W911NF-19-S-0004_Disruptive_Applications_BAA_-_Final_draft.pdf

ARMY APPLICATIONS LAB

BROAD AGENCY ANNOUNCEMENT FOR

DISRUPTIVE APPLICATIONS

W911NF-19-S-0004

2 May 2019 – 1 May 2024

ISSUED BY:

U.S. Army Contracting Command

Aberdeen Proving Ground Research Triangle Park Division

P. O. Box 12211 Research Triangle Park, NC 27709-2211

Special Notes

1. Formatting of the Announcement

The following table provides an overview of the outline structure of this announcement:

I.

A.

1.

a.

i.

(1) (a) (i)

2. See Appendix 1 for a Table of Acronyms used in this announcement.

3. See Appendix 2 for a Schedule of Amendments. Applicants are encouraged to frequently check Grants.gov and FBO.gov for updates and amendments to this BAA.

TABLE OF CONTENTS

I. OVERVIEW OF THE FUNDING OPPORTUNITY 10

A. Overview 10

1. Agency Name 10

2. Research Opportunity Title 10

3. Announcement Type 10

4. Research Opportunity Number 10

5. Catalog of Federal Domestic Assistance (CFDA) Number and Title 10

6. Response Dates 10 B. Additional Overview Information 11

II. DETAILED INFORMATION ABOUT THE FUNDING OPPORTUNITY 11

A. Program Description 11

a. Autonomous platforms 12

b. Artificial Intelligence and Machine Learning (AI/ML 12

c. Data visualization and synthetic environments 12

d. Assured Position, Navigation, and Timing (PNT) 13

e. Power generation and management technologies 13

f. Sensing 13

g. Communications & network 13

h. Computation 14 I. Space 14

j. Internet of Things (IoT) 14

k. Quantum Technologies 14

l. Signature reduction 15

m. Protection 15

n. Human Performance 15

o. Underpinning Methodologies 15 B. Federal Award Information 17 C. Eligibility Information 20

1. Eligible Applicants 20

2. Cost Sharing or Matching 20 3.Other 21 D. Application and Submission Information 22

1. Address to View Broad Agency Announcement 22

2. Content and Form of Application Submission 22

a. General Information 22

b. The Application Process 24

c. Whitepaper Preparation 25

d. Whitepaper Submission 27

e. Preparation of Proposals 27

f. Submission of Proposals 34

g. Grants.gov Registration 36

3. Unique Entity Identifier and System for Award Management (SAM) 37

4. Submission Dates and Times 37

5. Intergovernmental Review 38

6. Funding Restrictions 38

7. Other Submission Requirements 38 E. Application Review Information 39

1. Criteria 39

2. Review and Selection Process 39

3. Recipient Qualification 40 F. Award Administration Information 42

1. Award Notices 42

2. Administrative and National Policy Requirements 42

a. Required Representations and Certifications 42

b. Policy Requirements 47

3. Reporting 54 G. Agency Contacts 57 H. Other Information 58

1. Contract Proposals 58

2. Grant and Cooperative Agreement Proposals 67

APPENDIX 1: TABLE OF ACRONYMS 73

APPENDIX 2: SCHEDULE OF AMENDMENTS 77

I. OVERVIEW OF THE FUNDING OPPORTUNITY

The Army that fought and won World War II relied on commercial industry and civilian ingenuity for the machines and technology that enabled Allied victory. Army investments and civilian know-how set the stage for the high-tech revolution that continues to fuel global markets over seventy years later. Today, as the accelerated rate of technological change in areas like artificial intelligence, robotics and autonomy, and power and energy presages unprecedented opportunities and threats, the Army seeks to renew its commitment to the revolutionary ideas and civilian research and development partnerships that will ensure the safety and prosperity of the nation in the years to come.

United States Army Futures Command (AFC) is focused on modernizing the Army and focuses on six priorities:

1. Long-Range Precision Fires

2. Next Generation of Combat Vehicles

3. Future Vertical Lift Platforms

4. Army Network

Network Command, Control, Communications and Intelligence Assured Position Navigation and Timing

5. Air and Missile Defense Capabilities

6. Soldier Lethality

Soldier Lethality Synthetic Training Environment

AFC's cross-functional teams (CFTs) are the Army’s vehicle for force modernization, ensuring capability overmatch for Army forces on future battlefields.

While the Army plays a unique role in our society to deploy, fight, and win decisively against any adversary, anytime, and anywhere, many of the technologies that the Army relies on to accomplish this mission are being propelled by the civilian world.

Army modernization priorities related to manned and unmanned vehicles, space systems, sensing, networks and connectivity, data visualization and gaming, space, and human performance monitoring (to name a few) all have substantial overlap with civilian sources, uses, and markets.

To capitalize on opportunities for breakthrough research and development in key civil-military technology areas relevant to the Army’s modernization priorities, AFC has established the Army Applications Lab (AAL) to capitalize on the extended marketplace of ideas in government, academia, industry, and civilian innovation ecosystems and lead the research and development of disruptive innovations – i.e., technology demonstrators and early-stage products that revolutionize Army capabilities and corresponding civilian industries and create a first-mover advantage for the Army across a full spectrum of missions.

