SMDTC BAA - FINAL Approved Public Affairs Office Release Number 4156_ 26Aug2024 (1).pdf

USASMDC Public Affairs Office Release Number: 4156

U.S. ARMY SPACE AND MISSILE DEFENSE COMMAND (USASMDC)

SPACE AND MISSILE DEFENSE TECHNICAL CENTER (SMDTC)

BROAD AGENCY ANNOUNCEMENT FOR

SCIENCE, TECHNOLOGY, AND TEST AND EVALUATION RESEARCH

Announcement Number: W9113M-24-R-BAA1 Issue Date: 26 August 2024 Close Date: 26 August 2029

ISSUED BY:

U.S. Army Contracting Command-Redstone (ACC-RSA) Space, Missile Defense and Special Programs (SMD/SP)

SMDTC Broad Agency Announcement for Science, Technology, and Test and Evaluation Research: W9113M-24-R- BAA1

Table of Contents

I. Overview of the Funding Opportunity A. General Information B. Additional Overview Information II. Detailed Information About the Funding Opportunity A. Research Topics of Interest B. Award Instrument Types C. Eligibility Information D. Unique Entity Identifier and System for Award Management III. Application and Submission Information A. Two-Step Solicitation Process B. Preliminary Inquiries C. Step 1: White Paper Preparation and Submission Information

1. White Paper Structure

2. White Paper Submission

3. White Paper Evaluation D. Step 2: Proposal Preparation and Submission Information

1. Proposal Structure

2. Proposal Submission

3. Proposal Evaluation E. Submission Dates and Time F. Other Information IV. Award Information A. Basis for Award B. Award Notices C. Funding Restrictions D. Organizational Conflicts of Interest E. Administrative and National Policy Requirements F. Reporting V. Other Information A. Agency Contacts

Appendix A: Table of Acronyms

I. Overview of the Funding Opportunity

The purpose of this combined Broad Agency Announcement (BAA) under Federal Acquisition Regulation (FAR) Part 35 and Funding Opportunity Announcement under 2 Code of Federal Regulations (CFR) 200.204 (henceforth referred to as “BAA”) is to solicit research proposals for submission to the United States (U.S.) Army Space and Missile Defense Command (USASMDC) Space and Missile Defense Technical Center (SMDTC) for funding consideration.

The SMDTC supports the joint warfighter by providing science, technology, and test and evaluation expertise to enable warfighter dominance today and in the future. As part of the Army Science and Technology enterprise, the SMDTC contributes to the current fight and enables the next generation to prevail in conflicts to come. The SMDTC focuses on three essential tasks: executing science and technology, research and development, and test and evaluation; managing and operating the Ronald Reagan Ballistic Missile Defense Test Site; and conducting space operations and space domain awareness.

The SMDTC contributes to the success of the warfighter and joint force in four major technology areas of interest: tactical responsive space and high-altitude technologies, test and evaluation, strategic weapon technologies, and hypersonic defeat.

White papers for initial concept reviews and full proposals are sought from institutions of higher education, nonprofit organizations, state and local governments, and for-profit organizations (i.e., large and small businesses) for scientific research that supports the SMDTC mission and the published SMDTC research topics of interest. White papers and full proposals are expected to be for cutting-edge innovative research that could produce discoveries having a significant impact on enabling new and improved Army operational capabilities and related technologies.

In an effort to provide SMDTC's topics of interest and related information, USASMDC has published the following public webpage listing all current SMDTC research topics:

https://www.smdc.army.mil/ORGANIZATION/TC/, hereafter referenced as the SMDTC webpage. Changes to these topics will be made using this website on an as-needed basis. A change to SMDTC’s published BAA topics is not an amendment to this BAA and will not be posted on https://www.grants.gov/ and https://www.SAM.gov/. A change to this document (i.e., the BAA itself) will be considered an amendment and will be posted on https://www.grants.gov/ and https://www.SAM.gov/.

Interested parties are encouraged to continually browse the SMDTC BAA topics for white paper and proposal topics that SMDTC desires to explore. These specific topics https://www.grants.gov/ https://www.sam.gov/ should be viewed as suggestive, rather than limiting. SMDTC is always interested in considering other innovative research concepts of relevance to the Army if those concepts align with SMDTC's mission. Interested parties should also review https://www.grants.gov/ and https://www.SAM.gov/ to obtain the latest version of the BAA for white paper and proposal submission requirements.

To conserve valuable applicant and Government resources, and to facilitate determining whether a proposed research idea meets the guidelines described herein, prospective applicants contemplating submission of a white paper are strongly encouraged to contact the ACC-RSA SMD/SP POCs identified on Section V of this BAA, who will provide an SMDTC Technical Point of Contact (TPOC) to first discuss the concept. The TPOCs’ names and contact information will be provided to the prospective applicant by the ACC-RSA SMD/SP POC.

