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AMENDMENT 3 for BAA AFRL-RIK-2016-0011 The purpose of this modification is to republish the original announcement, incorporating any previous amendments, pursuant to FAR 35.016(c). This republishing a... AMENDMENT 3 for BAA AFRL-RIK-2016-0011 The purpose of this modification is to republish the original announcement, incorporating any previous amendments, pursuant to FAR 35.016(c). This republishing also includes the following changes: (a) Update the NAICS code from 541712 to 541715; (b) Section III.2.b; update language; (c) Section III; added paragraph 3; (d) Section VII; update the Contracting Officer POC No other changes have been made. NAICS CODE: 541715 FEDERAL AGENCY NAME: Department of the Air Force, Air Force Materiel Command, AFRL - Rome Research Site, AFRL/Information Directorate, 26 Electronic Parkway, Rome, NY, 13441-4514 BROAD AGENCY ANNOUNCEMENT (BAA) TITLE: Nuclear Command, Control and Communication BAA ANNOUNCEMENT TYPE: Initial announcement BAA NUMBER: BAA AFRL-RIK-2016-0011 CATALOG OF FEDERAL DOMESTIC ASSISTANCE (CFDA) Number: 12.800 I. FUNDING OPPORTUNITY DESCRIPTION: The Air Force Research Laboratory is soliciting white papers under this Broad Agency Announcement (BAA) for research, development, integration, test and evaluation of technologies/techniques to advance the state of the art of the Air Force's nuclear command, control and communication (NC3) capabilities. The U. S. Air Force is seeking to reinvigorate and expand its NC3 capabilities, updating the capabilities of legacy systems and incorporating new platforms and communication systems. Toward this goal the Information Directorate is working closely with the Air Force Nuclear Weapons Center and the Air Force Global Strike Command to define the art of the possible for future NC3 architectures and survivable and enduring communication systems. Each new NC3 capability also brings with it the potential to introduce new cyber vulnerabilities. Understanding these risks and their potential consequences can help the Air Force shape future operating concepts for the NC3 architecture. Focus areas include, but are not limited to the following technical areas: 1. Survivable and Enduring Beyond-Line-of-Sight (BLOS) Communications a. Network operation in environments with electromagnetic pulse (EMP) and/or nuclear scintillation present b. Techniques, concepts and technologies for modernizing/enhancing HF and/or lower frequencies to provide continuous, assured communications capability, supporting the nuclear enterprise throughout the pre-, trans-, and post-nuclear environment. Techniques, concepts and technologies being sought include, but are not limited to, network routing of HF systems (using non-conventional and/or conventional cyber hardened protocols), bidirectional wideband communication concepts, advanced wideband waveforms, antennas and transceivers. Concepts should consider both ground and airborne operating environments, within electromagnetic pulse (EMP) and/or nuclear scintillation environments. c. Network monitoring, managing, and/or controlling airborne communications operating in the nuclear environment d. Network radio implementations that facilitate agile control and management in contested environments, including cyber contested environments. e. Multiple, independent network systems to offer path-diverse, airborne communications in nuclear environments f. Real-time atmospheric sensing to dynamically enhance operation of satellite and non-satellite BLOS airborne communications g. Secure airborne transmission techniques that are resilient to nuclear scintillation and high-altitude EMP effects h. Network connectivity, mission mapping, situation awareness and cyber situation awareness tools to manage nuclear communications system architectures. 2. Modeling, Simulation and Emulation of NC3 Architectures and Systems a. Models of required NC3 functions required for the full range of nuclear deterrence operations: force management, planning, situation monitoring, decision making and force direction b. Modeling and simulation for survivable and enduring communications systems and components designed to support integration, test and evaluation in heterogeneous NC3 architectures c. Modeling and simulation for survivable and enduring communications systems and components designed to assess system performance in contested environments, against emerging cyber threats and in realistic nuclear-enhanced environments. d. Simulation and emulation with capabilities to support emulation of communication across multiple frequency bands Offerors may submit white papers to any part of the stated requirement