N00014-20-S-B002.pdf

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OFFICE OF NAVAL RESEARCH (ONR)

PROGRAM ANNOUNCEMENT (PA) #N00014-20-S-B002

NAVY DECISION SCIENCE INCUBATOR

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TABLE OF CONTENTS

I. OVERVIEW OF THE RESEARCH OPPORTUNITY PA-1

A. Required Overview Content PA-1

1. Federal Awarding Agency Name PA-1

2. Funding Opportunity Title PA-1

3. Announcement Type PA-1

4. Funding Opportunity Number PA-1

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

6. Key Dates PA-2

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

II. DETAILED INFORMATION ABOUT THE RESEARCH OPPORTUNITY PA-2

A. Program Description PA-2

1. Decision Science Training PA-2

2. Decision Science Capability PA-3 B. Federal Award Information PA-3

1. Eligibility for Competition PA-3

2. Publication of Research PA-3

3. Funded Amount and Period of Performance PA-3

4. Award Instrument PA-4

5. Model Agreement PA-4 C. Eligibility Information PA-4

1. Eligible Applicants PA-4

2. Cost Sharing or Matching PA-5

3. Facilities PA-5 D. Application and Submission Information PA-6

1. Address to Request (Access) Application Package PA-6

2. Content and Form of Application Submission PA-6

3. Unique Entity Identifier and System for Award Management (SAM) PA-8

4. Submission Dates and Times PA-9

5. Intergovernmental Review PA-9

6. Funding Restrictions PA-9

7. Other Submission Requirements PA-9 E. Application Review Information PA-10

1. Criteria PA-10

2. Review and Selection Process PA-10

3. Recipient Qualification PA-11 F. Federal Award Administration Information PA-12

1. Federal Award Notices PA-12

2. Administrative and National Policy Requirements PA-12

3. Reporting PA-16 G. Federal Awarding Agency Contacts PA-17

1. Communications PA-17

2. Points of Contact (POCs) PA-17 H. Other Information PA-18

III. APPENDICES

1. Requirements Applicable to Contracts and Other Transaction Agreements

2. ONR Model Other Transaction Agreement (OTA)

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I. OVERVIEW OF THE RESEARCH OPPORTUNITY

This publication constitutes a Program Announcement (PA) for awards by the Office of Naval Research (ONR) Contact and Grants Awards Management Division, ONR Code 25 (or otherwise approved by Code 25) as contemplated in 10 U.S.C. § 2371b and the Department of Defense (DoD) Other Transaction Guide, Nov 2018. A formal Request for Proposals (RFP), solicitation, and/or additional information regarding this PA will not be issued.

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

This PA is for the establishment of a Navy Decision Science Incubator. The Navy Decision Science Incubator will conduct work in the area of decision and behavioral science to identify, execute, and deliver research and prototypes aimed at improving the effectiveness and speed of Navy decision making across all functions within the Navy. Incubator activities may produce different types of prototypes (e.g. software applications, curriculum, algorithms, etc.) as long as there is a unique, novel application that is deployable to the intended Navy user community with minimal modification.

This PA utilizes competitive procedures in accordance with 10 U.S.C. 2302(2)(B) for the selection for award of science and technology (S&T) proposals. For purposes of this PA, S&T includes activities involving basic research, applied research, advanced technology development, and, under certain conditions, may include activities involving advanced component development and prototypes. This PA is not for the acquisition of technical, engineering, and other types of support services.

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

Navy Decision Science Incubator

3. Announcement Type

Initial Announcement

4. Funding Opportunity Number

N00014-20-S-B002

5. Catalog of Federal Domestic Assistance (CFDA) Numbers

Not Applicable

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

Anticipated Schedule of Events Event Date

(MM/DD/YEAR)

Time

(EST)

Full Proposals Due Date 11/21/2019 9:00 AM Technical Evaluations Complete* 12/04/2019 5:00 PM Notification of Evaluations and Selection for Award* 12/05/2019 5:00 PM Award* TBD TBD Kickoff Meeting* TBD TBD *These dates are estimates as of the date of this PA.

7. North American Industry Classification System (NAICS) code

The NAICS code for contracts under this PA is 541720 with a small business size standard of $22.0 million.

