W911NF-21-S-0002 Amendment 04.pdf

ARMY RESEARCH OFFICE

BROAD AGENCY ANNOUNCEMENT FOR

Department of Army Center for Synthetic Biology Fiscal Year 2023 – Seedling Funding Cycle 2

W911NF-21-S-0002 Amendment 04

ISSUED BY:

U.S. Army Contracting Command Aberdeen Proving Ground

Research Triangle Park Division P. O. Box 12211

Research Triangle Park, NC 27709-2211

Issued: January 2023 Whitepapers Due:

Funding Area Two (Seedling): 01 March 2023 no later than 4:00 PM Eastern Time Final Proposals by Invite Only Due:

Funding Area Two (Seedling): 30 June 2023 no later than 4:00 PM Eastern Time

TABLE OF CONTENTS

I. OVERVIEW OF THE FUNDING OPPORTUNITY 1

A. Required Overview Content 1

1. Agency Name 1

2. Research Opportunity Title 1

3. Announcement Type 1

4. Research Opportunity Number 1

5. Catalog of Federal Domestic Assistance (CFDA) Number and Title 1

6. Response Dates 1

7. Points of Contact 1 B. Additional Overview Information 1

II. DETAILED INFORMATION ABOUT THE FUNDING OPPORTUNITY 3

A. Program Description 3

1. Overview 3

2. Research Thrusts for the Army Center for Synthetic Biology 3

3. Department of Defense High Performance Computing Program 6 B. Federal Award Information 7 C. Eligibility Information 10

1. Eligible Applicants 10

2. Cost Sharing or Matching 10

3. Other 10 D. Whitepaper Submission Information 11

1. Overview 11

2. Format and Content of Whitepapers 11

3. Restrictive Markings on Whitepapers 12

4. Evaluation and Disposition of Whitepapers 12

5. Whitepaper Submission 12 E. Proposal Preparation Information 13

1. Funding Area Two (Seedling) Proposal Information 13

2. Proposal Preparation 13 F. Proposal Application and Submission Information 14

1. Address to View Broad Agency Announcement 14

2. Content and Form of Application Submission 14

3. Unique Entity Identifier and System for Award Management (SAM) 24

4. Submission Dates and Times 24

5. Intergovernmental Review 25

6. Funding Restrictions 25

7. Other Submission Requirements 25 G. Proposal Review Information 26

1. Criteria 26

2. Review and Selection Process 26

3. Recipient Qualification 35 H. Award Administration Information 37

1. Award Notices 37

2. Administrative and National Policy Requirements 37

a. Required Representations and Certifications 37

b. Policy Requirements 41

3. Reporting 47 I. Agency Contacts 48 J. Other Information 49

1. Contract Proposals 49

2. Grant and Cooperative Agreement Proposals 56

I. OVERVIEW OF THE FUNDING OPPORTUNITY

A. Required Overview Content

1. Agency Name Combat Capabilities Development Command/Army Research Laboratory/U.S. Army Research Office (ARO)

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

2. Research Opportunity Title Department of Army Center for Synthetic Biology Fiscal Year 2023 – Seedling Funding Cycle 2

3. Announcement Type Initial Announcement

4. Research Opportunity Number

W911NF-21-S-0002

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

12.431 – Basic Scientific Research

6. Response Dates

a. Questions

Questions regarding this BAA must be submitted via email (usarmy.rtp.devcom-arl.mbx.baa2@army.mil) by Wednesday, 22 February 2023 at 11:59 PM Eastern Time. Slides presented during the original Proposers’ Day event, as well as submitted questions and their corresponding answers are available on grants.gov under Related Documents.

b. Whitepapers

Funding Area Two (Seedling): 01 March 2023 no later than 4:00 PM Eastern Time

c. Selection of whitepapers for full proposal on 03 April 2023

d. Proposals

Funding Area Two (Seedling): 30 June 2023 no later than 4:00 PM Eastern Time

7. Points of Contact

a. Contracting Officer: Kevin Bassler, kevin.j.bassler.civ@army.mil, 919-549-4295

b. Program Manager: Stephanie McElhinny, stephanie.a.mcelhinny.civ@army.mil, 919-549-4240

B. Additional Overview Information

This BAA sets forth research areas of interest to the Department of Army. This BAA is issued under FAR 6.102(d)(2), which provides for the competitive selection of basic research proposals, and 10 U.S.C. 4001, 10 U.S.C. 4021, and 10 U.S.C. 4022, which provide the authorities for issuing awards under this announcement for basic research. The definitions of basic research may be found at 32 CFR 22.105.

