BAA_N00014-17-S-B012-_Comms_and_Networks.pdf

ONR BAA Template Revised September 2, 2016 1

ONR BAA Announcement # N00014-17-S-B012

Communications and Networking Discovery and Invention

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 September 2, 2016 2

(Add page numbers when completed.)

Table of Contents

I. GENERAL INFORMATION

A. Agency Name – B. Research Opportunity Title – C. Program Name – D. Research Opportunity Number – E. Response Date – F. Research Opportunity Description – G. Point(s) of Contact (POC) – 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, Cooperative Agreements, and Other Transaction Agreements

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 - ……………………………..28

VI. AWARD ADMINISTRATION INFORMATION

VII. OTHER INFORMATION

A. Applies to Grant, Cooperative Agreement and Other Transaction Agreement applications only:

B. Applies to Contracts only:

C. Applies to Contracts, Grants, Cooperative Agreements and Other Transaction Agreements:

ONR BAA Template Revised September 2, 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 - FY18 Communications and Networking Discovery and Invention

C. Program Name – Communications and Networking Discovery and Invention (D&I)

D. Research Opportunity Number - N00014-17-S-B012

E. Response Date –

White Papers: 26 June 2017

Full Proposals: 25 September 2017

F. Research Opportunity Description -

Background:

Communications technology that can provide seamless, robust, connectivity is at the foundation of the Sea Power 21 and FORCEnet Vision "... to have the right information, at the right place, at the right time ..." The performance of Command and Control (C2) systems and decision making at all levels of command depend critically on reliable, interoperable, survivable, secure, and timely communications and networking, and the availability of high capacity multimedia (voice, data, imagery) communication networks is fundamental to nearly all Department of Navy missions.

The current evolution of naval warfighting from a platform-centric to a network-centric paradigm depends on successfully meeting the implied need for significantly enhanced communications and networking capabilities of C2, sensor and weapon systems. These systems are deployed on a variety of platforms and users, both manned and unmanned, operating under challenging battlefield conditions (lack of infrastructure, mobility, spectrum, interference, multipath, atmospherics, size/weight/power constraint, etc.) in different environments (space, terrestrial and undersea).

ONR BAA Template Revised September 2, 2016 4

Scope:

The goal of the Communications and Networking Program within the Office of Naval Research (ONR 311) is to support the Navy's Information Warfare vision by developing measurable advances in technology that can directly enable and enhance end-to-end connectivity and quality-of-service for mission-critical information exchange among such widely dispersed naval, joint, and coalition forces. The vision is to provide high throughput robust communications and networking to ensure all warfighters -- from the operational command to the tactical edge -- have access to information, knowledge, and decision-making necessary to perform their assigned tasks.

Objective and Areas of Interest:

White papers for potential FY17 Exploratory Development/Applied Research (Budget category 6.2) projects are sought under the following focus areas:

1. Algorithms and techniques for digital beam forming and nulling with reduced computational complexity and improved side lobe and grating lobe suppression (both per-element digital as well as hybrid sub-array architectures should be considered);

2. Novel approaches for low probability of detect/intercept communications against advanced electronic threats;

3. Dynamic scheduling, routing and topology control to efficiently and reliably deliver critical/high priority data to multiple nodes over directional tactical wireless network; and

4. Machine learning and other techniques/concepts for autonomous network management by translating Commander's Intent into network policies.

The Office of Naval Research (ONR) is receptive to innovative ideas, which are not within the above focus areas, but nonetheless are important to the Navy/Marine Corps communications and networking, as determined under the synopsis section above.

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.

ONR BAA Template Revised September 2, 2016 5

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

AnShawn Lewis Contract Specialist

C4ISR AND SEA WARFARE CONTRACT BRANCH

ONR Code 252 Office of Naval Research 875 North Randolph Street Arlington VA 22203-1995 anshawn.lewis@navy.mil

Susan Paolini Contracting Officer ONR Code 252

C4ISR AND SEA WARFARE CONTRACT BRANCH

One Liberty Center 875 N. Randolph Street Arlington, VA 22203-1995 susan.paolini@navy.mil

Questions of a technical nature should be submitted to:

Dr. Santanu Das Program Officer, Comms and Networks Information Sciences Division ONR Code 311 875 North Randolph Street – Suite 1115 Arlington, VA 22203-1995 Email: santanu.das@navy.mil

Questions of a Security nature should be submitted to:

Torri Woodfolk Industrial Security Specialist Office of Naval Research Security Department, Code 43 One Liberty Center 875 North Randolph St.

Arlington, VA 22203-1995 Email Address: torri.powell@navy.mil

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 mailto:anshawn.lewis@navy.mil mailto:susan.paolini@navy.mil mailto:torri.powell@navy.mil

ONR BAA Template Revised September 2, 2016 6

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 EMAIL 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.

