FY24_BAA-Final W911NF24S0005.pdf

UNITED STATES ARMY RESEARCH INSTITUTE FOR THE

BEHAVIORAL AND SOCIAL SCIENCES (ARI)

FOUNDATIONAL SCIENCE RESEARCH UNIT (FSRU)

BROAD AGENCY ANNOUNCEMENT

FOR

BASIC SCIENTIFIC RESEARCH

W911NF24S0005

15 December 2023 – 01 July 2024

ISSUED BY:

U.S. Army Contracting Command-Aberdeen Proving Ground

Research Triangle Park Division

P. O. BOX 12211

Research Triangle Park, NC 27709-2211

TABLE OF CONTENTS

I. OVERVIEW OF THE FUNDING OPPORTUNITY:

A. Required Overview Content B. Additional Overview Information

II. DETAILED INFORMATION ABOUT THE FUNDING OPPORTUNITY:

A. PROGRAM DESCRIPTION

Scientific Problems for Basic Research Types of Proposals Basic Research Topic Areas of Interest

1. Science of Measurement of Individuals and Collectives

2. Understanding Multilevel and Organizational Dynamics

3. Formal and Informal Learning and Development

B. FEDERAL AWARD INFORMATION

1. Procurement Contract

2. Grant

3. Cooperative Agreement

4. Technology Investment Agreement (TIA)

5. Other Transaction for Research

6. Grants and cooperative agreements for institutions of higher education, nonprofit organizations, foreign organizations, and foreign public entities

7. Grants and cooperative agreements for for-profit and nonprofit organizations exempted from Subpart E - Cost Principles of 2 CFR Part 200

8. OT for Research/ TIAs are primarily governed by the following

9. The following websites may be accessed to obtain an electronic copy of the governing regulations and terms and conditions

C. ELIGIBILITY INFORMATION

1. Eligible Applicants

2. Cost Sharing or Matching

D. APPLICATION AND SUBMISSION INFORMATION

1. Address to View Broad Agency Announcement

2. Content and Form of Application Submission Section 1 – General Information Section 2 – Application Process Overview Section 3 – White Paper Preparation Section 4 – White Paper Submission Section 5 – White Paper Review Section 6 - Preparation of Proposals Section 7. Conference and Symposia Grants Section 8 – Submission of Proposals

3. Submission Dates and Times

4. Intergovernmental Review

5. Funding Restrictions

6. Other Submission Requirements

E. APPLICATION REVIEW INFORMATION

1. Criteria

2. Recipient Qualification

F. Award Administration Information

1. Award Notices

2. Administrative and National Policy Requirements

3. Reporting

G. FEDERAL AWARD AGENCY CONTACTS

H. OTHER INFORMATION

I. OVERVIEW OF THE FUNDING OPPORTUNITY

A. Required Overview Content

Agency Name:

U.S. Army Research Institute for the Behavioral and Social Sciences (ARI) Foundational Science Research Unit (FSRU)

Issuing Acquisition Office:

U.S. Army Contracting Command-Aberdeen Proving Ground, Research Triangle Park (ACC-APG-RTP) Division

Research Opportunity Title:

U.S. Army Research Institute for the Behavioral and Social Sciences Broad Agency Announcement for Basic Research (Fiscal Year 2025)

Announcement Type:

Initial Announcement

Research Opportunity Number:

W911NF24S0005

Catalog of Federal Domestic Assistance (CFDA) Number and Title:

12.431 – Basic Scientific Research

Response Dates (Submissions):

White Paper submissions must be received by: 5:00 PM/1700 Eastern Standard Time (EST) on 1 March 2024

Proposal submissions must be received by: 5:00 PM/1700 Eastern Daylight Time (EDT) on 1 July 2024

2024 Response Dates (Questions):

Questions regarding White Papers must be submitted in writing to meghan.i.huntoon.civ@army.mil by: 5:00 PM/1700 Eastern Standard Time (EST) on 14 February 2024

Questions regarding Proposals must be submitted in writing to meghan.i.huntoon.civ@army.mil by: 5:00 PM/1700 Eastern Daylight Time (EDT) on 15 June 2024

A White Paper submission is not required to submit a proposal, although it is strongly encouraged. Awards are intended to be obligated between 1 October 2024 and 30 September 2025. Amendments to this BAA will be posted to SAM.gov (https://sam.gov/content/opportunities) and http://www.Grants.gov when they occur.

Interested parties are encouraged to periodically check these websites for updates and amendments.

(End of Section) https://sam.gov/content/opportunities http://www.grants.gov/

B. Additional Overview Information

INTRODUCTION:

This Broad Agency Announcement (BAA) for the Foundational Science Research Unit (FSRU) of the U.S. Army Research Institute for the Behavioral and Social Sciences (ARI) solicits new proposals for its fiscal year 2025 program of basic research in behavioral science. It is issued under the provisions of paragraph 6.102(d) (2) and 35.016 of the Federal Acquisition Regulation (FAR), which provides 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 through the competitive selection of proposals and 10 U.S.C. 4001, 10 U.S.C. 4021, and 10 U.S.C. 4022

Proposals submitted in response to this BAA and selected for award are considered to be the result of full and open competition and in full compliance with the provisions of Public Law 98- 369, Section 2701, "The Competition in Contracting Act of 1984" and subsequent amendments.

