AAL BAA W911NF-24-S-0008 FINAL.pdf

ARMY APPLICATIONS LAB

BROAD AGENCY ANNOUNCEMENT FOR

DISRUPTIVE APPLICATIONS

W911NF-24-S-0008

5April 2024 –4April 2029

ISSUED BY:

U.S. Army Contracting Command Aberdeen Proving Ground

Research Triangle Park Division P. O. Box 12211

Research Triangle Park, NC 27709-2211

Special Notes

1. Formatting of the Announcement

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

I.

A.

1.

a.

i.

(1)

(a)

(i)

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

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

TABLE OF CONTENTS

I. OVERVIEW OF THE FUNDING OPPORTUNITY 6

A. Overview 6

1. Agency Name 10

2. Issuing Acquisition Office 10

3. Research Opportunity Title 10

4. Announcement Type 10

5. Research Opportunity Number 10

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

7. Response Dates 10 B. Additional Overview Information 11

II. DETAILED INFORMATION ABOUT THE FUNDING OPPORTUNITY 11

A. Program Description 11

1. Autonomous platforms 12

2. Artificial Intelligence and Machine Learning (AI/ML) 12

3. Data visualization and synthetic environments 13

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

5. Power generation and management technologies 13

6. Sensing 13

7. Communications & network 14

8. Computation 14

9. Space 14

10. Internet of Things (IoT) 14

11. Quantum Technologies 15

12. Signature reduction 15

13. Protection 15

14. Human Performance 15

15. Contested Logistics 16

16. Kinetic Payload 16 B. Federal Award Information 16

1. Procurement Contract 17

2. Grant 17

3. Cooperative Agreement 17

4. Other Transaction for Research 17

5. Other transaction for prototype 18

6. Governance of Instrument Types C. Eligibility Information 20

1. Eligible Applicants 20

2. Cost Sharing or Matching 20

3. Other 21 D. Application and Submission Information 21

1. Address to View Broad Agency Announcement 21

2. Content and Form of Application Submission 21

a. General Information 21

b. The Application Process 22

c. Whitepaper Preparation 24

d. Whitepaper Submission 26

e. Preparation of Proposals 26

f. Submission of Proposals 34

g. Grants.gov Submission 35

h. Grants.gov Registration 37

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

4. Submission Dates and Times 38

5. Intergovernmental Review 38

6. Funding Restrictions 38

7. Other Submission Requirements 38 E. Application Review Information 40

1. Criteria 40

2. Review and Selection Process 40

3. Recipient Qualification 41 F. Award Administration Information 44

1. Award Notices 44

2. Administrative and National Policy Requirements 44

a. Required Representations and Certifications 44

b. Policy Requirements 50

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

1. Contract Proposals 60

2. Grant and Cooperative Agreement Proposals 69

3. Other Transaction Proposals 74

APPENDIX 1: TABLE OF ACRONYMS 75

APPENDIX 2: SCHEDULE OF AMENDMENTS 78

I. OVERVIEW OF THE FUNDING OPPORTUNITY

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

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

‐ Long-Range Precision Fires ‐ Next Generation of Combat Vehicles ‐ Future Vertical Lift Platforms ‐ Army Network

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

‐ Air and Missile Defense Capabilities ‐ Soldier Lethality

Soldier Lethality Synthetic Training Environment

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

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

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

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

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

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

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

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

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

BAA.

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

‐ Translational Research - Approaches and methodologies that accelerate the

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

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

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

This BAA may be used to award procurement contracts, grants, cooperative agreements, Other Transactions for Research and Other Transactions for Prototypes.

AAL will entertain discussions with applicants to consider a wide range of funding constructs which might include but are not limited to Government funding, cost sharing, in-kind labor or facility sharing by all parties, or any other allowable mechanism. Applicants may propose cost sharing approaches, but they are not required.

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

BAA.

Ongoing Topics - AAL does not necessarily have funding for any particular research area at any given time. Those contemplating submission of a whitepaper or proposal are strongly encouraged to review the AAL website to understand AAL priorities, submit questions, and submit whitepapers and proposals. Whitepapers and proposals should be prepared in accordance with the instructions contained in this BAA and submitted according to guidelines found on https://aal.army. AAL will review and assess whitepapers for market and focus area relevance and state of technology. AAL will return feedback on applicant’s whitepaper within 30 days if requested through the "contact us" form.

