BAAARDECOverarching_September_2016.doc

W15QKN-16-R-07K7

REQUEST FOR RESEARCH PROPOSALS FOR

NEW AND INNOVATIVE IDEAS

FOR

TECHNOLOGY FOCUSED AREAS OF INTEREST

BROAD AGENCY ANNOUNCEMENT

FOR

CONTRACTS, GRANTS, COOPERATIVE

AGREEMENTS AND OTHER TRANSACTIONS

W15QKN-16-R-07K7

Issued by:

U.S. Department of the Army

Research, Development, and Engineering Command-Armaments Research, Development and Engineering Center (RDECOM-ARDEC), Business Interface Office (EIB) BAA Issue Date: 9 September 2016 Expiration Date: 8 September 2019

REQUEST FOR RESEARCH

PROPOSALS FOR

NEW AND INNOVATIVE IDEAS

FOR

TECHNOLOGY FOCUSED

AREAS OF INTEREST

TABLE OF CONTENTS

INTRODUCTION

PART I: TECHNOLOGY AREAS OF INTEREST

PART II: WHITE PAPER: CONTENT, PREPARATION, AND SUBMISSION

PART III: RESEARCH PROPOSAL: CONTENT, PREPARATION, AND SUBMISSION

Section 1 – Introduction Section 2 - General Information Section 3 - Contents Of Complete Research Proposals Section 4 - Information To Be Requested From Successful Proposal Offerors Section 5 - Other Information Section 6 – Grants Registration ……………………………………………………………29

PART IV: PROPOSAL EVALUATION

PART V: PROPOSAL FORMS

INTRODUCTION

This Broad Agency Announcement (BAA), which sets forth technology areas of interest to the U.S. Army Armament Research, Development and Engineering Center (ARDEC), Picatinny Arsenal, New Jersey, is issued under the paragraph 6.102(d)(2) of the Federal Acquisition Regulation (FAR), which provides for the competitive selection of proposals. Proposals submitted in response to this BAA and selected for award are considered to be the result of full and open competition and in full compliance with the provision of Public Law 98-369, "The Competition in Contracting Act of 1984" and subsequent amendments.

Proposals and white papers putting forth new and novel ideas are sought for the research and development of technologies to fill the complete spectrum of ARDEC technology needs throughout the armaments life cycle. Through interactive collaborations with industry and academia, the Government expects to advance the development and maturation of areas of technology as applied to armaments systems. Proposals and white papers shall be evaluated only if they are for scientific study and experimentation directed toward advancing the state of the art or increasing knowledge and understanding within the ARDEC technical community.

In order to conserve valuable offeror and Government resources and to facilitate determining whether a proposed effort meets the guidelines described herein, prospective offerors contemplating submission of a white paper or proposal are strongly encouraged to contact the Technical Point of Contact (TPOC). The TPOC name, telephone number, and e-mail address is listed below. If an offeror elects to submit a white paper, it shall be prepared in accordance with the instructions contained in PART II. Upon receipt of a white paper, it will be evaluated and the offeror shall be advised of the evaluation results. Offerors whose white papers receive a favorable evaluation may be contacted to prepare a complete proposal in accordance with instructions contained in PART III, Section 3.

The costs of white papers and/or complete proposals in response to this BAA are not considered an allowable direct charge to any award resulting from this BAA or any other award. It may be an allowable expense to the normal bid and proposal indirect cost specified in FAR 31.205-18.

In accordance with federal statutes, regulations, and Department of Defense 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.

Offerors submitting proposals are cautioned that only a Contracting, Agreements, or Grants Officer may obligate the Government to any agreement involving expenditure of Government funds. It is preferred that proposals are submitted to cover a 3-year period of performance and include a brief summary of work contemplated for each 12-month period. This facilitates the negotiation of awards for an entire 3‑year program funded on an incremental basis.

Administrative inquires regarding this BAA shall be addressed in writing via email to the Contract Specialist, Procurement Office Point of Contact, Ms. Patricia Kleiman:

Email:

patricia.a.kleiman.civ@mail.mil

Address:

US Army Contracting Command

Joint Munitions & Lethality, Life Cycle Management Command

Attn: Ms Patricia Kleiman, Bldg. 9, ACC-NJ-ET

Picatinny Arsenal, NJ 07806-5000 Technical questions should be referred to the Technical Point of Contact (TPOC), ARDEC Business Interface Office, William R Sharpe:

Email:

william.r.sharpe.civ@mail.mil

Address:

US Army Armament RD&E Center

Attn: Mr. William Sharpe, ARDEC Business Interface Office, RDAR-EIB

Bldg.1, 3rd Fl

Picatinny Arsenal, NJ 07806-5000

(973) 724 - 7144 This BAA is available on the following websites:

Federal Business Opportunities: http://www.fedbizopps.gov/ This BAA is a continuously open announcement valid throughout the period from the date of issuance through the expiration date stated on the cover page of this BAA unless announced otherwise. Proposals and white papers may be submitted within the specified solicitation cycle which will be announced annually throughout the timeframe that this BAA remains open. Proposals and white papers submitted prior to this BAA expiration date that are for scientific study and experimentation directed toward advancing the state of the art or increasing knowledge and understanding within the ARDEC technical community, will be accepted for evaluation. Amendments to this BAA shall be posted to the FedBizOps web site and published at the above websites when they occur. Interested parties are encouraged to periodically check these websites for updates and amendments.

PART I - RESEARCH AREAS OF INTERESTS

RESEARCH AREAS

The US Army Business Interface Office is looking to identify and develop technologies for the purpose of generating future armament systems. This Broad Agency Announcement (BAA) sets forth research areas of interest to the RDECOM-ARDEC, Business Interface Office and is issued under paragraph 6.102(d)(2) of the Federal Acquisition Regulation (FAR), which provides for the competitive selection of proposals. The ARDEC research, development, and engineering facility is responsible for the full life-cycle of small, medium and large caliber ammunition and weapons, to include mortars, tank guns, and artillery cannon for howitzers. Additionally ARDEC provides tank turret support for ABRAMS and Crew Cooling for ABRAMS, Bradley and LAV combat vehicles and supports the Army's industrial base at the Watervliet Arsenal. Efforts under this BAA should focus on the development and demonstration of technology for current and future generation munitions and armament systems. This shall be accomplished via investigative efforts in the following general technology areas:

1. Advanced Materials

2. Testing Methodology

3. Electronics

4. Manufacturing Sciences

5. Modeling and Simulation

6. Optics

7. Biometrics

8. Power, Energy and Environmental Management Sciences

9. Acoustics

10. Data Fusion

11. Advanced Design Technologies

12. Sustainment, Health Monitoring and Supply Chain Management

13. Technology Exploitation

1. The Government has the need for efforts in the development and demonstration of advanced materials for weapons and munitions applications. This shall include advanced alloy systems, polymers and composites that can reduce parasitic weight, increase performance (lethality, range, etc.), extend shelf life, reduce item costs, conserve strategic materials, or in other ways help to create or achieve the Army’s vision of the future. Materials of interest include, but are not limited to: titanium, tantalum, tungsten, steel, nickel, aluminum, magnesium, ceramics, cermets, rare earth metals, polymer-based composites, filled composite materials and metal-matrix composites. Processes and production systems to manufacture, as well as specialized tools and methodologies for characterization, testing, and analysis of these advanced materials, are desired.

The Government is interested in materials that will reduce weight, improve ballistics or provide protection to extend the service life of the barrels and other components of weapon systems. These materials may be associated with coatings e.g. cold spray, plasma spray, laser deposition, high velocity oxygen fuel, laser peening, etc; surface modification i.e. superfine finishing, or material substitutions such as ceramic, polymer and/or composite materials. The behavior of materials in service conditions such as crack initiation and growth as well as fatigue behavior of materials is of interest. Additionally, nano-materials hold great promise either in themselves or in combination with other materials to increase the performance of the base materials. Processes which produce unique materials with a nano-size grain structure are of interest.

2. The Government has the need for efforts addressing non-destructive testing technology. This shall include efforts that advance the state of the art for performing natural and induced environmental testing of explosive and inert armaments, munitions, and fire control devices at the system and component levels, and developing and implementing new non-destructive evaluation techniques for product evaluation; dimensional analysis; joining technology; and additive manufacturing.

The Government has the need for efforts addressing advanced capabilities associated with armament system ballistic test and evaluation (T&E). These efforts shall address the complete infrastructure associated with a fully functional state-of-the-art ballistic test facility. Focus shall be on improving T&E efficiency by reducing cycle time, increasing the reliability of data capture, minimizing environmental impact, incorporating state-of-the-art instrumentation and technique and integrating virtual participation while maintaining the standards required by government regulation and licensing permits. Introduction of novel T&E equipment and methodology is encouraged.

