BAA_W15QKN-18-R-01HZ__TC_2-23-18.pdf

REQUEST FOR PROJECT WHITE PAPERS/PROPOSALS

DEFENSE PRODUCTION ACT BROAD AGENCY ANNOUNCEMENT FOR THE

EXPANSION OF PRODUCTIVE CAPACITY AND SUPPLY

using

CONTRACTS, GRANTS, COOPERATIVE

AGREEMENTS AND OTHER TRANSACTIONS

W15QKN-18-R-01HZ

Issued by:

U.S. ARMY CONTRACTING COMMAND-NEW JERSEY-EMERGING TECHNOLOGIES

CONTRACTING CENTER

on behalf of:

THE DEFENSE PRODUCTION ACT TITLE III OFFICE IN THE MANUFACTURING AND

INDUSTRIAL BASE POLICY (MIBP) OFFICE IN THE OFFICE OF UNDER SECRETARY

OF DEFENSE FOR ACQUISITION AND SUSTAINMENT

BAA Issue Date: 23 February 2018 Expiration Date: 22 February 2023 i

REQUIRED OVERVIEW CONTENT

1. Agency Name: U.S. Army Contracting Command-New Jersey, Emerging Technologies Contracting Center,

2. Issuing Acquisition Office: U.S. Army Contracting Command-New Jersey, Emerging

Technologies Contracting Center-Benet Laboratories, Watervliet Arsenal, NY

3. Broad Agency Announcement Title: Defense Production Act Broad Agency Announcement for the expansion of productive capacity and supply

4. Announcement Type: Initial Announcement

5. Research Opportunity Number: W15QKN-18-R-O1HZ

6. Catalog of Federal Domestic Assistance (CFDA) Number and Title: 12.777 – Defense

Production Act Title III (DPA Title III)

7. National American Industry Classification System (NAICS): 339999 – All Other Miscellaneous Manufacturing

8. Response Dates: This BAA is a continuously open announcement valid throughout the period from the date of issuance through 22 February 2023, unless announced otherwise.

ii

TABLE OF CONTENTS

INTRODUCTION

PART I – PROJECT FOCUS AREAS

PART II – WHITE PAPER: CONTENT, PREPARATION AND SUBMISSION

PART III – FULL PROJECT PROPOSAL: CONTENT, PREPARATION AND SUBMISSION

PART IV – FULL PROJECT PROPOSAL EVALUATION

PART V – PROPOSAL PACKAGE ORGANIZATION AND FORMS

INTRODUCTION

The Defense Production Act (DPA) of 1950 was enacted in response to domestic manufacturing challenges at the outset of the Korean conflict to ensure the vitality of the domestic industrial base. It “provides the President with an array of authorities to shape national defense preparedness programs and to take appropriate steps to maintain and enhance the domestic industrial base.” [50 U.S.C. § 4502]

“Utilizing the authority of subchapter II of this chapter or any other provision of law, the President may provide appropriate incentives to develop, maintain, modernize, restore, and expand the productive capacities of domestic sources for critical components, critical technology items, materials, and industrial resources essential for the execution of the national security strategy of the United States.” [50 U.S.C. § 4533]

To operationalize this authority, the Defense Production Act Title III Program Office in the Manufacturing and Industrial Base Policy (MIBP) Office in the Office of the Under Secretary of Defense for Acquisition and Sustainment (OUSD A&S) is seeking to identify projects that create, maintain, protect, expand, or restore domestic industrial base capabilities essential for the national defense using the following three criteria:

1. The industrial resource, material, or critical technology item is essential to the national defense;

2. Without Presidential action under this section, United States industry cannot reasonably be expected to provide the capability for the needed industrial resource, material, or critical technology item in a timely manner; and

3. Purchases, purchase commitments, or other action pursuant to this section are the most cost effective, expedient, and practical alternative method for meeting the need.

