N00014-18-S-B002_ARV_Advanced_Technology_Development_Program_-_Broad_Agency_Announcement_-_Final.pdf

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ONR BAA Announcement # N00014-18-S-B002

BROAD AGENCY ANNOUNCEMENT (BAA)

Armored Reconnaissance Vehicle (ARV)

Advanced Technology Development

Future Naval Capability (FNC) ii

TABLE OF CONTENTS

I. OVERVIEW OF THE RESEARCH OPPORTUNITY 1

A. Required Overview Content 1

1. Federal Awarding Agency Name 1

2. Funding Opportunity Title 1

3. Announcement Type 1

4. Funding Opportunity Number 1

5. Catalog of Federal Domestic Assistance (CFDA) Numbers 1

6. Key Dates 2

7. North American Industry Classification System (NAICS) Code 2

II. DETAILED INFORMATION ABOUT THE RESEARCH OPPORTUNITY 3

A. Program Description 3 B. Federal Award Information 4

1. Eligibility for Competition 4

2. Contracted Fundamental Research 4

3. Funded Amount and Period of Performance 5

4. Instrument Type 7

5. Model Contracts 8 C. Eligibility Information 8

1. Eligible Applicants 8

2. Cost Sharing or Matching 9 D. Application and Submission Information 9

1. Address to Request (Access) Application Package 9

2. Content and Form of Application Submission 9

3. Unique Entity Identifier and System for Award Management (SAM) 13

4. Submission Dates and Times 13

5. Other Submission Requirements 14 E. Application Review Information 14

1. Criteria 14

2. Review and Selection Process 15

3. Recipient Qualification 18 iii

F. Federal Award Administration Information 19

1. Federal Award Notices 19

2. Administrative and National Policy Requirements 20

3. Reporting 23 G. Federal Awarding Agency Contacts 25

III. APPENDICES

1. Detailed Program Description

2. Requirements Applicable to Contracts and Other Transaction Agreements

ONR BAA Number N00014-18-S-B002 Page 1 of 26

I. OVERVIEW OF THE RESEARCH OPPORTUNITY

This publication constitutes a Broad Agency Announcement (BAA) for awards by the ONR Contact and Grants Awards Management Division, ONR Code 25 (or otherwise approved by Code 25) as contemplated in Federal Acquisition Regulation (FAR) 6.102(d)(2) and 35.016, and DoD’s Other Transaction Guide for Prototypes Projects, USD(AT&L), OT Guide, Jan 2017. 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.

A. Required Overview Content

1. Federal Awarding Agency Name

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

2. Funding Opportunity Title

Armored Reconnaissance Vehicle (ARV) Advanced Technology Development Future Naval Capability

3. Announcement Type

Initial Announcement

4. Funding Opportunity Number

N00014-18-S-B002

5. Catalog of Federal Domestic Assistance (CFDA) Numbers

12.300

Title: Department of Defense (DOD), Department of the Navy, Office of Chief of Naval Research, Basic and Applied Scientific Research

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6. Key Dates (See also Section II, D.4)

Anticipated Schedule of Events * Event Date (MM/DD/YEAR) Time (Local

Eastern Time) Pre-Proposal Conference/Industry Day

01/09/2018

White Papers Due Date 01/19/2018 3:00 PM Notification of Initial Navy Evaluations of White Papers*

02/02/2018

Full Proposals Due Date 03/16/2018 3:00 PM Notification of Selection for Award * 03/30/2018 Contract Awards* 07/30/2018 Kickoff Meeting* 08/16/2018

*These dates are estimates as of the date of this announcement.

7. North American Industry Classification System (NAICS) Code

The NAICS code for contracts under this announcement is ___541715________ with a small business size standard of ___500 employees____.

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II. DETAILED INFORMATION ABOUT THE FUNDING OPPORTUNITY

A. Program Description

The Office of Naval Research (ONR) is interested in receiving white papers, then proposals, addressing the research, development, and integration of revolutionary technologies to inform the realm of the possible related to a notional next generation armored reconnaissance platform called the Armored Reconnaissance Vehicle (ARV). It is desired that a future ARV will be capable of fighting for information in an increasingly complex and contested environment and able to counter threats with greater reach and lethality. This Science and Technology (S&T) effort is a Future Naval Capability (FNC) program that will run from FY18 to mid-FY21.

