USMA-BAA-01 April 2020.docx

UNITED STATES MILITARY ACADEMY

BROAD AGENCY ANNOUNCEMENT

W911NF-20-S-0008

01 April 2020 – 31 March 2025

ISSUED BY:

U.S. Army Contracting Command Aberdeen Proving Ground Research Triangle Park Division P.O. Box 12211

Research Triangle Park, NC 27709-2211

Special Notes

1. Formatting of the Announcement

The following table provides an overview of the outline structure of this announcement:

I.

A.

1.

a.

i.

(1)

(a)

(i)

2. See Appendix 1 for a Table of Acronyms used in this announcement.

TABLE OF CONTENTS

iv

I. OVERVIEW OF THE FUNDING OPPORTUNITY

The U.S. Military Academy at West Point's mission is "to educate, train, and inspire the Corps of Cadets so that each graduate is a commissioned leader of character committed to the values of Duty, Honor, Country and prepared for a career of professional excellence and service to the Nation as an officer in the United States Army." The United States Military Academy is located at West Point, New York. USMA executes research to enhance the education of cadets, develop the faculty professionally, and address important issues facing the Army and the Nation. In addition, the Academy conducts research and analysis in emerging fields that may realize novel or vastly improved Army capabilities.

At West Point, research is organized and administered through centers and institutes, most of which reside within academic departments. These centers and institutes, affiliated with each other through the Academy Research Council (ARC), coordinated and supported by the Academic Research Division (ARD), provide the infrastructure necessary to tackle the nation’s and the world’s most challenging problems. Our research centers and institutes bring context to the classroom, are central to our vibrant and pioneering faculty, and are one way West Point connects to the Army and to the Nation. Our students are driven, our faculty is world-class, and through our centers, scholars and scientists thrive and produce their best work. Cadets regularly win Best Paper Awards at national and international graduate-level conferences, our faculty hold fellowships and chairmanships in their discipline's national organizations and our products are deployed to the soldier. In addition to applied research, there are centers and institutes at West Point that focus on other aspects of the USMA mission.

The USMA BAA identifies topics of interest to the USMA departments, directorates, and research centers and institutes. These groups focus on executing in-house research programs, with a significant emphasis on collaborative research with other organizations. The groups fund a modest amount of extramural research in certain specific areas, and those areas are described in this BAA.

The USMA BAA seeks proposals from institutions of higher education, nonprofit organizations, state and local governments, foreign organizations, foreign public entities, and for-profit organizations (i.e., large and small businesses) for research based on the following campaigns: Socio-Cultural; Information Technology; Ballistics, Weapons, and Protections; Energy and Sustainability; Materials, Measurements, and Facilities; Unmanned Systems and Space; Human Support Systems; and Artificial Intelligence, Machine Learning, and Quantum Technologies.

Proposals are sought for cutting-edge innovative research that could produce discoveries with a significant impact to enable new and improved Army technologies and related operational capabilities and related technologies. The specific research areas and topics of interest described in this document should be viewed as suggestive, rather than limiting.

Prospective applicants contemplating submission of a whitepaper or proposal are strongly encouraged to contact the appropriate Technical Point of Contact (TPOC). The TPOCs’ names, telephone numbers, and email addresses are listed immediately after each research area of interest. If requested by the TPOC, a whitepaper should be prepared in accordance with the instructions contained in this BAA. Upon receipt, a whitepaper will be evaluated, and the applicant will be advised of the results. Applicants whose whitepapers receive a favorable evaluation may be encouraged to prepare a proposal in accordance with instructions contained in this BAA. The costs of whitepapers and/or proposals in response to this BAA are not considered an allowable direct charge to any award resulting from this BAA or any other award. It may be an allowable expense to the normal bid and proposal indirect costs specified in FAR 31.205-18. Proposals may be submitted at any time during the announcement period.

The Army has a long history of advocating and supporting research at Historically Black Colleges and Universities and Minority-Serving Institutions (HBCU/MSI) USMA welcomes proposals from HBCUs and MIs in full competition with all applicants who may submit proposals under this BAA. USMA also encourages the inclusion of HBCUs and/or MIs as part of a consortium proposal or as sub-recipients to prime recipients.

In accordance with federal statutes, regulations, and Department of Defense (DoD) and Army policies, no person on grounds of race, color, age, sex, national origin, or disability shall be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any program or activity receiving financial assistance from the Army.

Applicants submitting proposals are cautioned that only a Contracting or Grants Officer can obligate the Government to any legal instrument involving expenditure of Government funds.

