AI2C BAA 050324.pdf

UNITED STATES ARMY FUTURES COMMAND

ARTIFICIAL INTELLIGENCE INTEGRATION CENTER

(AI2C)

BROAD AGENCY ANNOUNCEMENT

FOR

BASIC, APPLIED, AND ADVANCED

SCIENTIFIC RESEARCH

W52P1J-21-B-AI2C

01 May 2024 – 31 May 2029

ISSUED BY:

U.S. Army Contracting Command-Rock Island

Table of Contents

I. OVERVIEW OF THE FUNDING OPPORTUNITY

A. Required Overview Content

B. Additional Overview Information

II. DETAILED INFORMATION ABOUT THE FUNDING OPPORTUNITY

PROGRAM DESCRIPTION

A. Research Definitions

B. Areas of Interest

1. Autonomous Platforms

2. Artificial Intelligence and Machine Learning Algorithms (AI/ML)

3. AI/ML Decision Support

4. Human-AI Integration

5. Synthetic Environments

6. Distributed AI

7. Underpinning Methodologies

8. Special Topics

B. Federal Award Information:

1. Procurement Contract

2. Grant

3. Cooperative Agreement

4. Technology Investment Agreement (TIA)

5. Other Transaction

6. Grants and cooperative agreements for institutions of higher education, nonprofit organizations, foreign organizations, and foreign public entities

7. Grants and cooperative agreements for for-profit and nonprofit organizations exempted from Subpart E - Cost Principles of 2 CFR Part 200

8. OT/TIAs are primarily governed by the following:

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

C. Eligibility Information

1. Eligible Applicants

2. Cost Sharing or Matching

III. APPLICATION AND SUBMISSION INFORMATION

A. Content and Form of Application Submission

1. General Information

2. Application Process Overview

3. White Paper Preparation

4. White Paper Submission

5. Review of White Papers

6. Preparation of Proposals

7. Proposal Format and Content

9. Conference and Symposia Grants

10. Submission of Proposals

IV. CRITERIA FOR SELECTION

A. Application Review Information

1. Criteria

2. Review and Selection Process

3. Recipient Qualification

B. Grant, Cooperative Agreement and OT Proposals

C. Contract Proposals

V. AWARD ADMINISTRATION INFORMATION

A. Award Notices

1. Administrative and National Policy Requirements

2. Policy Requirements

3. Reporting

VI. OTHER INFORMATION

A. CONTRACT PROPOSALS SAMPLES:

Reasoning for Submitting a Strong Cost Proposal

1. Sample Cost Proposal – “Piece by Piece”:

2. Direct Labor as proposed by our sample Applicant

3. Direct Material Costs

4. Direct Material costs included in our sample proposal

5. Travel portion Sample

6. Indirect Costs

ACRONYMS

I. OVERVIEW OF THE FUNDING OPPORTUNITY

A. Required Overview Content

Agency Name:

US Army Futures Command, Artificial Intelligence Integration Center (AI2C)

Issuing Acquisition Office:

U.S. Army Contracting Command-Rock Island Division

Research Opportunity Title:

United States Army Futures Command, Artificial Intelligence Intergration Center Broad Agency Announcement for Basic, Applied, and Advanced Research (Fiscal Years 2024-2029)

Announcement Type:

Updated Annoucement

Research Opportunity Number:

W52P1J-21-B-AI2C

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

12.630 – Basic, Applied, and Advanced Research in Science and Engineering

Response Dates (Submissions):

This BAA is a continuously open five-year announcement valid throughout the period beginning 01 XX 2024 – 31 XX 2029. New start awards are normally obligated early within each fiscal year. Amendments to this BAA will be posted to SAM.gov. Interested parties are encouraged to periodically check SAM.gov for updates and amendments.

(End of Section)

B. Additional Overview Information

INTRODUCTION:

This Broad Agency Announcement (BAA), for the Army Artificial Intelligence Integration Center (AI2C), is issued under the provisions of paragraph 6.102(d)(2) and 35.016 of the Federal Acquisition Regulation (FAR), which provides for the acquisition of basic, applied, and advanced research and that part of development not related to the development of a specific system or hardware procurement. This will be done through the competitive selection of proposals, and 10 U.S.C. 4001, 10 U.S.C. 4021, and 10 U.S.C. 4022, which provide the authorities for issuing awards under this announcement for basic, applied, and advanced research. 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 provisions of Public Law 98-369, "The Competition in Contracting Act of 1984" and subsequent amendments.

The Army Artificial Intelligence Integration Center (AI2C) is seeking artificial intelligence research and development whitepapers and proposals in support of new technologies and translational research-based approaches that support the identification, alignment, and exploitation of basic, applied, and advanced research.

