EAC BAA Final.pdf

National Science Foundation | Broad Agency Announcement

EAC BAA—Improving NSF’s Analytic Capacity

1 Introduction

1.1 Background

The National Science Foundation (NSF) is an independent federal agency created by Congress in 1950 "to promote the progress of science; to advance the national health, prosperity, and welfare; to secure the national defense..." To achieve its mission, NSF supports:

• Fundamental science and engineering research. Most NSF funding supports basic research across all science and engineering disciplines and their interdisciplinary connections, including basic research about science, technology, engineering, and mathematics (STEM) education.

• People. NSF helps train current and future scientists through a range of human capital development programs supporting students, post-docs and faculty through scholarships, fellowships, research experiences, early career awards, and so on.

• Strategic and cross-cutting themes and strategies. NSF investments in research and people often address areas of national priority such as artificial intelligence and strategies such as public-private partnerships.

With an annual budget of $8.075B (FY 2010), NSF is the funding source for approximately 25 percent of all federally supported basic research conducted by America's colleges and universities. In many fields such as mathematics, computer science and the social sciences, NSF is the major source of federal backing.

This Broad Agency Announcement (BAA) is issued by the Evaluation and Assessment Capability (EAC) section within the Office of Integrative Activities (OIA) in the Office of the Director (OD).

EAC provides agency-wide leadership and coordination in evidence-building activities, including program evaluation; expert support and resources for data collection, integration, management, analysis, and reporting; and leadership and resources to improve the National Science Foundation’s evaluation capacity. The urgent and rapidly evolving evidence needs of the Agency as it implements program and foundation-wide learning agendas create the requirement for this vehicle.

EAC is responsible for Title 1 and supports Titles 2 and 3 of the Evidence Act.

EAC also serves to enhance NSF's ability to conduct evidence-based planning and policymaking. EAC promotes a culture of continuous learning and improvement and serves as a catalyst and clearinghouse of programmatic data, insights, and problem-solving techniques to support and inform leadership decisions. One of EAC's primary services is facilitating the collection, analysis, interpretation, dissemination, and use of quantitative and qualitative findings from studies, such as internal or external evaluations.

EAC’s work is deeply collaborative to ensure that evaluation and program improvement activities meet the needs of stakeholders, both internal (e.g., directorates and offices) and external (e.g., the scientific community and other Federal agencies). EAC also seeks to harness existing NSF program data by creating systematic data and knowledge management systems and increasing ease of access to resources, tools, and measures. Additionally, EAC strives to leverage insights throughout NSF, at other Federal agencies, and to the public by disseminating methods and findings, as well as facilitation of processes to engage stakeholders in evidence use in unique and innovative formats.

To attain these goals, EAC works with staff across Agency—namely, NSF directorates and program offices, an EAC steering committee, an EAC Coordination Group, evaluation and data analytics experts in each directorate, and the Directorate for Social, Behavioral & Economic Sciences, National Center for Science and Engineering Statistics (NCSES)—to design studies, develop or review evaluation frameworks and plans, review questionnaires and other data collection instruments, collect quantitative or qualitative data, analyze data or review data analyses conducted, prepare data files, create or review interim and final deliverables (such as reports) and solicit feedback from experts and stakeholders on evaluation and other findings, disseminate findings (including presenting findings to various audiences or organizing report releases), and develop standards and expectations for evidence-building activities (including evaluations).

1.2 Purpose

The purpose of this Broad Agency Announcement (BAA) is to provide research opportunities to U.S.

for-profit businesses, universities, and other institutions of higher education, and their partners, to conduct a variety of research projects that will support the strategic objectives of the National Science Foundation. Research priorities include:

• Using machine learning techniques to analyze the NSF portfolio of investments by different characteristics

2 Research Priorities Area(s)

The research priorities titled in Section 1.2 are further explained below.

The National Science Foundation receives 30,000 to 41,000 grant proposals every year and seeks to determine the portion of proposals and their characteristics that align with various themes based on the language used in the proposal. Proposals to the National Science Foundation consist of a project description section with unstructured text that describes the work the authors propose to do and the broader impacts to society of that work. The text is extracted from pdfs and stored as unformatted text in the project description field in a Solr database. Typically project descriptions are limited to 15 pages. The text can be used to assign different themes (or tags) to a proposal based on the language used in the project description. Initial exploratory work used a simple dictionary approach. Because a “ground truth” sample was not manually labelled, we do not know how well this method performed.

