DEVCOM ARL BAA_W911NF23S0001 Amendment 3.pdf

U.S. ARMY COMBAT CAPABILITIES

DEVELOPMENT COMMAND (DEVCOM)

ARMY RESEARCH LABORATORY

BROAD AGENCY ANNOUNCEMENT

FOR FOUNDATIONAL RESEARCH

W911NF-23-S-0001-0003

21 November 2022 – 20 November 2027

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, sam.gov, and the ARL website (https://arl.devcom.army.mil/) for updates and amendments to this BAA. Special Notices issued against this BAA will be posted to sam.gov.

https://arl.devcom.army.mil/

TABLE OF CONTENTS

I. OVERVIEW OF THE FUNDING OPPORTUNITY 1

A. Required Overview Content 3

1. Agency Name 3

2. Research Opportunity Title 3

3. Announcement Type 3

4. Research Opportunity Number 3

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

6. Response Dates 3 B. Additional Overview Information 4

II. DETAILED INFORMATION ABOUT THE FUNDING

OPPORTUNITY

A. Program Description 5

1. Foundational Research Topics of Interest 5

2. Army Research Directorate Targeted Opportunities 6

3. Army Research Office Targeted Opportunities 7

a. Single Investigator Award 7

b. Short-Term Innovative Research Award 7

c. Early Career Program Award 8

d. Presidential Early Career Award for Scientists and

Engineers

e. Research Instrumentation Award 10

f. Conference and Symposia Grant Award 11

g. Army Educational Outreach Program High School and

Undergraduate Internships

B. Federal Award Information 15 C. Eligibility Information 18

1. Eligible Applicants 18

2. Cost Sharing or Matching 18

3. Other 18 D. Application and Submission Information 19

1. Address to View Broad Agency Announcement 19

2. Content and Form of Application Submission 19

3. Unique Entity Identifier and System for Award

Management (SAM)

4. Submission Dates and Times 34

5. Intergovernmental Review 35

6. Funding Restrictions 35

7. Other Submission Requirements 35 E. Proposal Review Information 36

1. Evaluation Criteria 36

2. Review and Selection Process 38

3. Recipient Qualification 46 F. Award Administration Information 48

1. Award Notices 48

2. Administrative and National Policy Requirements 48

a. Required Representations and Certifications 48

b. Policy Requirements 53

3. Reporting 58 G. Agency Contacts 59 H. Other Information 60

1. Contract Proposals 60

2. Grant and Cooperative Agreement Proposals 68

3. Other Transaction Proposals 71

4. Army Contract Writing System Transition Information 72

APPENDIX 1: TABLE OF ACRONYMS 74

APPENDIX 2: SCHEDULE OF AMENDMENTS 77

I. OVERVIEW OF THE FUNDING OPPORTUNITY

The purpose of this combined Broad Agency Announcement (BAA) under Federal Acquisition Regulation (FAR) Part 35 and Funding Opportunity Announcement (FOA) under 2 Code of Federal Regulations (CFR) 200.204 (henceforth referred to as “BAA”) is to solicit research proposals for submission to the U.S. Army Combat Capabilities Development Command (DEVCOM) Army Research Laboratory (ARL) for funding consideration.

Prior to this announcement, ARL announced two separate BAAs to support the mission: 1) W911NF-17-S-0002 titled “Army Research Laboratory Army Research Office Broad Agency Announcement for Fundamental Research”; and 2) W911NF-17-S-0003 titled “Army Research Laboratory Broad Agency Announcement for Basic and Applied Scientific Research”. This announcement succeeds BAA W911NF-17-S-0002 and BAA W911NF-17-S-0003 combining the opportunities into a single announcement.

ARL’s mission as the Army’s foundational research laboratory is to Operationalize Science to ensure overmatch in any future conflict. ARL’s foundational research mission spans basic research (budget activity 6.1) and applied research (budget activity 6.2) as defined by 32 CFR

22.105 but may include advanced technology development (budget activity 6.3) and advanced component development and prototypes (budget activity 6.4) when opportunities arise to directly or indirectly help achieve ARL’s mission. ARL partners across the national security enterprise to deliver fundamentally advantageous change that is rooted in the creation and exploitation of scientific knowledge.

Whitepapers for initial concept reviews and full proposals 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 that supports the ARL mission and the published ARL research topics of interest. Whitepapers and full proposals are expected to be for cutting-edge innovative research that could produce discoveries having a significant impact on enabling new and improved Army operational capabilities and related technologies.

