FY_2019_HQ0034-19-BAA-RIF-0001.docx

The Washington Headquarters Services, Acquisition Directorate On behalf of the Department of Defense releases the FY 2019 Rapid Innovation Fund Broad Agency Announcement

Announcement Number: HQ0034-19-BAA-RIF-0001 Issue Date: January 14, 2019 Close Date: March 8, 2019 Important Please assess the entire solicitation carefully prior to any response.

The Rapid Innovation Fund utilizes a two-phase process to solicit offers and select a source for award.

· Phase One – Submission of White Papers

· Phase Two – Submission of Proposals (By Invitation Only) White Paper Submission: DoD begins accepting white paper submissions 12 February 2019 via the DoD Rapid Innovation Fund Program submission portal located https://www.dodrif.us.

Submission Deadline: 15:00 Eastern Standard Time, March 8, 2019 Classified White Papers are not accepted under the DoD Rapid Innovation Fund Program.

Help Desk: questions@dodrif.us

Distribution Statement:

DoD FY2019 Rapid Innovation Fund Broad Agency Announcement: HQ00XX-19-BAA-RIF-0001

DoD FY2019 Rapid Innovation Fund

HQ00XX-19-BAA-RIF-0001 1

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Table of Contents

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DoD FY2019 Rapid Innovation Fund Broad Agency Announcement: HQ0034-19-BAA-RIF-0001 iv DoD FY2019 Rapid Innovation Fund

HQ00XX-19-BAA-RIF-0001

Draft ii Executive Summary . The goal of the Rapid Innovation Fund (RIF) Program is to facilitate the rapid insertion of innovative technologies into military systems or programs that meet critical national security needs. The Department of Defense (DoD) seeks mature technologies for final development, testing, evaluation, and integration. Offerors selected for award may receive up to $3 million in RIF Program 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: 1) White Paper submission and 2) Proposal submission are requested by invitation only. 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.

General Information Introduction . This Broad Agency Announcement (BAA), procurement instrument identification number HQ0034-19-BAA-RIF-0001, constitutes the solicitation of offers for research and development (R&D) for the RIF Program. The RIF Program was enacted by Congress in Section 1073 of the National Defense Authorization Act of Fiscal Year (FY) 2011 to facilitate the rapid insertion of innovative technologies into military systems or programs that meet critical national security needs. The RIF Program was made permanent by the 2017 NDAA.

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 to include 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 the RIF Program.

Offers submitted in response to this BAA should resolve operational challenges or other critical national security needs as characterized by the DoD requirements. DoD organizations participating in the RIF Program BAA may include but are not limited to the Military Services (e.g. Department of Army, Department of the Navy, Department of the Air Force, Combatant Commands, and Other Defense Agencies such as: 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 (USAFRICOM), United States Central Command (USCENTCOM), United States Indo-Pacific Command (USINDOPACOM); United States Southern Command (USSOUTHCOM); United States Special Operations Command (USSOCOM); and United States Transportation Command (USTRANSCOM). These organizations are herein referred to as the DoD Components.

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.

Table 1: Solicitation Contract Officers

Key Dates Table 2: BAA Key Dates

Eligible Sources 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.

Foreign Participants . 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 Code of Federal Regulations (CFR) statute (§) 1201.1. Foreign participants and/or individuals may participate to the extent that such participants comply with any necessary Non-Disclosure Agreements (NDAs), security regulations, and any other applicable statutes.

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, although, 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.

Department of Defense Laboratories . DoD 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.

University Affiliated Research Centers (UARCs) . UARCs are eligible to submit proposals under this BAA unless precluded from doing so by their DoD UARC contracts.

Teaming . Teams are encouraged to submit proposals in any and all areas. Offerors must be willing to cooperate and exchange software, data and other information in an integrated program with other contractors. To receive small business preference, 51% of the work effort needs to be completed by small business and the prime contractor needs to be a small business.

North American Industry Classification System (NAICS) Code . The NAICS codes for this announcement are 541715: Research and Development in the Physical, Engineering, and Life Sciences (except Biotechnology), and 541714: Research and Development in Biotechnology. Please review page 34 of the SBA Business Size Standards dated 1 Oct 2017, located https://www.sba.gov/sites/default/files/2018-07/NAICS%202017%20Table%20of%20Size%20Standards.pdf. Offerors are only required to have one of the above NAICS codes in order to submit.