We do know that a list of words approach to tagging proposals has many limitations. First, the project description text is an open vocabulary, meaning authors are not required to use specific words to discuss their intended activities; therefore, we miss proposals that use words to describe activities when the specific word is not on the lists. However, the second limitation to this approach is that the same words may be used in different ways, resulting in false positives. For example, an author may propose developing a website as an outreach tool to increase public literacy; however, an author may also refer to a website in their background or previous work section. Tagging the latter proposal public literacy would be a false positive.

The key research questions are:

• What advanced methods can be applied to this large corpus of text to accomplish the purpose stated above?

• What are the key characteristics that can be obtained from NSF data on each theme, such as broader impacts, climate change, SARS-CoV-2, and COVID-19? What is the distribution of proposals submitted along these characteristics?

• What are the limitations of the methods used for the analysis? For example, what is the uncertainty around the distributions created with different methods?

• Are there any biases embedded in the chosen labelling approach? How were they mitigated?

• How could the approach proposed be sustained over time?

• What improvements to NSF data collections or systems might facilitate the analysis or enable additional or more rigorous analyses to be done?

NSF is currently interested in the following categories of classifications.

Classification 1: Broader impacts

The first classification is the broader impacts themes detailed in the Proposal and Award Policies and Procedures Guide (PAPPG) (section II.C.2.d). “Broader impacts may be accomplished through the research itself, through the activities that are directly related to specific research projects, or through activities that are supported by, but are complementary to the project. NSF values the advancement of scientific knowledge and activities that contribute to the achievement of societally relevant outcomes.

Such outcomes include, but are not limited to: full participation of women, persons with disabilities, and underrepresented minorities in science, technology, engineering, and mathematics (STEM);

improved STEM education and educator development at any level; increased public scientific literacy and public engagement with science and technology; improved well-being of individuals in society;

development of a diverse, globally competitive STEM workforce; increased partnerships between academia, industry, and others; improved national security; increased economic competitiveness of the U.S.; use of science and technology to inform public policy; and enhanced infrastructure for research and education.”

Classification 2: Climate change https://www.nsf.gov/pubs/policydocs/pappg20_1/pappg_2.jsp#IIC2d

NSF’s broad portfolio of programs supports a wide range of activities related to climate change, including efforts that advance our understanding of (1) the processes that govern climate on Earth at different spatial and temporal scales, (2) the impact that changes in climate have on ecosystems and societies, and (3) the most sustainable solutions and technologies that will enable adaptation to, and mitigation of, climate change. This wide-ranging portfolio of investments in climate change has grown over time from focused disciplinary programs within directorates and offices (such as Climate and Large-Scale Dynamics in the Directorate for Geosciences and Environmental Sustainability in the Directorate for Engineering) to cross disciplinary programs across directorates and offices (such as Critical Aspects of Sustainability, Navigating the New Arctic, and Dynamics of Integrated Socio- Environmental Systems). In collaboration with the community, substantial research on climate science and its impacts is undertaken at NSF’s largest Federally Funded Research and Development Center, the National Center for Atmospheric Research. As this evolution suggests, research in climate change has moved from disciplinary to convergent approaches—that is, integrated interdisciplinary and cross-sectoral approaches to understand the causes of climate change, measure its impacts, and devise effective, sustainable, scalable, and equitable solutions. Understanding the present characteristics of NSF’s portfolio of investments in climate change is critical to supporting ongoing efforts to design strategies that will help direct the research supported (how, who, and what science is supported) and the investments made (within and across directorates) to amplify the impact of scientific advances in slowing and hopefully reversing the impacts of climate change.

Classification 3: SARS-CoV-2 and COVID-19

As the nation responds to the COVID-19 pandemic, NSF-funded research is playing a crucial role. From the science and engineering behind critical diagnostic tools and medical devices, to novel solutions that help communities, businesses, and individuals navigate the challenges of this difficult time, NSF’s investments in science and technology are making a difference. In April 2020, NSF requested proposals from the community to conduct non-medical, non-clinical-care research that can be used immediately to explore how to model and understand the spread of COVID-19, to inform and educate about the science of virus transmission and prevention, and to encourage the development of processes and actions to address this global challenge. In addition to the focused request, many NSF awards prior to 2020 supported work that could be used in the response to COVID-19.