In an effort to provide ARL's research topics and related information in an easy to digest format with search and filter options, ARL has published the following public website listing all current ARL research topics: https://arl.devcom.army.mil/opportunities/arl-baa/, hereafter referenced as the ARL BAA topics website. Changes to these topics will be made using this website on an as needed basis. A change to the ARL BAA topics website is not an amendment to this BAA and will not be posted on https://www.grants.gov/ and https://sam.gov/. A change to this document, the BAA itself, is an amendment and will be posted on https://www.grants.gov/ and https://sam.gov/. ARL will maintain a daily static snapshot of the ARL BAA topics website to ensure submissions are aligned with listed research topics on the day of submission.

Interested parties are encouraged to continually browse the ARL BAA topics website for white paper and proposal topics that ARL desires to explore. These specific research topics should be viewed as suggestive, rather than limiting. ARL is always interested in considering other innovative research concepts of relevance to the Army if those concepts align with ARL's mission.

Please see Section II, Detailed Information about the Funding Opportunity, for more information https://arl.devcom.army.mil/opportunities/arl-baa/ https://www.grants.gov/ https://sam.gov/ https://www.grants.gov/ https://sam.gov/ on the ARL research topics advertised through this BAA. Interested parties should also review https://www.grants.gov/ and https://sam.gov/ to obtain the latest version of the BAA for whitepaper and proposal submission requirements.

To conserve valuable applicant and Government resources, and to facilitate determining whether a proposed research idea meets the guidelines described herein, prospective applicants contemplating submission of a whitepaper or proposal are strongly encouraged to contact an ARL Technical Point of Contact (TPOC) to first discuss the concept. The TPOCs’ names and contact information are listed within each topic description on the ARL BAA topics website.

After initial contact with an ARL TPOC, if an applicant elects to submit a whitepaper or proposal, it should be prepared in accordance with the instructions contained in this BAA. Upon receipt, a whitepaper will be reviewed by the ARL TPOC and a recommendation will be provided to the applicant with either “encouraged to submit a proposal” or “not encouraged to submit a proposal” based on the review and availability of funding. A whitepaper is not required to submit a proposal.

Proposals may be submitted at any time while this BAA is open.

The proposal submission guidelines differ for each legal instrument; therefore, applicants are advised to follow the specific applicable guidelines listed in this BAA for the type of instrument they are proposing. This BAA provides submission guidelines for proposals for FAR-based procurement contracts, as well as assistance instruments and other transactions. Upon review of a proposal, the government will advise applicants on the most appropriate instrument for the proposed work.

In accordance with federal statutes, regulations, and Department of Defense and Army policies, no person on grounds of race, color, age, sex, national origin, or disability shall be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any program or activity receiving financial assistance from the Army.

Applicants submitting proposals are cautioned that only a Contracting Officer, Grants Officer, or Agreements Officer can obligate the Government to any legal instrument involving federally appropriated funds.

All administrative inquiries regarding this BAA shall be submitted via the ARL Contact Us webpage: https://arl.devcom.army.mil/contact-us/. Scientific and technical questions should be referred to the TPOCs listed with each topic on the ARL BAA topics website:

https://arl.devcom.army.mil/opportunities/arl-baa/. Interested parties are encouraged to periodically check any of the following websites for updates and amendments to this BAA:

https://www.grants.gov/, https://sam.gov/, or the ARL website BAA page at https://arl.devcom.army.mil/opportunities/arl-baa/.

DR. PATRICK BAKER

Director Army Research Laboratory

(End of Section) https://www.grants.gov/ https://sam.gov/ https://arl.devcom.army.mil/contact-us/ https://arl.devcom.army.mil/opportunities/arl-baa/ https://www.grants.gov/ https://sam.gov/ https://arl.devcom.army.mil/opportunities/arl-baa/

A. Required Overview Content

1. Agency Name U.S. Army Combat Capabilities Development Command, Army Research Laboratory (DEVCOM

ARL)

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

2. Research Opportunity Title ARL Broad Agency Announcement (BAA) for Foundational Research for 21 November 2022 – 20 November 2027

3. Announcement Type Announcement

4. Research Opportunity Number W911NF-23-S-0001 Amendment 3

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

12.431 – Basic Scientific Research

6. Response Dates This BAA is a continuously open announcement valid throughout the period from the date of issuance through 20 November 2027, unless announced otherwise. This announcement succeeds BAA W911NF-17-S-0002 and W911NF-17-S-0003 (including all modifications) dated 1 April 2017.

(End of Section)

B. Additional Overview Information

This publication constitutes a BAA for awards as contemplated in FAR 6.102(d)(2) and 35.016 as well as a merit-based, competitive procedure in accordance with the Department of Defense Grant and Agreement Regulations (DoDGARS) at 32 CFR 22.315(a) and the Office of the Under Secretary of Defense for Acquisition and Sustainment Other Transaction Guide version

2.0 dated July 2023.