ARI is the Army’s lead agency for the conduct of research, development, and analyses for the improvement of Army readiness and performance via research advances and applications of the behavioral and social sciences that address personnel, organization, and Soldier and leader development issues. ARI’s mission is to drive scientific innovation to enable the Army to acquire, develop, employ, and retain professional Soldiers and enhance personnel readiness. The mission of the Basic Research Program is to execute high-risk, high-reward foundational research to develop state-of-the-art theory, methods, and models to create the innovative concepts required to support the Army’s future capabilities and needs related to personnel readiness.

We strongly encourage Applicants to propose novel, state-of-the-art, and multidisciplinary approaches that address the stated primary research objectives of the topic areas. A key consideration in the decision to support a research proposal is that its findings are likely to stimulate new, basic behavioral research, which in turn, will lead to improved performance of Army personnel and their units. ARI will not support proposals through this BAA that are primarily applied research projects (e.g., human factors studies, specific-use technology development and validation, or training program evaluations) or purely focused on physiology, psychopathology, or behavioral health.

Collaboration is encouraged among institutions of higher education (IHE), non-profit organizations, and commercial organizations. Funding of basic research proposals within ARI areas of interest will be determined by funding constraints and priorities set during each budget cycle.

A proposal should describe its potential contribution(s) to theory along with potential benefits to the Army. Those contemplating submission of a proposal are strongly encouraged to submit a White Paper before submitting a proposal. Submission of a White Paper before a proposal allows earliest determination of the potential for funding and minimizes the labor and cost associated with the submission of a proposal that may have minimal probability of being selected for funding. Costs associated with preparation of a White Paper or proposal submission in response to this BAA are not considered allowable direct charges to any resulting award. These costs may be allowable expenses to normal bid and proposal indirect costs specified in FAR 31.205-18. An Applicant submitting a proposal is cautioned that only a Government Contracting or Grants Officer may obligate the Government to any legal instrument involving expenditure of Government funds.

Award decisions are subject to funds availability, and ARI may choose to not execute any award under this BAA due to unavailability of funds or other factors. Due to Government budget uncertainties,

(1) No specific dollars have been reserved for total awards under this BAA, and

(2) No award floor or ceiling thresholds have been established for individual awards under this BAA.

II. DETAILED INFORMATION ABOUT THE FUNDING OPPORTUNITY

A. PROGRAM DESCRIPTION

SCIENTIFIC PROBLEMS FOR BASIC RESEARCH:

To meet the operational objectives of the U.S. Army over the next two decades, the Army must improve its capability to acquire, develop, employ, and retain Soldiers and leaders who can individually and as part of a group:

• Prepare for and adapt quickly to dynamic missions, unpredictable operational environments, and a wide spectrum of contexts;

• Effectively function autonomously and as part of larger systems in complex, information-rich environments;

• Perform in extended, hybrid, and continuous operations;

• Interact and collaborate effectively in joint-service and multi-national operations.

ARI requests proposals to conduct basic research that will provide a scientific foundation to support these broad capabilities.

The Basic Research program focuses on three strategic areas for advancing personnel science.

1. Science of Measurement of Individuals and Collectives: Advanced psychometric theory for deriving valid measurements from complex assessments and continuous streams of data

2. Understanding Multilevel and Organizational Dynamics: Multilevel theory and methods for understanding dynamic restructuring, coordination, and composition processes in teams and complex organizations

3. Formal/Informal Learning and Development: Holistic models of individual and collective learning and development across work settings and contexts throughout the career span

To be eligible for an award under this announcement, a potential awardee must meet certain minimum standards pertaining to financial resources and responsibility, ability to comply with the performance schedule, past performance, integrity, experience, technical capabilities, operational controls, and facilities. In accordance with Federal statutes, regulations, and Department of Defense and Army policies, no person on grounds of race, color, age, sex, national origin, or disability shall be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any program or activity receiving financial assistance from the Army.

Types of Proposals

The funding opportunity is divided into three types of proposals for basic research: (1) Standard Basic Research proposals and (2) Targeted Opportunities which encompass: a) Early Career Proposals (ECP) and, b) Short-Term Innovative Research (STIR) Proposals

(both of which are for basic research also). ARI will accept all three types in response to this BAA.

1. Standard Proposals. Most basic research awards are awarded in response to Standard Proposals provided by Applicants with experienced researchers. In recent years, the most typical period of performance has been for three years, and the mean award total has been approximately $750,000. Standard Proposals may be formulated as either a complete effort or as a base effort plus option(s) that may be exercised by ARI, if initial results are promising.

