13-008.pdf

Broad Agency Announcement Number 13-008 Page 1

BROAD AGENCY ANNOUNCEMENT (BAA) NUMBER 13-008

FY14 Communications and Networking Discovery and Invention

Table of Content

The following information presents the basic organization of this document as well as the location of significant information:

I. General Information

1. Agency

2. Research Opportunity Title

3. Program Name

4. Research Opportunity Number

5. Response Date

6. Research Opportunity Description

7. Points of Contact

8. Instrument Type

9. Catalog of Federal Domestic Assistance (CFDA) Number

10. Catalog of Federal Domestic Assistance (CFDA) Titles

11. Other Information

II. Award Information

1. Amount and Period of Performance

2. Peer Reviews

3. Production and Testing of Prototypes

III. Eligibility Information

IV. Application and Submission Information

1. Application and Submission Process

2. Content and Format of White Papers/Full Proposals

a. White Papers

b. Full Proposals

i. Instructions for Contracts, Cooperative Agreements and Other

Transaction Agreements (Does not include Grants)

ii. Instructions for Grants (Does not include contracts, cooperative agreements, and other transaction agreements)

3. Significant Dates and Times

4. Submission of Late Proposals

5. Submission of Grant Proposals through grants.gov

6. Address for the Submission of White Papers and Full Proposals for Contracts, Cooperative Agreements and Other Transaction Agreements

Broad Agency Announcement Number 13-008 Page 2

V. Evaluation Information

1. Evaluation Criteria

2. Commitment to Small Business (For Contract Awards Only)

3. options

4. Evaluation Panel

VI. Award Administration Information

VII. Other Information

1. Government Property/Government Furnished Equipment (GFE) and Facilities

2. Security Classification

3. Use of Animals and Human Subjects in Research

4. Recombinant DNA

5. Use of Arms, Ammunition and Explosives

6. Department of Defense High Performance Computing Program

7. Organizational Conflicts of Interest

8. Project Meetings and Reviews

9. Executive Compensation and First-Tier Subcontract Reporting

10. Military Recruiting On-Campus (APPLIES ONLY TO GRANTS)

11. Combating Trafficking in Persons

12. Updates and Information regarding Responsibility Matters

13. Employment Eligibility Verification

14. Intellectual Property

Broad Agency Announcement Number 13-008 Page 3

INTRODUCTION:

This publication constitutes a Broad Agency Announcement (BAA) as contemplated in

Federal Acquisition Regulation (FAR) 6.102(d)(2) and 35.016 and the Department of

Defense Grants and Agreements Regulations (DoDGARS) 22.315(a). A formal Request for Proposals (RFP), other solicitation, or additional information regarding this announcement will not be issued.

The Office of Naval Research (ONR) will not issue paper copies of this announcement.

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

I. GENERAL INFORMATION:

1. Agency Name - Office of Naval Research

2. Research Opportunity Title - FY14 Communications and Networking Discovery and Invention

3. Program Name - Communications and Networking Discovery and Invention

(D&I)

4. Research Opportunity Number – BAA 13-008

5. Response Date -

White Papers: 4/19/2013 4:00 PM Eastern Standard Time (EST)

Full Proposals: 6/28/2013 4:00 PM Easter Standard Time (EST)

6. Research Opportunity Description -

Communications technology that can provide seamless, robust connectivity is at the foundation of the Sea Power 21 Vision "... to have the right information, at the right place, at the right time ..." The performance of Command and Control (C2) systems and decision making at all levels of command depends critically on reliable, interoperable, survivable, secure, and timely communications and networking.

The current evolution of naval warfighting from a platform-centric to a network-centric paradigm depends on successfully meeting the implied need for significantly enhanced communications and networking capabilities of C2, sensor and weapon systems. These systems are deployed on a variety of platforms and users, both manned and unmanned, operating under challenging battlefield conditions (lack of infrastructure, mobility, spectrum, interference, multipath, atmospherics, size/weight/power constraint, etc.) in different environments (space, terrestrial and undersea). The goal of the Communications and Networking Program within the Office of Naval Research (ONR) Code 312 is to overcome these challenges by developing measurable advances in technology that can directly enable and enhance end-to-end

Broad Agency Announcement Number 13-008 Page 4 connectivity and quality-of-service for mission-critical information exchange among such widely dispersed naval, joint, and coalition forces. The vision is to provide high throughput, robust communications and networking to ensure all warfighters -- from the operational command to the tactical edge -- have access to the data, information, and resources necessary to make timely, accurate decisions while performing their assigned missions or tasks.