All administrative inquiries regarding this BAA shall be submitted via email to: Brandon.s.hill24.civ@mail.mil. Scientific and technical questions should be referred to the TPOCs shown following each research area of interest. Interested parties are encouraged to periodically check any of the following websites for updates and amendments to this BAA: www.grants.gov, www.fbo.gov, and the USMA website, https://www.westpoint.edu/centers-and-research/academic-research-division/research-overview. The following website details the research centers at West Point: https://westpoint.edu/centers-and-research.

J. Kenneth Wickiser, PhD Associate Dean for Research Director, Academic Research Division United States Military Academy

A. Required Overview Content

1. Agency Name:

United States Military Academy

2. Issuing Acquisition Office:

U.S. Army Contracting Command-Aberdeen Proving Ground, Research Triangle Park (ACC-APG-RTP) Division

3. Research Opportunity Title:

USMA Broad Agency Announcement (BAA)

4. Announcement Type: Initial Announcement

5. Research Opportunity Number: W911NF-20-S-0008

6. Catalog of Federal Domestic Assistance (CFDA) Number and Title:

12.431 – Basic Scientific Research

7. Response Dates:

This BAA is a continuously open announcement valid throughout the period from 01 April 2020 through 31 March 2025, unless announced otherwise.

B. Additional Overview Information

This BAA sets forth research areas of interest to the United States Military Academy. This BAA is issued under paragraph 6.102(d)(2) of the Federal Acquisition Regulation (FAR), which provides for the competitive selection of basic and applied research proposals, and 10 U.S.C. 2358, 10 U.S.C. 2371, and 10 U.S.C. 2371b, which provide the authorities for issuing awards under this announcement for basic and applied research. The definitions of basic and applied research may be found at 32 Code of Federal Regulations (CFR) 22.105.

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

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

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

An applicant may withdraw a proposal at any time before award by written notice or by email sent to the government point of contact identified in Section G of this BAA.

II. DETAILED INFORMATION ABOUT THE FUNDING OPPORTUNITY

Program Description

1. Ballistics, Weapons, and Protections (BWT) Campaign

a. Blast Protection of Structures and Vehicles.

The blast imparted on a structure from close indirect fire or from improvised-explosive-devices (IEDs), while short in duration, may be orders of magnitude larger pressure than ordinary service loads. Mines and buried IEDs are an increasingly deadly threat to our vehicles and the soldiers inside, and increasing the thickness of conventional armor has traditionally been the response, which adversely affects vehicle performance. More effective measures of protection require carefully chosen materials and geometries tailored for each specific situation. This line of effort explores advances in high-performance materials, novel geometric structures, as well as recent advances in additive manufacturing technologies to greatly increase the resilience of our structural and armor systems. The work examines structural optimization via field tests in conjunction with cutting-edge high-fidelity computer simulations that use high-performance computers. The resulting engineering solutions inform both next-generation designs and retrofit of existing systems and structures.

TPOC: LTC James Bluman, 845-938-3804, CMEcie_director@westpoint.edu

b. Future Aviation Capabilities Research and Development.

This research area informs future technologies for improving the efficiency, performance, lethality, interoperability, and survivability of Army Aviation manned and unmanned platforms. Key technologies, concepts, and capabilities include additive manufacturing of aviation components and repair parts, integration of manned and unmanned systems, vibration isolation and reduction, noise reduction, drag reduction of exposed bodies, active flow control, morphing structures, and pilot-vehicle interface technologies, hardening of the fuel system, fuel system analyses, structural health monitoring, and rotor blade erosion analysis and prevention. Further tasks include analyzing the impact of aerodynamic interference between rotors in multi-copter configurations, analyzing and assessing reliability and maintainability of Future Vertical Lift (FVL) proposals, and conducting manned and unmanned aircraft analysis using modeling, simulation and surrogate vehicles. These technologies are sought to reduce vehicle weight, improve performance, reliability, maintainability, reduce the auditory, visual, and EO/radar signature of Army aircraft, improve pilot situational awareness, facilitate operations in degraded visual environments, facilitate optional vehicle autonomy, allow for manned-unmanned teaming, and increase battlefield effectiveness.

TPOC: LTC James Bluman, 845-938-3804, CMEcie_director@westpoint.edu

c. Next Generation Combat Vehicle Research and Development.

This research will inform future mobility, lethality and survivability tradeoffs within the Army’s suite of ground combat platforms from light tactical vehicle to heavy combat systems. The research includes, but is not limited to, the modeling and testing of future active suspension technologies for increased platform trafficability and stability, future energy-absorbing armor concepts that will simultaneously reduce vehicle weight and increase Soldier protection, design and development of modular strap-on equipment that can interface with a future vehicle’s power, structure, command and control systems, vehicle autonomy implementation that will allow for optional manning and future powertrain development that will decrease vehicle auditory signature and increase vehicle operating range. Topics may also include research and analysis of the electrification of combat vehicles or the use of novel power plants that are independent of carbon-based fossil fuels.