This BAA may be used to award FAR based instruments (e.g., procurement agreements) or instruments not subject to the FAR (e.g., grants, Cooperative Agreements, Technology Investment Agreements, and Other Transactions). Those instruments not subject to the FAR may be referred to as Assistance Agreements in this BAA. AI2C will consider a wide range of funding constructs which might include, but are not limited to, Government funding, cost sharing, in-kind labor or facility sharing by all parties, or any other allowable mechanism.

Applicants may propose cost sharing approaches, but they are not required. AI2C envisions opportunities to engage in other types of collaboration agreements where no funds are exchanged, such as Cooperative Research and Development Agreements (CRADAs) which are negotiated separately from this BAA.

To be eligible for an award under this announcement, a prospective awardee must meet certain minimum standards pertaining to financial resources and responsibility, ability to comply with the performance schedule, past performance, integrity, experience, technical capabilities, operational controls, and facilities. 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.

II. DETAILED INFORMATION ABOUT THE FUNDING

OPPORTUNITY

PROGRAM DESCRIPTION

A. Research Definitions

Basic Research is defined as systematic study directed toward greater knowledge or understanding of the fundamental aspects of phenomena and of observable facts that drive theory forward without being restricted to ideas that have known applications or products.

Basic research may lay the foundation for future research aimed at developing tools, but that is not its goal.

Applied research is systematic study to understand the means to meet a recognized and specific need. It is a systematic expansion and application of knowledge to develop useful materials, devices, and systems or methods. It may be oriented, ultimately, toward the design, development, and improvement of prototypes and new processes to meet general mission area requirements. Applied research may translate promising basic research into solutions for broadly defined military needs, short of system development. This type of effort may vary from systematic mission-directed research beyond that in basic research to sophisticated breadboard hardware, study, programming, and planning efforts that establish the initial feasibility and practicality of proposed solutions to technological challenges. It includes studies, investigations, and non-system specific technology efforts. The dominant characteristic is that applied research is directed toward general military needs with a view toward developing and evaluating the feasibility and practicality of proposed solutions and determining their parameters. Applied Research precedes system specific technology investigations or development. Program control of the Applied Research program element is normally exercised by general level of effort. Program elements in this category involve pre- Milestone B efforts, also known as Concept and Technology Development phase tasks, such as concept exploration efforts and paper studies of alternative concepts for meeting a mission need.

Advanced research includes development of subsystems and components and efforts to integrate subsystems and components into system prototypes for field experiments and/or tests in a simulated environment. Advanced research includes concept and technology demonstrations of components and subsystems or system models. The models may be form, fit, and function prototypes or scaled models that serve the same demonstration purpose. The results of this type of effort are proof of technological feasibility and assessment of subsystem and component operability and producibility rather than the development of hardware for service use. Projects in this category have a direct relevance to identified military needs.

Advanced research demonstrates the general military utility or cost reduction potential of technology when applied to different types of military equipment or techniques. Advance research programs generally have Technology Readiness Levels of 4, 5, or 6. (For further discussion on Technology Readiness Levels, see the Assistant Secretary of Defense for Research and Engineering’s Technology Readiness Assessment (TRA) Guidance.) Projects in this category do not necessarily lead to subsequent development or procurement phases but should have the goal of moving out of Science and Technology (S&T) and into the acquisition process within the Future Years Defense Program (FYDP). Upon successful completion of projects that have military utility, the technology should be available for transition.

B. Areas of Interest

1. Autonomous Platforms The Army is interested in research in autonomous ground and air vehicles, which must operate in open, urban, and cluttered environments. Robotics and autonomous systems regardless of their missions require similar concepts and technologies including:

a. Ability to move in cluttered, irregular, urban, and underground environments.

b. Ability to move effectively in contested environments and survive attacks.

c. Technologies to enable low electromagnetic and physical profiles.

d. Architectures to enable autonomous learning and adaptation under dynamic conditions.

e. Sensing methods to detect obscured and small targets and to characterize terrain obstacles.

f. Autonomous ground and air structures, propulsion, and mobility components.

g. Technologies to significantly reduce logistical burdens and/or make them autonomous.

h. Ability to have multiple land and air-based platforms collaborate to accomplish complex goals autonomously.

2. Artificial Intelligence and Machine Learning Algorithms (AI/ML) The Army is interested in core algorithmic improvements such as:

a. Scaling machine learning methods to operate on larger data sets in shorter periods of time and/or with reduced computation, memory, and/or power requirements.

b. Improving the data efficiency of learning algorithms (e.g., low-shot, zero- shot learning).

c. Developing foundation models across multiple modalities such as language, vision, and segmentation.

d. Adapting existing foundation models to novel tasks.

e. Improving methods for collecting, labeling, managing, and tracking data and the models learned from them.