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.

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.

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

An applicant may withdraw a proposal at any time before award by written notice or by email sent to the Program Manager identified in Section I.A.7 of this BAA.

There is one funding area in this announcement, which is referred to as Funding Area Two (Seedling). Proposals submitted to the Seedling funding area must address elements of one of the Technical Thrust areas listed in Section II.A.2 of this document. Additional information on the scope of the funding area is listed below.

This will be a two-step application process:

The application process under this BAA consists of a Whitepaper stage and a Proposal stage. The purpose of this two-step approach is to facilitate pre-screening by the U.S. Government such that detailed proposals are only sought from applicants whose whitepapers demonstrate the most promise for award (this also helps to reduce unnecessary proposal preparation efforts). The Government’s decision to invite a Proposal will be based upon the evaluation results of a timely and compliant Whitepaper submission. Only Whitepapers of the highest merit will receive an invitation from the Government to submit a Proposal. An Applicant that does NOT submit a timely and compliant whitepaper, is NOT eligible to submit a Proposal for consideration for funding. An Applicant that does NOT receive an invitation from the Government to submit a Proposal is NOT eligible to submit a Proposal. An Applicant invited to submit a Proposal will receive feedback on their Whitepaper.

(End of Section)

II. DETAILED INFORMATION ABOUT THE FUNDING OPPORTUNITY

A. PROGRAM DESCRIPTION

1. Overview

The Army Center for Synthetic Biology is a basic research program initiated by the Combat Capabilities Development Command (DEVCOM)/Army Research Laboratory (ARL)/Army Research Office (ARO). It focuses on areas of strategic importance to U.S. national security. It seeks to increase the Army's intellectual capital in synthetic biology and improve its ability to address future challenges. The Army Center for Synthetic Biology brings together universities, research institutions, companies, and individual scholars and supports multidisciplinary and cross-institutional projects addressing specific topic areas determined by the Department of the Army (DA). The Army Center for Synthetic Biology aims to promote research in specific areas of synthetic biology and to promote a candid and constructive relationship between the Army Science and Technology (S&T) enterprise and the synthetic biology research community.

Strong collaborations between DA and academia are necessary to overcome challenges associated with achieving the desired goals. Tackling these will require a large comprehensive cooperative effort (while also allowing for exploratory efforts for high-risk concepts) with a teamed approach involving multiple researchers collaborating across separate disciplines. Listed below are knowledge gaps and basic research opportunities which are to be addressed by the Army Center for Synthetic Biology. These are discussed in further detail as the Technical Thrust Areas in Section II.A.2.

a. Predictive Design of Engineered Biological Materials

b. Predictive Design of Engineered Cellular Systems in Defined Environments

Proposals will be considered under one funding area. Funding Area Two (Seedling) is for multiple single investigator awards. The Seedling awards will collaborate and cooperate with Team and Seedling awards issued previously under prior funding opportunities for the Army Center for Synthetic Biology and with DEVCOM ARL and other organizations within the Army S&T Enterprise. Proposals must include a teaming and collaboration plan that describes how collaboration, cooperation, and communication will be accomplished among proposing team members, other Team and Seedling awardees under the Army Center for Synthetic Biology, and researchers within DEVCOM ARL and other organizations within the Army S&T Enterprise. All awardees are expected to collaborate and cooperate with and among each other as well as researchers within DEVCOM ARL and other organizations within the Army S&T Enterprise in order to achieve unity of effort toward the goals of the Army Center for Synthetic Biology.

While other vehicles such as grants and contracts will be considered, the strong preference is for a cooperative agreement as award type to allow for maximum interaction, cooperation, and collaboration between the Government and the awardee. This will be the preferred award type for Funding Area Two (Seedling) awards.