This Broad Agency Announcement (BAA) enhances the DPA Title III effort by providing to potential offerors information and procedures necessary to identify domestic industrial base projects, potentially meeting the DPA Title III criteria, by using the white paper and proposal formats. Project Announcements for a specific domestic industrial base shortfall, issued subsequent to this BAA, is the main method to initiate a call for white papers, leading to an evaluation and a potential request for full proposals. Accordingly, this BAA is structured in the following manner:

PART I contains the DPA Title III Project Focus Areas.

PART II contains the procedures for offerors submitting solicited white papers (against a specific Project Announcement) and unsolicited white papers against a more general Focus Area under the BAA.

PART III contains the procedures for offerors preparing full proposals after being notified that their white paper was found “Promising”.

PART IV contains the procedures and criteria for evaluating full proposals.

PART V contains proposal package organization as well as copies of the prescribed forms cited in PART III.

Note: Unsolicited white papers received by the DPA Title III Office may be reviewed on a semi-annual basis; however, notification to the offeror of the evaluation by the Government is not required or guaranteed. Unsolicited proposals will not be accepted.

This BAA is issued under the paragraph 6.102(d)(2) of the Federal Acquisition Regulation (FAR), which provides for the competitive selection of proposals. 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 unless announced otherwise.

Inquiries regarding administration of this BAA shall be addressed in writing via email to the Contract Specialist, US Army Contracting Command-New Jersey, Mr. Giuseppe Tropiano at:

giuseppe.tropiano.civ@mail.mil

Inquiries regarding DPA Title III Program matters in general shall be addressed by e-mail to the DPA Title III office at:

osd.pentagon.ousd-atl.mbx.mibp-dpa-title-iii@mail.mil

Individual awarded Projects will be managed by the respective Government Agency for which the needs defined in each Project Announcement meet its mission requirements. The contracting support required for project selection, award and execution are to be provided through their cognizant contracting agency, or as identified under each Project Announcement.

This BAA and any updates will be available continuously on the following websites:

Federal Business Opportunities: https://www.fbo.gov Grants.gov: https://www.grants.gov DPA Title III website: http://www.businessdefense.gov/Programs/DPA-Title-III

PART I – PROJECT FOCUS AREAS

Consistent with the law, the DPA Title III Program has derived three broad Focus Areas for potential projects. The Focus Areas are: Sustainment of Critical Production, Commercialization of Research and Development Investments and Scaling of Emerging Technologies. Each of the Focus Areas is expanded on below:

1. Sustainment of Critical Production: Programs addressing Industrial Base capability and capacity, whose primary focus is generating and sustaining Materiel Availability, Reliability, Maintainability, Mobility, Commonality, or Affordability.

2. Commercialization of Research and Development Investments: Advanced

Component or System Development and Demonstration capabilities may require investments to retain a qualitative edge in capabilities and establish commercial viability or scale up. Typical programs may begin with a technology proven capable of producing prototype components or systems in a production relevant environment.

3. Scaling of Emerging Technologies: Emerging Technology investments enable the rapid and affordable introduction of new capabilities into the organic or commercial marketplace. The technologies may be developed to respond to an emerging threat, a capability gap, or may enhance interoperability or service of existing systems or platforms. The interest in these projects may be the result of revolutionary RD&D capabilities.

Throughout the life of this BAA, individual projects will be called for via Project Announcements under one or more of the above Focus Areas.

PART II – WHITE PAPER: CONTENT, PREPARATION AND SUBMISSION

To preclude unwarranted effort on the part of the offeror, white papers, not full proposals, will be used to conduct an initial assessment of the operational, technical and logistical feasibility of the project proposed in a particular Focus Area - unsolicited proposals will not be accepted. White paper solicitations will be conducted using Project Announcements posted to the Federal Business Opportunities, Grants.gov, and the DPA Title III websites referenced in the Introduction section. Unsolicited white papers against a particular Focus Area under the BAA may be prepared by offerors using the same procedures as solicited white papers below, except for the Submission Step as indicated.