3. AI/ML Decision Support The Army is interested in research on AI algorithms and systems to improve decision making across all echelons including:

a. Core reinforcement learning, game theoretic, optimal control algorithms.

b. Algorithms for improved online, operational decision making.

c. Algorithms for improved offline strategic planning including tactics and portfolio optimization of assets.

d. Algorithms for increased autonomy and speed in decision making.

4. Human-AI Integration

The Army is interested in AI/ML research in areas which can reduce the cognitive burden on humans and improve overall performance through human-machine integration. AI/ML research is needed in areas such as:

a. Speech and language algorithms that support more efficient human-machine integration.

b. Algorithms that raise the level of autonomy in systems (i.e., increase the number and size of tasks that can be accomplished without human input and/or reduce the level of details required in human commands to machines).

c. Methods to process and summarize large amounts of data for human analysis.

d. Robust and rigorous methods for evaluating the outputs of complex AI systems.

e. Methods for understanding and explaining AI/ML results and the uncertainty of those results.

f. Understanding the impacts of AI/ML on human decision making.

g. Ethical considerations for human-machine integrated formations in high risk and complex environments.

h. Quantitative approaches to measure ethical compliance of AI systems.

i. Methods to train users and developers at various technical skill-levels to interact and use AI and ML more effectively.

j. Techniques to investigate human and non-human behavior and interactions in various online social settings.

5. Synthetic Environments

The Army is interested in research that enables improved situational awareness and the visualization and navigation of large data sets to enhance operational activities and training and readiness. Research is needed in the visualization of data in following areas:

a. Novel visualization and synthetic environment approaches to enable improved training

b. Synthetic environments and networked instrumentation approaches for virtual-live validation of concepts and prototypes

6. Distributed AI The Army is interested in effectively leveraging modern AI and ML techniques for both enterprise and tactical applications. Research is needed in the areas related to the following:

a. Methods for governing a large portfolio of distributed ML models.

b. Algorithms for efficiently leveraging hardware across a large, heterogeneous network of enterprise and tactical computer systems for various AI and ML tasks.

c. Methods for effective multi-agent collaboration and multi-agent systems.

d. Techniques to attack and compromise AI and ML systems.

e. Techniques and best practices for defending AI and ML models and infrastructure from attacks.

f. Improve ML performance of inference and training on small, rugged edge devices.

g. Cyber protection technologies, methodologies, and concepts to protect Army systems, especially in the context of distributed systems.

7. Underpinning Methodologies The Army is interested in methodologies, frameworks, tools, facilities, techniques, and experimentation concepts, which underpin and enable advanced research and development, including those which enhance the following:

a. Collection, standardization, transformation, and maintenance of data to focus research and validate concepts.

b. Rapid modeling, development, and assessment of technologies across widely distributed research teams.

c. Integrate innovative technology applications into current or future warfighting systems, applications, and analysis systems to assess the potential operational effectiveness of novel new technology elements.

d. Frameworks that integrate testing and evaluation into the artificial intelligence workflow.

8. Special Topics

a. As a part of this BAA, AI2C will post specific areas with strong potential for funding as an amendment to this BAA on SAM.gov. These topics will generally have clear deadlines for submission and may have other specific preparation guidelines.

B. Federal Award Information:

The Army Contracting Command- Rock Island (ACC-RI) has the authority to award a variety of instruments on behalf of AI2C. Anticipated awards may be made in the form of procurement contracts, grants, cooperative agreements, and technology investment agreements (TIAs), or other transactions (OTs). The ACC-RI reserves the right to use 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 white paper or proposal.

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

Procurement contracts awarded by the ACC Rock Island Division will contain, where appropriate, detailed special provisions concerning patent, rights in technical data and computer software, reporting requirements, equal employment opportunity, etc. No fee or profit will be allowed on travel and equipment.

Contracts are primarily governed by the following regulations:

a. Federal Acquisition Regulations (FAR)

b. Defense Federal Acquisition Regulations (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 in which:

a. The principal purpose 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 Department of Defense’s direct benefit or use.

b. Substantial involvement is not expected between the Department of Defense 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 Department of Defense and the recipient when carrying out the activity contemplated by the cooperative agreement. The term does not include "cooperative research and development agreements" as defined in 15 U.S.C. 3710a. No fee or profit is allowed.

4. Technology Investment Agreement (TIA) An assistance instrument as described in 32 CFR Part 37. A TIA may be a cooperative agreement or an Other Transaction for Research under 10 U.S.C.4021 both with provisions tailored for involving commercial firms or research involving commercial application. To the maximum extent practicable, TIAs shall provide for a 50/50 cost share between the Government and the applicant. No fee or profit is allowed on TIAs.

