RIF_FY_2017_BAA_V6_FINAL_04122017_Conformed_Solicitation_Amendment_0001.pdf

DoD FY2017 Rapid Innovation Fund

HQ0034-17-BAA-RIF-0001

The Washington Headquarters Services, Acquisition Directorate on behalf of the Department of Defense releases the

FY 2017 Rapid Innovation Fund

Broad Agency Announcement Announcement Number: HQ0034-17-BAA-RIF-0001

Issue Date: March 17, 2017 Close Date: May 19, 2017

IMPORTANT

THIS IS A TWO-STEP SOLICITATION PROCESS:

• STEP 1 – SUBMISSION OF WHITE PAPERS

• STEP 2 – SUBMISSION OF PROPOSALS (BY INVITATION ONLY)

White Paper Submission: DoD begins accepting White Papers March 31, 2017, to:

• RIF Main Page (contains below links) - http://www.dodrif.com 2.a Army - http://www.dodrif.com/user/login 2.b DoN - https://navyrif.com/submission 2.c Air Force - https://www.afrif.com/ 2.d Office of the Secretary of Defense (OSD), Defense Agencies, & Combatant

Commands (CCMDs) - http://www.dodrif.com/user/login

Deadline for Receipt: White Papers must be completely submitted by 3:00 p.m. Eastern Time (ET)

May 19, 2017.

Classified White Papers are not accepted under the DoD RIF Program.

Please read the entire solicitation carefully prior to a response.

Help Desk: If you have questions about the Defense Department's RIF Program, please submit to questions@dodrif.com.

http://www.dodrif.com/ http://www.dodrif.com/user/login https://navyrif.com/submission https://www.afrif.com/ mailto:questions@dodrif.com

HQ0034-17-BAA-RIF-0001

Table of Contents

EXECUTIVE SUMMARY

1.0 General Information

1.1 Introduction

1.2 Soliciting Agency

1.3 Key Dates

2.0 Eligible Sources

2.1 Industry and Academia

2.2 Foreign Participants

2.3 Federally Funded Research & Development Centers (FFRDCs)

2.4 Department of Defense Laboratories

2.5 University Affiliated Research Centers (UARCs)

2.6 Teaming

3.0 North American Industry Classification System (NAICS) Code

4.0 System for Award Management (SAM)

5.0 Award Instrument Types

6.0 Communications with Offerors

6.1 Sollicitation Amendements

6.2 DoD Component Inquiries

6.3 Notifications

6.4 Debriefings

7.0 Program Funding

8.0 Period of Performance

9.0 Two-Step Solicitation Process

9.1 General Information

9.2 E-mail Addresses

9.3 Reserved

9.4 Electronic Submissions

9.5 Step 1: Submission of White Papers

9.5.1 White Paper Structure

9.6 Step 2: Submission of Proposals

9.6.1 Format of Proposals

10.0 White Paper and Proposal Evaluations

HQ0034-17-BAA-RIF-0001

10.1 Evaluation Factors

10.2 Adjectival Ratings

11.0 Award Information

11.1 Commitment to Small Business

11.2 Basis of Award

11.3 Basis of Negotiation…………………………………………………………………... 17

11.4 DCAA-Approved Accounting System

11.5 Subcontracting Plans

11.6 Contract Options ……………………………………………………………………

12.0 Other Information

12.1 Provisions and Clauses

12.2 BAA-100 Organizational Conflicts of Interest (OCI)

Purpose

Scope

12.3 BAA-200 Export Control

12.4 Publication Approval

12.5 Essentially Equivalent Work

12.6 Security Classification

12.7 Recombinant DNA

12.8 Department of Defense High Performance Computing Program

12.9 Limitations on Other Transactions

12.10 Technical and Administrative Support by Non-Government Personnel

12.11 Foreign Participants

13.0 COMPONENT INSTRUCTIONS AND REQUIREMENTS

13.1 Introduction

13.2 Department of the Army Annex:

13.3 Department of the Navy Annex:

13.4 Department of the Air Force Annex:

13.5 Office of the Secretary of Defense / Defense Agencies Annex: ... Error! Bookmark not defined.

Department of Defense Rapid Innovation Fund

EXECUTIVE SUMMARY

The goal of the Rapid Innovation Fund is to facilitate the rapid insertion of innovative technologies into military systems or programs that meet critical national security needs.