A. White Paper Content and Format

1. All white papers and subsequent proposals submitted in response to the Project Announcement, and/or all unsolicited white papers submitted against the Focus Areas under this BAA shall be unclassified. The white paper and 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.

Note: Titles given to the white papers in response to a specific Project Announcement should be descriptive of the work they cover and not be merely a copy of the title of the

Project Announcement. If an unsolicited white paper is submitted against the BAA, the author must identify one of the Focus Areas listed in this BAA for which the white paper responds to.

2. White papers should include the following items:

a. Cover page: clearly labeled “White Paper”, including BAA title and number, Project Announcement title and its associated Focus Area (listed in the specific Project Announcement - 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 and verification of SAM registration and EPLS status. The cover page will not count toward the page limit.

b. Technical Description (5 pages):

(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 the DPA Title III mission specific to the Project Announcement/Focus Area 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 (1) page) of the key personnel who will perform the effort, highlighting their qualifications and experience.

(4) The cost portion of the white paper, submitted as a separate attachment and limited to two (2) pages, shall contain a brief cost estimate revealing all the component parts of the proposal, including labor hours, burdened rates, equipment, material, any proposed cost share, travel, etc.

3. White papers should be prepared in the following format:

Microsoft Word format on 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, biographical sketches, and costs. 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 seven pages including the addendum and cost summary.

4. 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, or other assertions of rights. 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 or proposal. 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) Offerors are advised that employees of commercial firms under support contract(s) to the government may be used to administratively process white papers and proposals, or perform other administrative duties requiring access to other offerors' proprietary information, if applicable. These support contracts include nondisclosure agreements prohibiting their contractor employees from disclosing any information submitted by other contractors or using such information for any purpose other than that for which it was furnished.

(c) 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.

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

B. White Paper Submission Process:

1. First Step: The first step for an offeror submitting a white paper 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 As (DBA) name, 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 www.SAM.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. The offeror will provide a statement that verifies they have successfully registered in SAM, their SAM expiration date and verification of the offeror not being listed in the Excluded Parties List System (EPLS).

2. Submission Step:

(a) Solicited white papers should be delivered to both the DPA Title III office at:

osd.pentagon.ousd-atl.mbx.mibp-dpa-title-iii@mail.mil and the Contracting POC e-mail address or web address specified in the relevant Project Announcement.

(b) Unsolicited white papers should only be e-mailed to: osd.pentagon.ousd-atl.mbx.mibp-dpa-title-iii@mail.mil

3. Evaluation/Notification Step: The outcome of solicited white paper evaluations will be issued via e-mail notification by the Government Contracting Point of Contact in the relevant Project Announcement. Each solicited white paper will subsequently be assigned one of the following three ratings: a. Promising; b. Acceptable; or c. Not of Interest at this time. The following are the definitions of these ratings:

(a) Promising: White paper demonstrates good understanding of the Project

Announcement/Focus 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 correct a domestic industrial base shortfall.

(b) Acceptable: White paper demonstrates some understanding of the Project

Announcement/Focus 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 correct a domestic industrial base shortfall, but is not considered a priority, as written.

(c) Not of Interest at this time: White paper demonstrates a limited understanding of the Project Announcement/Focus 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.

Note: Unsolicited white papers received by the DPA Title III Office at the e-mail address above may be reviewed on a semi-annual basis; however, notification to the offeror of the evaluation by the Government is not required or guaranteed.

4. Next Step: Solicited white papers that receive a rating of “Promising” may be encouraged to submit full project proposals (in accordance with PART III of this BAA) to the Government Contracting Office POC’s e-mail address identified in the relevant Project Announcement. However, any such encouragement does not assure a subsequent project award.

Note: Solicited white papers receiving less than a “Promising” rating are discouraged from submitting a full project proposal. However, the Government Contracting Officer may modify these white paper evaluation and request for proposal terms to meet the needs of the Government.