2. Army Research Institute Targeted Opportunities

a. Early Career Proposals. To foster the development of innovative and creative researchers, ARI solicits proposals with primary investigators who are early in their research careers and have never received ARI funding as a Principal Investigator. All ARI evaluation criteria will be used to evaluate Early Career Proposals, except the criteria that address the experience of the Principal Investigator (see SECTION II. E) of this BAA for evaluation criteria). In all other respects, the evaluation criteria used in this BAA apply equally to both Standard and Early Career proposals. While there is no specific amount of funding set aside for these proposals, initial budgets should be modest: approximately $110K for the initial year. To be considered for the Early Career category:

i. An Investigator must specify in the Proposal Abstract and on the proposal cover page that they are requesting consideration under this funding category.

ii. Projects should be designed for one year of funding. Note that optional periods of research (one to two additional years) may be included in the proposal and may be funded should the initial work prove promising. These years should be denoted as option years in the proposal.

iii. The research must fit at least one of the stated three (3) domains of the BAA Basic Research areas of interest.

iv. The Principal Investigator must have received their Ph.D. within five years of the time of proposal submission, and not previously received funding from ARI as a Principal Investigator.

b. Short-Term Innovative Research (STIR) Proposals. The objectives of the STIR awards are to support rapid, short-term investigations to assess the merit of innovative new concepts in basic research. STIR awards provide an excellent opportunity to showcase new concepts and explore new areas in basic research. STIR awards are aimed at shaping new directions in research and the sciences. To be considered for a Short-Term Innovative Research Award:

i. An Investigator must specify in the Proposal Abstract and on the proposal cover page that they are requesting consideration under this funding category.

ii. Projects should be designed for one year of funding.

iii. The research must fit at least one of the stated three (3) domains of the BAA Basic Research areas of interest.

iv. Proposals in the amount of $60,000 or less are sought for STIR awards.

v. Capital equipment cannot be purchased under a STIR Program award.

vi. Report preparation costs must not exceed $100.

vii. A fee is not permitted under STIR Program awards as they are awarded as grants.

viii. Due to the relatively small dollar amount and short-term nature of these awards, applicants are encouraged to maximize the benefit derived from this funding by prioritizing labor and employing other cost-saving measures in support of the STIR program effort.

General Guidelines for All Proposals. Both single-investigator and collaborative research efforts are encouraged. Multidisciplinary approaches are especially encouraged to the extent that the proposal reflects the theories, models, and approaches of multiple disciplines, combined creatively to address the research problem.

Collaborative efforts may involve researchers either at a single institution or in cooperating institutions. Highly innovative proposals addressing high-risk, high-reward topics are also strongly encouraged and should include strong methodology and other risk-mitigation strategies. Theory development and/or meta-analyses that address theoretical issues in ARI research interest domains will also be considered. The use of military participants is neither necessary nor encouraged, and ARI is unlikely to arrange access to military participants to support basic research investigations.

Basic Research Topic Areas of Interest

Basic research is effort directed toward increasing knowledge and understanding in science and engineering, rather than the practical application of that knowledge and understanding. It typically is funded within Basic Research (Budget Activity 1 and Research Category 6.1). Basic Research is systematic study directed toward a fuller knowledge or understanding of the fundamental aspects of phenomena and or observable facts. Basic research aims for broad impact rather than to develop specific processes or produce for targeted applications. The ARI Foundational Science Research Unit (FSRU) manages the Basic Research Program and maintains close contact with ARI's applied scientists and other relevant agencies within the Army. These contacts help define issues that require fundamental research, ensure that the basic research program is coordinated across Services (Department of Defense), and facilitate the transition of basic research results to applied programs for eventual use by the operational Army.

All proposals will be considered; however, ARI has identified the following three (3) domains as particularly germane to its basic research needs. This list is neither comprehensive nor exclusive and ARI is especially open to proposals that combine or cut across these domains. These domains are:

1. Science of Measurement of Individuals and Collectives

2. Understanding Multilevel and Organizational Dynamics

3. Formal and Informal Learning and Development

An in-depth description of each domain follows. For additional information on these domains, and potential areas of interest, Applicants may also consult the following reports by the National Research Council of the National Academy of Science (Available at http://www.nap.edu):

• “Measuring Human Capabilities: An Agenda for Basic Research on the Assessment of Individual and Group Performance Potential for Military Accession” (2015) supervised by the Board on Behavioral, Cognitive, and Sensory Sciences

• “The Context of Military Environments: Social and Organizational Factors” (2014) supervised by the Board on Behavioral, Cognitive, and Sensory Sciences

• “Sociocultural Data to Accomplish Department of Defense Missions: Toward a Unified Social Framework: Workshop Summary” (2011) supervised by the Board on Human-System Integration

Detailed descriptions of these three broad research domains are provided below. Each domain description includes: (a) a broad overview of the relevant Army problems and goal of the research domain, (b) the primary research objective, (c) a list of sub-objectives, and (d) high-priority research questions.

