N0001424SB003.pdf

ONR BAA Announcement # N0001424SB003

NATIONAL OCEANOGRAPHIC

PARTNERSHIP PROGRAM (NOPP) 2024

BROAD AGENCY ANNOUNCEMENT

TABLE OF CONTENTS

I. OVERVIEW OF THE RESEARCH OPPORTUNITY 4

A. Required Overview Content 6

1. Federal Awarding Agency Name 6

2. Funding Opportunity Title 6

3. Announcement Type 6

4. Funding Opportunity Number 6

5. Assistance Listings Number 6

6. Key Dates 7

7. North American Industry Classification System (NAICS) Code

8. Contracting, Other Transaction Agreement (OTA) and Grants Officer

II. DETAILED INFORMATION ABOUT THE FUNDING OPPORTUNITY 7

A. Program Description 7

B. Federal Award Information 7

1. Eligibility for Competition 7

2. Contracted Fundamental Research 7

3. Funded Amount and Period of Performance 8

4. Instrument Type(s) 9

5. Model Contracts and Grants 11

C. Eligibility Information 12

1. Eligible Applicants 12

2. Cost Sharing or Matching 13

D. Application and Submission Information 13

1. Address to Request (Access) Application Package 13

2. Content and Form of Application Submission 13

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

4. Ship Time Instructions For Full Proposals 15

5. Submission Dates and Times 15

6. Other Submission Requirements 16

E. Application Review Information 17

1. Criteria 17

2. Review and Selection Process 18

3. Recipient Qualifications 22

F. Federal Award Administration Information 22

1. Federal Award Notices

2. Administrative and National Policy Requirements

3. Reporting

G. Federal Awarding Agency Contacts

1. Communications 29

2. Questions of a technical nature 29

3. Questions of a Business nature, regarding Contract and Other Transaction proposal submissions, or suggestions for improvement

4. Questions regarding Grants proposal submissions 30

5. Questions of a Security nature 30

H. Other Information 30

III. APPENDIX

1. Research Topic Descriptions Appendix 1-1

2. Requirements Applicable to Grants and Cooperative

Agreements Only Appendix 2-1

3. Requirements Applicable to Contracts and Other Transaction Agreements Only

Appendix 3-1

I. OVERVIEW OF THE RESEARCH OPPORTUNITY

On behalf of the National Oceanographic Partnership Program (NOPP), the Office of Naval Research (ONR) solicits research proposals under this Broad Agency Announcement (BAA #N0001424SB003). Congress established the NOPP via Title II, subtitle E, of Public Law 104-201 to promote the national goals of assuring national security, advancing economic development, protecting quality of life, and strengthening science education and communication by improving knowledge of the ocean. Over twenty agencies participate in the NOPP. They are identified on the NOPP website: www.nopp.org.

In this BAA, NOPP participants have identified two (2) ocean research topics of mutual and emerging interest. Selected projects will be awarded and funded by individual agencies. All successful offerors will be notified, and the NOPP office will provide the 2025 NOPP project announcement on its website. Up to $23M over three (3) years may be available for awards under this solicitation, subject to appropriation, availability of funds, and final approval by the participating NOPP agencies. NOPP funding will be dependent on individual participating agency policies, procedures, and regulations. There will be no classified work funded under this announcement.

This publication constitutes a BAA for awards by the ONR Contact and Grants Awards Management Division, ONR Code 25 (or others approved by Code 25), as contemplated in Federal Acquisition Regulation (FAR) 6.102(d)(2) and 35.016 and by the Office of the Under Secretary of Defense for Acquisition and Sustainment Guide to Research Other Transaction Under 10 U.S.C. 4021 (June 2023) and the Other Transaction Guide version 2.0 dated July 2023.

It also constitutes a merit-based, competitive procedure in accordance with the Department of Defense Grant and Agreement Regulations (DoDGARS) at 32 CFR 22.315. A formal Request for Proposals (RFP), solicitation, and/or additional information regarding this announcement will not be issued.

ONR and the participating agencies reserve the right to fund all, some, or none of the proposals received under this BAA. The Government 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.