II. DETAILED INFORMATION ABOUT THE FUNDING OPPORTUNITY

a. Program Description

Improved decision-making provides a decisive advantage for military operations. The ability to execute Naval missions successfully is related to the decision-making quality of leaders at many different levels, especially those in command. This PA requests the development of a Navy Decision Science Incubator to accelerate decision science and behavioral insights, techniques, and methodologies into Naval missions. New capabilities in these sciences will deliver tools and techniques: to inform leadership training and development, establishment of protocols and Naval Warfighting. The Navy Decision Science Incubator will work with stakeholders to identify, execute, and deliver prototypes. Incubator activities may produce different types of prototypes (e.g.

software applications, curriculum, algorithms, etc.) as long as the resultant is a unique, novel application that is deployable to the intended Navy user community with minimal modification.

Advances in decision and behavioral sciences are improving decision-making and outcomes for Government entities, but have not been widely explored within military domains.

Innovative proposals are requested to address technical challenges that need to be resolved for successful development and fielding of Naval capabilities for transition. A central element of the Navy Decision Science Incubator is the program selection and experimentation methodology approach. Proposals should identify an approach with a focus on rapid and iterative design using the experimental method. The goal is to accelerate the application of decision and behaviors sciences towards Navy specific challenges.

The Navy Decision Science Incubator will look across the Navy Enterprise regarding Warfare, Corporate, and Manpower, Personnel, Training and Education with a specific focus on:

1. Decision Science Training.

Developing and conducting research to establish, support, and assess decision sciences training curriculum, content, and distribution mechanisms (e.g. workshops, courses, scholarships, internships, technologies, etc.) for Navy institutions and personnel / leaders aligned with 21st century technologies and evidenced based practices.

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2. Decision Science Capability.

Developing tools, techniques and best practices to support the application of decision and behavioral sciences within the Navy. The initial areas of focus is improving military readiness through reinforcement of signature and reduction of destructive behaviors.

Signature behaviors refer to behaviors within the workplace that promote and are aligned with Navy core values. Destructive behaviors refer to behaviors, such as alcohol abuse, sexual harassment and sexual assault that are counterproductive to workplace morale and results in increased administrative burdens to the fleet. Beyond the initial area of focus, capability development may expand to other relevant topics such as decision biases, acquisition planning, programming, budgeting and execution, and operational decision-making.

b. Federal Award Information

1. Eligibility for Competition.

Proposals for supplementation of existing projects are eligible to compete with applications for new Federal awards under this PA.

2. Publication of Research.

The Government anticipates that the OTA(s) resulting from this PA will include both fundamental and non-fundamental research. Applicants are advised that efforts may require restrictions during the conduct of the research and DoD pre-publication review of such research results due to subject matter sensitivity.

3. Funded Amount and Period of Performance.

The Government anticipates the following:

A. Anticipated Number of Awards:

The Government anticipates (1) award resulting from this PA. However, the Government reserves the right to make more than one (1) award.

B. Total Amount of Funding Available:

The Government anticipates $15 million annually (or $75 million in total) for this effort.

Of that amount, the Government presently has $1 million available for award.

C. Anticipated Period of Performance:

The Government anticipates a period of performance of five (5) years, including a Base Period of one (1) year and four (4) option periods of one (1) year each.

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4. Award Instrument.

The Government contemplates awarding one or more OTAs pursuant to 10 U.S.C. § 2371b.

A. Description of Instrument:

Other Transaction Agreement (OTA) for Prototypes. A legal instrument, consistent with 10 U.S.C. 2371b, which may be used for prototype projects directly 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 DoD, 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” dated November 2018, for additional information. This document, along with other OTA resources, may be accessed at the following link:

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

B. Instrument Type:

Applicants are encouraged to propose the most appropriate OTA type (as listed below) based upon their technical approach, SOW, and Management Plan. Applicants may select from the following types or propose a different type as appropriate.

i. Expenditure-Based: Agreements where payments are exclusively or primarily based on amounts generated from the Awardee's financial or cost records.

ii. Fixed-Amount: Agreements where the primary method of payment is not based on amounts generated from the awardee's financial or cost records, including agreements where the price is fixed against established milestones and/or estimated level-of-effort.