3 Program Guidelines

This BAA, due to its broad research focus, does not lend itself to the use of a common work statement. As such, no single North American Industry Classification System (NAICS) code will be issued for the BAA. NAICS codes will be specific to each individual contract award, as determined by the type of activity in which the offeror will be engaged.

The Government reserves the right to select for award any, all, part, or none of the proposals received in response to this announcement. This BAA is an expression of interest only and does not commit the Government to pay any proposal preparation costs.

This announcement constitutes the public announcement, as contemplated by Federal Acquisition

Regulation (FAR) 6.102(d)(2) and FAR 35.016. A formal Request for Proposals or other solicitation regarding this announcement will not be issued.

3.1 Schedule

Proposals will be evaluated as submitted, starting on the concept paper due date in this announcement. This solicitation will be revised as awards are made and as topics of interest to NSF change.

3.2 Communications Protocol

All questions regarding this BAA shall be directed to the contracting officer, Destiny Phillip, via email at dphillip@nsf.gov. Submission of a question does not guarantee the question will be answered.

3.3 Submission process

All submissions shall be delivered in electronic format (Adobe PDF) to the BAA Program Manager with a copy to the BAA Contracting Officer, via the e-mail addresses listed below.

BAA Program Manager, Robyne McRey rmcrey@nsf.gov

BAA Contracting Officer, Keith Boyea Dphillip@nsf.gov

3.4 Offeror Eligibility

This solicitation is unrestricted. All qualified offerors, including universities, may submit proposals.

All offerors must be registered in the System for Award Management (SAM) at www.sam.gov prior to project award.

3.5 Project Qualification Requirements

This BAA solicits research projects in response to the specific research themes listed in the Section 1.2 and corresponding to the research priorities in Section 2.

3.6 Program and Project Funding Limits

Funding for this program as appropriated in the Federal budget for NSF will make available approximately $1,000,000 for projects determined by NSF to be technically consistent with the objectives of this BAA and of interest to the Government. Awards are subject to the availability of funds. NSF reserves the right to expand the award amount to allow for projects with exceptional merit.

No funding provision or commitment can be made at the time of award for phased or expanded work or projects beyond the initial or base phase funded at the time of award that the applicant may mailto:dphillip@nsf.gov mailto:rmcrey@nsf.gov mailto:Dphillip@nsf.gov http://www.sam.gov/ propose in its submissions. If appropriated funds are authorized, NSF may, at its discretion, provide additional funding for phased or expended effort under existing awards.

Awards may be of any dollar value, but it is anticipated that most individual awards will have dollar values ranging between $50,000 and $500,000, over 1-2 years. NSF prefers periods of performance of shorter (rather than longer) duration.

The Government reserves the right to fund all, some, one, or none of the proposals submitted; may elect to fund only part of a submitted proposal; and may incrementally fund any or all awards under this BAA. The Contracting Officer will have the ultimate authority and responsibility to make final scope determinations for selections of proposals that will not be totally funded to ensure the portion selected meets the solicited requirements. In addition, the Government reserves the right to create and maintain a reserve list of proposals for potential funding, if additional funding becomes available.

Offers considered unresponsive to the Government’s requests for information in a timely manner, defined as meeting government deadlines established and communicated with the request, may be removed from further consideration.

3.7 Project Selection Process

Proposals shall be prepared in accordance with the requirements of Section 4. Submissions that are incomplete, materially lacking, or not responsive to the technical requirements of this BAA, may be returned unevaluated, or evaluated as is, without further opportunity for revision, at the discretion of the NSF’s evaluation committee.

Project proposals shall be submitted in electronic form via e-mail. Proposals will be reviewed as received, starting 45 days after posting.

3.8 Intellectual Property Rights

Awards will generally contain detailed provisions concerning patent rights, rights in technical data and computer software, data reporting requirements, and other terms and conditions which may be negotiated as part of the award process.

Offerors must describe any limitations on any intellectual property (patents, inventions, trade secrets, copyrights, or trademarks) that will impact the Offeror’s performance of the contract or impact the Government’s subsequent use of any deliverable under the contract. The Offeror must describe the intellectual property in sufficient detail to describe the limitations (data assertions of the Offeror or any subcontractor, potential patent licenses required by the Government, etc.), and to describe why or how the Government can accomplish the stated objectives of this BAA with the limitations described or proposed by the Offeror. This information must be included in Volume III, Supplemental Information, of the proposal.