Amendments to this BAA will be posted to one or more of 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) -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.

For information on the substantial involvement ONR expects to have in cooperative agreements, prospective offerors should contact the Technical Point of Contact identified in Part I, Section G, of this BAA.

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.

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 September 2, 2016 7

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

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.

ONR BAA Template Revised September 2, 2016 8

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.

II. AWARD INFORMATION

A. Funded Amount and Period of Performance-

The amount and period of performance of each selected proposal may vary depending on the research area and the technical approach to be pursued by the selected offeror.

The Office of Naval Research (ONR) plans to award multiple technology development contracts (particularly cost plus fixed fee [CPFF] type contracts) and grants in accordance with Section V. A.

Evaluation Information. The Office of Naval Research is seeking participants for this program that are capable of supporting the goals described in this announcement. Offerors have the opportunity to be creative in the selection of the technical and management processes and approaches to address the research topics. ONR anticipates an annual budget of approximately $2,000,000 for this program.

ONR plans to fund $300,000 to $500,000 per year per award using Applied Research funds (Budget Category 6.2). However, lower and higher cost proposals will be considered. The average funding level of past awards was approximately $500,000 per year. The period of performance for projects may be from one (1) to three (3) years, with an estimated start date of 1 March 2018, subject to date of final award and availability of new fiscal year funds.

ONR has funded related technology development under numerous programs. If Offerors are enhancing work performed under other ONR or DoD projects, they must clearly identify the point of departure and what existing work will be brought forward and what new work will be performed under 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, as outlined in ONR Instruction 3966.1. 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.

ONR BAA Template Revised September 2, 2016 9

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, industry and the research community 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 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 U.S. export control laws and regulations, including the International Traffic in Arms Regulation (ITAR)( 22 CFR Parts 120 - 130) and Export Administration Regulation (EAR) (15 CFR Parts 730 – 774), as applicable. In some cases, developmental items funded by the Department of Defense are now included on the United States Munition List (USML) (22 CFR Part 121) and are therefore subject to ITAR jurisdiction. In other cases, items that were previously included on the USML have been http://www.onr.navy.mil/

ONR BAA Template Revised September 2, 2016 10 moved to the EAR Commerce Control List (CCL). Offerors should address in their proposals whether ITAR or EAR restrictions apply to the work they are proposing to perform for ONR.

The ITAR and EAR are available online at http://www.ecfr.gov/cgi-bin/ECFR?page=browse.

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

Offerors must comply with all U.S. export control laws and regulations, including the ITAR and EAR, in the performance of any award or agreement resulting from this BAA. Offerors shall be responsible for obtaining any required licenses or other approvals, or license exemptions or exceptions if applicable, for exports of hardware, technical data, and software (including deemed exports), or for the provision of technical assistance.

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.

IV. APPLICATION AND SUBMISSION INFORMATION

A. Application and Submission Process -

White Papers: The due date for white papers is no later than 4:00 PM (Local Time, Washington, D.C.) on 26 June 2017. The only acceptable methods for submission of white papers are hard copy to the primary technical point of contact (Dr. Das) by the United States Postal Service (USPS) with delivery confirmation, or via a commercial carrier (FedEx, DHL, and UPS). NOTE: White Papers sent by email or fax will not be considered. Delivery of materials by USPS, even when sent as Express Mail, may take up to a week or more due to current security procedures in place to ensure the safety of U.S. mail to DoD activities. 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 funding.

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 14 July 2017. An expanded oral presentation will be subsequently requested from those Offerors whose proposed technologies have been identified as being of “particular value” to the Navy. However, any such request does not assure a subsequent award. Any Offeror whose white paper technology was not identified as being of “particular value” to the Navy is ineligible to make an oral presentation or to submit a full proposal under this BAA.

Oral Presentations: An expanded oral presentation will be subsequently requested from those Offerors whose proposed technologies have been identified through the aforementioned email as being of "particular value" to the Navy. However, a positive email response to the oral presentation does not assure a subsequent award.

The purpose of the oral presentation is to better acquaint the Government with the Offeror's proposal, especially in its understanding of the technical approach and impact. The oral

ONR BAA Template Revised September 2, 2016 11 presentations are tentatively scheduled for 3 August 2016.

Offerors will be invited by email no less than ten (10) working days before the scheduled event.

The email will also provide the detailed format for the presentation. Each presentation will be no longer than twenty five (25) minutes in duration. An additional five (5) minutes will be allowed for questions (if any) from the panel of government reviewers.

Oral Presentation Evaluation/Notification: Navy evaluations of the oral presentations will be issued via email notification on or about 25 August 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 4:00 PM (Local Time, Washington, D.C.) on 25 September 2017. It is anticipated that final selections will be made within one week 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. Full proposals received after the published due date and time will not be considered for funding in FY18.

