FY25 Naval Air Warfare Center Aircraft Division Office-Wide Broad Agency Announcement

FY25 NAWCAD Office-Wide N00421-25-S-0001

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NAVAL AIR WARFARE CENTER AIRCRAFT DIVISION
OFFICE‐WIDE BROAD AGENCY ANNOUNCEMENT
(BAA)
N00421‐25‐S‐0001
June 23, 2025

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TABLE OF CONTENTS
I. OVERVIEW INFORMATION
A. Required Overview Content
1. Federal Awarding Agency Name
2. Funding Opportunity Title
3. Announcement Type
4. Funding Opportunity Number
5. Assistance Listings
6. Key Dates
7. North American Industry Classification System (NAICS)
Code
II. FULL TEXT OF ANNOUNCEMENT
A. Program Description
B. Federal Award Information
1. Awards
2. Contracted Fundamental Research
3. Disclosure of Information and Compliance with
Safeguarding Covered Defense Information Controls
4. Controlled Unclassified Information (CUI) on Non-DoD
Information Systems
5. Funded Amount and Period of Performance
6. Instrument Type
7. Assistance Instruments
C. Eligibility Information
1. Eligible Proposers
2. Cost Sharing or Matching
D. Application and Submission Information
1. Address to Request (Access) Application Package
2. Content and Form of Application Submission
3. Unique Entity Identifier (UEI) and System for Award
Management (SAM)
E. Application Review Information
1. Evaluation Criteria
2. Review and Selection Process
3. Recipient Qualification

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F. Federal Award Administration Information
1. Administrative and National Policy Requirements
2. Reporting
G. Federal Awarding Agency Contacts
1. Communications
III. APPENDICES
1. Requirements Applicable to Grants and Cooperative
Agreements
2. Requirements Applicable to Contracts
3. Requirements Applicable to Other Transaction Agreements

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I. OVERVIEW INFORMATION
This publication constitutes a Broad Agency Announcement (BAA) for awards by the Naval Air
Warfare Center Aircraft Division (NAWCAD) Enterprise Procurement Support Division,
(A2161000) as contemplated in Federal Acquisition Regulation (FAR) 6.102(d)(2) and 35.016,
DFARS 235.016, 2 CFR § 200.203, and Department of Defense (DoD) Other Transaction (OT)
Guide, July 2023. Negotiations and/or awards for contracts will use procedures under FAR 15.4;
negotiations and/or awards for grants and cooperative agreements will use procedures at 2 CFR §
200.203; and negotiations and/or awards for OTs will use procedures at 10 United States Code
(U.S.C) § 4021 and 4022. Compliant and relevant proposals received as a result of this BAA shall
be evaluated in accordance with the evaluation criteria specified herein through a scientific review
process. A formal Request for Proposals (RFP), solicitation, and/or additional information
regarding this announcement will not be issued.
NAWCAD will not issue paper copies of this announcement. NAWCAD reserves the right to fund
all, some, or none of the proposals received under this BAA. NAWCAD provides no funding for
direct reimbursement of white paper/proposal development costs. Technical and cost proposals (or
any other material) submitted in response to this BAA will not be returned. It is the policy of
NAWCAD to treat all proposals submitted under this BAA as sensitive competitive information
and to disclose their contents only for the purposes of evaluation.
This BAA is restricted to the acquisition of basic research, applied research, advanced technology
development, and advanced component development and prototypes intended for scientific study
and experimentation directed towards advancing the state-of-the-art or increasing knowledge or
understanding, as regulated by FAR 35.016 and DFARS 235.016. Additionally, this BAA will
accommodate an OT for prototype project, provided it is 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, in
accordance with 10 U.S.C § 4022(a)(2). This BAA is not for the acquisition of technical,
engineering, and other types of support services.
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A. Required Overview Content
1. Federal Awarding Agency Name
Naval Air Warfare Center Aircraft Division (NAWCAD)
21983 Bundy Road, Building 441
Patuxent River, MD 20670
2. Funding Opportunity Title
Projects in Support of Naval Aviation
3. Announcement Type
Initial Announcement
4. Funding Opportunity Number
N00421-25-S-0001
5. Assistance Listing:
12.300
Title: Department of Defense (DoD), Department of the Navy (DON),
Office of Chief of Naval Research, Basic and Applied Scientific
Research
6. Key Dates
This announcement will remain open through June 22, 2026, 5:00 PM
Eastern Time; White Papers may be submitted at any time during this open
period.
