W56KGU-22-R-0ESI BAA 14Dec 2022 V2.pdf

W56KGU-22-R-0ESI

United States (U.S.) Army, Command, Control, Computers, Communications, Cyber, Intelligence, Surveillance and Reconnaissance Center (C5ISR) Center

Engineering and Systems Integration Directorate (ESI)

Aberdeen Proving Ground (APG), MD

BROAD AGENCY ANNOUNCEMENT (BAA)

Solicitation Number: W56KGU-22-R-0ESI

Solicitation issued by: U.S. Army Contracting Command (ACC) – APG

Original Posting Date: 01 November 2022 Revision 01: 9 November 2022 Revision 02: 14 December 2022

TABLE OF CONTENTS

1. Introduction 3

a. General Information 3

b. BAA Elements 4

c. Other Information 5

d. POC Information 10

2. Scope and Research Interest Topics 11

a. Scope 11

b. Research Topics 11

3. White Paper and Proposal Information 11

a. General White Paper and Proposal Information 11

b. White Paper Preparation and Proposal Information 15

c. Selection to Proceed 24

d. Procurement Contract Proposal Preparation, Submission and Evaluation 24

e. Other Transaction Agreements 24

4. Other Pertinent Information 24

a. Certification of Current Cost and Pricing Data 24

b. Type of Contract 25

c. Cost Sharing 25

d. Awards 25

e. Restrictive Marking on a Proposal 25

f. Representations and Certifications 25

5. Attachments 26

a. 01 Research Topics 26

b. 02 Procurement Contract Proposal Preparation, Submission and Evaluation 26

c. 03 Other Transaction Agreements- Prototype Proposal Preparation, Submission and Evaluation 26

This Broad Agency Announcement (BAA), solicitation number W56KGU-22-R-0ESI, is sponsored by the U.S. Army, Command, Control, Computers, Communications, Cyber, Intelligence, Surveillance and Reconnaissance Center (C5ISR) Center, Engineering and Systems Integration (ESI) Directorate. This BAA is a continuously open announcement valid throughout the period from the date of issuance through 01 November 2027, unless terminated sooner.

The Command, Control, Communications, Computers, Cyber, Intelligence, Surveillance, and Reconnaissance (C5ISR) Center is an element of the U.S. Army Combat Capabilities Development Command (DEVCOM). Through collaboration across the command’s core technical competencies, DEVCOM leads in the discovery, development and delivery of the technology-based capabilities required to make Soldiers more lethal to win our nation’s wars and come home safely. DEVCOM is a major subordinate command of the U.S. Army Futures Command (AFC).

The mission of ESI Directorate is to provide support for rapidly integrating and maturing ESI technologies onto ground and air platforms and for rapid prototyping to define, ideate, and test, to “learn by doing” and enable Solider-centric System Design. ESI explores how to manage and securely transmit trustworthy data as it transverses the Army’s network. This BAA invites industry to submit innovative proposals that address the technical portfolio areas of the ESI Directorate: Systems Integration (SI), C5I Engineering and Readiness Engineering.

a. General Information

Multiple awards are anticipated under this BAA. The level of funding for individual awards made under this BAA will depend on the quality of the White Papers (WPs) received and the availability of funds. ESI Directorate is under no obligation to make any awards. ESI Directorate reserves the right to fund all, some, or none of the proposals received under this BAA. The Government will not reimburse for proposal development costs. Technical and cost proposals (or any other material) submitted in response to this BAA will not be returned.

This BAA utilizes full and open competitive procedures in accordance with 10 USC 3012(2)) for the selection for award of science and technology (S&T) proposals, implemented by Defense Federal Acquisition Regulation Supplement (DFARS) 206.102(d). Pursuant to Defense Federal Acquisition Regulations Supplement (DFARS) 235.016, and DoD Financial Management Regulation DoD 7000.14-R at Volume 2B Chapter 5, S&T includes RDT&E Budget Activities 6.1 for Basic Research, 6.2 for Applied Research, 6.3 for Advanced Technology Development, and,

6.4 for Advanced Component Development and Prototypes, defined as follows:

Basic Research: Defined as systematic study directed toward greater knowledge or understanding of the fundamental aspects of phenomena and of observable facts without specific applications towards processes or products in mind.

Applied Research: Applied research is defined as systematic study to gain knowledge or understanding necessary to determine the means by which a recognized and specific need may be met. It is a systematic application of knowledge toward the production of useful materials, devices, and systems or methods, including design, development and improvement of prototypes and new processes to meet specific requirements.

Advanced Technology Development: Includes all efforts that have moved into the development and integration of hardware for field experiments and tests. The results of this type of effort are proof of technological feasibility and assessment of operability and producibility rather than the development of hardware for service use.

Advanced Component Development and Prototypes: The demonstration and validation (Dem/Val) phase includes all efforts necessary to evaluate integrated technologies in as realistic an operating environment as possible to assess the performance or cost reduction potential of advanced technology.