PART III – FULL PROJECT PROPOSAL: CONTENT, PREPARATION AND

SUBMISSION

A. SECTION 1 - INTRODUCTION: This part provides information for preparing and submitting proposals via email or on electronic media, to both osd.pentagon.ousd-atl.mbx.mibp-dpa-title-iii@mail.mil and the e-mail address or web address specified in the relevant Project Announcement.

Note: Unsolicited proposals will not be accepted (see PART II for clarification)

B. SECTION 2 - GENERAL INFORMATION: All offerors preparing proposals for submission in accordance with this BAA should initially submit the information as described below:

1. PAGE LIMITATIONS:

(a) The following describes the page limitations of the proposal submittal: The full proposal may not exceed 50 single-sided pages. The cover letter, table of contents, tables, charts, figures, other illustrations, letters of support, and biographical sketches count toward the 50-page limit.

(b) The 50-page limit excludes the), the budget proposal, and the supporting budget proposal narrative. There is no page limit to the budget proposal submission.

(c) NOTE: Proposal pages beyond the 50-page limit will not be evaluated or read.

2. 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.

3. A-1: COVER PAGE:

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

Note: Should the project be carried out at an affiliate, business segment or other component of the submitting organization, that branch campus or component shall be identified in the appropriate location in the proposal.

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

(c) The proposed duration for which support is requested should be consistent with the nature and complexity of the proposed activity. Where appropriate, contractual awards for periods up to three (3) years (one (1) basic year of performance with two (2), one (1) year options) will be made. Nevertheless, the federal awarding agency reserves the right to make awards with shorter or longer periods of performance.

(d) 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 offeror’s technical/project lead should consult the proposing organization's business office.

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

(f) 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 will obtain each awardee's Taxpayer Identification Number (TIN)/Employer Identification Number (EIN). This number may be the EIN for a business or non-profit entity or the Social Security Number for an individual. The TIN/EIN 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.

(g) 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.

(h) 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.

(i) 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.

4. B-1 & B-2: STATEMENT OF DISCLOSURE PREFERENCE: Complete statement of disclosure forms for commercial entities and nonprofits as provided in PART V.

5. C-1: ABSTRACT:

(a) 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 create, maintain, protect, expand, or restore domestic industrial base capabilities essential for the National Defense.

(b) 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 the effort, where applicable.

6. D-1: TECHNICAL PROPOSAL: The technical portion of the proposal should contain the following:

(a) The offeror should demonstrate that he has thoroughly analyzed the Project Announcement/Focus Area and as specified in the announcement to be addressed and provide detailed background information on the issue to be pursued, with particular emphasis on their previous experience 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 DPA Title III mission.

(b) The offeror should propose a solution/approach that clearly indicates a strong potential to address the Project Announcement/Focus Area to be pursued. It shall provide specific supporting information (data), and include alternatives and risk mitigators where applicable

(c) The offeror should thoroughly analyze the approach to be taken and shall evaluate potential impediments to success, and shall provide a detailed plan that addresses the major issues.

(d) 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.

(e) 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.

(f) 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.

(g) 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.

(h) 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.

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

(j) For submission of proposals for Cooperative Agreements describe the following:

(1) how the principal purpose of the effort 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 will 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.

(k) For submission of proposals for Grants, describe how the principal purpose of the effort 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 principal purpose of the effort to be performed will stimulate or support a public purpose, but there is no and/or limited substantial Government involvement.

(l) For submission of proposals for Technology Investment Agreements, describe how to foster civil-military integration under the following: (1) reduce barriers to commercial firms’ participation in defense research, to give the Department of Defense (DoD) access to the broadest possible technology and industrial base; (2) promote new relationships among performers in both the defense and commercial sectors of that technology and industrial base; and (3) stimulate performers to develop, use, and disseminate improved practices.

7. E-1: BIOGRAPHICAL SKETCHES:

(a) This Section shall contain the biographical sketches for senior personnel only.