The three main lines of effort associated with this BAA are (1) discovery, (2) acceleration, and (3) translation of disruptive technology applications:

1. Discovery of novel capability concepts that capitalize on emerging technologies and application insights from the widest possible range of sources.

2. Acceleration of disruptive applications of technology that delivers a 2-4 times improvement over current or planned Army capabilities through the research, development, and validation of technology demonstrators.

3. Translation of breakthrough innovations that create a scalable, first-mover advantage for the Army in strategic technology areas by synchronizing knowledge generated in the discovery and acceleration phases with key decision points across the Army Future Force Modernization Enterprise (FFME).

Solutions consistent with these three functions and reflective of priorities, technical challenges, and problems associated with the FFME will be solicited through this

BAA.

AAL is seeking technologies that address a wide range of Army needs consistent with CFT capability focus areas and associated programs and lines of effort as well as potentially disruptive new capabilities that augment or enhance Army capability overmatch. A key focus for AAL is to identify and transition new technologies, methodologies, and concepts related to:

1. Translational Research - Approaches and methodologies that accelerate the

Army’s innovation cycle through the translation of emerging technologies to Army capability objectives, including the Army’s six modernization priorities and associated programs and lines of effort.

2. Fourth Industrial Revolution Technologies - Approaches and methodologies that are characterized by a fusion of technologies in the physical, digital, and biological spheres. Specific technologies of interest include robotics; artificial intelligence; autonomy; augmented and virtual reality; nanotechnology; quantum information systems; synthetic biology and biotechnology; Internet of Things (IoT); space systems; advanced networking, communications, and command and control technology; additive manufacturing; and power and energy systems.

3. Commercialization - Approaches and methodologies that support the research and development of dual-use solutions - i.e., solutions that support both emerging Army needs and scalable commercial markets.

This BAA may be used to award procurement contracts, grants, cooperative agreements, Technology Investment Agreements, and Other Transactions. AAL will entertain discussions with applicants to consider a wide range of funding constructs which might include but are not limited to Government funding, cost sharing, in-kind labor or facility sharing by all parties, or any other allowable mechanism. Applicants may propose cost sharing approaches but they are not required. AAL envisions opportunities to engage in other types of collaboration agreements where no funds are exchanged such as Cooperative Research and Development Agreements (CRADAs) which are negotiated separately from this BAA. See http://www.aal.mil for details.

There are two approaches AAL will use to engage with potential applicants under this

BAA.

Ongoing Topics - AAL does not necessarily have funding for any particular research area at any given time. Those contemplating submission of a whitepaper or proposal are strongly encouraged to review the AAL website to understand AAL priorities, submit questions, and submit whitepapers and proposals. Whitepapers and proposals should be prepared in accordance with the instructions contained in this BAA and submitted according to guidelines found on http://www.aal.mil. AAL will assess whitepapers and proposals and return feedback to applicants on a not-to-exceed quarterly basis.

Special Topics - As a part of this BAA, AAL will post specific areas with strong potential for funding on its website http://www.aal.mil and on http://www.grants.gov.

These topics will generally have clear deadlines for submission and may have other specific preparation guidelines.

Proposals and whitepapers that demonstrate significant innovation are sought from institutions of higher education, nonprofit organizations, state and local governments, foreign organizations, foreign public entities, and for-profit organizations (i.e. large and small businesses) for scientific research in technology areas that will enhance the capabilities the Army desires as outlined in this solicitation. Proposals and whitepapers may include studies, modeling & simulation, development of methodologies and approaches, technology demonstrators and prototypes, experiments, or feasibility analyses that are consistent with advancing the scientific state of the art or increasing basic knowledge and understanding. Applicants may also propose that AAL support the research with the use of Government-furnished facilities, Army expertise or other Government assets. Proposals will only be considered for the acquisition of basic and applied research and work not related to the development of a specific system or hardware procurement.

Proposals and whitepapers are expected to be for cutting-edge innovations that could produce discoveries with the potential for significant impacts to enable new and improved Army operational capabilities. The specific research areas and topics of interest described in this document should be viewed as suggestive, rather than limiting. AAL is always interested in considering new innovative research concepts of relevance to the Army. Additional information about AAL areas of interest can be found on the AAL website: http://www.aal.mil.

Applicants whose whitepapers receive a favorable evaluation may be encouraged to prepare a proposal in accordance with instructions contained in this BAA. The costs of whitepapers and/or proposals in response to this BAA are not considered an allowable direct charge to any award resulting from this BAA or any other award. It may be an allowable expense to the normal bid and proposal indirect costs specified in Federal Acquisition Regulation (FAR) 31.205-18. AAL prefers proposals that incorporate intermediate milestones to assess progress. Proposals may be submitted at any time while this BAA, including any amendments, is valid.

