Encl-5_Admin and Natl.Policy.Reqts_ FINAL.docx

W900KK-22-R-00XX

ENCLOSURE 5: W900KK-22-R-0012

ADMINISTRATIVE AND NATIONAL POLICY REQUIREMENTS

ADMINISTRATIVE AND NATIONAL POLICY REQUIREMENTS

Disclosure of Abstract, White Paper, and Proposal Information The offeror must be aware that all BAA abstracts, white papers, and proposals may be read, reviewed, and/or administratively handled by employees of the Federal Government, support contractors of TRMC, support contractors of the T&E/S&T Test Technology Area (TTA), and support contractors at PEO STRI. All individuals, both Government employees and support contractor personnel, who may read, review, and/or administratively handle white papers and proposals, sign a non-disclosure agreement as a condition of their employment. Submission of abstracts, white papers, proposals and any other information or correspondence is an acknowledgement and understanding of the above and acceptance of the required support contractor actions to support execution the BAA.

Organizational Conflicts of Interest The Organizational Conflict of Interest (OCI) rules, procedures and responsibilities described in FAR 9.5 “Organizational and Consultant Conflicts of Interest”, FAR 3.101-1 “Standards of Conduct – General, and DFARS 209.5 “Organizational and Consultant Conflicts of Interest,” are applicable to the Offeror, any affiliate or successor-in-interest, as well as any co-sponsor, joint-venture partner, consultant, subcontractor or other entity participating in the performance of any effort under this BAA. FAR subpart 9.5, “Organizational and Consultant Conflicts of Interest” and DFARS Subpart 209.5, “Organizational and Consultant Conflicts of Interest” prescribe responsibilities, general rules, and procedures for identifying, evaluating, and resolving OCIs. In addition, FAR 3.101-1 “Standards of Conduct – General” addresses unfair competitive advantages that can result from contractors hiring former Government employees. (See also Health Net Fed. Svcs, B-401652.3). It is Government policy to ensure all appropriate measures are taken to resolve OCIs arising under FAR 9.5 and unfair competitive advantages arising under FAR 3.101-1 to prevent the existence of conflicting roles that might bias a contractor’s judgement and deprive the Government of objective advice or assistance, and to prevent contractors from gaining an unfair competitive advantage.

In addition, TRMC has an OCI policy that prohibits contractors/performers from concurrently providing Scientific Engineering Technical Assistance (SETA), Advisory and assistance Services (A&AS) or similar support services and being a technical performer. Therefore, as part of the disclosure requirement above, an offeror must affirm whether the offeror or any proposed team member (sub-awardee, consultant) is providing SETA, A&AS, or similar support to any TRMC office(s) under: (a) a current award or sub-award; or (b) a past award or sub-award that ended within one calendar year prior to the proposal’s submission date. If SETA, A&AS, or similar support is being or was provided to any TRMC office(s), the proposal must include:

· The name of the TRMC office receiving the support;

· The prime contract number;

· Identification of proposed team member (sub-awardee, consultant) providing the support; and

· An OCI mitigation plan in accordance with FAR 9.5.

All offerors must identify and analyze any potential or actual Organizational Conflicts of Interest (OCIs) that exist as a result of responding to this announcement. If a white paper is identified for potential award of a FAR-based contract or negotiation of a non-FAR-based instrument, offerors will be required to disclose, in writing to the Contracting Officer, for themselves and any proposed subcontractors. Based on the information submitted, as well as additional information requested by TRMC (if necessary), the Contracting Officer will conduct an OCI analysis prior to award of a FAR-based contract or negotiation of a non-FAR-based instrument.

Publication Requirements and Acknowledgement The Government has research paper publication/presentation review requirements on technology developed and/or experimental results achieved through work performed on contracts resulting from this BAA. Information or technology developed by efforts awarded under this BAA must be reviewed to ensure adherence to regulations concerning the release of Military Critical Technology List (MCTL) and/or International Traffic in Arms Regulations (ITAR) sensitive materials, as well as CUI.

There shall be no dissemination or publication, except within and between the contractor and any subcontractors, of information developed under this contract or contained in the reports to be furnished pursuant to this contract without prior written approval of the Test Technology Area’s Executing Agent. All technical reports will be given proper review by appropriate authority to determine which distribution statement is to be applied prior to the initial distribution of these reports by the contractor.

