FY21 MDA IST BAA (Full Text Announcement) 20210330.pdf

DISTRIBUTION STATEMENT A: Approved for public release; distribution unlimited

Missile Defense Agency (MDA)

Innovation, Science & Technology (IS&T)

Broad Agency Announcement (BAA)

FAR and Non-FAR Solutions

Broad Agency Announcement No. HQ0860-21-S-0001

Effective from March 30, 2021 – April 2, 2023

Innovation, Science and Technology Directorate

Missile Defense Agency

5222 Martin Road

Redstone Arsenal, AL 35898

Approved for public release 21-MDA-10739 (16 Mar 21) 2

TABLE OF CONTENTS

SECTION I: ANNOUNCEMENT OVERVIEW

SECTION II: ANNOUNCEMENT DESCRIPTION

SECTION III: ELIGIBLE OFFERORS/APPLICANTS

SECTION IV: RESEARCH OPPORTUNITIES

SECTION V: GENERAL INFORMATION

SECTION VI: PROCUREMENT CONTRACT (FAR-BASED) REQUIREMENTS

SECTION VII: WHITE PAPER SUBMISSION

SECTION VIII: WHITE PAPER EVALUATION

SECTION IX: AWARD INFORMATION

SECTION X: ATTACHMENTS

SECTION XI: REFERENCES

SECTION XII: DEFINITIONS

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SECTION I: ANNOUNCEMENT OVERVIEW

A. Agency Name: Missile Defense Agency

B. Program Name: Innovation, Science & Technology

C. Broad Agency Announcement Title: Missile Defense Agency (MDA) Innovation, Science & Technology (IS&T) Broad Agency Announcement (BAA) FAR and Non-FAR

Solutions

D. Broad Agency Announcement Type: Two-Step Open Broad Agency Announcement

E. Broad Agency Announcement Number: HQ0860-21-S-0001 (supersedes Missile

Defense Science and Technology Advanced Research (MSTAR) BAA, HQ0147-19-S-

0001 and Advanced Technology Innovation (ATI) BAA, HQ0147-19-S-0002)

F. North American Industry Classification System (NAICS) Code:

541715 - Research and Development in the Physical, Engineering, and Life Sciences

(except Nanotechnology and Biotechnology)

541713 – Research and Development in Nanotechnology

G. Instrument Type: FAR Solutions (Procurement Contract) and Non-FAR Solutions

(Cooperative Agreement or Other Transaction (See Section V. for more information))

SECTION II: ANNOUNCEMENT DESCRIPTION

The Missile Defense Agency (MDA) has established the Innovation, Science and

Technology (IS&T) Broad Agency Announcement (BAA). This BAA’s purpose is to identify and develop innovative concepts across a broad spectrum of science and engineering disciplines, to include disruptive technologies, that stimulate technology innovation and exploit breakthroughs in science to offer robust technology improvements to the Missile Defense System

(MDS).

The MDA IS&T BAA, FAR and Non-FAR Solutions, is a competitive, science and technology research program, which consists of forefront advanced research and development technology, concepts, and approaches acquired through scientific and technological investigation. The MDA IS&T BAA is used to fulfill MDA’s requirement for scientific study and experimentation directed toward advancing the state-of-the-art, and increasing knowledge and understanding, rather than focusing on a specific system or hardware solution. The MDA

IS&T BAA supersedes MDA’s previous Advanced Technology Innovation (ATI) and Missile

Defense Science and Technology Advanced Research (MSTAR) BAAs. Potential offerors are encouraged to learn more about MDA at https://www.mda.mil.

This is a Two-Step Open BAA issued under the provisions of FAR 6.102(d)(2), which provides for the competitive selection of research proposals. The following information is https://www.mda.mil/

Approved for public release 21-MDA-10739 (16 Mar 21) 4 relative to Step-One, which is the call for submission of white papers. MDA will contact those offerors whose white papers are selected to proceed to Step-Two and provide instructions for them to follow. Step-Two is submission of a formal proposal. DO NOT submit a formal proposal until requested by the MDA Contracting Office.

SECTION III: ELIGIBLE OFFERORS/APPLICANTS

All qualified offerors who meet the requirements of this BAA are eligible to submit a white paper. Eligible organizations include:

Private industry (large and small businesses)

Domestic accredited colleges, universities or institutions of higher learning registered by the U.S. Department of Education

Non-profit organizations; and

Commercial and/or nontraditional defense contractors

Offerors may propose subcontracting and teaming arrangements; however, it is expected for FAR based solutions that the submitting offeror will lead and perform 50% of the effort by cost. For OTs, the lead offeror, if seeking to qualify as a non-traditional defense contractor, must participate to a "significant extent." There is no set dollar amount or percentage of work that is considered a "significant extent" and offerors must provide justification to support a determination by MDA that they are participating to a "significant extent."

Government Entities (e.g. Government/National laboratories, militarily educational institutions, etc.) interested in this announcement are directed to email the addressee listed in

Section VI. for further information.