The DoD seeks mature prototypes for final development, testing, evaluation, and integration. Those selected for award may receive up to $3 million in Rapid Innovation Funding and will have up to two years to perform the work. There is a source selection preference for technologies from small businesses. There are two phases in the source selection process: White paper submission and proposal submission. Proposal submissions are by invitation only.

NOTE: Funding for Service & Agency requirements described in this notice is contingent upon the availability of funds via a Fiscal Year 2017 appropriation.

White Paper submitters are hereby given notice that while the FY2017 RIF Program is authorized in the FY2017 Authorization language, funds have not yet been appropriated or made available for the FY2017 Rapid Innovation Fund Program. Publication of this announcement does not obligate the DoD to review any white paper submission beyond an initial administrative review, or to award any specific project, or to obligate any available funds.

1.0 General Information

1.1 Introduction

This Broad Agency Announcement (BAA) with procurement instrument identification number HQ0034-17-BAA-RIF-0001 constitutes the solicitation of offers for research and development for the Rapid Innovation Fund. The Rapid Innovation Program was enacted by Congress in section 1073 of the National Defense Authorization Act of Fiscal Year (FY) 2011 to facilitate rapid insertion of innovative technologies into military systems or programs that meet critical national security needs.

The goals of the RIF Program reflect DoD’s emphasis on rapid, responsive acquisition and the engagement of small, innovative businesses in solving defense needs. The BAA is for the validation and transition of innovative technologies developed predominantly by small businesses, to include those from Small Business Innovation Research (SBIR) 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). SBIR and IR&D are examples of technology development efforts that may potentially qualify for RIF.

Offers submitted in response to this BAA should resolve operational challenges or other critical national security needs as characterized by the Department of Defense Components’ requirements. The DoD Components participating in the RIF Broad Agency Announcement (BAA) may include, but is not limited to the Military Services

HQ0034-17-BAA-RIF-0001

e.g. Department of Army, Department of the Navy, Department of the Air Force, and Defense Agencies, including: Chief Information Officer / Defense Information Systems Agency (CIO / DISA); Combating Terrorism Technical Support Office (CTTSO);

Defense Intelligence Agency (DIA); Defense Logistics Agency (DLA); Defense Threat Reduction Agency (DTRA); Joint Improvised-Threat Defeat Office (JIDO); Joint Science and Technology Office for Chemical and Biological Defense (JSTO-CBD); Missile Defense Agency (MDA); National Geospatial Agency (NGA), National Reconnaissance Office (NRO); North American Aerospace Defense Command / United States Northern Command (NORAD / USNORTHCOM); Office of the Assistant Secretary of Defense for Research and Engineering (R&E); United States Africa Command (AFRICOM), United States Central Command (USCENTCOM), United States Pacific Command (USPACOM); United States Southern Command (SOUTHCOM); United States Special Operations Command (USSOCOM); and United States Transportation Command (USTRANSCOM). These organizations are herein referred to as the DoD Components.

1.2 Soliciting Agency

On behalf of the Office of the Secretary of Defense, the soliciting contracting office is:

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

Primary Contracting Officer, WHS-AD: Earl Anderson, Email:

earl.e.anderson51.civ@mail.mil Alternate Contracting Office, WHS-AD: Khalil Mack, Email:

khalil.r.mack.civ@mail.mil

1.3 Key Dates: (NOTE: These may change. Please check FBO.gov for the latest dates.)

Event Date Time

BAA Release on Federal Business Opportunities (FEDBIZOPPS) March 17, 2017 N/A

Websites Open for White Paper Submissions March 31, 2017 N/A

Amendment with Relevant Questions and Answers Posted on FBO.gov site April 28, 2017 NA

BAA Closes for White Paper submissions May 19, 2017 3:00 p.m.

ET

2.0 Eligible Sources

mailto:james.l.colachis.civ@mail.mil mailto:khalil.r.mack.civ@mail.mil

2.1 Industry and Academia

All responsible firms and academic institutions 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/or participate in teaming arrangements 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. 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.

2.3 Federally Funded Research & Development Centers (FFRDCs)

Federally Funded Research & Development Centers (FFRDCs), including Department of Energy National Laboratories, are not eligible to receive awards under this BAA.

