Attach-5_Admin and Natl.Policy.Reqts._ FINAL.docx

INSTRUCTIONS: ADMINISTRATIVE AND NATIONAL POLICY REQUIREMENTS

The Administrative and National Policy Requirements submission must be completed as specified below as part of the white paper and proposal submission. Do not delete any portion of the submisison document.

All pages shall be formatted for printing on 8-1/2 by 11-inch paper with 1-inch margins and font size not smaller than 11 point. Font sizes not smaller than 8 point may be used for figures, tables, and charts.

The Administrative and National Policy Requirements document must be in .pdf, .odx, .doc, or .docx formats. Submissions must be written in English. No page limit has been specified for the Administrative and National Policy Requirements document.

Note that any revisions in the proposed activities between white paper and proposal submission should be updated in the document when resubmitting if in response to a request for proposal/solution.

Remove these instructions prior to saving and sending the document.

Guidance for use in completing the document:

1) Eligible Offerors/Applicants.

All qualified offerors who meet the requirements of this BAA are eligible to submit a white paper. Eligible organizations include:

· Domestic Private industry (large and small businesses)

· Domestic accredited colleges, universities or institutions of higher learning registered by the U.S. Department of Education

· Domestic Non-profit organizations; and

· Domestic Commercial and/or nontraditional defense contractors Government Entities (e.g. Government/National laboratories, militarily educational institutions, etc.) interested in this announcement are directed to email the Contracting Officer for further information.

Federally Funded Research Development Centers (FFRDCs) are not prohibited from responding to this announcement. However, the FFRDC’s sponsoring agency must first make a determination that the effort being proposed falls within the purpose, mission, general scope of effort, or special competency of the FFRDC, and that determination must be included in the FFRDC’s response. In addition, the non-sponsoring agency must make a determination that the work proposed would not place the FFRDC in direct competition with domestic private industry. Only after these determinations are made would a decision be made concerning the FFRDC’s eligibility to receive an award should they be selected to proceed to Step-Two.

All interested parties, including FFRDC’s, should pay particular attention to the Organizational Conflict of Interest (OCI) definition, requirements and restrictions described below.

All research areas require the Principal Investigator (PI), Program Manager (PM) or Team Lead to hold U.S. citizenship. Additionally, TRMC and the contracting office approvals are required for any non-U.S. citizens to perform on any efforts proposed under this announcement.

Nontraditional Status:

The offeror shall provide its nontraditional business status or its ability to meet the eligibility requirements of 10 U.S.C. §2371b. The offeror shall clearly identify and support one of the following award eligibility requirements – with appropriate justification, as applicable.

· There is at least one nontraditional defense contractor or nonprofit research institution participating to a significant extent in the project. (Ref: 10 U.S. Code § 2371b(a)(d)(1)(A))

· All significant participants in the transaction other than the Federal Government are small businesses or nontraditional defense contractors. (Ref: 10 U.S. Code § 2371b(a)(d)(1)(B))

· At least one-third of the total cost of the prototype project is to be paid out of funds provided by parties other than the Federal Government. (Ref: 10 U.S. Code § 2371b(a)(d)(1)(C))

If the offeror is not a nontraditional defense contractor (NDC) additional information is needed. Offeror shall provide the name and CAGE code information for the NDC participating in the prototype project. Additionally, the offeror shall provide what portion of the work the NDC is performing and an explanation of the significance of the NDC’s contribution to the prototype project.

Definition of Nontraditional Defense Contractor - an entity that is not currently performing and has not performed, for at least a one-year period preceding the solicitation of sources by the Department of Defense (DoD) for the procurement or transaction, any contract or subcontract for the DoD that is subject to full coverage under the cost accounting standards prescribed pursuant to 41 U.S.C §1502 and the regulations implementing such section.

