N00014-17-S-B008.pdf

ONR BAA Template Revised May 3, 2016 1

ONR BAA Announcement # N00014-17-S-B008

BROAD AGENCY ANNOUNCEMENT (BAA)

TEMPLATE

INTRODUCTION:

This publication constitutes a Broad Agency Announcement (BAA) as contemplated in Federal Acquisition Regulation (FAR) 6.102(d)(2) and 35.016, the Department of Defense Grants and Agreements regulations (DoDGARS) 32 CFR 22.315(a) and DoD’s Other Transaction Guide for Prototypes Projects, USD(AT&L), OT Guide, Jan 2001. A formal Request for Proposals (RFP), solicitation, and/or additional information regarding this announcement will not be issued.

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

For grant proposals submitted through Grants.gov, offerors should include responses to the Representations indicated in Section VII-A iv. and v. of this BAA and located at http://www.onr.navy.mil/Contracts-Grants/submit-proposal/grants-proposal.aspx.

Hyperlinks have been embedded within this document and appear as underlined, blue-colored words. The reader may “jump” to the linked section by clicking the hyperlink.

http://www.onr.navy.mil/Contracts-Grants/submit-proposal/grants-proposal.aspx

ONR BAA Template Revised May 3, 2016 2

Table of Contents

I. GENERAL INFORMATION

A. AGENCY NAME

B. RESEARCH OPPORTUNITY TITLE

C. PROGRAM NAME

D. RESEARCH OPPORTUNITY DATE

E. RESPONSE DATE

F. RESEARCH OPPORTUNITY DESCRIPTION

G. POINT OF CONTACT

H. INSTRUMENT TYPE(S)

I. CATALOG OF FEDERAL DOMESTIC ASSISTANCE (CFDA) NUMBERS

J. CATALOG OF FEDERAL DOMESTIC ASSISTANCE (CFDA) TITLES

K. OTHER INFORMATION

II. AWARD INFORMATION

A. AMOUNT AND PERIOD OF PERFORMANCE

B. PEER REVIEWS

C. PRODUCTION AND TESTING OF PROTOTYPES

III. ELIGIBILITY INFORMATION

IV. APPLICATION AND SUBMISSION INFORMATION

A. APPLICATION AND SUBMISSION PROCESS

B. CONTENT AND FORMAT OF WHITE PAPERS/FULL PROPOSALS

a. White Papers

b. Full Proposals

C. SIGNIFICANT DATES AND TIMES

D. SUBMISSION OF LATE PROPOSALS

E. SUBMISSION OF GRANT PROPOSALS THROUGH GRANTS.GOV

F. SUBMISSION OF FULL PROPOSALS FOR CONTRACTS

V. EVALUATION INFORMATION

A. EVALUATION CRITERIA

B. COMMITMENT TO SMALL BUSINESS (FOR CONTRACT AWARDS ONLY)

C. OPTIONS

D. EVALUATION PANEL

E. GENERAL INFORMATION REGARDING THE REVIEW AND SELECTION PROCESS FOR GRANTS

VI. AWARD ADMINISTRATION INFORMATION

VII. OTHER INFORMATION

A. APPLIES TO GRANTS ONLY

B. APPLIES TO CONTRACTS ONLY

C. APPLIES TO CONTRACTS AND GRANTS

ONR BAA Template Revised May 3, 2016 3

I. GENERAL INFORMATION

A. Agency Name:

Office of Naval Research, One Liberty Center 875 N. Randolph Street Arlington, VA 22203-1995

B. Research Opportunity Title: Electronic Warfare Technology

C. Program Name: Electronic Warfare Discovery and Invention (D&I)

D. Research Opportunity Number: N00014-17-S-B008

E. Response Date:

White Papers: 21 February 2017

Full Proposals: 5 June 2017

F. Research Opportunity Description:

The goal of Electronic Warfare (EW) is to control the Electromagnetic Spectrum (EMS) by exploiting, deceiving, or denying enemy use of the spectrum while ensuring its use by friendly forces. To that end, the Office of Naval Research (ONR) EW Discovery and Invention (D&I) program invests in Science and Technology (S&T) initiatives that will provide naval forces (including Navy and Marine Corps) with improved threat warning systems; Electronic warfare Support (ES); decoys and countermeasures against weapon tracking and guidance systems;

Electronic Attack (EA) against adversary Command, Control, Communications, Computers, Intelligence, Surveillance, and Reconnaissance (C4ISR); and Electronic Protection (EP) of our own weapons and C4ISR from intentional and unintentional interference.

ONR Code 312 Electronic Warfare (312EW) seeks proposals to develop and demonstrate technologies for the next generation systems in electronic warfare. White papers and subsequent proposals should address technology developments in one or more of the following Research Opportunity Areas 1-5.