2. Research Thrusts for the Army Center for Synthetic Biology

a. Background

The main objective of this BAA is to solicit basic research ideas to promote discovery and innovation that enable the rapid and effective exploration and validation of novel synthetic biology systems. This BAA focuses on basic research across a wide range of disciplines including synthetic biology, biochemistry, chemistry, machine learning/artificial intelligence, materials science, and engineering. This BAA focuses on basic research as defined at 32 CFR 22.105.

b. Technical Thrusts

The technical scope of the initiative is defined along the following thrust areas: 1) Predictive Design of Engineered Biological Materials, 2) Predictive Design of Engineered Cellular Systems in Defined Environments.

i. Predictive Design of Engineered Biological Materials

The objective of this thrust is to develop experimental and computational tools enabling the scalable synthesis, assembly and characterization of rationally designed biological materials with control over final material properties. Proposers are encouraged to focus efforts in this thrust on materials exhibiting more than one material property (multifunctional materials) for which a biological solution is anticipated to exceed material properties currently attainable via traditional chemical and/or materials science approaches. Properties of interest include, but are not limited to: optical, mechanical, structural, computational/logic functions. Proposers must provide rationale for the materials and properties selected. A major goal of this thrust is the development of generalizable predictive tools that will support the rational design of multifunctional biological materials beyond those selected for experimental investigation under the Army Center for Synthetic Biology.

Sub-areas within in this thrust could include: comprehensive sampling of the biological material property landscape; material analytical characterization tools; predictive design tools. Additional detail, challenges, and knowledge gaps related to these sub-areas are indicated below:

(1) Comprehensive sampling of the biological material property landscape The development of predictive tools enabling the rational design of multifunctional materials with targeted properties will depend upon robust experimental data sets that comprehensively correlate resultant material properties to specific biological features.

Challenges include, but are not limited to: development of approaches to experimentally generate and comprehensively characterize large libraries of variants of the selected material(s); determination of the relevant biological features impacting the material properties of interest (e.g., genetic sequence, molecular structure, epigenetic modification, post-translational modification, molecular interactions, biotic-abiotic interfaces, etc.); delineation of the boundaries of the biological feature-material property landscape.

(2) Material analytical characterization tools

Robust characterization tools will be required to analyze the large material variant libraries and provide high-quality pedigreed data for the development of predictive tools.

Challenges include, but are not limited to: development of high-throughput analytical methods for characterization, screening and selection of variants with targeted multifunctional material properties; development of sensitive, non-destructive characterization tools that enable analysis of buried interfaces.

(3) Predictive design tools A major goal of this thrust is the development of generalizable predictive tools that will support the rational design of multifunctional biological materials. Challenges include, but are not limited to: development of a comprehensive informatics pipeline;

development of robust predictive tools that enable informed design using synthetic biology to produce biological materials with targeted multifunctional properties; creation of algorithms that extract the critical biological features underlying material properties;

development of strategies and techniques supporting extrapolation of property prediction to the macroscale; testing and validation of the computational tools/pipelines via prediction of variants required to realize a given set of multifunctional properties, experimental production of the engineered biological material specimens, and characterization of the structure and properties of the resulting materials.

This is not an all-inclusive list, but is provided to help potential Applicants target their proposals appropriately.

ii. Predictive Design of Engineered Cellular Systems in Defined Environments

The objective of this thrust is to develop experimental and computational tools that support the predictive design of engineered cellular consortia in a defined environment.

Proposers must provide rationale for the consortia composition, environment and engineered function(s) selected for study. Environments of interest include, but are not limited to: geological systems (e.g., soil, rock), interfaces in the built environment, and corrosive systems. Specifically excluded are the human/animal environments. Engineered functions of interest include, but are not limited to: extraction of valuable elements/materials, waste decomposition, sense and respond, and corrosion prevention.

All experimental efforts under this thrust must be conducted in a controlled laboratory setting (e.g., surrogate environment) that accurately reflects the relevant natural environmental conditions anticipated for future operational performance (e.g., aqueous and non-aqueous composition, temperature, humidity, etc.).

Sub-areas within this thrust could include: genetic modification of consortia; stability of engineered biological modifications; control of engineered function. Additional detail, challenges, and knowledge gaps on these sub-areas are indicated below:

(1) Genetic modification of consortia Within the environments of interest, any engineered organisms will exist within consortia that also contain non-engineered organisms. A goal of this thrust is to develop approaches to selectively modify specific organisms within a naturally occurring consortia.