The following information is required:

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

2. 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.

3. 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."

4. Names of each technical/project leads own graduate or post graduate advisors and advisees.

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

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

(c) The biographical sketches are limited to three (3) pages per offeror’s technical/project lead and other individuals that merit consideration.

8. 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).

9. H-1: CURRENT AND PENDING SUPPORT:

(a) 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 offeror’s technical/project lead and other senior personnel's time, even if they receive no salary support from the project(s).

(b) The information should include, as a minimum: (1) the offeror’s project/proposal title and brief description, (2) the name and location of the organization or agency presently funding the work or requested to fund such work, (3) the award amount or annual dollar volume of the effort, (4) the period of performance, and (5) a breakdown of the time required of the principal investigator and/or other senior personnel.

10. I-1: FACILITIES, EQUIPMENT, AND OTHER RESOURCES: The offer or should include in the proposal a listing of facilities, equipment, and other resources already available to perform the effort proposed.

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

(a) 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.

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

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

(c) Direct Labor: The itemized budget(s) must include the following: (1). Show the current and projected salary amounts in terms of man-hours, man-months, or annual salary to be charged by the technical/project lead/project director (s), associates, postdoctoral associates, graduate and undergraduate students, secretarial, clerical, and other technical personnel either by personnel or position.

State the number of person-hours used to calculate a person-month or person-year. When part or all of a person's services are to be charged as project costs, it is expected that the person will be relieved of their other obligations. For each person or position, provide the following information:

1. The basis for the direct labor hours or percentage of effort (e.g., historical hours or estimates).

2. The basis for the direct labor rates or salaries. Labor costs should be predicted upon current labor rates or salaries. These rates may be adjusted upward for forecast salary or wage cost-of-living increases that will occur during the agreement period. The cost proposal should separately identify the rationale applied to base salary/wage for cost-of-living adjustments and merit increases.

Each must be fully explained.

3. The portion of time to be devoted to the proposed effort, divided between academic and non-academic (summer) terms, when applicable.

4. The total annual salary charged to the effort project.

5. Any details that may affect the salary during the project, such as plans for leave and/or remuneration while on leave.

(d) Fringe Benefits and Indirect Costs (Overhead, General and Administrative, and

Other):

The most recent rates, dates of negotiation, the base(s) and periods to which the rates apply must be disclosed and a statement included identifying whether the proposed rates are provisional or fixed. If the rates have been negotiated by a Government agency, state when and by which agency. A copy of the negotiation memorandum should be provided. If negotiated forecast rates do not exist, offerors must provide sufficient detail to enable a determination to be made that the costs included in the forecast rate are allocable according to applicable OMB Circulars or FAR/DFARS provisions. Offerors' disclosure should be sufficient to permit a full understanding of the content of the rate(s) and how it was established. As a minimum, the submission should identify:

1. All individual cost elements included in the forecast rate(s);

2. Basis used to prorate indirect expenses to cost pools, if any;

3. How the rate(s) was calculated;

4. Distribution basis of the developed rate(s);

5. Basis on which the overhead rate is calculated, such as "salaries and wages" or

"total costs," and

6. The period of the offeror's fiscal year.

(e) Permanent Equipment: If facilities or equipment are required, a justification why this property should be furnished by the Government must be submitted. State the organization's inability or unwillingness to furnish the facilities or equipment.

Offerors must provide an itemized list of permanent equipment showing the cost for each item. Permanent equipment is any article or tangible nonexpendable property having a useful life of more than one year with an acquisition cost of $5,000 or more per unit. The basis for the cost of each item of permanent equipment included in the budget must be disclosed, such as:

1. Offeror’s Quote: Show name of offeror, number of quotes received and justification, if intended award is to other than lowest bidder.

2. Historical Cost: Identify offeror, date of purchase, and whether or not cost represents lowest bid. Include reason(s) for not soliciting current quotes.

