AMENDMENT 2 DEPARTMENT OF DEFENSE SMALL BUSINESS

AMENDMENT 2

IMPORTANT

Deadline for Receipt: Complete proposals must be certified and submitted in DSIP no later than 12:00 PM ET on June 14, 2023.

Proposals submitted after 12:00 p.m. ET will not be evaluated. The final proposal submission includes successful completion of all

firm level forms, all required volumes, and electronic corporate official certification. Please plan to submit proposals as early as

possible in order to avoid unexpected delays due to high volume of traffic during the final hours before the BAA close. DoD is not

responsible for missed proposal submission due to system latency.

Classified proposals will not be accepted under the DoD SBIR Program.

This BAA and the Defense SBIR/STTR Innovation Portal (DSIP) sites are designed to reduce the time and cost required to prepare a

formal proposal. DSIP is the official portal for DoD SBIR/STTR proposal submission. Proposers are required to submit proposals via

DSIP; proposals submitted by any other means will be disregarded. Proposers submitting through this site for the first time will be

asked to register. Proposing Small Business Concerns are required to register for a Login.gov account and link it to their DSIP

account. See section 4.16 for more information regarding registration.

The Small Business Administration (SBA), through its SBIR/STTR Policy Directive, purposely departs from normal Government

solicitation formats and requirements, thus authorizing agencies to simplify the SBIR/STTR award process and minimize the

regulatory burden on small business. Therefore, consistent with the SBA SBIR/STTR Policy Directive, the Department of Defense is

soliciting proposals as a Broad Agency Announcement (BAA). The DoD SBIR/STTR Programs follow the policies and practices of

the SBA SBIR/STTR Policy Directive, current version. 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 HERE.

DEPARTMENT OF DEFENSE

SMALL BUSINESS INNOVATION RESEARCH (SBIR) PROGRAM

SBIR 23.2 Program Broad Agency Announcement (BAA)

April 19, 2023: DoD BAA issued for pre-release

May 17, 2023: DoD begins accepting proposals

June 14, 2023: Deadline for receipt of proposals no later than 12:00 p.m. ET

The purpose of Amendment 2 is to provide additional information in sections 4.3, 5.3.f, 5.3.h and

5.3.i.

The purpose of Amendment 1 is to incorporate the following:

a. Add Section 4.3 Disclosures Regarding Ties to People’s Republic of China and Other

Foreign Countries.

b. Replace Attachment 2: Foreign Ownership or Control Disclosure with Attachment 2:

Disclosures of Foreign Affiliations or Relationships to Foreign Countries

c. Add Section 5.3.i (previously section 4.3), and corresponding Attachment 4: Disclosure of

Funding Sources

d. Revisions to Section 2.2 & 5.3.h.

e. Removal of section 8.1.bb. (DFARS 252.209-7002, Disclosure of Ownership or Control by a

Foreign Government).

f. Various text updates, as highlighted below.

Participating DoD Components:

• Department of Army (Army)

• Department of Navy (Navy)

• Defense Health Agency (DHA)

• Defense Logistics Agency (DLA)

• Defense Threat Reduction Agency (DTRA)

• Office of Secretary of Defense – Quantum

Science (OSD – Quantum Science)

• United States Special Operations Command

(USSOCOM)

AMENDMENT 2 
2 
IMPORTANT (continued) 
 
SBIR/STTR Updates and Notices: To be notified of SBIR/STTR opportunities and to receive e-mail updates on the DoD SBIR and 
STTR Programs, you are invited to subscribe to our Listserv by visiting https://www.dodsbirsttr.mil/submissions/login and clicking 
“DSIP Listserv” located under Quick Links. 
 
This BAA incorporates MANDATORY foreign disclosure requirements and other important programmatic changes as 
required by the SBIR and STTR Extension Act of 2022 (Pub. L. 117-183). These updates can be found in sections 2.2, 2.5, 3.0, 
4.2.e., 4.3, 6.0, 8.2, and Attachment 2. Small business concerns are highly encouraged to review the full BAA to remain 
apprised of any additional recent programmatic changes. 
 
Questions: Please refer to the DSIP Customer Support Document for general information regarding the DoD SBIR/STTR 
process in DSIP.  For additional assistance with the DSIP application, please visit the Learning & Support section of the DSIP at 
https://www.dodsbirsttr.mil/submissions/learning-support/. Email DSIP Support at [email protected]om only for 
further assistance with issues pertaining directly to the DSIP application. Questions submitted to DSIP Support will be addressed in 
the order received during normal operating hours (Monday through Friday, 9:00 a.m. to 5:00 p.m. ET). See section 4.15 for further 
information on where to direct questions regarding instructions and topics in this BAA.  
 
 
 
 
 
   
      
 
 
 
 
 
 
TABLE OF CONTENTS 
1.0 INTRODUCTION ................................................................................................................................. 4 
2.0 PROGRAM DESCRIPTION ............................................................................................................... 4 
2.1  Objectives ..................................................................................................................................... 4 
2.2  Due Diligence Program to Assess Security Risks ......................................................................... 4 
2.3  OUSD(R&E) Critical Technology Areas...................................................................................... 5 
2.4  Three Phase Program .................................................................................................................... 6 
2.5  Program on Innovation Open Topics ............................................................................................ 6 
3.0 DEFINITIONS ...................................................................................................................................... 7 
4.0 PROPOSAL FUNDAMENTALS ...................................................................................................... 15 
4.1  Introduction ................................................................................................................................. 15 
4.2  Proposing Small Business Concern Eligibility and Performance Requirements ........................ 15 
4.3  Disclosures Regarding Ties to People's Republic of China and Other Foreign Countries ......... 16 
4.4  Joint Ventures ............................................................................................................................. 17 
4.5  Majority Ownership in Part by Multiple Venture Capital, Hedge Fund, and Private Equity Firms
   .................................................................................................................................................... 18 
4.6  Conflicts of Interest ..................................................................................................................... 18 
4.7  Organizational Conflicts of Interest ............................................................................................ 18 
4.8  Classified Proposals .................................................................................................................... 19 
4.9  Research Involving Human Subjects .......................................................................................... 19 
4.10  Research Involving Animal Subjects .......................................................................................... 20 
4.11  Research Involving Recombinant DNA Molecules .................................................................... 20 
4.12  Debriefing/Technical Evaluation Narrative ................................................................................ 20 
4.13  Pre-Award and Post Award BAA Protests .................................................................................. 20 
4.14  Award Information ...................................................................................................................... 20 
4.15  Questions about this BAA and BAA Topics ............................................................................. 221 
4.16  Registrations and Certifications .................................................................................................. 23 
4.17  Promotional Materials ................................................................................................................. 24 
4.18  Prior, Current, or Pending Support of Similar Proposals or Awards .......................................... 24 
4.19  Fraud and Fraud Reporting ......................................................................................................... 25 

AMENDMENT 2

4.20 State and Other Assistance Available ......................................................................................... 25

4.21 Discretionary Technical and Business Assistance (TABA) ........................................................ 25

5.0 PHASE I PROPOSAL ........................................................................................................................ 25

5.1 Introduction ................................................................................................................................. 25

5.2 Marking Proprietary Proposal Information ................................................................................. 27

5.3 Phase I Proposal Instructions ...................................................................................................... 27

6.0 PHASE I EVALUATION CRITERIA .............................................................................................. 35

7.0 PHASE II PROPOSAL INFORMATION ........................................................................................ 36

7.1 Introduction ................................................................................................................................. 36

7.2 Proposal Provisions ..................................................................................................................... 36

7.3 Commercialization Strategy ........................................................................................................ 36

7.4 Phase II Evaluation Criteria ........................................................................................................ 37

7.5 Phase II Award Information ........................................................................................................ 37

7.6 Adequate Accounting System ..................................................................................................... 37

7.7 Phase II Enhancement Policy ...................................................................................................... 37

7.8 Commercialization Readiness Program (CRP) ........................................................................... 37

8.0 CONTRACTUAL REQUIREMENTS ............................................................................................. 38

8.1 Additional Contract Requirements .............................................................................................. 38

8.2 Agency Recovery Authority and Ongoing Reporting ................................................................. 40

8.3 Basic Safeguarding of Covered Contractor Information Systems .............................................. 42

8.4 Prohibition on Contracting with Persons that have Business Operations with the Maduro Regime . 42

8.5 Copyrights ................................................................................................................................... 43

8.6 Patents ......................................................................................................................................... 43

8.7 Technical Data Rights ................................................................................................................. 43

8.8 Invention Reporting .................................................................................................................... 43

8.9 Final Technical Reports - Phase I through Phase III ................................................................... 43

ATTACHMENTS

Contractor Certification Regarding Provision of Prohibition on Contracting for Certain

Telecommunications and Video Surveillance Services or Equipment .......................................... 45

Disclosures of Foreign Affiliations or Relationships to Foreign Countries ................................... 50

Verification of Eligibility of Small Business Joint Ventures ............................................................. 55

Disclosure of Funding Sources ................................................................................................................. 60

102

229

242

273

295

Department of Army (Army)

Department of Navy (Navy)

Defense Health Agency (DHA)

Defense Logistics Agency (DLA)

Defense Threat Reduction Agency (DTRA)

Office of Secretary of Defense – Quantum Science (OSD – Quantum Science)

United States Special Operations Command (USSOCOM) 318

AMENDMENT 2

1.0 INTRODUCTION

Army, Navy, DHA, DLA, DTRA, OSD – Quantum Science, and USSOCOM, hereafter referred to as

DoD Components, invite proposing small business concerns to submit proposals under this BAA for the

Small Business Innovation Research (SBIR) Program. Proposing Small Business Concerns with the

capability to conduct research and development (R&D) in any of the defense-related topic areas described

in this BAA and to commercialize the results of that R&D are encouraged to participate.

This BAA is for Phase I proposals only unless the Component is participating in the Direct to Phase II

Program. Navy, DLA, OSD – Quantum Science, and USSOCOM are offering Direct to Phase II topics

for this BAA – see the Component-specific instructions for more information.

A separate BAA will not be issued requesting Phase II proposals, and unsolicited proposals will not be

accepted. All proposing small business concerns that receive a Phase I award originating from this BAA

will be eligible to participate in Phase II competitions and potential Phase III awards. DoD Components

will notify Phase I awardees of the Phase II proposal submission requirements. Submission of Phase II

proposals will be in accordance with instructions provided by individual Components. The details on the

due date, content, and submission requirements of the Phase II proposal will be provided by the awarding

DoD Component either in the Phase I award or by subsequent notification. If a proposing small business

concern submits their Phase II proposal prior to the dates provided by the individual Components, it may

be rejected without evaluation.

DoD is not obligated to make any awards under Phase I, Phase II, or Phase III, and all awards are subject

to the availability of funds. DoD is not responsible for any monies expended by the proposing small

business concern before the issuance of any award. Proposals must conform to the terms of this

announcement.

2.0 PROGRAM DESCRIPTION

2.1 Objectives

The objectives of the DoD SBIR 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.

2.2 Due Diligence Program to Assess Security Risks

The SBIR and STTR Extension Act of 2022 (Pub. L. 117-183) requires the Department of Defense, in

coordination with the Small Business Administration, to establish and implement a due diligence program

to assess security risks presented by small business concerns seeking a Federally funded award. The full

text of the SBIR and STTR Extension Act of 2022 is available at

https://www.congress.gov/117/plaws/publ183/PLAW-117publ183.pdf.

As previously stated, the DoD SBIR/STTR Programs follow the policies and practices of the Small

Business Administration (SBA) SBIR/STTR Policy Directive. The SBA revisions to the Policy Directive

are in effect as of May 3, 2023. The Federal Register Notice is available at:

https://www.federalregister.gov/documents/2023/04/03/2023-06870/small-business-innovation-research-

program-and-small-business-technology-transfer-program-policy. This revision is incorporated into this

BAA, including the utilization of the Appendix III, Disclosure Questions, as Attachment 2 “Disclosures

of Foreign Affiliations or Relationships to Foreign Countries”.

AMENDMENT 2

In accordance with Section 4 of the SBIR and STTR Extension Act of 2022, the Department of Defense

will review all proposals submitted in response to this BAA to assess security risks presented by small

business concerns seeking a Federally funded award. The Department will use information provided by

the small business concern in in response to the Disclosures of Foreign Affiliations or Relationships to

Foreign Countries (Attachment 2) and the proposal to conduct a risk-based due diligence review on the

cybersecurity practices, patent analysis, employee analysis, and foreign ownership of a small business

concern, including the financial ties and obligations (which shall include surety, equity, and debt

obligations) of the small business concern and employees of the small business concern to a foreign

country, foreign person, or foreign entity. The Department will also assess proposals utilizing open-source

analysis and analytical tools, for the nondisclosures of the information set forth in 15 U.S.C. 638(g)(13).

DoD has partnered with Project Spectrum to provide an online course on Understanding Foreign

Ownership, Control, or Influence (FOCI). This course defines FOCI, explains what it means to be under

FOCI, and details FOCI's effect on a company seeking initial or continued eligibility for access to a

federally funded award. Small business concerns can register and access this course by following the

instructions below:

1. Go to projectspectrum.io

2. Click “Profile/Dashboard” in the top right and then click “Sign Up” from the dropdown menu.

3. Follow the instructions to sign up for an account. Descriptions of the account types are provided

below each option.

4. Verify your email by entering the code sent to the email address you provided when signing up.

5. Log in to Project Spectrum by clicking “Profile/Dashboard > Login” in the top right.

6. Find the Training Course on “Understanding Foreign Ownership, Control, or Influence (FOCI)”

by clicking “Courses > Training Courses”

7. Copy the provided password.

8. Click on the course and log in to Encite.io using your email address and the copied password.

9. Enroll in the course and click “Enter” to begin.

For assistance with registration or access to the Project Spectrum website, please contact

[email protected].

2.3 OUSD(R&E) Critical Technology Areas

Each DoD Component develops SBIR and STTR topics that are mission-oriented to their programs,

however topics generally align with the OUSD(R&E) Critical Technology Areas. While many

technologies may cross between these categories, these areas represent the broad and different approaches

that are required to advance technologies crucial to the Department. By focusing efforts and investments

into these critical technology areas, the Department will accelerate transitioning key capabilities to the

Military Services and Combatant Commands.

OUSD(R&E) Critical Technology Areas:

• FutureG

• Trusted AI and Autonomy

• Biotechnology

• Advanced Computing and Software

• Integrated Sensing and Cyber

• Directed Energy (DE)

• Hypersonics

• Microelectronics

• Integrated Network Systems-of-Systems

• Quantum Science

AMENDMENT 2

• Space Technology

• Renewable Energy Generation and Storage

• Advanced Materials

• Human-Machine Interfaces

Below are additional technology areas supporting DoD Component-specific mission-critical areas:

• Advanced Infrastructure & Advanced

Manufacturing

• Combat Casualty Care

• Emerging Threat Reduction

• Military Infectious Diseases

• Military Operational Medicine

• Mission Readiness & Disaster Preparedness

• Nuclear

• Sustainment & Logistics

Full descriptions of the above technology areas can be reviewed here:

https://media.defense.gov/2023/Mar/21/2003183351/-1/-

1/1/OUSDRE_SBIR_STTR_CRITICAL_TECH_AREAS.PDF.

2.4 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 are made in accordance with the SBA Policy Directive guidelines, current version. The period of

performance is generally between six to twelve months with twelve months being the maximum period

allowable. Proposals should concentrate on research or research and development which will significantly

contribute to proving the scientific and technical feasibility, and commercialization potential of the

proposed effort, the successful completion of which is a prerequisite for further DoD support in Phase II.

Proposing small business concerns are encouraged to consider whether the research or research and

development being proposed to DoD Components also has private sector potential, either for the proposed

application or as a base for other applications.

Phase II awards will be made to proposing small business concerns on the basis of results of their Phase I

effort and/or the scientific merit, technical merit, and commercialization potential of the Phase II

proposal. Phase II awards are made in accordance with the SBA Policy Directive guidelines, current

version. The period of performance is generally 24 months. Phase II is the principal research or research

and development effort and is expected to produce a well-defined deliverable prototype. 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 towards commercialization of SBIR research or

technology.

2.5 Program on Innovation Open Topics

Section 7 of the SBIR and STTR Extension Act of 2022 requires the Department of Defense to establish

innovation open topic activities in order to—

(A) increase the transition of commercial technology to the Department of Defense;

(B) expand the small business nontraditional industrial base;

AMENDMENT 2

(D) expand the ability for qualifying small business concerns to propose technology solutions to meet

the needs of the Department of Defense.

Unlike conventional topics, which specify the desired technical objective and output, open topics can use

generalized mission requirements or specific technology areas to adapt commercial products or solutions

to close capability gaps, improve performance, or provide technological advancements in existing

capabilities.

A small business concern may only submit one (1) proposal to each open topic. If more than one

proposal from a small business concern is received for a single open topic, only the most recent proposal

to be certified and submitted prior to the submission deadline will receive an evaluation. All prior

proposals submitted by the small business concern for the same open topic will be marked as

nonresponsive and will not receive an evaluation.

Open topics released under this BAA will be clearly identified as such in the title and objective of the

topic. Proposal preparation instructions for open topics may vary significantly across DoD Components.

Proposing small business concerns are advised to carefully read and follow all instructions from the DoD

Component for the open topic of interest. Unless specifically noted in the Component instructions, all

requirements outlined in this BAA remain in effect for open topics.

3.0 DEFINITIONS

The following definitions from the SBA SBIR/STTR Policy Directive, the Federal Acquisition

Regulation (FAR), and other cited regulations apply for the purposes of this BAA:

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.

Cooperative Research and Development

Research and development conducted jointly by a small business concern and a research institution. For

purposes of the STTR Program, 40% of the work is performed by the small business concern, and not less

than 30% of the work is performed by the single research institution. For purposes of the SBIR Program,

this refers to work conducted by a research institution as a subcontractor to the small business concern. At

least two-thirds of the research and/or analytical work in Phase I must be conducted by the proposing

small business concern.

Covered Individual

An individual who contributes in a substantive, meaningful way to the scientific development or

execution of a research and development (R&D) project proposed to be carried out with a Federally

funded award from DoD. DoD has further designated covered individuals as including all proposed key

personnel.

AMENDMENT 2

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.

Export Control

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

Administration Regulations (EAR), 15 CFR Parts 730 through 799, will apply to all projects with military

or dual-use applications that develop beyond fundamental research, which is basic and applied research

ordinarily published and shared broadly within the scientific community. More information is available at

https://www.pmddtc.state.gov/ddtc_public.

NOTE: Export control compliance statements found in the individual Component-specific proposal

instructions are not meant to be all inclusive. They do not remove any liability from the submitter to

comply with applicable ITAR or EAR export control restrictions or from informing the Government of

any potential export restriction as fundamental research and development efforts proceed.

