FINAL DEVCOM BAA_Revised 043025.docx

ARMY CONTRACTING COMMAND-ABERDEEN PROVING GROUND

EDGEWOOD CONTRACTING DIVISION

BROAD AGENCY ANNOUNCEMENT (BAA) FOR CHEMICAL BIOLOGICAL RADIOLOGICAL NUCLEAR AND EXPLOSIVE (CBRNE) DEFENSE EFFORTS UNDER PROCUREMENT CONTRACTS, COOPERATIVE AGREEMENTS, AND PROTOTYPES UNDER OTHER TRANSACTIONS AGREEMENTS

CCDC-BAA-24-XX

W911SR-24R-00XX

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TABLE OF CONTENTS

I. INTRODUCTION 1

II. ACRONYMS AND DEFINITIONS 3

IX. ATTACHMENTS AND APPENDICES 57

I. INTRODUCTION:

The U.S. Army Combat Capabilities Development Command Chemical Biological Center (DEVCOM CBC) mission is to provide innovative chemical, biological, radiological, nuclear and explosive (CBRNE) defense capabilities to enable the Joint Warfighters’ dominance on the battlefield and interagency defense of the homeland. Mission areas and technical points of contact for within DEVCOM CBC are shown in Section VII of this Broad Agency Announcement (BAA). Proposals are sought from all eligible sources as specified herein, including educational institutions, nonprofit organizations, and private industry. This BAA provides general information, proposal preparation instructions, evaluation and selection criteria, and award administration.

This BAA is intended to solicit preproposals for DEVCOM CBC for:

A. Procurement Contracts: Awarded Procurement Contracts shall apply to those parts of development not related to the development of a specific system or hardware procurement based on the Technical Readiness Level limitations described herein (see also “Technology Readiness Levels in the Department of Defense” at Section IX of this document). As to any resultant procurement contracts, this BAA is issued under the provisions of the Competition in Contracting Act of 1984 (Public Law 98-369), as implemented in the Federal Acquisition Regulation (FAR) Part 6.102 (d)(2) and in accordance with FAR 35.016. The purpose of procurement contracts placed under this BAA is to identify the best available science, and as such, there are no set-asides associated with any awards resulting from this BAA. In accordance with FAR 35.003, Contracts shall be used only when the principal purpose is the acquisition of supplies or services for the direct benefit or use of the Federal Government. Grants or cooperative agreements should be used when the principal purpose of the transaction is to stimulate or support research and development for another public purpose. Cooperative Agreements are discussed below at C.

B. Other Transaction Authority, the Prototype OT (pOTA): Following 10 U.S.C. §4022, Prototype OT projects must include a prototype per the statute and the transaction will “carry out prototype projects that are directly relevant to enhancing the mission effectiveness of personnel of the Department of Defense or improving platforms, systems, components, or materials proposed to be acquired or developed by the Department of Defense, or to improvement of platforms, systems, components, or materials in use by the armed forces.” Participation in Prototype OTs is directed toward non-traditional defense contractors (NDCs) and Small Businesses. Businesses that are neither NDCs nor Small Businesses may still be awarded a Prototype OT, but a third of the award costs in such cases must come from non-Government sources. The pOTA is unlike other Government Contracts such as Procurement Contracts (referenced above) in that Prototype OTs are not subject to the Competition in Contracting Act (CICA), FAR Part 6 or any other FAR based regulation. However, by statute, Prototype OTs require, to the maximum extent practicable, competitive procedures. Consequently, the mechanics of the competitive BAA process detailed in this BAA otherwise not applicable to OTs are, as supplemented herein, adopted as the competitive procedure for entering into OTs.

1. Section VII contains areas of interest to be competed hereunder for Prototype OT awards. Section VIII contains instructions specific to the development of, and evaluation of proposals, for prototypes.

2. In general, OT Offerors may submit a preproposal (1) qualifying under Section VII.A of this BAA for one or more of the Mission Areas or (2) for prototype requirements identified in Section VIII or in a separate Request for Project Proposals (RPP) issued under this BAA. If two or more Prototype OT Offerors submit for the same requirement, the field of competition will be narrowed by the evaluations called for under this BAA for preproposals used to conduct phased evaluations using one or more of the evaluation factors.

3. If warranted, a Research OT under 10 U.S.C. §4021 may be the most appropriate agreement mechanism. Generally, Research OTs under §4021 differ from pOTA under §4022 in that Research OTs are used for basic, applied, and advanced research projects that are focused on validating research results and advancements, rather than for the delivery or acquisition of the resultant technologies. Delivery or acquisition of resultant technologies is the focus of the Prototype OT and the Production OTs that stem from the Prototype OT. Consequently, this BAA serves the additional purpose of solicitation for efforts that may result in a Research OT under 10 U.S.C. §4021.