2) Organizational Conflicts of Interest The Organizational Conflict of Interest (OCI) rules, procedures and responsibilities described in FAR 9.5 “Organizational and Consultant Conflicts of Interest”, FAR 3.101-1 “Standards of Conduct – General, and DFARS 209.5 “Organizational and Consultant Conflicts of Interest,” are applicable to the Offeror, any affiliate or successor-in-interest, as well as any co-sponsor, joint-venture partner, consultant, subcontractor or other entity participating in the performance of any effort under this BAA. FAR subpart 9.5, “Organizational and Consultant Conflicts of Interest” and DFARS Subpart 209.5, “Organizational and Consultant Conflicts of Interest” prescribe responsibilities, general rules, and procedures for identifying, evaluating, and resolving OCIs. In addition, FAR 3.101-1 “Standards of Conduct – General” addresses unfair competitive advantages that can result from contractors hiring former Government employees. (See also Health Net Fed. Svcs, B-401652.3). It is Government policy to ensure all appropriate measures are taken to resolve OCIs arising under FAR 9.5 and unfair competitive advantages arising under FAR 3.101-1 to prevent the existence of conflicting roles that might bias a contractor’s judgement and deprive the Government of objective advice or assistance, and to prevent contractors from gaining an unfair competitive advantage.

In addition, TRMC has an OCI policy that prohibits contractors/performers from concurrently providing Scientific Engineering Technical Assistance (SETA), Advisory and assistance Services (A&AS) or similar support services and being a technical performer. Therefore, as part of the disclosure requirement above, an offeror must affirm whether the offeror or any proposed team member (sub-awardee, consultant) is providing SETA, A&AS, or similar support to any TRMC office(s) under: (a) a current award or sub-award; or (b) a past award or sub-award that ended within one calendar year prior to the proposal’s submission date. If SETA, A&AS, or similar support is being or was provided to any TRMC office(s), the proposal must include:

· The name of the TRMC office receiving the support;

· The prime contract number;

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

· An OCI mitigation plan in accordance with FAR 9.5.

All offerors must identify and analyze any potential or actual Organizational Conflicts of Interest (OCIs) that exist as a result of responding to this announcement. If a white paper is identified for potential award of a FAR-based contract or negotiation of a non-FAR-based instrument, offerors will be required to disclose, in writing to the ACC Orlando Contracting Officer, for themselves and any proposed subcontractors. Based on the information submitted, as well as additional information requested by TRMC (if necessary), ACC Orlando will conduct an OCI analysis prior to award of a FAR-based contract or negotiation of a non-FAR-based instrument.

3) Disclosure of Information and Compliance with Safeguarding Covered Defense Information Controls All offerors are advised that any awards resulting from this announcement may include regulations related to the restricted release of unclassified information should the awardee have access to or generate unclassified information that may be sensitive and inappropriate for release to the public. Awards may also be subject to certain security requirements in regards to safeguarding covered defense information.

a) Export Control Requirements The research topics in this announcement may cover export-controlled technologies that are subject to U.S. Export Control laws (ITAR 22 CFR 120-130 and/or EAR 15 CFR 730-774). Offerors are advised the proposed performance of any foreign nationals (FNs) may be restricted due to the nature of the technical data. Offerors must disclose any proposed use of FNs, their country(ies) of origin, the type of visa or work permit possessed, and the tasks intended for accomplishment by the FN.

b) Controlled Unclassified Information (CUI) and Controlled Technical Information (CTI) on Non-DoD Information Systems Offerors and awardees are subject to the DoD requirements related to protection of CUI and CTI IAW Executive Order 13556, Controlled Unclassified Information, DFARS 252.204-7000, Disclosure of Information, DFARS 252.204-7012, Safeguarding Covered Defense Information and Cyber Incident Reporting, DoD Instruction 5200.48, Controlled Unclassified Information, DoD Instruction 8582.01, Security of Non-DoD Information Systems Processing Unclassified Nonpublic DoD Information.

CUI is defined as unclassified information that requires safeguarding or dissemination controls, pursuant to and consistent with applicable law, regulations, and Government-wide policies.

Controlled Technical Information (CTI) is defined as technical information with military or space application that is subject to controls on its access, use, reproduction, modification, performance, display, release, disclosure, or dissemination. The term CTI does not include information that is lawfully publicly available without restrictions.