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

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

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

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

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

In accordance with federal statutes, regulations, and Department of Defense (DoD) and Army policies, no person on grounds of race, color, age, sex, national origin, or disability shall be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any program or activity receiving financial assistance from the Army. Applicants submitting proposals are cautioned that only a Contracting or Grants Officer can obligate the Government to any legal instrument involving expenditure of Government funds. All administrative inquiries regarding this BAA shall be submitted in email to: aal-baa@army.mil Scientific and technical questions should be referred to the provided contact form on the AAL website. Interested parties are encouraged to periodically check any of the following websites for updates and amendments to this BAA: www.grants.gov, www.sam.gov, and the (AAL) website https://aal.army .

Director Army Applications Laboratory

1. Agency Name

U.S. Army Futures Command, Army Applications Laboratory

2. Issuing Acquisition Office

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

3. Research Opportunity Title AAL Broad Agency Announcement (BAA) for Disruptive Applications for 5 April 2024 – 4 April 2029

4. Announcement Type Initial Announcement

5. Research Opportunity Number

W911NF-24-S-0008

6. Catalog of Federal Domestic Assistance (CFDA) Number and Title (grants and cooperative agreements only)

12.431 – Basic Scientific Research

7. Response Dates This BAA is a continuously open announcement valid throughout the period from the date of issuance through 4 April 2029, unless announced otherwise.

(End of Section)

B. Additional Overview Information

This BAA sets forth research areas of interest to the AAL. This BAA is issued under paragraph 6.102(d)(2) of the Federal Acquisition Regulation (FAR), which provides for the competitive selection of basic and applied research proposals, and 10 U.S.C. 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 Code of Federal Regulations (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 and technical and cost proposals (or any other material) submitted in response to this BAA will not be returned to the applicant.

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

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

Proposals submitted to this BAA may be considered for attendance at Army experimentation events (e.g., Edge, Project Convergence, Army Warfighting Experiment) to evaluate the technology developed. If attendance is endorsed by the government, travel may be covered, with total cost determined at the time of invitation and acceptance to the exercise.

II. DETAILED INFORMATION ABOUT THE FUNDING OPPORTUNITY

A. Program Description - AAL is interested in any and all technologies which can be shown to deliver the Army of 2030 and design the Army of 2040; they enable the Army to be ready to deploy, fight, and win decisively against any adversary, anytime, and anywhere, in a joint, multi- domain, high-intensity conflict, while simultaneously deterring others and maintaining its ability to conduct irregular warfare.

There are a number of technologies that touch more than one of the Army Modernization Priorities as well as other areas important to the Army. Advances in these areas may be highly disruptive since they could address multiple priorities or functions or challenge current Army approaches. Areas of interest include but are not limited to the following:

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

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

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

c. Technologies to enable low electronic and physical profiles

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

e. Architectures to enable reprogrammable platforms under dynamic conditions

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

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

h. Technologies to significantly reduce logistical burdens

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

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

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

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

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

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

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

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

a. Sensor data

b. Large data sets

c. Complex multi-source mode data sets

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

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

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

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

b. Enhancements to commercial technologies to enable them to meet Army needs

c. Robust security techniques for PNT at all levels

d. PNT-enabled guidance and control

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

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

a. Power management algorithms to optimize generation and usage

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

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

d. Power transmission and power storage technology

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

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

b. Detect all targets even when obscured

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

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

a. Concepts and methodologies to enable robust, secure networks

b. Protocols

c. Network interoperability including multi-national partners

d. High efficiency components

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

a. Throughput

b. Power efficiency

c. Edge computing

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

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

b. Concepts enabling low-cost access to space

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

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

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

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

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

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

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

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

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

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

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

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

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

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

b. Lightweight, easy to manufacture armor

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

d. Human performance optimization to endure harsh and extenuating conditions

e. Soldier protection technologies including but not limited to counter Unmanned Aerial System (c-UAS), counter missile, counter overhead surveillance.

f. Rapid emplacement of counter mobility obstacles.

g. Early warning systems.