All papers, presentations, and/or abstracts intended for publication must be submitted to the respective Contracting Officer (for review by the Test Technology Area’s Executing Agent) no later than 30 days prior to requested dissemination. This deadline will allow sufficient time for review and approval through security and public release processes. Government agencies conducting work funded/awarded under this BAA must follow the processes established within/by the represented agency. Each submission must be accompanied by the following content:

a) Statement of Review: a statement specifically addressing the author’s review of applicability or sensitivity of publication material to regulations concerning the release of CUI, MCTL, and/or ITAR.

b) Document Information: document title, document author, short plain-language description of technology discussed in the material (approx. 30 words), number of pages (or minutes of video), and document type (e.g., briefing, report, abstract, article, or paper)

c) Event Information: event type (conference, principal investigator meeting, article, or paper), event date, desired date for TRMC’s approval;

The Executing Agent is required to review and comment for revision, if necessary, based on Government operational security, appropriate distribution statement, public release considerations, and acknowledgement of the TRMC T&E/S&T Program and contracting officer. The author will then be informed, by the Contracting Officer, of the above and the release approval status. The Government has the option of approving or disapproving public release (if designated changes are not addressed). Historically, papers/abstracts are approved with only minor changes and do not affect the technical content of the submission.

Academic institutions are advised that R&D performed as a result of this BAA is funded with Budget Activity 3 funds for Advanced Technology Development (Non-Fundamental Research). Projects selected for award under this BAA contain contractual requirements — the projects are NOT Government grants to conduct fundamental research. Contracted Fundamental Research includes grants and contracts (a) funded by Budget Activity 1 (Basic Research) or (b) funded by Budget Activity 2 (Applied Research). Research shall not be considered fundamental in those circumstances where there is a likelihood of disclosing performance characteristics of military systems or manufacturing technologies unique and critical to military defense. Thus, all efforts selected under this BAA shall require compliance with the Publication Review process outlined above. Academic institutions are not exempt from this requirement. This requirement shall also flow down to subcontractors.

Solicitation Provisions and Award Clauses, Terms and Conditions This below list is not exhaustive and the clauses, terms and conditions included in a resultant award will depend on the nature of the research effort, the specific award instrument, the type of awardee, and any applicable security or publication restrictions.

The information serves to put offerors and awardees on notice of proposal requirements and award terms and conditions to which they may have to adhere.

The following technical data and computer software clauses may be incorporated into contracts awarded in support of this BAA. Offerors are encouraged to review these DFARS clauses prior to submission of a white paper and/or proposal, as even OTA awards will contain requirements substantially similar to those contained in the following DFARS clauses.

System for Award Management Registration Prime offerors are notified that to be eligible for payment, they must be registered in the System for Award Management (SAM) at https://www.sam.gov. By submission of a white paper, the prime offeror acknowledges the requirement that prime awardee shall be registered in the SAM database prior to award, during performance, and through final payment of any award resulting from this BAA. NOTE: New registrations can take an average of 7-10 business days to process in SAM.

Representations and Certifications In accordance with FAR 4.1201, the offeror shall complete electronic annual representations and certifications at https://www.sam.gov/portal/public/SAM/.

Intellectual Property Offerors should note that the Government does not own the intellectual property or technical data/computer software developed under Government contracts. The Government acquires the right to use the technical data/computer software. Regardless of the scope of the Government’s rights, awardees may freely use their same data/software for their own commercial purposes (unless restricted by U.S. export control laws or security classification). Therefore, technical data and computer software developed under this solicitation will remain the property of the awardees, though the Government will have, at a minimum, Government Purpose Rights (GPR) to technical data and computer software developed through Government sponsorship.

If offerors desire to use proprietary computer software or technical data or both as the basis of their proposed approach, in whole or in part, they should:

(1) clearly identify such software/data and its proposed particular use(s);

(2) explain how the Government will be able to reach its program goals (including transition) within the proprietary model offered; and

(3) provide possible nonproprietary alternatives in any area that might present transition difficulties or increased risk or cost to the Government under the proposed proprietary solution. Offerors expecting to use, but not to deliver, commercial open source tools or other materials in implementing their approach may be required to indemnify the Government against legal liability arising from such use.

All references to "Unlimited Rights" or "Government Purpose Rights" represent the definitions of those terms as set forth in the Defense Federal Acquisition Regulation Supplement (DFARS) 227.7103-5.