DoD considers “technical information” to be technical data or computer software, as those terms are defined in Defense Federal Acquisition Regulation Supplement clause 252.227-7013, "Rights in Technical Data - Noncommercial Items" (48 CFR 252.227-7013). Examples of technical information include research and engineering data; engineering drawings and associated lists; specifications, standards, process sheets, manuals, technical reports, technical orders, catalog item identifications, data sets, studies and analyses and related information; and computer software code. Note that such technical information may or may not be controlled (i.e., CTI), depending on whether it has military or space application.

Offerors should indicate in their proposal if their proposed solution includes CUI. All white papers and proposals indicating CUI requirements must include a draft CUI protection plan in this document detailing how CUI will be protected at performance sites as well as subcontractor locations. The draft CUI protection plan is not a source selection criterion, and there is no page limit. During selection and negotiation, TRMC will determine additional requirements and clarification required of the CUI protection plan. Potential award instruments for solicitation responses containing CUI will be limited to contracts or Other Transactions.

Per Enclosure 3 - Proposal Submission Requirements, the offeror should include a Statement of Work with a breakdown of all research tasks and subtasks and indicate the proposed classification for each. For all tasks and subtasks proposed to be unclassified, offerors should distinguish where work proposed would be CUI. If CUI tasks are proposed in the Statement of Work, offerors must provide a plan for protecting Controlled Unclassified Information as part of this document:

Unless otherwise specified, CTI is to be marked “DISTRIBUTION C. Distribution authorized to U.S. Government agencies and their contractors; Critical Technology; [current date]. Other requests for this document shall be referred to TRMC, T&E/S&T Program Manager” in accordance with Department of Defense Instruction 5203.24, “Distribution of Statements on Technical Documents.”

More information regarding DoD CUI is located at:

https://www.dodcui.mil All non-DoD entities doing business with TRMC are expected to adhere to the following procedural safeguards, in addition to any other relevant federal or DoD specific procedures, for submission of any offers to TRMC and any potential business with TRMC:

· Do not process TRMC CUI on publicly available computers or post TRMC CUI to publicly available webpages or websites that have access limited only by domain or Internet protocol restriction.

· Ensure that all TRMC CUI is protected by a physical or electronic barrier when not under direct individual control of an authorized user and limit the transfer or TRMC CUI to subcontractors or teaming partners with a need to know and commitment to this level of protection.

· Ensure that all TRMC CUI is only processed on information technology systems meeting NIST SP 800-171 or DoDI 8582.01 requirements.

· Ensure that TRMC CUI on mobile computing devices is identified and encrypted and all communications on mobile devices or through wireless connections are protected and encrypted.

· All wireless telephone transmission of CUI will be avoided when there are other options available.

· Sanitize or destroy media containing CUI before disposal or release for reuse in accordance with NIST SP 800-88.

4) Publication Requirements and Acknowledgement The Government has research paper publication/presentation review requirements on technology developed and/or experimental results achieved through work performed on contracts resulting from this BAA. Information or technology developed by efforts awarded under this BAA must be reviewed to ensure adherence to regulations concerning the release of Military Critical Technology List (MCTL) and/or International Traffic in Arms Regulations (ITAR) sensitive materials, as well as CUI.

There shall be no dissemination or publication, except within and between the contractor and any subcontractors, of information developed under this contract or contained in the reports to be furnished pursuant to this contract without prior written approval of the Test Technology Area’s Executing Agent. All technical reports will be given proper review by appropriate authority to determine which distribution statement is to be applied prior to the initial distribution of these reports by the contractor.