This BAA document, and the online list of research topics found on the ARL BAA topics website at https://arl.devcom.army.mil/opportunities/arl-baa/, sets forth ARL’s research topics of interest for whitepapers and proposals. This BAA is issued under FAR 6.102(d)(2), which provides for the competitive selection of basic and applied 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 and applied research. The definitions of basic and applied research may be found at 32 CFR 22.105. This BAA also supports efforts under 10 U.S.C.

2192 as discussed in the Program Description.

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.

Use of a BAA to solicit for research and development is encouraged when:

1. The Government desires new and creative solutions to problem statements.

2. Using a conventional statement of work could result in unintentionally stifling ideas and concepts given many possible approaches.

3. Fulfilling 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.

4. The Government must be able to state its objectives in terms of areas of need or interest rather than specific solutions or outcomes.

5. Meaningful proposals with varying technical/scientific approaches are reasonably anticipated.

ARL reserves the right to select for award all, some, or none of the proposals submitted in response to this announcement. ARL will provide no funding for direct reimbursement of whitepaper or proposal development costs and such costs are not considered an allowable direct charge to any award resulting from this BAA or any other award. However, these costs may be an allowable expense to the normal bid and proposal indirect costs specified in FAR 31.205-18 for FAR-based awards.

Whitepapers and 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 the Government to treat all proposals as sensitive, competitive information and to mark and 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 Government TPOC identified for the topic in which the proposal was submitted.

II. DETAILED INFORMATION ABOUT THE FUNDING OPPORTUNITY

A. Program Description

1. Foundational Research Topics of Interest

ARL’s mission is to serve as the Army’s principal foundational research agency. ARL is interested in all research proposals that can be shown to enable the future Army 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.

ARL comprises both the Army Research Directorate (ARD) and the Army Research Office (ARO) whose programs execute research awards under this BAA. The ARD and ARO missions are further defined below to help clarify the different opportunities and topic types that may be found on ARL’s website.

ARL, through its ARD programs focuses on exploiting the most promising disruptive science and technology through in-house research with eligible entities. ARD competitively selects and funds innovative research concepts that can advance in-house research. ARD primarily funds basic research proposals (budget activity 6.1) and applied research proposals (budget activity 6.2) but may also select and fund advanced technology development (budget activity 6.3) and advanced component development and prototypes (budget activity 6.4) to exploit ARL’s foundational research outcomes and directly or indirectly help achieve ARL’s mission.

The results of these research efforts are transitioned to the Army research and development community, industry, or academia to further the technological superiority of our Soldiers, Army, and nation. ARD-funded research represents a long-range Army view with system applications often 10-20 years away. ARD does not invest in incremental modernization improvements, but does invest in high-risk, high-payoff ideas in basic and applied science that can advance the in-house research mission. Historically, most of the ARD awards are executed as cooperative agreements but can include grants, procurement contracts, research other transactions (OTs) and prototype OTs. For a description of ARD targeted opportunities, see section 2 below.

ARL, through its ARO extramural research program, funds cutting-edge foundational research that could result in innovations having a significant impact on enabling new and improved Army operational capabilities and related technologies. ARO selects and funds eligible entities conducting scientific studies and experimentation toward advancing the state of the art or increasing basic knowledge and understanding across the sciences. ARO competitively selects and funds basic research proposals across a broad range of scientific disciplines related to long-term national security needs. ARO primarily funds basic research proposals (budget activity 6.1) but may also select and fund applied research proposals (budget activity 6.2). The results of these research efforts are transitioned to the Army research and development community, industry, or academia to further the technological superiority of our Soldiers, Army, and nation.

ARO-funded research represents the most long-range Army view, with system applications often 20–30 years away. The goal of ARO funding research proposals through this BAA is to pursue high-risk, high-payoff ideas in basic science. In this manner, ARO provides the Army with a dynamic method for rapidly investing or divesting in research to ensure the realization of foundational discoveries that will enable future Army capabilities. ARO has allocated funding each year to carry out the Army’s Extramural Research Program to fund foundational research proposals. Most of the ARO awards are executed primarily through grants and cooperative agreements, but also can include procurement contracts and other funding instruments. ARO also provides targeted opportunities, which are described in section 3 below.

In an effort to provide ARL’s research topics and related information in an easy to digest format with search and filter options, ARL has published the following public website listing all current ARL research topics: https://arl.devcom.army.mil/opportunities/arl-baa/, the ARL BAA topics website. Interested parties are encouraged to continually browse this website to see the topics ARL is interested in.