After initial contact with an SMDTC TPOC, if an applicant elects to submit a white paper (Step 1), it should be prepared in accordance with the instructions contained in this BAA. Upon receipt, the white paper will be reviewed by the SMDTC TPOC and a recommendation will be provided to the applicant with either “encouraged to submit a proposal” or “not encouraged to submit a proposal” based on the review and availability of funding. Proposal submission (Step 2) should also be prepared in accordance with the instructions contained in this BAA. Note that a recommendation by the government for proposal submittal does not guarantee award or obligate the government for proposal cost.

The proposal submission guidelines differ for each legal instrument; therefore, applicants are advised to follow the specific applicable guidelines listed in this BAA for the type of instrument they are proposing. This BAA provides submission guidelines for proposals for FAR-based procurement contracts, as well as assistance instruments and other transactions. Upon review of a proposal, the Government will advise applicants on the most appropriate instrument for the proposed work.

In accordance with federal statutes, regulations, and Department of Defense (DoD) and Army policies, no person on grounds of race, color, age, sex, national origin, or disability shall be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any program or activity receiving financial assistance from the Army.

Applicants submitting proposals are cautioned that only a Contracting Officer, Grants Officer, or Agreements Officer can obligate the Government to any legal instrument involving federally appropriated funds.

All administrative inquiries regarding this BAA shall be submitted to the cognizant ACC- RSA SMD/SP Contracts Specialist POC. Scientific and technical questions should be referred to the TPOCs. Interested parties are encouraged to periodically check any of the following websites for updates and amendments to this BAA:

https://www.grants.gov/, https://www.SAM.gov/, or the SMDTC BAA topics posted at https://www.smdc.army.mil/ORGANIZATION/TC/.

A. General Information

Agency Name: U.S. Army Space and Missile Defense Command

Issuing Acquisition Office: U.S. Army Contracting Command-Redstone (ACC-RSA), Space, Missile Defense and Special Programs (SMD/SP)

Research Opportunity Title: SMDTC Broad Agency Announcement (BAA) for Science, Technology, and Test and Evaluation Research

Research Opportunity Number: W9113M-24-R-BAA1

Catalog of Assistance Listing Numbers (ALN) Number and Title:

12.431 – Basic Scientific Research

12.630 – Basic, Applied, and Advanced Research in Science and Engineering ALNs can be found on https://sam.gov/content/assistance-listings.

Key Dates: The BAA is a continuously open announcement valid throughout the period from the date of issuance through 23 August 2029, unless announced otherwise.

B. Additional Overview Information

This publication constitutes a BAA for awards as contemplated in Federal Acquisition Regulation (FAR) 6.102(d)(2) and FAR 35.016 as well as a merit-based, competitive procedure in accordance with the Department of Defense Grant and Agreement Regulations (DoDGARs) at 32 CFR 22.315(a) and the Office of the Under Secretary of Defense for Acquisition and Sustainment Other Transactions Guide version 2.0 dated July 2023.

This BAA document, and the online list of research topics found on the SMDTC webpage at https://www.smdc.army.mil/ORGANIZATION/TC/, sets forth SMDTC’s topics of interest for white papers and proposals. This BAA is issued under FAR 6.102(d)(2), which provides for the competitive selection of basic and applied research https://www.smdc.army.mil/ORGANIZATION/TC/ https://sam.gov/content/assistance-listings proposals, and 10 United States Code (U.S.C.) 4001, 10 U.S.C. 4021, and 10 U.S.C.

4022, which provide the authorities for issuing awards under this announcement for basic and applied research. The definitions of basic and applied research may be found at 32 CFR 22.105.

Proposals submitted in response to this BAA and selected for award are considered to be the result of full and open competition and in full compliance with the provision of Public Law (P.L.) 98-369, “The Competition in Contracting Act of 1984,” and subsequent amendments.

Use of a BAA to solicit for research and development is recommended when:

1. The Government desires new and creative solutions to problem statements.

2. Using a conventional statement of work could result in unintentionally stifling ideas and concepts given many possible approaches.

3. Fulfilling requirements for scientific study and experimentation directed toward advancing the state-of-the-art or increasing knowledge or understanding rather than focusing on a specific system or hardware solution.

4. The Government must be able to state its objectives in terms of areas of need or interest rather than specific solutions or outcomes.

5. Meaningful proposals with varying technical/scientific approaches are reasonably anticipated.

SMDTC reserves the right to select for award all, some, or none of the proposals submitted in response to this announcement. SMDTC will provide no funding for direct reimbursement of white paper or proposal development costs and such costs are not considered an allowable direct charge to any award resulting from this BAA or any other award. However, these costs may be an allowable expense to the normal bid and proposal indirect costs specified in FAR 31.205-18 for FAR-based awards.

White papers and technical and cost proposals (or any other material) submitted in response to this BAA will not be returned to the applicant. It is the policy of the Government to treat all proposals as sensitive, competitive information and to mark and disclose their contents only for the purposes of evaluation.

An applicant may withdraw a proposal at any time before award by written notice or by email sent to the Government TPOC.