Federally Funded Research Development Center (FFRDC) are not prohibited from responding to this announcement. However, the FFRDC’s sponsoring agency must first make a determination that the effort being proposed falls within the purpose, mission, general scope of effort, or special competency of the FFRDC, and that determination must be included in the

FFRDC’s response. In addition, the non-sponsoring agency must make a determination that the work proposed would not place the FFRDC in direct competition with domestic private industry.

Only after these determinations are made would a decision be made concerning the FFRDC’s eligibility to receive an award should they be selected to proceed to Step-Two.

All research areas require the Principal Investigator (PI), Program Manager (PM) or

Team Lead to hold U.S. citizenship. Additionally, MDA approval is required for any non-U.S.

citizens to perform on any efforts proposed under this announcement (See Section V., Paragraph

I.).

SECTION IV: RESEARCH OPPORTUNITIES

A. Program Overview

MDA is charged with developing and fielding an integrated, layered MDS to protect the

United States (U.S.), deployed forces and its allies from ballistic missiles and advanced threat attacks. The MDS is a layered approach, which integrates sensors; kinetic energy systems;

Approved for public release 21-MDA-10739 (16 Mar 21) 5 directed energy systems; and battle management, command and control elements to engage threatening ballistic and non-ballistic missiles at all phases of flight. MDA efforts are focused on making the MDS more robust against the threat environment, and increasing capabilities to handle a broad range of unknown missiles, warheads, trajectories, flight paths and other adversary capabilities through the use of Joint Service Kill Webs (Ballistic Missile Defense, Cruise Missile Defense, and Hypersonic Missile Defense).

To achieve this objective, technical advancement in the domains of missile defense planning, detection, identification, tracking, tasking, engagement, and assessment is essential.

MDA advances technology that enables near-term, evolutionary growth in current systems as well as revolutionary leaps for far term MDS systems. MDA/DV is responsible for initiating advanced capability development for the MDS. The MDA IS&T BAA provides MDA the opportunity to seek innovative concepts, technology innovation, and scientific breakthroughs to yield robust technology improvements to all elements of the MDS.

B. Research Areas

White papers are sought for cutting-edge innovative research that could enable new, improved, and disruptive missile defense technologies; improved speed and/or lowered cost of producing critical defense components; and yield increased operational capabilities. The specific research areas of interest described in this document should be viewed as suggestive, rather than limiting. MDA/DV is interested in receiving white papers in the research areas listed below:

1. Radar and Radio Frequency (RF) Sensor and Communication Systems includes, but is not limited to: integrated system concepts; signal processing; data visualization; data compression; high efficiency transmit/receive modules (including analog-to-digital conversion);

improved operation (e.g. lower latency, higher speed, lower cost) in stressing environments to include natural and man-made interference and/or high temperatures; over the horizon capabilities and strategies; inexpensive Wide Area Surveillance to allow the detection and tracking of airborne objects; RF apertures capable of withstanding hypersonic environments;

passive radio-frequency systems; technologies that enhance target detection, acquisition, tracking, and identification; clutter/noise suppression or mitigation techniques; technologies enabling high bandwidth secure communication; technologies facilitating formation flying of spacecraft; radars based on quantum correlation of entangled particles or other RF sensor approaches based on principles of quantum mechanics; and 5G enabled communications.

2. Electro-Optical/Infrared Sensor and Communication Systems includes, but is not limited to: telescopes; seeker windows capable of withstanding hypersonic environments; smart, reconfigurable, radiation-hardened read-out electronics; signal processing; multi-sensor fusion;

free space optical communication systems and subsystem components enabling secure space-to-space, space-to-air, space-to-ground, and air-to-ground links; technologies that enhance target detection, acquisition, tracking, and identification; and manufacturing innovations to reduce costs and enhance performance (uniformity, sensitivity, operability, and reduced cross-talk) of large format, multicolor infrared focal plane arrays; clutter/noise suppression or mitigation techniques; motion-minimization techniques; infrared focal plane arrays with materials and

Approved for public release 21-MDA-10739 (16 Mar 21) 6 detector architectures having high sensitivity, low noise, high quantum efficiency, higher operating temperature, high radiation tolerance, and low Size, Weight, and Power (SWaP).

3. Directed Energy Systems includes, but is not limited to compact, reliable, and efficient high-energy (> hundreds of kilowatt-hours) lasers; high power microwave (HPM) systems;

related directed energy components; and directed energy lethality/effects on target (Laser and/or

HPM with the target in the hypersonic regime). There is specific interest in diode-pumped fiber, solid state, gas, and liquid phase lasers (continuous wave or pulsed); and laser arrays, including line stable diode arrays and high power, high efficiency, narrow linewidth arrays. For microwave systems, interest is in high power amplifier technologies, frequency/waveform flexibility, antenna gain and efficiency improvements, and concepts for effective combination techniques for multiple directed energy weapons on a single overlapping aim point. Related directed energy component interests include compact, lightweight power supplies; thermal control systems; beam control and stabilization technologies; radiation tolerant sensors; large, lightweight optical telescopes; optical beam combining and phased array concepts; bidirectional high power fiber coupling components; fast, high power electronic beam steering concepts; large format/high resolution cameras; and, robust, high power tolerant optical coatings. Analytical concepts of interest include improved wave-optics-based scaling laws for multiple/obscured apertures.

