NEQST BAA Final W911NF21S0010.pdf

U.S. ARMY RESEARCH OFFICE

BROAD AGENCY ANNOUNCEMENT FOR

NEXT NEW AND EMERGING QUBIT SCIENCE &

TECHNOLOGY (nextNEQST)

W911NF-21-S-0010

Issued by:

U.S. Army Contracting Command-Aberdeen Proving Ground

Research Triangle Park Division

P.O. BOX 12211

Research Triangle Park, NC 27709-2211

I. OVERVIEW OF THE FUNDING OPPORTUNITY:

B. Additional Overview Information

II. DETAILED INFORMATION ABOUT THE FUNDING OPPORTUNITY

B. Federal Award Information

G. Agency Contacts:

I. OVERVIEW OF THE FUNDING OPPORTUNITY:

A. Required Overview Content

1. Federal Agency Name(s):

U.S. Army Research Office

Issuing Acquisition Office:

U.S. Army Contracting Command-Aberdeen Proving Ground, Research Triangle Park Division (ACC-APG RTP Division)

2. Funding Opportunity Title: Next New and Emerging Qubit Science & Technology (nextNEQST)

3. Announcement Type Initial Announcement

4. Research Opportunity Number: W911NF-21-S-0010

5. Catalog of Federal Domestic Assistance (CFDA) Number:

12.431 – Basic Scientific Research

6. Response Dates:

White Papers: 4:00 PM Eastern Daylight Savings Time on: 18 MAY 2021 Proposals: 4:00 PM Eastern Daylight Savings Time on: 20 JULY 2021 See Section II. D. 4 for additional information.

B. Additional Overview Information

This Broad Agency Announcement (BAA) which sets forth research areas of interest to the Army Research Laboratory- Army Research Office (ARL-ARO) and the National Security Agency (NSA) is issued under paragraph 6.102(d)(2) of the Federal Acquisition Regulation (FAR), and 10 USC 2358 which provides for the competitive selection of basic research proposals. Proposals submitted in response to this BAA and selected for award are considered to be the result of full and open competition and in full compliance with the provision of Public Law 98-369, "The Competition in Contracting Act of 1984" and subsequent amendments.

The Department of Defense agencies involved in this program reserve the right to select for award; all, some, or none of the proposals submitted in response to this announcement. The participating DoD agencies will provide 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 participating DoD agencies to treat all proposals as sensitive, competitive information and to disclose their contents only for the purposes of evaluation.

II. DETAILED INFORMATION ABOUT THE FUNDING OPPORTUNITY

A.1 Funding Opportunity Description The U.S. Army Research Office (ARO) in collaboration with the Laboratory for Physical Sciences (LPS) is soliciting proposals for research in the next New and Emerging Qubit Science and Technology (nextNEQST) program. nextNEQST focuses on qubit systems that explore new operating regimes and environments, fundamentally new methods of fabrication, and new methods of design, control, or operation. These explorations should have in mind the development of quantum computation where the novel properties of these systems create significant advantages in coherence, fabrication, and/or qubit operation over current state-of-the-art qubits.

A.1.1 Outline of the nextNEQST Research Areas:

nextNEQST is soliciting proposals in three research areas as well as advances from previous NEQST research topics. Proposals may address more than one of these research areas and, in some cases, may be required to address more than one area to achieve proposed research milestones. Quantum information science and technology has seen steady progress since the motivating algorithmic discoveries of Shor and others. Continued research in qubit technology has resulted in the development of several different qubit modalities that can now perform two-qubit operations with less than 1% error per gate, with advances towards higher performance and larger qubit systems on the horizon. Many advances are needed to push existing technologies towards the distant goal of fault-tolerant quantum computing or systems of similar complexity.

This BAA anticipates that state-of-the-art qubit devices and quantum logic gate approaches, even with anticipated advances, may not be the same devices on which future technology will be based. In other words, tomorrow's fault-tolerant quantum computers will not be made with today's qubits. The nextNEQST program seeks to fund high-risk seedling efforts that can significantly advance the performance of future multi-qubit information processors towards the goal of fault-tolerant quantum computing. Each effort should pursue the experimental realization of the proposal. In addition, theory or model development must be included to elucidate the underlying mechanisms, and the theoretical and practical limits. At the end of this three-year program, research progress will be evaluated to determine whether graduation to a larger research effort is warranted or whether the research direction should be abandoned.

