N00014-20-S-B003_Amendment 0002.pdf

i

ONR BAA Announcement # N00014-20-S-B003

BROAD AGENCY ANNOUNCEMENT (BAA)

Low Observable / No Collateral Damage Neutralization of

Underwater Mines and Waterborne Improvised Explosive Devices

Amendment 0002 – September 3, 2020

The purpose of this amendment is to apply the following changes to this solicitation:

- (p. BAA-5) Adjusted the Anticipated Schedule of Events table to reflect an extension to White Paper Due Date.

- (p. BAA-17) Updated the Submission Dates and Times to an extension to White

Paper Due Date.

- (p. Appendix 1-9) Added the following clauses and provisions:

o 52.204-24 – Representation Regarding Certain Telecommunications and

Video Surveillance Services or Equipment o 52.204-25 – Prohibition on Contracting for Certain Telecommunications and

Video Surveillance Services or Supplies o 52.204-26 – Covered Telecommunications Equipment or Services

Representation

All changes made by this amendment are denoted by red text.

ii

TABLE OF CONTENTS

I. OVERVIEW OF THE RESEARCH OPPORTUNITY BAA-4

A. Required Overview Content BAA-4

1. Federal Awarding Agency Name BAA-4

2. Funding Opportunity Title BAA-4

3. Announcement Type BAA-4

4. Funding Opportunity Number BAA-4

5. Catalog of Federal Domestic Assistance (CFDA Numbers BAA-4

6. Key Dates BAA-5

7. North American Industry Classification System (NAICS)

Code

BAA-5

8. Contracting Officer BAA-5

II. DETAILED INFORMATION ABOUT THE RESEARCH

OPPORTUNITY

BAA-5

A. Program Description BAA-5

1. Program Information BAA-5

2. Low Observable and No Collateral Damage

Neutralization Operational Vignette

BAA-6

3. Topic Area Descriptions BAA-7

B. Federal Award Information BAA-9

1. Eligibility for Competition BAA-9

2. Contracted Fundamental Research BAA-9

3. Funded Amount and Period of Performance BAA-10

4. Instrument Type BAA-11

5. Model Contracts BAA-11

C. Eligibility Information BAA-12

1. Eligible Applicants BAA-12

2. Cost Sharing or Matching BAA-12

D. Application and Submission Information BAA-12

1. Address to Request (Access) Application Package BAA-12

2. Content and Form of Application Submission BAA-13

3. Unique Entity Identifier and System for Award

Management (SAM)

BAA-16

4. Submission Dates and Times BAA-17

5. Intergovernmental Review BAA-18

6. Funding Restrictions BAA-18 iii

7. Other Submission Requirements BAA-18

E. Application Review Information BAA-18

1. Criteria BAA-18

2. Review and Selection Process BAA-19

3. Recipient Qualification BAA-22

F. Federal Award Administration Information BAA-22

1. Federal Award Notices BAA-22

2. Administrative and National Policy Requirements BAA-23

3. Reporting BAA-28

G. Federal Awarding Agency Contacts BAA-28

H. Other Information BAA-29

III. APPENDICES

1. Requirements Applicable to Contracts and Other

Transaction Agreements

Appendix 1-1 through 1-12

BAA-4

I. OVERVIEW OF THE RESEARCH OPPORTUNITY

This publication constitutes a Broad Agency Announcement (BAA) 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 Federal Acquisition

Regulation (FAR) 6.102(d)(2) and 35.016 and the Office of the Under Secretary of Defense for Acquisition and Sustainment Other Transaction Guide version 1.0 dated November

2018. A formal Request for Proposals (RFP), solicitation, and/or additional information regarding this announcement will not be issued.

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.

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

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 – Low Observable / No Collateral Damage

Neutralization of Underwater Mines and Waterborne Improvised Explosive

Devices

3. Announcement Type – Initial Announcement

4. Funding Opportunity Number – N00014-14-20-S-B003

5. Catalog of Federal Domestic Assistance (CFDA) Numbers

12.300 - Department of Defense (DOD), Department of the Navy, Office of Chief of Naval Research, Basic and Applied Scientific Research file:///D:/public/viewprog.asp

BAA-5

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

Anticipated Schedule of Events

Event Date Time

(Eastern Local Time)

White Papers Due Date 02 October 2020 1500

Notification of Initial Navy

Evaluations of White Papers*

23 October 2020

Full Proposals Due Date 04 December 2020 1500

Notification of Selection for

Award * 28 December 2020

Awards* 30 April 2021

Kickoff Meeting* 28 May 2021

* - 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 1,000.