C. Cooperative Agreements: Under authority of 41 U.S.C. §6305, a legal instrument used to enter into a relationship, 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 of the United States, rather than to acquire property or services for the DoD’s direct benefit or use. With Cooperative Agreements, substantial involvement is expected between the DoD 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. Essentially, Cooperative Agreements are assistance instruments, not acquisition instruments. Acquisition instruments such as Procurement Contracts, Prototype OTs, and Production OTs are intended for provide specific deliverables for DoD’s direct benefit or use. By contrast, assistance instruments are meant to carry out or stimulate an authorized public purpose.

D. Generally with respect to all instruments:

1. Generally, this announcement is continuously open. Preliminary proposals (preproposals) may be submitted and will be evaluated for the general requirements of this BAA at any time for the potential time up to the next five (5) years. The availability of funds may limit the ability of the U.S. Government to make awards in specific areas, nevertheless preproposals are sought under this BAA announcement for areas consistent with the mission areas identified in Section VII of this announcement. DEVCOM CBC is interested in proposals that seek new and innovative concepts for basic and applied research and for development efforts not related to the development of specific systems or hardware (in accordance with FAR 35.016). Offers for research efforts related to specific systems or hardware development will not be considered, except to demonstrate a concept.

2. This announcement of DEVCOM CBC’s current interests will also be posted on the System for Award Management (SAM) website (http://www.sam.gov) and the DEVCOM CBC website (http://www.cbc.devcom.army.mil). This announcement will also be available on the Grants.gov web portal (http://www.grants.gov/).

3. From time to time, special announcements or calls for proposals referencing this BAA may be issued for specific requirements in addition to any requirements announced in Sections VII and VIII. Additionally, the application process may be amended as other electronic application processes are implemented. All amendments to this BAA will be announced on the websites shown above. To facilitate communication on both scientific and administrative matters relating to this BAA, a single email address may be used for all communication with DEVCOM CBC. Please send all technical and administrative questions and inquiries to usarmy.apg.devcom-cbc.mbx.technical-outreach@army.mil.

4. Administrative questions concerning the preparation of preproposals or proposals should be addressed to U.S. Army Contracting Command Edgewood Contracting Division Officer. They should be emailed to usarmy.apg.acc.mbx.devcom-cbc-baa@army.mil

ATTN: DEVCOM CBC BAA.

II. ACRONYMS / DEFINITIONS:

AGENCY: Agency means any of the military departments or defense agencies with authority to award OTAs for prototype projects.

AGREEMENTS OFFICER: An Agreements Officer has authority to enter into, administer, or terminate OTAs for prototype projects and make related determinations and findings.

DEVELOPMENT: The systematic use of scientific and technical knowledge in the design, development, testing, or evaluation of potential new products, or service (or of an improvement in an existing product or service) to meet specific performance requirements or objectives. It includes the functions of design engineering, prototyping, and engineering testing; it excludes subcontracted technical effort that is for the sole purpose of developing an additional source for an existing product.

ENABLING TECHNOLOGIES: Technologies that are not countermeasure products or systems themselves but facilitate or accelerate the development of countermeasure products or systems. Examples of enabling technologies include combinatorial chemistry, high-throughput screening, microarrays, bioinformatics and computational biology, nanotechnologies, imaging (including biosensors and biomarkers), animal models, assays, and other product development tools.

BIOMANUFACTURING: Type of manufacturing that utilizes biological systems (e.g., living microorganisms, resting cells, animal cells, plant cells, tissues, enzymes, or in vitro synthetic (enzymatic) systems) to produce commercially important biomolecules for use in the agricultural, food, material, energy, and pharmaceutical industries.

HUMAN RESEARCH PROTECTION OFFICIAL (HRPO): A federal employee designated by a DoD Component or institution to conduct administrative review of DoD-supported research in accordance with the requirements of the DFARS, or comparable requirement, and whose review of DoD-supported research is intended to ensure compliance with DoD Human Subjects Research (HSR) requirements.

HRPO REVIEW: Review by a delegated individual after an initial non-DOD Human Research Protection Program determination of not HSR or exempt HSR or IRB approval (for non-exempt HSR). The purpose of the HRPO review is to ensure compliance of a DOD-supported activity with the requirements identified at DODI 3216.02, Enclosure 3, paragraph 4c, prior to initiation of the DOD-supported portion of the human subject’s research conducted by the non-DOD institution.