4. Computer Science, Signal and Data Processing includes, but is not limited to digital electronics and signal processing, to include the improvements stemming from microelectronics and nanomaterials; distributed computing including optimization of data flow between nodes on limited bandwidth links; field programmable gate array (FPGA) and graphical processing unit

(GPU) exploitation; edge processing hardware and techniques; quantum computing applications to decision architectures, modeling and simulation, and other relevant applications; machine implementation of algorithms; decision systems supporting firing doctrine, engagement optimization and assessment of engagement success; latency and processing power optimization through neuromorphic signal and data processing approaches; data and sensor fusion, including multi-sensor and multi-phenomenology fusion across the kill web; pattern recognition; swarm decision logic; machine vision processing; threat complex identification, characterization, and flight prediction; discrimination; algorithms; quantum information processing; encryption, to include post-quantum encryption resiliency and High Assurance Internet Protocol Encryption

(HAIPE).

5. Algorithms, Probability and Decision Theory includes, but is not limited to sensor resource management including distributed sensor/weapon resource management functionality concepts; target characterization and discrimination; decision systems supporting firing (shot) doctrine including early launch concepts, battle engagement tactics, and optimization and assessment of engagement success (kill assessment); target detection in low signal-to-noise-ratio environments; navigation to target intercept in a dynamic environment; advanced predicted intercept point determination; system and system-of-systems performance measures; near real-time intelligence processing and decision making integrated with sensor data; defensive force structure planning; applications of neuromorphic mathematic computation approaches in lieu of conventional processes to improve performance; and automated battle management (ABM) techniques to achieve optimal sensor/weapon/target pairing including the ability to get to a

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“preferred shooter” capability and optimized weapons mix with engagement coordination across and within weapon systems.

6. Materials and Processing includes, but is not limited to high temperature and/or light-weight composites; radiation shielding and resistivity; beryllium replacement; thermal management and insulation; domestically sourced fibers; advanced manufacturing techniques, such as additive manufacturing, near-net shape manufacturing, epitaxy, advanced resin systems, and densification optimization; “B-Basis” property database; phase-changing materials; meta-materials; nanomaterials; ceramic matrix composites; non-destructive/invasive inspection techniques; programmable magnetics; joint/ joint sealing techniques; electromagnetic environmental effects mitigation; and battery technology.

7. Phenomenology includes, but is not limited to the study of phenomenology associated with threat missile and rocket plume infrared, optical radar acoustic signatures; hypersonic vehicle signatures; kinetic intercept; natural and man-made (including nuclear) radiation, electrical optical/infrared and radio frequency environments and real-time environment characterization; post-intercept debris modeling; wake and reentry physics; analysis to predict target signatures across varying phenomenologies; and exploitation of novel or under-utilized phenomenologies to provide improved performance in areas including, but not limited to, remote sensing, kill vehicle performance, and network communications.

8. Interceptor and Space Systems includes, but is not limited to advanced power systems;

microelectronics; solid and liquid propulsion technologies, including throttled solid rocket motors; green propellants; high temperature nozzles; navigation technology; secure avionics;

reduced SWaP cryogenic systems; robust miniaturized inertial measurement unit technology with increased sensitivity; novel control algorithms and design, including techniques to achieve lower latency across all endo altitudes; autonomy guided by artificial intelligence;

communication systems; lightweight structures; hot structures; advanced micro-propulsion systems for small spacecraft; high lift to drag ratio, outer mold line shapes and controls;

deployment and restraint technology; safety infrastructure and sensors; visible/infrared windows; advanced environment-qualified micro-processors; lightning strike mitigation; thermal protection; inherently “radiation-hardened” electronic components and memories; system and component mitigation approaches for radiation environments; lethality enhancement; space debris avoidance sensors; interceptors including ballistic, hypersonic, “space-based”, and all others.

9. Modeling and Simulation (M&S) includes, but is not limited to innovative methods for software emulation, signal injection, and distributed testing across multiple systems and platforms; platform agnostic physics-based modeling and simulation; machine reasoning applications; methods to emulate complex threat countermeasure for real-time system simulation; scalable and high-fidelity methods for system or signal emulation suitable for “real-time” hardware or software simulation; environmental phenomenology implementation;

simulating the impact of advanced persistent threat cyber exploitation of critical logic-bearing components on distributed weapon system behavior; research and development of tools for accurately modeling missile system behavior; methods for incorporating human factors;

visualization for M&S result using advanced methods such as virtual reality or enhanced laser

Approved for public release 21-MDA-10739 (16 Mar 21) 8 technology; innovative approaches to understand non-kinetic lethality; innovative methods to efficiently generate target models across a broad range of parameterizations for machine learning applications; novel methods of analysis for large sets of scenario parameters; methods for reducing the computational expense of large parametric studies; birth to death threat modeling, simulation, signatures, and analysis; target signature simulation and measuring techniques including aerodynamic interaction and hypersonic environments; and integrated M&S approaches which leverage digital engineering, digital systems engineering, and digital program management.

