FY20 NAWCAD OFFICE-WIDE BAA_4June2020.pdf

NAVAL AIR WARFARE CENTER AIRCRAFT DIVISION

OFFICE-WIDE BROAD AGENCY ANNOUNCEMENT

(BAA)

N00421-20-S-0001

June 4, 2020

TABLE OF CONTENTS

I. OVERVIEW INFORMATION

A. Required Overview Content

1. Federal Awarding Agency Name

2. Funding Opportunity Title

3. Announcement Type

4. Funding Opportunity Number

5. Catalog of Federal Domestic Assistance (CFDA) Numbers

6. Key Dates

7. North American Industry Classification System (NAICS)

Code

II. FULL TEXT OF ANNOUNCEMENT

A. Program Description B. Federal Award Information

1. Awards

2. Contracted Fundamental Research

3. Funded Amount and Period of Performance

4. Instrument Type

5. Assistance Instruments C. Eligibility Information

1. Eligible Applicants

2. Cost Sharing or Matching D. Application and Submission Information

1. Address to Request (Access) Application Package

2. Content and Form of Application Submission

3. Unique Entity Identifier and System for Award

Management (SAM)

4. Submission Dates and Times

5. Funding Restrictions E. Application Review Information

1. Evaluation Criteria

2. Review and Selection Process

3. Recipient Qualification

F. Federal Award Administration Information

1. Administrative and National Policy Requirements

2. Reporting G. Federal Awarding Agency Contacts

III. APPENDICES

1. Requirements Applicable to Grants, Cooperative Agreements, and Technology Investment Agreements (TIA’s) Only

2. Requirements Applicable to Contracts

3. Requirements Applicable to Other Transaction Agreements

Page | 1

I. OVERVIEW INFORMATION

This publication constitutes a Broad Agency Announcement (BAA) for awards by the Naval Air Warfare Center Aircraft Division (NAWCAD) Enterprise Procurement Support Division, A2161000) as contemplated in Federal Acquisition Regulation (FAR) 6.102(d)(2) and 35.016, DFARS 235.016, 2 CFR § 200.203, and DOD Other Transaction (OT) Guide, November 2018. A formal Request for Proposals (RFP), solicitation, and/or additional information regarding this announcement will not be issued.

NAWCAD will not issue paper copies of this announcement. The NAWCAD reserves the right to fund all, some, or none of the proposals received under this BAA. NAWCAD provides no funding for direct reimbursement of proposal development costs. Technical and cost proposals (or any other material) submitted in response to this BAA will not be returned. It is the policy of NAWCAD to treat all proposals submitted under this BAA as sensitive competitive information and to disclose their contents only for the purposes of evaluation.

This BAA is intended for proposals related to basic and applied research, advanced technology development, and advanced component development and prototypes. This Announcement is not for the acquisition of technical, engineering, and other types of support services.

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A. Required Overview Content

1. Federal Awarding Agency Name

Naval Air Warfare Center Aircraft Division (NAWCAD) 21983 Bundy Road Patuxent River, MD 20670

2. Funding Opportunity Title

Projects in Support of Naval Aviation

3. Announcement Type

Initial Announcement

4. Funding Opportunity Number

N00421-20-S-0001

5. Catalog of Federal Domestic Assistance (CFDA) Numbers

12.300 Title: Department of Defense (DOD), Department of the Navy (DON), Office of Chief of Naval Research, Basic and Applied Scientific Research

6. Key Dates (See also Section D.4)

This announcement will remain open for one (1) year from the date of publication, or until replaced by a successor BAA. Proposals may be submitted at any time during this period.

7. North American Industry Classification System (NAICS) code

The NAICS code under this announcement is:

• 541713, Research and Development in Nanotechnology

• 541714, Research and Development in Biotechnology (except

Nanobiotechnology)

• 541715, Research and Development in the Physical, Engineering, and

Life Sciences (except Nanotechnology and Biotechnology)

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II. FULL TEXT OF ANNOUNCEMENT

A. Program Description

THIS ANNOUNCEMENT IS NOT FOR THE ACQUISITION OF TECHNICAL,

ENGINEERING AND OTHER TYPES OF SUPPORT SERVICES

The Naval Air Warfare Center Aircraft Division (NAWCAD) is interested in receiving proposals for research and development projects, which offer potential for advancement and improvement of NAWCAD operations. Readers should note that this is an announcement to declare NAWCAD’s broad role in competitive funding of meritorious research across a spectrum of science and engineering disciplines.

NAWCAD has identified the research needed to address the challenges, problems, and future technology needs of the Warfighter. Research Opportunity Areas of Interest:

• Systems Engineering. Areas of research include but are not limited to the following:

integrated modeling environments, model based systems engineering methodology, integration of system models and physics-based models, systems safety engineering, air platform development and integration, system of systems architectures, aviation/ship integration, combat survivability, reliability and maintainability engineering, anti‐tamper engineering, electromagnetic environmental effects engineering, and manufacturing.

• Cost Analysis. Areas of research include but are not limited to the following: cost modeling, cost estimating, database development and management, and the development of cost, schedule, and technical algorithms and tools.