In accordance with 10 U.S.C. §4021(i), as amended, the following information submitted during the solicitation and award process of an Other Transaction (OT) or Cooperative Agreement are exempt from disclosure requirements of 5 U.S.C. §552, the Freedom of Information Act (FOIA), for a period of five years from the date the Department receives the information. Offerors should mark the following documents with a legend asserting that they are submitted on a confidential basis:

• A proposal, proposal abstract, and supporting documents;

• A business plan submitted on a confidential basis;

• Technical information submitted on a controlled basis, as outlined in DoDI 5230.24, Distribution

Statements on Technical Documents.

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

National Oceanographic Partnership Program (NOPP) FY2024 Broad Agency Announcement (BAA)

# BAA Topic Name Letters of Intent

Due Date Full Proposal

Due Date 1 A Global Multi-agency

Experiment on Internal Wave Energy, Mixing and Interactions in the Ocean and Their Representation in Global Ocean Models and Operational Forecasts

Not Applicable November 22, 2 Low-Cost, Air Deployable 400m Profiling CTD Floats for investigating sub-mesoscale eddies – Design Study and Demonstration

Not Applicable November 22,

3. Announcement Type

Initial Announcement

4. Funding Opportunity Number

N0001424SB003

5. Assistance Listings Number

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

6. Key Dates (See also Section II D.5)

Anticipated Schedule of Events *

Event Date

(MM/DD/

YEAR)

Time (Eastern Standar d Time)

Full Proposals Due Date 11/22/24 3pm Notification of Selection for Award *

03/14/25

Awards* 05/06/25

Kickoff Meeting* 06/10/25

*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 employees. The ONR Reps and Certs shall include this NAICS and size standard.

8. Contracting, Other Transaction Agreements, and Grants Officer - The Contracting, Other Transaction Agreements, and Grants Point of Contacts for this announcement are identified under Section II, G.3 and G.4, respectively.

II. DETAILED INFORMATION ABOUT THE FUNDING OPPORTUNITY

A. Program Description

NOPP agencies have identified two (2) ocean research topics of mutual and emerging interest.

Appendix 1 provides the research program descriptions for each topic.

B. Federal Award Information

1. Eligibility for Competition- Proposals for supplementation of existing projects and applications for new Federal awards are eligible to compete 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%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.

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 found at https://www.acq.osd.mil/dpap/dars/pgi/docs/National_Security_Decision_Directive_189.pdf. 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. 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. 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 Point of Contact (POC) to determine whether the proposed effort would constitute fundamental or non-fundamental research.

3. Funded Amount and Period of Performance- Up to $23M over three (3) years may be available for awards under this announcement, subject to availability of funds and final approval by the participating NOPP agencies. The table below provides guidance by topic. The breakout of topic investments may not equal the total amount listed below due to the uncertainty associated with the availability of funding. Actual award funding levels will be dependent on both the cost of the proposed research and individual agency and topic funding levels.

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

Individual awards may be fully funded for an entire performance period or incrementally funded, with continued funding dependent on funding availability, the assigned Program Officer’s assessment of work progress, and the contract terms.

Topic Name Anticipated

# of Awards

Individual Award Amount Range per year

Total Performance Period years (months)

A Global Multi-agency Experiment on Internal Wave Energy, Mixing and Interactions in the Ocean and Their Representation in Global Ocean Models and Operational Forecasts

Modeling Focus: Up to 3 awards

$250K-$500K 3 (36 Months)

A Global Multi-agency Experiment on Internal Wave Energy, Mixing and Interactions in the Ocean and Their Representation in Global Ocean Models and Operational Forecasts

Field Work Focus: Up to 4 awards

$500K-$1.5M 3 (36 Months)

Low-Cost, Air Deployable 400m Profiling CTD Floats for investigating sub-mesoscale eddies

– Design Study and Demonstration

Up to 3 awards

$125K-$175K 1 (12 Months)

4. Instrument Type(s) - It is anticipated that awards will be in the form of grants.

However, NOPP sponsor agencies reserve the right to award cooperative agreements, contracts, or other transaction agreements to appropriate parties, should the situation warrant use of an instrument other than a grant. When funding project participants that are Federal entities, agencies may fund these efforts separately (e.g, under the Economy Act) based on policies and procedures, responses to the announcement, and internal award administration.

