Atch 1 Supplemental Instructions for Assistance Instruments.docx

FA2391-23-S-2403

Attachment 1 Supplemental Instructions for Assistance Instruments

1. Legal Requirements: Each assistance instrument award under this announcement will be governed by the general terms and conditions in effect at the time of award that conform to DoD’s implementation of OMB guidance applicable to financial assistance, as follows:

a. For Universities and Non-Profit Entities, these terms and conditions are identified in Parts 1126 through 1138 of the DoDGARS (2 CFR Parts 1126 through 1138, which comprise 2 CFR 1100 Subchapter D).

b. For For-Profit Entities, requirements to be included in the general terms and conditions are identified in Part 34 of the DoDGARS (32 CFR Part 34).

c. For All Entities, National Policy Requirements are identified in Part 1122 of the DoDGARS (2 CFR Part 1122).

Any resulting awards will be subject to the DoD Research and Development (R&D) General Terms and Conditions (Ts&Cs), located at: https://www.nre.navy.mil/work-with-us/manage-your-award/manage-grant-award/grants-terms-conditions. In addition, the Air Force Research Laboratory (AFRL) Addendum to the DoD R&D General Ts&Cs and AFRL Award-Specific Ts&Cs (Attachment 2) include additional Ts&Cs that may be applicable to any resulting awards. This AFRL document is a supplement to the DoD R&D General Ts&Cs.

2. Gold Standard Science (GSS): In accordance with (IAW) Executive Order (EO) 14303; GSS is science conducted in a manner that is:

a. Reproducible;

b. Transparent;

c. Communicative of error and uncertainty;

d. Collaborative and interdisciplinary;

e. Skeptical of its findings and assumptions;

f. Structured for falsifiability of hypotheses;

g. Subject to unbiased peer review;

h. Accepting negative results as positive outcomes; and

i. Without conflicts of interest.

With regards to GSS, white papers and proposals shall:

(1) Include clear benchmarks for measuring success and progress towards relevant goals and a commitment to achieving GSS;

(2) Identify areas of demonstrating success in implementing GSS; and

(3) Include a commitment to complying with administration policies, procedures, and guidance respecting GSS. By responding to this BAA, you explicitly agree to the following statement:

“Our institution understands the definition of Gold Standard Science (GSS) as outlined above. In addition, our institution and all personnel involved in the proposed project will adhere to all administration policies, procedures, and guidance respecting Gold Standard Science (GSS) in the execution of this project, if funded.”

3. Science and Technology (S&T) Protection: IAW AFRL Instruction (AFRLI) 61-113, “Science and Technology (S&T) Protection for the Air Force Research Laboratory,” offerors are required to submit the following as part of their proposal:

a. A completed initial Standard Form (SF) 424, Research and Related Senior/Key Person Profile (Expanded) Form (Attachment 9), for all Senior/Key Personnel proposed in support of the AFRLI 61-113 Personnel Risk Assessment requirement.

b. Documentation of a Security Program Plan in support of the AFRLI 61-113 Initial Institution S&T Protection Program Review requirement. This must include, at a minimum, a completed Security Program Questionnaire (Attachment 11). Submittals may also include a pre-existing plan that the offeror uses as a matter of course or plan developed specifically for this acquisition. The purpose of requesting the plan is to assess the offeror’s capacity for protection of the Government’s S&T. Failure to demonstrate a plan adequate to meet the needs of the requirements, as determined by the Government in its sole discretion, may be grounds for considering the proposal unawardable.

c. A completed Privacy Act Statement consent form (Attachment 10) for each Covered Individual that is also signed by the Applicants/Recipients as the Individual’s Sponsor.

Government Procedures: The Government will review the submitted S&T protection documentation only for those proposals categorized as Selectable and selected for funding and negotiations.

S&T Protection Initial Risk Review:

· Personnel Risk Assessment: The Government will review non-government research key/senior performers identified by the offeror on the initial SF 424 for workload conflicts and conflicts of interest.

· Initial Institution S&T Protection Program Review: The Government will review the offeror’s security program information submitted in accordance with paragraph b. of this section (above) to identify any potential risks and ensure appropriate measures are in place to protect S&T information.

The Government may require the offeror to submit additional information and/or a mitigation plan for any identified S&T protection risks. If the Government determines the offeror failed to provide adequate additional information; or an acceptable mitigation plan; or it is determined the offeror’s S&T protection approach is high risk and does not provide adequate protection of S&T information, the Government may reject the proposal and withdraw it from consideration for award.

