Rapid Innovation Fund Broad Agency Announcement - 09-16-2011.pdf

The U.S. Department of Defense, Washington Headquarters Services, Acquisition Directorate on behalf of the DoD Components releases the:

Rapid Innovation Fund

Broad Agency Announcement

Participating DoD Components:

U.S. Special Operations Command

Defense Threat Reduction Agency

Missile Defense Agency

Joint Science and Technology Office for Chemical and Biological Defense

Announcement No.: HQ0034-11-BAA-RIF-0001

Issue Date: September 16, 2011

TABLE OF CONTENTS

Page No.

1.0 General Information……………………………………………..……………...…5

1.1 Introduction…………………………………..……….……….....…...……….5

1.2 Agency Name…………………………………………….……..............……..5

1.3 Research Opportunity Title……………………………….………………...…5

1.4 Announcement Type………………………………..…..…….…….………

1.5 Research Opportunity Number…………………..…..………………………..5

1.6 Key Dates…………………………………………………………….………..5

1.7 Research Opportunity Description…………………………….…..............…..6

2.0 Eligibility………………………………………………………..…………………..7

2.1 Eligible Sources………………………………………………...……………..7

2.2 Foreign Participants………………………………………………...............…7

2.3 Export-Controlled Technologies……………………………………………

3.0 Agency Point of Contact (POC)…………………………………………………...7

3.1 Point of Contact for Questions..……………………………...…….……….…7

3.2 Submission Process for Questions……………………………….…...……….7

4.0 Award Information…………………………………………………………...……7

4.1 Funding………………………………………………………………………..7

4.2 Instrument Type………………………………………………..…….…...…...8

4.3 Award Value………………………………………….…………………….…8

4.4 Period of Performance…………………………………………………….…..8

5.0 White Paper Preparation & Submission Instructions…………………….…..…8

5.1 White Papers…………………………………………………………….….…8

5.2 Format of White Papers…………………………………………………….…8

5.3 Content of White Papers……………………………………….….…………..9

5.4 Submission of White Papers…………………………………………………12

5.5 Notification of White Paper Receipt……………………….………...……

5.6 Submission of Late Proposals (Applicable to White Papers & Proposals)….13

6.0 Proposal Preparation & Submission Instructions…………………………..….13

6.1 Proposals………………………………………………………….………….13

6.2 Format of Proposals……………………………………………….………... 13

6.3 Content of Proposals……………………………………………....…………14

6.4 Submission of Proposals………………………………………...…….……..16

6.5 Notification of Proposal Receipt…………………………………....…..……16

6.6 Validity of Proposals…………………………………………....……………17

6.7 Marking of Proposals for Classified/Proprietary Information…………….…17

7.0 Evaluation Information…………………………………………………………..17

7.1 White Paper Evaluations…………………………………...….……………..17

7.2 Proposal Evaluations………………………………………....…………..…..18

7.3 Description of Adjectival Rating…………….………………....……………19

7.4 Selection Preferences……………………………….…………...………...…19

7.5 Selection………………………………………………………...………....…20

7.6 Negotiation……………………………………………………...…….….…..20

8.0 Award Administration Information……………………………………………..20

8.1 Information on White Paper & Proposal Status………………………….…..20

8.2 Debriefs……………….………………………………………...………..…..21

8.3 E-mail Addresses……………….…………………………..…...………...…21

8.4 North American Industry Classification System (NAICS) Codes…....….…..21

8.5 Central Contractor Registration (CCR)………………………………….…..21

8.6 Online Representations and Certifications Application (ORCA)….…...……21

8.7 Excluded Parties List System (EPLS)……….………………………...……..21

9.0 Other Information…………………...…………………………………….……..21

9.1 Organizational Conflicts of Interest (OCI)…………………………………..21

9.2 False Statements…………………………………………………….………..23

9.3 Export Control (ITAR)…………………………………………………..…..23

9.4 Publication Approval………………………………………………...………23

9.5 Wide Area Work Flow (WAWF)……………………………………………24

9.6 Employment Eligibility Verification………………………………..……….24

9.7 Essentially Equivalent Work………………………………...…….…………24

9.8 Security Classification………………….…………………...………….……25

9.9 Use of Animal and Human Subjects in Research………………...…….……25

9.10 Recombinant DNA……………………….…………………………………25

9.11 DoD High Performance Computing Program………………………..……..26

9.12 Executive Compensation and First-Tier Subcontract Reporting…….…...…26

9.13 Subcontracting……………………………………………………….……...27

9.14 Limits on Other Transactions………………………………………..….…..28

9.15 Technical and Administrative Support by Non-Government Personnel…

9.16 Foreign Participants………………………………………………….……...29

10.0 Requirements……………..…………………………………………...….……….30

10.1 Introduction and Priorities Table………………………...…….……………30

10.2 Component Requirements………………………………….……………….31

1.0 General Information

1.1 Introduction

This publication constitutes a Broad Agency Announcement as contemplated in

Federal Acquisition Regulation (FAR) Part 35.016 and FAR 6.102(d)(2). A formal Request for Proposals (RFP), solicitation or additional information regarding this announcement will not be issued. This BAA is issued by Washington Headquarters Services, Acquisition Directorate (WHS/AD) on behalf of the DoD Components.

