NSFBAA-CA22-01 Amendment 0001.pdf

NSF Convergence Accelerator

FY 2022 Joint NSF/DOD Phases 1 and 2 for

Track G: Securely Operating Through 5G Infrastructure

Broad Agency Announcement (BAA)

1 Introduction

1.1 Background

The National Science Foundation (NSF) Convergence Accelerator program addresses national-scale societal challenges through use-inspired convergence research. Using a convergence approach and innovation processes like human-centered design, user discovery, and team science and integration of multidisciplinary research, the Convergence Accelerator program seeks to transition basic research and discovery into practice—to solve high-impact societal challenges aligned with specific research themes

(tracks).

NSF Convergence Accelerator track themes are chosen in concordance with the themes identified during the program’s ideation process that aligns with topics that have the potential for significant national impact.

The NSF Convergence Accelerator implements a two-phase program. Phase 1 awardees receive resources to further develop their convergence research ideas and to identify important partnerships and resources to accelerate their projects. Phase 2 awardees receive significant resources leading to deliverable research prototypes and sustainability plans.

This 5G security focused Convergence Accelerator Broad Agency Announcement (BAA) is conducted in collaboration with the Department of Defense (DOD) Office of the Under Secretary of Defense – Research and Engineering (OUSD R&E) 5G Initiative and the Army Research Laboratory (ARL). For this track, OUSD(R&E) is partnering with NSF to develop joint strategic interests that simultaneously address convergence research and serve mission needs of the 5G to NextG Initiative. DOD OUSD(R&E) will participate in reviewing reports and deliverables, participate in Principal Investigator (PI) meetings and the innovation curriculum, and work with NSF on transitioning results into practice.

1.2 Purpose

The purpose of this BAA is to provide research opportunities to U.S. for-profit businesses, non-profit organizations, universities, and other institutions of higher education, and their partners, to conduct a variety of research projects that will support the strategic objectives of the NSF, OUSD (R&E), and ARL. The NSF

Convergence Accelerator implements a two-phase program. Both phases are described in this BAA and the corresponding grant solicitation that can be found here: (LINK) The purpose of this parallel activity of a grant solicitation and a BAA is to provide increased opportunities for proposals that are led by non-academic entities.

NOTE: Proposals led by for-profit, non-profits or similar organizations should respond to this BAA.

Proposals that are led by Institutions of Higher Education (IHEs), independent museums, observatories, research labs, professional societies and similar organizations should respond to the grant solicitation.

https://www.nsf.gov/news/special_reports/big_ideas/convergent.jsp https://beta.nsf.gov/funding/initiatives/convergence-accelerator https://www.nsf.gov/publications/pub_summ.jsp?ods_key=nsf22538

1.3 Components of the NSF Convergence Accelerator

Convergence Research

Research and development efforts proposed must represent the highest level of multidisciplinary expertise and convergent research needed to encompass the full scope of the topic selected. Since transition to practice is a core goal of the convergence accelerator, projects need to include personnel with expertise relevant to applications and use, as well as the technologies themselves. Teams must include the necessary expertise in appropriate areas of the physical sciences, math, engineering, data and computer sciences, biological sciences, geological sciences, social and behavioral sciences, and general education and science education, and other disciplines to ensure success.

Partnerships

Convergence Accelerator projects should embody use-inspired research that seeks to accelerate research to practice in ways that benefit society at scale. The Convergence Accelerator program seeks to encourage cross-cutting partnerships with many types of organizations from academia, industry, government, non-profit, and other sectors, to ensure that research efforts are use-inspired and have a clear path to transition to practice. Therefore, stakeholders from multiple types of organizations and sectors must be involved in ways that allow the project to identify and work with end users.

Deliverables

Proposers must clearly identify the deliverables that will result from the proposed project and describe how those outputs will benefit society at scale. While deliverables may take many forms (e.g., hardware, software, data, services, processes, protocols, standards, and more) projects must clearly articulate how benefits to society would result from deliverables developed by the end of Phase 2.

Track Alignment

The proposed effort must clearly match the goals described in the track description. Track alignment and contributions to track success must be clearly described. The proposer must clearly describe both the track relevance (fit within the overall track topic or specific subtopic) and, also, how the proposed work fits into the overall goals of that Track to enable the transition of convergence research into practice.

Broadening Participation in the NSF Convergence Accelerator

NSF and OUSD(R&E) are committed to broadening the participation in Science, Technology, Engineering, and Mathematics (STEM) fields and research endeavors of members of underrepresented groups— including women, African Americans, Hispanics, American Indians, Alaska Natives, Native Hawaiians, Native Pacific Islanders, and persons with disabilities. Broadening participation is a critical element to a successful Convergence Accelerator project capturing a diverse set of perspectives, ideas, and strengths.

The Convergence Accelerator focuses on key elements (e.g., end-users, impact, convergence, acceleration, and deliverables), which includes capturing all team member perspectives and expertise when determining the deliverables and project impact to society at scale.