7. North American Industry Classification System (NAICS) code
The NAICS code under this announcement are:
 541713, Research and Development in Nanotechnology
 541714, Research and Development in Biotechnology (except
Nanobiotechnology)
 541715, Research and Development in the Physical, Engineering, and
Life Sciences (except Nanotechnology and Biotechnology)
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II. FULL TEXT OF ANNOUNCEMENT
A. Program Description
THIS ANNOUNCEMENT IS NOT FOR THE ACQUISITION OF TECHNICAL,
ENGINEERING AND OTHER TYPES OF SUPPORT SERVICES
The Naval Air Warfare Center Aircraft Division (NAWCAD) is interested in receiving
white papers for research and development projects, which offer potential for advancement
and improvement of NAWCAD operations.
All interested parties should note that this announcement is to declare NAWCAD’s broad
role in competitive funding of meritorious research across a spectrum of science and
engineering disciplines.
NAWCAD has identified the research needed to address the challenges, problems, and
future technology needs of the Warfighter. Research Opportunity Areas of Interest:
 Advanced Manufacturing (Priority). Areas of research include but are not limited
to the following: Multi-functional aircraft components to enable mission flexibility
and platform interoperability, aircraft part digital repository and large-scale complete
part printing, manufacture-on-demand of Naval aviation assets.
 Aeromechanics. Areas of research include but are not limited to the following:
aerodynamic and flight controls (manned and unmanned), aeromechanics modeling
and analysis tools, flight performance, rotorcraft aerodynamics and performance,
ship/aircraft aerodynamic interactions, and unmanned aviation and integration
including pilot augmentation and automation and UAV autonomous landing flight
mechanics.
 Artificial Intelligence (AI) / Machine Learning (ML) (Priority). Areas of
research include but are not limited to the following: AI/ML-driven signal and
analysis type sensing, complex reasoning, multi-agent based operation and decision
making, airspace integration including sense and avoid algorithms, deep
reinforcement learning, neural networks, and demand forecasting.
 Autonomy (Priority). Areas of research include but are not limited to the following:
Autonomous air to air refueling, autonomous system development, testing,
evaluation, verification and validation tools, airworthiness and risk
quantification/acceptance, collaborative autonomy, autonomous system precision
takeoff and landing.
 Avionics, Sensors & Electronic Warfare: Areas of research include but are not
limited to the following: multi-modal sensors, passive/active sensor systems (RF,
EO/IR, and acoustic), advanced/alternative precision navigation and timing (PNT),
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advanced computational/open system architectures, advanced signal and image
processing, flight information and control systems, and advanced concepts in
electronic warfare systems.
 Cyber (Priority). Areas of research may include but are not limited to the following:
high accuracy threat detection, cyber effects modeling, reverse engineering,
behavioral analysis, intrusion, adaptive cybersecurity, simulation and interface
research, concolic testing and systems configuration management.
 Data Science & Visualization. Areas of research include but are not limited to the
following: predictive modeling algorithms, complex big-data environments, data
access, storage and retrieval, data visualization techniques, risk assessment and
uncertainty quantification, and statistical analysis.
 Digital Engineering (Priority). Areas of research include but are not limited to the
following: advancements in the use of Digital Twin technology and concepts to
support predictive maintenance, automated sustainment environment, diagnostics
and prognostics, predictive maintenance, digital communication of system
requirements using model-based systems engineering (MBSE)/Systems Modeling
Language (SysML) views, engineering models and virtual environments to test
designs across broader parameters than what live testing permits
 Human Systems. Areas of research include but are not limited to the following:
human performance assessment and modeling, cognitive performance/workload,
human-machine interface/teaming, protective equipment, controls and displays,
ergonomics, anthropomorphic measurement, virtual environments, human factor
engineering (social, behavioral, health, and cultural), cognitively enhanced operator-
state monitoring, prediction, and recommendation, and human machine fusion AI-
supported operator enhancement.