TPOC: LTC James Bluman, 845-938-3804, CMEcie_director@westpoint.edu

d. Ballistics and Weapons Engineering Research and Development.

This research area will enlighten future ballistics and weapons engineering design pursuits across the range of Army combat power generation systems from small caliber, individual and crew-served weapons to large caliber, ground combat systems. The research and development is associated with the theory, modeling and experimental analysis of future weapon systems as related to terminal, exterior and interior ballistic performance and metrics. The work includes but is not limited to signature reduction, weapon system sensors, non-lethal technologies, novel cargo projectiles, electromagnetic launch, gun mounts, drone defeat, accuracy and precision enhancement, insensitive munitions, extended range, hypervelocity impact physics, and guidance technologies.

TPOC: LTC James Bluman, 845-938-3804, CMEcie_director@westpoint.edu

e. Next Generation Soldier Systems Research and Development.

This research area will inform future Soldier lethality and sustainment through the design of future non-weapons related Soldier equipment. The research is not limited to the ideation and prototype of future Soldier systems in the areas of mobile command posts, aerial delivery systems, Soldier load carrying systems, future camouflage and deception/concealment systems, future force projection and force sustainment concepts, advanced in individual body armor and protective technology, and future Soldier sensor systems.

TPOC: LTC James Bluman, 845-938-3804, CMEcie_director@westpoint.edu

2. Energy and Sustainability (ES) Campaign.

a. Sustainability and Energy Resilience Research.

This research area will inform the development of sustainable defense and civilian public infrastructure and energy systems both at home station and on the battlefield. Research areas include the design and analysis of technologies associated with sustainable infrastructure & hardware for the Army such as resilient energy delivery, storage and consumption systems, assessment of alternative and synthetic fuel production, renewable energy use in industrial processes, utilization of waste produces to improve system efficiency; sustainable maintenance and Health Monitoring of public facilities and infrastructure to include buildings, road, bridges, tunnels, locks, dams, harbors, and similar infrastructure from natural threats such as wear and corrosion, as well as man-made physical, cyber, RF and emerging threats; analysis of future trends associated with environmental and geo-political changes and their effect on defense and civilian infrastructure, energy resilience, and operational flexibility. Research can include material degradation from corrosion and other forms of wear that are unique to DoD applications as well as novel applications of concrete technology in support of both vertical and horizontal construction as well as blast resilient structures. Research can also address novel construction materials, including but not limited to cross laminated timber, structural insulated panels, or advanced/enhanced sustainability concrete materials to determine the defense-application benefits of these materials as well as the potential risks associated with using them in defense applications such as blast response, thermal signatures, RF transparency, etc. Analysis of both home station / installation applications of various technologies and deployed / operational applications is of interest. Deployed applications of energy and sustainability can include, but are not limited to, electrification of combat vehicles, energy support of future weapons such as directed energy systems, and mobile or micro-nuclear power technology, the survivability, distribution, and logistics considerations of novel or alternative fuel sources and analysis of renewable energy options for operational energy consumption and usage.

TPOC: LTC James Bluman, 845-938-3804, CMEcie_director@westpoint.edu

3. Materials, Measurements, and Facilities (MMF) Campaign.

a. Research and Development for Combating Corrosion and Improving Materiel Readiness.

The Center for Innovation and Engineering (CIE) is interested in researching and developing solutions to mitigate and prevent the corrosion of Army assets. Current research projects in the CIE are focused on designing detection systems for corrosion on structures and researching new corrosion resistant metal alloys; however future research projects are not limited to metals as all materials currently utilized by the Army are subject to degradation by their surrounding environment. Additionally, the CIE is interested in research on curricular development for promoting corrosion education to the future workforce of the Army through multi-disciplinary collaborations in order to increase the overall awareness and interest in combating corrosion.

TPOC: LTC James Bluman, 845-938-3804, CMEcie_director@westpoint.edu

b. Advanced MRI Measurements for Data Analysis and Model Validation.