This BAA requires that each project, in both Phase 1 and Phase 2, include a Broadening Participation Plan

(under Broader Impacts) that describes activities that will be undertaken to increase the participation of underrepresented groups in the project’s research efforts. Examples of ways to engage groups and/or individuals that are underrepresented may include: through the expertise of personnel, via partnerships, through work with users and user groups, via engagement with stakeholders, through use of datasets that https://www.nsf.gov/news/special_reports/big_ideas/convergent.jsp represent information about underrepresented groups, etc.

The Broadening Participation Plan must include:

1. Context: Does the plan describe a goal using institutional or local data?

2. Intended population(s): Does the plan identify the characteristics of participants from an underrepresented group listed above, including school level (e.g., African-American undergraduates or female high-school students)?

3. Strategy: Does the plan describe activities that address the goal(s) and intended population(s)? Is there a clear role for each PI and co-PI?

4. Preparation: Does the plan describe how the PI is prepared (or will prepare or collaborate) to do the proposed work? Does the plan highlight prior experience with broadening participation?

5. Measurement: Is there a plan to measure and disseminate the outcome(s) of the activities?

We encourage partnerships that include IHEs in Established Program to Stimulate Competitive Research

(EPSCoR) jurisdictions, Minority Serving Institutions (MSIs) including Historically Black Colleges and

Universities (HBCUs), Hispanic Serving Institutions (HSIs), Tribal Colleges and Universities, and Asian

American and Pacific Islander Serving Institutions (AAPISIs) accredited in, and having a campus located in the US, acting on behalf of their faculty members. We particularly encourage partnerships with NSF

INCLUDES Alliances and/or the National Network.

More information, including potential metrics for activities and examples, can be found at the following links:

https://www.nsf.gov/funding/pgm_summ.jsp?pims_id=505289 https://www.nsf.gov/od/broadeningparticipation/bp.jsp https://www.nsf.gov/od/broadeningparticipation/BIO_BroadeningParticipation_v4mt_508.pdf https://www.nsf.gov/mps/broadening_participation/index.jsp https://www.nsf.gov/cise/bpc/

Phase 1: Learning + Applying the Convergence Accelerator Fundamentals, Convergence Research

Planning

Phase 1 funding is up to $750,000 for 12 months duration. It supports nine months of planning effort to further develop the initial concept, identify new team members, participate in innovation curriculum, and develop an initial prototype. The innovation curriculum consists of training with professional coaches in human-centered design, team science activities, inter-team communications, pitch preparation, developing a

Public Executive Summary and presentation coaching—all of which are essential components of the

Convergence Accelerator’s model. In addition, this provides the teams with presentations by (and access to) experts on anticipated secure 5G use cases for military, government, and critical infrastructure.

For example: The curriculum will include unclassified presentations on anticipated military mission scenarios and corresponding operational requirements. This training helps the teams to better prepare for success in the next phase. At the end of Phase 1, the remaining three months will be spent with each team participating in a pitch review panel in addition to their Phase 2 proposal and the NSF

Convergence Accelerator Expo (Expo) and other activities.

Phase 1 efforts will focus on research plan development, team formation leading to a proof-of-concept and https://www.nsf.gov/funding/pgm_summ.jsp?pims_id=505289%20%20%20 https://www.nsf.gov/od/broadeningparticipation/bp.jsp https://www.nsf.gov/od/broadeningparticipation/BIO_BroadeningParticipation_v4mt_508.pdf https://www.nsf.gov/mps/broadening_participation/index.jsp https://www.nsf.gov/cise/bpc/ will include joint NSF/DOD-organized convenings for training and cross-cohort collaboration. The Phase 1 innovation curriculum is a significant time investment with frequent participation of all partners under the guidance of coaches. A link to a sample curriculum can be found here.

Phase 2: Continued Application of the Convergence Accelerator Fundamentals, Prototyping and

Sustainability Planning

Selected teams from Phase 1 will proceed to Phase 2, with potential funding of up to $5 Million as a contract for 24 months. Phase 2 teams will continue to apply Convergence Accelerator fundamentals, including identifying new team members and end-user partnerships to further develop solution prototypes and to build a sustainability model to continue impact beyond joint NSF/DOD support.

At the 12-month mark of Phase 2, the Convergence Accelerator will review the team projects to assess and ensure each team is working towards the expected deliverables. Assessments from the reviewers will be shared with the team along with the guidance/decision for the next steps. At the end of Phase 2, teams are expected to provide/demonstrate outcomes/solutions that were part of the proposal.

OUSD(R&E) and ARL are particularly interested in solution prototypes that address anticipated DOD mission scenarios and can be transitioned into operational use. As part of the Phase I innovation curriculum, OUSD R&E will help teams gain access to DOD mission priorities and facilitate discussions with DOD operational partners.

2. Research Areas

2.1 Securely Operating Through 5G Infrastructure (Track G)

The overall objective of Track G is to provide military, government, and critical infrastructure operators with the ability to securely operate through fifth-generation (5G) wireless communications infrastructures, whereby said operators can utilize an existing 5G infrastructure in lieu of building a new one for communications purposes. It is common for the military to operate through other infrastructures such as the transportation infrastructure.

