BAA-AFRL-AFOSR-2016-0002 Military Medical Photonics Rev.08 -- FINAL.pdf

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BROAD AGENCY ANNOUNCEMENT (BAA)

OVERVIEW INFORMATION

The Air Force Office of Scientific Research (AFOSR) seeks unclassified proposals for broad-based research and development aimed at using lasers and other light source technology to develop applications in medicine, photobiology, surgery, and closely related materials sciences, with applications to combat casualty care and other military medical problems. This announcement is primarily directed toward university-based medical institutions; however, all qualified and responsible prime applicants located in the United States are eligible to submit proposals. The highest priority will be extended to proposals up to three (3) years duration to be conducted by teams of physicians, biomedical scientists, physical scientists, and engineers.

The efforts proposed may be basic or applied research, and must have direct relevance to combat casualty care or other military medical priorities. Applicants must demonstrate substantial experience working to further military medical priorities, including transitioning research into clinical practice and working products. Substantial experience collaborating with military medical centers is also a requirement to establish relevance to combat casualty care or other military medical priorities, and facilitate the transition of research results to meet military needs.

Applicants are encouraged to apply as early as practicable. Proposals may be reviewed and selected as received. Awards may take the form of grants or contracts.

SUMMARY FUNDING OPPORTUNITY INFORMATION

1. FEDERAL AWARDING AGENCY NAME

Air Force Office of Scientific Research 875 North Randolph Street, STE 325, Room 3112 Arlington, VA 22203

2. FUNDING OPPORTUNITY TITLE

Military Medical Photonics Program

3. ANNOUNCEMENT TYPE

Initial Announcement

4. ANNOUNCEMENT NUMBER

BAA-AFRL-AFOSR-2016-0002

5. CATALOG OF FEDERAL DOMESTIC ASSISTANCE (CFDA) NUMBERS

12.420

6. KEY DATES

Proposals must be received electronically through Grants.gov not later than 22 April 2016 at 11:59 PM applicant organization local time to be considered.

Pre-proposal inquiries and questions must be received in writing by electronic mail not later than 04 April 2016 at 11:59 PM applicant organization local time to be considered.

https://www.cfda.gov/index?s=program&mode=form&tab=core&id=1b7614bbebb13b05e471fabbb40d2d31 http://www.grants.gov/

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TABLE OF CONTENTS

A. PROGRAM DESCRIPTION (REQUIRED)

B. FEDERAL AWARD INFORMATION (REQUIRED)

C. ELIGIBILITY INFORMATION (REQUIRED)

1. Eligible Applicants

a. Non-Federal Entity Organizations Located in the United States

b. HBCU/MI and Small Business Applicants Encouraged

c. University Affiliated Research Centers (UARCs)

2. Ineligible Entities

a. Federally Funded Research and Development Centers (FFRDCs)

b. Individual persons or people

c. Foreign public entities

d. Foreign organizations

e. Federal agencies

f. Corporations with an unpaid delinquent Federal tax liability or felony conviction under Federal law as prohibited by the Consolidated and Further Continuing Appropriations Act, 2015 (Pub. L. 113-235) or any other act

g. Non-Federal entities reporting an exclusion in the System for Award Management (SAM)

3. Cost Sharing or Matching (Not Required)

4. Other (Required)

a. Expectation of Public Dissemination of Research Results

b. Anticipated Latest Award Date

c. Representation for Tax Delinquency, Felony Conviction, and Internal Confidentiality Agreements

D. APPLICATION AND SUBMISSION INFORMATION

1. Address to Request Application Package (Required)

2. Content and Form of Application Submission

a. Pre-proposal Submissions, Inquiries, and Questions (Recommended)

b. The Application as a Whole (Required)

c. Proposal Length (Required)

d. Proposal Format (Required)

e. Publicly Releasable Abstract (Required)

f. Project Narrative Instructions (Required)

g. Special Test Equipment (Required if Special Test Equipment Proposed)

h. Equipment (Required if Equipment Proposed)

i. High Performance Computing Requirements (Recommended)

j. Marking of Proposals with the Announcement Number (Recommended)

k. Marking of Proposals with Confidential or Proprietary Information (Required)

l. Data Management Plan (Recommended)

3. Other Forms

a. SF 424 R&R Form Family, OMB Number 4040-0001 (Required)

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b. Electronic Form and Proposal Attachments (Required)

c. R&R Other Project Information (Required)

d. R&R Senior / Key Person Profile Form (Required)

e. R&R Budget Form (Required)

f. Budget Justification Attachment (Required)

g. R&R Project/Performance Site Locations Form (Required)

h. Representation for Tax Delinquency, Felony Conviction, and Internal Confidentiality Agreements

(Required)

i. Advance Preparation for Electronic Submission through Grants.gov (Required)

j. Information Successful Applicants Must Submit After Notification of Selection for Possible Award

(Required)

4. DUNS Unique Entity Identifier, CAGE, and System for Award Management (SAM) (REQUIRED)

a. SAM Registration Required unless Exempted

b. Questions about SAM Registrations and Updates

c. Consequences of Non-Compliance with SAM Registration Requirements

5. Submission Dates and Times (REQUIRED)

a. Required Proposal Submission Deadline

b. How Proposal Submission Time is Determined by AFOSR

c. Grants.gov Tracking Number is Application Receipt

d. Effect of Missing the Proposal Submission Deadline

e. Pre-Proposal Inquiries and Questions Deadline

f. How Submission Time for Pre-Proposal Inquiries and Questions is Determined by AFOSR

g. Effect of Missing the Pre-Proposal Inquiries and Questions Submission Deadline