HUMAN SUBJECT: A living individual about whom an investigator conducting research obtains data through intervention or interaction with the individual or obtains identifiable private information as defined in section 219.102(f) of Reference (c). (FDA regulations include a different definition of human subject. With respect to research subject to FDA regulations, the FDA definition in section 50.3(g) of Reference (d) also applies.)

OTHER TRANSACTIONS FOR PROTOTYPES (pOTA): The Department has authority under 10 U.S.C. §4022 to award “other transactions” in certain circumstances for prototype projects that are 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 Department of Defense, or to improvement of platforms, systems, components, or materials in use by the Armed Forces. The pOTA is an acquisition instrument that generally is not subject to the federal laws and regulations governing procurement contracts.

OTHER TRANSACTIONS FOR RESEARCH: (Research OT): Research OTs are authorized under 10 U.S.C. §4021 and are used for basic, applied, and advanced research projects. Research OTs are used for basic, applied, and advanced research projects that are focused on validating research results and advancements, rather than for the delivery or acquisition of the resultant technologies. The goal of these awards is to foster the best technologies for future defense needs with the most capable performers. The DoD Financial Management Regulation, vol 2B, chapter 5 contains a detailed description of basic vs applied vs advanced research (https://comptroller.defense.gov/Portals/45/documents/fmr/Volume_02b.pdf). See also 2 CFR 1108 definitions of basic, applied, and advanced research (https://www.ecfr.gov/current/title-2/subtitle-B/chapter-XI/subchapter-A/part-1108).

SUCCESSFULLY COMPLETED: A transaction for a prototype project is complete upon the written determination of the appropriate approving official for the matter in question that efforts conducted under a Prototype OT (1) met the key technical goals of a project, (2) satisfied success metrics incorporated into the Prototype OT, or (3) accomplished a particularly favorable or unexpected result that justifies the transition to production. Furthermore, successful completion can occur prior to the conclusion of a prototype project to allow the Government to transition any aspect of the prototype project determined to provide utility into production while other aspects of the prototype project have yet to be completed.

III. GENERAL INFORMATION:

(See Section VIII specifically for OTs)

A. AWARDS:

1. TYPE OF AWARDS: The DEVCOM CBC contemplates the award of procurement Contracts, Cooperative Agreements, and OTs under this BAA in support of its mission of innovative chemical, biological, radiological, nuclear and explosive (CBRNE) defense capabilities. The purpose of this BAA is to identify the best available science, and as such, there are no set-asides associated with any awards resulting from this BAA due to the impracticality of reserving discrete or severable areas/elements of development in the cited areas of interest or to inapplicability.

The type of instrument used to reflect the business relationship between the recipient and the U.S. Government will be determined by the Agreements or Contracting Officer prior to award. The U.S. Army Contracting Command Aberdeen Proving Ground Edgewood Contracting Division, (ACC-APG ECD), which provides contracting support to DEVCOM CBC, will process proposals selected for funding. Offerors may identify the type of instrument that they feel best suites the proposed effort. An Offeror’s suggestion regarding suitable type of instrument does not obligate the government to employ the suggested instrument type. The Offeror shall note that, in accordance with FAR Subpart 16.301-3, in order to receive a COST type contract, their accounting system must be adequate for determining costs on a government contract. This is determined by the Defense Contract Audit Agency (DCAA) assigned to the Offeror’s business location and may take thirty (30) to forty (40) days for completion

2. ACCOUNTING FOR CONTRACT SERVICES: In accordance with (IAW) Army Federal Acquisition Regulation Supplement (AFARS) 5137.91, all procurement contracts awarded under this BAA may include the requirement to report contract manpower in sam.gov. Contracts subject to manpower reporting will include a separate line item in Section B of the contract. Enter data into sam.gov at any time during the contract’s period of performance, however, data must be accurate and complete and entered not later than 31 October after the completion of each fiscal year or part of a fiscal year for which such contract is active.