10. Artificial Intelligence Related to Machine Learning and Big Data includes, but is not limited to machine learning for threat characterization (including attributes as well as behavior) and radar signal processing; reverse engineering on critical technologies; statistical methods and computational intelligence which lead to accurate and rapid target recognition, launch and impact point determination, defense weapon assignment, firing solution calculation, consequence management, intercept assessment and supply chain management; cueing and tasking of sensor assets; data mining technologies to extract information, trends and patterns from flight test and modeling & simulation data; big data to explore significant findings in test data; crowd source techniques to determine threat intent; social network analysis to uncover object relationships;

statistical relational learning to aid object classification in a mixed environment with multi-modal (financial, cybersecurity, geographic, and phenomenological) and hierarchical decision support; and low-power, low latency, big-data processing system capable of interface with unclassified and classified systems.

11. Cyberspace Operations, Cybersecurity, and Cyber Resiliency of the Future of Large

Scale, Distributed Weapons Systems includes, but is not limited to new/innovative approaches to applying traditional cybersecurity controls (especially to a weapons system); advanced cybersecurity architectures; new cyber resiliency concepts and capabilities involving secure processing at multiple domains with high assurance in an unattended environment (including high radiation environments) using commercial performance network and server technologies;

advanced cyber testing concepts and techniques over the life cycle of a (weapon) system or system of systems; modeling and simulation concepts focusing on advanced cyber threat emulation; integration of human and machine control of defensive cyberspace operations;

advanced/innovative approaches to cyberspace operations, with an emphasis on advanced techniques/algorithms to automate cyberspace defenses; cybersecurity risk assessment methodologies (especially those that use a quantitative approach); concepts for balancing risk vs.

cost when implementing cybersecurity, cyber resiliency, and built in features to help defend a system in cyberspace, etc.

12. International MDS Cooperation includes white papers, relative to any of the research areas above, that involve working directly with a foreign company or university as either a partner or major subcontractor. All research proposed in this vein will be subject to U.S. Export

Control laws (International Traffic in Arms Regulation (ITAR) 22 CFR 120-130 and/or Export

Administration Regulation (EAR) 15 CFR 730-774) and may require a Technical Assistance

Agreement.

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SECTION V: GENERAL INFORMATION

A. Response Date

This announcement will remain open until April 2, 2023 unless superseded, extended, canceled or replaced. White papers may be submitted any time during the BAA open period

(March 30, 2021 through April 2, 2023). The Government also reserves the right to issue Calls against this BAA, calling attention to a particular topic and specifying dates for white paper submission. Offerors are responsible for monitoring the Contract Opportunities website

(https://beta.sam.gov) for any amendments to this announcement.

B. Anticipated Awards

Multiple awards are anticipated under this BAA. However, MDA is under no obligation to make any awards in response to the white papers submitted. MDA also reserves the right to award all, some or none of a particular white paper. The funded amount and period of performance for each white paper selected for award may vary depending on the research area and the technical approach to be pursued by the offeror.

C. Funding Availability

Due to Government budget uncertainties, MDA does not have a specific amount of funding available for this BAA. Funding may become available throughout the open period of this BAA to pursue promising innovative concepts of interest with any and all qualified sources.

Offerors should be aware that funding availability might change with little or no notice.

D. Period of Performance

Awards are anticipated to consist of a one (1) year base period of performance with the potential for up to two (2) severable option periods for subsequent performance. Inclusion of options in any resulting award is at the discretion of the Government.

E. Communications

All communication regarding this announcement should be UNCLASSIFIED and submitted via email to advancedresearch@mda.mil. DO NOT EMAIL CLASSIFIED

INFORMATION. If classified communication is necessary, send an unclassified email to the address listed above for assistance.

Dialogue with any Government representative shall not constitute a commitment by the

Government to subsequently fund or award any proposed effort. Any dialogue that takes place will not be taken into consideration during the evaluation of white papers. Only

Contracting/Agreements Officers are legally authorized to commit the Government.

F. Instrument Type

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MDA reserves the right to award the instrument best suited to the nature of the research proposed. Accordingly, MDA may award any appropriate contract type under the FAR or any appropriate non-FAR instrument such as an Other Transaction (OT) or cooperative agreement.

MDA anticipates a mix of instrument types will be used throughout the life of this BAA. No opportunities for grants exist under this BAA.

Any OTs resulting from this BAA will maximize the use of commercial/industry standards. OTs are not subject to the FAR or Defense Federal Acquisition Regulation

Supplement (DFARS) that govern procurement contracts. Therefore, offerors proposing an OT are not required to comply with the FAR and DFARS regulations stated in Section VI. of this announcement. Any agreements awarded as a result of this announcement will incorporate the appropriate articles based on statute.

Any procurement contracts awarded as a result of this announcement will incorporate the appropriate FAR, DFARS, and local MDA clauses including those stated in Section VI. It is anticipated that any contracts awarded as a result of this BAA will be cost plus fixed fee. In accordance with FAR 16.301-3(a)(3), cost reimbursement type contracts require successful offerors to have an accounting system considered adequate for determining costs applicable to the contract.