Area 1 – Subsystem Demonstrator for EO/IR Beam Steering at Multiple Wavelengths

The objective is to leverage prior investments by ONR, other Government organizations, industry, and academia in electronic and photonic technologies, techniques, components, devices and subsystems to create subsystem demonstrators (SSDs) of advanced EW capabilities in the RF, mmW and EO/IR portions of the EMS. For the purposes of this BAA, an SSD is defined as

ONR BAA Template Revised May 3, 2016 4 an integrated collection of components, devices and subsystems that, in conjunction with other established or developmental technologies and techniques, will demonstrate an end-to-end EW capability in Research Areas 1 & 2. Each SSD will demonstrate both the functional configuration and capability of a final EW subsystem, though not necessarily the physical configuration, packaging, or form factor. White papers and subsequent proposals will encompass not only the development of these SSDs but also a final government-witnessed demonstration in a tactically relevant real or simulated environment. In order to speed the transition of these capabilities to military (Navy, Marine Corps and Joint service) systems, Offerors are encouraged to make use of existing standards for open and modular systems that are either non-proprietary (e.g. VITA, open VPX, etc.) or to which the government has full and open rights. While each SSD description below highlights the need for reducing Size, Weight and Power (SWAP) by design, actual SWAP savings may be demonstrated through analysis rather than physical measurement. The SSD shall use technologies that are conducive to minimizing SWAP requirements for future tactical implementation on SWAP-constrained vehicles or platforms.

The objective is to create subsystem demonstrators (SSDs) of advanced EW capability in the area of EO/IR beam steering at multiple wavelengths.

The goal of the research is for the SSD to provide the capability to non-mechanically steer multiple bands of the UV, VIS, NIR, SWIR, MWIR, and LWIR spectrum to be directed in a low divergence beam with minimal or no side lobes over an angular range covering not less than 120-degrees conical (threshold) up to a complete hemisphere (objective). Technologies that span multiple of the UV, VIS, NIR, SWIR, MWIR and LWIR spectral bands (preferably all) are desired, with particular emphasis on the inclusion of the UV, MWIR and LWIR bands. The demonstrated SSD shall operate at room temperature, and the multiple discrete laser emissions shall be combined to produce a single continuous wave (CW) multispectral beam with good beam quality (M^2 < 3) and output powers of not less than 10 Watts (threshold) to greater than 20 Watts (objective) in EACH spectral band. The proposed SSD’s non-mechanical beam steering capability should be at least as fast (preferably faster) than current mechanical approaches and the SSD shall use technologies that are conducive to minimizing size, weight and power (SWAP) requirements for future tactical implementation on SWAP-constrained platforms.

For the purposes of this BAA, the term “non-mechanical” is used to express the desire to eliminate large, heavy, and power hungry gimbals and motor-positioners along with rotating seals that often result in beam directors with reduced service lifetimes and low mean-time-between-failure (MTBF). Proposed concepts should also be compatible with installations embedded in the skin of a platform/vehicle (preferably conformal). Designs that minimize the impacts of temperature and vibration on the output power and beam quality are also desired.

Area 2 – Intelligent EW Subsystem Demonstrator (SSD):

The objective is to leverage prior investments by ONR, other Government organizations, industry, and academia in electronic and photonic technologies, techniques, components, devices

ONR BAA Template Revised May 3, 2016 5 and subsystems to create subsystem demonstrators (SSDs) of advanced EW capabilities in the RF, mmW and EO/IR portions of the EMS. For the purposes of this BAA, an SSD is defined as an integrated collection of components, devices and subsystems that, in conjunction with other established or developmental technologies and techniques, will demonstrate an end-to-end EW capability in Research Areas 1 & 2. Each SSD will demonstrate both the functional configuration and capability of a final EW subsystem, though not necessarily the physical configuration, packaging, or form factor. White papers and subsequent proposals will encompass not only the development of these SSDs but also a final government-witnessed demonstration in a tactically relevant real or simulated environment. In order to speed the transition of these capabilities to military (Navy, Marine Corps and Joint service) systems, Offerors are encouraged to make use of existing standards for open and modular systems that are either non-proprietary (e.g. VITA, open VPX, etc.) or to which the government has full and open rights. While each SSD description below highlights the need for reducing Size, Weight and Power (SWAP) by design, actual SWAP savings may be demonstrated through analysis rather than physical measurement. The SSD shall use technologies that are conducive to minimizing SWAP requirements for future tactical implementation on SWAP-constrained vehicles or platforms.

The objective is to create a subsystem demonstrator (SSD) that can outperform traditional EW systems with static emitter databases and pre-programmed countermeasures. Radio Frequency (RF) systems are becoming increasingly more agile in waveforms, bandwidth, functionality, and EA/EP techniques. Traditional static emitter EW databases and pre-programmed countermeasures could be inadequate against future threat systems employing such agility. The objective of this SSD is to develop the next generation of EW capability for surface ships that (1) autonomously adapts its EW strategies without using static rules, and (2) outpaces red force tactical options by operating within red decision making timelines. The proposed technology should have the ability to dynamically a) identify and track emitters, b) maintain multiple hypotheses with likelihood estimates on aspects of emitter functional characteristics that are uncertain, c) generate and maintain a list of proposed countermeasures for each threat emitter, d) assess countermeasure effectiveness, and e) refine EA technique. The SSD should be able to demonstrate significantly improved performance in one or all of a) -e) over state-of-the-art methods. This intelligent EW SSD needs to perform fast enough to outpace red force tactical options by operating within red decision making timelines. At a minimum, this SSD should counter radar in an environment that contains common RF systems such as communications, jammers, and precision timing and navigation systems for both blue and red forces. This SSD may restrict the hypothetical operational scenario to blue EW assets on a single organic surface platform with or without multiple antennas (or arrays), or consider distributed blue scenarios in which blue EW assets on separate platforms are networked together for collaborative operations.

In either case, operations would be optimized to maximize platform and/or weapon survivability and comply with commander’s intent/mission objectives.

