Army Futures Command (AFC)

● Funding Small Business Opportunity Title – Army Small Business Innovation Research (SBIR) Program

● Announcement Type – Initial Announcement

● Funding Small Business Opportunity Number – W50RAJ-20-S-0001

● NAICS Code(s): 541713, 541714, 541715; Small Business Size: 500

● Dates: (All times listed herein are Eastern Time.)

This BAA is a continuously open announcement valid throughout the period from the date of issuance through December 31, 2021 unless announced otherwise.

o Posting Date: October 15, 2020 o Closing Date: December 31, 2021, 11:59 PM

● Concise description of SBO opportunities: The future Army must be capable of conducting Multi-Domain Operations (MDO) as part of an integrated Joint Force across an array of situations in multiple theaters by 2035. The MDO concept describes how the Army will support the Joint Force in the rapid and continuous integration of all domains of warfare – land, sea, air, and cyberspace – to deter and prevail as we compete short of conflict, and fight and win if deterrence fail. The Army must provide game-changing capabilities to our Soldiers. To capitalize on small business innovation, the Army has implemented a new approach to advertise SBIR funding opportunities on an ad hoc basis, outside of the three pre-determined announcements issued at the DoD level. SBIR Opportunities will be announced all under this BAA. Only proposals submitted in response to an active corresponding Opportunity will be evaluated for funding. This BAA also strives to create a more rapid award time from solicitation to 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 Army SBIR BAAs. Please take note of the contents of this BAA when preparing proposals.

Proposals will only be evaluated in response to an active corresponding Opportunity for funding.

● Agency contacts Email: usarmy.pentagon.hqda-asa-alt.mbx.army-applied-sbir-program@mail.mil Mailing Address:

Army Applied SBIR Office 2800 Crystal Dr; Ste 11252 Arlington, VA 22201

Email: usarmy.apg.ccdc.mbx.sbir-program-managers-helpdesk@mail.mil Mailing Address:

U.S. Army Combat Capabilities Development Command 6662 Gunner Circle Aberdeen Proving Ground, MD 21005-1322

● Additional Overview Information

Proposals submitted in response to this BAA and selected for award are considered to be the result of full and open competition and in full compliance with the provision of Public Law 98369, "The Competition in Contracting Act of 1984" and subsequent amendments.

The DoD agencies involved in this program reserve the right to select for award all, some, or none of the proposals submitted in response to this announcement. No specific dollar amount has been reserved for awards under this BAA. The participating DoD agencies will provide no funding for direct reimbursement of whitepaper or proposal development costs.

Whitepapers and technical and cost proposals (or any other material) submitted in response to this BAA will not be returned to the applicant. Unless noted in an applicant's proposal to the contrary, unsuccessful proposals will be retained for six (6) months from declination and then properly destroy. It is the policy of participating DoD agencies to treat all proposals as sensitive, competitive information and to disclose their contents only for the purposes of evaluation.

An applicant may withdraw a proposal at any time before award by written notice or by email sent to the point of contact identified above.

PART II: FULL TEXT OF ANNOUNCEMENT

1. Funding Opportunity Description

The objectives of the DoD SBIR/STTR Program include stimulating technological innovation, strengthening the role of small business in meeting DoD research and development needs, fostering and encouraging participation by minority and disadvantaged persons in technological innovation, and increasing the commercial application of DoD-supported research or research and development results. Technology focus areas include, but are not limited to, USD(R&E)’s Technology Modernization Priorities (https://www.cto.mil/modernization-priorities), and the Army’s Modernization Priorities (2019 Army Modernization Strategy: Investing in the Future https://www.army.mil/e2/downloads/rv7/2019_army_modernization_strategy_final.pdf).