5. Other Transaction A legal instrument, consistent with 10 U.S.C. 4021, which may be used for basic, applied, and advanced research projects. The research covered under this instrument cannot be duplicative of research being conducted under an existing DoD program. To the maximum extent practicable, OTs for research are to 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 an OT for research does not qualify as a “funding agreement” as defined at 37 CFR 401.2(a), the intellectual property provisions of this instrument can be negotiated to provide expanded protection to an applicant’s intellectual property. No fee or profit is allowed on OTs for research. Please refer to the Office of the Under Secretary of Defense for Acquisition and Sustainment Other Transaction Guide version 1.0 dated November 2018 for additional information. This document, along with additional other transaction agreement (OTA) resources, may be accessed at the following link:

https://www.acq.osd.mil/asda/dpc/cp/policy/other-policy-areas.html

6. Grants and cooperative agreements for institutions of higher education, nonprofit organizations, foreign organizations, and foreign public entities

a. Are governed by the following:

b. Federal statutes

c. Federal regulations c. 2 CFR Part 200

d. 2 CFR 1104

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

f. DoD Research and Development General Terms and Conditions

g. 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

a. Are governed by the following:

b. Federal statutes

c. Federal regulations

d. 32 CFR Part 34 - Administrative Requirements for Grants and Agreements with

For-Profit Organizations

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

f. DoD Research and Development General Terms and Conditions

g. Agency-specific Research Terms and Conditions

8. OT/TIAs are primarily governed by the following:

a. Federal statutes

b. Federal regulations https://www.acq.osd.mil/asda/dpc/cp/policy/other-policy-areas.html

c. 32 CFR Part 37 – Technology Investment Agreements

d. DoD Research and Development General Terms and Conditions e. Agency-specific

Research Terms and Conditions

e. Office of Secretary of Defense implementation guidance titled Other Transactions

(OT)

f. Guide for Prototype Projects (November 2018, Version 1

9. 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

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

C. Eligibility Information

1. Eligible Applicants

White Papers and Proposals are sought from institutions of higher education, non-profit organizations, and for- profit organizations, domestic or foreign, for research and development (R&D) in those areas specified in SECTION II. of this BAA. Foreign organization and foreign public entities are advised that security restrictions may apply that could preclude their participation in these efforts. Countries included on the U.S. State Department List of Countries that Support Terrorism are excluded from participation in these efforts.

Government Laboratories, Federal Funded Research and Development Centers (FFRDCs), and U.S. Service Academies are not eligible to participate as prime Contractors or Recipients under this BAA. If a proposal selected for award includes the involvement of a Government laboratory, Federally Funded Research and Development Center, or U.S. Service Academy, award funds allocated for the involvement of Government laboratories, FFRDCs, and/or U.S.

Service Academies will be directly provided from AI2C to the respective Government laboratory, FFRDC or U.S. Service Academy via a Military Interdepartmental Purchase Request (MIPR). No award funds will be channeled directly from a prime awardee (e.g., Contractor or Recipient) to a government laboratory, FFRDC, or U.S. Service Academy.

2. 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 an OT for research or prototype as an award instrument. Cost-sharing requirements may be found at 32 CFR Part 37 and in the DoD Other Transaction Guide for Prototype Projects (DOD Other Transactions Guide | www.dau.edu). Applicants are encouraged to consider cost sharing schemes in cooperation with AI2C.

https://www.dau.edu/cop/ot/documents/dod-other-transactions-guide

III. APPLICATION AND SUBMISSION INFORMATION

Address to View Broad Agency Announcement:

Contract Opportunities (www.sam.gov) Grants.gov (www.grants.gov)

A. Content and Form of Application Submission

1. General Information Completeness of Information: Proposals must include all of the information specified in this BAA to prevent delays in evaluation. Be sure to specify the Commercial and Government Entity (CAGE Code), the DUNS Number, and the Taxpayer Identification Number (TIN) with your submission. Completion of the Representations and Certifications as well as registration in the System for Award Management (SAM) are prerequisites before receiving an award.

Classified Submissions: Do not submit any proposals that include classified information.

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, Applicant’s use of color in proposals should be used only when necessary to convey specific information.

Government Property/Government Furnished Equipment and Facilities: 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.

Post-Employment Conflict of Interest: There are certain post-employment restrictions on former Federal officers and employees, including special Government employees (Section 207 of Title 18, U.S.C.). If an Applicant believes a conflict of interest may exist, the Applicant should discuss the situation with the Army legal counsel.