3.8.1 Proprietary Data Restrictions

Offerors are advised that proposals may contain data the offeror does not want disclosed to the public for any purpose or used by the Government except for evaluation purposes. If the offeror wishes to restrict such data, the cover page of all submittal documents must be marked with the following legend, and relevant sheets marked as instructed.

This proposal includes data that shall not be disclosed outside the Government and shall not be duplicated, used, or disclosed – in whole or in part – for any purpose other than to evaluate this proposal. However, if a contract is awarded to this offeror as a result of – or in connection with – the submission of these data, the Government shall have the right to duplicate, use, or disclose the data to the extent provided in the resulting contract. This restriction does not limit the Government’s right to use information contained in these data if they are obtained from another source without restriction. The data subject to this restriction are contained in Sheets [insert numbers or other identification of sheets].

Each restricted data sheet shall be marked as follows:

Use or disclosure of data contained on this sheet is subject to the restriction on the title page of this document.

To the extent that such restrictions on proprietary data or information would not interfere with the intent of the Government to make the results of the work and projects awarded under the BAA available to all interested parties, and if in conformance with the Freedom of Information Act (5 U.S.C.

552, as amended), the Government will honor those desires.

3.8.2 Other Award Information

Awards under this BAA may be subject to the requirements of Section 508 of the Rehabilitation Act, depending on the type of final products or reports to be delivered under each award. The Act requires that all electronic products prepared for the Federal Government be accessible to persons with disabilities, including those with vision, hearing, cognitive, and mobility impairments. Proposers can view Section 508 of the Rehabilitation Act (http://www.access-board.gov/508.htm) and the Federal IT Accessibility Initiative (Home Page) (http://section508.gov/) for detailed information.

The Paperwork Reduction Act of 1995 (PRA): Offerors are advised that any activities involving information collection (i.e., surveys, questionnaires, etc.) from 10 or more non- Federal entities, including States, are subject to PRA requirements and may require the NSF to coordinate an OMB Information Collection Clearance, a process that generally takes six months or more.

4 Project Proposals

Proposals shall be no less than 11-point font, 1” margins, and 1.15-spacing; single-sided US-letter size pages.

Submissions that are incomplete, materially lacking, or not responsive to the technical requirements of this BAA, may be returned unevaluated, or evaluated as is, without further opportunity for revision, at the discretion of the NSF’s evaluation committee.

http://www.access-board.gov/508.htm) http://www.access-board.gov/508.htm) http://section508.gov/)

The proposal shall contain a Cover Page and relevant data organized into 3 Volumes:

Volume I: Technical Proposal

Volume II: Cost and Pricing Data

Volume III: Supplemental Information

Offerors are advised that the NSF’s technical evaluation of a project for possible award is based solely on the contents of the offeror’s project proposal document, and the offeror’s answers to any technical clarification questions, as transmitted through the Contracting Officer.

It is the policy of NSF to treat all proposals as competitive source selection information.

Please note that prior to an award, the Government reserves the right to perform a review of past performance. Sources for past performance may include the Past Performance Information Retrieval System (PPIRS), the Federal Award Performance and Integrity System (FAPIIS), and Government program managers and contracting officers who are familiar with the offeror’s relevant past performance may also be contacted.

4.1 Cover Page

Project proposals shall include a cover page containing the following information:

• Working title of the proposed project

• BAA Research Priority Title (Section 1.2)

• “Project Proposal” written below the project title

• Names, phone numbers, mailing address and e-mail addresses for the principal technical and contractual points of contact (person or persons authorized to negotiate on the behave of the offeror and who can contractually obligate the offeror organization)

• Secondary offeror organization addresses (project partners), if any

• Date of submittal

• Proprietary data restrictions, if any (See Section 3.8.1)

4.2 Volume 1: Technical Proposal

The Technical Proposal shall contain the following sections, subject to the 10-page limit:

1. Abstract

2. Statement of Work

3. Project Management Plan

4. Capabilities, experience, and CVs of key personnel

4.2.1 Abstract

Summary statement – Provide a succinct statement of the aim of the project (i.e. the problem being addressed) and the expected final product. In most cases, the summary statement will be two or three sentences.

Context – Briefly describe the current state of research in the area and the specific issue intended to be solved or improved. Proposals shall include references to relevant research and significant accomplishments in the area. A selective bibliography of (no more than 10) relevant peer reviewed and working papers that support the technical concepts and innovative ideas described in this proposal, shall be included in an appendix for technical reference. This appendix does not count towards the 10-page limit.