Objective and Areas of Interest:

Proposals for potential FY14 Exploratory Development/Applied Research (Budget category 6.2) projects are sought under the following focus areas:

1. Low-profile conformal multi-band (e.g., X/Ku/Ka) multi-beam digital phased array antennas with reduced beam squint and low side lobes and scan loss;

2. Transformative concepts/designs (arrays, waveform, signal processing etc.) to enhance performance and aperture size/power efficiency in high bandwidth troposcatter communications;

3. Passive wavelength filter technologies for the 450-550 nm blue-green underwater communications receiver (band-pass widths as applicable to a variety of laser/LED sources), with wide field-of-view (> +-20 degrees), low insertion loss and high isolation;

4. Innovative concepts and approaches for spectrum co-existence (underlay/overlay, spatio-temporal/spectral management and deconfliction) of military waveforms with commercial wireless communications;

5. Dynamic network (traffic) scheduling, throughput and robustness enhancement codes/algorithms/protocols under nonstationary channel conditions; and

6. Machine learning algorithm/protocol and techniques for autonomous network management

ONR is also receptive to highly innovative ideas in other general communications and networking areas that are not within the designated focus areas above, but nonetheless are important to the Navy/Marine Corps, as determined under the synopsis section above.

7. Point(s) of Contact -

Questions of a technical nature should be submitted to:

Primary Point of Contact:

Dr. Santanu Das

ONR Code 312 -- Communications and Networking Science and Technology

Office of Naval Research

875 North Randolph Street -- Suite 1115

Arlington, VA 22203-1995 santanu.das@navy.mil mailto:santanu.das@navy.mil

Broad Agency Announcement Number 13-008 Page 5

Secondary Point of Contact:

Ms. Sheila Richardson

ONR Code 312 -- Communications and Networking Science and Technology

Office of Naval Research

875 North Randolph Street -- Suite W1105D sheila.richardson@navy.mil

Questions of a business nature should be submitted to:

Primary Point of Contact:

Mr. Timothy Tripp

Contract Specialist

Office of Naval Research

Contract and Grants Award Management, Code BD0251

875 North Randolph Street -- Suite W1272B timothy.tripp@navy.mil

Secondary Point of Contact:

Ms. Vera Carroll

Acquisition Branch Head

Office of Naval Research

Contract and Grants Award Management, Code BD0251

875 North Randolph Street -- Suite W1279 vera.carroll@navy.mil

Note: All UNCLASSIFIED communications shall be submitted via e-mail to the

Technical Point of Contact (POC), with a copy to the designated Business POC.

CLASSIFIED questions shall be handled through the ONR Security POC. Specifically, any entity wanting to ask a CLASSIFIED question shall send an email to the ONR

Security POC with a copy to both the Technical POC and the Business POC stating that the entity would like to ask a CLASSIFIED question. DO NOT EMAIL ANY CLASSIFIED

QUESTIONS. The Security POC will contact the entity and arrange for the CLASSIFIED question to be asked through a secure method of communication.

Questions submitted within 2 weeks prior to a deadline may not be answered, and the due date for submission of the white paper and/or full proposal will not be extended.

Amendments will be posted to one or more of the following webpages:

Federal Business Opportunities (FEDBIZOPPS) Webpage - https://www.fbo.gov/

Grants.gov Webpage - http://www.grants.gov/

ONR Broad Agency Announcement (BAA) Webpage -http://www.onr.navy.mil/en/Contracts-Grants/Funding-Opportunities/Broad-Agency-

Announcements.aspx

Questions of a security nature should be submitted to:

Diana Pacheco https://www.fbo.gov/ http://www.grants.gov/ http://www.onr.navy.mil/en/Contracts-Grants/Funding-Opportunities/Broad-Agency-Announcements.aspx http://www.onr.navy.mil/en/Contracts-Grants/Funding-Opportunities/Broad-Agency-Announcements.aspx

Broad Agency Announcement Number 13-008 Page 6

Industrial Security Specialist

Office of Naval Research

Security Department, Code 43

One Liberty Center

875 N. Randolph Street

Email Address: diana.pacheco@navy.mil

Any CLASSIFIED questions shall be handled through the ONR Security POC.

Specifically, any entity wanting to ask a CLASSIFIED question shall send an email to the ONR Security POC with copy to both the Technical POC and the Business POC stating that the entity would like to ask a CLASSIFIED question. DO NOT EMAIL ANY

CLASSIFIED QUESTIONS. The Security POC will contact the entity and arrange for the

CLASSIFED question to be asked through a secure method of communication.

8. Instrument Type(s) - Contracts and Grants

Awards may take the form of Contracts and Grants as appropriate. ONR reserves the right to award a different instrument type if deemed to be in the best interest of the

Government.

Any contract awards resulting from this BAA will incorporate the most current FAR, DFARs, NMCARS and ONR clauses.

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

http://www.onr.navy.mil/Contracts-Grants/submit-proposal/contracts-proposal/contract-model-awards.aspx.

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

http://www.onr.navy.mil/en/Contracts-Grants/submit-proposal/grants-proposal/model-grant.aspx.

9. Catalog of Federal Domestic Assistance (CFDA) Numbers -

12.300

10. Catalog of Federal Domestic Assistance (CFDA) Titles -

Applied Scientific Research

11. Other Information -

Work funded under a BAA may include basic research, applied research and some advanced technology development (ATD). With regard to any restrictions on the conduct or outcome of work funded under this BAA, ONR will follow the guidance on and definition of "contracted fundamental research" as provided in the Under

Secretary of Defense (Acquisition, Technology and Logistics) Memorandum of 24 May

2010.

