20-05 Amend 8 2023 repub final.docx

AMENDMENT 8 to BAA FA8750-20-S-7005

The purpose of this modification is to republish the original announcement, incorporating any previous amendments, pursuant to FAR 35.016(c).

This republishing also includes the following changes:

1. Part I-Overview Information:

a. Removes the CEREBRUS as a technology description (TD) under TD 4;

b. Removes the MERLIN TD under TD 5;

c. Removes the SIMPLER TD under TD 5;

d. Updates the BAA PM;

2. Part II, Full Text Announcement:

a. Section II.4, updates the Focus Area starts per FY;

0. Section IV.f.5, removes the last sentence regarding options;

0. Section IV.1, updated the proposal formatting language;

0. Section VI, updates the provisions;

0. Section VII, updates the BAA PM

No other changes are made.

NAICS CODE: 541715

FEDERAL AGENCY NAME: Department of the Air Force, Air Force Materiel Command, AFRL - Rome Research Site, AFRL/Information Directorate, 26 Electronic Parkway, Rome, NY, 13441-4514

BAA ANNOUNCEMENT TYPE: Amendment

BROAD AGENCY ANNOUNCEMENT (BAA) TITLE: Digitally Optimized Geospatial & Tactical Airfield Guide (DOGTAG)

BAA NUMBER: FA8750-20-S-7005

PART I – OVERVIEW INFORMATION

This announcement is for an Open, 2 Step BAA which is open and effective until 31 March 2024. Only white papers will be accepted as initial submissions; formal proposals will be accepted by invitation only. While white papers will be considered if received prior to 2:00 PM Eastern Standard Time (EST) on 31 March 2024, the following submission dates are suggested to best align with projected funding:

FY20 by 28 FEB 2020 FY21 by 31 JUL 2020 FY22 by 31 JUL 2021 FY23 by 22 APR 2022 FY24 by 31 MAR 2023

CONCISE SUMMARY OF TECHNOLOGY REQUIREMENT: The Information Directorate of the Air Force Research Laboratory (AFRL/RI), Rome Research Site, is soliciting white papers under this broad agency announcement (BAA) for innovative technologies that digitize operational collaboration for military operations.

The DOGTAG program is divided into three technical domains (TDs), each of which are comprised of several lines of effort. Offerors may submit a white paper toward as many lines of effort as they wish. It is not required that offerors submit toward all lines of effort within a single TD. Offerors may also submit toward lines of effort from multiple TDs. It is preferred that Offerors wishing to propose multiple lines of effort, regardless of which TDs they fall under, submit individual white papers or have clear delineation of cost and duration per line of effort. Failure to do so will not negatively impact evaluation but may be difficult to identify a partial award toward one line of effort versus the total proposal. Offerors should indicate their strategy for integration of components developed in other TDs when applicable. The TDs are as follows:

TD1 is removed and no new white papers will be accepted under it TD2 is removed and no new white papers will be accepted under it TD3 is removed and no new white papers will be accepted under it TD4: Mobility Knowledge Management & Integration

· The CERBERUS TD is removed and no new white papers will be accepted under it.

TD5: AI-enabled Data Analytics, Visualizations, and Modeling for Logistics

· The MERLIN TD is removed and no new white papers will be accepted under it.

· The SIMPLER TD is removed and no new white papers will be accepted under it.

BAA ESTIMATED FUNDING: Total funding for this BAA is approximately $49.9M. Individual awards will range from 12 months to 24 months in duration with dollar amounts normally ranging from $300K to $2.5M, annually. There is also the potential to make awards up to any dollar value as long as the value does not exceed the available BAA ceiling amount.

ANTICIPATED INDIVIDUAL AWARDS: Multiple Awards are anticipated.

TYPE OF INSTRUMENTS THAT MAY BE AWARDED: Procurement contracts, grants, cooperative agreements or other transactions (OT) depending upon the nature of the work proposed. In the event that an Other Transaction for Prototype agreement is awarded as a result of this competitive BAA, and the prototype project is successfully completed, there is the potential for a prototype project to transition to award of a follow-on production contract or transaction. The Other Transaction for Prototype agreement itself will also contain a similar notice of a potential follow-on production contract or agreement.

AGENCY CONTACT INFORMATION: All white paper submissions and any questions of a technical nature shall be directed to the cognizant Technical Point of Contact (TPOC) as specified below (unless otherwise specified in the technical area):

BAA MANAGER:

Alex Andrekanic

AFRL/RISD

525 Brooks Rd Rome, NY 13441-4505 Cell: (315) 330 2698 Email: alex.andrekanic.1@us.af.mil

Questions of a contractual/business nature shall be directed to the cognizant contracting officer, as specified below (email requests are preferred):

Amber Buckley Telephone: (315) 330-3605 Email: amber.buckley@us.af.mil

Emails must reference the solicitation (BAA) number and title of the acquisition.

Pre-Proposal Communication between Prospective Offerors and Government Representatives: Dialogue between prospective offerors and Government representatives is encouraged. Technical and contracting questions can be resolved in writing or through open discussions. Discussions with any of the points of contact shall not constitute a commitment by the Government to subsequently fund or award any proposed effort. Only Contracting Officers are legally authorized to commit the Government.