All proposals must address the following questions or subset of questions that are relevant to the proposed research:

1. What is the physical qubit(s) or quantum system that is being proposed?

2. What are the compelling reasons for using this qubit or system'?

3. What is known about this qubit in terms of experimental and theoretical results?

Please provide suitable references.

4. What are the appropriate metrics for the novel technology

5. What limits do prior experimental or theoretic results place on the extremum of these metrics and how do these metrics relate to more traditional qubit performance metrics such as gate fidelity?

6. What are the challenges associated with fabricating and operating this qubit(s)?

7. What solutions are being suggested to overcome these challenges?

8. What is the timescale needed to demonstrate these solutions?

9. Are special experimental and fabrication resources needed?

10. Are supporting technologies readily available?

All proposals must set aggressive yearly quantitative milestones that define a path toward demonstrating the performance of the proposed qubit system, with comparison to the current state-of-the-art.

A.1.2 New qubit, operating regimes, and environments This research topic seeks exploration of new qubit and gate types that may enable relaxed environmental control requirements or fundamentally higher-fidelity operation. New qubit systems insufficiently explored or not explored yet are one possibility. Another is qubits that operate robustly (both alone and via two qubit gates) in “friendlier” environments such as at higher temperatures, pressures, or magnetic fields which could enable cheaper or more portable or more scalable quantum devices, from repeaters to sensors to quantum computers. Proposals under this topic must articulate specifics of the novel physical system: what are the advantages over current state-of-the- art qubit systems? why those advantages are important technical challenges to matching and surpassing current best qubit performance? and how one would attempt to construct, control, and isolate the novel system? There must be no fundamental roadblocks to constructing quantum processors with the selected qubit. It is expected that some of the underlying physics may not be well understood, such as decoherence and coupling mechanisms. The proposal should address this, and analysis should motivate later or follow-on experimental efforts to quantify current unknowns. In particular, any proposals for investigation of new qubit systems must robustly address the question or fast and reliable two-qubit interactions (gates) as well as initialization and readout.

A.1.3 Fundamentally new methods of fabrication This research topic seeks proposals on new methods of fabrication that may enable new qubit types with superior performance. For example, the perennial problem of noise might be solved by fully epitaxial fabrication techniques that could also enable new types of devices from epitaxial Josephson junctions to superconducting-semiconductors (super-semi) to engineered quantum materials. In addition, new methods or fabrication may be required to achieve the promised performance of the proposed qubit type proposed in area A.1.2. A particular area of interest considers novel methods of fabricating planar semiconductor and superconductor qubits.

Also of interest are novel material systems for enhanced performance and/or addition of functionality. Proposals under this topic must demonstrate fabrication of qubits and measure key qubit performance metrics along the way to a functioning qubit. Before the end of the proposed research effort, modeling or simulation work should attempt to quantify the expected benefits in an idealized case, using a simplified or approximate system if necessary.

A.1.4 New methods of design, control, or operation This research topic seeks proposals based around design principles that enable easier or new means of control of multi-qubit systems. Example research areas include super-semi junctions, which can be gated by an electrostatic potential, use of quantized / discretized control fields instead of classical control fields, topologically-motivated symmetry protection for physical devices, optical-based classical control of solid-state qubits (via classical transduction to electrical signals, for example), or other types of qubits and qubit/control combinations which reduce the complexity of classical control. These qubits may enable simpler forms of control with less overhead or reliance on available control technology (i.e. microwave generators or layers of error correction). Proposals under this topic must demonstrate control of qubits and measure qubit performance along with key performance metrics along the way.

A.1.5 Advanced NEQST research Previous research in NEQST research topics have made significant advances in 2-D materials, epitaxial qubit fabrication, and novel qubit design for error protection. This topic seeks proposals in these NEQST research areas to advance state-of-the-art. Proposals should explain why results-to-date or “lessons learned” are sufficiently promising to warrant next steps in demonstrating qubit operations. Proposals must put previous results into the proper theoretical context and include improvements to simplified, ad-hoc, or phenomenological models if such are used. These proposals must address the goal of realization of functional qubits and are expected to demonstrate full qubit operation and gate characterization by the end of the program.

A.1.6 Topics Outside of Scope of nextNEQST

1. Bulk/ensemble systems without single qubit addressability.

2. Purely theoretical investigations of a proposed novel qubit.

3. Quantum transduction such as wavelength conversion in the quantum regime.

4. Quantum communication, networking, and key distribution.

5. Quantum computing architectures, error correction, and logical qubits beyond considerations given to scaling to approximately 10 qubit devices.