As defined therein the definition of "contracted fundamental research", in a DoD contractual context, includes [research performed under] grants and contracts that are (a) funded by Research, Development, Test, and Evaluation Budget Activity 1 http://www.onr.navy.mil/Contracts-Grants/submit-proposal/contracts-proposal/contract-model-awards.aspx http://www.onr.navy.mil/Contracts-Grants/submit-proposal/contracts-proposal/contract-model-awards.aspx http://www.onr.navy.mil/en/Contracts-Grants/submit-proposal/grants-proposal/model-grant.aspx http://www.onr.navy.mil/en/Contracts-Grants/submit-proposal/grants-proposal/model-grant.aspx

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(Basic Research), whether performed by universities or industry or (b) funded by

Budget Activity 2 (Applied Research) and performed on campus at a university. The research shall not be considered fundamental in those rare and exceptional circumstances where the applied research effort presents a high likelihood of disclosing performance characteristics of military systems or manufacturing technologies that are unique and critical to defense, and where agreement on restrictions have been recorded in the contract or grant.

Pursuant to DoD policy, research performed under grants and contracts that are a) funded by Budget Category 6.2 (Applied Research) and NOT performed on-campus at a university or b) funded by Budget Category 6.3 (Advanced Research) does not meet the definition of "contracted fundamental research." In conformance with the

USD(AT&L) guidance and National Security Decision Direction 189, ONR will place no restriction on the conduct or reporting of unclassified "contracted fundamental research," except as otherwise required by statute, regulation or Executive Order. For certain research projects, it may be possible that although the research being performed by the prime contractor is restricted research, a subcontractor may be conducting "contracted fundamental research." In those cases, it is the prime contractor's responsibility in the proposal to identify and describe the subcontracted unclassified research and include a statement confirming that the work has been scoped, negotiated, and determined to be fundamental research according to the prime contractor and research performer.

Normally, fundamental research is awarded under grants with universities and under contracts with industry. Non-fundamental research is normally awarded under contracts and may require restrictions during the conduct of the research and DoD pre-publication review of such research results due to subject matter sensitivity.

Potential Offerors should consult with the appropriate ONR POCs to determine whether the proposed effort would constitute basic research, applied research or advanced research.

As regards to the present BAA, the Research and Development efforts to be funded will consist of applied research. The funds available to support awards are Budget

Activity 2.

FAR Part 35 restricts the use of Broad Agency Announcements (BAAs), such as this, to the acquisition of basic and applied research and that portion of advanced technology development not related to the development of a specific system or hardware procurement. Contracts and grants and other assistance agreements made under

BAAs are for scientific study and experimentation directed towards advancing the state of the art and increasing knowledge or understanding.

THIS ANNOUNCEMENT IS NOT FOR THE ACQUISITION OF TECHNICAL,

ENGINEERING AND OTHER TYPES OF SUPPORT SERVICES.

II. AWARD INFORMATION

1. Amount and Period of Performance-

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

Broad Agency Announcement Number 13-008 Page 8

The Office of Naval Research (ONR) plans to award four (4) to six (6) technology development contracts (particularly cost plus fixed fee (CPFF) type contracts), grants, cooperative agreements, and other transaction agreements that represent the best value to the Government in accordance with the evaluation criteria. The Office of

Naval Research is seeking participants for this program that are capable of supporting the goals described in this announcement. Offerors have the opportunity to be creative in the selection of the technical and management processes and approaches to address the research topics.

The overall funding amount for this program is $2M and ONR plans to fund $300,000 to $500,000 per year per award using Applied Research funds (Budget Category 6.2).

However, lower and higher cost proposals will be considered. The average funding level of past awards was approximately $500,000 per year. The period of performance for projects may be from one (1) to three (3) years, with an estimated start date of on or about 1 December 2013, subject to date of final award and availability of new fiscal year funds.

ONR has funded related technology development under numerous programs. If

Offerors are enhancing work performed under other ONR or DoD projects, they must clearly identify the point of departure and what existing work will be brought forward and what new work will be performed under this BAA. The award(s) will be made for the full performance period requested.

2. Peer Reviews-

In the case of proposals funded as basic research, ONR may utilize peer reviewers from academia, industry, and Government agencies to assist in the periodic appraisal of performance under the awards, as outlined in ONR Instruction 3966.1. Such periodic program reviews monitor the cost, schedule and technical performance of funded basic research efforts. The reviews are used in part to determine which basic research projects will receive continued ONR funding. Peer reviewers who are not U.S.

Government employees must sign nondisclosure agreements before receiving full or partial copies of proposals and reports submitted by the basic research performers.

Offerors may include travel costs for the Principal Investigator (PI) to attend the peer review.

3. Production and Testing of Prototypes-

In the case of funded proposals for the production and testing of prototypes, ONR may during the contract period add a contract line item or contract option for the provision of advanced component development or for the delivery of additional prototype units. However, such a contract addition shall be subject to the limitations contained in Section 819 of the National Defense Authorization Act for Fiscal Year

2010.

