HQ085020S0001.pdf

Broad Agency Announcement (BAA)

National Defense Space Architecture (NDSA)

Systems, Technologies, and Emerging Capabilities

(STEC)

Space Development Agency (SDA)

HQ085020S0001

January 21, 2020

I. OVERVIEW INFORMATION

II. FULL TEXT OF THE ANNOUNCEMENT

A. Funding Opportunity Description B. Overview C. SDA Focus Areas

III. Award Information A. General Award Information

IV. Eligibility Information A. Eligible Applicants

1. Federally Funded Research and Development Centers (FFRDCs), University Affiliated Research Centers (UARCs), and Government Entities

2. Non-U.S. Organizations and/or Individuals

3. Classified Proposals

B. Organizational Conflicts of Interest C. Cost Sharing/Matching

V. Application and Submission Information A. Application Assistance B. Content and Form of Submission

1. Executive Summary (ES) Format

2. Proposal Abstract (PA) Format

3. Full Proposal (FP) Format

4. Additional Proposal Information

C. Submission Instructions

1. Unclassified Submission Instructions

2. Classified Submission Instructions, Requirements, and Procedures

3. Submission Instructions for both Classified and Unclassified Submissions

D. Funding Restrictions E. Other Submission Requirements

VI. Application Review Information A. Evaluation Criteria

1. Overall Scientific and Technical Merit

2. Potential Contribution and Relevance to the SDA Mission

3. Cost Realism

4. Realism of Proposed Schedule

5. Proposer’s Capabilities and/or Related Experience

B. Review of Submissions

1. Review Process

2. Handling of Source Selection Information

3. Federal Awardee Performance and Integrity Information (FAPIIS)

VII. Award Administration Information A. Selection Notices and Notifications

1. Executive Summaries

2. Proposal Abstracts

3. Full Proposals

B. Administrative and National Policy Requirements

1. Meeting and Travel Requirements

2. FAR and DFARS Clauses

3. Controlled Unclassified Information (CUI) on Non-DoD Information Systems . 31

4. Representations and Certifications

C. Reporting D. Electronic Systems

1. Wide Area Work Flow (WAWF) VIII. Agency Contacts IX. Other Information

I. OVERVIEW INFORMATION

• Federal Agency Name – Space Development Agency

• Funding Opportunity Title – National Defense Space Architecture (NDSA) Systems, Technologies, and Emerging Capabilities (STEC)

• Announcement Type – Initial Announcement

• Funding Opportunity Number – HQ085020S0001

• Dates o Posting Date: 21 January 2020 o Proposal Due Date and Time: 20 January 2021

• Concise description of the funding opportunity – The Space Development Agency (SDA) is soliciting executive summaries, proposal abstracts and proposals for novel architecture concepts, systems, technologies, and capabilities that enable leap-ahead improvements for future tranches of currently planned NDSA capability layers, or, enable new capability layers to address other emerging or evolving warfighters needs.

• Anticipated individual awards – Multiple awards are anticipated.

• Types of instruments that may be awarded – Procurement (FAR-based) contract or other transaction.

• Agency contact: Technical and administrative point of contact for this effort can be reached via: osd.pentagon.ousd-r-e.mbx.hq085020s0001@mail.mil

• Space Development Agency

ATTN: HQ085020S0001

3030 Defense Pentagon Washington, DC 20301-0001

II. FULL TEXT OF THE ANNOUNCEMENT

A. Funding Opportunity Description

This publication constitutes a Broad Agency Announcement (BAA) as contemplated in

Federal Acquisition Regulation (FAR) 6.102(d)(2) and 35.016. Any resultant award negotiations will follow all pertinent law and regulation, and any negotiations and/or awards for procurement contracts will use procedures under FAR 15.4, Contract Pricing, as specified in the BAA. The following information is for those wishing to respond to the BAA.

B. Overview

The National Defense Strategy (NDS) acknowledges that space is vital to the U.S. way of life, our national security, and modern warfare. In an era of renewed great power competition, maintaining our advantage in space is critical to winning these long-term strategic competitions.

Potential adversaries seek to undermine this goal by employing strategies that exploit real or perceived vulnerabilities in our current and planned National Security Space systems. In addition, these potential adversaries are developing and demonstrating multi-domain threats to national security much faster than we can deploy responsive space-based capabilities. The mailto:osd.pentagon.ousd-r-e.mbx.hq085020s0001@mail.mil

Acting Secretary of Defense established SDA as a separate Defense Agency pursuant to Title 10, U.S.C. sections 112, 191, and 192, on 12 March 2019 in response to these challenges.

SDA is responsible for defining and monitoring the Department’s future threat-driven space architecture and accelerating the development and fielding of new military space capabilities necessary to ensure U.S. technological and military advantage in space for national defense. To achieve this mission, SDA is responsible for unifying and integrating next-generation space capabilities to deliver the National Defense Space Architecture (NDSA), a resilient military sensing and data transport capability via a proliferated space architecture in Low Earth Orbit (LEO). SDA will not necessarily develop and field all capabilities of the NDSA but rather orchestrate those efforts across DoD and fill in gaps in capabilities while providing the integrated architecture.