1. Science of Measurement of Individuals and Collectives

The success of the U.S. Army can be largely attributed to the selection, assignment, development, and retention of highly skilled and exceptional Soldiers. To fulfill the Army People Strategy and modernization priorities for the Army and ensure continued success, the U.S. Army needs to place the right Soldier, in the right job, at the right time. To do so, the U.S. Army must continuously identify and refine the core knowledge, skills, and behaviors (KSBs) critical to Soldier success, both across the U.S. Army as a whole and within specific military occupational specialties (MOS), while also improving the ability to understand and assess Soldier effectiveness and performance.

Traditional personnel tests were designed to capture broad, diffuse constructs (e.g., cognitive ability, personality, vocational aptitudes) that aggregate individual experiences over long periods of time often in mass-testing settings (e.g., annual performance, initial training, and career continuance). More recent technological http://www.nap.edu/ advances afford observing and recording human behavior at increasingly finer-grained scales of resolution (e.g., real-time GPS coordinates, physiological sensors). Extracting meaningful psychological conclusions from such fine-grained observations has proved challenging, at least with respect to the psychometric models from which traditional personnel tests were developed.

Psychometric models and methods have advanced greatly since the advent of traditional personnel tests. Lagging, however, is adapting and refining such models and methods to better understand human behavior in organizations, particularly with respect to performance in the massively hierarchical, interdependent, and constantly fluid social situations of the environment the military operates in. Such environments are not well-represented by broad, diffuse aggregates (e.g., a single standardized test score). What are needed now, more than ever, are psychometric models and methods for quantifying meaningful patterns of human behaviors in complex social situations.

Strategic Goal. The primary goal for the Basic Research program within the Science of Measurement of Individuals and Collectives domain is to fundamentally improve psychological testing and measurement by deriving means to assess multiple constructs and increasing overall precision, understanding, and prediction of individual and collective behavior and performance. The Research Objectives of this area are:

• Psychometric Theory o Novel test theory and psychometric quantities beyond those of classical (e.g., reliability, validity) and modern (e.g., item and test information) test theory o Testing models that address variability in trait/ability expression and observed score variance (e.g., test context, test-taker motivation, or test-taker perspective) o New or refined theory related to the use of emerging technologies and algorithms (e.g., machine learning, generative AI, natural language processing) in psychological testing and measurement o Research on psychometric theory that incorporates interdisciplinary views (e.g., engineering, computer science, applied statistics)

• Novel Predictors & Criterion o New and refined predictors and criterion constructs, including innovative research on the criterion space o Investigations of how constructs of interest vary across levels, situational contexts, and temporal scopes o Research on potential interactions between constructs and how context can impact the strength of these interactions

• Improving Assessment Methods o Measurement approaches and methods for unobtrusively and efficiently observing and measuring social and behavioral processes o Innovative methods for extracting psychologically meaningful patterns from archival and high dimensional behavioral data o New and refined theory related to fairness and bias in assessment o Theoretical and methodological advancements on the use of emerging technologies (e.g., sensors and wearable technology) and novel data sources in basic research

• Time & Dynamic Relationships o Novel methods and analytic techniques for modeling change overtime o Theories that explain dynamic processes and phenomenon that incorporate both inter- and intra-individual change, including performance theories that incorporate behavioral variability across time o Measurement theory and novel construct validation models and methods that explicitly incorporate time o Research that incorporates diverse conceptualizations of time (e.g., observed, latent, discrete, continuous) and interdisciplinary perspectives on modeling time (e.g., stationary time series, state-space models)

High Priority Research Questions

1. How can we expand our understanding of the criterion space? What assessment methodology and testing models can be developed to better predict performance and effectiveness in modern organizations?

2. How can traditional and novel psychometric methods be integrated and combined to improve the testing development and construct validation process? What are the benefits and weaknesses of novel psychometric models and methods as compared to traditional testing methods?

3. How can emerging technologies and AI facilitated methods be used to enhance performance assessment and improve data scope and granularity?

What novel methods can be developed, or existing methods be adapted, to extract meaningful patterns from high dimensional behavioral data?

4. How do individuals experience and perceive change in their affective, cognitive, and behavioral experiences over time? How can between- and within-individual change be modeled in meaningful and predictive ways?

2. Understanding Multilevel and Organizational Dynamics

The Understanding Multilevel and Organizational Dynamics research focal area looks at the effects of grouping and network membership. For the Basic Research

Program, the specific scientific needs differ when the aperture is focused at the team and small group level than on the larger systems and multi-systems levels. As such, this research focal area is comprised of two sub-areas, Teams and Small Groups, and Organizations and Systems, but proposals that address both levels are welcome and encouraged.

Teams and Small Groups

Teams and small groups are the core element of the Army’s organizational structure. Historically, mission success has been contingent on many individual squads’ independent but coordinated contributions. While this important role will continue, evolving contexts and conditions will change how teams are composed, managed, and evaluated. In the future, teams will likely be more heterogeneous in composition with members representing varied capabilities, perhaps from different commands or even services. As technology progresses, some traditional team member functions may be allocated to non-human team members. In an uncertain future operating space, teams may need to be rapidly assembled or reconstituted.