To support ARL’s mission, an additional research topic for “Support to ARL Foundation Research Competencies” can be found on the ARL BAA topics website. Under this research topic, ARL will consider whitepapers and proposals that may not directly align to a topic published by an ARL TPOC, but can demonstrate a strong alignment to ARL’s mission.

ARL’s research mission is executed within identified foundational research competencies that provide the Army foundational expertise and specialized capabilities grounded in scientific excellence and driven by unique Army challenges. ARL is always interested in innovative research whitepapers and proposals outside of the published topics on the ARL BAA topic website that demonstrate a strong alignment to ARL’s foundational research competencies and potential to create discovery, innovation, and transition of technologies for Army transformational overmatch. To learn more about ARL’s foundational research competencies visit the ARL website at https://arl.devcom.army.mil/what-we-do/#competencies/.

A proposal submitted under the “Support to ARL Foundation Research Competencies” topic must clearly describe the research and objectives, and will be considered by ARL if it is aligned to one or more of these foundational research competencies that support the ARL mission. Applicants interested in submitting a proposal under this topic are strongly encouraged to first make preliminary inquiries as to the potential alignment to an ARL foundational research competency and funding availability for the type of research effort contemplated to the listed TPOC on the ARL BAA topics website.

2. Army Research Directorate (ARD) Targeted Opportunities

ARD has no established targeted opportunities outside of the research topics considered for funding proposals submitted under this BAA. Discussion with the cognizant ARD TPOC identified for a given ARD research topic published on the ARL public website is strongly recommended before submission of a whitepaper or proposal.

https://armyeitaas-my.sharepoint-mil.us/personal/ramila_century_civ_army_mil/Documents/Desktop/BAA%20Amendment%2003/DEVCOM%20ARL%20BAA_W911NF23S0001%20Amendment%203%20_10%20MAY%202024%20Trackchanges.docx

3. Army Research Office (ARO) Targeted Opportunities

ARO has established several types of targeted opportunities to support ARO research topics, based on applications submitted under this BAA. Information about the following opportunities is included below:

• Single Investigator (SI) Award

• Short-Term Innovative Research (STIR) Award

• Early Career Program (ECP) Award

• Presidential Early Career Award for Scientists and Engineers

• Research Instrumentation (RI) Award

• Conference and Symposia Grant Award

• Army Educational Outreach Program (AEOP) High School and Undergraduate Internships

Unless special eligibility requirements are listed, the eligibility criteria of Section II.C applies.

Also, see Section II.E.1 of this BAA for the evaluation criteria related to these opportunities.

NOTE: ARO is not limited to funding these targeted opportunities; however, they represent most awards ARO is expected to make.

a. Single Investigator (SI) Award

i. Description. SI awards are the most common awards. The objective of the award is to attract outstanding individuals to propose research projects related to the ARO research topics that will result in scientific discoveries.

iii. Research Sought. Proposals are sought for research that supports the ARO research topics identified on the ARL BAA topics website at https://arl.devcom.army.mil/opportunities/arl-baa/. As is the case for all other award types, discussions with the cognizant ARO TPOC identified for a given topic at the ARL BAA topics website is strongly recommended before submission of a whitepaper or proposal. The proposal is submitted by the institution where the individual is employed.

iv. Funding Level: ARO encourages discussions with ARO TPOCs for appropriate budget levels depending on the scope of effort. ARO’s standard funding levels for SI awards would support a budget for three years at a level commensurate with supporting a single investigator and one or two graduate students or a post-doc for three years (to include facilities and administrative [F&A] costs).

b. Short-Term Innovative Research (STIR) Award

1. Description. The objectives of the STIR awards are to support rapid, short-term investigations to assess the merit of innovative new concepts in basic research. STIR awards provide an excellent opportunity to showcase new concepts and explore new areas in basic research. Historically, STIR awards have helped shape new directions in research for the Army.

2. Research Sought. Proposals are sought for research that supports the ARO research topics identified on the ARL BAA topics website at https://arl.devcom.army.mil/opportunities/arl-baa/. As is the case for all other award types, discussions with the cognizant ARO TPOC identified for a given topic is strongly recommended before submission of a whitepaper or proposal for a STIR award.

3. Funding Level. Proposals in the amount of $60,000 or less are sought for STIR awards. Capital equipment cannot be purchased under a STIR Program award. Report preparation costs must not exceed $100. A fee is not permitted under STIR Program awards as they are awarded as grants. Due to the relatively small dollar amount and short-term nature of these awards, applicants are encouraged to maximize the benefit derived from this funding by prioritizing labor and employing other cost-saving measures in support of the STIR program effort.