8. Contracting Officer – The Contracting Officer for this announcement is identified under Section II, subparagraph G.3.

II. DETAILED INFORMATION ABOUT THE RESEARCH OPPORTUNITY

The Office of Naval Research (ONR) is interested in receiving white papers and full proposals for development of advanced technologies for low-observable/no-collateral damage neutralization of underwater mines and waterborne improvised explosive devices (WBIEDs).

This research opportunity description provides: A) Program information (motivation, goals, and background); B) An operational vignette to provide context for Offerors; and C) Three separate topic area descriptions with technical considerations for white papers and proposals.

A separate white paper is requested for each topic.

A. Program Description

1. Program Information

Development of Advanced Technologies for Low Observable / No Collateral

Damage Neutralization of Underwater Mines and Waterborne Improvised

Explosive Devices (WBIEDs)

a. Motivation

The U.S. Navy’s Expeditionary Mine Countermeasures (EXMCM) forces confront a wide range of hazardous and explosive threats like underwater mines and WBIEDs. ONR seeks to develop and demonstrate advanced

BAA-6

payloads that enable EXMCM forces to neutralize underwater mines and

WBIEDs without causing them to function as designed, which would give away the element of surprise, or cause damage to underwater infrastructure. A diver or Remotely Operated Vehicle (ROV) will deliver these payloads.

Technologies developed will transition to the existing Explosive Ordnance

Disposal (EOD) Maritime Expeditionary Standoff Response (MESR) program of record, which will field underwater capabilities required to counter naval mines, WBIEDs and other unexploded explosive ordnance (UXO) threats in the undersea and littoral marine environments.

b. Goals

The goals are to develop diver or ROV deployed payloads that are minefield suitable and controlled from extended ranges to improve the ability of EXMCM forces to do the following:

1. Neutralize underwater mines and WBIEDs in a manner that does not cause them to detonate, which is an observable event and one that is likely to cause damage to nearby critical infrastructure. A diver or autonomous underwater vehicle (AUV) such as an ROV will deliver the neutralization device.

2. Inspect the mine or WBIED to determine location of internal components (i.e. battery, fuze, etc.). A diver or ROV/AUV will deliver the inspection device.

3. Communicate with the ROV over extended ranges (from over-the-horizon) including control over the ROV and remote initiation of neutralization payload.

c. Background

Navy EOD technicians and specialists are an integral part of the warfighting capability of the EXMCM force, enabling joint, naval and commercial maneuver in the maritime domain. Navy EOD technicians and specialists conduct missions at sea and in the littorals that include the detection and neutralization of a variety of explosive threats to facilitate friendly force maneuver in contested and benign environments. These missions are expeditionary and hazardous, therefore standoff distances, high reliability, size, weight and power (SWAP) are important considerations for fielded Underwater

EOD capabilities, techniques and methods.

2. Low Observable and No Collateral Damage Neutralization Operational

Vignette

a. Situation: EXMCM forces are to conduct mine counter measures (MCM) operations to facilitate operational maneuver of an expeditionary force from sea to a land objective area in the next 96 hours. The battle space must be prepared in a

BAA-7

low-observable manner to avoid loss of surprise for the friendly maneuver force and to enable minimal response from the enemy force.

i. Enemy Order of Battle: In preparation for potential attack, the enemy force has emplaced:

A small number of Very Shallow Water (VSW) (depth <40 feet sea water) mines and other obstacles and a small number ground and moored mines in Shallow Water (depth <300 feet sea water), in a challenging environment, where manned EXMCM diving and unmanned ROV operations are informed by precursory small AUV operations are among the viable tactical options;

A number of more sophisticated moored and bottom mines in mine lines

(approximately 10 per square nautical mile) in deeper water (depth >300 feet sea water) portions of the sea lane approaches to the land objective area, presenting an extreme environment to EXMCM forces, were manned diving operations are more complex and less likely.