However, participation in teaming arrangements with other eligible participants is allowed to the extent that such an arrangement is permitted under the sponsoring agreement between the Government and the FFRDC.

2.4 Department of Defense Laboratories

Department of Defense laboratories are not eligible to receive awards under this BAA and should not submit White Papers in response to this BAA. As with FFRDCs, these organizations may participate in teaming arrangements with eligible sources from academia and industry that are submitting offers in response to this BAA.

2.5 University Affiliated Research Centers (UARCs)

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

2.6 Teaming

Teams are also encouraged and may submit proposals in any and all areas. However, offerors must be willing to cooperate and exchange software, data and other information in an integrated program with other contractors.

3.0 North American Industry Classification System (NAICS) Code

The NAICS codes for this announcement are 541712: Research and Development in the Physical, Engineering, and Life Sciences (except Biotechnology), and 541711: Research and

HQ0034-17-BAA-RIF-0001

Development in Biotechnology. Please see page 32 and 33 of the SBA Business Size Standards located https://www.sba.gov/sites/default/files/files/Size_Standards_Table.pdf . Submitters are only required to have one of the above NAICS codes in order to submit.

4.0 System for Award Management (SAM)

All offerors submitting White Papers must have an active registration in SAM at https://www.sam.gov/portal/public/SAM prior to the BAA close date. Failure to indicate whether your entity is a small business for the NAICS codes listed in Section 3.0 in www.SAM.gov prior to the BAA close date may result in your White Paper not being considered.

5.0 Award Instrument Types

The type of FAR contract selected by the Government will be either a firm fixed price contract, or a cost reimbursement type contract, in accordance with FAR Part 16, Contract Types. If a cooperative agreement is selected, the award will be in accordance with DoD Regulation 3210.6-R, Department of Defense Grant and Agreement Regulations. Other Transaction Authority (OTA) 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.

6.0 Communications with Offerors

6.1 Solicitation Amendments

Amendments or links to amendments will be posted to FEDBIZOPPS https://www.fbo.gov. Although other web pages may repost these amendments, offerors are advised that the FEDBIZOPPS web page is the only official record.

6.2 RIF Inquiries

At any time during the BAA period (March 17 to May 19, 2017, 3 p.m. ET), Offerors may submit written questions to questions@dodrif.com, Subject: FY2017 RIF Question, or insert [DoD Component / Requirement No] if the question pertains to a technical requirement. The questioner and respondent shall remain anonymous. All relevant and/or BAA clarification question(s) will be posted as an amendment to this solicitation on FEDBIZOPPS not later than April 28, 2017. Offerors are advised to monitor FEDBIZOPPS during the solicitation period for amendments to the solicitation.

6.3 DoD Component Inquiries

Non-technical questions pertaining to a particular DoD Component should be submitted in accordance with the instructions given in the Component's Annex in Section 13.0 of this solicitation.

https://www.sba.gov/sites/default/files/files/Size_Standards_Table.pdf https://www.sam.gov/portal/public/SAM https://www.fbo.gov/ mailto:questions@dodrif.com

HQ0034-17-BAA-RIF-0001

During the open BAA period offerors may also submit technical questions directly to the Technical Point of Contact (TPOC) for the DoD Component identified in the Component's Annex in Section 13.0 of this solicitation. Questions may be addressed to either the telephone contact or email. For emails, place the following in the subject line:

FY2017 RIF Question for [Insert DoD Component / Requirement #]. Offerors have an opportunity to ask technical questions only about specific requirements. Questions should be limited to specific information related to improving the understanding of a particular requirement. Offerors may not ask for advice or guidance on solution approach and may not submit any material to the technical POC.

6.4 Notifications

White Papers

All offerors submitting a White Paper in response to this BAA will receive an email message. The e-mail will either inform the offeror that its White Paper was selected for invitation to submit a Proposal or its White Paper was not selected for an invitation.

Proposals

Offerors invited or requested to submit Proposals will receive an email or other written notification from the DoD Component cognizant contracting officer providing instructions for the submission of a proposal. Similarly, offerors that submit a proposal will receive an email or other written notification if their proposal has been selected for award.

Note: Notification of White Paper and proposal selection is not an authorization to begin work.