3. Engineering Estimate: Include rationale for quote and reason for not soliciting current quotes.

Note: If applicable, the following additional information shall be disclosed in the offeror's cost proposal:

4. Special test equipment to be fabricated by the awardee for specific effort purposes and its cost. Include a statement justifying the need for the special fabrication of the equipment.

5. Standard equipment to be acquired and modified to meet specific requirements, including acquisition and modification costs, listed separately.

6. Existing equipment to be modified to meet specific effort requirements, including modification costs. Do not include equipment the organization will purchase with its funds if the equipment will be capitalized for Federal income tax purposes. Proposed permanent equipment purchases during the final year of an award shall be limited and fully justified.

(f) Travel: Forecasts of travel expenditures (domestic and foreign) that identify the destination and the various cost elements (dates of each travel, number of individuals, trip duration, locations (from-to), airfare, car rental, mileage, per diem rates, etc.) must be submitted. The costs should be in sufficient detail to determine the reasonableness of such costs. Allowance for air travel normally will not exceed the cost of round-trip, economy air accommodations. Specify the type of travel and its relationship to the research project. Requests for domestic travel must not exceed $20K per year per offeror’s technical/project lead.

Separate, prior approval by the PCO is required for all foreign travel (i.e., travel outside the continental U.S., its possessions and Canada). Foreign travel requests must not exceed $10K each per year per technical/project lead. Special justification will be required for travel requests in excess of the amounts stated above and for travel by individuals other than the principal investigator(s).

Individuals other than the principal investigator(s) are considered postdoctoral associates, research associates, graduate and undergraduate students, secretarial, clerical, and other technical personnel. Additional travel may be requested for travel to DoD laboratories and facilities to enhance project objectives and to achieve technology transfer.

(g) Participant Support Costs: This budget category refers to costs of transportation, per diem, stipends, and other related costs for participants or trainees (but not employees) in connection with conferences, meetings, symposia, training activities, and workshops. Generally, indirect costs are not allowed on participant support costs. The number of participants to be supported should be entered in the parentheses on the budget form. These costs should also be justified in the budget justification page(s) attached to the cost proposal.

(h) Materials, Supplies, and Consumables: A general description and total estimated cost of expendable equipment and supplies are required. The basis for developing the cost estimate (offeror’s quotes, invoice prices, engineering estimate, purchase order history, etc.) must be included. If possible, provide a material list.

(i) Publication, Documentation, and Dissemination: The budget may request funds for the costs of preparing, publishing, or otherwise making available to others, the findings and products of the work conducted under a contract, including costs of reports, reprints, page charges, or other journal costs (except costs for prior or early publication); necessary illustrations, cleanup, documentation, storage, and indexing of data and databases; and development, documentation, and debugging of software.

(j) Consultant Costs: Offerors normally are expected to utilize the services of their own staff to the maximum extent possible in managing and performing the project's effort. If the need for consultant services is anticipated, the nature of proposed consultant services should be justified and included in the technical proposal narrative. The cost proposal should include the names of consultant(s), primary organizational affiliation, each individual's expertise, daily compensation rate, number of days of expected service, and estimated travel and per diem costs per consultant.

(k) Computer Services: The cost of computer services, including computer-based retrieval of scientific, technical, and educational information, may be requested.

A justification/explanation based on the established computer service rates at the proposing organization should be included. The budget also may request costs, which must be shown to be reasonable, for leasing automatic data processing equipment. The purchase of computers or associated hardware and software should be requested as items of equipment.

(l) Subcontracts: A precise description of services or materials that are to be awarded as a subcontract must be provided. For sub awards totaling $10,000 or more, provide the following specific information:

1. A clear description of the work to be performed.

2. If known, the identification of the proposed subcontractor and an explanation of why and how the subcontractor was selected or will be selected.