6. Intergovernmental Review (EXCLUDED)

7. Funding Restrictions (REQUIRED)

a. Latest Date for a Grant or Contract Award

b. Pre-contract Costs under FAR Cost-reimbursement Contract Awards

c. Pre-award Costs under Grant Agreement Awards

d. Proposal Preparation Costs

e. AFOSR No-cost Extension (NCE) Policy

f. Other Submission Requirements

E. APPLICATION REVIEW INFORMATION (REQUIRED)

1. Criteria…………………………………………………………………………………………………………. 19

a. Principal Evaluation and Selection Criteria

b. Additional Evaluation and Selection Criteria

c. No further evaluation criteria or criterion will be used for proposal selection

2. Review and Selection Process

a. Merit-based, Competitive Procedures

b. Timing of Proposal Reviews

3. Cost Analysis

4. Disclosure of Administrative Processing by Contractor Personnel

5. No Guaranteed Award

6. Notice of Limited Funding

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F. FEDERAL AWARD ADMINISTRATION INFORMATION (REQUIRED)

1. SELECTION Notices

a. Electronic Notification

b. Selection for Possible Award Does Not Authorize Work

2. AWARD NOTICES

a. Federal Award Document

b. Electronic Federal Award Distribution

3. Administrative and National Policy Requirements

a. Reporting of Matters Related to Recipient Integrity and Performance (Required)

b. AFOSR Review of Risk Posed by Applicants (Required)

c. Cross-Cutting National Policy Requirements (Required)

d. Acknowledgement of Research Support (Required)

e. Disclaimer Language for Research Materials and Publications (As Required)

f. Grants – Uniform Administrative Requirements, Cost Principles, and Audit Requirements (As Required) . 22

g. Grants – DoD Research and Development General Terms and Conditions (As Required)

h. Recipients Other Than Individuals (Required)

i. Solicitation Provisions in Full Text for Contract Award Applicants (As Required)

j. Solicitation Provisions and Clauses Incorporated by Reference for Contract Award Applicants (Required)

k. Contract Award Terms and Conditions (Required)

l. Minimum Record Retention Requirements (Required)

4. Reporting…

a. Monitoring and Reporting Program Performance (Required)

b. Standard Form (SF) 298 Report Documentation Page (As Required)

c. Technical Performance Report Format (Recommended)

d. Department of Defense (DD) Form 882 Report of Inventions and Subcontracts (Required)

e. Standard Form (SF) 425 Federal Financial Report (As Required)

f. Contract Award Financial and Subcontract Reporting (As Required)

g. Electronic Payment Requests and Electronic Payment (Required)

h. Other Reports (Highly Recommended)

i. Electronic Submission of Technical, Invention, and SF 425 Reports (Required)

G. AGENCY CONTACTS (REQUIRED)

1. Program Officer – Technical Point of Contact

2. BAA Procedures and Proposal Submission Point of Contact

H. OTHER INFORMATION

1. Ombudsman (REQUIRED)

2. Grants and Contracting Officers Authority (REQUIRED)

3. Additional Funding Opportunities

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FULL TEXT OF FUNDING OPPORTUNITY

A. PROGRAM DESCRIPTION (REQUIRED)

The Air Force Office of Scientific Research (AFOSR) seeks unclassified proposals for broad-based research and development aimed at using lasers and other light source technology to develop applications in medicine, photobiology, surgery, and closely related materials sciences, with applications to combat casualty care and other military medical problems. This announcement is primarily directed toward university-based medical institutions; however, all qualified and responsible prime applicants located in the United States are eligible to submit proposals. The highest priority will be extended to proposals up to three (3) years duration to be conducted by teams of physicians, biomedical scientists, physical scientists, and engineers.

The efforts proposed may be basic or applied research, and must have direct relevance to combat casualty care or other military medical priorities. Applicants must demonstrate substantial experience working to further military medical priorities, including transitioning research into clinical practice and working products. Substantial experience collaborating with military medical centers is also a requirement to establish relevance to combat casualty care or other military medical priorities, and facilitate the transition of research results to meet military needs.

B. FEDERAL AWARD INFORMATION (REQUIRED)

Federal awards (awards) made under this BAA will support broad-based research and development aimed at using lasers and other light source technology to develop applications in medicine, photobiology, surgery, and closely related materials sciences, with applications to combat casualty care and other military medical problems.

AFOSR executes funds provided by the U.S. Army Medical Research and Material Command for this research topic. AFOSR anticipates approximately $2 million may be made available to fund between two (2) and six (6) proposals submitted under this announcement.

The period of performance anticipated is up to three (3) years duration.

All initial applications will be considered applications for new awards, including any application marked renewal. Applications to supplement an existing project with additional funding may be considered on a case-by-case basis post-award, but are not anticipated to compete with new award funding.

AFOSR reserves the right to select and fund for award all, some, part, or none of the proposals received in response to this announcement. There is no guarantee of an award.

Awards under the authority of 10 U.S.C. 2358 are anticipated in the form of grants or contracts. AFOSR will select the appropriate instrument for the Federal award in accordance with the Federal Grant and Cooperative Agreement Act (31 U.S.C. 6301 – 31 U.S.C. 6308).

A grant award may be made to institutions of higher education (IHE) or nonprofit organizations as described in 2 CFR 25.345. AFOSR does not award grants to organizations with a for-profit organization type.