Offerors are cautioned that evaluation ratings may be lowered and/or rejected if proposal preparation (e.g. proposal format, content, etc.) and/or submittal instructions are not followed.

PART II – FULL TEXT ANNOUNCEMENT

BROAD AGENCY ANNOUNCEMENT (BAA) TITLE: Digitally Optimized Geospatial & Tactical Airfield Guide

BAA NUMBER: BAA FA8750-20-S-7005

I. TECHNOLOGY REQUIREMENTS:

Problem: This BAA is focused on developing and applying Machine Learning (ML), Asset Tracking, Process Digitization, Long Term Evolution (LTE) cellular networks and Sensor Integration, and other associated technical capabilities to challenges associated with the Air Force’s air and ground transportation career field, including Aerial Port & Flightline Operations, Mobility Knowledge Management & Integration, and AI-enabled Data Analytics, Visualizations, and Modeling for Logistics. AFRL/RI conducts research and development in the areas of information management, dissemination, and team collaboration, with particular emphasis at the tactical level in regard to this BAA. However, little research has been done to explore the application of these technologies to operational air and ground transportation use cases. Additionally, military operating conditions amplify the need for optimized work flows, as well as augmented collaboration tools and mechanisms. This BAA is focused on innovative concepts and capabilities as applied to ML-based object and hazard detection, data federation and analytics, as well as decision-enabling technologies to refine and transform the way the Department of Defense (DOD) and affiliated organizations communicate, collaborate, organize, and operate.

Background:

The air logistics system of the world’s greatest Air Force faces tremendous demands to meet the needs of Rapid Global Mobility. While our airmen have shown their ability to answer the call, there is room to leverage technological advancements for increasing efficiency, agility, and responsiveness. Infusing affordable next-generation technology into these processes will continue to modernize, allowing adaptability and scalability to meet future mission needs, reprioritize on the fly, and be resource-aware. Reduction in the amount of manual, labor-intensive practices will also amplify the efficiency at which Rapid Global Mobility is projected around the globe by Air Mobility Command across multiple endeavors. This work is necessary for many reasons but it is specifically required to provide AMC the agility to support the AF’s Agile Combat Employment (ACE), Logistics Under Attack, and Aerial Port of the Future (APoF) for extremely agile logistics and accelerated persistent logistics. Logistical success is highly dependent on three distinct, yet intertwined, mission sets; Aerial Port & Flightline Operations; Mobility Knowledge Management & Integration; and AI-enabled Data Analytics, Visualizations, and Modeling for Logistics. At their core, each of these is focused on the movement and delivery of cargo in three unique ways: tactical process improvement & enroute visibility, innovative readiness and resource monitoring, and strategic level data-to-decisions.

The Android Team Awareness Kit (ATAK) is Government-off-the-shelf (either Government owned/created or in which the Government has unlimited rights) (“GOTS”) software that forms the basic platform technology on mobile devices of interest to the three technology areas under this BAA. The ATAK software used on Android Operating System mobile devices works more effectively when combined with TAK Server, another GOTS software suite which serves as a broker for TAK formatted data, and other TAK end user instances, such as ATAK and web browser-based TAK (WebTAK). AFRL seeks to expand upon ATAK-based tools or other mobile platform applications for the three technical domains aligned to the operational/functional mission (Aerial Port & Flightline Operations, Mobility Knowledge Management & Integration, and AI-enabled Data Analytics, Visualizations, and Modeling for Logistics).

TD4 aims to deliver advanced knowledge management and digital processing capabilities to support rapid deployment and effective mission execution. The heart of joint force mobility is governed by the Defense Transportation Regulation (DTR Part III) and is currently based primarily on manual, paper-based processes. TD4 is focused on enhancing these processes via an integrated, TAK ecosystem based, digital environment. This platform will focus on integrating tools designed to perform various functions at the tactical edge. Additionally, leveraging these capabilities to deliver process analytics and current information will enable re-tasking and mission management for Deployment Control Centers and Installation Deployment Officers. This TD will target all areas of the deployment process and their supporting functions, to include: Cargo Deployment Function (CDF), Personnel Deployment Function (PDF), and Individual Protective Equipment (IPE).

TD5 aims to develop AI-enabled Data Analytics, Visualizations, and Modeling for Logistics products that will leverage the machine learning and data lake capabilities currently being developed within the TAK Ecosystem. These leveraged capabilities include TAK-ML and TAK-Analytics and are the foundation of a connected logistics force common operational picture equipping Deployment Control Centers, Air Operations Centers, Joint Operations Centers, Air Terminal Operations Center, with an intuitive data analytics and visualization suite that is tailorable to operational use cases, resource availability, and rapid data-to-decision needs.

Focus Area Descriptions:

The objective of this BAA is to explore the application of Machine Learning (ML), Asset Tracking, Process Digitization, Sensor Integration, Optimization Algorithms, Data Federation and other associated technical capabilities to address challenges associated throughout the Air Force’s air and ground transportation career field.