This BAA is not for the acquisition of technical, engineering, and other types of support services. The Government will not evaluate any WPs or proposals submitted for efforts outside the scope of the BAA.

Awards from this BAA may take the form of FAR based and non-FAR Based instruments, as appropriate. The following provides brief descriptions of potential instrument types:

(1) Procurement Contracts:

Procurement contracts will be issued under the provisions of FAR 6.102(d)(2)(i), FAR Parts 35.016, DFARS 206.102(d)(2), and DFARS 235.016, which provides for the competitive selection of R&D proposals submitted in response to this announcement. FAR 35.016 provides for the issuance of a BAA as a means of soliciting proposals for basic and applied research and that part of development not related to the development of a specific system or hardware (HW) procurement. DFARS 235.016 (a) provides for award of S&T proposals for Basic Research, Applied Research, Advanced Technology Development, and Advanced Component Development and Prototypes. To be eligible for consideration and possible contract award, the technology or methodology shall be either basic research, applied research, advanced technology development, or Advanced Component Development and Prototypes, and not for a specific system/HW, or demonstration and validation. This BAA will be used in the ESI Directorate to fulfill their requirements for scientific study and experimentation directed toward advancing the state-of-the-art or increasing knowledge or understanding rather than focusing on a specific system or HW solution; however, this BAA shall only be used when meaningful proposals with varying technical/scientific approaches can be reasonably anticipated.

(2) Other Transaction Agreements (OTA):

The Other Transaction (OT) authorities were created to give DoD the flexibility necessary to adopt and incorporate business practices that reflect commercial industry standards and best practices into its award instruments. When leveraged appropriately, OTAs provide the Government with access to state-of-the-art technology solutions from traditional and Non- Traditional Defense Contractors (NDCs), through a multitude of potential teaming arrangements tailored to the particular project and the needs of the participants.

The award of an OTA shall be for the development of prototypes in accordance with IAW) 10 U.S.C. Section 4022 (formerly numbered as Section 2371b). The resultant award of any OTA using the procedures of this BAA are NOT made or issued under the provisions of the Competition in Contracting Act of 1984 (P.L. 98-369, codified at 10 U.S.C. §3201), FAR Part 6 or any other FAR or DFARS based regulation. However, solely as a matter of convenience to meet the requirement for maximum practicable competition, the mechanics of the competitive

BAA process detailed in this BAA otherwise not applicable to OTAs are, as supplemented herein, adopted as the competitive procedure for entering into OTAs.

Prototype OTAs:

Prototype OTAs (sometimes referred to as “4022” or “prototype project” OTAs) are authorized under 10 U.S.C. §4022 to carry out prototype projects 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 to improvement of platforms, systems, components, or materials in use by the armed forces. As such, any resulting OTA awards are acquisition instruments since the Government is acquiring something for its direct benefit. Terms such as “support or stimulate” are assistance terms and are not appropriate in OTA’s for prototype projects.

A prototype project can generally be described as a preliminary pilot, test, evaluation, demonstration, or agile development activity used to evaluate the technical or manufacturing feasibility or military utility of a particular technology, process, concept, end item, effect, or other discrete feature. Prototype projects may include systems, subsystems, components, materials, methodology, technology, or processes. By way of illustration, a prototype project may involve: a proof of concept; a pilot; a novel application of commercial technologies for defense purposes; a creation, design, development, demonstration of technical or operational utility; or combinations of the foregoing, related to a prototype. The quantity should generally be limited to that needed to prove technical or manufacturing feasibility or evaluate military utility.

Follow-On Activities:

Following successful completion of the prototype project and subject to the availability of funds, the Government anticipates transition from the successful completion of this prototype project to a follow-on production/sole source FAR-based contract, Other Transaction Agreement, or modification to these awarded Agreements. Follow-on production activities are anticipated and may include issues such as life cycle costs, logistics products, sustainment, test and evaluation, Intellectual Property (IP) requirements, and future competition. Any follow-on activities after successful completion of the initial prototype project will be negotiated prior to award, and made in accordance with the authority provided at 10 U.S. Code § 4022.

Compliance requirements for OTA award: In order to be compliant with 10 U.S.C.

§4022, the Offeror must ensure the following:

• The proposed effort includes a prototype per the statute and the transaction will “carry out prototype projects 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 to improvement of platforms, systems, components, or materials in use by the armed forces;” and

• There is at least one NDC or non-profit research institution participating to a significant extent in the prototype project; or

• All significant participants in the transaction other than the Federal Government are small businesses [including those participating in the Small Business Innovation Research (SBIR) or Small Business Technology Transfer (STTR) programs] or NDCs;

or

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

• The senior procurement executive (SPE) 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.

b. BAA Elements and Overview

This BAA combines elements of open and two-step BAA types along with calls for WPs. It offers the maximum flexibility to the ESI Directorate and opportunities for respondents. Step-One will be the evaluation of the Offeror’s WP submission(s). Step-Two will be a request to submit a formal proposal for selected WPs that are found to be consistent with the intent of the BAA and which are of interest to the ESI Directorate.

