BAA 11-001 Amendment 3.pdf

ONR BAA Announcement Number___11-001____ Date: 24 Sep 2010

LONG RANGE BROAD AGENCY ANNOUNCEMENT (BAA) FOR

NAVY AND MARINE CORPS SCIENCE AND TECHNOLOGY

INTRODUCTION:

This publication constitutes a Broad Agency Announcement (BAA) as contemplated in Federal Acquisition Regulation (FAR) 6.102(d)(2) and 35.106, the Department of Defense Grants and Agreements Regulations (DoDGARS) 22.315(a), and DoD’s Other Transaction Guide for Prototypes Projects, USD(AT&L), OT Guide, 21 Dec 2000. A formal Request for Proposals (RFP), other solicitation, or additional information regarding this announcement will not be issued.

The Office of Naval Research (ONR) will not issue paper copies of this announcement.

The ONR reserves the right to fund all, some portion, some or none of the proposals received under this BAA. ONR 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. It is the policy of ONR to treat all proposals as sensitive competitive information and to disclose their contents only for the purposes of evaluation.

This announcement will remain open for approximately one (1) year from the date of publication or until replaced by a successor BAA. Proposals may be submitted at any time during this period. This announcement replaces ONR BAA #10-001 dated 18 Sep 2009.

I. GENERAL INFORMATION

1. Agency Name -

Office of Naval Research

2. Research Opportunity Title -

Long Range Broad Agency Announcement (BAA) for Navy and Marine Corps Science & Technology

3. Program Name –

Not Applicable (N/A)

4. Research Opportunity Number -

BAA 11-001

5. Response Date -

This announcement will remain open until 30 September 2011 or until replaced by a successor BAA, whichever first occurs. Proposals may be submitted at any time during this period.

6. Research Opportunity Description -

The Office of Naval Research (ONR) is interested in receiving proposals for Long-Range Science and Technology (S&T) Projects which offer potential for advancement and improvement of Navy and Marine Corps operations. Readers should note that this is an announcement to declare ONR’s broad role in competitive funding of meritorious research across a spectrum of science and engineering disciplines. A brief description of the ONR Program Codes and the science and technology thrusts that they are pursuing is provided below.

Potential Offerors are urged to check the program areas that they are interested in throughout the year for updates to thrust areas and research priorities. Prior to preparing proposals, potential offerors are strongly encouraged to contact the ONR point of contact (POC). To identify the POC, follow the link for the appropriate code or division listed below and then click on the link to the thrust or topic area that you wish to submit a proposal for. Each thrust or topic area will provide a POC or e-mail address.

Expeditionary Maneuver Warfare & Combating Terrorism Department (Code 30):

Develops and transitions technologies to enable the Navy-Marine Corps team to win and survive on the battlefield. The department invests primarily in asymmetric and irregular warfare, distributed operations, information superiority and communications, and survivability and self defense. Specific thrusts and the associated research areas are:

1) Command, Control, Computers and Communication (C4), which seeks to improve capabilities with an emphasis on small units, asymmetric and irregular warfare, information analysis and communication and distributed operations.

Research areas include network-centric warfare and interoperability, over-the-horizon communications gateways, and small-unit technologies (http://www.onr.navy.mil/Science-Technology/Departments/Code-30/All- Programs/C4.aspx).

2) Fires, which seeks to enable warfighters employed in small, distributed units with tools to locate and decisively destroy larger enemy forces by applying timely, reliable, precise, and accurate fires from a myriad of platforms. Research areas are integrated, lightweight optics and sensors to see through all battlefield conditions and lightweight, organic, advanced weapons for the rapid, accurate and effective application of firepower (http://www.onr.navy.mil/Science- Technology/Departments/Code-30/All-Programs/Fires.aspx). Technology investment areas include:

a) Targeting and engagement;

b) Advanced ammunition;

c) Advanced weapons; and

d) Energetic materials.

3) Force Protection seeks to develop and mature technologies that provide protection from myriad modes of enemy attack through the spectrum of warfare, including concepts such as asymmetric and irregular warfare and distributed operations which concentrate on the small unit and individual warfighters. End products will include protective systems expeditionary in nature, lightweight, and capable of providing a far greater degree of performance than any comparable system currently available. The functional areas of investigation are explosive hazard defeat through detection, breaching and neutralization of all explosive hazards, counter sniper, counter rocket, artillery and mortar, counter-bomber and personal protective equipment. Technology investment areas include detection, neutralization and mitigation (http://www.onr.navy.mil/Science- Technology/Departments/Code-30/All-Programs/Force-Protection.aspx).

4) Human, Social, Culture and Behavior Modeling, which seeks to build capability through development of a knowledge base, building models and training capacity in order to understand, predict and shape human behavior cross-culturally.

Specifically, the program seeks to: a) understand the human, social, cultural and behavioral factors that influence human behavior and to improve our ability to model these influences and understand their impact on human behavior at the individual, group and society-levels; b) Improve computational modeling and simulation capabilities, visualization software toolsets, and training/mission rehearsal systems that provide forecasting capabilities for socio-cultural responses; and c) develop and demonstrate an integrated set of model description data (metadata), information systems, and procedures that will facilitate assessment of the software engineering quality of sociocultural behavior models, their theoretical foundation and the translation of theory into model constructs

Programs/Human-Behavioral-Sciences.aspx).