III. ELIGIBILITY INFORMATION

All responsible sources from academia and industry may submit proposals under this

BAA. Historically Black Colleges and Universities (HBCUs) and Minority Institutions

(MIs) are encouraged to submit proposals and join others in submitting proposals.

However, no portion of this BAA will be set aside for HBCU and MI participation.

Broad Agency Announcement Number 13-008 Page 9

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 bidders are allowed so long as they are permitted under the sponsoring agreement between the

Government and the specific FFRDC.

Navy laboratories and warfare centers as well as other Department of Defense and civilian agency laboratories are also not eligible to receive awards under this BAA and should not directly submit either white papers or full proposals in response to this

BAA. If any such organization is interested in one or more of the programs described herein, the organization should contact an appropriate ONR POC to discuss its area of interest. The various scientific divisions of ONR are identified at http://www.onr.navy.mil/. As with FFRDCs, these types of federal organizations may team with other responsible sources from academia and industry that are submitting proposals under this BAA.

University Affiliated Research Centers (UARC) are eligible to submit proposals under this BAA unless precluded from doing so by their Department of Defense UARC contracts.

Teams are also encouraged and may submit proposals in any and all areas. However, Offerors must be willing to cooperate and exchange software, data and other information in an integrated program with other contractors, as well as with system integrators, selected by ONR.

Some topics cover export controlled technologies. Research in these areas is limited to "U.S. persons" as defined in the International Traffic in Arms Regulations (ITAR) -

22 CFR § 1201.1 et seq.

For Grant, Cooperative Agreement and Other Transaction Agreement applications:

The Federal Funding Accountability and Transparency Act of 2006 (Public Law 109-

282), as amended by Section 6202 of Public Law 110-252, requires that all agencies establish requirements for recipients reporting information on subawards and executive total compensation as codified in 2 CFR 33.110. Any company, non-profit agency or university that applies for financial assistance (either grants, cooperative agreements or other transaction agreements) as either a prime or sub-recipient under this BAA must provide information in its proposal that describes the necessary processes and systems in place to comply with the reporting requirements identified in 2 CFR 33.220. An entity is exempt from this requirement UNLESS in the preceding fiscal year it received: a) 80 percent or more of its annual gross revenue in Federal contracts (and subcontracts), loans, grants (and subgrants), and cooperative agreements; b) $25 million or more in annual gross revenue from Federal contracts

(and subcontracts), loans, grants (and subgrants), and cooperative agreements; and

c) the public does not have access to information about the compensation of the senior executives through periodic reports filed under section 13(a) or 15(d) of the

Securities Exchange Act of 1934 or section 6104 of the Internal Revenue Code of

1986.

Broad Agency Announcement Number 13-008 Page 10

IV. APPLICATION AND SUBMISSION INFORMATION

1. Application and Submission Process - White Papers, Oral Presentation, and

Full Proposals

White Papers: The due date for white papers is no later than 4:00 PM Eastern

Daylight Time (EDT) on Friday, 19 April 2013. White papers are required prior to submitting full proposals. Each white paper should state that it is submitted in response to this BAA. White papers received after the published due date and time will not be considered for funding.

The only acceptable methods for submission of white papers are hard copy to the primary technical point of contact (Dr. Das) by the United States Postal Service

(USPS) with delivery confirmation, or via a commercial carrier (FedEx, DHL, and UPS).

NOTE: White Papers sent by email or fax will not be considered. Delivery of materials by USPS, even when sent as Express Mail, may take up to a week or more due to current security procedures in place to ensure the safety of U.S. mail to DoD activities. Initial Navy evaluations of the white papers will be issued via email notification on or about Monday, 06 May 2013. A positive email in response to an

Offeror's white paper submission does not assure a subsequent award. Offerors whose white papers are not judged to be of "particular value" to the Navy may not make an oral presentation or submit a final proposal under this BAA.

Oral Presentation: An expanded oral presentation will be subsequently requested from those Offerors whose proposed technologies have been identified through the aforementioned email as being of "particular value" to the Navy. However, a positive email response to the oral presentation does not assure a subsequent award.

The purpose of the oral presentation is to better acquaint the Government with the

Offeror's proposal, especially in its understanding of the technical approach and impact. The oral presentations are tentatively scheduled for Thursday, 16 May 2013.

Offerors will be invited by email no less than ten (10) working days before the scheduled event. The email will also provide the detailed format for the presentation.

Each presentation will be no longer than twenty five (25) minutes in duration. An additional five (5) minutes will be allowed for questions (if any) from the panel of government reviewers.

Following oral presentations, Offerors will be notified by email regarding the Navy's response to their oral presentations. Evaluation of oral presentations and subsequent encouragement to submit full proposals will be completed on or about Friday, 31 May

2013.

Full Proposals: Those Offerors whose technology is still considered as having

"particular value" to the Navy will be encouraged to submit detailed technical and cost proposals. However, such encouragement after oral presentations does not assure a subsequent award. If the Offeror receives notification that its technology is not considered at this point as having "particular value" to the Navy, it cannot submit a full proposal.