Strategic Goal. The primary objective within the Understanding Multilevel and Organizational Dynamics domain at the Teams and Small Groups level, is to further science to support team assignment, development, and optimization reflective of emerging requirements and characteristics of teams. The Research Objectives of this area are:

• Advanced Composition o Novel multi-trait models of team functioning that are better predictive of team performance and capability of compensatory groupings o Systems models of composition that optimize personnel distribution to yield many good teams within multi-echelon organizations and/or multi-team systems

• Team Formation and Development o New theories on team formation and maintenance processes, with an emphasis on ad hoc and rapidly-formed teams o New models on personnel modularity in team efficacy and performance o Research on collective training versus training focused on the individual, and preparation of teams and small groups

• Dyadic and Sub-team Performance:

o New means to measure, model, and represent team constructs such as shared mental models, collective efficacy, team-specific culture, identity, and trust at the collective and individual contribution levels o Methods to study collaboration and interaction between teams in shared and distributed environments

High Priority Research Questions

1. What are the mechanisms and developmental trajectories of rapidly formed and ad hoc teams and what conditions and approaches best optimize this process? What are the determinants of team success over time? What is the relative importance of composition, continuity of membership, leader behaviors, external support / intervention?

2. How can we better understand how teams concurrently operate in and interact with multiple physical and non-physical domains of operation (e.g., immediate surroundings, distributed forces, cyber)?

3. How can trust be reinforced, repaired, or sustained among team members after the initial emergence of trust decisions and following interactions over time and changes in team composition and structure, and how does this influence team process and performance outcomes?

4. How do team culture and identity influence team goals and outcomes?

Organizations and Systems

The U.S. Army is a very large organization with approximately 450,000 active-duty, 200,000 reservist, and 325,000 National Guard personnel, and also more than 330,000 civilians (DMDC, Aug 2023). Army Forces are organized into hierarchically nested groupings from teams of four up to corps with tens of thousands of members. The Army must operate within the Department of Defense and in coordination with the other services to provide the military forces needed to deter war and ensure our nation's security. Additionally, the Army must often engage with other federal agencies and increasingly at a multi-national, coalitional level. The composition, foci, and context of all elements in these systems are always changing.

The U.S. Army is an organization that must proactively change and adapt to meet evolving requirements and conditions while maintaining its longstanding identity, culture, and traditions. Service members’ identities, characteristics, skills, and knowledge evolve as they progress through their careers. Individuals are reassigned to new teams or turnover from the organization entirely and new Soldiers enter it.

Senior leadership develops and implements new strategy, and departmental regulations and policy shift. Further, the Army is not insulated from more general societal shifts and trends. These bottom-up/emergent, top-down, and external changes may flow throughout the organization at different tempos, exerting influence within and across levels. The Army’s performance will depend on its ability to adapt and react, particularly within complex, changing operational environments.

Strategic Goal. The primary objective within the Understanding Multilevel and Organizational Dynamics domain at the Organizations and Systems level, is to identify means to leverage methods and models of organizational functioning to effect deliberate intentional sustained systemic outcomes. The Research Objectives of this area are:

• Empirically Supported Organizational Theories o Balance the organizational research space with more empirical data-driven research o Identify factors that influence effectiveness at different or multiple levels of an organization (e.g., individual, dyad, team, team of teams, organization) and their interactions across levels

• Complex Systems and Time o Develop and investigate process-oriented theory to determine the underlying mechanisms of bottom-up and top-down influences on performance o Theories on organization interventions that account for implementation at different scales, multiple levels, and over time o Interactions between complex systems and organizations could also be considered

• Organizational Culture and Identity o Inception and dissemination of organizational cultural norms and identities o Complexity-oriented and/or networks-based theory and analytics to capture the multilevel and multifactored nature of organizations, particularly those with frequent between- and within-member changes o How organizations have and project out an identity and signal values and culture

High Priority Research Questions

1. How can recent advances in measurement, modeling, and analyses of multi-teams and multi-systems be leveraged to develop and further approaches to interventions at the organizational level?

2. How do organizations build and cultivate trust from its members and at different levels and with external parties and systems? What is the relative contribution of trust in the organization and trust in team members to outcomes?

3. What mechanisms allow deliberate influence on organizational cultural norms and identities. How do organizations signal out values and culture, and how do projections interact with culture at large?

3. Formal and Informal Learning and Development

The U.S. Army is a learning organization that relies on career long growth and development of talent. Anticipated future operational environments create challenges for traditional education models and require advancement and creation of learning theories and methods that can be leveraged to meet the needs of tomorrow’s Army. The operational landscape has evolved to include irregular warfare, stability operations, and multi-domain operations across land, sea, air, space, and cyber fronts. There is significant pressure on the Army, its educational institutions, Soldiers, and leaders to identify and optimally utilize all available learning vehicles to prepare for, adapt to, and maintain readiness and combat effectiveness in a broad range of possible environments.