• Air Vehicle. Areas of research include but are not limited to the following: reliability engineering, aeromechanics, aero performance, flight controls, unmanned aviation, hypersonic technologies, structural mechanics, life management of airframes, material science, high temperature materials and structures, additive manufacturing, airframe materials, corrosion prevention, control & testing, coatings, thermal management, fire & ice protection, subsystem function, design, integration and maintainability (mechanical systems, hydraulics, pneumatics and landing gear), and fuel containment/aerial refueling.

• Power and Propulsion (P&P). Areas of research include but are not limited to the following: reliability engineering, fuel systems, controls and diagnostics, energy storage/efficiency, air‐breathing engines, fuels & lubricants, electrical power generation, auxiliary power, low observable signature technologies, propulsion life management, and mechanical systems.

• Avionics. Areas of research include but are not limited to the following: signal and image processing, flight information systems, electronic warfare systems, radio frequency engineering, electro‐optic engineering, acoustic engineering, software development & quality assurance, mission computer technology, target recognition

Page | 4 and communication networks.

• Human Systems. Areas of research include but are not limited to the following:

cockpit controls and displays, ergonomics, anthropomorphic measurement, gesture recognition, human performance assessment & modeling, cognitive performance, flight gear, protective equipment, survival equipment, chemical‐biological gear, fire suppression, human-machine interface technologies & integration, virtual environments, and human factor engineering (social, behavioral, health, & cultural) and reliability.

• Weapons & Energetics Integration. Areas of research include but are not limited to the following: weapon-aircraft integration and safe separation.

• Support Equipment. Areas of research include but are not limited to the following:

launch and recovery equipment, electro‐magnetics, high‐energy generation and control, environmental sensing, prognostics & health monitoring, automatic testing of hardware and software, displays, advance maintenance technologies, information systems & intelligent agents, advanced computer & data processing applications.

• Warfare Analysis. Areas of research include but are not limited to the following:

operational suitability, maritime effectiveness, aircraft concepts, weapon concepts, decision analysis, vulnerability, and capability based assessment.

• Research and Intelligence. Areas of research include but are not limited to the following: autonomous behaviors, big data workflow, machine learning (ML)/deep learning (DL), AI enabling technologies, quantum technologies, optics research & fabrication and chemical detection.

• Test and Evaluation Engineering. Areas of research include but are not limited to the following: telemetry, communications, data links & data acquisition, signature technologies, mission system testing, system of systems testing environments, virtual reality (VR), target engineering, airborne threat simulation, integrated battle‐space simulation & test, hardware‐in‐the‐loop testing, flight instrumentation, ground radar analysis, test article configuration, navigation, and identification.

• Modeling and Simulation. Areas of research include but are not limited to the following: weapon training systems, parallel computing, virtual environments, tactical decision‐making, training technologies, multi-discipline simulation methodology development, constructive modeling and simulation, verification, and validation.

• Logistics. Areas of research include but are not limited to supply chain development, supportability design, model based product support, automated sustainment monitoring, and supportability.

• Data Analysis. Areas of research include but are not limited to predictive modeling algorithms, large-scale big data environments, data access, storage and retrieval, and

Page | 5 data visualization techniques.

• Cyber. Areas of research may include but are not limited to applied cryptology, behavioral analysis, intrusion, simulation and interface research.

NAWCAD may also consider submissions outside these areas if the white paper/proposal involves the development of novel-based capabilities with potential to enhance naval capabilities.

B. Federal Award Information

1. Awards

Multiple awards are anticipated. The level of funding for individual awards made under this solicitation have not been predetermined and will depend on the quality of the white papers received and the availability of funds. Awards will be made to proposers whose white papers are determined to be the most advantageous to the Government, all factors considered, including the potential contributions of the proposed work, overall funding strategy, and availability of funding.

The Government reserves the right to:

• select for negotiation all, some, one or none of the proposals received in response to this solicitation;

• make awards without discussions with proposers;

• conduct discussions with proposers if it is later determined to be necessary;

• segregate portions of the resulting awards into pre-priced options

• accept proposals in their entirety or to select only portions of proposals for award;

• fund proposals in increments and/or with options for continued work at the end of one or more phases;

• request additional documentation once the award instrument has been determined

(e.g., representations and certifications); and

• remove proposers from award consideration should the parties fail to reach agreement on award terms within a reasonable time or the proposer fails to provide requested additional information in a timely manner

Proposals selected for award negotiation may result in a procurement contract, grant, cooperative agreement, technology investment agreement (TIA) or other transaction agreement (OTA) depending upon the nature of the work proposed, the required degree of interaction between parties, and other factors.

In all cases, the Government contracting officer shall have sole discretion to select award instrument type, regardless of instrument type proposed, and to negotiate all instrument terms and conditions with selectees. NAWCAD will apply publication or other restrictions, as necessary, if it determines that the research resulting from the proposed effort will present a high likelihood of disclosing performance characteristics of military systems or manufacturing technologies that are unique and critical to defense. Any award

Page | 6 resulting from such a determination will include a requirement for NAWCAD permission before publishing any information or results on the program. For more information on publication restrictions, see the section below on Contracted Fundamental Research.