5) Human Performance Training and Education, which seeks to develop technologies, architectures, and systems that accelerate the training at the individual and team levels by enhancing physical and cognitive preparedness in three areas (http://www.onr.navy.mil/Science-Technology/Departments/Code- 30/All-Programs/Human-Performance-Training.aspx):

a) Enhanced physical readiness;

b) Mental resilience and cognitive agility; and

c) Expertise development.

6) Intelligence, Surveillance and Reconnaissance, which seeks to develop and leverage advanced technologies for applications in future intelligence, surveillance and reconnaissance systems, as well as to enhance situational awareness to enable real-time tactical decision making for distributed operations, and provide proactive and predictive capabilities for asymmetric and irregular warfare. Technology investment areas include a) sensor fields, sensor data collection and networking gaps, entity recognition and urban domain; b) relevant and situational information on demand to address capability gaps associated with the tactical processing of sensor data in order to enable indications and warning such as tag, track and locate; and c) actionable intelligence for expeditionary and irregular warfare to address gaps associated with the translation of information to actionable intelligence. Specific research thrusts include: biometrics, agile tactical sensor networks, acoustic collection and processing, calculation of area atmospherics, and decision prediction (http://www.onr.navy.mil/Science- Technology/Departments/Code-30/All-Programs/Intelligence-Surveillance- ISR.aspx).

7) Logistics, which seeks to provide Marines of the future with a precisely tailored level of sustained logistic support from sea-based platforms to rapidly transport forces ashore. Logistic delivery systems of the future will be more responsive and flexible, enabling Marines to out-pace rapidly changing operational scenarios.

Likewise, delivered logistic commodities will provide more operational value per unit weight, enhancing combat unit self-sufficiency and maneuverability.

Operational units will benefit from technologies that maximize equipment readiness by minimizing both down-time and maintenance requirements

Programs/Logistics.aspx). Technology areas of investment include:

a) Asset visibility;

b) Logistic transport;

c) Operational sustainment; and

d) Maintenance reduction.

8) Maneuver, which explores technologies to increase the warfighting capabilities and effectiveness of the Marine Corps Air Ground Task Force with emphasis on improving survivability and enhancing maneuver and maneuver-enabling systems in both decentralized and asymmetric warfare (http://www.onr.navy.mil/Science- Technology/Departments/Code-30/All-Programs/Maneuver.aspx). Technology investment areas are:

a) Survivability;

b) Autonomous systems; and

c) Fuel efficiency.

Command, Control Communications, Computers, Intelligence, Surveillance, and Reconnaissance (Code 31): Focuses on experimental and theoretical research and technology in these areas with applications across near-, mid- and far-term applications.

The department invests primarily in information superiority and communication, distributed operations, and assure access and hold at risk technologies. Specific thrusts and focused research areas are:

1) Mathematics, Computers and Information Research, which sponsors basic and applied research, and advanced technology development efforts in mathematics, computer and information sciences that address Navy and Department of Defense needs in computation, information processing, information operation, information assurance and cybersecurity, decision tools, and command and control with specific focus on enabling rapid, accurate decision making in network centric environments (http://www.onr.navy.mil/Science-Technology/Departments/Code- 31/All-Programs/311-Mathematics-Computers-Research.aspx). Specific scientific and technical areas include:

a) Applied computational analysis;

b) Command and control;

c) Image analysis and understanding;

d) Information integration;

e) Intelligent and autonomous systems;

f) Mathematical optimization and operations research;

g) Signal processing for networked sensing; and

h) Software and computing systems.

2) Electronics, Sensors and Network Research, which conducts an integrated program of basic and applied research and advanced technology development into technologies that enable new and innovative uses of the electromagnetic spectrum in areas of surface and aerospace surveillance, communications, electronic combat, and navigation. All of these areas are supported by a broad research program in electronics which is focused on the reduction of the cost, weight and size of transmit and receive systems. Two overarching goals are the development of technologies and techniques to support adaptive persistent surveillance, and the development of digital/radio frequency technologies and techniques to support active aperture phased arrays capable of performing multiple functions simultaneously (http://www.onr.navy.mil/Science- Technology/Departments/Code-31/All-Programs/312-Electronics-Sensors.aspx).

Specific scientific and technical areas include:

a) Active aperture array;

b) Atomic, molecular and quantum physics;

c) Communications and networking;

d) Electronic materials and magnetics;

e) Electronic warfare;

f) Electro-optical/infrared sensors and sensor processing;

g) Ionospheric modification;

h) Nanoscale electronics;

i) Navigation and timekeeping;

j) Radar and signal processing;

k) Mixed signal (radio frequency and digital) processing devices, circuits and architecture;

l) Radio frequency superconducting technologies;

m) Radio frequency semiconductors, radio frequency solid state amplifiers and wide bandgap materials; and

n) Vacuum devices.

3) Applications and Transitions, which supports programs in surface and aerospace surveillance, communications, and electronic combat. Research areas in surface and aerospace surveillance include sensors, primarily radar and electro-optical/infrared, and associated sign and image processing methods. Areas of interest in communications include military radio communications with emphasis on anti-jam and low-probability-of-intercept techniques, radio networks, and dynamic internetworking. Electronic combat research areas include threat warning systems, electronic support measures, decoys and electronic countermeasures. Navigation research includes GPS anti-jam and associated inertial navigation techniques (http://www.onr.navy.mil/Science- Technology/Departments/Code-31/All-Programs/313-applications-transitions.aspx).