3. The Government has the need for efforts addressing fabrication technology development for micro-system chips based on the silicon, deep reactive ion etching (DRIE) process. This technology is to be utilized for miniature fuze systems. Processed chips will be applied for microelectromechanical system (MEMS) devices for Safe and Arm and micro-initiation components. The Government has the need for efforts in the development of anti-tamper systems for remote armament systems. Anti-tampering systems are needed in increasing numbers as military priority capability needs for autonomous tactical behaviors, autonomous movement and manned/unmanned lethality are growing. Solutions are being sought to protect remote armament systems on the battle field, in urban environments and in storage. The efforts developed should include a capability that tracks tampering attempts made on unmanned systems. Anti-tamper systems that are capable of deactivating battery-operated unmanned systems are needed as well. The Government has a need for efforts in the development of micro-system packaging and micro-system architecture for input into remote armament systems. Novel optical, electrical and hermetic sealing techniques and capabilities will be needed to support this effort.

4. The Government has a need for efforts in the development and demonstration of the science behind the manufacture of quality weapon and munitions components, and the integrated data environment that will allow the process knowledge to be retained by the Army in a central repository for future use by the Army’s Production Base. These efforts shall address the identification, definition and understanding of materials, equipment, processing and procedures associated with the manufacture of weapons and munitions components; and the capture of that information so that this knowledge can be readily transferred to the industrial base for use in component manufacture. Efforts shall also address the integration of the 3D-Technical Data Package philosophy in the design to manufacturing cycle, and the sharing of digital information across dissimilar systems. Efforts that enhance ARDEC’s ability to understand the underlying science of component manufacture or further ARDEC’s capability to document and transfer manufacturing processes are desirable. Additionally, efforts that establish manufacturing science test beds, including Additive Manufacturing, to complement ARDEC’s prototyping capabilities, and those that team with ARDEC via an Integrated Data Environment are encouraged.

The Government is interested in proposals for advancing the state of the art in manufacturing and fabricating components for weapon and munitions systems. Of high interest are technologies that will extend the life of high value components, such as gun barrels. These technologies may be associated with coatings e.g. cold spray, plasma spray, laser deposition, high velocity oxygen fuel coating, laser peening, intensive quenching, etc; and surface modification, i.e. superfine finishing, or material substitutions such as ceramic materials. Also, processes that reduce weight of system components or extend performance either in terms of life, ballistics, or protection are of interest. Further, the Government is interested in manufacturing processes to reduce cost, cycle time, and fabricate parts where price is independent of quantity, examples of such processes include rapid prototyping technology, free forming technology whether laser based, plasma based, or polymer based. Our vision of the future requires a “paperless process” from designer to machine. Inherent in this process are several subsets including a “model centric” design environment, includes intelligent machining, joining, and processing. One goal is to add intelligence to machine tools to enable them to do a self assessment, self programming, self diagnostics, self scheduling, and in-process monitoring using both software and sensor tools capable of surviving in the harsh processing environment. Lastly, the Government is interested in fiber optic technology, and remote sensing or optics necessary for such systems, and technologies that instill intelligence in processes or machine tools e.g. modeling, data analysis, data fusion, etc.

The Government is interested in proposals to support our “model centric” design environment to rapidly advance the state of the art in modeling, simulation, design, manufacturing, and field support of components for weapon systems. Specifically, the government has interest in technologies that transition from development to production of advanced design methodologies and ensure that this transition occurs seamlessly and with the greatest possible understanding of manufacturing process capability in relation to design intent. It will be essential to establish process capability relative to design intent baselines and goals (i.e., Cp, CpK) and put the disciplines, methodologies, and tools in place to meet these goals. Additionally, the Government is interested in design expertise, methodologies and tools to achieve “quality” hardware from the very start of production and throughout the program production life cycle. The expertise and tools may include the capability to define and flow complex requirements at the characteristic level through multiple layers of the supply chain, simulate optimum processes and tooling for material and machined parts, and seamlessly document process capability in relation to design intent, providing for continuing improvement of both design and manufacturing processes.

5. The Government has the need for efforts in the development and demonstration of modeling and simulation as tools to assist in streamlining of the munitions manufacturing process. Processing and simulation models are needed to minimize experimental iterations required to validate advanced processes and state-of-the-art technologies that heretofore have not been used to manufacture weapons and munitions components. Additionally, efforts that use simulation to address production scenarios to minimize cost are also needed. Finally, any modeling or simulation technology that assists in extending the life expectancy of Army equipment and is seen as helping to create or achieve the Army’s vision of the future is encouraged.

