DAC BAA W911NF23S0003_20230105 FINAL.pdf

DEVCOM ANALYSIS CENTER

BROAD AGENCY ANNOUNCEMENT FOR

APPLIED RESEARCH

W911NF-23-S-0003

05 January 2023 – 04 January 2028

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 and sam.gov for updates and amendments to this BAA. Special Notices issued against this BAA will be posted to sam.gov.

TABLE OF CONTENTS

I. OVERVIEW OF THE FUNDING OPPORTUNITY 1

A. Required Overview Content 5

1. Agency Name 5

2. Issuing Acquisition Office 5

3. Research Opportunity Title 5

4. Announcement Type 5

5. Research Opportunity Number 5

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

7. Response Dates 5

B. Additional Overview Information 5

II. DETAILED INFORMATION ABOUT THE FUNDING

OPPORTUNITY

A. Program Description 7

1. Applied Research Topics of Interest 7

B. Federal Award Information 9

C. Eligibility Information 12

1. Eligible Applicants 12

2. Cost Sharing or Matching 12

3. Other 12

D. Application and Submission Information 13

1. Address to View Broad Agency Announcement 13

2. Content and Form of Application Submission 13

a. The Application Process Overview 13

b. Preliminary Inquiries* 14

c. Whitepaper Preparation and Submission 14

d. Full Proposal Preparation and Submission 15

e. General Information 22

E. Submission of Proposal 24

1. Email Submission 24

2. Grants.gov Submission 24

3. Unique Entity Identifier and System for Award

Management (SAM)

4. Submission Dates and Times 27

5. Intergovernmental Review 28

6. Funding Restrictions 28

7. Other Submission Requirements 28

F. Proposal Review Information 29

1. Email Submissions 29

2. Grants.gov Submissions 29

3. Recipient Qualification 29

G. Award Administration Information 32

1. Award Notices 32

2. Administrative and National Policy Requirements 32

a. Required Representations and Certifications 32

b. Policy Requirements 36

3. Reporting 42

H. Agency Contacts 43

I. Other Information 44

1. Contract Proposals 44

2. Grant and Cooperative Agreement Proposals 51

APPENDIX 1: TABLE OF ACRONYMS 56

APPENDIX 2: SCHEDULE OF AMENDMENTS 59

I. OVERVIEW OF THE FUNDING OPPORTUNITY

The purpose of this 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) Analysis

Center (DAC) for funding consideration.

The DAC is the Army's foundation for data-driven analytical decisions across the lifecycle to ensure overmatch for a lethal Army. DAC’s mission is to: Inform Army modernization and readiness decisions with objective Analysis enabled through Tool development and Data curation.

DAC partners across the national security enterprise to deliver fundamentally advantageous change that is rooted in the creation and exploitation of scientific knowledge. DAC accomplishes this mission by funding the areas of applied research (budget activity 6.2), as defined by 32 CFR

22.105, advanced technology development (budget activity 6.3), and advanced component development and prototypes (budget activity 6.4).

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 DAC mission. The DAC BAA generally conforms to the portfolio structured around research area based mission execution. Whitepapers and full proposals are expected to be for cutting-edge innovative research that could produce discoveries with a significant impact to enable new and improved Army technologies and related operational capabilities and related technologies.

In an effort to provide DAC's research topics and related information in an easy to digest format, DAC has published the following public website listing all current DAC research topics:

https://www.army.mil/article/261533, hereafter referenced as the DAC BAA topics website. DAC focuses on executing in-house research programs but supplements our efforts with support from the broader technology base and Academia. DAC funds a modest amount of extramural research in certain specific areas, and those areas are described on the DAC BAA topics website. Changes to these topics will be made using this website on an as needed basis. A change to the DAC 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/. DAC will maintain a daily static snapshot of the DAC 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 DAC BAA topics website for white paper and proposal topics that DAC desires to explore. These specific research topics should be viewed as suggestive, rather than limiting. DAC is always interested in considering other innovative research concepts of relevance to the Army if those concepts align with DAC's mission.

Please see Section II, Detailed Information about the Funding Opportunity, for more information on the DAC research topics advertised through this BAA. Interested parties should also review https://www.army.mil/article/261533 https://www.grants.gov/ https://sam.gov/ https://www.grants.gov/ https://sam.gov/ 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 a DAC

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

After initial contact with a DAC 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 DAC 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 email to:

DACBAA@army.mil. Scientific and technical questions should be referred to the TPOCs listed with each topic on the DAC BAA topics website: https://www.army.mil/article/261533. Interested parties are encouraged to periodically check any of the following websites for updates and amendments to this BAA: https://www.grants.gov/ or https://sam.gov/.