2. Contracted Fundamental Research

With regard to any restrictions on the conduct or outcome of work funded under this BAA, NAWCAD will follow the guidance on and definition of “contracted fundamental research” as provided in the Under Secretary of Defense (Acquisition, Technology and Logistics) Memorandum of 24 May 2010.

As defined therein the definition of “contracted fundamental research,” in a DoD contractual context, includes research performed under grants and contracts that are (a) funded by Research, Development, Test and Evaluation Budget Activity 1 (Basic Research), whether performed by universities or industry or (b) funded by Budget Activity 2 (Applied Research) and performed on campus at a university. The research shall not be considered fundamental in those rare and exceptional circumstances where the applied research effort presents a high likelihood of disclosing performance characteristics of military systems or manufacturing technologies that are unique and critical to defense, and where agreement on restrictions have been recorded in the contract or grant.

Pursuant to DoD policy, research performed under grants and contracts that are a) funded by Budget Activity 2 (Applied Research) and NOT performed on-campus at a university

b) funded by Budget Activity 3 (Advanced Technology Development) or c) funded by Budget Activity 4 (Advanced Component Development and Prototypes) does not meet the definition of “contracted fundamental research.” In conformance with the USD (AT&L) guidance and National Security Decision Directive 189, NAWCAD will place no restriction on the conduct or reporting of unclassified “contracted fundamental research,” except as otherwise required by statute, regulation or executive order. For certain research projects, it may be possible that although the research being performed by the prime contractor is restricted research, a subcontractor may be conducting “contracted fundamental research.” In those cases, it is the prime contractor’s responsibility in the proposal to identify and describe the subcontracted unclassified research and include a statement confirming that the work has been scoped, negotiated, and determined to be fundamental research according to the prime contractor and research performer.

Normally, fundamental research is awarded under grants with universities and under contracts with industry. Non-fundamental research is normally awarded under contracts and may require restrictions during the conduct of the research and DoD pre-publication review of such research results due to subject matter sensitivity. As of the date of publication of this BAA, the Government cannot identify whether the work 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

Page | 7 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 resultant awards for non-fundamental research to prescribe publication requirements and other restrictions as appropriate.

DFARS Part 235 restricts the use of Broad Agency Announcements (BAAs), such as this, to the acquisition of basic research, applied research, advanced technology development, and advanced component development and prototypes. Contracts and grants and other assistance agreements made under BAAs are for scientific study and experimentation directed towards advancing the state of the art and increasing knowledge or understanding.

3. Funded Amount and Period of Performance

The funded amount and period of performance of each proposal selected for award may vary depending on the research area and the technical approach to be pursued by the proposers selected.

4. Instrument Type(s) -

Awards may take the form of contracts, grants, cooperative agreements, technology investment agreements, and other transaction agreements, as appropriate.

The following provides brief descriptions of potential instrument types:

a. Procurement Contract: A legal instrument, consistent with 31 U.S.C. 6303, which reflects a relationship between the Federal Government and a state government, a local government, or other entity/contractor when the principal purpose of the instrument is to acquire property or services for the direct benefit or use of the Federal Government.

b. Assistance Instruments.

i. Grant: A legal instrument consistent with 31 U.S.C. 6304, which is used to enter into a relationship:

• The principal purpose of which is to transfer a thing of value to the recipient to carry out a public purpose of support or stimulation authorized by a law of the United States, rather than to acquire property or services for the Federal Government’s direct benefit or use.

• In which substantial involvement is not expected between the Federal

Government and the recipient when carrying out the activity contemplated by the grant.

• No fee or profit is allowed.

ii. Cooperative Agreement: A legal instrument which, consistent with 31

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U.S.C 6305, is used to enter into the same kind of relationship as a grant, except that substantial involvement is expected between the Federal Government:

• The principal purpose of which is to transfer a thing of value to the recipient to carry out a public purpose of support or simulation authorized by a law of the United States, rather than to acquire property or services for the Federal Government’s direct benefit or use.

• In which substantial involvement is expected between the Federal

Government and the recipient when carrying out the activity contemplated by the cooperative agreement. and the recipient when carrying out the activity contemplated by the cooperative agreement.

• No fee or profit is allowed.

iii. Technology Investment Agreement (TIA): Assistance Transaction other than a Grant or a Cooperative Agreement (see 32 CFR Part 37). A legal instrument, consistent with 10 U.S.C. 2371, which may be used when the use of a contract, grant, or cooperative agreement is not feasible or appropriate for basic, applied, and advanced research projects. The research covered under a TIA shall not be duplicative of research being conducted under an existing DoD program. To the maximum extent practicable, TIAs shall provide for a 50/50 cost share between the Government and the applicant. An applicant’s cost share may take the form of cash, independent research and development (IR&D), foregone intellectual property rights, equipment, access to unique facilities, and/or other means. Due to the extent of cost share, and the fact that a TIA does not qualify as a “funding agreement” as defined at 37 CFR 401.2(a), the intellectual property provisions of a TIA can be negotiated to provide expanded protection to an applicant’s intellectual property. No fee or profit is allowed.