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. Assistance Instruments

The applicable regulations are 2 CFR 200, “Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards,” as implement by 2 CFR Chapter XL, Subchapter A and DoDGARs at 32 CFR Subchapter C. Any assistance instrument awarded under this announcement will be governed by the award terms and conditions that conform to DoD’s implementation of Office of Management and Budget (OMB) circulars applicable to financial assistance. The DoD Terms and Conditions and the ONR Addendum and Programmatic Requirements are located at https://www.nre.navy.mil/work-with-us/manage-your-award/manage-grant-award/grant-terms-conditions

II. Grant: A legal instrument consistent with 31 U.S.C. 6304, is used to enter into a relationship:

i.The principal purpose of which is to transfer a thing of value to the recipient to carry out a public purpose of support or stimulation authorized by a law or the United States, rather than to acquire property or services for the Federal Government’s direct benefit or use.

1. In which substantial involvement is not expected between the Federal Government and the recipient when carrying out the activity contemplated by the grant.

ii.No fee or profit is allowed.

III. Cooperative Agreement: A legal instrument which, consistent with 31 U.S.C. 6305, is used to enter into the same kind of relationship as a grant, except:

i.Substantial involvement is expected between the

Federal Government and the recipient when carrying out the activity contemplated by the cooperative agreement. (For information on the substantial involvement ONR expects to have in cooperative agreements, prospective offerors should contact the Technical POC identified in the research area of interest.)

ii.This term does not include “Cooperative R&D agreements (CRADA)” as defined at 15 U.S.C. 3710a iii.No fee or profit is allowed.

c. Other Transaction Agreement (OTA) for Research A legal instrument, consistent with 10 U.S.C. § 4021, 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 Guide to Research Other Transactions under 10 U.S.C. 4021 (June 2023) and Other Transaction Guide version 2.0 dated July 2023 for additional information. These document, along with other OTA resources, may be accessed at the following link:

Guide to Research Other Transactions under 10 U.S.C. 4021 dated June 2023:

https://www.acq.osd.mil/asda/dpc/cp/policy/docs/guidebook/Guide%20to%20Resear ch%20Other%20Transactions.pdf

Other Transaction Guide version 2.0 dated July 2023:

https://www.acq.osd.mil/asda/dpc/cp/policy/docs/guidebook/TAB%20A1%20- %20DoD%20OT%20Guide%20JUL%202023_final.pdf

d. Other Transaction Agreement (OTA) for Prototypes: A legal instrument, consistent with 10 U.S.C. 4022, 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” version 2.0 dated July 2023, for additional information. This document may be accessed at the following link:

https://www.acq.osd.mil/asda/dpc/cp/policy/docs/guidebook/TAB%20A1%20- %20DoD%20OT%20Guide%20JUL%202023_final.pdf

5. Model Contracts and Grants- The model contracts and grants at the links below are only provided as examples. In the event of any conflict between these examples and current FAR, DFARS, NMCARS, 2 CFR 200 Uniform Guidance or ONR clauses or terms and conditions, current FAR, DFARS, NMCARS, 2 CFR 200 Uniform Guidance or ONR clauses or terms and conditions 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.

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

https://www.onr.navy.mil/work-with-us/how-to-apply/submit-grant-application

C. Eligibility Information

1. Eligible Applicants-

a. Team efforts are required: 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 the NOPP.

Team, team efforts, partner, and partnership are all synonymous terms throughout this BAA. The teams must be comprised of members from at least two of the following three sectors:

Academia, Industry (including Non-Governmental Organizations - NGOs), and Government (including Tribal, State and Local)

All businesses both small and large are encouraged to submit proposals and compete for funding consideration. However, no portion of this BAA will be set aside for Small Business or other socio-economic participation.

Foreign institutions are eligible to apply for support as a partner under this

BAA. However, the National Science Foundation (NSF) rarely provides support to foreign organizations. For proposals to be funded by NSF, NSF will consider proposals for cooperative projects involving U.S. and foreign organizations, provided support is requested only for the U.S. portion of the collaborative effort.

b. All responsible sources from academia, industry and the research community worldwide 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.

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

2. Cost Sharing or Matching - Cost sharing is not expected under contracts and grants 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. Additional guidance can be found at 2 CFR 200.306 and FAR 35.003. See Section II B. Federal Award Information 4.