In accordance with federal statutes, regulations, and Department of Defense (DoD) and Army policies, no person on grounds of race, color, age, sex, national origin, or disability shall be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any program or activity receiving financial assistance from the Army. Applicants submitting proposals are cautioned that only a Contracting or Grants Officer can obligate the Government to any legal instrument involving expenditure of Government funds. All administrative inquiries regarding this BAA shall be submitted in email to: usarmy.rtp.aro.mbx.baa@mail.mil.

Scientific and technical questions should be referred to the provided contact form on the AAL website. Interested parties are encouraged to periodically check any of the following websites for updates and amendments to this BAA: www.grants.gov, www.fbo.gov, and the (AAL) website http://www.aal.mil.

Director Army Applications Laboratory

(End of Section)

B. Required Overview Content

1. Agency Name U.S. Army Futures Command, Army Applications Laboratory

2. Issuing Acquisition Office

U.S. Army Contracting Command-Aberdeen Proving Ground, Research Triangle Park (ACC-APG-RTP) Division

3. Research Opportunity Title

AAL Broad Agency Announcement (BAA) for Disruptive Applications for 2 May 2019– 1 May 2024

4. Announcement Type

Initial Announcement

5. Research Opportunity Number

W911NF-19-S-0004

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

12.431 – Basic Scientific Research

7. Response Dates

This BAA is a continuously open announcement valid throughout the period from the date of issuance through 1 May 2024, unless announced otherwise.

C. Additional Overview Information

1. This BAA sets forth research areas of interest to the AAL. This BAA is issued under paragraph 6.102(d)(2) of the Federal Acquisition Regulation (FAR), which provides for the competitive selection of basic and applied research proposals, and 10 U.S.C. 2358, 10 U.S.C. 2371, and 10 U.S.C.

2371b, which provide the authorities for issuing awards under this announcement for basic and applied research. The definitions of basic and applied research may be found at 32 Code of Federal Regulations (CFR) 22.105.

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

3. The DoD agencies involved in this program reserve the right to select for award all, some, or none of the proposals submitted in response to this announcement. Due to Government budget uncertainties, no specific dollars have been reserved for awards under this BAA. The participating DoD agencies will provide no funding for direct reimbursement of whitepaper or proposal development costs.

4. Whitepapers and technical and cost proposals (or any other material) submitted in response to this BAA will not be returned to the applicant.

Unless noted in an applicant's proposal to the contrary, unsuccessful proposals will be retained for possible future consideration. It is the policy of participating DoD agencies to treat all proposals as sensitive, competitive information and to disclose their contents only for the purposes of evaluation.

5. An applicant may withdraw a proposal at any time before award by written notice or by email sent to the Government point of contact (POC) identified in Section G of this BAA.

II. DETAILED INFORMATION ABOUT THE FUNDING OPPORTUNITY

A. Program Description - AAL is interested in any and all technologies which can be shown to enable the Army of 2028 to be ready to deploy, fight, and win decisively against any adversary, anytime, and anywhere, in a joint, multi-domain, high-intensity conflict, while simultaneously deterring others and maintaining its ability to conduct irregular warfare.

1. There are a number of technologies that touch more than one of the Army Modernization Priorities as well as other areas important to the Army.

Advances in these areas may be highly disruptive since they could address multiple priorities or functions or challenge current Army approaches.

Areas of interest include but are not limited to the following:

a. Autonomous platforms – The Army is particularly interested in research in autonomous ground and air vehicles, which must operate in open, urban and cluttered environments. Robotics and autonomous systems regardless of their missions require similar concepts and technologies including:

i. Ability to move in very cluttered, irregular, urban and underground terrains

ii. Ability to move effectively in contested environments and survive attacks

i. Technologies to enable low electronic and physical profiles

ii. Techniques to allow operators to be trained quickly even for complex tasks

iii. Architectures to enable reprogrammable platforms under dynamic conditions

iv. Sensors to detect obscured targets and to characterize terrain obstacles

v. Autonomous ground and air structures, propulsion, and mobility components

vi. Technologies to significantly reduce logistical burdens

b. Artificial Intelligence and Machine Learning (AI/ML) - The Army is interested in AI/ML research in areas which can reduce the cognitive burden on humans and improve overall performance through human-machine teaming. AI/ML research is needed in areas such as:

i. Autonomous, intelligent maneuver and behaviors of autonomous ground and air vehicles - object recognition, threat warning, etc.

ii. Ability to analyze large, diverse data sets to predict enemy intent and behaviors

iii. Technologies to ensure robust, resilient and intelligent networking, cyber, electronic warfare and analysis of adversary signals

iv. Data analysis capabilities to engage with and exploit classified and unclassified sources in order to produce enhanced intelligence products

v. Techniques to fuse data from disparate sources to improve a particular mission

c. Data visualization and synthetic environments – The Army is interested in research involving concepts that enable improved situational awareness and the visualization and navigation of large data sets and to enhance operational activities and training and readiness.