4. Special Proposal Preparation Instructions for STIR Awards.

Applicants should submit proposals with a Project Description (Technical Proposal) that is no more than ten (10) pages long. No brochures or explanatory material should be submitted with the proposal. 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. Research must be completed within nine (9) months of award.

c. Early Career Program (ECP) Award

i. Description. ECP awards are funded by the Army to support early career scientists and engineers who show exceptional ability and promise for conducting basic research. This targeted opportunity is open to U.S. citizens, U.S. Nationals, or Lawful Permanent Residents of the U.S. who have held a tenure-track position at a U.S. institution of higher education for fewer than five years at the time of application. Faculty at an institution of higher education which does not designate a faculty appointment as "tenure track" are eligible if that fact is so indicated in the proposal, and the supporting letter from the institute states that the faculty member submitting the proposal will be considered for a permanent appointment. The objective of the ECP Award is to foster creative basic research in science and engineering;

enhance development of outstanding early career investigators; and increase opportunities for early career investigators to pursue research in areas relevant to the Army.

ii. Research Sought. Proposals are sought for research that supports the ARO research topics identified on the ARL BAA topics website at https://arl.devcom.army.mil/opportunities/arl-baa/. As is the case for all other award types, discussions with the cognizant ARO TPOC identified for a given topic is strongly recommended before submission of a whitepaper or proposal.

iii. Funding Level. ECP awards will not exceed $120,000 per year for 3 years.

iv. Special Proposal Preparation Instructions for ECP Awards.

NOTE: The proposal is submitted by the institution where the individual is employed. The https://arl.devcom.army.mil/opportunities/arl-baa/ proposal must include a supporting letter, both through official channels in the institution where the individual is employed. The proposal must follow the format set forth in Section II.D.2 (Application and Submission Information) of this BAA. The supporting letter must be from the individual's Department Chairperson, Dean, Supervisor, or other official who speaks for the institution, and should address support for, and commitment to, the applicant. Strong institution support for the applicant is essential. Evidence of this support can include the applicant's salary, release time from administrative responsibilities, the purchase of equipment, support for the applicant's graduate students, any cost sharing, any start-up funding, etc. The proposal must support the institution’s views that the individual is an outstanding investigator, and the institution is making a long-term commitment to the proposal and the research. Any resulting award will be made to the institution, not to the investigator.

d. Presidential Early Career Award for Scientists and Engineers (PECASE) –

NOTE: PECASE PROPOSALS ARE BY INVITATION ONLY! NO UNINVITED

PROPOSALS WILL BE CONSIDERED.

i. Description. The Army participates in the PECASE Program, which is the highest honor bestowed by the U.S. Government on outstanding scientists and engineers beginning their independent careers. These awards are made in conjunction with the White House following recommendations from participating agencies. Awardees must be U.S. citizens, national, or permanent residents and must be in the beginning of their independent research careers.

ii. Special Eligibility Requirements. An individual may not directly apply for a PECASE award. Instead, once a year, ARO technical program managers will nominate PECASE candidates from eligible proposals and whitepapers received. Proposals or whitepapers not selected for PECASE consideration will otherwise be considered for award under this solicitation. A technical program manager will make the PECASE nomination based on strong endorsement of external scientific reviewers and on the potential shown by the individual to contribute to science and to the mission of the Army.

At the time of nomination, the PECASE candidate must be in the beginning of their independent research career, which is generally defined as either: in the first five years since receiving their first competitively awarded federal research funding (Note: This excludes funds secured during graduate school or postdoctoral training/fellowship and funds secured for training, fellowship, education, or career development); or, in the first five years of a tenure-track or equivalent academic or federal research position.

iii. Special Proposal Preparation Instructions. Following nomination of a PECASE candidate, the applicant will be invited to negotiate with ARO and to submit a revised PECASE proposal in which the candidate will indicate how PECASE funding would augment their research. The following supporting information at minimum is required in the PECASE proposal:

(1) Letters (non-federal government) of recommendation;

(2) Detailed scientific biographical information including a description of the candidate’s leadership in the scientific community;

(3) Description of the proposed candidate’s publications (such as refereed journals, peer-reviewed conference papers, and books or book chapters; however, this is not an inclusive list);

(4) Description of the candidate’s presentations (such as invited talks and plenary presentations; however, this is not an inclusive list);

(5) Summary of the candidate’s past research accomplishments;

(6) Summary of the candidate’s community outreach efforts; and

(7) Letters of commitment from institution(s) of higher education.

iv. Funding Level. Army PECASE awards are made in the form of grants for up to $200,000 per year for up to five years. Support under PECASE is limited to five years from date of award. Upon completion of the PECASE award, an individual, through their institution of higher education, may apply and be considered for continued support in the areas identified earlier in the research areas of this BAA.