This announcement is general in nature, identifies the areas of research interest, includes criteria for submitting and evaluating WPs and solicits the participation of all Offerors capable of satisfying the needs of the ESI Directorate. Use of this BAA process demonstrates the Government’s use of competitive practices to the maximum extent practicable in relation to 10 U.S.C. §4022 prototype transactions. In relation to FAR-based procurement contracts, this BAA process complies with the competition requirements of FAR Part 6.102(d)(2) and Public Law 98-369, “The Competition in Contracting Act of 1984” and subsequent amendments. Resulting agreements may be in the form of contracts or OTA depending upon the specifics of the effort, such as extent of the Government involvement, actual scope of work, and cost.

The BAA allows for WP submittals at any time until the expiration of this BAA. The Government reserves the right to not evaluate a WP submitted for topics other than the ones identified in this BAA, and if the topic is not related to any area of this BAA. WPs and proposals will be evaluated according to the instruction described herein.

• Open: This BAA allows for WP submittals at any time within a specified period of this solicitation. WPs and proposals (by invitations only) are reviewed when received during the period that the BAA is open and evaluated IAW criteria and procedures established within this announcement.

• Two-Step Selection Approach: This BAA will use a Two-Step process to solicit offers and select offeror(s) for award. At Step-One of the process, the Potential Offerors will submit descriptive WPs in lieu of full proposals. Based on the WP evaluation defined in this BAA, the Government will make a decision to SELECT or NOT SELECT the Offerors to proceed to Step-Two (2) for submission of full proposal for evaluation. If necessary, the ESI Directorate may request a technological demonstration of the WP proposal which shall be at no-cost to the Government. This step will help to preclude unwarranted efforts on the part of an Offeror.

• At Step-Two, the Government will request that each Offeror with a WP selected during Step-One submit a full proposal IAW instructions provided within the BAA. The Government will evaluate and select the proposal(s) for award according to the procedures described herein. Not all requested proposals will result in an award.

• WP Calls: While this BAA will remain open, allowing for WP submission at any time, the Government will also issue requests transmitted via “Calls,” to the Government wide point of entry (GFE), via https://www.SAM.gov, bringing attention to one (1) or more areas of interest and requesting potential Offerors to submit a WP. The “Calls” might further define the technology/ESI Directorate needs etc., or will simply request a WP for a specific topic. WPs submitted in response to the WP Calls shall be submitted under this BAA following the instructions contained in this BAA, and specific terms specified in the individual Calls. Proposals will be evaluated in accordance with the criteria set forth in this BAA. Interested parties are encouraged to periodically check sam.gov for new WP Calls. As necessary, Calls will specify required submission dates and times for the particular calls. Late submissions will be subject to provisions and requirements included in the applicable calls.

• WPs may be submitted at any time during the life of this BAA, as well as in direct response to a call. The Government may award a contract at any time during the life of this BAA. An award may also be made after the BAA expiration date if the WP is received before the expiration date occurs. This award may occur no later than six (6) months after the BAA expiration date. Offerors that submit a proposal without first submitting a WP may not eligible for award.

• The Government encourages industry interested in conducting scientific research, educational institutions, small businesses, and small disadvantaged business concerns, historically black colleges, university and minority business enterprises and institutions to submit WPs. Eligible prospective Offerors also include Canadian firms participating in the Defense Development Sharing Program.

• The Government will consider Contractor Teaming Arrangements, as set forth in FAR Subpart 9.6, or Defense R&D Pools as set forth in FAR Subpart 9.7.

• The Offeror, by submission of an offer or execution of a contract in response to this solicitation, certifies that the Offeror is not debarred, suspended, declared ineligible for award of public contracts, or proposed for debarment pursuant to FAR 9.406-2. If the Offeror cannot certify, or if the status of the Offeror changes prior to award, the Offeror must provide detailed information as to its current status.

• This BAA is an expression of interest only and does not commit the Government to make an award or pay WP or proposal preparation costs generated in response to this announcement. The cost of WP and proposal preparation for response to a BAA is not considered an allowable direct charge to any resultant contract or any other contract.

Any award will be made subject to availability of appropriated funds. The prospective Offeror is reminded that only a warranted Contracting Officer (KO), from the Army Contracting Command (ACC), may obligate the Government to an agreement involving expenditure of Government funds. The Government reserves the right to fund all, some, one, or none of the WPs or proposals received under this BAA. The Government https://www.sam.gov/ anticipates making multiple awards subject to availability of funds.