There is an oil de-bunkering station 1000 yards offshore with a buoyed mooring station, piping and shore connections and terminal that are part of the objective area.

ii. Friendly Forces: An EXMCM Company will conduct the MCM mission from over the horizon and undetected by enemy forces.

b. Mission: Friendly forces are tasked to plan, prepare for, and execute a surprise forcible entry operation to seize and hold the objective area and preserve for future use the oil de-bunkering and transfer capability at that location.

c. EXMCM Forces Execution: Prepare the Battle Space, conduct MCM exploratory and clearance (neutralize the mines and WBIEDs without alerting enemy forces or damaging infrastructure) operations and remove threats.

3. Topic Area Descriptions

a. Topic 1: Low observable and no collateral damage neutralization

ONR is seeking proposals to develop novel approaches for neutralization of naval mines, WBIEDs and UXO in the underwater domain.

The following are technical considerations.

i. Solutions should be compatible with the MK-66 Firing Device Base Coupler

(FDBC). This BAA does not ask for new fusing solutions.

ii. Solutions capable of reliable and effective neutralization offering a high probability of successfully rendering inoperative the threat’s ability to function as designed, thus preventing high-order detonation. Interruption of functions or separation of essential components span a range of explosives laden threats in

BAA-8

the undersea domain. Possible methods include, but are not limited to: (a) penetration of ferrous and non-ferrous case materials with wall thicknesses varying from 1/8” up to 3/8” (edge thickness); (b) separation of explosive firing trains, disruption of internal components such as power sources, mechanical and/or electronic arming components; and (c) separation of bulk explosive material.

iii. Novel attack technologies, methods, techniques or concepts are encouraged including both single sortie-single shot neutralization and single sortie-multiple shot neutralization concepts for simultaneous neutralization of mine-lines or multiple UXO clusters. A description of the methodology used to characterize and validate effectiveness should be included in the proposed development effort.

iv. Innovative placement and attachment concepts for neutralizer payloads that enable ROVs (delivery platforms) to perform task and remain at lateral standoff distances of up to 10 meters away from influence actuated targets. Solutions that minimize static and induced magnetic signature and broadband acoustic emissions are required for components that touch or are very close to the target.

The ROV will be equipped with manipulators with human-like capability to position the charge. This BAA does not request new manipulator concepts.

v. Characterization of magnetic and acoustic influence signatures during operation will be required for prototypes transitioning beyond proof of concept, and accordingly, early design/development efforts should strongly consider influence signature attributes.

vi. Design and interoperability of neutralizer payload attributes must be suitable for human scale and man deployable operation to enable high mobility, rapid deployment concepts integral to Navy Expeditionary EOD forces.

b. Topic 2: Diagnostic sensors

ONR is seeking proposals to develop novel approaches to determine the location of internal components of naval mines, WBIEDs and UXO in the underwater domain.

The following are technical considerations.

i. The solution should enable minimally invasive inspection of the threat to confirm the arrangement of internal components (e.g. spatial arrangement of electronics, power supplies, firing train and explosive compartments).

ii. The solution should provide operators information needed to assess function of devices to determine best means of neutralization. Characterization of magnetic and acoustic signatures will be required for all proposed solutions.

iii. The sensor should be able to identify the presence and spatial layout of internal

BAA-9

components internal to ferrous and non-ferrous case materials with potential wall thicknesses up to 0.25”.

iv. The result should be a three-dimensional layout of the internal components.

c. Topic 3: Cyber secure, high bandwidth communications and standoff command and control (SC-2) capabilities for undersea robotic platforms

ONR is seeking proposals to develop novel approaches to enable long-range command and control of unmanned systems for neutralization of naval mines, WBIEDs and UXO in the underwater domain. This includes command initiated remote firing capability integrated into the neutralization product (Topic1) that enables SC-2. All communications and computer capabilities must be able to achieve US

Navy Cyber security requirements.

