B08 -AI2C BAA FY21_3 AUG 21.pdf

U.S. ARMY FUTURES COMMAND

ARTIFICIAL INTELLIGENCE INTEGRATION CENTER (AI2C)

BROAD AGENCY ANNOUNCEMENT

FOR

TRANSFORMATIVE ARTIFICIAL INTELLIGENCE RESEARCH

AND APPLICATIONS

August 1, 2021 – July 31, 2026

I. OVERVIEW OF THE FUNDING OPPORTUNITY

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 and technology.

This publication constitutes a Broad Agency Announcement (BAA) for awards by the

AI2C, as contemplated in Federal Acquisition Regulation (FAR) 6.102(d)(2) and 35.016;

the Department of Defense Grants and Agreements Regulations (DoDGARS) 32 CFR

22.315(a); and DoD’s Other Transaction Guide for Prototype Projects, USD(AT&L), OT

Guide, Jan 2017. A formal Request for Proposals (RFP), solicitation, and/or additional information regarding this announcement will not be issued. AI2C will not issue paper copies of this announcement. We reserve the right to fund all, some, or none of the proposals received under this BAA. AI2C provides no funding for direct reimbursement of proposal development costs. Technical and cost proposals (or any other material) submitted in response to this BAA will not be returned. This BAA utilizes competitive procedures in accordance with 10 USC 2302(2)(B) for the selection and award of science and technology (S&T) proposals.

For purposes of this BAA, S&T includes activities involving basic research, applied research, advanced technology development, and, under certain conditions, may include activities involving advanced component development and prototypes as defined in

DoD 7000.14-R Volume 2B, Chapter 5, Section 050105. This Announcement is not for the acquisition of technical, engineering, and other types of support services.

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.

AI2C will utilize two approaches to engage with potential applicants under this BAA.

Ongoing Areas of Interest – AI2C does not necessarily have funding for any particular research area at any given time. Those contemplating submission of a whitepaper or proposal are strongly encouraged to review the AI2C website to understand our priorities. Whitepapers and proposals should be prepared in accordance with the instructions contained in this BAA. AI2C will assess whitepapers and proposals and return feedback to applicants on a not-to-exceed quarterly basis.

Special Topics - As a part of this BAA, AI2C will post specific areas with strong potential for funding on its website https://www.armyfuturescommand.com/ai2c/ and as an amendment to this BAA via http://www.grants.gov. These topics will generally have clear deadlines for submission and may have other specific preparation guidelines.

Ongoing Areas of Interest

a. Autonomous Platforms – The Army is particularly 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:

i. Ability to move in very cluttered, irregular, urban and underground terrains

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

iii. Technologies to enable low electromagnetic and physical profiles

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

v. Sensing methods to detect obscured targets and to characterize terrain obstacles

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

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

b. Artificial Intelligence and Machine Learning Algorithms (AI/ML) - The

Army is interested in core algorithmic improvements such as:

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

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

iii. Scaling reinforcement learning and game theoretic approaches to control and decision making to operate on larger, more complex, more Army-relevant problems.

iv. Improved methods for collecting, labeling, utilizing, managing, and tracking data and the models learned from them.

c. AI-Based Decision Making – The Army is interested in research on AI algorithms and systems to improve decision making across all echelons including:

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

ii. Algorithms for improved online, operational decision making

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

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

v. Algorithms for improved human-machine collaboration in decision making

d. Analysis and Human-Machine Interfaces - The Army is interested in AI/ML research in areas which can reduce the cognitive burden on humans and improve https://www.armyfuturescommand.com/ai2c/ http://www.grants.gov/ overall performance through human-machine teaming. AI/ML research is needed in areas such as:

i. Ability to analyze large, diverse data sets to predict enemy intent and behaviors

ii. Technologies to ensure robust, resilient and intelligent networking, cyber, electronic warfare and analysis of adversary signals

iii. Data analysis capabilities to engage with and exploit classified and unclassified sources in order to produce enhanced intelligence products

iv. Techniques to fuse data from disparate sources to improve a particular mission

v. Methods of fusing human insight and knowledge with machine analysis and knowledge.

vi. Methods of efficiently conveying analytical results to humans

vii. Speech and language algorithms that support more efficient human-machine teaming.

viii. 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).