The guidelines presented in this BAA incorporate and make use of the flexibility of the SBA SBIR/STTR Policy Directive to encourage proposals based on scientific and technical approaches most likely to yield results important to the DoD and the private sector. The SBIR/STTR Policy Directive is available at:

https://www.army.mil/e2/downloads/rv7/2019_army_modernization_strategy_final.pdf https://www.sbir.gov/sites/default/files/SBIR-STTR_Policy_Directive_2019.pdf

Technology and Program Protection to Maintain Technological Advantage

In accordance with DoD Instruction 5000.83, Technology and Program Protection to Maintain Technological Advantage, dated July 20, 2020, and as a means to counter the threat from strategic competitor nations, the DoD will employ risk-based measures to protect systems and technologies from adversarial exploitation and compromise of U.S. military vulnerabilities and weaknesses in: (1) systems, (2) components, (3) software, (4) hardware, and (5) supply chains.

The initial measure being implemented for the SBIR program is to require SBIR prime contract awardees and their subcontractors to self-report and disclose foreign investment in, ownership of, or influence over U.S. entities, including subsidiaries and joint ventures. Reporting and disclosing such information will enable the DoD to identify national security risks posed by foreign participation, through investment, ownership, or influence, in the defense industrial base.

This information will be used by DoD program offices to determine risks posed by SBIR contract awardees and their subcontractors to the DoD and the defense industrial base.

Army’s SBIR Approach

The Army SBIR Programs have three phases. Phase I is to determine, to the extent possible, the scientific, technical, and commercial merit and feasibility of ideas submitted under the programs.

Proposals should concentrate on research or research and development (R/R&D) which 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 DoD support in Phase II, unless an exception is authorized under the Direct to Phase II Program.

Proposers are encouraged to consider whether the R/R&D being proposed to the Army also has private sector potential, either for the proposed application or as a base for other applications.

Phase II/DP2 awards will be made to firms on the basis of results of their Phase I effort or comparable feasibility documentation, and the scientific merit, technical merit, and commercialization potential of the Phase II proposal. Phase II is the principal R/R&D effort and is expected to produce a well-defined deliverable prototype. A prototype is defined as a model of something to be further developed, which includes designs, protocols, questionnaires, software, and devices. A Phase II contractor may receive up to one additional, sequential Phase II award for continued work on the project.

Proposals for Phase I, Phase II, and DP2 awards will occur through the Defense SBIR/STTR innovation portal (DSIP) (https://www.dodsbirsttr.mil/submissions/). After submission, relevant Army stakeholders including members of cross-functional teams (CFTs), program managers (PM), scientists and engineers will review closed proposals. Companies will be informed of a selection decision.

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. Phase III refers to work that derives from, extends, or completes an effort made under prior SBIR/STTR funding agreements, but is funded by sources other than the SBIR/STTR Programs, which can include both private sector funding and non-SBIR/STTR government contract funding. Phase III work is typically oriented towards commercialization of SBIR/STTR funded research or technology.

https://www.dodsbirsttr.mil/submissions/

15 U.S.C. §638 (cc), as amended by NDAA FY2012, Sec. 5106, and further amended by NDAA FY2019, Sec. 854, PILOT TO ALLOW PHASE FLEXIBILITY, allows the Department of Defense to make an award to a small business concern under Phase II of the SBIR program with respect to a project, without regard to whether the small business concern was provided an award under Phase I of an SBIR program with respect to such project. The Army is conducting a "Direct to Phase II" (DP2) implementation of this authority for this announcement, for eligible SBIR opportunities only.

Army SBIR Small Business Opportunities

Army SBIR opportunities will be announced under this BAA, W50RAJ-20-S-0001. These opportunities will solicit proposals and will be open for at least 45 days from publication at https://beta.sam.gov. Each opportunity will describe projects addressing one or two phases as described below. During these periods of performance, ad hoc, emerging Army-modernization focused topics will be investigated with the goal of R&D for prototyping and transitioning technologies into the hands of our soldiers. The ultimate goal of each announcement is to invest in research that leads to prototype development that may result in new game-changing technologies for U.S. national security. Proposals submitted in response to SBOs will be evaluated and selected in accordance with Section 5 of this announcement.