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.

Award Instrument Types . In accordance with FAR Part 16, any resultant FAR contract awarded by the Government for the RIF Program shall be offered as a firm-fixed-price contract or a cost-reimbursement type contract. If a proposal for cooperative agreement is selected for award, that award shall be in accordance with DoD Regulation 3210.6-R, Department of Defense Grant and Agreement Regulations. Other Transaction Authority (OTA) contracts 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). Determination of contract types and funding arrangements are chosen at the sole-discretion of the Government.

Solicitation Amendments.

Official amendments or links to amendments will be posted to FEDBIZOPPS https://www.fbo.gov.

RIF Program Inquiries . During the BAA open period, Offerors may submit written questions to questions@dodrif.us, Subject: FY2019 RIF Question, or insert [DoD Component / Requirement Number] 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 Feb 25, 2019. Offerors are advised to monitor FEDBIZOPPS during the solicitation period for amendments to the solicitation.

DoD Component Inquiries.

Non-technical questions pertaining to a particular DoD Component should be submitted in accordance with Section 13.0 of this solicitation. During the open BAA period Offerors may submit technical questions directly to a specific requirement’s Technical Point of Contact (TPOC) via email or contact the TPOC at the phone number provided. Questions to TPOCs should be limited to specific information related to improving the understanding of a particular requirement. Offerors will not request guidance on solution approach and will not submit any material to the TPOC.

Emails to TPOCs shall utilize the following format within subject lines: FY2019 RIF Question for [Insert DoD Component / Requirement #].

Notifications . Notification of white paper and proposal selection is not an authorization to begin work.

White Papers . Offerors of white papers submitted in response to this BAA will receive an email message indicating whether or not their white paper was selected for invitation to submit a proposal. Offerors notified that their white paper was selected to receive an invitation to submit a proposal will later receive an email or other written notification from the DoD Component Contracting Officer providing specific instruction formally requesting follow-on submission of the related proposal.

Proposals . Offerors that submit a proposal will receive an email or other written notification if their proposal has been selected for award.

Debriefings . White papers are not entitled to a debriefing.

Program Funding . Funds have been appropriated for the RIF Program by the U.S. Congress. Proposals 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 OUSD(R&E) waiver and congressional notification.

Period of Performance . The performance period for any contract award shall not exceed 24-months from date of contract award.

Two-Step Solicitation Process General Information . Hard copies of this solicitation will not be issued. The Government reserves the right to fund all, some or none of the proposals in response to this BAA and to create and maintain a reserve list of proposals for potential funding, in the event that sufficient funding becomes available. Funding will not 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 to authorized personnel for the purposes of evaluation.

E-mail Addresses . It is the Offerors’ 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.

Electronic Submissions . White papers for the RIF Program can only be submitted electronically and must be done so by way of the RIF Program submission website at https://www.dodrif.us.

A valid white paper submission consists of a cover sheet, technical description (to include cost), and a quad chart; white paper submissions may not have a combined page count in excess of five pages. The RIF Program submission website will generate a confirmation message indicating a successful submission that the Offeror may save for their records.

White Papers remaining in the system after the due date that have not been finalized will not be evaluated.

Phase 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, and each white paper should focus on only one requirement. There is no limit on the number of white papers an Offeror may submit in response to this BAA.

All white paper submissions must comply with the guidelines and templates provided within this BAA, the DoD RIF Program submission website, and instructions provided by components.

Completed white papers must be successfully entered into the DoD RIF submission website no later than 15:00 EST, March 8, 2019 in order to be considered submitted and there will be no exceptions to this rule. Any modification or revision of a white paper received after the due date and time will be considered “late” and cannot be considered a successfully submitted white paper.

Offerors are encouraged to complete all white paper submissions early to avoid any file transfer delays due to high volume or problems encountered during the course of the submission transfer from the originator’s computer server to the DoD RIF Program submission website.

Upon successful completion of a white paper submission, the RIF Program submission website shall provide a printable receipt establishing evidence of the occurrence for which Offerors are encouraged to retrieve and maintain within their records.

Failure to meet these guidelines may result in the rejection of a non-compliant white paper during evaluations.