Research is needed in the visualization of data in following areas:

i. Sensor data

ii. Large data sets

iii. Complex multi-source mode data sets

iv. Novel visualization and synthetic environment approaches to enable improved training

v. Synthetic environments and networked instrumentation approaches for virtual-live validation of concepts and prototypes

d. Assured Position, Navigation, and Timing (PNT) – The Army is interested in research involving novel new PNT technologies which could be key enablers for many capabilities including autonomous vehicles, communications, and land navigation. Solutions that enable robust PNT for vehicles, Soldiers, munitions might include research in the following areas:

i. PNT technologies which operate reliably in GPS-degraded or denied areas which cannot be exploited by adversaries

ii. Enhancements to commercial technologies to enable them to meet

Army needs

iii. Robust security techniques for PNT at all levels

iv. PNT-enabled guidance and control

v. Algorithms and techniques to fuse data from multiple PNT sources to provide robust capabilities

e. Power generation and management technologies – The Army frequently must operate where power infrastructure is not available, on small vehicles or for individual Soldiers. Solutions that enable reliable power for vehicles, Soldiers, and munitions might include research on:

i. Novel new power sources

ii. Power management algorithms to optimize generation and usage

iii. Advanced low-power electronic technologies to reduce power demand

iv. Compact power sources for small UAVs, robots, smart munitions

f. Sensing – The Army is interested in developing a detailed understanding of the environments and activities in the areas where it operates. Research is needed in the areas of sensors and associated processing in order to:

i. Detect people, equipment, weapons, and any other object or action of interest

ii. Detect all targets even when obscured

iii. Detect based upon, physical, behavioral, cyber or other signatures

g. Communications & networks – It is critical the Army maintain secure, reliable communications for Soldiers, vehicles and at fixed locations even in austere environments. Research is needed in the areas related to following:

i. Concepts and methodologies to enable robust, secure networks

ii. Protocols

iii. Network interoperability including multi-national partners

iv. High efficiency components

h. Computation – The Army has a growing need for high performance computational capabilities to exploit large data sets and to compute complex AI/ML algorithms for many applications. Research is needed to improve computational capabilities in the following areas:

i. Throughput

ii. Power efficiency

iii. Edge computing

i. Space – Like many commercial interests, the Army is interested in exploiting space assets to solve a range of problems. Research is needed to improve space-based capabilities in the following areas:

i. Concepts enabling persistent, high-resolution sensing of ground-based features, environments, and targets

ii. Concepts enabling low-cost access to space

j. Internet of Things (IoT) – The Army needs to better integrate a wide range of capabilities and equipment and capitalize on commercial developments in the industrial and human IOT. The Army’s interested is driven in part by the fact that the amount of usable communication bandwidth on the battlefield will be dynamic, and as such automated reallocation of communication resources and information sharing strategies are more challenging than commercial ones. Research is needed to improve Army IOT in the following areas:

i. New concepts, quantitative models and technical approaches enabling automated management of IoT

ii. New machine learning techniques that accelerate decision making to address the scale/volume of IoT information and advance the science

iii. New approaches, low-complexity algorithms, and methods to enable secure, resilient, and to automatically managed IOT networks in highly complex, mixed cooperative/adversarial, information-centric environment

iv. Novel IoT approaches to enable improved training and system evaluation

k. Quantum Technologies – The Army seeks to better employ quantum sciences in a number of areas to improve the performance and security of its future systems. Research is needed in the following areas:

i. Quantum computing to solve highly complex problems in real time

ii. Quantum sensing to achieve highly sensitive characterization of activities and environments and enable highly accurate navigation

iii. Quantum communications, and networking to enable highly secure and efficient information flow

l. Signature reduction – The Army needs to protect its Soldiers by making them harder to detect and locate. Research is needed to manage and reduce Army capability signatures in the following areas:

i. Technologies, methodologies and concepts to reduce the external signatures of Soldiers and of all Army platforms and equipment

ii. Capabilities to reduce RF, optical, thermal, acoustic, magnetic and any other signatures

m. Protection – The Army faces a number of current and future threats which it must address to protect it Soldiers. Research is needed to enhance Army capabilities for survival in the following areas:

i. Sensors to detect chemical, biological, radiological, nuclear, and explosive threats

ii. Lightweight, easy to manufacture armor

iii. Cyber protection technologies, methodologies, and concepts to protect Army systems including Soldiers, platforms, networks, and munitions

iv. Human performance optimization to endure harsh and extenuating conditions

n. Human Performance – The Soldier is the foundation of all Army capabilities. Technologies that reduce Soldiers’ mental or physical burden and allow them to react faster than their adversaries are needed in the following areas:

i. Human-machine interaction to insure autonomous platforms are efficiently managed and exploited

ii. Measuring effectiveness of and enhancing training tools and techniques

iii. Methodologies and approaches for effective augmentation of

Soldiers in areas of cognition, perception, and physical performance

o. Underpinning Methodologies - Methodologies, frameworks, tools, facilities, techniques, and experimentation concepts, which underpin and enable advanced research and development in all of the areas are of interest including those which enhance the abilities to:

i. Collect, standardize, transform, and maintain data to focus research and validate concepts

ii. Rapid modeling, development, and assessment of technologies across widely distributed research teams

iii. Integrate innovative technology applications into current or future warfighting systems, applications, and analysis systems to assess the potential operational effectiveness of novel new technology elements

iv. Automate data analytics to enhance discovery, development and transition management of technologies that address Army capability gaps

B. Federal Award Information

The ACC-APG-RTP Division has the authority to award a variety of instruments on behalf of AFC. Anticipated awards will be made in the form of contracts, grants, cooperative agreements, technology investment agreements (TIAs), or other transactions for prototypes (OTAs). The ACC-APG-RTP Division reserves the right to select the type of instrument most appropriate for the effort proposed.