All papers, presentations, and/or abstracts intended for publication must be submitted to the respective Contracting Officer (for review by the Test Technology Area’s Executing Agent) no later than 30 days prior to requested dissemination. This deadline will allow sufficient time for review and approval through security and public release processes. Government agencies conducting work funded/awarded under this BAA must follow the processes established within/by the represented agency. Each submission must be accompanied by the following content:

a) Statement of Review: a statement specifically addressing the author’s review of applicability or sensitivity of publication material to regulations concerning the release of CUI, MCTL, and/or ITAR.

b) Document Information: document title, document author, short plain-language description of technology discussed in the material (approx. 30 words), number of pages (or minutes of video), and document type (e.g., briefing, report, abstract, article, or paper)

c) Event Information: event type (conference, principal investigator meeting, article, or paper), event date, desired date for TRMC’s approval;

The Executing Agent is required to review and comment for revision, if necessary, based on Government operational security, appropriate distribution statement, public release considerations, and acknowledgement of the TRMC T&E/S&T Program and contracting officer. The author will then be informed, by the Contracting Officer, of the above and the release approval status. The Government has the option of approving or disapproving public release (if designated changes are not addressed). Historically, papers/abstracts are approved with only minor changes and do not affect the technical content of the submission.

Academic institutions are advised that R&D performed as a result of this BAA is funded with Budget Activity 3 funds for Advanced Technology Development (Non-Fundamental Research). Projects selected for award under this BAA contain contractual requirements — the projects are NOT Government grants to conduct fundamental research. Contracted Fundamental Research includes grants and contracts (a) funded by Budget Activity 1 (Basic Research) or (b) funded by Budget Activity 2 (Applied Research). Research shall not be considered fundamental in those circumstances where there is a likelihood of disclosing performance characteristics of military systems or manufacturing technologies unique and critical to military defense. Thus, all efforts selected under this BAA shall require compliance with the Publication Review process outlined above. Academic institutions are not exempt from this requirement. This requirement shall also flow down to subcontractors.

END OF INSTRUCTIONS

ATTACHMENT 5: W900KK-22-R-0012

SOURCE SELECTION INFORMATION – SEE FAR 2.101 AND 3.104

TRMC T&E/S&T BAA Attachment 5 Instructions: page 1

[PRIME ORGANIZATION LOGO]

ADMINISTRATIVE AND NATIONAL POLICY REQUIREMENTS SUBMISSION

Proposal Title

Proposer Organization

Test Technology Area

Domain Number and Name

Topic Number and Name

Proposer Reference Number, if any

Address:

Telephone:

Email:

Address:

Telephone:

Email:

Place(s) of Performance

Period(s) of Performance

Months

Organization:

Organization Type:

Year 2: $ Year 3: $ Year 4: $ Total: $

Data Universal Numbering System (DUNS) number[endnoteRef:1] [1:

The DUNS number is used as the contractor identification code for all Government procurement-related activities. Go to http://fedgov.dnb.com/webform/index.jsp to request a DUNS number (may take at least 1 business day). ]

Taxpayer identification number (TIN)[endnoteRef:2] [2: See https://www.irs.gov/individuals/international-taxpayers/taxpayer-identification-numbers-tin for information on requesting a TIN. Note, requests may take from 1 business day to 1 month depending on the method (online, fax, mail).]

Commercial and Government Entity (CAGE) code[endnoteRef:3] [3: A CAGE Code identifies companies doing or wishing to do business with the Federal Government. ]

Administration Office POC at Defense Contract Management Agency (DCMA)[endnoteRef:4] or Office of Naval Research (ONR)[endnoteRef:5], if known [4: https://pubapp.dcma.mil/CASD/CasdSearch.do.] [5: http://www.onr.navy.mil/Contracts-Grants/Regional-Contacts.aspx.]

Name:

Address:

Telephone:

Audit Office POC at Defense Contract Audit Agency (DCAA)[endnoteRef:6], if known [6: http://www.dcaa.mil/Home/Locator?title=Locator]

Name:

Address:

Telephone:

Date Proposal was Prepared

Proposal Validity Period (minimum 180 days)

TABLE OF CONTENTS

ATTACHMENT 5: W900KK-22-R-0012

SOURCE SELECTION INFORMATION – SEE FAR 2.101 AND 3.104

TRMC T&E/S&T BAA Attachment 5: page 7 Team Member Identification [Provide a list of all team members including the prime, sub-awardee(s), and consultant(s), as applicable. Identify specifically whether any are a non-US organization or individual, FFRDC and/or Government entity. Use the following format for this list.] Prime