B. Content and Format of White Papers/Full Proposals -

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.

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.”

ONR BAA Template Revised September 2, 2016 12

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 XX and marked in the following manner:

INNER ENVELOPE

(stamped with the overall classification of the material) “Program Name:

Office of Naval Research ATTN: ONR Program Officer Name ONR Code: ONR Program Officer Code 875 North Randolph Street Arlington, VA 22203-1995”

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.

ONR BAA Template Revised September 2, 2016 13

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: Six (6) pages (excluding cover page, resumes, bibliographies, and table of contents − Format - Four (4) original hard copies and (1) electronic copy in Adobe PDF format on

CD-ROM

White Paper Submission

Offerors shall send four (4) hard copies and one (1) electronic copy on CD-ROM to the attention of the TPOC noted in Section I, paragraph G. “Point(s) of Contact”. The subject line of the cover letter shall read "ONR N00014-17-S-B012 White Paper Submission."

White Paper Content

• Cover Page: The Cover Page shall be labeled “WHITE PAPER” and shall include the BAA Number N00014-17-S-B012, 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.

There is considerable freedom to formulate the main body of the white paper (not to exceed five (5) pages) as the Offeror sees fit. The bulk of the main body of white paper should be devoted to the technical discussion and innovation. Here is some general guidance on what may be included in the technical concept: a description of the project objectives, problem being solved, technical approach, what's new, the concept of operation for the new capabilities to be delivered and the expected operational performance improvements, a plan for demonstrating and evaluating the operational effectiveness of the Offeror's product in laboratory or simulated environment including evaluation metrics, transition potential to Navy communications networks, proprietary aspects of the project and any assertions of data rights applicable to the results of this effort.

Although relevance to Navy and the Marine Corps is one of three equally important criteria in evaluation of the white paper, not more than half a page should be devoted to these discussions.

Cost information is needed, although not at the level of detail as required with the full proposal. White paper submissions shall include a cost summary showing requested

ONR BAA Template Revised September 2, 2016 14 funding per year. The cost summary (not to exceed half a page) shall be segregated by both task and year (over the period of performance (i.e., 1, 2 or 3 years).

b. FULL PROPOSALS

NOTE: If page limits are not specified, then consult with your cognizant technical POC.

i. INSTRUCTIONS FOR CONTRACT, COOPERATIVE AGREEMENTS AND OTHER TRANSACTION AGREEMENTS (Does not include Grants)

Proposal Package:

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

(1) Proposal Checklist (.pdf)

(2) 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 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 can also contain options, as long as the total amount of the base and all options does not exceed $150K.

For proposed subcontracts or inter-organizational transfers over $150,000, Offerors must http://www.onr.navy.mil/Contracts-Grants/submit-proposal/contracts-proposal/cost-proposal.aspx

ONR BAA Template Revised September 2, 2016 15 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.

Offerors should submit four (4) original hard copies and one (1) electronic copy on a CD_ROM.

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 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.

Any proposed options that are identified in the Technical Proposal Template or Proposal Checklist documents, but are not fully priced out in the Cost Proposal Spreadsheet, will not be included in any resulting contract, cooperative agreement, or other transaction. If proposing options, they must be separately priced and separate spreadsheets should be provided for the base period and each option. In addition to providing summary by period of performance (base and any options), the Contractor is also 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 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, ONR BAA Template Revised September 2, 2016 16 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, Cooperative Agreements, and Other Transaction Agreements.

ii. INSTRUCTIONS FOR GRANTS (Does not include contracts, cooperative agreements and other transaction agreements)

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 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.

ONR BAA Template Revised September 2, 2016 17

• 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.

Field 7of the SF-424 Other Project Information entitled, “Project Summary/Abstract” may be left blank if the Project Abstract is already attached.

NOTE: Ensure the attachment is a single PDF file with File name: “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

• Page limits for Volume I are provided below. There are no page limitations to the Cost Proposal, Volume 2.

• The full proposal should 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.

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

ONR BAA Template Revised September 2, 2016 18

Technical Proposal

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

1) BAA Number: N00014-17-S-B012;

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 (identify both the base period and any options, if included).

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

• Technical Approach and Justification: The major portion of the proposal must consist of a clear description of the technical approach being proposed. This discussion should provide the technical foundation/justification for pursuing this particular approach/direction and why one would expect it to enable the objectives of the proposal to be met. This section should include a discussion of the following points:

• 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.

Offerors should limit the number of pages for this section to twelve (12) pages.

• Project Schedule and Milestones: A summary of the schedule of events and milestones.

Offerors should limit the number of pages for this section to one (1) page.