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

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

a. Federal Acquisition Regulation (FAR)

b. Defense Federal Acquisition Regulation Supplement (DFARS)

c. Army Federal Acquisition Regulation Supplement (AFARS)

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

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

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

c. No fee or profit is allowed.

3. Cooperative Agreement. A legal instrument 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 Federal Government and the recipient when carrying out the activity contemplated by the cooperative agreement. The term does not include "cooperative R&D agreements" as defined in 15 U.S.C. 3710a. No fee or profit is allowed.

4. Technology Investment Agreement (TIA). Assistance transaction other than a Grant or Cooperative Agreement (see 32 CFR 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 applicant. An applicant's cost share may take the form of cash, independent research and development (IR&D), foregone intellectual property rights, equipment, access to unique facilities, and/or other means. Due to the extent of cost share, and the fact that a TIA 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 applicant's intellectual property. No fee or profit is allowed on TIAs.

5. Other Transaction for Prototype (OTA). A legal instrument, consistent with 10 U.S.C. 2371b, 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 enhancing the mission effectiveness of military personnel and the supporting platforms, systems, components, or materials proposed to be acquired or developed by the DoD, or to improvement of platforms, systems, components, or materials in use by the armed forces. The effort covered under an OTA shall not be duplicative of effort being conducted under an existing DoD program (please refer to the “Other Transactions” OT Guide for Prototype Projects dated January 2017 (Version 1.2.0)). This document, along with other OTA resources, may be accessed at the following link:

http://www.acq.osd.mil/dpap/cpic/cp/10USC2371bOTs.html.

6. Grants and cooperative agreements for institutions of higher education, nonprofit organizations, foreign organizations, and foreign public entities are primarily governed by the following:

a. Federal statutes

b. Federal regulations

c. 2 CFR Part 200, as modified and supplemented by DoD's interim implementation found at 2 CFR Part 1103

d. 32 CFR Parts 21, 22, 26, and 28

e. DoD Research and Development General Terms and Conditions

f. Agency-specific Research Terms and Conditions

g. Grants and cooperative agreements for for-profit and nonprofit organizations exempted from Subpart E—Cost Principles of 2 CFR Part 200, are primarily governed by the following:

h. Federal statutes

i. Federal regulations

ii. 32 CFR Part 34 - Administrative Requirements for Grants and Agreements with For-Profit Organizations

iii. x32 CFR Parts 21, 22, 26, and 28

iv. DoD Research and Development General Terms and Conditions

v. Agency-specific Research Terms and Conditions

7. TIAs are primarily governed by the following:

a. Federal statutes

b. Federal regulations

c. 32 CFR Part 37 – Technology Investment Agreements

d. DoD Research and Development General Terms and Conditions

e. Agency-specific Research Terms and Conditions

8. OTAs are primarily governed by the following:

a. Federal statutes

b. Federal regulations

c. Office of Secretary of Defense implementation guidance titled Other

Transactions (OT) Guide for Prototype Projects

9. The following websites may be accessed to obtain an electronic copy of the governing regulations and terms and conditions:

a. FAR, DFARS, and AFARS: http://farsite.hill.af.mil/

b. Code of Federal Regulations: http://www.ecfr.gov

c. DoD Research and Development General Terms and Conditions:

https://www.onr.navy.mil/Contracts-Grants/submit-proposal/grants-proposal/grants- terms-conditions.aspx

d. Agency-specific Research Terms and Conditions:

http://www.arl.army.mil/www/default.cfm?page=8

C. Eligibility Information

1. Eligible Applicants

Eligible applicants under this BAA include institutions of higher education, nonprofit organizations, state and local governments, foreign organizations, foreign public entities, and for-profit organizations (i.e.

large and small businesses) for scientific research in mechanical sciences, mathematical sciences, electronics, computing science, physics, chemistry, life sciences, materials science, network science, and environmental sciences. In accordance with FAR 35.016, Whitepapers and proposals will be evaluated only if they are “for acquisition of basic and applied research and that part of development not related to the development of a specific system or hardware procurement. BAA’s may be used by agencies 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 hardware solution.”

For foreign public entities or foreign organizations, see Section II.C.3.a below for further information. There is no restriction on the place of performance for awards issued under this BAA.