6. Approaches other than the circuit model of computation.

B. Federal Award Information

Anticipated awards will be made in the form of procurement contracts, grants, or cooperative agreements, and are subject to the availability of appropriations. Funding for the second year and beyond will be contingent upon satisfactory performance and the availability of funds.

The ACC-APG RTP Division has the authority to award a variety of instruments on behalf of ARL-ARO. The ACC-APG RTP Division reserves the right to use the type of instrument most appropriate for the effort proposed. Applicants should familiarize themselves with these instrument types and the applicable regulations before submitting a proposal. Following are brief descriptions of the possible award instruments.

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

Contracts are primary governed by the following regulations:

a. Federal Acquisition Regulation (FAR) https://www.acquisition.gov/browse/index/far

b. Defense Federal Acquisition Regulation Supplement (DFARS) https://www.federalregister.gov/defense-federal-acquisition-regulation-supplement-dfars-

c. Army Federal Acquisition Regulation Supplement (AFARS) https://www.acquisition.gov/afars

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

a. 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 DoD's direct benefit or use.

b. In which substantial involvement is not expected between the DoD and the recipient when carrying out the activity contemplated by the grant.

c. No fee or profit is allowed.

3. 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 (see definition "grant"), except that substantial involvement is expected between the DoD and the recipient when carrying out the activity contemplated by the cooperative agreement. The term does not include "cooperative research and development agreements" as defined in 15 U.S.C. 3710a. No fee or profit is allowed.

4. Grants and cooperative agreements for Institutions of Higher Education and nonprofit organizations are primary governed by the following:

A. Federal statutes https://www.acquisition.gov/browse/index/far https://www.federalregister.gov/defense-federal-acquisition-regulation-supplement-dfars-https://www.acquisition.gov/afars

B. Federal regulations C. 2 CFR part 200, as modified and supplemented by DoD's interim Implementation found in

2 CFR part 1103 D. 32 CFR Parts 21, 22, 26, and 28.

E. DoD R&D General Terms and Conditions dated January 2021 F. ACC-APG-RTP Division Assistance, Research General Terms and Conditions dated

August 2016, hereinafter referred to as “Agency Specific Requirements” G. Award-specific terms and conditions

5. Grants and cooperative agreements for for-profit and nonprofit organizations exempted from

Subpart E—cost principles of part 200, are primary governed by the following:

a. Federal statutes

b. Federal regulations

c. 32 CFR Parts 21, 22, 26, and 28.

d. DOD 3210.6-R, Part 34 - Administrative Requirements for Grants and Agreements with

For-Profit Organizations

Copies of OMB regulations may be obtained from:

Executive Office of the President Telephone: (202) 395-7332 Publications Service FAX Requests: (202) 395-9068 New Executive Office Building https://www.whitehouse.gov/omb/information-for-agencies/circulars/ 725 17th Street, N.W., Room 2200 Washington, DC 20503

An electronic copy of the DoDGARs may be found at http://www.ecfr.gov (Title 32: National Defense, Subchapter C – DoD Grant and Agreement Regulations

C. Eligibility Information

1. Eligible Applicants:

Eligible applicants under this BAA include Institutions of higher education (foreign and domestic), nonprofit organizations, and for-profit concerns (large and small businesses).

Proposals are encouraged from Historically Black Colleges and Universities (as determined by the Secretary of Education to meet requirements of Title III of the Higher Education Act of 1965, as amended (20 U.S.C. §1061)) and from Minority Institutions defined as institutions “whose enrollment of a single minority or a combination of minorities exceeds 50 percent of the total enrollment.” [20 U.S.C. § 1067k(3) and 10 U.S.C. § 2362]. However, no funds are specifically allocated for HBCU/MI participation.

2. Cost Sharing or Matching:

https://www.whitehouse.gov/omb/information-for-agencies/circulars/ http://www.ecfr.gov/

There is no requirement for cost sharing, matching, or cost participation to be eligible for award under this BAA and cost sharing and matching is not an evaluation factor used under this BAA.

3. Federally Funded Research and Development Centers (FFRDCs):

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, and no funds from the award flow to the FFRDC.

D. Application and Submission Information

1. Address to View Broad Agency Announcement

This BAA may be accessed from the following:

1) Grants.gov (www.grants.gov)

2) Beta SAM (https://beta.sam.gov)

3) ARL website (https://www.arl.army.mil/business/broad-agency-announcements/)

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.