The Government is interested in proposals for advancing the state of the art in modeling, simulation, design, manufacturing, and field support of components for weapon and munitions systems. Predictive models and computer simulations for many advanced processes and state-of-the-art technologies are needed. Predictive and simulation models for new processes are necessary to optimize the process so that the first application (and every application thereafter) meets the specified requirements and quality specifications. Validated models are also needed to allow different production scenarios to be "enacted" through simulation and thereby minimize experimentation, design and manufacturing costs. In addition to its use as a tool to better understand and optimize performance and/or reliability of systems, simulation technology is needed to verify the correctness of designs. Another important application of simulation is in developing "virtual environments", e.g., for training. Such simulations are used extensively today to train military personnel for battlefield situations, at a fraction of the cost of running exercises involving actual personnel, tanks, aircraft, etc.

6. The Government has the need for efforts in the development of optics technology. This shall include efforts that advance the state of the art in performance of optical, electro-optical and laser systems. Novel optical techniques and capabilities will be needed to support efforts in fuzing, fire control and directed energy systems. Any optical technology that is seen as helping to create or achieve the Army’s vision of the future is encouraged.

7. The Government has the need for efforts in the development of biometric and identification technology. This shall include efforts that advance the state of the art in the ability to detect, identify, characterize, and track items, activities, conditions, and events worldwide which will provide direct benefit to the warfighter. The Government has the need to analyze, improve, verify and validate biometric technology supporting collect, store, match, analyze, manage, reference and share functions of the DoD’s authoritative repository and next generation tactical handheld collection devices. Current biometric technologies assist in providing these capabilities but are limited to the degree of which they can scale and meet future needs. More advanced biometric collection, storage, matching, data analysis, management, reference, and sharing systems will allow the government enhanced situational awareness, and identity superiority on the battlefield for today’s mission as well as mission requirements far into the future.

8. The Government has a need for efforts in the development and demonstration of Novel Power, Energy and Environmental Management Systems, i.e., develop and demonstrate the critical components for improved reserve batteries, hybrid power sources, and other novel power sources to include power harvesting and power distribution concepts. Fuel cell and Lithium (or Li Ion) battery research and manufacturing technology development are also possible areas for projects.

The Government is interested in proposals for advancing the state of the art in materials and technology for sustainable energy and environmental protection. Specifically, the Government is interested in materials and technology that will provide for improved energy efficiency, reduced logistics and/or weight burden, and overall sustainability of energy sources during military deployment, and with a clean environmental footprint. Technologies of interest include, but are not limited to, those for power and energy conversion, power generation, energy storage and recovery, renewable energy, and hybrid intelligent management technologies. Materials of interest include, but are not limited to, coatings/materials to improve efficiency of photovoltaic and/or thermo-electric generators, novel materials for weight reduction and improved performance in batteries, materials for forward deployable sustainable energy systems, etc. Technologies proposed should demonstrate dual-use applications and have direct application to the Warfighter. Additionally, the Government is interested in innovative research that can lead to portable, efficient, and compact power technologies that enhance the military’s reach, decrease the logistical burden, and improve energy efficiency at all levels. Specific areas of interest include, but are not limited to, innovative energy conversion, energy harvesting, micro-scale power sources, storage and recovery technologies, renewable energy including solar and wind, energy harvesting/scavenging technologies, hybrid intelligent management technologies, alternative energy systems, fuel cells, and micro-grid forward deployable energy solutions. Also, the development of advanced novel electric and magnetic materials and coatings/materials that improve energy efficiency and enable sustainable power and energy technologies is of interest as well as novel coatings/materials for photovoltaic and thermo-electric generators, advanced nano-composites for turbine technology, enabling coatings/materials for advanced oil-free turbo-machinery or alternative approaches, high temperature materials to reduce weight and increase efficiency of high temperature engines, novel battery materials, etc. In addition, the Government is interested in innovative research that can lead to portable, efficient, and compact power technologies that increase our military’s reach, decrease the logistics burden, and improve the overall efficiency of our war fighting forces, especially for distributed and net-centric operations.

Finally, the Government is interested in emerging technologies that can eliminate the use of Cr+6 based (hexavalent chromium) surface treatments used on weapon system components to include but not limited to gun barrels, recoil mechanisms, aircraft landing gear assemblies, etc. These processes shall be environmentally-compliant and provide equivalent, or better, performance as compared to Cr+6 -based surface treatments.

9. The Government has the need for efforts in the development of acoustic technology. Areas of interest include technologies and approaches that address, but are not limited to, the transduction process (converting energy from some other form into acoustic energy that produces the acoustic wave and the reverse process) and acoustic wave propagation. This area of interest revolves around the generation, propagation and reception of mechanical waves and vibrations in air, fluids and solids. Approaches which can help create or achieve the Army’s vision of the future are encouraged.