G. Other Transactions

MDA has the authority to enter into OTs for basic, applied, and advanced research under

10 U.S.C. § 2371 as well as OTs for prototypes under 10 U.S.C. § 2371b. These authorities are designed to encourage new or non-traditional defense contractors to work with the Department of Defense (DoD). These authorities allow MDA to bring new, cutting edge solutions to the warfighter by, to the maximum extent allowable, accommodating a performer’s existing business practices and commercial industry standards rather than imposing DoD standards. Offerors looking for innovative, commercial-like arrangements are encouraged to propose the use of an

OT, should it be appropriate for the nature of the research. In all cases, MDA shall have the sole discretion to select the award instrument type, regardless of the instrument type proposed.

If an OT for prototype under the authority of 10 U.S.C. § 2371b is entered into pursuant to this announcement, this announcement and the entry into an OT for prototype based on responses to this announcement, will be considered competitive procedures such that a follow-on production contract or agreement may be awarded in accordance with 10 U.S.C. § 2371b(f).

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

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

§2371 and §2371b.

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H. System for Award Management Registration

Prime offerors are notified that to be eligible for payment, they must be registered in the

System for Award Management (SAM) at https://www.sam.gov. By submission of a white paper, the prime offeror acknowledges the requirement that prime awardee shall be registered in the SAM database prior to award, during performance, and through final payment of any award resulting from this BAA.

I. Export Control Requirements

The research topics in this announcement may cover export controlled technologies that are subject to U.S. Export Control laws (ITAR 22 CFR 120-130 and/or EAR 15 CFR 730-774).

Offerors are advised the proposed performance of any foreign nationals (FNs) may be restricted due to the nature of the technical data. Offerors must disclose any proposed use of FNs, their country(ies) of origin, the type of visa or work permit possessed, and the tasks intended for accomplishment by the FN.

J. Security Requirements

In general, white papers and awards under this announcement are expected to be submitted and performed at the UNCLASSIFIED level. Any offeror planning to propose a

CLASSIFIED approach will need to obtain MDA approval prior to submission of a white paper.

If approved, instructions will be provided on how to submit the CLASSIFIED information. In order to initiate the MDA approval process, the offeror should submit a request for discussion (to include the offeror’s contact information) with MDA by emailing advancedresearch@mda.mil.

K. Disclosure of Information and Compliance with Safeguarding Covered Defense

Information Controls

All offerors are advised that any awards resulting from this announcement may include regulations related to the restricted release of unclassified information should the awardee have access to or generate unclassified information that may be sensitive and inappropriate for release to the public. Awards may also be subject to certain security requirements in regards to safeguarding covered defense information. See Section VI. for additional requirements for

FAR-Based Procurement Contracts.

L. Organizational Conflicts of Interest

The Organizational Conflict of Interest (OCI) rules, procedures and responsibilities described in FAR 9.5 “Organizational and Consultant Conflicts of Interest”, FAR 3.101-1

“Standards of Conduct – General, and DFARS 209.5 “Organizational and Consultant Conflicts of Interest,” are applicable to the Offeror, any affiliate or successor-in-interest, as well as any co-sponsor, joint-venture partner, consultant, subcontractor or other entity participating in the performance of any effort under this BAA. FAR subpart 9.5, “Organizational and Consultant

Conflicts of Interest” and DFARS Subpart 209.5, “Organizational and Consultant Conflicts of

Interest” prescribe responsibilities, general rules, and procedures for identifying, evaluating, and mailto:advancedresearch@mda.mil

Approved for public release 21-MDA-10739 (16 Mar 21) 12 resolving OCIs. In addition, FAR 3.101-1 “Standards of Conduct – General” addresses unfair competitive advantages that can result from contractors hiring former Government employees.

(See also Health Net Fed. Svcs, B-401652.3). It is MDA policy to ensure all appropriate measures are taken to resolve OCIs arising under FAR 9.5 and unfair competitive advantages arising under FAR 3.101-1 to prevent the existence of conflicting roles that might bias a contractor’s judgement and deprive MDA of objective advice or assistance, and to prevent contractors from gaining an unfair competitive advantage.

All offerors must identify and analyze any potential or actual Organizational Conflicts of

Interest (OCIs) that exist as a result of responding to this announcement. If a white paper is identified for potential award of a FAR-based contract or negotiation of a non-FAR-based instrument, offerors will be required to submit completed MDA Form DA-78-F2 OCI

Analysis/Disclosure Form (Attachment 1) for themselves and any proposed subcontractors.

Based on the information submitted, as well as additional information requested by MDA (if necessary), MDA will conduct an OCI analysis prior to award of a FAR-based contract or negotiation of a non-FAR-based instrument.

M. Rights in Technical Data and Computer Software

All offerors, to the maximum extent practicable, should appropriately define the respective rights of the Government regarding technical data and/or computer software to be delivered under the proposed effort. This includes both commercial and noncommercial items.

If no restrictions to the Government’s use of technical data and/or computer software are intended, the offeror should so state. Rights may be negotiated prior to award. See Section VI.

for additional requirements for FAR-Based Procurement Contracts.