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

a. Human-machine interaction to ensure autonomous platforms are efficiently managed and exploited

b. Measuring effectiveness of and enhancing training tools and techniques

c. Methodologies and approaches for effective augmentation of

Soldiers in areas of cognition, perception, and physical performance

15. Contested Logistics – The Army is interested in research in contested logistics technology that can maintain operational superiority over adversaries through an environment in which logistics operations, facilities, and activities are disrupted or non-existent. Research is needed in areas such as:

a. Leveraging data analytics for predictive logistics capabilities.

b. Use of autonomous technology to extend operational reach, prolong endurance and ensure freedom of action.

c. Reducing the Army’s logistics tail through innovative processes or software tools.

d. Novel alternative fuel or energy sources that reduce logistical burden.

e. Novel manufacturing techniques that support point of need manufacturing in austere conditions.

16. Kinetic Payload – Kinetic payload technologies should provide scalable effects to disrupt, decoy, and/or deliver lethal effects against threats. Kinetic Payload research is needed in areas such as:

a. Augmentation of commercial off-the-shelf aerial systems to deliver kinetic payloads.

b. Use of additive manufacturing to develop kinetic payloads and/or delivery systems utilizing novel manufacturing techniques.

c. Interchangeable delivery system that could attach multiple types of kinetic payloads no matter size or weight.

d. Novel and/or alternative munition systems and associated support equipment designed to autonomously or semi-autonomously deliver effects.

B. Federal Award Information

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

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

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

a. Federal Acquisition Regulation (FAR)

b. Defense Federal Acquisition Regulation Supplement (DFARS)

c. Army Federal Acquisition Regulation Supplement (AFARS)

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

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

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

c. No fee or profit is allowed.

3. Cooperative Agreement. A legal instrument which, consistent with 31

U.S.C. 6305, is used to enter into the same kind of relationship as a grant (see definition "grant") except that substantial involvement is expected between the Federal Government and the recipient when carrying out the activity contemplated by the cooperative agreement. The term does not include "cooperative R&D agreements" as defined in 15 U.S.C. 3710a. No fee or profit is allowed.

4. 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 (OTA). A legal instrument, consistent with 10 U.S.C. 4022, which may be used when the use of a contract, grant, or cooperative agreement is not feasible or appropriate for prototype projects directly relevant to enhancing the mission effectiveness of military personnel and the supporting platforms, systems, components, or materials proposed to be acquired or developed by the DoD, or to improvement of platforms, systems, components, or materials in use by the armed forces.

The effort covered under an OTA shall not be duplicative of effort being conducted under an existing DoD program (please refer to the Office of the Under Secretary of Defense for Acquisition and Sustainment Other Transaction Guide version 2.0 dated July 2023. This document, along with other OTA resources, may be accessed at the following link:

https://www.acq.osd.mil/asda/dpc/cp/index.html

6. Governance of Instrument Types:

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

h. 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:

i. Federal statutes

ii. Federal regulations

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

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

v. DoD Research and Development General Terms and

Conditions

vi. Agency-specific Research Terms and Conditions

OTs for Research are primarily governed by the following:

i. Federal statutes

ii. Federal regulations

iii. Office of Secretary of Defense implementation guidance titled Other Transactions (OT) Guide for Research Projects (July 2023, Version 2)

iv. Guide to Research Other Transactions under 10 U.S.C. 4021 issued by the Office of the Under Secretary of Defense for Research and Engineering

OTAs for Prototype projects are primarily governed by the following:

a. Federal statutes

b. Federal regulations

c. Office of Secretary of Defense implementation guidance titled Other

Transactions (OT) Guide for Prototype Projects

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: http://www.ecfr.gov

c. DoD Research and Development General Terms and Conditions:

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

d. Agency-specific Research Terms and Conditions:

https://arl.devcom.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, foreign organizations, foreign public entities, and for-profit organizations (i.e.

large and small businesses) for scientific research in mechanical sciences, mathematical sciences, electronics, computing science, physics, chemistry, life sciences, materials science, network science, and environmental sciences. In accordance with FAR 35.016, Whitepapers and proposals will be evaluated only if they are “for acquisition of basic and applied research and that part of development not related to the development of a specific system or hardware procurement. BAA’s may be used by agencies to fulfill their requirements for scientific study and experimentation directed toward advancing the state-of-the-art or increasing knowledge or understanding rather than focusing on a specific system or hardware solution.”