10. The Government has the need for efforts that address the development of Information Fusion technology that integrates the munition / launch platform with incoming intelligence. Fusion is the process in which data generated by multiple sources is correlated, to assure smart weapons systems are as precise as necessary to achieve mission success. There are several requirements for fusion. First is to gather information. The fusion process, operating over integrated communications networks, includes accepting data from all weapons systems sources. Sensors include combat platforms and soldiers, organic manned and unmanned reconnaissance and surveillance of targets and projectile trajectories to the target. The final requirement of fusion is to provide meaning to the information that has been acquired in order to direct a weapons systems to its final mission objective, thence to determine a weapons systems success by remote real time target kill assessments.

11. The Government has the need for efforts that address the development and demonstration of Advance Design Technologies. These technologies include threat recognition, targeting, and system communication of mission commands, remotely operated platforms, weapon systems and weapon systems security, control unit systems, battlefield automation systems, software/performance analysis, emerging software technologies, embedded systems, navigational guidance platforms, integrated user interfaces and processors, computer based systems, orientation and ranging technologies, enhanced software algorithm development and software sustainment/supportability as each relates to embedded software resident in weapons, improvements to existing systems and development of new systems including the design, development, fabrication of hardware and electronics of these systems. Mission objectives are to enhance supported platforms, reliability, response time, and accuracy in meeting the Army’s Vision.

12. The Government is interested in proposals for advancing the state of the art in force sustainment capabilities, health monitoring of systems, sense and respond supply chain management technologies and methodologies that directly support the war fighter. Specifically, the Government is interested in technologies and approaches that address the planning, setup and operation of production and supply nodes, tools based on best practices to evaluate the performance of production, supply and demand nodes over the entire network, aggressive sustainment capabilities for logistical operations and to address the problem of diminishing manufacturing resources and material shortages (DMSMS) on overall responsiveness of the supply chain. Additionally, the Government is interested in pursuing technologies that provide for system health monitoring to provide early warning prior to component failures due to but not limited to high-cycle fatigue, low-cycle fatigue, abrasion, wear, thermal attack, chemical attack or any combination of these to be applied to existing and developmental systems.

13. The Government is interested in efforts that exploit / leverage the existing worldwide technology base to address user requirements and operational deficiencies to minimize cost and time-to-field for next generation weapons and munitions. The Government is interested in efforts that involve the adaptation of advanced and innovative technology, processes and procedures from the private sector for military applications. Additionally, efforts that evaluate transition potential of adapting existing military technology for unique warfighter needs are encouraged. Further, prototyping efforts, including Additive Manufacturing, that assess manufacturing technologies and R&D systems at Government facilities are wanted. Finally, efforts that provide rapid response technologies to fulfill needs in critical, high priority missions are needed. This may also include coordinated efforts that evaluate operational environments and requirements in relation to a proposed technology.

ARDEC is interested in the development of other approaches, technologies, planning, scheduling, training etc. which may not be explicitly mentioned but which address ARDEC capability gaps and help to create or achieve the Army’s vision of the future. The US Army Business Interface Office is looking to identify capabilities and technologies that will lead to the development of prototype solutions for the warfighter. The technology areas set forth in this BAA address the technology needs and capability gaps as well as the scientific areas of interest at ARDEC. Proposed efforts under this BAA should focus on the utilization of demonstrated technologies emanating from the disciplines outlined above, to develop prototype solutions for current and future generation munitions and armament systems. Potential offerors are encouraged to contact the Technical Point of Contact (TPOC) for preliminary discussions on their ideas. To establish the suitability of proposed research topics, direct contact by telephone or electronic mail with the TPOC and submittal of white papers (not to exceed five (5) pages) are strongly encouraged. These white papers will undergo technical evaluation in terms of scientific merit and Army relevance. Offerors whose white paper is assigned a rating of ‘Promising’ by the committee are encouraged to submit a complete, formal proposal.

PART II – WHITE PAPER: CONTENT, PREPARATION AND SUBMISSION

1. Application and Submission Process

The first step is to verify the accuracy of your Dun & Bradstreet (D&B) registration at the D&B website http://fedgov.dnb.com/webform before registering with the System for Award Management (SAM) at http://www.sam.gov. Prospective offerors must be registered in SAM prior to award. The SAM obtains Legal Business Name, Doing Business Name (DBA), Physical Address, and Postal Code/ Zip+4 data fields from D&B: If corrections are required, registrants will not be able to enter/modify these fields in SAM; they will be pre-populated using D&B Data Universal Numbering System (DUNS) record data. When D&B confirms the correction has been made, the registrant must then re-visit ccr.gov and 'accept' D&B's changes. Only at this point will the D&B data be accepted into the SAM record. Allow two (2) business days for D&B to send the modified data to SAM.