For example: Suppose a bridge in a friendly region has sufficient capacity and is available for use. In that case, the best option is for the military to operate through the existing bridge rather than constructing a new bridge. Track G aims to provide an analogous operate through capability in the

5G communications infrastructure. In other words, track G seeks a similar capability where a military, government, or critical infrastructure operators could operate through existing 5G infrastructure rather than constructing a new 5G network.

5G wireless communications technologies currently in development promise orders of magnitude improvements in multiple areas, including speed, connectivity, and reduced latency. This can transform the way the military, government services, and critical infrastructure operate. 5G networks can enable moving massive amounts of data to connect distant sensors across a critical environment.

This data-rich environment can fuel powerful algorithms that will allow operators to better understand, shape, and adapt to complex and contested physical and information environments. Low-latency communications can enable new generations of autonomous systems across domains. The operator will be empowered with far richer access to data at the edge. However, transformative outcomes are possible only if https://das-prod-nsf-gov.s3.amazonaws.com/2021-12/Sample%20Curriculum%20Schedule_2021%20Cohort%20Phase%201.pdf the 5G network can provide a level of security and resilience necessary for critical operations.

Track G seeks enhancements to end devices and/or augmentations to 5G infrastructure so that military, government, and critical infrastructure operators have the capability to operate through public 5G networks whenever possible, while meeting security and resilience requirements. Leveraging existing commercial technologies and network deployments allow operators to take advantage of commercial advances in 5G technologies while potentially decreasing costs, increasing coverage, and providing added resilience to critical communication needs. Desired areas of operation span U.S., allied, and contested regions.

2.2 Research Background

Creating the capability to operate through indigenous 5G networks does not imply the military, government, or critical infrastructure will rely only on indigenous 5G networks. Returning to the analogy of operating through the transportation infrastructure, the military operates through an existing bridge when the bridge has the appropriate structural capacity. Operating through the existing bridge could include strengthening the bridge so it could hold more weight. And of course, operating through an existing bridge in no way suggests the military will use only existing bridges and will not continue to build its own infrastructures when appropriate. This same analogy applies directly to operating through indigenous 5G networks.

The indigenous 5G network may be shown to have sufficient security, or the indigenous 5G network may be augmented in some way to meet security requirements, or the end systems using the network may be further enhanced to overcome the security limitations of indigenous 5G networks. In all cases, one should assume the military, government service, or critical infrastructure operators continue to operate its own communication networks which may interact with other secure communication networks as and when necessary. Mobile communication systems have been prone to security vulnerabilities right from their inception from 1G to 4G as the network architectures evolved to support growing numbers of emerging data applications. 5G, however, being the most innovative, when compared to the previous generations, is much higher in complexity due to diversity of applications and heterogeneity of architectural elements of the infrastructure. The requirements of 5G applications are very ambitious.

For example: The massive IoT use-case suggests ultra-low energy (10+ years of battery life), ultra-low complexity (10s of bits per second), ultra-high density (1 million nodes per Km2 ); Mission-

Critical-Control use-case requires high availability with ultra-low latency (as low as 1 milli-second), and extreme mobility (ranging over 100 Km2 in the span of an hour); Enhanced Mobile Broadband use case suggests extreme capacity (10 Tbps/Km2) and extreme data rates (peak rates of up to 10

Gbps). The key components of 5G infrastructure/technologies are cloud-based virtualized, open-source softwarized RAN (Radio Access Networks), Mobile Core, Network Slicing, Network

Function Virtualization (NFV), Software Defined Networking (SDN), Multi-access Edge Computing

(MEC) which are mostly supported on commercial off the shelf (COTS) hardware. The threat exposure landscape for 5G is expected to be much larger than 4G due to both the use of more 5G devices and more types of devices that rely on 5G connectivity and thus more can be targeted by malicious actors, therefore 5G may need a family of security solutions (algorithms, mechanisms) along with approaches to achieve network resilience.

DOD has identified “Zero Trust” as a primary security solution for operations in DOD communication networks. In some operational scenarios, the network itself may include untrusted supply chain components and/or may contain devices which have been compromised. This paradigm has led to moving network security solutions beyond a perimeter or firewall to approaches that prevent unauthorized access to data and services through enforcing a granular access control.

Some key building blocks of Zero Trust include:

(1) Authentication of both users and devices,

(2) Continuous authorization in accordance with the principle of least privilege, and

(3) Encryption of all network traffic regardless of origin. This solicitation encourages Zero Trust approaches such as algorithms/mechanisms for authentication of users and devices, authorization of users, granular access control, and encryption techniques that are efficient and have high performance.

These solutions should be integrated with the 5G infrastructure (RAN, Mobile Core, MEC) to guarantee end-to-end security.