3. BASIC DEVCOM CBC AWARD PROCEDURES:

a. To protect the public interest, the Federal Government ensures the integrity of Federal programs by only conducting business with responsible recipients. The ACC-APG ECD uses www.sam.gov to exclude recipients ineligible to receive federal awards.

b. Recipient organizations should meet certain minimum standards pertaining to institutional support, financial resources, prior records of performance, integrity, organization, experience, operational controls, facilities and conformance with safety and environmental statutes and regulations in accordance with CFR Title 2, Part 200 or FAR subpart 9.1.

c. Investigators are cautioned that awards are made to organizations, not individuals. A Project Manager must submit a proposal through, and be employed by, an organization in order to receive support. Should the Project Manager of a funded project leave the recipient institution, both the Project Manager and institution must contact the Contracting Officer and DEVCOM CBC POC as soon as possible to discuss options for continued support of the project. Every effort should be made to notify ACC-APG ECD and DEVCOM CBC prior to the Project Manager leaving the institution.

d. Organizations located outside of the U.S. may submit in response to the BAA, however, it is the organizations’ responsibility to ensure compliance with AR 380-10, Foreign Disclosure and Contacts with Foreign Representatives. AR 380-10 defines a foreign national as any “person who is not a citizen or national of the U.S. or its territories.” Under various visas and/or permits, foreign nationals may legally enter and work within the U.S. or its territories. The type of work permitted to be performed, length of stay in the U.S., and other restrictions are solely dependent on the type of visa/permit a foreign national is issued.

e. The U.S. Government may, as applicable, review each individual and entity’s disclosures on the National Security Threat List (NSTL), managed by the Federal Bureau of Investigation, and data collected by the Office of Commercial and Economic Analysis (OCEA). The NSTL includes an Issues Threat List, or eight categories of activities that are deemed national security concerns regardless of the foreign power engaging in them, including: (1) terrorism, (2) espionage, (3) proliferation, (4) economic espionage, (5) targeting the national information infrastructure, (6) targeting the U.S. Government, (7) perception management, and (8) foreign intelligence activities, as well as a Country Threat List, which is a classified list of foreign powers that pose a strategic intelligence threat to the U.S. security interests.

f. Army Research Risk Assessment. Each proposal recommended for selection and whose costs have been determined to be reasonable and realistic in accordance with appropriate evaluation and selection procedures, for which funds are available, will be subject to an Army Research Risk Assessment prior to award.

i. The Army Research Risk Assessment Program. The Army Research Risk Assessment Program (ARRP) is an adaptive risk management security program applied to Army-funded research designed to help protect Army Science and Technology (S&T) by identifying possible vectors of undue foreign influence.

In order to identify and mitigate undue foreign influence as required by federal law and policy, the Army will perform a research risk assessment of each proposal selected based on the criteria above for consideration of a fundamental research grant or cooperative agreement award. ARRP risk assessments for these subject proposals will be developed for all proposed Covered Individuals, (also referred to as “Senior/Key personnel”). These risk assessments will be based on information disclosed in the, proposal to include any of its accompanying or referenced documents, publicly available information, and information contained in internal Army databases. Nationality or citizenship is not a factor in the risk assessment.

ARRP has a risk matrix which identifies risk factors and resulting risk ratings. The matrix generally looks at four factors, or risk areas: participation in foreign talent programs; denied entity list affiliation or association (see https://www.bis.doc.gov/index.php/the-denied-persons-list and https://www.bis.doc.gov/index.php/policy-guidance/lists-of-parties-of-concern/entity-list); funding sources to include conflict of interest or conflict of commitment, or funding from a strategic competitor; and foreign influence showing a pattern or history of affiliation, association, or collaboration with a foreign institution, person or entity from a U.S. strategic competitor. The matrix can be found below: Comment by Gatch, Kristen M CIV USARMY DEVCOM CBC (USA): Do we change language or incorporate form into requirements? I think we just remover reference of this form since we don’t use it. The big question is, does the current info required in IV in the proposals provide enough to perform the Risk Assessment? Comment by Gatch, Kristen M CIV USARMY DEVCOM CBC (USA): True statement?

Rating Identified Specific Actions of the Senior/Key Personnel

Foreign Talent Program

Institutions

subsequent similar issuances

technology

person list or EO competitor or

13959 or country with subsequent history of targeting similar issuances

U.S. research or technology

· Affiliation is academic, professional, or institutional appointments or positions with a foreign government-connected entity, whether full-time, part-time, or voluntary (including adjunct, visiting, honorary, or lectures/visits) where direct monetary or non-monetary reward is involved.

· Association is academic, professional, or institutional appointments or positions with a foreign government-connected entity, whether full-time, part-time, or voluntary (including adjunct, visiting, honorary, or lectures/visits) where no direct monetary or non-monetary reward is involved.

· Collaboration is academic, professional, or institutional agreement to jointly work together with a foreign government connected entity, whether full-time, part-time, or voluntarily, in an official or unofficial capacity. Co-authorship in research endeavors is an example of collaboration.