 Hypersonic Systems. Areas of research include but are not limited to the following:
external and internal high-speed aerodynamic, multi-physic modeling and
simulation, hypersonic system testing and evaluation, high temperature and specific
strength materials, structures and coatings, guidance, navigation and control and
advanced air-breathing propulsion.
 Materials and Aircraft Structures. Areas of research include but are not limited to
the following: additive manufacturing, corrosion prevention, non-destructive
inspection, structural repair and repair processes for metals and ceramics, polymers
and composites, analysis and simulation of aircraft structures, structural mechanics,
fouling, low observable, high temperature material, low temperature icing resistant
and life management of airframes.
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 Mechanical Systems. Areas of research include but are not limited to the following:
fire and ice protection for aviation systems, fuel containment, hydraulic systems,
pneumatic systems and landing gear systems analysis.
 Power and Propulsion Systems. Areas of research include but are not limited to the
following: reliability engineering, fuel systems, prognostics and diagnostics, energy
storage/efficiency, air‐breathing engines, fuels and lubricants, electrical power
generation, auxiliary power, low observable signature technologies, propulsion life
management, mechanical and drive systems, and affordable small to medium scale
propulsion systems.
 Quantum (Priority). Areas of research may include but are not limited to the
following: Precise self-reliant, onboard navigation and threat detection, secure
communication and sensing capabilities, nitrogen vacancy diamond sensing,
quantum encryption and quantum computing.
 Secure Communications & Networks (Priority). Areas of research include but are
not limited to the following: resilient data and communications networks for
Command and Control, architecture, analysis and software development, information
assurance including blockchain networks and security, platform/system health
monitoring, effective data transfer of both communications and video and integration
of security end to end in software development, all with consideration for
autonomous applications, while performing in dynamic and contested environments.
 Support Equipment. Areas of research include but are not limited to the following:
launch and recovery equipment, forward deployed sustainment and resupply, rapid
assessment and repair technologies for contested environments, electro‐magnetics,
high‐energy generation and control, environmental sensing, prognostics and health
monitoring, automatic testing of hardware and software, displays, advanced
maintenance technologies, information systems and intelligent agents, and advanced
computer and data processing applications.
 Test and Evaluation Engineering. Areas of research include but are not limited to
the following: telemetry, communications, data links and data acquisition, signature
technologies, mission system testing, system of systems testing environments, virtual
reality (VR), augmented reality (AR), extended reality (XR), target engineering,
airborne threat simulation, integrated battle‐space simulation (Live Virtual
Constructive Environments), hardware‐in‐the‐loop testing, flight instrumentation,
ground radar analysis, test article configuration, navigation, and identification,
manned-unmanned teaming, advance training systems to include instructional
techniques and strategies, and game-based training.
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 Warfare Analysis. Areas of research include but are not limited to the following:
operational suitability, signal extraction, clutter reduction, modeling and simulation,
maritime effectiveness, vulnerability and capability based assessment, and
conceptual aircraft design.
NAWCAD may also consider submissions outside these areas if the white paper involves
the development of novel-based capabilities with potential to enhance naval capabilities.
B. Federal Award Information
1. Awards
Multiple awards are anticipated. The level of funding for individual awards made under
this BAA has not been predetermined and will depend on the quality of the white papers
received and the availability of funds. Awards will be made to Proposers whose white
papers are determined to be the most advantageous to the Government, all factors
considered, including the potential contributions of the proposed work, overall funding
strategy, and availability of funding.
The Government reserves the right to:
 select for negotiation all, some, one or none of the proposals received in response
to this BAA;
 make awards without discussions with Proposers;
 conduct discussions with Proposers if it is later determined to be necessary;
 segregate portions of the resulting awards into pre-priced options
 accept proposals in their entirety or to select only portions of proposals for award;
 fund proposals in increments and/or with options for continued work at the end of
one or more phases;
 request additional documentation once the award instrument has been determined
(e.g., representations and certifications); and
 remove Proposers from award consideration should the parties fail to reach
agreement on award terms within a reasonable time or the Proposer fails to provide
requested additional information in a timely manner
Proposals selected for negotiation may result in a procurement contract, grant, cooperative
agreement, or other transaction (OT) agreement depending upon the nature of the work
proposed, the required degree of interaction between parties, whether or not the research
is classified as Fundamental Research, and other factors.