White Paper Background: White papers are initially sought to preclude unwarranted effort on the part of the offeror in preparing full technical and cost proposals without an initial assessment of the operational, technical and logistical feasibility of the concept. Offerors submitting white papers that receive a rating of Promising are encouraged to submit a full technical and cost proposal on all or part of their white paper submission. However, any such encouragement does not assure a subsequent award. Any offeror may submit a full proposal even if its white paper was not identified as promising or if no white paper is submitted. White papers, in Microsoft Word format, shall be submitted in an attachment to an email addressed to the Procurement Office POC identified in the introduction of this BAA.

White Papers Evaluation/Notification:

Evaluations of all white papers submitted in response to this BAA will be issued via e-mail notification on or about three weeks after receipt by the government. Each paper will subsequently be assigned one of the following three ratings: Promising, Acceptable, or Not of Interest at this time. The following are the definitions of these ratings:

Promising: White Paper demonstrates good understanding of the research area’s technical objectives, displays a solid technical approach, and has a medium to high probability of achieving all or most of the requirements of the objective. White Paper has one or more strengths that can significantly benefit the government.

Acceptable: White Paper demonstrates some understanding of the research area’s technical objectives and displays an approach that has a fair probability of achieving some of the requirements of the objective. White Paper has potential to benefit the government, but is not considered a priority, as written.

Not of Interest at this time: White Paper demonstrates a shallow understanding of the research area’s technical objectives and/or the approach has little probability of achieving any requirements of the objective. White Paper proposes a less than minimally acceptable solution to the government.

Offerors submitting white papers that receive a rating of “Promising” are encouraged to submit full technical and cost proposals via the above referenced e-mail address. However, any such encouragement does not assure a subsequent award.

Submission of Full Proposal

Any offeror may submit a full proposal even if its white paper was not identified as being “promising.” However, the Army’s initial evaluation of the white papers should give potential offerors some indication of whether a full proposal would likely result in an award. If the white paper is identified as “Acceptable”, or “Not of Interest at this time,” it is likely that no award will be made.

2. Content and Format of White Papers

The White Papers and Proposals submitted under this BAA shall be unclassified. The Proposal submissions will be protected from unauthorized disclosure in accordance with FAR 15.207, applicable law, and DoD regulations. Offerors are expected to appropriately mark each page of their submission that contains proprietary information. Important Note: Titles given to the white papers should be descriptive of the work they cover and not be merely a copy of the title of this solicitation. The author must identify one of the research areas of interest listed in this BAA for which the white paper responds to.

3. Restrictive Markings On White Papers:

a. Any included proprietary data that the offeror intends for use exclusively by the Government for evaluation purposes, must be identified. The offeror must also identify any technical data contained in the white paper that is to be treated by the Government as limited rights data. In the absence of such identification, the Government will assume to have unlimited rights to all technical data 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 privileged information before the award and to disclose their contents only for the purpose of evaluation.

b. The offerors are cautioned, however, that portions of the white papers may be subject to release under terms of the Freedom of Information Act, 5 U.S.C. 552, as amended.

c. Care must be exercised to ensure that classified, sensitive, critical technology(ies) is not included. If such documents are required, appropriate restrictive markings and procedures should be applied.

1. White Paper Format

• Paper Size – 8.5 x 11 inch paper

• Margins – 1” inch

• Spacing – single spaced

• Font – Times New Roman, 12 point

• Number of Pages – No more than five (5), single-sided pages, excluding cover page, plus one page addendum as discussed below. White Papers exceeding the page limit may not be evaluated. Evaluators will be advised that they are only required to review the white paper cover page and up to six pages including the addendum.

5. White Paper Content

White papers should include the following items:

a. Cover page: clearly labeled “White Paper”, including BAA title and number, Area of Interest (listed in the BAA - identify one only per white paper), title of white paper, date, administrative and technical points of contact along with telephone, fax, and e-mail addresses. The cover page will not count toward the page limit.

b. Technical Description: to consist of:

1) A brief technical discussion of the effort’s objective, approach, and level of effort shall be submitted. Also include the nature and extent of the anticipated results and, if known, the manner in which the work will contribute to the accomplishment of Army’s mission and how this would be demonstrated.