WHS/AD will not issue paper copies of this announcement. White papers, technical and cost or price proposals (or any other material) submitted in response to this BAA will not be returned. All proposals will be treated as sensitive competitive information and their contents will be disclosed only for the purposes of evaluation.

1.2 Agency Name

Washington Headquarters Services (WHS) Acquisition Directorate (AD) 1155 Defense Pentagon Washington, DC 20301-1155

1.3 Research Opportunity Title

DoD Rapid Innovation Fund

1.4 Announcement Type

Initial Broad Agency Announcement

1.5 Research Opportunity Number

HQ0034-11-BAA-RIF-0001

1.6 Key Dates

Event Date Time BAA is Released September 16, 2011 - DoD RIF Website Opens for White Paper Submissions October 1, 2011 - Due Date for Questions October 7, 2011 3:00 p.m. ET BAA Closes for White Papers October 31, 2011 3:00 p.m. ET Full Proposals Due 30 days after Invitation -

The RIF BAA is open for 45 days for offerors to submit white papers. The final due date for white papers to be considered under this BAA is no later than 3:00 p.m. ET on Monday, October 31, 2011. Any offeror whose white paper technology is assessed as “not of particular value” to the DoD is ineligible to submit a full proposal under this BAA. The anticipated due date for full proposals is 30 days after the invitation is issued. It is anticipated that final selections will be made within four weeks after full proposal submission. As soon as the final full proposal evaluation process is completed, firms selected for funding will be notified via e-mail.

1.7 Research Opportunity Description

The Rapid Innovation Fund (RIF) was established by Section 1073 of the National Defense Authorization Act (NDAA) for Fiscal Year 2011, Pub. L. 111-383, and the 2011 Defense Appropriation Act. The NDAA for FY11 and the Defense Appropriation Act provide DoD with the authority to fund programs that facilitate the rapid insertion of innovative technologies into military systems or programs that meet critical national security needs.

The DoD Components participating in this BAA include the U.S. Special Operations Command (USSOCOM), Defense Threat Reduction Agency (DTRA), Missile Defense Agency (MDA), and Joint Science and Technology Office for Chemical and Biological Defense (CBD). These agencies are herein referred to as the DoD Components.

This BAA is primarily for the transition of technologies developed by small businesses, including those resulting from the Small Business Innovation Research (SBIR) program and DoD reimbursed Independent Research and Development (IR&D).

IR&D does not include R&D performed under a grant or contract from the Government.

IR&D is defined in Federal Acquisition Regulation (FAR) 31.205-18(a).

The goals of the RIF reflect DoD’s emphasis on rapid, responsive acquisition and the engagement of small, innovative businesses in solving defense needs. The Department’s goals for the RIF are to transition:

Innovative technology, primarily from small businesses (including Small

Business Innovation Research (SBIR) Phase II projects), that resolve operational challenges characterized by Joint Urgent Operational Needs (JUONs) or other critical national security needs.

Innovative technology, primarily from small businesses (including SBIR Phase II projects), into existing Acquisition Category (ACAT) I- IA, II, III, IV programs, or into other defense acquisition programs.

DoD-reimbursed Independent Research and Development (IR&D) technology developed by defense industrial base tier 2 and 3 suppliers that resolve operational challenges characterized by JUONs or other critical national security needs.

DoD-reimbursed IR&D projects developed by defense industrial base tier 2 and 3 suppliers into existing ACAT I-IA, II, III, IV programs, or into other defense acquisition programs.

2.0 Eligibility

2.1 Eligible Sources

All responsible sources capable of satisfying the Government's needs may submit a white paper 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 announcement will be set aside for HBCU and MI participation.

2.2 Foreign Participants

Foreign participants and/or individuals may participate to the extent that such participants comply with any necessary Non-Disclosure Agreements, Security Regulations, and any other applicable statutes.

2.3 Export-Controlled Technologies

Some requirements may cover export-controlled technologies. Research in these areas is limited to “U.S. persons” as defined in the International Traffic in Arms Regulations (ITAR), 22 CFR §1201.1.

3.0 Agency Point of Contact

3.1 Questions related to this BAA shall be submitted to:

Julie Fox

WHS/AD

Contract Specialist E-mail: julie.fox@whs.mil

3.2 All questions shall be submitted via e-mail. The subject line of the e-mail shall include the specific requirement number (e.g. SOCOM-11-BAA-RIF-0001). All correspondence with the above e-mail address shall be unclassified. Answers to questions will be provided in the form of an amendment to this announcement on the Federal Business Opportunities website (https://www.fbo.gov).

4.0 Award Information

4.1 Funding

The Government reserves the right to select for award all, some, or none of the proposals in response to this announcement. The Government reserves the right to fund all, some, or none of the proposals received under this BAA. The Government provides no funding for direct reimbursement of proposal development costs. The amount of resources made available to this BAA will not exceed $27.5 million and will depend on the quality of the proposals received.

In addition, the Government reserves the right to request any additional, necessary documentation once it makes the award instrument determination and to remove offerors from award consideration should the parties fail to reach agreement on award terms, conditions and cost/price within a reasonable time, or the offeror fails to timely provide requested additional information.