Initially the NDSA is comprised of the following layers, addressing the critical priorities for space identified within the DoD Space Vision:

• Transport Layer, to provide assured, resilient, low-latency military data and communications connectivity worldwide to the full range of warfighter platforms;

• Battle Management Layer, to provide architecture tasking, mission command and control, and data dissemination to support time-sensitive kill chain closure at campaign scales; and

• Tracking Layer, to provide global indications, warning, tracking, and targeting of advanced missile threats, including hypersonic missile systems;

• Custody Layer, to provide 24x7, all-weather custody of time-sensitive, left-of-launch surface mobile targets (e.g., to support targeting for advanced missiles);

• Navigation Layer, to provide alternate positioning, navigation, and timing (PNT) for Global Positioning System (GPS)-denied environments;

• Deterrence Layer, to deter hostile action in deep space (beyond Geosynchronous Earth Orbit (GEO) up to lunar distances);

• Support Layer, to enable ground and launch segments to support a responsive space architecture.

SDA’s mission begins and ends with the warfighter. SDA recognizes that “good enough” capabilities in the hands of warfighter sooner may be better than delivering the perfect solution too late. SDA will deliver capabilities to our joint warfighting forces in two-year tranches, beginning as early as Fiscal Year (FY) 2022. SDA anticipates issuing separate solicitations for the capability layers outlined above, seeking systems and technologies that can be developed and fielded on the SDA tranche timelines to address timely warfighter needs. SDA also recognizes the need to establish an “intellectual pipeline” to access ideas from across the community to inform the future of the NDSA.

Through this BAA, SDA specifically seeks novel architecture concepts, systems, technologies, and capabilities that:

• Enable leap-ahead improvements for future tranches of currently planned NDSA capability layers

• Enable new capability layers to address other emerging or evolving warfighters needs

SDA is soliciting executive summaries, white papers or proposal abstracts, and proposals in the focus areas described below. Although not required, SDA highly encourages submitting an executive summary first to have your concept reviewed by SDA personnel to gauge interest.

Submission instructions can be found in Section IV. Evaluation criteria for this solicitation can be found in Section V.A. SDA anticipates making multiple awards from this solicitation, leading to detailed technical studies, architecture or system-level technical designs, and/or proofs of concept or risk reduction demonstrations.

C. SDA Focus Areas

SDA is seeking architecture studies, concepts of operations (CONOPS), modeling and simulation, system designs, key technologies, and/or risk reduction prototyping that:

1. Enable future space-based, low-latency Transport capabilities. Technical thrusts could include but are not limited to optimized control of modulation techniques (including wide-band or narrow-band operations), communications security functions (e.g. frequency hopping) and unique state of the art waveforms, space implementation of tactical data links, automated dynamic networking and routing techniques, commercial cryptographic systems, blockchain technologies, multiband phased array antennas, multi-level security (MLS), or advanced optical intersatellite links (OISL).

2. Enable space-based Battle Management capability to support time-sensitive kill chain closure at campaign scales. Technical thrusts could include but are not limited to low-latency on-orbit mesh networks, including ad hoc networking protocols, distributed compute, dynamic geospatial and temporal scheduling and tasking; distributed command and control in contested environments; improving performance and/or minimizing size, weight and power (SWaP) of battle management-related onboard hardware and software; trusted autonomy and artificial intelligence (AI); enhanced cybersecurity; or techniques for improving the modularity and interoperability of battle management functionality.

3. Enable global indications, warning, Tracking, and targeting of advanced missile threats, including hypersonic missile systems. This capability encompasses the space-based sensing, as well as algorithms, novel processing schemes, data fusion across sensors and orbital regimes, and tactical data products that can be delivered to the appropriate user. Technical thrusts include but are not limited to integrated, hybrid architectures including existing and planned missile warning / missile defense (MW/MD) capabilities; significant reductions in size, weight, power, and cost (SWaP-C) and/or significant performance improvements of traditional MW/MD hardware, software, algorithms, subsystem, component concepts or designs; identification and exploration of novel MW/MD sensing concepts or design; or enabling disciplines and technologies such as systems engineering, program security, cybersecurity, logistics, or mission and quality assurance.

4. Enable 24x7, all-weather surveillance and Custody of time-sensitive left-of-launch surface mobile targets in support of targeting for advanced missiles. Technical thrusts could include but are not limited to dramatic reductions in SWaP-C and/or dramatic performance improvements of traditional space-based sensing payloads (e.g., visible, infrared, synthetic aperture radar, and multispectral); identification and exploration of novel sensing phenomenologies; fusing multiple phenomenologies from multiple satellites/constellations for improved performance and targeting especially in a denied environment; techniques for improved target extraction and dissemination in space-based processing environments; memory management and target hypothesis distribution from one satellite node to the next; or design of a multi-phenomenology fusion architecture that enables the agile incorporation of new algorithms.