Instrument Type(s)/c. Other Transaction Agreement (OTA) for Research for information on cost sharing for OT awarded under 10 U.S.C. 4021 and 10 U.S.C. 4022.

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.

I. Grants.gov (www.grants.gov) II. Sam.gov - Contract Opportunities (https://sam.gov/content/home) III. 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

Proposals submitted under this BAA are expected to be unclassified.

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.”

Full Proposals: The due date for receipt of Full Proposals is 3:00 PM

(EST) on Wednesday, November 22nd, 2024. It is anticipated that final selections will be made within 15 weeks after the full proposal deadline. 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 FY25 funding. Full proposals received after the published due date and time may not be considered for funding.

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. Provide a valid unique entity identifier in its application; and

c. Maintain an active SAM registration with current information at all times during which it has an active Federal award or an application or proposal under consideration by a Federal awarding agency;

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

A Federal awarding agency may not make a Federal award to an applicant/offeror until the applicant has complied with all applicable unique entity identifier and SAM requirements and, if an applicant/offeror has not fully complied with the requirements by the time the Federal awarding agency is ready to make a Federal award, the Federal awarding agency may determine that the applicant/offeror is not qualified to receive a Federal award and use that determination as a basis for making a Federal award to another applicant/offeror.

4. Ship time Instructions for Full Proposals

Proposals requiring ship time will need to submit a University National Oceanographic Laboratory System (UNOLS) ship time request (STR) form with the full proposal. Information about the ship time process for UNOLS ships is at the following link: https://www.unols.org/

For full proposals, follow the UNOLS process found at:

https://strs.unols.org/Public/diu_login.aspx. Be sure to select NOPP as the sponsor agency, and add all other appropriate information.

All NOPP partners will use the UNOLs system to coordinate ship time including NOAA, ONR and NSF. If contemplating use of non-UNOLS ship, please contact the cognizant agency program officer or TPOC herein.

5. Submission Dates and Times - See Section I. A.6 above, “Key Dates” for information.

Submission of Late Proposals (Applicable Full Proposals)

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

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

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

(c) It was the only proposal received.

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

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

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 Technical Point of Contact 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.

6. Other Submission Requirements:

See Appendix 2 for Instructions for Grants, Cooperative Agreements and Appendix 3 for Instructions for Contracts and Other Transaction Agreements.

The NOPP is a partnership of sponsor agencies each with their own unique award processes. Once proposal recommendations are made, those proposals which will be funded by agencies other than by ONR (e.g., NSF, NOAA, NASA, +), will require proposal resubmission directly to that agency using their guidelines and requirements.

This will be communicated to the proposer in their award letter with an agency POC identified. For instance, proposals which will be funded by NSF require entry into FASTLANE, NSF’s award management system. The PI will coordinate submission with the assigned NSF Program Director.

a. Grant, Cooperative Agreement, and TIA Proposals shall be submitted through Grants.gov. (See Appendix 2)

b. Submission of Full Proposals for Contracts and Other Transaction

Agreements shall be submitted via email to the Technical Point of Contact of this BAA (See Appendix 3)

Postdoctoral Mentoring Activities. Each proposal that requests funding to support postdoctoral researchers must include a one-page supplementary document describing the mentoring activities that will be provided for such individuals.

Each proposal must include a data management plan.

While proposal submissions are expected to be through grants.gov, which specifies required content, because the evaluation criteria are based on NSF criteria, proposers should review content guidance provided by NSF in their proposal content guide:

https://www.nsf.gov/pubs/policydocs/pappg20_1/pappg_2.jsp#IIC2di . These sections provide descriptions of what is expected in a comprehensive proposal/project description, page limitations (15 pages), best practices (e.g., no URLS), a description of broader impacts, and data management plan contents.

E. Application Review Information

1. Criteria

Proposals shall be evaluated under the following three principal selection criteria:

a. The potential relationship of the proposed research and development to NOPP BAA topic objectives. Is the proposal well aligned with and responsive to a Topic described in this announcement? Proposals which are not well aligned or insufficiently responsive will not be reviewed and not be considered for funding.

b. Intellectual Merit: The Intellectual Merit criterion encompasses the potential to advance knowledge; and

c. Broader Impacts: The Broader Impacts criterion encompasses the potential to benefit society and contribute to the achievement of specific, desired societal outcomes.