Proposers looking for innovative, commercial-like contractual arrangements are
encouraged to consider requesting OT agreements. In accordance with 10 U.S.C. §
4022(f), the Government may award a follow-on production contract or OT agreement
subsequent, without the use of competitive procedures, to a prototype OT awarded under
this BAA if: (1) competitive procedures were used for the selection of parties for
participation in the transaction; and (2) the participants in the transaction successfully
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completed the prototype project provided for in the transaction.
In all cases, the Government contracting officer shall have sole discretion to select award
instrument type, regardless of instrument type proposed, and to negotiate all instrument
terms and conditions with Proposers. NAWCAD will apply publication or other
restrictions, as necessary, if it determines that the research resulting from the proposed
effort will present a high likelihood of disclosing performance characteristics of military
systems or manufacturing technologies that are unique and critical to defense. Any award
resulting from such a determination will include a requirement for NAWCAD permission
before publishing any information or results on the program. For more information on
publication restrictions, see the section below on Contracted Fundamental Research.
2. Contracted Fundamental Research
With regard to any restrictions on the conduct or outcome of work funded under this BAA,
NAWCAD will follow the guidance on and definition of “contracted fundamental
research” as provided in the Under Secretary of Defense (Acquisition, Technology and
Logistics) Memorandum of 24 May 2010.
As defined therein the definition of “contracted fundamental research,” in a DoD
contractual context, includes research performed under grants and contracts that are (a)
funded by Research, Development, Test and Evaluation Budget Activity 1 (Basic
Research), whether performed by universities or industry or (b) funded by Budget Activity
2 (Applied Research) and performed on campus at a university. The research shall not be
considered fundamental in those rare and exceptional circumstances where the applied
research effort presents a high likelihood of disclosing performance characteristics of
military systems or manufacturing technologies that are unique and critical to defense,
and where agreement on restrictions have been recorded in the contract or grant.
Pursuant to DoD policy, research performed under grants and contracts that are a) funded
by Budget Activity 2 (Applied Research) and NOT performed on-campus at a university
b) funded by Budget Activity 3 (Advanced Technology Development) or c) funded by
Budget Activity 4 (Advanced Component Development and Prototypes) does not meet
the definition of “contracted fundamental research.” In conformance with the USD
(AT&L) guidance and National Security Decision Directive 189, NAWCAD will place
no restriction on the conduct or reporting of unclassified “contracted fundamental
research,” except as otherwise required by statute, regulation or executive order.
For certain research projects, it may be possible that although the research to be performed
by a Proposer is non-fundamental research, its proposed subcontractor’s effort may be
fundamental research. It is also possible that the research performed by a potential
Proposer is fundamental research whiles its proposed subcontractor’s effort may be non-
fundamental research. In all cases, it is the Proposer’s responsibility to explain in its
proposal, which proposed efforts are fundamental research and why the proposed efforts
should be considered fundamental research. While Proposers should clearly explain the
intended results of their research, the Government shall have sole discretion to determine
whether the proposed research is considered fundamental and to select the award
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instrument type and to negotiate all instrument terms and conditions with Proposers.
Appropriate language will be included in resultant awards for non-fundamental research
to prescribe publication requirements and other restrictions, as appropriate.
Normally, fundamental research is awarded under grants with universities and under
contracts with industry. Non-fundamental research is normally awarded under contracts
and may require restrictions during the conduct of the research and DoD pre-publication
review of such research results due to subject matter sensitivity. As of the date of
publication of this BAA, the Government cannot identify whether the work under this
BAA may be considered fundamental research and may award both fundamental and non-
fundamental research.
3. Disclosure of Information and Compliance with Safeguarding Covered Defense
Information Controls
The following provisions and clauses apply to all contracts awarded under this BAA;
however, the definition of “controlled technical information” clearly exempts work
considered fundamental research and therefore, even though included in the contract,
will not apply if the work is fundamental research.