(End of Section)

II. Detailed Information About the Funding Opportunity

A. Research Topics of Interest

The SMDTC is interested in receiving white papers and/or proposals for the basic and applied research efforts described under this BAA. This announcement is an expression of interest only and does not commit the Government to make any award or to pay for any response preparation costs. The cost of white paper and/or proposal preparation for response to a BAA is not considered an allowable direct charge to any resultant contract or any other contract; however, it may be an allowable expense to the normal bid and proposal indirect cost specified in FAR 31.205-18.

Certain white papers and/or proposals are not appropriate under this BAA and are not desired. For example, white papers and/or proposals applying effort toward a broadly identified task usually on a level-of-effort basis, rather than delivery of an end item such as a final report or demonstrating a new technology or applied research are usually not appropriate. This BAA seeks white papers and/or proposals for scientific study and experimentation directed toward advancing the state-of-the-art or increasing knowledge or understanding for basic and applied research and that part of development not related to the maturation of a specific system or hardware procurement. White papers and/or proposals related to the development of a specific system or to satisfy specific hardware/software requirements are also not appropriate. A determination of appropriateness will be made as part of the BAA submission screening process.

In an effort to provide SMDTC’s research and development topics, USASMDC has published the following public webpage listing all current SMDTC topics:

https://www.smdc.army.mil/ORGANIZATION/TC/age. Interested parties are encouraged to continually browse this webpage to see the topics SMDTC is interested in.

To support SMDTC’s mission, SMDTC will consider white papers that may not directly align to a topic published by an SMDTC TPOC but can demonstrate a strong alignment to SMDTC’s core competencies. SMDTC is always interested in innovative research white papers outside of the published topics on the SMDTC webpage that demonstrate a strong alignment to SMDTC’s core competencies. To learn more about SMDTC’s core competencies visit the SMDTC webpage at https://www.smdc.army.mil/ORGANIZATION/TC/.

SMDTC has no established targeted opportunities outside of the topics considered for funding proposals submitted under this BAA. Discussion with the cognizant SMDTC TPOC is strongly recommended before submission of a white paper or proposal.

B. Award Instrument Types

Subject to availability of funds, ACC-RSA SMD/SP has the authority to award a variety of instruments on behalf of SMDTC. Anticipated awards will be made in the form of procurement contracts, grants, cooperative agreements, Technology Investment Agreements (TIA), other transactions (OTs) for research, or OTs for prototypes. ACC- RSA SMD/SP will select the type of instrument most appropriate for the effort proposed.

Applicants should familiarize themselves with these instrument types and the applicable regulations before submitting a proposal. The following are brief descriptions of the possible award instruments:

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

Contracts are primarily governed by the following regulations:

a. Federal Acquisition Regulation (FAR)

b. Defense Federal Acquisition Regulation Supplement (DFARS)

c. Army Federal Acquisition Regulation Supplement (AFARS)

Procurement contracts awarded under this BAA will result in a contract using the North American Industry Classification System (NAICS) code of 541715 -- Research & Development in the Physical, Engineering, and Life Sciences [except Nanotechnology and Biotechnology] Exception 3 Guided Missiles and Space Vehicles, Their Propulsion Units and Propulsion Parts, with a small business (SB) size standard of 1,300 employees. Technical and cost proposals submitted under this BAA will be protected from unauthorized disclosure in accordance with FAR 3.104-4 and FAR 15.207.

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

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

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

c. No fee or profit is allowed.

3. Cooperative Agreement. A legal instrument, consistent with 31 U.S.C. 6305, is used to enter into the same kind of relationship as a grant (see definition “grant”), except that substantial involvement is expected between the Federal Government and the recipient when carrying out the activity contemplated by the cooperative agreement. The term does not include “cooperative research and development agreements” as defined in 15 U.S.C. 3710a. No fee or profit is allowed.

4. Technology Investment Agreement. An assistance instrument as described in 32 CFR Part 37. A TIA may be a cooperative agreement or an Other Transaction for Research under 10 U.S.C. 4021 both with provisions tailored for involving commercial firms or research involving commercial application. To the maximum extent practicable, TIAs shall provide for a 50/50 cost share between the Government and the applicant.

No fee or profit is allowed on TIAs.

5. Other Transaction for Research. A legal instrument, consistent with 10 U.S.C. 4021, which may be used for basic, applied, and advanced research projects. The research covered under this instrument cannot be duplicative of research being conducted under an existing DoD program. To the maximum extent practicable, OTs for research are to provide for a 50/50 cost share between the Government and the applicant. An applicant’s cost share may take the form of cash, independent research and development (IR&D), foregone intellectual property rights, equipment, access to unique facilities, and/or other means. Due to the extent of cost share, and the fact that an OT for research does not qualify as a “funding agreement” as defined at 37 CFR 401.2(a), the intellectual property provisions of this instrument can be negotiated to provide expanded protection to an applicant’s intellectual property. No fee or profit is allowed on OTs for research. Please refer to the Office of the Under Secretary of Defense for Acquisition and Sustainment Other Transaction Guide version 2.0 dated July 2023 for additional information. This document, along with additional other transaction agreement (OTA) resources, may be accessed at the following link:

https://www.acq.osd.mil/asda/dpc/cp/policy/other-policy-areas.html

6. Other Transaction for Prototype or Production. A legal instrument, consistent with 10 U.S.C. 4022, which provides DoD the flexibility necessary to adopt and incorporate business practices that reflect commercial industry standards and best practices into its award instruments. OTs for prototypes or production are not FAR-based procurement contracts, grants, cooperative agreements, or OTs for Research. OTs for prototypes or production have specific applications and conditions for use (see Appendix C of the Other Transactions Guide linked below). The effort covered under an OT cannot be duplicative of effort being conducted under an existing DoD program. Follow-on production contracts and/or an OT may be awarded to a Prototype Other Transaction Awardee, if applicable. Please refer to the Office of the Under Secretary of Defense for https://www.acq.osd.mil/asda/dpc/cp/policy/other-policy-areas.html

Acquisition and Sustainment, Other Transaction Guide, version 2.0, dated July 2023 for additional information. This document, along with other OTA resources, may be accessed at the following link:

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

C. Eligibility Information

1. Eligible Applicants

As dictated by the award instrument type, eligible applicants under this BAA include institutions of higher education, nonprofit organizations, state and local governments, and for-profit organizations (i.e., large and small businesses). For specific Other Transactions for Prototypes eligibility requirements, please see the “Other Transaction for Prototype or Production” section within Section II.B.6.

2. Cost Sharing or Matching

Generally, there is no requirement for cost sharing, matching, or cost participation to be eligible for award under this BAA. Cost sharing and matching is not an evaluation factor used under this BAA. Exceptions may exist if the applicant is proposing the use of an OT for research or prototype as an award instrument. Cost-sharing requirements may be found at 32 CFR Part 37 and in the DoD Other Transaction Guide for Prototype Projects (https://www.acq.osd.mil/asda/dpc/cp/policy/docs/guidebook/TAB%20A1%20- %20DoD%20OT%20Guide%20JUL%202023_final.pdf)

3. Other

Federally Funded Research and Development Centers (FFRDCs). FFRDCs are subject to applicable direct competition limitations and cannot propose to this solicitation in any capacity unless they meet the following conditions: (1) FFRDCs must clearly demonstrate that the proposed work is not otherwise available from the private sector;

and (2) FFRDCs must provide a letter, on official letterhead from their sponsoring organization, that (a) cites the specific authority establishing their eligibility to propose to Government solicitations and compete with industry, and (b) certifies the FFRDC’s compliance with the associated FFRDC sponsor agreement’s terms and conditions.

These conditions are a requirement for FFRDCs proposing to be awardees or sub-awardees.

University-Affiliated Research Centers (UARCs). UARCs are eligible to submit proposals under this BAA if their proposal contains a letter, on official letterhead, from their primary sponsor concurring with the UARC’s proposal submission.

Teaming. Teams are encouraged to submit proposals in any and all areas. Offerors must be willing to cooperate and exchange software, data, and other information in an integrated program with other contractors.

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

1. Each applicant (unless the applicant is an individual or Federal awarding agency that is exempt from those requirements under 2 CFR 25.110(b) or (c), or has an exemption approved by the Federal awarding agency under 2 CFR 25.110(d)) is required to:

a. Provide a valid UEI in its application. Please verify the accuracy of your UEI in

SAM at https://www.sam.gov;

b. Be registered in SAM prior to submitting its application; and

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

2. The Federal awarding agency may not make a Federal award to an applicant until the applicant has complied with all applicable UEI and SAM requirements. If an applicant has not fully complied with the requirements by the time the Federal awarding agency is ready to make a Federal award, the Federal awarding agency may determine that the applicant is not qualified to receive a Federal award and use that determination as a basis for making a Federal award to another applicant.

(End of Section)

III. Application and Submission Information

A. Two-Step Solicitation Process

1. General Information. Hard copies of this solicitation will not be issued. The Government reserves the right to fund all, some, or none of the proposals in response to this BAA and to create and maintain a reserve list of proposals for potential funding if sufficient funding becomes available. Funding will not be provided to Offerors for reimbursement of costs incurred to respond to this solicitation. White papers, technical, and cost or price proposals (or any other material) submitted in response to this BAA will not be returned. All submissions will be treated as sensitive competitive information and their contents will be disclosed only to authorized personnel for the purposes of evaluation.

2. E-mail Addresses. It is the Offerors’ responsibility to ensure: (1) correct e-mail addresses are provided at the time of submission, (2) e-mail notifications reach the intended recipient(s), and (3) the e-mail is not blocked by the use of ‘spam blocker’ software or other means that the recipient’s Internet Service Provider may have implemented as a means to block the receipt of certain e-mail messages.

3. Application Process. Applicants are encouraged to conduct a preliminary inquiry with an SMDTC TPOC, and are required to follow the two-step process below:

• Step 1: Submit a white paper to an SMDTC TPOC for review, and

• Step 2: Submit a Full Proposal if selected.