Statement of Disclosure Preference: Additionally, proposals containing data that is not to be disclosed to the public for any purpose or used by the Government except for evaluation purposes shall include the following statement on their cover page:

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, an award is made to this Applicant as a result of, or in connection with, the submission of this data, the Government shall have the right to http://www.sam.gov/ http://www.grants.gov/ duplicate, use, or disclose the data to the extent provided in the resulting award. This restriction does not limit the Government's right to use information contained in this proposal if the information has been obtained from another source without restriction.

The data subject to this restriction are contained in sheets.

The Applicant shall also mark each sheet of data it wants to restrict with the following legend:

“Use or disclosure of data contained on this sheet is subject to the restriction on the title page of this proposal.”

2. Application Process Overview

The application process is in three stages as follows:

Stage 1- Provide a valid unique entity identifier (formerly DUNS). Please 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). Prospective Applicants must be registered in SAM at https://www.sam.gov prior to submitting its application.

Stage 2 - Prospective Applicants are encouraged, but not required, to submit White Papers prior to the submission of a complete proposal. The purpose of submitting a White Paper is to minimize the labor and cost associated with the production of a detailed proposal that has little chance of being selected for funding.

Stage 3 - Interested Applicants are required to submit a proposal. All proposals submitted under the terms and conditions cited in this BAA will be reviewed regardless of whether an Applicant submitted a White Paper.

3. White Paper Preparation

A White Paper should focus on describing details of the proposed research, including how it is innovative and how it could substantially advance the state of the science. Army relevance and potential impact should also be described, as well as a rough estimate of total cost and time required for the proposed effort. White Papers should present the effort in sufficient detail to allow evaluation of the concept's technical merit and its potential contributions to the Army mission.

A White Paper must be limited to three pages including a cover page.

All files and forms must be compiled into a single PDF file or MS Word document before submitting. Reviewers will not review any pages beyond the 3-page limit.

TECHNICAL INFORMATION FOR A WHITE PAPER:

Technical Approach: A brief discussion of the effort's scientific research objectives, approach, relationship to similar research, and level of effort. If known, include how the research is relevant to the Army.

Timeline: An estimated research timeline mapped to the research objectives described in the technical approach.

Cost Estimate: The cost portion of the whitepaper shall contain a brief cost estimate including research hours, burden, material costs, travel, etc.

Collaborators: Include the key collaborators, principal investigators, and institutions that will contribute to the research.

RESTRICTIVE MARKINGS ON WHITE PAPERS:

The Applicant must clearly identify and mark any proprietary data the Applicant intends to be used only by the Government. The Applicant must also identify any technical data or computer software contained in the White Paper that is to be treated by the Government as limited rights or restricted rights, respectively. In the absence of such identification, the Government will assume to have unlimited rights to all technical data or computer software presented in the White paper.

An Applicant is cautioned, however, that portions of a White Paper may be subject to release under terms of the Freedom of Information Act, 5 U.S.C. 552, as amended.

4. White Paper Submission

A White Paper of the proposed effort may be submitted electronically to ai2c_baa_submissions@army.mil. A with e-mail subject line “AI2C BAA White Paper | W2P1J-21-B-AI2C | Technical Area: <Autonomous Platforms>” with the appropriate areas filled in with information specific to your research.

An Applicant preparing a White Paper for submission may follow any convenient format desired if the submission complies with guidance above in Section 3, “White Paper Submission.” Please enclose an e-mail address and a telephone number where you can be reached.

5. Review of White Papers

TPOCs will receive and consider all whitepapers submitted. A response will be provided if the Government encourages the offerer to submit a proposal. The Government will not provide a response if the Government does not want the offerer to submit a proposal.

6. Preparation of Proposals

PROPOSAL PREPARATION INSTRUCTIONS:

General Information: The proposal is the only vehicle available to the Applicant for receiving consideration for award. The proposal must stand on its own merit; only information provided in the proposal can be used in the evaluation process leading to an award. The proposal should be prepared simply and economically, providing straightforward, concise delineation of capabilities necessary to perform the proposed work. The technical volume must be accompanied by a fully supported cost volume as cost and technical considerations are reviewed simultaneously; the cost volume should assume a start date of no earlier than 01 November 2023. In preparing proposals, it is important that the Applicant keep in mind the characteristics of a proposal acceptable for evaluation. A proposal must include all the information specified in this announcement in order to receive consideration.

All proposals must include:

a. An Abstract, Background, Application Potential, Technical Approach, Reference List, Curriculum Vitae/Resumes of proposed researchers, and cost information, as described below.

b. Contact information such as e-mail addresses and telephone numbers for both the

Principal Investigator and Institutional Representative to allow technical and contracting questions to be addressed.

c. Institutional endorsement, signature of the proposed Principal Investigator, time frames for all phases of the project, and detailed accounts of proposed work and cost by task.

d. Provide the name, address, and phone number of Applicant’s cognizant Defense

Contract Audit Agency (DCAA) office, if known. All Applicants must be registered in the System for Award Management (SAM) before an award can be made.