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

2. Cost Sharing or Matching

Generally, there is no requirement for cost sharing, matching, or cost participation to be eligible for award under this BAA. Cost sharing and matching is not an evaluation factor used under this BAA. Exceptions may exist if the applicant is proposing the use of a research or prototype OT as an award instrument. Cost-sharing requirements may be found within the specified Other Transactions regulations and Other Transactions Guides referenced in 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

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

BAA.

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

D. Application and Submission Information

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

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

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

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

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

The following information is for those wishing to respond to the BAA:

2. Content and Form of Application Submission –

a. General Information

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

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

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

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

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

v. Statement of Disclosure Preference: In accordance with Section II.D.2.e.iii of this BAA, Form 52 or 52A shall be completed stating your preference for release of information contained in your proposal. Copies of these forms may be downloaded from the ARO web site at BAA Forms – DEVCOM Army Research Laboratory

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

vi. Equipment (see instrument-specific regulations provided in Section II.B of this BAA): Normally, title to equipment or other tangible property purchased with Government funds vests with nonprofit institutions of higher education or with nonprofit organizations whose primary purpose is conducting scientific research if vesting will facilitate scientific research performed for the Government. For-profit organizations are expected to possess the necessary plant and equipment to conduct the proposed research. Deviations may be made on a case-by-case basis to allow for-profit organizations to purchase equipment but regulatory disposition instructions must be followed.

b. The Application Process

The application process is in three stages as follows(with certain exceptions):

Stage 1 – Submit Whitepaper/Demonstration - Prospective proposers are required to submit whitepapers prior to the submission of a complete, more detailed proposal. The purpose of whitepapers is to minimize the labor and cost associated with the production of detailed proposals that have very little chance of being selected for funding. Based on assessment of the whitepapers, feedback will be provided to the proposers if requested and if encouraged to submit a full proposal.

Whitepapers should present the effort in sufficient detail to allow evaluation of the concept's scientific merit and its potential contributions of the effort to the Army mission.

In lieu of a whitepaper, potential Applicants may have the opportunity to present their research idea to AAL representatives at demonstration events or other meetings held by AAL. In this scenario, AAL may provide feedback on these presentations which will satisfy the requirement of a White Paper submission. Under this scenario, Applicants may proceed to Stage 3 without following the specific Whitepaper submission process outlined above.

Under either scenario, full proposal submissions will follow the same evaluation and selection procedures outlined in this BAA.

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

Process: You will receive a Unique Entity Identifier (UEI) when registering at the System for Award Management System (SAM) website at https://www.sam.gov A UEI fact sheet can be found at https://www2.ed.gov/about/offices/list/ofo/docs/unique-entity-identifier-transition-fact-sheet.pdf http://fedgov.dnb.com/webform This sheet will provide detailed instructions on how to register or update your SAM account and receive a UEI. Please allow a minimum of two (2) business days for this process to take place. If you have any questions regarding this process, please reach out to https://www.fsd.gov/gsafsd_sp for assistance.

Stage 3 – Submit a Full Proposal - Applicants who have completed the process in Stage 1 above will make their submission under the terms and conditions cited in this BAA and will be reviewed regardless of the feedback on the whitepaper. Complete proposals must be submitted in order for the applicant to be considered for funding.

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

aal-baa@army.mil. See Section II.D.2.f of this BAA for information on the proposal submission process.