4. Classified Submissions. Proposals containing classified information are not accepted under this BAA. However, proposals may discuss the need to access or generate controlled unclassified information (CUI) or classified information for the proposed work.

Where an award requires access to classified information, FAR Clause 52.204-2, Security Requirements, will be included in the award, as well as a DD Form 254, if issued. When an award requires access to CUI, DFARS Clause 252.204-7012, Safeguarding Covered Defense Information and Cyber Incident Reporting, will be included in the award, as well as additional SMDTC specific requirements as determined necessary. For questions regarding the potential for access to classified information and/or controlled unclassified information, please coordinate with the TPOC for that topic area prior to white paper or proposal submission.

B. Preliminary Inquiries

Interested applicants are strongly encouraged to make a preliminary inquiry by first contacting the SMDTC TPOC to discuss your ideas and the interests of SMDTC.

SMDTC receives several hundred research proposals annually and can provide support for only a limited number of the proposals received. SMDTC realizes the preparation of a research proposal often represents a substantial investment of time and effort by the applicant. Therefore, to minimize this burden, SMDTC TPOCs are available to discuss the general need for the type of research effort contemplated and availability of funding before an interested applicant expends extensive effort in preparing a white paper or full proposal. The TPOC names, telephone numbers, and email addresses are listed with each research Topic at the SMDTC BAA topics website, https://www.smdc.army.mil/ORGANIZATION/TC/, and they should be contacted, as appropriate, prior to the submission of white papers or proposals.

Note that the Government will not be obligated by any discussion that arises out of preliminary inquiries.

C. Step 1: White Paper Preparation and Submission

Prospective proposers are required to submit white papers prior to the submission of a complete, more detailed proposal. The purpose of white papers is to minimize the labor and cost associated with the production of detailed proposals that have very little chance of being selected for funding. White papers are not full proposals and are meant to provide the SMDTC TPOC with enough information to determine if there is interest on the part of SMDTC to receive a full proposal.

Any proprietary data must be clearly marked. The applicant must also identify any technical data or computer software contained in the white paper that is to be managed by the Government with restrictions, limited rights in technical data, and restricted rights in computer software. In the absence of such identification, the Government will conclude there are no limitations or restrictions on technical data or computer software included in the white paper. Records or data bearing a restrictive legend may be included in the white paper.

It is the intent of the Army to treat all white papers as procurement sensitive and to disclose their contents with a Government evaluation panel for the purpose of evaluating received responses. Additionally, the Government may use selected non- Government contracted support/personnel to assist in the evaluation and administrative handling of white papers submitted in response to this announcement. These persons are bound by appropriate non-disclosure agreements and organizational conflict of interest statements to proprietary and source selection information. Non-Government advisers are limited to reviewing white papers and providing technical advice to the Government and are prohibited from making recommendations for selection.

Submission of white papers in response to this BAA constitutes the offeror’s acknowledgement and consent to use of non-Government personnel during the evaluation process.

White papers shall address one of the topics of interest posted at https://www.smdc.army.mil/ORGANIZATION/TC/.

1. White Paper Structure.

a. Sections. A complete white paper consists of two sections: a cover sheet (section 1) and a technical description (section 2; to include cost).

b. Page Count. White paper submissions are limited to five (5) pages: a one-page cover sheet, and a four-page technical description (to include cost).

c. Text, Font, and File Format. A standard, Arial 12-point minimum font size shall be used. Charts, tables, or graphs may use a reduced font size, no less than 8-point, and may be produced in landscape orientation. Margins shall not be less than one inch (1”) on both sides, and top and bottom of pages. Headers and/or footers may be included in the margin parameters. Single line spacing shall be used for all paragraphs. Except as authorized by this announcement, all white paper pages shall be presented in portrait page layout orientation. All electronic data proposal submissions shall be MS 365 compatible or Adobe Acrobat Pro Document Cloud (DC) and virus free. Do not provide self-extracting archive files (e.g., zip files). Macros, movies, or sound files shall not be used in any part of the white papers. If files contain links, the links must be intact and maintained through all revisions. Files shall not be read/write/password protected (i.e., must be unlocked, non-password protected, and/or unprotected).

d. Virus Check. Perform a virus check before submitting the white paper. If a virus is detected, it may cause rejection of the file.

e. Section 1 – Cover Sheet. The cover sheet should include at a minimum the title of the white paper, the name of the individual and organization submitting the white paper, the research topic name, topic identification (ID) number, and the TPOC name against which the white paper is submitted.

f. Section 2 – Technical Description. White papers should focus on describing the objective and approach of the proposed research, including how it is innovative, and how it could substantially increase the scientific state of the art. White papers should contain a brief cost estimate to understand a rough order of magnitude of the proposal cost, and any biographical information to highlight applicant’s qualifications and experience.

(1) Technical Approach. Describe how the proposed technical approach is innovative, feasible, achievable, complete, and supported by a technical team that has the expertise and experience to accomplish the proposed tasks, including:

• Project objectives and scope;

• Overview of tasks and methods planned to achieve each objective;

• The final product to be delivered;

• Key personnel (including subcontractors and consultants);

• Facilities/equipment necessary to carry out the proposed effort; and

• Related prior or current work.