5. Enable alternate Positioning, Navigation, and Timing (PNT) capabilities for GPS-denied environments supporting both determining predicted orbit and clock offsets, and provisions for transmitting a navigation waveform to DoD and other tactical users. Technical thrusts could include but are not limited to satellite-to-satellite/ground ranging via optical crosslinks and orbit and timing prediction applications; candidate navigation signals (waveforms) and frequency bands with included CONOPS designed to maximize performance, availability, and integrity;

cryptographic systems to protect PNT integrity, confidentiality, and/or availability; low SWaP- C atomic clocks or other timekeeping systems; or other hardware or software to support alternate PNT.

6. Enable the timely attribution of potential deep space threats (beyond the GEO region), and offer techniques for mitigating those threats, with the ultimate objective of Deterrence of hostile actions by an adversary. Currently SSA assets are primarily focused on lower orbital regimes and provided limited in-situ characterization; moreover, there is a growing interest in regimes beyond GEO, including the lunar regime. Technical thrusts include but are not limited to distributed space-based sensing approaches; low-cost sensor technologies and algorithms capable of detecting dim targets in densely-cluttered star backgrounds and scenes; approaches for integrating space-based space situational awareness (SSA) into user operational environments (e.g., the National Space Defense Center or other entity) to provide timely indications and warning; or an advanced maneuvering vehicle with sufficient kinematic capability to quickly reach areas of interest in the deep space regime

7. Enable a common, resilient ground Support infrastructure necessary to enable the space-based capabilities of the other layers to transmit, receive, process, exploit and/or disseminate data. Fundamentally, this infrastructure must manage the constellation, host and execute tactical command and control (C2) capabilities, host mission processing and BMC3 applications, task and manage ground-based communication entry/exit points, connect across secure long-haul communications networks, implement in-band and out-of-band cyber security systems and provide for general constellation computing, networking and storage capabilities.

Integrating advanced C2 concepts, such as multi-band phased array antennas, as well as concepts of employment including location and number of antennas are also of interest. Finally, this infrastructure must be deployable to Space Operations Centers world-wide, facilitate human-on the loop, and “lights out” operations and provide for operator training

8. Enable NDSA Emerging capability layers to address evolving threats and provide capabilities to the warfighter. Technical thrusts include but not limited to new mission areas that could benefit from a proliferated approach (e.g., next generation weather monitoring, advanced cruise missile defense, etc.), new payloads (both alternate approaches to existing missions and for new mission areas) suitable for SDA use, multi-mission payloads, technologies that could extend proliferation beyond LEO, new spacecraft components and elements that would enable greater performance and new mission sets, and the analysis and system engineering toolsets to support the design process and to demonstrate mission utility to the warfighter. In addition, advanced design and manufacturing techniques that would reduce the cost, increase the rate of production, or reduce the time to develop proliferated space systems would also be of interest.

III. Award Information

A. General Award Information

Multiple awards are anticipated. The amount of resources made available under this BAA will depend on the quality of the proposals received and the availability of funds.

The Government reserves the right to select for negotiation all, some, one, or none of the proposals received in response to this solicitation and to make awards without discussions with proposers. The Government also reserves the right to conduct discussions if it is later determined to be necessary. If warranted, portions of resulting awards may be segregated into pre-priced options. Additionally, the Government reserves the right to accept proposals in their entirety or to select only portions of proposals for award. In the event that the Government desires to award only portions of a proposal, negotiations may be opened with that proposer. The Government reserves the right to fund proposals in phases with options for continued work, as applicable.

Awards under this BAA will be made to proposers on the basis of the evaluation criteria listed below (see Section VI, “Application Review Information,”) and program balance to provide overall value to the Government. The Government reserves the right to request any additional, necessary documentation once it makes the award instrument determination. Such additional information may include but is not limited to Representations and Certifications (see Section VII.B.4, “Representations and Certifications”). The Government reserves the right to remove proposals from award consideration, should the parties fail to reach agreement on award terms, conditions, and/or cost/price within a reasonable time, or the proposer fails to provide requested additional information in a timely manner. Proposals identified for negotiation may result in a procurement contract or other transaction, depending upon the nature of the work proposed, the required degree of interaction between parties, and other factors. Any requests for or assumptions regarding Government Furnished Equipment (GFE) or Government Furnished Information (GFI) should be clearly stated in the proposal.

For any Other Transaction (OT) awarded in accordance with 10 U.S.C. § 2371b(f), the Government may award a follow-on production contract or OT under this BAA if: (1) that participant in the OT, or a recognized successor in interest to the OT, successfully completed the entire prototype project provided for in the OT, as modified; and (2) the OT provides for the award of a follow-on production contract or OT to the participant, or a recognized successor in interest to the OT.

In all cases, the Government contracting officer shall have sole discretion to select award instrument type, regardless of instrument type proposed, and to negotiate all instrument terms and conditions with selectees.

Any award resulting from this BAA will include a requirement for SDA permission before publishing any information related to the SDA-funded effort. The following, or similar, language will be incorporated into awards:

There shall be no dissemination or publication, except within and between the contractor and any subawardees, of information developed under this contract or contained in the reports to be furnished pursuant to this contract without prior written approval of SDA. All technical reports will be given proper review by the appropriate authority to determine which Distribution Statement is to be applied prior to the initial distribution of these reports by the Contractor.