4.2 Instrument Type

The type of funding instrument selected by the Government will be either a contract, cooperative agreement, or other transaction. If a contract is selected as the funding instrument, a firm fixed price contract, or a cost type contract in accordance with FAR Part 16, Contract Types will be used. If a cooperative agreement is selected, the award will be in accordance with DoD 3210.6-R, Department of Defense Grant and Agreement Regulations. Other transactional authority will be in accordance with 10 U.S.C 2371. Awards may be made consistent with 10 U.S.C. 2358, 10 U.S.C. 2361, and 10 U.S.C. 2374(a). Contract type and funding arrangements are at the discretion of the Government.

4.3 Award Value

The cost or price of awards will not normally exceed $3 million.

4.4 Period of Performance

The period of performance of awards shall not exceed 24 months.

5.0 White Paper Preparation & Submission Instructions

5.1 White Papers

White papers shall address one of the requirements listed in Section 10.0 of this announcement. Only unclassified white papers will be accepted. If an offeror does not submit a white paper before the specified closing date and time in Section 1.6, the offeror will not be eligible to submit a subsequent proposal. The Government’s decision to invite a full proposal will be based upon the evaluation results of the white paper submission.

Offerors that do not receive invitations from the Government to submit a proposal are not eligible to submit proposals. White papers should focus on one requirement per paper.

There is no limit on the number of white papers an offeror may submit in response to this

BAA.

5.2 Format of White Papers

5.2.1 Number of Pages: The white paper is limited to three pages. The white paper cover sheet and quad chart are not included in the page limit. Pages submitted in excess of the white paper page limit will not be read or evaluated.

5.2.2 Number of Copies & Format: One electronic copy of the white paper, in Portable Document Format (PDF), shall be uploaded online through the DoD RIF submission website.

5.2.3 Text & Font Format: Text shall be at least single-spaced, on 8½ x 11 inch paper, with a minimum of one-inch margin all around. Pages shall be numbered consecutively. Font size shall be of minimum 10-point font. Bolding, underlining, and italics may be used to identify topic demarcations or points of emphasis.

Graphic presentations, including tables, while not subject to the same font size and spacing requirements, shall have spacing and text that is easily readable.

5.2.4 Headers: The offeror’s name, requirement number, and white paper number shall be in the header of each page. The header may be included in the one-inch margins.

5.2.5 Virus Check: Perform a virus check before uploading the white paper. If a virus is detected, it may cause rejection of the file.

5.2.6 Security: Do not lock or encrypt any files uploaded as part of your white paper submission.

5.3 Content of White Papers

A complete white paper submission will consist of three volumes. The cover sheet is volume one, the white paper is volume two, and the quad chart is volume three.

5.3.1 Volume One – Cover Sheet (Online Form)

The cover sheet shall be prepared on the DoD RIF submission website (www.dodsbir.net/rif). Once the cover sheet is saved, the system will assign you a unique white paper number. The cover sheet must be prepared before volume two and volume three can be uploaded. Offerors shall be prepared to submit the following information on the cover sheet form on the DoD RIF submission website:

Firm Information: Name, Mailing Address, Technical POC, Phone Number, E-mail address, and CAGE code Business POC, Phone Number, and E-mail Address Requirement Number and Title Duration of Effort Estimated Cost of Effort Recommended Funding Instrument: (select one) o Contract o Cooperative Agreement o Other Transaction

Self Certification of Applicant: (select one) o Small business o Large business o Academic institution o FFRDC o Defense Laboratories o Other

Does the proposed approach derive from, extend, or logically conclude efforts from prior DoD-funded SBIR or STTR projects? (select Yes/No) o If yes, identify the SBIR/STTR topic number and resulting contract number: ______________________

Was DoD-reimbursed IR&D technology a foundation for the proposed approach? (select Yes/No)

Identify JUON, ACAT or Critical National Security Need (select all that apply) o JUON, specify: _________________ o ACAT, specify: _________________ o Critical National Security Need, specify:______________

Are you proposing to use foreign participants for work under the proposed effort? (select Yes/No)

Identify the estimated percentage of effort to be performed by the offeror and percentage of work by other team members (e.g.

subcontractor/consultant):

o Offeror: _____% o Team members: _____%

Has this approach been proposed to or funded by the DoD or another Federal Agency (see Section 9.7)? (select Yes/No) o If yes, identify the agency, solicitation, and contract/grant number

5.3.2 Volume Two – White Paper (3-page PDF file upload)

The white paper shall be prepared outside of the DoD RIF submission website and then uploaded to the submission site (www.dodsbir.net/rif) as a PDF attachment. The decision to request a proposal will be based upon the white paper submission. Ensure your white paper adequately describes the proposed approach and resulting contributions. The white paper shall include the following sections in the order given below, as applicable:

(1) Contribution to the Requirement: Provide a high-level project overview describing:

How the technology meets the requirement.

How and to what degree the technical approach is relevant to a JUON challenge areas, acquisition programs and/or other critical national security needs, including how the approach enhances the military capability; accelerates the development of military capability; reduces the development costs; and/or reduces the sustainment costs of fielding systems.

The current Technology Readiness Level (TRL) of the technology and/or product and how will it transition to military systems or programs.