The due date for receipt of Full Proposals is 4:00 p.m. Eastern Daylight Time (EDT) on

Broad Agency Announcement Number 13-008 Page 11

Friday, 28 June 2013. The only acceptable method for submission of full proposals for contracts is hard copy to the technical point of contact (Dr. Das) by the United States

Postal Service (USPS) with delivery confirmation, or via a commercial carrier (FedEx and UPS). The method for submission of grant proposals is electronically through the grants.gov web site as described below in Section IV.5.

NOTE: Full proposals sent by email or fax will not be considered. Delivery of materials by USPS, even when sent as Express Mail, may take a week or more due to current security procedures in place to ensure the safety of U.S.

mail to DoD activities.

It is anticipated that final selections will be made within thirty (30) days after proposal submission. As soon as the final proposal evaluation process is completed, the Offeror will be notified via email of its project's selection or non-selection for FY14 funding.

Proposals received after the published due date and time will not be considered for funding. Proposals exceeding the page limit may not be evaluated.

2. Content and Format of White Papers/Full Proposals -

White Papers and Full Proposals submitted under the BAA are expected to be unclassified; however, confidential/classified responses are permitted. Contracts or other instruments resulting from a classified proposal will be unclassified.

Unclassified Proposal Instructions:

Unclassified White Papers and Full Proposals shall be submitted in accordance with

Section IV. entitled “Application and Submission Information”.

Classified Proposal Instructions:

Classified White Papers and Full Proposals shall be submitted directly to the attention of ONR's Document Control Unit at the following address:

OUTSIDE ENVELOPE (no classification marking):

Document Control Unit

ONR Code 43

875 North Randolph Street

The inner wrapper of the classified proposal should be addressed to the attention of

Dr. Santanu Das (santanu.das@navy.mil), ONR Code 312 and marked in the following manner:

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

Program: FY14 Communications and Networking Discovery and Invention

Office of Naval Research

Attn: Dr. Santanu Das

ONR Code: 312 mailto:santanu.das@navy.mil

Broad Agency Announcement Number 13-008 Page 12

An 'unclassified' Statement of Work (SOW) must accompany any classified proposal.

Proposal submissions will be protected from unauthorized disclosure in accordance with FAR Subpart 15.207, applicable law, and DoD/DoN regulations. Offerors are expected to appropriately mark each page of their submission that contains proprietary information.

IMPORTANT NOTE: Titles given to the White Papers/Full Proposals should be descriptive of the work they cover and not be merely a copy of the title of this solicitation.

a. WHITE PAPERS

White Paper Format

Paper Size - 8.5 x 11 inch paper

Margins - 1 inch

Spacing - single spaced

Font - Times New Roman, 12 point

Max. Number of Pages permitted: six (6) pages (excluding cover page, resumes, bibliographies, and table of contents)

Copies - one (1) original, plus (3) hard copies and one (1) electronic copy in

Adobe PDF or Word 2007 format on CD-ROM.

White Paper Content

Cover Page: The Cover Page shall be labeled "WHITE PAPER", and shall include the BAA number (BAA 13-008), proposed title, Offeror's administrative and technical points of contact, with telephone numbers, facsimile numbers, and Internet addresses, and shall be signed by an authorized officer.

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

A description of the technology innovation and technical risk areas. There is considerable freedom to formulate the main body of the white paper (not to exceed five (5) pages) as the Offeror sees fit. Here is some general guidance on what may be included in the technical concept: a description of the project objectives, problem being solved, technical approach, what's new, relevance to Navy and the Marine

Corps, the concept of operation for the new capabilities to be delivered and the expected operational performance improvements, a plan for demonstrating and evaluating the operational effectiveness of the Offeror's product in laboratory or simulated environment including evaluation metrics, transition potential to Navy communications networks, proprietary aspects of the project and any assertions of data rights applicable to the results of this effort.

Cost information is needed, although not at the level of detail as required with the full proposal. White paper submissions shall include a cost summary showing requested funding per year. The cost summary (not to exceed one (1) page) shall be segregated by both task and year (over the period of performance (i.e., 1, 2 or 3 years).

Broad Agency Announcement Number 13-008 Page 13

b. FULL PROPOSALS

i. INSTRUCTIONS FOR CONTRACTS, COOPERATIVE AGREEMENTS AND

OTHER TRANSACTION AGREEMENTS (Does not include Grants)

NOTE: Submission instructions for BAAs issued after FY 2010 have changed significantly from previous requirements. Potential Offerors are advised to carefully read and follow the instructions below. The new format and requirements have been developed to streamline and ease both the submission and the review of proposals.

Proposal Package: The following three documents with attachments comprise a complete proposal package:

(1) Technical Proposal Template (pdf)

(2) Technical Content (word)

(3) Cost Proposal Spreadsheet (excel)

These documents can be found at: http://www.onr.navy.mil/Contracts-

Grants/submit-proposal/contracts-proposal/cost-proposal.aspx

All have instructions imbedded into them that will assist in completing the documents.