The following information is for those wishing to respond to the BAA:

2. Content and Form of Application Submission

a. General Information

A proposal submitted under this BAA must address unclassified fundamental research.

Proposal submissions will be protected from unauthorized disclosure in accordance with applicable laws and DoD regulations. Applicants are expected to appropriately mark each page of their submission that contains proprietary information. The participating DoD agencies will provide 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 participating DoD agencies to treat all proposals as sensitive, competitive information and to disclose their contents only for the purposes of evaluation.

http://www.grants.gov/ https://beta.sam.gov/ https://www.arl.army.mil/business/broad-agency-announcements/

Post-Employment Conflict of Interest: There are certain post-employment restrictions on former federal officers and employees, including special government employees (Section 207 of Title 18, U.S.C.). If an applicant believes a conflict of interest may exist, the situation should be discussed with Point of Contact listed in Section G:

Agency Contacts, who will then coordinate with appropriate ARO/ARL legal personnel prior to having applicant expend time and effort in preparing a white paper or proposal.

Statement of Disclosure Preference: Please complete ARO Form 52 or 52A stating your preference for release of information contained in your white paper or proposal.

Copies of these forms are available at https://www.arl.army.mil/business/broad-agency-announcements/baa-forms/ NOTE: A white paper or proposal may be handled for administrative purposes by support contractors. These support contractors are prohibited from competing on BAA proposals and are bound by appropriate non-disclosure requirements.

Equipment: Normally, title to equipment or other tangible property purchased with Government funds vests with nonprofit institutions of higher education or with nonprofit research organizations if vesting will facilitate scientific research performed for the Government. For profit organizations are expected to possess the necessary plant and equipment to conduct the proposed research. Deviations may be made on a case-by-case basis to allow commercial organizations to purchase equipment but disposition instructions must be followed.

b. Submission of a White Paper

Stage 1 White Papers – Prospective applicants are strongly encouraged to submit White Papers. The purpose of requesting a White Paper is to minimize the labor and cost associated with the production of a detailed proposal that has very little chance of being selected for funding. Based on assessment of the White Papers, feedback will be provided to an applicant to enable that applicant to make a determination as to whether they should submit a proposal. If offerors have not submitted White Papers under Stage I of the BAA, offerors may still submit full proposals for consideration for funding.

White Paper Format and Content:

• White Papers must be submitted electronically to usarmy.rtp.devcom-arl.mesg.qcbox@mail.mil in the following format:

• Single PDF file as an email attachment mailto:usarmy.rtp.devcom-arl.mesg.qcbox@mail.mil

• Page Size: 8 ½ x 11 inches

• Margins – 1 inch

• Font – No smaller than Times New Roman, 12 point

• Number of Pages – no more than ten (10) single-sided pages. Any pages exceeding the ten-page limit will not be evaluated.

White Papers must contain the following:

• Title page. The title page should be labeled “nextNEQST BAA White Paper” and should include the BAA number, proposed title, program goal being addressed, Principal Investigator (PI) with telephone number and email address, and an executive summary. (Not to exceed one page.)

• Expected expenditures and justifications. (Not to exceed one page.)

• Curriculum vitae sketches. (Not to exceed one page.)

• Technical portion including all references and figures. Introduce the problem to be addressed, briefly survey related work, identify key obstacles, outline the proposed solution and well-defined objective, outline the yearly research plan with milestones, and state the impact if successful. (Not to exceed seven pages.)

c. Preparing an Application

Stage 2 Proposal - After Stage 1 reviews are completed, interested offerors should submit proposals in accordance with the requirements set forth in this BAA.

This format applies to all proposals submitted via email and via Grants.gov. Offerors' proposals should show the location of each section of the proposal, as well as major subdivisions of the project description.

COVER PAGE ARO FORM 51: for Contract proposals submitted by email. The Form SF 424 (R&R) is for all proposals submitted through Grants.gov (Assistance Instruments must submit through Grants.gov):

1. A Cover Page is required. Proposals will not be processed without either: (1) a signed Cover Page, ARO Form 51, or (2) an SF 424 R & R Form.

2. Should the project be carried out at a branch campus or other component of the submitting organization, that branch campus or component should be identified in the space provided (Block 11 on the ARO Form 51 and Block 12 on the SF424 R&R).