Developing Soldiers and leaders who are efficient lifelong and motivated adult learners is key to meeting the demands of the future. Soldiers and leaders who can learn new and complex skills quickly and effectively from both formal learning environments and informal learning environments will be valuable. Structures to support this charge must reflect the unique qualities of the adult learner. This requires a sustained focus on maximizing learning from and improving efficiency of formal learning environments, including individual or collective institutional training and technology-delivered training, as well as a focus on understanding to how to optimize informal learning environments like operational experience and self-development. Of interest is both how to guide the learner to most effectively and efficiently learn and how to structure the environment to support effective and efficient learning.

Leaders are a key multiplying and unifying element of combat power. To meet the needs of the future, the Army requires leader development models, strategies, and measures to guide the Army to grow the leadership talent needed to face future challenges. Understanding how to prepare leaders to recognize and get the most out of leader development opportunities across domains and sources is crucial to develop leaders efficiently and effectively.

Learning occurs at both the individual and the organizational level and both levels are relevant to the future needs of the Army. Understanding the mechanisms and processes that underly and facilitate both types of learning is crucial to developing well-prepared Soldiers and leaders for the demands of the future. Additionally, theories that explain the bidirectional connections between individual and collective learning will be key to understanding how to facilitate both among adult learners in complex and everchanging landscapes.

Strategic Goal. The primary goal for the Basic Research program within the Formal and Informal Learning and Development domain is to understand, support, and optimize learning and development of Soldiers and leaders through both formal learning methods, operational experience, and self-development. The Research Objectives of this area are:

• Measures and Models of Learning and Development o Measurement approaches and theory that support non-obtrusive measurement of learning and development o Measures of learning and leader development that are sensitive to the effects of context in operational settings o Measures of learning and development at both individual and collective levels that capture change in knowledge and skill development, retention, near and far transfer over time, and the underlying learning processes (e.g., motivation, engagement, self-regulation, affect) in institutional, operational, and self-development realms

• Methods for Facilitating Adult Learning and Development o Methods for encouraging leaders to recognize and capitalize on leader development opportunities o Optimizing learning strategies that promote rapid development of complex skills in variable and high stakes environments o Innovative methods for how to prepare individuals, collectives, and environments to support learning and development o Tested and validated approaches for promoting effective and efficient adult learning and career-long learning

• Models and Theories of Learning and Development o New or refined theory and models that explain the mechanism that underly both individual and collective learning to fuel individual, team, and organizational learning outcomes o Models that provide understanding of how both individual level factors, organizational factors, and environmental factors affect learning and development o Models and theories that advance understanding of self-regulated learning

High Priority Research Questions.

1. How do we structure environments and prepare individuals to be career-long learners? How do contextual factors facilitate or inhibit learning and development? What structural factors facilitate leader development in the instructional, operational, and self-development spheres?

2. What learning methods and theory can be developed to maximize individual and collective learning processes and outcomes? What theory can be developed to understand the bidirectional relationships between individual and collective learning?

3. How do we assess adult learning over time in operational and self-development realms with precision and accuracy? How do we capture contextual effects in measures of learning and development?

B. FEDERAL AWARD INFORMATION:

The Army Contracting Command- Aberdeen Proving Ground, RTP Division has the authority to award a variety of instruments on behalf of ARI. Anticipated awards will be made in the form of procurement contracts, grants, cooperative agreements and Other Transaction Agreements (OTA’s). The ACC (APG) RTP Division reserves the right to use the type of instrument most appropriate for the effort proposed. Applicants should familiarize themselves with these instrument types and the applicable regulations before submitting a proposal. The following are brief descriptions of the possible award instruments:

1. Procurement Contract: A legal instrument, which consistent with 31 U.S.C.

6303, reflects a relationship between the Federal Government and a State, a local government, or other recipient when the principal purpose of the instrument is to acquire property or services for the direct benefit or use of the Federal Government.

Procurement contracts awarded by the ACC (APG) RTP Division will contain, where appropriate, detailed special provisions concerning patent, rights in technical data and computer software, reporting requirements, equal employment opportunity, etc. No fee or profit will be allowed on travel and equipment.

Contracts are primarily governed by the following regulations:

a. Federal Acquisition Regulations (FAR)

b. Defense Federal Acquisition Regulations (DFARS)

c. Army Federal Acquisition Regulation Supplement (AFARS)

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

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

b. Substantial involvement is not expected between the Department of Defense and the recipient when carrying out the activity contemplated by the grant.

c. No fee or profit is allowed.

3. Cooperative Agreement: A legal instrument which, consistent with 31 U.S.C.

6305, is used to enter into the same kind of relationship as a grant (see definition "grant"), except that substantial involvement is expected between the Department of Defense and the recipient when carrying out the activity contemplated by the cooperative agreement. The term does not include "cooperative research and development agreements" as defined in 15 U.S.C.