c. Other Transaction Agreement (OTA) for Research. A legal instrument, consistent with 10 U.S.C. 2371, which may be used for basic, applied, and advanced research projects. To the maximum extent practicable, an OTA for research shall provide for a 50/50 cost share between the Government and the performer. The effort covered under an OTA shall not be duplicative of effort being conducted under an existing DoD program. Please refer to the Office of the Under Secretary of Defense for Acquisition and Sustainment Other Transaction Guide version 1.0 dated November 2018, for additional information. This document, along with other OTA resources, may be accessed at the following link:

http://www.acq.osd.mil/dpap/cpic/cp/10USC2371bOTs.html

d. Other Transaction Agreement (OTA) for Prototype: A legal instrument, consistent with 10 U.S.C. 2371b, which may be used when the use of a contract, grant, or cooperative agreement is not feasible or appropriate for prototype projects directly relevant to enhancing the mission effectiveness of military http://www.acq.osd.mil/dpap/cpic/cp/10USC2371bOTs.html

Page | 9 personnel, and the supporting platforms, systems, components, or materials proposed to be acquired or developed by the Department of Defense, or for improvement of platforms, systems, components, or materials in use by the armed forces. The effort covered under an OTA shall not be duplicative of effort being conducted under an existing DoD program. Please refer to the DoD “Other Transactions Guide” dated November 2018. This document, along with other OTA resources, may be accessed at the following link:

5. Assistance Instruments

Any assistance instrument awarded under this announcement will be governed by the award terms and conditions that conform to DoD’s implementation of OMB guidance in 2 CFR Part 200, “Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards.” The DoD Terms and Conditions are located at http://www.onr.navy.mil/Contracts-Grants/submit-proposal/grants-proposal/grants-terms-conditions.aspx.

C. Eligibility Information

1. Eligible Applicants

a. All responsible sources from academia, industry and the research community may submit proposals under this BAA. Historically Black Colleges and Universities (HBCUs) and Minority Institutions (MIs) are encouraged to submit proposals and join others in submitting proposals. However, no portion of this BAA will be set aside for Small Business or other socio-economic participation. All businesses, both small and large, are encouraged to submit proposals and compete for funding consideration.

b. Federally Funded Research & Development Centers (FFRDCs), including Department of Energy National Laboratories, are not eligible to receive awards under this BAA. However, teaming arrangements between FFRDCs and eligible principal proposers are allowed so long as such arrangements are permitted under the sponsoring agreement between the Government and the specific FFRDC.

c. Navy laboratories, military universities and warfare centers as well as other Department of Defense and civilian agency laboratories are also not eligible to receive awards under this BAA and should not directly submit either white papers or full proposals in response to this BAA. As with FFRDCs, these types of federal organizations may team with other eligible sources from academia and industry that are submitting proposals under this BAA.

d. University Affiliated Research Centers (UARCs) are eligible to submit proposals under this BAA unless precluded from doing so by their Department of Defense UARC contract.

http://www.onr.navy.mil/Contracts-Grants/submit-proposal/grants-proposal/grants-terms-conditions.aspx http://www.onr.navy.mil/Contracts-Grants/submit-proposal/grants-proposal/grants-terms-conditions.aspx

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e. Teams are also encouraged and may submit proposals in any and all areas.

However, proposers must be willing to cooperate and exchange software, data and other information in an integrated program with other contractors, as well as with system integrators, selected by NAWCAD.

2. Cost Sharing or Matching – 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., TIAs/OTA for Research under the authority of 10 U.S.C. § 2371, OTA for Prototype under the authority of 10 U.S.C. § 2371b).

D. Application and Submission Information

1. Address to Request (Access) Application Package - This BAA may be accessed from the sites below. Amendments, if any, to this BAA will be posted to these websites when they occur. Interested parties are encouraged to periodically check these websites for updates and amendments.

a. Beta.Sam.Gov (https://beta.sam.gov/)

b. Grants.gov (www.grants.gov)

2. Content and Form of Application Submission

a. General Information

The submission process is two-phased as described below. No further Request for Information (RFI) or other announcement of this opportunity will be made.

PHASE I – White Paper

White Papers may be submitted at any time up until June 3, 2021, 5:00 PM Eastern time. If a proposer does not submit a white paper before the specified due date and time, it is not eligible to participate in the remaining Full Proposal submission process and is not eligible for funding.

Proposers are instructed to submit White Papers only for actual technologies within the areas of interest in Part II Section A, Program Description. Each white paper should state that it is submitted in response to this BAA and cite the particular Research Opportunity Area of Interest that the white paper is specifically addressing. If addressing more than one Research Opportunity Area of Interest, then separate standalone white paper submissions shall be required. White papers with general responses to multiple areas of interest will be determined to be non-compliant and will not be further considered.