The research and development domains addressed under this BAA are as follows:

· TD4: Mobility Knowledge Management & Integration

· TD5: AI-enabled Data Analytics, Visualizations, and Modeling for Logistics

Key performance parameters/success criteria/performance goals will be identified during the performance of proposed research and further refined with the contractor and identified end-users over the course of development, based on domain requirements and the art of the possible. End-user engagements with domain expertise will help provide baseline measures on current practices. It will then be up to the performing contractor to document measures and metrics on the applicability and effectiveness of their developed research within the technical reports.

TD4: Mobility Knowledge Management & Integration Innovation in how logistics personnel organize, coordinate, and manage information related to operations is needed to ease end-user burden and create mission-enabling efficiencies. Further integrating these tools and processes into a cohesive, streamlined, and automated system will furnish significant efficiencies.

Flight Line Access and Identification Record (FLAIR): This effort seeks to develop a geospatial positional tracker (accuracy within 10m) for individuals performing base-wide tasks. System displays an individual’s location along with their respective vehicle qualifications, certifications, flight line qualifications, restricted area authorization, and supervision responsibilities. The FLAIR system will be capable of advising dispatchers by correlating members’ qualifications to real-time mission requirements. Automated data pulls from archive locations, such as the My Learning website, for tracking and validating certification status are ideal. At a minimum, users will have the ability to manually update/audit certification and qualification documents, manage and validate initial and recurring qualifications required by the various roles within the Aerial Port, and receive notifications on changes or expiring certificates and qualifications.

Through a map-based dispatching application (e.g. ATAK, WebTAK, custom geospatial tool), supervision has visibility of team members and their qualifications. Pulling from applicable systems (e.g. CALB-T, ICODES) for mission requirements, the system can determine estimated dispatch plans for material handling vehicles and personnel requirements. The FLAIR positional tracker will provide location of personnel, when activated or within operational reporting areas based on configurable geofencing, and provide Sequence of Events logs in conjunction with DINO on flight line operations.

TD5: AI-enabled Data Analytics, Visualizations, and Modeling for Logistics The AI-enabled Data Analytics, Visualizations, and Modeling for Logistics technical domain seeks to leverage the machine learning capabilities developed within the TAK Ecosystem. These include TAK-ML and TAK-Analytics and are the foundation of a connected logistics force common operational picture equipping Deployment Control Centers and Air Operations Centers with an intuitive data analytics and visualization suite that is tailorable to operational use cases, resource availability, and rapid data-to-decision needs via a user-centric interface. Each currently identified operational capability, along with its respective technical goal and end state metrics, are identified below.

Data Relevance Extrapolation and Decision Generation Engine (DREDGE): To bridge the raw potential of data in the ANUBIS data mesh for generation of impactful visual knowledge , there needs to be an intermediary ML service to perform insight alchemy for data-to-decisions. However, to assist in the accuracy and relevance of the decision generation, the mesh sometimes requires not only inference of important data but cleansing old data that could pose a negative influence. The focus of this effort will be developing both the data mesh cleansing algorithms as well as the data-to-decision generation algorithms that can provide insightful inferences to users.

Integration and Demonstration DOGTAG technologies need to be integrated, tested, and evaluated at regular intervals (e.g. quarterly). Integrating technology into the TAK ecosystem or MEDUSA Framework, as will be identified during requirements gathering, throughout development will help accomplish the desired end result and ensure issues are identified and mitigated as they arrive.

Testing and evaluation (T&E) should occur in a relevant environment relative to the maturity of the technology. It is expected that initial testing will be done through standalone machines/networks that are representative of the expected operational environment. In a traditional host-based development approach, a test suite is usually set up on a desktop machine even though the final product will eventually run on a different platform. While algorithms can be run relatively quickly using this approach, it doesn't reflect how the real system will behave. Once the functionality has been demonstrated and key performance parameters (KPPs) have been met, the next step will be operationally relevant field testing to evaluate the performance and limitations of the prototype.

Additionally, DOGTAG’s capabilities will be constrained by the very nature of LTE and tactical data link communications where mobility, high latency, low bandwidth and intermittent connectivity commonly occur, and will also need to take into account the future as enterprise cellular network capabilities (e.g. “5G”) are developed and begin to emerge at the tactical edge.

IMPORTANT NOTES REGARDING:

FUNDAMENTAL RESEARCH. It is DoD policy that the publication of products of fundamental research remain unrestricted to the maximum extent possible. National Security Decision Directive (NSDD) 189 defines fundamental research as follows:

‘Fundamental research’ means basic and applied research in science and engineering, the results of which ordinarily are published and shared broadly within the scientific community, as distinguished from proprietary research and from industrial development, design, production, and product utilization, the results of which ordinarily are restricted for proprietary or national security reasons.

As of the date of publication of this BAA, the Government cannot identify whether work proposed under this BAA may be considered fundamental research and may award both fundamental and non-fundamental research. Proposers should indicate in their proposal whether they believe the scope of the research included in their proposal is fundamental or not. While proposers should clearly explain the intended results of their research, the Government shall have sole discretion to select award instrument type and to negotiate all instrument terms and conditions with selectees. Appropriate clauses will be included in the resultant awards for non-fundamental research to prescribe publication requirements and other restrictions, as appropriate.