1. Intellectual Property Representations All offerors must provide a good faith representation of either ownership or possession of appropriate licensing rights to all other intellectual property to be used for the proposed project. Offerors must provide a short summary for each item asserted with less than unlimited rights that describes the nature of the restriction and the intended use of the intellectual property in the conduct of the proposed research. See Attachment 4 - Intellectual Property/ Data Rights Assertions.

2. Patents For proposal submissions, all offerors must include documentation proving ownership or possession of appropriate licensing rights to all patented inventions to be used for the proposed project. If a patent application has been filed for an invention, but it includes proprietary information and is not publicly available, an offeror must provide documentation that includes: the patent number, inventor name(s), assignee names (if any), filing date, filing date of any related provisional application, and summary of the patent title, with either: (1) a representation of invention ownership; or (2) proof of possession of appropriate licensing rights in the invention (i.e., an agreement from the owner of the patent granting license to the offeror).

3. Procurement/FAR-based Contracts

a. Noncommercial Items (Technical Data and Computer Software) Offerors requesting a procurement contract must list all noncommercial technical data and computer software that it plans to generate, develop, and/or deliver, in which the Government will acquire less than unlimited rights and to assert specific restrictions on those deliverables. In the event a proposer does not submit the list, the Government will assume unlimited rights to all noncommercial technical data and computer software generated, developed, and/or delivered, unless it is substantiated that development of the noncommercial technical data and computer software occurred exclusively at private expense. If mixed funding is anticipated in the development of noncommercial technical data and computer software generated, developed, and/or delivered, proposers should identify the data and software in question as subject to GPR. In accordance with DFARS 252.227-7013, “Rights in Technical Data - Noncommercial Items,” and DFARS 252.227-7014, “Rights in Noncommercial Computer Software and Noncommercial Computer Software Documentation,” the Government will automatically assume that any such GPR restriction is limited to a period of 5 years, at which time the Government will acquire unlimited rights unless the parties agree otherwise. The Government may use the list during the evaluation process to evaluate the impact of any identified restrictions and may request additional information from the proposer, as may be necessary, to evaluate the proposer’s assertions. Failure to provide full information may result in a determination that the proposal is non-conforming. A template for complying with this request is provided in Attachment 4 - Intellectual Property/Data Rights Assertions.

b. Commercial Items (Technical Data and Computer Software) Offerors requesting a procurement contract must list all commercial technical data and commercial computer software that may be included in any noncommercial deliverables contemplated under the research project and assert any applicable restrictions on the Government’s use of such commercial technical data and/or computer software. In the event a proposer does not submit the list, the Government will assume there are no restrictions on the Government’s use of such commercial items. The Government may use the list during the evaluation process to evaluate the impact of any identified restrictions and may request additional information from the offeror to evaluate the proposer’s assertions. Failure to provide full information may result in a determination that the proposal is non-conforming. A template for complying with this request is provided in Attachment 4 - Data Rights Assertions.

c. Other Types of Awards Proposers requesting an award instrument other than a FAR contract shall follow the applicable rules and regulations governing those award instruments, but in all cases should appropriately identify any potential restrictions on the Government’s use of any intellectual property contemplated under those award instruments. This includes both noncommercial items and commercial items. The Government may use the list as part of the evaluation process to assess the impact of any identified restrictions and may request additional information from the proposer, to evaluate the proposer’s assertions. Failure to provide full information may result in a determination that the proposal is non-conforming. A template for complying with this request is provided in Attachment 4 - Intellectual Property/Data Rights Assertions.

Other Transactions ACC Orlando has the authority to enter into Other Transaction (OT)s for basic, applied, and advanced research under 10 U.S.C. § 2371 as well as OTs for prototypes under 10 U.S.C. § 2371b. These authorities are designed to encourage new or non-traditional defense contractors to work with the Department of Defense (DoD). These authorities allow TRMC to bring new, cutting-edge solutions to the warfighter by, to the maximum extent allowable, accommodating a performer’s existing business practices and commercial industry standards rather than imposing DoD standards. Offerors looking for innovative, commercial-like arrangements are encouraged to propose the use of an OT, should it be appropriate for the nature of the research. In all cases, the Government shall have the sole discretion to select the award instrument type, regardless of the instrument type proposed.

If an OT for prototype under the authority of 10 U.S.C. § 2371b is entered into pursuant to this announcement, this announcement, and the entry into an OT for prototype based on responses to this announcement, will be considered competitive procedures such that a follow-on production contract or agreement may be awarded in accordance with 10 U.S.C. § 2371b(f) without further competition or sole source justification.