(2) Schedule. Propose a project schedule and describe how the schedule is achievable for the projected technical approach.

(3) Costs. White papers should contain a brief cost estimate to understand a rough order of magnitude of the proposal cost and any risk management controls.

2. White Paper Submission

White papers should be submitted via e-mail to the contract specialist for the topic proposed against. White papers shall be submitted as a single portable document format (PDF) file as an email attachment.

The Government anticipates making multiple awards subject to availability of funds.

Issuance of this BAA does not obligate the Government to pay any proposal preparation costs. Offerors that include data in their proposals which they do not want disclosed to the public for any purpose or used by the Government except for review/evaluation purposes by SMDTC, shall be specifically identified in the white paper and marked in accordance with FAR 52.215-1, Instructions to Offerors-Competitive Acquisition.

SMDTC TPOCs will receive and consider all white papers submitted and will provide a response of either “encouraged to submit a proposal” or “not encouraged to submit a proposal.” If a white paper is selected for further consideration, the contracting officer will generally notify offerors within four (4) months of white paper receipt if a full proposal is required. White papers not selected for full proposal submission or proposals not selected for immediate funding will be disposed/destroyed in a manner that protects proprietary data.

3. White Paper Evaluations.

a. White Paper Review Criteria. All white papers will be reviewed using the following criteria.

(1) Technical Approach/Qualifications. The degree to which the technical approach is innovative, feasible, achievable, complete and supported by a technical team that has the expertise and experience to accomplish the proposed tasks. This includes an assessment of the probability for transition of this effort into an acquisition program, a military system, or other military capability.

(2) Schedule. The degree to which the proposed schedule is achievable within 24 months from award.

(3) Cost Estimating Methods, Risks and Controls. The degree to which the proposed costs are realistic for the technical approach and the methods used to demonstrate the offeror’s ability to complete the total project for the amount requested. This includes an assessment of the potential cost risks and controls used to mitigate those risks.

b. Adjectival Ratings. During the review of white papers, adjectival ratings will not be used. White papers will receive a “Go” or “No Go” determination as to whether it will receive further consideration.

D. Step 2: Proposal Preparation and Submission.

The Government will provide a recommendation of “encouraged to submit a proposal” for those white paper submissions that merit further consideration. Proposals shall expand on the white paper submission providing sufficient detail that represents an innovative approach to accelerating the transition of defense-related technologies. An applicant that does not receive a recommendation to submit a proposal is not eligible to submit a proposal. Recommendations to submit a proposal will be sent from respective DoD Component contracting officers to the eligible applicants. The anticipated due date and time for proposals will be included in the proposal recommendation.

Offerors are advised only properly warranted Government contracting officers are legally authorized to contractually bind or otherwise commit the Government. The Government reserves the right to request any additional, necessary documentation once it makes the award instrument determination. Offerors may be removed from award consideration should the parties fail to reach agreement on award terms, conditions, and cost/price within a reasonable time, or if the Offeror fails to timely provide requested additional information.

If the Offeror is granted approval to submit a proposal to the Government, the following instructions shall be followed (additional instructions may be required and provided by the Contracting Activity when authorization to submit a proposal is granted):

Text, Font, and File Format. A standard, Arial 12-point minimum font size shall be used.

Charts, tables, or graphs may use a reduced font size, no less than 8-point, and may be produced in landscape orientation. Margins shall not be less than one inch (1”) on both sides, and top and bottom of pages. Headers and/or footers may be included in the margin parameters. Single line spacing shall be used for all paragraphs. Except as authorized by this announcement, all proposal pages shall be presented in portrait page layout orientation. All electronic data proposal submissions shall be MS 365 compatible or Adobe Acrobat Pro Document Cloud (DC) and virus free. Do not provide self-extracting archive files (e.g., zip files). Macros, movies, or sound files shall not be used in any part of the proposals. If files contain links, the links must be intact and maintained through all revisions. Files shall not be read/write/password protected (i.e., must be unlocked, non-password protected, and/or unprotected).

Virus Check. Perform a virus check before submitting the proposal. If a virus is detected, it may cause rejection of the file.

1. Proposal Structure

Proposals shall include the basic effort and options (if applicable). All proposals should clearly indicate limitations on the disclosure of their contents. In presenting the proposal material, prospective offerors are advised that the quality of the information is significantly more important than the quantity. Therefore, offerors are requested to confine their submissions to essential matters, providing sufficient information to define their offer and establish an adequate basis for the Government to conduct its evaluation.