This research involves leveraging advanced measurement diagnostics in water tunnel studies to research technological flows in a variety of capacities and fields related to aerodynamics, heat transfer, fluid mechanics, and environmental flows. Three basic modalities of experiments are envisioned and used interchangeably – time averaged, three-dimensional, three-component velocity field measurements in turbulent flows at isotropic resolutions approaching 0.5mm in each direction; three-dimensional measurements of concentrations of a passive scalar in turbulent flows at isotropic resolutions of 0.7 mm to 0.5% full scale in scaled versions of complex terrain features subjected to steady or periodic releases of a contaminant; and time averaged three-dimensional temperature fields at similar resolutions for a thermally stratified turbulent flow field in complex geometries. The techniques envisioned, termed Magnetic Resonance Velocimetry (MRV), Magnetic Resonance Concentration (MRC), and Magnetic Resonance Thermometry (MRT) respectively as described, leverage developing diagnostic techniques based on magnetic resonance imaging to rapidly acquire large, time-averaged, velocity, concentration, and temperature data sets that are of great practical utility for validation of computational models, model improvements, detailed physical analysis, and for understanding fundamental features of these important classes of flows. Current primary applications for these studies involve exterior ballistics analysis for projectiles, mass transport and thermal studies within advanced gas turbine blades, and environmental flows involving contaminant dispersion within both urban areas and rugged rural terrain. The experimental analysis is supported by computational comparisons using advanced numerical simulations that leverage in-situ boundary condition measurements and geometry files as initial conditions, and the data are available for comparison with other computational models, experimental data sets, and analyses.

TPOC: LTC James Bluman, 845-938-3804, CMEcie_director@westpoint.edu

c. Material Science and Rapid Prototyping Research.

This research area seeks to determine new insights into new materials and new fabrication techniques to provide enhanced performance of materials, structures, and energetics with a focus on defense related applications. This research can include novel methods of 3D printing, including 3D printing ceramics, metals, biological material, soils, concrete, energetic material, or recycled materials; the sustainment challenges associated with 3D Printing; 3D Printing at the edge (such as on a Forward Operating Base), the challenges associated with materials degradation from 3D printed parts including corrosion and fatigue; and topology optimization of 3D Printing parts and components associated with defense systems. Material Science topics can include research into the material properties of novel materials with defense applications to include nano-scale fabrication of materials, energetic material, smart materials and smart structures, bio-templating, advanced composites and polymers as well as rapid prototyping techniques.

TPOC: LTC James Bluman, 845-938-3804, CMEcie_director@westpoint.edu

4. Unmanned Systems and Space (USS) Campaign

a. Next Generation Unmanned Systems Research and Development This research area will inform future technologies for improving the efficiency, performance, lethality, interoperability, survivability of and protection from unmanned aerial and ground systems. Key technologies, concepts, and capabilities include vehicle design and fabrication, sensor integration and processing, actuation, event-driven autonomy and decision making, multi-agent swarm control, manned-unmanned teaming, path planning, wireless communications, operator-vehicle interface, rapid and airborne deployment, field recovery systems, various counter-unmanned systems capabilities including the development of both cyber, physical, directed energy, or radio frequency-based techniques to neutralize, degrade, defeat, or destroy threat UAS, and agile field and flight testing of the above (UAS or Counter UAS systems). These technologies are sought to maintain the Army and its future leaders on the leading edge of the rapidly evolving field of unmanned systems, as well as provide innovative and effective solutions to support the Soldier.

TPOC: LTC James Bluman, 845-938-3804, CMEcie_director@westpoint.edu

b. Robotic Systems Research and Development.

This research area will inform the development and scoping of future robotic systems in defense-related environments to include unmanned or optionally manned ground and air systems, robotic drive systems, robotic control systems, unique robotic actuators, particularly with defense-related applications, robotic tethering and powering systems and methods, methods of developing autonomous behaviors and self-organizing (swarming) behaviors of groups of robots, methods of state estimation and control, particularly in GPS denied environments (including indoor or subterranean), methods for obstacle detection and avoidance, the terramechanics of ground vehicles, flight dynamics of novel air vehicles including quad rotors, flapping wing micro air vehicles, hybrid air vehicles, and air-launched vehicles. The research can address multiple phases of the design process from ideation to the realization of testable prototypes.

TPOC: LTC James Bluman, 845-938-3804, CMEcie_director@westpoint.edu

c. Space Engineering and Rocket Technology Research.

This research area seeks to analyze, design, develop and test new technology associated with small, multi-stage rocket capability to achieve low earth orbit of small payloads (less than 50 lbs) or to enable the development and realization of a hypersonic air vehicle. The research focus areas include on-board technology including rocket hardware analysis and development, rocket and flight path modeling, aerodynamic analysis, energetic development, development of state estimation, control and/or telemetry systems; design, development and implementation of safety hardware, and the analysis, development and design of alternative rocket fuels. Research areas can additionally include any technology or study that facilitates the development or employment of this technology including usage cases, concept of the operation development, integration of the technology within the existing space infrastructure and policy landscape, technology to support the creation of a mobile space-launch capability or hypersonic-capable air vehicle.

TPOC: LTC James Bluman, 845-938-3804, CMEcie_director@westpoint.edu

5. Human Support Systems (HSS) Campaign

a. Biomechanical Engineering.

