Combined BAA Solicitation Draft_final W911NF23S0001.pdf

DEVCOM ARMY RESEARCH LABORATORY

BROAD AGENCY ANNOUNCEMENT FOR

FOUNDATIONAL RESEARCH

W911NF-23-S-0001

21 November 2022 – 20 November 2027

ISSUED BY:

U.S. Army Contracting Command

Aberdeen Proving Ground

Research Triangle Park Division

P. O. Box 12211

Research Triangle Park, NC 27709-2211

Special Notes

1. Formatting of the Announcement

The following table provides an overview of the outline structure of this announcement:

I.

A.

1.

a.

i.

(1)

(a)

(i)

2. See Appendix 1 for a Table of Acronyms used in this announcement.

3. See Appendix 2 for a Schedule of Amendments. Applicants are encouraged to frequently check grants.gov, sam.gov, and the ARL website (www.arl.army.mil/) for updates and amendments to this BAA. Special Notices issued against this BAA will be posted to sam.gov.

http://www.arl.army.mil/

TABLE OF CONTENTS

I. OVERVIEW OF THE FUNDING OPPORTUNITY 1

A. Required Overview Content 3

1. Agency Name 3

2. Research Opportunity Title 3

3. Announcement Type 3

4. Research Opportunity Number 3

5. Catalog of Federal Domestic Assistance (CFDA) Number and Title

6. Response Dates 3

B. Additional Overview Information 3

II. DETAILED INFORMATION ABOUT THE FUNDING

OPPORTUNITY

A. Program Description 5

1. Foundational Research Topics of Interest 5

2. Army Research Directorate Targeted Opportunities 6

3. Army Research Office Targeted Opportunities 7

a. Single Investigator Award 7

b. Short-Term Innovative Research Award 7

c. Early Career Program 8

d. Research Instrumentation Program 9

e. Conference and Symposia Grants 10

B. Federal Award Information 12

C. Eligibility Information 15

1. Eligible Applicants 15

2. Cost Sharing or Matching 15

3. Other 15

D. Application and Submission Information 16

1. Address to View Broad Agency Announcement 16

2. Content and Form of Application Submission 16

3. Unique Entity Identifier and System for Award

Management (SAM)

4. Submission Dates and Times 29

5. Intergovernmental Review 30

6. Funding Restrictions 30

7. Other Submission Requirements 30

E. Proposal Review Information 31

1. Evaluation Criteria 31

2. Review and Selection Process 32

3. Recipient Qualification 32

F. Award Administration Information 34

1. Award Notices 34

2. Administrative and National Policy Requirements 34

a. Required Representations and Certifications 34

b. Policy Requirements 38

3. Reporting 44

G. Agency Contacts 45

H. Other Information 46

1. Contract Proposals 46

2. Grant and Cooperative Agreement Proposals 53

APPENDIX 1: TABLE OF ACRONYMS 58

APPENDIX 2: SCHEDULE OF AMENDMENTS 61

I. OVERVIEW OF THE FUNDING OPPORTUNITY

The purpose of this combined Broad Agency Announcement (BAA) under Federal Acquisition

Regulation (FAR) Part 35 and Funding Opportunity Announcement (FOA) under 2 Code of

Federal Regulations (CFR) 200.204 (henceforth referred to as “BAA”) is to solicit research proposals for submission to the U.S. Army Combat Capabilities Development Command

(DEVCOM) Army Research Laboratory (ARL) for funding consideration.

Prior to this announcement, ARL announced two separate BAAs to support the mission: 1)

W911NF-17-S-0002 titled “Army Research Laboratory Army Research Office Broad Agency

Announcement for Fundamental Research”; and 2) W911NF-17-S-0003 titled “Army Research

Laboratory Broad Agency Announcement for Basic and Applied Scientific Research”. This announcement succeeds BAA W911NF-17-S-0002 and BAA W911NF-17-S-0003 combining the opportunities into a single announcement.

ARL’s mission as the Army’s foundational research laboratory is to Operationalize Science to ensure overmatch in any future conflict. ARL’s foundational research mission spans basic research (budget activity 6.1) and applied research (budget activity 6.2) as defined by 32 CFR

22.105 but may include advanced technology development (budget activity 6.3) and advanced component development and prototypes (budget activity 6.4) when opportunities arise to directly or indirectly help achieve ARL’s mission. ARL partners across the national security enterprise to deliver fundamentally advantageous change that is rooted in the creation and exploitation of scientific knowledge.

Whitepapers for initial concept reviews and full proposals are sought from institutions of higher education, nonprofit organizations, state and local governments, foreign organizations, foreign public entities, and for-profit organizations (i.e. large and small businesses) for scientific research that supports the ARL mission and the published ARL research topics of interest. Whitepapers and full proposals are expected to be for cutting-edge innovative research that could produce discoveries having a significant impact on enabling new and improved Army operational capabilities and related technologies.