SECTION VI: PROCUREMENT CONTRACT (FAR-BASED) REQUIREMENTS

A. Competition in Contracting Act (CICA): Contract awards based on responses to this

BAA are considered to be the result of full and open competition and in full compliance with the provisions of Public Law 98-369 sec. 2701, the “Competition in Contracting Act of 1984."

B. Disclosure of Information and Compliance with Safeguarding Covered Defense

Information Controls: Offerors are advised that any FAR-based contracts are subject to the following provisions and clauses:

DFARS 252.204-7000, Disclosure of Information

DFARS 252.204-7008, Compliance with Safeguarding Covered Defense

Information Controls

DFARS 252.204-7019, Notice of NIST SP 800-171 DoD Assessment Requirements

DFARS 252.204-7012, Safeguarding Covered Defense Information and Cyber

Incident Reporting

DFARS 252.204-7020, NIST SP 800-171 DoD Assessment Requirements

C. Rights in Technical Data and Computer Software: Offerors proposing a FAR-based contractual arrangement must include the completed table at DFARS 252.227-7017

“Identification and Assertion of Restrictions on the Government’s Use, Release or Disclosure of

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Technical Data or Computer Software”, for themselves and any proposed subcontractors, with their white paper submission. If no rights are being asserted, the table should state “None”.

SECTION VII: WHITE PAPER SUBMISSION

A. White Paper Submissions

Offerors are reminded this BAA is for the acquisition of advanced technology for scientific study and experimentation directed toward advancing state-of-the-art technologies, and increasing knowledge and understanding, rather than focusing on a specific system or hardware solution. White papers related to the development of a specific system will not be accepted since they are non-conforming to the intent of this BAA.

MDA will protect all white papers and proprietary information from unauthorized disclosure and will only disclose the contents for the purpose of evaluation. Offerors are responsible for marking proprietary information with the proper disclosures.

This announcement does not commit the Government to pay for the preparation of white papers. The cost of preparing a response to this announcement is not considered an allowable direct charge to any resulting award.

The Government intends to evaluate and recommend awards without discussions based upon its evaluation of white papers; however, the Government reserves the right to hold discussions with the offeror if deemed necessary.

All white papers submitted in response to this announcement will be properly disposed of six months following the closing date of this BAA.

B. White Paper Submission Guidelines

White papers should be submitted via UNCLASSIFIED email to advancedresearch@mda.mil .

If submission of a CLASSIFIED information is approved, follow the instructions provided by MDA.

The subject line of the email should read “HQ0860-21-S-0001 White Paper

Submission”.

The white paper must be in Microsoft Word or Adobe PDF format and included as an attachment to the email. The email size limit is 10MB.

DO NOT SEND – Hardcopies of white papers (including facsimiles), ZIP files, and/or password-protected files. Oral presentations are not permitted as an acceptable substitute for a white paper submission.

C. White Paper Requirements

White papers submitted in response to this announcement must include the following:

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1. Title Page

2. Executive Summary

3. Program Description

4. Program Plan and Milestone Chart

5. Description of Relevant Prior Work

6. Rough Order of Magnitude

7. Program Summary Quad Chart

White papers are limited to 10 pages, should be letter size (8.5 x 11 inches), have one-inch margins on all sides, and use a 12-point font. Any pages beyond these limitations will not be evaluated. The white paper should address the entire proposed period of performance, including all options or phases. The Title Page, Program Plan and Milestone Chart, Description of Relevant Prior Work, Rough Order of Magnitude, and Program Summary Quad Chart are not included in the page limitations. Page limitations apply to any CLASSIFIED information submitted.

D. White Paper Content

1. Title Page (not included in page count):

a. Labeled “WHITE PAPER, BAA NUMBER HQ0860-21-S-0001 (IS&T BAA)”

b. Research area

c. Responsible organization and business type (large, small, non-traditional, non-profit, university, FFRDC, other)

d. Proposer’s reference number

e. Proposed title

f. Award instrument proposed (procurement contract (specify type), cooperative agreement, other transaction)

g. Name, title, telephone number, and email address of offeror’s technical point of contact

h. Name, title, telephone number, email address, official mailing address, and signature of the authorized contracting representative

i. Commercial and Government Entity (CAGE) code and Dun & Bradstreet

(DUNS) number

j. Date offer is submitted and duration of validity statement

k. Non-proprietary abstract paragraph not to exceed 250 words

2. Executive Summary (included in the page count): Summarize the proposed program, objectives, and approach to provide innovation and benefits to MDA. Include the significance of the proposed effort to the advancement of scientific knowledge as it relates to MDA objectives and applications.

3. Program Description (included in page count): Describe the techniques, methods, materials, or ideas that will be addressed in the white paper, the innovation aspect, and to what degree they advance the state-of-the-art technologies. Discuss relationships to similar research and fundamental science. Identify the nature and extent of the

Approved for public release 21-MDA-10739 (16 Mar 21) 15 anticipated results and how the results will be demonstrated. Describe key transition oriented objectives that will support future analysis and acquisition processes. Describe the facilities hosting the research activities and approach to safeguard and execute the tasks described, including the ability to protect controlled unclassified and classified data, as applicable to the research objectives. The effort shall be segmented into logical tasks and be clearly severable between the base period and subsequent option periods.