Federal Laboratory

As defined in 15 U.S.C. §3703, means any laboratory, any federally funded research and development

center (FFRDC), or any center established under 15 U.S.C. §§ 3705 & 3707 that is owned, leased, or

otherwise used by a Federal agency and funded by the Federal Government, whether operated by the

Government or by a contractor.

Federally Funded Award

A Phase I, Phase II (including Direct to Phase II, sequential Phase II/subsequent Phase II and cross-

agency Phase II), or Phase III SBIR or STTR award made using a funding agreement.

Foreign Affiliation

As defined in 15 U.S.C. § 638(e)(16), foreign affiliation means a funded or unfunded academic,

professional, or institutional appointment or position with a foreign government or government-owned

entity, whether full-time, part-time, or voluntary (including adjunct, visiting, or honorary). This includes

appointments or positions deemed adjunct, visiting, or honorary with research institutions located in a

foreign country of concern.

Foreign Country of Concern

As defined in 15 U.S.C. § 638(e)(17), foreign country of concern means the People’s Republic of China,

the Democratic People’s Republic of Korea, the Russian Federation, the Islamic Republic of Iran, or any

other country determined to be a country of concern by the Secretary of State.

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,

AMENDMENT 2

directed, or controlled by foreign owners, foreign investors, foreign management, or a foreign

government.

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.

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.

Fraud, Waste and Abuse

a. Fraud includes any false representation about a material fact or any intentional deception

designed to deprive the United States unlawfully of something of value or to secure from the

United States a benefit, privilege, allowance, or consideration to which an individual or business

is not entitled.

b. Waste includes extravagant, careless or needless expenditure of Government funds, or the

consumption of Government property, that results from deficient practices, systems, controls, or

decisions.

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

position, or authority or resources.

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

https://www.sbir.gov/tutorials/fraud-waste-abuse/tutorial-1. See Section 4.17 for reporting Fraud,

Waste and Abuse.

AMENDMENT 2

Funding Agreement

Any contract, grant, or cooperative agreement entered into between any Federal Agency and any small

business concern for the performance of experimental, developmental, or research work, including

products or services, funded in whole or in part by the Federal Government. Only contracts and other

transaction authority (OTA) agreements will be used by DoD Components for SBIR awards.

Historically Black Colleges and Universities and Minority Institutions (HBCU/MI)

Listings for the Historically Black Colleges and Universities (HBCU) and Minority Institutions (MI) are

available through the Department of Education Web site, http://www.ed.gov/about/offices/list/ocr/edlite-

minorityinst.html.

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).

Malign Foreign Talent Recruitment Program

As defined in 42 U.S.C § 19237, the term “malign foreign talent recruitment program” means-

(A) any program, position, or activity that includes compensation in the form of cash, in-kind

compensation, including research funding, promised future compensation, complimentary foreign

travel, things of non de minimis value, honorific titles, career advancement opportunities, or other

types of remuneration or consideration directly provided by a foreign country at any level

(national, provincial, or local) or their designee, or an entity based in, funded by, or affiliated with

a foreign country, whether or not directly sponsored by the foreign country, to the targeted

individual, whether directly or indirectly stated in the arrangement, contract, or other

documentation at issue, in exchange for the individual-

(i) engaging in the unauthorized transfer of intellectual property, materials, data products, or

other nonpublic information owned by a United States entity or developed with a Federal

research and development award to the government of a foreign country or an entity based

in, funded by, or affiliated with a foreign country regardless of whether that government or

entity provided support for the development of the intellectual property, materials, or data

products;

(ii) being required to recruit trainees or researchers to enroll in such program, position, or

activity;

(iii) establishing a laboratory or company, accepting a faculty position, or undertaking any other

employment or appointment in a foreign country or with an entity based in, funded by, or

affiliated with a foreign country if such activities are in violation of the standard terms and

conditions of a Federal research and development award;

(iv) being unable to terminate the foreign talent recruitment program contract or agreement

except in extraordinary circumstances;

(v) through funding or effort related to the foreign talent recruitment program, being limited in

the capacity to carry out a research and development award or required to engage in work

that would result in substantial overlap or duplication with a Federal research and

development award;

(vi) being required to apply for and successfully receive funding from the sponsoring foreign

government's funding agencies with the sponsoring foreign organization as the recipient;

(vii) being required to omit acknowledgment of the recipient institution with which the individual

is affiliated, or the Federal research agency sponsoring the research and development award,

AMENDMENT 2

contrary to the institutional policies or standard terms and conditions of the Federal research

and development award;

(viii) being required to not disclose to the Federal research agency or employing institution the

participation of such individual in such program, position, or activity; or

(ix) having a conflict of interest or conflict of commitment contrary to the standard terms and

conditions of the Federal research and development award; and

(B) a program that is sponsored by-

(i) a foreign country of concern or an entity based in a foreign country of concern, whether or

not directly sponsored by the foreign country of concern;

(ii) an academic institution on the list developed under section 1286(c)(8) of the John S. McCain

National Defense Authorization Act for Fiscal Year 2019 (10 U.S.C. 2358 note; 1 Public Law

115–232) ; or

(iii) a foreign talent recruitment program on the list developed under section 1286(c)(9) of the

John S. McCain National Defense Authorization Act for Fiscal Year 2019 (10 U.S.C. 2358

note; 1 Public Law 115–232).

Performance Benchmark Requirements

Companies with multiple SBIR/STTR awards must meet minimum performance requirements to be

eligible to apply for a new Phase I or Direct-to-Phase II award. The purpose of these requirements is to

ensure that Phase I applicants that have won multiple prior SBIR/STTR awards are making progress

towards commercializing the work done under those awards. The Phase I to Phase II transition rate

addresses the extent to which an awardee progresses a project from Phase I to Phase II. The

commercialization benchmark addresses the extent to which an awardee has moved past Phase II work

towards commercialization.

The SBIR and STTR Extension Act of 2022 (Pub. L. 117-183) amended the application of these

benchmarks for more experienced firms. Detailed information on benchmark calculations and increased

performance standards for more experienced firms can be found at https://www.sbir.gov/performance-

benchmarks.

Personal Conflict of Interest

A situation in which an individual has a financial interest, personal activity, or relationship that could

impair the employee’s ability to act impartially and in the best interest of the Government when

performing under the contract. (A de minimis interest that would not "impair the employee’s ability to act

impartially and in the best interest of the Government" is not covered under this definition.)

Among the sources of personal conflicts of interest are-

(i) Financial interests of the covered employee, of close family members, or of other members of the

covered employee’s household;

(ii) Other employment or financial relationships (including seeking or negotiating for prospective

employment or business); and

(iii) Gifts, including travel.

Financial interests referred to in paragraph (1) of this definition may arise from-

(i) Compensation, including wages, salaries, commissions, professional fees, or fees for business

referrals;

(ii) Consulting relationships (including commercial and professional consulting and service arrangements,

scientific and technical advisory board memberships, or serving as an expert witness in litigation);

AMENDMENT 2

(iii) Services provided in exchange for honorariums or travel expense reimbursements;

(iv) Research funding or other forms of research support;

(v) Investment in the form of stock or bond ownership or partnership interest (excluding diversified

mutual fund investments);

(vi) Real estate investments;

(vii) Patents, copyrights, and other intellectual property interests; or

(viii) Business ownership and investment interests.

Principal Investigator

The principal investigator/project manager is the one individual designated by the applicant to provide the

scientific and technical direction to a project supported by the funding agreement.

For both Phase I and Phase II, the primary employment of the principal investigator must be with the

proposing small business firm at the time of award and during the conduct of the proposed

project. Primary employment means that more than one-half of the principal investigator's time is spent

in the employ of the small business. This precludes full-time employment with another

organization. Occasionally, deviations from this requirement may occur, and must be approved in writing

by the contracting officer after consultation with the agency SBIR/STTR Program

Manager/Coordinator. Further, a proposing 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.

Proprietary Information

Proprietary information is any information that a small business concern considers to be non-public

information that is owned by the small business concern and is marked accordingly.

Research Institution

Any organization located in the United States that is:

a. A university.

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

Innovation Act of 1980.

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

National Science Foundation in accordance with the government-wide Federal Acquisition

Regulation issued in accordance with Section 35(c)(1) of the Office of Federal Procurement

Policy Act. A list of eligible FFRDCs is available at: https://www.nsf.gov/statistics/ffrdclist/.

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.

AMENDMENT 2

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.

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 DoDI

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. Proposing small business concerns 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 (DoDI 3216.02), recruitment of military research subjects (DoDI 3216.02),

and informed consent and surrogate consent (10 U.S.C. § 980) and chemical and biological agent research

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

3216.02 to research involving human subjects.

Research Involving Recombinant DNA Molecules

Any recipient performing research involving recombinant DNA molecules and/or organisms and viruses

containing recombinant DNA molecules shall comply with the National Institutes of Health Guidelines

for Research Involving Recombinant DNA Molecules, dated January 2011, as amended. The guidelines

can be found at: https://osp.od.nih.gov/wp-content/uploads/2016/05/NIH_Guidelines.pdf. Recombinant

DNA is defined as (i) molecules that are constructed outside living cells by joining natural or synthetic

AMENDMENT 2

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.

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).

Small Business Concern (SBC)

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

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

a. Is organized for profit, with a place of business located in the United States, which operates

primarily within the United States or which makes a significant contribution to the United States

economy through payment of taxes or use of American products, materials or labor;

b. Is in the legal form of an individual proprietorship, partnership, limited liability company,

corporation, joint venture, association, trust or cooperative, except that if the concern is a joint

venture, each entity to the venture must meet the requirements set forth in paragraph (c) below;

c. Is more than 50% directly owned and controlled by one or more individuals (who are citizens or

permanent resident aliens of the United States), other small business concerns (each of which is

more than 50% directly owned and controlled by individuals who are citizens or permanent

resident aliens of the United States), or any combination of these; and

d. Has, including its affiliates, not more than 500 employees. (For explanation of affiliate, see

www.sba.gov/size.)

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.

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.

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.

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.

AMENDMENT 2

4.0 PROPOSAL FUNDAMENTALS

4.1 Introduction

The proposal must provide sufficient information to demonstrate to the evaluator(s) that the proposed

work represents an innovative approach to the investigation of an important scientific or engineering

problem and is worthy of support under the stated criteria. The proposed research or research and

development must be responsive to the chosen topic, although it need not use the exact approach specified

in the topic. Anyone contemplating a proposal for work on any specific topic should determine:

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 small business concern has the capability to implement the technical approach,

i.e., has or can obtain people and equipment suitable to the task.

Please note, this BAA is for Phase I proposals only unless the Component is participating in the

Direct to Phase II Program.

a. Direct to Phase II

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 DoD to make a SBIR Phase

II award to a small business concern with respect to a project, without regard to whether the small

business concern was provided an award under Phase I of the SBIR program with respect to such

project. DoD does not guarantee Direct to Phase II opportunities will be offered in future BAAs.

Each eligible topic requires that proposing small business concerns provide documentation to

demonstrate feasibility described in the Phase I section of the topic has been met. Feasibility

documentation cannot be based upon or logically extend from any prior or ongoing federally

funded SBIR or STTR work. Work submitted within the feasibility documentation must have been

substantially performed by the proposing small business concern and/or the PI. If technology in the

feasibility documentation is subject to Intellectual Property (IP), the proposing small business

concern must either own the IP or must have obtained license rights to such technology prior to

proposal submission, to enable it and its subcontractors to legally carry out the proposed work.

If the proposing small business concern fails to demonstrate technical merit and feasibility

equivalent to the Phase I level as described in the associated topic, the related Phase II proposal will

not be accepted or evaluated, in accordance with the Component-specific Direct to Phase II

instructions.

Please refer to the Component-specific Direct to Phase II instructions for full details regarding

Component Direct to Phase II processes and proposal preparation requirements.

4.2 Proposing Small Business Concern Eligibility and Performance Requirements

a. Each proposing small business concern must qualify as a small business concern as defined by 13

C.F.R §§ 701-705 at time of award and certify to this in the Cover Sheet section of the proposal.

The eligibility requirements for the SBIR/STTR programs are unique and do not correspond to

those of other small business programs (see Section 3 of this BAA). Proposing small business

concern must meet eligibility requirements for Small Business Ownership and Control (see 13

CFR § 121.702).

b. A minimum of two-thirds of the research and/or analytical work in Phase I must be conducted by

the proposing small business concern. For Phase II, a minimum of one-half (50%) of the research

AMENDMENT 2

and/or analytical work must be performed by the proposing small business concern. The

percentage of work is measured by both direct and indirect costs. Occasionally, deviations from

these SBIR requirements may occur, and must be approved in writing by the Funding Agreement

officer after consultation with the agency SBIR/STTR program manager/coordinator. For more

information on the percentage of work calculation during proposal submission, refer to section

5.3.

c. For both Phase I and II, the primary employment of the principal investigator must be with the

proposing 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. Proposing small business concern with prior SBIR/STTR awards must meet two

performance benchmark requirements as determined by the Small Business Administration

(SBA) on June 1 each year.

(1) Phase I to Phase II Transition Rate: For all proposing small business concerns with greater

than 20 Phase I awards over the past five fiscal years excluding the most recent year, the ratio

of Phase II awards to Phase I awards must be at least 0.25.

(2) Commercialization Benchmark: For all proposing small business concerns with greater than

15 Phase II awards over the last 10 fiscal years excluding the last two years, the proposing

small business concern 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.

The SBIR and STTR Extension Act of 2022 (Pub. L. 117-183) amended the application of these

benchmarks for more experienced firms. Detailed information on benchmark calculations,

increased performance standards for more experienced firms and consequence of failure to meet

benchmarks can be found at https://www.sbir.gov/performance-benchmarks.

As defined by the SBIR/STTR Policy Directive, Department of the Army, Department of the

Navy, and Department of the Air Force each constitute its own Federal agency, and the remaining

DoD Components fall under the executive agency of the Department of Defense. Companies that

fail to meet either of the benchmarks under the Increased Performance Standards for more

Experienced Firms may not receive more than an overall total of 80 awards from DoD, as

detailed in the breakdown below:

Army – 20 total Phase I and Direct to Phase II awards

Navy – 20 total Phase I and Direct to Phase II awards

Air Force – 20 total Phase I and Direct to Phase II awards

All other DoD Components - 20 Phase I and Direct to Phase II awards, combined

4.3 Disclosures Regarding Ties to People’s Republic of China and Other Foreign Countries

Each proposing small business concern is required to complete Attachment 2 of this BAA, “Disclosures

of Foreign Affiliations or Relationships to Foreign Countries” and upload the form to Volume 5,

Supporting Documents. Proposals that do not include Attachment 2 in Volume 5 will be deemed

noncompliant and will not receive an evaluation. The disclosure requires the following information:

AMENDMENT 2

(A) the identity of all owners and covered individuals of the small business concern who are a party

to any foreign talent recruitment program of any foreign country of concern, including the

People’s Republic of China;

(B) the existence of any joint venture or subsidiary of the small business concern that is based in,

funded by, or has a foreign affiliation with any foreign country of concern, including the People’s

Republic of China;

business arrangement, or joint venture-like arrangement with an enterprise owned by a foreign

state or any foreign entity;

(D) whether the small business concern is wholly owned in the People’s Republic of China or another

foreign country of concern;

(E) the percentage, if any, of venture capital or institutional investment by an entity that has a general

partner or individual holding a leadership role in such entity who has a foreign affiliation with

any foreign country of concern, including the People’s Republic of China;

(F) any technology licensing or intellectual property sales to a foreign country of concern, including

the People’s Republic of China, during the five-year period preceding submission of the proposal;

and

(G) any foreign entity, offshore entity, or entity outside the United States related to the small business

concern.

After reviewing the above listed disclosures of the proposing small business concern, and if determined

appropriate by the DoD, the Department may ask the small business concern may to provide true copies

of any contractual or financial obligation or other agreement specific to a business arrangement or joint-

venture like arrangement with an enterprise owned by a foreign state or any foreign entity in effect during

the five-year period preceding submission of the proposal with respect to which the small business

concern made the disclosures.

4.4 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. Proposing small business

concern must disclose joint ventures with existing (or planned) relationships/partnerships with any

foreign entity or any foreign government-controlled companies.

A small business joint venture entity must submit, with its proposal, the representation required in

paragraph (c) of FAR solicitation provision 52.212-3, Offeror Representations and Certifications-

Commercial Products and Commercial Services, and paragraph (c) of FAR solicitation provision 52.219-

1, Small Business Program Representations, in accordance with 52.204-8(d) and 52.212-3(b) for the

following categories:

(A) Small business;

(B) Service-disabled veteran-owned small business;

(D) Economically disadvantaged women-owned small business under the WOSB Program; or

(E) Historically underutilized business zone small business.

These representations can be found as Attachment 3 to this BAA and must be uploaded to Volume 5,

Supporting Documents of the proposal submission in DSIP, if applicable.

AMENDMENT 2

4.5 Majority Ownership in Part by Multiple Venture Capital, Hedge Fund, and Private Equity

Firms

Unless otherwise noted in the participating Component instructions, proposing small business concerns

that are owned in majority part by multiple venture capital operating companies (VCOCs), hedge funds,

or private equity funds are ineligible to submit applications or receive awards for opportunities in this

BAA. Component instructions will specify if participation by a small business majority owned in part by

VCOCs, hedge funds, or private equity funds is allowable for a specific topic in the BAA. If a Component

authorizes such participation, any proposing small business concern that is owned, in whole in or in part,

by any VCOC, hedge fund, and/or private equity fund must identify each foreign national, foreign entity,

or foreign government holding or controlling greater than a 5% equity stake in the proposing small

business concern, whether such equity stake is directly or indirectly held. The proposing small business

concern must also identify any and all of its ultimate parent owner(s) and any other entities and/or

individuals owning more than a 5% equity stake in its chain of ownership.

4.6 Conflicts of Interest

Contract awards to proposing small business concern 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.

4.7 Organizational Conflicts of Interest (OCI)

FAR 9.5 Requirements

In accordance with FAR 9.5, proposing small business concerns are required to identify and disclose all

facts relevant to potential OCIs involving the proposing small business concern’s organization and any

proposed team member (sub-awardee, consultant). Under this Section, the proposing small business

concern is responsible for providing this disclosure with each proposal submitted to the BAA. The

disclosure must include the proposing small business concern’s, and as applicable, proposed team

member’s OCI mitigation plan. The OCI mitigation plan must include a description of the actions the

proposing small business concern has taken, or intends to take, to prevent the existence of conflicting

roles that might bias the proposing small business concern’s judgment and to prevent the proposing small

business concern 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, DoD Components may have 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 proposing small business concern must affirm

whether the proposing small business concern or any proposed team member (sub-awardee, consultant) is

providing SETA, A&AS, or similar support to any DoD Component 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 is being or was provided to any DoD Component office(s), the

proposal must include:

• The name of the DoD Component office receiving the support;

• The prime contract number;

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

AMENDMENT 2

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 proposing small business concerns to provide additional information to

assist the Government in evaluating the proposing small business concern’s OCI mitigation plan.