Applicants must also provide their DUNS number (Duns and Bradstreet Data Universal Numbering System).

e. Proposals should be very well written, and Applicant’s intention should be clear to technical reviewers who, while having expertise in behavioral sciences, may lack concentrated knowledge in the proposed domain. Proposals should be sufficiently detailed to be responsive to the criteria, described below, for evaluation.

7. Proposal Format and Content

To ensure all proposals receive proper consideration, the Government-recommended proposal format shown below (Volume I Technical) should be followed. This format can most easily be incorporated as the proposal table of contents and serves as a final checklist as well. Proposals must address at least one of the domains for basic or applied/advanced research cited in SECTION II. A of this BAA.

Proposal documents (excluding illustrations, tables, and required forms) must use the following page format:

• Page Size – 8 ½ x 11 inches

• Margins – 1 inch

• Spacing – single

• Font – Times New Roman, 12 point

NOTE: The Abstract, Background, Application Potential and Technical Approach sections of a proposal, including any appendices, tables, or figures, must be no greater than 23 pages in length. (The cover page, table of contents, proposal reference list, curriculum vitae, cost information and institutional information are not included in the 23-page limit). Reviewers will not review any pages beyond the 23-page limit.

VOLUME I – TECHNICAL

i. Cover Page

ii. Table of Contents

iii. Abstract

1. Background

2. Application Potential

3. Technical Approach

4. Reference List

5. Curriculum Vitae/Resumes of Key Personnel i Cover Page: A cover page is required. Proposals will not be processed without:

A SF 424 R&R Form (required for assistance agreement proposals submitted online via Grants.gov (see section 8- Submission of Proposals).

NOTE: If an Applicant elects to submit a contract proposal via Grants.gov instead of via e-mail, the SF 424 R&R Form is required. Proposals for Grants or cooperative agreements only require the SF 424 R&R Form.

The cover page should include the BAA number, Research Area(s) of Interest, name, and telephone number for the principal points of contact (both technical and contractual), proposed project title, and any other information that identifies the proposal. The cover page should also contain the proprietary data disclosure statement, if applicable (ARO FORM 52 or 52A). The title of the proposed project should be brief, scientifically representative, intelligible to a scientifically literate reader, and suitable for use in the public domain. Should the project be carried out at a branch campus or other component of the submitting organization, that branch campus or component should be identified in the space provided (Block 12 on the SF 424 R&R).

To evaluate compliance with Title IX of the Education Amendments of 1972 {20 U.S.C. A§ 1681 Et. Seq.), the Department of Defense is collecting certain demographic and career information to be able to assess the success rates of women who are proposed for key roles in applications in STEM disciplines. To enable this assessment, each application must include the following forms completed as indicated.

Research and Related Senior/Key Person Profile (Expanded) form:

The Degree Type and Degree Year fields on the Research and Related Senior/Key Person Profile (Expanded) form will be used by DoD as the source for career information. In addition to the required fields on the form, applicants must complete these two fields for all individuals that are identified as having the project role of PD/Pl or Co-PD/Pl on the form. Additional senior/key persons can be added by selecting the "Next Person" button.

Research and Related Personal Data form:

This form will be used by DoD as the source of demographic information, such as gender, race, ethnicity, and disability information for the Project Director/Principal Investigator and all other persons identified as Co-Project Director{s)/Co-Principal Investigator(s). Each application must include this form with the name fields of the Project Director/Principal Investigator and any Co-Project Director(s)/Co-Principal Investigator(s) completed; however, provision of the demographic information in the form is voluntary. If completing the form for multiple individuals, each Co-Project Director/Co-Principal Investigator can be added by selecting the "Next Person" button. The demographic information, if provided, will be used for statistical purposes only and will not be made available to merit reviewers. Applicants who do not wish to provide some or all of the information should check or select the "Do not wish to provide" option.

The proposed duration for which support is requested should be consistent with the nature and complexity of the proposed activity and associated budget. The Federal awarding agency reserves the right to make awards with shorter or longer periods of performance. Specification of a desired starting date for the project is important and helpful. However, requested effective dates cannot be guaranteed.

Pursuant to 31 U.S.C. 7701, as amended by the Debt Collection Improvement Act of 1996 [Section 31001(I)(1), Public Law 104-134], Federal agencies shall obtain each awardee’s Taxpayer Identification Number (TIN). This number may be the Employer Identification Number (EIN) for a business or non-profit entity or the Social Security Number for an individual. The TIN is being obtained for purposes of collecting and reporting on any delinquent amounts that may arise out of an awardee’s relationship with the Government.