or to all of the requirements. II. AWARD INFORMATION: 1. FUNDING: Total funding for this BAA is approximately $8.06M over 4 years. The anticipated funding to be obligated under this BAA is broken out by fiscal year as follows: FY 17 - $0.96M FY 18 - $1.80M FY 19 - $2.40M FY 20 - $2.90M Individual awards will not normally exceed 36 months with face values normally ranging from $100K to $800K. There is also the potential to make awards up to any dollar value. The Government reserves the right to select all, part, or none of the proposals received, subject to the availability of funds. All potential Offerors should be aware that due to unanticipated budget fluctuations, funding in any or all areas may change with little or no notice. 2. FORM. Awards of efforts as a result of this announcement will be in the form of contracts, cooperative agreements, grants or other transactions, depending upon the nature of the work proposed. 3. BAA TYPE: This is a two-step open broad agency announcement. This announcement constitutes the only solicitation. As STEP ONE - The Government is only soliciting white papers at this time. DO NOT SUBMIT A FORMAL PROPOSAL. Those white papers found to be consistent with the intent of this BAA may be invited to submit a technical and cost proposal, see Section VI of this announcement for further details regarding the proposal. III. ELIGIBILITY INFORMATION: 1. ELIGIBILITY: All qualified offerors who meet the requirements of this BAA may apply. 2. FOREIGN PARTICIPATION/ACCESS: a. This BAA is closed to foreign participation at the Prime Contractor level. Foreign Ownership, Control or Influence (FOCI) companies who have mitigated FOCI may inquire as to eligibility by contacting the contracting office focal point, Gail E. Marsh, Contracting Officer, telephone (315) 330-7518 or e-mail Gail.Marsh@us.af.mil for verification prior to submitting a white paper. Please reference BAA-AFRL-RIK-2016-0011. b. Contractor employees requiring access to USAF bases, AFRL facilities, and/or access to U.S. Government Information Technology (IT) networks in connection with the work on contracts, assistance instruments or other transactions awarded under this BAA must be U.S. citizens. For the purpose of base and network access, possession of a permanent resident card ("Green Card") does not equate to U.S. citizenship. This requirement does not apply to foreign nationals approved by the U.S. Department of Defense or U.S. State Department under international personnel exchange agreements with foreign governments. It also does not apply to dual citizens who possess US citizenship, to include Naturalized citizens. Any waivers to this requirement must be granted in writing by the Contracting Officer prior to providing access. Specific format for waiver request will be provided upon request to the Contracting Officer. The above requirements are in addition to any other contract requirements related to obtaining a Common Access Card (CAC). If an IT network/system does not require AFRL to endorse a contractor's application to said network/system in order to gain access, the organization operating the IT network/system is responsible for controlling access to its system. If an IT network/system requires a U.S. Government sponsor to endorse the application in order for access to the IT network/system, AFRL will only endorse the following types of applications, consistent with the requirements above: 1. Contractor employees who are U.S. citizens performing work under contracts, assistance instruments or other transactions awarded under this BAA. 2. Contractor employees who are non-U.S. citizens and who have been granted a waiver. Any additional access restrictions established by the IT network/system owner apply. 3. FEDERALLY FUNDED RESEARCH AND DEVELOPMENT CENTERS AND GOVERNMENT ENTITIES: Federally Funded Research and Development Centers (FFRDCs) and Government entities (e.g., Government/National laboratories, military educational institutions, etc.) are subject to applicable direct competition limitations and cannot propose to this BAA in any capacity unless they meet the following conditions: a. FFRDCs: FFRDCs must clearly demonstrate that the proposed work is not otherwise available from the private sector; and FFRDCs must provide a letter on official letterhead from their sponsoring organization citing the specific authority establishing their eligibility to propose to Government solicitations and compete with industry, and their compliance with the associated FFRDC sponsor agreement's terms and conditions. This information is required for FFRDCs proposing to be prime contractors or sub-awardees. b. Government Entities: Government entities must clearly demonstrate that the work is not otherwise available from the private sector and provide written documentation citing the specific statutory authority and contractual authority, if relevant, establishing their ability to propose to Government solicitations. While 10 U.S.C.