A complete proposal consists of a cover sheet and two volumes. Volume I contains the Technical and Management Approach. Volume II contains the Cost/Price Proposal. The cost/price proposal volume shall be submitted in the Microsoft (MS) Office Excel spreadsheet format provided by the Government. Offerors shall not "hard code" spreadsheet data if the resulting data is based on a formula. Offerors shall include all formulas in the proposed spreadsheets and include any notes deemed necessary to add clarity to the spreadsheets. Spreadsheets shall include the roll up summary at the contract line item number (CLIN) level and also a total roll up summary sheet of all of the CLINs.

a. Cover Sheet. The cover sheet shall include the following information:

(1) BAA number given in the announcement;

(2) SMDTC Core Competency;

(3) Lead organization submitting proposal;

(4) Type of business, selected from among the following categories: large business, Small Business (SB), Small Disadvantaged Business (SDB), Veteran-Owned Small Business (VOSB), Service-Disabled Veteran-Owned Small Business (SDVOSB), Women-Owned Small Business (WOSB), Economically Disadvantaged Women-Owned Small Business (EDWOSB), Historically Underutilized Business Zone (HUBZone), Historically Black Colleges and Universities and Minority-Serving Institutions (HBCU/MI), and other educational or other nonprofit;

(5) Offeror’s reference number (if any);

(6) Proposal title;

(7) Technical POC to include: salutation, last name, first name, street address, city, state, zip code, telephone, and e-mail address;

(8) Administrative POC to include: salutation, last name, first name, street address, city, state, zip code, telephone, and e-mail address;

(9) Date proposal was prepared;

(10) Place(s) and period(s) of performance;

(11) Name, mailing address, e-mail address, telephone number, and POC of the offeror’s cognizant audit office if known (e.g., Defense Contract Audit Agency (DCAA)/High Risk Review);

(12) Commercial and Government Entity (CAGE) code;

(13) Valid UEI;

(14) Taxpayer Identification Number;

(15) Whether you will require the use of Government property in the performance of the contract, and, if so, what property; and

(16) If certified cost and pricing data are required pursuant to FAR 15.403-4, Required Certified Cost or Pricing Data, you must clearly identify on your cover sheet that certified cost and pricing data are included as part of the proposal in accordance with FAR 15.408, Table 15-2, Section I, General Instructions, (C)(1).

b. Volume I, Section 1: Technical Approach. This section shall include the Executive Summary, Nature of Research, Meets BAA Requirements, Milestone Schedule, Prior Experience, and Statement of Work (SOW)/Deliverables as further described below.

This section shall be limited to 18 pages.

(1) Executive Summary. The first page of Volume I shall be an executive summary of the proposed technical and management approaches.

(2) Nature of Research. The technical portion of the proposal must include a full discussion of the nature and scope of the research effort contemplated, including the method of approach and the expected results.

(3) Meets BAA Requirements. The proposal shall fully discuss how the initiative falls within the definition of Basic or Applied Research and follows the procedures of FAR 35.016, Broad Agency Announcement. Note that, for this BAA, subcomponent development should not exceed Technology Readiness Level 6 which is a system/subsystem model or prototype demonstration in a relevant environment. The proposal shall discuss the potential contribution of the proposed research to the SMDTC. The offeror shall certify that the initiative is not submitted to fulfill the requirements of any specific system or sub-system.

(4) Milestone Schedule. The offerors shall discuss the merits of each phase of the initiative proposed and conditions upon which each phase will be assessed. A program milestone chart, which includes a detailed list of tasks and subtasks and the duration of same, must be provided. Offerors are to clearly identify a list of contract deliverables which are traceable to the milestone chart. These milestones should include the timeframes for preparation, delivery, review, and approval for all draft and final reports, as appropriate.

(5) Prior Experience. Offerors must include any information pertaining to prior significant and related work experience as well as a description of available facilities and the resumes of all key personnel who will be participating in the effort.

(6) SOW/Deliverables. Offerors must keep in mind that portions of the technical proposal will usually be incorporated by reference into any resultant contract; it serves as the basis for work to be accomplished. Therefore, the technical proposal must include a SOW that describes the work to be accomplished and any deliverables. Each task description should be written to facilitate evaluation and acceptance without the need for major rewrites prior to incorporation into the resultant contract.

c. Volume I, Section 2: Management Approach. This section shall include the management approach, capabilities/qualifications, and any required Government resources (equipment, facilities, computer time, etc.) This section shall be limited to 12 pages.

(1) Management Approach. The offeror should provide the necessary scheduling and planning documentation that fully describes the proposed program, which should include the offeror's approach for controlling expenditures and labor hours.

Include in the proposal a summary description of management planning and control systems and product assurance.

