FY24 NAWCAD OFFICE-WIDE N00421-24-S-0001_21Jun24.pdf

NAVAL AIR WARFARE CENTER AIRCRAFT DIVISION

OFFICE-WIDE BROAD AGENCY ANNOUNCEMENT

(BAA)

N00421-24-S-0001

June 21, 2024

TABLE OF CONTENTS

I. OVERVIEW INFORMATION

A. Required Overview Content

1. Federal Awarding Agency Name

2. Funding Opportunity Title

3. Announcement Type

4. Funding Opportunity Number

5. Assistance Listings

6. Key Dates

7. North American Industry Classification System (NAICS)

Code

II. FULL TEXT OF ANNOUNCEMENT

A. Program Description B. Federal Award Information

1. Awards

2. Contracted Fundamental Research

3. Disclosure of Information and Compliance with

Safeguarding Covered Defense Information Controls

4. Controlled Unclassified Information (CUI) on Non-DoD

Information Systems

5. Funded Amount and Period of Performance

6. Instrument Type

7. Assistance Instruments

C. Eligibility Information

1. Eligible Applicants

2. Cost Sharing or Matching

D. Application and Submission Information

1. Address to Request (Access) Application Package

2. Content and Form of Application Submission

3. Unique Entity Identifier (UEI) and System for Award

Management (SAM) E. Application Review Information

1. Evaluation Criteria

2. Review and Selection Process

3. Recipient Qualification

F. Federal Award Administration Information

1. Administrative and National Policy Requirements

2. Reporting G. Federal Awarding Agency Contacts

1. Communications

III. APPENDICES

1. Requirements Applicable to Grants and Cooperative Agreements

2. Requirements Applicable to Contracts

3. Requirements Applicable to Other Transaction Agreements

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I. OVERVIEW INFORMATION

This publication constitutes a Broad Agency Announcement (BAA) for awards by the Naval Air Warfare Center Aircraft Division (NAWCAD) Enterprise Procurement Support Division, (A2161000) as contemplated in Federal Acquisition Regulation (FAR) 6.102(d)(2) and 35.016, DFARS 235.016, 2 CFR § 200.203, and Department of Defense (DoD) Other Transaction (OT) Guide, July 2023. Negotiations and/or awards for contracts will use procedures under FAR 15.4;

negotiations and/or awards for grants and cooperative agreements will use procedures at 2 CFR § 200.203; and negotiations and/or awards for OTs will use procedures at 10 United States Code (U.S.C) § 4021 and 4022. Compliant and relevant proposals received as a result of this BAA shall be evaluated in accordance with the evaluation criteria specified herein through a scientific review process. A formal Request for Proposals (RFP), solicitation, and/or additional information regarding this announcement will not be issued.

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

This BAA is restricted to the acquisition of basic research, applied research, advanced technology development, and advanced component development and prototypes intended for scientific study and experimentation directed towards advancing the state-of-the-art or increasing knowledge or understanding, as regulated by FAR 35.016 and DFARS 235.016. Additionally, this BAA will accommodate an OT for prototype project, provided it is directly relevant to enhancing the mission effectiveness of personnel of the Department of Defense or improving platforms, systems, components, or materials proposed to be acquired or developed by the Department of Defense, or to improvement of platforms, systems, components, or materials in use by the armed forces, in accordance with 10 U.S.C § 4022(a)(2). This BAA is not for the acquisition of technical, engineering, and other types of support services.

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A. Required Overview Content

1. Federal Awarding Agency Name

Naval Air Warfare Center Aircraft Division (NAWCAD) 21983 Bundy Road, Building 441 Patuxent River, MD 20670

2. Funding Opportunity Title

Projects in Support of Naval Aviation

3. Announcement Type

Initial Announcement

4. Funding Opportunity Number

N00421-24-S-0001

5. Assistance Listing:

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

6. Key Dates

This announcement will remain open through June 20, 2025, 5:00 PM Eastern Time; White Papers may be submitted at any time during this open period.