6.5 Debriefings

White Paper evaluation will not entitle the offeror to a debrief as no award can result from a White Paper. However, for Proposals, the Component contracting officer shall follow the procedures in FAR 15.5.

7.0 Program Funding

Those selected for award may receive up to $3M in RIF Program funding. White Papers or Proposals submitted for greater than $3M may be eliminated from further consideration. Awards for greater than $3M require OSD AT&L waiver and congressional notification.

There are no funds specifically appropriated by Congress for this BAA. Funding for potential projects in this notice is contingent upon the availability of funds from a Fiscal Year 2017 appropriation. Applicants are hereby given notice that funds have not yet been appropriated for any proposed requirements in this notice.

8.0 Period of Performance

The performance period shall not exceed 24 months from date of contract award.

9.0 Two-Step Solicitation Process

9.1 General Information

No paper copies of this solicitation will be issued. The government reserves the right to fund all, some or none of the proposals in response to this announcement and to create and maintain a reserve list of proposals for potential funding, in the event that sufficient funding becomes available. No funding will be provided to offerors for reimbursement of costs incurred to respond to this solicitation. White Papers, technical and cost or price proposals (or any other material) submitted in response to this BAA will not be returned.

All submissions will be treated as sensitive competitive information and their contents will be disclosed only for the purposes of evaluation.

9.2 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.

9.3 Reserved

9.4 Electronic Submissions

Offerors must register and submit White Papers to the following DoD RIF websites:

• RIF Main Page (contains below links) - http://www.dodrif.com

1. Army - http://www.dodrif.com/user/login

2. DoN - https://navyrif.com/submission

3. Air Force - https://www.afrif.com

4. OSD Defense Agencies - http://www.dodrif.com/user/login

White Papers provided by any other means (e.g. hand-carried, postal service mail, commercial carrier, fax or e-mail) will not be considered.

White Papers will be considered “works in progress” until the offeror submits http://www.dodrif.com/ http://www.dodrif.com/user/login https://navyrif.com/submission https://www.afrif.com/

HQ0034-17-BAA-RIF-0001

electronically all three sections in accordance with section 9.5. The respective DoD RIF submission website will provide offerors a printable confirmation of successful White Paper submission upon completion. White Papers remaining in the system after the due date that have not been finalized will not be evaluated.

9.5 Step 1: Submission of White Papers

White Papers shall address one of the requirements listed in Section 13.0 of this announcement. Only UNCLASSIFIED White Papers will be accepted. 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.

White Papers must be received through the appropriate DoD RIF submission website NLT 3:00 p.m. ET, May 19, 2017. All White Paper submissions must comply with the submission guidelines/templates provided on the respective websites. Failure to comply may result in the rejection of the White Paper during the review. Offerors are responsible for accessing the appropriate DoD RIF submission website and for submitting electronic White Papers to the website specified in Section 9.4. When sending electronic files, the offeror shall account for potential delays in file transfer from the originator’s computer server to the DoD RIF submission website. 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 includes electronic evidence of receipt. Offerors should print and maintain for their records the electronic date/time stamped receipt appearing on the final screen following each submission. All submissions shall be fully uploaded and submitted before the due date and time in order to be considered submitted timely. There will be no exceptions.

Any modification or revision to the White Paper received at the respective DoD RIF submission website after the exact time specified for receipt of offers is “late” and will not be considered.

9.5.1 White Paper Structure

A complete White Paper will consist of three sections: Section One, the Cover Sheet, Section Two, the Technical Description (to include cost), and Section Three, the Quad Chart.

Number of Pages: The White Paper submission is limited to four pages, which includes Sections Two (Technical Description) and Three (Quad Chart) (discussed below). Section One (Cover Sheet) does NOT count towards the page count. Pages submitted in excess of the stated limits will not be read or evaluated.

Section One – Cover Sheet (Online Form)

HQ0034-17-BAA-RIF-0001

The Cover Sheet is prepared on a DoD RIF submission website. The Cover Sheet must be prepared before Sections Two and Three can be submitted. 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 submit the Technical Description and Quad Chart. Offerors are responsible for ensuring that all sections have been submitted and accepted by the website. Detailed submission instructions are available on each Component’s website. Cover Sheet data elements required vary by Component.