2) The type of support, if any, that the offeror requests of the Government, such as facilities, equipment, demonstration sites, test ranges, software, personnel or materials, shall be identified as government furnished equipment (GFE), government furnished information (GFI), government furnished property (GFP), or government furnished data (GFD). Offerors shall indicate any Government coordination that may be required for obtaining equipment or facilities necessary to perform any simulations or exercises that would demonstrate the proposed capability.

3) As an addendum to the white paper, include biographical sketches (one page) of the key personnel who will perform the research, highlighting their qualifications and experience.

4) The cost portion of the white paper shall contain a brief cost estimate revealing all the component parts of the proposal, including research hours, burden, material costs, travel, etc.

PART III – RESEARCH PROPOSAL: CONTENT, PREPARATION AND SUBMISSION

SECTION 1 - INTRODUCTION: This part provides information for preparing research proposals for submission, via email or on electronic media, to the Procurement Office POC identified in the “Introduction” above.

SECTION 2 - GENERAL INFORMATION:

All offerors preparing research proposals for submission IAW this BAA should initially submit the information as described below:

TABLE OF CONTENTS: PART V of this BAA contains the required Table of Contents format. Offerors' proposals should show the location of each section of the proposal, as well as major subdivisions of the project description.

A-1: COVER PAGE:

1. See PART V of this BAA for the required Cover Page. “Proposals will not be processed without a signed Cover Page".

Should the project be carried out at a branch campus or other component of the submitting organization, that branch campus or component shall be identified in the appropriate location in the proposal.

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

3. The proposed duration for which support is requested should be consistent with the nature and complexity of the proposed activity. Where appropriate, contract awards for periods up to three (3) years (1 basic year of performance with two 1-year options) will be made. Nevertheless, the federal awarding agency reserves the right to make awards with shorter or longer periods of performance.

4. Specification of a desired starting date for the project is important and helpful however, requested effective dates cannot be guaranteed. Should unusual situations, such as long lead-time on awards, create problems regarding the proposed effective date, the investigator should consult the proposing organization's business office.

5. Should any of the special aspects apply to a proposal, the appropriate box(es) should be checked.

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

7. Offerors shall provide their organization's Data Universal Numbering System (DUNS) number. The DUNS number is a nine-digit number assigned by Dun and Bradstreet Information Services.

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

9. Proposals must be cleared through the organizational office having responsibility for Government business relations. An official authorized to commit the organization in business and financial affairs must sign the original copy of the Cover Page.

B-1: STATEMENT OF DISCLOSURE PREFERENCE:

1. Complete statement of disclosure forms for Industrial Contractors or Educational and Nonprofit Organizations as provided in PART V.

C-1: ABSTRACT:

1. The Abstract shall include a concise statement of work and basic approaches to be used in the proposed effort. The abstract should include a statement of objectives, methods to be employed, and the significance of the proposed effort to the advancement of knowledge.

2. The abstract should be no longer than one (1) page and be in a form suitable for release under the Freedom of Information Act, 5 U.S.C. 552, as amended. The abstract should indicate the effort intended for each 12-month period of research, where applicable.

D-1: TECHNICAL PROPOSAL:

The technical portion of the proposal should contain the following:

1. The offeror should demonstrate that he has thoroughly analyzed the problem to be addressed and provide detailed background information on the issue to be investigated, with particular emphasis on their previous efforts in this area. Include a complete discussion stating the background and objectives of the proposed work, the approaches to be considered, and the level of effort to be employed. Include also the nature and extent of the anticipated results and, if known, the manner in which the work will contribute to the accomplishment of the Army's mission.

2. The offeror should propose a solution / approach that clearly indicates a strong potential to address the issue to be investigated. It shall provide specific supporting information (data), and include alternatives and risk mitigators where applicable

3. The offeror should thoroughly analyze the approach to be taken. He / She shall evaluate potential impediments to success, and shall provide a detailed plan that addresses the major issues.

4. The offeror should demonstrate the capability to manage the various aspects of the effort to be performed. This shall include a program management structure, a detailed schedule and team member qualifications.

5. A brief description of your organization. If the offeror has extensive government contracting experience and has previously provided the information to the issuing office identified on the cover of this BAA, the information need not be provided again. A statement setting forth this condition should be made.