Cost reimbursement contracts may be awarded to applicants with a for-profit organization type as described in 2 CFR 25.325, or to an applicant that requests a fee or profit.

https://www.gpo.gov/fdsys/pkg/USCODE-2014-title10/html/USCODE-2014-title10-subtitleA-partIV-chap139-sec2358.htm https://www.gpo.gov/fdsys/pkg/USCODE-2014-title31/html/USCODE-2014-title31-subtitleV-chap63.htm http://www.ecfr.gov/cgi-bin/text-idx?SID=fbd6d11c576c508875173b3623a4b56d&mc=true&node=se2.1.25_1345&rgn=div8 http://www.ecfr.gov/cgi-bin/text-idx?SID=fbd6d11c576c508875173b3623a4b56d&mc=true&node=se2.1.25_1325&rgn=div8

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C. ELIGIBILITY INFORMATION (REQUIRED)

1. ELIGIBLE APPLICANTS

a. Non-Federal Entity Organizations Located in the United States All qualified and responsible non-Federal entity applicant organizations located in the United States are eligible to submit proposals; however, this announcement is primarily directed toward university-based medical institutions. Collaborations with defense-related medical research entities are desirable and strongly encouraged.

If an applicant’s proposal is selected, AFOSR will review Office of Management and Budget (OMB) designated repositories of government-wide public and non-public data as required by 31 U.S.C. 3321 and 41 U.S.C. 2313 as described in 2 CFR

200.205 and 32 CFR 22.410 to assess risk posed by applicants; and confirm applicants are qualified, responsible, and eligible to receive an award.

b. HBCU/MI and Small Business Applicants Encouraged Proposals are encouraged from Historically Black Colleges and Universities and Minority institutions (HBCU/MI) as defined by 10 U.S.C. 2323, and HBCU/MI affiliated medical centers. Proposals from small business entities are also encouraged.

However, no funds under this announcement are reserved or otherwise set-aside for any specific entity type.

c. University Affiliated Research Centers (UARCs) UARCs are eligible to submit proposals under this BAA unless their Department of Defense UARC contract precludes the application.

2. INELIGIBLE ENTITIES

None of the following entity types are eligible to submit proposals under this BAA.

a. Federally Funded Research and Development Centers (FFRDCs)

b. Individual persons or people

c. Foreign public entities

d. Foreign organizations

e. Federal agencies

f. Corporations with an unpaid delinquent Federal tax liability or felony conviction under Federal law as prohibited by the Consolidated and Further Continuing Appropriations Act, 2015 (Pub. L. 113-235) or any other act

g. Non-Federal entities reporting an exclusion in the System for Award Management (SAM)

3. COST SHARING OR MATCHING (NOT REQUIRED)

No cost sharing or matching is required.

http://www.ecfr.gov/cgi-bin/text-idx?SID=dc0e04ed18bcc6c499bee1e082d0eaea&mc=true&node=se2.1.200_1205&rgn=div8 http://www.ecfr.gov/cgi-bin/text-idx?SID=dc0e04ed18bcc6c499bee1e082d0eaea&mc=true&node=se2.1.200_1205&rgn=div8 http://www.ecfr.gov/cgi-bin/text-idx?SID=913b10a5a197ab08d9b08ff21d449c71&mc=true&node=sp32.1.22.d&rgn=div6

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4. OTHER (REQUIRED)

a. Expectation of Public Dissemination of Research Results

AFOSR expects the research funded by this announcement to range from fundamental to applied, including the potential for device development and pre-clinical trials. The DoD Instruction 5230.27 policy and procedures allowing publication and public presentation of unclassified fundamental research results will apply to all research proposed under this BAA unless the Program Officer listed in section G.1 provides an explicit written exclusion to these policies with the Grants or Contracting Officer’s advice and consent. All exclusions must be authorized or required by law, and must cite a valid legal authority.

b. Anticipated Latest Award Date Any grant or contract issued under this BAA must be awarded not later than 30 Sep 2016, subject to availability of funds. Proposals selected for a possible award that have not been awarded by 30 Sep 2016 will not be awardable under this funding opportunity.

Any research selected for funding under this BAA should be scheduled to begin on or before 30 Sep 2016. The actual start date will be negotiated prior to award.

c. Representation for Tax Delinquency, Felony Conviction, and Internal Confidentiality Agreements

(1) All applicants must submit this representation to satisfy statutory requirements for use of appropriated Federal funds. No grant or contract award can be made if this representation is not provided.

(2) A fillable PDF form titled “Representation for Tax Delinquency, Felony Conviction, and Internal Confidentiality Agreements” is provided on Grants.gov as described further below in section D.3.h.

(a) Check either “is” or “is not” for each of the two representations as appropriate for your institution, and

(b) Applicants should attach the representations page to field 18 of the SF 424 as described in section D.3.c below.

(3) The AFOSR technical evaluator may deem your application ineligible for selection or award if this representation is not attached to the proposal by citing an authority listed or referenced in DoD Class Deviation (CD) 2016-O0002 or CD 2015-O0005.

(4) AFOSR may request this representation after proposal submission to complete the application; however, there is no requirement for AFOSR to do so.

(5) Any applicant organization that answers “is” a corporation with a tax delinquency and/or “is” a corporation with a felony conviction may not be eligible to receive an award even if the proposal is selected as described in section C.2.f.

http://dtic.mil/whs/directives/corres/pdf/523027p.pdf http://www.acq.osd.mil/dpap/policy/policyvault/USA005462-15-DPAP.pdf http://www.acq.osd.mil/dpap/policy/policyvault/USA007416-14-DPAP.pdf http://www.acq.osd.mil/dpap/policy/policyvault/USA007416-14-DPAP.pdf

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D. APPLICATION AND SUBMISSION INFORMATION

1. ADDRESS TO REQUEST APPLICATION PACKAGE (REQUIRED)

The electronic application package may be found on Grants.gov or Fbo.gov by searching for the announcement number shown on page one. All application forms are available through Grants.gov. Additionally, this announcement may be accessed through the AFOSR web page at http://www.wpafb.af.mil/library/factsheets/factsheet.asp?id=8981.