White Paper Structure Sections . A complete white paper consists of three sections: a cover sheet (section one), a technical description (TD) (section two; to include cost), and a Quad Chart (section three).

Page Count . The white paper submission is limited to four pages; however, the Cover Sheet does not count towards the page count.

Section One - Cover Sheet . The cover sheet is generated by the RIF Program submission website for the user to complete online, and must be completed in order for the RIF Program submission website to permit the upload of the associated TD and Quad Chart.

Offerors that intend to submit multiple white papers must prepare a separate cover sheet for each white paper. Offerors are responsible for ensuring that all three sections per white paper have been submitted and accepted by the website.

Section Two - TD.

TDs shall be prepared outside of the RIF Program submission website, saved in .PDF format, and subsequently uploaded to the RIF Program submission website as an attachment when instructed. A TD should adequately describe the proposed approach and resulting contributions towards providing a solution to the intended requirement.

The TD shall include the following sections in the order given below, as applicable:

Contribution to the Requirement.

Provide a high-level project overview describing in 3-5 sentences how this technological contribution addresses one or more of the goals listed below:

Enhanced Military or DoD System Capability – Describe how the 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 the 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 the 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 the 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.

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;

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 a technology or product to be incorporated into a defense system or military program. DoD seeks an entry TRL of 5 - 6 for RIF Program technologies, and maturation up to a TRL between 7 - 9 at the end of work (for descriptions of TRL, review http://acqnotes.com/acqnote/tasks/technology-readiness-level.) 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 the product or technology as it applies to the requirement addressed and a feasible 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.

Schedule.

Propose a project schedule and describe how the schedule is achievable for the projected 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

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 completion of a task.

Text & Font Format . Text shall be at least single-spaced, formatted on 8½ x 11-inch sized 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, FY2018 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) Title of Project Company Requirement number (#) Upper Left Quadrant:

Picture or graphic illustrating proposed technology development Lower Left Quadrant (Arial 12pt Normal):

Project objectives and scope Key personnel, facilities/equipment Related prior or current work Upper Right Quadrant (Arial 12pt Normal):

How the technology contributes and addresses the requirement How the technology will transition to existing military systems or programs Technical Readiness Level (current level and anticipated level at project completion) Lower Right Quadrant: (Arial 12pt Normal):

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

Phase 2: Submission of Proposals.

Proposals are requested 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.

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.

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 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.

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.

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.

Award Information Commitment to Small Business . It is the policy of the DoD 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).

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.

Negotiation and Discussions . Each Component will determine if negotiations or discussions are required.

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 officer 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.

Subcontracting Plans . For Proposals 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.

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.

Exemptions from Cost/Pricing Data and Audit and Records Examination . Pursuant to the January 2018 DFARS Class Deviation (DARS Tracking Number 2018-O0009, Offerors that are small businesses concerns or nontraditional defense contractors may be exempt from providing certified cost or pricing data requirements as specified by Federal Acquisition Regulation (FAR) 15.403-1(b) as well as requirements for audit and records examination under FAR 52.215-2. Notwithstanding these exemptions, the head of the contracting activity may determine that the requirements for the submission of certified cost or pricing data or audit and records examination are required based on the past performance of the specific small business or nontraditional defense contractor, or based on analysis of other information specific to the award. If the HCA makes a determination not to apply the exemption from the audit and records examination requirements, the performance audit shall be initiated within 18 months of the contract completion.

Other Information Submission Costs . 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.

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 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 Offerors are invited or requested to submit proposals.

52.204-10 – Reporting Executive Compensation and First-Tier Subcontract Awards (Oct 2018) 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) 52.217-5 – Evaluation of Options (July 1990) 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 (Jul 2013) 52.222-54 – Employment Eligibility Verification (Oct 2015) (This clause will not be include in Cooperative Agreements or Other Transactions)

DFARS:

252.704-7008 Compliance with Safeguarding Covered Defense Information Controls 252.204-7012 – Safeguarding Covered Defense Information and Cyber Incident Reporting (October 2016) 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) 252.227-7016 - Rights in Bid or Proposal Information (Jan 2011) 252.227-7017 – Identification and Assertion of Use, Release, or Disclosure Restrictions (Jan 2011) 252.227-7030 - Technical Data--Withholding of Payment (Mar 2000).