S&T Protection Annual Risk Review: IAW the AFRL Addendum to DoD R&D General Terms and Conditions and AFRL Award-Specific Terms and Conditions, Article 29, Science and Technology (S&T) Protection (Feb 2024), the contractor/recipient shall provide an SF 424 with the following information: 1) an initial report of all Senior/Key Personnel at the time of award; 2) an annual report of all Senior/Key Personnel providing support; and 3) a report for any new Senior/Key Personnel who join the agreement, grant, or OT. Any updated SF 424s for new Senior/key Personnel supporting the award require coordination from the Government prior to the contractor/recipient employee receiving access to S&T information. The purpose of this report is oversight and should not be construed as relieving the contractor/recipient of any S&T Protection requirements within the grant, agreement, or OT.

4. SF 424 Forms: The following forms must be included in the white paper package.

a. Cover Page: All white papers for assistance must include an SF 424 (R&R) (Application for Federal Assistance) form as the cover page.

b. STEM: To evaluate compliance with Title IX of the Education Amendments of 1972 {20 U.S.C. A§ 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, consequently a Research & Related Senior/Key Person Profile (Expanded) Form and a Research & Related Personnel Data Form must also be submitted.

(1) Research and Related Senior/Key Person Profile (Expanded) Form: For this form, the Degree Type and Degree Year fields 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/Pl or Co-PD/Pl. Additional senior/key persons can be added by selecting the "Next Person" button.

(2) 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 and 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 purposes 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.

NOTE: Science and Technology (S&T) Protection: In accordance with Air Force Research Laboratory Instruction (AFRLI) 61-113, “Science and Technology (S&T) Protection for the Air Force Research Laboratory”, offerors are required to submit a completed initial SF 424, Research and Related Senior/Key Person File (Expanded) Form, as mentioned above.

c. For Institutions of Higher Education Applicants: The National Defense Authorization Act (NDAA) for FY 2019, Section 1286, pages 443-445, directs the Secretary of Defense to support protection of intellectual property, controlled information, key personnel, and information about critical technologies relevant to national security; and to limit undue influence, including through foreign talent programs, by countries to exploit United States technology within the Department of Defense research, science and technology, and innovation enterprise when an institution of higher education is the applicant for defense research and engineering activities under a grant, cooperative agreement, or in the case of a technology investment agreement as a member of a consortium.

d. Applicants shall submit the information below for all key personnel) defined as all individuals who contribute in a substantive, measurable, and meaningful way to the scientific development or execution of the project on the Research & Related Senior/Key Person Profile (Expanded) form:

(1) A list of all current projects the individual is working on, in addition to any future support the individual has applied to receive, regardless of the source.

(2) Title and objectives of the other research projects.

(3) The percentage per year to be devoted to the other projects.

(4) The total amount of support the individual is receiving in connection to each of the other research projects or will receive if other proposals are awarded.

(5) Name and address of the agencies and/or other parties supporting the other research projects.

(6) Period of performance for the other research projects.

This information will be used to support protection of intellectual property, controlled information, key personnel, and information about critical technologies relevant to national security and will be used to limit undue influence, including foreign talent programs, by countries that desire to exploit United States’ technology within the DoD research, science and technology, and innovation enterprise.

Failure to submit this information may cause the white paper to be returned without further review, and DoD reserves the right to request further details from an applicant before making a final determination on funding the effort. This information does not count towards the overall proposal page limits.

5. Data Management Plan:

a. Notices for research and development grants will require applicants to submit a 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. https://www.esd.whs.mil/Portals/54/Documents/DD/issuances/dodi/320012p.pdf?ver=2019-04-30-073122-220

b. Data management plans are generally no more than 2 pages in length, and must include the following considerations, though programs may consider more at their discretion:

(1) The types of data, software, and other materials to be produced.

(2) How the data will be acquired.

(3) Time and location of data acquisition, if scientifically pertinent.

(4) How the data will be processed.

(5) The file formats and the naming conventions that will be used.

(6) A description of the quality assurance and quality control measures during collection, analysis, and processing.

(7) A description of dataset origin when existing data resources are used.

(8) A description of the standards to be used for data and metadata format and content.

(9) Appropriate timeframe for preservation.

(10) 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 justification for such decisions.

6. System Award Management: To apply for grants and other funding opportunities the applicant entity must be registered in the System for Award Management (SAM). Proposals will not be accepted through Grants.gov or other methods unless the entity is registered in SAM.