Section Two – Technical Description (TD)

The TD shall be prepared outside of the respective DoD RIF submission website and then uploaded to the submission site as a PDF attachment. Ensure your TD adequately describes the proposed approach and resulting contributions. The TD 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 (3-5 sentence description) this contribution addresses one or more of the goals listed below:

• Enhanced Military or DoD System Capability – Describe how your proposed project significantly increases or improves the military capabilities in relationship to requirements identified in Section 13 and/or acquisition program needs.

• Accelerated Military or DoD System Development Capability – Describe how your proposed project accelerates the development and ability to deploy military or system capabilities required for use by the Department of the Defense.

• Reduces Costs – Describe how your proposed project reduces the development, acquisition, sustainment, demilitarization, or total ownership costs of the identified fielded system or acquisition program.

• Reduce Technical Risks – Describe how your proposed approach can reduce the probability of program failure.

• Improve the timeliness and thoroughness of test and evaluation outcomes –

Describe how your innovative technology contributes to improving testing timelines/results.

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, including:

• Project objectives and scope.

HQ0034-17-BAA-RIF-0001

• Overview of tasks and methods planned to achieve each objective.

• 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.

• The current Technology Readiness Level (TRL) of the technology and/or product and what you think is required in testing by the government in order for your technology or product to be incorporated into a defense system or military program. DoD seeks a Technology Readiness Level (TRL) goal of 5 - 6 for entry and goal of 7 - 9 for exit (for descriptions of TRL, see www.acq.osd.mil/chieftechnologist/publications/docs/TRA2011.pdf.) In circumstances of exceptional technical merit, proposals with a lower TRL rating will be considered for award, as warranted by the Source Selection Authority.

• Discuss the benefits of your product or technology as it applies to the requirement addressed and how you plan to transition deliverables to a Government acquisition program, including any restrictions on Government use, release, or disclosure of technical data or computer software presenting transition difficulty and/or increased risk/cost to the Government.

3. Schedule: Provide a proposed project schedule and describe how the proposed schedule is achievable for the proposed technical approach. Technologies should be accepted for insertion by a military system or defense program within 24 months of contract award, though actual integration and insertion usually occur beyond the two-year RIF performance period.

Discuss and/or use a Gantt chart or similar master planning tool to describe:

• Major activities/milestones to include transition and/or deployment events

• Deliverables

• Metrics/measures of success

• Potential risks and risk mitigation plans

4. Costs: Name and describe the estimated costs for the proposed technical approach, including:

• The methods (e.g., expert judgment, analogous estimating, parametric estimating) used to ensure that the proposed costs are realistic for the technical approach proposed

• Additional funds, if any, expected to complete the project including the timing, source, amount, and planned use of the funds. Describe funding dependencies, if any or known, such as a firm commitment from a government organization, and/or Internal Research and Development, which may be critical to the http://www.acq.osd.mil/chieftechnologist/publications/docs/TRA2011.pdf completion of a task.

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 and preferably Times New Roman. Bolding, underlining, and italics may be used to identify 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.

Headers: The offeror's name and applicable requirement number shall be in the header of each page. The header may be included in the one-inch margins.

Section Three – Quad Chart

The unclassified Quad Chart shall be prepared outside of the respective DoD RIF submission website in Landscape orientation and then uploaded to the submission site as an editable PowerPoint attachment. A Quad Chart template can be found at the Federal Business Opportunity website, FY2017 DoD Rapid Innovation Fund (RIF) Broad Agency Announcement, on the right hand side column, titled "Appendix 1 - Quad Chart Format”. The Quad Chart should be formatted as stated and include the following information:

• Heading (Arial 24pt Bold) o Title of Project o Company o Requirement number (#)

• Upper Left Quadrant:

o Picture or graphic illustrating proposed technology development

• Lower Left Quadrant (Arial 12pt Normal):

o Project objectives and scope o Key personnel, facilities/equipment o Related prior or current work

• Upper Right Quadrant (Arial 12pt Normal):

o How the technology contributes and addresses the requirement o How the technology will transition to existing military systems or programs o Technical Readiness Level (current level and anticipated level at project completion)

• Lower Right Quadrant: (Arial 12pt Normal):

o Estimated costs o Major activities/milestones to include transition and/or deployment events o Deliverables, metrics/measures of success o Potential risks

The Government’s decision to invite an offeror to submit a Proposal will be based upon the evaluation results of the White Paper submission. If an offeror does not submit a White Paper by the specified due date and time, it is not eligible to participate in Step 2 of the solicitation process.