Select the AFOSR “Broad Agency Announcements” link to view this and other AFOSR funding opportunities.

AFOSR will not issue paper copies of this announcement.

2. CONTENT AND FORM OF APPLICATION SUBMISSION

a. Pre-proposal Submissions, Inquiries, and Questions (Recommended)

White papers and pre-applications are not required; however, applicants are encouraged to contact the Program Officer indicated in section G.1 below to discuss the proposed research effort in advance of proposal preparation. Topics of frequent interest include the current state of related research, the potential of the effort to advance the state of the art, and the anticipated budget. The Program Officer may ask for additional information at that time.

The Program Officer does not have the authority to make commitments. Grants and Contracting Officers acting within their warranted capacity are the only individuals legally authorized to make commitments or bind the Government.

b. The Application as a Whole (Required) The technical proposal must include the electronic SF 424 (R&R) Application for Federal assistance form as the cover page. No pages may precede the SF 424 (R&R).

The OMB number for the SF 424 (R&R) is 4040-0001.

The SF 424 (R&R) must include the signature of an authorized applicant representative. This signature is affixed electronically by Grants.gov upon submission. This signature is considered the signature for the application as a whole.

Complete all required fields in accordance with the “pop-up” instructions on the SF 424 (R&R) form. The completion of most fields is self-explanatory.

Grants.gov “Help Mode” may be turned on to provide additional instructions on a form-specific basis as needed. “Help Mode” is turned on by the icon with the pointer and question mark located at the top of the form.

There are special instructions for completing several SF 424 (R&R) form fields for applications under this announcement. The instructions are as follows:

• Field 2: The “Applicant Identifier” field may be left blank

• Field 3: The “Date Received by State” and “State Application Identifier” may be left blank.

• Field 9: List Air Force Office of Scientific Research as the name of Federal agency. This field should be pre-populated by Grants.gov.

http://www.grants.gov/ https://www.fbo.gov/ http://www.grants.gov/ http://www.wpafb.af.mil/library/factsheets/factsheet.asp?id=8981 http://www.wpafb.af.mil/library/factsheets/factsheet.asp?id=8127 http://www.grants.gov/

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• Field 16: Choose “No.” Check “Program is Not Covered by Executive Order 12372.”

• Field 17: Select “I Agree.” Applicants that do not agree to this requirement are not eligible to submit a proposal.

• Field 18: (1) Attach the representations on tax delinquency and felony convictions. The representations page is provided with the full announcement of the funding opportunity. (2) Also attach the SF-LLL or other explanatory documentation if there is lobbying that must be disclosed under 13 USC 1352, as implemented by the DoD at 32 CFR Part 28.

c. Proposal Length (Required) Proposals should be sixty (60) pages or less. The page count includes the cover page.

Elaborate brochures, reprints, or presentations beyond those sufficient to present a complete and effective proposal are not desired.

The budget, budget justification, and documents that support the budget are not included in the page count.

d. Proposal Format (Required)

• Paper Size – 8.5 x 11-inch paper

• Margins – 1 inch

• Spacing – 1.0-line spacing

• Font – Times New Roman, 12 point

• Page Limitation – 60 pages

• Content – as described below

e. Publicly Releasable Abstract (Required)

(1) A concise abstract of 300 words or less is required for all proposals. The abstract must be marked publicly releasable.

(a) The abstract should use terms the public may understand to describe the research objective, technical approach, anticipated outcome, and potential impact of the specific research.

(b) The abstract header should include the Program Officer's name and office symbol from section G.1 below.

(c) Attach the abstract to the R&R Other Project Information form in field 7 as described in D.3.c below.

f. Project Narrative Instructions (Required)

(1) General Narrative Instructions

(a) Clearly describe the research, including the research objective and approach.

The project narrative will be evaluated using the criteria listed in section E.1 below. Briefly indicate whether the intended research will result in environmental impacts outside the laboratory, and how you will ensure compliance with environmental statutes and regulations.

(b) Attach the complete proposal narrative to field 8 of the R&R Other Project Information form as described in section D.3.c below.

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(2) Statement of Objectives

(a) Describe the actual research to be completed on a single page titled

“Statement of Objectives.” Active verbs should be used in the statement (e.g.

“conduct” research in a subject area, “investigate” a problem, “determine” to test a hypothesis).

(b) The statement of objectives should not contain proprietary information.

(c) The Government reserves the unilateral right to incorporate this Statement of

Objectives into the award instead of incorporating the entire technical proposal by reference.

(3) Research Effort

(a) Describe the research to be performed in detail. State the research objectives and approach, and the relationship and comparable objectives to research progress elsewhere. Describe the research team’s knowledge in the field, and provide a bibliography and list of literature citations. Discuss the nature of the expected results.

(b) The adequacy of this information will influence the overall evaluation in accordance with the criteria and procedures specified in section E. Application Review Information below.

(4) Principal Investigator (PI) Time

(a) An estimate of the time the principal investigator and other senior professional personnel will devote to the research is required. The estimate must include information pertaining to the proportion of time anticipated devoted to this research, to other research, and to other commitments of time such as sabbatical, extended leave, and teaching duties.

(b) State the number of graduate students for whom each senior staff member is responsible.

(c) If the principal investigator or other key personnel are currently engaged in research under other auspices, or expect to receive support from other agencies for research during the time proposed for AFOSR support, state the title of the other research, the proportion of time to be devoted to it, the amount of support, name of agency, dates, etc. Send any changes in the information to AFOSR as soon as those changes become known.

(i) Submit a short abstract to include title, objectives, approach, and budget for both present and pending research projects.