The following are technical considerations for command and control actuation and low observable communications.

i. Command actuation technologies must be reliable and secure to enable operators beyond the horizon to initiate neutralization payloads and other electrically actuated subsystems. Although acoustic firing command and control systems are in use today, improved systems or alternative modalities (e.g. RF/acoustic, magneto-induction, etc.) capable of being adapted for expeditionary SWaP form factors and hardened through encryption are also of interest. Solutions must be highly reliable, and must possess secure, encrypted, and unique code protocols to enable positive control and initiation of electro-explosive firing systems with no chance of actuation by other human and/or environmental noise emissions.

Compliance with explosives safety criteria as approved via the Weapons Systems

Explosive Safety Review Board (WSESRB) will be a key requirement.

ii. Communication technologies must enable secure command and control of ROVs

(and relay subsystems) with little to no surface expression.

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 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.

The memorandum can be found at:

https://www.acq.osd.mil/dpap/dars/pgi/docs/2012-

D054%20Tab%20D%20OUSD%20(ATL)%20memorandum%20dated%20May% https://www.acq.osd.mil/dpap/dars/pgi/docs/2012-D054%20Tab%20D%20OUSD%20(ATL)%20memorandum%20dated%20May%2024%202010.pdf https://www.acq.osd.mil/dpap/dars/pgi/docs/2012-D054%20Tab%20D%20OUSD%20(ATL)%20memorandum%20dated%20May%2024%202010.pdf

BAA-10

2024%202010.pdf

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 RDT&E 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) or Budget Activity 4 (Advanced Component Development and

Prototypes) does not meet the definition of “contracted fundamental research.” In conformance with the USD (AT&L) guidance and National Security Decision

Directive 189 found at https://fas.org/irp/offdocs/nsdd/nsdd-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 fundamental or non-fundamental research.

3. Funded Amount and Period of Performance

Total Amount of Funding Available: $19M over 2 years

Anticipated Number of Awards: 3 - 4

Anticipated Range of Individual Award Amounts: $3-5M per year

Previous Year(s) Average Individual Award Amounts: N/A

Anticipated Period of Performance: 24-30 months https://www.acq.osd.mil/dpap/dars/pgi/docs/2012-D054%20Tab%20D%20OUSD%20(ATL)%20memorandum%20dated%20May%2024%202010.pdf

BAA-11

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 another 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 Agreement (OTA) for Research: A legal instrument, consistent with 10 U.S.C. 2371, which may be used for basic, applied, and advanced research projects. To the maximum extent practicable, an OTA for research shall provide for a 50/50 cost share between the Government and the performer. The effort covered under an OTA shall not be duplicative of effort being conducted under an existing DoD program. Please refer to the

Office of the Under Secretary of Defense for Acquisition and Sustainment

Other Transaction Guide version 1.0 dated November, 2018 for additional information. This document, along with other OTA resources, may be accessed at the following link: https://www.acq.osd.mil/dpap/sitemap.html

c. Other Transaction Agreement (OTA) for Prototype: 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 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” 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

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

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

ONR clauses, current FAR, DFARS, NMCARS, or ONR clauses will govern.

Examples of model contracts can be found on the ONR website at the following link: https://www.onr.navy.mil/work-with-us/how-to-apply/submit-contract-proposal.

https://www.acq.osd.mil/dpap/sitemap.html http://www.acq.osd.mil/dpap/cpic/cp/10USC2371bOTs.html https://www.onr.navy.mil/work-with-us/how-to-apply/submit-contract-proposal

BAA-12

C. Eligibility Information

1. Eligible Applicants – 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 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.

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.

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.

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.

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.

Beta.Sam.gov – Contract Opportunities: www.beta.sam.gov http://www.beta.sam.gov/

BAA-13

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 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.

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

b. Security Classification

White Papers and 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.

Classified proposals shall be submitted directly to the attention of ONR’s

Document Control Unit at the following address and marked in the following manner:

OUTSIDE ENVELOPE - (no classification marking):

“Office of Naval Research

Attn: Document Control Unit

ONR Code 43

875 North Randolph Street

Arlington, VA 22203-1995”

The inner wrapper of the classified White Paper and/or Full Proposal should be addressed to the attention of the cognizant Technical POC, ONR Code 32 and marked in the following manner:

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

Program Name: “Low observable/no collateral damage neutralization of underwater mines and waterborne improvised explosive devices”

Office of Naval Research

ATTN: Brian Almquist

ONR Code: 32

BAA-14

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 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.”

d. White Paper Requirements

i. Unclassified 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 excluding cover page.