e. Data Visualization and 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:

i. Sensor data and large data sets

ii. Complex multi-source multi-modal data sets

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

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

f. Assured Position, Navigation, and Timing (PNT) – The Army is interested in research involving novel PNT technologies for many capabilities including autonomous vehicles, communications, and land navigation. Solutions that enable robust PNT for vehicles, soldiers, munitions include research in the following areas:

i. PNT technologies which operate reliably in GPS-degraded or denied areas which cannot be exploited by adversaries

ii. Enhancements to commercial technologies to enable them to meet Army needs

iii. PNT-enabled guidance and control

iv. Algorithms and techniques to fuse data from multiple PNT sources to provide robust capabilities

g. Sensing – The Army is interested in developing a detailed understanding of the environments and activities in the areas where it operates. Research is needed in the areas of sensors and associated processing in order to:

i. Detect people, equipment, weapons, and any other object or action of interest

ii. Detect all targets even when obscured

iii. Detect based upon, physical, behavioral, cyber or other signatures

iv. Sensing methods to detect chemical, biological, radiological, nuclear, and explosive threats

h. Communications & Networks – It is critical the Army maintain secure, reliable communications for Soldiers, vehicles, and at fixed locations even in austere environments. Research is needed in the areas related to following:

i. Concepts and methodologies to enable robust, secure networks

ii. Network interoperability

iii. High efficiency components

iv. Autonomous response to attacks on networks

v. AI based approaches to offensive capabilities

vi. Cyber protection technologies, methodologies, and concepts to protect Army systems

i. Internet of Things (IoT) – The Army needs to better integrate a wide range of capabilities and equipment and capitalize on commercial developments in industrial and human IoT. Research is needed to improve Army IoT in the following areas:

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

ii. New approaches to enable secure, resilient, and automatically managed

IoT networks in highly complex, mixed cooperative/adversarial, information-centric environments

j. Human Performance – The Soldier is the foundation of all Army capabilities.

Technologies that reduce Soldiers’ mental or physical burden and allow them to react faster than their adversaries are needed in the following areas:

i. Human-machine interaction to insure autonomous platforms are efficiently managed and exploited

ii. Methodologies and approaches for effective augmentation of Soldiers in areas of cognition, perception, and physical performance

iii. Human performance optimization to endure harsh and extenuating conditions

k. Underpinning Methodologies - Methodologies, frameworks, tools, facilities, techniques, and experimentation concepts, which underpin and enable advanced research and development are of interest, including those which enhance the following:

i. Collect, standardize, transform, and maintain data to focus research and validate concepts

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

iii. 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

iv. Automate data analytics to enhance discovery, development and transition management of technologies that address Army capability gaps

Whitepapers 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.

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

All Scientific and technical questions, and administrative inquiries regarding this BAA shall be submitted via email to: ai2c_baa_submissions@army.mil.

Additional Overview Information

The AI2C’s BAA is issued under the provisions of paragraphs 35.016 and 6.102(d)(2) of the

FAR. Proposals may range from theoretical studies to proof-of-concept, including fabrication and delivery of a prototype. However, this is limited to research procurements for which it would be impossible to draft an adequate RFP in sufficient detail without restraining the technical response and thus hindering competition rather than expanding it.

Proposals submitted in response to a BAA announcement that are selected for award are considered to be the result of full and open competition and are in full compliance with the provisions of Public Law 98-369, "The Competition in Contracting Act of 1984."

The AI2C reserves the right to select for award all, some, or none of the proposals submitted in response to this announcement. However, prospective offerors are cautioned that only the Contracting Officer, Agreements Officer, or Grants Officer is legally authorized to commit the Government. AI2C 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 mailto:ai2c_baa_submissions@army.mil 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 our policy 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.

(End of Section)

II. Application and Submission Information

a. General Information

i. 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 or FAR 52.204-2 Alternate I, shall be in effect, as well as a DD254, if issued.

ii. 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.

iii. Conflict of Interest: A Conflict of Interest (COI) exists whenever personal, professional, commercial, or financial interests or activities outside of the AI2C have the possibility (either in actuality or in appearance) of (1) compromising an AI2C’s judgment; (2) biasing the nature or direction of proposal evaluation; (3) influencing a AI2C’s decision or behavior any matters to AI2C; or (4) resulting in a personal or family member’s gain or advancement at the expense of the AI2C. For example, there are certain post-employment restrictions on former federal employees, including special government employees (18 U.S.C.