Ocean Battlespace Sensing (Code 32) explores science and technology in the areas of oceanographic and meteorological observations, modeling and prediction in the battlespace environment; submarine detections and classification (anti-submarine warfare); and mine warfare applications for detecting and neutralizing mines in both the ocean and littoral environment. Specific thrusts and focused research areas are:

1) Ocean Sensing and Systems Application, which conducts an extensive program of scientific inquiry and technology development in maritime sensing, ocean engineering and marine systems, and undersea signal processing (http://www.onr.navy.mil/Science-Technology/Departments/Code-32/All- Programs/Ocean-Systems-321.aspx). Specific technical areas are:

a) Maritime sensing;

b) Ocean engineering & marine systems; and

c) Undersea signal processing.

2) Ocean, Atmosphere and Space Research, which concentrates on improving Navy and Marine Corps understanding of environmental evolution, assimilation of data, and the limits of predictability by planning, fostering and encouraging scientific inquiry and technological development in fields ranging from environmental optics to high latitude dynamics (http://www.onr.navy.mil/Science- Technology/Departments/Code-32/All-Programs/Atmosphere-Research- 322.aspx). Specific technical areas are:

a) Coastal geosciences;

b) Environmental optics;

c) Marine mammal integrated ecosystems;

d) Marine mammal hearing and physiological effects of sound;

e) Marine mammal physiology;

f) Marine mammal population level effects;

g) Marine mammals and biology;

h) Marine mammals controlled exposure experiments;

i) Marine mammal sensing and tag development;

j) Marine mammal models & databases for environmental compliance;

k) Marine mammals monitoring and detection;

l) Marine meteorology and atmospheric effects;

m) Ocean acoustics;

n) Physical oceanography;

o) Space environment; and

p) Special research awards in ocean acoustics.

Sea Warfare and Weapons (Code 33) develops and delivers technologies that enable superior warfighting and energy capabilities for naval forces, platforms and undersea weaponry. Specific thrusts and focused research areas are:

1) Ship Systems and Engineering Research, which is focused on providing technologically superior warfighting capabilities at reduced total ownership costs for surface and subsurface platforms through investments in basic and applied research and advanced technology development of programs in: a) advanced sea platforms, b) sea platform survivability, and c) surface ship hydrodynamics.

Areas of interest that contribute to these areas include: electrical power generation systems and equipment; energy conversion, distribution, and storage; electro-mechanics; thermoelectric; phototonics; thermal energy management; stability and control of electrical networks; ship design and analysis; systems engineering;

ship systems integration; hydromechanics; maneuvering and seakeeping;

hydroacoustics; structural mechanics; solid mechanics; thermo-mechanics;

structural acoustics; structural dynamics; computational mechanics; advanced structural systems; protection systems and design methodology; automation;

control of dynamic systems; damage control and firefighting; control of acoustic and non-acoustic signatures; high speed platforms; sense and respond logistics;

and inter-and intra-ship material movement and tracking (http://www.onr.navy.mil/Science-Technology/Departments/Code-33/All- Programs/331-ship-systems-engineering.aspx).

2) Naval Materials, which covers a full spectrum of activities from long-range, fundamental scientific and engineering research in the design and realization of new materials and systems to fulfilling the unique requirements of marine and military applications. Experimental work is closely coupled with the development of models and predictive capabilities for materials properties and behavior (http://www.onr.navy.mil/Science-Technology/Departments/Code- 33/All-Programs/332-naval-materials.aspx). Specific research themes are:

a) Bulk nanostructured materials;

b) Capacitors for pulsed power applications;

c) Composite materials development and processing;

d) Environmentally benign marine antifouling coatings;

e) Electrochemical power sources;

f) Electronic and optical ceramics;

g) Environmental quality waste treatment/reduction;

h) Fracture and fatigue damage of Navy structural materials focuses on three areas: fatigue of structural materials, fracture in PZT materials and deformation/fracture in nanostructured materials;

i) Functional polymeric organic materials;

j) Future Naval fuels;

k) High temperature materials;

l) Inorganic/semiconductor material & nanostructured inorganic materials;

m) Solid mechanics;

n) Structural cellular materials;

o) Structural metals; and

p) Water desalination.

3) Sea Platforms and Weapons is focused on coordinating the transition of technologically superior systems and equipment that will enhance warfighting capabilities. This is accomplished through the University Laboratory Initiative, which was established in part to increase the number of engineers and scientists in Navy laboratories and University Affiliated Research Centers that conduct research and development of undersea weapon technology. Core technology areas for applied research and technology development include: guidance and control; sensors; signal processing; planning and control algorithms; signal management for undersea distributed network systems (UDNS); weapon energy conversion; batteries, air-independent fuel cells and hybrids; motors; otto fuel replacements; vehicle technology; liquid fuels for “gas and go” concepts;

corrosion and anti-fouling coatings; hydrodynamics; control surfaces; propulsors;

drag and noise reduction; projectiles; warheads; explosives; detonators; and fuses (http://www.onr.navy.mil/Science-Technology/Departments/Code-33/All- Programs/333-sea-platforms-weapons.aspx).