(2) Technical Approach: Describe how the proposed technical approach is innovative, feasible, achievable, and complete and supported by a technical team that has the expertise and experience to accomplish the proposed tasks, including:

Project objectives and scope.

Overview of tasks and methods planned to achieve each objective and the final product to be delivered.

Key Personnel (including subcontractors and consultants).

Facilities/Equipment necessary to carry out the proposed effort.

Related Prior or Current Work, including SBIR/STTR contracts and IR&D Projects.

(3) Schedule: Describe how the proposed schedule is achievable for the proposed technical approach. Transition to military systems or programs is expected within 24 months of award. Discuss:

Major activities/milestones.

Deliverables.

Metrics/measures of success.

Potential risks and risk mitigation plans.

(4) Costs: Describe the estimated costs for the proposed technical approach.

5.3.3 Volume Three – Quad Chart (1-page PDF file upload)

The unclassified Quad Chart shall be prepared outside of the DoD RIF submission website in landscape orientation and then uploaded to the submission site (www.dodsbir.net/rif) as a PDF attachment. The Quad Chart should include the following information:

Heading: Title, Company, Requirement Number

Upper Left Quadrant: Picture or graphic illustrating proposed technology development.

Upper Right Quadrant: How the technology contributes and addresses the requirement, the technical maturity (current level and anticipated level at project completion), how the technology will transition to existing military systems or programs.

Lower Left Quadrant: Project objectives and scope, key personnel, facilities/equipment, related prior or current work.

Lower Right Quadrant: Estimated costs, major activities/milestones, deliverables, metrics/measures of success, potential risks.

5.4 Submission of White Papers

Offerors must be registered on the DoD RIF submission website at (www.dodsbir.net/rif) to submit white papers. White papers sent by any other means (e.g. hand-carried, postal service mail, commercial carrier, fax or e-mail) will not be considered.

Offerors that intend to submit multiple white papers must prepare a separate cover sheet for each white paper. Upon completion of the cover sheet, the offeror will be instructed to upload the PDF white paper and quad chart, and then submit the white paper package. Offerors are responsible for ensuring compliant and final submission of their white papers. Detailed submission instructions are available on the website.

5.5 Notification of White Paper Receipt

White papers will be considered “works in progress” and will not be evaluated until the offeror submits the final white paper package for consideration. The DoD RIF submission website will provide offerors a printable confirmation of successful white paper submission upon upload completion.

5.6 Submission of Late Proposals (Applicable to White Papers and Proposals)

Offerors are responsible for access to the DoD RIF submission website and for submitting electronic white papers and proposals so as to be received at the Government site indicated in this BAA no later than the date and time specified in the Section 1.6.

When sending electronic files, the offeror shall account for potential delays in file transfer from the originator’s computer server to the Government website/computer server. Offerors are encouraged to submit their responses early to avoid potential file transfer delays due to high demand or problems encountered in the course of the submission.

Acceptable evidence to establish the time of receipt at the Government site includes documentary and electronic evidence of receipt maintained by the installation.

Offerors should also print, and maintain for their records, the electronic date/time stamped receipt that appears on the final screen following a submission. All submissions shall be fully uploaded before the cut off time/date in order to be considered – No exceptions.

If an emergency or unanticipated event interrupts normal Government processes so that white papers and/or proposals cannot be received at the site designated for receipt by the date and time specified, then the date and time specified for receipt will be deemed to be extended to the same time of day specified in the BAA on the first work day on which normal Government processes resume.

White papers and invited proposals may be withdrawn by written notice received at any time before award. Withdrawals are effective upon receipt of notice by the

Contracting Officer. Offerors agree to hold the terms of their white paper valid for 150 days from the date of submission.

6.0 Proposal Preparation & Submission Instructions

6.1 Proposals

Offerors that receive a request to submit proposals shall provide sufficient information to persuade the Government the proposed project represents an innovative approach to accelerating the transition of defense-related technologies. The following is an illustrative outline for proposal format and content. The DoD Component Contracting Officer requesting the proposal has the right to deviate from the proposal format and content described below. Deviations from the information provided in this announcement will be detailed in the proposal invitation letter. Only unclassified proposals will be accepted.

6.2 Format of Proposals

6.2.1 Number of Pages: The technical proposal is limited to 25 pages. The cover sheet, cost/price proposal, and Performance Work Statement (PWS) are not included in the technical proposal page limit. The PWS is limited to 12 pages.

The cost or price proposal does not have a page limit. There shall be no cost/price information in the technical proposal and no technical information in the cost/price proposal. Pages submitted in excess of the technical proposal and/or PWS page limit will not be read or evaluated.

6.2.2 Number of Copies & Format: One electronic copy of the technical proposal, in Portable Document Format (PDF), shall be uploaded to the DoD RIF submission website (www.dodsbir.net/rif). The cost or price proposal and PWS shall also be uploaded in PDF format.

6.2.3 Text & Font Format: Text shall be at least single-spaced, on 8½ x 11 inch paper, with a minimum of one-inch margin all around. Pages shall be numbered consecutively. Font size shall be of minimum 10-point font. Bolding, underlining, and italics may be used to identify topic demarcations or points of emphasis.

Graphic presentations, including tables, while not subject to the same font size and spacing requirements, shall have spacing and text that is easily readable.