· Strategic competitors are those adversaries identified in the current Annual Threat Assessment report from Director of National Intelligence. The 2023 assessment was published on February 6, 2023 and can be found at https://www.dni.gov.

· Conflict of Interest and Conflict of Commitment are defined in NSPM-33 and in the CONOP as well as the AFC ARRP Policy memorandum.

· Covered Individual are the principal investigators (PIs) and other senior/key personnel seeking or receiving Federal R&D funding. Individuals participating in the process of allocating Federal funding: program officers, peer/merit reviewers, and members of advisory panels and committees; Researchers at Federal agency laboratories and facilities (i.e., intramural researchers, whether or not Federally employed), including government owned, contractor-operated laboratories and facilities; Any other individual who: contributes in a substantive, meaningful way to the scientific development or execution of a research and development project proposed to be carried out with a research and development award from a Federal research agency; is designated as a covered individual by the Federal research agency concerned.

ARRP risk ratings range from LOW to HIGH depending on the amount, type, and timing of foreign associations or affiliations that could constitute a foreign-influenced “Conflict of Interest” or “Conflict of Commitment,” as defined by National Security Presidential Memorandum 33 (NSPM-33).

Once the research risk assessments are performed, the Army risk acceptance authority has several courses of action available for consideration. These courses of action are as follows:

Course of Action 1 - The Army risk acceptance authority may accept the risk rating that results from the risk assessment process and proceed with the award. This typically happens with proposals with risk ratings of “LOW” but could also happen with the other risk ratings. In Course of Action 1, the applicant will not be required to do anything related to the risk assessment process or the assigned risk rating.

Course of Action 2 - The Army risk acceptance authority may accept the risk rating with some research protection requirements added to the award. This typically happens with proposals with risk ratings of “MODERATE” but could also happen with the other risk ratings. Also, typically, these added research protection requirements could include, but be limited to the following:

· The University's Security Office shall provide the Principal Investigator and covered individual related to this award training on foreign talent recruitment programs and threat awareness and reporting requirements.

· The University shall disclose to the CBC Security Office and Grants/Contracting/ Officer all international travel, i.e., all international travel completed as part of any university business, by the Principal Investigator and covered individual related to this award instrument prior to travel.

· The University shall report to the CBC Security Office and Grants/Contracting all inquiries by foreign operatives or suspected foreign operatives into research associated with the award.

· The University is encouraged to utilize students without potential conflicts of interest or conflicts of commitment as identified in U.S. National Security Presidential Memorandum (NSPM-33).

Under Course of Action 2, the applicant will be asked to sign the contract, OT or cooperative agreement prior to award, confirming agreement to these added requirements. Should the applicant not agree to these added research protection requirements, the Army risk assessment authority may decide not to award.

Course of Action 3 - The Army risk acceptance authority is not willing to accept the risk assigned because of the assessment process. In this case, the applicant will be provided an opportunity to provide a risk mitigation plan. This typically happens with proposals with risk ratings of “HIGH” but could also happen with the other risk ratings. In Course of Action 3, the applicant will be informed of the risk rating assigned during the risk assessment process as well as the block(s) on the matrix where the review resulted in some type of finding that contributed to the assigned risk rating. Should the applicant choose to not submit a risk mitigation plan, the Army risk assessment authority may decide not to award. Should the applicant choose to submit a risk mitigation plan, the Army will review such plan. As a result of this review, the Army risk acceptance authority may then be willing to accept the risk assigned with the mitigation plan and proceed with the award or the Army risk acceptance authority may not be willing to accept the risk and may decide not to award. Further, should the risk mitigation plan include proposal revisions that affect those aspects of the proposal included in the review or selection process under SECTION II.E.2.c, the original proposal evaluation will be reviewed and revised as appropriate based on the proposal revisions.

ii. Actions Required by Applicants.

(1) By submission of this application, the Applicant agrees to comply with the following requirements:

· To certify that each covered individual who is listed on the application has been made aware: (1) of all relevant disclosure requirements, including the requirements of 42 U.S.C. § 6605; and (2) that false representations may be subject to prosecution and liability pursuant to, but not limited to, 18 U.S.C. §§287, 1001, 1031 and 31 U.S.C. §§ 3729-3733 and 3802. See National Science and Technology Council Guidance for Implementing National Security Presidential Memorandum 33 (NSPM-33) on National Security Strategy for United States Government-Supported Research and Development (January 2022), at p. 7 (available at https://www.whitehouse.gov/wp-content/uploads/2022/01/010422-NSPM-33-Implementation-Guidance.pdf).

