W911NF-13-R-0001 _Final_Post.pdf

UNITED STATES ARMY RESEARCH INSTITUTE

FOR THE BEHAVIORAL AND SOCIAL SCIENCES (ARI)

BROAD AGENCY ANNOUNCEMENT

FOR

BASIC, APPLIED, AND ADVANCED

SCIENTIFIC RESEARCH

W911NF-13-R-0001

6 February 2013 – 5 February 2018

ISSUED BY:

U.S. Army Contracting Command-Aberdeen Proving Ground Research Triangle Park Division

P. O. BOX 12211

Research Triangle Park, NC 27709-2211

TABLE OF CONTENTS

I. OVERVIEW OF THE FUNDING OPPORTUNITY:

A. Required Overview Content

1. Agency Name

2. Research Opportunity Title

3. Announcement Type

4. Research Opportunity Number

5. Catalog of Federal Domestic Assistance (CFDA) Number and Title

6. Response Dates

II. DETAILED INFORMATION ABOUT THE FUNDING OPPORTUNITY

A. Funding Opportunity Description

1. BASIC RESEARCH

2. APPLIED RESEARCH AND ADVANCED TECHNOLOGY DEVELOPMENT

TRAINING

1.1 Training for Full Spectrum Readiness

1.2 Training for New Military Technology

1.3 Enhancing Army Institutional Training

1.4 Simulation Tools for Learning, Practice, and Mission Rehearsal

1.5 Adaptive Training Technology

1.6 Tools for Training in a Technology-Enhanced, Learner-Centered Environment

LEADER DEVELOPMENT

2.1 Leadership as an Influential Process

2.2 Developing Leadership Situational Awareness

2.3 Developmental Interventions for Effective Leadership in a Changing Army

TEAM AND INTER-ORGANIZATIONAL PERFORMANCE IN COMPLEX ENVIRONMENTS

3.1 Joint, Interagency, Intergovernmental, and Multinational Multi-Team Systems

3.2 Networked Organizations

3.3 Multi-National and Cross-Cultural Operations

SOLDIER/PERSONNEL ISSUES

4.1 Expanded Tools for Enlisted and Officer Selection

4.2 Improved Person-Job Match

B. Award Information

C. Eligibility Information

1. Eligible Applicants

2. Cost Sharing or Matching

3. Duns and Bradstreet Universal Numbering System (DUNS) Number and System for Award Management (SAM)

D. Application and Submission Information

1. Address to View Broad Agency Announcement

2. Content and Form of Application Submission

3. Submission Dates and Times

4. Intergovernmental Review

5. Funding Restrictions

6. Other Submission Requirements

E. Application Review Information:

1. Criteria

2. Review and Selection Process

3. Recipient Qualification

F. Award Administration Information

1. Award Notices

2. Administrative and National Policy Requirements

a. Required Certifications

b. Policy Requirements

3. Reporting

G. Agency Contacts

H. Other Information

1. SAMPLE- CONTRACT Proposals SAMPLE- GRANT and COOPERATIVE AGREEMENT Proposals

2. Unsuccessful Proposal Disposition

3. Acronyms

4. Definitions

I. OVERVIEW OF THE FUNDING OPPORTUNITY:

INTRODUCTION

This Broad Agency Announcement, which sets forth research areas of interest to the United States Army Research Institute for the Behavioral and Social Sciences (ARI), is issued under the provisions of paragraph 6.102(d)(2) of the Federal Acquisition Regulation (FAR), which provides for the competitive selection of proposals. Proposals submitted in response to this BAA and selected for award are considered to be the result of full and open competition and in full compliance with the provisions of Public Law 98-369, "The Competition in Contracting Act of 1984" and subsequent amendments.

The U.S. Army Research Institute for the Behavioral and Social Sciences is the Army’s lead agency for the conduct of research, development, and analyses for the improvement of Army readiness and performance via research advances and applications of the behavioral and social sciences that address personnel, organization, training, and leader development issues. Programs funded under this BAA include basic research, applied research, and advanced technology development that can improve human performance and Army readiness. Collaboration is encouraged among educational institutions, non-profit/not-for-profit organizations, commercial organizations, and the other U.S. Military Services.

Funding of research and development (R&D) within ARI areas of interest will be determined by funding constraints and priorities set during each budget cycle. Those contemplating submission of a proposal are encouraged to contact the ARI Technical Point of Contact (TPOC) identified in Part II Section G of this BAA or the responsible ARI Manager noted at the end of the technical area entry (Part II Section A of this BAA) to determine whether the R&D warrants further inquiry. If the R&D warrants further inquiry and funding is available, submission of a proposal will be entertained. The recommended three-step sequence is (1) telephone call to the ARI TPOC or responsible ARI Manager, (2) white paper submission, (3) full proposal submission.