In an effort to provide ARL's research topics and related information in an easy to digest format with search and filter options, ARL has published the following public website listing all current

ARL research topics: https://www.arl.army.mil/opportunities/arl-baa/, hereafter referenced as the

ARL BAA topics website. Changes to these topics will be made using this website on an as needed basis. A change to the ARL BAA topics website is not an amendment to this BAA and will not be posted on https://www.grants.gov/ and https://sam.gov/. A change to this document, the BAA itself, is an amendment and will be posted on https://www.grants.gov/ and https://sam.gov/. ARL will maintain a daily static snapshot of the ARL BAA topics website to ensure submissions are aligned with listed research topics on the day of submission.

Interested parties are encouraged to continually browse the ARL BAA topics website for white paper and proposal topics that ARL desires to explore. These specific research topics should be viewed as suggestive, rather than limiting. ARL is always interested in considering other innovative research concepts of relevance to the Army if those concepts align with ARL's mission.

Please see Section II, Detailed Information about the Funding Opportunity, for more information https://www.arl.army.mil/opportunities/arl-baa/ https://www.grants.gov/ https://sam.gov/ https://www.grants.gov/ https://sam.gov/ on the ARL research topics advertised through this BAA. Interested parties should also review https://www.grants.gov/ and https://sam.gov/ to obtain the latest version of the BAA for whitepaper and proposal submission requirements.

To conserve valuable applicant and Government resources, and to facilitate determining whether a proposed research idea meets the guidelines described herein, prospective applicants contemplating submission of a whitepaper or proposal are strongly encouraged to contact an ARL

Technical Point of Contact (TPOC) to first discuss the concept. The TPOCs’ names and contact information are listed within each topic description on the ARL BAA topics website.

After initial contact with an ARL TPOC, if an applicant elects to submit a whitepaper or proposal, it should be prepared in accordance with the instructions contained in this BAA. Upon receipt, a whitepaper will be reviewed by the ARL TPOC and a recommendation will be provided to the applicant with either “encouraged to submit a proposal” or “not encouraged to submit a proposal” based on the review and availability of funding. A whitepaper is not required to submit a proposal.

Proposals may be submitted at any time while this BAA is open.

The proposal submission guidelines differ for each legal instrument; therefore, applicants are advised to follow the specific applicable guidelines listed in this BAA for the type of instrument they are proposing. This BAA provides submission guidelines for proposals for FAR-based procurement contracts, as well as assistance instruments and other transactions. Upon review of a proposal, the government will advise applicants on the most appropriate instrument for the proposed work.

In accordance with federal statutes, regulations, and Department of Defense and Army policies, no person on grounds of race, color, age, sex, national origin, or disability shall be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any program or activity receiving financial assistance from the Army.

Applicants submitting proposals are cautioned that only a Contracting Officer, Grants Officer, or

Agreements Officer can obligate the Government to any legal instrument involving federally appropriated funds.

All administrative inquiries regarding this BAA shall be submitted via the ARL Contact Us webpage: https://www.arl.army.mil/contact-us. Scientific and technical questions should be referred to the TPOCs listed with each topic on the ARL BAA topics website:

https://www.arl.army.mil/opportunities/arl-baa/. Interested parties are encouraged to periodically check any of the following websites for updates and amendments to this BAA:

https://www.grants.gov/, https://sam.gov/, or the ARL website BAA page at https://www.arl.army.mil/collaborate-with-us/opportunity/arl-baa/.

DR. PATRICK BAKER

Director

Army Research Laboratory

(End of Section) https://www.grants.gov/ https://sam.gov/ https://www.arl.army.mil/contact-us https://www.arl.army.mil/opportunities/arl-baa/ https://www.grants.gov/ https://sam.gov/ https://www.arl.army.mil/collaborate-with-us/opportunity/arl-baa/

A. Required Overview Content

1. Agency Name U.S. Army Research Office

Issuing Acquisition Office U.S. Army Contracting Command-Aberdeen Proving Ground, Research Triangle Park (ACC-

APG-RTP) Division

2. Research Opportunity Title ARL Broad Agency Announcement (BAA) for Foundational Research for 21 November 2022 – 20

November 2027

3. Announcement Type Announcement

4. Research Opportunity Number

W911NF-23-S-0001

5. Catalog of Federal Domestic Assistance (CFDA) Number and Title

12.431 – Basic Scientific Research

6. Response Dates

This BAA is a continuously open announcement valid throughout the period from the date of issuance through 20 November 2027, unless announced otherwise. This announcement succeeds

BAA W911NF-17-S-0002 and W911NF-17-S-0003 (including all modifications) dated 1 April

2017.

B. Additional Overview Information

This publication constitutes a BAA for awards as contemplated in FAR 6.102(d)(2) and 35.016 as well as a merit-based, competitive procedure in accordance with the Department of Defense

Grant and Agreement Regulations (DoDGARS) at 32 CFR 22.315(a) and the Office of the

Under Secretary of Defense for Acquisition and Sustainment Other Transaction Guide version

1.0 dated November, 2018.

This BAA document, and the online list of research topics found on the ARL BAA topics website at https://www.arl.army.mil/opportunities/arl-baa/, sets forth ARL’s research topics of interest for whitepapers and proposals. This BAA is issued under FAR 6.102(d)(2), which provides for the competitive selection of basic and applied research proposals, and 10 U.S.C.