This research area will inform the Department of Defense on biomechanical strategies to enhance soldier readiness. This includes human performance optimization, injury prediction and prevention, physical and cognitive augmentation, analysis of Return to Duty metrics, the influence of various powered prosthetics or exo-skeleton devices on human physical, metabolic, or cognitive functioning. This work may include human subject testing, injury tracking, device design, literature reviews, code development, and simulation.

TPOC: LTC James Bluman, 845-938-3804, CMEcie_director@westpoint.edu

b. Wearable Technologies and Sensors This research area will inform the Department of Defense on the science of wearable technologies and cloud-based data collection, archiving, and analyses. The work can include research into the effect of wearable technology and the potential for wearable technology to inform decision relating to Soldier performance. This work may include human subject testing, health tracking, activity monitoring, device design, advanced modelling and simulation. It can include monitoring and assessing soldier performance in various conditions utilizing approaches associated with biomechanics, load carriage performance nutrition, equipment use, injury prevention, and recovery times.

TPOC: LTC James Bluman, 845-938-3804, CMEcie_director@westpoint.edu

c. Design for Future Combat Leaders.

This research area will inform the way design is taught and practiced at West Point and the ways deeper experience with design might not only make better engineers but also more adaptive and agile leaders. The research includes work on novel curricular structures and new pedagogical techniques. Through a thorough investigation of design across a wide variety of contexts and various disciplines, the research will serve to improve the way design is taught and practiced in academic and field environments in an engineering context and to inform the way engineering design is connected to design as it is taught in the operational Army. These efforts will serve to enhance the broader aim of producing more innovative leaders.

TPOC: LTC James Bluman, 845-938-3804, CMEcie_director@westpoint.edu

6. Emerging Technologies (ET) Campaign The ET Campaign focuses on the design, development, experimentation and operationalization of emerging technologies such as Artificial Intelligence, Machine Learning, and Quantum technologies. The goal is to create techniques and tools that enable autonomous cyber operations and that ensure the security of Army systems and data. Our research explores the science of information, computation, learning, and fusion as it pertains to the use of artificial intelligence for adaptive pattern discovery, learning, reasoning, perception, action and decision-making given heterogenous, disparate cyber data.

Our research aims to provide the Army Cyber Enterprise new capabilities to:

· Shift emphasis from sensing to information awareness

· Understand the underpinning of cyber autonomy

· Relieve human cybersecurity analyst cognitive overload in dealing with the data deluge problem

· Enhance human-machine interface in information processing

· Protect data and systems using advance cryptography techniques

· Operate in real-time to handle the pace of modern operations

Our research has the potential to:

· Cope with various complex disparate data/information types

· Integrate a diversity of unique reasoning and learning components collaborating simultaneously

· Bridge correlational with causal discovery

· Determine solutions or obstructions to local-to-global data fusion problems

· Mechanize reasoning/learning and computing in the same computational environment

· Yield provably efficient procedures to enable or facilitate cyber data analytics

· Deal with high-dimensional and massive cyber datasets with provably guaranteed performance

a. Artificial Intelligence and Machine Learning for Cyber Security The Government networks currently channel more data than its security analysts can meaningfully process. Analysts are overwhelmed with numerous alerts and are vulnerable to alert fatigue. The vast scale of data collection challenges human-driven/human-only solutions to collection and processing.

The goals of this work are to increase the government’s capacity to process that data by assisting and augmenting analysts through the application of artificial intelligence (AI) and machine learning (ML) algorithms, to include deep learning algorithms. Research will focus on experimental investigation and prototype development of AI/ML algorithms and capabilities. In addition, this research program will focus on helping analysts perceive and understand dynamic and unknown environments.

Elements of this research effort include new frameworks and tools for the creation of algorithms; tailored algorithms to perform discrete tasks, particularly in the fields of intrusion detection; resilience against adversarial attacks; new labeling techniques to generate massive scale annotated data for supervised deep learning techniques; new methods of edge computation to bring deep learning algorithms to constrained computational environments; methods to evaluate and determine the effectiveness of algorithmic approaches; interfaces for the display, search, and interaction with algorithmically derived metadata and tabular structured algorithmic output; new techniques, hardware, software, and tools for the training, testing, and validating of algorithms; and storage and indexing capabilities for local algorithmically-produced data.