This sequence allows earliest determination of the potential for funding and minimizes the labor and cost associated with submission of full proposals that have minimal probability of being selected for funding. Costs associated with white paper or full proposal submissions in response to this BAA are not considered allowable direct charges to any resulting award. These costs may be allowable expenses to normal bid and proposal indirect costs specified in FAR 31.205-18.

Offerors submitting proposals are cautioned that only a Government Contracting or Grants Officer may obligate the Government to any agreement involving expenditure of Government funds.

To be eligible for an award under this announcement, a prospective awardee must meet certain minimum standards pertaining to financial resources and responsibility, ability to comply with the performance schedule, past performance, integrity, experience, technical capabilities, operational controls, and facilities. In accordance with Federal statutes, regulations, and Department of Defense and Army policies, no person on grounds of race, color, age, sex, national origin, or disability shall be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any program or activity receiving financial assistance from the Army.

A. Required Overview Content

1. Agency Name:

U.S. Army Research Institute for the Behavioral and Social Sciences (ARI)

Issuing Acquisition Office:

U.S. Army Contracting Command-Aberdeen Proving Ground, Research Triangle Park Division

2. Research Opportunity Title:

U.S. Army Research Institute for the Behavioral and Social Sciences Broad Agency Announcement for Basic, Applied, and Advanced Research (Fiscal Years 2013-2018)

3. Announcement Type:

Initial Announcement

4. Research Opportunity Number:

W911NF-13-R-0001

5. Catalog of Federal Domestic Assistance (CFDA) Number and Title:

12.630 – Basic, Applied, and Advanced Research in Science and Engineering

6. Response Dates:

This Broad Agency Announcement (BAA) is a continuously open five-year announcement valid throughout the period beginning 6 February 2013 and ending 5 February 2018. New start awards are normally obligated early within each fiscal year. Amendments to this BAA will be posted to https://www.fbo.gov (FedBizOpps) and http://www.grants.gov when they occur. Interested parties are encouraged to periodically check these websites for updates and amendments.

https://www.fbo.gov/ http://www.grants.gov/

II. DETAILED INFORMATION ABOUT THE FUNDING OPPORTUNITY

II-A: FUNDING OPPORTUNITY DESCRIPTION

The funding opportunity is divided into two sections- (1) Basic Research and (2) Applied Research and Advanced Technology Development. The Applied Research and Advanced Technology Development Section is divided into four subsections- Training; Leader Development; Team and Inter-Organizational Performance in Complex Environments; and Solider/Personnel Issues.

II-A-1: BASIC RESEARCH

Basic Research is defined as systematic study directed toward greater knowledge or understanding of the fundamental aspects of phenomena and of observable facts without specific application of processes or products in mind. The ARI’s Foundational Science Research Unit manages the Basic Research Program and maintains close contact with ARI's applied scientists and other relevant agencies within the Army. These contacts help define issues that require fundamental research, ensure that the basic research program is coordinated across Services, and facilitate the transition of basic research results to applied programs for eventual use by the operational Army.

Topic areas of research interest include the following:

• Improving Training in Complex Environments: Research in this area focuses on developing concepts and methods for training complex tasks and for sustaining complex task performance.

• Improving Leader and Team Performance: The focus of this area is to develop leader adaptability and flexibility, and discover and test the basic cognitive principles that underlie the dynamics of small group leadership and effective leader-team performance in both face-to-face and distributed environments.

• Identifying, Assessing, and Assigning Quality Personnel: This research domain is concerned with identifying and measuring the aptitudes and skills that are unique to the human performance requirements of the Future Force and the sociological and psychological factors that could influence recruitment, retention, and Army performance.

• Understanding Organizational Behavior and Network Science: The focus of this area is on understanding and predicting large and small group behavioral processes in dynamic social networks, whether in simulations, games, or Army organizations.

For more information about ARI's Basic Research Program please contact the ARI Basic Research program manager, Dr. Jay Goodwin, at (703) 545-2410 or jay.goodwin@us.army.mil.

II-A-2: APPLIED RESEARCH AND ADVANCED TECHNOLOGY DEVELOPMENT

The ARI seeks Applied Research proposals that provide a systematic expansion and application of knowledge to design and develop useful strategies, techniques, methods, tests, or measures that provide the means to meet a recognized and specific Army need. Applied Research precedes system specific technology investigations or development, but it should have a high potential to transition into the Advanced Technology Development (ATD) Program.

The ARI ATD Program includes the development of technologies, components, or prototypes that can be tested in field experiments and/or simulated environments. Projects in this category have a direct relevance to identified military needs. These projects should demonstrate the general military utility or cost reduction potential of technology in the areas of personnel selection, assignment, and retention; training strategies and techniques; leader education and development; performance measurement; and team and inter-organizational mission effectiveness. These projects should be focused on a more direct operational benefit and if successful, the technology should be available for transition.