§ 2539b may be the appropriate statutory starting point for some entities, specific supporting regulatory guidance, together with evidence of agency approval, will still be required to fully establish eligibility. FFRDC and Government entity eligibility will be determined on a case-by-case basis; however, the burden to prove eligibility for all team members rests solely with the proposer. Government agencies interested in performing work related to this announcement should contact the Technical Point of Contact (TPOC). If resulting discussions reveal a mutual interest, cooperation may be pursued via other vehicles. IV. APPLICATION AND SUBMISSION INFORMATION: All responses to this announcement must be addressed to the Technical Point of Contact (TPOC) listed in SECTION VII. DO NOT send white papers to the Contracting Officer. 1. SUBMISSION DATES AND TIMES: It is recommended that white papers be received by 3 PM Easter Standard Time (EST) on the following dates to maximize the possibility of award: FY 17 by 20 Sep 2016 FY 18 by 01 Mar 2017 FY 19 by 01 Mar 2018 FY 20 by 01 Mar 2019 White papers will be accepted until 2 PM EST on 30 September 2020, but it is less likely that funding will be available in each respective fiscal year after the dates cited. This BAA will close on 30 September 2020. All offerors submitting white papers will be contacted by the TPOC, referenced in Section VII of this announcement. Offerors can email the TPOC for status of their white paper/proposal no earlier than 45 days after submission. 2. CONTENT AND FORMAT: Offerors are required to submit 3 copies of a 3 to 5 page white paper summarizing their proposed approach/solution. The purpose of the white paper is to preclude unwarranted effort on the part of an offeror whose proposed work is not of interest to the Government. The white paper will be formatted as follows: a. Section A: Title, Period of Performance, Estimated Cost, Name/Address of Company, Technical and Contracting Points of Contact (phone, fax and email)(this section is NOT included in the page count); b. Section B: Task Objective; and c. Section C: Technical Summary and Proposed Deliverables. All white papers shall be double spaced with a font no smaller than 12 point. In addition, respondents are requested to provide their Commercial and Government Entity (CAGE) number, their Dun & Bradstreet (D&B) Data Universal Numbering System (DUNS) number, a fax number, an e-mail address, and reference BAA AFRL-RIK-2016-0011 with their submission. Multiple white papers within the purview of this announcement may be submitted by each offeror. If the offeror wishes to restrict its white papers, they must be marked with the restrictive language stated in FAR 15.609(a) and (b). 3. HANDLING AND MAILING INSTRUCTIONS: a. CLASSIFICATION GUIDANCE. All Proposers should review the NATIONAL INDUSTRIAL SECURITY PROGRAM OPERATING MANUAL, (NISPOM), dated February 28, 2006 and incorporating Change 2, dated May 18, 2016, as it provides baseline standards for the protection of classified information and prescribes the requirements concerning Contractor Developed Information under paragraph 4-105. Defense Security Service (DSS) Site for the NISPOM is: http://www.dss.mil/. In the event of a possible or actual compromise of classified information in the submission of your white paper or proposal, immediately but no later than 24 hours, bring this to the attention of your cognizant security authority and AFRL Rome Research Site Information Protection Office (IPO): Vincent Guza 315-330-4048 0730-1630 Monday-Friday 315-330-2961 Evenings and Weekends Email: vincent.guza@us.af.mil b. CLASSIFIED SUBMISSIONS. AFRL/RITF will accept classified responses to this BAA when the classification is mandated by classification guidance provided by an Original Classification Authority of the U.S. Government, or when the offeror believes the work, if successful, would merit classification. Security classification guidance in the form of a DD Form 254 (DoD Contract Security Classification Specification) will not be provided at this time since AFRL is soliciting ideas only. Offerors that intend to include classified information or data in their white paper submission or who are unsure about the appropriate classification of their white papers should contact the technical point of contact listed in Section VII for guidance and direction in advance