TPOC: Paul Maxwell, (845) 938-5865, paul.maxwell@westpoint.edu Elie Alhajjar, (845) 938-5865, elie.alhajjar@westpoint.edu

b. Quantum Sciences The Army needs to better employ quantum sciences in a number of areas to improve the performance and security of its future systems. Research is needed in the following areas:

i. Quantum computing to solve highly complex problems in real time

ii. Quantum sensing to achieve highly sensitive sensors and enable highly accurate navigation

iii. Quantum communications, and networking to enable highly secure and efficient information flow

iv. Cryptographic algorithms that are secure against Quantum computing attacks

TPOC: Lubjana Beshaj, (845) 938-0564, lubjana.beshaj@westpoint.edu Travis Russell, (845) 938-3495, travis.russell@westpoint.edu

c. Internet of Things (IOT) – The Army is integrating a wide range of capabilities and equipment from the Internet of Things domain. The Army’s interest is driven in part by the fact that the amount of usable communication bandwidth on the battlefield will be dynamic, and as such automated reallocation of communication resources and information sharing strategies are more challenging than commercial ones. Research is needed to improve Army IOT in the following areas:

i. New concepts, quantitative models and technical approaches enabling automated security and management of IoT devices.

ii. New machine learning techniques that accelerate decision making are needed to address the scale/volume of IoT security information and advance the science.

iii. New approaches, low-complexity algorithms, and methods to enable IoT to be secure, resilient, and to automatically manage and affect risk and uncertainty in a highly deceptive, mixed cooperative/adversarial, information-centric environment.

iv. Novel approaches to enable improved training on securing IoT.

TPOC: Paul Maxwell, (845) 938-5865, paul.maxwell@westpoint.edu

Federal Award Information

The ACC-APG-RTP Division has the authority to award a variety of instruments on behalf of USMA. Anticipated awards will be made in the form of contracts, grants, cooperative agreements, technology investment agreements (TIAs), or other transactions for prototypes (OTAs). The ACC-APG-RTP Division reserves the right to select the type of instrument most appropriate for the effort proposed. Applicants should familiarize themselves with these instrument types and the applicable regulations before submitting a proposal. Following are brief descriptions of the possible award instruments: Comment by McNeal, Vonetta G (CIV): Great! I like that we included the various instrument types so we are not limiting ourselves.

1. Procurement Contract. A legal instrument, consistent with 31 U.S.C. 6303, which reflects a relationship between the Federal Government and a state government, a local government, or other entity/contractor when the principal purpose of the instrument is to acquire property or services for the direct benefit or use of the Federal Government.

Contracts are primarily governed by the following regulations:

a. Federal Acquisition Regulation (FAR)

b. Defense Federal Acquisition Regulation Supplement (DFARS)

c. Army Federal Acquisition Regulation Supplement (AFARS)

2. Grant. A legal instrument that, consistent with 31 U.S.C. 6304, is used to enter into a relationship:

a. The principal purpose of which is to transfer a thing of value to the recipient to carry out a public purpose of support or stimulation authorized by a law or the United States, rather than to acquire property or services for the Federal Government’s direct benefit or use.

b. In which substantial involvement is not expected between the Federal Government and the recipient when carrying out the activity contemplated by the grant.

c. No fee or profit is allowed.

3. Cooperative Agreement. A legal instrument which, consistent with 31 U.S.C. 6305, is used to enter into the same kind of relationship as a grant (see definition "grant"), except that substantial involvement is expected between the Federal Government and the recipient when carrying out the activity contemplated by the cooperative agreement. The term does not include "cooperative R&D agreements" as defined in 15 U.S.C. 3710a. No fee or profit is allowed.

4. Technology Investment Agreement (TIA). Assistance transaction other than a Grant or Cooperative Agreement (see 32 CFR Part 37). A legal instrument, consistent with 10 U.S.C. 2371, which may be used when the use of a contract, grant, or cooperative agreement is not feasible or appropriate for basic, applied, and advanced research projects. The research covered under a TIA shall not be duplicative of research being conducted under an existing DoD program. To the maximum extent practicable, TIA’s shall provide for a 50/50 cost share between the government and the applicant. An applicant's cost share may take the form of cash, independent research and development (IR&D), foregone intellectual property rights, equipment, access to unique facilities, and/or other means. Due to the extent of cost share, and the fact that a TIA does not qualify as a "funding agreement" as defined at 37 CFR 401.2(a), the intellectual property provisions of a TIA can be negotiated to provide expanded protection to an applicant's intellectual property. No fee or profit is allowed on TIAs.

5. Other Transaction for Prototype (OTA). A legal instrument, consistent with 10 U.S.C. 2371b., which may be used when the use of a contract, grant, or cooperative agreement is not feasible or appropriate for prototype projects directly relevant to enhancing the mission effectiveness of military personnel and the supporting platforms, systems, components, or materials proposed to be acquired or developed by the DoD, or to improvement of platforms, systems, components, or materials in use by the armed forces. The effort covered under an OTA shall not be duplicative of effort being conducted under an existing DoD program (please refer to the “Other Transactions” OT Guide for Prototype Projects dated January 2017 (Version 1.2.0)). This document, along with other OTA resources, may be accessed at the following link: http://www.acq.osd.mil/dpap/cpic/cp/10USC2371bOTs.html.