Warfighter Performance (Code 34) enhances warfighter effectiveness and efficiency through bioengineered and biorobotic systems, medical technologies, improved manpower, personnel, training and system design. Specific thrusts and focused research areas are:

1) Human and Bioengineered Systems covers cognitive science, computational neuroscience, bioscience and bio-mimetic technology, physiology and biophysics, immunology, social/organizational science, training, human factors, and decision making. The goals are: sustained and improved warfighter performance and enhanced decision making in all environments through training and biomedical technologies; creating options for future (perhaps unanticipated) naval decisions, based upon fundamental understanding gained from cognitive and neuroscience;

supporting integrated interdisciplinary research program; and cultivating transition of findings to government and industry via advanced technology development, small business and acquisition projects (http://www.onr.navy.mil/Science-Technology/Departments/Code-34/All- Programs/human-bioengineered-systems-341.aspx). Specific thrusts and focused research are:

a) Affordable human behavior modeling;

b) Agile and reconfigurable organizational structures for command and control;

c) Applied instructional research;

d) Bio-energy harvesting;

e) Biometrics in the maritime domain;

f) Biorobotics;

g) Computational neuroscience;

h) Engineered functional organisms;

i) Human activity recognition;

j) Human robot interaction;

k) Marine biofouling;

l) Marine mammal immunobiology;

m) Metabolic engineering;

n) Microbial synthesis of energetic materials;

o) Multi-echelon command decision making;

p) Naval environmental biology;

q) Next generation antibiotics;

r) Novel biomolecular materials;

s) Perception, metacognition and cognitive control;

t) Representing and reasoning about uncertainty;

u) Skill acquisition;

v) Social network analysis for combating terrorist networks;

w) Stress physiology and biophysics;

x) Theoretical foundations for socio-cognitive architectures; and

y) Virtual technologies and environments.

2) Warfighter Protection and Applications conducts research and technology demonstration programs directed at maintaining the survival, health and performance of Navy and Marine Corps personnel during training, routine and special operations, and in time of war. The goals are to: increase the survival of casualties through intermediate, life-saving treatment and stabilization; prevent personnel injury caused by the stresses of demanding Naval occupations and environments; enhance cognitive and physiological performance of Navy and Marine Corps personnel in military environments; prepare Sailors and Marines to fight and win in an information rich, distributed battlespace; get the right warfighters into the right job, at the right time with the right tools; and provide a 21st century learning environment designed to deliver the right training (http://www.onr.navy.mil/Science-Technology/Departments/Code-34/All- Programs/warfighter-protection-applications-342.aspx). Specific thrusts and topics of interest are:

a) Casualty care and management;

b) Casualty prevention;

c) Human systems integration;

d) Manpower and personnel;

e) Noise induced hearing loss; and

f) Undersea medicine.

Naval Air Warfare and Weapons (Code 35) supports the Navy’s power projection needs, fostering the technology development of naval aircraft, structures, propulsion, autonomy, energetic, directed energy and electric weapons. Specific thrusts and areas of research are:

1) Aerospace science research focuses on weapons and aerospace technologies which directly support naval science and technology requirements for joint strike warfare involving air superiority and precision attack, and air and surface battlespace requirements of joint littoral aircraft involving aircraft, naval surface fire support and ship self defense. The focus is on exploratory and advanced development programs in the following areas:

a) Advanced aerospace propulsion;

b) Aviation technology;

c) Combat safe insensitive munitions;

d) Counter directed energy;

e) Energetics;

f) High-density reactive materials;

g) High-energy dense oxidizers;

h) High-speed weapons;

i) Intelligent autonomy;

j) Maritime laser demonstration;

k) Maritime WMD detection;

l) RATTLRS flight demonstration;

m) Science of autonomy;

n) Turbine engines; and

o) Unmanned air systems.

2) Air warfare and naval weapons applications focus on applied research and advanced technology aligned with current and future naval capability gaps and innovative naval prototypes in the following areas:

a) Air platform safety;

b) Applied electromagnetic;

c) Autonomy for collaborating systems;

d) Directed energy;

e) Discriminate terminal guidance;

f) Electromagnetic railgun;

g) Enhanced weapons systems;

h) Free electron laser;

i) Future naval capabilities;

j) Helicopter low-level operations (HELO);

k) Increased capabilities; and

l) Laser-Based Helicopter Landing Aids (LBHLA).

Awards under this BAA may also be made for the 2010 Chief of Naval Research (CNR) Challenge. Conference attendees can submit white paper on CDs in person at the CNR conference booth on November 8 through November 10, 2010 or e-mail to Craig A. Hughes at Craig.a.huges@navy.mil .

This year’s challenge topics are:

1. Enhanced Perception System for Autonomous Ground Navigation

2. Compressive Sensing for Urban Warfare

3. Flow Noise Mitigation by Fish

4. Chlorine Resistant Seatwater Reverse Osmosis Membranes

5. Measurement Technology for High-Noise Assessments

6. Directed Energy in Maritime Environments

Content Format:

White papers must include the following information:

Presentation title Author’s name, title, organization, phone and fax numbers, e-mail and mailing addresses

Applicable ONR department, or code, and point of contact

Limited explanation of no more than 500 words. Your submission should clearly indicate the program and/or research area you are addressing;

describe your deliverable (e.g., study, prototype, proof-of-concept paper, etc.), approach and timeline; and outline how your idea supports the Naval Science and Technology Strategic Plan (along with any potential non-military applications, if applicable).