3. The title of the proposed project should be brief, scientifically representative, intelligible to a scientifically literate reader, and suitable for use in the public domain.

4. The proposed duration for which support is requested should be consistent with the program duration of forty-eight months.

5. Specification of a desired starting date for the project is important and helpful however, requested effective dates cannot be guaranteed.

6. To evaluate compliance with Title IX of the Education Amendments of 1972 {20 U.S.C. A§ 1681 Et. Seq.), the Department of Defense is collecting certain demographic and career information to be able to assess the success rates of women who are proposed for key roles in applications in STEM disciplines. To enable this assessment, each application must include the following forms completed as indicated.

Research and Related Senior/Key Person Profile (Expanded) form:

The Degree Type and Degree Year fields on the Research and Related Senior/Key Person Profile {Expanded) form will be used by DoD as the source for career information. In addition to the required fields on the form, applicants must complete these two fields for all individuals that are identified as having the project role of PD/Pl or Co-PD/Pl on the form. Additional senior/key persons can be added by selecting the "Next Person" button.

Research and Related Personal Data form:

This form will be used by DoD as the source of demographic information, such as gender, race, ethnicity, and disability information for the Project Director/Principal Investigator and all other persons identified as Co-Project Director{s)/Co-Principal Investigator(s). Each application must include this form with the name fields of the Project Director/Principal Investigator and any Co-Project Director(s)/Co-Principal Investigator(s) completed; however, provision of the demographic information in the form is voluntary. If completing the form for multiple individuals, each Co-Project Director/Co-Principal Investigator can be added by selecting the "Next Person" button.

The demographic information, if provided, will be used for statistical purposes only and will not be made available to merit reviewers. Applicants who do not wish to provide some or all of the information should check or select the "Do not wish to provide" option.

7. Pursuant to 31 U.S.C. 7701, as amended by the Debt Collection Improvement Act of 1996 [Section 31001(I)(1), Public Law 104-134], federal agencies shall obtain each awardees’ Taxpayer Identification Number (TIN). This number may be the Employer Identification Number for a business or non-profit entity or the Social Security Number for an individual. The TIN is being obtained for purposes of collecting and reporting on any delinquent amounts that may arise out of an awardees’ relationship with the Government.

8. Offerors shall provide their organization's Unique Entity Identifier (formerly DUNS).

This number is a nine-digit number assigned by Dun and Bradstreet Information Services. See Section II.D.3 of this BAA for requirements pertaining to the Unique Entity Identifier.

9. Offerors shall provide their assigned Commercial and Government Entity (CAGE) Code. The CAGE Code is a 5-character code assigned and maintained by the Defense Logistics Service Center (DLSC) to identify a commercial plant or establishment.

TABLE OF CONTENTS: Use the following Format for the Proposal Table of Contents, Forms are available at https://www.arl.army.mil/business/broad-agency-announcements/baa-forms/

SECTION PAGE NUMBER

Table of Contents A-1 Statement of Disclosure Preference (Form 52 or 52A) B-1 Research & Related Other Project Information B-2 Project Abstract C-1 Project Description (Technical Proposal) D-1 - D-� Biographical Sketch E-1 - E-� Bibliography F-1 - F-� Current and Pending Support G-1 - G-� Facilities, Equipment, and Other Resources H-1 - H-� Proposal Budget I-1 - I-� Contract Facilities Capital Cost of Money (DD Form 1861) J-1 Appendices K-� List Appendix Items:

This format applies to proposals submitted via email and via Grants.gov. Offerors' proposals should show the location of each section of the proposal, as well as major subdivisions of the project description.

STATEMENT OF DISCLOSURE PREFERENCE (FORM 52 OR 52A): Complete and sign ARO Form 52 (Industrial Contractors) or ARO Form 52A (Educational and Nonprofit Organizations), form can be found at the following website:

https://www.arl.army.mil/business/broad-agency-announcements/baa-forms/ .

RESEARCH AND RELATED Other Project Information: The form entitled “Research and Related Other Project Information” found at the following website:

https://www.arl.army.mil/business/broad-agency-announcements/baa-forms/ ,shall be completed and signed by all organizations.

https://www.arl.army.mil/business/broad-agency-announcements/baa-forms/

PROJECT ABSTRACT:

1. The Project Abstract shall be completed on the form entitled “Publicly Releasable Abstract” found at the following website: https://www.arl.army.mil/business/broad-agency-announcements/baa-forms/.