When submitting material for written approval for open publication, the contractor/awardee must submit a request for public release to SDA and include the following information: (1) Document Information: document title, document author, short plain language description of technology discussed in the material (approx. 30 words), number of pages (or minutes of video) and document type (e.g., briefing, report, abstract, article or paper), event date, desired date for SDA’s approval; (2) SDA Program Manager/COR and contract number;

and (3) Contractor/Awardee’s Information: POC name, email and phone. Allow four weeks for processing; due dates under four weeks require a justification. Unusual electronic file formats may require additional processing time. Requests may be sent either via email to osd.pentagon.ousd-r-e.mbx.hq085020s0001@mail.mil or by mail at Space Development Agency, 3030 Defense Pentagon, Washington, DC 20301-0001.

IV. Eligibility Information

A. Eligible Applicants

All responsible sources capable of satisfying the Government's needs may submit a proposal that shall be considered by SDA. Submissions including profane or racially charged language will not be reviewed.

1. Federally Funded Research and Development Centers (FFRDCs), University Affiliated Research Centers (UARCs), and Government Entities

a) FFRDCs and UARCs

FFRDCs and UARCs are subject to applicable direct competition limitations and cannot propose to this BAA in any capacity unless they meet the following conditions. (1) FFRDCs/UARCs must clearly demonstrate that the proposed work is not otherwise available from the private sector. (2) FFRDCs/UARCs must provide a letter, on official letterhead from their sponsoring organization that (a) cites the specific authority establishing their eligibility to propose to Government solicitations and compete with industry, and (b) certifies the FFRDCs/UARCs compliance with the associated FFRDC/UARC sponsor agreement’s terms and conditions. These conditions are a requirement for FFRDCs/UARCs proposing to be awardees or subawardees.

All proposers are expected to address transition; transition is part of the evaluation criteria in Section VI.A. However, given their special status, FFRDCs should describe how and when a proposed technology/system will transition and identify to which Non-FFRDC organization(s).

b) Government Entities

Government Entities (e.g., Government/National laboratories, military educational institutions, etc.) are subject to applicable direct competition limitations. Government Entities must clearly demonstrate that the work is not otherwise available from the private sector and provide written documentation citing the specific statutory authority and contractual authority, if relevant, establishing their ability to propose to Government solicitations and compete with industry. This information is required for Government Entities proposing to be awardees or subawardees.

c) Authority and Eligibility

At the present time, SDA does not consider 15 U.S.C. § 3710a to be sufficient legal authority to show eligibility. While 10 U.S.C.§ 2539b may be the appropriate statutory starting point for some entities, specific supporting regulatory guidance, together with evidence of agency approval, will still be required to fully establish eligibility. SDA will consider FFRDC and Government Entity eligibility submissions on a case-by-case basis; however, the burden to prove eligibility for all team members rests solely with the proposer.

2. Non-U.S. Organizations and/or Individuals

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

3. Classified Proposals

If a submission contains Classified National Security Information or the suspicion of such, as defined by Executive Order 13526, applicants will ensure all industrial, personnel, and information systems processing security requirements are in place and at the appropriate level (e.g., Facility Clearance Level (FCL), Automated Information Security (AIS), Certification and Accreditation (C&A), and any Foreign Ownership Control and Influence (FOCI) issues are mitigated prior to submission. Additional information on these subjects can be found at http://www.dcsa.mil.

http://www.dcsa.mil/

B. Organizational Conflicts of Interest

FAR 9.5 Requirements

In accordance with FAR 9.5, proposers are required to identify and disclose all facts relevant to potential OCIs involving the proposer’s organization and any proposed team member (subawardee, consultant). Under this Section, the proposer is responsible for providing this disclosure with each proposal submitted to the BAA. The disclosure must include the proposer’s, and, as applicable, proposed team member’s OCI mitigation plan. The OCI mitigation plan must include a description of the actions the proposer has taken, or intends to take, to prevent the existence of conflicting roles that might bias the proposer’s judgment and to prevent the proposer from having unfair competitive advantage. The OCI mitigation plan will specifically discuss the disclosed OCI in the context of each of the OCI limitations outlined in FAR 9.505-1 through

FAR 9.505-4.

Agency Supplemental OCI Policy

In addition, SDA has a supplemental OCI policy that prohibits contractors/performers from concurrently providing Scientific Engineering Technical Assistance (SETA), Advisory and Assistance Services (A&AS) or similar support services and being a technical performer.

Therefore, as part of the FAR 9.5 disclosure requirement above, a proposer must affirm whether the proposer or any proposed team member (subawardee, consultant) is providing SETA, A&AS, or similar support to SDA under: (a) a current award or subaward; or (b) a past award or subaward that ended within one calendar year prior to the proposal’s submission date.

If SETA, A&AS, or similar support is being or was provided to SDA, the proposal must include:

• The prime contract number;

• Identification of proposed team member (subawardee, consultant) providing the support;

and

• An OCI mitigation plan in accordance with FAR 9.5.

Government Procedures

In accordance with FAR 9.503, 9.504 and 9.506, the Government will evaluate OCI mitigation plans to avoid, neutralize or mitigate potential OCI issues before award and to determine whether it is in the Government’s interest to grant a waiver. The Government will only evaluate OCI mitigation plans for proposals that are determined selectable under the BAA evaluation criteria and for which funds are available.