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

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

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

9. The type of support, if any, requested (e.g., facilities, equipment, and materials).

10. For submission of proposals for Cooperative Agreements describe the following: (1) how the principle purpose of the research to be performed will stimulate or support a public purpose (i.e., to provide assistance), rather than acquisition (i.e., to acquire goods and services for the direct benefit of the United States Government). If the principal purpose is acquisition, then the grants officer shall judge that a procurement contract is the appropriate instrument, in accordance with 31 U.S.C. chapter 63 (“Using Procurement Contracts and Grant and Cooperative Agreements”); and (2) how substantial Government involvement is expected. For example, substantial Government involvement may include collaboration, participation, or intervention in the program or activity to be performed under the award.

11. For submission of proposals for Grants, describe how the principle purpose of the research to be performed will stimulate or support a public purpose (i.e., to provide assistance), rather than acquisition (i.e., to acquire goods and services for the direct benefit of the United States Government). A Grant may be proposed if the principle purpose of the research to be performed will stimulate or support a public purpose, but there is no and/or limited substantial Government involvement.

E-1: BIOGRAPHICAL SKETCHES:

1. This Section shall contain the biographical sketches for senior personnel only. The following information is required:

a.

Relevant experience and employment history including a description of any prior Federal employment within one year preceding the date of proposal submission.

b.

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

c.

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

d.

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

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

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

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

F-1: BIBLIOGRAPHY:

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

G-1: PAST PERFORMANCE:

Offerors shall submit a list containing no more than five (5) relevant Government and non-Government contract references (including contract number, type, and dollar value; place of performance; date of award; whether performance is on-going or complete; extent of subcontracting; and the names, phone numbers, and e-mail addresses of at least two points of contact (POCs) for each contract) that were awarded within the last three (3) years. Relevancy refers to contract awards for the same or similar items. Offerors shall provide a specific narrative explanation of each contract listed describing the objectives achieved and detailing how the effort is relevant to the efforts described in the offerors technical proposal. For any contract listed that did not/do not meet original schedule or technical performance requirements, provide a brief explanation of the reason(s) for the shortcoming and any corrective action(s) taken to avoid recurrence.

In addition, offerors shall submit information related to their past performance on relevant efforts for state and local Government, private sector clients, subcontracts, and team or joint efforts. If offerors have no relevant past performance information, past performance information for their key personnel and/or key subcontractors shall be submitted. Be advised that the Government may use past performance information obtained from sources other than those identified by the offeror.

H-1: CURRENT AND PENDING SUPPORT:

1. PART V of this BAA provides a model format for reporting all current, on-going projects, and pending support for proposals, including subsequent funding in the case of continuing contract award. All project support from whatever source must be listed. The list must include all projects requiring a portion of the principal investigator's and other senior personnel's time, even if they receive no salary support from the project(s).

2. The information should include, as a minimum: (i) the project/proposal title and brief description, (ii) the name and location of the organization or agency presently funding the work or requested to fund such work, (iii) the award amount or annual dollar volume of the effort, (iv) the period of performance, and (v) a breakdown of the time required of the principal investigator and/or other senior personnel.

I-1: FACILITIES, EQUIPMENT, AND OTHER RESOURCES:

The offeror should include in the proposal a listing of facilities, equipment, and other resources already available to perform the research proposed.

J-1: BUDGET PROPOSAL (including DD Form 1861):

1. Each proposal must contain a budget for each year of support requested and a cumulative budget for the full term of requested support. The proposal may request funds under any of the categories listed so long as the item is considered necessary to perform the proposed work and is not precluded by applicable cost principles. In addition to the forms, the budget proposal should include up to five (5) pages of budget justification for each year. A summary budget page for each year should be included. The documentation pages should be titled "Budget Explanation Page" and numbered chronologically starting with the budget form. The need for each item should be explained clearly. Each direct and indirect rate used in the budget/cost proposal shall be listed in each area of the budget/cost proposal where they are applied.

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

Educational Institutions: OMB Circular A-21

Nonprofit Organizations: OMB Circular A-122*

Commercial Organizations: FAR Part 31, DFARS Part 231, FAR Subsection 15.403-5, and DFARS Subsection 215.403-5

*For those nonprofit organizations specifically exempt from the provisions of OMB Circular A-122, FAR Part 31 and DFARS Part 231 shall apply.

3. THE ITEMIZED BUDGET(S) MUST INCLUDE THE FOLLOWING:

a. Direct Labor: Show the current and projected salary amounts in terms of man-hours, man-months, or annual salary to be charged by the principal investigator(s), faculty, research associates, postdoctoral associates, graduate and undergraduate students, secretarial, clerical, and other technical personnel either by personnel or position.