A separate white paper is requested for each topic

ii. White Paper Submissions

ONR is utilizing FedConnect for the submission of white papers.

FedConnect is a web portal that bridges the gap between government agencies and performers to streamline the process of doing business with the government. Through this portal, performers will be able to review opportunities and submit white papers. To access FedConnect go to https://www.fedconnect.net/FedConnect/default.htm.

https://www.fedconnect.net/FedConnect/default.htm

BAA-15

For additional assistance regarding FedConnect, see Section D.7 in Appendix

I.

1. How to Register for FedConnect

A FedConnect how to guide can be found at https://www.fedconnect.net/FedConnect/Marketing/Documents/FedConne ct_Ready_Set_Go.pdf.

a. Obtain a DUNS Number: All entities submitting a proposal, must have a Data Universal Numbering System (DUNS) number from Dun &

Bradstreet (D&B). Proposers must enter the DUNS number in the data entry field labeled "Company DUNS". If you do not have a DUNS number, one can be obtained at http://fedgov.dnb.com/webform.

b. Register with SAM: In addition to having a DUNS number, organizations applying online through Grants.gov must register with the System for Award Management (SAM). All organizations must register with SAM in order to apply online. If you have not registered in SAM, go to https://www.sam.gov/SAM/.

If you are the first person in your organization to register in

FedConnect, your SAM Marketing Partner ID (SAM MPIN) will also be required. It is the number that is set up by your organization as part of the registration in SAM.gov.

c. Create a FedConnect Account: The next step in the registration process is to create an account with FedConnect.

A FedConnect how to guide can be found at https://www.fedconnect.net/FedConnect/Marketing/Documents/FedCo nnect_Ready_Set_Go.pdf

2. FedConnect Assistance

If you need assistance, the FedConnect Support Team is standing by to assist you.

Email: support@fedconnect.net

Phone: 1-800-899-6665

Hours: Monday – Friday, 8 a.m. to 8 p.m. EDT. Closed on Federal holidays.

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

https://www.fedconnect.net/FedConnect/Marketing/Documents/FedConnect_Ready_Set_Go.pdf http://fedgov.dnb.com/webform https://www.sam.gov/SAM/

BAA-16

Cover Page (MANDATORY): The Cover Page can be found at https://www.onr.navy.mil/work-with-us/how-to-apply/submit-contract-proposal for contract submissions.

FedConnect will not accept a white paper unless the Cover Sheet is included.

The Program Officer’s information is a required field on the cover sheet.

The Program Officer can be found in Section G., Federal Awarding

Agency Contacts.

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

Future Naval Relevance: A description of potential Naval relevance and contributions of the effort to the agency’s specific mission.

Operational Naval Concept: 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: 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

e. Full Proposals: See Appendix 1 for instructions for Contracts and Other

Transaction Agreements.

3. 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/SAM/ https://www.sam.gov/SAM/

BAA-17

4. Submission Dates and Times – See Section A.6 above, “Key Dates” for information.

Unclassified White Papers: The due date for white papers is no later than 3:00 PM

Local Eastern Time on Friday, 02 October 2020. Unclassified White papers are to be submitted thorough FedConnect (see white paper section for additional information). If an Offeror does not submit a white paper before the specified due date and time, it is not eligible to participate in the remaining Full Proposal submission process and is not eligible for funding. A separate white paper is requested for each topic.

Unclassified White Paper Evaluation/Notification: Navy evaluations of the white papers will be issued via email notification on or about Friday, 23 October 2020.

Full Proposals: The due date for receipt of Full Proposals is 3:00 PM (EDT) on

Friday, 04 December 2020). It is anticipated that final selections will be made within two to three 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 FY21 funding. Full proposals received after the published due date and time will not be considered for funding in FY21.

a. 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:

i. 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

ii. 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

iii. 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.