The S&T program has been segmented into two Research Areas (RAs) which are each structured with a base period plus two (2) option periods.

The first Research Area will result in the development of advanced components and subsystems across ten (10) Technology Focus Areas (TFAs) that are further defined in Appendix 1. The second Research Area will include the development of novel concepts based on thorough analysis that is inclusive of modeling and simulation and whole system trade studies, mock up fabrication of intriguing concepts, and fabrication of full scale advanced technology demonstrators (one that is designed around a notional base capability and another that is revolutionary and "at the edge"). The platforms will be used to demonstrate the state of the art and to assess the potential capability and performance of advanced technologies and future concepts all to demonstrate the realm of the possible to inform the requirements development process and to engage Industry and Academia early in the process. This program is primarily researching a base capability for a notional ARV and it is not the intent to research all possible capabilities that will be resident on the platform in the future.

Offerors may submit white papers addressing either or both of the following Research Areas as desired. It is expected that multiple offerors will be selected in each.

I. RA1: Advanced Component and/or Subsystem Technology Research and Development

a. RA1 Base Period: Preliminary Design

b. RA1 Option 1 Period: Detailed Design and Initial Prototype Build & Test

c. RA1 Option 2 Period: Refined Prototype Build & Test

II. RA2: Full System Concept Studies, Mockup Fabrication and Full System

Technology Demonstrator Prototype Development

a. RA2 Base Period: Full System Concept Studies

b. RA2 Option 1A Period: Advanced Concept Mockup Development

c. RA2 Option 1B Period: Full System Technology Demonstrator Prototype

Development, Fabrication and Test & Demonstration Support

See Section II, B.3 (Funded Amount and Period of Performance) and Appendix 1 (Program

Description) for additional details.

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B. Federal Award Information

1. Eligibility for Competition. Proposals for renewal or supplementation of existing projects are eligible to compete with applications for new Federal awards under this BAA.

2. Contracted Fundamental Research. 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.

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3. Funded Amount and Period of Performance The Office of Naval Research is anticipating multiple awards for each of the listed Research Areas (RAs) and Technical Focus Areas (TFAs) further detailed in Appendix 1. Offerors are not limited to singular RAs or TFAs and may submit proposals addressing multiple areas.

RA1: Advanced Component and/or Subsystem Technology Research and Development

Each white paper and proposal addressing a TFA shall consist of a base period and two follow-on options.

RA1 Base Period: Preliminary Design The base period will consist of multiple awards addressing some or all of the listed TFAs, amounting up to $250K each for a six (6) month period of performance. The base period shall focus on developing technology design parameters, preliminary design work, and any initial modeling and simulation efforts to quantify how the technology will meet the goal of its target TFA(s). A technical report that includes an update on what will be accomplished in the option period is expected at least fifteen (15) days prior to the end of the base period detailing the expected benefits of the technology and the associated preliminary design information. This report will be used to aid in selecting the most promising technologies which will move forward into the option period.

Offerors may consider insertion of their technologies into either the “Base Variant” and/or “At the Edge” demonstrator depending on the level of technology maturity. Less mature technologies that may not be of sufficient maturity for insertion into the demonstrators are still of interest. In this case, offerors may propose a period of performance longer than what is listed for the base and option periods (see schedule).

RA1 Option 1 Period: Detailed Design and Initial Prototype Build & Test During option 1 period, amounting up to $500K for a six (6) month period of performance, it is expected that detailed design will occur, initial prototype(s) will be developed for any component characterization and/or durability testing, and updated technology benefits will be derived. A technical report that includes an update on what will be accomplished in the option period is expected at least fifteen (15) days prior to the end of the first option period. This report will be used to aid in selecting the most promising technologies which may move forward into the next period.

RA1 Option 2 Period: Refined Prototype Build & Test During option 2 period, amounting up to $500K for a six (6) month period of performance, focuses on producing a prototype device suitable for integration and eventual testing on an ARV or a surrogate platform that incorporates any design refinements based on the prior component testing. Additional testing may occur during this period if needed. In addition to the delivered prototype(s), a final report detailing activities that occurred during this option period is required at the end of the option.