Requests for waiver of electronic submission requirements may be submitted via email to: aal-baa@army.mil

All required forms for proposals may be downloaded from the ARO web site at https://arl.devcom.army.mil/resources/baa-forms

c. Whitepaper Preparation

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

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

iii. Format and content of whitepapers:

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

(1) COVER PAGE: The whitepaper cover page shall include at a minimum:

(a) Title of the whitepaper

(b) Name of the organization submitting the whitepaper

(c) Names of any participating organizations

(d) UEI of the organization submitting the whitepaper

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

POC

(2) ORGANIZATION OVERVIEW

(a) Brief description of company (max 500 characters)

(b) Year Founded

(c) Company Size (based on full time employees)

(d) Investment Status

(e) Approximate Annual Revenue

(f) (Optional) Other Key Events (funding, patent filing, product launch, awards and recognition, etc.) (Max 80 characters)

(g) Number of Federal Awards (Non-DoD)

(h) Approximate Amount of Federal Awards (non-DoD)

(i) Number of Federal Awards (DoD)

(j) Approximate Amount of Federal Awards (DoD)

(k) Company Request (funding, partnership, industry introduction, licensing agreements, other)

(l) SBIR Eligible

(3) TECHNICAL CONTENT:

(a) Technical Proposal Summary (Max 1,500 characters)

(b) What TRL is your technology at in it's current form?

(c) What TRL is your technology at for your military use case?

TRL info can be found at:

https://www.nasa.gov/directorates/heo/scan/engineering/tech nology/technology_readiness_level

(d) Tell us more about your technology (technical approach, major milestone and research objectives, ongoing government or commercial work related to proposed solution, impact to the Army and expected TRL at end of desired effort) (Max 10,000 characters).

(e) If selected for a contract, what resources do you require with AAL's assistance.

(f) If selected for a contract, how would a successful AAL engagement impact your company? (max 1000 characters)

(4) SCHEDULE AND COST:

(a) How many months will it take to perform this work?

(b) Approximately how much will it cost to perform this work?

(c) (Optional) If you'd like to propose any cost sharing ideas, please explain (max 250 characters).

(5) YOUR TEAM:

(a) Up to three relevant people: Name, Email Phone, City, State, Education Summary, Professional Summary and/or LinkedIn page (Max 500 characters)

(6) MEDIA LINKS (OPTIONAL)

(a) Technical Specifications

(b) Images

(c) Pitch Decks

v. RESTRICTIVE MARKINGS ON WHITEPAPERS:

(1) Any proprietary data that the applicant intends to be used only by the Government for evaluation purposes must be clearly marked. The automated tool on the website will allow applicants to flag sections appropriately. The applicant must also identify any technical data or computer software contained in the whitepaper that is to be treated by the Government as limited rights in technical data and restricted rights in computer software.

In the absence of such identification, the Government will conclude there are no limitations or restrictions on technical data or computer software included in the whitepaper. Records or data bearing a restrictive legend may be included in the whitepaper. It is the intent of the Army to treat all whitepapers as procurement sensitive before award and to disclose their contents only for the purpose of evaluation.

Care must be exercised to ensure that classified, sensitive, and critical technologies are not included in a whitepaper.

If such information is required, appropriate conversations must take place with AAL prior to submission of the whitepaper.

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

vi. EVALUATION AND DISPOSITION OF WHITEPAPERS

(1) Evaluation Process: Applicants are advised that invitations for proposals will be made based on the whitepaper submission and the availability of funding. The whitepaper will be evaluated for the concept's scientific merit and potential contributions of the effort to the Army mission. Applicants whose whitepapers are evaluated as having significant scientific merit may be invited to submit a proposal.

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

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

e. Preparation of Proposals

i. COVER PAGE:

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

(2) a SF 424 (R&R) Form.

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

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

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

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

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

(7) Applicants shall provide their organization's Unique Entity Identifier (formerly DUNS). This number is nine-digits. 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://arl.devcom.army.mil/resources/baa-forms

SECTION PAGE NUMBER

Table of Contents A-1

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

Research and Related Other Project Information B-2

Project Abstract C-1

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

Biographical Sketch E-1

Bibliography F-1 - 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 (FCCM) (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). Form can be found at

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

v. PROJECT ABSTRACT:

The project abstract shall be completed on the form entitled “Publicly Releasable Project Abstract” found at the following website:

https://arl.devcom.army.mil/resources/baa-forms

(1) 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.