Proposed approach – Describe the proposed research. Offerors shall explain how the proposed methodological plan enhances the ability to meet the research topic goals.

4.2.2 Statement of Work

There shall be no company-sensitive or proprietary data included in the Statement of Work. This statement of work shall contain the following information:

Work Scope: Describe the work to be accomplished as part of the research project, organized as it is expected to be performed. Separate the work effort into major tasks and subtasks as numbered paragraphs, or in a table. Include the objectives and goals of the task, methodology and techniques that will be used and developed, analysis plan, field work, requirements in order to move to the next task, major milestones, and the expected outcomes.

Deliverables: All project deliverables should be clearly listed and described. NSF will look favorably upon frequently milestone products.

Future phases: Proposals may include a discussion of optional, future phases of work. The original phase or work shall in no way depend on work described under future phases to meet the program criteria.

4.2.3 Project Management Plan

The proposal shall contain a detailed management plan for the project based upon the following minimum requirements.

Tasks and Resources – Using the tasks (and relevant subtasks) in the Work Scope, in the same chronological order listed in the Work Scope, specify the following:

• Task or subtask title

• Resources, facilities, and equipment required

• Data used or generated

• The expected completion date

• Any deliverables or output associated with the task to signal its completion

In this section, designate a kick-off meeting and periods of pre-kick off preparation, background research (if applicable), testing/evaluation, and preparation of deliverables and manuscripts. If these items are integrated as part of a task that was listed in the Scope of Work, please separate them, and note the specifications requested (e.g., resources, data, etc.).

We request bi-weekly check-ins between the institution’s point of contact and the collaborators at NSF throughout the project, but these do not need to be explicitly represented in the Work Scope or Task and Resources sections.

Organizations– Deliver a list of institutions and organizations involved in the project, illustrating resource roles and reporting relationships. Include all offeror organizations. Clearly highlight organizations that are participating in cost sharing activities. Identify the type of business (large, small, disadvantaged, or educational) for each offeror organization.

Subcontracts/Teaming Management Plan – Identify and describe the offeror’s plans for subcontracting and teaming. Clearly identify the roles and responsibilities of all organizations working within the project team, including technical and financial elements.

4.2.4 Capabilities and Experience

List all key personnel, including those from outside the prime offeror’s institution. Organize the team by institution name and briefly describe each person’s roles and responsibilities on the project.

Identify and describe the capabilities and experience of key personnel and organizations as these elements relate to the proposed project.

Descriptions of experience should serve to demonstrate the key personnel’s ability to successfully conduct the proposed research or project, including access to critical resources for the project.

Designate any supervisory relationships and who will be the main point of contact for regular check-ins with the NSF methodological team during the project. Provide condensed resumes (2-page maximum) for all key personnel on the project. Resumes shall be organized in an appendix to the proposal. Resumes do not count toward the 10-page limit for the proposal.

Describe any unique capabilities that the offeror team possesses that may reduce project risk, reduce project duration, and/or improve project financial performance. Describe these capabilities within the context of the objectives of the BAA and the proposed project’s scope of work.

4.3 Volume II: Cost and Pricing Proposal

See Appendix A for specific requirements for cost and pricing information content and formatting requirements. Cost and pricing proposals must conform to the requirements in Appendix A and below.

4.3.1 General Requirements

The cost or pricing portion of the project proposal should contain a cost estimate for the proposed effort to allow for meaningful evaluation and determination of price reasonableness and cost realism.

The cost estimate shall account for the entire cost of the project. At a minimum, the cost estimate shall include the following information:

Labor - A breakdown of direct labor and hourly rate, by WBS index number, identifying the labor categories or individuals and projected hours, and their associated subtotals.

Overhead and/or fringe - Labor overhead and/or fringe rate(s) and base(s), and cumulative effect on labor costs.

Materials, supplies, and equipment - Description and cost of materials, supplies, and equipment, to include the basis of the cost estimate (e.g., historical data, competitive market quotes, and in-house transfers). Specific mention should be made of any highly specialized or costly test equipment or supplies needed to accomplish the project.

Travel and transportation - Breakdown of travel and transportation costs.

Subcontracts - Breakdown of individual subcontracts. State the amounts of time of subcontractor/consulting services to be devoted to the project, including the cost to be charged to the proposed contract/agreement.

ODC - Breakdown of other direct costs (reproduction, computer time, and consultants).