of preparation. c. MAILING INSTRUCTIONS. Any mailed responses, unclassified/classified, to this announcement must be sent U.S. Postal Service, registered mail or similar service and addressed to AFRL/RITF, 525 Brooks Road, Rome NY 13441-4505, and reference BAA AFRL-RIK-2016-0011. When mailing follow the directions regarding the number of copies required. Unclassified electronic submission to the TPOC identified in Section VII will also be accepted. Encrypt or password-protect all proprietary information prior to sending. Offerors are responsible to confirm receipt with the TPOC listed in Section VII. AFRL is not responsible for undelivered documents. If electronic submission is used, only one copy of the documentation is required. Questions can be directed to the TPOC listed in Section VII. 4. OTHER SUBMISSION REQUIREMENTS/CONSIDERATIONS: a. COST SHARING OR MATCHING: Cost sharing is not a requirement. b. SYSTEM FOR AWARD MANAGEMENT (SAM). Offerors must be registered in the SAM database to receive a contract award, and remain registered during performance and through final payment of any contract or agreement. Processing time for registration in SAM, which normally takes forty-eight hours, should be taken into consideration when registering. Offerors who are not already registered should consider applying for registration before submitting a proposal. The provision at FAR 52.204-7, System for Award Management (Oct 2016) applies. c. EXECUTIVE COMPENSATION AND FIRST-TIER SUBCONTRACT/ SUBRECIPIENT AWARDS: Any contract award resulting from this announcement may contain the clause at FAR 52.204-10 - Reporting Executive Compensation and First-Tier Subcontract Awards (Oct 2016). Any grant or agreement award resulting from this announcement may contain the award term set forth in 2 CFR, Appendix A to Part 25 which can be viewed at: http://www.ecfr.gov/cgi-bin/text-idx?SID=8fb6c83606df57968c3e7e145e7d683c&mc=true&node=ap2.1.25_1360.a&rgn=div9 d. ALLOWABLE CHARGES: The cost of preparing white papers/proposals in response to this announcement is not considered an allowable direct charge to any resulting contract or any other contract, but may be an allowable expense to the normal bid and proposal indirect cost specified in FAR 31.205-18. Incurring pre-award costs for ASSISTANCE INSTRUMENTS ONLY are regulated by the DoD Grant and Agreements Regulations (DODGARS). e. GOVERNMENT APPROVED ACCOUNTING SYSTEM: An offeror must have a government approved accounting system prior to award of a cost-reimbursement contract per limitations set forth in FAR 16.301-3(a) to ensure the system is adequate for determining costs applicable to the contract. The acceptability of an accounting system is determined based upon an audit performed by the Defense Contract Audit Agency (DCAA). IMPORTANT: If you do not have a DCAA approved accounting system access the following link for instructions: https://www.fbo.gov/index?s=opportunity&mode=form&id=1cffad228f48b58057072a6c9113799d&tab=core&_ cview=1 V. APPLICATION REVIEW INFORMATION: 1. CRITERIA: The following criteria, which are listed in descending order of importance and will be used to determine whether white papers and proposals submitted are consistent with the intent of this BAA and of interest to the Government: a. Overall Scientific and Technical Merit -- The soundness of approach for the development and/or enhancement of the proposed technology, b. Related Experience - The extent to which the offeror demonstrates relevant technology and domain knowledge, c. Openness, Maturity and Assurance of Solution - The extent to which existing capabilities and standards are leveraged and the relative maturity of the proposed technology, and d. Reasonableness and realism of proposed costs and fees (if any). No further evaluation criteria will be used in selecting white papers/proposals. White papers and proposals submitted will be evaluated as they are received. 2. REVIEW AND SELECTION PROCESS: Only Government employees will evaluate the white papers/proposals for selection. The Air Force Research Laboratory's Information Directorate has contracted for various business and staff support services, some of which require contractors to obtain administrative access to proprietary information submitted by other contractors. Administrative access is defined as "handling or having physical control over information for the sole purpose of accomplishing the administrative functions specified in the administrative support contract, which do not require the review, reading, and comprehension of the content of the information on the part of non-technical professionals assigned to accomplish the specified administrative tasks." These contractors have signed general non-disclosure agreements and organizational conflict of interest statements. The required administrative access will be granted to non-technical professionals. Examples of the administrative tasks performed include: a. Assembling and organizing information for R&D case files; b. Accessing library files for use by government personnel; and c. Handling and administration of proposals, contracts, contract funding and queries. Any objection to administrative access must be in writing to the Contracting Officer and shall include a detailed statement of the basis for the objection. 