The Government may require proposers to provide additional information to assist the Government in evaluating the proposer’s OCI mitigation plan.

If the Government determines that a proposer failed to fully disclose an OCI; or failed to provide the affirmation of SDA support as described above; or failed to reasonably provide additional information requested by the Government to assist in evaluating the proposer’s OCI mitigation plan, the Government may reject the proposal and withdraw it from consideration for award.

C. Cost Sharing/Matching

Cost sharing is not required; however, it will be carefully considered where there is an applicable statutory condition relating to the selected funding instrument. Cost sharing is encouraged where there is a reasonable probability of a potential commercial application related to the proposed research and development effort.

For more information on potential cost sharing requirements for Other Transactions for Prototype, see:

https://www.dau.edu/guidebooks/Shared%20Documents/Other%20Transactions%20(OT)%20G uide.pdf.

V. Application and Submission Information

A. Application Assistance

All administrative correspondence and questions on this solicitation, including requests for information on how to submit an executive summary, proposal abstract, or full proposal to this BAA, should be directed to osd.pentagon.ousd-r-e.mbx.hq085020s0001@mail.mil.

B. Content and Form of Submission

Proposers are strongly encouraged to submit an executive summary and, if encouraged, a proposal abstract in advance of a full proposal. This procedure is intended to minimize unnecessary effort and cost in proposal preparation and review.

All submissions must be written in English with type not smaller than 12-point font. A page is defined as being no larger than an electronically formatted page of 8.5” by 11.0” with type not smaller than 12 point. Smaller font may be used for figures, tables, and charts. Copies of all documents submitted must be clearly labeled with the SDA BAA number, proposer organization, SDA focus area(s) as described in §II.C, and proposal title/proposal short title.

For a proposal that includes both classified and unclassified information, the proposal may be separated into an unclassified portion and a classified portion. The proposal should use the unclassified portion to the maximum extent reasonable. Submissions should be made according to the instructions outlined in Section V.C.

NOTE: Non-conforming submissions that do not follow the instructions herein may be rejected without further review.

https://www.dau.edu/guidebooks/Shared%20Documents/Other%20Transactions%20(OT)%20Guide.pdf https://www.dau.edu/guidebooks/Shared%20Documents/Other%20Transactions%20(OT)%20Guide.pdf

1. Executive Summary (ES) Format

Executive summaries are strongly encouraged in advance of submitting proposal abstracts and full proposals in order to provide potential proposers with a rapid response to minimize unnecessary effort. Proposers should specifically and clearly address the innovation of their proposed system or subsystem component development, the scientific or technical basis for innovative claims, and the impact of the proposed development on military mission capabilities, efficiency, or effectiveness. SDA policy is to treat all submissions as source selection information (see FAR 2.101 and 3.104), and to disclose their contents only for the purpose of evaluation. The executive summary should be clearly marked “EXECUTIVE SUMMARY,” and the total length shall not exceed two [2] pages. All executive summary submissions must be written in narrative form. No formal transmittal letter is required, but submissions must include the organization name, submission title, SDA focus area(s) as described in §II.C, and technical POC information (e-mail and mailing address).

2. Proposal Abstract (PA) Format

Proposers are strongly encouraged to submit a proposal abstract, or white paper, in advance of a proposal. Abstracts should follow the same general format as described for proposals (see V.B.3) but include ONLY sections I and II of Volume I, Technical and Management Proposal. The abstract must include a statement of the anticipated Rough Order of Magnitude (ROM) cost and the anticipated duration of the proposed effort. It is recommended that proposers provide sufficient information to assess the technical performance claims – SDA policy is to treat all submissions as source selection information (see FAR 2.101 and 3.104), and to disclose their contents only for the purpose of evaluation. The cover sheet should be clearly marked “ABSTRACT,” and the total length should not exceed six [6] pages. The maximum page count excludes the cover page in Volume I, Technical and Management Proposal, section I, and official transmittal letter, but does include any figures, tables, or the requested quad chart. An official transmittal letter is not required.

3. Full Proposal (FP) Format

All proposals must be in the format given below. Non-conforming proposals may be rejected without review. The typical proposal should express a consolidated effort in support of one or more related technical concepts or ideas. Disjointed efforts should not be included into a single proposal. Proposals shall consist of two volumes: 1) Volume I, Technical and Management Proposal (composed of three parts), and 2) Volume II, Cost Proposal. The maximum page limit for Volume I is 15 pages (30 pages if the proposal total value exceeds $1 million). Bracketed numbers by each section denote page limits. The page limitation for full proposals includes all figures, tables, and charts.

Ensure that each section provides the detailed discussion of the proposed work necessary to enable an in-depth review of the specific technical and managerial issues. Specific attention must be given to addressing both risk and payoff of the proposed work that make it desirable to

SDA.