If the Government determines that a proposer failed to fully disclose an OCI; or failed to provide the

affirmation of Government 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.

4.8 Classified Proposals

Classified proposals will not be accepted under the DoD SBIR Program. If topics will require classified

work during Phase II, the proposing small business concern 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 (DCSA) website at:

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

4.9 Research Involving Human Subjects

All research involving human subjects, to include use of human biological specimens and human data,

shall comply with the applicable federal and state laws and agency policy/guidelines for human subject

protection (see Section 3).

Institutions to be awarded funding for research involving human subjects must provide documentation of

a current Federal Assurance of Compliance with Federal regulations for human subject protection, for

example a Department of Health and Human Services, Office for Human Research Protections Federal-

wide Assurance (http://www.hhs.gov/ohrp). Additional Federal Assurance documentation may also be

requested by the awarding DoD Component. All institutions engaged in human subject research, to

include subcontractors, must also have a valid Assurance. In addition, personnel involved in human

subjects research must provide documentation of completing appropriate training for the protection of

human subjects. Institutions proposing to conduct human subject research that meets one of the

exemption criteria in 32 CFR 219.101 are not required to have a Federal Assurance of Compliance.

proposing small business concerns should clearly segregate research activities involving human subjects

from other research and development activities in their proposal.

If selected, institutions must also provide documentation of Institutional Review Board (IRB) approval or

a determination from an appropriate official in the institution that the work meets one of the exemption

criteria with 32 CFR 219. As part of the IRB review process, evidence of appropriate training for all

investigators should accompany the protocol. The protocol, separate from the proposal, must include a

detailed description of the research plan, study population, risks and benefits of study participation,

recruitment and consent process, data collection and data analysis.

AMENDMENT 2

The amount of time required for the IRB to review and approve the protocol will vary depending on such

things as the IRB’s procedures, the complexity of the research, the level of risk to study participants and

the responsiveness of the Investigator. The average IRB approval process can last between one and three

months. Once the IRB has approved the research, the awarding DoD Component will review the protocol

and the IRB’s determination to ensure that the research will be conducted in compliance with DoD and

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

should be allotted to complete both the IRB and DoD approval processes prior to recruiting subjects.

No funding can be used towards human subject research until ALL approvals are granted.

Submitters proposing research involving human and/or animal use are encouraged to separate

these tasks in the technical proposal and cost proposal in order to avoid potential delay of contract

award.

4.10 Research Involving Animal Subjects

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).

For submissions containing animal use, proposals should briefly describe plans for their Institutional

Animal Care and Use Committee (IACUC) review and approval.

All Recipients must receive their IACUC’s approval as well as secondary or headquarters-level approval

by a DoD veterinarian who is trained or experienced in laboratory animal medicine and science. No

animal research may be conducted using DoD funding until all the appropriate DoD office(s) grant

approval. Submitters proposing research involving human and/or animal use are encouraged to

separate these tasks in the technical proposal and cost proposal in order to avoid potential delay of

contract award.

4.11 Research Involving Recombinant DNA Molecules

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.

4.12 Debriefing/Technical Evaluation Narrative

After final award decisions have been announced, the technical evaluations of the submitter's proposal

may be provided to the submitter. Please refer to the Component-specific instructions of your topics of

interest for Component debriefing processes.

4.13 Pre-Award and Post Award BAA Protests

Interested parties have the right to protest in accordance with the procedures in FAR Subpart 33.1.

Pre-award agency protests related to the terms of this BAA must be served to:

Ms. Tara Randolph

Contracting Officer

[email protected] & osd.ncr.ousd-r-e.mbx.SBIR-STTR[email protected]

AMENDMENT 2

For the purposes of a protest related to a selection or award decision, protests should be served to the

point-of-contact (POC) listed in the instructions of the DoD Component that authored the topic.

For protests filed with the Government Accountability Office (GAO), a copy of the protest shall be

submitted to the Contracting Officer listed above (pre-award ONLY) or DoD Component POC

(selection/award decision ONLY) within one day of filing with the GAO. Protests of small business status

of a selected proposing small business concern may also be made to the Small Business Administration.

4.14 Phase I Award Information

All Phase I proposals will be evaluated and judged on a competitive basis in terms of technical capability

and technical value. Proposals will be initially screened to determine responsiveness to the topic

objective. Proposals passing this initial screening will be technically evaluated by engineers or scientists

to determine the most promising technical and scientific approaches. As a common statement of work

does not exist, each proposal will be assessed on the merit of the approach in achieving the technical

objectives established in the topic. DoD is under no obligation to fund any proposal or any specific

number of proposals in a given topic. It also may elect to fund several or none of the proposed approaches

to the same topic.

a. Number of Phase I Awards. The number of Phase I awards will be consistent with the

Component’s RDT&E 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. Each Phase I proposal selected for negotiation and possible award

will be funded under negotiated contracts or purchase orders and will include a reasonable fee or

profit consistent with normal profit margins provided to profit-making proposing small business

concerns for R/R&D work. Firm-Fixed-Price, Firm- Fixed-Price Level of Effort, Labor Hour,

Time & Material, or Cost-Plus-Fixed-Fee type contracts can be negotiated and are at the

discretion of the Component Contracting Officer.

c. Dollar Value. The Phase I contract value varies among the DoD Components; it is therefore

important for proposing small business concerns to review Component-specific instructions

regarding award size.

d. Timing. Proposing small business concerns will be notified of selection or non-selection status

for a Phase I award by the DoD Component that originated the topic within 90 days of the closing

date for this BAA. Please refer to the Component-specific instructions for details.

The SBA SBIR/STTR Policy Directive, Section 7(c)(1)(ii), states that agencies should issue the

Phase I award no more than 180 days after the closing date of the BAA. However, across DoD,

the median time between the date that the SBIR BAA closes and the award of a Phase I contract

is approximately four months.

This information in this section is applicable to Phase I proposals only. If the Component

is participating in the Direct to Phase II Program, refer to the Component-specific Direct to

Phase II instructions for award information.

4.15 Questions about this BAA and BAA Topics

a. General SBIR Questions/Information.

AMENDMENT 2

(1) DSIP Support:

Email DSIP Support at DoDSBIRSup[email protected] only for assistance with using the

DSIP application. Questions regarding DSIP can be emailed to DSIP Support and will be

addressed in the order received, during normal operating hours (Monday through Friday, 9:00

a.m. to 5:00 p.m. ET). Please include information on your small business concern, a proposal

number (if applicable), and screenshots of any pertinent errors or issues encountered.

DSIP Support cannot provide updates to proposal status after submission, such as proposal

selection/non-selection status or contract award status. Contact the DoD Component that

originated the topic in accordance with the Component-specific instructions given at the

beginning of that Component's topics.

(2) Websites:

The Defense SBIR/STTR Innovation Portal (DSIP) at

https://www.dodsbirsttr.mil/submissions/login, which provides the following resources:

• SBIR and STTR Program Opportunities

• Topics Search Engine

• Topic Q&A

• All Electronic Proposal Submission for Phase I and Phase II Proposals.

Proposing small business concerns submitting through this site for the first

time will be asked to register on https://www.dodsbirsttr.mil/submissions.

DoD SBIR/STTR website at https://www.defensesbirsttr.mil/, which provides the

following resources:

• Customer Support Information

• SBIR and STTR Program Opportunities

• Dates for Current and Upcoming Opportunities

• Past SBIR and STTR Program Opportunities

(3) SBIR/STTR Updates and Notices:

To be notified of SBIR/STTR opportunities and to receive e-mail updates on the DoD SBIR and

STTR Programs, subscribe to the Listserv by selecting “DSIP Listserv” under Quick Links on the

DSIP login page.

b. General Questions about a DoD Component. Questions pertaining to a particular DoD Component

or the Component-specific BAA instructions should be submitted in accordance with the instructions

given at the beginning of that Component's topics.

c. Direct Contact with Topic Authors. From April 19, 2023 – May 17, 2023, this BAA is issued for

pre-release with the names of the topic authors and their phone numbers and e-mail addresses. During

the pre-release period, proposing small business concerns 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. Proposing small business concerns may not ask for advice or guidance on solution

approach and you may not submit additional material to the topic author. If information provided

during an exchange with the topic author is deemed necessary for proposal preparation, that

information will be made available to all parties through Topic Q&A. After this period questions

must be asked through Topic Q&A as described below.

AMENDMENT 2

d. Topic Q&A. Once DoD begins accepting proposals on May 17, 2023, no further direct contact

between proposing small business concerns and topic authors is allowed unless the Topic Author is

responding to a question submitted during the pre-release period. However, proposing small business

concerns may submit written questions through Topic Q&A at

https://www.dodsbirsttr.mil/submissions/login. In Topic Q&A, all questions and answers are posted

electronically for general viewing. Identifying information for the questioner and respondent is not

posted.

Questions submitted through the Topic Q&A 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, or administrative questions, such as SBIR or STTR program

eligibility, technical proposal/cost proposal structure and page count, budget and duration limitations,

or proposal due date WILL NOT receive a response. Refer to the Component-specific instructions

given at the beginning of that Component's topics for help with an administrative question.

Proposing small business concerns may use the Topic Search feature on DSIP to locate a topic of

interest. Then, using the form at the bottom of the topic description, enter and submit the question.

Answers are generally posted within seven (7) business days of question submission (answers will

also be e-mailed directly to the inquirer).

The Topic Q&A for this BAA opens on April 19, 2023, and closes to new questions on May 31,

2023, at 12:00 PM ET. Once the BAA closes to proposal submission, no communication of any kind

with the topic author or through Topic Q&A regarding your submitted proposal is allowed.

Proposing small business concerns are advised to monitor Topic Q&A during the BAA period

for questions and answers. Proposing small business concerns should also frequently monitor

DSIP for updates and amendments to the topics.

4.16 Registrations and Certifications

Individuals from proposing small business concerns must be registered in the Defense SBIR/STTR

Innovation Portal (DSIP) in order to prepare and submit proposals. The DSIP application is only

accessible from within the United States, which is defined as 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. All users are required to have an individual user account to access DSIP. As DSIP user

accounts are authenticated by Login.gov, all users, who do not already have a Login.gov account, will be

required to create one. If you already have a Login.gov account, you can link your existing Login.gov

account with your DSIP account. Job Aids and Help Videos to walk you through the process are in the

Learning & Support section of DSIP, can be accessed here:

https://www.dodsbirsttr.mil/submissions/learning-support/training-materials.

Be advised that the sharing of accounts and passwords is a violation of the Terms of Use for

Please note that the email address you use for Login.gov should match the email address associated with

your existing DSIP account. If you do not recall the email address associated with your DSIP account, or

if you already have an existing Login.gov account using a different email address, you will need your

Firm’s UEI or DUNS number and your Firm PIN in order to link your Login.gov account with your DSIP

account. If the email address associated with your existing DSIP account has been used for multiple DSIP

accounts within your Firm, you will also need your Firm’s UEI or DUNS number and your Firm PIN in

AMENDMENT 2

order to link your Login.gov account with your DSIP account. The Firm PIN can be obtained from your

Firm Admin. You can view the Firm Admin’s contact information by entering your Firm’s UEI or DUNS

number when prompted. If you are the Firm Admin, please ensure that you contact all DSIP users in your

Firm and provide them with the Firm PIN.

Users should complete their account registrations as soon as possible to avoid any delays in

proposal submissions.

The System for Award Management (SAM) allows proposing small business concerns interested in

conducting business with the Federal Government to provide basic information on business structure and

capabilities as well as financial and payment information. Proposing small business concerns must be

registered in SAM. To register, visit www.sam.gov. A proposing small business concern that is already

registered in SAM should login to SAM and ensure its registration is active and its representations and

certifications are up-to-date to avoid delay in award.

On April 4, 2022, the DUNS Number was replaced by the Unique Entity ID (SAM). The Federal

Government will use the UEI (SAM) to identify organizations doing business with the Government. The

DUNS number will no longer be a valid identifier. If the proposing small business concern has an entity

registration in SAM.gov (even if the registration has expired), a UEI (SAM) has already been assigned.

This can be found by signing into SAM.gov and selecting the Entity Management widget in the

Workspace or by signing in and searching entity information. For proposing small business concerns

with established Defense SBIR/STTR Innovation Portal (DSIP) accounts, update the small business

concern profile with the UEI (SAM) as soon as possible.

For new proposing small business concern registrations, follow instructions during SAM registration on

how to obtain a Commercial and Government Entry (CAGE) code and be assigned the UEI (SAM). Once

a CAGE code and UEI (SAM) are obtained, update the proposing small business concern’s profile on the

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

In addition to the standard federal and DoD procurement certifications, the SBA SBIR Policy Directive

requires the collection of certain information from proposing small business concerns at time of award

and during the award life cycle. Each proposing small business concern must provide this additional

information at the time of the Phase I and Phase II award, prior to final payment on the Phase I award,

prior to receiving 50% of the total award amount for a Phase II award, and prior to final payment on the

Phase II award.

4.17 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) 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 5.3.c(11).

AMENDMENT 2

4.19 Fraud and Fraud Reporting

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 https://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

[email protected].

4.20 State and Other Assistance Available

Many states have established programs to provide services to those proposing small business concerns

and individuals wishing to participate in the Federal SBIR Program. These services vary from state to

state, but may include:

• Information and technical assistance;

• Matching funds to SBIR recipients;

• 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 business concerns may seek general administrative guidance from small and

disadvantaged business utilization specialists located in various Defense Contract Management activities

throughout the continental United States.

4.21 Discretionary Technical and Business Assistance (TABA)

DoD has not mandated the use of TABA pending further SBA guidance and establishment of a limit on

the amount of technical and business assistance services that may be received or purchased by a small

business concern that has received multiple Phase II SBIR or STTR awards for a fiscal year. However,

proposing small business concerns should carefully review individual component instructions to

determine if TABA is being offered and follow specific proposal requirements for requesting TABA

funding.

5.0 PHASE I PROPOSAL

5.1 Introduction

This BAA and the Defense SBIR/STTR Innovation Portal (DSIP) sites are designed to reduce the time

and cost required to prepare a formal proposal. DSIP is the official portal for DoD SBIR/STTR proposal

submission. Proposing small business concerns are required to submit proposals via DSIP; proposals

submitted by any other means will be disregarded. Proposing small business concerns submitting through

this site for the first time will be asked to register. It is recommended that proposing small business

concerns register as soon as possible upon identification of a proposal opportunity to avoid delays in the

proposal submission process.

AMENDMENT 2

This information in this section is applicable to Phase I proposals only. If the Component is

participating in the Direct to Phase II Program, refer to the Component-specific Direct to Phase II

instructions for more information on proposal preparation.

Guidance on allowable proposal content may vary by Component. A completed proposal

submission in DSIP does NOT indicate that each proposal volume has been completed in

accordance with the Component-specific instructions. Accordingly, it is the proposing small

business concern’s responsibility to consult the Component-specific instructions for detailed

guidance, including required proposal documentation and structure, cost and duration limitations,

budget structure, TABA allowance and proposal page limits.

DSIP provides a structure for providing the following proposal volumes:

Volume 1: Proposal Cover Sheet

Volume 2: Technical Volume

Volume 3: Cost Volume

Volume 4: Company Commercialization Report

Volume 5: Supporting Documents

a. Contractor Certification Regarding Provision of Prohibition on Contracting for

Certain Telecommunications and Video Surveillance Services or Equipment

(Attachment 1) MANDATORY

b. Disclosures of Foreign Affiliations or Relationships to Foreign Countries

(Attachment 2) MANDATORY

c. Verification of Eligibility of Small Business Joint Ventures (Attachment 3), if

applicable

d. Disclosure of Funding Sources (Attachment 4) MANDATORY

e. Other supporting documentation (Refer to Component-specific instructions for

additional Volume 5 requirements)

A completed proposal submission in DSIP does NOT indicate that the mandatory

supporting documents have been uploaded. It is the responsibility of the proposing

small business concern to ensure that the mandatory documents listed above have

been uploaded and included with the proposal submission.

Volume 6: Fraud, Waste and Abuse Training

All proposing small business concerns must complete the following:

• Volume 4: Company Commercialization Report (upload of CCR from SBIR.gov to DSIP is

required for proposing small business concerns with prior Federal SBIR or STTR awards)

• Volume 5(a): Contractor Certification Regarding Provision of Prohibition on Contracting for

Certain Telecommunications and Video Surveillance Services or Equipment (Attachment 1)

• Volume 5(b): Disclosures of Foreign Affiliations or Relationships to Foreign Countries

(Attachment 2)

• Volume 5(c): Disclosure of Funding Sources (Attachment 4)

• Volume 6: Fraud, Waste and Abuse training.

Refer to Section 5.3 below for full details on these proposal requirements.

A Phase I Proposal Template is available to provide helpful guidelines for completing each section of

your Phase I technical proposal. This can be found at https://www.dodsbirsttr.mil/submissions/learning-

support/firm-templates.

AMENDMENT 2

Detailed guidance on registering in DSIP and using DSIP to submit a proposal can be found at

https://www.dodsbirsttr.mil/submissions/learning-support/training-materials. If the proposal status is

“In Progress” or “Ready to Certify” it will NOT be considered submitted, even if all volumes are added

prior to the BAA close date. The proposing small business concern may modify all proposal volumes

prior to the BAA close date.

Although signatures are not required on the electronic forms at the time of submission the proposal must

be certified electronically by the corporate official for it to be considered submitted. If the proposal is

selected for negotiation and possible award, the DoD Component program will contact the proposing

small business concern for signatures prior to award.

5.2 Marking Proprietary Proposal Information

Proposing small business concerns that include in their proposals data 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 this proposal.

If, however, a contract is awarded to this proposing small business concern 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 Defense

SBIR/STTR Innovation Portal (DSIP) may be handled, for administrative purposes only, by

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

5.3 Phase I Proposal Instructions

a. Proposal Cover Sheet (Volume 1)

On the Defense SBIR/STTR Innovation Portal (DSIP) at

https://www.dodsbirsttr.mil/submissions/, prepare the Proposal Cover Sheet.

The Cover Sheet must include a brief technical abstract that describes the proposed R&D

project and a discussion of anticipated benefits and potential commercial applications. Each

section should be no more than 200 words. Do not include proprietary or classified

information in the Proposal Cover Sheet. If your proposal is selected for negotiation and

possible award, the technical abstract and discussion of anticipated benefits may be publicly

AMENDMENT 2

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.

Effective January 2023, the amounts listed in the Percentage of Work (POW) certification

question on the Proposal Cover Sheet are derived from information entered by the proposing

small business concern in the Cost Volume (Volume 3). Details on the calculation can be

viewed in DSIP during proposal submission.