207). If a prospective applicant believes any conflict of interest may exist, the situation must be submitted in writing to the point of contact listed in the BAA prior to the applicant expending time and effort in preparing a proposal. The applicant should also provide a plan on how the conflict of interest will be avoided or mitigated. If a Contracting Officer (or

Grants/Agreements Officer) determines the conflict of interest cannot be avoided or mitigated, the applicant cannot be considered responsible and is not eligible for award. See “Recipient

Qualification” section below. Every applicant has a continuing duty to update the COI throughout the pre-award, award, and post-award process every time that applicant knew or should have known the COI existed.

iv. 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 in order for the applicant to be considered for funding.

Whitepapers and Proposals may be submitted by email to: ai2c_baa_submissions@army.mil

All required forms for proposals may be downloaded from the ARO web site at:

https://www.arl.army.mil/business/broad-agency-announcements/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 http://fedgov.dnb.com/webform http://www.sam.gov/ https://www.arl.army.mil/business/broad-agency-announcements/baa-forms/ relevance, and potential impact.

ii. White papers not compling with the formatting requirements detail in this section may not be considered for review. 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. Evaluators will only review the whitepaper cover page, up to five whitepaper technical content pages, and the one-page addendum.

Whitepapers must be in the following format but do not require any special forms:

• Page Size: 8 ½ x 11 inches

• Margins – 1 inch

• Spacing – single

• Font – Times New Roman, 12 point

iii. Combine all files and forms into a single PDF before submitting.

iv. Format and content of whitepapers:

(1) COVER PAGE (not to exceed one page):

The whitepaper cover page shall include at a minimum: BAA Number, Title of Program, Title of the whitepaper, Name of Company, Business Size, Company’s Commercial and

Government Entity (CAGE) number, Dun & Bradstreet (D&B) Data Universal Numbering

System (DUNS) number, Contracting POC and Technical POC with appropriate telephone numbers, fax numbers, and email addresses for the POCs.

(2) TECHNICAL CONTENT (not to exceed five pages):

(a) A detailed discussion of the effort's scientific research objective, approach, relationship to similar research, and level of effort shall be submitted. Also include the nature and extent of the anticipated results and, if known, the manner in which the work will contribute to the accomplishment of the Army's mission and how this contribution would be demonstrated.

(b) The type of support, if any, 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).

Applicants 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.

(c) The cost portion of the whitepaper shall contain a brief cost estimate revealing all the component parts of the proposal, including research hours, burden, material costs, travel, etc.

(3) ADDENDUM (not to exceed one page):

Include biographical sketches of the key personnel who will perform the research, highlighting their qualifications and experience.

v. RESTRICTIVE MARKINGS ON WHITEPAPERS:

(1) Any proprietary data that the applicant intends to be used only by the Government for evaluation purposes must be clearly marked. The applicant must also identify any technical data or computer software contained in the whitepaper that is to be treated by the

Government as limited rights in technical data and restricted rights in computer software.

In the absence of such identification, the Government will conclude there are no limitations or restrictions on technical data or computer software included in the whitepaper. Records or data bearing a restrictive legend may be included in the whitepaper. It is the intent of the Army to treat all whitepapers as procurement sensitive before award and to disclose their contents only for the purpose of evaluation. No contents will be disclosed outside of the US Government.

Care must be exercised to ensure that classified, sensitive, and critical technologies are not included in a whitepaper. If such information is required, appropriate restrictive markings and procedures should be applied prior to submission of the whitepaper.

(2) Applicants are cautioned, however, that portions of the whitepapers may be subject to release under terms of the Freedom of Information Act, 5 U.S.C. 552, as amended.

vi. EVALUATION AND DISPOSITION OF WHITEPAPERS:

(1) Evaluation Process: Applicants are advised that invitations for proposals will be made based on the whitepaper submission and the availability of funding. The whitepaper will be evaluated for the concept's scientific merit and potential contributions of the effort to the

Army mission. Applicants whose whitepapers are evaluated as having significant scientific merit may be invited to submit a proposal. However, an applicant may submit a proposal despite not submitting a whitepaper or receiving a proposal invite from the Government.

(2) Disposition Process: The applicant will be notified in writing after completion of the evaluation. Whitepapers will not be returned to applicants.

d. Whitepaper Submission

All whitepapers must be emailed. In the email subject line, include the phrase “Whitepaper

Submission,” the BAA number, and the Area of Interest listed in section I of this BAA.