TPOC: Contact the relevant TPOC identified for a topic that aligns with the individual’s research. The ARO TPOCs’ names and contact information are listed within each topic description on the ARL BAA topics website identified in the research topics of this BAA.

e. Research Instrumentation (RI) Award

i. Description. RI awards are designed to improve the capabilities of U.S. institutions of higher education or a nonprofit whose primary purpose is conducting scientific research to conduct research and educate scientists and engineers in areas important to national defense. Funds provided in this award may be used to purchase instrumentation in support of this research or in the development of new research capabilities.

ii. Special Eligibility Requirements. RI awards are open to U.S. institutions of higher education and nonprofit organizations whose primary research is conducting scientific research in accordance with 31 USC §6306.

iii. RI and Research Topics. The RI program may provide funding to purchase instrumentation in support of ARO research topics listed on the ARL BAA topics website at https://arl.devcom.army.mil/opportunities/arl-baa/ or in the development of new research capabilities. It is highly recommended that potential applicants contact the appropriate ARO TPOC identified for a topic that aligns to this instrumentation proposal. The ARO TPOCs’ names and contact information are listed within each topic description on the ARL BAA topics website.

iv. Funding Level. ARO highly encourages discussions with ARO TPOCs of appropriate budget levels prior to the submission of RI proposals.

v. Special Proposal Preparation Instructions for RI Awards.

The request for instrumentation shall include the following elements:

(1) The “Project Abstract” is to describe the instrumentation requested and the research to be supported by that instrumentation.

(2) The “Project Description (Technical Proposal)” is to describe how the proposed instrumentation will: (i) establish new research capabilities, (ii) contribute to research currently proposed to DoD, or (iii) enhance the quality of research currently being funded by ARL. It will also include a description of how the proposed instrumentation will interface with or upgrade other research facilities and instrumentation now available. Finally, a description will be included of the amounts and sources of ongoing or proposed support for the research to be supported by the instrumentation.

(3) In the “Cost Proposal,” the budget is to address the instrumentation to be purchased, cost per item, and total cost. Indicate the proposed source of the instrumentation and the name and telephone number of a contact at that source. The budget should indicate the amount of funds to be contributed by any other sources toward the purchase of the instrumentation. Note: Costs associated with equipment/facility modifications are generally considered unallowable and require the review and approval of the Grants Officer.

f. Conference and Symposia Grant Award

i. Description. The Army supports conferences and symposia (as defined in the DoD Travel Regulations) in areas of science that bring experts together to discuss recent research or educational findings or to expose other researchers or advanced graduate students to new research and educational techniques. The Army encourages the convening in the United States of major international conferences, symposia, and assemblies of international alliances.

ii. Special Eligibility Requirements. Notwithstanding the Army's authority to provide grant support for such events DoD does not permit "co-sponsorship" (as defined in DoD 5500.07-R) absent additional high-level staffing and approval. In other words, the conference grant support identified in this BAA is not DoD sponsorship or co-sponsorship since ARL is neither an organizer nor provider of any substantial logistical support for the conferences addressed in this section. Funds provided cannot be used for payment to any federal government employee for support, subsistence, or services in connection with the proposed conference or symposium.

iii. Connection with ARO Research Topics. The Army supports conferences and symposia in areas of science that bring experts together to discuss recent research or educational findings or to expose other researchers or advanced graduate students to new research and educational techniques. It is highly recommended that potential applicants contact the appropriate TPOC identified for a topic that aligns to the conference/symposia proposal. The ARO TPOCs’ names and contact information are listed within each topic description on the ARL BAA topics website at https://arl.devcom.army.mil/opportunities/arl-baa/.

iv. Funding Level. ARO highly encourages discussions with ARO TPOCs of appropriate budget levels prior to the submission of conference or symposia award applications.

v. Special Proposal Preparation Instructions for Conference or Symposia Awards.

(1) Conference support proposals should be submitted a minimum of six (6) months prior to the date of the conference. A proposal will not be funded if the conference date has already passed.