If the POW calculations fall below eligibility requirements, a letter of explanation or approval

by the Funding Agreement officer must be uploaded to the certification question to complete

the submission. Some DoD Components will not accept any deviations from the POW

minimum requirements. Please refer to the Component instructions regarding acceptance of

deviations to the POW requirements.

b. Format of Technical Volume (Volume 2)

(1) Type of file: The Technical Volume must be a single Portable Document Format (PDF)

file, including graphics. Perform a virus check before uploading the Technical Volume 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.

(2) Length: It is the proposing small business concern’s responsibility to verify that the

Technical Volume does not exceed the page limit after upload to DSIP. Please refer to

Component-specific instructions for how a technical volume is handled if the stated page

count is exceeded. Some Components will reject the entire technical proposal if the

proposal exceeds the stated page count.

(3) Layout: Number all pages of your proposal consecutively. Those who wish to respond

must submit a direct, concise, and informative research or research and development

proposal (no type smaller than 10-point on standard 8-1/2" x 11" paper with one-inch

margins). The header on each page of the Technical Volume should contain your proposing

small business concern name, topic number, and proposal number assigned by the Defense

SBIR/STTR Innovation Portal (DSIP) when the Cover Sheet was created. The header may

be included in the one-inch margin.

c. Content of the Technical Volume (Volume 2)

The Technical Volume should cover the following items in the order given below:

(1) Identification and Significance of the Problem or Opportunity. Define the specific

technical problem or opportunity addressed and its importance.

(2) Phase I Technical Objectives. Enumerate the specific objectives of the Phase I work,

including the questions the research and development effort will try to answer to determine

the feasibility of the proposed approach.

(3) Phase I Statement of Work (including Subcontractors’ Efforts)

a. Provide an explicit, detailed description of the Phase I approach. If a Phase I option is

required or allowed by the Component, describe appropriate research activities which

would commence at the end of Phase I base period should the Component elect to

exercise the option. The Statement of Work should indicate what tasks are planned,

AMENDMENT 2

how and where the work will be conducted, a schedule of major events, and the final

product(s) to be delivered. The Phase I effort should attempt to determine the technical

feasibility of the proposed concept. The methods planned to achieve each objective or

task should be discussed explicitly and in detail. This section should be a substantial

portion of the Technical Volume section.

b. This BAA may contain topics that have been identified by the Program Manager as

research or activities involving Human/Animal Subjects and/or Recombinant DNA. In

the event that Phase I performance includes performance of these kinds of research or

activities, please identify the applicable protocols and how those protocols will be

followed during Phase I. Please note that funds cannot be released or used on any

portion of the project involving human/animal subjects or recombinant DNA research

or activities until all of the proper approvals have been obtained (see Sections 4.9 -

4.11). Small Business Concerns proposing research involving human and/or

animal use are encouraged to separate these tasks in the technical proposal and

cost proposal in order to avoid potential delay of contract award.

(4) Related Work. Describe significant activities directly related to the proposed effort,

including any conducted by the principal investigator, the proposing small business

concern, consultants, or others. Describe how these activities interface with the proposed

project and discuss any planned coordination with outside sources. The technical volume

must persuade reviewers of the proposing small business concern's awareness of the state-

of-the-art in the specific topic. Describe previous work not directly related to the proposed

effort but similar. Provide the following:

a. Short description,

b. Client for which work was performed (including individual to be contacted and phone

number), and

c. Date of completion.

(5) Relationship with Future Research or Research and Development

a. State the anticipated results of the proposed approach if the project is successful.

b. Discuss the significance of the Phase I effort in providing a foundation for Phase II

research or research and development effort.

c. Identify the applicable clearances, certifications and approvals required to conduct

Phase II testing and outline the plan for ensuring timely completion of said

authorizations in support of Phase II research or research and development effort.

(6) Commercialization Strategy. Describe in approximately one page your proposing small

business concern's strategy for commercializing this technology in DoD, other Federal

Agencies, and/or private sector markets. Provide specific information on the market need

the technology will address and the size of the market. Also include a schedule showing the

quantitative commercialization results from this SBIR project that your proposing small

business concern expects to achieve.

(7) Key Personnel. Identify key personnel who will be involved in the Phase I effort including

information on directly related education and experience. A concise technical resume of the

principal investigator, including a list of relevant publications (if any), must be included

(Please do not include Privacy Act Information). All resumes will count toward the page

limitations for Volume 2.

(8) Foreign Citizens. Identify any foreign citizens or individuals holding dual citizenship

expected to be involved on this project as a direct employee, subcontractor, or consultant.

AMENDMENT 2

For these individuals, please specify their country of origin, the type of visa or work permit

under which they are performing and an explanation of their anticipated level of

involvement on this project. Proposing small business concerns frequently assume that

individuals with dual citizenship or a work permit will be permitted to work on an SBIR

project and do not report them. This is not necessarily the case and a proposal may be

deemed nonresponsive if the requested information is not provided. Therefore, proposing

small business concerns should report any and all individuals expected to be involved on

this project that are considered a foreign national as defined in Section 3 of the BAA. You

may be asked to provide additional information during negotiations in order to verify the

foreign citizen’s eligibility to participate on a SBIR contract. Supplemental information

provided in response to this paragraph will be protected in accordance with the Privacy Act

(5 U.S.C. 552a), if applicable, and the Freedom of Information Act (5 U.S.C. 552(b)(6)).

(9) Facilities/Equipment. Describe available instrumentation and physical facilities necessary

to carry out the Phase I effort. Justify equipment purchases in this section and include

detailed pricing information in the Cost Volume. State whether or not the facilities where

the proposed work will be performed meet environmental laws and regulations of federal,

state (name), and local Governments for, but not limited to, the following groupings:

airborne emissions, waterborne effluents, external radiation levels, outdoor noise, solid and

bulk waste disposal practices, and handling and storage of toxic and hazardous materials.

(10) Subcontractors/Consultants. Involvement of a university or other subcontractors or

consultants in the project may be appropriate. If such involvement is intended, it should be

identified and described to the same level of detail as the prime contractor costs. A

minimum of two- thirds of the research and/or analytical work in Phase I, as measured by

direct and indirect costs, must be conducted by the proposing small business concern,

unless otherwise approved in writing by the Contracting Officer. SBIR efforts may include

subcontracts with Federal Laboratories and Federally Funded Research and Development

Centers (FFRDCs). A waiver is no longer required for the use of federal laboratories and

FFRDCs; however, proposing small business concerns must certify their use of such

facilities on the Cover Sheet of the proposal.

(11) Prior, Current, or Pending Support of Similar Proposals or Awards. If a proposal

submitted in response to this BAA is substantially the same as another proposal that was

funded, is now being funded, or is pending with another Federal Agency, or another or the

same DoD Component, you must reveal this on the Proposal Cover Sheet and provide the

following information:

a. Name and address of the Federal Agency(s) or DoD Component to which a proposal

was submitted, will be submitted, or from which an award is expected or has been

received.

b. Date of proposal submission or date of award.

c. Title of proposal.

d. Name and title of principal investigator for each proposal submitted or award received.

e. Title, number, and date of BAA(s) or solicitation(s) under which the proposal was

submitted, will be submitted, or under which award is expected or has been received.

f. If award was received, state contract number.

g. Specify the applicable topics for each SBIR proposal submitted or award received.

Note: If this does not apply, state in the proposal "No prior, current, or pending support

for proposed work."

AMENDMENT 2

d. Content of the Cost Volume (Volume 3)

Complete the Cost Volume by using the on-line cost volume form on the Defense SBIR/STTR

Innovation Portal (DSIP). Some items in the cost breakdown may not apply to the proposed

project. If that is the case, there is no need to provide information on each and every item. What

matters is that enough information be provided to allow us to understand how you plan to use

the requested funds if a contract is awarded.

(1) List all key personnel by name as well as by number of hours dedicated to the project as

direct labor.

(2) While special tooling and test equipment and material cost may be included under Phases I,

the inclusion of equipment and material will be carefully reviewed relative to need and

appropriateness for the work proposed. The purchase of special tooling and test equipment

must, in the opinion of the Component Contracting Officer, be advantageous to the

Government and should be related directly to the specific topic. These may include such

items as innovative instrumentation or automatic test equipment. Title to property furnished

by the Government or acquired with Government funds will be vested with the DoD

Component, unless it is determined that transfer of title to the contractor would be more

cost effective than recovery of the equipment by the DoD Component.

(3) Cost for travel funds must be justified and related to the needs of the project.

(4) Cost sharing is permitted for proposals under this BAA; however, cost sharing is not

required nor will it be an evaluation factor in the consideration of a Phase I proposal.

(5) A Phase I Option (if applicable) should be fully costed separately from the Phase I (base)

approach.

(6) All subcontractor costs and consultant costs, such as labor, travel, equipment, materials,

must be detailed at the same level as prime contractor costs. Provide detailed substantiation

of subcontractor costs in your cost proposal. Volume 5, Supporting Documents, may be

used if additional space is needed.

When a proposal is selected for negotiation and possible award, you must be prepared to

submit further documentation to the Component Contracting Officer to substantiate costs (e.g.,

an explanation of cost estimates for equipment, materials, and consultants or subcontractors).

For more information about cost proposals and accounting standards, see

https://www.dcaa.mil/Guidance/Audit-Process-Overview/.

e. Company Commercialization Report (Volume 4)

The Company Commercialization Report (CCR) allows companies to report funding outcomes

resulting from prior SBIR and STTR awards. SBIR and STTR awardees are required by SBA

to update and maintain their organization’s CCR on SBIR.gov. Commercialization information

is required upon completion of the last deliverable under the funding agreement. Thereafter,

SBIR and STTR awardees are requested to voluntarily update the information in the database

annually for a minimum period of 5 years.

If the proposing small business concern has prior DoD and/or non-DoD Phase I and/or Phase

II SBIR/STTR awards, regardless of whether the project has any commercialization to date, a

AMENDMENT 2

PDF of the CCR must be downloaded from SBIR.gov and uploaded to the Firm Forms section

of DSIP by the Firm Admin. Firm Forms are completed by the DSIP Firm Admin and are

applied across all proposals the proposing small business concern submits. The DSIP CCR

requirement is fulfilled by completing the following:

1. Log into the firm account at https://www.sbir.gov/.

2. Navigate to My Dashboard > My Documents to view or print the information currently

contained in the Company Registry Commercialization Report.

3. Create or update the commercialization record, from the company dashboard, by

scrolling to the “My Commercialization” section, and clicking the create/update

Commercialization tab under “Current Report Version”. Please refer to the “Instructions”

and “Guide” documents contained in this section of the Dashboard for more detail on

completing and updating the CCR. Ensure the report is certified and submitted.

4. Click the “Company Commercialization Report” PDF under the My Documents section

of the dashboard to download a PDF of the CCR.

5. Upload the PDF of the CCR (downloaded from SBIR.gov in previous step) to the

Company Commercialization Report in the Firm Forms section of DSIP. This upload

action must be completed by the Firm Admin.

This version of the CCR, uploaded to DSIP from SBIR.gov, is inserted into all proposal

submissions as Volume 4.

During proposal submission, the proposing small business concern will be prompted with the

question: “Do you have a new or revised Company Commercialization Report to upload?”.

There are three possible courses of action:

a. If the proposing small business concern has prior DoD and/or non-DoD Phase I and/or

Phase II SBIR/STTR awards, and DOES have a new or revised CCR from SBIR.gov

to upload to DSIP, select YES.

• If the user is the Firm Admin, they can upload the PDF of the CCR from SBIR.gov

directly on this page. It will also be updated in the Firm Forms and be associated

with all new or in-progress proposals submitted by the proposing small business

concern. If the user is not the Firm Admin, they will receive a message that they do

not have access and must contact the Firm Admin to complete this action.

• WARNING: Uploading a new CCR under the Firm Forms section of DSIP or

clicking “Save” or “Submit” in Volume 4 of one proposal submission is considered

a change for ALL proposals under any open BAAs or CSOs. If a proposing small

business concern has previously certified and submitted any Phase I or Direct to

Phase II proposals under any BAA or CSO that is still open, those proposals will be

automatically reopened. Proposing small business concerns will have to recertify

and resubmit such proposals. If a proposing small business concern does not

recertify or resubmit such proposals, they will not be considered fully submitted and

will not be evaluated.

b. If the proposing small business concern has prior DoD and/or non-DoD Phase I and/or

Phase II SBIR/STTR awards, and DOES NOT have a new or revised CCR from

SBIR.gov to upload to DSIP, select NO.

• If a prior CCR was uploaded to the Firm Forms, the proposing small business

concern will see a file dialog box at the bottom of the page and can view the

previously uploaded CCR. This read-only access allows the proposing small

business concern to confirm that the CCR has been uploaded by the Firm Admin.

AMENDMENT 2

• If no file dialog box is present at the bottom of the page that is an indication that

there is no previously uploaded CCR in the DSIP Firm Forms. To fulfill the

DSIP CCR requirement the Firm Admin must follow steps 1-5 listed above to

download a PDF of the CCR from SBIR.gov and upload it to the DSIP Firm Forms

to be included with all proposal submissions.

c. If the proposing small business concern has NO prior DoD and/or non-DoD Phase I

and/or Phase II SBIR/STTR awards, the upload of the CCR from SBIR.gov is not

required and small business concern will select NO. The CCR section of the proposal

will be marked complete.

While all proposing small business concerns with prior DoD and/or non-DoD Phase I and/or

Phase II SBIR/STTR awards must report funding outcomes resulting from these awards

through the CCR from SBIR.gov and upload a copy of this report to their Firm Forms in

DSIP, please refer to the Component-specific instructions for details on how this

information will be considered during proposal evaluations.

f. Supporting Documents (Volume 5)

Volume 5 is provided for proposing small business concerns to submit additional

documentation to support the Coversheet (Volume 1), Technical Volume (Volume 2), and the

Cost Volume (Volume 3).

All proposing small business concerns are REQUIRED to submit the following documents to

Volume 5:

1. Contractor Certification Regarding Provision of Prohibition on Contracting for Certain

Telecommunications and Video Surveillance Services or Equipment (Attachment 1)

2. Disclosures of Foreign Affiliations or Relationships to Foreign Countries (Attachment

3. Disclosure of Funding Sources (Attachment 4)

A completed proposal submission in DSIP does NOT indicate that the mandatory

supporting documents have been uploaded. It is the responsibility of the proposing small

business concern to ensure that the mandatory documents listed above have been

uploaded and included with the proposal submission.

Any of the following documents may be included in Volume 5 if applicable to the proposal.

Refer to Component-specific instructions for additional Volume 5 requirements.

1. Letters of Support

2. Additional Cost Information

3. Funding Agreement Certification

4. Technical Data Rights (Assertions)

5. Lifecycle Certification

6. Allocation of Rights

7. Verification of Eligibility of Small Business Joint Ventures (Attachment 3)

8. Other

AMENDMENT 2

g. Contractor Certification Regarding Provision of Prohibition on Contracting for Certain

Telecommunications and Video Surveillance Services or Equipment

The DoD must comply with Section 889(a)(1)(B) of the National Defense Authorization Act

(NDAA) for Fiscal Year 2019, and is working to reduce or eliminate contracts with entities that

use any equipment, system, or service that uses covered telecommunications equipment or

services (as defined in BAA Attachment 1) as a substantial or essential component of any

system, or as critical technology as part of any system.

All proposals must include certifications in Defense Federal Acquisition Regulation

Supplement (DFARS) provisions 252.204-7016, 252.204-7017, and clause 252.204-7018,

executed by the proposing small business concern’s authorized proposing small business

concern representative. The DFARS provisions and clause may be found in BAA Attachment

1. These certifications must be signed by the authorized proposing small business concern

representative and uploaded as a separate PDF file in the supporting documents sections

of Volume 5 for all proposal submissions.

The effort to complete the required certification clauses includes the proposing small business

concern and any contractors that may be proposed as a part of the submission including

research partners and suppliers. Therefore, proposing small business concerns are strongly

encouraged to review the requirements of these certifications early in the proposal development

process. Failure to submit or complete the required certifications as a part of the proposal

submission process may be cause for rejection of the proposal submission without evaluation.

h. Disclosures of Foreign Affiliations or Relationships to Foreign Countries

In accordance with Section 4 of the SBIR and STTR Extension Act of 2022 and the SBA

SBIR/STTR Policy Directive, the Department of Defense will review all proposals submitted in

response to this BAA to assess security risks presented by small business concerns seeking a

Federally funded award. Proposing small business concerns must complete Attachment 2:

Disclosures of Foreign Affiliations or Relationships to Foreign Countries and upload to

Volume 5. Proposals that do not include Attachment 2 in Volume 5 will be deemed

noncompliant and will not receive an evaluation. For additional details, please refer to

Section 2.2 and 4.3.

i. Certification Regarding Disclosure of Funding Sources

The proposing small business concern must comply with Section 223(a) of the William M.

(Mac) Thornberry National Defense Authorization Act for Fiscal Year 2021, which requires

that covered individuals:

(A) disclose the amount, type, and source of all current and pending research support

received by, or expected to be received by, the individual as of the time of the

disclosure;

(B) certify that the disclosure is current, accurate, and complete; and

and at any subsequent time the agency determines appropriate during the term of the

award

Small business concerns must also certify that each covered individual who is employed by the

small business and listed on the proposal has been made aware of the requirements listed

above. The disclosure and certification must be made by completing Attachment 4 of this

AMENDMENT 2

BAA and uploading to Volume 5, Supporting Documents of the proposal submission in

DSIP, utilizing the “Other” category for document type.

j. Fraud, Waste and Abuse Training (Volume 6)

The Fraud, Waste and Abuse (FWA) training is required for Phase I and Direct to Phase II

proposals. FWA training provides information on what represents FWA in the SBIR/STTR

program, the most common mistakes that lead to FWA, as well as the penalties and ways to

prevent FWA in your small business concern. This training material can be found in the

Volume 6 section of the proposal submission module in DSIP and must be thoroughly

reviewed once per year. Plan ahead and leave ample time to complete this training based on the

proposal submission deadline. FWA training must be completed by one DSIP firm user with

read/write access (Proposal Owner, Corporate Official or Firm Admin) on behalf of the

proposing small business concern.

6.0 PHASE I EVALUATION CRITERIA

Proposals will be evaluated based on the criteria outlined below, unless otherwise specified in the

Component-specific instructions. Selections will be based on a determination of the overall technical

value of each proposal and an evaluation of the cost volume, with the appropriate method of analysis

given the contract type to be awarded, in order for selection of the proposal(s) most advantageous to the

Government, considering the following factors which are listed 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 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.

c. The potential for commercial (Government or private sector) application and the benefits

expected to accrue from this commercialization.

Cost or budget data submitted with the proposals will be considered during evaluation.