4001, 10 U.S.C. 4021, and 10 U.S.C. 4022, which provide the authorities for issuing awards https://www.arl.army.mil/opportunities/arl-baa/ under this announcement for basic and applied research. The definitions of basic and applied research may be found at 32 CFR 22.105.

Proposals submitted in response to this BAA and selected for award are considered to be the result of full and open competition and in full compliance with the provision of Public Law 98-

369, “The Competition in Contracting Act of 1984” and subsequent amendments.

Use of a BAA to solicit for research and development is encouraged when:

1. The Government desires new and creative solutions to problem statements.

2. Using a conventional statement of work could result in unintentionally stifling ideas and concepts given many possible approaches.

3. Fulfilling requirements for scientific study and experimentation directed toward advancing the state-of-the-art or increasing knowledge or understanding rather than focusing on a specific system or hardware solution.

4. The Government must be able to state its objectives in terms of areas of need or interest rather than specific solutions or outcomes.

5. Meaningful proposals with varying technical/scientific approaches are reasonably anticipated.

ARL reserves the right to select for award all, some, or none of the proposals submitted in response to this announcement. ARL will provide no funding for direct reimbursement of whitepaper or proposal development costs and such costs are not considered an allowable direct charge to any award resulting from this BAA or any other award. However, these costs may be an allowable expense to the normal bid and proposal indirect costs specified in FAR 31.205-18 for FAR-based awards.

Whitepapers and technical and cost proposals (or any other material) submitted in response to this

BAA will not be returned to the applicant. It is the policy of the Government to treat all proposals as sensitive, competitive information and to mark and disclose their contents only for the purposes of evaluation.

An applicant may withdraw a proposal at any time before award by written notice or by email sent to the Government TPOC identified for the topic in which the proposal was submitted.

II. DETAILED INFORMATION ABOUT THE FUNDING OPPORTUNITY

A. Program Description

1. Foundational Research Topics of Interest

ARL’s mission is to serve as the Army’s principal foundational research agency. ARL is interested in all research proposals that can be shown to enable the future Army to deploy, fight, and win decisively against any adversary, anytime, and anywhere, in a joint, multi-domain, high-intensity conflict, while simultaneously deterring others and maintaining its ability to conduct irregular warfare.

ARL comprises both the Army Research Directorate (ARD) and the Army Research Office

(ARO) whose programs execute research awards under this BAA. The ARD and ARO missions are further defined below to help clarify the different opportunities and topic types that may be found on ARL’s website.

ARL, through its ARD programs focuses on exploiting the most promising disruptive science and technology through in-house research with eligible entities. ARD competitively selects and funds innovative research concepts that can advance in-house research. ARD primarily funds basic research proposals (budget activity 6.1) and applied research proposals (budget activity 6.2) but may also select and fund advanced technology development (budget activity

6.3) and advanced component development and prototypes (budget activity 6.4) to exploit

ARL’s foundational research outcomes and directly or indirectly help achieve ARL’s mission.

The results of these research efforts are transitioned to the Army research and development community, industry, or academia to further the technological superiority of our Soldiers, Army, and nation. ARD-funded research represents a long-range Army view with system applications often 10-20 years away. ARD does not invest in incremental modernization improvements, but does invest in high-risk, high-payoff ideas in basic and applied science that can advance the in-house research mission. Historically, most of the ARD awards are executed as cooperative agreements but can include grants, procurement contracts, research other transactions (OTs) and prototype OTs. For a description of ARD targeted opportunities, see section 2 below.

ARL, through its ARO extramural research program, funds cutting-edge foundational research that could result in innovations having a significant impact on enabling new and improved

Army operational capabilities and related technologies. ARO selects and funds eligible entities conducting scientific studies and experimentation toward advancing the state of the art or increasing basic knowledge and understanding across the sciences. ARO competitively selects and funds basic research proposals across a broad range of scientific disciplines related to long-term national security needs. ARO primarily funds basic research proposals (budget activity

6.1) but may also select and fund applied research proposals (budget activity 6.2). The results of these research efforts are transitioned to the Army research and development community, industry, or academia to further the technological superiority of our Soldiers, Army, and nation.

ARO-funded research represents the most long-range Army view, with system applications often 20–30 years away. The goal of ARO funding research proposals through this BAA is to pursue high-risk, high-payoff ideas in basic science. In this manner, ARO provides the Army with a dynamic method for rapidly investing or divesting in research to ensure the realization of foundational discoveries that will enable future Army capabilities. ARO has allocated funding each year to carry out the Army’s Extramural Research Program to fund foundational research proposals. Most of the ARO awards are executed primarily through grants and cooperative agreements, but also can include procurement contracts and other funding instruments. ARO also provides targeted opportunities, which are described in section 3 below.

In an effort to provide ARL’s research topics and related information in an easy to digest format with search and filter options, ARL has published the following public website listing all current ARL research topics: https://www.arl.army.mil/opportunities/arl-baa/, the ARL

BAA topics website. Interested parties are encouraged to continually browse this website to see the topics ARL is interested in.

To support ARL’s mission, an additional research topic for “Support to ARL Foundation

Research Competencies” can be found on the ARL BAA topics website. Under this research topic, ARL will consider whitepapers and proposals that may not directly align to a topic published by an ARL TPOC, but can demonstrate a strong alignment to ARL’s mission.