6.2.4 Headers: The offerors’ name, requirement number, and proposal number shall be included in the header of each page of the technical proposal. The header may be included in the one-inch margins.

6.2.5 Virus Check: Perform a virus check before uploading any files to as part of your proposal package. If a virus is detected, it may cause rejection of the file.

6.2.6 Security: Do not lock or encrypt any files uploaded as part of your proposal submission package.

6.3 Content of Proposals

A complete proposal submission will consist of four volumes. The cover sheet is volume one, the technical proposal is volume two, the cost/price proposal is volume three, and the PWS is volume four.

6.3.1 Volume One – Cover Sheet (Online Form)

The cover sheet shall be prepared on the DoD RIF submission website (www.dodsbir.net/rif). Once the cover sheet is saved, the system will assign a unique proposal number. The cover sheet must be prepared before volumes two, three, and four can be uploaded.

6.3.2 Volume Two – Technical Proposal (25-page PDF file upload)

The technical proposal shall be prepared outside of the DoD RIF submission website and then uploaded as a PDF attachment. The technical proposal shall include the following sections in the order given below:

(1) Contribution to the Requirement: Provide a project overview and description of benefits, as described below:

1.1 Project Overview: A brief statement describing the specific technology and/or product being proposed and how the technology and/or product will work.

1.2 Benefits: Describe how and to what degree the technical

approach is relevant to a requirement identified in this announcement, including how the approach:

Enhances the military capability, or Accelerates the development of military capability, or Reduces the development costs, or Reduces the sustainment costs of fielding systems.

1.3 Transition Strategy: Describe how the technology and/or product will transition to the Services, including insertion events into military systems or programs. Describe evidence to support stated TRL.

(2) Technical Approach: Describe how the proposed technical approach is innovative, feasible, achievable, complete and supported by a technical team that has the expertise and experience to accomplish the proposed tasks.

2.1 Objectives and Scope: Describe the specific objectives of what the project will achieve and any logical boundaries.

2.2 Work Plan: Provide an explicit, detailed description of tasks to be completed and deliverables.

2.3 Key Personnel: Describe the qualifications of the team and identify key personnel who will be involved in the effort including information directly related education and experience. Identify any foreign citizens you expect to be involved as a direct employee, subcontractor, or consultant. Key personnel resumes shall be provided in an attachment to the proposal and will not count toward the page limitations.

2.4 Facilities/Equipment: Describe available instrumentation and physical facilities necessary to carry out the proposed effort.

2.5 Related Work: Describe significant activities and/or previous work directly related to the proposed effort, including SBIR/STTR contracts and IR&D projects.

(3) Schedule: Describe how the proposed schedule is achievable for the proposed technical approach. Transition to military systems or programs is expected within 24 months of award.

3.1 Milestones & Deliverables: Show major activities/milestones and deliverables anticipated by date, including research and development, testing, integration, transition, and/or acquisition elements, as applicable.

3.2 Metrics/Measures of Success: Discuss what measurement

criteria will be established to measure progress against stated objectives.

3.3 Risks: Describe anticipated risks and risk mitigation plans.

6.3.3 Volume Three – Cost or Price Proposal (PDF file upload)

The cost or price proposal shall be prepared outside of the DoD RIF submission website and then uploaded as a PDF attachment. The cost/price proposal shall include a detailed breakdown of all costs by category. If a proposal is selected for award, the offeror shall be prepared to submit further documentation to its DoD Contracting Officer to substantiate costs. For more information about cost proposals and accounting standards, see the DCAA publication called “Information for Contractors” available at www.dcaa.mil. The following cost areas shall be included, if applicable:

(1) Direct Labor: Individual labor category or person, with associated labor hours and unburdened direct labor rates.

(2) Indirect Costs: Fringe Benefits, Overhead, G&A, etc.

(3) Travel: Destination, number of trips, number of days per trip, departure and arrival destinations, number of people, etc.

(4) Subcontractor and Consultants: All subcontractor costs and consultant costs must be detailed at the same level as prime contractor costs in regards to labor, travel, equipment, etc. Provide detailed substantiation of subcontractor costs in your cost proposal. Provide consultant agreement or other document that verifies the proposed daily/hourly rate.

(5) Other Direct Costs (ODCs): ODCs shall be itemized with costs or estimated costs.

6.3.4 Volume Four – Performance Work Statement (12-page PDF file upload)

A PWS clearly detailing the scope and objectives of the effort; tasks to be completed; the technical approach; and deliverables. It is anticipated that the proposed PWS will be incorporated as an attachment to the resultant award instrument. To this end, such proposals must include a PWS without any proprietary restrictions, which can be included in the award instrument.

6.4 Submission of Proposals

Offerors that receive an invitation to submit a proposal shall use the same DoD RIF submission website (www.dodsbir.net/rif) that was used for the DoD RIF white paper submission. The cover sheet, technical proposal, cost or price proposal, and PWS shall be submitted electronically through the RIF website. Proposals sent by any other means (e.g. hand-carried, postal service mail, commercial carrier, fax or e-mail) will not be considered.