6. Grants and cooperative agreements for institutions of higher education, nonprofit organizations, foreign organizations, and foreign public entities are primarily governed by the following:

a. Federal statutes

b. Federal regulations

c. 2 CFR Part 200, as modified and supplemented by DoD's interim implementation found at 2 CFR Part 1103

d. 32 CFR Parts 21, 22, 26, and 28

e. DoD Research and Development General Terms and Conditions

f. Agency-specific Research Terms and Conditions

7. Grants and cooperative agreements for for-profit and nonprofit organizations exempted from Subpart E—Cost Principles of 2 CFR Part 200, are primarily governed by the following:

a. Federal statutes

b. Federal regulations

c. 32 CFR Part 34 - Administrative Requirements for Grants and Agreements with For-Profit Organizations

d. 32 CFR Parts 21, 22, 26, and 28

e. DoD Research and Development General Terms and Conditions

f. Agency-specific Research Terms and Conditions

8. TIAs are primarily governed by the following:

a. Federal statutes

b. Federal regulations

c. 32 CFR Part 37 – Technology Investment Agreements

d. DoD Research and Development General Terms and Conditions

e. Agency-specific Research Terms and Conditions

9. OTAs are primarily governed by the following:

a. Federal statutes

b. Federal regulations

c. Office of Secretary of Defense implementation guidance titled Other Transactions (OT) Guide for Prototype Projects

10. The following websites may be accessed to obtain an electronic copy of the governing regulations and terms and conditions:

a. FAR, DFARS, and AFARS: https://www.acquisition.gov/content/regulations

b. Code of Federal Regulations: http://www.ecfr.gov

c. DoD Research and Development General Terms and Conditions: https://www.onr.navy.mil/work-with-us/manage-your-award/manage-grant-award/grants-terms-conditions

d. Agency-specific Research Terms and Conditions: https://westpoint.edu/centers-and-research

Eligibility Information

Eligible Applicants

Eligible applicants under this BAA include institutions of higher education, nonprofit organizations, state and local governments, foreign organizations, foreign public entities, and for-profit organizations (i.e. large and small businesses) for scientific, technology, engineering, mathematics, education, policy development, ethics, culture, history, and economic analyses projects and proposals. Whitepapers and proposals will be evaluated only if they are for novel study and experimentation directed toward advancing the state of the art or increasing basic knowledge and understanding. Whitepapers and proposals focused on specific devices or components are beyond the scope of this BAA.

For foreign public entities or foreign organizations, see Section II.C.3.a below for further information. There is no restriction on the place of performance for awards issued under this BAA.

Cost Sharing or Matching

Generally, there is no requirement for cost sharing, matching, or cost participation to be eligible for award under this BAA. Cost sharing and matching is not an evaluation factor used under this BAA. Exceptions may exist if the applicant is proposing the use of a TIA or an OTA as an award instrument. Cost-sharing requirements may be found at 32 CFR 37 for TIAs. Cost-sharing requirements for OTAs may be found at Section C2.16 COST SHARING in the January 2017 document titled “Other Transactions” OT Guide for Prototype Projects.

In addition, if cost sharing is proposed on a grant or cooperative agreement proposal submitted by a nonprofit or institution of higher education, the award will be subject to the restrictions at 2 CFR 200.306. If cost sharing is proposed on a contract proposal, the award will be subject to the restrictions at FAR 35.003.

Other

a. Foreign public entities or foreign organizations are advised that security restrictions may apply that could preclude their participation under this BAA.

b. Pursuant to the policy of FAR 35.017 and supplements, selected Federally Funded Research and Development Centers (FFRDC) may propose under this BAA as allowed by their sponsoring agency and in accordance with their sponsoring agency policy.

D. Application and Submission Information

0. Address to View Broad Agency Announcement

This BAA may be accessed via the following websites:

a. Grants.gov (www.grants.gov)

b. Federal Business Opportunities (https://beta.sam.gov)

c. USMA website https://www.westpoint.edu/centers-and-research/academic-research-division/research-overview Amendments to this BAA, if any, will be posted to these websites when they occur. Interested parties are encouraged to periodically check these websites for updates and amendments.

The following information is for those wishing to respond to the BAA:

1. Content and Form of Application Submission

a. General Information

i. Preliminary Inquiries: The USMA receives numerous proposals annually. Because of financial constraints, we are able to provide support for only a limited number of the proposals received. We realize the preparation of a research proposal often represents a substantial investment of time and effort by the applicant. Therefore, in an attempt to minimize this burden, we strongly encourage applicants interested in submitting proposals to make preliminary inquiries as to the general need for the type of research effort contemplated, before expending extensive effort in preparing a whitepaper and/or detailed proposal or submitting proprietary information. The TPOC names, telephone numbers, and email addresses are listed immediately after each research area of interest and they should be contacted, as appropriate, prior to the submission of whitepapers or proposals.