5. Model Agreement.

A model Agreement is provided as Appendix 2 of this PA. Applicants are instructed to include with their proposal either a) a statement affirming the Applicant’s intent to accept the terms and conditions in the model Agreement or b) a list of exceptions taken and proposed alternatives for each. In the event of any conflict between the model Agreement (or proposed alternative terms and conditions) and current laws, statues, or other regulations, the current laws, statutes, or other regulations will govern.

c. Eligibility Information

1. Eligible Applicants.

All responsible sources from academia, industry and the research community may submit proposals under this PA. 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 PA will be set aside for HBCUs/MIs, small businesses or other socio-economic participation. All businesses, both small and large, are encouraged to submit proposals and compete for funding consideration.

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

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Federally Funded Research & Development Centers (FFRDCs), including Department of Energy National Laboratories, are not eligible to receive awards under this PA. However, teaming arrangements between FFRDCs and eligible principal Applicants are allowed so long as such arrangements are permitted under the sponsoring agreement between the Government and the specific FFRDC.

Navy laboratories, military universities and warfare centers as well as other DoD and civilian agency laboratories are also not eligible to receive awards under this PA and should not directly submit a full proposal in response to this PA. If any such organization is interested in the Navy Decision Science Incubator described herein, the organization should contact an appropriate ONR Technical POC to discuss its area of interest.

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

Applicants 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.

Please identify how you meet one of the following:

A. There is at least one nontraditional defense contractor or nonprofit research institution participating to a significant extent in the prototype project. The term nontraditional defense contractor is defined at 10 U.S.C. § 2302(9).; or

B. All significant participants in the transaction other than the Federal Government are small businesses (including small businesses participating in a program described under section 9 of the Small Business Act (15 U.S.C. 638)) or nontraditional defense contractors. The term small business means a small business concern as defined under section 3 of the Small Business Act 15 U.S.C. 302.; or

C. At least one third of the total cost of the prototype project is to be paid out of funds provided by sources other than other than the Federal Government.; or

2. Cost Sharing or Matching.

Cost sharing at the required level, when applicable, will not be used as a factor during the merit review of any proposal hereunder. However, Applicants are cautioned that the Government will not consider voluntary cost sharing if proposed other than to meet the criteria under C above.

3. Facilities.

A. Collaborative Space.

Subject to availability, the Navy will provide personnel to work alongside the successful Applicant at the Applicant’s facility. It is anticipated that Navy personnel will rotate through the Navy Decision Science Incubator for tours not longer than twelve (12) months.

While at the Navy Decision Science Incubator, Navy personnel will serve two (2) primary functions, first and foremost to advise and assist researchers on current Navy practices and secondarily to learn from the researchers how best to apply decision science methods and techniques to Navy decision making. Navy personnel who complete tours at the Navy https://www.law.cornell.edu/uscode/text/10/2371b https://www.law.cornell.edu/uscode/text/10/2371b https://www.law.cornell.edu/uscode/text/10/2371b https://www.law.cornell.edu/uscode/text/10/2371b https://www.law.cornell.edu/uscode/text/10/2371b https://www.law.cornell.edu/topn/small_business_act https://www.law.cornell.edu/uscode/text/15/638 https://www.law.cornell.edu/uscode/text/10/2371b https://www.law.cornell.edu/uscode/text/10/2371b https://www.law.cornell.edu/uscode/text/10/2371b

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Decision Science Incubator should be equipped to exercise decision science techniques independently and able to propagate those techniques across the Navy at their next assignment.

B. Facility Clearance.

The Navy Decision Science Incubator is envisioned as a collaborative facility at which numerous research efforts into decision science are underway at any given moment. As these research efforts advance, many will rise to become prototype projects aimed at improving the decision making of Navy personnel. As used herein, a prototype project is something directly 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 DoD, or to improvement of platforms, systems, components, or materials in used by the armed forces. Improving the decision making of Navy personnel will increase their mission effectiveness. It is anticipated that some of these prototype projects will necessitate access to classified material at up to the SECRET level to complete prototype projects. As such, Applicants are advised to include evidence of access to space with the appropriate facility clearance in the proposal.

d. Application and Submission Information

1. Address to Request (Access) Application Package.

This PA may be accessed from the sites below. Amendments, if any, to this PA will be posted to these websites when they occur. Interested parties are encouraged to periodically check these websites for updates and amendments.