3710a. No fee or profit is allowed.

4. Other Transaction for Research. A legal instrument, consistent with 10 U.S.C. 4021, which may be used for basic, applied, and advanced research projects. The research covered under this instrument cannot be duplicative of research being conducted under an existing DoD program. To the maximum extent practicable, OTs for research are to 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 an OT for research does not qualify as a “funding agreement” as defined at 37 CFR 401.2(a), the intellectual property provisions of this instrument can be negotiated to provide expanded protection to an applicant’s intellectual property. No fee or profit is allowed on OTs for research. Please refer to the Office of the Under Secretary of Defense for Acquisition and Sustainment Other Transaction Guide version

2.0 dated July 2023 for additional information. This document, along with additional other transaction agreement (OTA) resources, may be accessed at the following link: https://www.acq.osd.mil/asda/dpc/cp/policy/other-policy-areas.html

5. Grants and cooperative agreements for institutions of higher education, nonprofit organizations, foreign organizations, and foreign public entities are primarily governed by the following:

a. Federal statutes

b. Federal regulations

c. 2 CFR Part 200

d. 2 CFR 1104

e. 32 CFR Parts 21, 22, 26, and 28

f. DoD Research and Development General Terms and Conditions

g. Agency-specific Research Terms and Conditions

6. Grants and cooperative agreements for for-profit and nonprofit organizations exempted from Subpart E - Cost Principles of 2 CFR Part 200, are primarily governed by the following:

a. Federal statutes

b. Federal regulations

c. 32 CFR Part 34 - Administrative Requirements for Grants and

Agreements with For-Profit Organizations

d. 32 CFR Parts 21, 22, 26, and 28

e. DoD Research and Development General Terms and Conditions

f. Agency-specific Research Terms and Conditions

7. OT for Research are primarily governed by the following:

https://www.acq.osd.mil/asda/dpc/cp/policy/other-policy-areas.html

a. Federal statutes

b. Federal regulations

c. DoD Research and Development General Terms and Conditions

d. Agency-specific Research Terms and Conditions

e. Office of Secretary of Defense implementation guidance titled Other

Transactions (OT) Guide for Research Projects (July 2023, Version 2)

8. The following websites may be accessed to obtain an electronic copy of the governing regulations and terms and conditions:

• FAR, DFARS, and AFARS: https://www.acquisition.gov

• Code of Federal Regulations (CFR): http://www.ecfr.gov

• DoD Research and Development General Terms and Conditions:

https://www.nre.navy.mil/work-with-us/manage-your-award/manage-grant-award/grants-terms-conditions

• Agency-specific Research Terms and Conditions:

https://arl.devcom.army.mil/resources/baa-forms/#terms-and-conditions https://www.acquisition.gov/ http://www.ecfr.gov/ https://www.nre.navy.mil/work-with-us/manage-your-award/manage-grant-award/grants-terms-conditions https://www.nre.navy.mil/work-with-us/manage-your-award/manage-grant-award/grants-terms-conditions https://arl.devcom.army.mil/resources/baa-forms/#terms-and-conditions

C. ELIGIBILITY INFORMATION:

1. Eligible Applicants:

Proposals are sought from institutions of higher education, non-profit organizations, and commercial entities, domestic or foreign, for research and development (R&D) in those areas specified in SECTION II. A of this BAA. Foreign owned, controlled, or influenced organizations are advised that security restrictions may apply that could preclude their participation in these efforts. Countries included on the U.S. State Department List of Countries that Support Terrorism are excluded from participation in these efforts.

Government Laboratories, Federal Funded Research and Development Centers (FFRDCs), and U.S. Service Academies are not eligible to participate as prime Contractors or Recipients under this BAA. If a proposal selected for award includes the involvement of a Government laboratory, Federally Funded Research and Development Center, or U.S. Service Academy, award funds allocated for the involvement of Government laboratories, FFRDCs, and/or U.S. Service Academies will be directly provided from ARI to the respective Government laboratory, FFRDC or U.S. Service Academy via a Military Interdepartmental Purchase Request (MIPR). No award funds will be channeled directly from a prime awardee (e.g., Contractor or Recipient) to a Government laboratory, FFRDC, or U.S. Service Academy.

2. Cost Sharing or Matching:

Generally, there is no requirement for cost sharing, matching, or cost participation to be eligible for award under this BAA. Cost sharing and matching is not an evaluation factor used under this BAA. Exceptions may exist if the applicant is proposing the use of an OT for Research. Cost-sharing requirements may be found at 32 CFR Part 37 and in the DoD Other Transaction Guide.

(https://www.acq.osd.mil/asda/dpc/cp/policy/other-policy-areas.html) Applicants are encouraged to consider cost sharing schemes in cooperation with ARI.