Misc. - Identification of any other direct or indirect cost elements not identified elsewhere. For each indirect rate (identified here or elsewhere), indicate if the proposed indirect rate and allocation base have been approved by a government audit or cognizant agency for use in proposals and when the rate(s) was approved and the name of and telephone number of the cognizant auditor or approving official.

General and Administrative - G&A rate and base.

Profit or fee - Profit or fee may be proposed, and if proposed, is subject to negotiations and applicable statutory limits.

4.3.2 Recommended Procurement Instrument and Pricing Arrangement

Offerors shall include a summary of the recommended procurement instrument (e.g., contract or “other arrangement”) and pricing arrangements (e.g., firm-fixed-price, cost, cost-plus-fixed-fee, etc.)

and include the rationale for their use. However, the NSF reserves the right to negotiate and award the types of instruments determined most appropriate under the circumstances. If warranted, portions of resulting awards may be segregated into pre-priced options. It should be noted that cost reimbursable type contractual arrangements are not permissible unless the awardee has an accounting system that has been approved by the Government as adequate to support the determination of costs applicable to the contract.

If the offeror is seeking an “other arrangement,” (similar in nature to an “Other Transaction”) it must explain to NSF the basis for seeking the other arrangement and the areas of regulatory relief requested by the offeror. The NSF will consider awarding an other arrangement only if it is in the best interests of NSF. NSF will not award grants or other types of financial assistance as a result of this

BAA.

4.4 Volume III: Supplemental information

All proposals must respond to the following items.

4.4.1 System for Award Management (SAM) Registration

To be eligible for award of a contract resulting from this solicitation, offerors must be registered in the Federal Government’s SAM system. The registration can be accomplished by accessing the following website: https://www.sam.gov/SAM/pages/public/index.jsf

NOTE: Contractor must ensure that the registration process has been completed in SAM as award may not be made until the contractor is registered in the system.

4.4.2 Administrative and Audit Offices

Offerors requesting cost reimbursement type contracts shall indicate which audit offices will represent them. For DCAA offices, offerors can identify their DCAA office by going to the following website: https://www.dcaa.mil/ and entering their ZIP code.

Cost reimbursable type contractual arrangements are not permissible unless the awardee has an accounting system that is adequate to permit timely development of all necessary cost data in the form required by the proposed contract type. Additionally, the accounting system will be subject to audit and surveillance during the awardee’s performance to provide reasonable assurance that efficient methods and effective cost controls are being used.

4.4.3 Subcontracting Plan

Any offeror, other than small businesses, submitting a proposal for an award anticipated in excess of $750,000 must submit a subcontracting plan in accordance with FAR 19.704(a) (1) and (2) or if no subcontracting opportunities exist, a statement to that effect. This information, if applicable, must be included in Volume III, Supplemental Information, of the Phase II full proposal. The plan format is outlined in FAR 19.7. Pursuant to Section 8(d) of the Small Business Act (15 U.S.C. § 637(d)), it is the policy of the Government to enable small business and small disadvantaged business concerns to be considered fairly as subcontractors to contractors performing work or rendering services as prime contractors or subcontractors under Government contracts, and to assure that prime contractors and subcontractors carry out this policy.

A subcontracting plan identifies the offeror's approach to awarding subcontracts to small business, small disadvantaged business, women-owned small business, service-disabled veteran owned small business, and Historically Underutilized Business Zone (HUBZone) small business concerns, and Historically Black Colleges and Universities/Minority Institutions (HBCU/MI) on this effort. An approved master subcontracting plan may be submitted in lieu of an individual subcontracting plan.

The offeror must demonstrate how small business concerns will be used in the performance of the https://www.sam.gov/SAM/pages/public/index.jsf http://www.dcaa.mil/ contract. The plan must also specify how the offeror will identify small business concerns throughout contract performance that can be added to the contract team. The emphasis of the plan must be to maximize small business participation to the maximum extent practicable. The current NSF subcontracting goals are as follows:

Small Business Type Percentage of subcontracted dollars

Small Business 31.70%

Small Disadvantaged Business Participation Program 5.00%

Historically Underutilized Business Sone (Hubzone) Program 3.00%

Service-Disabled Veteran Owned Small Business Procurement Program

3.00%

Woman-Owned Small Business (WOSB) Program 5.00%

Note: Provide rationale if these goals cannot be achieved.

5 Past Performance

Prior to award, the Government reserves the right to perform a review of past performance. Sources for past performance may include the Past Performance Information Retrieval System (PPIRS), the Federal Award Performance and Integrity System (FAPIIS), and Government program managers and contracting officers who are familiar with the offeror’s relevant past performance may also be contacted.