ONR BAA Template Revised May 3, 2016 6

Area 3 – Networked EW Concepts

Networking of multiple EW transmitters and receivers offers tactical advantages that are only yet partially recognized. Full exploitation and control of the EMS would require every EW asset to “know” what every other EW asset in the network is receiving and transmitting, coherently and instantly, and react with a coordinated response that is also coherent and instantaneous. Clearly, bandwidth, latency, and finite processing resources make this theoretical ideal impossible to approach. The objective of this area is to explore, identify, and define the parameters and techniques required to provide a fundamental networked EW capability. This objective area seeks innovation that advances the capability, reaction, and coordination of networked EW assets rather than management of existing assets or creation of a new communications system.

Innovation is expected in which specific capabilities of networked EW substantially exceed that of the individual assets acting alone. Proposals for general EW networking “frameworks” in which the benefits are ambiguous or left to future work are not acceptable.

Area 4 – Innovative Counter Intelligence, Surveillance, and Reconnaissance (C-ISR) Concepts:

The objective of this area is to explore truly innovative EW concepts which can counter emerging EO/IR imaging sensor threats. The traditional approach to defeating such sensors is to employ high optical/infrared power countermeasures that saturate or damage the imaging sensor.

Proposals are being sought for non-traditional solutions to the problem of deceiving and/or denying imaging sensors without resort to such “brute force” techniques. Proposals responding to this solicitation should focus on innovative solutions involving emerging, cutting-edge technologies. (Note: This sub-section should only be cited by proposals that do not fall within any of the other sub-sections of this Research Opportunity Description.)

Area 5 - Innovative EW Concepts

The objective is to explore truly innovative concepts in the EW areas of EWS, EA, or EP which could fundamentally change the way military (Navy, Marine Corps and Joint service) forces conduct EW operations. (Note: This sub-section should only be cited by proposals that do not fall within any of the other sub-sections of this Research Opportunity Description.)

Offerors submitting proposals in response to this solicitation should focus on innovative solutions involving emerging, cutting-edge technologies. Likewise, proposals that seek primarily to demonstrate the military application of existing technology or techniques, in either a laboratory or field environment, are discouraged unless a truly significant capability advance can be achieved through this demonstration.

ONR BAA Template Revised May 3, 2016 7

G. Point(s) of Contact:

Comments or questions submitted should be concise and to the point, eliminating any unnecessary verbiage. In addition, the relevant part and paragraph of the Broad Agency Announcement (BAA) should be referenced.

Questions of a business nature, and suggestions for improvement, should be submitted to:

Name: Matthew Murray Title: Contracting Specialist Division: ONR Code 25, C4ISR & Sea Warfare Contracts Branch Address: 875 North Randolph Street Arlington, VA 22203-1995 Email: matthew.murray1@navy.mil

Questions of a technical nature should be submitted to:

Name: Bradley T. Binder Title: Program Officer Division: ONR Code 31, 312 - Electronic Warfare Electronics, Sensors, and Network Research Division Address: 875 North Randolph Street, Suite 1112 Arlington, VA 22203-1995 Email: bradley.binder@navy.mil

Questions of a security nature should be submitted to:

Name: Torri Woodfolk Title: Industrial Security Specialist Division: Security Department, Code 43 Address: One Liberty Center 875 North Randolph St.

Arlington, VA 22203-1995 Email: torri.powell@navy.mil (Please note that the e-mail address does differ from the PoC’s name.)

Note: All unclassified communications shall be submitted via e-mail to the Technical Point of Contract (POC) with a copy to the designated Business POC.

Classified questions shall be handled through the ONR Security POC. Specifically, any entity wanting to ask a classified question shall send an unclassified email to the ONR Security POC with a copy to both the Technical POC and the Business POC stating that the entity would like to ask a classified question. Do NOT e-mail any classified questions. The Security POC will contact the entity and arrange for the classified question to be asked through a secure method of communication.

Questions submitted within 2 weeks prior to a deadline may not be answered, and the due date for submission of the white paper and/or full proposal will not be extended.

mailto:torri.powell@navy.mil

ONR BAA Template Revised May 3, 2016 8

Amendments to this BAA will be posted to the following web pages:

- Federal Business Opportunities (FedBizOpps) Webpage – https://www.fbo.gov/

- Grants.gov Webpage – http://www.grants.gov/

- ONR Broad Agency Announcement (BAA) Webpage – http://www.onr.navy.mil/en/Contracts- Grants/Funding-Opportunities/Broad-Agency- Announcements.aspx

H. Instrument Type(s):

Awards may take the form of contracts and grants.

Any contract award resulting from this BAA will incorporate the most current FAR, DFARS, NMCARS and ONR clauses.

Any assistance instrument awarded under this announcement will be governed by the award terms and conditions that conform to DoD’s implementation of OMB circulars applicable to financial assistance. Terms and conditions of new awards made after December 26, 2014, will include revisions to reflect DoD implementation of new OMB guidance in 2 CFR Part 200, “Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards.” The DoD Terms and Conditions is located at http://www.onr.navy.mil/Contracts-Grants/submit-proposal/grants-proposal/grants-terms-conditions.aspx.

Examples of model contracts can be found on the ONR website at the following link:

http://www.onr.navy.mil/Contracts-Grants/submit-proposal/contracts-proposal/contract-model-awards.aspx. ONR Contract specific representations and certifications can be accessed on the following page of the ONR website: http://www.onr.navy.mil/en/Contracts-Grants/submit-proposal/contracts-proposal.aspx.