Whitepapers must be in a single PDF formatted file as an email attachment.

e. Preparation of Proposals

i. COVER PAGE:

(1) A Cover Page is required. For contract proposals submitted by email, use ARO Form 51.

(2) Should the project be carried out at a branch campus or other component of the applicant, that branch campus or component should be identified in the space provided (Block 11 on the ARO Form 51).

(3) 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.

(4) The proposed duration for which support is requested should be consistent with the nature and complexity of the proposed activity. Applicants shall discuss the preferred performance period with the TPOC.

(5) Specification of a desired starting date for the project is important and helpful; however, requested effective dates cannot be guaranteed.

(6) 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] and implemented by 32 CFR 22.420(d), federal agencies shall obtain each awardees’ Taxpayer Identification Number (TIN). The TIN is being obtained for purposes of collecting and reporting on any delinquent amounts that may arise out of an awardees’ relationship with the Government.

(7) Applicants shall provide their organization's Unique Entity Identifier (formerly DUNS).

This number is a nine-digit number assigned by D&B Information Services. See Section

II.D.3 of this BAA for requirements pertaining to the Unique Entity Identifier.

(8) Applicants shall 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

SECTION PAGE NUMBER

Table of Contents A-1

Statement of Disclosure Preference (Form 52 or 52A) B-1

Research and Related Other Project Information B-2

Project Abstract C-1

Project Description (Technical Proposal) D-1 - D-

Biographical Sketch E-1 - E-

Bibliography F-1 - F-

Current and Pending Support G-1 - G-

Facilities, Equipment, and Other Resources H-1 - H-

Proposal Budget I-1 - I-

Contract Facilities Capital Cost of Money(FCCM) (DD Form 1861) J-1

Appendices K-

List Appendix Items:

This format applies to all proposals submitted via email and via Grants.gov. Applicants' should show the location of each section of the proposal, as well as major subdivisions of the project description.

iii. STATEMENT OF DISCLOSURE PREFERENCE (FORM 52 OR 52A): Complete and sign ARO Form 52 (Industrial Contractors) or ARO Form 52A (Educational and Nonprofit

Organizations).

iv. RESEARCH AND RELATED OTHER PROJECT INFORMATION: Must be completed and signed by all applicants.

v. PROJECT ABSTRACT:

(1) The project abstract shall be completed on the form entitled “Publicly Releasable

Project Abstract” found at the following website:

(2) Unless otherwise instructed in this BAA, the project abstract shall include a concise statement of work and basic approaches to be used in the proposed effort. The abstract should include a statement of scientific objectives, methods to be employed, and the significance of the proposed effort to the advancement of scientific knowledge.

(3) The abstract should be no longer than one (1) page (maximum 4,000 characters).

(4) The project abstract shall be marked by the applicant as publically releasable. By submission of the project abstract, the applicant confirms that the abstract is releasable to the public. For a proposal that results in a grant award, the project abstract will be posted to a searchable website available to the general public to meet the requirements of Section 8123 of the DoD Appropriations Act, 2015. The website address is:

https://dodgrantawards.dtic.mil/grants.

vi. PROJECT DESCRIPTION (TECHNICAL PROPOSAL): The technical portion of the proposal shall contain the following:

(1) 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 also the nature and extent of the anticipated results and how they will significantly advance the scientific state-of-the-art. Also, 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 or mitigation of the uncertainties.

(2) A brief description of your organization. If the applicant has extensive government contracting experience and has previously provided the information to the A-AITF, the information need not be provided again. A statement setting forth this condition should be made.

(3) The names of other federal, state, local agencies, or other parties receiving the proposal and/or funding the proposed effort. If none, state so. Concurrent or later submission of the proposal to other organizations will not prejudice its review by the A-AITF 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.

(4) A statement regarding the use of Class I and Class II ozone- depleting substances.

Ozone depleting substances are any substance designated as Class I by 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 CFR Part 82 for detailed information. If Class I or II substances are to be utilized, a list shall be provided as part of the applicant's proposal. If none, state so.

(5) The type of support, if any, requested by the applicant (e.g., facilities, equipment, and materials).

vii. BIOGRAPHICAL SKETCH:

(1) This section shall contain the biographical sketches for key personnel only.