• This BAA may be amended to add new topics at any time. Interested parties should be alert for any BAA amendments that may be published at the GPE at https://www.SAM.gov.

c. Other Information

(1) Technology and Program Protection to Maintain Technological Advantage

In accordance with DoD Instruction 5000.83, Technology and Program Protection to Maintain Technological Advantage, dated July 20, 2020, and as a means to counter the threat from strategic competitor nations, the DoD will employ risk-based measures to protect systems and technologies from adversarial exploitation and compromise of U.S. military vulnerabilities and weaknesses in: (1) systems, (2) components, (3) software, (4) hardware, and (5) supply chains. The initial measure being implemented for the program is to require prime contract awardees and their subcontractors to self-report and disclose foreign investment in, ownership of, or influence over U.S. entities, including subsidiaries and joint ventures. Reporting and disclosing such information will enable the DoD to identify national security risks posed by foreign participation, through investment, ownership, or influence, in the defense industrial base. This information will be used by DoD program offices to determine risks posed by contract awardees and their subcontractors to the DoD and the defense industrial base.

(2) Export Control Requirements

Any research conducted on or resulting from contracts awarded from this BAA must comply with United States Laws and regulations implementing the “Arms Export Control”, including the International Traffic in Arms Regulations (“ITAR” at 22 C.F.R. 120-130) and the Export Administration Regulations (“EAR” at 15 C.F.R. 730-774) under the Export Administration Act. Agency approval is required prior to any non-U.S. citizen performing on contract. The BAA topics may cover export controlled technologies. Research in these areas is limited to “U.S. persons” as defined in the ITAR.

All topics require the lead Principal Investigator (PI) and/or Program Manager (PM) of entities submitting a proposal under this program hold U.S. citizenship. Approval is required from (The organization) for any non-U.S. citizen to perform on (The organization) research contracts.

International Cooperation: proposals for this area must involve working directly with a foreign company or university that is either a partner or a major subcontractor under the proposal. All research under this area must comply with ITAR and EAR regulations and may require a Technical Assistance Agreement.

Place of performance: The resultant contract/OTA will list the Place of Performance. Place of performance may be at the contractor’s and sub-contractor’s facilities.

The resultant contract/OTA may require meetings at the Government’s facility. Contractor may be required to travel to Aberdeen Proving Ground MD and Ft. Belvoir VA for meeting or demonstrations as necessary and upon approval from the appointed Contracting Officer’s Representative (COR) or other Government designee.

Period of Performance: The resultant contract/OTA will list the required period of performance.

Currently this submission of White Paper is Unclassified,

(3) CUI Information: Instruction for access to CUI

In order to facilitate meaningful information exchanges that could contain unclassified technical data disclosing military critical technology with military or space application that is under the control or in the possession of the U.S. DoD, please submit via email an approved DD Form 2345, Military Critical Technical Data Agreement (Reference http://www.dlis.dla.mil/jcp/ for information regarding this program and form). If your university/college does not have a certified DD 2345, complete, sign and submit a DD Form 2345 as noted on the form and website. ESI does not certify the DD Form 2345.

Contractor shall have access to Army Regulations, the contractor can go to the following website for Defense Technical Information Center (DTIC) and register for Scientific and Technical Information Services. All contractors should have access to DTIC. https://www.dtic.mil

The contractor shall coordinate OPSEC training requirements with the Government OPSEC Officers and comply with the government’s OPSEC Plan provided under separate cover. The contractor shall allow new contractor employees the time required to complete Level 1 OPSEC Awareness training. Initial and annual Level 1 OPSEC Awareness training shall be tracked by the Facility Security Officer and provided to the Contracting Officer’s Representative.

Contractors working OCONUS under C5ISR Center contracts will receive Level 1 OPSEC Awareness training as directed or at the discretion of the appropriate military commander in theater.

Per AR 530-1 Operations Security, the contractor employees must complete Level I OPSEC Awareness training. New employees must be trained within 30 calendar days of their reporting for duty and annually thereafter. Level I OPSEC training is available at the following website:

http://cdse.edu/catalog/elearning/GS130.html (Duration: 45 minutes). The Contracting company shall be required to initiate and maintain copies of the completed OPSEC training, while also proving the COR a copy of said training.

All contractors/subcontractors supporting the resultant contract/OTA issued under this BAA must be U.S. citizens.

Unclassified visits to the C5ISR campus located at Aberdeen Proving Ground (APG) shall require a completed "C5ISR Visit Request Form," (CECOM Form 5207-E, AUG 14), which is attached or provided under separate cover in the resultant contract/OTA. The C5ISR form shall be submitted to the POC for approval and signature. ALL visit requests must be submitted three business days prior to expected time of arrival.

Training: Required security training will be specified in the resultant contract/OTA. All training indicated within the resultant contract/OTA shall be completed as directed and submitted to the COR or designated Government personnel for tracking.

https://www.dtic.mil/

Facility Security Officer (FSO) shall receive a copy of the resultant contract/OTA for use thru life of the contract or OTA. The resultant contract/OTA will have additional security guidance to assist the FSO.

Access and general protection/security policy and procedures. This standard language is for contractor employees with an area of performance within Army controlled installation, facility, or area. Contractor and all associated sub-contractors employees shall provide all information required for background checks to meet installation access requirements to be accomplished by installation Provost Marshal Office, Director of Emergency Services or Security Office.