Challenges include, but are not limited to: development of relevant surrogate environment(s); development of tools to genetically manipulate environmentally robust chassis organisms (e.g., fungi, extremophiles); development of methods to effectively target specific organisms within a consortium for genetic modification; development of approaches to genetically modify specific members of a consortium while the consortium is located within a defined environment.

(2) Stability of engineered genetic modifications Detailed analysis of the stability of engineered genetic modifications within the context of a consortium is critical not only to ensure the reliable function of the engineered organisms, but also to prevent unintended impacts on the non-engineered organisms within the consortium. Challenges include, but are not limited to: analysis of the fate of engineered DNA within the consortium, including gene transfer, persistence, mutation, etc.; determination of the impact of environmental variation (e.g. temperature, humidity, surface material, etc.) on the function and stability of engineered genetic modifications within the context of a consortium.

(3) Control of engineered function A major goal of this thrust is to gain fundamental understanding of the interactions between engineered microorganisms and the biological, chemical and physical parameters of their environment to inform the predictive design of engineered approaches to support robust controlled performance in a defined environment. Challenges include, but are not limited to: development of approaches to experimentally measure the impact of the biological, chemical and physical parameters of the environment on the function of engineered microorganisms in the context of a consortium; design of engineered biological programs that support tightly regulated activation and inactivation of engineered function; generation of computational models that describe the environmental interactions impacting the function of engineered microorganisms with and without the addition of engineered biological control schemes; development and validation of predictive tools that identify optimal control schemes to support prolonged regulated function of engineered organisms within a given environment and consortium composition.

This is not an all-inclusive list, but is provided to help potential Applicants target their proposals appropriately.

3. Department of Defense High Performance Computing Modernization Program

The DoD High Performance Computing Modernization Program (HPCMP) furnishes the DoD Science &Technology (DoD S&T) and Development Test and Evaluation (DT&E) communities with use-access to very powerful high-performance computing systems. Recipients of DoD contracts, grants, and assistance instruments may be eligible to use HPCMP assets in support of their funded activities if program manager approval is obtained and if security/screening requirements are favorably completed. Additional information and an application may be found at https://www.hpc.mil/www.hpc.mil/.

(End of section)

B. FEDERAL AWARD INFORMATION

It is anticipated the awards will be made in the form of contracts, grants, and cooperative agreements. While other vehicles such as grants and contracts will be considered, the strong preference is for a cooperative agreement as the award type to allow for maximum interaction, cooperation, and collaboration between the Government and the awardee. The awards will be made at funding levels commensurate with the proposed research, investigator/team type, as well as availability of funding. We realize the preparation of a research proposal often represents a substantial investment of time and effort by the applicant. Therefore, in an attempt to minimize this burden, we are requiring applicants interested in funding under Funding Area Two (Seedling) of this BAA to submit four-page (technical content) whitepapers describing the type of research effort to be proposed. Whitepapers received will be reviewed by a Government panel.

A detailed description of the whitepaper submissions can be found in Section D.

Applications of the highest merit will be invited to submit full proposals. The determination that a proposal should be invited will be made by the Government and communicated to the applicants. An Applicant that does NOT receive an invitation from the Government to submit a Proposal is NOT eligible to submit a Proposal. Only those applicants invited by the Program Manager will be eligible to submit a proposal.

Under Funding Area Two (Seedling), the awards for full proposals will contain a base period for twelve months with up to two option periods, each for twelve months. The base and option periods may be incrementally funded. Selection of proposals for awards will be contingent on the availability of funds.

It is anticipated that up to $1M in annual aggregate funding will be available for all awards under Funding Area Two (Seedling). It is anticipated that the Seedling awards will range from $60k- $250k per year, with typical awards in the range of $120k-$180k per year. Awards in the upper end of the range will be made only for extremely meritorious proposals. Proposals submitted under Funding Area Two (Seedling) in excess of $250k per year will not be considered. Exercise of options will be subject to the availability of funds in the out-years.

Whitepapers and subsequent invited full proposals may only be submitted to Funding Area Two (Seedling). Whitepapers and proposals must clearly state which Technical Thrust it is being submitted under for consideration. Multiple whitepapers and proposals from a single institute may be submitted under Funding Area Two (Seedling).