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

Security: Do not lock or encrypt any files uploaded as part of your White Paper submission.

9.6 Step 2: Submission of Proposals

Proposals are by invitation only. The Government will extend invitations for submission of Proposals for those White Paper submissions that merit further consideration.

Proposals shall expand on the White Paper submission providing sufficient detail that represents an innovative approach to accelerating the transition of defense-related technologies. Invitations or Requests for Proposals will be sent from respective DoD Component contracting officers to offerors. The anticipated due date and time for Proposals will be included in the proposal invitation.

Offerors are advised only properly warranted Government contracting officers are legally authorized to contractually bind or otherwise commit the Government. The Government reserves the right to request any additional, necessary documentation once it makes the award instrument determination. Offerors may be removed from award consideration should the parties fail to reach agreement on award terms, conditions and cost/price within a reasonable time, or if the offeror fails to timely provide requested additional information.

9.6.1 Format of Proposals

Specific DoD Component information for Proposal preparation instructions will be provided with the invitation or request for Proposals. Do not lock or encrypt any files submitted as part of the proposal submission. Perform a virus check before uploading any files to the submission websites. If a virus is detected, it may cause rejection of the file.

Proposal prices and terms and conditions shall remain valid for 180 days from the submission date of the Proposal.

10.0 White Paper and Proposal Evaluations

The evaluation process will be conducted using technical subject matter expert reviews 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 evaluation factors stated herein rather than against other White Papers for requirements in the same general

HQ0034-17-BAA-RIF-0001

area. Each Proposal will be evaluated based on the merit, relevance and cost of the specific proposal as it relates to the evaluation factors stated herein rather than against other proposals for requirements in the same general area.

10.1 Evaluation Factors

White Papers and proposals will be evaluated using adjectival ratings applied to each of the non-price factors:

• Factor #1 – Contribution to the Requirement: The degree to which the technical approach is relevant to the proposed requirement.

• 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. This includes an evaluation of the probability for transition of this effort into an acquisition program, a military system, or other military capability.

• Factor #3 – Schedule: The degree to which the proposed schedule is achievable within 24 months from award.

• Factor #4 – Cost Estimating Methods, Risks and Controls: The degree to which the proposed costs are realistic for the technical approach and the methods used to demonstrate the offeror’s ability to complete the total project for the amount requested are in accordance with the BAA. This includes an evaluation of the potential cost risks and controls used to mitigate those risks.

During evaluations, Factors #1 and #2 are equally important; Factors #3 and #4 are equally important. When considered together Factors #1 and #2 are significantly more important than Factors #3 and #4.

10.2 Adjectival Ratings

During the evaluation of White Papers and Proposals, the following adjectival ratings will be used for each of the non-price factors. White Papers will receive a “Go” or “No Go” determination as to whether it will receive further consideration. If during any evaluation a factor is deemed “Marginal” or “Unacceptable” that evaluation will automatically receive a “No Go” determination and will not receive further consideration.

• Outstanding (O) – The White Paper/ Proposal meets requirements and indicates an exceptional approach and understanding of the requirements. Strengths far outweigh any weaknesses. The risk of unsuccessful performance is very low.

• Good (G) – The White Paper/ Proposal meets requirements and indicates a thorough approach and understanding of the requirements. Strengths outweigh any weaknesses. The risk of unsuccessful performance is low.

• Acceptable (A) – The White Paper/ 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.

The risk of unsuccessful performance is no worse than moderate.

• Marginal (M) – The White Paper/ Proposal does not clearly meet requirements and has not demonstrated an adequate approach and understanding of the requirements. One or more weaknesses are not offset by strengths. The risk of unsuccessful performance is high.

• Unacceptable (U) – The White Paper/ Proposal does not meet requirements and contains one or more deficiencies. The proposal is not awardable.