7. Certifications:

a. SAM is the central repository for common Government-wide financial assistance certifications and representations. Registration in SAM includes the acceptance of Certifications and Assurances. SAM may be accessed at: https:/sam.gov. The Financial Assistance Certifications Report is an attestation that the entity will abide by the requirements of the various laws and regulations; therefore, as applicable, you are required to submit any documentation, including the SF LLL Disclosure of Lobbying Activities (if applicable), and informing DoD of unpaid delinquent tax liability or a felony conviction under any Federal law.

b. This program contains unique certifications and representations not identified in the SAM repository and are included as an attachment to this funding opportunity. By checking “I agree” on the SF 424 Block 21 or the SF 424 (R&R) Block 17, you agree to abide by the following statement:

“By signing this application, I certify (1) to the statements contained in the list of certifications and (2) that the statements herein are true, complete and accurate to the best of my knowledge. I also provide the required assurances and agree to comply with any resulting terms if I accept an award. I am aware that any false, fictitious, or fraudulent statements or claims may subject me to criminal, civil, or administrative penalties. (U.S. Code, Title 218, Section 1001).”

8. Grants.gov Submission: White Papers cannot be submitted through Grants.gov. White papers must be submitted in accordance with BAA Section IV Paragraph 2. Only White Papers are being solicitated at this time. White papers will be reviewed and those selected for further consideration will result in a Request for Proposal (RFP).

9. Application Review Information:

a. All white papers will be evaluated IAW with the BAA evaluation criteria. All white papers requesting an Assistance Instrument will be further evaluated for compliance with the Gold Standard Science (GSS).

b. Initial Screening (Go/No Go Criteria):

(1) Proposal demonstrates success in implementing GSS in addition to making a commitment to complying with administration policies, procedures, and guidance respecting GSS.

(2) Proposal produces immediately demonstrable results.

(3) Selection should consider speed and accountability through demonstration of meaningful performance or deliverable milestones to accelerate the development of emerging technology for timely delivery to the warfighter.

(4) Consider the possibility for potentially longer-term, breakthrough results, in a manner consistent with the funding opportunity announcement.

(5) Proposals should include clear benchmarks for measuring success and progress towards relevant research and development goals.

(6) Proposal demonstrably advances the President’s policy priorities.

(7) Proposal does not promote, encourage subsidize, or facilitate: (a) racial preferences or other forms of racial discrimination by the grant recipient, including activities where race or intentional proxies for race will be used as a selection criterion for employment or program participation; (b) denial by the grant recipient of the sex binary in humans or the notion that sex is chosen or mutable characteristic; (c) illegal immigration; or (d) any other initiatives that compromise public safety or promote anti-American values.

c. Full Evaluation/Review (Selection Criteria):

(1) Primary Selection Criteria: white papers/proposals will be reviewed using the criteria listed below (criteria is listed in descending order of importance and refer to scoring rubric below). These evaluations will entail a “weight of scientific evidence approach (E0 14303):

1. Technical merits of the proposed research and development. See below for a scoring rubric example.

2. Potential relationship of the proposed research and development to DoD missions. See below for a scoring rubric example.

(2) Other Selection Criteria: Cost/Price: While of less importance to the primary criteria above, the realism of the proposed cost (to include cost sharing, consideration of proposed budgets, and funding profiles), will be evaluated.

(3) Risk Assessments are performed prior to award with regards to Science & Technology (S&T) Protection and assessments IAW 2 CFR 200.206.

Criterion 2: Potential Relationship to DoW Missions

This criterion assesses the relevance and potential contribution of the research to the DoW needs and mission objectives.

d. Review and Selection Process:

(1) Categories: Based on the review above, white papers/proposals will be categorized as Selectable or Not Selectable (see definitions below). The selection of one or more sources for award will be based on this review.

1. Selectable: White papers/proposals are recommended for acceptance if sufficient funding is available.

2. Not Selectable: Even if sufficient funding existed, the white paper/proposal should not be funded.

Note: The Government reserves the right to award some, all, or none of white papers/proposals. When the Government elects to award only part of a white papers/proposal, the selected part may be categorized as Selectable, though the white paper/proposal as a whole may not merit such a categorization.

e. No other criteria will be used.

f. Federal Awardee Performance and Integrity Information System (FAPIIS) – in accordance with 41 U.S.C. 2313, the awarding agency (prior to making a Federal award with a total amount of Federal share greater than the simplified acquisition threshold) is required to review and consider any information about the applicant that is in the designated integrity and performance system accessible through SAM (currently FAPIIS).