The ACC-APG RTP Division has the authority to award a variety of instruments on behalf of ARO. Anticipated awards will be made in the form of contracts, grants, or cooperative agreements. The ACC-APG RTP Division reserves the right to select the type of instrument most appropriate for the effort proposed. While other vehicles such as grants and contracts will be considered, the strong preference is for a cooperative agreement as the award type to allow for maximum interaction, cooperation, and collaboration between the government and the awardee.

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 research and development agreements" as defined in 15 U.S.C. 3710a. No fee or profit is allowed.

4. 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

d. 2 CFR 1104

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

f. DoD Research and Development General Terms and Conditions

g. Agency-specific Research Terms and Conditions

5. 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:

a. Federal statutes

b. Federal regulations

c. 32 CFR Part 34 – Administrative Requirements for Grants and Agreements with For-

Profit Organizations

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

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

a. FAR, DFARS, and AFARS: https://www.acquisition.gov

b. Code of Federal Regulations (CFR): https://www.ecfr.gov/cgi-bin/ECFR?page=browse

c. DoD Research and Development General Terms and Conditions:

https://www.onr.navy.mil/work-with-us/manage-your-award/manage-grant-award/grants-terms-conditions

d. Agency-specific Research Terms and Conditions:

https://www.arl.army.mil/resources/baa-forms/#terms-and-conditions

C. ELIGIBILITY INFORMATION

1. Eligible Applicants

Eligible applicants under this BAA include institutions of higher education, nonprofit organizations, state and local governments, and for-profit organizations (i.e. large and small businesses) in the United States or its territories. Whitepapers and proposals will be evaluated only if they are for fundamental scientific study and experimentation directed toward advancing the scientific state of the art or increasing basic knowledge and understanding. Whitepapers and proposals focused on specific devices or components are beyond the scope of this BAA. More than one whitepaper and/or proposal is allowable from any single institution or organization.

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.

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

Federally Funded Research and Development Centers (FFRDCs) are subject to applicable direct competition limitations and cannot propose to this solicitation in any capacity unless they meet the following conditions. (1) FFRDCs must clearly demonstrate that the proposed work is not otherwise available from the private sector. (2) FFRDCs must provide a letter, on official letterhead from their sponsoring organization, that (a) cites the specific authority establishing their eligibility to propose to Government solicitations and compete with industry, and (b) certifies the FFRDC’s compliance with the associated FFRDC sponsor agreement’s terms and conditions. These conditions are a requirement for FFRDCs proposing to be awardees or subawardees.

D. WHITEPAPER SUBMISSION INFORMATION

1. Overview

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/DoD relevance, and potential impact.

Whitepapers for Funding Area Two (Seedling) are limited to six (6) total pages; four (4) pages for whitepaper technical content, one (1) cover page and a one (1) page addendum as discussed below. Evaluators will only review the whitepaper cover page, up to four whitepaper technical content pages, and the one-page addendum.

Whitepapers must be in the following format but do not require any special forms:

• Page Size: 8 ½ x 11 inches

• Margins – 1 inch

• Spacing – single

• Font – Times New Roman, 12 point

Combine all files and forms into a single PDF before submitting.

2. Format and Content of Whitepapers:

a. COVER PAGE (not to exceed one page):

The whitepaper cover page shall include at a minimum: Title of the whitepaper, name and contact information of the individual and organization submitting the whitepaper, the Technical Thrust that will be addressed, the BAA number of this announcement, and the TPOC name, if known.

b. TECHNICAL CONTENT (Funding Area Two (Seedling)) (not to exceed four pages):

i. Scientific (max. 3 pages) - What is your basic idea? Why is it innovative? What are the technical challenges to this idea you will be focused on with your research? What are the scientific and technical approaches to overcome the challenges?

ii. Impact (max. 0.5 page) - If successful, how will this work improve the capabilities of future synthetic biology systems?

iii. Programmatic (max. 0.5 page) – To the extent known at this point, provide details on the research team (if more than one PI), timeline, deliverables, and estimated cost of the research.

Brief per year descriptions are an acceptable level of granularity.

c. ADDENDUM (Funding Area Two (Seedling) not to exceed 1 page):

Include biographical sketches of the key personnel who will perform the research, highlighting their qualifications and experience.

3. Restrictive Markings on whitepapers:

a. Any proprietary data that the applicant intends to be used only by the Government for evaluation purposes must be clearly marked. 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 restrictive markings and procedures should be applied prior to submission of the whitepaper.

b. 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.