3. The identification of the type of award to be used (cost reimbursement, fixed price, etc.).

4. Whether or not the award will be competitive and, if noncompetitive, rationale to justify the absence of competition.

5. A detailed cost summary.

Note: In negotiated acquisitions, each solicitation of offers to perform a contract that is expected to exceed $700,000 ($1.5 million for construction) and that has subcontracting possibilities, shall require the apparently successful offeror to submit an acceptable subcontracting plan. If the apparently successful offeror fails to negotiate a subcontracting plan acceptable to the contracting officer within the time limit prescribed by the contracting officer, the offeror will be ineligible for award.

(m) Other Direct Costs: Itemize and provide the basis for proposed costs for other anticipated direct costs such as communications, transportation, insurance, and rental of equipment other than computer related items. Unusual or expensive items shall be fully explained and justified.

(n) Cost Share: Details and breakout of any proposed cost share.

(o) Fixed Fee: The fixed fee, if any, which a commercial organization proposes to assess the project.

12. K-1: CONTRACT FACILITIES CAPITAL COST OF MONEY: If cost of money is proposed, a completed Contract Facilities Capital Cost of Money (FCCM) (DD Form 1861) is required.

13. L-1: APPENDICES: Some situations require that special information and supporting documents be included in the proposal before funding can be approved. Such information and documentation should be included by appendix to the proposal.

C. SECTION 3 - CONTENTS OF COMPLETE PROJECT PROPOSALS

1. Preliminary Inquiries: The Issuing Office is able to provide support for only a limited number of the proposals received. We realize that the preparation of a project proposal often represents a substantial investment of time and effort by the offeror.

Therefore, in an attempt to minimize this burden, only offeror’s that have received a rating of Promising by the Government on their white papers may submit full proposals for Government evaluation.

2. Eligibility: All responsible sources submitting a responsive proposal will be considered by the Government.

3. Post-Employment Conflict of Interest: There are certain post-employment restrictions on former federal officers and employees, including special government employees (Section 207 of Title 18, U.S.C.). If a prospective offeror believes a conflict of interest may exist, the situation should be documented and forwarded by mail or e-mail to the contracting officer prior to expending time and effort in preparing a proposal.

4. Statement of Disclosure Preference: Please complete the appropriate statement of disclosure form stating your preference for release of information contained in your proposal. A copy of this form is provided in PART V of this BAA.

5. Reporting Requirements: Each award will include the required technical and financial reporting requirements in its terms and conditions.

6. Subcontracting: Pursuant to Section 8(d) of the Small Business Act [15 U.S.C.

637(d)], it is the policy of the Government to enable small business concerns to be considered fairly as subcontractors under all contracts awarded to prime Contractors.

7. Types of Awards: The Government has the authority to award a variety of instruments and reserves the right to use the type of instrument most appropriate for the effort proposed. Offerors should familiarize themselves with these instrument types and the applicable regulations before submitting a proposal. Following are brief descriptions of the possible award instruments.

(a) Contracts (Research & Development): A legal instrument which, consistent with

31 U.S.C. 6303, reflects a relationship between the Federal Government and a State, a local government, or other recipient when the principal purpose of the instrument is to acquire property or services for the direct benefit or use of the Federal Government. The primary purpose of contracted R&D programs is to advance scientific and technical knowledge and apply that knowledge to the extent necessary to achieve agency and national goals. Unlike contracts for supplies and services, most R&D contracts are directed toward objectives for which the work or methods cannot be precisely described in advance.

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

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

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

3. No fee or profit is allowed for award recipients. Fee or profit is allowable for commercial entities performing a commercial service or supply subcontract.

(c) Cooperative Agreement: A legal instrument which, consistent with 31 U.S.C.

6305, is used to enter into the same kind of relationship as a grant (see definition "grant"), and except that substantial involvement is expected between the DoD and the recipient when carrying out the activity contemplated by the cooperative agreement. The term does not include "cooperative research and development agreements" as defined in 15 U.S.C. 3710a. No fee or profit is allowed for research entities.