DFARS Clause 252.204-7000, “Disclosure of Information”
DFARS Clause 252.204-7008, “Compliance with Safeguarding Covered Defense
Information Controls”
DFARS Clause 252.204-7012, “Safeguarding Covered Defense Information and Cyber
Incident Reporting (DEVIATION 2024-O0013)”
Compliance with the above requirements include the mandate for Proposers to
implement the security requirements specified by National Institute of Standards and
Technology (NIST) Special Publication (SP) 800-171 Revision 3, “Protecting Controlled
Unclassified Information in Nonfederal Information Systems and Organizations,” (see
https://nvlpubs.nist.gov/nistpubs/SpecialPublications/NIST.SP.800-171r3.pdf), that are
in effect at the time this BAA is issued.
For awards where the work is considered fundamental research, the Proposer will not
have to implement the aforementioned requirements and safeguards. However, should
the nature of the work change during performance of the award, work not considered
fundamental research will be subject to these requirements and any security
classification requirements.
Project Spectrum is a nonprofit organization effort funded by the DoD Office of Small
Business Programs to help educate Defense Industrial Base (DIB) on compliance.
Project Spectrum is vendor-neutral and available to assist Proposer’s with their
cybersecurity and compliance needs. This mission is to improve cybersecurity
readiness, resilience, and compliance for small/medium-sized business and the federal
manufacturing supply chain. Project Spectrum events and programs will enhance
awareness of cybersecurity threats within manufacturing, research and development, and
knowledge-based services sectors of the industrial base. Project Spectrum will leverage
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strategic partnerships within and outside of the DoD to accelerate the overall
cybersecurity compliance of the DIB.
Web portal, www.projectspectrum.io, will provide resources such as individualized
dashboards, a marketplace, and Pilot Program to help accelerate cybersecurity
compliance.
4. Controlled Unclassified Information (CUI) on Non-DoD information System
In addition to classified information, certain types of unclassified information also
require application of access and distribution controls and protective measures for a
variety of reasons. This information is referred to collectively as Controlled
Unclassified Information (CUI). DoD CUI is government-created or owned information
based on laws, regulation, or government-wide policy. DoD CUI Categories are located
at https://www.dodcui.mil/. For further information consult DoD Instruction (DoDI)
5200.48, “Controlled Unclassified Information” and website listed above.
All non-DoD entities under contract or agreement with NAWCAD are expected to
adhere to the following procedural safeguards, in addition to any other relevant federal
or DoD specific procedures:
 Do not process NAWCAD CUI on publicly available computers or post
NAWCAD CUI to publicly available webpages or websites that have access
limited only by domain or Internet protocol restriction.
 Ensure that all NAWCAD CUI is protected by a physical or electronic barrier
when not under direct individual control of an authorized user and limit the
transfer of NAWCAD CUI to subcontractors or teaming partners with a need to
know and commitment to this level of protection.
 Ensure that all NAWCAD CUI is only processed on information technology
systems meeting NIST SP 800-171 or DoDI 8582.01 requirements.
 Ensure that NAWCAD CUI on mobile computing devices is identified and
encrypted and all communications on mobile devices or through wireless
connections are protected and encrypted.
 All wireless telephone transmission of CUI will be avoided when there are other
options available.
 Sanitize or destroy media containing CUI before disposal or release for reuse in
accordance with NIST SP 800-88 and DoDI 5200.48.
Questions regarding CUI should contact the NAWCAD Security at
NAWCAD_INDUSEC@us.navy.mil.
5. Funded Amount and Period of Performance
The funded amount and period of performance of each proposal selected for award may
vary depending on the research area and the technical approach to be pursued by the
Proposers selected.
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For informational purposes, assistance instruments funded through the NAWCAD
Strategic Education Office (SEO Seed Grants) historically consist of funding profile
,
ranges of approximately $160,000.00 - $200,000.00, with an approximate period of
performance of 24 months.
6. Instrument Type(s) -
Awards may take the form of contracts, grants, cooperative agreements, or OT
agreements, as appropriate.
The following provides brief descriptions of potential instrument types:
a. 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.
b. Assistance Instruments.
i. Grant: A legal instrument consistent with 31 U.S.C. 6304, which is
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
Federal Government’s direct benefit or use.