7. North American Industry Classification System (NAICS) code

The NAICS code under this announcement are:

541713, Research and Development in Nanotechnology 541714, Research and Development in Biotechnology (except

Nanobiotechnology) 541715, Research and Development in the Physical, Engineering, and

Life Sciences (except Nanotechnology and Biotechnology)

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II. FULL TEXT OF ANNOUNCEMENT

A. Program Description

THIS ANNOUNCEMENT IS NOT FOR THE ACQUISITION OF TECHNICAL,

ENGINEERING AND OTHER TYPES OF SUPPORT SERVICES

The Naval Air Warfare Center Aircraft Division (NAWCAD) is interested in receiving white papers for research and development projects, which offer potential for advancement and improvement of NAWCAD operations.

All interested parties should note that this announcement is to declare NAWCAD’s broad role in competitive funding of meritorious research across a spectrum of science and engineering disciplines.

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

Aeromechanics. Areas of research include but are not limited to the following:

aerodynamic and flight controls (manned and unmanned), aeromechanics modeling and analysis tools, flight performance, rotorcraft aerodynamics and performance, ship/aircraft aerodynamic interactions, and unmanned aviation and integration including pilot augmentation and automation and UAV autonomous landing flight mechanics.

Artificial Intelligence (AI) / Machine Learning (ML) (Priority). Areas of research include but are not limited to the following: Autonomous system development, testing, evaluation, verification and validation tools, airworthiness and risk quantification/acceptance, collaborative autonomy, complex reasoning, multi-agent based operation and decision making, airspace integration including sense and avoid algorithms, deep reinforcement learning, neural networks, and demand forecasting.

Avionics, Sensors & Electronic Warfare: Areas of research include but are not limited to the following: passive/active sensor systems (RF, EO/IR, and acoustic), advanced/alternative precision navigation and timing (PNT), advanced computational/open system architectures, advanced signal and image processing, flight information and control systems, and advanced concepts in electronic warfare systems.

Cyber (Priority). Areas of research may include but are not limited to the following:

cyber effects modeling, reverse engineering, behavioral analysis, intrusion, adaptive cybersecurity, simulation and interface research, concolic testing and systems configuration management.

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Data Science & Visualization. Areas of research include but are not limited to the following: predictive modeling algorithms, complex big-data environments, data access, storage and retrieval, data visualization techniques, risk assessment and uncertainty quantification, and statistical analysis.

Digital Engineering (Priority). Areas of research include but are not limited to the following: advancements in the use of Digital Twin technology and concepts to support predictive maintenance, automated sustainment environment, diagnostics and prognostics, predictive maintenance, digital communication of system requirements using model-based systems engineering (MBSE)/Systems Modeling Language (SysML) views, engineering models and virtual environments to test designs across broader parameters than what live testing permits

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

human performance assessment and modeling, cognitive performance/workload, human-machine interface/teaming, protective equipment, controls and displays, ergonomics, anthropomorphic measurement, virtual environments, and human factor engineering (social, behavioral, health, and cultural).

Hypersonic Systems (Priority). Areas of research include but are not limited to the following: external and internal high-speed aerodynamic, multi-physic modeling and simulation, hypersonic system testing and evaluation, high temperature and specific strength materials, structures and coatings, guidance, navigation and control and advanced air-breathing propulsion.

Materials and Aircraft Structures. Areas of research include but are not limited to the following: additive manufacturing, corrosion prevention, non-destructive inspection, structural repair and repair processes for metals and ceramics, polymers and composites, analysis and simulation of aircraft structures, structural mechanics, fouling, low observable, high temperature material, low temperature icing resistant and life management of airframes.

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

fire and ice protection for aviation systems, fuel containment, hydraulic systems, pneumatic systems and landing gear systems analysis.

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

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Quantum (Priority). Areas of research may include but are not limited to the following: secure communication and sensing capabilities, nitrogen vacancy diamond sensing, quantum encryption and quantum computing.

Secure Communications & Networks (Priority): Areas of research include but are not limited to the following: resilient data and communications networks for Command and Control, architecture, analysis and software development, information assurance including blockchain networks and security, platform/system health monitoring, effective data transfer of both communications and video and integration of security end to end in software development, all with consideration for autonomous applications, while performing in dynamic and contested environments.