Contractor workforce must comply with all personal identity verification requirements (FAR clause 52.204-9, Personal Identity Verification of Contractor Personnel) as directed by DOD, HQDA and/or local policy. In addition to the changes otherwise authorized by the changes clause of this contract, should the Force Protection Condition (FPCON) at any individual facility or installation change, the Government may require changes in contractor security matters or processes.

For contractors that do not require CAC, but require access to a DoD facility or installation.

Contractor and all associated subcontractors employees shall comply with adjudication standards and procedures using the National Crime Information Center Interstate Identification Index (NCIC-III) and Terrorist Screening Database (TSDB) (Army Directive 2014-05/AR 190- 13), applicable installation, facility and area commander installation/facility access and local security policies and procedures (provided by government representative), or, at OCONUS locations, in accordance with status of forces agreements and other theater regulations.

i WATCH Training. This standard language is for contractor employees with an area of performance within an Army controlled installation, facility or area. The contractor and all associated sub-contractors shall brief all employees on the local iWATCH program (Contact the ATO officer at the requiring activity for training). This local developed training shall be used to inform employees of the types of behavior to watch for and instruct employees to report suspicious activity to the COR. This training shall be completed within 30 calendar days of contract award and within 30 calendar days of new employees commencing performance with the results reported to the COR NLT 30 calendar days after contract award. iWATCH training modules are provided by the Army for Contractor companies to use and can be found via the following link:

http://www.myarmyonesource.com/familyprogramsandservices/iwatchprogram/default.aspx

Access to Controlled Unclassified Information (CUI)

(a) For the sole purpose of performing work required under this contract, the contracting officer may grant the contractor - including contractor employees, subcontractors, and subcontractor employees - access to controlled unclassified information (CUI).

(b) CUI:

(1) Is any information which the loss, misuse, or modification of, or unauthorized access to, could adversely affect the national interest or the conduct of Federal programs or the privacy to which individuals are entitled under section 552a of title 5, United States Code (the Privacy Act), but which has not been specifically authorized under criteria established by an Executive Order or an Act of Congress to be kept secret in the interest of national defense or foreign policy;

(2) Is not available to the general public;

(3) May include:

(i) Government acquisition-sensitive information, including source selection information as defined at section 2.101 of the Federal Acquisition Regulation (48 CFR chapter 1); contractor bid or proposal information;

http://www.myarmyonesource.com/familyprogramsandservices/iwatchprogram/default.aspx

(ii) Information contained in individual contracts that is not public information and such contract information that is contained in Government databases; proprietary economic, financial, or business information (e.g., salary information) or provided to the Government by other parties (e.g., other contractors).

(iii) Personally identifiable information (PII) that includes, but is not limited to social security numbers, names, dates of birth, places of birth, parents' names, credit card numbers, applications for entitlements, and information relating to a person's private financial, income, employment, and tax records.

(4) May exist in various physical media (e.g., paper, electronic file, audio or video disc) or be transmitted orally, may be developed under or pre-exist any related contract, and may be in its original form or a derivative form (i.e., where the information has been included in contractor-generated work, or where it is discernible from materials incorporating or based upon such information).

(c) The Contractor shall include this clause in all subcontracts.

(d) The contractor's failure to comply with any part of this clause or with the terms of the required nondisclosure agreements may result in the termination of this contract for default.

Critical Program Information (CPI) / Controlled Technical Information (CTI) is defined as information/technologies resident in a particular system or program which if divulged to unauthorized persons, would likely result in a reduction of a critical U.S. military technological advantage. CPI/CTI may be identified by the Government during a contracted effort and if identified must be protected by the Contractor. Guidance regarding the protection of information can be found IAW: DODI 5200.48, AR 70-77, DODI 5000.83, NIST SP 800-171, and local policy. The aforementioned regulations will establish procedures on how to identify CPI/CTI as well as stipulate for the protection of CPI/CTI.

d. Points of Contact (POC)

All submissions, technical questions, or topic clarifications shall be submitted via the ESI BAA Acquisition Mailbox- usarmy.apg.devcom-c5isr.mbx.esi-bus-ops-acq-baa@army.mil. The subject line of the email should reference the BAA Number.

No discussions by the technical staff are to be held with Offeror after proposal submission without PRIOR authorization from the Contracting Officer/Agreements Officer.

ESI BAA Mailbox usarmy.apg.devcom-c5isr.mbx.esi-bus-ops-acq-baa@army.mil

2. SCOPE & RESEARCH TOPICS

a. Scope

The general scope of this BAA is to invite industry to submit innovative proposals to advance technologies that address the technical portfolio areas of the ESI Directorate: Systems Integration (SI), C5I Engineering and Readiness Engineering.

This section of the BAA contains statements of the research interests required by the ESI Directorate. Prior to a WP submission, potential proposers are encouraged to direct any questions on technical matters and availability of project funding relating to a particular research mailto:usarmy.apg.devcom-c5isr.mbx.esi-bus-ops-acq-baa@army.mil mailto:usarmy.apg.devcom-c5isr.mbx.esi-bus-ops-acq-baa@army.mil interest to the ESI Acquisition mailbox- usarmy.apg.devcom-c5isr.mbx.esi-bus-ops-acq-baa@army.mil.