6 Evaluation and Award

The BAA evaluation process shall be conducted in accordance with FAR Subpart 35.016 (d) and (e).

Offerors will be notified of evaluation results via letter.

6.1 Project Proposals

Proposals will be evaluated solely on the criteria published in this announcement. The criteria provided below are listed in order of relative importance:

6.1.1 Technical Factors

Responsiveness to BAA Objectives and Requirements

The degree to which the proposed project meets the program objectives of the BAA and conforms to the funding limitations detailed herein. The degree to which the proposal is responsive to the requirements published in this announcement.

Technical Approach

The degree to which the project approach impacts the realization of research priority goals.

6.1.2 Cost and Pricing Factors

Project proposals that are evaluated favorably from a technical perspective, have no outstanding issues or areas for clarification, and are determined to be consistent with the objectives of the BAA and of interest to the Government, will be subject to a cost/price evaluation.

In accordance with FAR 35.016(e), NSF will consider cost realism and reasonable to the extent appropriate.

6.1.3 Past Performance Factors

Technically acceptable proposals that are considered realistic and reasonable in terms of proposed cost, and fee, if applicable, may be subject to a review of past performance information provided by the offeror or obtained from sources other than those identified by the offeror.

7 Awards

Proposal received as a result of this BAA will be evaluated in accordance with the evaluation criteria specified above through a peer review process. The primary basis for selecting proposals for acceptance shall be technical, importance to agency programs, and fund availability.

8 Notifications and Negotiations

All offerors will receive written notification of the final disposition of their proposal. If selected for award, the Contracting Officer will contact the offeror with further instructions, including negotiation procedures, if needed.

Appendix A – Cost Proposal Format and Preparation Instructions

The cost proposal must include, at a minimum, two separate sections (provided in one submission): a cost summary, not to exceed two-pages (see ‘A’, below), must precede the detailed cost portion (see ‘B’ below) of the cost proposal.

Additionally, include detailed cost submissions for all subcontractors and consultants.

A. Cost Summary

A summary cost proposal must be prepared that includes the cost elements presented in the following table based on 12-month increments. Add as many years to the summary as will be included in the full proposed period of performance. Note: The periods of performance must match the information presented in the Statement of Work.

Year 1 Year 2 Year 3

Cost Element Rate

Hrly, Mthly

Quantity

No. Hrs, No.

Months

Total Amount

Rate

Hrly , Mthly

Quantity

No Hrs, No.

Months

Total Amount

Rate

Hrly, Mthly

Quantity

No Hrs, No.

Months

Total Amount

Direct Labor (List each direct labor category or individual separately)

ABC Category $ XX $ $ XX $ $ XX $

Dr XYZ $ XX $ $ XX $ $ XX $

TOTAL DIRECT LABOR XX $ XX $ XX $

Labor Burden Labor Burden Rate

Lbr Burden Applied To:

(direct labor

Total Amount

Labor Burden Rate

Lbr Burden Applied To:

(direct labor

Total Amount

Labor Burden Rate

Lbr Burden Applied To:

(direct labor

Total Amount

Fringe Benefits % $ $ % $ $ % $ $

Overhead % $ $ % $ $ % $ $

TOTAL LABOR BURDEN $ $ $

Material/Equipment Matl O/H Rate

Matl O/H Applied To:

(direct matl

Total Amount

Matl O/H Rate

Matl O/H Applied To:

(direct matl

Total Amount

Matl O/H Rate

Matl O/H Applied To:

(direct matl

Total Amount

TOTAL MATL/EQUIPMENT % $ $ % $ $ % $$

TOTAL TRAVEL COSTS $ $ $

TOTAL ALL OTHER

DIRECT COSTS

TOTAL

SUBCONTRACTOR COSTS

TOTAL DIRECT COSTS $ $ $

G&A OR F&A G&A or F&A Rate

G&A/F&A Rate Applied to: (total cost $$…)

Total Amount

G&A or F&A Rate

G&A/F&A Rate Applied to: (total cost $$…)

Total Amount

G&A or F&A Rate

G&A/F&A Rate Applied to: (total cost $$…)

Total Amount

TOTAL G&A OR F&A % $ $ % $ $ % $ $

TOTAL FACILITIES

CAPITAL COST OF MONEY

(COM)