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

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

Test and Evaluation Engineering. Areas of research include but are not limited to the following: telemetry, communications, data links and data acquisition, signature technologies, mission system testing, system of systems testing environments, virtual reality (VR), augmented reality (AR), extended reality (XR), target engineering, airborne threat simulation, integrated battle‐space simulation (Live Virtual Constructive Environments), hardware‐in‐the‐loop testing, flight instrumentation, ground radar analysis, test article configuration, navigation, and identification, manned-unmanned teaming, advance training systems to include instructional techniques and strategies, and game-based training.

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

operational suitability, signal extraction, clutter reduction, modeling and simulation, maritime effectiveness, vulnerability and capability based assessment, and conceptual aircraft design.

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

B. Federal Award Information

1. Awards

Multiple awards are anticipated. The level of funding for individual awards made under this BAA has not been predetermined and will depend on the quality of the white papers

Page | 6 received and the availability of funds. Awards will be made to proposers whose white papers are determined to be the most advantageous to the Government, all factors considered, including the potential contributions of the proposed work, overall funding strategy, and availability of funding.

The Government reserves the right to:

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

make awards without discussions with proposers;

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

segregate portions of the resulting awards into pre-priced options accept proposals in their entirety or to select only portions of proposals for award;

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

request additional documentation once the award instrument has been determined

(e.g., representations and certifications); and remove proposers from award consideration should the parties fail to reach agreement on award terms within a reasonable time or the proposer fails to provide requested additional information in a timely manner

Proposals selected for negotiation may result in a procurement contract, grant, cooperative agreement, or other transaction (OT) agreement depending upon the nature of the work proposed, the required degree of interaction between parties, whether or not the research is classified as Fundamental Research, and other factors.

Proposers looking for innovative, commercial-like contractual arrangements are encouraged to consider requesting OT agreements. In accordance with 10 U.S.C. § 4022(f), the Government may award a follow-on production contract or OT agreement subsequent, without the use of competitive procedures, to a prototype OT awarded under this BAA if: (1) competitive procedures were used for the selection of parties for participation in the transaction; and (2) the participants in the transaction successfully completed the prototype project provided for in the transaction.

In all cases, the Government contracting officer shall have sole discretion to select award instrument type, regardless of instrument type proposed, and to negotiate all instrument terms and conditions with proposers. NAWCAD will apply publication or other restrictions, as necessary, if it determines that the research resulting from the proposed effort will present a high likelihood of disclosing performance characteristics of military systems or manufacturing technologies that are unique and critical to defense. Any award resulting from such a determination will include a requirement for NAWCAD permission before publishing any information or results on the program. For more information on publication restrictions, see the section below on Contracted Fundamental Research.

2. Contracted Fundamental Research

With regard to any restrictions on the conduct or outcome of work funded under this BAA, NAWCAD will follow the guidance on and definition of “contracted fundamental

Page | 7 research” as provided in the Under Secretary of Defense (Acquisition, Technology and Logistics) Memorandum of 24 May 2010.

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

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

b) funded by Budget Activity 3 (Advanced Technology Development) or c) funded by Budget Activity 4 (Advanced Component Development and Prototypes) does not meet the definition of “contracted fundamental research.” In conformance with the USD (AT&L) guidance and National Security Decision Directive 189, NAWCAD will place no restriction on the conduct or reporting of unclassified “contracted fundamental research,” except as otherwise required by statute, regulation or executive order.

For certain research projects, it may be possible that although the research to be performed by a proposer is non-fundamental research, its proposed subawardee’s effort may be fundamental research. It is also possible that the research performed by a potential proposer is fundamental research whiles its proposed subawardee’s effort may be non-fundamental research. In all cases, it is the proposer’s responsibility to explain in its proposal, which proposed efforts are fundamental research and why the proposed efforts should be considered fundamental research. While proposers should clearly explain the intended results of their research, the Government shall have sole discretion to determine whether the proposed research is considered fundamental and to select the award instrument type and to negotiate all instrument terms and conditions with proposers.