Examples of model grants can be found on the ONR website at the following link:

http://www.onr.navy.mil/en/Contracts-Grants/submit-proposal/grants-proposal/model-grant.aspx.

The model contracts and grants at the links above are only provided as examples. In the event of any conflict between these examples and current FAR, DFARS, NMCARS, or ONR clauses, current FAR, DFARS, NMCARS, or ONR clauses will govern.

I. Catalog of Federal Domestic Assistance (CFDA) Numbers:

12.300

J. Catalog of Federal Domestic Assistance (CFDA) Titles:

Department of Defense (DoD), Department of the Navy, Office of Chief of Naval Research, Basic and Applied Scientific Research https://www.fbo.gov/ http://www.grants.gov/ http://www.onr.navy.mil/en/Contracts-Grants/Funding-Opportunities/Broad-Agency-Announcements.aspx http://www.onr.navy.mil/en/Contracts-Grants/Funding-Opportunities/Broad-Agency-Announcements.aspx http://www.onr.navy.mil/en/Contracts-Grants/Funding-Opportunities/Broad-Agency-Announcements.aspx http://www.onr.navy.mil/Contracts-Grants/submit-proposal/grants-proposal/grants-terms-conditions.aspx http://www.onr.navy.mil/Contracts-Grants/submit-proposal/grants-proposal/grants-terms-conditions.aspx http://www.onr.navy.mil/Contracts-Grants/submit-proposal/contracts-proposal/contract-model-awards.aspx http://www.onr.navy.mil/Contracts-Grants/submit-proposal/contracts-proposal/contract-model-awards.aspx http://www.onr.navy.mil/en/Contracts-Grants/submit-proposal/contracts-proposal.aspx http://www.onr.navy.mil/en/Contracts-Grants/submit-proposal/contracts-proposal.aspx http://www.onr.navy.mil/en/Contracts-Grants/submit-proposal/grants-proposal/model-grant.aspx

ONR BAA Template Revised May 3, 2016 9

K. Other Information:

This BAA is intended for proposals related to basic research, applied research, or advanced technology development and that part of development not related to the development of a specific system or hardware procurement. With regard to any restrictions on the conduct or outcome of work funded under this BAA, ONR will follow the guidance on and definition of “contracted fundamental research” as provided in the Under Secretary of Defense (Acquisition, Technology and Logistics) Memorandum of 24 May 2010.

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

Pursuant to DoD policy, research performed under grants and contracts that are a) funded by Budget Activity 2 (Applied Research) and NOT performed on-campus at a university or b) funded by Budget Activity 3 (Advanced Technology Development) does not meet the definition of “contracted fundamental research.” In conformance with the USD (AT&L) guidance and National Security Decision Directive 189, ONR will place no restriction on the conduct or reporting of unclassified “contracted fundamental research,” except as otherwise required by statute, regulation or executive order. For certain research projects, it may be possible that although the research being performed by the prime contractor is restricted research, a subcontractor may be conducting “contracted fundamental research.” In those cases, it is the prime contractor’s responsibility in the proposal to identify and describe the subcontracted unclassified research and include a statement confirming that the work has been scoped, negotiated, and determined to be fundamental research according to the prime contractor and research performer.

Normally, fundamental research is awarded under grants with universities and under contracts with industry. Non-fundamental research is normally awarded under contracts and may require restrictions during the conduct of the research and DoD pre-publication review of such research results due to subject matter sensitivity. Potential offerors should consult with the appropriate ONR Technical POCs to determine whether the proposed effort would constitute basic research, applied research or advanced research.

FAR Part 35 restricts the use of Broad Agency Announcements (BAAs), such as this, to the acquisition of basic and applied research and that portion of advanced technology development not related to the development of a specific system or hardware procurement. Contracts and grants and other assistance agreements made under BAAs are for scientific study and experimentation directed towards advancing the state of the art and increasing knowledge or understanding.

This announcement is NOT for the acquisition of technical, engineering, and other types of support services.

ONR BAA Template Revised May 3, 2016 10

II. AWARD INFORMATION

A. Funded Amount and Period of Performance

One or more awards per Area, as described in the Research Opportunity Description, are anticipated, subject to the limitations of fiscal year funding. An Offeror may propose on more than one Area. ONR plans to fund approximately $9M per year (Areas 1 through 5) using some combination of Budget Category 6.2 and Budget Category 6.3 funds. However, lower and higher cost efforts will be considered. Total funding under this BAA (and the parallel solicitation discussed below) is anticipated to be approximately $9M per year, or $27M over the three years. There may be more than one performer per Area.

The period of performance of the awards will range from twelve (12) to thirty six (36) months. The estimated start date of selected projects is subject to date of final award and availability of fiscal year (FY) funds. FY funds are generally received no earlier than November of the FY.

At the same time this BAA is posted, the Government will send out a parallel solicitation to government labs and other parties that are barred from proposing to the BAA. There are no fixed percentages or set-asides for the two solicitations and ALL the White Papers/Oral Briefs/Proposals are evaluated together to determine which should be funded using evaluation criteria specified in this BAA.

The award(s) will be made for the full performance period requested. Options will not be utilized.