Technical reviewers will base their conclusions only on information contained in the proposal. It cannot

be assumed that reviewers are acquainted with the proposing small business concern or key individuals or

any referenced experiments. Relevant supporting data such as journal articles, literature, including

Government publications, etc., should be included based on requirements provided in Component-specific

instructions.

Denial of Awards

The DoD will not make an award under the SBIR program if it determines that—

(A) the small business concern submitting the proposal –

(i) has an owner or covered individual that is party to a malign foreign talent recruitment

program;

(ii) has a business entity, parent company, or subsidiary located in the People’s Republic

of China or another foreign country of concern; or

(iii) has an owner or covered individual that has a foreign affiliation with a foreign entity

located in the People’s Republic of China or another foreign country of concern; and

(B) the relationships and commitments described in clauses (i) through (iii) of subparagraph (A)—

(i) interfere with the capacity for activities supported by the DoD to be carried out;

(ii) create duplication with activities supported by the DoD;

AMENDMENT 2

(iii) present concerns about conflicts of interest;

(iv) were not appropriately disclosed to the DoD;

(v) violate Federal law or terms and conditions of contracts or other agreements awarded

by the DoD; or

(vi) pose a risk to national security.

7.0 PHASE II PROPOSAL INFORMATION

7.1 Introduction

Unless the Component is participating in Direct to Phase II, Phase II proposals may only be submitted by

Phase I awardees. Submission of Phase II proposals are not permitted at this time, and if submitted, may

be rejected without evaluation. Phase II proposal preparation and submission instructions will be provided

by the DoD Components to Phase I awardees. See Component-specific instructions for more information

on Direct to Phase II Program preparation and submission instructions.

7.2 Proposal Provisions

IMPORTANT -- While it is permissible, with proposal notification, to submit identical proposals or

proposals containing a significant amount of essentially equivalent work for consideration under

numerous federal program BAAs and solicitations, it is unlawful to enter into contracts or grants requiring

essentially equivalent effort. If there is any question concerning this, it must be disclosed to the soliciting

agency or agencies as early as possible. If a proposal submitted for a Phase II effort is substantially the

same as another proposal that was funded, is now being funded, or is pending with another Federal

Agency, or another or the same DoD Component, you must reveal this on the Cover Sheet and provide

the information required in Section 5.4.c(11).

Due to specific limitations on the amount of funding and number of awards that may be awarded to a

particular proposing small business concern per topic using SBIR/STTR program funds, Head of Agency

Determinations are now required before a different agency may make an award using another agency’s

topic. This limitation does not apply to Phase III funding. Please contact your original sponsoring agency

before submitting a Phase II proposal to an agency other than the one who sponsored the original topic.

Section 4(b)(1)(i) of the SBIR/STTR Policy Directive provides that, at the agency’s discretion, projects

awarded a Phase I under a solicitation for SBIR may transition in Phase II to STTR and vice versa. A

proposing small business concern wishing to transfer from one program to another must contact their

designated technical monitor to discuss the reasons for the request and the agency’s ability to support the

request. The transition may be proposed prior to award or during the performance of the Phase II effort.

Agency disapproval of a request to change programs shall not be grounds for granting relief from any

contractual performance requirement. All approved transitions between programs must be noted in the

Phase II award or award modification signed by the contracting officer that indicates the removal or

addition of the research institution and the revised percentage of work requirements.

7.3 Commercialization Strategy

At a minimum, your commercialization strategy must address the following five questions:

(1) What is the first product that this technology will go into?

(2) Who will be the customers, and what is the estimated market size?

(3) How much money will be needed to bring the technology to market, and how will that money be

raised?

AMENDMENT 2

(4) Does the proposing small business concern contain marketing expertise and, if not, how will that

expertise be brought into the small business concern?

(5) Who are the proposing small business concern’s competitors, and what is the price and/or quality

advantage over those competitors?

The commercialization strategy must also include a schedule showing the anticipated quantitative

commercialization results from the Phase II project at one year after the start of Phase II, at the

completion of Phase II, and after the completion of Phase II (i.e., amount of additional investment, sales

revenue, etc.). After Phase II award, the proposing small business concern is required to report actual

sales and investment data in its SBA Company Commercialization Report via “My Dashboard” on

SBIR.gov at least annually. For information on formatting, page count and other details, please refer to

the Component-specific instructions.

7.4 Phase II Evaluation Criteria

Phase II proposals will be evaluated based on the criteria outlined above in section 6.0, unless otherwise

specified in the Component-specific instructions.

7.5 Phase II Award Information

DoD Components will notify Phase I awardees of the Phase II proposal submission

requirements. Submission of Phase II proposals will be in accordance with instructions

provided by individual Components. The details on the due date, content, and submission

requirements of the Phase II proposal will be provided by the awarding DoD Component either

in the Phase I award or by subsequent notification.

7.6 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 https://www.dcaa.mil/Guidance/Audit-Process-Overview/ and

https://www.dcaa.mil/Checklists-Tools/Pre-award-Accounting-System-Adequacy-Checklist/.

7.7 Phase II Enhancement Policy

To further encourage the transition of SBIR research into DoD acquisition programs as well as the private

sector, certain DoD Components have developed their own Phase II Enhancement policy. Under this

policy, the Component will provide a Phase II awardee with additional Phase II SBIR funding if the

proposing small business concern can match the additional SBIR funds with non-SBIR funds from DoD

acquisition programs or the private sector.

See component instructions for more details on Phase II Enhancement opportunities.

7.8 Commercialization Readiness Program (CRP)

The SBIR/STTR Reauthorization Act of 2011 established the Commercialization Pilot Program (CPP) as

a long-term program titled the Commercialization Readiness Program (CRP).

AMENDMENT 2

Each Military Department (Army, Navy, and Air Force) has established a Commercialization Readiness

Program. Please check the Component instructions for further information.

The DoD SBIR/STTR Program has established the OSD Transitions SBIR Technology (OTST) Pilot

Program. The OTST pilot program is an interim technology maturity phase (Phase II), inserted into the

SBIR development.

For more information contact osd.ncr.ousd-r-e.mbx.sbir-sttr-tech-transitio[email protected].

8.0 CONTRACTUAL REQUIREMENTS

8.1 Additional Contract Requirements

Upon award of a contract, the contractor will be required to make certain legal commitments through

acceptance of Government contract clauses in the Phase I contract. The outline that follows is illustrative

of the types of provisions required by the Federal Acquisition Regulation that will be included in the

Phase I contract. This is not a complete list of provisions to be included in Phase I contracts, nor does it

contain specific wording of these clauses. Copies of complete general provisions will be made available

prior to award.

Examples of general provisions:

a. Standards of Work. Work performed under the contract must conform to high professional

standards.

b. Inspection. Work performed under the contract is subject to Government inspection and

evaluation at all reasonable times.

c. Examination of Records. The Comptroller General (or a fully authorized representative) shall

have the right to examine any directly pertinent records of the contractor involving transactions

related to this contract.

d. Default. The Government may terminate the contract if the contractor fails to perform the work

contracted.

e. Termination for Convenience. The contract may be terminated at any time by the

Government if it deems termination to be in its best interest, in which case the contractor will

be compensated for work performed and for reasonable termination costs.

f. Disputes. Any dispute concerning the contract which cannot be resolved by agreement shall be

decided by the contracting officer with right of appeal.

g. Contract Work Hours. The contractor may not require an employee to work more than eight

hours a day or forty hours a week unless the employee is compensated accordingly (that is,

receives overtime pay).

h. Equal Opportunity. The contractor will not discriminate against any employee or applicant

for employment because of race, color, religion, sex, or national origin.

i. Affirmative Action for Veterans. The contractor will not discriminate against any employee

or applicant for employment because he or she is a disabled veteran.

j. Affirmative Action for Handicapped. The contractor will not discriminate against any

employee or applicant for employment because he or she is physically or mentally

handicapped.

k. Officials Not to Benefit. No member of or delegate to Congress shall benefit from the contract.

l. Covenant Against Contingent Fees. No person or agency has been employed to solicit or

secure the contract upon an understanding for compensation except bona fide employees or

commercial agencies maintained by the contractor for the purpose of securing business.

AMENDMENT 2

m. Gratuities. The contract may be terminated by the Government if any gratuities have been

offered to any representative of the Government to secure the contract.

n. Patent Infringement. The contractor shall report each notice or claim of patent infringement

based on the performance of the contract.

o. Military Security Requirements. The contractor shall safeguard any classified information

associated with the contracted work in accordance with applicable regulations.

p. American Made Equipment and Products. When purchasing equipment or a product under

the SBIR funding agreement, purchase only American-made items whenever possible.

Applicable Federal Acquisition Regulation (FAR) and/or Defense Federal Acquisition Regulation

Supplement (DFARS) Clauses:

q. Unique Identification (UID). If your proposal identifies hardware that will be delivered to the

government, be aware of the possible requirement for unique item identification in accordance

with DFARS 252.211-7003.

r. Disclosure of Information. In accordance with FAR 252.204-7000, Government review and

approval will be required prior to any dissemination or publication, regardless of medium (e.g.,

film, tape, document), pertaining to any part of this contract or any program related to this

contract except within and between the Contractor and any subcontractors, of unclassified and

non-fundamental information developed under this contract or contained in the reports to be

furnished pursuant to this contract.

s. Animal Welfare. Contracts involving research, development, test, evaluation, or training on

vertebrate animals will incorporate DFARS clause 252.235-7002.

t. Protection of Human Subjects. Effective 29 July 2009, contracts that include or may include

research involving human subjects in accordance with 32 CFR Part 219, DoD Directive

3216.02 and 10 U.S.C. 980, including research that meets exemption criteria under 32 CFR

219.101(b), will incorporate DFARS clause 252.235-7004.

u. E-Verify. Contracts exceeding the simplified acquisition threshold may include the FAR clause

52.222-54 “Employment Eligibility Verification” unless exempted by the conditions listed at

FAR 22.2803.

v. ITAR. In accordance with DFARS 225.7901-4, Export Control Contract Clauses, the clause

found at DFARS 252.225-7048, Export-Controlled Items (June 2013), must be included in all

BAAs/solicitations and contracts. Therefore, all awards resulting from this BAA will include

DFARS 252.225-7048. Full text of the clause may be found at

https://www.govinfo.gov/content/pkg/CFR-2013-title48-vol3/pdf/CFR-2013-title48-vol3-

sec252-225-7048.pdf.

w. Cybersecurity. Any small business concern receiving an SBIR/STTR award is required to

provide adequate cybersecurity on all covered contractor information systems. Specific security

requirements and cyber incident reporting requirements are listed in DFARS 252.204.7012. To

learn about cybersecurity resources for your SBIR/STTR contract visit the Blue Cyber

webpage: https://www.safcn.af.mil/CISO/Small-Business-Cybersecurity-Information/.

x. Safeguarding Covered Defense Information Controls. As prescribed in DFARS 252.204-

7008, for covered contractor information systems that are not part of an information technology

service or system operated on behalf of the Government, the SBC represents that it will

implement the security requirements specified by National Institute of Standards and

Technology (NIST) Special Publication (SP) 800-171, “Protecting Controlled Unclassified

Information in Nonfederal Information Systems and Organizations.”

y. Limitations on the Use or Disclosure of Third- Party Contractor Reported Cyber Incident

Information. As required in DFARS 252.204-7009, the Contractor must agree that certain

conditions apply to any information it receives or creates in the performance of a resulting

contract that is information obtained from a third-party's reporting of a cyber incident pursuant

AMENDMENT 2

to DFARS clause 252.204-7012, Safeguarding Covered Defense Information and Cyber

Incident Reporting (or derived from such information obtained under that clause).

z. Notice of NIST SP 800-171 DoD Assessment Requirements. As prescribed by DFARS

252.204-7019, in order to be considered for award, the SBC is required to implement NIST SP

800-171. The SBC shall have a current assessment (see 252.204-7020) for each covered

contractor information system that is relevant to the offer, contract, task order, or delivery

order. The Basic, Medium, and High NIST SP 800-171 DoD Assessments are described in the

NIST SP 800-171 DoD Assessment Methodology located at

https://www.acq.osd.mil/dpap/pdi/cyber/strategically_assessing_contractor_implementation_of

_NIST_SP_800-171.html. In accordance with DFARS 252.204-7020, the SBC shall provide

access to its facilities, systems, and personnel necessary for the Government to conduct a

Medium or High NIST SP 800-171 DoD Assessment, as described in NIST SP 800-171 DoD

Assessment Methodology, linked above. Notification of specific requirements for NIST SP

800-171 DoD assessments and assessment level will be provided as part of the component

instructions, topic, or award.

aa. Contractor Certification Regarding Provision of Prohibition on Contracting for Certain

Telecommunications and Video Surveillance Services or Equipment. In accordance with

DFARS Subpart 204.21, DFARS provisions 252.204-7016, 252.204-7017, and clause 252.204-

7018 are incorporated into this solicitation. This subpart implements section 1656 of the National

Defense Authorization Act for Fiscal Year 2018 (Pub. L. 115-91) and section 889(a)(1)(A) of the

National Defense Authorization Act for Fiscal Year 2019 (Pub. L. 115-232). Full text of the

provisions and clause and required offeror representations can be found in Attachment 1 of this

BAA.

8.2 Agency Recovery Authority and Ongoing Reporting

In accordance with Section 5 of the SBIR and STTR Extension Act of 2022, the DoD will –

1) require a small business concern receiving an award under its SBIR program to repay all amounts

received from the Federal agency under the award if—

(A) the small business concern makes a material misstatement that the Federal agency

determines poses a risk to national security; or

(B) there is a change in ownership, change to entity structure, or other substantial change in

circumstances of the small business concern that the Federal agency determines poses a

risk to national security; and

2) require a small business concern receiving an award under its SBIR program to regularly report to

the Federal agency and the Administration throughout the duration of the award on—

(A) any change to a disclosure required under subparagraphs (A) through (G) of section 4.3

above;

(B) any material misstatement made under section 8.2 paragraph (A) above; and

8.3 Basic Safeguarding of Covered Contractor Information Systems

FAR 52.204-21, Basic Safeguarding of Covered Contractor Information Systems, is incorporated into this

solicitation. In accordance with FAR 52.204-21, the contractor shall apply basic safeguarding

requirements and procedures when the contractor or a subcontractor at any tier may have Federal contract

information residing in or transiting through its information system.

FAR 52.204-21 Basic Safeguarding of Covered Contractor Information Systems (NOV 2021)

(a) Definitions. As used in this clause -

AMENDMENT 2

(1) Covered contractor information system means an information system that is owned or

operated by a contractor that processes, stores, or transmits Federal contract information.

(2) Federal contract information means information, not intended for public release, that is

provided by or generated for the Government under a contract to develop or deliver a

product or service to the Government, but not including information provided by the

Government to the public (such as on public websites) or simple transactional

information, such as necessary to process payments.

(3) Information means any communication or representation of knowledge such as facts,

data, or opinions, in any medium or form, including textual, numerical, graphic,

cartographic, narrative, or audiovisual (Committee on National Security Systems

Instruction (CNSSI) 4009).

(4) Information system means a discrete set of information resources organized for the

collection, processing, maintenance, use, sharing, dissemination, or disposition of

information (44 U.S.C. 3502).

(5) Safeguarding means measures or controls that are prescribed to protect information

systems.

(b) Safeguarding requirements and procedures.

(1) The Contractor shall apply the following basic safeguarding requirements and procedures to

protect covered contractor information systems. Requirements and procedures for basic

safeguarding of covered contractor information systems shall include, at a minimum, the

following security controls:

(i) Limit information system access to authorized users, processes acting on behalf of

authorized users, or devices (including other information systems).

(ii) Limit information system access to the types of transactions and functions that

authorized users are permitted to execute.

(iii) Verify and control/limit connections to and use of external information systems.

(iv) Control information posted or processed on publicly accessible information systems.

(v) Identify information system users, processes acting on behalf of users, or devices.

(vi) Authenticate (or verify) the identities of those users, processes, or devices, as a

prerequisite to allowing access to organizational information systems.

(vii) Sanitize or destroy information system media containing Federal Contract

Information before disposal or release for reuse.

(viii) Limit physical access to organizational information systems, equipment, and the

respective operating environments to authorized individuals.

(ix) Escort visitors and monitor visitor activity; maintain audit logs of physical access;

and control and manage physical access devices.

AMENDMENT 2

(x) Monitor, control, and protect organizational communications (i.e., information

transmitted or received by organizational information systems) at the external

boundaries and key internal boundaries of the information systems.

(xi) Implement subnetworks for publicly accessible system components that are

physically or logically separated from internal networks.

(xii) Identify, report, and correct information and information system flaws in a timely

manner.

(xiii) Provide protection from malicious code at appropriate locations within

organizational information systems.

(xiv) Update malicious code protection mechanisms when new releases are available.

(xv) Perform periodic scans of the information system and real-time scans of files from

external sources as files are downloaded, opened, or executed.

(2) Other requirements. This clause does not relieve the Contractor of any other specific

safeguarding requirements specified by Federal agencies and departments relating to covered

contractor information systems generally or other Federal safeguarding requirements for

controlled unclassified information (CUI) as established by Executive Order 13556.

paragraph (c), in subcontracts under this contract (including subcontracts for the acquisition of

commercial products or commercial services, other than commercially available off-the-shelf

items), in which the subcontractor may have Federal contract information residing in or

transiting through its information system.

(End of clause)

8.4 Prohibition on Contracting with Persons that have Business Operations with the Maduro

Regime

DFARS 252.225-7055, Representation Regarding Business Operations with the Maduro Regime, is

incorporated into this solicitation. In accordance with section 890 of the National Defense Authorization

Act for Fiscal Year 2020 (Pub. L. 116-92), DoD is prohibited from entering into a contract for the

procurement of products or services with any person that has business operations with an authority of the

government of Venezuela that is not recognized as the legitimate government of Venezuela by the United

States Government, unless the person has a valid license to operate in Venezuela issued by the Office of

Foreign Assets Control of the Department of the Treasury.

8.5 Copyrights

With prior written permission of the Contracting Officer, the awardee may copyright (consistent with

appropriate national security considerations, if any) material developed with DoD support. DoD receives

a royalty-free license for the Federal Government and requires that each publication contain an

appropriate acknowledgment and disclaimer statement.

AMENDMENT 2

8.6 Patents

Small business concerns normally may retain the principal worldwide patent rights to any invention

developed with Government support. The Government receives a royalty-free license for its use, reserves

the right to require the patent holder to license others in certain limited circumstances, and requires that

anyone exclusively licensed to sell the invention in the United States must normally manufacture it

domestically. To the extent authorized by 35 U.S.C. § 205, the Government will not make public any

information disclosing a Government-supported invention for a period of five years to allow the awardee

to pursue a patent. See also Section 8.7, Invention Reporting.