White Paper Evaluation/Notification: Navy evaluations of the white papers are anticipated to be conducted on a quarterly basis. However, any such review does not assure a subsequent award. Any proposer whose white paper was not identified as being of particular value to the Navy is ineligible to submit a full proposal under this BAA.

https://beta.sam.gov/ http://www.grants.gov/

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PHASE II – Full Technical/Cost Proposal (BY INVITATION ONLY)

Only proposers whose PHASE I - White Paper is considered of interest in meeting existing or future program requirements will be asked to submit a PHASE II – Full Proposal. NAWCAD will not respond to every White Paper received. If no request for a Phase II proposal is received, do not submit a Full Technical/Cost Proposal. Request for submission of a technical/cost proposal does not guarantee an award.

All proposal submissions will be protected from unauthorized disclosure in accordance with FAR Subpart 15.207, applicable law, and DoD/DoN regulations. Proposers are expected to appropriately mark each page of their submission that contains proprietary information.

b. Submission of Unclassified and Classified White Papers

• Unclassified White Paper Instructions: Unclassified white papers shall be submitted in accordance with this Section.

• White Papers submitted under this BAA are expected to be unclassified;

however, should a proposer wish to submit classified information, an UNCLASSIFIED email must be sent to Ms. Elisabeth Keith at the following email address, Elisabeth.keith@navy.mil, requesting submission instructions.

c. White Paper Requirements.

i. White Paper Format

• Paper Size – 8.5 x 11 inch paper

• Margins – 1 inch

• Spacing –single-spaced

• Font – Times New Roman or Calibri, 12 point

• Page limit– 3 pages, exclusive of cover page

ii. White Paper Submission. E-mail submission is required (per the instructions below). The white paper must be a Microsoft Word 2010 compatible, or PDF format attachment to the email. There is an email size limit of 5MB per email.

• Electronic (email) submissions should be sent to the attention of the BAA

Coordinator at: NAWCAD_OFFICEWID.fct@navy.mil

• The subject line of the email shall include reference to BAA Number

N00421-20-S-0001 and list the applicable Research Opportunity Area of Interest

• Do not send ZIP files or password protected files.

iii. White Paper Content: White papers shall include the following:

mailto:Elisabeth.keith@navy.mil mailto:NAWCAD_OFFICEWID.fct@navy.mil

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• Cover Page: The Cover Page shall be labeled “WHITE PAPER” and shall include the BAA Number, proposed title, research opportunity area of interest, contracts and technical points of contact, telephone number, and E-mail address. IMPORTANT NOTE: Titles given to the White Papers should be descriptive of the work they cover and not be merely a copy of the title of this solicitation.

• Technical Concept: A description of the technology innovation and technical risk areas.

• Future Naval Relevance: A description of potential Naval relevance and contributions of the effort to the agency’s specific mission.

• Navy Lead: Provide the name, organizational code, and phone number of the NAWCAD lead, if known. Leave this entry blank if there is no Navy Lead.

• Rough Order of Magnitude cost estimate

• Period of Performance

d. Full Proposals: (See Appendices 1 and 2 for instructions.)

i. Instructions for Grants, Cooperative Agreements, and TIA’s.

(See Appendix 1)

ii. Instructions for Contracts.

(See Appendix 2)

iii. Instructions for Other Transaction Agreements.

(See Appendix 3)

3. Unique Entity Identifier and System for Award Management (SAM)

Unique Entity Identifier and System for Award Management (SAM) - All proposers submitting proposals or Grants.gov applications must:

a. Be registered in the SAM prior to submission;

b. Maintain an active SAM registration with current information at all times during which it has an active Federal award or an application under consideration by any agency; and

c. Provide its DUNS number in each application or proposal it submits to the agency.

Proposals will not be accepted through Grants.gov or other methods unless the entity is registered in SAM. Registration in SAM now includes the acceptance of Certifications and Assurances. SAM may be accessed at https://www.sam.gov/SAM/.

https://www.sam.gov/SAM/

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For assistance instruments, the Federal Assistance Certifications Report is an attestation that the entity will abide by the requirements of the various laws and regulations; therefore, as applicable, proposers are still required to submit any documentation, including SF LLL Disclosure of Lobbying Activities (if applicable), and information the Department of Defense (DoD) of unpaid delinquent tax liability or felony convictions under any Federal law.

Effective 27 April 2018, all new entities registering in SAM, as well as existing registrations being updated or renewed, will require the submission of an original, signed notarized letter identifying the authorized Entity Administrator for the entity associated with the Data Universal Numbering System (DUNS) number before the registration will be activated. Please be aware that processing this additional information may take several days and proposers are advised to be proactive in maintaining their SAM registration in an “Active” status as the government cannot award to an entity without an “Active” SAM registration.

4. Submission Dates and Times

(See Section I, paragraph A.6, Key Dates, for information)

Submission of Late Proposals (Applicable to White Papers and Full Proposals):

Any white paper, proposal, modification, or revision, that is received at the designated Government office after the exact time specified for receipt is late and will not be considered.

5. Funding Restrictions

Not Applicable

E. Application Review Information

1. Evaluation Criteria

Proposals will be evaluated using the following criteria:

1) Technical Approach:

This criterion rates the degree to which the proposed technical approach is innovative, feasible, achievable, and complete. The task descriptions and associated technical elements are complete and in a logical sequence. The proposal identifies major technical risks, clearly defines feasible risk mitigation efforts, and outlines anticipated schedule.