Non-U.S. Individual: ☐ Yes ☐ No FFRDC: ☐ Yes ☐ No Government Entity: ☐ Yes ☐ No

Subawardees/Consultants

Non-U.S. Individual: ☐ Yes ☐ No FFRDC: ☐ Yes ☐ No Government Entity: ☐ Yes ☐ No

Non-U.S. Individual: ☐ Yes ☐ No FFRDC: ☐ Yes ☐ No Government Entity: ☐ Yes ☐ No

Requirements for teams that include Government Entities and/or Federally Funded Research and Development Centers (FFRDCs) Are any of the team member organizations (prime or subawardee) a Government entity or FFRDC? ☐ No ☐ Yes [If yes, provide the information outlined below in accordance with BAA Section III.]

a. Proof of Eligibility to Propose [Provide documentation citing the specific authority that establishes the applicable team member’s eligibility to propose to Government solicitations; include: (1) statutory authority; (2) contractual authority; (3) supporting regulatory guidance; and (4) evidence of agency approval for applicable team member participation. For FFRDCs, this documentation must be in the form of a letter on official letterhead from their sponsoring organization and must also include a statement of compliance with the terms and conditions of the associated FFRDC sponsor agreement, as applicable.] Army Contracting Command - Orlando (ACC-O) does not consider 15 U.S.C. § 3710a to be sufficient legal authority to show eligibility. While 10 U.S.C.§ 2539b may be the appropriate statutory starting point for some entities, specific supporting regulatory guidance, together with evidence of agency approval, will still be required to fully establish eligibility. ACC-O will consider FFRDC and Government Entity eligibility submissions on a case-by-case basis; however, the burden to prove eligibility for all team members rests solely with the proposer.]

b. Statement of Unique Capability [Provide a statement that demonstrates the work to be performed by the Government entity or FFRDC team member is not otherwise available from the private sector.] Representations Regarding Unpaid Delinquent Tax Liability or a Felony Conviction under Any Federal Law [Per FAR 52.209-11, complete the following statements.] The Offeror represents that –

(i) It is [ ] is not [ ] a corporation that has any unpaid Federal tax liability that has been assessed, for which all judicial and administrative remedies have been exhausted or have lapsed, and that is not being paid in a timely manner pursuant to an agreement with the authority responsible for collecting the tax liability,

(ii) It is [ ] is not [ ] a corporation that was convicted of a felony criminal violation under a Federal law within the preceding 24 months.

Organizational Conflict of Interest Affirmations and Disclosure [In accordance with Enclosure 5: Administrative and Policy Requirements and document instructions, provide the following information.]

a. Are any of the proposed individual team members or their respective organizations (whether prime or subawardee or consultant) currently providing SETA, A&AS or similar support to TRMC? ☐ No ☐ Yes [For items b and c below OCI mitigation plans at a minimum shall address a tailored mitigation plan proposing exactly how the OCI can be mitigated during performance and also address the following criteria as background for the Contracting Officer’s evaluation:

· Who – who does the OCI reside with (e.g., prime, subcontractor, team member)?

· What – what is the exact nature of the OCI and its implications?

· Where – where is the OCI apparent (e.g., specific portion of work effort, development of product, design effort, integration, relationship of the contracting parties, prior work efforts)?

· When – when was the OCI discovered or when is it deemed to exist?

· Why – why does this situation meet the definition for an OCI (see FAR 9.5, 9.508)?]

b. Did any of the proposed individual team members or their respective organizations (whether prime or sub-awardee or consultant) provide SETA, A&AS or similar support to TRMC within one calendar year of this proposal submission? ☐ No ☐ Yes

[If you answered “Yes” to 3.a OR 3.b, provide the following information for each applicable team member:

· The name of the TRMC office receiving the support;

· The prime contract number;

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

· An OCI mitigation plan in accordance with FAR 9.5., or if OTA is proposed, in accordance with common and prudent business practice]

c. Are there any other potential Organizational Conflicts of Interest involving any of the proposed individual team members or their respective organizations (whether prime or sub-awardee or consultant)? ☐ No ☐ Yes [If yes, provide the following information for each applicable team member:

· Identification of applicable team member; and

· An OCI mitigation plan in accordance with FAR 9.5., or if OTA is proposed, in accordance with common and prudent business practice] Intellectual Property (IP) In accordance with Enclosure 5: Administrative and Policy Requirements and document instructions,, provide the following information, as applicable. Note: the Government shall be entitled to unlimited rights to all IP not explicitly identified as restricted in the proposal.

a. Technical Data and Computer Software This is addressed in Attachment 4 – Data Rights Assertions for use with technical evaluators.

b. Patents Does the proposed effort involve using patented inventions that are owned by or assigned to the proposing organization or individual? ☐ No ☐ Yes [If yes, provide documentation proving ownership or possession of appropriate licensing rights to all patented inventions to be used for the proposed project. If a patent application has been filed for an invention, but it includes proprietary information and is not publicly available, provide documentation that includes: the patent number, inventor name(s), assignee names (if any), filing date, filing date of any related provisional application, and summary of the patent title, with either: (1) a representation of invention ownership; or (2) proof of possession of appropriate licensing rights in the invention (i.e., an agreement from the owner of the patent granting license to the proposer).] Representations Regarding Unpaid Delinquent Tax Liability or a Felony Conviction under Any Federal Law [Per FAR 52.209-11, complete the following statements.] The Proposer represents that –

(i) It is [ ] is not [ ] a corporation that has any unpaid Federal tax liability that has been assessed, for which all judicial and administrative remedies have been exhausted or have lapsed, and that is not being paid in a timely manner pursuant to an agreement with the authority responsible for collecting the tax liability,

(ii) It is [ ] is not [ ] a corporation that was convicted of a felony criminal violation under a Federal law within the preceding 24 months.

Controlled Unclassified Information (CUI) Protection Plan [See Enclosure 5: Administrative and Policy Requirements and document instructions, for additional information and definitions of CUI and CTI.] [Describe how the proposing institution and subcontract organizations manage CUI and CTI, including details of access control for research designated as CUI and CTI, information systems security protocols, storage, communicating unclassified fundamental research with foreign nationals, and risk mitigation strategies for unclassified research that may ultimately become CUI and/or CTI as the research proceeds.] Facility and personnel ability to perform classified work [Describe the organization’s ability to perform classified work as required on the proposed project up to their and their facilities’ ability to receive and store classified materials as well as their ability and experience to perform work using classified information technology.] Publication Review requirements acknowledgement [Provide acknowledgement and consent of submission requirements for document reviews for publications per Enclosure 5: Administrative and Policy Requirements and document instructions, as summarized below] All papers, presentations, and/or abstracts intended for publication must be submitted to the respective Contracting Officer (for review by the Test Technology Area’s Executing Agent) no later than 30 days prior to requested dissemination. This deadline will allow sufficient time for review and approval through security and public release processes. Government agencies conducting work funded/awarded under this BAA must follow the processes established within/by the represented agency. Each submission must be accompanied by the following content:

a) Statement of Review: a statement specifically addressing the author’s review of applicability or sensitivity of publication material to regulations concerning the release of CUI, MCTL, and/or ITAR.

b) Document Information: document title, document author, short plain-language description of technology discussed in the material (approx. 30 words), number of pages (or minutes of video), and document type (e.g., briefing, report, abstract, article, or paper)

c) Event Information: event type (conference, principal investigator meeting, article, or paper), event date, desired date for Government approval;

The Government is required to review and comment for revision, if necessary, based on Government operational security, appropriate distribution statement, public release considerations, and acknowledgement of the TRMC T&E/S&T Program and Contracting Officer. The author will then be informed of the above and the release approval status. The Government has the option of approving or disapproving public release (if designated changes are not addressed). Historically, papers/abstracts are approved with only minor changes and do not affect the technical content of the submission.

By signing below, I am signifying my awareness of, and compliance with, the this requirement and to the veracity of all prior statements made in this document.