• Reports:

The following are sample reports that are typically required under a research effort:

− Technical and Financial Progress Reports − Final Report

Grants do not include the delivery of software, prototypes, and other hardware deliverables.

Offerors should limit the number of pages for this section to one (1) page.

ONR BAA Template Revised September 2, 2016 19

• Management Approach: Identify which personnel and subcontractors/subrecipients (if any) will be involved. Include a description of the facilities that are required for the proposed effort, along with a description of any Government Furnished Equipment/Hardware/ Software/Information required, by version and/or configuration.

Offerors should limit the number of pages for this section to four (4) pages.

• Current and Pending Project and Proposal Submissions: Offerors are required to provide information on all current and pending support for ongoing projects and proposals, including subsequent funding in the case of continuing contracts, grants, and other assistance agreements.

Offerors shall provide the following information of any related or complementary proposal submissions from whatever sources (e.g., ONR, Federal, State, local or foreign government agencies, public or private foundations, industrial or other commercial organizations).

Concurrent submission of a proposal to other organizations will not prejudice its review by

ONR:

1) Title of Proposal and Summary;

2) Source and amount of funding (annual direct costs; provide contract and/or grant numbers for current contracts/grants);

3) Percentage effort devoted to each project;

4) Identity of prime Offeror and complete list of subwards, if applicable;

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

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

7) Period of performance (differentiate basic effort);

8) The proposed project and all other projects or activities requiring a portion of time of the Principal Investigator and other senior personnel must be included, even if they receive no salary support from the project(s);

9) The total award amount for the entire award period covered (including indirect costs) must be shown as well as the number of person-months or labor hours per year to be devoted to the project, regardless of source of support; and

10) State how projects are related to the proposed effort and indicate degree of overlap.

Offerors should limit the number of pages for this section to three (3) pages.

• Qualifications: A discussion of the qualifications of the proposed Principal Investigator and any other key personnel. Include resumes or curricula vitae for the Principal Investigator, other key personnel and consultants. The resumes/curricula vitae shall be attached to the proposal.

Offerors must provide the following information to ONR in order to assist in ONR's evaluation of the offeror's responsibility:

a. Describe how you have adequate resources or the ability to obtain such research as required to complete the activities proposed.

b. Describe how you have the ability to comply with the grant conditions, taking into account all

ONR BAA Template Revised September 2, 2016 20 existing and currently prospective commitments of the applicant, nongovernmental and governmental.

c. Describe your performance history, specifically your record in managing Federal awards and the extent to which any previously awarded amounts will be expended prior to future awards.

d. Describe your record of integrity and business ethics.

e. Describe qualifications and eligibility to receive an award under applicable laws and regulations.

f. Describe your organization, experience, accounting, and operational controls and technical skills, or the ability to obtain them (including as appropriate such elements as property control systems, quality assurance measures, and safety programs applicable to the services to be performed)

Offerors should limit the number of pages for this section to three (3) pages.

Cost Proposal

The offeror must use the Grants.gov forms (including the Standard Form (SF) Research and Related (R&R) Budget Form) from the application package template associated with the BAA on the Grants.gov web site located at http://www.grants.gov/. If options are proposed, the cost proposal must provide the pricing information for the option periods; failure to include the proposed costs for the option periods will result in the options not being included in the award.

A separate Adobe .pdf document should be included in the application that provides appropriate justification and supporting documentation for each element of cost proposed.

This document shall be attached under Section K. “Budget Justification” of the Research and Related Budget form. Click “Add Attachment” to attach.

Part 1: The itemized budget should include the following

• Direct Labor – Individual labor categories or persons, with associated labor hours and unburdened direct labor rates. Provide escalation rates for out years.

• Administrative and Clerical Labor – Salaries of administrative and clerical staff are normally indirect costs (and included in an indirect cost rate). Direct charging of these costs may be appropriate when a major project requires an extensive amount of administrative or clerical support significantly greater than normal and routine levels of support. Budgets proposing direct charging of administrative or clerical salaries must be supported with a budget justification which adequately describes the major project and the administrative and/or clerical work to be performed.

• Fringe Benefits and Indirect Costs (F&A, Overhead, G&A, etc.) – The proposal should show the rates and calculation of the costs for each rate category. If the rates have been approved/negotiated by a Government agency, provide a copy of the memorandum/agreement. If the rates have not been approved/negotiated, provide sufficient detail to enable a determination of allowability, allocability and reasonableness of the allocation bases, and how the rates are calculated. Additional information may be requested, if needed. If composite rates are used, provide the calculations used in deriving the composite rates.

ONR BAA Template Revised September 2, 2016 21

• Travel – The proposed travel cost must include the following for each trip: the purpose of the trip, origin and destination if known, approximate duration, the number of travelers, and the estimated cost per trip must be justified based on the organizations historical average cost per trip or other reasonable basis for estimation.