Acceleration of security and resilience for 5G networks is a challenge that requires effort and collaboration among multiple parties and disparate disciplines. For example, security and resilience may be improved through advances in the 5G Radio Access Network (RAN). Security and resilience may also be improved through advances in the 5G network core ranging from network slices to network virtualization. Security and resilience may be improved through inclusion of multi-access edge computing (the 5G MEC) that provides new monitoring and new services. Tools and techniques for measurement and assessment of a 5G network may be necessary. It may be sufficient to perform all the necessary security and resilience enhancements only at edge devices. Finally, secure system designs should determine how the augmented 5G network interacts with other secure communications available to the military, government, or critical infrastructure operator. As stated above, this track is intended to serve as a platform that offers an opportunity to the community to bring in expertise, insights, methods, and tools from multiple areas including wireless communication, network operations, edge computing, end system security, zero trust architectures, system resilience and human factors.

2.3 Tasks and Deliverables

Track G consists of three sub-tracks that are distinguished by the degree of cooperation expected from the indigenous 5G network. The degree of cooperation expected from the 5G network operator determines what type of enhancements and augmentations are possible. The proposers are allowed to choose one or multiple sub-tracks.

Track G.1 – Non-Cooperative Networks assume no cooperation from the indigenous 5G network. One may assume devices are authorized to use the indigenous network and are simply undistinguished users of the network. Proposals in this area must treat the 5G network as a black box. Track G.1 solutions can enhance the end devices, connect other end devices to the black box 5G network, and/or rely on end devices either located on or reachable from the black box 5G network or reachable from the 5G network. Examples of end devices include mobile phones, vehicles, sensors, drones, and a wide variety of Internet-of-Things

(IoT) devices. The end devices on the black box 5G network often require interaction with devices on trusted

5G networks and/or other trusted communication systems. Track G.1 seeks a capability where end devices can operate on untrusted indigenous 5G infrastructure and seamlessly connect with devices on trusted networks, leveraging zero-trust principles where possible.

Track G.2 – Cooperative Networks assume the indigenous 5G network will work with the military, government, or critical infrastructure operator, but any cooperation must be operationally reasonable and beneficial to the indigenous network. Track G.2 solutions should assume the indigenous provider is willing to make customizations and/or enhancements to the commercial provider's 5G RAN, Core, and/or MEC. In this scenario, the military, government, or critical infrastructure operator should be considered an important customer, but it is only one of many customers. Customizations must be commercially viable and leverage

Zero Trust. Straightforward customizations and/or enhancements such as creating a custom network slice may be feasible, while complete overhauls of the commercial network are likely not practical.

Track G.3- Tailored Networks focus on the case where the 5G network can be fully tailored to meet the military, government, or critical infrastructure operator, requirements. Examples of such an indigenous 5G network could include a private network and/or a fully customizable open 5G system. Track G.3 solutions may result in proposed changes to 5G standards, modification to source code in open source 5G components, and could include complete overhauls of the 5G network (to the extent feasible within the time and budget of the program). Track G.3 seeks solutions that allow one to operate through 5G networks, including 5G networks that are deployed or are being planned.

Regardless of degree of the cooperation, the deliverables as defined in this solicitation should include enhancements and augmentations that can raise security and resilience properties of a 5G network to a level suitable for use by the military, government, or critical infrastructure operator. Key metrics include end-to-end confidentiality and integrity of data; availability of resources sufficient to enable mission success, including adequate data rate, delay, and jitter; and privacy of user and device associations to prevent targeting of data flows and/or locations.

Track G is open to any approach that enables a DOD mission to meet its functional and security requirements.

2.4 Outcomes

Outcomes and sample topics of Securely Operating Through 5G Infrastructure (Track G) might include, but are not limited to:

• Enhancements to end systems that allow them to operate through indigenous 5G networks: These enhancements are well suited to Track G.1 where the indigenous network is a black box. Any solution should provide some degree of monitoring and visibility of the black box behavior so military, government, or critical infrastructure operators can make reasonable decisions regarding risks and should be able to provide at least some limited communication with other trusted network systems that may be operated by military, government, or critical infrastructure operators.

• Secure Network Slices or Virtualized Networks That Add Security and Resilience to Indigenous 5G:

These solutions require at least minimal degree of cooperation from the indigenous network operator and also may (or may not) require enhancements to the end systems. Any solution should provide some degree of monitoring and visibility that does not assume complete trust in the indigenous network so military, government, or critical infrastructure operators can make reasonable decisions regarding risks and should be able to provide at least some limited communication with other trusted network systems that may be operated by military, government, or critical infrastructure.

• Augmentations or Modifications to the 5G RAN, Core, or MEC that raise the level security and resilience: Extending beyond simply adding network slice, these solutions may incorporate new techniques at the physical layer, within the network, through edge computing, or any combination of those components. Solutions should take a convergent approach that considers the overall system, not just a single component. For example, a novel solution at the physical layer that reduces observability or is more difficult to disrupt is encouraged but should show how the complete system works and not just stop at the RAN. Any solution should provide some degree of monitoring and visibility that does not assume complete trust in the indigenous network so military, government, or critical infrastructure operators can make reasonable decisions regarding risks and should be able to provide at least some limited communication with other trusted network systems that may be operated by military, government, or critical infrastructure. It is desirable that such augmentations support Zero Trust operations.