If multiple proposals are being submitted by the same offeror, a separate cover sheet must be generated for each proposal package. Upon completion of the cover sheet, the offeror will be instructed to upload the PDF technical proposal, cost or price proposal, and PWS, and then submit the proposal package (Volumes 1 – 4). Offerors are responsible for ensuring compliant and final submission of their proposals. Any additional submission instructions will be provided in the invitation requesting the proposal.

6.5 Notification of Proposal Receipt

Proposals will be considered “works in progress” and will not be evaluated until the offeror submits the final proposal package for consideration. The DoD RIF submission website will provide offerors a printable confirmation of successful proposal submission upon upload completion.

6.6 Validity of Proposals

The offeror agrees to hold prices, terms and conditions of their offer firm for 120 days from the date of submission.

6.7 Marking of Proposals for Classified/Proprietary Information

Proposals submitted in response to this BAA are to be unclassified. The proposal submissions will be protected from unauthorized disclosure in accordance with FAR 15.207(b), applicable law, and DoD regulations. Offerors are to appropriately mark each page of their submission that contains proprietary information. The proposal shall include a Performance Work Statement, which contains only unclassified information and does not include any proprietary restrictions.

7.0 Evaluation Information

The evaluation process will be conducted using a technical subject matter expert review as described in FAR 6.102(d)(2) and 35.016. Each white paper will be evaluated based on the merit and relevance of the specific white paper as it relates to the RIF program rather than against other white papers for requirements in the same general area.

Each proposal will be evaluated based on the merit, relevance and cost of the specific proposal as it relates to the RIF program rather than against other proposals for requirements in the same general area. All documents necessary for the review and evaluation of white paper and proposal submissions shall be provided as described in this

BAA.

7.1 White Paper Evaluations

7.1.1 Evaluation Criteria

White papers will be evaluated using four criteria. All factors will be evaluated using a “Go” or “No Go” decision making process. White Papers that are deemed “No Go” in either Factor #1 or Factor # 2 will not be considered for further review.

Factor #1 – Contribution to the Requirement

The degree to which the technical approach is relevant to the JUON challenge area, acquisition program and/or other critical national security need as identified in this announcement.

Factor #2 – Technical Approach/Qualifications

The degree to which the technical approach is innovative, feasible, achievable, complete and supported by a technical team that has the expertise and experience to accomplish the proposed tasks. The probability for transition of this effort into an acquisition program.

Factor #3 – Schedule

The degree to which the proposed schedule is achievable within 24 months from award.

Factor #4 – Cost

The degree to which the proposed cost or price is realistic for the proposed technical approach and does not exceed $3 Million.

7.1.2 Order of Importance

Factor #1 and Factor #2 are equally important. Factor #3 and Factor #4 are equally important. Factors #1 and #2 are significantly more important than Factors #3 and #4.

The government is more concerned with obtaining superior technical capabilities than with making awards at a lower cost to the government.

7.2 Proposal Evaluations

7.2.1 Evaluation Criteria

Proposals will be evaluated using four criteria. The non-price criteria will be evaluated using the following adjectival ratings: Outstanding (O), Good (G), Acceptable (A), Marginal (M), or Unacceptable (U). Proposals that are deemed “Unacceptable” in either Factor #1 or Factor # 2 will not be considered for further review.

Factor #1 – Contribution to the Requirement

The degree to which the technical approach is relevant to the JUON challenge area, acquisition program and/or other critical national security need as identified in this announcement.

Factor #2 – Technical Approach/Qualifications

The degree to which the technical approach is innovative, feasible, achievable, complete and supported by a technical team that has the expertise and experience to accomplish the proposed tasks. The probability for transition of this effort into an acquisition program.

Factor #3 – Schedule

The degree to which the proposed schedule is achievable within 24 months from award.

Factor #4 – Cost

Cost realism including the Project’s cost effectiveness and ability to complete the total project for not more than $3 million.

7.2.2 Order of Importance

Factor #1 and Factor #2 are equally important. Factor #3 and Factor #4 are equally important. Factors #1 and #2 are significantly more important than Factors #3 and #4.

The government is more concerned with obtaining superior technical capabilities than with making awards at a lower cost to the government.

7.3 Descriptions of Adjectival Ratings

The following adjectival ratings will be used for non-price factors during the evaluation of proposals.

Outstanding (O) – The proposal meets requirements and indicates an exceptional approach and understanding of the requirements. Strengths far outweigh any weaknesses. Risk of unsuccessful performance is very low.

Good (G) – The proposal meets requirements and indicates a thorough approach and understanding of the requirements. Proposal contains strengths which outweigh any weaknesses. Risk of unsuccessful performance is low.

Acceptable (A) – The proposal meets requirements and indicates an adequate approach and understanding of the requirements. Strengths and weaknesses are offsetting or will have little or no impact on contract performance. Risk of unsuccessful performance is no worse than moderate.

Marginal (M) – The proposal does not clearly meet requirements and has not demonstrated an adequate approach and understanding of the requirements. The proposal has one or more weaknesses which are not offset by strengths. Risk of unsuccessful performance is high.

Unacceptable (U) – The proposal does not meet requirements and contains one or more deficiencies. Proposal is unawardable.

7.4 Selection Preferences

In addition to the evaluation criteria, source selection authorities will use the following selection preferences, listed in order of priority:

(1) White papers from small businesses on topics that accelerate the deployment of a military capability that resolves operational challenges characterized by JUONs or other critical national security needs. Small businesses that have received SBIR Phase II contracts or that have conducted IR&D projects are included in this selection priority.