B. Peer Reviews

In the case of proposals funded as basic research, ONR may utilize peer reviewers from academia, industry, and Government agencies to assist in the periodic appraisal of performance under the awards. Such periodic program reviews monitor the cost, schedule and technical performance of funded basic research efforts. The reviews are used in part to determine which basic research projects will receive continued ONR funding. Peer reviewers who are not U.S.

Government employees must sign nondisclosure agreements before receiving full or partial copies of proposals and reports submitted by the basic research performers. Offerors may include travel costs for the Principal Investigator (PI) to attend the peer review.

C. Production and Testing of Prototypes

ONR may modify a contract awarded under this BAA to add a contract line item or contract option for the provision of advanced component development or for the delivery of an initial or additional prototype units. However, such a contract addition shall be subject to the limitations contained in Section 819 of the National Defense Authorization Act (NDAA) for Fiscal Year 2010, as modified in Section 811 of the NDAA for Fiscal Year 2015.

III. ELIGIBILITY INFORMATION

A. All responsible sources from academia and industry may submit proposals under this BAA.

Historically Black Colleges and Universities (HBCUs) and Minority Institutions (MIs) are encouraged to submit proposals and join others in submitting proposals. However, no

ONR BAA Template Revised May 3, 2016 11 portion of this BAA will be set aside for Small Business or other socio-economic participation. All businesses both small and large are encouraged to submit proposals and compete for funding consideration.

B. Federally Funded Research & Development Centers (FFRDCs), including Department of

Energy National Laboratories, are not eligible to receive awards under this BAA. However, teaming arrangements between FFRDCs and eligible principal Offerors are allowed so long as such arrangements are permitted under the sponsoring agreement between the Government and the specific FFRDC.

C. Navy laboratories, military universities, and warfare centers as well as other Department of

Defense and civilian agency laboratories are also not eligible to receive awards under this BAA and should not directly submit either white papers or full proposals in response to this BAA. If any such organization is interested in one or more of the programs described herein, the organization should contact an appropriate ONR Technical POC to discuss its area of interest. The various scientific divisions of ONR are identified at http://www.onr.navy.mil/.

As with FFRDCs, these types of federal organizations may team with other eligible sources from academia and industry that are submitting proposals under this BAA.

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

E. Teams are also encouraged and may submit proposals in any and all areas. However, Offerors must be willing to cooperate and exchange software, data and other information in an integrated program with other contractors, as well as with system integrators, selected by

ONR.

F. Offerors should be aware of recent changes in export control laws. Offerors are responsible for ensuring compliance with all International Traffic in Arms Regulation (ITAR)(22 CFR §120 et. seq.) requirements, as applicable. In some cases, developmental items funded by the Department of Defense are now included on the United States Munition List (USML) and are therefore subject to ITAR jurisdiction. Offerors should address in their proposals whether ITAR restrictions apply or do not apply, such as in the case when research products would have both civil and military application, to the work they are proposing to perform for ONR.

The USML is available online at http://www.ecfr.gov/cgi-bin/text-idx?node=pt22.1.121.

Additional information regarding the President's Export Control Reform Initiative can be found at http://export.gov/ecr/index.asp.

G. Cost sharing is not expected and will not be used as a factor during the merit review of any proposal hereunder. However, the Government may consider voluntary cost sharing if proposed.

http://www.onr.navy.mil/ http://www.ecfr.gov/cgi-bin/text-idx?node=pt22.1.121 http://export.gov/ecr/index.asp

ONR BAA Template Revised May 3, 2016 12

IV. APPLICATION AND SUBMISSION INFORMATION

A. Application and Submission Process

Pre-proposal Conference/Industry Day:

The ONR EW D&I Program will conduct an unclassified briefing for potential Offerors on Tuesday, 17 January, 2017. The purpose of the meeting will be to provide potential Offerors with a better understanding of the scope of the ONR EW D&I Program and objectives of this BAA. The briefing will be held at Founder's Hall Room 134, George Mason University Arlington Campus, 3351 Fairfax Drive, Arlington, VA 22201. Check-in from 9:00 - 10:00AM. Brief & Questions from 10:00AM - 12:30PM. All attendees are required to pre-register by sending a notification of planned attendance via email to onr.ncr.312.list.ew-group@navy.mil by 1:00 PM EST on 12 January 2017. The message must include the following information: name of attendee(s), title(s), organization, department or company division, phone, and email address. PRE-REGISTRATION BY EMAIL IS MANDATORY; WALK-IN REGISTRATION WILL NOT BE PERMITTED. If requested attendance exceeds capacity, it may be necessary to limit attendance, and organizations will be so notified. Those not able to attend this briefing should consult the web page http://www.onr.navy.mil/en/Contracts-Grants/Funding-Opportunities/Broad-Agency- Announcements.aspx after Tuesday, January 24, 2017 to see briefing slides and answers to questions submitted during the conference.