For certain research projects, it may be possible that although the research being performed by the awardee is restricted research, a sub-awardee may be conducting fundamental research. In those cases, it is the awardee’s responsibility to explain in their proposal why its sub-awardee’s effort is fundamental research.

CLOUD COMPUTING. In accordance with DFARS Clause 252.239-7010, if the development proposed requires storage of Government or Government-related data on the cloud, offerors need to ensure that the cloud service provider proposed has been granted Provisional Authorization by the Defense Information Systems Agency (DISA) at a level appropriate to the requirement.

II. AWARD INFORMATION:

1. FUNDING: Total funding for this BAA is approximately $49.9M. The anticipated funding to be obligated under this BAA is broken out by fiscal year as follows:

FY20 - $4M

FY21 - $8M

FY22 - $9.9M

FY23 - $17M

FY24 - $11M

a. Individual awards will not normally exceed 24 months with dollar values normally ranging from $300k to $2.5M, annually. There is also the potential to make awards up to any dollar value as long as the value does not exceed the available BAA ceiling amount.

b. The Government reserves the right to select all, part, or none of the proposals received, subject to the availability of funds. All potential Offerors should be aware that due to unanticipated budget fluctuations, funding in any or all areas may change with little or no notice.

2. FORM: Awards of efforts as a result of this announcement will be in the form of contracts, grants, cooperative agreements or other transactions depending upon the nature of the work proposed.

3. BAA TYPE: This is a two-step open broad agency announcement. This announcement constitutes the only solicitation.

4. FOCUS AREA STARTS BY FISCAL YEAR:

c. FY24

· TD4: FLAIR

· TD5: DREDGE

STEP ONE – The Government is only soliciting white papers at this time. DO NOT SUBMIT A FORMAL PROPOSAL. Those white papers found to be consistent with the intent of this BAA may be invited to submit a technical and cost proposal. See Section VI of this announcement for further details regarding the proposal.

III. ELIGIBILITY INFORMATION:

1. ELIGIBILITY: All qualified offerors who meet the requirements of this BAA may apply.

2. FOREIGN PARTICIPATION/ACCESS:

a. This BAA is closed to foreign participation. This includes both foreign ownership and foreign nationals as employees or subcontractors.

b. Exceptions.

1. Fundamental Research. If the work to be performed is unclassified, fundamental research, this must be clearly identified in the white paper and/or proposal. See Part II, Section I for more details regarding Fundamental Research. Offerors should still identify any performance by foreign nationals at any level (prime contractor or subcontractor) in their proposals. Please specify the nationals’ country of origin, the type of visa or work permit under which they are performing and an explanation of their anticipated level of involvement. You may be asked to provide additional information during negotiations in order to verify the foreign citizen’s eligibility to participate on any contract or assistance agreement issued as a result of this announcement

2. Foreign Ownership, Control or Influence (FOCI) companies who have mitigation plans/paperwork in place. Proof of approved mitigation documentation must be provided to the contracting office focal point, Amber Buckley, Contracting Officer, telephone (315) 330-3605, or e-mail amber.buckley@us.af.mil prior to submitting a white paper and/or a proposal. For information on FOCI mitigation, contact the Defense Counterintelligence and Security Agency (DCSA). Additional details can be found at: https://www.dcsa.mil/mc/ctp/foci/

3. Foreign Nationals as Employees or Subcontractors. Applicable to any effort not considered Fundamental Research. Offerors are responsible for ensuring that all employees and/or subcontractors who will work on a resulting contract are eligible to do so. Any employee who is not a U.S. citizen or a permanent resident will be restricted from working on any resultant contract unless prior approval of the Department of State or the Department of Commerce is obtained via a technical assistance agreement or an export license. Violations of these regulations can result in criminal or civil penalties.

c. Information Regarding Non-US Citizens Assigned to this Project

Contractor employees requiring access to USAF bases, AFRL facilities, and/or access to U.S. Government Information Technology (IT) networks in connection with the work on contracts, assistance instruments or other transactions awarded under this BAA must be U.S. citizens. For the purpose of base and network access, possession of a permanent resident card ("Green Card") does not equate to U.S. citizenship. This requirement does not apply to foreign nationals approved by the U.S. Department of Defense or U.S. State Department under international personnel exchange agreements with foreign governments. It also does not apply to dual citizens who possess US citizenship, to include Naturalized citizens. Any waivers to this requirement must be granted in writing by the Contracting Officer prior to providing access. Specific format for waiver request will be provided upon request to the Contracting Officer. The above requirements are in addition to any other contract requirements related to obtaining a Common Access Card (CAC).

For the purposes of Paragraph 1, if an IT network/system does not require AFRL to endorse a contractor's application to said network/system in order to gain access, the organization operating the IT network/system is responsible for controlling access to its system. If an IT network/system requires a U.S. Government sponsor to endorse the application in order for access to the IT network/system, AFRL will only endorse the following types of applications, consistent with the requirements above:

a) Contractor employees who are U.S. citizens performing work under contracts, assistance instruments or other transactions awarded under this BAA.

b) Contractor employees who are non-U.S. citizens and who have been granted a waiver.