Appropriate language will be included in resultant awards for non-fundamental research to prescribe publication requirements and other restrictions, as appropriate.

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

3. Disclosure of Information and Compliance with Safeguarding Covered Defense Information Controls

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The following provisions and clauses apply to all contracts awarded under this BAA;

however, the definition of “controlled technical information” clearly exempts work considered fundamental research and therefore, even though included in the contract, will not apply if the work is fundamental research.

DFARS Clause 252.204-7000, “Disclosure of Information” DFARS Clause 252.204-7008, “Compliance with Safeguarding Covered Defense Information Controls” DFARS Clause 252.204-7012, “Safeguarding Covered Defense Information and Cyber Incident Reporting (DEVIATION 2024-O0013)”

Compliance with the above requirements include the mandate for proposers to implement the security requirements specified by National Institute of Standards and Technology (NIST) Special Publication (SP) 800-171 Revision 3, “Protecting Controlled Unclassified Information in Nonfederal Information Systems and Organizations,” (see https://nvlpubs.nist.gov/nistpubs/SpecialPublications/NIST.SP.800-171r3.pdf), that are in effect at the time this BAA is issued.

For awards where the work is considered fundamental research, the proposer will not have to implement the aforementioned requirements and safeguards. However, should the nature of the work change during performance of the award, work not considered fundamental research will be subject to these requirements and any security classification requirements.

4. Controlled Unclassified Information (CUI) on Non-DoD information System

In addition to classified information, certain types of unclassified information also require application of access and distribution controls and protective measures for a variety of reasons. This information is referred to collectively as Controlled Unclassified Information (CUI). DoD CUI is government-created or owned information based on laws, regulation, or government-wide policy. DoD CUI Categories are located at https://www.dodcui.mil/. For further information consult DoD Instruction (DoDI) 5200.48, “Controlled Unclassified Information” and website listed above.

All non-DoD entities under contract or agreement with NAWCAD are expected to adhere to the following procedural safeguards, in addition to any other relevant federal or DoD specific procedures:

Do not process NAWCAD CUI on publicly available computers or post NAWCAD CUI to publicly available webpages or websites that have access limited only by domain or Internet protocol restriction.

Ensure that all NAWCAD CUI is protected by a physical or electronic barrier when not under direct individual control of an authorized user and limit the transfer of NAWCAD CUI to subcontractors or teaming partners with a need to know and commitment to this level of protection.

Ensure that all NAWCAD CUI is only processed on information technology systems meeting NIST SP 800-171 or DoDI 8582.01 requirements.

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Ensure that NAWCAD CUI on mobile computing devices is identified and encrypted and all communications on mobile devices or through wireless connections are protected and encrypted.

All wireless telephone transmission of CUI will be avoided when there are other options available.

Sanitize or destroy media containing CUI before disposal or release for reuse in accordance with NIST SP 800-88 and DoDI 5200.48.

Questions regarding CUI should contact the NAWCAD Security at NAWCAD_INDUSEC@us.navy.mil.

5. Funded Amount and Period of Performance

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

For informational purposes, assistance instruments funded through the NAWCAD Strategic Education Office (SEO Seed Grants), historically consist of funding profile ranges of approximately $160,000.00 - $200,000.00, with an approximate period of performance of 24 months.

6. Instrument Type(s) -

Awards may take the form of contracts, grants, cooperative agreements, or OT agreements, as appropriate.

The following provides brief descriptions of potential instrument types:

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

b. Assistance Instruments.

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

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

• In which substantial involvement is not expected between the Federal

Government and the recipient when carrying out the activity contemplated

Page | 10 by the grant.