• Novel techniques for building a secure and resilient private 5G network: Suitable only for Track G.3, solutions in this area provide the largest degree of control over the indigenous 5G network. For example, the Department of Defense is deploying prototype 5G networks on bases. DOD can directly influence the design of these private networks and could consider new designs that provide a high degree of security and resilience.

Note: Track G.3 provides the most flexibility to the proposers, however, it is also likely the most limited in terms of deployment. For example, on its face it does not appear to provide a way to operate through the emerging infrastructures in the U.S. or in allied countries. Because Track G.3 solutions are the most limited in terms of operational use, the resulting security and resilience advances should be substantially better than security and resilience that could be achieved in Tracks G.1 or G.2.

Any solution should provide some degree of monitoring and visibility so military, government, or critical infrastructure operators can make reasonable decisions regarding risks and should be able to provide at least some limited communication with other trusted network systems that may be operated by military, government, or critical infrastructure operators.

As part of the required Phase 1 innovation curriculum, the Phase 1 funded teams will be exposed to mission scenarios where operate through solutions are required. Military, government, and critical infrastructure operators will provide examples of mission scenarios and it is anticipated experts in these scenarios will be available to provide additional insights and advice. Phase 1 projects are encouraged to identify specific mission scenarios that both help sharpen proposed Phase 2 results and provide transition paths upon completion of Phase 2. A link to a sample curriculum can be found here.

3. Program Guidelines This BAA, due to its broad research focus, does not lend itself to the use of a common work statement. As such, no single North American Industry Classification System (NAICS) code will be issued for the BAA.

NAICS codes will be specific to each individual contract award, as determined by the type of activity in which the offeror will be engaged.

The Government reserves the right to select for award any, all, part, or none of the proposals received in response to this announcement. This BAA is an expression of interest only and does not commit the

Government to pay any proposal or proposal preparation costs.

This announcement constitutes the public announcement, as contemplated by Federal Acquisition Regulation

(FAR) 6.102(d)(2) and FAR 35.016. A formal Request for Proposals or other solicitation regarding this announcement will not be issued.

3.1 Schedule

https://das-prod-nsf-gov.s3.amazonaws.com/2021-12/Sample%20Curriculum%20Schedule_2021%20Cohort%20Phase%201.pdf

Letters of Intent are due on February 16, 2022.

Phase 1 Full proposals are due on April 12, 2022, and

Phase 2 Full proposals are due April 4, 2023, only Phase 1 awardees are eligible to apply.

All deadlines are at 5 p.m. submitter’s local time.

3.2 Communications

All submissions regarding this BAA shall be submitted via https://BAAM.nsf.gov. For technical support, offerors can contact the BAAM helpdesk at BAAMSupport@nsf.gov. All other questions can be submitted to nsf-solicitation@nsf.gov and must be received 3 days prior to the deadlines listed in Section 3.1.

Submission of a question does not guarantee the question will be answered.

3.3 Offeror Eligibility

This BAA is unrestricted. All qualified offerors, including universities, may submit letters of intent and subsequent Phase 1 full proposals. However, an individual may serve as PI or co-PI on no more than two

Phase 1 proposals. Submissions to the grant solicitation (LINK) are included in this number. All offerors must be registered in the System for Award Management (SAM) at http://www.sam.gov/ prior to project award.

Only Phase 1 offerors are eligible to submit Phase 2 proposals. At least one PI or co-PI from a Phase 1 award must be included as a PI or co-PI on a Phase 2 proposal. Anyone may serve as a PI or co-PI on only one Phase 2 proposal. This limitation includes PIs and co-PIs listed for the proposing organization or any subaward submitted as part of the proposal. There are no restrictions or limits on serving as other Senior

Personnel.

3.4 Program and Project Funding Limits

NSF and DOD expect to make between 15-18 Phase 1 awards as a result of this BAA and the corresponding grant solicitation. NSF and DOD expect to make 3-5 Phase 2 awards as a result of this BAA and the corresponding grant solicitation. NSF and DOD anticipate making $12,500,000 available across this BAA and the grant solicitation.

Awards are subject to the availability of funds. NSF and DOD reserve the right to expand the award amount to allow for projects with exceptional merit. No funding provision or commitment can be made at the time of award for phased or expanded work or projects beyond the initial or base phase funded at the time of award that the applicant may propose in its submissions. If appropriated funds are authorized, NSF and DOD may, at its discretion, provide additional funding for phased or expanded effort under existing awards.

Awards resulting from this BAA will use the phased approach described below. The Government reserves the right to fund all, some, one, or none of the proposals submitted, and may incrementally fund any or all awards under this BAA. The Contracting Officer will have the ultimate authority and responsibility to make final scope determinations for selections of proposals that will not be totally funded to ensure the portion selected meets the solicited requirements. In addition, the Government reserves the right to create and maintain a reserve list of proposals for potential funding, if additional funding becomes available.