Any additional access restrictions established by the IT network/system owner apply.

3. FEDERALLY FUNDED RESEARCH AND DEVELOPMENT CENTERS AND GOVERNMENT ENTITIES: Federally Funded Research and Development Centers (FFRDCs) and Government entities (e.g., Government/National laboratories, military educational institutions, etc.) are subject to applicable direct competition limitations and cannot propose to this BAA in any capacity unless they meet the following conditions:

a. FFRDCs: FFRDCs must clearly demonstrate that the proposed work is not otherwise available from the private sector; and FFRDCs must provide a letter on official letterhead from their sponsoring organization citing the specific authority establishing their eligibility to propose to Government solicitations and compete with industry, and their compliance with the associated FFRDC sponsor agreement’s terms and conditions. This information is required for FFRDCs proposing to be prime contractors or sub-awardees.

b. Government Entities: Government entities must clearly demonstrate that the work is not otherwise available from the private sector and provide written documentation citing the specific statutory authority and contractual authority, if relevant, establishing their ability to propose to Government solicitations. While 10 U.S.C.§ 2539b may be the appropriate statutory starting point for some entities, specific supporting regulatory guidance, together with evidence of agency approval, will still be required to fully establish eligibility.

FFRDC and Government entity eligibility will be determined on a case-by-case basis; however, the burden to prove eligibility for all team members rests solely with the proposer.

Government agencies interested in performing work related to this announcement should contact the Technical Point of Contact (TPOC). If resulting discussions reveal a mutual interest, cooperation may be pursued via other vehicles.

5. S&T PROTECTION. In accordance with AFRLI 61-113, S&T Protection, Contractors/Recipients are required to submit with their proposal a Standard Form 424, "Research and Related and Senior and Key Person Profile (Expanded), as well as a Security Program Questionnaire, which are included in the RI-Specific Proposal Preparation Instructions and can be accessed at:

https://sam.gov/opp/e628c811fafe041accdddf55fb8539bf/view?keywords=AFRL-BAA-GUIDE&sort=-relevance&index=&is_active=true&page=1. Always reference the newest versions of these documents. Complete and submit the required forms with your proposal to the technical point of contact (TPOC) listed in Section VII-Agency Contacts AND AFRL.RIOF@us.af.mil.

Contractors will be required to provide documentation of their Security Program Plan for initial Institution S&T Protection Program Review. The purpose of requesting the plan is to evaluate the offeror’s capacity for protecting the Government’s S&T and failure to demonstrate a plan adequate to meet the needs of the requirement may be grounds for considering the proposal unawardable. In the event a security risk is identified and the Government has determined the security risk exceeds the acceptable threshold, the Contractor/Recipient will be notified and informed of the termination/decline of award. The Government will be only required to provide a general statement of the reasoning due to Government OPSEC measures.

After award, the Contractor/Recipient will be required to re-submit the Standard Form 424 as an annual requirement to the points of contact listed above.

IV. APPLICATION AND SUBMISSION INFORMATION:

All responses to this announcement must be addressed to the Technical Point of Contact (TPOC) listed in SECTION VII. DO NOT send white papers to the Contracting Officer.

1. SUBMISSION DATES AND TIMES:

It is recommended that white papers be received by 2 PM Eastern Standard Time (EST) on the following dates to maximize the possibility of award:

FY20 by 28 FEB 2020 FY21 by 31 JUL 2020 FY22 by 31 JUL 2021 FY23 by 22 APR 2022 FY24 by 31 MAR 2023

White papers will be accepted until 2 PM EST on 31 March 2024, but it is less likely that funding will be available in each respective fiscal year after the dates cited. This BAA will close on 31 March 2024.

All offerors submitting white papers will receive notification of their evaluation results within 45 days of submission. Offerors should email the TPOC and the Contracting Officer listed in Section VII, for status of their white paper(s) after 45 days, if no such correspondence has been received.

2. CONTENT AND FORMAT: Offerors are required to submit 1 copy of a 3 to 5 page white paper summarizing their proposed approach/solution. The purpose of the white paper is to preclude unwarranted effort on the part of an offeror whose proposed work is not of interest to the Government.

The white paper will be formatted as follows:

a. Section A: Title, Period of Performance, Estimated Cost, Name/Address of Company, Technical and Contracting Points of Contact (phone and email)(this section is NOT included in the page count);

b. Section B: Task Objective; and

c. Section C: Technical Summary and Proposed Deliverables.

All white papers shall be double spaced with a font no smaller than 12 point. Please note that less than 12 point font is acceptable for graphics and illustrations (as in labels and short descriptions) as long as it is readable when printed out on standard 8x11 paper. In addition, respondents are requested to provide their Commercial and Government Entity (CAGE) Code, their unique entity identifier and electronic funds transfer (EFT) indicator (if applicable), an email address and reference BAA FA8750-20-S-7005 with their submission.

Multiple white papers within the purview of this announcement may be submitted by each offeror. If the offeror wishes to restrict its white papers, they must be marked with the restrictive language stated in FAR 15.609(a) and (b).