Submission To submit white paper, download a copy of the challenge white paper form. Once

7. Point(s) of Contact –

Questions of a technical nature should be submitted to the ONR POC whose program best matches the offeror’s field of interest as listed in section 6 above. Through the ONR POC, prospective offerors will be connected to the cognizant ONR Program Officer.

Questions of a business nature should be submitted to:

Millie Abdi Contract Specialist Office of Naval Research Acquisition Department, Code BD255 One Liberty Center 875 N. Randolph Street Arlington, VA 22203-1995 Email Address: misale.abdi@navy.mil

Questions of a security nature should be submitted to:

received, ONR will provide you with a receipt acknowledging your submission.

If your white paper is selected, you will need to submit a proposal in accordance with this BAA. See section IV Application and Submission information.

Evaluation Entries will be reviewed after the conference with all submissions evaluated based on individual merit, applicability, relation to naval energy and research needs. For a look at the tentative response timeline, review the milestone and dates below:

Date Milestone Nov 8 –Nov 10, 2010 White papers submitted November ONR reviews and selects paper for follow up discussion December All authors notified if selected or not January 2011 ONR works with white paper authors of selected technologies to ensure full proposals are submitted in accordance with this BAA. See section IV Application and Submission information.

Spring 2011 Funding allocated and awarded based on full proposals.

For additional information regarding this year’s challenge topics or submission process, click on http://www.onr.navy.mil/Conference-Event-ONR/science-technology-partnership/2010-CNR-Challenge.aspx or contact Craig A. Hughes at 703-696-3039.

Diana Pacheco Information Security Specialist Office of Naval Research Security Department, Code 43 One Liberty Center 875 N. Randolph Street Arlington, VA 22203-1995 Email Address: diana.pacheco@navy.mil

Note: All UNCLASSIFIED communications shall be submitted via e-mail to the Technical Point of Contact (POC), with a copy to the designated Business POC.

CLASSIFIED questions shall be handled through the ONR Security POC. Specifically, any entity wanting to ask a CLASSIFIED question shall send an email to the ONR Security POC with a copy to both the Technical POC and the Business POC stating that the entity would like to ask a CLASSIFIED question. DO NOT EMAIL ANY CLASSIFIED QUESTIONS.

The Security POC will contact the entity and arrange for the CLASSIFIED question to be asked through a secure method of communication.

Amendments will be posted to one or more of the following web pages:

-Federal Business Opportunities (FEDBIZOPPS) Webpage – https://www.fbo.gov/ -Grants.gov Webpage – http://www.grants.gov/ -ONR Broad Agency Announcement (BAA) Webpage -http://www.onr.navy.mil/en/Contracts-Grants/Funding-Opportunities/Broad-Agency- Announcements.aspx

8. Instrument Type(s) -

Awards may take the form of contracts, grants, cooperative agreements, and other transaction agreements, as appropriate.

9. Catalog of Federal Domestic Assistance (CFDA) Number -

12.300

10. Catalog of Federal Domestic Assistance (CFDA) Title -

Department of Defense (DOD) Basic and Applied Scientific Research

11. Other Information -

Work funded under this BAA may include basic research, applied research and some advanced research. With regard to any restrictions on the conduct or outcome of work funded under this BAA, ONR will follow the guidance on and definition of “contracted fundamental research” as provided in the Under Secretary of Defense (Acquisition, Technology and Logistics) Memorandum of 24 May 2010.

As defined therein the definition of “contracted fundamental research,” in a DoD contractual context, includes [research performed under] grants and contracts that are (a) funded by Research, Development, Test and Evaluation Budget Category 1 (Basic Research), whether performed by universities or industry or (b) funded by Budget Category 2 (Applied Research) and performed on campus at a university. The research shall not be considered fundamental in those rare and exceptional circumstances where the applied research effort presents a high likelihood of disclosing performance characteristics of military systems or manufacturing technologies that are unique and critical to defense, and where agreement on restrictions have been recorded in the contract or grant.

Pursuant to DoD policy, research performed under grants and contracts that are a) funded by Budget Category 6.2 (Applied Research) and NOT performed on-campus at a university or b) funded by Budget Category 6.3 (Advanced Research) does not meet the definition of “contracted fundamental research.” In conformance with the USD(AT&L) guidance and National Security Decision Direction 189, ONR will place no restriction on the conduct or reporting of unclassified “contracted fundamental research,” except as otherwise required by statute, regulation or Executive Order. For certain research projects, it may be possible that although the research being performed by the prime contractor is restricted research, a subcontractor may be conducting “contracted fundamental research.” In those cases, it is the prime contractor’s responsibility in the proposal to identify and describe the subcontracted unclassified research and include a statement confirming that the work has been scoped, negotiated, and determined to be fundamental research according to the prime contractor and research performer.