(2) White papers from small businesses on topics that show a clear transition path to fielding the technology into existing ACAT I-IA, II, III, IV and other defense acquisition programs. Small businesses that have received SBIR Phase II contracts or that have conducted IR&D projects are included in this selection priority.

(3) White papers from other than small businesses that accelerate the development of a military capability that resolves operational challenges characterized by JUONS or other critical national security needs.

(4) White papers from other than small businesses that show a clear transition path to fielding the technology into existing ACAT I-IA, II, III, IV and other defense acquisition programs.

*Projects recommended for award that simultaneously satisfy both priority areas 1 and 2 shall be selected before projects that satisfy only priority 1.

*Projects recommended for award that simultaneously satisfy both priority areas 3 and 4 shall be selected before projects that satisfy only priority 3.

7.5 Selection

The Government intends to make awards resulting from this announcement. The awards will be made based on the best proposals that are determined to be most beneficial to the Government with appropriate consideration given to the evaluation factors, order of importance, and selection preferences. Awards will be made to the offerors whose offer is determined to provide the “best value” to the Government based on the factors/preferences, this may not necessarily be the proposal offering the lowest cost/price or receiving the highest evaluated rating.

7.6 Negotiation

The Government intends to award without discussions, however, reserves the right to conduct discussions if necessary. The DoD Component Contracting Officer will make the determination if discussions will be conducted.

8.0 Award Administration Information

8.1 Information on White Paper & Proposal Status

Evaluation of white papers and proposals will be expedited, but no information on evaluation status will be available until the final selection is made. However, Contracting Officers may contact any and all qualified offerors at any time. Offerors will be notified by the DoD Component to which they submitted their response if their proposal has been selected for award. Notification of white paper and proposal selection is not an authorization to begin work. Offerors that submitted white papers or proposals that are not selected for award will not be notified.

8.2 Debriefs

Debriefings will not be provided.

8.3 E-mail Addresses

Offerors must be aware that it is their responsibility to ensure: (1) correct e-mail addresses are provided at the time of submission, (2) e-mail notifications reach the intended recipient(s), and (3) the e-mail is not blocked by the use of ‘spam blocker’ software or other means that the recipient’s Internet Service Provider may have implemented as a means to block the receipt of certain e-mail messages.

8.4 North American Industry Classification System (NAICS) Code

The NAICS codes for this announcement are 541712 and 541711. A small business under these NAICS codes is defined by a size standard of 500 employees.

8.5 Central Contractor Registration (CCR)

All offerors submitting proposals must be registered in the CCR at http://www.ccr.gov.

8.6 Online Representations and Certifications Application (OCRA)

In accordance with FAR 4.1201, offerors must complete electronic annual representation and certifications at http://orca.bpn.gov.

8.7 Excluded Parties List System (EPLS)

DoD uses EPLS to exclude recipients ineligible to receive Federal awards. EPLS can be accessed online at https://www.epls.gov/.

9.0 Other Information

Upon award of a funding instrument, the offeror will be required to make certain legal commitments through acceptance of a contract, cooperative agreement, or other transaction. The outline that follows is illustrative of the types of terms that may be included in the funding instrument. This is not a complete list of terms and conditions to be included in the funding instrument.

9.1 Organizational Conflicts of Interest (OCI)

9.1.1 Purpose: The primary purpose of this provision is to aid in ensuring that: the Contractor’s objectivity and judgment are not biased because of its present, or currently planned interests (financial, contractual, organizational, or otherwise) which relate to work under a contract; the Contractor does not obtain an unfair competitive advantage by virtue of its access to non-public Government information regarding the Government’s program plans and actual or anticipated resources; and the Contractor does not obtain any unfair competitive advantage by virtue of its access to proprietary information belonging to others.

9.1.2 Scope: The restrictions described herein shall apply to performance or participation by the Contractor and any of its affiliates or their successors in interest (hereinafter collectively referred to as “Contractor”) in the activities covered by this clause as prime contractor, subcontractor, co-sponsor, joint venture, consultant, or in any similar capacity.

The term “proprietary information” for the purposes of this clause is any information considered to be so valuable by its owner that it is held in secret by them and their licensees. Information furnished voluntarily by the owner without limitations on its use, or which is available without restrictions from other sources, is not considered proprietary.

9.1.2.1 Access To and Use of Government Information: If the Contractor, in the performance of this contract, obtains access to information such as plans, policies, reports, studies, financial plans, or data which has not been released or otherwise made available to the public, the Contractor agrees that without prior written approval of the Contracting Officer, it shall not: (a) use such information for any private purpose unless the information has been lawfully released or otherwise made available to the public, (b) compete for work based on such information after the completion of this contract, (c) submit an unsolicited proposal to the Government which is based on such information after such information is released, or (d) release such information unless such information has previously been lawfully released or otherwise made available to the public by the

9.1.2.2 Access To and Protection of Propriety Information: The Contractor agrees that, to the extent it receives or is given access to proprietary data, trade secrets, or other confidential or privileged technical, business, or financial information (hereinafter referred to as “proprietary data”) under this contract, it shall treat such information in accordance with any restrictions imposed on such information. The Contractor further agrees to enter into a written agreement for the protection of the proprietary data of others and to exercise diligent effort to protect such proprietary data from unauthorized use or disclosure. In addition, the Contractor shall obtain from each employee who has access to proprietary data under this contract, a written agreement which shall in substance provide that such employee shall not, during his/her employment by the Contractor or thereafter, disclose to others or use for their benefit, proprietary data received in connection with the work under this contract. The Contractor will educate its employees regarding the philosophy of Part 9.505-4 of the Federal Acquisition Regulation so that they will not use or disclose proprietary information or data generated or acquired in the performance of this contract except as provided herein.