A. FedBizOpps (www.fbo.gov) B. ONR website (https://www.onr.navy.mil/work-with-us/funding-opportunities)

2. Content and Form of Application Submission.

A. General Information:

All submissions will be protected from unauthorized disclosure in accordance with applicable law and regulations. Applicants are expected to appropriately mark each page of their submission that contains proprietary information.

Titles given to the submissions should be descriptive of the work they cover and not be merely a copy of the title of this PA.

B. Security Classification:

Proposals submitted under this PA 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.

http://www.fbo.gov/ https://www.onr.navy.mil/work-with-us/funding-opportunities

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Classified proposals shall be submitted directly to the attention of the ONR 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 Technical POC, ONR Code 34 and marked in the following manner:

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

“Navy Decision Science Incubator Office of Naval Research ATTN: Peter Squire, PhD.

ONR Code: 34 875 North Randolph Street Arlington, VA 22203-1995”

C. Non-Proprietary Statement of Work:

For all 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 applicant 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 applicant 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 applicant 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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D. Non-Proprietary Management Plan

The Navy Decision Science Incubator is anticipated as a collaborative research and prototype development center. The daily operation and oversight of the Navy Decision Science Incubator as well as the policies, practices, and procedures by which a prototype project is matured and ultimately completed will be the responsibility of the successful Applicant. However, Applicants are advised that the final decision to undertake or advance any research/ prototype project remains with the Government. Applicants are further advised that it is the Government’s intent to deploy the prototypes developed at the Navy Decision Science Incubator to improve decision-making throughout the Navy (see Section II, Paragraph h).

Applicants shall describe the management plan which focuses on the technical and business means that research projects will progress to prototype projects and result in unique events that can be deployed with minimal modification to achieve the task(s) for which they were designed. Applicants are cautioned that prototype projects may vary greatly as not all decision-making problem sets are created equal. The management plan must be sufficiently broad to allow for prototype projects of any form. However, the Government will evaluate management plans with greater details more favorably.

E. White Papers:

White papers are not required and will not be considered. Applicants are advised to submit full proposals only.

F. Full Proposals:

See Appendix 1 for instructions on full proposals.

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

All applicants submitting full proposals 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.

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

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4. Submission Dates and Times. See Section I, paragraph a.6 above, “Key Dates” for information.

Any 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 Agreements 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 PA, 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.

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 PA, and urgent Government requirements preclude amendment of the PA closing date, the time specified for receipt of proposals will be deemed to be extend to the same time of day specified in the PA on the first work day on which normal Government processes resume.

The Agreements Officer must promptly notify any applicant if its proposal, modifications, or revision was received late and must inform the applicant whether its proposal will be considered.

5. Intergovernmental Review.

RESERVED

6. Funding Restrictions.

RESERVED.

7. Other Submission Requirements.

See Appendix 1 for instructions.

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e. Application Review Information

1. Criteria.

Applicants’ full proposals will be evaluated against the following criteria:

A. The primary basis for selecting proposals for award under this PA will be technical merit.

Overall the proposal will be evaluated on the scientific and technical merits of the proposal and responsiveness to the topic, i.e., the degree of innovation, soundness of technical concept, applicant's awareness of the state of the art and understanding of the scope of the problem, significance and originality of the technical approach and effort needed to address/solve the problem, and anticipated scientific impact within the field. At a minimum, the technical proposals must describe the following: (A) program selection, assessment, and transition methodology, (B) prototype examples to support the training and decision sciences capabilities areas, (C) approach for coordinating and aligning with relevant Navy research within decision sciences and other research domains (e.g. Artificial Intelligence), and (D) a plan for strengthening Navy’s relationship with research and commercial/industry communities to incorporate relevant findings and technologies.

B. Secondary considerations will be given for capabilities and personnel qualifications.

Capabilities refers to the applicant’s related experience, facilities, techniques or unique combinations of these that are integral factors for achieving the proposal objectives.

C. Qualifications refers to experience of the proposed Principal Investigator (PI), team leader and other key personnel who are critical to achieving the proposal objectives. The Navy Decision Science Incubator is cross-discipline, and Applicants must include teams to support at least the following areas - Behavioral Sciences (e.g. psychology, education, human factors), Data Sciences (e.g. statistics, computer science, data science), DoD/Navy Policy Team (e.g. public policy, Navy subject matter expert), Project Management/Integration.