8.7 Invention Reporting

SBIR awardees must report inventions to the Component within two months of the inventor’s report to

the awardee. The reporting of inventions may be accomplished by submitting paper documentation,

including fax, or through the Edison Invention Reporting System at www.iedison.gov for those agencies

participating in iEdison.

8.8 Technical Data Rights

Rights in technical data, including software, developed under the terms of any contract resulting from

proposals submitted in response to this BAA generally remain with the contractor, except that the

Government obtains a royalty-free license to use such technical data only for Government purposes

during the period commencing with contract award and ending twenty years after completion of the

project under which the data were generated. This data should be marked with the restrictive legend

specified in DFARS 252.227-7018 Class Deviation 2020-O0007. Upon expiration of the twenty-year

restrictive license, the Government has Government Purpose Rights in the SBIR data. During the license

period, the Government may not release or disclose SBIR data to any person other than its support

services contractors except: (1) For evaluation purposes; (2) As expressly permitted by the contractor; or

(3) A use, release, or disclosure that is necessary for emergency repair or overhaul of items operated by

the Government. See DFARS clause 252.227-7018 Class Deviation 2020-O0007 "Rights in

Noncommercial Technical Data and Computer Software – Small Business Innovation Research (SBIR)

Program."

If a proposing small business concern plans to submit assertions in accordance with DFARS 252.227-

7017 Class Deviation 2020-O0007, those assertions must be identified and assertion of use, release, or

disclosure restriction MUST be included with your proposal submission, at the end of the technical

volume. The contract cannot be awarded until assertions have been approved.

8.9 Final Technical Reports - Phase I through Phase III

a. Content: A final report is required for each project phase. The reports must contain in detail the

project objectives, work performed, results obtained, and estimates of technical feasibility. A

completed SF 298, "Report Documentation Page,” will be used as the first page of the report.

Submission resources are available at https://discover.dtic.mil/submit-documents/. In addition,

monthly status and progress reports may be required by the DoD Component.

b. SF 298 Form “Report Documentation Page” Preparation:

(1) If desirable, language used by the proposing small business concern in its Phase II proposal to

report Phase I progress may also be used in the final report.

AMENDMENT 2

(2) For each unclassified report, the proposing small business concern submitting the report

should fill in Block 12 (Distribution/Availability Statement) of the SF 298, "Report

Documentation Page,” with the following statement: “Distribution authorized to U.S.

Government only; Proprietary Information, (Date of Determination). Other requests for this

document shall be referred to the Component SBIR Program Office.”

Note: Data developed under a SBIR contract is subject to SBIR Data Rights which allow for

protection under DFARS 252.227-7018 Class Deviation 2020-O0007 (see Section 8.5,

Technical Data Rights). The sponsoring DoD activity, after reviewing the proposing small

business concern's entry in Block 12, has final responsibility for assigning a distribution

statement.

For additional information on distribution statements see the following Defense Technical

Information Center (DTIC) Web site: https://discover.dtic.mil/wp-

content/uploads/2018/09/distribution_statements_and_reasonsSept2018.pdf

(3) Block 14 (Abstract) of the SF 298, "Report Documentation Page" must include as the first

sentence, "Report developed under SBIR contract for topic [insert BAA topic number. [Follow

with the topic title, if possible.]” The abstract must identify the purpose of the work and

briefly describe the work conducted, the findings or results and the potential applications of

the effort. Since the abstract will be published by the DoD, it must not contain any

proprietary or classified data and type “UU” in Block 17.

(4) Block 15 (Subject Terms) of the SF 298 must include the term "SBIR Report".

c. Submission: In accordance with DoD Directive 3200.12 and DFARS clause 252.235-7011, a copy

of the final report shall be submitted (electronically or on disc) to:

Defense Technical Information Center

ATTN: DTIC-OA (SBIR)

8725 John J Kingman Road, Suite 0944

Ft. Belvoir, VA 22060-6218

Delivery will normally be within 30 days after completion of the Phase I technical effort.

Other requirements regarding submission of reports and/or other deliverables will be defined in

the Contract Data Requirements List (CDRL) of each contract. Special instructions for the

submission of CLASSIFIED reports will be defined in the delivery schedule of the contract.

DO NOT E-MAIL Classified or controlled unclassified reports, or reports containing SBIR Data Rights

protected under DFARS 252.227-7018 Class Deviation 2020-O0007.

AMENDMENT 2

ATTACHMENT 1

Department of Defense (DoD)

Small Business Innovation Research (SBIR) Program

Small Business Technology Transfer (STTR) Program

CONTRACTOR CERTIFICATION REGARDING

PROVISION OF PROHIBITION ON CONTRACTING FOR CERTAIN

TELECOMMUNICATIONS AND VIDEO SURVEILLANCE SERVICES OR

EQUIPMENT (DFARS SUBPART 204.21)

Contractor’s Name

Small Business Concern Name

Office Tel #

Mobile #

Name of person authorized to sign:

Signature of person authorized:

Date:

The penalty for making false statements is prescribed in the U.S. Criminal Code, 18 U.S.C. 1001.

DFARS PROVISIONS INCORPORATED IN FULL TEXT:

252.204-7016 Covered Defense Telecommunications Equipment or Services—

Representation

COVERED DEFENSE TELECOMMUNICATIONS EQUIPMENT OR SERVICES—

REPRESENTATION (DEC 2019)

(a) Definitions. As used in this provision, “covered defense telecommunications equipment

or services” has the meaning provided in the clause 252.204-7018 , Prohibition on the

Acquisition of Covered Defense Telecommunications Equipment or Services.

AMENDMENT 2

(b) Procedures. The Offeror shall review the list of excluded parties in the System for Award

Management (SAM) (https://www.sam.gov/) for entities excluded from receiving federal awards

for “covered defense telecommunications equipment or services”.

defense telecommunications equipment or services as a part of its offered products or services to

the Government in the performance of any contract, subcontract, or other contractual instrument.

252.204-7017 Prohibition on the Acquisition of Covered Defense Telecommunications

Equipment or Services—Representation

PROHIBITION ON THE ACQUISITION OF COVERED DEFENSE

TELECOMMUNICATIONS EQUIPMENT OR SERVICES—REPRESENTATION (MAY

2021)

The Offeror is not required to complete the representation in this provision if the Offeror has

represented in the provision at 252.204-7016 , Covered Defense Telecommunications Equipment

or Services—Representation, that it “does not provide covered defense telecommunications

equipment or services as a part of its offered products or services to the Government in the

performance of any contract, subcontract, or other contractual instrument.”

(a) Definitions. “Covered defense telecommunications equipment or services,” “covered

mission,” “critical technology,” and “substantial or essential component,” as used in this

provision, have the meanings given in the 252.204-7018 clause, Prohibition on the Acquisition of

Covered Defense Telecommunications Equipment or Services, of this solicitation.

(b) Prohibition. Section 1656 of the National Defense Authorization Act for Fiscal Year

2018 (Pub. L. 115-91) prohibits agencies from procuring or obtaining, or extending or renewing

a contract to procure or obtain, any equipment, system, or service to carry out covered missions

that uses covered defense telecommunications equipment or services as a substantial or essential

component of any system, or as critical technology as part of any system.

Management (SAM) at https://www.sam.gov for entities that are excluded when providing any

equipment, system, or service to carry out covered missions that uses covered defense

telecommunications equipment or services as a substantial or essential component of any system,

or as critical technology as part of any system, unless a waiver is granted.

Representation. If in its annual representations and certifications in SAM the Offeror has

represented in paragraph (c) of the provision at 252.204-7016 , Covered Defense

Telecommunications Equipment or Services—Representation, that it “does” provide covered

defense telecommunications equipment or services as a part of its offered products or services to

the Government in the performance of any contract, subcontract, or other contractual instrument,

then the Offeror shall complete the following additional representation:

AMENDMENT 2

The Offeror represents that it ☐will ☐will not provide covered defense telecommunications

equipment or services as a part of its offered products or services to DoD in the performance of

any award resulting from this solicitation.

(e) Disclosures. If the Offeror has represented in paragraph (d) of this provision that it “will

provide covered defense telecommunications equipment or services,” the Offeror shall provide

the following information as part of the offer:

(1) A description of all covered defense telecommunications equipment and services

offered (include brand or manufacturer; product, such as model number, original equipment

manufacturer (OEM) number, manufacturer part number, or wholesaler number; and item

description, as applicable).

(2) An explanation of the proposed use of covered defense telecommunications

equipment and services and any factors relevant to determining if such use would be permissible

under the prohibition referenced in paragraph (b) of this provision.

(3) For services, the entity providing the covered defense telecommunications services

(include entity name, unique entity identifier, and Commercial and Government Entity (CAGE)

code, if known).

(4) For equipment, the entity that produced or provided the covered defense

telecommunications equipment (include entity name, unique entity identifier, CAGE code, and

whether the entity was the OEM or a distributor, if known).

(End of provision)

252.204-7018 Prohibition on the Acquisition of Covered Defense Telecommunications

Equipment or Services

PROHIBITION ON THE ACQUISITION OF COVERED DEFENSE

TELECOMMUNICATIONS EQUIPMENT OR SERVICES (JAN 2021)

Definitions. As used in this clause—

“Covered defense telecommunications equipment or services” means—

(1) Telecommunications equipment produced by Huawei Technologies Company or ZTE

Corporation, or any subsidiary or affiliate of such entities;

(2) Telecommunications services provided by such entities or using such equipment; or

(3) Telecommunications equipment or services produced or provided by an entity that the

Secretary of Defense reasonably believes to be an entity owned or controlled by, or otherwise

connected to, the government of a covered foreign country.

AMENDMENT 2

“Covered foreign country” means—

(1) The People’s Republic of China; or

(2) The Russian Federation.

“Covered missions” means—

(1) The nuclear deterrence mission of DoD, including with respect to nuclear command,

control, and communications, integrated tactical warning and attack assessment, and continuity

of Government; or

(2) The homeland defense mission of DoD, including with respect to ballistic missile

defense.

“Critical technology” means—

(1) Defense articles or defense services included on the United States Munitions List set

forth in the International Traffic in Arms Regulations under subchapter M of chapter I of title 22,

Code of Federal Regulations;

(2) Items included on the Commerce Control List set forth in Supplement No. 1 to part

774 of the Export Administration Regulations under subchapter C of chapter VII of title 15,

Code of Federal Regulations, and controlled—

(i) Pursuant to multilateral regimes, including for reasons relating to national security,

chemical and biological weapons proliferation, nuclear nonproliferation, or missile technology;

(ii) For reasons relating to regional stability or surreptitious listening;

(3) Specially designed and prepared nuclear equipment, parts and components, materials,

software, and technology covered by part 810 of title 10, Code of Federal Regulations (relating

to assistance to foreign atomic energy activities);

(4) Nuclear facilities, equipment, and material covered by part 110 of title 10, Code of

Federal Regulations (relating to export and import of nuclear equipment and material);

(5) Select agents and toxins covered by part 331 of title 7, Code of Federal Regulations,

part 121 of title 9 of such Code, or part 73 of title 42 of such Code; or

(6) Emerging and foundational technologies controlled pursuant to section 1758 of the

Export Control Reform Act of 2018 (50 U.S.C. 4817).

“Substantial or essential component” means any component necessary for the proper function

or performance of a piece of equipment, system, or service.

AMENDMENT 2

(b) Prohibition. In accordance with section 1656 of the National Defense Authorization Act

for Fiscal Year 2018 (Pub. L. 115-91), the contractor shall not provide to the Government any

equipment, system, or service to carry out covered missions that uses covered defense

telecommunications equipment or services as a substantial or essential component of any system,

or as critical technology as part of any system, unless the covered defense telecommunication

equipment or services are covered by a waiver described in Defense Federal Acquisition

Regulation Supplement 204.2104 .

Award Management (SAM) at https://www.sam.gov for entities that are excluded when

providing any equipment, system, or service, to carry out covered missions, that uses covered

defense telecommunications equipment or services as a substantial or essential component of any

system, or as critical technology as part of any system, unless a waiver is granted.

(d) Reporting.

(1) In the event the Contractor identifies covered defense telecommunications equipment

or services used as a substantial or essential component of any system, or as critical technology

as part of any system, during contract performance, the Contractor shall report

at https://dibnet.dod.mil the information in paragraph (d)(2) of this clause.

(2) The Contractor shall report the following information pursuant to paragraph (d)(1) of

this clause:

(i) Within 3 business days from the date of such identification or notification: the

contract number; the order number(s), if applicable; supplier name; brand; model number

(original equipment manufacturer number, manufacturer part number, or wholesaler number);

item description; and any readily available information about mitigation actions undertaken or

recommended.

(ii) Within 30 business days of submitting the information in paragraph (d)(2)(i) of

this clause: any further available information about mitigation actions undertaken or

recommended. In addition, the Contractor shall describe the efforts it undertook to prevent use or

submission of a covered defense telecommunications equipment or services, and any additional

efforts that will be incorporated to prevent future use or submission of covered

telecommunications equipment or services.

(e) Subcontracts. The Contractor shall insert the substance of this clause, including this

paragraph (e), in all subcontracts and other contractual instruments, including subcontracts for

the acquisition of commercial items.

(End of clause)

AMENDMENT 2

ATTACHMENT 2

Department of Defense (DoD)

Small Business Innovation Research (SBIR) Program

Small Business Technology Transfer (STTR) Program

DISCLOSURES OF FOREIGN AFFILIATIONS OR

RELATIONSHIPS TO FOREIGN COUNTRIES

In accordance with the SBIR and STTR Extension Act of 2022 (Pub. L. 117-183) and the Small Business

Administration (SBA) SBIR/STTR Policy Directive, small business concerns are required to disclose the

information requested below about the small business’s investment and foreign ties.

Responses to disclosure questions may contain trade secrets or commercial or financial information that is

privileged or confidential and is exempt from public disclosure. Such information shall be used or

disclosed only for evaluation purposes or in accordance with an award between the submitter and the

Government.

Relevant definitions can be found at the end of this document. An up-to-date list of countries determined

to be countries of concern by the Secretary of State will be maintained and accessible on SBIR.gov.

Small Business Concern (SBC)

SBC Unique Entity ID (UEI)

Proposal #

(assigned by DSIP when proposal is created)

SBC Point of Contact (POC) Name

SBC POC Phone #

SBC POC Email

The information provided in response to the Disclosure Questions listed below is certified

to be accurate and complete. 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.

Name of person authorized to sign:

Signature of person authorized:

Date:

AMENDMENT 2

Disclosure Questions

1. Is any owner or covered individual of the applicant or awardee party to any malign foreign talent

recruitment program?

☐ Yes ☐ No

If yes, disclose the first and last name of each owner or covered individual, identify their role (i.e., owner

or covered individual), and the malign foreign talent recruitment program.

2. Is there a parent company, joint venture, or subsidiary, of the applicant or awardee that is based in or

receives funding from, any foreign country of concern?

☐ Yes ☐ No

If yes, disclose the name, full address, applicant or awardee relationships (i.e., parent company, joint

venture, or subsidiary) of each entity based in, or funded by, any foreign country of concern.

3. Does the applicant or awardee have any current or pending contractual or financial obligation or other

agreement specific to a business arrangement, or joint venture-like arrangement with an enterprise

owned by a foreign state or any foreign entity?

☐ Yes ☐ No

If yes, disclose the name of each enterprise or foreign entity, type of obligation, agreement, or

arrangement ( i.e., contractual, financial, or other), description of obligation, agreement, or arrangement,

and the foreign state(s) and/or the country of the foreign entity (or entities).

4. Is the applicant or awardee wholly owned in a foreign country?

☐ Yes ☐ No

If yes, disclose the foreign country.

5. Does the applicant or awardee have any venture capital or institutional investment?

☐ Yes ☐ No

If yes, proceed to question 5a. If no, proceed to question 6.

5a. Does the investing entity have a general partner or any other individual holding a leadership

role who has a foreign affiliation with any foreign country of concern?

☐ Yes ☐ No ☐Unable to determine

AMENDMENT 2

If yes or unable to determine, disclose the venture capital or institutional investing entity's name,

the percentage of ownership obtained by the investing entity, and the type of investment (i.e.,

equity, debt, or combination of equity and debt).

6. During the previous 5-year period, did the applicant or awardee have any technology licensing or

intellectual property sales or transfers, to a foreign country of concern?

☐ Yes ☐ No

If yes, disclose the name, address, and country, of the institution or entity that licensed, purchased, or

received the technology or intellectual property.

7. Is there any foreign business entity, offshore entity, or entity outside the United States related to the

applicant or awardee?

☐ Yes ☐ No

If yes, disclose the entity name, relationship type (i.e., foreign business entity, offshore entity, entity

outside the United States), description of the relationship to the applicant or awardee, and entity address

and country.

8. Does the applicant or awardee have an owner, officer, or covered individual that has a foreign

affiliation with a research institution located in a foreign country of concern?

☐ Yes ☐ No

If yes, disclose the first and last name of each owner, officer, or covered individual that has a foreign

affiliation with a foreign country of concern, identify their role (i.e., owner, officer, or covered

individual), and the name of the foreign research institution and the foreign country of concern where it is

located.

Relevant Definitions

Covered individual — An individual who contributes in a substantive, meaningful way to the scientific

development or execution of a research and development (R&D) project proposed to be carried out with a

Federally funded award from DoD. DoD has further designated covered individuals as including all

proposed key personnel.

Federally funded award — A Phase I, Phase II (including Direct to Phase II, sequential Phase

II/subsequent Phase II and cross-agency Phase II), or Phase III SBIR or STTR award made using a

funding agreement.

Foreign affiliation — As defined in 15 U.S.C. § 638(e)(16), foreign affiliation means a funded or

unfunded academic, professional, or institutional appointment or position with a foreign government or

government-owned entity, whether full-time, part-time, or voluntary (including adjunct, visiting, or

AMENDMENT 2

honorary). This includes appointments or positions deemed adjunct, visiting, or honorary with research

institutions located in a foreign country of concern.

Foreign country of concern — As defined in 15 U.S.C. § 638(e)(17), foreign country of concern means

the People’s Republic of China, the Democratic People’s Republic of Korea, the Russian Federation, the

Islamic Republic of Iran, or any other country determined to be a country of concern by the Secretary of

State.