*NOTE: The Government will not be obligated by any discussion that arises out of preliminary inquiries.

ii. Classified Submissions: Classified proposals are not expected. However, in an unusual circumstance the applicant may be notified that access to classified information and/or controlled unclassified information will occur under the work proposed. In those instances where a contract is awarded requiring access to classified information and/or controlled unclassified information, clause FAR 52.204-2 shall be in effect, as well as a DD254, if issued. For questions regarding the potential for access to classified information and/or controlled unclassified information, please coordinate with the TPOC for that topic area prior to proposal submission.

iii. Use of Color in Proposals: All proposals received will be stored as electronic images. Electronic color images require a significantly larger amount of storage space than black-and white images. As a result, applicants' use of color in proposals should be minimal and used only when necessary for details. Do not use color if it is not necessary.

iv. Post-Employment Conflict of Interest: There are certain post-employment restrictions on former federal employees, including special government employees (18 U.S.C. 207). If a prospective applicant believes a conflict of interest may exist, the situation should be discussed with the TPOC listed in the BAA for their area of scientific research who will then coordinate with appropriate USMA legal counsel prior to the applicant expending time and effort in preparing a proposal.

v. Statement of Disclosure Preference: In accordance with Section II.D.2.e.iii of this BAA, Form 52 or 52A shall be completed stating your preference for release of information contained in your proposal. Copies of these forms may be downloaded from the USMA web site at: https://www.westpoint.edu/centers-and-research/academic-research-division/research-overview under "For the Researcher" (Forms, USMA BAA Forms).

NOTE: Proposals may be handled for administrative purposes by support contractors. These support contractors are prohibited from submitting proposals under this BAA and are bound by non-disclosure and/or conflict of interest requirements as deemed appropriate.

vi. Equipment (see instrument-specific regulations provided in Section II.B of this BAA): Normally, title to equipment or other tangible property purchased with Government funds vests with nonprofit institutions of higher education or with nonprofit organizations whose primary purpose is conducting scientific research if vesting will facilitate scientific research performed for the Government. For-profit organizations are expected to possess the necessary plant and equipment to conduct the proposed research. Deviations may be made on a case-by-case basis to allow for-profit organizations to purchase equipment but regulatory disposition instructions must be followed.

b. The Application Process

The application process is in three stages as follows:

i. Stage 1- Verify the accuracy of your Unique Entity Identifier (formerly DUNS) at the Dun and Bradstreet (D&B) website http://fedgov.dnb.com/webform before registering with the System for Award Management System (SAM) at https://www.sam.gov. Prospective applicants must be registered in SAM prior to submitting an application or plan. The SAM obtains Legal Business Name, Doing Business Name (DBA), Physical Address, and Postal Code/ Zip+4 data fields from D&B. If corrections are required, registrants will not be able to enter/modify these fields in SAM; they will be pre-populated using D&B Unique Entity Identifier record data. When D&B confirms the correction has been made, the registrant must then re-visit sam.gov and click a “yes”' to D&B's changes. Only at this point will the D&B data be accepted into the SAM record. Allow a minimum of two (2) business days for D&B to send the modified data to SAM.

ii. Stage 2 - Prospective proposers are requested to submit whitepapers prior to the submission of a complete, more detailed proposal. The purpose of whitepapers is to minimize the labor and cost associated with the production of detailed proposals that have very little chance of being selected for funding. Based on assessment of the whitepapers, feedback will be provided to the proposers to encourage or discourage them from submitting proposals. Whitepapers should present the effort in sufficient detail to allow evaluation of the concept's scientific merit and its potential contributions of the effort to the Army mission.

iii. Stage 3 - Interested applicants are required to submit proposals. All proposals submitted under the terms and conditions cited in this BAA will be reviewed regardless of the feedback on, or lack of submission of, a whitepaper. If applicants have not submitted whitepapers, proposals may still be submitted for funding consideration. Proposals must be submitted for the applicant to be considered for funding.

All proposals for Assistance Instruments and Contracts must be submitted electronically through Grants.gov using Workspace. See Section II.D.f of this BAA for information on the proposal submission process.

All required forms for proposals may be downloaded from the USMA web site at: https://www.westpoint.edu/centers-and-research/academic-research-division/research-overview, under "For the Researcher" (Forms, USMA BAA Forms).

c. Whitepaper Preparation

i. Whitepapers should focus on describing details of the proposed research, including how it is innovative, how it could substantially increase the scientific state of the art, Army relevance, and potential impact.

ii. Whitepapers are limited to seven (7) total pages; five (5) pages for whitepaper technical content, one (1) cover page and a one (1) page addendum as discussed below.