II-A-2: TRAINING (1.1-1.6)

1.1 Training for Full Spectrum Readiness

The Army’s new field manual (FM 7.0) on training for full spectrum operations stresses that traditional training and education may not meet all the needs of an expeditionary Army (U.S. Department of the Army, 2008). Army units need more efficient and effective training and evaluation methods to achieve full spectrum readiness and balanced capabilities across offensive, defensive, stability, and civil support tasks. Units need better tools to develop unit training plans and training based on their individual unit needs. Units also need tools to rapidly convert lessons learned into training and to enhance training effectiveness and efficiencies though improved measurement of human performance.

• Identify and develop methods for addressing emerging human performance challenges and difficult to train skills and behaviors

• Develop and refine near real-time tools and techniques to rapidly develop training

• Design and develop methods for planning and managing training across the full spectrum of training requirements

• Design and develop measurement and feedback tools for assessing individual and collective skills and measuring performance

The ARI Manager is Dr. Scott Shadrick (254) 288-3800, scott.shadrick@us.army.mil

1.2 Training for New Military Technology

As new technologies are developed and delivered to the U.S. Army, effective training of its Soldiers, leaders, and units to employ these technologies will be essential. Units may receive new technologies without adequate training. Units need guidance on how best to organize and integrate training on new technologies to achieve operational readiness as efficiently as possible. In particular, units need more efficient and effective methods on how best to employ new technologies to meet the ever-changing operational requirements of the Contemporary Operational Environment.

• Identify training strategies for new technologies that address full spectrum operations

• Develop methods and tools to organize and integrate training on new technologies

• Design and develop more efficient and effective methods to help Soldiers determine how to employ new technologies to meet the ever-changing Contemporary Operational Environment

• Determine the skill retention patterns associated with new technology insertions at individual and collective levels

The ARI Manager is Dr. Scott Shadrick (254) 288-3800, scott.shadrick@us.army.mil

1.3 Enhancing Army Institutional Training

In an era of persistent conflict and increasing resource demands, the Army must produce trained and ready Soldiers for an increasingly stretched force despite reduced funding, fewer training developers and instructors, and the need to adapt to changing Army Force Generation (ARFORGEN) requirements. To do so, the Army is seeking to leverage breakthroughs in the behavioral sciences and the science of learning to enhance its institutional training strategies. The goals include: accelerating learning while maintaining effectiveness; exploiting new learning and simulation technologies;

identifying and integrating relevant lessons from operational and training units;

minimizing training resource requirements (time, cost, people); and minimizing the impact of training on quality of life. New training methods are needed that support these goals, along with tools to assess their effectiveness and efficiency.

• Cost-effective methods for exploiting emerging training technologies, to include distributed learning, blended learning, and simulation systems

• Methods and measures to support development of tactical and technical proficiency in the use of new technologies, particularly the employment of information technologies

• Ways to tailor training to the skills and experience of the Soldier population being trained

• Training interventions for initial entry training and Drill Sergeant School

• Techniques, tools, and measures to enhance aviation collective training

The ARI Manager is Dr. Scott Graham, (706) 545-2362, scott.e.graham@us.army.mil

1.4 Simulation Tools for Learning, Practice and Mission Rehearsal

Game-based and virtual technologies provide flexible training capabilities that have been shown to support local training of individuals and small units. Emerging training, doctrine, and force structures advocate the need for rapid deployment of units with personnel who may be unfamiliar with each other. There is no effective capability for distributed training with remote colleagues within the Army or across the Services. New mobile platforms such as high-end cellular phones may present a new flexible platform to provide training to Soldiers. Research is needed on methods to ensure effective training is delivered on these devices. In addition, further work is needed to develop methods for utilizing game and virtual technologies most effectively in general and to determine their effectiveness in a variety of training settings and for a range of tasks and skills.

• Develop training and After Action Review methods and procedures that provide effective means for training teams of individuals and small units when the trainees are not co-located

• Develop effective methods for using small mobile computing platforms

• Examine game technologies to determine characteristics (e.g., scenario building, replay, measurement/scoring capabilities) that are beneficial to training experiences for Contemporary Operating Environment missions and scenarios

• Develop methods for measuring performance of small units in virtual and game environments to determine what is being learned and at what rate

The ARI Manager is Dr. Gregory Goodwin, (407) 384-3987, gregory.goodwin1@us.army.mil

1.5 Adaptive Training Technology

The effectiveness of training is maximized by providing one-on-one instruction by a human tutor who can tailor feedback and training experiences to the specific needs of the learner, but this kind of training is hardly efficient in terms of the number of students that can be trained, or the cost and time per student. Efficiency could be improved if the human tutor could be replaced with an automated tutor. Intelligent computer aided instruction (ICAI) could improve efficiency by allowing self-paced training available “anytime-anywhere.” The automated tutor must not only be able to evaluate student performance (diagnose strengths and weaknesses), but also to prescribe what training each individual needs and deliver that training. Research is needed to provide the means for automated diagnosis and tailored training delivery. The goal is to develop automated training capabilities which can provide both diagnostics and remediation based on each individual’s training needs, resulting in a more efficient training process. The application of adaptive training techniques could improve training delivery using serious games, distributed learning techniques, and embedded training.