Criteria A is weighted more than B and C, which are weighted equally.

In addition, ONR highly encourages partnering among industry and academia as well as industry and Government with a view toward speeding the incorporation of new science and technology (S&T) 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. Evaluation:

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

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the Applicant'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 applicant's responsibility, to confirm whether funds are available, and to take other relevant steps necessary prior to making an award.

ONR reserves the right to request and require any additional information and documentation to support the evaluation of a proposal. ONR reserves the right to remove Applicants from award consideration when the parties fail to reach agreement on award terms, conditions, and cost/price within a reasonable time, or when the Applicant fails to provide requested or required additional information in a timely manner.

B. Subcontracts, Teaming Arrangements, and Partnerships:

It is anticipated that this PA will result in the award of an OTA. OTAs do not have the same small business subcontracting requirements as more traditional, FAR-based procurement contracts. Applicants need not include a small business subcontracting plan with their proposal. Applicants will be evaluated as to how well their proposal demonstrates an ability to collaborate with other leading entities within the decision science field. Applicants may use any business arrangement that is appropriate to facilitate such collaboration.

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 performance. The Government reserves the right to exercise options at time of award.

D. Evaluation Panel:

Technical and cost proposals submitted under this PA will be protected from unauthorized disclosure to the extent protected by law and regulation. The cognizant Program Officer and other Government scientific experts will perform the evaluation of technical proposals.

Restrictive notices notwithstanding, one (1) 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 PA 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.

See Appendix 1 for qualifications.

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f. Federal Award Administration Information

1. Federal Award Notices.

All applicants will receive a notification email advising if their proposal has been selected or not selected for award.

Applicants whose proposals are recommended for award may be contacted by a Contract Specialist to discuss additional information required for 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 Agreements Officer signs the award document.

Only, the award document signed by the Agreements Officer is the official go-ahead to commence the research project.

ONR award/modification documents are only available via the DoD Electronic Document Access System (EDA) within the Procurement Integrated Enterprise Environment (PIEE) (https://wawf.eb.mil/).

2. Administrative and National Policy Requirements.

A. Applicable to All Awards:

i. Export Control:

Applicants should be aware of recent changes in export control laws. Applicants 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 DoD 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). Applicants 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.

Applicants 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 PA.

Applicants 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.

https://wawf.eb.mil/ http://www.ecfr.gov/cgi-bin/ECFR?page=browse http://export.gov/ecr/index.asp

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ii. Security Classification:

In order to facilitate intra-program collaboration and technology transfer, the Government will attempt to enable technology developers to work at the unclassified level to the maximum extent possible. If access to classified material will be required at any point during performance, the Applicant must clearly identify such need in Section II, Block 11 of the Proposal Checklist. The Proposal Checklist can be found at the following link: https://www.onr.navy.mil/work-with-us/how-to-apply/submit-contract-proposal

If it is determined that access to classified information will be required during the performance of an award, a Department of Defense (DD) Form 254 will be attached to the award, and the appropriate terms and conditions governing such work will be included in the resulting Agreement.

iii. Requirements Concerning Live Organisms:

1. Use of Animals:

The DoD policies and requirements for the use of animals in DoD-supported research are described in DoD Instruction 3216.01, Use of Animals in DoD Programs, and SECNAVINST 3900.38C, The Care and Use of Laboratory Animals in DOD Programs. If animals are to be utilized in the research effort proposed, the Applicant must submit a Full Appendix or Abbreviated Appendix with supporting documentation (copies of Institutional Animal Care and Use Committee (IACUC) Approval, IACUC Approved Protocol, and most recent United States Department of Agriculture (USDA) Inspection Report) prior to award. For assistance with submission of animal research related documentation, contact the ONR Animal Use Administrator at (703) 696-4046. Guidance: https://www.onr.navy.mil/About- ONR/compliance-protections/Research-Protections/animal-use

2. Use of Human Subjects in Research:

a. Offerors must protect the rights and welfare of individuals who participate as human subjects in research awarded pursuant to this BAA and must comply with the requirements of the Common Rule at 32 CFR part 219 (the DOD implementation of 45 CFR part 46), and applicable provisions of DoD Instruction 3216.02, Protection of Human Subjects and Adherence to Ethical Standards in DoD-Supported Research (2011 or its replacement), the DON implementation of the human research protection program contained in SECNAVINST 3900.39E (Change 1, or its replacement), 10 USC 980 “Limitation on Use of Humans as Experimental Subjects,” and when applicable, Food and Drug Administration (FDA) and other federal and state law and regulations.