3. ADEQUATE PRICE COMPETITION: The Government may simultaneously evaluate proposals received under this BAA with a common cutoff date for multiple offerors. In this case, the Government may make award based on adequate price competition, and offerors must be aware that there is a possibility of non-selection due to a proposal of similar but higher-priced technical approach as compared to another offeror. 4. FEDERAL AWARDEE PERFORMANCE AND INTEGRITY INFORMATION SYSTEM (FAPIIS) PUBLIC ACCESS: The Government is required to review and consider any information about the applicant that is in the FAPIIS before making any award in excess of the simplified acquisition threshold (currently $150,000) over the period of performance. An applicant may review and comment on any information about itself that a federal awarding agency previously entered. The Government will consider any comments by the applicant, in addition to other information in FAPIIS in making a judgment about the applicant's integrity, business ethics, and record of performance under federal awards when completing the review of risk posed by applicants as described in 2 CFR § 200.205 Federal Awarding Agency Review of Risk Posed by Applicants and per FAR 9.104-6 FAPIIS. VI. STEP TWO INFORMATION - REQUEST FOR PROPOSAL & AWARD: 1. AWARD NOTICES: Those white papers found to be consistent with the intent of this BAA may be invited to submit a technical and cost proposal. Notification by email or letter will be sent by the TPOC. Such invitation does not assure that the submitting organization will be awarded a contract. Those white papers not selected to submit a proposal will be notified in the same manner. Prospective offerors are advised that only Contracting Officers are legally authorized to commit the Government. For additional information, a copy of the AFRL "Broad Agency Announcement (BAA): Guide for Industry," Mar 2015, and Proposal Preparation Instructions, Dec 2014, may be accessed at: https://www.fbo.gov/index?s=opportunity&mode=form&id=1cffad228f48b58057072a6c9113799d&tab=core&_ cview=1. Always reference the newest versions of these documents. 2. ADMINISTRATIVE AND NATIONAL POLICY REQUIREMENTS: Depending on the work to be performed, the offeror as a minimum may require a Secret facility and in some cases, a Top Secret clearance and safeguarding capability; therefore, personnel identified for assignment to a classified effort must be cleared for access to Secret information at the time of award and if necessary, be able to obtain a Top Secret clearance. In addition, the offeror may be required to have, or have access to, a certified and Government-approved facility to support work under this BAA. This acquisition may involve data that is subject to export control laws and regulations. Only contractors who are registered and certified with the Defense Logistics Information Service (DLIS) at http://www.dlis.dla.mil/jcp/ and have a legitimate business purpose may participate in this solicitation. For questions, contact DLIS on-line at http://www.dlis.dla.mil/jcp or at the DLA Logistics Information Service, 74 Washington Avenue North, Battle Creek, Michigan 49037-3084, and telephone number 1-800-352-3572. You must submit a copy of your approved DD Form 2345, Militarily Critical Technical Data Agreement, with your white paper/proposal. 3. DATA RIGHTS: a. SBIR RIGHTS. The potential for inclusion of Small Business Innovation Research (SBIR) or data rights other than unlimited on awards is recognized. In accordance with (IAW) the Small Business Administration (SBA) SBIR Policy Directive, Section 8(b), SBIR data rights clauses are non-negotiable and must not be the subject of negotiations pertaining to an award, or diminished or removed during award administration. Issuance of an award will not be made conditional based on forfeit of data rights. If the SBIR awardee wishes to transfer its SBIR data rights to the Air Force or to a third party, it must do so in writing under a separate agreement. A decision by the awardee to relinquish, transfer, or modify in any way its SBIR data rights must be made without pressure or coercion by the agency or any other party. b. NON-SBIR RIGHTS. Non-SBIR data rights less than unlimited will be evaluated and negotiated on a case-by-case basis. Government Purpose Rights are anticipated for data developed with DoD-reimbursed Independent Research and Development (IR&D) funding. 