Malign foreign talent recruitment program — As defined in 42 U.S.C § 19237, the term “malign foreign

talent recruitment program” means-

compensation, including research funding, promised future compensation, complimentary foreign

travel, things of non de minimis value, honorific titles, career advancement opportunities, or other

types of remuneration or consideration directly provided by a foreign country at any level

(national, provincial, or local) or their designee, or an entity based in, funded by, or affiliated with

a foreign country, whether or not directly sponsored by the foreign country, to the targeted

individual, whether directly or indirectly stated in the arrangement, contract, or other

documentation at issue, in exchange for the individual-

(x) engaging in the unauthorized transfer of intellectual property, materials, data products, or

other nonpublic information owned by a United States entity or developed with a Federal

research and development award to the government of a foreign country or an entity based

in, funded by, or affiliated with a foreign country regardless of whether that government or

entity provided support for the development of the intellectual property, materials, or data

products;

(xi) being required to recruit trainees or researchers to enroll in such program, position, or

activity;

(xii) establishing a laboratory or company, accepting a faculty position, or undertaking any other

employment or appointment in a foreign country or with an entity based in, funded by, or

affiliated with a foreign country if such activities are in violation of the standard terms and

conditions of a Federal research and development award;

(xiii) being unable to terminate the foreign talent recruitment program contract or agreement

except in extraordinary circumstances;

(xiv) through funding or effort related to the foreign talent recruitment program, being limited in

the capacity to carry out a research and development award or required to engage in work

that would result in substantial overlap or duplication with a Federal research and

development award;

(xv) being required to apply for and successfully receive funding from the sponsoring foreign

government's funding agencies with the sponsoring foreign organization as the recipient;

(xvi) being required to omit acknowledgment of the recipient institution with which the individual

is affiliated, or the Federal research agency sponsoring the research and development award,

contrary to the institutional policies or standard terms and conditions of the Federal research

and development award;

(xvii) being required to not disclose to the Federal research agency or employing institution the

participation of such individual in such program, position, or activity; or

(xviii) having a conflict of interest or conflict of commitment contrary to the standard terms and

conditions of the Federal research and development award; and

(D) a program that is sponsored by-

(iv) a foreign country of concern or an entity based in a foreign country of concern, whether or

not directly sponsored by the foreign country of concern;

AMENDMENT 2

(v) an academic institution on the list developed under section 1286(c)(8) of the John S. McCain

National Defense Authorization Act for Fiscal Year 2019 (10 U.S.C. 2358 note; 1 Public Law

115–232) ; or

(vi) a foreign talent recruitment program on the list developed under section 1286(c)(9) of the

John S. McCain National Defense Authorization Act for Fiscal Year 2019 (10 U.S.C. 2358

note; 1 Public Law 115–232).

AMENDMENT 2

ATTACHMENT 3

Department of Defense (DoD)

Small Business Innovation Research (SBIR) Program

Small Business Technology Transfer (STTR) Program

Verification of Eligibility of Small Business Joint Ventures

A small business joint venture offeror must submit, with its offer, the representation required in paragraph

Products and Commercial Services, and paragraph (c) of FAR solicitation provision 52.219-1, Small

Business Program Representations, in accordance with 52.204-8(d) and 52.212-3(b) for the following

categories:

(A) Small business;

(B) Service-disabled veteran-owned small business;

(D) Economically disadvantaged women-owned small business under the WOSB Program; or

(E) Historically underutilized business zone small business

Contractor’s Name

Small Business Concern Name

Office Tel #

Mobile #

Name of person authorized to sign:

Signature of person authorized:

Date:

FAR Provision Incorporated in Full Text:

52.219-1 Small Business Program Representations (Oct 2022)

(a) Definitions. As used in this provision-

Economically disadvantaged women-owned small business (EDWOSB) concern means a small

business concern that is at least 51 percent directly and unconditionally owned by, and the management

AMENDMENT 2

and daily business operations of which are controlled by, one or more women who are citizens of the

United States and who are economically disadvantaged in accordance with 13 CFR part 127, and the

concern is certified by SBA or an approved third-party certifier in accordance with 13 CFR 127.300. It

automatically qualifies as a women-owned small business concern eligible under the WOSB Program.

Service-disabled veteran-owned small business concern-

(1) Means a small business concern-

(i) Not less than 51 percent of which is owned by one or more service-disabled veterans or,

in the case of any publicly owned business, not less than 51 percent of the stock of which is owned by one

or more service-disabled veterans; and

(ii) The management and daily business operations of which are controlled by one or more

service-disabled veterans or, in the case of a service-disabled veteran with permanent and severe

disability, the spouse or permanent caregiver of such veteran.

(2) "Service-disabled veteran" means a veteran, as defined in 38 U.S.C.101(2), with a disability

that is service-connected, as defined in 38 U.S.C.101(16).

Small business concern—

(1) Means a concern, including its affiliates, that is independently owned and operated, not

dominant in its field of operation, and qualified as a small business under the criteria in 13 CFR part

121 and the size standard in paragraph (b) of this provision.

(2) Affiliates, as used in this definition, means business concerns, one of whom directly or

indirectly controls or has the power to control the others, or a third party or parties control or have the

power to control the others. In determining whether affiliation exists, consideration is given to all

appropriate factors including common ownership, common management, and contractual relationships.

SBA determines affiliation based on the factors set forth at 13 CFR 121.103.

Small disadvantaged business concern, consistent with 13 CFR 124.1002, means a small business

concern under the size standard applicable to the acquisition, that-

(1) Is at least 51 percent unconditionally and directly owned (as defined at 13 CFR 124.105) by-

(i) One or more socially disadvantaged (as defined at 13 CFR 124.103) and economically

disadvantaged (as defined at 13 CFR 124.104) individuals who are citizens of the United States, and

(ii) Each individual claiming economic disadvantage has a net worth not exceeding $750,000

after taking into account the applicable exclusions set forth at 13 CFR 124.104(c)(2); and

(2) The management and daily business operations of which are controlled (as defined at 13

CFR 124.106) by individuals who meet the criteria in paragraphs (1)(i) and (ii) of this definition.

Veteran-owned small business concern means a small business concern-

AMENDMENT 2

(1) Not less than 51 percent of which is owned by one or more veterans (as defined at 38

U.S.C.101(2)) or, in the case of any publicly owned business, not less than 51 percent of the stock of

which is owned by one or more veterans; and

(2) The management and daily business operations of which are controlled by one or more

veterans.

Women-owned small business concern means a small business concern-

(1) That is at least 51 percent owned by one or more women; or, in the case of any publicly

owned business, at least 51 percent of the stock of which is owned by one or more women; and

(2) Whose management and daily business operations are controlled by one or more women.

Women-owned small business (WOSB) concern eligible under the WOSB Program (in accordance

with 13 CFR part 127) means a small business concern that is at least 51 percent directly and

unconditionally owned by, and the management and daily business operations of which are controlled by,

one or more women who are citizens of the United States, and the concern is certified by SBA or an

approved third-party certifier in accordance with 13 CFR 127.300.

(b) (1) The North American Industry Classification System (NAICS) code for this acquisition

is ________ [insert NAICS code].

(2) The small business size standard is _______ [insert size standard].

(3) The small business size standard for a concern that submits an offer, other than on a

construction or service acquisition, but proposes to furnish an end item that it did not itself manufacture,

process, or produce (i.e., nonmanufacturer), is 500 employees if the acquisition—

(i) Is set aside for small business and has a value above the simplified acquisition threshold;

(ii) Uses the HUBZone price evaluation preference regardless of dollar value, unless the

offeror waives the price evaluation preference; or

(iii) Is an 8(a), HUBZone, service-disabled veteran-owned, economically disadvantaged

women-owned, or women-owned small business set-aside or sole-source award regardless of dollar value.

(1) The offeror represents as part of its offer that—

(i) it ☐is, ☐ is not a small business concern; or

(ii) It ☐is, ☐is not a small business joint venture that complies with the requirements of 13

CFR 121.103(h) and 13 CFR 125.8(a) and (b). [The offeror shall enter the name and unique entity

identifier of each party to the joint venture: __.]

AMENDMENT 2

(2) [Complete only if the offeror represented itself as a small business concern in paragraph (c)(1) of

this provision.] The offeror represents that it ☐is, ☐ is not, a small disadvantaged business concern as

defined in 13 CFR 124.1002.

(3) [Complete only if the offeror represented itself as a small business concern in paragraph (c)(1) of

this provision.] The offeror represents as part of its offer that it ☐ is, ☐ is not a women-owned small

business concern.

(4) Women-owned small business (WOSB) joint venture eligible under the WOSB Program. The

offeror represents as part of its offer that it ☐ is, ☐ is not a joint venture that complies with the

requirements of 13 CFR 127.506(a) through (c). [The offeror shall enter the name and unique entity

identifier of each party to the joint venture: __.]

(5) Economically disadvantaged women-owned small business (EDWOSB) joint venture. The offeror

represents as part of its offer that it ☐ is, ☐ is not a joint venture that complies with the requirements of

13 CFR 127.506(a) through (c). [ The offeror shall enter the name and unique entity identifier of each

party to the joint venture: __.]

(6) [Complete only if the offeror represented itself as a small business concern in paragraph (c)(1) of

this provision.] The offeror represents as part of its offer that it ☐ is, ☐ is not a veteran-owned small

business concern.

(7) [Complete only if the offeror represented itself as a veteran-owned small business concern in

paragraph (c)(6) of this provision.] The offeror represents as part of its offer that

(i) It ☐ is, ☐ is not a service-disabled veteran-owned small business concern; or

(ii) It ☐ is, ☐ is not a service-disabled veteran-owned joint venture that complies with the

requirements of 13 CFR 125.18(b)(1) and (2). [ The offeror shall enter the name and unique entity

identifier of each party to the joint venture: __.] Each service-disabled veteran-owned small business

concern participating in the joint venture shall provide representation of its service-disabled veteran-

owned small business concern status.

(8) [Complete only if the offeror represented itself as a small business concern in paragraph (c)(1) of

this provision.] The offeror represents, as part of its offer, that-

(i) It ☐ is, ☐ is not a HUBZone small business concern listed, on the date of this

representation, as having been certified by SBA as a HUBZone small business concern in the Dynamic

Small Business Search and SAM, and will attempt to maintain an employment rate of HUBZone residents

of 35 percent of its employees during performance of a HUBZone contract (see 13 CFR 126.200(e)(1));

and

(ii) It ☐ is, ☐□ is not a HUBZone joint venture that complies with the requirements of 13

CFR 126.616(a) through (c). [The offeror shall enter the name and unique entity identifier of each party

to the joint venture: __.] Each HUBZone small business concern participating in the HUBZone joint

venture shall provide representation of its HUBZone status.

AMENDMENT 2

(d) Notice. Under 15 U.S.C.645(d), any person who misrepresents a firm’s status as a business concern

that is small, HUBZone small, small disadvantaged, service-disabled veteran-owned small, economically

disadvantaged women-owned small, or women-owned small eligible under the WOSB Program in order

to obtain a contract to be awarded under the preference programs established pursuant to section 8, 9, 15,

31, and 36 of the Small Business Act or any other provision of Federal law that specifically references

section 8(d) for a definition of program eligibility, shall-

(1) Be punished by imposition of fine, imprisonment, or both;

(2) Be subject to administrative remedies, including suspension and debarment; and

(3) Be ineligible for participation in programs conducted under the authority of the Act.

(End of provision)

AMENDMENT 2

Attachment 4

Department of Defense (DoD)

Small Business Innovation Research (SBIR) Program

Small Business Technology Transfer (STTR) Program

DISCLOSURE OF FUNDING SOURCES

In accordance with Section 223 of the William M. (Mac) Thornberry National Defense Authorization Act

(NDAA) for Fiscal Year 2021, DoD shall require, as part of any application for a research and

development award—

• (1) that each covered individual listed on the application—

o (A) disclose the amount, type, and source of all current and pending research support

received by, or expected to be received by, the individual as of the time of the disclosure;

o (B) certify that the disclosure is current, accurate, and complete; and

o (C) agree to update such disclosure at the request of the agency prior to the award of

support and at any subsequent time the agency determines appropriate during the term of

the award; and

• (2) that any entity applying for such award certify that each covered individual who is employed

by the entity and listed on the application has been made aware of the requirements under

paragraph (1).

Full text of Section 223 of the FY21 NDAA, including relevant definitions, can be found on pages 84-86:

https://www.congress.gov/116/plaws/publ283/PLAW-116publ283.pdf.

Small Business Concern (SBC)

SBC Unique Entity ID (UEI)

Proposal #

(assigned by DSIP when proposal is created)

SBC Point of Contact (POC) Name

SBC POC Phone #

SBC POC Email

The SBC has been made aware of the requirements outlined in Section 223(a) of the William M. (Mac)

Thornberry National Defense Authorization Act for Fiscal Year 2021 and certifies that the disclosures

provided below are current, accurate, and complete. The SBC further agrees to update such disclosure at

the request of DoD prior to the award of support and at any subsequent time DoD determines appropriate

during the term of the award.

Name of person authorized to sign:

Signature of person authorized:

Date:

AMENDMENT 2

☐ Covered individuals have no current or pending research support to disclose in accordance with

Section 223 of the FY21 NDAA, as described above.

Disclosures

Covered Individual’s Name:

Covered Individual’s Position:

Current and Pending Funding Amount:

Current and Pending Funding Type:

Current and Pending Funding Source:

Covered Individual’s Name:

Covered Individual’s Position:

Current and Pending Funding Amount:

Current and Pending Funding Type:

Current and Pending Funding Source:

Covered Individual’s Name:

Covered Individual’s Position:

Current and Pending Funding Amount:

Current and Pending Funding Type:

Current and Pending Funding Source:

Covered Individual’s Name:

Covered Individual’s Position:

Current and Pending Funding Amount:

Current and Pending Funding Type:

Current and Pending Funding Source:

Covered Individual’s Name:

Covered Individual’s Position:

Current and Pending Funding Amount:

Current and Pending Funding Type:

Current and Pending Funding Source:

AMENDMENT 2

[Additional space as needed]

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ARMY 23.2 Small Business Innovation Research (SBIR)

Proposal Submission Instructions

INTRODUCTION

The U.S. Army Combat Capabilities Development Command (CCDC) is responsible for execution of the

Army SBIR Program. Information on the Army SBIR Program can be found at the following Website:

https://www.armysbir.army.mil/.

Proposers responding to a topic in this BAA must follow all general instructions provided in the

Department of Defense (DoD) SBIR Program BAA. Army requirements in addition to or deviating from

the DoD Program BAA are provided in the instructions below.

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

Monroe Harden

Fundamental Portfolio Manager, Army SBIR

usarmy.apg.ccdc.mbx.sbir-program-man[email protected]

U.S. Army Combat Capabilities Development

Command 6662 Gunner Circle

Aberdeen Proving Ground, MD

21005-1322 TEL: 866-570-7247

The Army participates in up to three DOD SBIR BAAs each year. Proposals not conforming to the terms

this BAA will not be considered. Only Government personnel will evaluate proposals.

Proposers are encouraged to thoroughly review the DoD Program BAA and register for the DSIP

Listserv to remain apprised of important programmatic and contractual changes.

• The DoD Program BAA is located at: https://www.defensesbirsttr.mil/SBIR-

STTR/Opportunities/#announcements. Be sure to select the tab for the appropriate BAA cycle.

• Register for the DSIP Listserv at: https://www.dodsbirsttr.mil/submissions/login.

PHASE I PROPOSAL SUBMISSION

The Defense SBIR/STTR Innovation Portal (DSIP) is the official portal for DoD SBIR/STTR proposal

submission. Proposers are required to submit proposals via DSIP; proposals submitted by any other

means will be disregarded. Detailed instructions regarding registration and proposal submission via DSIP

are provided in the DoD Program BAA.

The Technical Volume (Volume 2) .pdf document has a 20-page limit including: table of contents, pages

intentionally left blank, references, letters of support, appendices, technical portions of subcontract

documents (e.g., statements of work and resumes) and any other attachments. DSIP contains step-by-step

instructions for the preparation and submission of the Proposal Cover Sheet, the Cost Volume, and how to

upload the Technical Volume. For questions regarding proposal electronic submission, contact DSIP

Support at DoDSBIRSup[email protected].

The small business will also need to register at the Army SBIR Small Business website:

https://sbir.army.mil/SmallBusiness/ in order to receive information regarding proposal status/debriefings,

summary reports, impact/transition stories, and Phase III plans. PLEASE NOTE: If this is your first time

submitting an Army SBIR proposal, you will not be able to register your firm at the Army SBIR Small

Business website until after all of the proposals have been downloaded and we have transferred your

company information to the Army Small Business website. This can take up to one week after the end of

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the proposal submission period.

Do not include blank pages, duplicate the electronically generated cover pages or put information

normally associated with the Technical Volume such as descriptions of capability or intent in other

sections of the proposal as these will count toward the 20-page limit.

Only the electronically generated Cover Sheets and Cost Volume are excluded from the 20-page limit.

Army Phase I proposals submitted containing a Technical Volume .pdf document containing over

20 pages will be deemed NON-COMPLIANT and will not be evaluated. It is the responsibility of the

Small Business to ensure that once the proposal is submitted and uploaded into the system that the

technical volume .pdf document complies with the 20 page limit.

Phase I proposals must describe the "vision" or "end-state" of the research and the most likely strategy or

path for transition of the SBIR project from research to an operational capability that satisfies one or more

Army operational or technical requirements in a new or existing system, larger research program, or as a

stand-alone product or service.

Phase I proposals will be reviewed for overall merit based upon the criteria in Section 6.0 of the DOD

Program BAA.

PHASE I OPTION MUST BE INCLUDED AS PART OF PHASE I PROPOSAL

The Army implements the use of a Phase I Option that may be exercised to fund interim Phase I activities

while a Phase II contract is being negotiated. Only Phase I efforts selected for Phase II awards through

the Army’s competitive process will be eligible to have the Phase I Option exercised. The Phase I

Option, which must be included as part of the Phase I proposal, should cover activities over a period of

up to four months and describe appropriate initial Phase II activities that may lead to the successful

demonstration of a product or technology. The Phase I Option must be included within the 20-page limit

for the Phase I proposal. Do not include blank pages, duplicate the electronically generated cover pages

or put information normally associated with the Technical Volume such as descriptions of capability or

intent, in other sections of the proposal as these will count toward the 20 page limit.

PHASE I COST VOLUME

A firm fixed price or cost plus fixed fee Phase I Cost Volume with maximum dollar amount of $167,500

must be submitted in detail online. Proposers that participate in this BAA must complete a Phase I Cost

Volume not to exceed a maximum dollar amount of $111,500 for the six months base period and a Phase

I Option Cost Volume not to exceed a maximum dollar amount of $56,000 for the four months option

period. The Phase I and Phase I Option costs must be shown separately but may be presented side-by-side

in a single Cost Volume. The system generated Cost Volume DOES NOT count toward the 20-page

Phase I proposal limitation when submitted via the submission site’s on-line form. When submitting the

Cost Volume, complete the Cost Volume form on the DOD Submission site, versus submitting it within

the body of the uploaded proposal.

The Army will occasionally accept deviations from the POW requirements with written approval

from the Funding Agreement officer.

PHASE II PROPOSAL SUBMISSION

Only Small Businesses that have been awarded a Phase I contract for a specific topic can submit a Phase

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II proposal for that topic. Small businesses submitting a Phase II Proposal must use the DOD SBIR

electronic proposal submission system (https://www.dodsbirsttr.mil/submissions/)This site contains step-

by-step instructions for the preparation and submission of the Proposal Cover Sheet, the Cost Volume, and

how to upload the Technical Volume. For general inquiries or problems with proposal electronic

submission, contact the DOD Help Desk at [email protected].