2. Cost Sharing or Matching

Generally, there is no requirement for cost sharing, matching, or cost participation to be eligible for award under this BAA. Cost sharing and matching is not an evaluation factor used under this BAA. Exceptions may exist if the applicant is proposing the use of a TIA or an OTA as an award instrument. Cost-sharing requirements may be found at 32 CFR 37 for TIAs. Cost-sharing requirements for OTAs may be found at Section C2.16 COST SHARING in the January 2017 document titled “Other Transactions” OT Guide for Prototype Projects.

In addition, if cost sharing is proposed on a grant or cooperative agreement proposal submitted by a nonprofit or institution of higher education, the award will be subject to the restrictions at 2 CFR 200.306.

If cost sharing is proposed on a contract proposal, the award will be subject to the restrictions at FAR 35.003.

3. Other

a. Foreign public entities or foreign organizations are advised that security restrictions may apply that could preclude their participation under this BAA.

b. Pursuant to the policy of FAR 35.017 and supplements, selected Federally Funded Research and Development Centers (FFRDC) may propose under this BAA as allowed by their sponsoring agency and in accordance with their sponsoring agency policy.

D. Application and Submission Information

1. Address to View Broad Agency Announcement This BAA may be accessed via the following websites:

a. Grants.gov (www.grants.gov)

b. Federal Business Opportunities (www.fbo.gov)

c. AAL website http://www.aal.army/

d. Amendments to this BAA, if any, will be posted to these websites when they occur. Interested parties are encouraged to periodically check these websites for updates and amendments.

The following information is for those wishing to respond to the

BAA:

2. Content and Form of Application Submission - General Information

a. General Information

i. Preliminary Inquiries: The AFC will receive several hundred research proposals annually. Because of financial constraints, AFC can support for only a limited number of the proposals received.

Preparation of research proposals often represents a substantial investment of time and effort by the applicant. Therefore, in an attempt to minimize this burden, we strongly encourage applicants interested in submitting proposals to make preliminary inquiries as to the general need for the type of research effort contemplated, before expending extensive effort in preparing a whitepaper and/or detailed proposal or submitting proprietary information. The AFC webpage allows preliminary inquiries to be made prior to submitting a whitepaper or proposal. The Government will not be obligated by any discussion that arises out of preliminary inquiries.

ii. Classified Inquiries or Submissions: Classified inquiries, whitepapers or proposals are not expected to be routine. However, in an unusual circumstance the applicant may be notified that access to classified information and/or controlled unclassified information will occur under the work proposed. In those instances where a contract is awarded requiring access to classified information and/or controlled unclassified information, clause FAR 52.204-2 shall be in effect, as well as a DD254, if issued. For questions regarding the potential for access to classified information and/or controlled unclassified information, please coordinate with the instructions provided on the AAL website.

iii. Use of Color in Proposals: All proposals received will be stored as electronic images. Electronic color images require a significantly larger amount of storage space than black-and- white images. As a result, applicants' use of color in proposals should be minimal and used only when necessary for details. Only use color if it is not necessary.

iv. Post-Employment Conflict of Interest: There are certain post-employment restrictions on former federal employees, including special government employees (18 U.S.C. 207). If a prospective applicant believes a conflict of interest may exist, the situation should be discussed with the TPOC provided on the AAL website who will then coordinate with appropriate AFC legal counsel prior to the applicant expending time and effort in preparing a proposal.

v. Statement of Disclosure Preference: In accordance with Section II.D.2.e.iii of this BAA, Form 52 or 52A shall be completed stating your preference for release of information contained in your proposal. Copies of these forms may be downloaded from the ARO web site at http://www.arl.army.mil/www/default.cfm?page=29 under "For the Researcher" (Forms, ARO BAA Forms).

NOTE: Proposals may be handled for administrative purposes by support contractors. These support contractors are prohibited from submitting proposals under this BAA and are bound by non-disclosure and/or conflict of interest requirements as deemed appropriate.

vi. Equipment (see instrument-specific regulations provided in Section II.B of this BAA): Normally, title to equipment or other tangible property purchased with Government funds vests with nonprofit institutions of higher education or with nonprofit organizations whose primary purpose is conducting scientific research if vesting will facilitate scientific research performed for the Government.

For-profit organizations are expected to possess the necessary plant and equipment to conduct the proposed research. Deviations may be made on a case-by-case basis to allow for-profit organizations to purchase equipment but regulatory disposition instructions must be followed.

b. The Application Process

The application process is in three stages as follows:

i. Stage 1 – Submit Whitepaper - Prospective proposers are required to submit whitepapers prior to the submission of a complete, more detailed proposal. The purpose of whitepapers 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 whitepapers, feedback will be provided to the proposers to encourage or discourage them from submitting proposals. Whitepapers should present the effort in sufficient detail to allow evaluation of the concept's scientific merit and its potential contributions of the effort to the Army mission.

Stage 2 – Register with SAM (OPTIONAL) - Although whitepapers are required prior to AAL requesting a complete proposal, applicants may elect to execute this step prior to receiving a request for proposal in order to expedite any potential award.