• Implementation of training customization for the individual in the context of guided experiential learning scenarios

• Application of semantic web ontologies to domain modeling and intelligent cognitive agents

• Integration of tutoring, coaching, and remedial didactic training with game-based practice environments

• Application of psychometric approaches to performance measurement in the context of experiential learning

• Application of state-of-the-art learning science to develop pedagogical models

• Intelligent Tutoring using strong artificial intelligence models and agents (run-time models which can handle new scenarios without re-writing)

• Methods or approaches that allow pedagogical and domain models to be re-used/interoperable across education and training applications and platforms (e.g., virtual, gaming, mobile)

The ARI Manager is Dr. Joan Johnston, (407) 384-3980, joan.johnston@us.army.mil

1.6 Tools for Training in a Technology-Enhanced, Learner-Centered Environment

Emerging Army doctrine prescribes the transformation of the Soldier education and training process through the integration of advanced training methods such as mailto:joan.johnston@us.army.mil collaborative learning, tailoring training to meet individual needs, virtual classrooms, and the leveraging of multiple training platforms. To meet these training requirements, ARI requires research into the design, development, and delivery of individual and collective training across multiple technology-based platforms, including mobile, handheld devices and traditional laptop and desktop computers. Additionally, research is required into the effectiveness and delivery of individual and collaborative training using these devices, particularly in a distributed learning environment. Research into developing assessment capabilities across platforms is also required.

• Development of tools for rapid authoring of training content and skill assessments which can be delivered via multiple platforms (e.g., desktop, classroom, mobile device)

• Development of research-based best practices for training with new and innovative approaches and technology, such as mobile devices, virtual classrooms and gaming

• Leveraging tailored assessments to determine student placement within a program of instruction

• Methods for assessing individual and collective performance in a scenario-based training environment

• Methods for incorporating game-based training scenarios into individual and group training exercises

The ARI Manager is Dr. Joan Johnston, (407) 384-3980, joan.johnston@us.army.mil

II-A-2: LEADER DEVELOPMENT (2.1-2.3)

The Army’s ongoing transformation includes a systematic rethinking of how Army leaders grow and how the Army’s leadership development process facilitates and supports that growth.

Leaders at all levels in the Army, including non-commissioned officers, pre-commissioning cadets, and junior and senior commissioned officers must develop the critical cognitive skills that underlie tactical and technical expertise. To be successful, however, leaders also will need to possess refined interpersonal and communication skills to mentor and build teams among diverse subordinates, effectively cooperate with interagency and coalition partners, and appropriately influence a variety of stakeholders (e.g., the media, local populations). This area of research addresses methods and techniques to identify, train, develop, and assess the requisite skills for successful leadership within the Army; attention is also given to self- and social awareness that supports leadership and leader development. Three areas of leadership research emphasis are outlined below.

mailto:joan.johnston@us.army.mil

2.1 Leadership as an Influence Process

The fundamental notion that leadership is an influential process has shaped the U.S.

Army leadership doctrine and this research program. In particular, we need to refine and extend this notion to account for leader influence in a variety of contexts, within and outside of the chain of command. Army leaders must be able to influence both up and down the chain of command, as well as laterally. Additionally, Army leaders may need to influence others outside the Army (e.g., members from other services, individuals from other countries). Army leaders also need to rely on a variety of influence strategies to shape and direct the behavior of others. Such behaviors include use of effective proactive influence tactics, shaping the social context (e.g., climate, culture), that guide the behavior of others, targeting influence at collective levels as well as individual levels, and building “social capital” that amplifies influence attempts.

• Identification of the knowledge, skills, and abilities (KSAs) that underlie effective influence and interventions to build those KSAs

• Development of interventions to enhance a leader’s ability to build social capital

• Development of interventions to help leaders become more adept at influence during negotiations

• Development of tools to help leaders build positive climates, particularly ethical and command climates

• Methods for assessing influence-related concepts, particularly for self-development purposes

• Understanding the effective use of influence in cross-cultural settings

• Understanding leadership as a “collective” or multi-level social phenomenon that occurs at various levels of group and organizational analysis

The ARI Manager is Dr. James Lussier, (913) 684-9758, james.w.lussier.civ@mail.mil

2.2 Developing Leadership Situational Awareness

Effective leaders are aware of the social/interpersonal situations within which they operate. They are able to utilize that situational awareness to make appropriate adjustments to influence strategies and tactics, just as the master strategist adjusts on the battlefield to take account of changing tactical conditions. Knowledge, skills, and abilities supporting leadership awareness include skills in perceiving and interpreting a variety of social cues.

mailto:james.w.lussier.civ@mail.mil

• Assessment of the impact of leader self-identity and self awareness on influence processes and outcomes

• Development of interventions to increase self-awareness

• Development of interventions to enhance understanding of non-verbal cues

• Assessment of the relationship between situational awareness and strategic thinking

• Assessment of technologies that support strategic thinking through better situational awareness