• In which substantial involvement is not expected between the Federal
Government and the recipient when carrying out the activity contemplated
by the grant.
• No fee or profit is allowed.
ii. 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,
except that substantial involvement is expected between the Federal
Government:
• The principal purpose of which is to transfer a thing of value to the recipient
to carry out a public purpose of support or simulation authorized by a law
of the United States, rather than to acquire property or services for the
Federal Government’s direct benefit or use.
• In which substantial involvement is expected between the Federal
Government and the recipient when carrying out the activity contemplated
by the cooperative agreement.
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• No fee or profit is allowed.
c. Other Transaction (OT) Agreement for Research. A legal instrument,
consistent with 10 U.S.C. § 4021, which may be used for basic, applied, and
advanced research projects. To the maximum extent practicable, an OT
agreement for research shall provide for a 50/50 cost share between the
Government and the performer. The effort covered under an OT agreement for
Research 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, for additional information.
d. Other Transaction (OT) Agreement for Prototype: 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 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. The effort covered under an OT agreement for Prototype 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 “Other
Transactions Guide,” version 2.0, dated July 2023, for additional information.
7. Assistance Instruments
Any assistance instrument awarded under this announcement will be governed by the
award terms and conditions that conform to DoD’s implementation of OMB guidance in
2 CFR Part 200, “Uniform Administrative Requirements, Cost Principles, and Audit
Requirements for Federal Awards.” The DoD Terms and Conditions are located at
https://www.nre.navy.mil/work-with-us/manage-your-award/manage-grant-
award/grants-terms-conditions.
C. Eligibility Information
1. Eligible Proposers
a. All responsible sources capable of satisfying the Government’s needs, including
academia (colleges and universities); businesses (large, small, small disadvantaged,
etc.); other organizations (including non-profit); and entities (foreign and domestic)
may submit proposals under this BAA. Historically Black Colleges and Universities
(HBCUs), Small Businesses, Small Disadvantaged Businesses, and Minority
Institutions (MIs) are encouraged to submit white papers and join others in submitting
white papers. However, no portion of this BAA will be set aside for Small Business or
other socio-economic participation. All businesses, both small and large, are
encouraged to submit white papers and compete for funding consideration.
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b. Non-traditional defense contractors, as defined in 10 U.S.C. § 3014, in addition
to traditional defense contractors. For these non-traditional defense contractors,
NAWCAD can use statutory authorities to employ award mechanisms that allow
commercial companies to continue using their internal business processes and permits
flexibility in negotiating most terms and conditions in any resultant agreement. OTs
for Prototypes, for example, could be used when the main focus of the agreement is to
create a prototype that the Government may acquire, even when significant research is
necessary to create the prototype. NAWCAD has wide latitude to use this authority,
but it has a statutory requirement that the Proposer’s team needs to either have at least
one “non-traditional defense contractor” (an entity with no full cost accounting
standards (CAS) Defense contract awards with the Government of $50 million or more
in the last year) or to cost share one-third of the project’s costs, unless higher level
approval is obtained in accordance with the 10 U.S.C. § 4022(d) statute.
c. Federally Funded Research & Development Centers (FFRDCs), including
Department of Energy National Laboratories, are not eligible to receive awards under
this BAA. However, teaming arrangements between FFRDCs and eligible principal
Proposers are allowed so long as such arrangements are permitted under the sponsoring
agreement between the Government and the specific FFRDC.
d. Navy laboratories, military universities and warfare centers as well as other
Department of Defense and civilian agency laboratories are also not eligible to receive
awards under this BAA and should not directly submit either white papers or full
proposals in response to this BAA. As with FFRDCs, these types of federal organizations
may team with other eligible sources from academia and industry that are submitting
white papers under this BAA.
e. University Affiliated Research Centers (UARCs) are eligible to submit white
papers under this BAA unless precluded from doing so by their Department of Defense
UARC contract.
f. Non-U.S. organizations and/or individuals may participate to the extent that such
participants comply with any necessary nondisclosure agreements, security
regulations, export control laws, and other governing statues applicable under the
circumstances.
g. Teams are also encouraged and may submit proposals in any and all areas.