https://www.onr.navy.mil/work-with-us/how-to-apply/submit-contract-proposal https://www.onr.navy.mil/About-ONR/compliance-protections/Research-Protections/animal-use https://www.onr.navy.mil/About-ONR/compliance-protections/Research-Protections/animal-use

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b. For each proposal or tasking containing activities that include or may include “research involving human subjects” as defined in DoDI 3216.02, prior to work beginning, the Awardee must submit documentation of:

i. Approval from an Institutional Review Board (IRB) (IRB-approved research protocol, IRB- approved informed consent document, and other material they considered); proof of completed human research training (e.g., training certificate for the principal investigator, and institutional verification that the principal investigator, co-investigators and research support personnel have received appropriate training to be considered qualified to execute the research); and the Awardee’s Department of Health and Human Services (DHHS)-issued Federal Wide Assurance (FWA#), including notifications of any suspensions or terminations to the FWA,

ii. Any claimed exemption under 32 CFR 219.104, including the category of exemption, supporting documentation considered by the Awardee’s institution in making the determination (e.g., protocol, data collection tools, advertisements, etc.). The documentation shall include a short rationale supporting the exemption determination. This documentation should be signed by the IRB Chair or IRB vice Chair, designated IRB administrator or official of the Awardee’s human research protection program.

iii. Any determinations that the proposal does not contain activities that constitute research involving human subjects or contains only activities that are deemed not to be research under 32 CFR 219.102(l), including supporting documentation considered by the Awardee’s institution in making the determination. This documentation should be issued by the IRB Chair or IRB vice Chair, designated IRB administrator or official of the Awardee’s human research protection program.

c. Documentation must be submitted to the ONR Human Research Protection

Official (HRPO), by way of the ONR Program Officer. The HRPO retains final judgment on whether the documentation satisfies the use of human subjects in research requirements. If the research is determined by the IRB to be greater than minimal risk, the Awardee also must provide the name and contact information for the independent research monitor and a written summary of the monitors’ duties, authorities, and responsibilities as approved by the IRB. For assistance with submission of human subject research related documentation, contact the ONR HRPO at (703) 696-4046.

d. Awards and any subawards or modifications will include a statement indicating successful completion of the HRPO review. Research involving human subjects must not be commenced under any award or modification or any subaward or modification until awardee receives notification from the Agreements Officer that the HRPO has approved the assurance as appropriate for the research and that the HRPO has reviewed the protocol and accepted the IRB approval or determination for compliance with Federal, DoD and DON research protection requirements. The Government will not reimburse or otherwise pay for work performed in violation of this requirement.

Guidance: http://www.onr.navy.mil/About-ONR/compliance-protections/Research-Protections/Human-Subject-Research.aspx http://www.onr.navy.mil/About-ONR/compliance-protections/Research-Protections/Human-Subject-Research.aspx http://www.onr.navy.mil/About-ONR/compliance-protections/Research-Protections/Human-Subject-Research.aspx

PA-15

iv. Biosafety and Biosecurity Requirements.

Applicants must comply with applicable provisions of DOD 6055.18-M, Safety Standards for Microbiological and Biomedical Laboratories, including ensuring compliance with standards meeting at least the minimum applicable requirements of the current edition of Centers for Disease Control and Prevention, “Biosafety in Microbiological and Biomedical Laboratories (BMBL),” and National Institutes of Health, “The NIH Guidelines for Research Involving Recombinant or Synthetic Nucleic Acid Molecules (NIH Guidelines).”

v. Research Involving Recombinant or Synthetic Nucleic Acid Molecules.

Applicants must not begin performance of research within the scope of “The NIH Guidelines for Research Involving Recombinant or Synthetic Nucleic Acid Molecules (NIH Guidelines)” until receiving notice from the Agreements Officer that ONR has reviewed and accepted the Applicant’s documentation. In order for ONR to accomplish that review, an applicant must provide the Agreements Officer, generally as part of an original proposal prior to award, sufficient documentation to enable the review, including:

1. A written statement that the Applicant is in compliance with NIH Guidelines. This statement should be made by an official of the institution other than the Principal Investigator and should be on university or company letterhead.