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RA2: Full System Concept Studies, Mockup Fabrication and/or Full System Demonstrator Development

White papers and eventually proposals should consist of a base period of four (4) months for the concept study and modeling and simulation effort and two option periods. Option Period 1A will be for a period of six (6) months for mockup development. Option Period 1B will be for a period of seventeen (17) or twenty-three (23) months for preliminary and detailed design, and fabrication of the “Base Variant” and “At the Edge” demonstrators respectively.

Offerors can propose to either option, but not both.

RA2 Base Period: Full System Concept Studies The base period will consist of multiple awards amounting up to $400K each for a period of performance of four (4) months. The concept study should address multiple concepts including the “Base” variant and the “At the Edge” concepts. This effort should result in the delivery of a final report due fifteen (15) days prior to the end of the base period detailing the overall capabilities of the systems and individual subsystems (see technical focus areas), a section discussing the trades and compromises of the subsystems to result in the overall concepts, illustrations of the concept platforms, and an update on what will be accomplished in the selected option period; any models or simulations developed; and a presentation providing an overview of the concepts and results of the modeling and simulation efforts.

Concepts of interest may proceed directly into one of two possible follow-on options.

RA2 Option 1A Period: Advanced Concept Mockup Development The mockup development option, amounting up to $250K for a period of performance of four

(4) months, is for basic static representations of the concepts or specific design elements of a concept developed for the purpose of visual display and demonstration and user assessment.

Mockups can be developed out of low-cost materials such as Styrofoam, plywood, etc. and can potentially utilize 3D visualization environments allowing digital exploration of the concept. A final report detailing the activities accomplished during this period is due at the end of the option.

RA2 Option 1B Period: Full System Technology Demonstrator Platform Development, Fabrication and Test & Demonstration Support It is desired that one (1) “Base Variant” and one (1) “At the Edge” Technology Demonstrator proposal will be selected for award. Offerors may elect to propose to either the ‘Base Variant”, “At the Edge”, or both demonstrators. The “Base Variant” demonstrator, being an operable platform that meets the intent of this solicitation and can withstand follow-on platform and subsystem testing will have an anticipated award up to $10M. The “At the Edge” Technology Demonstrator, having an anticipated award up to $15M, is expected to be inclusive of higher risk technologies and it is acceptable if some of the technologies have limited operability as long as there is a clear development path presented that would lead to full operability/capability as defined in Appendix 1, Section II(iii). Test and demonstration support is necessary to cover six (6) months of Government platform evaluation for each demonstrator.

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For each demonstrator effort, a final report containing technical vehicle design information, details on the vehicle build process, any contractor test data and/or analysis, and vehicle specifications is due at the completion of this option.

Standard deliverables for each of the RAs, in addition to what is mentioned in the preceding descriptions, include monthly technical and financial progress reports, quarterly presentations, project reviews, briefing materials for each project review, and final reports. See Section F.2.vii for information on program meeting and review expectations.

RA1 Base Phase: Advanced Technology Development Prelim. Design

RA1 Option 1 Period: Detailed Design and Initial Prototype Build & Test RA1 Option 2 Period: Refined Prototype Build & Test

RA2 Base Phase: Full System Concept Studies

RA2 Option 1A Period: Advanced Concept Mockup Development RA2 Option 1B Period: Full System Technology Demonstrator Platform Development, Fabrication and Test & Demonstration Support

"Base Variant" Tech. Demonstrator Design, Fabrication, and Test "At the Edge" Tech. Demonstrator Design, Fabrication, and Test

FY21

Q1 Q2 Q3 Q4

FY20

Q1 Q2 Q3 Q4

Phase Q1 Q2 Q3 Q4

FY18 FY19

Q1 Q2 Q3 Q4

Legend:

Transition

Linkages

Schedule

Additional Time If Needed

4. Instrument Type(s) -

Awards may take the form of contracts and other transaction agreements, as appropriate.