(5) Facilities

(a) Describe the facilities available for performing the proposed research, and any additional facilities or equipment the organization proposes to acquire at its own expense for the work.

(b) Indicate any government-owned facilities that will be used. Indicate any government-owned equipment possessed presently that will be used. The facilities contract number, or in absence of a facilities contract, the specifics of the facilities or equipment, and the number of the award under which they are accountable are required.

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g. Special Test Equipment (Required if Special Test Equipment Proposed) List special test equipment or other property required to perform the proposed research. Segregate items to be acquired with award funds from those to be furnished by the Government. When possible and practicable, give a description or title and estimated cost of each item. When information on individual items is unknown or not available, group the items by class and estimate the values. In addition, state why it is necessary to acquire the property with award funds.

h. Equipment (Required if Equipment Proposed)

(1) Justify the need for each equipment item. Estimate the life expectancy of the equipment. When required, indicate whether equipment will be integrated with a larger assemblage or apparatus and describe the ownership of the larger assemblage or apparatus.

(2) Additional equipment and facilities will not be provided unless the research cannot be completed by any other practical means.

(3) Supporting documentation for the equipment and basis of estimate(s) for cost should be included with the budget justification.

i. High Performance Computing Requirements (Recommended)

(1) Researchers may be eligible to use of high performance computing resources at no cost to the research when funded by AFOSR grants or contracts. This program provides access to a range of state-of-the-art high performance computing assets and user training opportunities. Special terms and conditions apply. The details, capabilities, and requirements of the program can be found at the Internet address http://www.hpcmo.hpc.mil.

(2) Researchers requiring high performance computing cycles should address the utilization of this program to meet the needs of the proposed research. AFOSR Program Officers will facilitate the establishment of accounts for awarded efforts.

j. Marking of Proposals with the Announcement Number (Recommended) Proposals should reference BAA-AFRL-AFOSR-2016-0002.

k. Marking of Proposals with Confidential or Proprietary Information (Required)

(1) The applicant is responsible for marking proposals and proposal sections that contain proprietary or confidential information using the protective legend found at FAR 52.215-1(e) Instructions to Offerors -- Competitive Acquisition (Jan 2004), modified to permit release to outside evaluators retained by AFOSR.

(2) AFOSR will make every effort to protect the confidentiality of proposals received, including any proposal evaluations; however, under Freedom of Information Act (FOIA) requirements, some or all proposal information may be subject to release.

(3) The entire proposal, or any portions thereof, without protective markings or otherwise identified as requiring protection will be considered voluntarily http://www.hpcmo.hpc.mil/ http://farsite.hill.af.mil/reghtml/regs/far2afmcfars/fardfars/far/52_215.htm#P2_52

BAA-AFRL-AFOSR-2016-0002 Page 12 of 29 furnished to AFOSR without restriction, and will be treated as such for all purposes.

l. Data Management Plan (Recommended)

(1) All proposals should include a supplementary document labeled “Data

Management Plan” that is two (2) pages or less in total length. The plan should address data management issues such as:

(a) The types of data, software, and other materials to be produced in the course of the project, and include a notation marking items that are publicly releasable;

(b) How the data will be acquired;

(c) Time and location of data acquisition if they are scientifically pertinent;

(d) How the data will be processed;

(e) The file formats and the naming conventions that will be used;

(f) A description of the quality assurance and quality control measures during collection, analysis, and processing;

(g) If existing data are to be used, a description of their origins;

(h) A description of the standards to be used for data and metadata format and content;

(i) Plans and justifications for archiving the data;

(j) The timeframe for preservation; and

(k) If for legitimate reasons the data cannot be preserved, the plan must include a justification citing such reasons.

(2) Attach the Data Management Plan to the R&R Other Project Information for in field 12, Other Attachments as described in section D.2.c below.

3. OTHER FORMS

a. SF 424 R&R Form Family, OMB Number 4040-0001 (Required)

The Grants.gov electronic SF 424 Research and Related (R&R) Application for Federal Assistance Form Family must be used to prepare and submit your application through Grants.gov.

b. Electronic Form and Proposal Attachments (Required) All form and proposal attachments must be in electronic file formats. The portable document format (PDF) is preferred for all attachments. The website http://www.grants.gov/help/download_software.jsp offers a list of file convertors available to accomplish conversion to PDF format.

c. R&R Other Project Information (Required)

• Fields 1 and 1a: Each proposal must address prospective human subject involvement by answering these questions. All inquiries for proposals to AFOSR regarding human subject research requirements should go to the AFOSR Research Protections Officer at afosrharpo@us.af.mil. Additional documentation in http://www.grants.gov/ http://www.grants.gov/help/download_software.jsp

BAA-AFRL-AFOSR-2016-0002 Page 13 of 29 accordance with U.S. Air Force standards is required for any proposal with human use or involvement that is selected for possible award.

• Fields 2 and 2a: Each proposal must address prospective animal subject and/or recombinant deoxyribonucleic acid (rDNA) involvement by answering these questions. All inquiries for proposals to AFOSR regarding animal subject and/or rDNA research requirements should go to the AFOSR Research Protections Officer at afosrharpo@us.af.mil. Additional documentation in accordance with U.S. Air Force standards is required for any proposal with animal subject and/or rDNA use or involvement that is selected for possible award.

• Field 4a: For any proposal that has an actual or potential impact on the environment, answer yes and provide the answers and attachments required for fields 4b, 4c, and 4d. Additional documentation in accordance with U.S. Air Force standards is required for any proposal with an actual or potential impact on the environment that is selected for possible award. The Environmental Compliance section below provides additional information.

• Field 7: Attach the publicly releasable abstract to field 7.

• Field 8: Attach the project narrative proposal to field 8.