• Methods for improving and/or assessing the use of critical thinking skills in interpersonal contexts

• Methods for improving and/or assessing the use of critical thinking skills in culturally complex settings and operations

• Development of methods to increase frequency and effectiveness of social perspective taking

• Understanding the use of emotion regulation (of self and others) and emotional labor as components of effective leadership

2.3 Developmental Interventions for Effective Leadership in a Changing Army

Only those leaders exhibiting high levels of awareness and understanding of the relationships between their actions and the responses of those they wish to influence will be able to adapt to changes in the environment in which they are asked to perform. While situational awareness is critical to tactical effectiveness, self-awareness and social-awareness are equally critical to leadership effectiveness. Both individual factors (e.g.

cognitive abilities, personality factors, self-monitoring behaviors) and external factors (e.g. situations which are ambiguous, emotionally laden, and/or present significant risk) may impact capabilities for requisite awareness. The objective of this element of the R&D program is to develop and demonstrate tools that will develop and sustain high levels of these leadership capabilities.

• Validated leader awareness model that accounts for individual and external factors

• Measures to quantify individual differences in self/social/situational knowledge and abilities

• Tools/resources to assist Army leaders in visualizing abstract concepts and representing abstract concepts in discourse/communications

• Methods to develop strategic thinking at low/mid-level officer training/education

• Methods for assessing and integrating planning processes and tools linking strategic goals/aims and tactical actions (e.g., Army Design Methodology)

• Training and assessment tools and techniques oriented to individual strategies in self/social/situational awareness

• Job aids that enhance the development of leadership skills during on-the-job activities

II-A-2: TEAM AND INTER-ORGANIZATIONAL PERFORMANCE IN COMPLEX

ENVIRONMENTS (3.1-3.3)

3.1 Joint, Interagency, Intergovernmental, and Multinational Multi-Team Systems

The United States military works with other government and non-governmental organizations both within and outside the United States to achieve their mission. These multicultural teaming arrangements are an adaptive response to the complexity of the problems encountered in counterinsurgency and stability operations. These teams are likely to be peer-based, heterogeneous, and often distributed (or partially distributed).

Research efforts, focused below the strategic level of operations, are needed to determine how to compose, lead, train, and support multi-team systems to facilitate (1) intra/inter-team collaboration, negotiation, and consensus-building; (2) decision-making; (3) and self synchronization for agile performance in dynamic and ambiguous situations.

• Application or revision of concepts such as commander’s intent, command intent, and unity of effort to train and support collaboration and decision-making by collocated and distributed teams

• Understanding the role of trust in multi-team systems

• Training and assessment tools and techniques for the development of collaborative capabilities for enhancing inter-organizational collaboration in coalition operations

• Development and application of qualitative and quantitative measures for assessing and enhancing multi- team performance

The ARI Manager is Dr. Armando Estrada, (443) 395-8129, armando.x.estrada@us.army.mil

3.2 Networked Organizations

Advances in information technology and networked systems are changing the way military teams and organizations form and operate. Military teams are socio-technical systems and are often ad hoc and diverse, formed to meet specific, complex mission requirements. Team members may be collocated, distributed, or partially collocated and partially distributed. Research is needed to identify strategies for organizational design, training, and performance support that leverages the advantages of distributed, networked teams and organizations while minimizing or eliminating barriers to collaboration.

• Identifying data from the network and patterns of human interaction that can be captured and used for dynamic, real-time team development, training, and performance assessment

• Use of network-enabled alerting to inform team operations

• Approaches to organization visualization comprised of network and non-network data that are most appropriate for military operations

• Extension of current approaches to cognitive work analyses to address socio-cognitive, socio-technical requirements of distributed, diverse teams

• Similarities and differences in trust among humans when applied to trust in teams comprised of both humans and technology; investigating how trust is established, maintained, broken, and reestablished in distributed socio-technical teams

• Application of a variable approach, one that combines both hierarchical and decentralized decision-making, to military organizational design and operations

• Examining processes of hybrid teams comprised of both collocated and distributed members to develop methods and tools or organizational design solutions to enhance performance

The ARI Manager is Dr. Arwen DeCostanza, (443) 395-8125, arwen.h.decostanza@us.army.mil

3.3 Multi-National and Cross-Cultural Operations

Modern conflicts place a premium of the flexibility of force personnel to readily shift from major combat operations to stabilization and security force assistance operations as circumstances dictate. These latter forms of operations rely heavily on Soldiers and leaders to interact with host nation governmental and military personnel, local civilian leaders, and the local populace on a regular basis in order to effectively accomplish the mission. The knowledge, skills, and capabilities required to effectively interact with these groups are not within the traditional skill sets developed in U.S. Army personnel and additional research and development is required to gain this capacity.