If development in certain topic areas requires the interaction of several investigators from interdisciplinary areas, WPs and proposals for comprehensive research programs will be considered. Only a limited number of such large programs can be initiated under this BAA.

Inquiries related to comprehensive and interdisciplinary programs within the mission area of this directorate should be addressed to the ESI Acquisition Team.

If development in certain topic areas requires the demonstration of technology, WPs and proposals for comprehensive research programs shall include the delivery of the applicable prototype to the Government. Proposals may range from theoretical studies to proof-of-concept, to include fabrication and delivery of a prototype.

NOTE: When responding/inquiring on a specific area of research, refer to the Topic Number listed on the following appropriate pages and indicate if submission is seeking a Procurement Contract or a Prototype OTA.

b. Research Topics

Please see Attachment 01 of the BAA for the list of the ESI Directorate’s Research Topics.

Attachment 01 is a controlled document. To gain access to Attachment 01, your company/entity must be certified by the Joint Certification Program (JCP). Your entity/company’s Data Custodian requester (designated) on block 3A of the DD Form 2345 is the only authorized individual that can download the controlled attachment. Your entity/company is responsible for the protection of the controlled document after the download.

If your entity/company is not pre-certified by the JCP, you will need to apply for certification by completing a DD Form 2345 and emailing it to jcp-admin@dla.mil. Detailed information regarding the JCP application procedures are available at the JCP website at https://www.dla.mil/Logistics-Operations/Services/JCP/. The ESI Directorate will not review the JCP application or issue the JCP certification. Please direct any questions regarding the JCP certification process to jcp-admin@dla.mil.

To request access to download the controlled attachment, click on the tab for “Attachment/Links, then click on the title of the controlled document. When you receive the pop-up window to request access, enter the reason for the request in the window, making sure to include your entity’s CAGE Code and JCP Certification Number then hit submit. Once the notice is submitted, the access status on the controlled document will change to “Pending”. The Access POC will review your request, granting access if requirements are met or reject for correction.

3. WHITE PAPER & PROPOSAL INFORMATION

a. General White Paper and Proposal Information

(1) Eligible Requirement Procurement Contracts

• The ESI Directorate will determine the primary basis for funding selection in accordance with (IAW) FAR 35.016, “Broad Agency Announcement”, by evaluation of technical mailto:usarmy.apg.devcom-c5isr.mbx.esi-bus-ops-acq-baa@army.mil mailto:usarmy.apg.devcom-c5isr.mbx.esi-bus-ops-acq-baa@army.mil mailto:jcp-admin@dla.mil https://www.dla.mil/Logistics-Operations/Services/JCP/ merit/challenge, importance to mission/agency programs, and funds availability. Cost realism and reasonableness shall also be considered to the extent appropriate.

Therefore, those contemplating submission of a WP are highly encouraged to submit interest through the ESI Acquisition mailbox- usarmy.apg.devcom-c5isr.mbx.esi-bus-ops-acq-baa@army.mil to determine the level of interest to pursue the intended R&D effort and if funding may be available. This process is designed to limit potential Offerors and Government expenditure of efforts and resources to prepare and review WPs (and eventually proposals) for projects that may have little or no opportunity to be funded.

• To be eligible for award of a FAR- based procurement contract all prospective Offerors, with the exception of other governments, including state and local government agencies, must meet certain minimum standards pertaining to financial resources, adequacy of accounting systems, ability to comply with performance schedules, prior record of past performance, integrity, organizational structure, experience, operational controls, technical skills, facilities and equipment. For additional information and guidance concerning qualifications and standards for responsibility of prospective Contractors, please refer to FAR Part 9.

• Foreign participants and/or individuals may participate to the extent that such participants comply with any necessary Non-Disclosure Agreements (NDAs), security regulations, and any other applicable statutes. Guidelines for personnel proposed by the Offeror is limited to the following:

Table is Unclassified

Classification of Effort

Unclassified

Controlled Unclassified Information

(CUI)

Secret Top Secret

U.S. Persons Permitted Permitted Permitted Permitted

Foreign Nationals May be permitted Not permitted

Not permitted

Not permitted

Dual Citizen May be permitted May be permitted May be permitted May be permitted

Permanent Resident (Green Card Holder)

May be permitted

Not permitted Not permitted Not permitted

• Definition:

U.S. PERSON: “U.S. persons” is defined in the International Traffic in Arms Regulations (ITAR), 22 Code of Federal Regulations (CFR) statute (§) 120.15.

FOREIGN NATIONALS: "Foreign Nationals (also known as Foreign Persons) as defined by 22 CFR 120.16 means any natural person who is not a lawful permanent resident as defined by 8 U.S.C. § 1101(a)(20) or who is not a "Protected individual" as defined by 8 U.S.C. § 1324b(a)(3).