For projects awarded in cycle 23.2, there will be ONE window for submission of Phase II proposals. A

single Phase II proposal can be submitted by a Phase I awardee within one, and only one, Phase II

submission window. The submission window opens at 0001hrs (12:01 AM) eastern time on the first day

and closes at 2359 hrs (11:59 PM) eastern time on the last day. Any subsequent or Sequential Phase II

proposal (i.e., a second Phase II subsequent to the initial Phase II effort) shall be initiated by the

Government Technical Point of Contact for the initial Phase II effort and must be approved by Army

SBIR PM in advance.

The 2025(a) Phase II proposal submission window for Phase I contracts awarded under the 23.2 cycle

opens for submission on 15 October 2024 and closes on 14 November 2024.

Army SBIR Phase II Proposals have three Volumes: Proposal Cover Sheet, Technical Volume, and Cost

Volume. The Technical Volume .pdf document has a 38-page limit including: table of contents, pages

intentionally left blank, references, letters of support, appendices, technical portions of subcontract

documents (e.g., statements of work and resumes), data assertions and any attachments. Do not include

blank pages, duplicate the electronically generated cover pages or put information normally associated

with the Technical Volume in other sections of the proposal as these will count toward the 38 page limit.

As with Phase I proposals, it is the proposing firm’s responsibility to verify that the Technical Volume

.pdf document does not exceed the page limit after upload to the DOD SBIR/STTR Submission site by

clicking on the “Verify Technical Volume” icon.

Only the electronically generated Cover Sheet and Cost Volume are excluded from the 38-page Technical

Volume.

Army Phase II Proposals submitted containing a Technical Volume .pdf document over 38 pages

will be deemed NON-COMPLIANT and will not be evaluated.

Army Phase II Cost Volumes must contain a budget for the entire 24 month Phase II period not to exceed

the maximum dollar amount of $1,100,000. During contract negotiation, the contracting officer may

require a Cost Volume for year one and year two. The proposal cost volumes must be submitted using

the Cost Volume format (accessible electronically on the DOD submission site), and may be presented

side-by-side on a single Cost Volume Sheet. The total proposed amount should be indicated on the

Proposal Cover Sheet as the Proposed Cost. Phase II projects will be evaluated after the first year prior to

extending funding for the second year.

Small businesses submitting a proposal are required to develop and submit a technology transition and

commercialization plan describing feasible approaches for transitioning and/or commercializing the

developed technology in their Phase II proposal.

DOD is not obligated to make any awards under Phase I, II, or III. For specifics regarding the evaluation

and award of Phase I or II contracts, please read the DOD Program BAA very carefully. Phase II

proposals will be reviewed for overall merit based upon the criteria in the DoD Program BAA.

BIO HAZARD MATERIAL AND RESEARCH INVOLVING ANIMAL OR HUMAN SUBJECTS

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Any proposal involving the use of Bio Hazard Materials must identify in the Technical Volume

whether the contractor has been certified by the Government to perform Bio Level - I, II or III work.

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. The few months available for a Phase I effort may preclude plans including

these elements, unless coordinated before a contract is awarded.

OZONE CHEMICALS

Class 1 Ozone Depleting Chemicals/Ozone Depleting Substances are prohibited and will not be

allowed for use in this procurement without prior Government approval.

DISCRETIONARY TECHNICAL AND BUSINESS ASSISTANCE (TABA) (FORMERLY

KNOWN AS DISCRETIONARY TECHNICAL ASSISTANCE)

In accordance with section 9(q) of the Small Business Act (15 U.S.C. 638(q)), the Army will provide

technical assistance services to small businesses engaged in SBIR projects through a network of

scientists and engineers engaged in a wide range of technologies. The objective of this effort is to

increase 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.

The Army has a Technical Assistance Advocate (TAA) to provide technical assistance to small

businesses that have Phase I and Phase II projects with the participating organizations within their

regions.

For more information go to: https://www.armysbir.army.mil, then click the “SBIR” tab, and

then click on Transition Assistance/Technical Assistance.

This technical and business assistance to SBIR awardees to assist in:

Making better technical decisions on SBIR projects

Solving technical problems that arise during SBIR

projects;

Minimizing technical risks associated with SBIR projects; and

Developing and commercializing new commercial products and

processes resulting from such projects including intellectual

property protections.

Army may provide up to $5,000 of SBIR funds for the technical assistance described above for each

Phase I award, and $10,000 per Phase II project to these vendors for direct support to SBIR awardees.

Alternatively, an SBIR firm may directly acquire the technical assistance services described above and

not through the vendor selected by the Components. Firms must request this authority from the agency

and clearly identify the need for assistance (purpose and objective of required assistance), provide details

on the provider of the assistance (name and point of contact for performers) and why the proposed TABA

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providers are uniquely skilled to conduct the work (specific experience in providing the assistance

proposed), and the cost of the required assistance (costs and hours proposed or other details on

arrangement). This information must be included in the Explanatory Material section of the firm’s cost

proposal specifically identified as “Discretionary Technical and Business Assistance.”

If the awardee demonstrates this requirement sufficiently, the agency shall permit the awardee to acquire

such technical assistance itself, in an amount up to $5,000 for each Phase I award and $10,000 for each

Phase II project, as an allowable cost of the SBIR award. The per year amount will be in addition to the

award and is not subject to any profit or fee by the requesting (SBIR) firm and is inclusive of all indirect

rates.

The TABA provider may not be the requesting firm, an affiliate of the requesting firm, an investor of the

requesting firm, or a subcontractor or consultant of the requesting firm otherwise required as part of the

paid portion of the research effort (e.g. research partner or research institution).

Failure to include the required information in the Phase I and/or Phase II proposal will result in the

request for discretionary technical and business assistance being disapproved. Requests for TABA

funding outside of the Phase I or Phase II proposal submission will not be considered. If the firm is

approved for TABA from a source other than that provided by the agency, the firm may not be eligible for

the technical assistance services normally provided by those organizations. Small business concerns that

receive technical or business assistance as described in this section are required to submit a description of

the assistance provided, and the benefits and results achieved. Contact the Army SBIR Program Office for

any other considerations.

NOTE: The Small Business Administration (SBA) is currently developing regulations governing TABA.

All regulatory guidance produced by SBA will apply to any SBIR contracts where TABA is utilized.

It should also be noted that if approved for discretionary technical and business assistance from an outside

source, the firm will not be eligible for the Army’s Technical Assistance Advocate support. All details of

the TABA agency and what services they will provide must be listed in the technical proposal under

“consultants”. The request for TABA must include details on what qualifies the TABA firm to provide

the services that you are requesting, the firm name, a point of contact for the firm, and a web site for the

firm. List all services that the firm will provide and why they are uniquely qualified to provide these

services. The award of TABA funds is not automatic and must be approved by the Army SBIR Program

Manager. The maximum TABA dollar amount that can be requested in a Phase I Army SBIR proposal is

$5,000. The maximum TABA dollar amount that can be requested in a Phase II Army SBIR proposal is

$5,000 per year (for a total of $10,000 for two years).

COMMERCIALIZATION READINESS PROGRAM (CRP)

The objective of the CRP effort is to increase Army SBIR technology transition and commercialization

success and accelerate the fielding of capabilities to Soldiers. The CRP: 1) assesses and identifies SBIR

projects and companies with high transition potential that meet high priority requirements; 2) matches

SBIR companies to customers and facilitates collaboration; 3) facilitates detailed technology transition

plans and agreements; 4) makes recommendations for additional funding for select SBIR projects that

meet the criteria identified above; and 5) tracks metrics and measures results for the SBIR projects within

the CRP.

Based on its assessment of the SBIR project’s potential for transition as described above, the Army

utilizes a CRP investment fund of SBIR dollars targeted to enhance ongoing Phase II activities with

expanded research, development, test and evaluation to accelerate transition and commercialization. The

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CRP investment fund must be expended according to all applicable SBIR policy on existing Phase II

availability of matching funds, proposed transition strategies, and individual contracting arrangements.

NON-PROPRIETARY SUMMARY REPORTS

All award winners must submit a non-proprietary summary report at the end of their Phase I project

and any subsequent Phase II project. The summary report is unclassified, non-sensitive and non-

proprietary and should include:

A summation of Phase I results

A description of the technology being

developed The anticipated DOD and/or

non-DOD customer

The plan to transition the SBIR developed technology to the customer

The anticipated applications/benefits for government and/or private

sector use An image depicting the developed technology

The non-proprietary summary report should not exceed 700 words, and is intended for public viewing

on the Army SBIR/STTR Small Business area. This summary report is in addition to the required

final technical report and should require minimal work because most of this information is required in

the final technical report. The summary report shall be submitted in accordance with the format and

instructions posted within the Army SBIR Small Business Portal at:

https://sbir.army.mil/SmallBusiness/ and is due within 30 days of the contract end date.

ARMY SBIR PROGRAM COORDINATORS (PCs) for Army SBIR PHASE 23.2

Participating Organizations

Program Coordinator

Phone

Armaments Center (AC)

Ben Call

Peter Susberich

973-724-6275

973-724-5783

Aviation and Missile Center

(AvMC-A)

Dawn Gratz

256-842-8769

Aviation and Missile Center

(AvMC-M)

Dawn Gratz

256-842-8769

Army Research Laboratory (ARL)

Zeke Topolosky

301-394-2070

Command, Control, Computers,

Communications, Cyber, Intelligence,

Surveillance and Reconnaissance

(C5ISR)

Tamarisk Gillespie

703-704-0124

Chemical Biological Center (CBC)

Martha Weeks

410-436-5391

Engineer Research and Development

Center (ERDC)

Melonise Wills

703-428-6281

Soldier Center (SC)

Cathryn Polito

508-206-3497

ARMY SUBMISSION OF FINAL TECHNICAL REPORTS

A final technical report is required for each project. Per DFARS clause 252.235-7011

(http://www.acq.osd.mil/dpap/dars/dfars/html/current/252235.htm#252.235-7011), each contractor

shall

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(a) Submit two copies of the approved scientific or technical report delivered under the contract

to the Defense Technical Information Center, Attn: DTIC-O, 8725 John J. Kingman Road, Fort

Belvoir, VA 22060-6218; (b) Include a completed Standard Form 298, Report Documentation

Page, with each copy of the report; and (c) For submission of reports in other than paper copy,

contact the Defense Technical Information Center or follow the instructions at

http://www.dtic.mil.

PROTEST PROCEDURES

Refer to the DoD SBIR Program Announcement for procedures to protest the Announcement.

As further prescribed in FAR 33.106(b), FAR 52.233-3, Protests after Award should be submitted to:

Monroe Harden, Army Fundamental SBIR Portfolio Director, at Monr[email protected] .

NOTIFICATION OF SELECTION OR NON-SELECTION

Proposing firms will be notified of selection or non- selection status for a Phase I award within 90 days of

the closing date of the BAA. The individual named as the Corporate Official on the Proposal Cover Sheet

will receive an email for each proposal submitted from the Army SBIR portal with their official

notification of proposal selection or non-selection.

DEPARTMENT OF THE ARMY PROPOSAL CHECKLIST

This is a Checklist of Army Requirements for your proposal. Please review the checklist to ensure that

your proposal meets the Army SBIR requirements. You must also meet the general DOD requirements

specified in the BAA. Failure to meet these requirements will result in your proposal not being

evaluated or considered for award. Do not include this checklist with your proposal.

1. The proposal addresses a Phase I effort (up to $111,500 with up to a six-month duration)

AND an optional effort (up to $56,000 for an up to four-month period to provide interim

Phase II funding).

2. The proposal is limited to only ONE Army BAA topic.

3. The technical content of the proposal, including the Option, includes the items identified

in the DoD Program BAA.

4. The Technical Volume .pdf document has a 20-page limit including, but not limited to: table

of contents, pages intentionally left blank, references, letters of support, appendices,

technical portions of subcontract documents [e.g., statements of work and resumes] and all

attachments).

Offerors are instructed to NOT leave blank pages, duplicate the electronically generated

cover pages or put information normally associated with the Technical Volume in other

sections of the proposal submission as THESE WILL COUNT AGAINST THE 20-PAGE

LIMIT. Any information that details work involved that should be in the technical volume

but is inserted into other sections of the proposal will count against the page count. ONLY

the electronically generated Cover Sheet and Cost Volume are excluded from the Technical

Volume .pdf 20-page limit. Army Phase I proposals submitted with a Technical Volume .pdf

document of over 20-pages will be deemed NON-COMPLIANT and will not be evaluated.

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5. The Cost Volume has been completed and submitted for both the Phase I and Phase I Option

and the costs are shown separately. The Army requires that small businesses complete the Cost

Volume form on the DOD Submission site, versus submitting within the body of the uploaded

proposal. The total cost should match the amount on the coversheet.

6. If applicable, the Bio Hazard Material level has been identified in the Technical Volume.

7. If applicable, plan for research involving animal or human subjects, or requiring access

to government resources of any kind.

8. The Phase I Proposal describes the "vision" or "end-state" of the research and the most likely

strategy or path for transition of the SBIR project from research to an operational capability that

satisfies one or more Army operational or technical requirements in a new or existing system,

larger research program, or as a stand-alone product or service.

9. If applicable, Foreign Nationals are to be identified in the proposal.

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Army SBIR 23.2 Topic Index

A23-001 Lightweight, Robust, Ruggedized North Finding Technology

A23-002 Development of polarimetric SWIR camera system with AI/ML capabilities to counter

swarming UAVs

A23-003 Electromagnetic Skins and Smart RF Radomes for Spectrum Camouflage

A23-004 UAS Continuous Time Spectrum Situational Awareness

A23-005 Open Source, High Assurance Hardware and Software Co-Design

A23-006 Advanced III-V avalanche photodiode structures in the infrared

A23-007 Multi-Modal Synthetic Data Corpus to Support Machine Intelligence Development

A23-008 Wideband RF Sensing Algorithms for Detection of Priority Ground RF-Enabled

Threats

A23-009 Zero Trust Identity

A23-010 Open Multi-Sensor Counter Unmanned Aerial Systems (C-UAS) Software System

A23-011 Operations in Degraded Visual Environments using Millimeter Wave Imagery

A23-012 Adapting commercial technologies to deliver the Modular Attributable Sensor System

(MASS), an array of AI-enabled sensor nodes interoperable with the Unified Network

A23-013 Real-Time Analytics for Engineer Reconnaissance

A23-014 Persistent Intelligence, Surveillance, and Reconnaissance via Perching Unmanned Air

Vehicles

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A23-001 TITLE: Lightweight, Robust, Ruggedized North Finding Technology

OUSD (R&E) CRITICAL TECHNOLOGY AREA(S): Integrated Sensing and Cyber

The technology within this topic is restricted under the International Traffic in Arms Regulation (ITAR),

22 CFR Parts 120-130, which controls the export and import of defense-related material and services,

including export of sensitive technical data, or the Export Administration Regulation (EAR), 15 CFR

Parts 730-774, which controls dual use items. Offerors must disclose any proposed use of foreign

nationals (FNs), their country(ies) of origin, the type of visa or work permit possessed, and the statement

of work (SOW) tasks intended for accomplishment by the FN(s) in accordance with the Announcement.

Offerors are advised foreign nationals proposed to perform on this topic may be restricted due to the

technical data under US Export Control Laws.

OBJECTIVE: The purpose of this topic is to demonstrate a rugged, lightweight, compact north-finding

technology that can provide a precise measurement of heading relative to true north in GPS-denied

environments and in the presence of interference, such as magnetic fields or overcast skies.

DESCRIPTION: Recent advances in MEMS-based technology offer the promise of rapidly measuring

azimuth with high accuracy and in a small, ruggedized form factor. The desired application for this

technology is the orientation of weapons platforms (e.g., mortar systems), radar system configuration. The

technology should also be suitable as a and-alone navigation aid for soldiers in austere environments,.

The technology should offer the capability to provide the measured heading to the user or to a host system

in which the technology is embedded.

PHASE I: Design a proof-of-concept for a lightweight, compact north-finding system capable of either

standalone or platform-integrated operation. The design should include hardware and software integration

and a detailed description of how a user or system integrator would interact with the system. The final

deliverables will be a breadboard demonstration of the proposed technology and a concept design

presentation featuring anticipated performance, size, weight, power and cost estimates for the system.

PHASE II: Develop and deliver a TRL 7 prototype low-cost north-finding device that can be utilized as a

standalone system or as a component of a larger system. Demonstrate the sensor in a relevant

representative environment. The prototype must have a modular open system architecture that can be

integrated into existing and future Army systems for demonstration, testing and evaluation across a range

of training and operational environments. The prototype should be able to measure heading relative to

True North to within Threshold [T] 1, objective [O] 0.2 degree(s). The prototype should include a detailed

interface design that would allow a systems integrator to easily incorporate the north-finding technology

into its system. The prototype should feature a user manual describing how a user can perform a heading

measurement in a standalone use case.

PHASE III DUAL USE APPLICATIONS: A low-cost, lightweight north-finding technology can be

utilized in systems that otherwise do not have an easy and accurate way to determine heading to north due

to interference, such as counter-UAS or counter-fire radar systems. The north-finding capability would

enhance products like the Army’s Weaponized Universal Lightweight Fire Control (WULF) system,

enabling it to more accurately calculate mortar firing solutions for users. For Soldiers navigating

unfamiliar terrain, the system could be set down and allowed to perform a measurement to provide the

soldier with a heading for orienteering in place of the M2 Compass. In the commercial market, north-

finding would be useful for surveyors to obtain accurate measurements of landmark positions or on ships

as an alternative to larger navigation tools currently in use.

REFERENCES:

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1. Gade, Kenneth. The Seven Ways to Find Heading. Journal of Navigation, 955-970. 2016.

2. FIELD MANUAL 23-90. Mortars. March 2000.

3. Lechner, Wolfgang. AZIMUTH DETERMINATION WITH INERTIAL SYSTEMS,

International Federation of Surveyors – FIG Proceedings

4. Hovde, Stian. Compact Sensor System for Target Localization, 2017.

5. The road to providing a faster, more accurate mortar firing system | Article | The United States

Army

6. Kaplan, George H. Determining the Position and Motion of a Vessel from Celestial Observations.

7. Matthews et al. Azimuth Determination using a Low Noise Ring Laser Gyro Inertial

Measurement Unit. Report Number AFGL-TR-82-0356.

8. FIELD MANUAL 3-25.26. Map Reading and Land Navigation. 2001

KEYWORDS: Navigation; north-finding; MEMS; orientation.

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A23-002 TITLE: Development of polarimetric SWIR camera system with AI/ML capabilities to

counter swarming UAVs