2) Potential Contribution and Relevance to the NAWCAD Mission:

This criterion rates the degree to which the potential contributions of the proposed effort are relevant to the NAWCAD and Department of the Navy mission.

3) Cost:

This criterion rates the degree to which the proposed costs are realistic for the technical approach and accurately reflect the technical goals and objectives of the applicable area of

Page | 14 interest. The proposed costs are consistent with the proposer’s Statement of Work and reflect a sufficient understanding of the costs and level of effort needed to successfully accomplish the proposed technical approach. The costs for the prime proposer and proposer’s subawardees are substantiated by the details provided in the full proposal (e.g., the type and number of labor hours proposed per task, the type and quantities of materials, equipment and fabrication costs, travel and any other applicable costs and the basis for the estimates).

Criteria 1, 2, and 3 are equally important.

2. Review and Selection Process

a. NAWCAD will conduct a scientific review of each conforming proposal.

Conforming proposals comply with all requirements detailed in this BAA; proposals that fail to do so may be deemed non-conforming and may be removed from consideration.

NAWCAD may, at its discretion, choose not to make an award to any proposer for any reason.

Proposals will not be evaluated against each other since they are not submitted in accordance with a common work statement. NAWCAD’s intent is to review proposals as soon as possible after they arrive; however, proposals may be reviewed periodically for administrative reasons.

Selections may be made at any time during the period of solicitation. Pursuant to FAR 35.016, the primary basis for selection of proposals for award negotiations shall be technical, importance to agency programs, and funds availability.

The ultimate recommendation for award of proposals is made by NAWCAD's scientific/technical community. Recommended proposals will then be forwarded to the NAWCAD Enterprise Procurement Support Division - A2161000. Any notification received from NAWCAD that indicates that the proposer’s full proposal has been recommended does not ultimately guarantee an award will be made. This notice indicates that the proposal has been selected in accordance with the evaluation criteria stated above and has been sent to the Contracting Department to conduct cost analysis, determine the proposer’s responsibility, to confirm whether funds are available, and to take other relevant steps necessary prior to commencing negotiations with the proposer.

b. Options

The Government will evaluate options for award purposes by adding the total cost for all options to the total cost for the basic requirement. Evaluation of options will not obligate the Government to exercise the options during contract or grant performance.

c. Evaluation Panel

Government subject matter experts will determine the interest in white papers and perform the evaluation of technical proposals received at NAWCAD. In many cases, Page | 15 the Government subject matter experts will participate in an awarded project as a Navy Lead with the responsibility of guiding, coordinating and executing efforts in support of the project.

Technical and cost proposals submitted under this BAA will be protected from unauthorized disclosure in accordance with FAR 3.104-4 and 15.207.

3. Recipient Qualifications

a. Applicable to Grants, Cooperative Agreements and TIAs

(See Appendix 1.)

b. Applicable to Contracts

(See Appendix 2.)

c. Applicable to Other Transaction Agreements (See Appendix 3.)

F. Federal Award Administration Information

1. Administrative and National Policy Requirements

Export Control Laws

Proposers should be aware of recent changes in export control laws. Proposers are responsible for ensuring compliance with all U.S. export control laws and regulations, including the International Traffic in Arms Regulation (ITAR)(22 CFR Parts 120 - 130) and Export Administration Regulation (EAR) (15 CFR Parts 730 – 774), as applicable. In some cases, developmental items funded by the Department of Defense are now included on the United States Munition List (USML) (22 CFR Part 121) and are therefore subject to ITAR jurisdiction. In other cases, items that were previously included on the USML have been moved to the EAR Commerce Control List (CCL). Proposers should address in their proposals whether ITAR or EAR restrictions apply to the work they are proposing to perform for NAWCAD. The ITAR and EAR are available online at http://www.ecfr.gov/. Additional information regarding the President's Export Control Reform Initiative can be found at http://export.gov/ecr/index.asp.

Proposers must comply with all U.S. export control laws and regulations, including the ITAR and EAR, in the performance of any award or agreement resulting from this BAA.

Proposers shall be responsible for obtaining any required licenses or other approvals, or license exemptions or exceptions if applicable, for exports of hardware, technical data, and software (including deemed exports), or for the provision of technical assistance.

Security Classification:

In order to facilitate intra-program collaboration and technology transfer, the Government will attempt to enable technology developers to work at the unclassified level to the maximum extent possible. If access to classified material will be required at any point during performance, the proposer must coordinate with the Technical Point of Contact and http://www.ecfr.gov/ http://export.gov/ecr/index.asp

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Security.

If it is determined that access to classified information will be required during the performance of an award, a Department of Defense (DD) Form 254 will be attached to the contract, and FAR 52.204-2 - Security Requirements will be incorporated into the contract.

NAWCAD does not provide access to classified material under assistance instruments.