Note: Foreign Nationals proposed must provide country of origin, and a description of what intrinsic value the proposed person will be adding to the effort.

DUAL CITIZENS: Citizenship status, in which a person is regarded as a citizen of two or countries concurrently. Dual Citizens proposed by Offeror must provide name, social security number, proof of citizenship of U.S. and all other countries where citizenship is held.

PERMANENT RESIDENT: Permanent Residents of U.S. (Green Card Holder) proposed by Offeror must provide name, social security number, a description of what intrinsic value proposed person will be adding to the effort, and country where citizenship is held.

• There are certain post-employment restrictions on former federal officers and employees (for example, 18 U.S.C. 207, 41 U.S.C. 2104, Section 847 of NDAA FY 2008, as amended). If a prospective Offeror believes a potential conflict of interest may exist, the situation must be brought to the attention of the KO before expending time and effort in proposal preparation.

• All proprietary data must bear an appropriate restrictive legend in accordance with DFARS Clause 252.204-7012(a) and (h). Any material shall comply with FAR 52.204-2, “Security Requirements”, which provides instruction involving information classified “Confidential,” “Secret,” or “Top Secret” and requires one to comply with (1) The Security Agreement (DD Form 441), including the National Industrial Security Program Operating Manual 32 C.F.R. Part 117.

• Proposals from Canadian companies submitted under the auspices of the United States- Canada Defense Development Sharing Program (DDSP) will be evaluated using criteria cited via Section (3) herein, and processed IAW DoD FAR Supplement (DFARS) 225.870.

• Offerors that include data in their WPs or proposals which they do not want disclosed to the public for any purpose, or used by the Government except for evaluation purposes, shall be specifically identified in the summary WP or proposal and marked IAW FAR 52.215-1.

• If an Offeror’s WP or proposal is determined to require access to, or require the generation of, classified information, appropriate security clearances will be required of the Offeror and a DD Form 254 will be generated. Any classified materials submitted must be identified, marked, and packaged IAW the Industrial Security Manual. Proposals and material containing proprietary data should be marked “CONTROLLED

UNCLASSIFIED INFORMATION”.

(2) Prototype- OTAs

This Announcement is intended to solicit WPs for the ESI Directorate for the development of prototypes IAW 10. U.S.C. §4022.

To be eligible for award of a Prototype OTA, all prospective Offerors, with the exception of other governments, including state and local government agencies, must meet one of the following conditions:

• There is at least one non-traditional defense contractor or nonprofit research institution participating to a significant extent in the prototype project; or

• All significant participates in the transaction other than the Federal Government are small businesses (including small businesses participating in a program described under section 9 of the Small Business Act (15 U.S.C. 638)) or nontraditional defense contractors; or

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

• 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.

• There are certain post-employment restrictions on former federal officers and employees (for example, 18 U.S.C. 207, 41 U.S.C. 2104, Section 847 of NDAA FY 2008, as amended). If a submitter believes a post-employment restriction or conflict of interest exists, notification should be sent to the Agreements Officer prior to initiating efforts on a full proposal.

• The Freedom of Information Act (FOIA) (5 USC 552) provides a statutory basis for public access to official U.S. Government records. “Records” are defined to include documentation received by the U.S. Government in connection with the transaction of public business. Certain types of information submitted to the Government in a process having the potential for award of an OTA are exempt from disclosure requirements of 5 U.S.C. 552 (the Freedom of Information Act-FOIA) for a period of five (5) years from the date the Government receives the information. The types of information listed above may continue to be exempted, in whole or in part, from disclosure after the expiration of the five (5) year period if it falls within an exemption to the FOIA such as trade secrets and commercial or financial information obtained from a person and privileged or confidential. Offerors should mark business plans and technical information that are to be protected for five years from FOIA disclosure with a legend identifying the documents as being submitted on a confidential basis.

• Only a warranted Contracting/Agreements Officer may obligate the U.S. Government to the expenditure of funds for awards under this Announcement. The U.S.

Government does not fund preparation of proposals or support work efforts or tasks that are inferred from discussions with technical project officers.

• The Offeror will not be reimbursed for any costs incurred prior to the effective date of the agreement.

• The Government is prohibited from soliciting and awarding actions to contractors that have engaged or are suspected to have engaged in criminal, fraudulent, or seriously improper conduct.

• Prospective contractors shall complete electronic annual representations and certifications at SAM.gov as described in the BAA.

• Pursuant to 10 USC 4022, the Government may pursue production of any prototype successfully developed under an Agreement through a follow-on contract or transaction with the participants to this Agreement.

• Those contemplating submission of a WP are highly encouraged to contact the ESI Acquisition Team to determine the level of interest to pursue the intended effort and if funding may be available. This process is designed to limit potential Offerors and Government expenditure of efforts and resources to prepare and review WPs (and eventually proposals) for projects that may have little or no opportunity to be funded.