· To establish and maintain an internal process or procedure to address foreign talent programs, conflicts of commitment, conflicts of interest, and research integrity.

· To exercise due diligence to identify Foreign Components or participation by Covered individual in Foreign Government Talent Recruitment Programs and agree to share such information with the Government upon request.

(2) With the application, the Applicant must provide a completed “Privacy Act Statement” consent form for each Covered Individual that is also signed by the Applicant as that Individual’s Sponsor. The “Privacy Act Statement” form is included at SECTION IX of this BAA.

Comment by Gatch, Kristen M CIV USARMY DEVCOM CBC (USA): Need to add to Appendix

(3) During the award period of performance:

· If, at any time, during performance of this award, the Recipient learns that its Covered Individual (including any sub-awardee personnel who receive this designation) are or are believed to be participants in a Foreign Government Talent Program or have Foreign Components with a strategic competitor or country with a history of targeting U.S. technology for unauthorized transfer, the recipient will notify the Government or Grants Officer within 5 business days of awareness.

· This disclosure must include specific information as to the personnel involved and the nature of the situation and relationship. The Government will review this information and conduct any necessary fact-finding or discussion with the Recipient. The Government’s determination on disclosure may include acceptance, mitigation, or termination of the award.

· Failure of the Recipient to reasonably exercise due diligence to discover or ensure that neither it nor any of its Covered Individuals involved in the subject award are participating in a Foreign Government Talent Program or have a Foreign Component with a strategic competitor or country with a history of targeting U.S. technology for unauthorized transfer may result in the Government exercising remedies in accordance with federal law and regulation.

· The provisions concerning this disclosure will be included in each award.

· The Recipient will be required to flow down this provision to all sub awardees who have personnel designated as Covered Individuals as a result of their involvement in the performance of the research.

iii. Actions Required by Covered Individuals.

Federal law requires that all current and pending research support, as defined by 42 U.S.C. §6605, must be disclosed at the time of proposal submission, for all covered individuals. The Government may require an updated disclosure during the performance of any research project selected for funding. The Government will require an updated disclosure whenever covered individuals are added or identified as performing under the funded project. See definition of “Covered Individuals” below.

Covered Individuals are also required to sign the “Privacy Act Statement” and provide such signed statement to the applicant for submission with the proposal.

Any decision to accept a proposal for funding under this announcement will include full reliance on the individual’s statements. Failure to report fully and completely all sources of project support and outside positions and affiliations may be considered a material statement within the meaning of the False Claims Act, 31 U.S.C. 3729, and constitute a violation of Federal law.

iv. Privacy Act Compliance. All information collected and developed for the purpose of conducting ARRP risk assessments will be maintained in accordance with the following authorities:

· Office of Personnel Management (OPM) System of Records Notice (SORN) GOVT-1. This SORN governs information collected from federal grantees for the purpose of conducting a national security investigation or carrying out other lawful statutory, administrative, or investigative purposes of the agency, to the extent the information is relevant and necessary to the requesting agency’s decision.

· Department of the Army (DA) SORN A0381-20b-DAMI (Feb. 10, 2009, 74 F.R. 6596). This SORN applies to information contained in systems used by the Department of the Army to develop ARRP risk assessments.

· 32 C.F.R. Appendix A to Part 310, Paragraph N: DoD Blanket Routine Uses. Pursuant to this provision, a record from a system of records maintained by a Component may be disclosed as a routine use outside the DoD or the U.S. Government for the purpose of counterintelligence activities authorized by U.S. law or Executive order or for the purpose of enforcing laws that protect the national security of the United States.

v. Definitions

· Covered Individual. An individual who contributes in a substantive, meaningful way to the scientific development or execution of a research and development project proposed to be carried out with a research and development award from a Federal research agency; and is designated as a covered individual by the Federal research agency concerned. See 42 U.S.C. § 6605, Definitions. (For purposes of this BAA, “covered individuals” are all Covered individual.)

· Foreign Associations and Affiliations. Association is defined as collaboration, coordination or interrelation, professionally or personally, with a foreign government-connected entity where no direct monetary or non-monetary reward is involved. Affiliation is defined as collaboration, coordination, or interrelation, professionally or personally, with a foreign government-connected entity where direct monetary or non-monetary reward is involved.