Requirements Concerning Live Organisms:

a) Use of Animals: Award recipients performing research, experimentation, or testing involving the use of animals shall comply with the rules on animal acquisition, transport, care, handling, and use as outlined in: (i) 9 CFR parts 1-4, Department of Agriculture rules that implement the Animal Welfare Act of 1966, as amended, (7 U.S.C. § 2131-2159); (ii) National Institutes of Health Publication No. 86-23, "Guide for the Care and Use of Laboratory Animals" (8th Edition); and (iii) DoD Instruction 3216.01, “Use of Animals in DoD Programs.”

For projects anticipating animal use, proposals should briefly describe plans for Institutional Animal Care and Use Committee (IACUC) review and approval. Animal studies in the program will be expected to comply with the Public Health Service (PHS) Policy on Humane Care and Use of Laboratory Animals, available at http://grants.nih.gov/grants/olaw/olaw.htm.

All award recipients must receive approval by a DoD-certified veterinarian, in addition to an IACUC approval. No animal studies may be conducted using DoD funding until the United States Army Medical Research and Materiel Command (USAMRMC) Animal Care and Use Review Office (ACURO) or other appropriate DoD veterinary office(s) grant approval. As a part of this secondary review process, the award recipient will be required to complete and submit an ACURO Animal Use Appendix, which may be found at:

https://mrdc.amedd.army.mil/index.cfm/collaborate/research_protections/acuro/anima l_appendix.

b) Use of Human Subjects in Research: Proposers must protect the rights and welfare of individuals who participate as human subjects in research under this award and comply with the requirements of the Common Rule at 32 CFR part 219 and applicable provisions of DoD Instruction 3216.02, Protection of Human Subjects and Adherence to Ethical Standards in DoD-Supported Research (2011), the DON implementation of the human research protection program contained in SECNAVINST 3900.39D (or its replacement), 10 USC 980 “Limitation on Use of Humans as Experimental Subjects,” and when applicable, Food and Drug Administration (FDA) and other federal and state law and regulations.

For proposals containing activities that include or may include “research involving human subjects” as defined in DoDI 3216.02, prior to award, the proposer must submit documentation of:

http://grants.nih.gov/grants/olaw/olaw.htm https://mrdc.amedd.army.mil/index.cfm/collaborate/research_protections/acuro/animal_appendix https://mrdc.amedd.army.mil/index.cfm/collaborate/research_protections/acuro/animal_appendix

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i. Approval from an Institutional Review Board (IRB) (IRB-approved research protocol, IRB- approved informed consent document, and other material they considered); proof of completed human research training (e.g., training certificate or institutional verification of training for the principal investigator, co-investigators); and the proposer’s Department of Health and Human Services (DHHS)-issued Federal Wide Assurance number (FWA#).

ii. Any claimed exemption under 32 CFR 219 101(b), including the category of exemption, supporting documentation considered by your institution in making the determination (e.g., protocol, data collection tools, advertisements, etc.). The documentation shall include a short rationale supporting the exemption determination. This documentation should be signed by the IRB Chair or IRB vice Chair, designated IRB administrator or official of the human research protection program.

iii. Any determinations that the proposal does not contain activities that constitute research involving human subjects, including supporting documentation considered by your institution in making the determination. This documentation should be issued by the IRB Chair or IRB vice Chair, designated IRB administrator or official of the human research protection program.

Documentation must be submitted to the NAWCAD Human Research Protection Official (HRPO), by way of the NAWCAD Enterprise Procurement Support Division - A2161000. If the research is determined by the IRB to be greater than minimal risk, you also must provide the name and contact information for the independent research monitor and a written summary of the monitors’ duties, authorities, and responsibilities as approved by the IRB.

Contracts, orders, or grant awards and any subawards or modifications will include a statement indicating successful completion of the HRPO review. Research involving human subjects must not be commenced under any award or modification or any subcontract or grant subaward or modification until awardee receives notification from the Contracting or Grants Officer that the HRPO has approved the assurance as appropriate for the research under the award or modification and that the HRPO has reviewed the protocol and accepted the IRB approval or determination for compliance with Federal, DoD and DON research protection requirements. See

DFARS 252.235-7004.

Use of Recombinant DNA or Synthetic Nucleic Acid Molecules:

Proposals which call for experiments using recombinant or synthetic nucleic acid molecules must include documentation of compliance with NIH Guidelines for Research Involving Recombinant or Synthetic Nucleic Acid Molecules (NIH Guidelines), approval of the Institutional Biosafety Committee (IBC), and copies of the DHHS Approval of the IBC letter.

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Institutional Dual Use Research of Concern:

As of September 24, 2015, all institutions and United States Government (USG) funding agencies subject to the United States Government Policy for Institutional Oversight of Life Sciences Dual Use Research of Concern, https://www.phe.gov/s3/dualuse/Documents/durc-policy.pdf, must comply with all the requirements listed therein. If your research proposal directly involves certain biological agents or toxins, contact the cognizant Technical Point of Contact. U.S. Government Science, Safety, Security (S3) guidance may be found at https://www.phe.gov/s3/dualuse.