Each opportunity will (1) identify specific details regarding the research topic of interest, and (2) provide proposal content and submission instructions in addition to those outlined in this BAA, including the due date for proposal submissions. Proposals must be submitted proposals in response to a topic. Only proposals submitted in response to an active corresponding SBO will be evaluated.

Each SBO will identify the project phases (Phase I Feasibility Study/Phase II Proof of Concept/Direct to Phase II), periods of performance, specific technical objectives to be achieved, task descriptions, milestone payment schedule, and deliverables. Generally, the period of performance for the Phase I effort will not exceed 12 months, and the period of performance for the Phase II or DP2 effort will not exceed 24 months. Combined Phase I base and Phase II option efforts for any opportunity are not anticipated to exceed 36 months.

For any proposal selected for contract award, the Government reserves the right to award a separate Phase I, a separate Phase II, DP2, or a combined Phase I and II effort. In cases in which combined Phase I and II is awarded, the Government may award Phase II as an option, depending on the outcome of the Phase I effort and funding availability. Due to the potential for awarding follow- on Phase II efforts, the Army is requesting a proposal validity period of 365 days.

Note: Not all opportunities are eligible for a DP2 award. Proposers should read the solicitation requirements carefully, as each opportunity may accept Phase I proposals only, both Phase I and DP2 proposals, or DP2 proposals only.

All firms that are awarded Phase I awards originating from this BAA will be eligible to participate in Phase II competitions and potential Phase III (non-SBIR/STTR funded) awards.

The goal of the SBIR and STTR programs is to fund research that leads to prototype development. If after Phase II/DP2, a performer has successfully accomplished a proof of concept, and a deliverable prototype is within reach or a promising initial prototype has been developed, the Army may elect to modify the award to fund additional tasks to pursue further prototype development, fabrication and delivery.

2. Award Information

2.1. General Award Information

Multiple awards are anticipated. The Army may award FAR-based government contracts (Purchase Order, Firm-Fixed Price, Cost-Plus Reimbursement), Other Transactions (OT) for Prototypes agreement (under the authority of 10 U.S.C. § 2371b), Other Transactions for Advanced Development Projects agreement (under the authority of 10 U.S.C. § 2371), or other acquisition instruments as determined by the Contracting Officer. The amount of resources made available under each opportunity issued under this BAA will depend on the quality of the proposals received and the availability of funds.

The Government reserves the right to select for negotiation all, some, one, or none of the proposals received in response to this announcement and to make awards with or without communications with proposers. Additionally, the Government reserves the right to award all, some, one, or none of the options on the contract(s)/agreement(s) of the performers based on available funding and technical performance. If warranted, portions of resulting awards may be segregated into pre-priced options. Additionally, the Army reserves the right to accept proposals in their entirety or to select only portions of proposals for award. In the event that the Army desires to award only portions of a proposal, negotiations may be opened with that proposer. The Government reserves the right to fund proposals in phases with options for continued work, as applicable.

The Government reserves the right to request any additional, necessary documentation once it makes the award instrument determination. The Government reserves the right to remove a proposal from award consideration should the parties fail to reach agreement on award terms, conditions, and price within a reasonable time, and the proposer fails to provide requested additional information within three (3) business days.

In all cases, the Government Contracting Officer shall have sole discretion to select award instrument type, regardless of instrument type proposed, and to negotiate all instrument terms and conditions with selectees. The Army will apply publication or other restrictions, as necessary, if it determines that the research resulting from the proposed effort will present a high likelihood of disclosing performance characteristics of military systems or manufacturing technologies that are unique and critical to defense. Any award resulting from such a determination will include a requirement for Army permission before publishing any information or results on the program. For more information on publication restrictions, see section 2.2 on Fundamental Research.

Because of the desire to streamline the award negotiation and program execution process, proposals identified for negotiation will result in negotiating a type of instrument for award that is in the best interest of the Government. In the case of an OT for Prototype agreement under the Army’s authority to award OTs for prototype projects, 10 U.S.C. § 2371b, use of an OT provides significant opportunities for flexible execution to assist in meeting the Army’s aggressive

SBIR/STTR program goals.