• Field 9: Attach the Bibliography and References Cited to field 9.

• Field 10: Attach the Facilities and Other Resources description to field 10 if included. This attachment is highly recommended.

• Field 11: Attach the equipment justification to field 11. Supporting documentation may be included here or attached with the budget justification.

• Field 12: Attach the data management plan to field 12.

d. R&R Senior / Key Person Profile Form (Required)

(1) Complete the R&R Senior/Key Person Profile Form for key persons anticipated to perform the research. Key persons are generally the PI, any Co-PIs, and each of the senior staff.

(2) Each Senior/Key person listed should have short biographical sketch and list of significant publications (vitae) and provide a list of current and pending support as attachments.

(3) The principal purpose and use of the requested information is for evaluation of the qualifications of those persons that are anticipated to perform the proposed research.

e. R&R Budget Form (Required)

(1) Complete all information requested. Estimate the total research project cost.

Categorize funds by year and provide separate annual budgets for projects lasting more than one year.

(2) Sub-awards or subcontracts proposed must include a budget prepared using the same standard, including a budget justification as described below.

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f. Budget Justification Attachment (Required)

(1) A detailed budget justification for each year that clearly explains the need for each item is required. The entire budget justification and supporting documentation must be combined into a single file for attachment to field K of the R&R Budget form.

(a) Travel should be itemized to state the purpose of each trip proposed, the number of trips, the number of travelers, the destination, the duration, and the basis for calculating costs such as airlines and hotels.

(b) Materials, supplies and equipment should be itemized, including the basis for costs. List all material/equipment by type and kind with associated costs.

Indicate what costs are based on, such as vendor quotes, historical data and/or engineering estimates. Include vendor quotes and/or catalog pricing data.

(c) If a current rate agreement is used to propose indirect cost rates and/or fringe benefit rates, attach a copy of the agreement.

(d) Helpful Cost Principle Reference Information

(i) Grant applicants may find the guidance at 2 CFR 200, Subpart E – Cost

Principles helpful.

(ii) Grant and contract applicants may find the General Provisions for Selected

Items of Cost in 2 CFR 200.420 through 2 CFR 200.475 helpful.

(iii)Commercial organizations applying for contract funding may find the information at FAR Subpart 31.2 and DFARS Subpart 231.2 helpful.

g. R&R Project/Performance Site Locations Form (Required)

(1) Complete all information as requested.

(2) The ZIP+4 must be provided for each performance location listed.

h. Representation for Tax Delinquency, Felony Conviction, and Internal Confidentiality Agreements (Required) The “Representation for Tax Delinquency, Felony Conviction, and Internal Confidentiality Agreements” must be completed as described in section C.4.c above.

Applicants should attach the representations page to field 18 of the SF 424 as described in section D.3.c.

i. Advance Preparation for Electronic Submission through Grants.gov (Required)

(1) Proposals must be submitted electronically through Grants.gov. The applicant organization must complete several one-time actions before electronic submission. Registration with Grants.gov may take up to twenty-one (21) days.

(2) Applicants should verify that the persons authorized to submit proposals for your organization have completed these actions well in advance of the submission deadline. Grants.gov electronic proposal submissions cannot be accomplished before the applicant organization is fully registered.

(3) A Grants.gov getting started checklist is available at:

http://www.grants.gov/web/grants/learn-grants/grants-101/getting-started-checklist.html.

http://www.ecfr.gov/cgi-bin/text-idx?SID=cfcf735c6b8ba181dbca1f1d74579d2d&mc=true&node=sp2.1.200.e&rgn=div6 http://www.ecfr.gov/cgi-bin/text-idx?SID=cfcf735c6b8ba181dbca1f1d74579d2d&mc=true&node=sp2.1.200.e&rgn=div6 http://www.ecfr.gov/cgi-bin/text-idx?SID=cfcf735c6b8ba181dbca1f1d74579d2d&mc=true&node=sg2.1.200_1419.sg16&rgn=div7 http://farsite.hill.af.mil/reghtml/regs/far2afmcfars/fardfars/far/31.htm#P173_33431 http://farsite.hill.af.mil/reghtml/regs/far2afmcfars/fardfars/dfars/dfars231.htm#P58_1299 http://www.grants.gov/ http://www.grants.gov/ http://www.grants.gov/ http://www.grants.gov/ http://www.grants.gov/web/grants/learn-grants/grants-101/getting-started-checklist.html http://www.grants.gov/web/grants/learn-grants/grants-101/getting-started-checklist.html

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(4) Guidance for registering with Grants.gov as an organization may be found at:

http://www.grants.gov/web/grants/applicants/organization-registration.html.

(5) Questions relating to the Grants.gov registration process, system requirements, how an application works, or the proposal submittal process can be answered by email at support@grants.gov, telephone at (800) 518-4726 or (606) 545-5035, or at http://www.grants.gov/web/grants/support.html.

(6) An active System for Award Management (SAM) registration and an active Dun and Bradstreet Data Universal Numbering System (DUNS) number are required to register through Grants.gov. (See section D.4 below)

j. Information Successful Applicants Must Submit After Notification of Selection for Possible Award (Required)

(1) The Grants Officer or Contracting Officer may request additional information from successful applicants during negotiations, or as required to inform their consideration for award.

(2) Contract applicants may be asked to complete and submit additional representations and certifications that are not included in the SAM FAR & DFARS Representations and Certifications Report for your organization. This supplemental submission will be incorporated by reference as Section K of any resultant contract.

(3) Should an applicant not fully comply with information requests by the time AFOSR is ready to make a Federal award, AFOSR may determine that the applicant is not qualified to receive a Federal award and use that determination as a basis for making a Federal award to another applicant.