Also, both the Technical Proposal Template and the Cost Proposal Spreadsheet require completion of cost-related information. Please note that attachments can be incorporated into the Technical Proposal Template for submission.

The format requirements for any attachments are as follows:

Paper Size- 8.5 x 11 inch paper

Margins – 1 inch

Spacing- single or double spaced

Font- Times New Roman, 12 point

The Cost Proposal Spreadsheet can be found by following this link:

http://www.onr.navy.mil/Contracts-Grants/submit-proposal/contracts-proposal/cost-proposal.aspx. Click on the "proposal spreadsheet" link and save a copy of the spreadsheet. Instructions for completion have been embedded into the spreadsheet.

Any proposed options that are identified in the Technical Proposal Template or

Technical Content documents, but are not fully priced out in the Cost Proposal

Spreadsheet, will not be included in any resulting contract or other transaction. If proposing options, they must be separately priced and separate spreadsheets should be provided for the base period and each option period. In addition to providing summary by period of performance (base and any options), the Contractor is also responsible for providing a breakdown of cost for each task identified in the Statement of Work. The sum of all costs by task worksheets MUST equal the total cost summary.

For proposed subcontracts or interorganizational transfers over $150,000, Offerors must provide a separate fully completed Cost Proposal Spreadsheet in support of the proposed costs. This spreadsheet, along with supporting documentation, must be provided either in a sealed envelope with the prime’s proposal or via e-mail directly to both the Program Officer and the Business Point of Contact at the same time the prime proposal is submitted. The e-mail should identify the proposal title, the prime http://www.onr.navy.mil/Contracts-Grants/submit-proposal/contracts-proposal/cost-proposal.aspx http://www.onr.navy.mil/Contracts-Grants/submit-proposal/contracts-proposal/cost-proposal.aspx http://www.onr.navy.mil/Contracts-Grants/submit-proposal/contracts-proposal/cost-proposal.aspx http://www.onr.navy.mil/Contracts-Grants/submit-proposal/contracts-proposal/cost-proposal.aspx

Broad Agency Announcement Number 13-008 Page 14

Offeror and that the attached proposal is a subcontract, and should include a description of the effort to be performed by the subcontractor. Offerors should also familiarize themselves with the new subcontract reporting requirements set forth in

Federal Acquisition Regulation (FAR) clause 52.204-10, Reporting Executive

Compensation and First-Tier Subcontract Awards. The pertinent requirements can be found in Section VII, Other Information, of this document.

Offerors should submit one (1) original, plus 1 hard copy and one (1) electronic copy on CD-ROM as discussed with the cognizant Program Officer, of their proposal package. The electronic copy should be submitted in a secure, pdf-compatible format, except for the electronic file for the Cost Proposal Spreadsheet which should be submitted in a Microsoft Excel 2007 compatible format. All attachments should be submitted in a secure, pdf-compatible format.

The secure pdf-compatible format is intended to prevent unauthorized editing of the proposal prior to any award. A password should not be required for opening the proposal document, but the Government must have the ability to print and copy text, images, and other content. Offerors may also submit their Technical Proposal

Template and Technical Content in an electronic file that allows for revision

(preferably in Microsoft Word) to facilitate the communication of potential revisions.

Should an Offeror amend its proposal, the amended proposal should be submitted following the same hard and electronic copy guidance applicable to the original proposal.

The electronic submission of the Excel spreadsheet should be in a "useable condition" to aid the Government with its evaluation. The term "useable condition" indicates that the spreadsheet should visibly include and separately identify within each appropriate cell any and all inputs, formulas, calculations, etc. The Offeror should not provide

"value only spreadsheets" similar to a hard copy.

ii. INSTRUCTIONS FOR GRANTS (Does not include contracts, cooperative agreements, and other transaction agreements)

The following information must be completed as follows in the SF 424 located on www.grants.gov to ensure that the application is directed to the correct individual for review: Block 4a, Federal Identifier: Enter the previous ONR award number, or

N00014 if the application is not a renewal or expansion of an existing award; Block

4b, Agency Routing Number, Enter the three (3) digit Program Office Code and the

Program Officer’s name, last name first, in brackets (i.e., 331 [Smith, John]).

Applicants who fail to provide a Program Officer code identifier may receive a notice that their proposal is rejected

To attach the technical proposal in Grants.gov, download the application package

Click on "Research and Related Other Project Information"

Click on "Move form to Submission List"

Click on "Open Form"

You will see a new PDF document titled "Research & Related Other Project

Information"

Block 7 is the Project Summary/Abstract -> click on "Add attachment" and attach the project summary/abstract. (You will not be able to type in the box, therefore, save the file you want to attach as Project Summary or Abstract).

http://www.grants.gov/

Broad Agency Announcement Number 13-008 Page 15

Block 8 is the Project Narrative -> click on Add attachment and attach the technical proposal. (Save the file as Volume I- Technical Proposal since you will not be able to type in the box).