ARL’s research mission is executed within identified foundational research competencies that provide the Army foundational expertise and specialized capabilities grounded in scientific excellence and driven by unique Army challenges. ARL is always interested in innovative research whitepapers and proposals outside of the published topics on the ARL BAA topic website that demonstrate a strong alignment to ARL’s foundational research competencies and potential to create discovery, innovation, and transition of technologies for Army transformational overmatch. To learn more about ARL’s foundational research competencies visit the ARL website at https://www.arl.army.mil/what-we-do#competencies/.

A proposal submitted under the “Support to ARL Foundation Research Competencies” topic must clearly describe the research and objectives, and will be considered by ARL if it is aligned to one or more of these foundational research competencies that support the ARL mission. Applicants interested in submitting a proposal under this topic are strongly encouraged to first make preliminary inquiries as to the potential alignment to an ARL foundational research competency and funding availability for the type of research effort contemplated to the listed TPOC on the ARL BAA topics website.

2. Army Research Directorate (ARD) Targeted Opportunities

ARD has no established targeted opportunities outside of the research topics considered for funding proposals submitted under this BAA. Discussion with the cognizant ARD TPOC identified for a given ARD research topic published on the ARL public website is strongly recommended before submission of a whitepaper or proposal.

https://www.arl.army.mil/what-we-do#competencies/

3. Army Research Office (ARO) Targeted Opportunities

ARO has established several types of targeted opportunities to support ARO research topics, based on applications submitted under this BAA. Information about the following opportunities is included below:

• Single Investigator (SI) Award

• Short-Term Innovative Research (STIR) Award

• Early Career Program (ECP) Award

• Research Instrumentation (RI) Award

• Conference and Symposia Grant Award

Unless special eligibility requirements are listed, the eligibility criteria of Section II.C applies.

Also, see Section II.E.1 of this BAA for the evaluation criteria related to these opportunities.

NOTE: ARO is not limited to funding these targeted opportunities; however, they represent most awards ARO is expected to make.

a. Single Investigator (SI) Award

i. Description. SI awards are the most common awards. The objective of the award is to attract outstanding individuals to propose research projects related to the ARO research topics that will result in scientific discoveries.

iii. Research Sought. Proposals are sought for research that supports the ARO research topics identified on the ARL BAA topics website at https://www.arl.army.mil/opportunities/arl-baa/.

As is the case for all other award types, discussions with the cognizant ARO TPOC identified for a given topic at the ARL BAA topics website is strongly recommended before submission of a whitepaper or proposal. The proposal is submitted by the institution where the individual is employed.

iv. Funding Level: ARO encourages discussions with ARO TPOCs for appropriate budget levels depending on the scope of effort. ARO’s standard funding levels for SI awards would support a budget for three years at a level commensurate with supporting a single investigator and one or two graduate students or a post-doc for three years (to include facilities and administrative [F&A] costs).

b. Short-Term Innovative Research (STIR) Award

i. Description. The objectives of the STIR awards are to support rapid, short-term investigations to assess the merit of innovative new concepts in basic research. STIR awards provide an excellent opportunity to showcase new concepts and explore new areas in basic research. Historically, STIR awards have helped shape new directions in research for the

Army.

ii. Research Sought. Proposals are sought for research that supports the ARO research topics identified on the ARL BAA topics website at https://www.arl.army.mil/opportunities/arl-baa/. As is the case for all other award types, discussions with the cognizant ARO TPOC identified for a given topic is strongly recommended before submission of a whitepaper or proposal for a STIR award.

iii. Funding Level. Proposals in the amount of $60,000 or less are sought for STIR awards. Capital equipment cannot be purchased under a STIR Program award. Report preparation costs must not exceed $100. A fee is not permitted under STIR Program awards as they are are awarded as grants. Due to the relatively small dollar amount and short-term nature of these awards, applicants are encouraged to maximize the benefit derived from this funding by prioritizing labor and employing other cost-saving measures in support of the STIR program effort.

iv. Special Proposal Preparation Instructions for STIR Awards.

Applicants should submit proposals with a Project Description (Technical Proposal) that is no more than ten (10) pages long. No brochures or explanatory material should be submitted with the proposal. Proposed research efforts must be "stand alone" and not predicated on the use of any facilities other than those under the direct control of the applicant. Research must be completed within nine (9) months of award.

c. Early Career Program (ECP) Award

i. Description. ECP awards are funded by the Army to support young in career scientists and engineers who have received Ph.D. or equivalent degrees within the last five years and show exceptional ability and promise for conducting basic research. The objective of the ECP

Award is to foster creative basic research in science and engineering; enhance early career development of outstanding young in career investigators; and increase opportunities for the young in career investigators to pursue research in areas relevant to the Army.

ii. Research Sought. Proposals are sought for research that supports the ARO research topics identified on the ARL BAA topics website at https://www.arl.army.mil/opportunities/arl-baa/. As is the case for all other award types, discussions with the cognizant ARO TPOC identified for a given topic is strongly recommended before submission of a whitepaper or proposal.

iii. Funding Level. ECP awards will not exceed $120,000 per year for 3 years.

iv. Special Proposal Preparation Instructions for ECP Awards.