3. HANDLING AND MAILING INSTRUCTIONS:

a. CLASSIFICATION GUIDANCE.

In the event of a possible or actual compromise of classified information in the submission of your white paper or proposal, immediately but no later than 24 hours, bring this to the attention of your cognizant security authority and AFRL Rome Research Site Information Protection Office (IPO):

Information Protection Office (contact only if a security compromise has occurred)

b. CLASSIFIED SUBMISSIONS. AFRL/RISA will accept classified responses to this BAA when the classification is mandated by classification guidance provided by an Original Classification Authority of the U.S. Government, or when the offeror believes the work, if successful, would merit classification.

Security classification guidance in the form of a DD Form 254 (DoD Contract Security Classification Specification) will not be provided at this time since AFRL is soliciting ideas only.

Offerors that intend to include classified information or data in their white paper submission or who are unsure about the appropriate classification of their white papers should contact the technical point of contact listed in Section VII for guidance and direction in advance of preparation.

c. MAILING INSTRUCTIONS.

Email Unclassified electronic submission to the TPOC identified in Section VI. Encrypt or password-protect all proprietary information prior to sending. Offerors are responsible to confirm receipt with the TPOC. AFRL is not responsible for undelivered documents. If electronic submission is used, only one copy of the documentation is required.

Questions can be directed to the TPOC listed in Section VII.

4. OTHER SUBMISSION REQUIREMENTS/CONSIDERATIONS:

a. COST SHARING OR MATCHING: Cost sharing is not a requirement. Cost sharing may be proposed and will be considered on a case-by-case basis.

b. SYSTEM FOR AWARD MANAGEMENT (SAM). Offerors must be registered in the SAM database to receive a contract award, and remain registered during performance and through final payment of any contract or agreement. Processing time for registration in SAM, which normally takes forty-eight hours, should be taken into consideration when registering. Offerors who are not already registered should consider applying for registration before submitting a proposal. The provision at FAR 52.204-7, System for Award Management (Oct 2018) applies.

c. EXECUTIVE COMPENSATION AND FIRST-TIER SUBCONTRACT/ SUBRECIPIENT AWARDS: Any contract award resulting from this announcement may contain the clause at FAR 52.204-10 - Reporting Executive Compensation and First-Tier Subcontract Awards (Jun 2020). Any grant or agreement award resulting from this announcement may contain the award term set forth in 2 CFR, Appendix A to Part 25 which can be viewed at: http://www.ecfr.gov/cgi-bin/text-idx?SID=8fb6c83606df57968c3e7e145e7d683c&mc=true&node=ap2.1.25_1360.a&rgn=div9

d. ALLOWABLE CHARGES: The cost of preparing white papers/proposals in response to this announcement is not considered an allowable direct charge to any resulting contract or any other contract, but may be an allowable expense to the normal bid and proposal indirect cost specified in FAR 31.205-18. Incurring pre-award costs for ASSISTANCE INSTRUMENTS ONLY are regulated by 2 CFR part 200.458, Pre-Award Costs.

e. GOVERNMENT APPROVED ACCOUNTING SYSTEM: An offeror must have a government approved accounting system prior to award of a cost-reimbursement contract per limitations set forth in FAR 16.301-3(a) to ensure the system is adequate for determining costs applicable to the contract. The acceptability of an accounting system is determined based upon an audit performed by the Defense Contract Audit Agency (DCAA). IMPORTANT: If you do not have a DCAA approved accounting system access the following link for instructions:

f. HUMAN USE: All research involving human subjects, to include the use of human biological specimens and human data, selected for funding must comply with Federal regulations for human subject protection. Further, research involving human subjects that is conducted or supported by the DoD must comply with 32 CFR 219, “Protection of Human Subjects” found at: http://www.access.gpo.gov/nara/cfr/waisidx_07/32cfr219_07.html, and DoD Instruction 3216.02, “Protection of Human Subjects and Adherence to Ethical Standards in DoD-Supported Research” found at: http://www.dtic.mil/whs/directives/corres/pdf/321602p.pdf.

1. Institutions awarded funding for research involving human subjects must provide documentation of a current Assurance of Compliance with Federal regulations for human subject protection, for example a Department of Health and Human Services, Office of Human Research Protection Federal Wide Assurance found at: http://www.hhs.gov/ohrp.

2. All institutions engaged in human subject research, to include subcontractors, must have a valid assurance. In addition, personnel involved in human subject research must document the completion of appropriate training for the protection of human subjects.

3. For all research that will involve human subjects in the first year or phase of the project, the institution must submit evidence of a plan for review by an institutional review board (IRB) as part of the proposal. The IRB conducting the review must be the IRB identified on the institution’s Assurance of Compliance. The protocol, separate from the proposal, must include a detailed description of the research plan, study population, risks and benefits of study participation, recruitment and consent process, data collection, and data analysis. The designated IRB should be consulted for guidance on writing the protocol. The informed consent document must comply with 32 CFR 219.116. A valid Assurance of Compliance and evidence of appropriate training by all investigators should accompany the protocol for review by the IRB.