All proposers that wish to consider an OT award should carefully read the following:

The flexibility of the OT award instrument is beneficial to the program because the Performer will be able to apply its best practices as required to carry out the research project that may be outside of the Federal Acquisition Regulation (FAR) process-driven requirements. Streamlined practices will be used, such as milestone-driven performance, intended to reduce time and effort on award administration tasks and permit performers to focus on the research effort and rapid prototyping. Because of this ability, OTs provide the Agreements Officer the flexibility to create an award instrument that contains terms and conditions that promote commercial transition, reduce some administratively burdensome acquisition regulations, and meet Army SBIR program goals.

Proposers must only propose an OT agreement with fixed payable milestones. Fixed payable milestones are fixed payments based on successful completion of the milestone accomplishments agreed to in the milestone plan. Refer to the sample OT provided as an attachment to this announcement for additional information. Specific milestones will be based upon the research objectives detailed in the SBO.

Please see Appendix C and https://aaf.dau.mil/ot-guide/ for more information on OTs.

2.2. Fundamental Research

It is DoD policy that the publication of products of fundamental research will remain unrestricted to the maximum extent possible. National Security Decision Directive (NSDD) 189 defines fundamental research as follows:

'''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."

As of the date of publication of this BAA, the Government expects that program goals as described herein may be met by proposers intending to perform fundamental research and proposers not intending to perform fundamental research or the proposed research may present a high likelihood of disclosing performance characteristics of military systems or manufacturing technologies that are unique and critical to defense. Based on the nature of the performer and the nature of the work, the Government anticipates that some awards will include restrictions on the resultant research that will require the awardee to seek Army permission before publishing any information or results relative to the program.

Proposers should indicate in their proposal whether they believe the scope of the research included in their proposal is fundamental or not. While proposers should clearly explain the intended results of their research, the Government shall have sole discretion to select award instrument type and to negotiate all instrument terms and conditions with selectees. Appropriate clauses will be included in resultant awards for non-fundamental research to prescribe publication requirements and other restrictions, as appropriate.

With certain research projects, it may be possible that a prime contractor will perform restricted research and a subcontractor will conduct contracted fundamental research. In those cases, it is the prime contractor’s responsibility to explain in their proposal why its subcontractor’s effort is contracted fundamental research.

2.3 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. ASOs will identify when ITAR restrictions are applicable. More information is available at https://www.pmddtc.state.gov/ddtc_public?id=ddtc_public_portal_itar_landing.

2.4 Discretionary Technical and Business Assistance (TABA)

In accordance with section 9(q) of the Small Business Act (15 U.S.C. 638(q)), the Army may provide technical assistance services to small businesses engaged in SBIR projects through a network of Army Program Executive Offices, Army manufacturing and sustainment elements and Army technical subject matter experts (SME). The objective of this effort is to increase overall Army SBIR technology transition and commercialization success thereby accelerating the fielding of capabilities to Soldiers and to benefit the nation through stimulated technological innovation, improved manufacturing capability, and increased competition, productivity, and economic growth.

TABA will be specific to each opportunity; please refer to the SBO for TABA and ATCAP availability.

3. Eligibility Information

3.1 Eligible Applicants

a. The eligibility requirements for SBIR programs are unique and do not correspond to those of other small business programs. Proposers must qualify as a small business concern (SBC) and meet eligibility requirements for Small Business Ownership and Control at time of award and certify to this on the proposal Cover Sheet (see 13 CFR §

121.702 and as defined below).

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

i. 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;

ii. 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 (iii) below;

iii. 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

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

Small businesses that are owned in majority part by multiple venture capital operating companies (VCOCs), hedge funds, or private equity funds may be eligible to submit applications or receive awards for opportunities under this BAA. Please review the topic solicitation requirements regarding if small businesses majority owned by VCOCs are eligible for an award.

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. Proposers must disclose joint ventures with existing (or planned) relationships/partnerships with any foreign entity or any foreign government-controlled companies.

b. For SBIR proposals, a minimum of two-thirds (66%) of the research and/or analytical work in Phase I must be carried out by the proposing firm. For Phase II/DP2, 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.