(a) Primary Principal Investigator (PI): The Primary PI provides a single or initial point of communication between the AI2C and the awardee organization(s) about scientific matters. If not otherwise designated, the first PI listed will serve as the Primary PI. This individual can be changed with notification to AI2C. AI2C does not infer any additional scientific stature to this role among collaborating investigators.

(b) Co-Principal Investigators: The individual(s) a research organization designates as having an appropriate level of authority and responsibility for the proper conduct of the research and submission of required reports to AI2C. When an organization designates more than one PI, it identifies them as individuals who share the authority and responsibility for leading and directing the research, intellectually and logistically. A-

AI2C does not infer any distinction among multiple PIs.

(2) The following information is required:

(a) Relevant experience and employment history including a description of any prior

Federal employment within one year preceding the date of proposal submission.

(b) List of up to five publications most closely related to the proposed project and up to five other significant publications, including those being printed. Patents, copyrights, or software systems developed may be substituted for publications.

(c) List of persons, other than those cited in the publications list, who have collaborated on a project or a book, article, report or paper within the last four years. Include pending publications and submissions. Otherwise, state "None."

(d) Names of each investigator's own graduate or post-graduate advisors and advisees.

NOTE: The information provided in (c) and (d) is used to help identify potential conflicts or bias in the selection of reviewers.

(3) For the personnel categories of postdoctoral associates, other professionals, and students

(research assistants), the proposal may include information on exceptional qualifications of these individuals that merit consideration in the evaluation of the proposal.

(4) The biographical sketches are limited to three (3) pages per investigator and other individuals that merit consideration.

viii. BIBLIOGRAPHY: A bibliography of pertinent literature is required. Citations must be complete (including full name of author(s), title, and location in the literature).

ix. CURRENT AND PENDING SUPPORT:

(1) All project support from whatever source must be listed. The list must include all projects requiring a portion of the PI's and other key personnel's time, even if they receive no salary support from the project(s).

(2) The information should include, as a minimum: (i) the project/proposal title and brief description, (ii) the name and location of the organization or agency presently funding the work or requested to fund such work, (iii) the award amount or annual dollar volume of the effort, (iv) the period of performance, and (v) a breakdown of the time required of the PI and/or other key personnel.

x. FACILITIES, EQUIPMENT, and OTHER RESOURCES: The applicant should include in the proposal a listing of facilities, equipment, and other resources already available to perform the research proposed.

xi. PROPOSAL BUDGET (including DD Form 1861):

(1) Each proposal must contain a budget for each year of support requested and a cumulative budget for the full term of requested support. Each budget year and the cumulative budget for the full term must be documented on ARO Form 99. ARO Form 99 may be reproduced, but you may not make substitutions in prescribed budget categories nor alter or rearrange the cost categories as they appear on the form. The proposal may request 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 proposal should include budget justification for each year.

(2) 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 item should be explained clearly.

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

Institutions of Higher Education: 2 CFR Part 200

Nonprofit Organizations: 2 CFR Part 200

For-Profit/Commercial Organizations: FAR Part 31, DFARS Part 231, FAR Subsection

15.403-5, and DFARS Subsection 215.403-5.

* For those nonprofit organizations specifically exempt from the provisions of Subpart E of 2

CFR Part 200 (see 2 CFR 200.401(c)), FAR Part 31 and DFARS Part 231 shall apply.

(4) Sample itemized budgets and the information they must include for a contract and for grants and cooperative agreements can be found at Section II.H of this BAA (Other Information). Before award of a cost-type contract or assistance instrument it must be established that an approved accounting system and financial management system exist.

xii. APPENDICES: Some situations require that special information and supporting documents be included in the proposal before funding can be approved. Such information and documentation should be included by appendix to the proposal.

(1) To evaluate compliance with Title IX of the Education Amendments of 1972 (20 U.S.C.

A Section 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.

(A) 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/PI or Co-PD/PI on the form.

Additional senior/key persons can be added by selecting the “Next Person” button.

(B) 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 or 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 purposed 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.

f. Submission of Proposals

Proposals must be submitted by email. Proposals must be submitted through the applicant’s organizational office having responsibility for Government business relations. All signatures must be that of an official authorized to commit the organization in business and financial affairs.

i. EMAIL SUBMISSION):

(1) Proposals will be emailed directly to: ai2c_baa_submissions@army.mil. All emailed proposals must adhere to the format requirements and contain the information outlined in this BAA.