252.227-7037 – Validation of Restrictive Markings on Technical Data (Sept 2016) 252.232-7003 – Electronic Submission of Payment Requests and Receiving Reports (Jun 2012) 252.235-7002 – Animal Welfare (Dec 2014) 252.235-7004 – Protection of Human Subjects (Jul 2009)

BAA-100 Organizational Conflicts of Interest (OCI) . 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; t he 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; 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) 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 disclosure or an update of the previously submitted disclosure or representation.

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 https://www.pmddtc.state.gov/?id=ddtc_kb_article_page&sys_id=24d528fddbfc930044f9ff621f961987.

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.

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.

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.

Recombinant DNA . All research involving recombinant DNA must include documentation of compliance with Department of Human and Health Services (DHHS) recombinant DNA 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).

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/.

Limitations on Other Transactions

Other Transactions. Offerors are advised that an Other Transaction (OT) for Prototype Agreement in accordance with 10 U.S.C. § 2371b(d)(1) may only be awarded if:

(A) There is at least one nontraditional defense contractor or nonprofit research institution participating to a significant extent in the prototype project.

(B) All significant participants in the transaction other than the Federal Government are small businesses (including small businesses participating in a program described under section 9 of the Small Business Act (15 U.S.C. 638)) or nontraditional defense contractors.

(C) At least one third of the total cost of the prototype project is to be paid out of funds provided by sources other than other than [1] the Federal Government.

(D) The senior procurement executive for the agency determines in writing that 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 contract, or would provide an opportunity to expand the defense supply base in a manner that would not be practical or feasible under a contract.

Definitions. 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 an entity that is not currently performing and has not performed, for at least the one-year period preceding the solicitation of sources by the Department of Defense for the procurement or transaction, any contract or subcontract for the Department of Defense that is subject to full coverage under the cost accounting standards prescribed pursuant to section 1502 of title 41 and the regulations implementing such section.

“Significant Extent” In evaluating the significance of expected NDC/nonprofit research institution participation, pursuant to 10 U.S.C. §2371b(d)(1)(A), the Agreements Officer (AO) is expected to consider input from relevant technical advisors (Legal, Engineering, Program Management, Pricing, Logistics, etc.) in assessing the totality of the circumstances for each proposed prototype project before making an independent judgement as to the significance of expected NDC or nonprofit research institution participation.

The AO should consider, by way of illustration and not limitation, whether the NDC/nonprofit research institution will supply a new key technology, product or process; supply a novel application or approach to an existing technology, product or process; provide a material increase in the performance, efficiency, quality or versatility of a key technology, product or process; accomplish a significant amount of the prototype project; cause a material reduction in the cost or schedule of the prototype project; or, provide for a material increase in performance of the prototype project.

AOs should not establish blanket rules or thresholds for determination of significance, and agencies must not establish local policies which infringe on the AO’s judgment in making such determinations. Blanket policies which provide that expected NDC/nonprofit research institution participation must represent a predetermined percentage of total project value, or total labor dollars, etc., to be considered “significant,” are arbitrary and infringe upon the Agreement Officers responsibility to make a reasoned, prudent and independent determination for each individual prototype project.

For additional information and guidance please see the Other Transactions Guide at the below link:

https://www.dau.mil/guidebooks/Shared%20Documents%20HTML/Other%20Transactions%20(OT)%20Guide.aspx#toc44

Technical and Administrative Support by Non-Government Personnel . The DoD may use non-government personnel (e.g. contractor support personnel) in the review and administration of offers submitted in response to this BAA. Support contractor employees may have access to offers including information that may be considered proprietary. All contractor support personnel having access to any proprietary data are required to execute nondisclosure agreements certifying that they will not disclose any information pertaining to this solicitation including any offers, the identity of any Offerors, or any other information relative to this BAA. The contracts for provision of support personnel contain Organizational Conflict of Interest clauses and include contractual requirements for non-disclosure of proprietary contractor information.

Foreign Participants.

A foreign participant is any person who is not:

a citizen or national of the United States; or a lawful permanent resident; or a protected individual as defined by 8 U.S.C. § 1324b(a)(3).

"Lawful permanent resident" is a person having the status of having been lawfully accorded the privilege of residing permanently in the United States as an immigrant in accordance with the immigration laws and such status not having changed.

"Protected individual" is an alien who is lawfully admitted for permanent residence, is granted…