The following provides brief descriptions of potential instrument types:

a. Procurement Contract: A legal instrument, consistent with 31 U.S.C. 6303, which reflects a relationship between the Federal Government and a state government, a local government, or other entity/contractor when the principal purpose of the instrument is to acquire property or services for the direct benefit or use of the Federal Government.

b. Other Transaction for Prototype (OTA): A legal instrument, consistent with 10 U.S.C. 2371b, which may be used when the use of a contract, grant, or cooperative agreement is not feasible or appropriate for prototype projects directly

ONR BAA Number N00014-18-S-B002 Page 8 of 26 relevant to enhancing the mission effectiveness of military personnel and the supporting platforms, systems, components, or materials proposed to be acquired or developed by the Department of Defense, or for improvement of platforms, systems, components, or materials in use by the armed forces. The effort covered under an OTA shall not be duplicative of effort being conducted under an existing DoD program (please refer to the DoD “Other Transactions Guide for Prototype Projects” dated January 2017. This document along with other OTA resources may be accessed at the following link: http://www.acq.osd.mil/dpap/cpic/cp/10USC2371bOTs.html.

5. Model Contracts-

• 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.

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

C. Eligibility Information

1. Eligible Applicants

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.

http://www.acq.osd.mil/dpap/cpic/cp/10USC2371bOTs.html 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/

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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.

2. Cost Sharing or Matching - 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.

D. Application and Submission Information

1. Address to Request (Access) Application Package - This BAA may be accessed from the sites below. Amendments, if any, to this BAA will be posted to these websites when they occur. Interested parties are encouraged to periodically check these websites for updates and amendments.

a. FedBizOpps at www.fbo.gov

b. ONR website at http://www.onr.navy.mil

2. Content and Form of Application Submission

a. General Information

Armored Reconnaissance Vehicle (ARV) S&T Brief to Industry:

ONR representatives will conduct an unclassified briefing for potential Offerors on Tuesday, January 9, 2018 at the Key Bridge Marriott located in Rosslyn, VA. The purpose of the meeting will be to provide potential Offerors with a better understanding of the scope of the Program and objectives of this BAA. The briefing will be held at 9:00 AM Local Eastern Time with check-in beginning at 7:30 AM. All attendees are required to pre-register by following the instructions at the following link: https://www.onlineregistrationcenter.com/ARV-Industry-Day by 3:00 PM Local Eastern Time on Thursday, January 4, 2017. Pre-registration 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.

Attendance is limited to three (3) individuals per organization and is open to U.S.

Citizens only. Please check the above listed website near the event date for the agenda and updated information. Those not able to attend this briefing should also consult the above website for any Brief to Industry related information after the event.

White Papers: The due date for white papers is no later than 3:00 PM Local Eastern Time on Friday, January 19, 2018. White papers are to be submitted as a pdf file via electronic mail (email) only to Mr. Jeff Bradel (jeff.bradel@navy.mil). If an Offeror does not submit a white paper before the specified due date and time, he/she is not http://www.fbo.gov/ http://www.onr.navy.mil/ https://www.onlineregistrationcenter.com/ARV-Industry-Day mailto:Jeff.Bradel@navy.mil

ONR BAA Number N00014-18-S-B002 Page 10 of 26 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: Evaluations of the white papers will be issued via email notification on or about Friday, February 2, 2018.

Full Proposals: The due date for receipt of Full Proposals is 3:00 PM (EDT) on Friday, March 16, 2018. 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. Full proposals received after the published due date and time will not be considered for funding in FY18.

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.

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.

b. Submission of Unclassified and Classified 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.

• Unclassified Proposal Instructions: Unclassified proposals shall be submitted in accordance with this Section.

• Special Instructions for Classified White Papers and Proposal: Classified proposals up to the SECRET level 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

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The inner wrapper of the classified White Paper and/or Full Proposal should be addressed to the attention of the cognizant TPOC, ONR Code 30 and marked in the following manner:

INNER ENVELOPE - (stamped with the overall classification of the material)

Program Name: Armored Reconnaissance Vehicle (ARV) Advanced Technology Development Office of Naval Research ATTN: Jeff Bradel ONR Code: 30 875 North Randolph Street Arlington, VA 22203-1995

• For both classified and unclassified proposals, a non-proprietary unclassified 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).”