11.0 Award Information

11.1 Commitment to Small Business

It is the policy of the Department of Defense to provide maximum opportunity to small businesses, including small businesses in all socioeconomic categories to participate in DOD acquisitions. DoD is strongly committed to providing prime and subcontracting opportunities for small businesses, including small businesses in all socioeconomic categories, and, Historically Black Colleges and Universities, and Minority Institutions to support the RIF program.

Selection preference shall be given to small business offers addressing the above evaluation factors. If a small business (prime) proposer is teaming with an other-than-small business on the project, the small business must perform at least 51 percent of the cost of the work.

Awards to other than small business offerors are allowed but ONLY after the approval authority determines the offer is superior to an offer received from a small business.

Offers from an other-than-small business proposer must demonstrate how it intends to provide meaningful small business participation opportunities to support its proposed project (see Section 11.5).

11.2 Basis of Award

The Government intends to make multiple awards resulting from this announcement and reserves the right to select for award any, all, part, or none of the proposals received. 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.

11.3 Negotiation and Discussions

Each Component will determine if negotiations or discussions are required.

11.4 DCAA-Approved Accounting System

Offerors selected for a cost-type award must have a Defense Contract Audit Agency (DCAA)-approved accounting system. Guidance is available at http://www.dcaa.mil.

Offerors are encouraged to obtain DCAA accounting system approval prior to the award timeframe. Lack of a DCAA approved accounting system will delay and possibly prevent a cost-type or any other award. Questions may be addressed to the Component Point of Contact listed in Section 13.0. While a DCAA audit is pending, a Component contracting officers may make a determination that the offeror’s accounting system is acceptable in accordance with FAR 242.7502 and the clause at FAR 252.242-7006, Accounting System Administration.

11.5 Subcontracting Plans

For offers proposed in excess of $700,000 by other than small businesses, the offeror is required to submit a Subcontracting Plan in accordance with FAR 52.219-9. As such, subcontracting plans will be reviewed (and negotiated as necessary) to ensure subcontracting plans are compliant with FAR Subpart 19.7.

11.6 Contract Options

RIF statute encourages the Department use mechanisms to facilitate transition of technology into acquisition programs. Under FAR 52.217-7, 52.217-8, and 52.217.9, contracting offices may include options in RIF contracts for further testing, low rate production, or full rate production of technologies developed under the RIF program.

These options can be executed by the cognizant contracting activity beyond the performance period for the RIF deliverables, e.g., beyond the 24-month performance for the baseline RIF contract.

12.0 Other Information

The cost of preparing submissions in response to this solicitation is not considered an allowable direct charge to any resulting or any other contract. However, it may be an allowable expense to a normal Bid and Proposal indirect cost as specified in

FAR 31.205-18.

12.1 Provisions and Clauses

This BAA lists some provisions and clauses that may be required to be incorporated in resulting contracts. Similar provisions may be included in the terms and conditions of resulting Cooperative Agreements and Other Transactions. Component contracting http://www.dcaa.mil/

HQ0034-17-BAA-RIF-0001

officers are required to insert applicable provisions and clauses in their invitations for Proposals.

52.252-1 SOLICITATION PROVISIONS INCORPORATED BY REFERENCE

(Feb 1998)

This solicitation incorporates one or more solicitation provisions by reference, with the same force and effect as if they were given in full text. Upon request, the contracting officer will make their full text available. The offeror is cautioned that the listed provisions may include blocks that must be completed by the offeror and submitted with its quotation or offer. In lieu of submitting the full text of those provisions, the offeror may identify the provision by paragraph identifier and provide the appropriate information with its quotation or offer. Also, the full text of a solicitation provision may be accessed electronically at http://farsite.hill.af.mil. Note: These provisions do not apply to White Paper submissions, but may be incorporated by the Component contracting offices if proposers are invited or requested to submit proposals.