Applicants must provide their organization's Data Universal Numbering System (DUNS) number. The DUNS number is a nine-digit number assigned by Dun and Bradstreet Information Services.

Applicants must provide their assigned Commercial and Government Entity (CAGE) code.

The CAGE code is a 5-character code assigned and maintained by the Defense Logistics Service Center (DLSC) to identify a commercial plant or establishment.

ii Table of Contents:

Use the following format for the Table of Contents. Forms are available at https://www.arl.army.mil/business/broad-agency-announcements/baa-forms/

It is highly recommended that the Applicant follow the above table of contents (Volume I, “Technical”) and use it for a final quality-control checklist.

iii Abstract:

The abstract allows the Applicant to present briefly and concisely the important aspects of its proposal. It should summarize the proposed research objectives, expectations, and the basic approaches to be used in the proposed effort. The abstract must identify implications for applied research if the project is successful. The abstract should be 250 words or less. Abstracts longer than 250 words will not be read.

1. Background: This section should describe the research problem, discuss relevant theory, and summarize existing research. It is important that the proposal identify specific, relevant hypotheses following discussion of theory. When integrating theories or research domains, an overarching framework supporting such integration should be described.

When appropriate, a graphic depiction of the conceptual model and hypotheses may be provided.

2. Technical Approach: The technical approach should follow and expand upon the background section and provide a detailed description of the proposed research. This account should be much like the methods section of a research paper. The technical approach should include: a description of the data to be collected, the methods for collecting the data, the number and source of participants (e.g., using power analysis) and how they will be acquired, the research design, the measures to be used, and the analysis plan. Proposals for secondary research (e.g., meta- analyses) should provide estimates of the likely number of primary studies and/or effects available in the research literature for analysis. If the intermediate or final product of research will include training packages, simulation models, or other software-based device, the proposal should relate the product to the research hypotheses and provide sufficient detail to permit understanding and evaluation.

The technical approach should detail and set a schedule for the major tasks to be performed and products to be produced. In the case of a one-year proposal, the research plan should be divided by quarters of the year. In the case of multi-year proposals, it should be divided semi-annually or by major tasks within a year. The technical approach should specifically identify what tasks will be performed by which party and why each subcontractor, if any, https://www.arl.army.mil/business/broad-agency-announcements/baa-forms/ https://www.arl.army.mil/business/broad-agency-announcements/baa-forms/ was selected to perform its task(s).

3. Technical Discussion: No technical approach is without its limitations or shortcomings. Every issue should be identified and compared with the successes/failures of previous approaches. A trade-off analysis is a good way to make this comparison and should be supported by theory, simulation, modeling, experimental data, or other sound engineering and scientific practices. If the Offeror has a "new and creative" solution to the problem(s), that solution should be developed and analyzed in this section. The preferred technical approach should be described in as much detail as is necessary or useful to establish confidence in the approach. The technical discussion should include the following:

• A complete discussion stating the background and objectives of the proposed work, the scientific approaches to be considered, the relationship to competing or related research, and the level of effort to be employed; include the nature and extent of the anticipated results and how they will significantly advance the scientific state-of-the- art; if known, include the manner in which the work will contribute to the accomplishment of the Army's mission; ensure the proposal identifies any scientific uncertainties and describes specific approaches for the resolution of the uncertainties

• A brief description of your organization

• The names of other Government agencies or other parties receiving the proposal and/or funding the proposed effort (if none, so state); concurrent or later submission of the proposal to other organizations will not prejudice its review by AI2C if we are kept informed of the situation

• A statement regarding possible impact, if any, of the proposed effort on the environment considering as a minimum its effect upon water, atmosphere, natural resources, human resources, and any other values

• The Offeror shall provide a statement regarding the use of Class I and Class II ozone-depleting substances. Ozone-depleting substances mean any substance designated as Class I by the Environmental Protection Agency (EPA), including but not limited to chlorofluorocarbons, halons, carbon tetrachloride, and methyl chloroform and any substance designated as Class II by EPA, including but not limited to hydrochlorofluorocarbons. See 40 C.F.R. Part 82 for detailed information. If Class I or II substances are to be utilized, a list shall be provided as part of the Offeror's proposal. If none, so state.

• Requested support (if any) in the following areas: facilities, equipment, and

Materials. Requests for Government Support: The type of support, if any that the Applicant requests of the Government (such as facilities, equipment, demonstration sites, test ranges, software, personnel, or materials) shall be identified as Government Furnished Equipment (GFE), Government Furnished Information (GFI), Government Furnished Property

(GFP), or Government Furnished Data (GFD). Applicant shall indicate any Government coordination that may be required for obtaining equipment or facilities necessary to perform any simulations or exercises that would demonstrate the proposed capability.