4. 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 and DoD mission. Applications of the highest merit will be invited to submit full proposals. An applicant may not submit a proposal without submitting a whitepaper and receiving a proposal invite from the Government.

(2) Disposition Process: The applicant will be notified in writing (email) after completion of the evaluation. Whitepapers will not be returned to applicants.

5. Whitepaper Submission

All whitepapers must be emailed directly to the following email address:

usarmy.rtp.devcom-arl.mbx.baa2@army.mil. In the email subject line, include the phrase “Whitepaper Submission Army Center for Synthetic Biology,” the BAA number W911NF-21-S- 0002, and the Technical Thrust Area from Section II.A.2 of this BAA. Whitepapers submitted via email must be in a single PDF formatted file as an email attachment. It is highly recommended to submit at least 24 hours ahead of the deadline to ensure your email message has sufficient time to clear the Army email security process ahead of the 4:00 PM Eastern Time deadline.

E. PROPOSAL PREPARATION INFORMATION

1. Funding Area Two (Seedling) Proposal Information

a. Eligibility. An Applicant that does NOT submit a timely and compliant whitepaper under Funding Area Two (Seedling) is NOT eligible to submit a Funding Area Two (Seedling) proposal for consideration for funding. Only applications of the highest merit will receive an invitation from the Government to submit a proposal. An Applicant that does NOT receive an invitation from the Government to submit a proposal is NOT eligible to submit a Funding Area Two (Seedling) proposal.

b. Research Sought and Duration. Proposals in the amount of $60k-$250k per year are sought for research in the areas identified in Section II.A.2 of this BAA. The awards will contain a base period for 12 months followed by up to two option periods, each for twelve months.

2. Proposal Preparation.

i. Eligible applicants should submit proposals with technical sections that are no more than ten

(10) pages in length for Funding Area Two (Seedling). Proposals shall clearly state in the forefront material the Technical Thrust addressed by the proposal. No brochures or explanatory material should be submitted with the proposal.

ii. Proposed research efforts must be "stand alone" and not predicated on the use of any facilities other than those under the direct control of the applicant(s).

iii. The research proposal should follow the format set forth in Section II.F (Proposal Application and Submission Information) of this BAA. Limited rights in technical data and restricted rights in computer software should be identified as an attachment to the proposal. Otherwise, it will be concluded that the proposal does not contain any such limitations or restrictions

iv. The principal investigator(s) (PI) should disclose and explain the relevance of the proposal to the research interests identified earlier in the research thrust areas of this BAA.

F. PROPOSAL 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 (beta.SAM.gov) - FBO.gov has been moved to beta.SAM.gov and is now known as Contract Opportunities.

c. ARL website (https://www.arl.army.mil/collaborate-with-us/opportunity/arl-baa/)

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 invited to respond to this BAA:

2. Content and Form of Application Submission

a. General Information

i. Preliminary Inquiries: Potential applicants may make preliminary inquiries to the TPOC and/or Program Manager as to the appropriateness of the type of research effort contemplated, before expending extensive effort in preparing a whitepaper and/or detailed proposal or submitting proprietary information.

*NOTE: The Government will not be obligated by any discussion that arises out of preliminary inquiries.

ii. Classified Submissions: Classified proposals are not accepted under this BAA.

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. Do not 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 listed in the BAA for their area of scientific research who will then coordinate with appropriate ARO legal counsel prior to the applicant expending time and effort in preparing a proposal.

v. Statement of Disclosure Preference: In accordance with Section II.F.2.c.iii of this BAA, ARO 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 https://www.arl.army.mil/business/broad-agency-announcements/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: 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- Verify the accuracy of your Unique Entity Identifier (formerly DUNS) at the Dun and Bradstreet (D&B) website http://fedgov.dnb.com/webform before registering with the System for Award Management System (SAM) at https://www.sam.gov/SAM/. 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.

ii. Stage 2 - Prospective proposers are required to submit whitepapers prior to the submission of a complete, more detailed proposal as described in the sections above.

iii. Stage 3 – Applications of the highest merit will be invited by the Government and are required to submit proposals in order to be considered for funding. Only applicants requested by the Program Manager are eligible to submit proposals. All proposals submitted under the terms and conditions cited in this BAA will be reviewed.