Full Proposal Format - Volume 1 - Technical Proposal and Volume 2 - Cost

Proposal

Paper Size - 8.5 x 11 inch paper

Margins - 1 inch

Spacing - single-spaced

Font - Times New Roman, 12 point

Number of Pages - Volume (Vol. 1) is limited to no more than twenty-two (22) pages. Limitations within sections of the proposal, if any, are indicated in the individual descriptions shown below. The cover page, table of contents, resumes and current and pending project and proposal submissions information are excluded from the page limitations. Full Proposals exceeding the page limit may not be evaluated.

There are no page limitations to Volume 2.

Copies - the full proposal should be submitted electronically at http://www.grants.gov as delineated in paragraph 5 below.

Volume 1: Technical Proposal

Cover Page: This should include the words "Technical Proposal" and the following:

1. BAA number 13-008;

2. Title of Proposal;

3. Identity of prime Offeror and complete list of subawards, if applicable;

4. Technical contact (name, address, phone/fax, electronic mail address)

5. Administrative/business contact (name, address, phone/fax, electronic mail address);

6. Proposed period of performance (identify both the base period and any options, if included); and

7. Signature of Authorized Representative.

Table of Contents: An alphabetical/numerical listing of the sections within the proposal, including corresponding page numbers.

Technical Approach and Justification: The major portion of the proposal should consist of a clear description of the technical approach being proposed. This discussion should provide the technical foundation / justification for pursuing this particular approach / direction and why one could expect it to enable the objectives of the proposal to be met. Limit the number of pages for this section to fourteen (14).

o Operational Naval Concept: A description of the project objectives, the concept of operation for the new capabilities to be delivered, and the expected operational performance improvements.

o Operational Utility Assessment Plan: A plan for demonstrating and evaluating the operational effectiveness of the Offeror's proposed products or processes in field experiments and/or tests in a simulated environment.

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Project Schedule and Milestones: A summary of the schedule of events and milestones. Limit the number of pages for this section to one (1).

Reports: The following are sample reports that are typically required under a research effort:

-Technical and Financial Progress Reports

-Presentation Materials

-Final Report

Grants do not include the delivery of software, prototypes, and other hardware deliverables. Limit the number of pages for this section to one (1).

Current and Pending Project and Proposal Submissions: Offerors are required to provide information on all current and pending support for ongoing projects and proposals, including subsequent funding in the case of continuing contracts, grants, and other assistance agreements. Offerors shall provide the following information of any related proposal submissions from whatever sources

(e.g., ONR, Federal, State, local or foreign government agencies, public or private foundations, industrial or other commercial organizations).

The information must be provided for all proposals already submitted or submitted concurrently to other possible sponsors, including ONR. Concurrent submission of a proposal to other organizations will not prejudice its review by ONR:

1) Title of Proposal and Summary;

2) Source and amount of funding (annual direct costs; provide contract and/or grant numbers for current contracts/grants);

3) Percentage effort devoted to each project;

4) Identity of prime Offeror and complete list of subawards, if applicable;

5) Technical contact (name, address, phone/fax, electronic mail address)

6) Administrative/business contact (name, address, phone/fax, electronic mail address);

7) Duration of effort (differentiate basic effort);

8) The proposed project and all other projects or activities requiring a portion of time of the Principal Investigator and other senior personnel must be included, even if they receive no salary support from the project(s);

9) The total award amount for the entire award period covered (including indirect costs) must be shown as well as the number of person-months or labor hours per year to be devoted to the project, regardless of source of support; and

10) State how projects are related to the proposed effort and indicate degree of overlap.

Limit the number of pages for this section to three (3).

Qualifications: A discussion of the qualifications of the proposed Principal

Investigator and any other key personnel. Include resumes for the Principal

Investigator and other key personnel and full curricula vitae for Principal Investigators and consultants. The resumes and curricula vitae shall be attached to the proposal and will not count toward the page limitations. Limit the number of pages for this section to three (3).

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VOLUME 2: Cost Proposal

The offeror must use the Grants.gov forms (including the Standard Form (SF)

Research and Related (R&R) Budget Form) from the application package template associated with the BAA on the Grants.gov web Site located at http://www.grants.gov/. If options are proposed, the cost proposal must provide the pricing information for the option periods; failure to include the proposed costs for the option periods will result in the options not being included in the award. Assume that performance will start no earlier than five (5) months after the date the cost proposal is submitted. A separate Adobe .pdf document should be included in the application that provides appropriate justification and/or supporting documentation for each element of cost proposed.

Part 1: The itemized budget must include the following:

Direct Labor - Individual labor categories or persons, with associated labor hours and unburdened direct labor rates. Provide escalation rates for out years.

Administrative and clerical labor – Salaries of administrative and clerical staff are normally indirect costs (and included in an indirect cost rate). Direct charging of these costs may be appropriate when a major project requires an extensive amount of administrative or clerical support significantly greater than normal and routine levels of support. Budgets proposing direct charging of administrative or clerical salaries must be supported with a budget justification which adequately describes the major project and the administrative and/or clerical work to be performed.