Normally, fundamental research is awarded under grants with universities and under contracts with industry. Non-fundamental research is normally awarded under contracts and may require restrictions during the conduct of the research and DoD pre-publication review of such research results due to subject matter sensitivity. Potential Offerors should consult with the appropriate ONR POCs to determine whether the proposed effort would constitute basic research, applied research or advanced research.

FAR Part 35 restricts the use of Broad Agency Announcements (BAAs), such as this, to the acquisition of basic and applied research and that portion of advanced technology development not related to the development of a specific system or hardware procurement. Contracts and grants and other assistance agreements made under BAAs are for scientific study and experimentation directed towards advancing the state of the art and increasing knowledge or understanding.

THIS ANNOUNCEMENT IS NOT FOR THE ACQUISITION OF TECHNICAL,

ENGINEERING AND OTHER TYPES OF SUPPORT SERVICES.

II. AWARD INFORMATION

The amount and period of performance of each selected proposal may vary depending on the research area and the technical approach to be pursued by the selected offeror.

Awards may be funded with Fiscal Year 2010 basic research appropriations and, if so, will be subject to the reimbursement limit on indirect costs set forth in Section 8101 of the Department of Defense Appropriations Act, 2010 (P.L. 111-118). Indirect costs for basic research may not exceed 35% of the total funds provided.

For the past three years Congress has placed limits on the percentage of indirect costs that can be paid by the government using basic research (6.1) funds. Currently indirect costs paid under contracts and grants for the performance of basic research may not exceed 35 percent. It is unknown at present whether a similar indirect cost restriction will apply to

6.1 funds in FY 2011 or thereafter.

In the case of funded proposals for the production and testing of prototypes, ONR may during the contract period add a contract line item or contract option for the provision of advanced component development or for the delivery of additional prototype units.

However, such a contract addition shall be subject to the limitations contained in Section 819 of the National Defense Authorization Act for Fiscal Year 2010.

III. ELIGIBILITY INFORMATION

All responsible sources from academia and industry may submit proposals under this BAA. Historically Black Colleges and Universities (HBCUs) and Minority Institutions (MIs) are encouraged to submit proposals and join others in submitting proposals.

However, no portion of this BAA will be set aside for HBCU and MI participation.

Federally Funded Research & Development Centers (FFRDCs), including Department of Energy National Laboratories, are not eligible to receive awards under this BAA.

However, teaming arrangements between FFRDCs and eligible principal bidders are allowed so long as they are permitted under the sponsoring agreement between the Government and the specific FFRDC.

Navy laboratories and warfare centers as well as other Department of Defense and civilian agency laboratories are also not eligible to receive awards under this BAA and should not directly submit either white papers or full proposals in response to this BAA.

If any such organization is interested in one or more of the programs described herein, the organization should contact an appropriate ONR POC to discuss its area of interest. The various scientific divisions of ONR are identified at http://www.onr.navy.mil/. As with FFRDCs, these types of federal organizations may team with other responsible sources from academia and industry that are submitting proposals under this BAA.

Teams are also encouraged and may submit proposals in any and all areas. However, Offerors must be willing to cooperate and exchange software, data and other information in an integrated program with other contractors, as well as with system integrators, selected by ONR.

Some topics cover export controlled technologies. Research in these areas is limited to “U.S. persons” as defined in the International Traffic in Arms Regulations (ITAR) - 22 CFR § 120.1 et seq.

For Grant, Cooperative Agreement, and Other Transaction Agreement applications:

The Federal Funding Accountability and Transparency Act of 2006 (Public Law 109- 282), as amended by Section 6202 of Public Law 110-252, requires that all agencies establish requirements for recipients reporting information on subawards and executive total compensation as codified in 2 CFR 33.110. Any company, non-profit agency or university that applies for financial assistance (either grants, cooperative agreements or other transaction agreements) as either a prime or sub-recipient under this BAA must provide information in its proposal that describes the necessary processes and systems in place to comply with the reporting requirements identified in 2 CFR 33.220. An entity is exempt from this requirement UNLESS in the preceding fiscal year it received: a) 80 percent or more of its annual gross revenue in Federal contracts (and subcontracts), loans, grants (and subgrants), and cooperative agreements; b) $25 million or more in annual gross revenue from Federal contracts (and subcontracts), loans, grants (and subgrants), and cooperative agreements; and c) the public does not have access to information about the compensation of the senior executives through periodic reports filed under section 13(a) or 15(d) of the Securities Exchange Act of 1934 or section 6104 of the Internal Revenue Code of 1986.

IV. APPLICATION AND SUBMISSION INFORMATION

1. Application and Submission Process -

“White Papers” are frequently desired by ONR Program Officers. Offerors should consult the cognizant ONR Program Officer regarding the desirability of “White Paper” submissions. The various scientific divisions of ONR are identified at http://www.onr.navy.mil/en/Science-Technology/Contacts.aspx.

2. Content and Format of White Papers/Full Proposals –

White Papers and Full Proposals submitted under the BAA are expected to be unclassified; however, classified proposals are permitted. If a classified proposal is submitted, the resultant contract will be unclassified.

Unclassified Proposal Instructions:

Unclassified proposals shall be submitted in accordance with paragraphs 5 and 6 of Section IV.