2. Unless otherwise instructed in this BAA, the Project Abstract shall include a concise statement of work and basic approaches to be used in the proposed effort. The abstract should include a statement of scientific objectives, methods to be employed, and the significance of the proposed effort to the advancement of knowledge.

3. The abstract should be no longer than one (1) page (maximum 4,000 characters).

4. The project abstract shall be marked by the applicant as publicly releasable. By submission of the project abstract, the applicant confirms that the abstract is releasable to the public. For a proposal that results in a grant award, the project abstract will be posted to a searchable website available to the general public to meet the requirements of Title VII (General Provisions), Section 8123, of the Department of Defense Appropriations Act, 2015. (Division C of the Consolidated and Further Continuing Appropriations Act, Public Law 113-235) The website address is https://dodgrantawards.dtic.mil/grants

TECHNICAL PROPOSAL (PROJECT DESCRIPTION): The technical portion of the proposal shall be no longer than 20 pages including tables and figures, single spaced text, size 12 Times New Roman font with one inch page margins, and shall contain the following:

1. Technical Approach: Introduce the problem to be addressed, survey related work, identify key obstacles, and outline the proposed solution and well-defined objective.

Proposals should describe an approach to all technical areas with unambiguous and quantitative milestones. Proposers must justify the utility of the proposed work and highlight its benefits over the current state-of-the-art. Proposals should clearly address the expected key challenges and proposed methods to overcome these difficulties taking into consideration the current state of field. Proposers should set aggressive yearly quantitative milestones that define a path toward the end-of-the-program goals and analyze the impact if successful.

2. Project Schedule, Milestones, and Deliverables: A summary of the schedule of events, milestones, and a detailed description of the results and products to be delivered.

3. Management Approach: A discussion of the overall approach to the management of this effort, including brief discussions of: required facilities; relationships with any subawardees and with other organizations; availability of personnel; and planning, scheduling, and control procedures. A brief description of your organization, including if the offeror has extensive government contracting experience. If this information has been previously provided to the ARL/ARO, the information need not be provided again. A statement setting forth this condition should be made.

4. The names of other federal, state, local agencies, or other parties receiving the proposal and/or funding the proposed effort. If none, so state. Concurrent or later submission of the proposal to other organizations will not prejudice its review by the ARL/ARO if we are kept informed of the situation.

5. A statement regarding possible impact, if any, of the proposed effort on the environment considering as a minimum its effect upon water, atmosphere, natural resources, human resources, and any other values.

6. The offeror shall provide a statement regarding the use of Class I and Class II ozone- depleting substances. Ozone-depleting substances mean any substance designated as Class I by EPA, including but not limited chlorofluorocarbons, halons, carbon tetrachloride, and methyl chloroform and any substance designated as Class II by EPA, including but not limited to hydrochlorofluorocarbons. See 40 C.F.R. Part 82 for detailed information. If Class I or II substances are to be utilized, a list shall be provided as part of the offeror's proposal. If none, so state.

7. The type of additional support, if any, requested (e.g., facilities, equipment, and materials). Government Furnished Information or Equipment (GFI/GFE) available to all proposers is described in A.2.4.

BIOGRAPHICAL SKETCHES:

1. This Section shall contain the biographical sketches for senior and key personnel only.

a. Primary Principal Investigator: The “Primary” PI provides a single or initial point of communication between the sponsoring agency(s) and the awardee organization(s) about scientific matters. If not otherwise designated, the first PI listed will serve as the “Primary” PI. This individual can be changed with approval of the agency. The sponsoring agency(s) does not infer any additional scientific stature to this role among collaborating investigators.

b. Co-Principal Investigators: The individual(s) a research organization designates as having an appropriate level of authority and responsibility for the proper conduct of the research and submission of required reports to the agency. When an organization designates more than one PI, it identifies them as individuals who share the authority and responsibility for leading and directing the research, intellectually and logistically. The sponsoring agency(s) does not infer any distinction among multiple PIs.

c. Key personnel: The individual(s) a research organization designates as having a high level of technical expertise in the topics proposed to be researched and who will both play an active role in the research and supervise the work of more junior personnel on a daily basis.

2. The following information is required:

a. Relevant experience and employment history including a description of any prior

Federal employment within one year preceding the date of proposal submission.

b. List of up to five (5) publications most closely related to the proposed project and up to five (5) other significant publications, including those being printed. Patents, copyrights, or software systems developed may be substituted for publications.

c. List of persons, other than those cited in the publications list, who have collaborated on a project or a book, article, report or paper within the last four (4) years. Include pending publications and submissions. Otherwise, state "None."

d. Names of each investigator's own graduate or post graduate advisors and advisees.