OTs for prototype under 10 U.S.C. § 2371b may require the participation of a non-traditional defense contractor (NDC). As defined in 10 U.S.C. § 2302, an NDC is an entity not currently performing, and has not performed, for at least a year before the effective date of this announcement, any contract or subcontract for the DoD subject to full cost accounting standards.

Traditional defense contractors are also encouraged to engage in OTs, particularly if they want to adopt commercial-like practices or standards, diversify into the commercial sector or partner with NDCs. Offerors are responsible for reviewing the conditions for award at 10 U.S.C. §2371 and §2371b.

Cost sharing is not required; however, it will be carefully considered where there is an applicable statutory condition relating to the selected funding instrument (e.g., OTs under the authority of 10 U.S.C. § 2371). Cost sharing is encouraged where there is a reasonable probability of a potential commercial application related to the proposed research and development effort.

Disclosure of Information and Compliance with Safeguarding Covered Defense Information Control All offerors are advised that any awards resulting from this announcement may include regulations related to the restricted release of unclassified information should the awardee have access to or generate unclassified information that may be sensitive and inappropriate for release to the public. Awards may also be subject to certain security requirements in regards to safeguarding covered defense information.

1. Export Control Requirements The research topics in this announcement may cover export-controlled technologies that are subject to U.S. Export Control laws (ITAR 22 CFR 120-130 and/or EAR 15 CFR 730-774). Offerors are advised the proposed performance of any foreign nationals (FNs) may be restricted due to the nature of the technical data. Offerors must disclose any proposed use of FNs, their country(ies) of origin, the type of visa or work permit possessed, and the tasks intended for accomplishment by the FN.

2. Controlled Unclassified Information (CUI) and Controlled Technical Information (CTI) on Non-DoD Information Systems Offerors and awardees are subject to the DoD requirements related to protection of CUI and CTI IAW Executive Order 13556, Controlled Unclassified Information, DFARS 252.204-7000, Disclosure of Information, DFARS 252.204-7012, Safeguarding Covered Defense Information and Cyber Incident Reporting, DoD Instruction 5200.48, Controlled Unclassified Information, DoD Instruction 8582.01, Security of Non-DoD Information Systems Processing Unclassified Nonpublic DoD Information.

CUI is defined as unclassified information that requires safeguarding or dissemination controls, pursuant to and consistent with applicable law, regulations, and Government-wide policies.

Controlled Technical Information (CTI) is defined as technical information with military or space application that is subject to controls on its access, use, reproduction, modification, performance, display, release, disclosure, or dissemination. The term CTI does not include information that is lawfully publicly available without restrictions.

DoD considers “technical information” to be technical data or computer software, as those terms are defined in Defense Federal Acquisition Regulation Supplement clause 252.227-7013, "Rights in Technical Data - Noncommercial Items" (48 CFR 252.227-7013). Examples of technical information include research and engineering data; engineering drawings and associated lists; specifications, standards, process sheets, manuals, technical reports, technical orders, catalog item identifications, data sets, studies and analyses and related information; and computer software code. Note that such technical information may or may not be controlled (i.e., CTI), depending on whether it has military or space application.

Offerors should indicate in their proposal if their proposed solution includes CUI. All white papers and proposals indicating CUI requirements must include a draft CUI protection plan in this document detailing how CUI will be protected at performance sites as well as subcontractor locations. The draft CUI protection plan is not a source selection criterion, and there is no page limit. During selection and negotiation, TRMC will determine additional requirements and clarification required of the CUI protection plan. Potential award instruments for solicitation responses containing CUI will be limited to contracts or Other Transactions.

Per Enclosure 4: Proposal Submission Requirements, the offeror shall include a Statement of Work with a breakdown of all research tasks and subtasks and indicate the proposed classification for each. For all tasks and subtasks proposed to be unclassified, offerors should distinguish where work proposed would be CUI. If CUI tasks are proposed in the Statement of Work, offerors must provide a plan for protecting Controlled Unclassified Information as part of this document:

Unless otherwise specified, CTI is to be marked “DISTRIBUTION C. Distribution authorized to U.S. Government agencies and their contractors; Critical Technology; [current date]. Other requests for this document shall be referred to TRMC, T&E/S&T Program Manager” in accordance with Department of Defense Instruction 5203.24, “Distribution of Statements on Technical Documents.”