Department of Defense High Performance Computing Program:

The DoD High Performance Computing Program (HPCMP) furnishes the DoD Science and Technology (S&T) and Research Development Test and Evaluation (RDT&E) communities with use-access to very powerful high performance computing systems. Awardees of NAWCAD contracts, grants, and other assistance instruments may be eligible to use HPCMP assets in support of their funded activities if NAWCAD Program Officer approval is obtained and if security/screening requirements are favorably completed. Additional information may be found at https://www.hpc.mil/.

Publication of Grant Awards:

Per Section 8123 of the Department of Defense Appropriations Act, 2015 (Pub. L. 113-235), all grant awards must be posted on a public website in a searchable format. To comply with this requirement, proposers requesting grant awards must submit a maximum one (1) page abstract that may be publicly posted and explains the program or project to the public. The proposer should sign the bottom of the abstract confirming the information in the abstract is approved for public release. Proposers are advised to provide both a signed PDF copy, as well as an editable (e.g., Microsoft Word) copy. Abstracts contained in grant proposals that are not selected for award will not be publicly posted.

2. Reporting:

If the total Federal share of the Federal award may include more than $500,000 over the period of performance, the post award reporting requirements, Award Term and Condition for Recipient Integrity and Performance Matters (2 CFR Part 200 Appendix XII), is applicable as follows:

Reporting of Matters Related to Recipient Integrity and Performance

1. General Reporting Requirement. If the total value of your currently active grants, cooperative agreements, and procurement contracts from all Federal awarding agencies exceeds $10,000,000 for any period of time during the period of performance of this Federal award, then you as the recipient during that period of time must maintain the currency of information reported to the System for Award Management (SAM) that is https://www.phe.gov/s3/dualuse/Documents/durc-policy.pdf https://www.phe.gov/s3/dualuse

Page | 19 made available in the designated integrity and performance system (currently the Federal Awardee Performance and Integrity Information System (FAPIIS)) about civil, criminal, or administrative proceedings described in paragraph 2 of this award term and condition.

This is a statutory requirement under section 41 U.S.C. 2313. As required by section 3010 of Public Law 111-212, all information posted in the designated integrity and performance system on or after April 15, 2011, except past performance reviews required for Federal procurement contracts, will be publicly available.

2. Proceedings About Which You Must Report. Submit the information required about each proceeding that:

a. Is in connection with the award or performance of a grant, cooperative agreement, or procurement contract from the Federal Government;

b. Reached its final disposition during the most recent five-year period; and

c. Is one of the following:

(1) A criminal proceeding that resulted in a conviction, as defined in paragraph 5 of this award term and condition;

(2) A civil proceeding that resulted in a finding of fault and liability and payment of a monetary fine, penalty, reimbursement, restitution, or damages of $5,000 or more;

(3) An administrative proceeding, as defined in paragraph 5 of this award term and condition that resulted in a finding of fault and liability and your payment of either a monetary fine or penalty of $5,000 or more or reimbursement, restitution, or damages in excess of $100,000; or

(4) Any other criminal, civil, or administrative proceeding if:

(i) It could have led to an outcome described in paragraph 2.c. (1), (2), or (3) of this award term and condition;

(ii) It had a different disposition arrived at by consent or compromise with an acknowledgment of fault on your part; and

(iii) The requirement in this award term and condition to disclose information about the proceeding does not conflict with applicable laws and regulations.

3. Reporting Procedures. Enter in the SAM Entity Management area the information that SAM requires about each proceeding described in paragraph 2 of this award term and condition. You do not need to submit the information a second time under assistance awards that you received if you already provided the information through SAM because you were required to do so under Federal procurement contracts that you were awarded.

4. Reporting Frequency. During any period of time when you are subject to the requirement in paragraph 1 of this award term and condition, you must report proceedings information through SAM for the most recent five-year period, either to report new information about any proceeding(s) that you have not reported previously or affirm that there is no new information to report. Recipients that have Federal contract, grant, and cooperative agreement awards with a cumulative total value greater than $10,000,000

Page | 20 must disclose semiannually any information about criminal, civil, and administrative proceedings.

5. Definitions. For purposes of this award term and condition:

a. Administrative proceeding means a non-judicial process that is adjudicatory in nature in order to make a determination of fault or liability (e.g., Securities and Exchange Commission Administrative proceedings, Civilian Board of Contract Appeals proceedings, and Armed Services Board of Contract Appeals proceedings). This includes proceedings at the Federal and State level but only in connection with performance of a Federal contract or grant. It does not include audits, site visits, corrective plans, or inspection of deliverables.

b. Conviction, for purposes of this award term and condition, means a judgment or conviction of a criminal offense by any court of competent jurisdiction, whether entered upon a verdict or a plea, and includes a conviction entered upon a plea of nolo contendere.

c. Total value of currently active grants, cooperative agreements, and procurement contracts includes—

(1) Only the Federal share of the funding under any Federal award with a recipient cost share or match; and

(2) The value of all expected funding increments under a Federal award and options, even if not yet exercised.

Further guidance for reporting:

• Applicable to Grants, Cooperative Agreements, and TIA’s (See Appendix 1).

• Applicable to Contracts (See Appendix 2).

• Applicable to…