The primary employment of the principal investigator (PI) 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 the PI spends more than one-half of the PI's time with the small business. Primary employment with a small business concern precludes full-time employment at another organization.

c. For Phase I and Phase II/DP2 proposals, all research or research and development work must be performed by the small business concern and its subcontractors in the United States.

d. Proposers with prior SBIR/STTR awards must meet two (2) benchmark requirements for

Progress towards Commercialization as determined by the Small Business Administration (SBA) on June 1 each year.

i. 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/DP2 awards to Phase I awards must be at least 0.25.

ii. For all proposers with greater than 15 Phase II/DP2 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/Direct to http://www.sba.gov/size

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/Direct to 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.

3.2 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.

3.3 Subcontractor

Subcontractor means any supplier, distributor, vendor, firm, academic institution, research center, or other person or entity that furnishes supplies or services pursuant to a subcontract, at any tier.

3.4 Foreign Entity

Foreign entity means any branch, partnership, group or sub-group, association, estate, trust, corporation or division of a corporation, non-profit, academic institution, research center, or organization established, directed, or controlled by foreign owners, foreign investors, foreign management, or a foreign government.

3.5 Foreign Government

Foreign government means any government or governmental body, organization, or instrumentality, including government owned-corporations, other than the United States Government or United States state, territorial, tribal, or jurisdictional governments or governmental bodies. The term includes, but is not limited to, non-United States national and subnational governments, including their respective departments, agencies, and instrumentalities.

3.6 Foreign Nationals

Proposers must report any and all individuals expected to be involved on this project that are considered a foreign national as defined below. Proposers may be asked to provide additional information during negotiations in order to verify the foreign citizen’s eligibility to participate in the SBIR. The Government may withdraw from negotiations at any time for any reason to include matters of national security (foreign persons, foreign influence or ownership, inability to clear the firm or personnel for security clearances, or other related issues).

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.

3.7 Organizational Conflicts of Interest (OCI)

FAR 9.5 Requirements

In accordance with FAR 9.5, proposers are required to identify and disclose all facts relevant to potential OCIs involving the proposer’s organization and any proposed team member (sub-awardee, consultant). Under this Section, the proposer is responsible for providing this disclosure with each proposal submitted to the BAA. The disclosure must include the proposer’s, and as applicable, proposed team member’s OCI mitigation plan. The OCI mitigation plan must include a description of the actions the proposer has taken, or intends to take, to prevent the existence of conflicting roles that might bias the proposer’s judgment and to prevent the proposer from having unfair competitive advantage. The OCI mitigation plan will specifically discuss the disclosed OCI in the context of each of the OCI limitations outlined in FAR 9.505-1 through

FAR 9.505-4.

Agency Supplemental OCI Policy

In addition, the Army has a supplemental OCI policy that prohibits contractors/performers from concurrently providing Scientific Engineering Technical Assistance (SETA), Advisory and Assistance Services (A&AS) or similar support services and being a technical performer.

Therefore, as part of the FAR 9.5 disclosure requirement above, a proposer must affirm whether the proposer or any proposed team member (sub-awardee, consultant) is providing SETA, A&AS, or similar support to any Army office(s) under: (a) a current award or sub-award; or (b) a past award or sub-award that ended within one calendar year prior to the proposal’s submission date.

If SETA, A&AS, or similar support to any Army office(s), the proposal must include:

• The name of the Army office receiving the support;

• The prime contract number;

• Identification of proposed team member (sub-awardee, consultant) providing the support; and

• An OCI mitigation plan in accordance with FAR 9.5.

Government Procedures

In accordance with FAR 9.503, 9.504 and 9.506, the Government will evaluate OCI mitigation plans to avoid, neutralize or mitigate potential OCI issues before award and to determine whether it is in the Government’s interest to grant a waiver. The Government will only evaluate OCI mitigation plans for proposals that are determined selectable under the BAA evaluation criteria and funding availability.