PATRICK O’NEILL

Director, DEVCOM Analysis Center

(End of Section) mailto:DEVCOMDACBAA@army.mil https://www.army.mil/article/261533

A. Required Overview Content

1. Agency Name

U.S. Army Combat Capabilities & Development Command Analysis Center

2. Issuing Acquisition Office

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

APG-RTP) Division

3. Research Opportunity Title

DEVCOM Analysis Center Broad Agency Announcement (BAA) for Applied Research for 05

January 2023 – 04 January 2028

4. Announcement Type

Announcement

5. Research Opportunity Number

W911NF-23-S-0003

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

12.431 – Basic Scientific Research

7. Response Dates

This BAA is a continuously open announcement valid throughout the period from the date of issuance through 04 January 2028, unless announced otherwise.

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 DAC BAA topics website at https://www.army.mil/article/261533, sets forth DAC’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 applied research proposals, and 10 U.S.C. 4001, 10 U.S.C. 4021, and 10 https://www.army.mil/article/261533

U.S.C. 4022, which provide the authorities for issuing awards under this announcement for applied research. The definitions of 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.

DAC reserves the right to select for award all, some, or none of the proposals submitted in response to this announcement. DAC 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. Applied Research Topics of Interest

The DAC is the Army's foundation for data-driven analytical decisions across the lifecycle to ensure overmatch for a lethal Army. DAC’s mission is to: Inform Army modernization and readiness decisions with objective Analysis enabled through Tool development and Data curation. DAC partners across the national security enterprise to deliver fundamentally advantageous change that is rooted in the creation and exploitation of scientific knowledge.

DAC accomplishes this mission by funding the areas of applied research (budget activity 6.2), as defined by 32 CFR 22.105, advanced technology development (budget activity 6.3), and advanced component development and prototypes (budget activity 6.4). DAC is interested in cutting-edge innovative research that could produce discoveries with a significant impact to enable new and improved Army technologies and related operational capabilities and related technologies

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

DAC research topics: https://www.army.mil/article/261533, the DAC BAA topics website.

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

To support DAC’s mission, an additional research topic for “Support to DAC Research

Competencies” can be found on the DAC website. Under this research topic, DAC will consider whitepapers and proposals that may not directly align to a topic published by a DAC

TPOC but can demonstrate a strong alignment to DAC’s mission. DAC’s research mission is executed within identified applied scientific research competencies that provide the Army foundational expertise and specialized capabilities grounded in scientific excellence and driven by unique Army challenges. DAC is always interested in considering innovative research whitepapers and proposals outside of the published topics on the DAC website that demonstrate a strong alignment to DAC’s foundational research competencies and have potential to create discovery, innovation, and transition of technologies for Army transformational overmatch. To learn more about DAC’s applied scientific research competencies visit the DAC website at https://www.army.mil/article/261533.

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

BAA topics website.

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 DAC. 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

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

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

NOTE: DAC shares existing BAA forms with the U.S. Army Combat Capabilities &

Development Command (DEVCOM) Army Research Laboratory (ARL).

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 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 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)

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.

NOTE: DAC shares existing BAA forms with the U.S. Army Combat Capabilities &

Development Command (DEVCOM) Army Research Laboratory (ARL).

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 a DAC TPOC

• Submit a Whitepaper to a DAC 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 DACBAA@army.mil. See II.D Application and Submission

Information section of this BAA for information on the proposal submission process.

http://www.grants.gov/ https://www.arl.army.mil/resources/baa-forms/ mailto:usarmy.rtp.devcom-arl.mbx.baa@army.mil mailto:ARL_BAA@army.mil.

b. Preliminary Inquiries*

Interested applicants are strongly encouraged to make a preliminary inquiry by first contacting the DAC TPOC to discuss your ideas and the interests of DAC. DAC receives several hundred research proposals annually and is able to provide support for only a limited number of the proposals received. DAC 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, DAC 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 DAC BAA topics website, https://www.army.mil/article/261533, 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 DAC

TPOC with enough information to determine if there is interest on the part of DAC 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 the 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 via email to: DACBAA@army.mil for advice and assistance before preparing and submitting a whitepaper. In the email 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:

DAC 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 receive a recommendation from a DAC

TPOC whether 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 DAC 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 DAC BAA topics mailto:DEVCOMDACBAA@army.mil website, https://www.army.mil/article/261533, applicants shall discuss the preferred performance period with the TPOC.