Note: Grants and cooperative agreements are governed by the DoD Grant and Agreement Regulations (DoDGARs), DoD 3210.6-R.

(d) Other Transactions:

1. Other Assistance Transactions and/or Technology Investment Agreements

(TIA) – A legal instrument, consistent with 31 USC 6305 and 10 U.S.C. 2371, which may be used when the use of a contract, grant, or cooperative agreement is not feasible or appropriate. Other assistance transactions/TIA shall provide, to the maximum extent practicable, for a 50/50 cost share between the Government and the Recipient of award (Awardee) (as the effort conducted generally transitions into readily marketable technologies with the offeror/performer seeing a near term return on investment (ROI)). No fee or profit is allowed performers under a TIA.

2. Other Transaction for Prototype Projects – A legal instrument, which is in accordance with the provisions of 10 U.S.C. § 2371b, Section 815 of the 2016 National Defense Authorization Act, Public Law 114-92, which provides the Department of Defense (DoD) authority to enter into transactions other than contracts, grants, or cooperative agreements, the Department of Defense (DoD) has the authority to make awards that are directly relevant to enhancing the mission effectiveness of military personnel and the supporting platforms, systems, components, or materials proposed to be acquired or developed by the Department of Defense, or the improvement of platforms, systems, components, or materials in use by the armed forces.

a. Other Transactions for Prototype Projects are acquisition instruments that generally are not subject to the federal laws and regulations governing procurement contracts. As such, they are not required to comply with the Federal Acquisition Regulation (FAR), its supplements, or laws that are limited in applicability to procurement contracts.

b. In accordance with statute, this authority may be used only when:

i. There is at least one nontraditional defense contractor participating to a significant extent in the prototype project;

ii. All significant participants in the transaction other than the Federal Government are small businesses or nontraditional defense contractors;

iii. At least one third of the total cost of the prototype project is to be paid out of funds provided by parties to the transaction other than the Federal Government; or

iv. The senior procurement executive for the agency determines in writing that exceptional circumstances justify the use of a transaction that provides for innovative business arrangements or structures that would not be feasible or appropriate under a contract, or would provide an opportunity to expand the defense supply base in a manner that would not be practical or feasible under a contract.

Note: As defined at 37 CFR 401.2(a), the intellectual property provisions of an Other Transaction can be negotiated to provide expanded protection to an offeror's intellectual property. An offeror's cost share may take the form of cash, relevant independent research and development (IR&D), foregone intellectual property rights, equipment, or access to unique facilities, as well as others. The effort covered under an Other Transaction shall not be duplicative of effort being conducted under an existing DoD program.

8. Use of Color in Proposals: All proposals received shall be stored as electronic images.

Electronic color images require a significantly larger amount of storage space than black-and-white images. As a result, offeror’s use of color in proposals should be minimal and used only when absolutely necessary for details.

9. General Preparation and Submission Information:

(a) Proposals must be submitted in the timeframe specified in the Project

Announcement, for which there will be posted announcements throughout the timeframe that this BAA remains open. A proposal for continuation of a previous or ongoing project will be considered on the same basis as proposals for other new awards. The Proposal should be submitted sufficiently in advance of the termination of the existing contract so that if it is accepted, support may be continued without interruption. Proposals for contracts, Assistance Instruments and Other Transactions for Prototype Agreements must be submitted to the Procurement Office identified in the specific Project Announcement. Proposals for assistance instruments (grants, cooperative agreements, and technology investment agreements) must be submitted through grants.gov.

(b) All Proposals must be submitted electronically, (with or without restrictive legends - as appropriate), to the Procurement Office, identified with each Project Announcement. A 5 Megabyte size limitation is imposed on emails delivered in response to this BAA. Alternatively, it is encouraged that offerors submit their Proposals on a CD or DVD and mail to the Procurement Office POC identified with each Project Announcement.

(c) All required forms must be signed, scanned and submitted electronically as well.

The file(s) must not be security or password protected.