If an Offeror’s WP or proposal is determined to require access to, or require the generation of, classified information, appropriate security clearances will be required of the Offeror and a DD Form 254 will be generated. Any classified materials submitted must be identified, marked, and packaged IAW the Industrial Security Manual. Proposals and material containing proprietary data should be marked

"CONTROLLED UNCLASSIFIED INFORMATION”

• In addition to the evaluation factors identified herein, WPs and/or proposal preparation and submission requirements will also be considered during the Government’s evaluation procedures.

b. White Paper Preparation, Submission and Evaluation

(1) Preparation

Each WP shall address only one of the topics listed in Part Two of this BAA. There is no limit on the number of WPs an Offeror may submit in response to this BAA. In preparing WPs it is important that the Offeror keep the focus on scientific study and experimentation directed toward advancing the state-of-the-art or increasing knowledge or understanding. WP submissions should include all the information specified in this announcement in order to avoid delays in evaluation. Offerors are advised that the quality of the information presented in the WP is significantly more important than the quantity.

Format: WPs shall be electronically submitted, shall not exceed fifteen (15) pages in length (single sided, single spaced, with 12-size font) unless specified differently in a Call for WPs, and shall state the topic number under which they are being submitted. The fifteen (15)-page limitation does not include the Rough-Order-of- Magnitude (ROM).

WP Structure and Contents: A complete WP will consist of four sections with the required information listed in the subparagraphs:

Section One-Cover Sheet

Cover Sheet- WPs shall include a cover sheet (not counted toward the page limit) that includes:

• Labeled with “White Paper” and list the BAA#

• Call for WP number, BAA Research Topic, Topic Title, and the “Technology Area of Interest” the WP proposes to advance.

• The name, CAGE Code, DUNS Number of the Offeror. Business Size

Classification under NAICS Code 541715.

• Primary point of contact, including name, address, phone and e-mail contact information.

• Identify if the proposed effort is intended to be a Procurement Contract or a Prototype OTA. IF an OTA is suggested, provide a response to the following participation requirements:

o Is there at least one non-traditional defense contractor participating to a significant extent in the prototype project o Are all significant participants in the transaction other than the Federal Government are small businesses or nontraditional defense contractors?

o Is 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?

• Provide a high level description of the concept, technology, or product.

• Technology Readiness Level (TRL)

• Schedule: Period of Performance

• ROM

• Date of submission

Section Two – Technical Description

• Ensure your technical description adequately describes the proposed approach and potential resulting contributions. The technical description shall include the following sections in the order given below, as applicable:

o Importance to Mission/Agency Program (Contribution to the “Technology Area(s) of Interest”): provide a high-level project overview describing how this contribution addresses one or more of the goals listed below:

o Enhanced Military or DoD System Capability – Describe how your proposed technology/project solves the capability/gap/problem presented, meets the desired and highly desired capabilities, and the scalability of the solution.

o Discuss the benefits of your product or technology as it applies to the “Technology Area(s) of Interest” addressed and how you would plan to transition deliverables to a Government acquisition program, including any restrictions on Government use, release, or disclosure of technical data or computer software presenting transition difficulty and/or increased risk/cost to the Government.

• Technical Approach: Describe how the proposed technical approach is innovative or revolutionary (enabling technology), feasible, achievable, complete and supported by a technical team that has the expertise and experience to accomplish the proposed tasks, highlighting (as applicable):

o Clearly defined the technology/project objectives and scope.

o Overview of tasks and methods planned to achieve each of the final product(s) to be delivered.

o Participants, including description of contributions and significance of each. Key personnel (including subcontractors and consultants).

o Facilities/Equipment necessary to carry out the proposed effort.

o Related to prior or current work, including SBIR/STRR contracts and IR&D projects.

o Whether the proposed technology is leveraged from commercial programs.

o Whether the proposed technology or product contains a proprietary solution. If the proposed technology and/or product contains a proprietary solution, then the Offeror shall identify what proprietary technology, product, and/or information is proposed to support their WP response. (See Section I.A, General WP and Proposal Information herein, for additional submission instructions and guidance).

o The current TRL of the technology/project and or product and testing you presume will be required by the Government in order for your technology or product to be Reduces technical risk and mitigation plan: Describe how your proposed approach can reduce the probability of program failure.

o Time to field the technology: Describe how your proposed technology/project contributes to improving fielded timelines.

o Please include individual TRL levels of the proposed technology.

• Cybersecurity: State in your WP whether your company is National Institute of Standards and Technology Special Publication 800-171 Revision 1 (NIST SP 800-171 R2) “Protecting Controlled Unclassified Information in Nonfederal Systems and Organizations” compliant at the time of submission and/or when it will be compliant if awarded any follow on contracts from the WP. NIST SP 800-171 R2 requires prime contractors to develop a System Security Plan (SSP) and Plan of Action and Milestones (POAM) resulting in the implementation of cybersecurity controls on their contractor/subcontractors owned and operated network. Protecting controlled unclassified information

(CUI) and limiting its distribution within the supply chain is the responsibility of the…