When evaluating NOPP proposals, reviewers will consider what a proposer wants to do, whether the effort is aligned with a topic identified in the announcement, why a proposer wants to undertake the effort, how a proposer plans to accomplish the effort, how a proposer will know whether it has succeeded in its effort, and what benefits could accrue if the project is successful. These issues apply both to the technical aspects of the proposal and the way in which the project may make broader contributions.

The following elements will be considered in the review of criteria b and c:

1. The potential for the proposed activity to:

a. Advance knowledge and understanding within its own field or across different fields (Intellectual Merit); and

b. Benefit society or advance desired societal outcomes (Broader Impacts).

2. The extent to which the proposed activities suggest and explore creative, original, or potentially transformative concepts.

3. Whether the plan for carrying out the proposed activities is well-reasoned, well-organized, and based on a sound rationale (including budget, resources and timeline). Further, whether the plan incorporates a mechanism to assess success.

4. How well qualified the individual, team, or organization is to conduct the proposed activities.

5. Whether there are adequate resources available to the PI (either at the home organization or through collaborations) to carry out the proposed activities.

In addition, per Section 1062 of The National Defense Authorization Act (NDAA) for Fiscal Year 2021, Pub. L. No. 116-283,, beginning October 1, 2024, DoD may not fund institutions of higher education (as defined by 20 U.S.C 1002) that host a Confucius Institute, other than amounts provided directly to students as education assistance, unless a waiver is provided. A Confucius Institute is defined as a cultural institute directly or indirectly funded by the Government of the People’s Republic of China.

2. Review and Selection Process

a. Evaluation

Cognizant program officers from NOPP participating agencies, a NOPP panel of subject matter experts, and other Government scientific staff will perform the evaluation of technical and cost proposals.

Technical and cost proposals submitted under this BAA will be protected from unauthorized disclosure in accordance with FAR 3.104-4 and 15.207. Cost proposals may also be analyzed by Government business professionals.

Restrictive notices notwithstanding, one or more support contractors may be utilized as subject-matter-expert technical consultants. Similarly, support contractors may be utilized to support evaluation of cost proposals. 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 a non-disclosure statement prior to receipt of any proposal submissions.

Proposals will be initially evaluated by the NOPP participating agencies using the evaluation criteria. The NOPP office may be involved in the administration of the review of proposals but will not participate in the evaluation. After NOPP participating agencies have conducted their evaluations, a panel consisting of NOPP participating agencies, a NOPP panel of subject matter experts, and other Government scientific staff will conduct an evaluation of the proposals based on the evaluation criteria. After the panel evaluation, participating agencies will decide which proposals will be recommended for funding, and the lead funding agency or activity for each award will be determined. Actual award will be made by the lead agency or activity. ONR will make award for only those proposals for which it is the lead activity.

For each proposal recommended for award, the proposer will receive notification of its selection that will identify the program officer for the lead agency or activity.

Subsequent to the initial recommendation letter, the agency or activity program officer may provide additional submission instructions to process the funding action. To meet agency or activity-specific requirements, PIs may be asked to modify objectives, work plans or budgets, or provide supplemental information.

That a proposal has been recommended for award does not ultimately guarantee an award will be made. The notice indicates that the proposal has been selected in accordance with the evaluation criteria stated. Awards made by non-DoD agencies are subject to the regulations governing awards in those agencies.” All awards are subject to review by individual agency contracting departments for such matters as cost analysis, determination of an offeror's responsibility, and confirmation of fund availability, as well as consideration of other relevant steps necessary for making an award. When applicable, certain offerors may be required to demonstrate compliance with or the ability to comply with enhanced cybersecurity requirements prior to award. Refer to Appendix 2 and Section II F, Federal Award Administration Information, Part 2, Administrative and National Policy Requirements, paragraph (ix) of this BAA for information.