D. APPLICATION AND SUBMISSION INFORMATION:

1. Address to View Broad Agency Announcement:

Grants.gov (www.grants.gov) Contract Opportunities (sam.gov)

2. Content and Form of Application Submission:

Section 1 – General Information

Completeness of Information: Proposals must include all of the information specified in this BAA to prevent delays in evaluation. Be sure to specify the Commercial and Government Entity (CAGE Code), the Unique Entity ID (UEI) Number, and the Taxpayer Identification Number (TIN) with your submission. Completion of the Representations and Certifications as well as registration in the System for Award Management (SAM) are prerequisites before receiving an award.

Classified Submissions: Do not submit any proposals that include classified information. ACC-APG-RTP is not allowed to accept classified submissions.

Use of Color in Proposals: All proposals received will be stored as electronic images.

Electronic color images require a significantly larger amount of storage space than black- and-white images. As a result, use of color in proposals should be used only when necessary to convey specific information.

Government Property/Government Furnished Equipment and Facilities: Normally, title to equipment or other tangible property purchased with Government funds vests with nonprofit institutions of higher education or with nonprofit organizations whose primary purpose is conducting scientific research if vesting will facilitate scientific research performed for the Government. For-profit organizations are expected to possess the necessary plant and equipment to conduct the proposed research.

Deviations may be made on a case-by-case basis to allow for-profit organizations to purchase equipment but regulatory disposition instructions must be followed.

Post-Employment Conflict of Interest: There are certain post-employment restrictions on former Federal officers and employees, including special Government employees (Section 207 of Title 18, U.S.C.). If an Applicant believes a conflict of interest may exist, the Applicant should discuss the situation with the Army legal counsel, Mr. Brian Bentley, (571) 256-7844, brian.e.bentley2.civ@army.mil, prior to expending time and effort in preparing a proposal.

Statement of Disclosure Preference: Please complete Form 52 or 52A stating your preference for release of information contained in your proposal. Copies of these forms are available at http://www.arl.army.mil/www/default.cfm?page=218. Additionally, proposals containing data that is not to be disclosed to the public for any purpose or used by the Government except for evaluation purposes shall include the following statement on their cover page:

http://www.arl.army.mil/www/default.cfm?page=218

This proposal includes data that shall not be disclosed outside the Government and shall not be duplicated, used, or disclosed, in whole or in part, for any purpose other than to evaluate this proposal. If, however, an award is made to this Applicant as a result of, or in connection with, the submission of this data, the Government shall have the right to duplicate, use, or disclose the data to the extent provided in the resulting award. This restriction does not limit the Government's right to use information contained in this proposal if the information has been obtained from another source without restriction.

The data subject to this restriction are contained in sheets .

The Applicant shall also mark each sheet of data it wants to restrict with the following legend:

“Use or disclosure of data contained on this sheet is subject to the restriction on the title page of this proposal.”

Section 2 – Application Process Overview

The application process is in three stages as follows:

Stage 1- Provide a valid unique entity identifier (formerly DUNS) in its application.

More information on the DUNS to Unique Entity ID (SAM) Transition can be found at https://sam.gov/content/duns-uei. Prospective Applicants must be registered in SAM at https://www.sam.gov prior to submitting its application. (iii) Maintain an active SAM registration with current information at all times during which it has an active Federal award or an application or plan under consideration by a Federal awarding agency.

Stage 2 - Prospective Applicants are strongly encouraged, but not required, to submit White Papers prior to the submission of a complete proposal. The purpose of submitting a White Paper is to minimize the labor and cost associated with the production of a detailed proposal that has little chance of being selected for funding.

Stage 3 - Interested Applicants are required to submit a proposal. All proposals submitted under the terms and conditions cited in this BAA will be reviewed regardless of whether an Applicant submitted a White Paper.

Section 3 – White Paper Preparation

A White Paper should focus on describing details of the proposed research, including how it is innovative and how it could substantially advance the state of the science.

Army relevance and potential impact should also be described, as well as an estimate of total cost.

White Papers should present the effort in sufficient detail to allow evaluation of the concept's technical merit and its potential contributions to the Army mission.

White Paper Format Requirements:

• Page size: 8.5 x 11 inch https://sam.gov/content/duns-uei

• Margins: 1 inch

• Spacing: Single-spaced

• Font: 12-point Times New Roman

• Number of Pages: No more than five (5) (excluding cover page and Key Personnel Biographical Information addendum – see White Paper content for details)

• All files and forms must be compiled into a single MS Word or PDF file

White Paper Content Requirements:

• Cover Page: Include all the information below o ARI FSRU BAA W911NF24S0005 White Paper o Title o PI Name/Co-PI Name(s) o Institution o Email Address of PI o Telephone Number of PI o Research Topic Area(s) of Interest o Proposed Cost o Intention to seek Early Career or Short-Term Innovative Research

Award

• Technical Approach: A detailed discussion of the effort's scientific research objectives, approach, level of effort, and estimated total cost; include the nature and extent of the anticipated results, and if known, the manner in which the work will contribute to the accomplishment of the ARI's mission.

• Requests for Government Support: The type of support, if any that the Applicant requests of the Government (such as facilities,…