(2) Capabilities/Qualifications. The proposal should discuss the offeror's capabilities and qualifications including discussion of: 1) key personnel; 2) adequacy of offeror's facilities and instrumentation; and 3) identification of plans for any potential safety and environmental concerns.

d. Volume I, Section 3: Other Documents. This section may be provided with no page limitation. This section shall include:

(1) The offeror shall provide a separate SOW, bearing no proprietary markings, suitable for contractual incorporation. If options are proposed, the SOW must clearly differentiate between the basic period and option periods. To aid in insertion of the SOW in the contractual instrument, request the following guidelines be followed in formatting the electronic file:

(a) All auto numbering and bullets should be removed;

(b) All text should be in Arial 12-point font;

(c) Bolding and underlining is not recommended;

(d) All graphics should be removed;

(e) All files inserted from other applications in the Microsoft (MS) Word file should be removed. The submission of other supporting materials along with the proposal is strongly discouraged and will not be considered for review;

(2) Prime Contractor Small Business Subcontracting Plan (applicable to other than small business concerns, reference FAR 19.702(b), Statutory Requirements): (It is noted that educational institutions are considered other than small business concerns.) In accordance with FAR 19.702(a)(1), if the total amount of the proposal exceeds the specified dollar threshold and has subcontracting possibilities, a small business subcontracting plan must be submitted. FAR part 52.219-9, Small Business Subcontracting Plan, defines the subcontracting plan and its requirements. The subcontracting plan shall be submitted with the proposal. It is the policy of the Government to provide maximum practicable opportunities in its acquisitions to SB, SDB, VOSB, SDVOSB, WOSB, EDWOSB, and HUBZone small business concerns to participate in the performance of the contract. Such concerns must also have the maximum practicable opportunity to participate as subcontractors in the contracts awarded by any executive agency, consistent with efficient contract performance. Offerors are cautioned that the

Government will not execute a contract unless the contracting officer determines that the negotiated subcontracting plan is acceptable in accordance with (IAW) applicable regulations;

(3) Representations and Certifications: Prospective contractors shall complete electronic representations and certifications at https://www.SAM.gov. The representations and certifications must be updated as necessary, but at least annually to ensure they are kept current, accurate, and complete (reference FAR subpart 4.11; FAR subpart 4.12; DFARS subpart 204.11; DFARS subpart 204.12;

and DFARS Procedures, Guidance and Information (PGI) 204.11). These representations and certifications will need to be supplemented by other representations and certifications, to include DFARS 252.227-7017, Identification and Assertion of Use, Release, or Disclosure Restrictions; and DFARS 252.227- 7028, Technical Data or Computer Software Previously Delivered to the Government. In addition, offerors shall identify any commercial technical data and commercial computer software or computer software documentation that will be delivered to the Government. Offerors shall describe and provide copies of licenses applicable to the Government;

(4) Information required by Section III.F.i. of this BAA, Data Rights and Intellectual

Property; and

(5) The offeror may include an attached bibliography of relevant technical papers or research notes (published and unpublished), that document the technical ideas and approach upon which the proposal is based. Copies of not more than three

(3) relevant papers may be included with the submission. The three relevant papers may be in portable document format (PDF).

e. Volume II: Cost/Price Proposal. This volume shall include a cover sheet; is excluded from page limitations; and shall follow the guidance in accordance with FAR 15.408, Table 15-2. The cost proposal shall contain a summary showing the overall contract price and include details by cost element for the Base Year and Option Year(s). In addition, both the base period and any options shall include separate cost/schedule information. The cost proposal shall contain data in MS Excel spreadsheet format to include formulas.

(1) The offeror should prepare its cost proposal in a clear, concise manner that accurately reflects its financial plan for accomplishing the proposed technical effort. The costs should be tied to the milestone schedule, clearly allocating costs to each phase of the initiative, and a breakdown of cost data is required under this BAA. If “cost or pricing data” are required to be submitted in accordance with FAR 15.403-4, the offeror shall provide the information identified in FAR 15.408, Table 15-2, as well as the information required in this section. When cost of money is being proposed, the offeror shall submit a DD Form 1861, Contract Facilities Capital Cost of Money.

(2) In accordance with FAR 16.301-3, Limitations, a cost-reimbursement contract may be used only when the contractor’s accounting system is adequate for determining costs applicable to the contract. Offerors will submit a summary description of their accounting system, including indirect rate structure, and whether it is compliant with Generally Accepted Accounting Principles (GAAP). The submittal should reference current DCAA audit reports that reflect upon the adequacy of the accounting system and/or Defense Contract Management Agency (DCMA) approval letters of the accounting system. The audit reports or letters should be dated within 4 years of the offeror’s cost proposal. If the offeror cannot reference a DCAA audit or DCMA letter reflecting acceptance of their cost system, the offeror should submit a plan to become approved and in compliance by full performance start date. This should include submission of a completed standard form (SF) 1408, Preaward Survey of Prospective Contractor (Accounting System) (included as Appendix X). If a DCAA audit or DCMA letter is not available, the offeror may provide reviews of the adequacy of their accounting system by an independent third party. The same documentation shall be submitted for any subcontractor with which the offeror intends to establish a cost type subcontract.

(3) The breakdown of “cost or pricing data” or “other than cost or pricing data” shall include all costs expected to be incurred under the contract. Proposed costs and rates should be fully supported to include all back-up documentation to all cost elements proposed.

(4) Subcontracts. Prime contractors are responsible for ensuring each proposed subcontract is supported by “cost or pricing data” when it is, both, in excess of the specified dollar threshold in accordance with FAR 15.403-4, and not covered by an exception or waiver in accordance with FAR 15.403-1, Prohibition on Obtaining Certified Cost or Pricing Data.