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.devcom-arl.mbx.baa2@army.mil. See Section II.F.2.d 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.devcom-arl.mbx.baa2@army.mil or regular mail (USPS):

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:

https://www.arl.army.mil/business/broad-agency-announcements/baa-forms/

c. 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 SF 424 (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.

(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 https://www.arl.army.mil/business/broad-agency-announcements/baa-forms/ under "BAA Forms" (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

Biographical Sketch E-1

Bibliography F-1

Current and Pending Support G-1

Facilities, Equipment, and Other Resources H-1

Proposal Budget I-1

Contract Facilities Capital Cost of Money (DD Form 1861) J-1

Appendices K-1

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/#/home

(5) The Abstract shall clearly indicate which Technical Thrust the proposal addresses.

vi. PROJECT DESCRIPTION (TECHNICAL PROPOSAL): The technical portion of the proposal is limited to 10 pages for proposals under Funding Area Two (Seedling) and shall contain the following:

(1) A complete discussion stating the background and objectives of the proposed work, the challenges to achieving the objectives, 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, include the manner in which the work will contribute to the accomplishment of the Army and DoD's mission. Ensure the proposal identifies any scientific uncertainties and describes specific approaches for the resolution or mitigation of the uncertainties. More specifically, the proposal shall include:

(a) A list intellectual property owners, if any

(b) A brief description of the overall goal for the effort

(c) Impact, if successful, both to the Army and DoD

(d) For background include how is it done today, what is new in your approach and why you think it will be successful

(e) List any assumptions and preliminary constraints for this effort

(f) Describe possible follow-on research and development needed if the proposed research is successful

(g) A project plan outline, projected start date and overall schedule for the effort

(h) Describe mid-term and final criteria to check for success (should be at least on a yearly basis)

(i) Describe how many phases necessary for this effort and the cost and timeline of each phase (should be at least on a yearly basis)

(j) Identify the individuals/organizations to be involved in the proposed effort along with their roles (researcher/students/senior technical personnel/ junior employees)

(k) Provide any additional relevant details not incorporated in the above sections (potential vendors to team with, researchers or institutions capable of providing the needed work or solutions, historical attempts, past performances)

(2) A brief description of your organization. If the applicant has extensive government contracting experience and has previously provided the information to the ARO, the information need not be provided again. A statement setting forth this condition should be made.

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

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

(5) A statement regarding the use of Class I and Class II ozone- depleting substances. Ozone-depleting substances are any substance designated as Class I by EPA, including but not limited to chlorofluorocarbons, halons, carbon tetrachloride, and methyl chloroform, and any substance designated as Class II by EPA, including but not limited to hydrochlorofluorocarbons. See 40 CFR Part 82 for detailed information. If Class I or II substances are to be utilized, a list shall be provided as part of the applicant's proposal. If none, state so.

(6) The type of support, if any, requested by the applicant (e.g., facilities, equipment, and materials).

(7) Proposals under Funding Area Two (Seedling) shall include a teaming and collaboration plan for interaction, collaboration, cooperation, communication and data sharing with the Team and Seedling awards issued previously under prior funding opportunities for the Army Center for Synthetic Biology and notional or specific researchers within DEVCOM ARL and other organizations within the Army S&T Enterprise.

vii. BIOGRAPHICAL SKETCH:

(1) This section shall contain the biographical sketches for key personnel only.

(a) Primary PI: The Primary PI provides a single or initial point of communication between the ARO and the awardee organization(s) about scientific matters. If not otherwise designated, the first PI listed will serve as the Primary PI. This individual can be changed with notification to ARO. ARO does not infer any additional scientific stature to this role among collaborating investigators.

(b) Co-PIs: The individual(s) a research organization designates as having an appropriate level of authority and responsibility for the proper conduct of the research and submission of required reports to ARO. When an organization designates more than one PI, it identifies them as individuals who share the authority and responsibility for leading and directing the research, intellectually and logistically. ARO does not infer any distinction among multiple PIs.

(2) The following information is required:

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

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

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

(d) Names of each investigator's own graduate or post-graduate advisors and advisees.

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

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

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

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

ix. CURRENT AND PENDING SUPPORT:

(1) All project support from whatever source must…