Identify the type of support, if any, the offeror requests of the Government, such as facilities, equipment, demonstration sites, test ranges, software, personnel or materials.

Offerors shall indicate any Government coordination that may be required for obtaining equipment or facilities necessary to perform any simulations or exercises that would demonstrate the proposed capability.

4. Program Plan and Milestone Chart (not included in page count): Describe, in detail, the management plan, technical objectives, and how the plan will be executed.

Milestones should indicate when specific objectives are expected to be met in the overall schedule of the program and should identify the specific accomplishments necessary to proceed on to the next task. Describe, in detail, the critical path of activities for the entire research project. Identify areas of risk and scientific uncertainties and describe resolution or mitigation approaches.

5. Description of Relevant Prior Work (not included in page count): Include a list of both in-house efforts funded by internal research funds and contracts funded by others. For each such effort, provide a list that includes the title of effort, contract number, funding organization (customer), and a brief summary of results. Identify and provide Principal Investigator (PI), Program Manager (PM), and key personnel team members’ resumes, highlighting relevant education and experience related to the proposed research topic.

6. Rough Order of Magnitude (ROM) (not included in page count): Furnish Tables

1-3 (provided as Attachment 2) with the white paper submission for the entire performance period, including a breakout by task. Note: Universities and colleges are discouraged from proposing costs associated with re-furbishing and/or updating lab space.

7. Program Summary Quad Chart (not included in page count): The non-proprietary and unclassified Quad Chart shall be prepared in landscape orientation as an editable PowerPoint and provided as an attachment to the white paper. A Quad Chart template is provided as Attachment 3. The Quad Chart should be formatted as stated and include the following information:

a. Heading

i. Title of White Paper

b. Upper Left Quadrant: Contribution to Missile Defense System

i. Summary statement indicating significant contribution to the MDS, overall system performance improvements, cost reduction, regret statement if not funded, enabler of certain mission, etc.

c. Upper Right Quadrant: Description of Technology

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i. Picture or graphic illustrating proposed technology development

d. Lower Left Quadrant: Top Level Tasks and Milestones

i. Goals or accomplishments in chronological order (max of ten (10))

e. Lower Right Quadrant: Program Execution

i. Company Name

ii. Period of Performance (number of months)

iii. Estimated Total Cost

iv. Annual Funding Profile

v. Transition Strategy Summary

SECTION VIII: WHITE PAPER EVALUATION

A. Evaluation Panel

The Government may use selected FFRDC, University Affiliated Research Center

(UARC), non-Government contracted support, and other non-Governmental personnel to assist in the evaluation and administrative handling of white papers submitted in response to this announcement. These persons are bound by appropriate non-disclosure agreements and organizational conflict of interest statements to protect proprietary and source selection information. Non-Government advisors are limited to reviewing white papers and providing technical advice to the Government and are prohibited from making recommendations for selection. Submission of white papers in response to this BAA constitutes the offeror’s acknowledgment and consent to the use of non-Government personnel during the evaluation process.

B. Evaluation Criteria

White papers will be evaluated against: 1) Technical Achievement, 2) Research

Capabilities and 3) Program Management, as described below. These three factors are significantly more important than cost or price. Technical Achievement is equally as important as Research Capabilities and Program Management combined. Research Capabilities are slightly more important than Program Management. The sub-criteria within each criteria are equally important.

1. Technical Achievement: focuses on the explanation and justification of the overall scientific and/or technical merits of the white paper, potential benefits of the effort to the MDS, and innovation potential.

Objectives:

a. Identification of project objectives

b. Explanation of the underlying science and applicability to the project objectives

c. Predicted results based on the underlying science

d. Identification of known "high-risk" areas in this domain, the mitigation and benefit that the research results provides, and the benefit/risk pay-off

MDA Benefits and Innovation:

a. Alignment to MDA and/or DoD priorities

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b. Identification of applications within the MDS for the proposed research

c. Identification of cost savings/avoidance benefits

d. Identification of transition strategy (next steps) for continued research and development tasks

e. Explanation of the innovation and how much the research expands beyond the current state

f. Explanation of degree of "game changing" and/or disruptive nature of technology

2. Research Capabilities: focuses on the explanation and justification of the proposer’s qualifications, capabilities, and experience of the proposed Principal

Investigator (PI), Program Manager (PM), Team Leader (TL), or other key personnel who are critical to achievement of the proposed objectives coupled with the capabilities, related experience, facilities, techniques, or unique combinations of these, which are integral factors for achieving the proposed objective.