• Each sheet of data that the offeror wishes to restrict must be marked 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.”

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c. White Paper Requirements.

i. 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– 5 pages.

ii. White Paper Submission. When e-mail submission is required (per the instructions below), the white paper must be a Microsoft Word 2010 compatible, or PDF format attachment to the email. There is an email size limit of 5MB per email.

• For ONR Only: Electronic (email) submissions should be sent to the attention of the TPOC at: jeff.bradel@navy.mil. The subject line of the email shall read:

“N00014-18-S-B002” White Paper Submission”. Do not send ZIP files. Password protected files are discouraged.

iii. White Paper Content: White papers shall include the following:

FOR ALL WHITE PAPERS

• Cover Page: The Cover Page shall be labeled “WHITE PAPER” and shall include the BAA Number N00014-18-S-B002, “Armored Reconnaissance Vehicle (ARV) Advanced Technology Development”, Mr.

Jeff Bradel, Code 30, (703) 588-2552, E-mail: jeff.bradel@navy.mil.

• 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.

• Rough Order of Magnitude (ROM) cost estimate.

d. Full Proposals: (See Appendix 2 for instructions.)

i. Instructions for Contracts and Other Transaction Agreements. (See

Appendix 2)

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3. Unique Entity Identifier and System for Award Management (SAM)

Unique Entity Identifier and System for Award Management (SAM) - All offerors submitting proposals or applications must:

a. Be registered in the SAM prior to submission;

b. Maintain an active SAM registration with current information at all times during which it has an active Federal award or an application under consideration by any agency; and

c. Provide its DUNS number in each application or proposal it submits to the agency.

SAM may be accessed at https://www.sam.gov/portal/public/SAM

4. Submission Dates and Times -

(See Section I, paragraph A.6, Key Dates, for information)

Submission of Late Proposals (Applicable to White Papers and Full Proposals)

Any white paper, proposal, modification, or revision, that is received at the designated Government office after the exact time specified for receipt of proposals is “late” and will not be considered unless it is received before award is made, the contracting officer determines that accepting the late proposal would not unduly delay the acquisition and

(a) If it was transmitted through an electronic commerce method authorized by the announcement, it was received at the initial point of entry to the Government infrastructure not later than 5:00 p.m. one working day prior to the date specified for receipt of proposals; or

(b) There is acceptable evidence to establish that it was received at the Government installation designated for receipt of proposals and was under the Government’s control prior to the time set for receipt of proposals; or

(c) It was the only proposal received.

However, a late modification of an otherwise timely and successful proposal that makes its terms more favorable to the Government will be considered at any time it is received and may be accepted.

Acceptable evidence to establish the time or receipt at the Government installation includes the time/date stamp of that installation on the proposal wrapper, other documentary evidence of receipt maintained by the installation, or oral testimony or statements of Government personnel.

https://www.sam.gov/portal/public/SAM

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If an emergency or unanticipated event interrupts normal Government processes so that proposals cannot be received at the Government office designated for receipt of proposals by the exact time specified in the announcement, and urgent Government requirements preclude amendment of the announcement closing date, the time specified for receipt of proposals will be deemed to be extended to the same time of day specified in the announcement on the first work day on which normal Government processes resume.

The contracting officer must promptly notify any offeror if its proposal, modifications, or revision was received late and must inform the offeror whether its proposal will be considered

5. Other Submission Requirements

a. Submission of Full Proposals for Contracts and Other Transaction Agreements

For ONR, full proposals should be submitted as follows:

Hard Copy Only:

Office of Naval Research ATTN: Mr. Jeff Bradel ONR Code: 30 875 North Randolph Street – Suite 1162

E. Application Review Information

1. Criteria

Awards under this BAA will be made in accordance with FAR 35.016(e) or 2 C.F.R 200.

The primary basis for selecting proposals for acceptance will be technical merit, importance to agency programs, and fund availability. To the extent appropriate, cost realism and reasonableness will also be considered when selecting proposals. ONR reserves the right to request and require any additional information and documentation after it makes the type of award instrument determination. ONR reserves the right to remove Offerors from award consideration when the parties fail to reach agreement on award terms, conditions, and cost/price within a reasonable time, or when the Offeror fails to timely provide requested or required additional information.