The Government may require proposers to provide additional information to assist the Government in evaluating the proposer’s OCI mitigation plan.

If the Government determines that a proposer failed to fully disclose an OCI; or failed to provide the affirmation of Army support as described above; or failed to reasonably provide additional information requested by the Government to assist in evaluating the proposer’s OCI mitigation plan, the Government may reject the proposal and withdraw it from consideration for award.

4. Application and Submission Information

4.1 Proposal Preparation Instructions

Each opportunity will (1) identify specific details regarding the research topic of interest, and (2) provide proposal content and submission instructions in addition to those outlined in this BAA, including the due date for proposal submissions. Proposals must only be submitted in response to an opportunity. Proposals submitted in response to this BAA without an active, corresponding opportunity will not be evaluated.

Classified proposals are not accepted under the DoD SBIR/STTR Program. If classified work becomes required 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 Counterintelligence and Security Agency website at:

https://www.dcsa.mil/mc/ctp/fc/.

Each opportunity will identify the project phases (Phase I Feasibility Study/Phase II Proof of Concept/Direct to Phase II), periods of performance, specific technical objectives to be achieved, task descriptions, milestone payment schedule, and deliverables. Generally, the period of performance for the Phase I base effort will not exceed 12 months, and the period of performance for the Phase II or Direct to Phase II effort will not exceed 24 months. Combined Phase I and Phase II efforts, inclusive of option periods, for any opportunity are not anticipated to exceed 36 months.

Each opportunity will indicate the type of proposal accepted – Phase I, DP2, or both. For Phase I Proposal Instructions, see Appendix A. For DP2 Proposal Instructions, see Appendix B.

4.2 DP2 Requirements

Proposers interested in submitting a DP2 proposal in response to an eligible opportunity must provide documentation to substantiate that the scientific and technical merit and feasibility described in the Phase I section of the topic has been met and describes the potential commercial applications. Documentation should include all relevant information including, but not limited to: technical reports, test data, prototype designs/models, and performance goals/results. Work submitted within the feasibility documentation must have been substantially performed by the proposer and/or the PI.

For Phase I awards, proposers must perform at least 2/3 of the proposed work, and for Phase II and DP2 awards, potential proposers must perform at least ½ of the proposed work. The Army will not evaluate the proposer’s related Phase II proposal if it determines that the proposer has failed to demonstrate that technical merit and feasibility has been established or the proposer has failed to demonstrate that work submitted in the feasibility documentation was substantially performed by the proposer and/or the PI.

Feasibility documentation cannot be based upon any prior or ongoing federally funded SBIR or STTR work and DP2 proposals MUST NOT logically extend from any prior or ongoing federally funded SBIR or STTR work.

4.3 Electronic Submission

Proposers are REQUIRED to submit UNCLASSIFIED proposals via the Defense SBIR/STTR Innovation Portal (DSIP) at https://www.dodsbirsttr.mil/submissions/. Firms submitting through this site for the first time will be asked to register. It is recommended that firms register as soon as possible upon identification of a proposal opportunity to avoid delays in the proposal submission process.

Submission deadlines are strictly enforced. Proposals submitted by any other means will be disregarded.

Technical support for DSIP is available Monday through Friday, 9:00 a.m. – 5:00 p.m. ET.

Requests for technical support must be emailed to DoDSBIRSupport@reisystems.com.

https://www.dcsa.mil/mc/ctp/fc/

4.4 Submission Deadlines

Full proposal packages (Proposal Cover Sheet, Technical Volume, Price/Cost Volume inclusive of supporting documentation, Company Commercialization Report, and supporting documentation as required) must be submitted via the Defense SBIR/STTR Innovation Portal (DSIP) per the instructions outlined herein no later than the due date and time listed in the opportunity to which the proposal is submitted.

It is the proposing firm’s responsibility to verify that the Technical Volume does not exceed the page limit after upload to DSIP, that all proposal volumes are complete and that the proposal package is certified. The proposer may add/modify proposal volumes or the Proposal Cover Sheet on DSIP until the due date and time listed in the opportunity.