2. Evidence demonstrating that the proposed research protocol has been approved by an Institutional Biosafety Committee (IBC); and a copy of the Department of Health and Human Services (DHHS) Letter of Approval of the IBC, or the most recent letter from DHHS stating the IBC is in compliance with the NIH Guidelines.

vi. Institutional Dual Use Research of Concern:

As of September 24, 2015, all institutions and United States Government funding agencies subject to the United States Government Policy for Institutional Oversight of Life Sciences Dual Use Research of Concern must comply with all the requirements listed therein. If your research proposal directly involves certain biological agents or toxins, contact the cognizant Technical Point of Contact. U.S.

Government Science, Safety, Security (S3) guidance may be found at http://www.phe.gov/s3/dualuse.

vii. Department of Defense High Performance Computing Program:

The DoD High Performance Computing Program (HPCMP) furnishes the DoD S&T and RDT&E communities with use-access to very powerful high performance computing systems. Awardees of ONR contracts, grants, and other assistance instruments may be eligible to use HPCMP assets in support of their funded activities if ONR Program Officer approval is obtained and if security/screening requirements are favorably completed. Additional information and an application may be found at https://www.hpc.mil/.

https://www.phe.gov/s3/dualuse/Documents/durc-policy.pdf https://www.phe.gov/s3/dualuse/Documents/durc-policy.pdf http://www.phe.gov/s3/dualuse https://www.hpc.mil/

PA-16

viii. Project Review Meetings and Program Review Meetings:

Individual Project Review Meetings between the ONR sponsor and the performer may be held as necessary. Project Review Meetings typically last approximately one (1) day. Typically, there are two (2) in-person Project Review Meetings each year.

Additional Project Review Meetings are likely, but these will be accomplished by video telephone conferences, telephone conferences, or web-based collaboration tools.

In addition to Project Review Meetings, Program Review Meetings may be held to provide a forum for reviews of the latest results from individual project experiments and any other incremental project progress towards major demonstrations. Program Review Meetings are generally held once per year and last two (2) to three (3) days.

For cost estimating purposes, applicants should assume 40% of the review meetings will be at or near ONR, Arlington VA, and 60% will be held at other government or non-government facilities within the continental United States.

The Government sometimes finds it advantageous to hold Program Review Meetings at a performer’s facility. Applicants interested in hosting such meetings should include an estimated cost and the following language in their proposals, which become part of any award (note: if a contract is awarded, use of the facility will be included as an option):

[Name of entity] offers the use of its facilities for an ONR Program Review Meeting to discuss the status of programs related to the subject of this proposal. Such meetings may include attendees representing multiple research efforts. The meetings will discuss only “contracted fundamental research” as provided in the Under Secretary of Defense (Acquisition, Technology and Logistics) Memorandum of 24 May 2010, the results of which are open to the public. No fee will be charged Program Review Meeting attendees. [Name of entity] understands it will not be asked to host a Performance Review Meeting more than once per year, if at all.

Applicants are not required to include the foregoing term in their proposals, and whether they do or not will not affect their selection for award.

B. Applicable to Expenditure-Based and Cost-Sharing Awards Only:

The Applicant shall have an accounting system capable of identifying the amounts/costs attributable to individual agreements/contracts at the time of award and maintain such a system for the duration of this effort. Should the Applicant change its accounting system during performance, the Applicant shall promptly disclose the change to the AO and provide sufficient evidence that the change does not materially alter the system’s ability to identify the amounts/costs attributable to individual agreements/contracts.

3. Reporting.

See Appendix 1 for reporting requirements.

PA-17

g. Federal Awarding Agency Contacts

1. Communications:

A. All UNCLASSIFIED communications shall be submitted via e-mail to the Technical POC with a copy to the designated Business POC, as designated below.

B. CLASSIFIED questions shall be handled through the ONR Security POC. Specifically, any entity wanting to ask a CLASSIFIED question shall send an UNCLASSIFIED email to the ONR Security POC with a copy to both the Technical POC and the Business POC stating that the entity would like to ask a CLASSIFIED question. DO NOT 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.