4. In addition to a local IRB approval, an AFRL-level human subject regulatory review and approval is required for all research conducted or supported by the DoD. The Air Force office responsible for managing the award can provide guidance and information about the AFRL-level review process. Confirmation of a current Assurance of Compliance and appropriate human subjects protection training is required before AFRL-level approval can be issued.

The time required to complete the IRB review/approval process will vary depending on the complexity of the research and/or the level of risk to study participants; ample time should be allotted to complete the approval process. The IRB approval process can last between 1 to 3 months, followed by a DoD review that could last 3 to 6 months. No funding may be used toward human subject research until all approvals are granted.

V. APPLICATION REVIEW INFORMATION:

1. CRITERIA: The following criteria, which are listed in descending order of importance, will be used to determine whether white papers and proposals submitted are consistent with the intent of this BAA and of interest to the Government:

a. Overall Scientific and Technical Merit -- The soundness of approach for the development and/or enhancement of the proposed technology,

b. Related Experience - The extent to which the offeror demonstrates relevant technology and domain knowledge,

c. Openness, Maturity and Assurance of Solution - The extent to which existing capabilities and standards are leveraged and the relative maturity of the proposed technology,

d. Reasonableness and realism of proposed costs and fees (if any)

No further evaluation criteria will be used to select white papers for proposal invitation. Proposals will be evaluated IAW this evaluation criteria only and categorized/selected for award as detailed in Section V.2.b.2. White papers and proposals submitted will be evaluated as they are received.

2. REVIEW AND SELECTION PROCESS:

a. Only Government employees on the BAA team will evaluate the white papers/proposals for selection. The Air Force Research Laboratory's Information Directorate has contracted for various business and staff support services, some of which require contractors to obtain administrative access to proprietary information submitted by other contractors. Administrative access is defined as "handling or having physical control over information for the sole purpose of accomplishing the administrative functions specified in the administrative support contract, which do not require the review, reading, and comprehension of the content of the information on the part of non-technical professionals assigned to accomplish the specified administrative tasks." These contractors have signed general non-disclosure agreements and organizational conflict of interest statements. The required administrative access will be granted to non-technical professionals. Examples of the administrative tasks performed include: a. Assembling and organizing information for R&D case files; b. Accessing library files for use by government personnel; and c. Handling and administration of proposals, contracts, contract funding and queries. Any objection to administrative access must be in writing to the Contracting Officer and shall include a detailed statement of the basis for the objection.

b. WHITE PAPER/PROPOSAL REVIEW PROCESS:

1. FIRST STEP – White Paper Reviews: The Government will review White Papers to determine which of them have the potential to best meet the Air Force’s needs based on the criteria listed above. If white papers are of interest and funding is available, AFRL/RI will request a formal technical and cost proposal from the offeror. If white papers are not of interest or there is not funding available, a letter will be sent to the offeror indicating the reason not selected.

2. SECOND STEP – White Paper Proposal Selection Process

a) Categories: Based on the evaluation, proposals will be categorized as Selectable or Not Selectable (see definitions below). The selection of one or more offerors for award will be based on the evaluation, as well as importance to agency programs and funding availability.

1. Selectable: Proposals are recommended for acceptance, if sufficient funding* is available.

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

* Selectable proposals will be designated as funded or unfunded. Letters will be sent to the unfunded offerors. These proposals may be funded at a later date without reevaluation, if funding becomes available.

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

c) Proposal Risk Assessment: Proposals’ technical, cost, and schedule risk will be assessed as part of the above evaluation criteria’s application. Proposal risk relates to the identification and assessment of the risks associated with an offeror's proposed approach as it relates to accomplishing the proposed effort. Tradeoffs of the assessed risk will be weighed against the potential scientific benefit. Proposal risk for schedule relates to an assessment of the risks associated with the offeror's proposed number of hours, labor categories, materials, or other cost elements as it relates to meeting the proposed period of performance.

d) Prior to award of a potentially successful offer, the Contracting Officer will make a determination regarding price reasonableness and realism.

3. FEDERAL AWARDEE PERFORMANCE AND INTEGRITY INFORMATION SYSTEM (FAPIIS) PUBLIC ACCESS: The Government is required to review and consider any information about the applicant that is in the FAPIIS before making any award in excess of the simplified acquisition threshold (currently $250,000) over the period of performance. An applicant may review and comment on any information about itself that a federal awarding agency previously entered. The Government will consider any comments by the applicant, in addition to other information in FAPIIS in making a judgment about the applicant's integrity, business ethics, and record of performance under federal awards when completing the review of risk posed by applicants as described in 2 CFR § 200.205 Federal Awarding Agency Review of Risk Posed by Applicants and per FAR 9.104-6.

4.ADEQUATE PRICE COMPETITION:

VI. STEP TWO INFORMATION – REQUEST FOR PROPOSAL & AWARD:

1. PROPOSAL FORMATTING:

2. AWARD NOTICES: Those white papers found to be consistent with the research areas of interest and expected results within the broad topic areas as described in the Technology Requirements section of this BAA and of interest to the Government may be invited to submit a technical and cost proposal. Notification by email or letter will be sent by the TPOC. Such an invitation does not assure that the submitting organization will be awarded a contract. Those white papers not selected to submit a proposal will be notified in the same manner. Prospective offerors are advised that only Contracting Officers are legally authorized to commit the Government. All offerors submitting proposals will receive notification of their evaluation results within 45 days of submission. Offerors should email the TPOC and the Contracting Officer listed in Section VII, for status of their proposal after 45 days, if no such correspondence has been received.