The information provided in "c" and "d" is used to help identify potential conflicts or bias in the selection of reviewers.

e. The time commitment of each senior or key person to this project.

3. For the personnel categories of postdoctoral associates, other professionals, and students (research assistants), the proposal may include information on exceptional qualifications of these individuals that merit consideration in the evaluation of the proposal.

4. The biographical sketches are limited to three (3) pages per investigator and other individuals that merit consideration.

BIBLIOGRAPHY: A bibliography of pertinent literature is required. Citations must be complete (including full name of author(s), title, and location in the literature).

CURRENT AND PENDING SUPPORT:

1. All project support from whatever source must be listed. The list must include all projects requiring a portion of the principal investigator's and other senior personnel's time, even if they receive no salary support from the project(s) including Cooperative Research and Development Agreements (CRADAs) or other technology transfer agreements with federal labs. Funding provided under any award resulting from this BAA may only be used in support of the effort funded by that award, and not for any other project or purpose.

2. The information should include, as a minimum:

(a) the project/proposal title and brief description,

(b) the name and location of the organization or agency presently funding the work or requested to fund such work,

(c) the award amount or annual dollar volume of the effort,

(d) the period of performance, and

(e) a breakdown of the time required of the principal investigator and/or other senior personnel.

FACILITIES, EQUIPMENT, AND OTHER RESOURCES: The offeror should include in the proposal a listing of facilities, equipment, and other resources already available to perform the research proposed.

BUDGET PROPOSAL (including DD Form 1861):

1. Each proposal must contain a budget for each year of support requested and a cumulative budget for the full term of requested support. The budget form (Form 99) may be reproduced as needed. Locally produced versions may be used, but you may not make substitutions in prescribed budget categories nor alter or rearrange the cost categories as they appear on the form. The proposal may request funds under any of the categories listed so long as the item is considered necessary to perform the proposed work and is not precluded by applicable cost principles. Additionally, a budget by major proposed research tasks using the same budget categories must be included.

2. A signed summary budget page must be included. The documentation pages should be titled "Budget Explanation Page" and numbered chronologically starting with the budget form. The need for each item should be explained clearly.

3. All cost data must be current and complete. Costs proposed must conform to the following principles and procedures:

Educational Institutions: 2 CFR Part 200 (formerly OMB Circular A-21) Nonprofit Organizations: 2 CFR Part 200 (formerly OMB Circular A-122*) Commercial Organizations: FAR Part 31, DFARS Part 231, FAR Subsection 15.403-5, and DFARS Subsection 215.403-5.

*For those nonprofit organizations specifically exempt from the provisions of 2 CFR Part 230, FAR Part 31 and DFARS Part 231 shall apply.

4. Sample itemized budgets and the information they must include for a contract and for grants and cooperative agreements can be found at Section II. H. (Other Information). Before award it must be established that an approved accounting system and financial management system exist.

APPENDICES: Some situations require that special information and supporting documents be included in the proposal before funding can be approved. Such information and documentation should be included by appendix to the proposal.

e. Submission of Complete Research Proposals

Proposals must be submitted through the offeror’s organizational office having responsibility for Government business relations. All signatures must be that of an official authorized to commit the organization in business and financial affairs.

Proposals must be submitted electronically using one of the two following formats, based on award type sought. The content will remain the same whether using email or Grants.gov.

EMAIL SUBMISSION (for Contracts only):

1. Proposal requesting award of a contract must be emailed directly to usarmy.rtp.devcom-arl.mesg.qcbox@mail.mil Do not email full proposals to the LQC Program Point of Contact. All e-mailed proposals must contain the information outlined in Section II, D, 2, entitled “Table of Contents” including the electronic forms as follows:

(a) ARO Form 51, Proposal Cover Page;

(b) ARO Form 99, Summary Proposal Budget or equivalent,

(c) ARO Current and Pending Support (unnumbered form),

(d) ARO Form 52 or ARO Form 52a.

(e) "FAR 52.209-11 – Representation by Corporations Regarding Delinquent Tax Liability or a Felony Conviction under any Federal Law (Feb 2016). See Note below."