A recap of dates associated with the Pre-Proposal/Industry Date meeting is provided below:

Date Activity 12 Jan 2017 Complete Pre-Registration 13 Jan 2017 ONR confirmation of Pre-Registration 17 Jan 2017 Industry Day 25 Jan 2017 Industry Day Briefings available on Web Page

White Papers

The due date for white papers is no later than 3:00 PM (Local Time, Washington, D.C.) on Tuesday, February 21, 2017. White Papers shall be submitted as an Adobe PDF or Word 2010 file via a secure (encrypted) file transfer protocol (FTP) site. All potential Offerors must register for a user account to the FTP site prior to submitting their White Papers by sending an email to ONR.NCR.312.list.EW-Group@navy.mil. The subject line of the email must state “BAA 17-S- B008 FTP User Registration”. The body of the email must include the primary point of contact’s name, any additional points of contacts (names), title(s), organization, department(s) or company division(s), telephone and fax numbers, and email address(es). Registrants will receive a reply email from the FTP Site Administrator that includes the user name, a temporary password, and the internet protocol (IP) address of the FTP site along with uploading instructions. Potential Offerors will be able to start registering for user accounts on Monday, February 6, 2017, and will be issued within two business days of the received email request. Email registration requests for user accounts that are submitted less than 96 hours before the White Paper submission deadline may not http://www.onr.navy.mil/en/Contracts-Grants/Funding-Opportunities/Broad-Agency-Announcements.aspx http://www.onr.navy.mil/en/Contracts-Grants/Funding-Opportunities/Broad-Agency-Announcements.aspx

ONR BAA Template Revised May 3, 2016 13 be issued. If an Offeror does not submit a white paper before the specified due date and time, it is not eligible to participate in the remaining Full Proposal submission process and is not eligible for Fiscal Year 2018 funding. Evidence of successful and timely submissions will be provided on-screen to Offerors via the FTP site. It is recommended that Offerors initiate a “print screen” capture of the successful submission for their records. Additionally, the FTP Site Administrator will maintain an event log of all activity, including successful/failed file uploads with a date and time stamp. All user accounts will be disabled on Tuesday, February 21, 2017 at 3:00:01 PM (Local Time, Washington, D.C.) and further file uploads will not be permitted. Each white paper should state that it is submitted in response to this BAA and cite the particular sub-section of the Research Opportunity Description that the white paper is primarily addressing.

White Paper Evaluation/Notification

Navy evaluations of the white papers will be issued via email notification on or about Wednesday, March 15, 2017.

Oral Presentations

ONR requests that Principal Investigators (PIs) be prepared to provide expanded presentations of their selected white papers on or around 12 April 2017 if requested. The purpose of the oral presentation is to provide additional information and address how the proposed technology will affect military applications. The time, location, and briefing format of the oral presentations, if requested, will be provided at a later date via email notification.

Oral Presentation Evaluation/Notification

Navy evaluations of the oral presentations will be issued via email notification on or about Wednesday, April 19, 2017. A full proposal will be subsequently encouraged from those Offerors whose proposed technologies have been identified through the aforementioned email as still being of “particular value” to the Navy. Any Offeror whose oral presentation was not identified as being of “particular value” to the Navy is ineligible to submit a full proposal under this BAA.

Full Proposals

The due date for receipt of Full Proposals is 3:00 PM (Local Time, Washington, D.C.) on Monday, June 5, 2017. It is anticipated that final selections will be made within two (2) weeks after full proposal submission. As soon as the final full proposal evaluation process is completed, PI’s will be notified via email of their project’s selection or non-selection for FY18 funding.

B. Content and Format of White Papers/Full Proposals

Full proposals are required for submission.

White Papers and Full Proposals submitted under this BAA are expected to be unclassified;

however, classified proposals are permitted. If a classified proposal is submitted and selected for award, the resultant contract will be unclassified. An ‘unclassified’ Statement of Work (SOW) must accompany any classified proposal.

ONR BAA Template Revised May 3, 2016 14

For both classified and unclassified proposals, a non-proprietary version of the Statement of Work must also be submitted. Do not put proprietary data or markings in or on the Statement of Work. For proposals containing data that the offeror does not want disclosed to the public for any purpose, or used by the Government except for evaluation purposes, the contractor shall mark the title page with the following legend:

“This proposal includes data that shall not be disclosed outside the Government and shall not be duplicated, used, or disclosed--in whole or in part--for any purpose other than to evaluate the proposal. If, however, a contract is awarded to this offeror as a result of--or in connection with-- the submission of this data, the Government shall have the right to duplicate, use, or disclose the data to the extent provided in the resulting contract. This restriction does not limit the Government’s right to use information contained in this data if is obtained from another source without restriction. The data subject to this restriction are contained in (insert numbers or other identification of sheets).”

Also, mark each sheet of data that the offeror wishes to restrict with the following legend:

“Use or disclosure of data contained on this sheet is subject to the restriction on the title page of this proposal.”

Titles given to the White Papers/Full Proposals should be descriptive of the work they cover and should not be merely a copy of the title of this solicitation.

1. Unclassified Proposal Instructions:

Unclassified proposals shall be submitted in accordance with this Section.

2. Special Instructions for Classified White Papers and Proposal:

Classified proposals shall be submitted directly to the attention of ONR’s Document Control Unit at the following address and marked in the following manner:

OUTSIDE ENVELOPE

(no classification marking):

Office of Naval Research Attn: Document Control Unit ONR Code 43 875 North Randolph Street Arlington, VA 22203-1995

The inner wrapper of the classified White Paper and/or Full Proposal should be addressed to the attention of the cognizant TPOC, ONR Code 312 and marked in the following manner:

INNER ENVELOPE

ONR BAA Template Revised May 3, 2016 15

(stamped with the overall classification of the material) Program Name: Electronic Warfare Technology Office of Naval Research ATTN: Dr. Bradley Binder ONR Code: 312 875 North Randolph Street

All proposal submissions will be protected from unauthorized disclosure in accordance with FAR Subpart 15.207, applicable law, and DoD/DoN regulations. Offerors are expected to appropriately mark each page of their submission that contains proprietary information.