NOTE: The proposal is submitted by the institution where the individual is employed. The proposal must include a supporting letter, both through official channels in the institution where the individual is employed. The proposal must follow the format set forth in Section

II.D.2 (Application and Submission Information) of this BAA. The supporting letter must be from the individual's Department Chairperson, Dean, Supervisor, or other official who speaks https://www.arl.army.mil/opportunities/arl-baa/ https://www.arl.army.mil/opportunities/arl-baa/ for the institution, and should address support for, and commitment to, the applicant. Strong institution support for the applicant is essential. Evidence of this support can include the applicant's salary, release time from administrative responsibilities, the purchase of equipment, support for the applicant's graduate students, any cost sharing, any start-up funding, etc. The proposal must support the institution’s views that the individual is an outstanding investigator, and the institution is making a long-term commitment to the proposal and the research. Any resulting award will be made to the institution, not to the investigator.

d. Research Instrumentation (RI) Award

i. Description. RI awards are designed to improve the capabilities of U.S. institutions of higher education or a nonprofit whose primary purpose is conducting scientific research to conduct research and educate scientists and engineers in areas important to national defense. Funds provided in this award may be used to purchase instrumentation in support of this research or in the development of new research capabilities.

ii. Special Eligibility Requirements. RI awards are open to U.S. institutions of higher education and nonprofit organizations whose primary research is conducting scientific research in accordance with 31 USC §6306.

iii. RI and Research Topics. The RI program may provide funding to purchase instrumentation in support of ARO research topics listed on the ARL BAA topics website at https://www.arl.army.mil/opportunities/arl-baa/ or in the development of new research capabilities. It is highly recommended that potential applicants contact the appropriate ARO

TPOC identified for a topic that aligns to this instrumentation proposal. The ARO TPOCs’ names and contact information are listed within each topic description on the ARL BAA topics website.

iv. Funding Level. ARO highly encourages discussions with ARO TPOCs of appropriate budget levels prior to the submission of RI proposals.

v. Special Proposal Preparation Instructions for RI Awards.

The request for instrumentation shall include the following elements:

(1) The “Project Abstract” is to describe the instrumentation requested and the research to be supported by that instrumentation.

(2) The “Project Description (Technical Proposal)” is to describe how the proposed instrumentation will: (i) establish new research capabilities, (ii) contribute to research currently proposed to DoD, or (iii) enhance the quality of research currently being funded by ARL. It will also include a description of how the proposed instrumentation will interface with or upgrade other research facilities and instrumentation now available. Finally, a description will be included of the amounts and sources of ongoing or proposed support for the research to be supported by the instrumentation.

(3) In the “Cost Proposal,” the budget is to address the instrumentation to be purchased, cost per item, and total cost. Indicate the proposed source of the instrumentation and the name and telephone number of a contact at that source. The budget should indicate the amount of funds to be contributed by any other sources toward the purchase of the instrumentation. Note: Costs associated with equipment/facility modifications are generally considered unallowable and require the review and approval of the Grants Officer.

e. Conference and Symposia Grant Awards

i. Description. The Army supports conferences and symposia (as defined in the DoD

Travel Regulations) in areas of science that bring experts together to discuss recent research or educational findings or to expose other researchers or advanced graduate students to new research and educational techniques. The Army encourages the convening in the United

States of major international conferences, symposia, and assemblies of international alliances.

ii. Special Eligibility Requirements. Notwithstanding the Army's authority to provide grant support for such events DoD does not permit "co-sponsorship" (as defined in DoD 5500.07-R) absent additional high-level staffing and approval. In other words, the conference grant support identified in this BAA is not DoD sponsorship or co-sponsorship since ARL is neither an organizer nor provider of any substantial logistical support for the conferences addressed in this section. Funds provided cannot be used for payment to any federal government employee for support, subsistence, or services in connection with the proposed conference or symposium.

iii. Connection with ARO Research Topics. The Army supports conferences and symposia in areas of science that bring experts together to discuss recent research or educational findings or to expose other researchers or advanced graduate students to new research and educational techniques. It is highly recommended that potential applicants contact the appropriate TPOC identified for a topic that aligns to the conference/symposia proposal. The ARO TPOCs’ names and contact information are listed within each topic description on the ARL BAA topics website at https://www.arl.army.mil/opportunities/arl-baa/.

iv. Funding Level. ARO highly encourages discussions with ARO TPOCs of appropriate budget levels prior to the submission of conference or symposia award applications.

v. Special Proposal Preparation Instructions for Conference or Symposia Awards.

(1) Conference support proposals should be submitted a minimum of six (6) months prior to the date of the conference. A proposal will not be funded if the conference date has already passed.