• Learning models for the development of the knowledge, skill, and aptitude components of cross-cultural competence

• Measurement of the specific components of skills relevant to cross-cultural interaction, including interpersonal skills, perspective taking, and other relevant aspects of cross-cultural competence

• Developmental methods for training cross-cultural negotiation, communication, and collaboration skills outside formal education and training venues

• Theories, models, and approaches providing the conceptual linkages between cultural aspects of societies, groups, and individuals

The ARI Manager is Dr. Jessica Gallus, (703) 545-2386, jessica.a.gallus@us.army.mil

II-A-2: SOLDIER/PERSONNEL ISSUES (4.1-4.2)

The ARI Soldier R&D platform includes tools to attract, select, assign, promote, and retain enlisted and officer personnel, both Active and Reserve, whose abilities and interests will fit the Future Force’s organizational and multi-skilled job demands. Soldiers must be properly matched with the jobs and assignments that best fit their capabilities and interests, both at initial entry and as they progress in their careers. Advances in the development of new tools for personnel management must be coordinated with ongoing changes in Army policies, missions, and organization. Our understanding of enlisted and officer job performance reflects a “whole person” approach, incorporating both the ability to perform and the motivation to perform. Our selection and classification system must incorporate both elements in a holistic fashion.

4.1 Expanded Tools for Enlisted and Officer Selection

In recent years, the challenges confronting enlisted Soldiers and officers have been changing. They must confront a more challenging, ambiguous, and uncertain environment. They must take on responsibilities at a more junior level. These changes raise a number of challenges for our future research and development.

• Comprehensive assessment of Soldiers and officers for selection purposes (for example, identification of important cognitive abilities that could be measured but currently are not part of the Armed Services Vocational Aptitude Battery (ASVAB) and existing standardized cognitive tests)

• Research-based innovations that could result in personnel assessments that improve the validity, efficiency, and domain coverage beyond current military accessions testing, while minimizing adverse impact

• Improved methods of ensuring that faking does not reduce the validity of personality tests when such tests are administered in operational conditions

• Development of personality tests which do not rely on the standard multiple choice format

• Identification of non-cognitive attributes, in addition to personality, which contribute to Soldier and officer performance and development of valid measures of these attributes

The ARI Manager is Dr. Tonia Heffner, (703) 545-4408, tonia.heffner@us.army.mil

4.2 Improved Person-Job Match

New missions, equipment, and doctrine will impact the types of jobs and Soldiers needed for the Future Force. Current tools for classifying Soldiers into jobs will need to be refined to meet the changing needs of the Army. These tools need to reflect the multiple requirements of future jobs, the realignment of the current job structure, and a broader view of Soldier performance which incorporates motivational as well as proficiency components.

• Development of improved job analysis methods which better support job clustering and generalization of validity findings across jobs

• Development of a person-job match model that emphasizes individual preferences and motivation as well as aptitudes

• Exploration of more dynamic and realistic, yet cost-effective, measures of individual job performance

• Development and demonstration of a performance competency concept that can facilitate meaningful and cost-efficient comparisons across jobs

• Modification of current personnel allocation systems to ensure maximum value for the Army given existing accession/training management constraints

The ARI Manager is Dr. Tonia Heffner, (703) 545-4408, tonia.heffner@us.army.mil

II-B: AWARD INFORMATION

The Army Contracting Command- Aberdeen Proving Ground, RTP Division has the authority to award a variety of instruments. The ACC (APG) RTP Division 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. The following are brief descriptions of the possible award instruments:

1. Procurement Contract: 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.

This instrument is appropriate for basic, applied, or advanced research awards when the principal purpose is to acquire property or services for the direct benefit or use of the Federal Government.

Procurement contracts awarded by the ACC (APG) RTP Division will contain, where appropriate, detailed special provisions concerning patent rights, rights in technical data and computer software, reporting requirements, equal employment opportunity, etc.

2. Grant: A legal instrument, that consistent with 31 U.S.C. 6304, is used to enter into a relationship in which-

a. The principal purpose 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 Department of Defense’s direct benefit or use.

b. Substantial involvement is not expected between the Department of Defense and the recipient when carrying out the activity contemplated by the grant.

c. No fee or profit is allowed.

mailto:tonia.heffner@us.army.mil

This instrument is appropriate for basic research awards when the principal purpose 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 Department of Defense’s direct benefit or use. No substantial involvement is expected between the Department of Defense and the award recipient when carrying out the grant activity.

3. 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"), except that substantial involvement is expected between the Department of Defense 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.

This instrument is appropriate for basic, applied, or advanced research awards when the principal purpose 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 Department of Defense’s direct benefit or use. Substantial involvement is expected between the Department of Defense and the award recipient when carrying out the cooperative agreement activity.