STATEMENT OF WORK (SOW)

An ‘unclassified’ SOW must accompany any classified proposal.

For both classified and unclassified proposals, a non-proprietary version of the SOW must also be submitted.

IMPORTANT NOTE: Titles given to the White Papers/Full Proposals should be descriptive of the work they cover and not be merely a copy of the title of this solicitation.

a. White Papers

White Paper Format

− Paper Size: 8.5 x 11 inch paper − Margins: 1 inch − Spacing: single-spaced − Font: Times New Roman, 12 point − Page limit: 6 pages (excluding cover page, resumes, bibliographies, table of contents, and Attachment 2)

White Paper Submission

White papers must be submitted as per the instructions in Section IV, subsection A.

NOTE: Do not send the following:

1.) Hardcopies of White Papers (including Facsimiles). Only electronic submissions will be accepted and reviewed;

2.) ZIP files; and 3.) Password protected files.

White Paper Content

ONR BAA Template Revised May 3, 2016 16

• Cover Page: The Cover Page shall be labeled “WHITE PAPER” and shall include the BAA Number N00014-17-S-B008, proposed title, technical points of contact, telephone number, facsimile number, and E-mail address.

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

• Operational Naval Concept (where applicable): A description of the project objectives, the concept of operation for the new capabilities to be delivered, and the expected operational performance improvements.

• Operational Utility Assessment Plan (where applicable): A plan for demonstrating and evaluating the operational effectiveness of the Offeror’s proposed products or processes in field experiments and/or tests in a simulated environment.

• Programmatic Section: A project schedule, a summary of planned milestones and a funding plan showing requested funding per government fiscal year, as well as the total funding request.

• Leveraged efforts (Areas 1 & 2 only): A listing of leveraged ONR- and Government-funded efforts, using the template provided (Attachment 2).

• Resumes: A single page (each) summary resume (including previous relevant experience and pertinent publications) for Project Manager and/or Principal Investigator.

b. Full Proposals

i. Instructions for Contracts (Does not include Grants)

Proposal Package:

The following five documents with attachments comprise a complete proposal package:

(1) Proposal Checklist (.pdf)

(2) Completed Technical Proposal Template (.pdf)

(3) Cost Proposal Spreadsheet (Excel)

(4) Adequacy Checklist for Pre Award Audit (SF 1408) (as applicable)

(5) Stand-alone non-proprietary Statement of Work (SOW) in Word

NOTE: The electronic file name for all documents submitted under this BAA must not exceed 68 characters in length, including the file name extension.

Items 1 – 5 above are located at: http://www.onr.navy.mil/Contracts-Grants/submit-proposal/contracts-proposal/. All have instructions imbedded into them that will assist in http://www.onr.navy.mil/Contracts-Grants/submit-proposal/contracts-proposal/cost-proposal.aspx http://www.onr.navy.mil/Contracts-Grants/submit-proposal/contracts-proposal/cost-proposal.aspx http://www.onr.navy.mil/Contracts-Grants/submit-proposal/contracts-proposal/cost-proposal.aspx

ONR BAA Template Revised May 3, 2016 17 completing the documents. Also, both the Proposal Checklist and the Cost Proposal Spreadsheet require completion of cost-related information. Please note that attachments can be incorporated into the Proposal Checklist.

The format requirements for attachments are as follows:

• Paper Size- 8.5 x 11 inch paper

• Margins – 1 inch

• Spacing- single or double spaced

• Font- Times New Roman, 12 point

Offerors 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 offerors fail to identify any intellectual property restrictions in their proposals. Include all proprietary claims to results, prototypes, and/or deliverables. If no restrictions are intended, then the offeror should state “NONE.”

For proposals below the simplified acquisition threshold (less than or equal to $150K), the Technical Proposal Template and Proposal Checklist documents, and the Cost Proposal Spreadsheet are required. Purchase Orders are normally awarded as Firm Fixed Price Orders.

For proposed subcontracts or interorganizational transfers over $150,000, Offerors must provide a separate fully completed Cost Proposal Spreadsheet in support of the proposed costs. This spreadsheet, along with supporting documentation, must be provided either in a sealed envelope with the prime’s proposal or via e-mail directly to both the Program Officer and the Business Point of Contact at the same time the prime proposal is submitted. The e-mail should identify the proposal title, the prime Offeror and that the attached proposal is a subcontract, and should include a description of the effort to be performed by the subcontractor.

The electronic copy must be submitted in a secure, pdf-compatible format, except for the electronic file of the Cost Proposal Spreadsheet which must be submitted in a Microsoft Excel 2010 compatible format and the Statement of Work Template which must be submitted in Microsoft Word 2010 format. All attachments to any required proposal documents must be submitted in a secure, pdf-compatible format.

The secure pdf-compatible format is intended to prevent unauthorized editing of the proposal prior to any award. A password should not be required for opening the proposal document, but the Government must have the ability to print and copy text, images, and other content. Should an Offeror amend its proposal, the amended proposal should be submitted following the same hard and electronic copy guidance applicable to the original proposal.

The Contractor is responsible for providing a breakdown of cost for each task identified in the Statement of Work. The sum of all costs by task worksheets MUST equal the total cost summary.