Classified Proposal Instructions:

Classified proposals shall be submitted directly to the attention of ONR’s Document Control Unit at the following address and marked in the following manner:

OUTSIDE ENVELOPE (no classification marking):

“Office of Naval Research Attn: Document Control Unit ONR Code 43 875 North Randolph Street Arlington, VA 22203-1995”

The inner wrapper of the classified White Paper and/or Full Proposal should be addressed to the attention of the TPOC, ONR Code XX and marked in the following manner:

INNER ENVELOPE (stamped with the overall classification of the material)

“Program:

Office of Naval Research ATTN: ONR Program Officer Name ONR Code: ONR Program Officer Code 875 North Randolph Street Arlington, VA 22203-1995”

An ‘unclassified’ Statement of Work (SOW) must accompany any classified proposal.

Proposal submissions will be protected from unauthorized disclosure in accordance with FAR Subpart 15.207, applicable law, and DoD/DoN regulations. Offerors are expected to appropriately mark each page of their submission that contains proprietary information.

IMPORTANT NOTE: Titles given to the White Papers/Full Proposals should be descriptive of the work they cover and not be merely a copy of the title of this solicitation.

Alternatives to the format and content identified below may be appropriate depending on the scope and nature of the proposed effort. Coordinate any alternative proposal formats and contents relating to white papers and proposals with the cognizant ONR Program Officer. Alternative formats and content may be directed by the ONR Program Officer or may result from Offerors’ suggestions approved by the ONR Program Officer.

a. WHITE PAPERS

White Paper Format

Paper Size – 8.5 x 11 inch paper Margins – 1 inch Spacing –single-spaced Font – Times New Roman, 12 point

Copies – Electronic (email) submissions should be sent to the attention of the TPOC at: Email Address of the TPOC, e.g. Jane.Doe@navy.mil. The subject line of the email shall read “ONR BAA 11-001 White Paper Submission”. The white paper must be a Microsoft Word 2003 or .PDF format attachment to the email.

NOTE: 1) Do not send hardcopies of White Papers (including Facsimiles) as only electronic submissions will be accepted and reviewed; 2) Do not send .ZIP files; 3) Do not send password protected files.

White Paper Content

Cover Page: The Cover Page shall be labeled “WHITE PAPER” and shall include the BAA number 11-001, proposed title, technical points of contact, telephone number, facsimile number, and e-mail address.

Technical Concept: A description of the technology innovation and technical risk areas.

For Basic Research

Future Naval Relevance (where applicable): A description of potential Naval relevance and contributions of the effort to the agency’s specific mission.

For Applied Research and Advanced Technology Development

Operational Naval Concept (where applicable): A description of the project objectives, the concept of operation for the new capabilities to be delivered, and the expected operational performance improvements.

Operational Utility Assessment Plan (where applicable): A plan for demonstrating and evaluating the operational effectiveness of the Offeror’s proposed products or processes in field experiments and/or tests in a simulated environment.

b. FULL PROPOSALS

INSTRUCTIONS FOR CONTRACTS, COOPERATIVE AGREEMENTS AND

OTHER TRANSACTION AGREEMENTS (Does not include Grants)

NOTE: Submission instructions under this Broad Agency Announcement have changed significantly from previous requirements. Potential Offerors are advised to carefully read and follow the instructions below. The new format and requirements have been developed to streamline and ease both the submission and the review of proposals. Both the Template and the Spreadsheet have instructions imbedded into them that will assist in completing the documents. Also, both the Template and the Spreadsheet require completion of cost-related information – both documents must be fully completed to constitute a valid proposal.

All proposals must use ONR’s Technical and Cost Proposal Template and Cost Proposal Spreadsheet. The Template can be found by following this link:

http://www.onr.navy.mil/Contracts-Grants/submit-proposal/contracts-proposal/cost-proposal.aspx . Please note that all the attachments listed in Section III.8 of the Template can be incorporated into the Template file for submission.

The Cost Proposal Spreadsheet can be found by following this link:

http://www.onr.navy.mil/Contracts-Grants/submit-proposal/contracts-proposal/cost-proposal.aspx . Click on the “proposal spreadsheet” link and save a copy of the spreadsheet. Instructions for completion have been embedded into the spreadsheet. Any proposed options that are identified in the Technical and Cost Proposal Template, but are not fully priced out in the Cost Proposal Spreadsheet will not be included in any resulting contract or other transaction. If proposing options, they must be separately priced and separate spreadsheets should be provided for the base period and each option period.

For proposed subcontracts or interorganizational transfers over $150,000, Offerors must provide a separate fully completed Cost Proposal Spreadsheet in support of the proposed costs. This spreadsheet, along with supporting documentation, must be provided either in a sealed envelope with the prime’s proposal or via e-mail directly to both the Program Officer and the Business Point of Contact at the same time the prime proposal is submitted. The e-mail should identify the proposal title, the prime Offeror and that the attached proposal is a subcontract, and should include a description of the effort to be performed by the subcontractor. Offerors should also familiarize themselves with the new subcontract reporting requirements set forth in Federal Acquisition Regulation (FAR) clause 52.204-10, Reporting Executive Compensation and First-Tier Subcontract Awards. From October 1, 2010 through February 28, 2011, any newly awarded subcontract must be reported if the prime contract award amount is $550,000 or more.

Starting March 1, 2011, any newly awarded subcontract must be reported if the prime contract award amount was $25,000 or more. The pertinent requirements can be found in Section VII, Other Information, of this document.