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

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

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

(7) Applicants 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.F 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

SECTION PAGE NUMBER

Table of Contents A-1

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

Research and Related Other Project Information B-2

Project Abstract C-1

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

Biographical Sketch E-1 - E-

Bibliography F-1 - F-

Current and Pending Support G-1 - G-

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

Proposal Budget I-1 - I-

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

Appendices K- List Appendix Items:

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

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

Organizations).

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

v. PROJECT ABSTRACT:

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

Abstract” found at the following website: https://www.arl.army.mil/resources/baa-forms/

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

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

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

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

(1) A complete discussion stating the background and objectives of the proposed work, the scientific approaches to be considered, the relationship to competing or related research, and the level of effort to be employed. Include also the nature and extent of the anticipated results and how they will significantly advance the scientific state-of-the-art. Also, if known, include the manner in which the work will contribute to the accomplishment of the DAC’s mission.

Ensure the proposal identifies any scientific uncertainties and describes specific approaches for the resolution or mitigation of the uncertainties.

(2) A brief description of your organization.

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

(4) A statement regarding possible impact, if any, of the proposed effort on the environment, considering as a minimum its effect upon water, atmosphere, natural resources, human resources, and any other values.

(5) A statement regarding the use of Class I and Class II ozone- depleting substances. Ozone-depleting substances are any substance designated as Class I by the Environmental Protection

Agency (EPA), including but not limited to chlorofluorocarbons, halons, carbon tetrachloride, https://dodgrantawards.dtic.mil/grants and methyl chloroform, and any substance designated as Class II by EPA, including but not limited to hydrochlorofluorocarbons. See 40 CFR Part 82 for detailed information. If Class I or II substances are to be utilized, a list shall be provided as part of the applicant's proposal. If none, state so.

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

vii. BIOGRAPHICAL SKETCH:

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

(a) Primary PI: The Primary PI provides a single or initial point of communication between

DAC and the awardee organization(s) about scientific matters. If not otherwise designated, the first PI listed will serve as the Primary PI. This individual can be changed with notification to DAC. DAC does not infer any additional scientific stature to this role among collaborating investigators.

(b) Co-PIs: The individual(s) a research organization designates as having an appropriate level of authority and responsibility for the proper conduct of the research and submission of required reports to DAC. When an organization designates more than one PI, it identifies them as individuals who share the authority and responsibility for leading and directing the research, intellectually and logistically. DAC does not infer any distinction among multiple

PIs.

(2) The following information is required:

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

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

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

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

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

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

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

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

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

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

ix. CURRENT AND PENDING SUPPORT:

This announcement requires all current and pending research support, as defined by Section 223 of the Fiscal Year (FY) 2021 National Defense Authorization Act, must be disclosed at the time of proposal submission, for all covered individuals. See Section II.H.2.b.x for additional information on this requirement.

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

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

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

xi. PROPOSAL BUDGET (including DD Form 1861):

(1) Each proposal must contain a budget for each year of support requested and a cumulative budget for the full term of requested support. Each budget year and the cumulative budget for the full term must be documented on ARO Form 99. ARO Form 99 may be reproduced, but you may not make substitutions in prescribed budget categories nor alter or rearrange the cost categories as they appear on the form. The proposal may request funds under any of the categories listed so long as the item is considered necessary to perform the proposed work and is not precluded by applicable cost principles. In addition to the forms, the budget proposal should include budget justification for each year.

(2) A signed summary budget page must be included. The documentation pages should be titled

"Budget Explanation Page" and numbered chronologically starting with the budget form. The need for each item should be explained clearly.

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

Institutions of Higher Education: 2 CFR Part 200

Nonprofit Organizations*: 2 CFR Part 200

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

15.403-5, and DFARS Subsection 215.403-5.

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

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

(4) Sample itemized budgets and the information they must include for a contract and for grants and cooperative agreements can be found at Section II.J of this BAA (Other

Information). Before award of a cost-reimbursement type contract or assistance instrument it must be established that an approved accounting system and financial management system exist.

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

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

Section 1681 Et. Seq.), the Department of Defense is collecting certain demographic and career information to be able to assess the success rates of women who are proposed for key roles in applications in STEM disciplines. To enable this assessment, each application must include the following forms completed as indicated.