4. Reference List: All cited references must be listed. Do not include publications that are not referenced. The references list must be in American Psychological Association format, APA 6th Edition.

5. Curriculum Vitae/Resumes of Key Personnel: Curriculum vitae or résumés should be included for all proposed researchers with special emphasis on the Principal Investigator, Co-Principal Investigator(s), and Consultants; documents are limited to five (5) pages per investigator to include name, brief biography, and list of recent, relevant publications.

VOLUME II – COST

The cost volume shall justify the need for and amount of major direct expense categories, including (but not limited to) labor, equipment, and travel. The cost estimate for the proposed effort should sufficiently detail elements of cost and the need for these items to allow for meaningful evaluation. The cost volume should clearly and closely align with the planned methodology presented in the technical approach section. A cost estimate should be detailed for each task of the proposed work and should include the following:

a. A complete detail of direct labor to include, by category, labor hours and rates

b. Fringe benefits rate and base

c. An itemized list of equipment showing cost of each item and justification for inclusion

d. Description and cost of expendable supplies

e. Complete detail of travel to include number of people and duration of travel, reason/need for travel, destination, airfare, per diem, rental car, etc. Note that in recent years, travel costs for one conference per year to present work from the funded research effort has been a typical request

f. Complete detail of any subcontracts to include labor categories, skill levels, and labor rates and hours

g. Other direct costs (reproduction, computer, etc.)

h. Indirect cost rates and bases with an indication whether rates are fixed or provisional and the time frame to which they are applied

i. Proposed fee, if any and if applicable

j. Cost sharing, if any and if applicable

k. Any documentation which supports all items above

i. Applicants should furnish the name and telephone number of their cognizant audit agency

COST PROPOSAL PREPARATION:

1. Cost Reimbursement or Fixed Price Award: Selection of the type of award (cost reimbursement or fixed price) is based upon various factors, such as (1) award instrument selected, (2) type of research to be performed, (3) the contractor's experience maintaining cost records, and (4) the ability to detail and allocate proposed costs and performance of the work.

Cost-type awards are most commonly used because of their suitability in supporting research and development efforts as they permit some flexibility in the redirection of efforts due to recent research experiment results or changes in Army guidance. Fixed-price-type awards are used when the research project costs can be estimated accurately, the services to be rendered are reasonably definite, and the amount of property, if any, is fixed. The negotiated price is not subject to any adjustment on the basis of the Applicant’s cost experience in performing the contract. An Applicant may propose either cost-reimbursable or fixed-price contract arrangements as well as assistance awards, but the award type may vary in accordance with relevant factors as determined by AI2C and ACC Rock Island contracting. Cooperative Agreement awards will be cost reimbursable without profit or fee.

2. Cost Proposal Content: A proposal should represent an Applicant’s best response to the solicitation, including cost information. Any inconsistency, whether real or apparent, between promised performance and cost or price data must be fully explained in the proposal. Failure to explain any significant inconsistencies may demonstrate an Applicant’s lack of understanding of the nature and scope of the work required. Accordingly, the cost volume must be sufficient to establish the reasonableness, realism, and completeness of the proposed cost/price. Further, any modifications made to the initial proposal resulting in a change in the cost volume must likewise be thoroughly supported in writing regardless of whether such changes are made during negotiations or at the time of a proposal revision. The estimate should be detailed for each task of the proposed work. The cost volume should be limited to the minimum number of pages necessary to satisfy the specific requirements set forth herein. Submission of volumes of computer-generated data to support the cost volume is not necessary or desired. If computer-generated data is essential to support the cost volume, it may be submitted as an addendum and must be clearly cross-referenced to the material it supports in the cost volume.

Each proposal must contain a budget for each year of support requested and a cumulative budget for the full term of requested support. The proposal may list funds under any of the categories listed so long as the item is considered necessary to perform the proposed work and is not precluded by applicable cost principles. In addition to the forms, the budget should include no more than five (5) pages of budget justification narrative for each year.

A signed summary budget page must be included. The documentation pages should be titled "Budget Explanation Page" and numbered chronologically starting with the budget form. The need for each cost element should be explained clearly.

All cost data must be current and complete. Costs proposed must conform to the following principles and procedures:

Before award it must be established that an approved accounting system and financial management system exist for an Applicant.

The following specific information is required:

a. Summary by cost element and profit or fee for total proposal (NOTE: Profit/Fee not allowed for grants, cooperative agreements, or technology investment agreements for the prime…