Offers considered unresponsive to the Government’s requests for information in a timely manner, defined as meeting government deadlines established and communicated with the request, may be removed from further consideration.

mailto:BAAMSupport@nsf.gov mailto:nsf-solicitation@nsf.gov https://www.nsf.gov/publications/pub_summ.jsp?ods_key=nsf22538 http://www.sam.gov/

3.5 Project Selection Process

This BAA selection process is structured as a three-step process.

3.5.1 Letter of Intent to Propose

The first step of the process is the submission of a letter of intent to propose. As detailed in section 4, the letter of intent is a non-binding letter of intent to submit a Phase 1 proposal.

3.5.2 Phase 1 Full Proposal

After submitting a letter of intent, offerors may submit a Phase 1 full proposal. Proposals shall be prepared in accordance with the requirements of Section 5. Submissions that are incomplete, materially lacking, or not responsive to the technical requirements of this BAA, may be returned unevaluated, or evaluated as is, without further opportunity for revision, at the discretion of the NSF evaluation process. Phase 1 awards are limited to $750,000 for a one-year period of performance.

3.5.3 Phase 2 Full Proposal

Phase 1 awardees will be invited to submit a Phase 2 full proposal in accordance with Section 6. Proposals shall be prepared in accordance with the requirements of Section 5. Submissions that are incomplete, materially lacking, or not responsive to the technical requirements of this BAA, may be returned unevaluated, or evaluated as is, without further opportunity for revision, at the discretion of the NSF evaluation process.

Phase 2 awards are limited to $3,000,000 for year one and up to $5,000,000 for the full two-year period of performance.

3.6 Intellectual Property Rights

Awards will generally contain detailed provisions concerning patent rights, rights in technical data and computer software, data reporting requirements, and other terms and conditions which may be negotiated as part of the award process.

Offerors must describe any limitations on any intellectual property (patents, inventions, trade secrets, copyrights, or trademarks) that will impact the Offeror’s performance of the contract or impact the

Government’s subsequent use of any deliverable under the contract. The Offeror must describe the intellectual property in sufficient detail to describe the limitations (Data assertions of the Offeror or any subcontractor, potential patent licenses required by the Government, etc.), and to describe why or how the

Government can accomplish the stated objectives of this BAA with the limitations described or proposed by the Offeror.

3.7 Proprietary Data Restrictions

Offerors are advised that proposals for any or all phases may contain data the offeror does not want disclosed to the public for any purpose or used by the Government except for evaluation purposes. If the offeror wishes to restrict such data, the cover page of all submittal documents must be marked with the following legend, and relevant sheets marked as instructed.

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 this proposal. However, if a contract is awarded to this offeror as a result of – or in connection with – the submission of these 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 these data if they are obtained from another source without restriction. The data subject to this restriction are contained in Sheets [insert numbers or other identification of sheets].

Each restricted data sheet shall be marked as follows:

Use or disclosure of data contained on this sheet is subject to the restriction on the title page of this document.

To the extent that such restrictions on proprietary data or information would not interfere with the intent of the Government to make the results of the work and projects awarded under the BAA available to all interested parties, and if in conformance with the Freedom of Information Act (5 U.S.C. 552, as amended), the Government will honor those desires.

3.8 Other Award Information

Awards under this BAA may be subject to the requirements of Section 508 of the Rehabilitation Act, depending on the type of final products or reports to be delivered under each award. The Act requires that all electronic products prepared for the Federal Government be accessible to persons with disabilities, including those with vision, hearing, cognitive, and mobility impairments. Proposers can view Section 508 of the Rehabilitation Act (http://www.access-board.gov/sitemap.html) and the Federal IT Accessibility

Initiative (Home Page) (http://section508.gov/) for detailed information.

4. Letter of Intent to Propose No project will be considered for an award without a Letter of Intent to propose. Letters are not evaluated, however, in order to submit a Phase 1 proposal, each offeror must submit a Letter of Intent. Letters of intent shall not exceed one page and include the following:

• Title that includes “NSF Convergence Accelerator and the track identifier (G)”.

• Names, departmental and organizational affiliations, and expertise of the Principal

Investigator and Co-Principal Investigators. For proposals with intent to involve multiple organizations and partnerships, the same information should be provided for all sub-awardees to the extent it is known at the time.

• A brief description of the specific goals of the proposal and how the proposed convergence research and broad partnerships will lead to a deliverable that would be refined during Phase

1 and describe how the deliverable would impact society at a national scale.

When submitting a Letter of Intent in response to this BAA please note the conditions outlined below:

A Minimum of 0 and Maximum of 4 Other Senior Project Personnel are permitted

A Minimum of 0 and Maximum of 4 Other Participating Organizations are permitted

Letters of Intent for this Broad Agency Announcement (BAA) shall be submitted at https://BAAM.nsf.gov.

For technical support, offerors can contact the BAAM helpdesk at BAAMSupport@nsf.gov. All other questions can be submitted to nsf-solicitation@nsf.gov and must be received 3 days prior to the deadlines listed in Section 3.1. Submission of a question does not guarantee the question will be answered.