• No fee or profit is allowed.

ii. 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, except that substantial involvement is expected between the Federal Government:

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

• In which substantial involvement is expected between the Federal

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

• No fee or profit is allowed.

c. Other Transaction (OT) Agreement for Research. A legal instrument, consistent with 10 U.S.C. § 4021, which may be used for basic, applied, and advanced research projects. To the maximum extent practicable, an OT agreement for research shall provide for a 50/50 cost share between the Government and the performer. The effort covered under an OT agreement for Research shall not be duplicative of effort being conducted under an existing DoD program. Please refer to the Office of the Under Secretary of Defense for Acquisition and Sustainment “Other Transaction Guide,” version 2.0, dated July 2023, for additional information.

d. Other Transaction (OT) Agreement for Prototype: A legal instrument, consistent with 10 U.S.C. § 4022, which may be used when the use of a contract, grant, or cooperative agreement is not feasible or appropriate for prototype projects directly relevant to enhancing the mission effectiveness of personnel of the Department of Defense or improving platforms, systems, components, or materials proposed to be acquired or developed by the Department of Defense, or to improvement of platforms, systems, components, or materials in use by the armed forces. The effort covered under an OT agreement for Prototype shall not be duplicative of effort being conducted under an existing DoD program. Please refer to the Office of the Under Secretary of Defense for Acquisition “Other Transactions Guide,” version 2.0, dated July 2023, for additional information.

7. Assistance Instruments

Any assistance instrument awarded under this announcement will be governed by the award terms and conditions that conform to DoD’s implementation of OMB guidance in

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2 CFR Part 200, “Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards.” The DoD Terms and Conditions are located at https://www.nre.navy.mil/work-with-us/manage-your-award/manage-grant-award/grants-terms-conditions.

C. Eligibility Information

1. Eligible Applicants

a. All responsible sources capable of satisfying the Government’s needs, including academia (colleges and universities); businesses (large, small, small disadvantaged, etc.); other organizations (including non-profit); and entities (foreign and domestic) may submit proposals under this BAA. Historically Black Colleges and Universities (HBCUs) and Minority Institutions (MIs) are encouraged to submit white papers and join others in submitting white papers. However, no portion of this BAA will be set aside for Small Business or other socio-economic participation. All businesses, both small and large, are encouraged to submit white papers and compete for funding consideration.

b. Non-traditional defense contractors, as defined in 10 U.S.C. § 3014, in addition to traditional defense contractors. For these non-traditional defense contractors, NAWCAD can use statutory authorities to employ award mechanisms that allow commercial companies to continue using their internal business processes and permits flexibility in negotiating most terms and conditions in any resultant agreement. OTs for Prototypes, for example, could be used when the main focus of the agreement is to create a prototype that the Government may acquire, even when significant research is necessary to create the prototype. NAWCAD has wide latitude to use this authority, but it has a statutory requirement that the proposer’s team needs to either have at least one “non-traditional defense contractor” (an entity that has not had $50 million or more in defense contracts with the Government in the last year) or to cost share one-third of the project’s costs, unless higher level approval is obtained in accordance with the 10 U.S.C. § 4022(d) statute.

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

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

e. University Affiliated Research Centers (UARCs) are eligible to submit white

Page | 12 papers under this BAA unless precluded from doing so by their Department of Defense UARC contract.

f. Non-U.S. organizations and/or individuals may participate to the extent that such participants comply with any necessary nondisclosure agreements, security regulations, export control laws, and other governing statues applicable under the circumstances.

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

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

2. Cost Sharing or Matching – Cost sharing is not required; however, it will be carefully considered where there is an applicable statutory condition relating to the selected funding instrument (e.g., OT Agreement for Research under the authority of 10 U.S.C. § 4021, OT Agreement for Prototype under the authority of 10 U.S.C. § 4022).

D. Application and Submission Information

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

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

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

2. Content and Form of Application Submission

a. General Information

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

PHASE I – White Paper

White Papers may be submitted at any time up until June 20, 2025, 5:00 PM Eastern time. If a proposer does not submit a white paper before the specified due date and time, it is not eligible for invitation to Phase II, Full Technical/Cost Proposal submission, and, therefore, is not eligible for funding.

Proposers are instructed to submit White Papers only for actual technologies within the areas of interest in Part II Section A, Program Description. Each white paper should state that it is submitted in response to this BAA and cite the particular Research Opportunity Area of Interest that the white paper is specifically addressing. If addressing more than one Research Opportunity Area of Interest, then separate

Page | 13 standalone white paper submissions shall be required. White papers with general responses to multiple areas of interest will be determined to be non-compliant and will not be further considered.