BAA-18

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 announcement, and urgent Government requirements preclude amendment of the announcement closing date, the time specified for receipt of proposals will be deemed to be extend 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. Intergovernmental Review – RESERVED

6. Funding Restrictions – RESERVED

7. Other Submission Requirements – See Appendix 1 for Instructions for Contracts and Other Transaction Agreements.

E. Application Review Information

1. Criteria – Awards under this BAA will be made in accordance with FAR

35.016(e). 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’ white papers and full proposals will be evaluated against the following criteria:

Criteria 1: Overall scientific and technical merits of the proposal and responsiveness to the topic, i.e., the degree of innovation, soundness of technical concept, Offeror'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. The following areas will also be considered: (A) the Offeror’s capabilities, BAA-19 related experience, facilities, techniques or unique combinations of these which are integral factors for achieving the proposal objectives, and (B) the qualifications, capabilities and experience of the proposed Principal Investigator

(PI), team leader and key personnel who are critical to achieving the proposal objectives.

Criteria 2: Potential Naval relevance and contribution to the ONR and

Department of Navy mission.

Criteria 3: Potential to achieve topic goals by using EOD approved interfaces and components.

Criteria 4: The availability of funds. (Not applicable to white papers.)

Criteria 1, 2, 3 and 4 are equally important.

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. Evaluation – Proposals will not be evaluated against each other since they are not submitted in accordance with a common work statement.

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 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 making an award. When applicable, certain Offerors may be required to demonstrate compliance/the ability to comply with enhanced cybersecurity requirements prior to award. Refer to Appendix 1

Section F, Federal Award Administration Information, Part 2, Administrative and

National Policy Requirements, paragraph (9) of this BAA for information.

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

BAA-20

disadvantaged businesses (SDBs), woman-owned small businesses (WOSBs), historically underutilized business zone (HUB Zone) 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 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: https://www.dla.mil/SmallBusiness/PTAP/ or http://www.aptac-us.org/new/.

i. 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 or

Individual 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 http://www.dla.mil/SmallBusiness/Pages/ProcurementTechnicalAssistanceCenters.aspx http://www.aptac-us.org/new/

BAA-21

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: https://business.defense.gov/. 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 ensure that small business were given the opportunity to participate in the effort to the maximum extent practicable.

ii. 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:

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)

U.S. Small Business Administration (SBA) Subcontracting

Opportunities Directory

U.S. SBA Subnet

In accordance with FAR 5.206, the following entities may transmit a notice to the

Government wide Point of Entry (GPE) at https://www.beta.sam.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 goals:

a. A contractor awarded a contract exceeding $250,000 that is likely to result in the award of any subcontracts;

b. A subcontractor or supplier, at any tier, under a contract exceeding $250,000, which has a subcontracting opportunity https://business.defense.gov/ https://www.fbo.gov/

BAA-22

exceeding $15,000.

The notices must describe:

The business opportunity;

Any prequalification requirements; and

Where to obtain technical data needed to respond to the requirement.

In addition, another example of a place in which prime contractors may post solicitations or sources sought notices for small business is the U.S. SBA SUB-

Net: https://eweb.sba.gov/gls/dsp_sbabanner.cfm. 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 performance. The Government reserves the right to exercise options at time of award.

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 – See Appendix 1 for Instructions for Contracts.

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.

https://eweb.sba.gov/gls/dsp_sbabanner.cfm

BAA-23

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 signs the award document.

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

Office of Naval Research (ONR) award/modification documents are only available via the Department of Defense (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:

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 https://export.gov/ecr/index.asp.

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

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

BAA-24

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 Offeror must clearly identify such need in Section II, Block 11 of the Proposal Checklist. The

Proposal Checklist can be found at the following link:

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 FAR 52.204-2 - Security Requirements will be incorporated into the contract.

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 the version of DoD Instruction 3216.01, Use of Animals in DoD Conducted and Supported Research and Training and SECNAVINST 3900.38C, The Care and Use of Laboratory Animals in

DOD Programs that is current at the time of award. If animals are to be utilized in the research effort proposed, the Offeror must submit a Full

Appendix…