Offerors’ proposals will be evaluated against the following criteria:

• Factor 1: Overall scientific and technical merits of the proposal

• Factor 2: Overall innovativeness, and degree to which, the proposed concepts and ideas address the ARV desired capabilities, S&T Program Objectives, Research Areas (RA), and Technology Focus Areas (TFA). Soundness of the integration, testing, and

ONR BAA Number N00014-18-S-B002 Page 15 of 26 validation approaches and criteria will also be considered

• Factor 3: The Offeror’s capabilities, related experience, facilities, techniques or unique combinations of these which are integral factors for achieving the proposal objectives

• Factor 4: The qualifications, capabilities, experience, and past performance of the proposed Principal Investigator (PI), team leader, and key personnel who are critical in achieving the proposal objectives

• Factor 5: The realism of the proposed costs and availability of funds.

Overall, the technical factors combined (1 – 4 above) are more important than the cost factor. The technical factors 1 & 2 are of equal value and each is more important than factors 3 & 4, which are also of equal value. The degree of importance of cost will increase with the degree of equality of the proposals in relation to the other factors on which selection is to be based, or when the cost is so significantly high as to diminish the value of the proposal’s technical superiority to the Government.

In addition, ONR highly encourages partnering among industry and academia and industry and Government with a view toward speeding the incorporation of new science and technology into fielded systems. Proposals that utilize industry-academic or industry-Government partnering which enhances the development of novel S&T advances, although not mandatory, are desired and will receive favorable consideration.

2. Review and Selection Process

a. Proposals will not be evaluated against each other since they are not submitted in accordance with a common work statement. ONR’s intent is to review proposals as soon as possible after they arrive; however, proposals may be reviewed periodically for administrative reasons.

The ultimate recommendation for award of proposals is made by ONR's scientific/technical community. Recommended proposals will then be forwarded to the ONR Contracts and Grant Awards Management office. Any notification received from ONR that indicates that the Offeror's full proposal has been recommended does not ultimately guarantee an award will be made. This notice indicates that the proposal has been selected in accordance with the evaluation criteria stated above and has been sent to the Contracting Department to conduct cost analysis, determine the offeror's responsibility, to confirm whether funds are available, and to take other relevant steps necessary prior to commencing negotiations with the offeror.

b. Commitment to Small Business - (For Contract Awards Only)

The Office of Naval Research is strongly committed to providing meaningful prime and subcontracting opportunities for small businesses, small disadvantaged businesses (SDBs), woman-owned small businesses (WOSBs), historically underutilized business zone (HUBZone) small businesses, veteran-owned small business (VOSBs), service disabled veteran-owned small businesses (SDVOSBs), historically black colleges and universities, and minority institutions, and other concerns subject to socioeconomic

ONR BAA Number N00014-18-S-B002 Page 16 of 26 considerations through its awards.

Businesses unfamiliar with doing business with the government and that require assistance may contact the state-specific Department of Defense (DoD) Procurement Technical Assistance Center (PTAC). DoD PTACs serve as a resource for businesses pursuing and performing under contracts with DoD, other federal agencies, state and local governments and with government prime contractors. Assistance provided by the PTACs is usually free of charge. PTAC support includes registration in systems such as SAM, identification of contract opportunities, understanding requirements and preparing and submitting proposals. The PTACs have a presence in each state, Puerto Rico and Guam.

To locate a local PTAC visit: http://www.dla.mil/HQ/SmallBusiness/PTAC.aspx or http://www.aptac-us.org/new/ .

1) Subcontracting Plan - For proposed contract awards exceeding $700,000, large businesses and non-profits (including educational institutions) shall provide a Subcontracting Plan (hereafter known as ‘the Plan’) that contains all elements required by FAR 19.704, FAR 52.219-9 and as supplemented by DFARS 252.219- 7003.

NOTE: Small businesses are exempt from this requirement to submit a subcontracting plan.