Offerors should submit (1) original, an appropriate number of hard copies as discussed with the cognizant Program Officer, and one electronic copy on a DVD (in Microsoft® Word or Excel 2003 compatible format).

INSTRUCTIONS FOR GRANTS (Does not include contracts, cooperative agreements and other transaction agreements)

The following information must be completed as follows in the SF 424 to ensure that the application is directed to the correct individual for review: Block 4a, Federal Identifier: Enter the previous ONR award number, or N00014 if the application is not a renewal or expansion of an existing award; Block 4b, Agency Routing Number, Enter the three (3) digit Program Office Code (i.e., 331) and the Program Officer’s name, last name first, in brackets (i.e., [Shifler, David]).

Applicants who fail to provide a Department code identifier may receive a notice that their proposal will be rejected.

Please note that Volume I, Technical Proposal should be submitted as an attachment to the SF 424 rather than being inserted into Block 7, Project Narrative. Block 7 should be completed with a statement that Volume 1 is attached. To attach the Technical Proposal, open the Attachment Form in the Optional Documents box of the application package, scroll down to the Attachment page, and follow the instructions. The file should be titled “Volume I

– Technical Proposal.”

Full Proposal Format – Volume 1 - Technical and Volume 2 - Cost Proposal

• Paper Size – 8.5 x 11 inch paper

• Margins – 1 inch

• Spacing – single-spaced

• Font – Times New Roman, 12 point

• Discuss the limit on the number of pages for Volume I with the cognizant Program Officer. There are no page limitations to the Cost Proposal, Volume 2.

• Copies – the full proposal should be submitted electronically at http://www.grants.gov/ as delineated in paragraph 5 below.

Volume 1: Technical Proposal

• Cover Page: This should include the words “Technical Proposal” and the following:

1) BAA number 11-001;

2) Title of Proposal;

3) Identity of prime Offeror and complete list of subawards, if applicable;

4) Technical contact (name, address, phone/fax, electronic mail address)

5) Administrative/business contact (name, address, phone/fax, electronic mail address) and;

6) Proposed period of performance (identify both the base period and any options, if included).

• Table of Contents: An alphabetical/numerical listing of the sections within the proposal, including corresponding page numbers.

Technical Approach and Justification: The major portion of the proposal should consist of a clear description of the technical approach being proposed. This discussion should provide the technical foundation/justification for pursuing this particular approach/direction and why one could expect it to enable the objectives of the proposal to be met. Offerors should limit the number of pages for this section to 15 pages.

Include for Basic Research, if it applies.

• Future Naval Relevance (where applicable): A description of potential Naval relevance and contributions of the effort to the agency’s specific mission.

For Applied Research and Advanced Technology Development, if it applies.

• Operational Naval Concept (where applicable): A description of the project objectives, the concept of operation for the new capabilities to be delivered, and the expected operational performance improvements.

• Operational Utility Assessment Plan (where applicable): A plan for demonstrating and evaluating the operational effectiveness of the Offeror’s proposed products or processes in field experiments and/or tests in a simulated environment.

• Project Schedule and Milestones: A summary of the schedule of events and milestones:

• Reports:

The following are sample data deliverables that are typically required under a research effort:

Technical and Financial Progress Reports Final Report

Grants and other agreements do not include the delivery of software, prototypes, and other hardware deliverables.

• Management Approach: Identify which personnel and subcontractors/subrecipients (if any) will be involved. Include a description of the facilities that are required for the proposed effort, along with a description of any Government Furnished Equipment/Hardware/ Software/Information required, by version and/or configuration.

• Current and Pending Project and Proposal Submissions: Offerors are required to provide information on all current and pending support for ongoing projects and proposals, including subsequent funding in the case of continuing contracts, grants, and other assistance agreements. Offerors shall provide the following information of any related or complementary proposal submissions from whatever sources (e.g., ONR, Federal, State, local or foreign government agencies, public or private foundations, industrial or other commercial organizations).

The information must be provided for all proposals already submitted or submitted concurrently to other possible sponsors, including ONR. Concurrent submission of a proposal to other organizations will not prejudice its review by ONR:

1) Title of Proposal and Summary;

2) Source and amount of funding (annual direct costs; provide contract and/or grant numbers for current contracts/grants);

3) Percentage effort devoted to each project;

4) Identity of prime Offeror and complete list of subcontractors, if applicable;

5) Technical contact (name, address, phone/fax, electronic mail address)

6) Administrative/business contact (name, address, phone/fax, electronic mail address);

7) Period of performance (differentiate basic effort);

8) The proposed project and all other projects or activities requiring a portion of time of the Principal Investigator and other senior personnel must be included, even if they receive no salary support from the project(s);

9) The total award amount for the entire award period covered (including indirect costs) must be shown as well as the number of person-months or labor hours per year to be devoted to the project, regardless of source of support; and

10) State how projects are related to the proposed effort and indicate degree of overlap.

• Qualifications: A discussion of the qualifications of the proposed Principal Investigator and any other key personnel. Include resumes or curricula vitae for the Principal Investigator, other key personnel and consultants. The resumes/curricula vitae shall be attached to the proposal.

Volume 2: Cost Proposal

The offeror must use the Grants.gov forms from the application package template associated…