(2) The applicant must include with its proposal submission the representations required of this

BAA. The representations must include applicant point of contact (POC) information and be signed by an authorized representative. Note: If the applicant’s SAM Representations and

Certifications include its response to the representations a hard copy representation is not required with proposal submission.

(3) All forms requiring signature must be completed, printed, signed, and scanned into a PDF document. All documents must be combined into a single PDF formatted file to be attached to the email.

(4) Proposal documents (excluding required forms) must use the following format:

• Page Size – 8 ½ x 11 inches

• Margins – 1 inch

• Spacing – single

• Font – Times New Roman, 12 point, single-sided pages

III. Submission Dates and Times

a. Proposals

Proposals will be considered until and including the closing date of this announcement (see cover page of this announcement for opening/closing dates), except for special programs identified in this BAA that may announce specific opening/closing dates. Proposals submitted after the closing date will not be considered by the Government.

i. Email Submission: After a proposal is submitted to ai2c_baa_submissions@army.mil the applicant will receive an email confirming time of receipt of the proposal. For the purposes of this BAA, an applicant’s proposal is not considered received by the agency until the confirmation of receipt of the proposal is received.

b. Information to Be Requested from Successful Applicants: Applicants whose proposals are accepted for funding will be contacted before award to provide additional information required for award. The required information may include requests to clarifying budget explanations, representations, certifications, and some technical aspects.

c. Performance Work Statements (PWS). Prior to award the Contracting Officer, Agreements Officer, or Grants Officer may request that the contractor submit a PWS for the effort to be performed, which will be incorporated into the contract at the time of award.

IV. Criteria for Selection

A. Application Review Information

1. Criteria

Proposals submitted in response to this BAA will be evaluated using the factors listed below (in descending order of importance):

a. The overall scientific and/or technical merits of the proposal.

b. The potential contributions of the effort to the Army mission and the extent to which the research effort will contribute to balancing the overall AI2C research program.

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

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

e. The applicant's record of past performance.

**NOTE: Cost sharing will not be considered in the evaluation.

2. Review and Selection Process

a. Upon receipt of a proposal, the AI2C staff will perform an initial review of its scientific merit and potential contribution to the Army mission, and also determine if funds are expected to be available for the effort. Proposals not considered having sufficient scientific merit or relevance to the Army's needs, or those in areas for which funds are not expected to be available, may not receive further review.

b. All proposals are treated as procurement sensitive and are disclosed only for the purpose of evaluation. Proposals not declined as a result of an initial review will be subject to a peer review by highly qualified government scientists. The applicant must indicate on the appropriate proposal form (Form 52 or 52A) any limitation to be placed on disclosure of information, e.g. potentially proprietary or proprietary information, contained in the proposal.

c. Each proposal will be evaluated based on all the evaluation criteria of this BAA rather than against other proposals for research in the same general area.

d. Upon completion of an evaluation against the criteria, a proposal selected for possible award may be analyzed for the realism and reasonableness of costs . Proposal costs must be determined reasonable and realistic before the Government can make an award.

e. Consistent with FAR 35.016(e), “[t]he primary basis for selecting proposals for acceptance shall be technical, importance to agency programs, and fund availability.”

f. At the discretion of the Contracting Officer (or Grants/Agreements Officer), the Government reserves the right to conduct its own independent research on any information submitted by the

Applicant, e.g. applicability of biographical sketch information to proposed technical information.

3. Recipient Qualification

i. Awards shall be to responsible prospective contractors only. See FAR 9.104-1 for a listing of the general standards against which an applicant will be assessed to determine responsibility.

Applicants are requested to provide information with proposal submission to assist the Contracting

Officer, Agreements Officer, or Grants Officer’s evaluation of responsibility.

ii. Before making award, the Government shall review the performance and integrity information available in the Federal Awardee Performance and Integrity Information System (FAPIIS), (available at https://www.cpars.gov), including FAPIIS information from the System for Award Management

(SAM) Exclusions and the Contractor Performance Assessment Reporting System (CPARS). The information in these systems will be used in making a judgment about the entity’s integrity, business ethics, and record of performance under Federal awards that may affect the official’s determination that the applicant is qualified to receive an award.

V. Award Administration Information

1. Award Notices

Applicants whose proposals are recommended for award may be contacted by a Contract/Grant

Specialist to discuss additional information required for award. This may include representations and certifications, revised budgets or budget explanations, certificate of current cost or pricing data, subcontracting plan for small businesses, and/or other information as applicable to the proposed award. The anticipated start date will be determined at that time.