Proposals and proposal modifications, unless requested by the Contract or Agreements Officer, received after the due date set forth in the opportunity will be considered late and will not be evaluated. Proposers are warned that submission deadlines outlined in the SBO to which they are applying will be strictly enforced.

4.5 Communication

The Army SBIR Program office intends to use electronic mail for all correspondence regarding this announcement. Administrative, proposal preparation, and award questions should be emailed to usarmy.pentagon.hqda-asa-alt.mbx.army-applied-sbir-program@mail.mil and to usarmy.apg.ccdc.mbx.sbir-program-managers-helpdesk@mail.mil. All questions must be in English and must include the name, email address, and the telephone number of a point of contact.

Each opportunity will include instructions for submitting questions related to the technical aspect of the research objectives. The Army will attempt to answer questions in a timely manner;

however, questions submitted within 7 days of the proposal due date listed in the opportunity may not be answered.

The Federal Acquisition Regulation (FAR) encourages exchanges of information among all interested parties, from the earliest identification of a requirement through receipt of proposals.

Although the FAR cautions that any exchanges of information must be consistent with procurement integrity requirements, the Contracting or Agreements Officer to this extent may discuss an agency’s requirements with one proposer without doing the same for all proposers.

4.6 Marking Proprietary Proposal Information

Proposers that include data in their proposals that they do not want disclosed to the public for any purpose, or used by the Government except for evaluation purposes, shall:

(1) Mark the first page of each Volume of the proposal submission with the following legend:

"This proposal includes data that shall not be disclosed outside the Government and shall not be duplicated, used, or disclosed-in whole or in part-for any purpose other than to evaluate mailto:usarmy.pentagon.hqda-asa-alt.mbx.army-applied-sbir-program@mail.mil mailto:usarmy.apg.ccdc.mbx.sbir-program-managers-helpdesk@mail.mil this proposal. If, however, a contract is awarded to this proposer as a result of-or in connection with-the submission of this data, the Government shall have the right to duplicate, use, or disclose the data to the extent provided in the resulting contract. This restriction does not limit the Government's right to use information contained in this data if it is obtained from another source without restriction. The data subject to this restriction are contained in pages [insert numbers or other identification of sheets]"; and

(2) Mark each sheet of data it wishes to restrict with the following legend:

"Use or disclosure of data contained on this page is subject to the restriction on the first page of this volume."

The DoD assumes no liability for disclosure or use of unmarked data and may use or disclose such data for any purpose.

Restrictive notices notwithstanding, proposals and final reports submitted through the DoD Submission website may be handled, for administrative purposes only, by support contractors.

All support contractors are bound by appropriate non-disclosure agreements.

4.7 Human Subjects Research/Animal Use

Companies should plan carefully for research involving animal or human subjects, or requiring access to government resources of any kind. Animal or human research must be based on formal protocols that are reviewed and approved both locally and through the Army's committee process. Resources such as equipment, reagents, samples, data, facilities, troops or recruits, and so forth, must all be arranged carefully. Should the government provide opportunities in this area, we will provide additional information on the ethics approval process required.

Human Subject Research 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.

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

Animal Use

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.

4.8 Research Involving Recombinant DNA Molecules

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. 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 or Synthetic Nucleic Acid Molecules, found at:

https://osp.od.nih.gov/wp-content/uploads/2016/05/NIH_Guidelines.pdf.

4.9 Notifications

The following notices will be provided as applicable:

• Notification of Proposal Receipt. Within 10 business days after the closing date of the opportunity to which proposers are applying, the individual named as the Corporate Official on the Proposal Cover Sheet will receive a separate e-mail from the Army acknowledging receipt for each proposal received. Please make note of the proposal number for your records.

• Request for clarification (if applicable) o May occur at any time during the evaluation process o Substantive proposal changes are not permitted

• Request for open communications (if needed) o Proposers shall be advised of any deficiencies and/or major weaknesses in their proposals and given an opportunity to respond, to include offering proposal revisions

• Notification of Proposal Status. The selection decision note will be available no later than 90 days after the closing of the opportunity to which proposers are applying. The individual named as the Corporate official on the Proposal Cover Sheet will receive an email for each proposal with instructions for retrieving their official notification.