Volume I, Technical and Management Proposal, described below, may include an attached bibliography of relevant technical papers or research notes (published and unpublished), which document the technical ideas and approach upon which the proposal is based. Copies of not more than three (3) relevant papers may be included with the submission. The bibliography and attached papers are not included in the page limits. The submission of other supporting materials along with the proposals is strongly discouraged and will not be considered for review.

a) Volume 1, Technical and Management Proposal

Section I: Administrative

(a) Cover Sheet to include {no page limit}:

(1) BAA number (HQ085020S0001)

(2) SDA focus area(s);

(3) Lead organization submitting proposal;

(4) Type of organization, selected among the following categories: “LARGE

BUSINESS,” “SMALL DISADVANTAGED BUSINESS,” “OTHER SMALL

BUSINESS,” “HBCU,” “MI,” “OTHER EDUCATIONAL,” OR “OTHER

NONPROFIT”;

(5) Proposer’s reference number (if any);

(6) Other team members (if applicable) and type of organization for each;

(7) Proposal title;

(8) Technical point of contact to include: salutation, last name, first name, street address, city, state, zip code, telephone, electronic mail;

(9) Administrative point of contact to include: salutation, last name, first name, street address, city, state, zip code, telephone, electronic mail;

(10) Total funds requested from SDA, including total base cost, estimates of base cost in each year of the effort, estimates of itemized options in each year of the effort, and the amount of cost share (if any);

(11) Award instrument requested: cost-plus-fixed-fee (CPFF), cost-contract – no fee, cost sharing contract – no fee, or other type of procurement contract (specify), or other transaction;

(12) Place(s) and period(s) of performance;

(13) Summary of the costs of the proposed research, including total base cost, estimates of base cost in each year of the effort, estimates of itemized options in each year of the effort, and cost sharing if relevant;

(14) Name, address, and telephone number of the proposer’s cognizant Defense Contract Management Agency (DCMA) administration office (if known);

(15) Name, address, and telephone number of the proposer’s cognizant Defense Contract Audit Agency (DCAA) audit office (if known);

(16) DUNS number;

(17) TIN number;

(18) Cage code (lead organization);

(19) Proposal validity period (minimum 180 days);

(20) Affirmation of existing SETA support contracts (see Section IV, Section B). If none, state “none”;

(21) Statement of Unique Capability Provided by Government or Government- Funded

Team Member {no page limit};

(22) Per Section IV, Section A – Eligible Applicants, proposals that include

Government or Government-funded entities (i.e., FFRDC’s, UARCs, National laboratories, etc.) as prime, subcontractor or team member, shall provide a statement that clearly demonstrates the work being provided by the Government or Government- funded entity team member is not otherwise available from the private sector. If none of the team members belongs to a Government or Government-funded entity, then the proposer should state “Not Applicable.”

(23) Date proposal was submitted.

(b) Official transmittal letter {1}

(c) Table of Contents {no page limit}

Section II: Summary of Proposal {4}

Note: The Summary of Proposal should not have any unique information not contained in the Detailed Proposal Information.

(a) Innovation: Succinctly describe the uniqueness and benefits of the proposed research relative to the existing body of research and industry work. Provide a basic description of the scientific or technical basis for the innovative claims.

(b) Results: Provide a short description of the deliverables associated with the proposed research – discuss the results, products, transferable technology, and transition path.

(1) Include in this section all proprietary claims to the results, prototypes, intellectual property, or systems supporting and/or necessary for the use of the research, results, and/or prototype. If there are no proprietary claims, this should be stated.

For forms to be completed regarding intellectual property, see Section IV.B.4.g of this BAA. There will be no page limit for the listed forms.

(2) Proposers responding to this BAA must submit a separate list of all technical data or computer software that will be furnished to the Government with other than unlimited rights. The Government will assume unlimited rights if proposers fail to identify any intellectual property restrictions in their proposals.

(c) Technical Rationale: Provide a short description of the impact of the proposed development on military mission capabilities, efficiency, or effectiveness.

(1) Should include general discussion of other research in this area.

(2) The purpose of this section is to explain why the specific technical approach you chose is superior to other technical approaches. This section is not intended to expand on the military utility of your concept.

(d) Technical Approach: Provide a short description of the technical approach and constructive plan for accomplishment of technical goals in support of innovative claims and deliverable production.

(e) Experience: Describe the unique capabilities of project and corporate team members.

Describe the proposer’s previous accomplishments and work in closely related research areas.

(f) Cost: Cost, schedule and measurable milestones for the proposed research, including estimates of cost for each task in each year of the effort delineated by the prime and major subcontractors, total cost and company cost share, if applicable. (Note: Measurable milestones should capture key development points in tasks and should be clearly articulated and defined in time relative to start of effort.)

(g) Quad Chart: Include, in PowerPoint format, a quad chart that reflects the content and claims in the proposal. The quadrants should be as follows: (1) proposal picture in the upper left-hand quadrant; (2) proposal description in the upper right-hand quadrant;(3) proposal military impact in the lower left-hand quadrant; and (4) proposal budget and schedule. For full proposals, the quad chart will serve as the fourth page.