However, Proposers must be willing to cooperate and exchange software, data and
other information in an integrated program with other contractors, as well as with
system integrators, selected by NAWCAD.
2. Cost Sharing or Matching – Cost sharing is not required; however, it will be carefully
considered where there is an applicable statutory condition relating to the selected funding
instrument (e.g., OT Agreement for Research under the authority of 10 U.S.C. § 4021, OT
Agreement for Prototype under the authority of 10 U.S.C. § 4022).
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D. Application and Submission Information
1. Address to Request (Access) Application Package - This BAA may be accessed
from the sites below. Amendments, if any, to this BAA will be posted to these websites
when they occur. Interested parties are encouraged to periodically check these
websites for updates and amendments.
a. Sam.Gov (https://sam.gov/)
b. Grants.gov (www.grants.gov)
2. Content and Form of Application Submission
a. General Information
The submission process is two-phased as described below. No further Request for
Information (RFI) or other announcement of this opportunity will be made.
PHASE I – White Paper
White Papers may be submitted at any time up until June 22, 2026, 5:00 PM
Eastern time. If a Proposer does not submit a white paper before the specified due date
and time, it is not eligible for invitation to Phase II, Full Technical/Cost Proposal
submission, and, therefore, is not eligible for funding.
Proposers are instructed to submit White Papers only for actual technologies within the
areas of interest in Part II Section A, Program Description. Each white paper should
state that it is submitted in response to this BAA and cite the particular Research
Opportunity Area of Interest that the white paper is specifically addressing. If
addressing more than one Research Opportunity Area of Interest, then separate
standalone white paper submissions shall be required. White papers with general
responses to multiple areas of interest will be determined to be non-compliant and will
not be further considered.
White Paper Evaluation/Notification: Evaluations of the white papers are anticipated
to be conducted on a quarterly basis. However, any such review does not assure a
subsequent award. Any Proposer whose white paper was not identified as being of
particular value to the Navy is ineligible to submit a full proposal under this BAA.
PHASE II – Full Technical/Cost Proposal (BY INVITATION ONLY)
Only Proposers whose PHASE I - White Paper is considered of interest in meeting
existing or future program requirements will be contacted to submit a PHASE II – Full
Technical/Cost Proposal. NAWCAD will not respond to every White Paper received.
If no request for a Phase II proposal is received, do not submit a Full Technical/Cost
Proposal. Request for submission of a Full Technical/Cost Proposal does not guarantee
an award.
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All proposal submissions will be protected from unauthorized disclosure in accordance
with FAR Subpart 15.207, applicable law, and DoD/DoN regulations. Proposers are
responsible for clearly identifying proprietary information. Submissions containing
proprietary information must have the cover page and each page containing such
information clearly marked with a label such as “Proprietary.” NOTE: “Confidential” is
a classification marking used to control the dissemination of U.S. Government National
Security Information as dictated in Executive Order 13526 and should not be used to
identify proprietary business information.
b. Submission of Unclassified and Classified White Papers
 Unclassified White Paper Instructions: Unclassified white papers shall
be submitted in accordance with this Section.
 Submission of CLASSIFIED White Papers are NOT authorized under
this BAA.
c. White Paper Requirements.
i. White Paper Format
 Written in English
 Paper Size – 8.5 x 11 inch paper
 Margins – 1 inch
 Spacing –single-spaced
 Font – Times New Roman or Calibri, 12 point
 Page limit– 3 pages, exclusive of cover page
ii. White Paper Submission. E-mail submission is required (per the instructions
below). The white paper must be Microsoft Word compatible or PDF format
attachment to the email. There is an email size limit of 5MB per email.
 Electronic (email) submissions are to be sent to the attention of the BAA
Coordinator to the respective inbox (DO NOT SEND TO BOTH
INBOXES). White paper submissions submitted to the inappropriate
email address will not be reviewed:
o Academia (college and universities) shall submit white papers
under this BAA to: NAWCAD-Academia-BAA@us.navy.mil
o All others, including businesses (large, small, small disadvantaged,
etc.), other organizations (including non-profit), and entities
(foreign and domestic) shall submit white papers under this BAA
to: NAWCAD-Industry-BAA@us.navy.mil
 The subject line of the email shall include reference to BAA Number
N00421-25-S-0001 and list the applicable Research Opportunity Area of
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Interest.