4. DUNS UNIQUE ENTITY IDENTIFIER, CAGE, AND SYSTEM FOR AWARD

MANAGEMENT (SAM) (REQUIRED)

a. SAM Registration Required unless Exempted

(1) As required in 2 CFR 25.110 all applicants, unless exempted, must:

(a) Be registered in SAM before submitting its application;

(b) Provide a valid DUNS unique entity identifier; and

(c) Continue to maintain an active SAM registration with current information at all times during which it has an active Federal award or an application under consideration by a Federal awarding agency;

(2) A Commercial and Government Entity (CAGE) code is obtained or specified as part of the SAM registration process. A CAGE code is required.

(3) SAM Exemption or Exceptions Not Available Under This Announcement AFOSR will not issue an Agency level exemption to SAM registration under 2 CFR 25.110(d)(1) for applicants under this BAA.

All applicants must comply with the SAM registration requirements, including provision of a DUNS number and CAGE code on each application.

http://www.grants.gov/web/grants/applicants/organization-registration.html http://www.grants.gov/web/grants/support.html http://www.grants.gov/ http://farsite.hill.af.mil/reghtml/regs/far2afmcfars/fardfars/far/15.htm#P116_19205 http://www.ecfr.gov/cgi-bin/text-idx?SID=219be3eb6e12c630fe422424bf45ed8e&mc=true&node=se2.1.25_1110&rgn=div8 http://www.ecfr.gov/cgi-bin/text-idx?SID=219be3eb6e12c630fe422424bf45ed8e&mc=true&node=se2.1.25_1110&rgn=div8 http://www.ecfr.gov/cgi-bin/text-idx?SID=219be3eb6e12c630fe422424bf45ed8e&mc=true&node=se2.1.25_1110&rgn=div8

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b. Questions about SAM Registrations and Updates

(1) Questions relating to the https://www.sam.gov/ registration and entity update process can be answered by live chat at https://www.fsd.gov/fsd-gov/home.do and telephone at (866) 606-8220 or (324) 206-7828.

(2) Top help topics for www.sam.gov are available at https://www.fsd.gov/fsd-gov/learning-center-system.do?sysparm_system=SAM.

c. Consequences of Non-Compliance with SAM Registration Requirements

(1) AFOSR will not make a Federal award to an applicant until the applicant has complied with all applicable unique entity identifier and SAM requirements as required by 2 CFR 25.205.

(2) Applicants cannot receive payments without an active SAM registration that includes a CAGE code.

(3) As authorized by 2 CFR 25.205(b), AFOSR may determine that the applicant is not qualified to receive a Federal award and use that determination as a basis for making a Federal award to another applicant should an applicant not fully comply with SAM registration requirements by the time the Grants or Contracting Officer is ready to make a Federal award decision.

5. SUBMISSION DATES AND TIMES (REQUIRED)

a. Required Proposal Submission Deadline

(1) Proposals must be received electronically through Grants.gov not later than 22 April 2016 at 11:59 PM applicant organization local time to be considered.

This is the final due date.

b. How Proposal Submission Time is Determined by AFOSR

(1) The proposal submission time is determined using the system-generated electronic stamp assigned by Grants.gov at the time of proposal submission.

c. Grants.gov Tracking Number is Application Receipt

(1) Applicants will receive a confirmation page when the application is submitted through Grants.gov. The confirmation page will include a system-generated tracking number assigned at the time of submission. This tracking number serves as your receipt.

(2) The submission time can be verified electronically through the tracking number using the link at http://www.grants.gov/web/grants/applicants/track-my-application.html. Successfully submitted applications are retained and remain visible in your organization’s Grants.gov account.

d. Effect of Missing the Proposal Submission Deadline

(1) Grants.gov will not accept electronic proposals submitted after the submission deadline.

(2) AFOSR will not accept proposals submitted by any means other than electronically through Grants.gov before the due date.

https://www.sam.gov/ https://www.fsd.gov/fsd-gov/home.do https://www.fsd.gov/fsd-gov/learning-center-system.do?sysparm_system=SAM https://www.fsd.gov/fsd-gov/learning-center-system.do?sysparm_system=SAM http://www.ecfr.gov/cgi-bin/text-idx?SID=219be3eb6e12c630fe422424bf45ed8e&mc=true&node=se2.1.25_1205&rgn=div8 http://www.ecfr.gov/cgi-bin/text-idx?SID=219be3eb6e12c630fe422424bf45ed8e&mc=true&node=se2.1.25_1205&rgn=div8 http://www.grants.gov/ http://www.grants.gov/ http://www.grants.gov/ http://www.grants.gov/web/grants/applicants/track-my-application.html http://www.grants.gov/web/grants/applicants/track-my-application.html http://www.grants.gov/

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e. Pre-Proposal Inquiries and Questions Deadline

(1) Pre-proposal Inquiries and Questions Due Date

Pre-proposal inquiries and questions about technical matters or the BAA must be received in writing as described in section G.1 below not later than 04 April 2016 at 11:59 PM applicant organization local time to be considered. Pre-proposal questions are encouraged, but optional.

(2) Replies will be provided as soon as practicable. Replies to all pre-proposal inquiries and questions should be provided by 12 Apr 2016.

f. How Submission Time for Pre-Proposal Inquiries and Questions is Determined by AFOSR The date and time stamped on the emailed question as received by AFOSR will determine the question submission time. AFOSR is not responsible for late or misdirected emails.

g. Effect of Missing the Pre-Proposal Inquiries and Questions Submission Deadline AFOSR will not provide responses or answers to questions received after the Pre-proposal Inquiries and Questions Due Date.

6. INTERGOVERNMENTAL REVIEW (EXCLUDED)

None. This program is excluded from coverage under Executive Order (E.O.) 12372.