3. DEBRIEFINGS: If a debriefing is requested in accordance with the time guidelines set out in FAR 15.505 and 15.506, a debriefing will be provided, but the debriefing content may vary to be consistent with the procedures that govern BAAs (FAR 35.016). Debriefings will not be provided for white papers.

4. ADMINISTRATIVE AND NATIONAL POLICY REQUIREMENTS:

a. FACILITY CLEARANCE. Depending on the work to be performed, the offeror may require a SECRET facility clearance and safeguarding capability; therefore, personnel identified for assignment to a classified effort must be cleared for access to SECRET information at the time of award. In addition, the offeror may be required to have, or have access to, a certified and Government-approved facility to support work under this BAA.

b. EXPORT CONTROL LAWS. Awards under this solicitation may require access to, or generation of, data subject to export control laws and regulations. Only contractors who are registered and certified with the Defense Logistics Information Service (DLIS) and have a legitimate business purpose may participate in this solicitation. For questions, contact DLIS on-line at http://www.dla.mil/HQ/InformationOperations/LogisticsInformationServices.aspx or at the DLA Logistics Information Service, 74 Washington Avenue North, Battle Creek, Michigan 49037-3084, and telephone number 1-800-352-2255 (24/7). You must submit a copy of your approved DD Form 2345, Militarily Critical Technical Data Agreement, with your white paper/proposal.

c. SMALL BUSINESS PARTICIPATION. The Government encourages the best sources from the scientific and industrial communities to propose, including small business concerns, large businesses, academia and non-profit entities. Non-small businesses are encouraged to team with small business concerns to come up with the best technical solutions and obtain the best mix of cost, performance and schedule.

d. ACTIONS FOR THE PROTECTION OF INTELLECTUAL PROPERTY, CONTROLLED INFORMATION, KEY PERSONNEL AND CRITICAL TECHNOLOGIES. Offerors who are requested to submit a proposal under this solicitation of grants, cooperative agreements, Technology Investment Agreements, and other non-procurement transactions only shall submit specific information for all key personnel, whether or not the individuals’ efforts under the project are to be funded by the DoD. Specific requirements will be detailed in the Request for Proposal (RFP) letter. The information shall be included in the Research and Related/Key Person Profile (Expanded) form (https://www.grants.gov/forms/r-r-family.html). This collection only applies to persons identified as key personnel. This information shall not be included in the overall proposal page limits. Failure to submit this information may cause the proposal to be returned without further review, and the DoD reserves the right to request further details before making a final determination on funding an effort. This information will be used to support protection of intellectual property, controlled information, key personnel, and information about critical technologies relevant to national security. Additionally, this information 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.

e. BURDEN REDUCTION. With the exception of paragraph d. above, in order to reduce grant recipient reporting burden, effective 1 JAN 2019, use of the SF-424B is optional. Also, effective 1 JAN 2020, the SAM will become the central repository for common government-wide certifications and representations required of Federal grants recipients. As registration in SAM is required for eligibility for a Federal award and registration must be updated annually, Federal agencies will use SAM information to comply with award requirements and avoid increased burden and costs of separate requests for such information, unless the recipient fails to meet a Federal award requirement, or there is a need to make updates to their SAM registration for other purposes. (OMB Memorandum M 18-24).

5. DATA RIGHTS:

a. SBIR RIGHTS. The potential for inclusion of Small Business Innovation Research (SBIR) or data rights other than unlimited on awards is recognized. In accordance with (IAW) the Small Business Administration (SBA) SBIR Policy Directive, Section 8(b), SBIR data rights clauses are non-negotiable and must not be the subject of negotiations pertaining to an award, or diminished or removed during award administration. Issuance of an award will not be made conditional based on forfeit of data rights. If the SBIR awardee wishes to transfer its SBIR data rights to the Air Force or to a third party, it must do so in writing under a separate agreement. A decision by the awardee to relinquish, transfer, or modify in any way its SBIR data rights must be made without pressure or coercion by the agency or any other party.

b. NON-SBIR RIGHTS.

1. Non-SBIR data rights less than unlimited will be evaluated and negotiated on a case-by-case basis. Government Purpose Rights are anticipated for data developed with DoD–reimbursed Independent Research and Development (IR&D) funding.

2. The Air Force Research Laboratory is engaged in the discovery, development, and integration of warfighting technologies for our air, space, and cyberspace forces. As such, rights in technical data and noncommercial computer software (NCS) developed or delivered under this contract are of significant concern to the Government. The Government will therefore carefully consider any restrictions on the use of technical data, NCS, and NCS documentation which could result in transition difficulty or less-than full and open competition for subsequent development of this technology.

3. Third Party Software. DFARS 252.227-7014(d) describes requirements for incorporation of third party computer software.