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

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

Only proposers whose PHASE I - White Paper is considered of interest in meeting existing or future program requirements will be contacted to submit a PHASE II – Full Technical/Cost Proposal. NAWCAD will not respond to every White Paper received.

If no request for a Phase II proposal is received, do not submit a Full Technical/Cost Proposal. Request for submission of a Full Technical/Cost Proposal does not guarantee an award.

All proposal submissions will be protected from unauthorized disclosure in accordance with FAR Subpart 15.207, applicable law, and DoD/DoN regulations. Proposers are responsible for clearly identifying proprietary information. Submissions containing proprietary information must have the cover page and each page containing such information clearly marked with a label such as “Proprietary.” NOTE: “Confidential” is a classification marking used to control the dissemination of U.S. Government National Security Information as dictated in Executive Order 13526 and should not be used to identify proprietary business information.

b. Submission of Unclassified and Classified White Papers

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

Submission of CLASSIFIED White Papers are NOT authorized under this BAA.

c. White Paper Requirements.

i. White Paper Format

Written in English Paper Size – 8.5 x 11 inch paper Margins – 1 inch Spacing –single-spaced Font – Times New Roman or Calibri, 12 point Page limit– 3 pages, exclusive of cover page

ii. White Paper Submission. E-mail submission is required (per the instructions

Page | 14 below). The white paper must be Microsoft Word compatible or PDF format attachment to the email. There is an email size limit of 5MB per email.

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

Coordinator to the respective inbox (DO NOT SEND TO BOTH INBOXES). White paper submissions submitted to the inappropriate email address will not be reviewed:

o Academia (college and universities) shall submit white papers under this BAA to: NAWCAD-Academia-BAA@us.navy.mil o All others, including businesses (large, small, small disadvantaged, etc.), other organizations (including non-profit), and entities (foreign and domestic) shall submit white papers under this BAA to: NAWCAD-Industry-BAA@us.navy.mil

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

N00421-24-S-0001 and list the applicable Research Opportunity Area of Interest.

Do not send ZIP files or password protected files.

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

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

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

• Future Naval Relevance: A description of the potential contributions of the proposed effort and the relevancy to the NAWCAD and Department of Navy mission.

• Rough Order of Magnitude cost estimate

Period of Performance

OPTIONAL

o Navy Lead, if known: Provide the name, organizational code, and phone number of the Navy Lead. This is not required for a compliant submission; leave this entry blank if Navy Lead is not known.

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d. Full Proposal Instructions:

i. Requirements Applicable to Grants and Cooperative Agreements; see

Appendix 1

ii. Requirements Applicable to Contracts; see Appendix 2

iii. Requirements Applicable to Other Transaction Agreements; see

Appendix 3

3. Unique Entity Identifier and System for Award Management

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

a. Be registered in SAM prior to submission;

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

c. Provide its Unique Entity ID (generated by SAM.gov) in each application or proposal it submits to the agency.

Proposals will not be accepted through Grants.gov or other methods unless the entity is registered in SAM. Registration in SAM includes Representations and Certifications and Responsibility and Qualification reporting. SAM may be accessed at https://sam.gov/.

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

E. Application Review Information

1. Evaluation Criteria

Proposals will be evaluated using the following criteria:

1) Technical Approach:

This criterion rates the degree to which the proposed technical approach is innovative, feasible, achievable, and complete. The proposed technical team has the expertise and experiences to accomplish the proposed tasks. The task descriptions and associated technical elements provided are complete and in a logical sequence with all proposed deliverables clearly defined such that a final outcome that achieves the goal is likely as a result of award. The proposal identifies major technical risks, clearly defines feasible risk mitigation efforts, and outlines anticipated schedule.

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2) Potential Contribution and Relevance to the NAWCAD Mission:

This criterion rates the degree to which the potential contributions of the proposed effort are relevant to the NAWCAD and Department of the Navy mission. This includes considering the extent to which any proposed intellectual property restrictions will potentially impact the Government’s ability to transition the technology.

3) Cost:

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

Criteria 1, 2, and 3 are equally important.