(2) The “Project Description (Technical Proposal)”, as discussed in for support of a conference or symposium should include the following:

• A one page or less summary indicating the objectives of the project;

• The topics to be covered;

• The location and probable date(s) and why the conference is considered appropriate at the time specified;

• An explanation of how the conference will relate to the research interests of the Army and how it will contribute to the enhancement and improvement of scientific, engineering, and/or educational activities as outlined earlier in the research topic references in this BAA and on the ARL website;

• The name of chairperson(s)/principal investigator (PI)(s) and his/her biographical information;

• A list of proposed participants and the methods of announcement or invitation; and

(3) The “Cost Proposal” should include:

• Total project conference costs by major cost elements;

• Anticipated sources of conference income and amount from each source to document no profit will accrue to the applicant;

• Anticipated use of funds requested; and

• A signed budget.

g. Army Educational Outreach Program (AEOP) High School and Undergraduate Internships

i. Description. 10 USC 2192 provides authority for the Army to support educational programs in science, mathematics, engineering, and technology. The High School internships funds the Science, Technology, Engineering, and Mathematics (STEM) internship of promising rising high school juniors and seniors to work in a university structured research environment under the direction of sponsored principal investigators (PIs) serving as mentors. The Undergraduate internships provides similar opportunities for undergraduate students. Only existing awards to institutions of higher education will be considered for these internships. High School and Undergraduate participants must be U.S.

citizens or have permanent resident status. Funding support for these internships will be accomplished as a modification to single investigator research grants, Multidisciplinary University Research Initiative (MURIs), University-Affiliated Research Contracts (UARCs), and other cooperative agreements managed by the Army that have at least 12 months period of performance remaining from the date of an internship proposal submission. AEOP Internships program goals are to:

1. Provide authentic science and engineering research experience to high school students interested in pursuing STEM, and undergraduate students pursuing science and engineering majors;

2. Introduce students to the Army’s interest and investment in science and engineering research and the associated educational opportunities available to students through the Army’s Educational Outreach Program (AEOP) and DoD;

3. Provide students with experience in developing and presenting scientific research;

4. Provide students with experience to develop an independent research program in preparation for research fellowships, graduate school, and careers in science and engineering research;

5. Provide opportunities for the student to benefit from the expertise of a scientist or engineer as a mentor for professional and academic development purposes; and

6. Develop student’s skills and background to prepare them for competitive entry to science and engineering undergraduate programs.

ii. Special Eligibility Requirements. The AEOP internships are designed as modification to existing awards and limited funding is available annually for PIs interested in supporting an internship. Funds provided by this program should be billed concurrently with work on the base award to ensure prompt expenditure. Due to the brief duration of the internships and limited funding we make every effort to maximize the number of student internship opportunities.

iii. Special Proposal Preparation Instructions for AEOP High School and Undergraduate Internships.

To be considered for an internship modification, PIs should submit a short proposal (see instructions below) that clearly articulates the meaningful research that the student will conduct in support of the award, along with the strategy for PI mentorship and facilitation of follow-on opportunities (e.g., university attendance, participation in other AEOP opportunities and other research experiences, etc). PIs must determine what aspect(s) of their current research program the student will be working on, desired deliverables, and anticipated research outcomes based on the AEOP internships program goals set forth above. PIs should describe who within their organization will be responsible for day-to-day mentoring of the students (e.g. PI, research associate, graduate student, etc.). If direct supervision of students will be someone other than the PI, the mentor’s resume or curriculum vitae (CV) must be provided. The proposal should identify the expected gains for the student and the organization for High School and Undergraduate participation in terms of technical skills, scientific reasoning in specific domains, or publication opportunities. Follow-on opportunities and relationships for students within the organization are encouraged and should be outlined in the proposal.

Proposals should include provisions to pay High School students a stipend equivalent to approximately $15 per hour and Undergraduate students a stipend equivalent to approximately $20 per hour; not to exceed 300 hours total per student. High School and Undergraduate students are not considered university employees whose hours must be tracked and therefore stipends are not required to be paid as an hourly wage but can be paid as a lump sum or divided as partial payments, at the recipient’s discretion. With the exception of UARC and MURI awards, proposals should generally be limited to two students per PI, although up to four students will be considered under a single investigator if the proposal demonstrates sufficient senior research staffing to ensure effective student guidance and mentoring. Proposals for UARC and MURI awards can include up to 6 students. Student stipends must be listed under “participant support costs” on ARO Form 99 as described in Section II.H.2.e of this BAA.

If more than one student is proposed by a PI, there must be a near equal mix of High School and Undergraduate students. A proposal should not be for multiple Undergraduate students unless approved by ARO. The institution of higher education must describe in its proposal how it will ensure the protection of minors through provision of a safe working environment.