Section III: Detailed Proposal Information {11, or 26 if proposal total value exceeds $1 million}

(a) Statement of Work (SOW) – In plain English, clearly define the technical tasks/subtasks to be performed, their durations, and dependencies among them. The page length for the SOW will be dependent on the amount of the effort. For each task/subtask, provide:

(1) A general description of the technical objective (for each defined task/activity);

(2) A detailed description of the approach to be taken to accomplish each defined task/activity in support of the innovative claims and deliverable production;

(3) Identification of the primary organization responsible for task execution (prime, sub, team member, by name, etc.);

(4) A top-level schedule for all major tasks and the completion criteria for each task/activity (a product, event or milestone that defines its completion). Please include where the effort could be partitioned into initial and future phases – future phases should be identified as options.

(5) Define all deliverables (reporting, data, reports, hardware, software, technology, products, etc.) to be provided to the Government in support of the proposed tasks/activities; and

(6) Clearly identify any tasks/subtasks (to be performed by either an awardee or subawardee) that will be accomplished on-campus at a university, if applicable.

Note: It is recommended that the SOW should be developed so that each Phase of the program is separately defined. The SOW is not included as part of the Volume I page limit.

Do not include any proprietary information in the SOW.

(b) Technical Rationale:

(1) Provide the technical rationale for the objective requirement, including technology advancements and value-added to DoD capabilities.

(2) Provide technical rationale, scientific basis, and any supporting analysis for the technical approach for each major task/activity.

(3) Provide a comparison of the technical objectives and technical approach with other ongoing research and existing state-of-the-art, indicating advantages and disadvantages of the proposed effort.

(c) Risk and Risk Reduction

(1) Provide an initial list of critical technology risk areas.

(2) Describe the formal process for identifying and tracking the risk elements that translate into critical and unique technologies, processes and system attributes associated with technology objective.

(3) For each proposed risk reduction task:

i. Provide a detailed discussion of the technical objectives of each of the proposed risk reduction tasks as well as quantifiable success metrics.

ii. Describe the technical approach for each risk reduction task.

iii. Describe the value of performing the risk reduction activities during the initial phase, as opposed to deferring them until future phases.

(4) Describe the process for identifying and evaluating applicable technologies available from other Government and industry R&D programs.

(5) Address mitigation of life-cycle and sustainment risks associated with transitioning intellectual property for U.S. military applications, if applicable.

(d) Results

(1) Describe the results, products, transferable technology and expected technology transfer/transition paths.

(2) Provide a description of all proprietary claims to the results, prototypes, intellectual property, or systems. If there are no proprietary claims, this should be stated. For forms to be completed regarding intellectual property, see Section V.B.4.g – Intellectual Property. There will be no page limit for the listed forms.

(e) Organization

(1) Describe the programmatic relationship of corporate team members.

(2) Describe the responsibilities of corporate and project team members.

(3) Describe the teaming strategy among the team members.

(4) Identify the key personnel by name and include descriptions of their roles. SDA requires key personnel identified in the proposal to be assigned as proposed, and the resulting contract/agreement will indicate no substitution shall be made without prior approval of the Government.

(5) Describe the proposer’s previous accomplishments and work in closely related research areas.

(6) Submit a clearly defined organization chart for the project team which includes, as applicable:

• The programmatic relationship of team members;

• The unique capabilities of team members;

• The task of responsibilities of team members;

• The teaming strategy among the team members; and

• The key personnel along with the amount of effort to be expended by each person during each year.

(f) Facilities: Provide a description of any unique facilities necessary for execution of the proposed effort that would be used for the proposed effort.

(g) Project Management:

(1) Management Plan:

i. Describe program management process that will be utilized to achieve the technical objective.

ii. Include a description of how the team will function and share technical and financial information among the team members and with the Government.

iii. Provide short resumes for the key personnel in key disciplines/risk areas.

(2) Schedule: Provide a detailed integrated schedule of all initial phase activities, including risk reduction tasks. Proposals below $1 million should provide an Integrated Master Schedule (IMS) at a minimum at WBS Level 2. Proposals that exceed $1 million (total proposed value, regardless of potential cost share) should provide an IMS at WBS Level 3.

i. Measurable critical milestones should occur every two (2) to three (3) months after the start of the effort. Additional interim non-critical management milestones are also highly encouraged at regular intervals. Milestones must not include proprietary information.

ii. Top-level schedules are required for optional phases and should be based on the proposer’s initial risk reduction strategy.

iii. Include key events and demonstrations as appropriate for the technology concept. An electronic copy of the IMS in MS Project shall be included with proposal submissions.

iv. All tasks in the IMS shall be linked and the ability to display the critical path shall be implemented.

b) Volume II, Cost Proposal

All proposers, including FFRDCs, must submit the following:

Section I: Administrative

(a) Cover sheet to include:

(1) BAA number (HQ085020S0001);

(2) SDA focus area(s);

(3) Lead Organization submitting proposal;

(4) Type of organization selected among the following categories: “LARGE

BUSINESS,” “SMALL DISADVANTAGED BUSINESS,” “OTHER

SMALL BUSINESS,” “HBCU,” “MI,” “OTHER EDUCATIONAL,”

OR “OTHER NONPROFIT”;

(5) Proposer’s reference number (if any);

(6) Other team members (if applicable) and type of organization for each;

(7) Proposal title;