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

The Office of Naval Research is strongly committed to providing meaningful prime and subcontracting opportunities for small businesses, small disadvantaged businesses (SDBs), woman-owned small businesses (WOSBs), historically underutilized business zone (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) Apex Accelerator (formally known as Procurement Technical Assistance Center

(PTAC)). Apex Accelerators 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 Apex Accelerators is usually free of charge. Apex Accelerators support includes registration in systems such as SAM, identification of contract opportunities, understanding requirements and preparing and submitting proposals. The Accelerators have a presence in each state, Puerto Rico, Guam and the Northern Mariana Island.

To locate a local PTAC visit:

http://www.dla.mil/HQ/SmallBusiness/PTAC.aspx or http://www.aptac-us.org/new/.

i. Subcontracting Plan - For proposed contract awards exceeding

$750,000, 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 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:

Dynamic Small Business Search (DSBS) (http://web.sba.gov/pro-net/search/dsp_dsbs.cfm) Contracting Opportunities in https://www.sam.gov/content/opportunities Navy SBIR/STTR Search – Website or Brochure (https://www.navysbir.com) U.S. Small Business Administration Subcontracting Network (Subnet)

(https://subnet.sba.gov/client/dsp_Landing.cfm) Directory of federal Government prime contractors with subcontracting plans

(https://www.sba.gov/document/support-directory-federal-government-prime-contractors-subcontracting-plans)

USAspending.gov (https://www.usaspending.gov/) DAU Small Business Community of Practice (SB COP) (https://www.dau.edu/cop) DefenseLink ≥ $7.5 M Award Notices (https://www.defense.gov/Newsroom/Contracts/)

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

(1). An entity awarded a contract exceeding the simplified acquisition threshold that is likely to result in the award of any subcontracts;

(2). A subcontractor or supplier, at any tier, under a contract exceeding the simplified acquisition threshold, which has a subcontracting opportunity exceeding $15,000.

The notices must describe:

(a) The business opportunity;

(b) Any prequalification requirements; and

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

iii. Options

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

iv. Non Disclosure Agreements

Technical and cost proposals submitted under this BAA will be protected from unauthorized disclosure in accordance with FAR 3.104-4 and 15.207.

Support contractors required to have 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 his/her employer in the event that the NDA is violated.

3. Recipient Qualifications

a. Applicable to Grants and Cooperative Agreements Only (See Appendix 2.)

b. Applicable to Contracts and Other Transaction Agreements Only (See Appendix 3.)

F. Federal Award Administration Information

1. Federal Award Notices

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

Applicants whose proposals are recommended for award may be contacted by a Contract Agreement, or Grant 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 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, Agreements Officer or Grants Officer, as applicable, signs the award document.

Only an award document signed by the Contracting Officer, Agreements Officer or

Grants 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://piee.eb.mil/piee-landing//).

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.

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:

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

ONR does not provide access to classified material under grants or cooperative agreements.

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 current version of DoD Instruction 3216.01, Use of Animals in DoD Conducted and Supported Research and Training and its implementing instruction, DHA-MSR 6025.02, “The Care And Use Of Animals In DoD Research, Development, Test, And Evaluation (RDT&E) Or Training Programs,” the version of which 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 or Abbreviated Appendix (see Guidance link below) with supporting documentation (such as 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) 696-4318 or suzanne.b.may.civ@us.navy.mil. Guidance can be found at: https://www.nre.navy.mil/work-with-us/how-to-apply/compliance-and-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- Conducted and -Supported Research (Change 1, (June 29, 2022), 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.

(b) For proposals containing activities that include or may include “research involving human subjects” as defined in DoDI 3216.02, prior to award, the Offeror must submit documentation of:

(i) Approval from an Institutional Review Board (IRB) (IRB-approved research protocol, IRB- approved informed consent document, documentation showing the IRB considered the scientific merit of the research and other material considered by the IRB and the IRB registration number); 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 Offeror’s Department of Health and Human Services (DHHS)-issued Federal Wide Assurance (FWA#), including notifications of any FWA suspensions or terminations.

(ii) Any claimed exemption under 32 CFR 219.104, including the category of exemption, supporting documentation considered by the Offeror’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 Offeror’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(1), including supporting documentation considered by the Offeror’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 Offeror’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. For assistance with submission of human subject research related documentation, contact the ONRHRPO at (703) 696-4318 or suzanne.b.may.civ@us.navy.mil.

(d) Contracts, orders, or grant 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 contract…