More information regarding DoD CUI is located at:

https://www.dodcui.mil All non-DoD entities doing business with TRMC are expected to adhere to the following procedural safeguards, in addition to any other relevant federal or DoD specific procedures, for submission of any offers to TRMC and any potential business with TRMC:

· Do not process TRMC CUI on publicly available computers or post TRMC CUI to publicly available webpages or websites that have access limited only by domain or Internet protocol restriction.

· Ensure that all TRMC CUI is protected by a physical or electronic barrier when not under direct individual control of an authorized user and limit the transfer or TRMC CUI to subcontractors or teaming partners with a need to know and commitment to this level of protection.

· Ensure that all TRMC CUI is only processed on information technology systems meeting NIST SP 800-171 or DoDI 8582.01 requirements.

· Ensure that TRMC CUI on mobile computing devices is identified and encrypted and all communications on mobile devices or through wireless connections are protected and encrypted.

· All wireless telephone transmission of CUI will be avoided when there are other options available.

· Sanitize or destroy media containing CUI before disposal or release for reuse in accordance with NIST SP 800-88.

Electronic Invoicing and Payments Awardees will be required to submit invoices for payment electronically via Wide Area Work Flow (WAWF), accessed through the Procurement Integrated Enterprise Environment at https://piee.eb.mil/, unless an exception applies. Registration in WAWF is required prior to any award under this BAA.

Subcontracting 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 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. The subcontracting goal for small disadvantaged businesses is currently five (5) percent, though specific requirements shall be expressed in any resultant award.

Subcontracting Plan For offers proposed in excess of $700,000 by other than small businesses, the offeror is required to submit a Subcontracting Plan in accordance with FAR 52.219.9. As such, subcontracting plans will be reviewed (and negotiated as necessary) to ensure subcontracting plans are compliant with FAR Subpart 19.7. 6.2.3 Cost Accounting Standards Notices and Certification Any FAR contract in excess of the value designated by FAR 52.230-2 resulting from this announcement will be subject to the requirements of the Cost Accounting Standards (CAS) Board (48 CFR 99), except those contracts which are exempt as specified in 48 CFR 9903.201-1. Any offeror submitting a proposal which, if accepted, will result in a CAS-compliant contract, must submit representations and a disclosure statement as required by 48 CFR 9903.202 detailed in FAR 52.230-2. The disclosure forms may be found at http://www.whitehouse.gov/omb/procurement_casb.

Property Management Plan Offerors shall submit a Property Management Plan in accordance with FAR 52.245-1 (f) (1). The purpose of the plan is to describe the practices and standards to be used in the management of Government property, or existing property management plans, methods, practices or procedures for accounting for property. A property plan is a high-level strategic view of how the offeror expects to manage Government property. The plan is not a property control procedure; rather, it summarizes and explains how the offeror’s corporate policy aligns with the performance outcomes of FAR 52.245-1 Government Property.

Offeror format is acceptable and should be between one to five pages in length. The Property Management Plan will be reviewed by the Contracting Officer to ensure the offeror’s property plan, methods, practices, or procedures for accounting for property are consistent with the requirements of this solicitation.

Army CHESS Program See Enclosure 5 - Proposal Submission Requirements for applicability of this requirement. Reference is made to Army Federal Acquisition Regulations Supplement (AFARS) 5139.101-90(a) found at https://www.acquisition.gov/afars/part-5139-acquisition-information-technology. CHESS is the U.S. Army’s mandatory source for commercial IT hardware and software purchases. Purchasers of commercial hardware and software must satisfy their IT requirements by utilizing CHESS contracts and DoD enterprise software agreements first, regardless of dollar value. Any IT hardware or software purchase made outside of the CHESS contracts requires Army Chief Information officer (CIO)/G6 approved Goal 1 Waiver.

All information technology (IT) purchases must be submitted through the Information Technology Approval System (ITAS). The ITAS approval memo and supporting documentation shall be part of the requirements package submitted to the Contracting Officer and shall also be part of the resulting solicitation and contract file documentation. The ITAS Approval website is located at https://cprobe.army.mil/enterprise-portal/web/itas/home.

The CHESS website located at http://chess.army.mil provides a complete list of CHESS contracts, the DoD ESI as well as information concerning ITAS Approvals and CHESS SONAs. The ITAS Approval website is located at https://cprobe.army.mil/enterprise-portal/web/itas/home.

More information regarding CHESS can be found at https://asc.army.mil/web/portfolio-item/eis-chess/ and https://https://chess.army.mil .

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