(8) Technical point of contact to include: salutation, last name, first name, street address, city, state, zip code, telephone, fax (if available), electronic mail (if available);

(9) Administrative point of contact to include: salutation, last name, first name, street address, city, state, zip code, telephone, fax (if available), and electronic mail (if available);

(10) Award instrument requested: cost-plus-fixed-fee (CPFF), cost-contract—no fee, cost sharing contract – no fee, or other type of procurement contract (specify), or Other Transaction;

(11) Place(s) and period(s) of performance;

(12) Total proposed cost separated by basic award and option(s) (if any);

(13) Name, address, and telephone number of the proposer’s cognizant Defense

Contract Management Agency (DCMA) administration office (if known);

(14) Name, address, and telephone number of the proposer’s cognizant Defense

Contract Audit Agency (DCAA) audit office (if known);

(15) Date proposal was prepared;

(16) DUNS number;

(17) TIN number;

(18) CAGE Code;

(19) Subawardee Information; and

(20) Proposal validity period.

Section II: Detailed Cost Proposal

Note: Nonconforming proposals may be rejected without review.

(a) Supporting Cost and Pricing Data:

(1) The proposer should include supporting cost and pricing information in sufficient detail to substantiate the summary cost estimates and should include a description of the method used to estimate costs and supporting documentation.

The Government strongly encourages that tables included in the cost proposal also be provided in an editable (e.g., MS Excel) format with calculation formulas intact to allow traceability of the cost proposal numbers across the prime and subcontractors.

(2) The awardee is responsible for compiling and providing all subawardee proposals for the Procuring Contracting Officer (PCO).

(3) Subawardee proposals should include Interdivisional Work Transfer Agreements (ITWA) or similar arrangements.

(4) All proprietary subawardee proposal documentation, prepared at the same level of detail as that required of the awardee’s proposal and that cannot be uploaded with the proposed awardee’s proposal, shall be provided to the Government either by the awardee or by the subawardee organization by e-mail (osd.pentagon.ousd-r-e.mbx.hq085020s0001@mail.mil) when the proposal is submitted.

(5) Where the effort consists of multiple portions that could reasonably be partitioned for purposes of funding, these should be identified as options with separate cost estimates for each.

(6) For IT and equipment purchases, include a letter stating why the proposer cannot provide the requested resources from its own funding.

(7) Each copy must be clearly labeled with the SDA BAA number, proposer organization, and proposal title (short title recommended).

(b) Cost Breakdown Information and Format: Detailed cost breakdown to include the following.

(1) Provide the total cost and costs broken down by initial phase and options.

(2) Provide costs broken down by task for the initial phase, including at a minimum:

i. Major tasks by fiscal year

ii. A summary of projected funding requirements by month

iii. Direct labor, including labor categories and man-hours, and labor rates;

iv. Cost by the prime and major subcontractors;

v. Cost by major risk/activity;

vi. Materials;

vii. Other Direct Costs (ODCs) (e.g., travel, equipment, etc.);

viii. Overhead/Indirect charges, and rates used to calculate overhead/indirect costs; provide the source, nature, and amount of any industry cost-sharing.

(3) An itemization of major subcontracts and equipment purchases, including:

i. Documentation supporting the reasonableness of the proposed equipment costs (vendor quotes, past purchase orders/purchase history, detailed engineering estimates, etc.) and a description of the method used to estimate costs and supporting documentation.

ii. Identification of pricing assumptions of which may require incorporation into the resulting award instrument (e.g., use of Government Furnished Property/Facilities/Information, access to Government Subject Matter Experts, etc.)

iii. Any information technology (IT) purchase, as defined by FAR

2.101 – Documentation supporting the reasonableness of the proposed equipment costs (vendor quotes, past purchase orders/purchase history, detailed engineering estimates, etc.)

shall be provided, including a letter stating why the proposer cannot provide the requested resources from its own funding for prime and all sub-awardees.

Tables included in the cost proposal in editable (e.g. MS Excel) format with calculation formulas intact. NOTE: If PDF submissions differ from the Excel submission, the PDF will take precedence.

(c) Cost Note

Per FAR 15.403-4, certified cost or pricing data shall be required if the proposer is seeking a procurement contract award per the referenced threshold, unless the proposer requests and is granted an exception from the requirement to submit cost or pricing data. Certified cost or pricing data are not required if the proposer proposes an award instrument other than a procurement contract (e.g. other transaction.)

(4) Subawardee Proposals

The awardee is responsible for compiling and providing all subawardee proposals for the

Procuring Contracting Officer (PCO)/Agreements Officer (AO), as applicable. Subawardee proposals should include Interdivisional Work Transfer Agreements (ITWA) or similar arrangements. Where the effort consists of multiple portions that could reasonably be partitioned for purposes of funding, these should be identified as options with separate cost estimates for each.

All proprietary subcontractor proposal documentation, prepared at the same level of detail as that required of the prime and which cannot be uploaded with the proposed prime contractor’s proposal, shall be provided to the Government either by the prime contractor or by the subcontractor organization by e-mail (osd.pentagon.ousd-r-e.mbx.hq085020s0001@mail.mil) when the proposal is submitted.