5 Phase 1 Full Proposal Phase 1 efforts will focus on research plan development and team formation leading to a proof-of-concept http://www.access-board.gov/sitemap.html http://section508.gov/ https://baam.nsf.gov/s/ mailto:BAAMSupport@nsf.gov mailto:nsf-solicitation@nsf.gov and will include joint NSF/DOD-organized convenings for training and cross-cohort collaboration. The

Phase 1 innovation curriculum is a significant time investment with frequent participation of all partners under the guidance of coaches. A link to a sample curriculum can be found here. Phase 1 full proposals for this Broad Agency Announcement (BAA) shall be submitted at https://BAAM.nsf.gov. For technical support, offerors can contact the BAAM helpdesk at BAAMSupport@nsf.gov. All other questions can be submitted to nsf-solicitation@nsf.gov and must be received 3 days prior to the deadlines listed in Section

3.1. Submission of a question does not guarantee the question will be answered.

NOTE: It is expected that the Phase 1 full proposal contents described in section 5.1.1 through 5.1.6 shall be submitted as a single .pdf document. It is also expected that the document responding to

5.1.7 shall be submitted as a single .xls document.

5.1 Phase 1 Full Proposal Content

5.1.1 Cover Sheet and Project Summary: (Limited to one page)

The cover sheet shall contain the title of the project and the relevant Convergence Accelerator track. The cover sheet shall also include the PI and any co-PIs name and the Unique Entity Identifier (UEI) number of the submitting lead organization. The project summary shall provide a succinct statement of the aim of the project.

5.1.2 Project Description. (Limited to 15 pages)

The project description should include the following sections of section 5.1.3 Objectives and Significance of the Proposed Activity in the following order (a through f). This BAA also has additional specific review criteria outlined in Section VI below. The Project Description must be a single PDF for submission.

5.1.3 Objectives and Significance of the Proposed Activity

a. Convergence Research: Explain how the work conducted in Phase 1 represents research at the highest level of integration and interdisciplinarity. Explain how the project uses a convergent research approach, including discussing the intellectually distinct disciplines and areas of expertise needed. Discuss how additional areas of expertise that may be needed will be identified.

Proposing teams MUST be comprised of researchers and stakeholders from different disciplines that can help catalyze the proposed scientific discovery and accelerate the transition of that innovation into practical use. Phase 1 teams can involve different partners than were mentioned in the letter of intent.

However, at least one of the PI or co-PIs in the Phase 1 proposal must have served as a PI or co-PI for the letter of intent. Any exception to this must be discussed with NSF in advance of proposal submission.

b. Partnerships including a Roles and Responsibilities Table: Describe how stakeholders from multiple kinds of organizations, including academic and non-academic partners, are poised to form deep and diverse partnerships in support of the proposed use-inspired research. Every team is expected to include at least two types of organizations (e.g., industry, government, academia). Describe the roles of different partners and team members in developing deliverables. The Roles and Responsibilities Table should also clearly identify the roles and responsibilities of all individuals and major groups and entities included in the project. The inclusion of a qualified project manager for effective oversight is strongly encouraged for Phase 1 proposals.

c. Coordination Plan: Describe a mechanism for how collaboration and team effectiveness will be promoted.

https://das-prod-nsf-gov.s3.amazonaws.com/2021-12/Sample%20Curriculum%20Schedule_2021%20Cohort%20Phase%201.pdf mailto:BAAMSupport@nsf.gov

d. Deliverables: Describe potential future deliverables should the project continue beyond Phase 1 and describe the timeline for those deliverables. Phase 2 will end approximately April 2025 and deliverables are expected at that time. Offerors should also discuss preliminary deliverables that will be developed in

Phase 1. Explain why there is a high probability that this plan will be achieved.

e. Track Alignment: Explain fully the alignment to one of the sub-tracks in this BAA (G) and how the proposed work in Phase 1 will assist in the success of the entire track.

f. Broader Impacts: This section must include a Broadening Participation Plan. As broadening participation is an important aspect of the Convergence Accelerator program (see section II) Broader

Impacts MUST include a separate sub-section outlining a specific plan for broadening participation.

5.1.4 Biographical Sketches / Resumes (Limited to 2 pages each)

A separate biographical sketch / resume must be provided for each individual designated as PI / PD, co-PI / co-PD, or Senior Personnel. All biographical sketches / resumes should be consolidated into a single PDF for submission.

5.1.5 Letters of Collaboration:

Letters of support or endorsement for the project are not acceptable and will be cause for return without review. Statements from individuals whose role is discussed in the Project Description as providing assistance or collaboration to the project and must be substantive in nature and must verify their participation and role with a document in the following format.

To: Convergence Accelerator Program Director(s), By signing below, I acknowledge that I will provide the assistance or collaborate as indicated in the proposal, entitled " " with as the Principal Investigator. I agree to undertake the tasks assigned to me, as described in the proposal, and I commit to provide or make available the resources described in the proposal.

Signed: Print Name:

Date: Organization:

There is no limit on the number of letters of collaboration, however, all Letters of Collaboration must be consolidated into a single PDF for submission.