(2) The “Project Description (Technical Proposal)”, as discussed in for support of a conference or symposium should include the following:

• A one page or less summary indicating the objectives of the project;

• The topics to be covered;

• The location and probable date(s) and why the conference is considered appropriate at the time specified;

• An explanation of how the conference will relate to the research interests of the Army and how it will contribute to the enhancement and improvement of scientific, engineering, and/or educational activities as outlined earlier in the research topic references in this BAA and on the ARL website;

• The name of chairperson(s)/principal investigator (PI)(s) and his/her biographical information;

• A list of proposed participants and the methods of announcement or invitation; and

(3) The “Cost Proposal” should include:

• Total project conference costs by major cost elements;

• Anticipated sources of conference income and amount from each source to document no profit will accrue to the applicant;

• Anticipated use of funds requested; and

• A signed budget.

B. Federal Award Information

The ACC-APG RTP Division and ACC-APG Adelphi Contracting Division have the authority to award a variety of instruments on behalf of ARL. Anticipated awards will be made in the form of procurement contracts, grants, cooperative agreements, Technology

Investment Agreement (TIA), other transactions (OTs) for research, or OTs for prototypes. The ACC-APG RTP Division and ACC-APG Adelphi Contracting Division will select the type of instrument most appropriate for the effort proposed. Applicants should familiarize themselves with these instrument types and the applicable regulations before submitting a proposal. The Following are brief descriptions of the possible award instruments:

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

Contracts are primarily governed by the following regulations:

a. Federal Acquisition Regulation (FAR)

b. Defense Federal Acquisition Regulation Supplement (DFARS)

c. Army Federal Acquisition Regulation Supplement (AFARS)

2. Grant. A legal instrument, consistent with 31 U.S.C. 6304, is used to enter into a relationship:

a. The principal purpose of which is to transfer a thing of value to the recipient to carry out a public purpose of support or stimulation authorized by a law or the United States, rather than to acquire property or services for the Federal Government’s direct benefit or use.

b. In which substantial involvement is not expected between the Federal Government and the recipient when carrying out the activity contemplated by the grant.

c. No fee or profit is allowed.

3. Cooperative Agreement. A legal instrument, consistent with 31 U.S.C. 6305, is used to enter into the same kind of relationship as a grant (see definition “grant”), except that substantial involvement is expected between the Federal Government and the recipient when carrying out the activity contemplated by the cooperative agreement. The term does not include “cooperative research and development agreements” as defined in 15

U.S.C. 3710a. No fee or profit is allowed.

4. Technology Investment Agreement. An assistance instrument as described in 32 CFR

Part 37. A TIA may be a cooperative agreement or an Other Transaction for Research under 10 U.S.C. 4021 both with provisions tailored for involving commercial firms or research involving commercial application. To the maximum extent practicable, TIAs shall provide for a 50/50 cost share between the Government and the applicant. No fee or profit is allowed on TIAs.

5. Other Transaction for Research. A legal instrument, consistent with 10 U.S.C. 4021, which may be used for basic, applied, and advanced research projects. The research covered under this instrument cannot be duplicative of research being conducted under an existing DoD program. To the maximum extent practicable, OTs for research are to provide for a 50/50 cost share between the Government and the applicant. An applicant’s cost share may take the form of cash, independent research and development

(IR&D), foregone intellectual property rights, equipment, access to unique facilities, and/or other means. Due to the extent of cost share, and the fact that an OT for research does not qualify as a “funding agreement” as defined at 37 CFR 401.2(a), the intellectual property provisions of this instrument can be negotiated to provide expanded protection to an applicant’s intellectual property. No fee or profit is allowed on OTs for research.

Please refer to the Office of the Under Secretary of Defense for Acquisition and

Sustainment Other Transaction Guide version 1.0 dated November 2018 for additional information. This document, along with additional other transaction agreement (OTA) resources, may be accessed at the following link:

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

6. Other Transaction for Prototype or Production. A legal instrument, consistent with 10

U.S.C. 4022, which provides DoD the flexibility necessary to adopt and incorporate business practices that reflect commercial industry standards and best practices into its award instruments. OTs for prototypes or production are not FAR-based procurement contracts, grants, cooperative agreements, or OTs for Research. OTs for prototypes or production have specific applications and conditions for use (see Appendix C of the

Other Transactions Guide linked below). The effort covered under an OT cannot be duplicative of effort being conducted under an existing DoD program. Follow-on production contracts and/or an OT may be awarded to a Prototype Other Transaction

Awardee, if applicable. Please refer to the Office of the Under Secretary of Defense for

Acquisition and Sustainment Other Transaction Guide version 1.0 dated November 2018 for additional information. This document, along with other OTA resources, may be accessed at the following link: https://www.acq.osd.mil/asda/dpc/cp/policy/other-policy-areas.html

7. Grants and cooperative agreements for institutions of higher education, nonprofit organizations, foreign organizations, and foreign public entities are primarily governed by the following:

a. Federal statutes

b. Federal regulations

c. 2 CFR Part 200

d. 2 CFR Part 1104

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

f. DoD Research and Development General Terms and Conditions

g. Agency-specific Research Terms and Conditions

8. Grants and cooperative agreements for for-profit and nonprofit organizations exempted from Subpart E—Cost Principles of 2 CFR Part 200, are primarily governed by the following:

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

b. Federal regulations

c. 32 CFR Part 34 – Administrative Requirements for Grants and Agreements with

For-Profit Organizations

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

e. DoD Research and Development General Terms and Conditions

f. Agency-specific Research Terms and Conditions

9. OTs for Research are primarily governed by the following:

a. Federal statutes

b. Federal regulations

c. 32 CFR Part 37 – Technology Investment Agreements

d. DoD Research and Development General Terms and Conditions

e. Agency-specific Research Terms and Conditions

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

(OT) Guide for Research Projects (November 2018, Version 1)

10. OTs for Prototypes or Production are primarily governed by the following:

a. Federal statutes

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

(OT) Guide for Prototype Projects (November 2018, Version 1)

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

a. FAR, DFARS, and AFARS: https://www.acquisition.gov

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

c. DoD Research and Development General Terms and Conditions:

https://www.onr.navy.mil/en/work-with-us/manage-your-award/manage-grant-award/grants-terms-conditions

d. Agency-specific Research Terms and Conditions:

https://www.arl.army.mil/resources/baa-forms/#terms-and-conditions https://www.acquisition.gov/ http://www.ecfr.gov/ https://www/ https://www.arl.army.mil/resources/baa-forms/#terms-and-conditions

C. Eligibility Information

1. Eligible Applicants

Unless noted in Section II.A.3 or as dictated by the award instrument type, eligible applicants under this BAA include institutions of higher education, nonprofit organizations, state and local governments, foreign organizations, foreign public entities, and for-profit organizations

(i.e. large and small businesses). For ARO Targeted Opportunities, please see the specific eligibility requirements in the II.A.3 ARO Targeted Opportunities section above. For specific

Other Transactions for Prototypes eligibility requirements, please see the “Other Transaction for Prototype or Production” section within the II.B. Federal Award Information section.

2. Cost Sharing or Matching

Generally, there is no requirement for cost sharing, matching, or cost participation to be eligible for award under this BAA. Cost sharing and matching is not an evaluation factor used under this BAA. Exceptions may exist if the applicant is proposing the use of an OT for research or prototype as an award instrument. Cost-sharing requirements may be found at 32

CFR Part 37 and in the DoD Other Transaction Guide for Prototype Projects

(https://www.dau.edu/pdfviewer/Source/Guidebooks/Other-Transactions-(OT)-Guide.pdf).

3. Other

Federally Funded Research and Development Centers (FFRDCs) are subject to applicable direct competition limitations and cannot propose to this solicitation in any capacity unless they meet the following conditions. (1) FFRDCs must clearly demonstrate that the proposed work is not otherwise available from the private sector. (2) FFRDCs must provide a letter, on official letterhead from their sponsoring organization, that (a) cites the specific authority establishing their eligibility to propose to Government solicitations and compete with industry, and (b) certifies the FFRDC’s compliance with the associated FFRDC sponsor agreement’s terms and conditions. These conditions are a requirement for FFRDCs proposing to be awardees or subawardees.

University Affiliated Research Centers (UARCs) are eligible to submit proposals under this

BAA if their proposal contains a letter, on official letterhead, from their primary sponsor concurring with the UARC’s proposal submission.

D. Application and Submission Information

1. Address to View Broad Agency Announcement

This BAA may be accessed via the following websites:

a. Grants.gov (www.grants.gov)

b. Contract Opportunities (sam.gov)

c. ARL website https://www.arl.army.mil/collaborate-with-us/opportunity/arl-baa/

Amendments to this BAA, if any, will be posted to these websites when they occur.

Supplemental information on topics, POCs, research areas, specific proposal rules and requirements, and other relevant info may be disseminated through Special Notices posted to the sam.gov Contract Opportunities website. Interested parties are encouraged to periodically check these websites for updates and amendments.

Digital copies of submission forms can be downloaded from https://www.arl.army.mil/resources/baa-forms/. Paper copies of submission forms are available upon request from the point of contact identified for a given topic.

The following information is for those wishing to respond to this BAA:

2. Content and Form of Application Submission

a. The Application Process Overview

Applicants are strongly encouraged to follow the below application process:

• Conduct a preliminary inquiry with an ARL TPOC

• Submit a Whitepaper to an ARL TPOC for review

• Submit a Full Proposal

All proposals for Assistance Instruments (Grants, Cooperative Agreements, and Technology

Investment Agreements) must be submitted electronically through Grants.gov using the

Workspace system. Proposals for Procurement Contracts, OTs for Research that are not

Technology Investment Agreements, and OTs for Prototypes or Production may be submitted via either Grants.gov or email to usarmy.rtp.devcom-arl.mbx.baa@army.mil. See II.D Application and Submission Information section of this BAA for information on the proposal submission process.

b. Preliminary Inquiries*

Interested applicants are strongly encouraged to make a preliminary inquiry by first contacting the ARL TPOC to discuss your ideas and the interests of ARL. ARL receives several hundred research proposals annually and is able to provide support for only a limited number of the http://www.grants.gov/ https://www.arl.army.mil/collaborate-with-us/opportunity/arl-baa/ https://www.arl.army.mil/resources/baa-forms/ mailto:usarmy.rtp.devcom-arl.mbx.baa@army.mil mailto:ARL_BAA@army.mil.

proposals received. ARL realizes the preparation of a research proposal often represents a substantial investment of time and effort by the applicant. Therefore, in an attempt to minimize this burden, ARL TPOCs are available to discuss the general need for the type of research effort contemplated and availability of funding before an interested applicant expends extensive effort in preparing a whitepaper or full proposal. The TPOC names, telephone numbers, and email addresses are listed with each research Topic at the ARL BAA topics website, https://www.arl.army.mil/opportunities/arl-baa/, and they should be contacted, as appropriate, prior to the submission of whitepapers or proposals.