· Foreign Government Talent Recruitment Programs. In general, these programs include any foreign-state-sponsored attempt to acquire U.S. scientific-funded research or technology through foreign government-run or funded recruitment programs that target scientists, engineers, academics, researchers, and entrepreneurs of all nationalities working and educated in the U.S. Distinguishing features of a Foreign Government Talent Recruitment Program may include:

· Compensation, either monetary or in-kind, provided by the foreign state to the targeted individual in exchange for the individual transferring their knowledge and expertise to the foreign country. In-kind compensation may include honorific titles, career advancement opportunities, promised future compensation or other types of remuneration or compensation.

· Recruitment, in this context, refers to the foreign-state-sponsor’s active engagement in attracting the targeted individual to join the foreign-sponsored program and transfer their knowledge and expertise to the foreign state. The targeted individual may be employed and located in the U.S. or in the foreign state.

· Contracts for participation in some programs that create conflicts of commitment and/or conflicts of interest for researchers. These contracts include, but are not limited to, requirements to attribute awards, patents, and projects to the foreign institution, even if conducted under U.S. funding, to recruit or train other talent recruitment plan members, circumventing merit-based processes, and to replicate or transfer U.S.-funded work in another country.

· Many, but not all, of these programs aim to incentivize the targeted individual to physically relocate to the foreign state. Of particular concern are those programs that allow for continued employment at U.S. research facilities or receipt of U.S. Government research funding while concurrently receiving compensation from the foreign state.

· Foreign Government Talent Recruitment Programs do not include research agreements between the University and a foreign entity, unless that agreement includes provisions that create situations of concern addressed elsewhere in this section; agreements for the provision of goods or services by commercial vendors; or invitations to attend or present at conferences.

· Conflict of Interest. A situation in which an individual, or the individual’s spouse or dependent children, has a financial interest or financial relationship that could directly and significantly affect the design, conduct, reporting, or funding of research.

· Conflict of Commitment. A situation in which an individual accepts or incurs conflicting obligations between or among multiple employers or other entities. Common conflicts of commitment involve conflicting commitments of time and effort, including obligations to dedicate time in excess of institutional or funding agency policies or commitments. Other types of conflicting obligations, including obligations to improperly share information with, or withhold information from, an employer or funding agency, can also threaten research security and integrity and are an element of a broader concept of conflicts of commitment.

· Foreign Component. Performance of any significant scientific element or segment of a program or project outside of the U.S., either by the University or by a researcher employed by a foreign organization, whether or not U.S. government funds are expended. Activities that would meet this definition include, but are not limited to: involvement of human subjects or animals; extensive foreign travel by University research program or project staff for the purpose of data collection, surveying, sampling, and similar activities; collaborations with investigators at a foreign site anticipated to result in co-authorship; use of facilities or instrumentation at a foreign site; receipt of financial support or resources from a foreign entity; or any activity of the University that may have an impact on U.S. foreign policy through involvement in the affairs or environment of a foreign country.

· Strategic Competitor. A nation, or nation-state, that engages in diplomatic, economic or technological rivalry with the United States where the fundamental strategic interests of the U.S are under threat.

g. Arrangements, agreements, contracts, and OT actions requiring accesses to Controlled Unclassified Information (CUI) according to terms and conditions of such documents will comply with DoDI 5200.48, CUI.

h. As applicable, contracts and agreements are further restricted by a DD Form 254 Contract Security Classification Specification or the requirements document, to include a Performance Work Statement or Statement of Work, which will become part of the the contractual agreement.

i. Funding may be provided incrementally during the life of the award. Under cost-reimbursement type awards, payments are made in response to vouchers or invoices submitted by the awardee.

j. As to procurement contracts, the primary basis for the selection of proposals is based upon evaluation of technical merit, programmatic relevance, and the availability of funds.

C. DISCLOSURE OF INFORMATION OUTSIDE THE U.S. GOVERNMENT: Proposals may be disclosed outside of the U.S. Government subject matter experts for the sole purpose of technical and programmatic evaluation. The DEVCOM CBC obtains a written agreement from the evaluators that information in the proposal will only be used for evaluation purposes and will not be further disclosed. Proposals for funded projects will be subject to public release under the Freedom of Information Act to the extent that they are incorporated into an award document; proposals that are not selected for funding will not be subject to public release.

D. U.S. GOVERNMENT OBLIGATION: Only a warranted Contracting or Agreements Officer may obligate the U.S. Government to the expenditure of funds for awards under this BAA. The U.S. Government does not fund preparation of proposals or support work efforts or tasks that are inferred from discussions with technical project officers.