52.204-10 – Reporting Executive Compensation and First-Tier Subcontract Awards (Jul 2013)

252.211-7003 – Item Identification and Valuation (Aug 2008)

52.215-22 – Limitations on Pass-Through Charges—Identification of Subcontract Effort (Oct 2009)

52.215-23 – Limitations on Pass-Through Charges (Oct 2009) (ALT I)

52.217-7 – Option for Increased Quantity -- Separately Priced Line Item (Mar 1989)

52.217-8 – Option to Extend Services (Nov 1999)

52.217-9 – Option to Extend the Term of the Contract (Mar 2000)

52.219-28 – Post-Award Small Business Program Representation (Apr 2012)

52.222-54 – Employment Eligibility Verification (Aug 2013) (This clause will not be include in Cooperative Agreements or Other Transactions)

252.227-7013 – Rights in Technical Data--Noncommercial (Feb 2014)

252.227-7014 – Rights in Noncommercial Computer Software and Noncommercial Computer Software Documentation (Feb 2014)

252.227-7015 – Technical Data—Commercial Items (Feb 2014) http://farsite.hill.af.mil/

HQ0034-17-BAA-RIF-0001

252.227-7017 – Identification and Assertion of Use, Release, or Disclosure Restrictions (Jan 2011)

252.227-7018 – Rights in Noncommercial Technical Data and Computer Software-- Small Business Innovation Research (SBIR) Program (Feb 2014)

252.227-7037 – Validation of Restrictive Markings on Technical Data (Jun 2013)

252.232-7003 – Electronic Submission of Payment Requests and Receiving Reports (Jun 2012)

252.235-7002 – Animal Welfare

252.235-7004 – Protection of Human Subjects (Jul 2009)

12.2 BAA-100 Organizational Conflicts of Interest (OCI)

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.

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.

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)

HQ0034-17-BAA-RIF-0001

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 Government.

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.

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.

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.

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 Government.

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

HQ0034-17-BAA-RIF-0001

disclosure or an update of the previously submitted disclosure or representation.

12.3 BAA-200 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.

12.4 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.

12.5 Essentially Equivalent Work

While it is permissible, 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.

12.6 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 to the contracting office extending the invitation for proposal.

12.7 Recombinant DNA

All research involving recombinant DNA must include documentation of compliance with Department of Human and Health Services (DHHS) recombinant DNA http://www.pmddtc.state.gov/regulations_laws/itar.html

HQ0034-17-BAA-RIF-0001

regulations, and shall comply with the applicable federal and state law, regulation and any additional agency guidance. Research must be approved by an Institutional Biosafety Committee (IBC).

12.8 Department of Defense High Performance Computing Program

The DoD High Performance Computing Program (HPCMP) furnishes the DoD S&T and DT&E communities with use-access to very powerful high performance computing systems. Awardees may be eligible to use HPCMP assets in support of their funded activities if Program Office approval is obtained and if security/screening requirements are favorably completed. Additional information and an application may be found at http://www.hpcmo.hpc.mil/.

12.9 Limitations on Other Transactions

Offerors are advised that an Other Transaction (OT) for Prototype Agreement (P.L. Law 103-160 § 845) may only be awarded if there is:

• At least one nontraditional defense contractor participating to a significant extent in the prototype project, or

• No nontraditional defense contractor is participating to a significant extent in the prototype project, but at least one of the following circumstances exists:

o At least one third of the total cost of the prototype project is to be paid out of funds provided by the parties to the transaction other than the federal government. The cost share should generally consist of labor, materials, equipment, and facilities costs (including allocable indirect costs).

o Exceptional circumstances justify the use of a transaction that provides for innovative business arrangements or structures that would not be feasible or appropriate under a procurement contract.

• Although use of one of these options is required to use an Other Transaction for Prototype agreement as the procurement vehicle, no single option is encouraged or desired over the others.

For purposes of determining whether or not a participant may be classified as a nontraditional defense contractor and whether or not such participation is determined to be participating to a significant extent in the prototype project, the following definitions are applicable:

“Nontraditional defense contractor” means a business unit that has not, for a period of at least one year prior to the date of the OT agreement, entered into or performed on:

• any contract that is subject to full coverage under the cost accounting standards prescribed pursuant to section 26 of the Office of Federal Procurement Policy Act (41 U.S.C. 422) and the regulations implementing such section; or

• any other contract in excess of $500,000 to carry out prototype projects or to perform applied research or advanced development projects for a Federal agency that is subject to the Federal Acquisition Regulation.

http://www.hpcmo.hpc.mil/

“Participating to a significant extent in the prototype project” means that the nontraditional defense contractor is supplying a new key technology or product, is accomplishing a significant amount of the effort wherein the role played is more than a nominal or token role in the research effort, or in some other way plays a significant part in causing a material reduction in the cost or schedule of the effort or an…