TOTAL COSTS $ $ $

Fee or Profit Fee Rate

Fee Rate Applied to:

(total cost, excluding

COM…)

Total Amount

Fee Rate

Fee Rate Applied to:

(total cost, excluding

COM…)

Total Amount

Fee Rate

Fee Rate Applied to:

(total cost, excluding

COM…)

Total Amount

FEE OR PROFIT % $ $ % $ $ % $ $

TOTAL COST PLUS FEE $ $ $

* Note: Itemize any planned items costing greater than $5,000 (unit cost) immediately following the table; include all equipment/material (greater than $5000 unit cost) in Total Direct Material/Equipment in table. See Equipment/ Government Property - Section ‘C’ herein.

B. Detailed Cost (no page limit) Offeror format acceptable provided it includes a detailed cost breakdown of all costs by cost element and SOW tasks based on 12-month increments. The offeror must also provide a narrative to support the requirements in each cost element. In addition, the detailed cost proposal must provide separate cost proposals for each subcontractor or consultant, which includes the same level of details required of the prime offeror. The detailed cost proposal will include the following three sections: (1) Tabular cost breakdown by cost element and SOW tasks based on 12- month increments; (2) Narrative to support the requirements in each cost element;

and (3) Subcontractor cost breakdown, as appropriate.

Budgeted cost elements should reflect the following:

a. Individual labor categories or persons (principal investigator, graduate students, etc.), with associated labor hours and unburdened labor rates. Allowable charges for graduate students include salary, appropriate research costs, and tuition. Allowable charges for undergraduate students include salary and research training costs, but not tuition.

b. Cost of equipment, based on most recent quotations and itemized in sufficient detail for evaluation (see Section ‘C’ below).

c. Estimate of material and operating costs.

d. Travel costs and the relevance to stated objectives; number of trips, destinations, duration, if known, and number of travelers per trip. Travel cost estimations should be based on rates referenced on the General Services Administration’s (GSA) per diem web page (http://gsa.gov/perdiem).

e. Publication and report costs.

f. Consultant fees (indicating daily or hourly rate) and travel expenses and the nature and relevance of such costs.

g. Computer services.

h. Subcontract costs and type (the portion of work to be subcontracted and rationale). Include detailed cost summary.

i. Communications costs not included in overhead.

j. Other Direct Costs.

k. Indirect costs.

l. Fee/Profit, if any.

http://gsa.gov/perdiem

C. Equipment/Government Property.

Contractors generally are expected to provide the equipment needed to support proposed research.

Where specific additional equipment is approved for commercial and non-profit organizations, such approved cost elements shall be separately negotiated.

Offerors desiring that the Government purchase the equipment under the proposed effort shall provide a justification of need for the equipment and rationale for why the offeror is unable or unwilling to furnish the equipment. Government purchase of equipment that is not included in a deliverable item will be approved on a case-by-case basis.

Proposals that include Equipment must itemize each item and its respective cost in Volume II – Cost Proposal. “Equipment” is a tangible item that is functionally complete for its intended purpose, durable, nonexpendable, and needed for the performance of a contract. Equipment is not intended for sale and does not ordinarily lose its identity or become a component part of another article when put into use.

Equipment does not include material, real property, special test equipment or special tooling. Further, it is tangible property having a useful life of more than two years and an acquisition cost of $5,000 or more per unit. The justification for this type of equipment and its cost must be disclosed in the cost proposal to include as applicable:

• Vendor Quote: Show name of vendor and number of quotes received and justification of intended award (i.e. lowest price, best value, etc…).

• Historical Cost: Identify vendor, date of purchase and whether or not cost represented the lowest bid. Include release(s) for not soliciting current quotes.

• Estimate: Include rationale for estimate and reasons for not soliciting current quotes.

• Special Test Equipment to be fabricated by the contractor for research purposes and its cost.

• Standard equipment to be acquired and modified to meet specific requirements including acquisition and modification costs, listed separately.

• Existing equipment to be modified to meet specific research requirements and modification costs. Do not include as special test equipment those items of equipment that, if purchased by the contractor with contractor funds, would be capitalized for Federal income tax purposes.

• Specification as to whether or not each item of equipment will be included as part of a deliverable under a resulting award.

In accordance with FAR 35.014, title of equipment or other tangible property purchased with government funds may be vested in institutions of higher education or with non-profit organizations, whose primary purpose is the conduct of scientific research.

Appendix A – Cost Proposal Format and Preparation Instructions