C. Comments or questions submitted should be concise and to the point, eliminating any unnecessary verbiage. In addition, the relevant part and paragraph of the PA should be referenced. Questions submitted within two (2) weeks prior to a deadline may not be answered, and the due date for submission of full proposals will not be extended.

2. Points of Contact

A. Questions of a technical nature should be submitted to:

Peter Squire, PhD.

Portfolio Manager for Decision Tools Warfighter Performance ONR Code 34 875 N. Randolph St.

peter.squire@navy.mil

B. Questions of a business nature, regarding proposal submissions, or suggestions for improvement, should be submitted to:

Patrick Colleran Contracting Officer Contracts, Grants, and Acquisition Awards ONR Code 252 875 N. Randolph Street Arlington, VA 22203-1995 patrick.colleran@navy.mil

Phillip Lee Contracting Officer Contracts, Grants, and Acquisition Awards ONR Code 252 875 N. Randolph Street phillip.m.lee2@navy.mil mailto:peter.squire@navy.mil mailto:patrick.colleran@navy.mil mailto:phillip.m.lee2@navy.mil

PA-18

C. Questions of a Security nature should be submitted to:

Torri Woodfolk Industrial Security Specialist Security Department ONR Code 43 875 N. Randolph St.

torri.powell@navy.mil

h. Other Information

It is anticipated that the Navy Decision Science Incubator will generate multiple prototype projects during performance. In accordance with 10 U.S.C. § 2371b(f), the Government may award a follow-on production contract or OTA without re-competing for any prototype project completed under the original OTA.

mailto:torri.powell@navy.mil

APPENDIX 1-1

REQUIREMENTS APPLICABLE TO OTHER TRANSACTION AGREEMENTS

Navy Decision Science Incubator

Program Announcement (PA): N00014-20-S-B001 Application and Submission Information

A. Content and Format of Application Submission.

Applicants are to submit full proposals only. No white papers or other summaries will be considered. Proposals shall be submitted in such a manner so as to be received no later than the date and time stated at Section I, paragraph a.6 of the Program Announcement.

The following documents with attachments (as necessary) comprise a complete proposal package:

N00014-20-S-B002 Complete Proposal Package

ID Document Description Format

1. Cover Page PDF

2. Proposal Checklist PDF

3. Technical Proposal, 10 page limit* Word

4. Cost Proposal Template Excel

5. Pre-award survey of prospective Applicant accounting system checklist (SF

1408) (as applicable)

PDF

6. ONR Contract Specific Representations and Certifications PDF

7. Non-Proprietary Statement of Work (SOW) Word

8. Non-Proprietary Management Plan (reference Program Announcement (PA), Section II, Paragraph d.2.D) Word

9. Signed statement of intent to accept the terms and conditions included in the ONR Model Other Transaction Agreement (OTA), Appendix 2 of this PA, or a list of exceptions taken and proposed alternative language (reference PA, Section II, Paragraph b.5)

PDF

10. Statement identifying how Applicant is eligible for award under 10 U.S.C. § 2371b (reference PA, Section II, Paragraph c.1)

PDF

* Page count restriction does not apply to resumes of key personnel. Applicants shall include resumes for key personnel only as an appendix to the Technical Proposal.

The Government reserves the right to exclude any Applicant who fails to provide a complete proposal package prior to the stated proposal suspense date and time from further evaluation and consideration for award.

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

Items 1 – 6 above are located at: https://www.onr.navy.mil/work-with-us/how-to-apply/submit-contract-proposal. All have instructions imbedded into them that will assist in completing the documents. Also, both the Proposal Checklist and the Cost Proposal Template require completion of cost-related information. Please note that attachments can be incorporated into the Proposal Checklist.

For item 7, above, ONR contract specific representations and certifications are located at https://www.onr.navy.mil/work-with-us/how-to-apply/submit-contract-proposal.

APPENDIX 1-2

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

Applicants are advised that it is the Government’s intent to retain unlimited rights to all technical data or computer software developed, generated, or delivered under the resulting OTA. Applicants responding to this PA must submit a separate list of all technical data or computer software that will be furnished to the Government with other than unlimited rights with the proposal checklist.

The Government will assume unlimited rights if the Applicant fails to identify any intellectual property restrictions in their proposals. Include all proprietary claims to results, prototypes, and/or deliverables.