Process: Verify the accuracy of your Unique Entity Identifier at the D&B website http://fedgov.dnb.com/webform before registering with the System for Award Management System (SAM) at https://www.sam.gov.

Prospective applicants must be registered in SAM prior to submitting an application or plan. The SAM obtains Legal Business Name, Doing Business Name (DBA), Physical Address, and Postal Code/ Zip+4 data fields from D&B. If corrections are required, registrants will not be able to enter/modify these fields in SAM; they will be pre-populated using D&B Unique Entity Identifier record data. When D&B confirms the correction has been made, the registrant must then re-visit sam.gov and click a “yes”' to D&B's changes. Only at this point will the D&B data be accepted into the SAM record. Allow a minimum of two (2) business days for D&B to send the modified data to SAM.

Stage 3 – Submit a Full Proposal - Applicants who have submitted a whitepaper and been invited by AAL to provide a full proposal will make their submission under the terms and conditions cited in this BAA and will be reviewed regardless of the feedback on the whitepaper. Complete proposals must be submitted in order for the applicant to be considered for funding.

All proposals for Assistance Instruments must be submitted electronically through Grants.gov using Workspace. Proposals for Contracts may be submitted via either Grants.gov or email to:

usarmy.rtp.aro.mbx.baa@mail.mil. See Section II.D.2.f of this BAA for information on the proposal submission process.

Requests for waiver of electronic submission requirements may be submitted via email to: usarmy.rtp.aro.mbx.baa@mail.mil or regular mail:

Army Research Office ATTN: RDRL-RO (Proposal Processing) P.O. Box 12211

RTP, NC 27709-2211

All required forms for proposals may be downloaded from the ARO web site at http://www.arl.army.mil/www/default.cfm?page=29 under "For the Researcher" (Forms, ARO BAA Forms).

c. Whitepaper Preparation

i. Whitepapers should focus on describing details of the proposed research, including how it is innovative, how it could substantially increase the scientific state of the art, Army relevance, and potential impact.

ii. Whitepapers must be submitted through the AAL website, http://www.aal.mil. The automated submission tool constrains the submission to a limited amount of written material. The details of these limitations are described on the website.

iii. Format and content of whitepapers:

Using input from the applicant, The AAL website will generate the following:

(1) COVER PAGE (not to exceed one (1) page): The whitepaper cover page shall include at a minimum:

(a) Title of the whitepaper

(b) Name of the organization submitting the whitepaper

(c) Names of any participating organizations

(d) CAGE Code of the organization submitting the whitepaper

(e) Name, address, email, phone # of the applicant’s

POC

(2) TECHNICAL CONTENT:

(a) A not to exceed 1,500 character executive summary of the proposed effort and its contribution to the Army’s mission.

(b) A not to exceed 10,000 character discussion of the effort's scientific research objective, approach, relationship to similar research, facilities and infrastructure, and level of effort shall be submitted.

(c) A not to exceed 5,000 character section on the manner in which the work will contribute to the accomplishment of the Army's mission and how this contribution would be demonstrated.

(d) A not to exceed 1,500 character summary of the applicant’s key research facilities, instrumentation, key teaming agreements and related resources.

(e) A not to exceed 1,000 character summary of support, if any, the applicant requests of the Government, such as facilities, equipment, demonstration sites, test ranges, software, personnel or materials, shall be identified as government furnished equipment (GFE), government furnished information (GFI), government furnished property (GFP), or government furnished data (GFD).

Applicants shall indicate any Government coordination that may be required for obtaining equipment or facilities necessary to perform any simulations or exercises that would demonstrate the proposed capability.

(3) SCHEDULE AND COST:

The website will prompt for the duration of the effort and the number of research hours, as well as the costs of labor, travel, material, subcontractors, and any other expenses broken out by year. Any cost sharing or other applicant contributions will also be prompted for

(4) ADDENDUM:

A not to exceed 1,000 character summary per individual of the key personnel (up to three) who will perform the research, highlighting their relevant qualifications and experience.

iv. RESTRICTIVE MARKINGS ON WHITEPAPERS:

(1) Any proprietary data that the applicant intends to be used only by the

Government for evaluation purposes must be clearly marked. The automated tool on the website will allow applicants to flag sections appropriately. The applicant must also identify any technical data or computer software contained in the whitepaper that is to be treated by the Government as limited rights in technical data and restricted rights in computer software. In the absence of such identification, the Government will conclude there are no limitations or restrictions on technical data or computer software included in the whitepaper. Records or data bearing a restrictive legend may be included in the whitepaper. It is the intent of the Army to treat all whitepapers as procurement sensitive before award and to disclose their contents only for the purpose of evaluation.

Care must be exercised to ensure that classified, sensitive, and critical technologies are not included in a whitepaper. If such information is required, appropriate conversations must take place with AAL prior to submission of the whitepaper.