The electronic submission of the Excel spreadsheet should be in a “useable condition” to aid the Government with its evaluation. The term “useable condition” indicates that the spreadsheet

ONR BAA Template Revised May 3, 2016 18 should visibly include and separately identify within each appropriate cell any and all inputs, formulas, calculations, etc. The Offeror should not provide “value only spreadsheets” similar to a hard copy.

Fixed Fees on ONR Contracts:

The Government Objective is set in accordance with the DFARS 215.404-71. See the below table for range and normal values:

Contract Risk Factor

Contract Type Assigned Value (Normal range)

Normal Value Technical (1) 3% - 7% (2) 5%

Management/Cost Control (1) 3% - 7% (2) 5% Contract Type Risk Firm Fixed Price 2% - 6% (3) 3% - 5% (4) Contract Type Risk Cost Plus Fixed Fee 0% - 1% (2) 0.5%

(1) Assign a weight (percentage) to each element according to its input to the total performance risk. The total of the two weights equal 100%.

(2) Assign a weighting score relative to the Risk Factor.

(3) Depends on the specific Contract Type (With/without financing, performance-based payments, and/or progress payments).

(4) Depends on the specific Contract Type.

Technology Incentive (TI) is rarely utilized at ONR, because the contracts issued by ONR typically are not eligible for TI (See DFARS 215.404-71-2(c) (2)). Any consideration of TI requires strong and convincing justification in the proposal, which are then subject to negotiation and determination of a fair and reasonable fee, within the context of the specific award.

Typically the range of fee is 5% to7.5% on an ONR awarded contract.

For submission instructions, see Part IV, Section F. Submission of White Papers and Full Proposals for Contracts.

ii. Instructions for Grants (Does not include Contracts.)

Content and Form of Application

Prospective offerors must complete the mandatory forms in accordance with the instructions provided on the forms and the additional instructions below. Files that are attached to the forms must be in Adobe Portable Document Format (.PDF) unless otherwise specified in this announcement.

Form: SF 424 (RESEARCH & RELATED)

Complete all the required fields in accordance with the pop-up instructions on the form. To activate the instructions, turn on the “Help Mode” (icon with the pointer

ONR BAA Template Revised May 3, 2016 19 and question mark at the top of the form). The following information must be completed in the SF 424 located on Grants.gov to ensure that the application is directed to the correct individual for review and to be considered for award, Offerors must fill out Block 4 of the SF 424 R&R as follows:

• Block 4a, Federal Identifier - If the application is not a renewal or expansion of an existing award, enter the previous ONR award number, or N00014.

• Block 4b, Agency Routing Number - Enter the three (3) digit Program

Office Code and the Program Officer’s name, last name first, in brackets (e.g., 331 [Smith, John]).

o Where the Program Office Code only has two digits, add a “0” directly after the Code (e.g., Code 30 would be entered as 300) o Use Code 600 for ONRG).

Applicants who fail to provide a Program Officer Code identifier may receive a notice that their proposal is rejected.

• Block 4c, Previous Grants.gov Tracking ID – If this submission is for a Changed/Corrected Application, enter the Grants.gov tracking number of the previous proposal submission; otherwise, leave blank.

Form: Project Abstract

Abstracts of all funded research projects will be posted on a DTIC website, https://dodgrantawards.dtic.mil/grants/index.html#/home. Do not include proprietary or confidential information. Use only characters available on a standard QWERTY keyboard. Spell out all Greek letters, other non-English letters and symbols. Graphics are not allowed and there is a 4,000 character limit.

Form: RESEARCH & RELATED Other Project Information

Attach the Technical Proposal as follows:

• Download the application package;

• Click on "Research and Related Other Project Information";

• Click on "Move form to Submission List";

• Click on "Open Form";

• A new PDF entitled "Research & Related Other Project Information" will appear;

• Locate Field 8 entitled, “Project Narrative;”

• Click on “Add Attachment;” and

• Attach the technical proposal.

https://dodgrantawards.dtic.mil/grants/index.html#/home

ONR BAA Template Revised May 3, 2016 20

NOTE: Ensure the attachment is a single PDF file with File name: “Volume I- Technical Proposal.”

Full Proposal Format – Volume 1 - Technical Proposal, and Volume 2 - Cost Proposal

- Paper Size: 8.5 x 11 inch paper

- Margins: 1 inch

- Spacing: Single-spaced

- Font: Times New Roman, 12 point

- Number of Pages: Volume (Vol. 1) is limited to no more than 20 pages. Limitations within sections of the proposal, if any, are indicated in the individual descriptions shown below.

The cover page, table of contents, resumes and current and pending project and proposal submissions information are excluded from the page limitations. Full Proposals exceeding the page limit may not be evaluated. There are no page limitations to the Cost Proposal, Volume 2.

- The full proposal must be submitted electronically at http://www.grants.gov/ as delineated in paragraph E below.

NOTE: The electronic file name for all documents submitted under this BAA must not exceed 68 characters in length, including the file name extension.

Technical Proposal (Volume 1)

- Cover Page: This must include the words “Technical Proposal” and the following:

1) BAA Number: N00014-17-S-B008;

2) Title of Proposal;

3) Identity of prime Offeror and complete list of subawards, if applicable;

4) Technical contact (name, address, phone/fax, electronic mail address)

5) Administrative/business contact (name, address, phone/fax, electronic mail address) and;

6) Proposed period of performance

- Table of Contents: An alphabetical/numerical listing of the sections within the proposal, including corresponding page numbers.

-…