These forms may be accessed at https://www.arl.army.mil/business/broad-agency-announcements/baa-forms/ under BAA Forms. The fillable PDF forms may be saved to a working directory on a computer and opened and filled in using the latest compatible Adobe Reader software application found at this Grants.Gov:

https://www.grants.gov/web/grants/applicants/adobe-software-compatibility.html

Note: A completed 52.209-11 – Representation by Corporations Regarding Delinquent Tax Liability or a Felony Conviction under any Federal Law (Feb 2016), is not required if the offeror's SAM Certifications and Representations have been updated annually since 2016. If the offeror's SAM has not be updated since March 2016, the completed representation must be submitted and include POC information and signature of the authorized representative.

2. All forms requiring signature must be completed, printed, signed, and scanned into a PDF document. All documents must be combined into a single PDF formatted file to be attached to the e-mail.

3. Proposal documents (excluding required forms) must use the following format:

• Page Size – 8 ½ x 11 inches

• Margins – 1 inch

• Spacing – single

• Font – Times New Roman, 12 point, single-sided pages

GRANTS.GOV SUBMISSION (For all Assistance Instruments):

1. Grants.gov Registration (See Section II.D.2. f. Grants.gov Registration below) must be accomplished prior to application through this process. Note- All web links referenced in this section and “Grants.gov Registration” (below) are subject to change by grants.gov and may not be updated here.

2. Specific forms are required for submission of a proposal. The forms are contained in the Application Package available through the Grants.gov application process. To access these materials, go to http://www.grants.gov, select "Apply for Grants,” and then select "Get Application Package." A Grant Application Package and Application Instructions are available for through the Grants.Gov Apply portal under CFDA Number 12.431/Funding Opportunity Number W911NF-21-S-0010. Select “Apply” and then “Apply Now Using Workspace.” The following documents are mandatory:

(1) Application for Federal Assistance (Research and Related) (SF 424 (R&R), and (2) Attachments form.

(a) The SF 424 (R&R) form is to be used as the cover page for all proposals.

Authorized Organization Representative (AOR) usernames and passwords serve as https://www.arl.army.mil/business/broad-agency-announcements/baa-forms/ https://www.arl.army.mil/business/broad-agency-announcements/baa-forms/ https://www.grants.gov/web/grants/applicants/adobe-software-compatibility.html http://www.grants.gov/web/grants/support/technical-support/software/adobe-reader-compatibility.html http://www.grants.gov/web/grants/support/technical-support/software/adobe-reader-compatibility.html http://www.grants.gov/

“electronic signatures” when your organization submits applications through Grants.gov.

By using the SF 424 (R&R), proposers are providing the certification required by 32 CFR Part 28 regarding lobbying. The SF 424 (R&R) must be fully completed.

(b) The Attachments form must contain the information outlined in Section II, D, 2 (b.

Preparing an Application), entitled “Table of Contents” of this BAA including the electronic forms as follows:

(1) Research and Related Other Project Information;

(2) ARO Form 99, Summary Proposal Budget;

(3) ARO Current and Pending Support (unnumbered form)

(4) Representation by Corporations Regarding conviction of a Felony Criminal Violation under any Federal or State Law and Representation by Corporations Regarding an Unpaid Delinquent Tax Liability

Items (1)-(4) forms may be accessed at https://www.arl.army.mil/business/broad-agency-announcements/baa-forms/ Item (4) “Representation relating to Tax Liability and Felony Convictions” may be submitted on a word document and attached to available field within the attachments form. The fillable PDF forms may be saved to a working directory on a computer and opened and filled in using the latest compatible Adobe Reader software application found at this Grants.Gov:

https://www.grants.gov/web/grants/applicants/adobe-software-compatibility.html

Note: Representation by Corporations Regarding Conviction of a Felony Criminal Violation and Unpaid Delinquent Tax Liability require POC information and signature of the authorized representative.

(c) All documents must be combined into separate and single PDF formatted files titled using the Table of Contents names listed in “Section II.D.2.b. Preparing an Application”:

Preparation of complete Research Proposals”. Include “W911NF-21-S-0010” in title so the proposal will be distinguished from other BAA submissions and upload using the mandatory Attachments form.

(d) The training demonstration at https://www.grants.gov/web/grants/applicants/applicant-training.html?inheritRedirect=true will assist AORs in the application process.

Remember that you must open and complete the Application for Federal Assistance (Research and Related) (SF 424 (R&R)) first, as this form will automatically populate data fields in other forms.