Key Personnel Qualifications:

a. Description of PI/PM/TL’s education and experience in the context of the field of research and development proposed in the white paper

b. Description of the key supporting personnel's education and experience in the context of the field of research and development proposed in the white paper

c. Description of the offeror’s team skill set depth and breadth to address all research and development facets as presented in the white paper

d. Descriptions of the proposer's team record of accomplishment in the area of proposed research (e.g. patents, papers, citations, products)

Facilities:

a. Description of the overall facility capabilities and approach to physically host, safeguard, and execute the tasks described, especially tasks involving hardware prototyping; intensive computing power; and testing/experimentation

(laboratory and/or field).

b. As applicable for projects with Government furnished information/equipment dependencies, description of the approach for identifying, managing, safeguarding, and executing tasks involving Government assets. Items that may be applicable include, Government furnished property, hardware fabrication capability, computing capability, testing capability.

c. As applicable for controlled unclassified information (CUI) and/or classified work, description of the approach for managing, safeguarding, and executing the security aspects: consider personnel, facilities, and information systems.

3. Program Management: focuses on the explanation and justification of the planned programmatic structure, initial risk assessment, and initial cost structure and realism necessary for the controlled execution of the tasks.

a. Task outline and task description details

b. Project schedule details and task flow logic

c. Identification of deliverables/products/expected outcomes and alignment to objectives

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d. Risk identification and mitigation approach

e. ROM cost estimate thoroughness and realism

SECTION IX: AWARD INFORMATION

Selection for award will be based on technical merit, importance to agency programs and funding availability. The MDA Contracting Office will notify offerors if their white paper was selected or not selected for award. Notifications will state whether the entire white paper, or a portion of the white paper, is being recommended for award.

For each white paper selected for award, the MDA Contracting Office will contact the offeror with a request for formal proposal. MDA may make selections anytime during the BAA open period and up to six months following the closing date of this BAA for white papers submitted during the BAA open period. The request does not mean an award is assured, as availability of funds and successful negotiations are prerequisites to any award. DO NOT submit any proposal information until a request from the MDA Contracting Office is received.

When requested, a debriefing will be provided. Debriefing content may vary to be consistent with the procedures that govern BAAs.

SECTION X: ATTACHMENTS

1. OCI Analysis/Disclosure Form, DA-78-F2

2. ROM Tables (Excel worksheets)

3. Quad Chart Template

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SECTION XI: REFERENCES

A. General References:

International Traffic in Arms Regulations (ITAR) (22 CFR 120-130). See U.S. Department of

State Directorate of Defense Trade Controls website at:

https://www.pmddtc.state.gov/ddtc_public or the Electronic Code of Federal Regulations at:

https://www.ecfr.gov/cgi-bin/text-idx?tpl=/ecfrbrowse/Title22/22cfr120_main_02.tpl

Export Administration Regulations (EAR) (15 CFR 730-774). See U.S. Department of

Commerce Bureau of Industry and Security website at:

https://www.bis.doc.gov/index.php/regulations/export-administration-regulations-ear or the

Electronic Code of Federal Regulations at:

https://ecfr.federalregister.gov/current/title-15/subtitle-B/chapter-VII/subchapter-C

Department of Defense Controlled Unclassified Information Program at: https://www.dodcui.mil/

U.S. Department of Defense, Missile Defense Agency at: https://www.mda.mil

B. Procurement Contract (FAR-Based) References:

Department of Defense Instruction (DoDI) 5230.24, Distribution Statements on Technical

Documents:

https://www.esd.whs.mil/Portals/54/Documents/DD/issuances/dodi/523024p.pdf

DoD Financial Management Regulation, DoD 7000.14-R, Volume 2B, Chapter 5, Uniform

Budget and Fiscal Accounting Classification:

https://www.dtic.mil/descriptivesum/budget_activities.pdf

C. Other Transactions (OTs) References:

Office of the Under Secretary of Defense for Acquisition and Sustainment, Other Transaction

Guide, Version 1.0 dated November 2018:

https://www.dau.edu/guidebooks/Shared%20Documents/Other%20Transactions%20(OT)%20G uide.pdf

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SECTION XII: DEFINITIONS

1. “BAA is general in nature identifying areas of research interest, including criteria for selecting white papers, and soliciting the participation of all offerors capable of satisfying the

Government’s needs.” (FAR 6.102)

2. “BAAs are for the acquisition of basic and applied research and that part of development not related to the development of a specific system or hardware procurement. BAA’s may be used by agencies to fulfill their requirements for scientific study and experimentation directed toward advancing the state-of-the-art or increasing knowledge or understanding rather than focusing on a specific system or hardware solution. The BAA technique shall only be used when meaningful proposals with varying technical/scientific approaches can be reasonably anticipated.” (FAR

35.016)

3. “Basic research” means that research directed toward increasing knowledge in science. The primary aim of basic research is a fuller knowledge or understanding of the subject under study, rather than any practical application of that knowledge. (FAR 2.101)

4. Advanced Technology Development (ATD) includes concept and technology demonstrations of components and subsystems or system models. The models may be form, fit and function prototypes or scaled models that serve the same demonstration purpose. The results of this type of effort are proof of technological feasibility and assessment of subsystem and component operability and producibility rather than the development of hardware for service use. Projects in this category have a direct relevance to identified military needs.

5. “Applied Research” means the effort that:

a. normally follows basic research, but may not be severable from the related basic research;

b. attempts to determine and exploit the potential of scientific discoveries or improvements in technology, materials, processes, methods, devices, or techniques; and

c. attempts to…