(2) Applicants are cautioned, however, that portions of the whitepapers may be subject to release under terms of the Freedom of Information Act, 5 U.S.C. 552, as amended.

v. EVALUATION AND DISPOSITION OF WHITEPAPERS:

(1) Evaluation Process: Applicants are advised that invitations for proposals will be made based on the whitepaper submission and the availability of funding. The whitepaper will be evaluated for the concept's scientific merit and potential contributions of the effort to the Army mission.

Applicants whose whitepapers are evaluated as having significant scientific merit may be invited to submit a proposal.

(2) Disposition Process: The applicant will be notified in writing after completion of the evaluation.

d. Whitepaper Submission All whitepapers must be submitted through the AAL website tool.

e. Preparation of Proposals

i. COVER PAGE:

(1) A Cover Page is required. For contract proposals submitted by email, use ARO Form 51. For all Assistance instruments and contract proposals submitted via Grants.gov, use the Standard Form (SF) 424 (Research and Related (R&R)) Form. Proposals will not be processed without either: (1) a signed Cover Page, ARO Form 51, or (2) a SF 424 (R&R) Form.

(2) Should the project be carried out at a branch campus or other component of the applicant, that branch campus or component should be identified in the space provided (Block 11 on the ARO Form 51 and Block 12 on the SF 424 (R&R) Form).

(3) The title of the proposed project should be brief, scientifically representative, intelligible to a scientifically-literate reader, and suitable for use in the public domain.

(4) The proposed duration for which support is requested should be consistent with the nature and complexity of the proposed activity. Applicants shall discuss the preferred performance period with AAL.

(5) Specification of a desired starting date for the project is important and helpful; however, requested effective dates cannot be guaranteed.

(6) Pursuant to 31 U.S.C. 7701, as amended by the Debt Collection Improvement Act of 1996 [Section 31001(I)(1), Public Law 104-134] and implemented by 32 CFR 22.420(d), federal agencies shall obtain each awardees’ Taxpayer Identification Number (TIN). The TIN is being obtained for purposes of collecting and reporting on any delinquent amounts that may arise out of an awardees’ relationship with the Government.

(7) Applicants shall provide their organization's Unique Entity Identifier (formerly DUNS). This number is a nine-digit number assigned by D&B Information Services. See Section II.D.3 of this BAA for requirements pertaining to the Unique Entity Identifier.

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

ii. TABLE OF CONTENTS:

Use the following format for the Table of Contents. Forms are available at http://www.arl.army.mil/www/default.cfm?page=29 under "For the Researcher" (Forms, ARO BAA Forms).

SECTION PAGE NUMBER

Table of Contents A-1

Statement of Disclosure Preference (Form 52 or 52A) B-1

Research and Related Other Project Information B-2

Project Abstract C-1

Project Description (Technical Proposal) D-1 - D-

Biographical Sketch E-1 - E-

Bibliography F-1 - F-

Current and Pending Support G-1 - G-

Facilities, Equipment, and Other Resources H-1 - H-

Proposal Budget I-1 - I- Contract Facilities Capital Cost of Money (FCCM) (DD Form 1861) J-1 Appendices K- List Appendix Items:

This format applies to all proposals submitted via email and via Grants.gov. Applicants' should show the location of each section of the proposal, as well as major subdivisions of the project description.

iii. STATEMENT OF DISCLOSURE PREFERENCE (FORM 52 OR 52A):

Complete and sign ARO Form 52 (Industrial Contractors) or ARO Form 52A (Educational and Nonprofit Organizations).

iv. RESEARCH AND RELATED OTHER PROJECT INFORMATION: Must be completed and signed by all applicants.

v. PROJECT ABSTRACT:

(1) The project abstract shall be completed on the form entitled “Publicly Releasable

Project Abstract” found at the following website:

http://www.arl.army.mil/www/default.cfm?page=218.

(2) Unless otherwise instructed in this BAA, the project abstract shall include a concise statement of work and basic approaches to be used in the proposed effort.

The abstract should include a statement of scientific objectives, methods to be employed, and the significance of the proposed effort to the advancement of scientific knowledge.

(3) The abstract should be no longer than one (1) page (maximum 4,000 characters).

(4) The project abstract shall be marked by the applicant as publicly releasable. By submission of the project abstract, the applicant confirms that the abstract is releasable to the public. For a proposal that results in a grant award, the project abstract will be posted to a searchable website available to the general public to meet the requirements of Section 8123 of the DoD Appropriations Act, 2015. The website address is https://dodgrantawards.dtic.mil/grants.

vi. PROJECT DESCRIPTION (TECHNICAL PROPOSAL): The technical portion of the proposal shall contain the following:

(1) A complete discussion stating the background and objectives of the proposed work, the scientific approaches to be considered, the relationship to competing or related research, and the level of effort to be employed. Include also the nature and extent of the anticipated results and how they will significantly advance the scientific state-of-the-art. Also, if known, include the manner in which the work will contribute to the accomplishment of the Army's mission. Ensure the proposal identifies any scientific uncertainties and describes specific approaches for the resolution or mitigation of the uncertainties.

(2) A brief description of your organization. If the applicant has extensive government contracting experience and has previously provided…