Fringe Benefits and Indirect Costs - (i.e., F&A, Overhead, G&A, etc) - The proposal should show the rates and calculation of the costs for each rate category. If the rates have been approved/negotiated by a Government agency, provide a copy of the memorandum/agreement. If the rates have not been approved/negotiated, provide sufficient detail to enable a determination of allowability, allocability and reasonableness of the allocation bases, and how the rates are calculated. Additional information may be requested, if needed. If composite rates are used, provide the calculations used in deriving the composite rates.

Travel -The proposed travel cost should include the following for each trip: the purpose of the trip, origin and destination if known, approximate duration, the number of travelers, and the estimated cost per trip must be justified based on the organizations historical average cost per trip or other reasonable basis for estimation.

Such estimates and the resultant costs claimed must conform to the applicable

Federal cost principals. Offerors may include travel costs for the Principal Investigator to attend the peer reviews described in Section II of this BAA.

Subawards/Subcontracts – Provide a description of the work to be performed by the subrecipient/subcontractor. For each subaward, a detailed cost proposal is required to be submitted by the subrecipient(s). A proposal and supporting documentation must be received and reviewed before the Government can complete its cost analysis of the proposal and enter negotiations. ONR's preferred method of receiving subcontract information is for this information to be included with the

Prime's proposal. However, a subcontractor's cost proposal can be provided in a sealed envelope with the recipient's cost proposal or via e-mail directly to both the

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Program Officer and the business point of contact at the same time the prime proposal is submitted. The e-mail should identify the proposal title, the prime Offeror and that the attached proposal is a subcontract. Fee/profit is unallowable on subawards.

Consultants - Provide a breakdown of the consultant's hours, the hourly rate proposed, any other proposed consultant costs, a copy of the signed Consulting

Agreement or other documentation supporting the proposed consultant rate/cost, and a copy of the consultant's proposed statement of work if it is not already separately identified in the prime contractor's proposal.

Materials & Supplies - Provide an itemized list of all proposed materials and supplies including quantities, unit prices, and the basis for the estimate (e.g., quotes, prior purchases, catalog price lists).

Recipient Acquired Equipment or Facilities - Equipment and/or facilities are normally furnished by the Recipient. If acquisition of equipment and/or facilities is proposed, a justification for the purchase of the items must be provided. Provide an itemized list of all equipment and/or facilities costs and the basis for the estimate

(e.g., quotes, prior purchases, catalog price lists). Allowable items normally would be limited to research equipment not already available for the project. General purpose equipment (i.e., equipment not used exclusively for research, scientific or other technical activities, such as personal computers, laptops, office equipment) should not be requested unless they will be used primarily or exclusively for the project. For computer/laptop purchases and other general purpose equipment, if proposed, include a statement indicating how each item of equipment will be integrated into the program or used as an integral part of the research effort.

Other Direct Costs - Provide an itemized list of all other proposed other direct costs such as Graduate Assistant tuition, laboratory fees, report and publication costs, and the basis for the estimate (e.g., quotes, prior purchases, catalog price lists).

NOTE: If the grant proposal is for a conference, workshop or symposium, the funds provided by ONR may be used to pay for food or beverages as a direct cost only in exceptional circumstances. The funds will not be used for food or beverages unless

(1) the grant proposal contains a request for such funding that is fully supported factually in accordance with the cost principles of the relevant OMB Circular, and (2) the grants officer determines that the funding is a reasonable, allocable, allowable expense under the relevant cost principles.

Options - The Base Period of Performance and Option Periods must be priced at the submission of the proposal. Unpriced options will not be included in any resulting award or agreement.

Fee/Profit - Fee/profit is unallowable under assistance agreements at either the prime or subaward level but may be permitted on any subcontracts issued by the prime awardee.

Part 2 - Cost breakdown by Government fiscal year and task/sub-task corresponding to the same task breakdown in the proposed Statement of Work. When options are contemplated, options must be separately identified and priced by task/subtask.

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3. Significant Dates and Times –

Event Date Time

W White Paper Due Date 4/19/2013 4:00 PM Eastern

Standard Time

N Notification of White Paper Evaluation* 5/6/2013

OrOral Presentations* 5/16/2013

N Notification of Oral Presentation

EvaluEvaluation* 5/31/2013

FF Full Proposal Due Date 6/28/2013 4:00 PM Eastern

Standard Time

N Notification of Selection: Full Proposals* 7/26/2013

A Awards* 1/1/2014

*These dates are estimates as of the date of this announcement.

NOTE: Due to changes in security procedures since September 11, 2001, the time required for hard-copy written materials to be received at the Office of Naval Research has increased. Materials submitted through the U.S. Postal Service, for example, may take seven days or more to be received, even when sent by Express Mail. Thus any hard-copy proposal should be submitted long enough before the deadline established in the solicitation so that it will not be received late and thus be ineligible for award consideration.

4. Submission of Late Proposals –

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

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

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

c. It was the only proposal received.

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

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

If an emergency or unanticipated event interrupts normal Government processes so that proposals cannot be received at the Government office…