The Plan must be submitted as an attachment to the “Proposal Checklist” and will not be included in the page count. If a company has a Master Subcontracting Plan, as described in FAR 19.701 or a Comprehensive Subcontracting Plan, as described in DFARS 219.702, a copy of the Plan shall also be submitted as an attachment to the “Proposal Checklist”.

Plans will be reviewed for adequacy, ensuring that the required information, goals, and assurances are included. FAR 19.702 requires an apparent successful offeror to submit an acceptable Plan. If the apparent successful offeror fails to negotiate a Plan acceptable to the contracting officer within the time limit prescribed by the contracting officer, the offeror will be ineligible for award.

Offerors shall propose a plan that ensures small businesses (inclusive of SDBs, WOSBs, HUBZone, VOSBs and SDVOSBs) will have the maximum practicable opportunity to participate in contract performance consistent with efficient performance.

As a baseline, Offerors shall, to the best extent possible, propose realistic goals to ensure small business participation in accordance with the current or most recent fiscal year subcontracting goals found on the DoD Office of Small Business Program website at: http://www.acq.osd.mil/osbp/. If proposed goals are below the statutory requirements, then the offeror shall include in the Plan a viable written explanation as to why small businesses are unable to be utilized and what attempts were taken to http://www.dla.mil/HQ/SmallBusiness/PTAC.aspx http://www.aptac-us.org/new/ http://www.acq.osd.mil/osbp/

ONR BAA Number N00014-18-S-B002 Page 17 of 26 ensure that small business were given the opportunity to participate in the effort to the maximum extent practicable.

2) Small Business Participation Statement –

If subcontracting opportunities exist, all prime Offerors shall submit a Small Business Participation Statement regardless of size in accordance with DFARS 215.304 when receiving a contract for more than the simplified acquisition threshold (i.e., $150,000).

All offerors shall provide a statement of the extent of the offeror’s commitment in providing meaningful subcontracting opportunities for small businesses and other concerns subject to socioeconomic considerations through its awards and must agree that small businesses, VOSBs, SDVOSBs, HUBZones, SDBs, and WOSBs concerns will have the maximum practicable opportunity to participate in contract performance consistent with efficient performance.

This assertion will be reviewed to ensure that it supports this policy by providing meaningful subcontracting opportunities. The statement should be submitted as an attachment to the “Proposal Checklist” and will not be included in the page count.

3) Subcontracting Resources -

Subcontracting to a prime contractor can be a good way to participate in the contracting process. The following is a list of potential resources that may assist in locating potential subcontracting partners/opportunities/resources:

*Companies Participating in DoD Subcontracting Program Report *DAU Small Business Community of Practice (SB COP) *DefenseLink ≥ $7.0 M Award Notices *DoD OSBP Prime Contractors and Subcontractors with Subcontracting Plans *Dynamic Small Business Search *Electronic Subcontracting Reporting System (eSRS) *Federal Business Opportunities (FEDBIZOPPS) *Navy SBIR/STTR Search – Website or Brochure *DoD Procurement Technical Assistance Centers (PTAC) *Small Business Administration (SBA) Subcontracting Opportunities Directory *SBA Subnet

For a description and associated websites visit the ONR Office of Small Business webpage at:

http://www.onr.navy.mil/Contracts-Grants/small-business.aspx.

In accordance with FAR 5.206, the following entities may transmit a notice to the Government-wide Point of Entry (GPE) at www.fbo.gov to seek competition for subcontracts, to increase participation by qualified small businesses, VOSBs, SDVOSBs, HUBZones, SDBs, and WOSBs, and to meet established subcontracting plan goal as follows:

http://www.onr.navy.mil/Contracts-Grants/small-business.aspx http://www.fbo.gov/

ONR BAA Number N00014-18-S-B002 Page 18 of 26

(a) A contractor awarded a contract exceeding $150,000 that is likely to result in the award of any subcontracts;

(b) A subcontractor or supplier, at any tier, under a contract exceeding $150,000, which has a subcontracting opportunity exceeding $15,000.

The notices must describe:

(a) The business opportunity;

(b) Any prequalification requirements; and

(c) Where to obtain technical data needed to respond to the requirement.