*NOTE: The Government will not be obligated by any discussion that arises out of preliminary inquiries.

c. Whitepaper Preparation and Submission

i. PURPOSE OF WHITEPAPERS:

Prospective proposers are strongly encouraged to submit whitepapers prior to the submission of a complete, more detailed proposal. The purpose of whitepapers is to minimize the labor and cost associated with the production of detailed proposals that have very little chance of being selected for funding. Whitepapers are not full proposals and are meant to provide the ARL

TPOC with enough information to determine if there is interest on the part of ARL to receive a full proposal.

ii. WHITEPAPER CONTENT:

Whitepapers do not have a prescribed format but are not expected to exceed five (5) total pages and are encouraged to be submitted as a single portable document format (PDF) document. The whitepaper should include at a minimum the title of the whitepaper, name of the individual and organization submitting the whitepaper, the research topic name, topic identification (ID) number, and the TPOC name against which the whitepaper is submitted. Whitepapers should focus on describing objective and approach of the proposed research, including how it is innovative, and how it could substantially increase the scientific state of the art. Whitepapers should contain a brief cost estimate to understand a rough order of magnitude of the proposal cost, and any biographical information to highlight applicant’s qualifications and experience.

Any proprietary data must be clearly marked. The applicant must also identify any technical data or computer software contained in the whitepaper that is to be managed by the Government with restrictions, limited rights in technical data and restricted rights in computer software. In the absence of such identification, the Government will conclude there are no limitations or restrictions on technical data or computer software included in the whitepaper. Records or data bearing a restrictive legend may be included in the whitepaper. It is the intent of the Army to treat all whitepapers as procurement sensitive and to disclose their contents to Government employees or designated support contractors only for the purpose of evaluation.

iii. SUBMISSION OF WHITEPAPERS:

Whitepapers should be submitted via email to the TPOC identified in the topic proposed against. Whitepapers submitted via email are encouraged to be submitted as a single PDF file as an email attachment. If no TPOC is specifically listed, prospective applicants can submit information and questions using the ARL’s website Contact Us page at https://www.arl.army.mil/contact-us and selecting BAA Inquiry from the drop-down menu for advice and assistance before preparing and submitting a whitepaper. In the contact form subject line, include the phrase “BAA Whitepaper Submission,” and the research topic name and topic ID number listed at the website.

iv. REVIEW OF WHITEPAPERS:

ARL TPOCs will receive and consider all whitepapers submitted and will provide a response with either “encouraged to submit a proposal” or “not encouraged to submit a proposal”.

d. Full Proposal Preparation and Submission

Proposals must be submitted in order for the applicant to be considered for funding.

Applicants are strongly encouraged to submit whitepapers (see instructions in II.D.2.c White

Paper Preparation and Submission section above) and received a recommendation from an

ARL TPOC to submit a proposal prior to submitting full proposals, however all proposals submitted under the terms and conditions cited in this BAA will be reviewed regardless of the recommendation received from the ARL TPOC, or lack of submission of a whitepaper.

i. COVER PAGE:

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

For all Assistance instruments and contract proposals submitted via Grants.gov, use the SF

424 (R&R) Form. Proposals will not be processed without either: (1) a signed Cover Page, ARO Form 51, or (2) a SF 424 (R&R) Form.

(2) Should the project be carried out at a branch campus or other component of the applicant, that branch campus or component should be identified in the space provided

(Block 11 on the ARO Form 51 and Block 12 on the SF 424 (R&R) Form).

(3) The title of the proposed project should be brief, scientifically representative, intelligible to a scientifically-literate reader, and suitable for use in the public domain.

(4) The proposed duration for which support is requested should be consistent with the nature and complexity of the proposed activity. For research topics listed at the ARL BAA topics website, https://www.arl.army.mil/opportunities/arl-baa/, applicants shall discuss the preferred performance period with the TPOC.

https://www.arl.army.mil/contact-us

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

(6) Pursuant to 31 U.S.C. 7701, as amended by the Debt Collection Improvement Act of 1996

[Section 31001(I)(1), Public Law 104-134] and implemented by 32 CFR 22.420(d), federal agencies shall obtain each awardees’ Taxpayer Identification Number (TIN). The TIN is being obtained for purposes of collecting and reporting on any delinquent amounts that may arise out of an awardees’ relationship with the Government.

(7) Applicants must provide their organization's Unique Entity Identifier (UIE) (formerly

Data Universal Number System (DUNS)). This number is a nine-digit number assigned by D&B Information Services. See Section II.D.3 of this BAA for requirements pertaining to the Unique Entity Identifier.

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

Code. The CAGE Code is a 5-character code assigned and maintained by the Defense

Logistics Service Center (DLSC) to identify a commercial plant or establishment.

ii. TABLE OF CONTENTS:

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

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