(a) Research and Related Senior/Key Person Profile (Expanded) form:

The Degree Type and Degree Year fields on the Research and Related Senior/Key Person

Profile (Expanded) form will be used by DoD as the source for career information. In addition to the required fields on the form, applicants must complete these two fields for all individuals that are identified as having the project role of PD/PI or Co-PD/PI on the form.

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

(b) Research and Related Personal Data form:

This form will be used by DoD as the source of demographic information, such as gender, race, ethnicity, and disability information for the Project Director/Principal Investigator and all other persons identified as Co-Project Director(s)/Co-Principal Investigator(s). Each application must include this form with the name fields of the Project Director/Principal

Investigator or any Co-Project Director(s)/Co-Principal Investigator(s) completed;

however, provision of the demographic information in the form is voluntary. If completing the form for multiple individuals, each Co-Project Director/Co-Principal Investigator can be added by selecting the “Next Person” button. The demographic information, if provided, will be used for statistical purposed only and will not be made available to merit reviewers. Applicants who do not wish to provide some or all of the information should check or select the “Do not wish to provide” option.

(2) Data Management Plan: A data management plan is a document that describes which data generated through the course of the proposed research will be shared and preserved, how it will be done, or explains why data sharing or preservation is not possible or scientifically appropriate, or why the costs of sharing or preservation are incommensurate with the value of doing so. See also: DoD Instruction 3200.12. In no more than 2 pages set forth as a separate

PDF document, discuss the following:

• The types of data, software, and other materials to be produced.

• How the data will be acquired.

• Time and location of data acquisition, if scientifically pertinent.

• How the data will be processed.

• The file formats and the naming conventions that will be used.

• A description of the quality assurance and quality control measures during collection, analysis, and processing.

• A description of dataset origin when existing data resources are used.

• A description of the standards to be used for data and metadata format and content.

• Appropriate timeframe for preservation.

• The plan may consider the balance between the relative value of data preservation and other factors such as the associated cost and administrative burden. The plan will provide a justification for such decisions.

• A statement that the data cannot be made available to the public when there are national security or controlled unclassified information concerns (e.g., “This data cannot be cleared for public release in accordance with the requirements in DoD Directive 5230.09.”)

e. General Information

i. Classified Submissions: Proposals containing classified information are not accepted under this BAA. However, proposals may discuss the need to access or generate controlled unclassified information (CUI) or classified information for the proposed work. Where an award requires access to classified information, clause 52.204-2 will be included in the award, as well as a DD254, if issued. When an award requires access to CUI, DFARS Clause 252.204-7012 will be included in the award, as well as additional DAC specific requirements as determined necessary. For questions regarding the potential for access to classified information and/or controlled unclassified information, please coordinate with the TPOC for that topic area prior to whitepaper or proposal submission.

ii. Post-Employment Conflict of Interest: There are certain post-employment restrictions on former federal employees, including special government employees (18 U.S.C. 207). If a prospective applicant believes a conflict of interest may exist, the situation should be discussed with the TPOC listed in the BAA for their topic of scientific research who will then coordinate with appropriate DAC legal counsel prior to the applicant expending time and effort in preparing a proposal.

iii. Statement of Disclosure Preference: In accordance with Section II.D.2.d.iii of this BAA, Form 52 or 52A shall be completed stating your preference for release of information contained in your proposal. Copies of these forms may be downloaded from the ARL website at https://www.arl.army.mil/resources/baa-forms/.

NOTE: Submissions may be handled for administrative purposes by support contractors.

These support contractors are prohibited from submitting proposals under this BAA and are bound by non-disclosure and/or conflict of interest requirements as deemed appropriate.

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

iv. Equipment (see instrument-specific regulations provided in Section II.B of this BAA):

Normally, in accordance with 31 USC 6306, title to equipment or other tangible property purchased with Government funds vests with nonprofit institutions of higher education or with nonprofit organizations whose primary purpose is conducting scientific research if vesting will facilitate scientific research performed for the Government. For-profit organizations are expected to possess the necessary plant and equipment to conduct the proposed research. Deviations may be made on a case-by-case basis to allow for-profit organizations to purchase equipment, but regulatory disposition instructions will be included in the award.

E. Submission of Proposals

Requests for waiver of electronic submission requirements may be submitted via email to:

DACBAA@army.mil or regular mail:

DEVCOM Analysis Center

ATTN: G-3 DAC BAA

6509 Wayberry Road

Aberdeen, MD 21001

All required forms for proposals may be downloaded from the ARL website at https://www.arl.army.mil/resources/baa-forms/.

All proposals for Assistance Instruments (Grants, Cooperative Agreements, and OTs)…