An example of a place in which prime contractors may post solicitations or sources sought notices for small business is the SBA SUB-Net.. The SUB-Net database provides a listing of subcontracting solicitations and opportunities posted by large prime contractors and other non-federal organizations.

c. Options

The Government will evaluate options for award purposes by adding the total cost for all options to the total cost for the basic requirement. Evaluation of options will not obligate the Government to exercise the options during contract or grant performance.

d. Evaluation Panel

Technical and cost proposals submitted under this BAA will be protected from unauthorized disclosure in accordance with FAR 3.104-4 and 15.207. The cognizant Program Officer and other Government scientific experts will perform the evaluation of technical proposals. Restrictive notices notwithstanding, one or more support contractors may be utilized as subject- matter-expert technical consultants. However, proposal selection and award decisions are solely the responsibility of Government personnel. Each support contractor’s employee having access to technical and cost proposals submitted in response to this BAA will be required to sign the ONR Non- Disclosure Agreement (NDA) for Contractor Support prior to receipt of any proposal submissions. This NDA includes third-party beneficiary language giving the submitter of proprietary information a right of direct action against the contractor employee and/or his/her employer in the event that the NDA is violated.

3. Recipient Qualifications

a. Applicable to Contracts and Other Transaction Agreements (See Appendix 2.)

ONR BAA Number N00014-18-S-B002 Page 19 of 26

F. Federal Award Administration Information

1. Federal Award Notices

a. Applicants whose proposals are recommended for award may be contacted by a Contract Specialist to discuss additional information required for award. This may include representations and certifications, revised budgets or budget explanations, certificate of current cost or pricing data, subcontracting plan for small businesses, and/or other information as applicable to the proposed award.

The notification e-mail must not be regarded as an authorization to commit or expend funds. The Government is not obligated to provide any funding until a Government Contracting Officer or Grants Officer, as applicable, signs the award document.

The award document signed by the Contracting Officer or Grants Officer is the official and authorizing award instrument.

b. Office of Naval Research (ONR) award/modification documents are only available via the Department of Defense (DoD) Electronic Document Access System (EDA) within the Wide Area WorkFlow e-Business Suite (https://wawf.eb.mil/).

EDA is a Web-based system that provides secure online access, storage and retrieval of awards and modifications to DoD employees and vendors.

ONR creates an award notification profile for every award.

For grants, the notification profile will use the email addresses from the Application for Federal Assistance, SF424, to notify the recipient of an award. ONR recommends that organizations provide a global business address for their entity in Field 5 (Application Information) of the SF424. ONR is using the following three email addresses entered by the grantee on the SF424 application to create the EDA notification profile:

i. Applicant Information (Field 5 - Email)

ii. Project Director / Principal Investigator (Field 14 - Email)

iii. Authorized Representative (Field 19 - Email)

For all other awards, the notification profile will use the email address from the Business Point of Contact to notify the recipient of an award.

IMPORTANT: In some cases, EDA notifications are appearing in recipients' Junk Email folder. If you are experiencing issues receiving EDA notifications, please check your junk email. If found, please mark EDA notifications as "not junk."

If you do not currently have access to EDA, you may complete a self-registration request as a “Vendor” via https://wawf.eb.mil/ following the steps below:

1. Click "Accept" https://wawf.eb.mil/

ONR BAA Number N00014-18-S-B002 Page 20 of 26

2. Click "Register" (top right)

3. Click "Agree"

4. In the "What type of user are you?" drop down, select "Vendor"

5. Select the systems you would like to access (iRAPT at a minimum)

6. Complete the User Profile and follow the site instructions

Allow five business days for your registration to be processed. EDA will notify you by email when your account is approved.

To access awards after your registration has been approved, log into https://wawf.eb.mil/, select "EDA", select either EDA location, Select "Contracts", select your search preference, enter the Contract Number (or, if applicable, enter the Grant Number in the Contract Number field), and select "View".

Registration questions may be directed to the EDA help desk toll free at 866-618- 5988, commercial at 801-605-7095, or via email at disa.ogden.esd.mbx.cscassig@mail.mil (Subject: EDA Assistance).

2. Administrative and National Policy Requirements

a. Applicable to All

i. 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 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),…