The notification email must not be regarded as an authorization to commit or expend funds.

The Government is not obligated to provide any funding until a Government Contracting

Officer, Agreements Officer, or Grants Officer signs an award document.

The award document signed by the Government Contracting/Agreements/Grants Officer is the official and authorizing award instrument. The authorizing award instrument, signed by the Contracting/Agreements/Grants Officer, will be emailed to the PI and Authorized

Organization Representative (AOR).

2. Administrative and National Policy Requirements

a. Required Representations and Certifications:

(1) Representations and certifications shall be completed by successful applicants prior to award.

FAR Online Representations and Certifications are to be completed through SAM at https://www.SAM.gov. As appropriate, DFARS and contract-specific certification packages will be provided to the contractor for completion prior to award.

(2) FAR 52.203-18, PROHIBITION ON CONTRACTING WITH ENTITIES THAT REQUIRE

CERTAIN CONFIDENTIALITY AGREEMENTS OR STATEMENTS—REPRESENTATION

(JAN 2017)

(a) Definition. As used in this provision--

“Internal confidentiality agreement or statement”, “subcontract”, and “subcontractor”, are defined in the clause at 52.203-19, Prohibition on Requiring Certain Internal Confidentiality Agreements or Statements.

(b) In accordance with section 743 of Division E, Title VII, of the Consolidated and Further

Continuing Appropriations Act, 2015 (Pub. L. 113-235) and its successor provisions in subsequent appropriations acts (and as extended in continuing resolutions), Government agencies are not permitted to use funds appropriated (or otherwise made available) for contracts with an entity that requires employees or subcontractors of such entity seeking to report waste, fraud, or abuse to sign internal confidentiality agreements or statements prohibiting or otherwise restricting such employees or subcontractors from lawfully reporting such waste, fraud, or abuse to a designated investigative or law enforcement representative of a Federal department or agency authorized to receive such information.

(c) The prohibition in paragraph (b) of this provision does not contravene requirements applicable to SF 312, (Classified Information Nondisclosure Agreement), Form 4414 http://www.sam.gov/

(Sensitive Compartmented Information Nondisclosure Agreement), or any other form issued by a Federal department or agency governing the nondisclosure of classified information.

(d) Representation. By submission of its offer, the applicant represents that it will not require its employees or subcontractors to sign or comply with internal confidentiality agreements or statements prohibiting or otherwise restricting such employees or subcontractors from lawfully reporting waste, fraud, or abuse related to the performance of a Government contract to a designated investigative or law enforcement representative of a Federal department or agency authorized to receive such information (e.g., agency Office of the

Inspector General).

(3) FAR 52.209-11, REPRESENTATION BY CORPORATIONS REGARDING

DELINQUENT TAX LIABILITY OR A FELONY CONVICTION UNDER FEDERAL LAW

(FEB 2016)

As required by sections 744 and 745 of Division E of the Consolidated and Further Continuing

Appropriations Act, 2015 (Pub. L 113-235), and similar provisions, if contained in subsequent appropriations acts, the Government will not enter into a contract with any 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, where the awarding agency is aware of the unpaid tax liability, unless an agency has considered suspension or debarment of the corporation and made a determination that suspension or debarment is not necessary to protect the interests of the Government; or

Was convicted of a felony criminal violation under any Federal law within the preceding 24 months, where the awarding agency is aware of the conviction, unless an agency has considered suspension or debarment of the corporation and made a determination that this action is not necessary to protect the interests of the Government.

The applicant represents that—

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; and

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

i. Grant and Cooperative Agreement Proposals:

(1) Grant awards greater than $100,000 require a certification of compliance with a national policy mandate concerning lobbying. Statutes and Government-wide regulations require the certification to be submitted prior to award. When submitting your grant through Grants.gov, by completing blocks 18 and 19 of the SF 424 (R&R) Form, the grant applicant is providing the certification on lobbying required by 32 CFR Part 28; otherwise a copy signed by the AOR must be provided. Below is the required certification:

CERTIFICATION AT APPENDIX A TO 32 CFR PART 28 REGARDING

LOBBYING: Certification for Contracts, Grants, Loans, and Cooperative Agreements the undersigned certifies, to the best of his or her knowledge and belief, that:

(1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any…