7. FUNDING RESTRICTIONS (REQUIRED)

a. Latest Date for a Grant or Contract Award

Any grant or contract issued under this BAA must be awarded not later than 30 Sep 2016.

b. Pre-contract Costs under FAR Cost-reimbursement Contract Awards Federal awards made using a 2 CFR 200.38(a)(2) cost-reimbursement contract instrument under the Federal Acquisition Regulations (FAR) do not allow for reimbursement of pre-contract costs.

c. Pre-award Costs under Grant Agreement Awards Federal awards made using a grant instrument include up to ninety (90) calendar days’ pre-award costs in accordance with the DoD Research and Development General Terms and Conditions, October 2015 (DoD T&C). The DoD T&C waiver of prior approval for these pre-award costs constitutes the prior written approval of AFOSR. The date pre-award costs become allowable is determined by subtracting ninety days from the beginning of the period of performance listed on the awarded grant or contract.

(1) AFOSR prior written approval is required by 2 CFR 200.308(d)(2) for more than the ninety (90) day pre-award costs. Requests for more than one hundred eighty

(180) days pre-award costs will not be considered.

http://www.ecfr.gov/cgi-bin/text-idx?SID=cfcf735c6b8ba181dbca1f1d74579d2d&mc=true&node=se2.1.200_138&rgn=div8 http://www.ecfr.gov/cgi-bin/text-idx?SID=cfcf735c6b8ba181dbca1f1d74579d2d&mc=true&node=se2.1.200_1308&rgn=div8

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(a) The applicant is responsible for documenting why the pre-award costs are necessary and essential to the effort.

(b) The applicant’s business office must request prior approval of more than ninety (90) days pre-award costs during negotiations.

(c) The Grants Officer must seek approval of such costs from the AFOSR Head of the Contracting Activity (HCA) before they can be authorized.

(d) If approved by the HCA and Grants Officer, the date pre-award costs become allowable will be the specific date specified in the grant document.

(e) Approval of more than ninety days pre-award costs will only be considered before the award is made.

(2) All costs incurred before the Federal award are at the recipient's risk as described in 2 CFR 200.308(d)(2). AFOSR is under no obligation to reimburse such costs if for any reason the recipient does not receive a Federal award or if the Federal award is less than anticipated and inadequate to cover such costs.

d. Proposal Preparation Costs The cost of proposal or application preparation in response to this BAA is not considered an allowable direct charge to any resulting award. Such cost is, however, an allowable expense to the normal bid and proposal indirect cost as specified in 2 CFR 200.460 Proposal costs and FAR 31.205-18.

e. AFOSR No-cost Extension (NCE) Policy AFOSR grants NCE’s only in situations in which the extension is truly warranted and properly documented. AFOSR requires prior written approval to extend the period of performance, without additional funds, beyond the expiration date of the grant. For an extension to be granted recipients are to provide notice in writing, and with the supporting reasons, and revised expiration date, at least thirty (30) days prior to the expiration of the award. In no event will the period of performance be extended merely for the purpose of using unobligated balances. Institutions should make every effort to ensure work is completed on time. If an institution deems an NCE is truly warranted, it should submit its request for an extension and supporting reasons to the relevant Program Officer.

f. Other Submission Requirements

(1) Electronic Submission through Grants.gov Required

(2) Pre-application Inquiries and Questions Must Be in Writing

(a) All pre-application inquiries and questions must be submitted in writing by electronic mail as described in section G. Agency Contacts below not later than the date specified in Section D.5.e above.

(b) Questions presented by telephone call, fax message, or other means will not receive a response.

(3) Large Businesses Applying for Contract Funding Greater than $700,000

(a) Large business applicants applying for greater than $700,000 in research funding must include a Small Business Subcontracting Plan in accordance with FAR 52.219-9, including the language at FAR 52.219-9 (Deviation 2013-http://www.ecfr.gov/cgi-bin/text-idx?SID=cfcf735c6b8ba181dbca1f1d74579d2d&mc=true&node=se2.1.200_1308&rgn=div8 http://www.ecfr.gov/cgi-bin/text-idx?SID=cfcf735c6b8ba181dbca1f1d74579d2d&mc=true&node=se2.1.200_1460&rgn=div8 http://www.ecfr.gov/cgi-bin/text-idx?SID=cfcf735c6b8ba181dbca1f1d74579d2d&mc=true&node=se2.1.200_1460&rgn=div8 http://farsite.hill.af.mil/reghtml/regs/far2afmcfars/fardfars/far/31.htm#P558_113055 http://www.acq.osd.mil/dpap/policy/policyvault/USA003870-13-DPAP.pdf

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O0014) in lieu of FAR 52.219-9(l)(2)(i)(C) and (D) for any proposed research that offers subcontracting opportunities. The proposal must provide a justification describing why no subcontracting opportunities exist if the applicant does not provide a Small Business Subcontracting Plan. This justification is subject to the approval of the AFOSR Contracting Officer.

(b) This requirement does not apply to small business concerns that apply for contracts.

E. APPLICATION REVIEW INFORMATION (REQUIRED)

1. CRITERIA

a. Principal Evaluation and Selection Criteria The two (2) principal selection criteria are as shown below. The principal selection criteria are of equal importance to each other. The combined principal selection criteria are more important than all of the additional evaluation criteria combined.

(1) The technical merits of the proposed research and development; and

(2) Potential relationship of the proposed research and development to Department of Defense missions.

Proposals that are deemed not selectable by the technical evaluator based on one or both of the principal evaluation criteria will not be evaluated further.

b. Additional Evaluation and Selection Criteria The three (3) additional evaluation criteria are as shown below.