(1) Describing an Outreach Strategy and Student Application Process. A primary objective of the AEOP internship is to expose new students to research opportunities in a research laboratory. Thus, PIs must describe a plan to attract and engage students not related to the PI (family member) or already working with the PI, laboratory, or research project. The proposal shall also include a short description (3 to 5 sentences) of the project, its relation to the award research and specific student requirements (GPA, letters of recommendation, dates of the internship, etc.). For approved proposals, the project description and requirements submitted by the PI will be placed on the AEOP website and used in addition to the PIs outreach strategy to attract applicants. All student applications for the AEOP Internship programs must be collected through the AEOP student application portal (www.usaeop.com). After initial AEOP eligibility screening, applications will be forward to the PI for evaluation and final candidate(s) selection. PIs must include in the proposal a plan to conduct local outreach to promote awareness of the opportunity among students/schools, and then direct them to the AEOP website to apply. AEOP Internships is a commuter program and PIs are encouraged to perform outreach to students who are able to commute daily. PIs and mentors must also complete a brief registration annually on the AEOP website and complete two 21st Century Skills Assessment for each student participant during the internship. Web links will be emailed to the PI before the start of the internship. At the conclusion of the internship, student participants are required to develop a brief (one-page) abstract of their work to be included in an AEOP program booklet. PIs shall review and approve these abstracts before submission to ARO via an AEOP portal.

(2) Timeline. Consistent with the BAA, proposals for this targeted opportunity are accepted on a rolling basis. PIs interested in receiving AEOP Internships funding should submit proposals no later than (NLT) August 31 of the prior year to provide sufficient time for proposal review, award processing, and student outreach/recruitment. For example, to receive funding for use in summer 2025, proposals should be submitted by August 31, 2024. PIs will be notified of proposal evaluation results by mid-November and the student application website will open no later than the first week of January through February.

(3) Additional Proposal Details. Proposals should not exceed three pages (excluding supplemental information (budget, CVs, etc.) in length and must be submitted through www.grants.gov utilizing solicitation number W911NF-23-S-0001. Complete forms Standard Form (SF) 424, ARO Form 99 (clearly distinguishing high school students from undergraduates) and upload the proposal as an attachment. Please include the title of the research project, the grant number, and the specific number of High School and Undergraduate opportunities requested on the first page of the proposal.

POC for this Targeted Opportunity: Ms. Ivory Chaney, usarmy.rtp.ccdc-arl.mbx.hsap-urap@army.mil,

(919) 549- 4323

(End of Section) http://www.usaeop.com/ mailto:usarmy.rtp.ccdc-arl.mbx.hsap-urap@army.mil

B. Federal Award Information

The ACC-APG RTP Division and ACC-APG Adelphi Contracting Division have the authority to award a variety of instruments on behalf of ARL. Anticipated awards will be made in the form of procurement contracts, grants, cooperative agreements, , other transactions (OTs) for research, or OTs for prototypes. The ACC-APG RTP Division and ACC-APG Adelphi Contracting Division will 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. The 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, 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, 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. Other Transaction for Research. A legal instrument, consistent with 10 U.S.C. 4021, which may be used for basic, applied, and advanced research projects. The research covered under this instrument cannot be duplicative of research being conducted under an existing DoD program. To the maximum extent practicable, OTs for research are to 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 an OT for research does not qualify as a “funding agreement” as defined at 37 CFR 401.2(a), the intellectual property provisions of this instrument can be negotiated to provide expanded protection to an applicant’s intellectual property. No fee or profit is allowed on OTs for research.

Please refer to the Office of the Under Secretary of Defense for Acquisition and Sustainment Other Transaction Guide version 2.0 dated July 2023 for additional information. This document, along with additional other transaction agreement (OTA) resources, may be accessed at the following link:

https://www.acq.osd.mil/asda/dpc/cp/policy/other-policy-areas.html

5. Other Transaction for Prototype or Production. A legal instrument, consistent with 10 U.S.C. 4022, which provides DoD the flexibility necessary to adopt and incorporate business practices that reflect commercial industry standards and best practices into its award instruments. OTs for prototypes or production are not FAR-based procurement contracts, grants, cooperative agreements, or OTs for Research. OTs for prototypes or production have specific applications and conditions for use (see Appendix C of the Other Transactions Guide linked below). The effort covered under an OT cannot be duplicative of effort being conducted under an existing DoD program. Follow-on production contracts and/or an OT may be awarded to a Prototype Other Transaction Awardee, if applicable. Please refer to the Office of the Under Secretary of Defense for Acquisition and Sustainment Other Transaction Guide version 2.0 dated July 2023 for additional information. This document, along with other OTA resources, may be accessed at the following link: https://www.acq.osd.mil/asda/dpc/cp/policy/other-policy-areas.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

d. 2 CFR Part 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

7. 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…