Grants and cooperative agreements are governed by the following regulations:

a. 2 CFR Part 220, "Cost Principles for Educational Institutions" (Formerly OMB Circular A-21)

b. 2 CFR Part 225, "Cost Principles for State, Local and Indian Tribal Governments"

(Formerly OMB Circular A-87)

c. OMB Circular A-102, "Uniform Administrative Requirements for Grants and

Cooperative Agreements with State and Local Governments"

d. 2 CFR 215, "Uniform Administrative Requirements for Grants and Agreements with Institutions of Higher Education, Hospitals, and Other Non-Profit Organizations" (Formerly OMB Circular A-110)

e. 2 CFR Part 230, "Cost Principles for Non-Profit Organizations" (Formerly OMB Circular A-122)

f. OMB Circular A-133, "Audits of States, Local Governments, and Non-Profit

Organizations"

g. DoD Grant and Agreement Regulations (DoDGARs), DoD 3210.6-R

Copies of Office of Management and Budget (OMB) regulations may be obtained from:

Executive Office of the President Telephone: (202) 395-7332 Publications Service FAX Requests: (202) 395-9068 New Executive Office Building http://www.whitehouse.gov/OMB/grants 725 17th Street, N.W., Room 2200 Washington, DC 20503

An electronic copy of the DoDGARs may be found at http://www.dtic.mil/whs/directives/corres/html/321006r.html.

4. Technology Investment Agreement (TIA) Assistance Transaction other than a Grant or

Cooperative Agreement (see DoDGARs Part 37): A legal instrument, consistent with 10 U.S.C. 2371, which may be used when the use of a contract, grant, or cooperative agreement is not feasible or appropriate for basic, applied, and advanced research projects. The research covered under a TIA shall not be duplicative of research being conducted under an existing DoD program. To the maximum extent practicable, TIA’s shall provide for a 50/50 cost share between the Government and the Offeror. An Offeror's cost share may take the form of cash, independent research and development (IR&D), foregone intellectual property rights, equipment, or access to unique facilities, as well as others. Due to the extent of cost share, and the fact that an ‘other transaction’ does not qualify as a "funding agreement" as defined at 37 CFR 401.2(a), the intellectual property provisions of a TIA can be negotiated to provide expanded protection to an Offeror's intellectual property. No fee or profit is allowed.

5. Other Transaction for Prototype (OTA): A legal instrument, consistent with 10 U.S.C.

2371 (as authorized by Public Law 106-398, Section 803 and Public Law 103-160, Section 845), which may be used when the use of a contract, grant, or cooperative agreement is not feasible or appropriate for prototype projects directly relevant to weapons or weapon systems proposed to be acquired or developed by the DoD. The effort covered under an ‘other transaction for prototype’ shall not be duplicative of effort being conducted under an existing DoD program (please refer to the “Other Transactions” OT Guide for Prototype Projects at www.acq.osd.mil/dpap/Docs/otguide.doc).

II-C: ELIGIBILITY INFORMATION

1. Eligible Applicants:

Proposals are sought from educational institutions, non-profit/not-for-profit organizations, and commercial organizations, domestic or foreign, for research and development (R&D) in those areas specified in Part II Section A of this BAA. The U.S. Army Research Institute for the Behavioral and Social Sciences encourages Historically Black Colleges and Universities/ Other Minority Serving Institutions (HBCU/MI) (FAR Part 26.3) small businesses, and small disadvantaged businesses (FAR Part 19) to submit proposals for consideration. Historically Black Colleges and Universities and Other Minority Serving Institutions are determined by http://www.whitehouse.gov/OMB/grants http://www.dtic.mil/whs/directives/corres/html/321006r.html http://www.acq.osd.mil/dpap/Docs/otguide.doc the Secretary of Education to meet the requirements of Title III of the Higher Education Act of 1965, as amended (20 U.S.C. § 1061). Minority Serving Institutions are defined as institutions “whose enrollment of a single minority or a combination of minorities…exceeds 50 percent of the total enrollment.” [20 U.S.C. § 1067k (3) and 10 U.S.C. § 2323(a)(1)(C)].

Foreign owned, controlled, or influenced organizations are advised that security restrictions may apply that could preclude their participation in these efforts. Countries included on the U.S. State Department List of Countries that Support Terrorism are excluded from participation in these efforts.

Government laboratories, Federal Funded Research and Development Centers (FFRDCs), and U.S. Service Academies are not eligible to participate as prime contractors or recipients.

However, they may be able to participate as subcontractors or subrecipients (eligibility will be determined on a case by case basis). If a proposal selected for award includes one or more subawards to a Government laboratory, Federally Funded Research and Development Center, or U.S. Service Academy, award funds allocated for Government laboratories, FFRDCs, and/or U.S. Service Academies will be provided via a Military Interdepartmental Purchase Request (MIPR). No award funds will be channeled directly from a prime awardee to a Government laboratory, FFRDC, or U.S. Service Academy subawardee.

2. Cost Sharing or Matching:

There is no required cost sharing, matching, or cost participation to be eligible under this BAA. However, Offerors are encouraged to consider cost sharing schemes in cooperation with ARI. Cost sharing requirements may exist if the Offeror is proposing the use of a TIA or an OTA as an award instrument.