4. REPORTING: a. Contract Applicable: Once a proposal has been selected for award, offerors will be given complete instructions on the submission process for the reports. b. FAPISS Applicable: As required by 2 CFR 200 Appendix XII of the Uniform Guidance and FAR 9.104-6, non-federal entities (NFEs) are required to disclose in FAPIIS any information about criminal, civil, and administrative proceedings, and/or affirm that there is no new information to provide. This applies to NFEs that receive federal awards (currently active grants, cooperative agreements, and procurement contracts) greater than $10,000,000 for any period of time during the period of performance of an award/project. 5. NOTICE: The following provisions* apply: (a) FAR 52.209-07, Information Regarding Responsibility Matters (b) FAR 52.209-11, Representation by Corporations Regarding Delinquent Tax Liability or a Felony Conviction under any Federal Law (c) DFARS 252.203-7996, Prohibition on Contracting with Entities that Requirement Certain Internal Confidentiality Agreements-Representation (d) DFARS 252.204-7008, Compliance with Safeguarding Covered Defense Information Controls (e) DFARS 252.239-7017, Notice of Supply Chain Risk * Please note that the current versions or deviations of the related clauses will be included in any resulting contract. 6. GRANT AWARDS ONLY: For efforts proposed as grant awards, offerors must provide an abstract in their proposal (not to exceed one page) that is publically releasable and that describes - in terms the public may understand - the project or program supported by the grant. If the proposal is selected for award, the DoD will publically post the abstract to comply with Section 8123 of the Department of Defense Appropriations Act, 2015 (Pub. L. 113-235). VII. AGENCY CONTACTS: All white paper and proposal submissions and any questions of a technical nature shall be directed to the cognizant TPOC as specified below (unless otherwise specified in the technical area): Paul F. Gilgallon AFRL/RITF, 525 Brooks Road, Rome, NY 13441-4505 Telephone: (315) 330-4409 Email: paul.gilgallon@us.af.mil Questions of a contractual/business nature shall be directed to the cognizant contracting officer, as specified below (email requests are preferred): Amber Buckley Telephone (315) 330-3605 Email: Amber.Buckley@us.af.mil Emails must reference the solicitation (BAA) number and title of the acquisition. In accordance with AFFARS 5301.91, an Ombudsman has been appointed to hear and facilitate the resolution of concerns from offerors, potential offerors, and others for this acquisition announcement. Before consulting with an ombudsman, interested parties must first address their concerns, issues, disagreements, and/or recommendations to the contracting officer for resolution. AFFARS Clause 5352.201-9101 Ombudsman (Jun 2016) will be incorporated into all contracts awarded under this BAA. The AFRL Ombudsman is as follows: Ms. Kimberly Yoder AFRL/PK 1864 4th Street Building 15, Room 225 Wright-Patterson AFB OH 45433-7130 FAX: (937) 656-7321; Comm: (937) 255-4967 Email: kimberly.yoder@us.af.mil All responsible organizations may submit a white paper which shall be considered. AMENDMENT 4 for BAA AFRL-RIK-2016-0011 The purpose of this amendment is to raise the ceiling and republish the original announcement, incorporating any previous amendments, pursuant to FAR 35.016(c). This republishing also includes the following changes: Section I, added IMPORTANT NOTES REGARDING language; Section II.1, increase the BAA ceiling; Section II.1 updates the award range; Section III.2, updated the foreign participation/access language; Section IV.2, updated reference of DUNS to show unique entity identifier; Section IV.4.a, updated the Cost Sharing or Matching language; Section IV.4.e, updated the FBO link to reference BetaSAM; Section IV.4, added paragraph f; Section V, deleted paragraph 3 “Adequate Price Competition” and renumbered the remaining paragraphs with additional information regarding the white paper/proposal review process; Section V, renumbered the FAPIIS paragraph to “3” and updated the SAT threshold; Section VI is deleted in its entirety and replaced as shown below; Section VII, the OMBUDSMAN is updated. No other changes have been made. PLEASE SEE ATTACHMENT FOR FULL AMENDMENT DETAILS