2. Review and Selection Process

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

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

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

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

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

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

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b. Options

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

c. Evaluation Panel

Government subject matter experts will determine the interest in PHASE I - White Papers and perform the evaluation of the invited PHASE II – Full Technical/Cost Proposals received at NAWCAD. Subject to the restrictions set forth in FAR 37.203(d), input on technical aspects of the proposals may be solicited by NAWCAD from non- Government consultants/experts who are strictly bound by appropriate non-disclosure requirements. In many cases, the Government subject matter experts will participate in an awarded project as a Navy Lead with the responsibility of guiding, coordinating, and executing efforts in support of the project.

Technical and cost proposals submitted under this BAA will be protected from unauthorized disclosure in accordance with FAR 2.101, FAR 3.104-4, and FAR 15.207, 10 U.S.C. § 4021(i), or 10 U.S.C. § 4022(h), as applicable.

3. Recipient Qualifications

a. Requirements Applicable to Grants and Cooperative Agreements; see Appendix

b. Requirements Applicable to Contracts; see Appendix 2

c. Requirements Applicable to Other Transaction Agreements; see Appendix 3

F. Federal Award Administration Information

1. Administrative and National Policy Requirements

Intellectual Property

Proposers should note that the Government does not own the intellectual property of technical data/computer software developed under Government contracts; it acquires the right to use the technical data/computer software. Regardless of the scope of the Government’s rights, performers may freely use their same data/software for their own commercial purposes (unless restricted by U.S. export control laws or security classification).

Therefore, technical data and computer software developed under this BAA will remain the property of the performers, though NAWCAD desires to have a minimum of Government Purpose Rights (GPR) to noncommercial technical data/computer software developed through NAWCAD sponsorship.

NAWCAD will emphasize creating and leveraging upon open source technology and architecture. Intellectual property rights asserted by proposers are strongly encouraged to be aligned with open source/open architecture regimes.

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Proposers expecting to use, but not to deliver, commercial open source tools or other materials in implementing their approach may be required to indemnify the Government against legal liability arising from such use.

All references to “Unlimited Rights” or Government Purpose Rights” are intended to refer to the definitions of those as set for in DFARS Part 227.

Export Control Laws

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

Additional information regarding the President's Export Control Reform Initiative can be found at https://www.export.gov/article2?id=Export-Control-Reform-ECR.

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

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

Security Classification:

In order to facilitate intra-program collaboration and technology transfer, the Government will attempt to enable technology developers to work at the unclassified level to the maximum extent possible. If access to government CUI or classified material will be required at any point during performance, the proposer must coordinate with the Government Technical Point of Contact, Contracting Officer, and Industrial Security Representative.

If it is determined that access to government CUI will be required during the performance of an award, the Technical Point of Contract, Contracting Officer, and Industrial Security representative will provide security protocols and requirements.

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

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

Requirements Concerning Live Organisms:

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

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

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

https://mrdc.health.mil/index.cfm/collaborate/research_protections/acuro.

b) Use of Human Subjects in Research: Proposers must protect the rights and welfare of individuals who participate as human subjects in research under this award and comply with the requirements of the Common Rule at 32 CFR part 219 and applicable provisions of DoDI 3216.02, Protection of Human Subjects and Adherence to Ethical Standards in DoD-Supported Research (2022), the DON implementation of the human research protection program contained in SECNAVINST 3900.39E (or its replacement), 10 U.S.C § 980 “Limitation on Use of Humans as Experimental Subjects,” and when applicable, Food and Drug Administration (FDA) and other federal and state law and regulations.

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

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

Page | 20 of Health and Human Services (DHHS)-issued Federal Wide Assurance number (FWA#).

ii. Any claimed exemption under 32 CFR 219.104, including the category of exemption, supporting documentation considered by your institution in making the determination (e.g., protocol, data collection tools, advertisements, etc.). The documentation shall include a short rationale supporting the exemption determination. This documentation shall be signed by the IRB Chair or IRB vice Chair, designated IRB administrator or official of the human research protection program.

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

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

Contracts, orders, or grant awards and any subawards or modifications will include a statement indicating successful completion of the…