3. Duns and Bradstreet Universal Numbering System (DUNS) Number and System for Award Management (SAM) Registrations:

Each applicant (unless the applicant is an individual or Federal agency that is exempt from those requirements under 2 CFR 25.110(b) or (c), or has an exception approved by the agency under 2 CFR 25.110(d)) is required to: (i) Be registered in the System for Award Management (SAM) https://www.sam.gov prior to submitting its application; (ii) provide a valid DUNS number in its application; and (iii) continue to maintain an active SAM registration with current information at all times during which it has an active Federal award or an application or plan under consideration by an agency. An award will not be made to an applicant until the applicant has complied with all applicable DUNS (call 1-866-705-5711 toll free or visit http://fedgov.dnb.com/webform) and SAM requirements.

II-D: APPLICATION AND SUBMISSION INFORMATION

1. Address to View Broad Agency Announcement:

This BAA may be accessed from the following websites:

https://www.sam.gov/ http://fedgov.dnb.com/webform https://www.fbo.gov http://www.grants.gov http://www.arl.army.mil/www/default.cfm?page=8

2. Content and Form of Application Submission:

Section 1 – General Information:

Completeness of Information: Proposals must include all of the information specified in this BAA to prevent delays in evaluation. Be sure to specify the Commercial and Government Entity (CAGE Code), the DUNS Number, and the Taxpayer Identification Number (TIN) with your submission. Completion of the Representations and Certifications as well as registration in the System for Award Management (SAM) are prerequisites before receiving an award.

Classified Submissions: Classified proposals are not expected. However, in an unusual circumstance where an Offeror believes a proposal has the potential to be classified, contact the ARI Operations Security Officer, Ms. Pamela Butler, (703) 545-2418, pamela.l.butler8.civ@mail.mil prior to the proposal's submission.

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, Offerors' use of color in proposals should be minimal and used only when necessary for details. Do not use color if it is not necessary.

Government Property/Government Furnished Equipment and Facilities: Normally, title to equipment or other tangible property purchased with Government funds vests with non-profit institutions of higher education or with non-profit research organizations if vesting will facilitate scientific research performed for the Government. Commercial organizations are expected to possess the necessary plant facilities and equipment to conduct the proposed research. Deviations may be made on a case-by-case basis. Government equipment, research facilities, and operational military units may be available and may be considered as potential Government-furnished equipment/facilities. Offerors should explain as part of their proposals if any of these resources could be useful to the success of a proposed project.

Continuation Projects: A proposal for continuation of an existing ARI award will be considered on the same basis as proposals for new awards. The proposal should be submitted sufficiently in advance of the completion of the existing award so that if it is accepted, support may be continued without interruption.

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 http://www.grants.gov/ http://www.arl.army.mil/www/default.cfm?page=8 mailto:Pamela.l.butler8.civ@mail.mil situation should be discussed with the ARI legal counsel, Ms. Peggy Gieseking, (410) 278- 6487, peggy.l.gieseking.civ@mail.mil, prior to expending time and effort in preparing a proposal.

Statement of Disclosure Preference: Please complete Form 52 or 52A stating your preference for release of information contained in your proposal. Copies of these forms are available at http://www.arl.army.mil/www/default.cfm?Action=29&Page=218#baaforms.

Additionally, proposals containing data that is not to be disclosed to the public for any purpose or used by the Government except for evaluation purposes shall include the following statement on their cover page:

The proposal includes data that shall not be disclosed outside the Government and shall not be duplicated, used, or disclosed, in whole or in part, for any purpose other than to evaluate this proposal. If, however, an award is made to this Offeror as a result of or in connection with the submission of this data, the Government shall have the right to duplicate, use, or disclose the data to the extent provided in the resulting award. This restriction does not limit the Government's right to use information contained in these data if they are obtained from another source without restriction. The data subject to this restriction are contained in sheets _______.

The Offeror shall also mark each sheet of data it wished to restrict with the following legend:

“Use or disclosure of data contained on this sheet is subject to the restriction on the title page of this proposal.”

Section 2 – Application Process Overview:

The application process is in three stages as follows:

Stage 1- 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) Registration at https://www.sam.gov. Prospective Offerors must be registered in SAM prior to award.

Stage 2 - Prospective proposers are requested to submit white papers prior to the submission of a complete, more detailed proposal. The purpose of white papers is to minimize the labor and cost associated with the production of detailed proposals that have very little chance of being selected for funding. Based on assessment of the white papers, feedback will be provided to the proposers to encourage or discourage them to or from submitting full proposals.

Stage 3 - Interested Offerors are required to submit full proposals. All proposals submitted under the terms and conditions cited in this BAA will be reviewed regardless of the feedback on, or lack of, a white paper.

mailto:peggy.l.gieseking.civ@mail.mil http://www.arl.army.mil/www/default.cfm?Action=29&Page=218#baaforms http://fedgov.dnb.com/webform https://www.sam.gov/

Section 3 – White Paper Preparation:

White papers should focus on describing details of the proposed research, including how it is innovative and how it could substantially increase the…