Please read each notification carefully and note the proposal number referenced.

• Technical Evaluation Narrative. The Army promotes transparency regarding the technical evaluation for all Army SBIR proposals. The Army will provide a technical evaluation narrative to the proposer in accordance with the SBA Policy Directive, Appendix I, paragraph 4. The selection decision notice contains instructions for retrieving the technical evaluation narrative.

5. Evaluation of Proposals

5.1 Evaluation Criteria for Contract Award

Proposals will be evaluated based on the criteria outlined below in descending order of importance:

a. The soundness, technical merit, and innovation of the proposed approach and its incremental progress toward topic or subtopic solution.

b. The potential for commercial (Government or private sector) application and the benefits expected to accrue from this commercialization.

c. The qualifications of the proposed principal/key investigators, supporting staff, and consultants. Qualifications include not only the ability to perform the research and development but also the ability to commercialize the results.

Other factors that may be considered include the following.

a. The applicant's capabilities, related experience, facilities, techniques, or unique combinations of these, which are integral factors for achieving the proposed objectives.

b. The qualifications, capabilities, and experience of the proposed PI, team leader, or other key personnel who are critical to achievement of the proposed objectives.

c. The applicant's record of past performance.

Please see the SBO for specific evaluation criteria for each topic.

**NOTE: The Government will not consider cost sharing in the evaluation. Generally, there is no requirement for cost sharing, matching, or cost participation to be eligible for award under this BAA. Cost sharing and matching is not an evaluation factor used under this BAA.

Exceptions may exist if the applicant is proposing the use of a TIA or an OTA as an award instrument. Proposers may find cost-sharing requirements at 32 CFR 37 for TIAs.

Proposers may find cost-sharing requirements for OTAs at Section C2.16 COST SHARING in the January 2017 document titled “Other Transactions” OT Guide for Prototype Projects. In addition, if cost sharing is proposed on a grant or cooperative agreement proposal submitted by a nonprofit or institution of higher education, the award will be subject to the restrictions at 2 CFR

200.306. If a potential firm proposes cost sharing on a contract proposal, the award will be subject to the restrictions at FAR 35.003.

Cost and/or price reasonableness and realism may also be considered to the extent appropriate.

Evaluators will base their conclusions only on information contained in the proposal. It cannot be assumed that evaluators are acquainted with the firm or key individuals or any referenced experiments. Relevant supporting data such as journal articles, literature, including Government publications, etc., should be contained or referenced in Volume 5 Supporting Documents Volume of the proposal and will not count toward the Volume 2 Technical Volume page limit.

For Phase I proposals 50% of the total score is based on technical merit, 30% is based on potential for commercialization, and 20% is based on the qualifications of the proposed principal/key investigators.

For Phase II proposals 40% of the total score is based on technical merit, 30% is based on potential for commercialization, and 30% is based on the qualifications of the proposed principal/key investigators.

5.2 Evaluation and Selection Process

It is the policy of the Army to ensure equitable and comprehensive proposal evaluations based on the evaluation criteria listed above and to select the source (or sources) whose offer meets the Government's technical, policy, and programmatic goals.

All proposal evaluations will be based solely on the above evaluation criteria. The Army will conduct an evaluation of each conforming proposal. Proposals that do not comply with the requirements detailed in this BAA and the research objective(s) of the corresponding opportunity are considered non-conforming and therefore will not evaluated nor considered for award.

Using the evaluation criteria, the Government will evaluate each proposal in its entirety, documenting the strengths and weaknesses relative to each evaluation criterion, and, based on these identified strengths and weaknesses, make a determination of the proposal's overall selectability. Proposals will not be evaluated against each other during the evaluation process, but rather evaluated on their own individual merit to determine how well the proposal meets the criteria stated in this BAA and the corresponding opportunity.

Awards will be made to proposers whose proposals are…