Priority will be placed on the quality and significance of the collaboration and the role and involvement of the collaborator must be evident from relevant sections of the project description.

5.1.6 Data Management Plan. (Limited to two pages).

Proposals shall address within the Data Management Plan their plans for data-sharing across their team, across the track with other teams, and with the general public, during the project and after its completion as well. The Data Management Plan should be submitted as a single PDF.

5.1.7 Postdoctoral Researcher Mentoring Plan. (Limited to two pages)

Each proposal that requests funding to support postdoctoral researchers must submit a “Mentoring Plan.” A mentoring plan describes the mentoring activities that will be provided for such individuals. Note that the

Convergence Accelerator program differs in duration and goals from traditional academic research efforts.

The Postdoctoral Research Mentoring Plan should reflect how mentoring will be appropriate for the specific roles of postdoctoral researchers in this project effort.

5.1.8 Consolidated Personnel List: (The spreadsheet template is found in attachment 1)

The Consolidated Personnel List is a spreadsheet with all key personnel, subaward and collaborations listed.

The spreadsheet template can be downloaded by clicking here. Please read the instructions carefully. Using the Excel file template, compile information for all persons identified in the proposal as: "PI/PD or co-

PI/PD" (i.e., those listed on the cover page); "Other Senior Personnel”; “Subawardee Personnel"; or "Other

Personnel" who have a biographical sketch included in the proposal; or "Collaborators" (Letters of

Collaboration). Only one spreadsheet should be submitted per proposal. The file name must include the

Proposal ID and the PI/PD name and be converted into a PDF document. Once completed, the file should be uploaded as a PDF with your proposal submission. The purpose of this document is to assist the program in the management of reviewer selection.

5.1.9 Cost/Price Proposal Budget and Budget Justification: (Limited to two pages)

NOTE: Phase 1 awards may not exceed $750,000.

The Phase 1 proposal shall include all costs as described below. In addition, the offeror shall include a cost/price budget justification narrative. The general requirements for cost or pricing are described below.

The cost or pricing portion of the project proposal should contain a cost/price budget estimate for the proposed effort to allow for meaningful evaluation and determination of price reasonableness and cost realism. The cost estimate shall account for the entire cost of Phase 1.

The cost/price budget estimate shall be broken down as follows:

Labor - A breakdown of direct labor and hourly rate, identifying the labor categories and individuals and projected hours, and their associated subtotals.

Overhead and/or fringe - Labor overhead and/or fringe rate(s) and base(s), and cumulative effect on labor costs.

Materials, supplies, and equipment - Description and cost of materials, supplies, and equipment, to include the basis of the cost estimate (e.g., historical data, competitive market quotes, and in-house transfers).

Specific mention should be made of any highly specialized or costly test equipment or supplies needed to accomplish the project.

Travel and transportation - Breakdown of travel and transportation costs.

Subcontracts - Breakdown of individual subcontracts. State the amounts of time of subcontractor/consulting services to be devoted to the project, including the cost to be charged to the proposed contract/agreement.

Other Direct Costs - Breakdown of other direct costs (reproduction, computer time, and consultants).

Miscellaneous - Identification of any other direct or indirect cost elements not identified elsewhere. For each indirect rate (identified here or elsewhere), indicate if the proposed indirect rate and allocation base have been approved by a government audit or cognizant agency for use in proposals and when the rate(s) was approved and the name of and telephone number of the cognizant auditor or approving official.

https://das-prod-nsf-gov.s3.amazonaws.com/2021-12/Consolidated%20Personnel%20List%20-%20FINAL.xlsx

General and Administrative - G&A rate and base.

Profit or fee - Profit or fee may be proposed, and if proposed, is subject to negotiations and applicable statutory limits.

5.1.9.1 Requested Procurement Instrument and Pricing Arrangement. The offeror shall include, in the cost/price budget justification narrative, a summary of the recommended procurement instrument (e.g.

contract or “other arrangement”). Note, only contracts or other arrangements will be awarded as a result of this BAA. The offeror shall also specify the requested pricing arrangement (e.g. fixed-price, cost, cost-plus-fixed-fee, etc.) and the rationale for its use. If the offeror requests a cost reimbursement type pricing arrangement, the offeror must have an approved accounting system.

If the offeror is seeking an “Other Arrangement,” (similar in nature to an “Other Transaction”) it must explain to NSF the basis for seeking the other arrangement and the areas of regulatory relief requested by the offeror. The NSF will consider awarding an Other Arrangement only if it is in the best interests of NSF.

6 Phase 2 Full Proposals Phase 2 full proposals shall be submitted at https://BAAM.nsf.gov. For technical support, offerors can contact the BAAM helpdesk at BAAMSupport@nsf.gov. All other questions can be submitted to nsf-solicitation@nsf.gov and must be received 3 days prior to the deadlines listed in Section 3.1. Submission of a question does not guarantee the question will be answered.

6.1. Cover Sheet and Project Summary: (Limited to one page)

The cover sheet shall contain the title of the project…