9.1.2.3 Subcontracts: The Contractor shall include this or substantially the same clause, including this paragraph, in consulting agreements and subcontracts of all tiers. The terms “Contract”, “Contractor”, and “Contracting Officer”, will be appropriately modified to preserve the Government’s rights.

9.1.2.4 Disclosures: If the Contractor discovers an organizational conflict of interest or potential conflict of interest after award, a prompt and full disclosure shall be made in writing to the Contracting Officer. This disclosure shall be made on the OCI Analysis/ Disclosure Form provided as an Attachment to this contract, and shall include a description of the action the Contractor has taken or proposes to take in order to avoid or mitigate such conflicts.

9.1.2.5 Remedies and Waiver: For breach of any of the above restrictions or for non-disclosure or misrepresentation of any relevant facts required to be disclosed concerning this contract, the Government may terminate this contract for default, disqualify the Contractor for subsequent related contractual efforts, and pursue such other remedies as may be permitted by law or the contract. If, however, in compliance with this clause, the Contractor discovers and promptly reports an organizational conflict of interest (or the potential thereof) subsequent to contract award, the Contracting Officer may terminate this contract for the convenience of the Government if such termination is deemed to be in the best interest of the

9.1.2.6. Modifications: Prior to contract modification, when the Scope of Work is changed to add new work or the period of performance is significantly increased, the Contracting Officer may require the Contractor to submit either an organizational conflict of interest disclosure or an update of the previously submitted disclosure or representation. Organizational conflict of interest (OCI)

9.2 False Statements

Knowingly and willfully making any false, fictitious, or fraudulent statements or representations may be a felony under the Federal Criminal False Statement Act (18 U.S.C. Sec 1001), punishable by a fine of up to $10,000, up to five years in prison, or both.

9.3 Export Control

The International Traffic in Arms Regulations (ITAR), 22 CFR Parts 120 through 130, and the Export Administration Regulations (EAR), 15 CFR Parts 730 through 799, will apply to all projects with military or dual-use applications that develop beyond fundamental research, which is basic and applied research ordinarily published and shared broadly within the scientific community. More information is available at http://www.pmddtc.state.gov/regulations_laws/itar.html.

9.4 Publication Approval

Government review and approval will be required prior to any dissemination or publication, except within and between the Contractor and any subcontractors, of classified and non-fundamental information developed under this contract or contained in the reports to be furnished pursuant to a contract.

9.5 Wide Area Work Flow (WAWF)

Unless using another approved electronic invoicing system, performers will be required to submit invoices for payment directly via the Internet/WAWF at http://wawf.eb.mil.

Registration to WAWF will be required prior to any award under this BAA.

9.6 Employment Eligibility Verification

Recipients of FAR-based procurement contracts must enroll as Federal Contractors in E-verify and use E-Verify to verify employment eligibility of all employees assigned to the award. All resultant contracts from this announcement will include FAR 52.222-54, “Employment Eligibility Verification.” This clause will not be included in cooperative agreements, or Other Transactions.

9.7 Essentially Equivalent Work

While it is permissible, with proposal notification, to submit proposals containing a significant amount of essentially equivalent work for consideration under numerous federal program announcements, it is unlawful to enter into awards requiring essentially equivalent effort. If there is any question concerning this, it must be disclosed to the soliciting agency or agencies before award.

Essentially equivalent work is defined as (1) substantially the same research is proposed for funding in more than one contract proposal or grant application submitted to the same Federal agency; (2) substantially the same research is submitted to two or more different Federal agencies for review and funding consideration; or (3) a specific research objective and the research design for accomplishing an objective are the same or closely related in two or more proposals or awards, regardless of the funding source.

If a proposal submitted in response to this announcement is substantially the same as another proposal that has been funded, is now being funded, or is pending with another Federal Agency or DoD Component or the same DoD Component, the proposer must so indicate on the white paper and proposal cover sheet and provide the following information:

(a) Name and point of contact at the Federal Agency(s) or DoD Component to which a proposal was submitted, will be submitted, or from which an award is expected or has been received.

(b) Project Title

(c) Solicitation number or

(d) Award/Grant number

(e) Description of equivalent work.

9.8 Security Classification

In order to facilitate intra-program collaboration and technology transfer, the Government will attempt to enable technology developers to work at the unclassified level to the maximum extent possible. If access to classified material will be required at any point during performance, the Offeror must clearly identify such need.

9.9 Use of Animals and Human Subjects in Research

All research, development, testing, experimentation, education or training involving the use of animals shall comply with the applicable federal and agency rules on animal acquisition, transport, care, handling, and use.