E. INFORMATION SERVICE: Submitters should use the technical reference facilities of the Defense Technical Information Center (DTIC) to acquire information of U.S. Government funded projects to avoid duplication of scientific and engineering effort. DTIC is responsible for collecting all scientific or technological observations, findings, recommendations, and results derived from DoD endeavors. Requests for eligibility and registration information should be addressed to DTIC Registration at https://discover.dtic.mil/dtic-registration-benefits/dtic-registration/, F. PREPROPOSALS:

1. Organizations are strongly encouraged to explore DEVCOM CBC’s interest by submitting a preliminary proposal (Preproposal). Preproposals may be submitted at any time describing a specific idea or project that pertains to any of the topics of interest outlined in the BAA. Preproposals should be no longer than three pages, and include: (1) a description of the relevant technology including supporting data, (2) the scope of the proposed effort including a high-level Work Breakdown Structure (WBS), and (3) a description of the proposer’s research, development, manufacturing, past performance, or other special qualifications. The Preproposal should include an anticipated cost for the efforts described in the Preproposal. Preproposals may be submitted to the following email address usarmy.apg.acc.mbx.devcom-cbc-baa@army.mil.

2. Brochures or other descriptions of general organizational or individual capabilities will not be accepted as a preproposal. All preproposals will be assigned and an email will acknowledge receipt of a preproposal. Usually, the Project Manager of the submitting organization should receive a decision letter or email regarding the preproposal within 60-90 days of submission.

3. In accordance with the United States Government Policy for Oversight of Life Sciences Dual Use Research of Concern (DURC) of 29 March 2012 and 24 September 2014, research being proposed which falls under the definition of DURC: “life sciences research that, based on current understanding, can be reasonably anticipated to provide knowledge, information, products, or technologies that could be directly misapplied to pose a significant threat with broad potential consequences to public health and safety, agricultural crops and other plants, animals, the environment, materiel, or national security,” must be identified in the Offeror’s preproposal. If a full proposal is then requested by the Government, risk mitigation of this concern shall be included as part of the Risk Management Plan of the Technical proposal section (see section V.B.3.e) of this document.

a. Research Involving Animals. Awards funded by the DEVCOM CBC require a second-tier review for the use of animals prior to implementation. Therefore, the Project Manager must address all pertinent issues relating to the use of animals in the proposed work effort. Include the required assurances, approvals, forms and description in the proposal addenda entitled “Research Involving Animals,” as specified on the Animal Care and Use Review Office (ACURO) website https://mrdc.health.mil/index.cfm/collaborate/research_protections/acuro. Full proposals may be submitted without protocols for animal use; however, protocols and required institution approvals must be submitted not later than 60 days after award to ensure continuation of payments. The contracting office may grant exceptions in situations where animal use is not expected to occur until after the first year of the project.

b. Research involving Human Subjects. When DoD funds activities that involve human subjects including human biospecimens, prior to initiation of the DOD-supported portion of the human subject’s research conducted by the non-DOD institution, a Human Research Protection Official review is required to ensure compliance with the requirements identified in DODI 3216.02.

c. Environmental/National Environmental Policy Act. Activities that take place on Federal Installations are subject to NEPA. This includes outdoor demonstrations or other activities occurring at Aberdeen Proving Ground. CBC Environmental Office review is required, prior to scheduling, to ensure compliance with all requirements.

G. FULL PROPOSALS:

1. If the preproposal for a procurement contract is accepted, ACC-APG ECD will send a Request For Proposal (RFP) and any additional requirements, including suggested Contract Line Item Numbers (CLINs), a Contract Data Requirements List (CDRL), clauses, terms, and conditions. Proposals shall be submitted within the number of days stated in the RFP after being requested. The U.S. Government reserves the right to reject submissions received more than the number of days stated in the (RFP) after the request for a proposal from the U.S. Government. Receipt of proposals will be acknowledged by email.

2. Proposals may be submitted without protocols for human, cadaver, and animal use. However, protocols with required institutional approvals must be submitted not later than 60 days after award to demonstrate continued progress and ensure continuation of payment. The contracting officer may make exceptions in situations where human, cadaver, and/or animal use is not expected to begin until after the first year of the award. In such cases, a time frame for submission of the appropriate protocols should be established during discussions/negotiations, prior to award.

3. There are no specified funding limitations identified for the proposals submitted under the DEVCOM CBC BAA. The budget should be commensurate with the nature and complexity of the proposed effort. Be advised that at the time of publication of this BAA there are no funds identified for award, and any award(s) are predicated on the availability of funds.

IV. APPLICATION INSTRUCTIONS:

A. GENERAL FORMATTING GUIDELINES:

1. Proposals for all types of awards under this BAA shall be submitted…