 Do not send ZIP files or password protected files.
iii. White Paper Content: White papers shall include the following:
• Cover Page: The Cover Page shall be labeled “WHITE PAPER”
and shall include the BAA Number, proposed title, research
opportunity area of interest, contracts and technical points of contact,
telephone number, and E-mail address. IMPORTANT NOTE: Titles
given to the White Papers should be descriptive of the work they
cover and not be merely a copy of the title of this solicitation.
• Technical Concept: A description of the technology innovation and
technical risk areas.
• Future Naval Relevance: A description of the potential contributions
of the proposed effort and the relevancy to the NAWCAD and
Department of Navy mission.
• Rough Order of Magnitude cost estimate
 Forecasted Award Instrument Type
 Period of Performance
 OPTIONAL
o Government Technical Point of Contact, if known: Provide the
name, organizational code, and phone number. This is not
required for a compliant submission; leave this entry blank if not
known.
d. Full Proposal Instructions:
i. Requirements Applicable to Grants and Cooperative Agreements; see
Appendix 1
ii. Requirements Applicable to Contracts; see Appendix 2
iii. Requirements Applicable to Other Transaction Agreements; see
Appendix 3
3. Unique Entity Identifier and System for Award Management
Unique Entity Identifier (UEI) and System for Award Management (SAM) - All Proposers
submitting proposals or Grants.gov applications must:
a. Be registered in SAM prior to submission;
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b. Maintain an active SAM registration with current information at all times during
which it has an active Federal award or an application under consideration by any
agency; and
c. Provide its Unique Entity ID (generated by SAM.gov) in each application or
proposal it submits to the agency.
Proposals will not be accepted through Grants.gov or other methods unless the entity
is registered in SAM. Registration in SAM includes Representations and
Certifications and Responsibility and Qualification reporting. SAM may be accessed
at https://sam.gov/.
For assistance instruments, the Federal Assistance Certifications Report is an
attestation that the entity will abide by the requirements of the various laws and
regulations; therefore, as applicable, Proposers are still required to submit any
documentation, including Standard Form (SF) LLL Disclosure of Lobbying Activities
(if applicable), and information the Department of Defense (DoD) of unpaid
delinquent tax liability or felony convictions under any Federal law.
E. Application Review Information
1. Evaluation Criteria
Proposals will be evaluated using the following criteria listed in descending order of
importance:
1) Technical Approach:
This criterion rates the degree to which the proposed technical approach is innovative,
feasible, achievable, and complete. The proposed technical team has the expertise and
experiences to accomplish the proposed tasks. The task descriptions and associated
technical elements provided are complete and in a logical sequence with all proposed
deliverables clearly defined such that a final outcome that achieves the goal is likely as a
result of award. The proposal identifies major technical risks, clearly defines feasible risk
mitigation efforts, and outlines anticipated schedule.
2) Potential Contribution and Relevance to the NAWCAD Mission:
This criterion rates the degree to which the potential contributions of the proposed effort
are relevant to the NAWCAD and Department of the Navy mission. This includes
considering the extent to which any proposed intellectual property restrictions (if any) will
not significantly impact the Government’s ability to transition the technology.
3) Cost:
This criterion rates the degree to which the proposed costs are realistic for the technical and
management approach and accurately reflect the technical goals and objectives of the
applicable research area of interest. The proposed costs are consistent with the Proposer’s
Statement of Work and reflect a sufficient understanding of the costs and level of effort
needed to successfully accomplish the proposed technical approach. The costs for the
prime Proposer and Proposer’s subcontractor(s) are substantiated by the details provided
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in the full proposal (e.g., the type and number of labor hours proposed per task, the type
and quantities of materials, equipment and fabrication costs, travel and any other applicable
costs and the basis for the estimates).
2. Review and Selection Process
a. NAWCAD will conduct a scientific review of each conforming proposal.
Conforming proposals comply with all requirements detailed in this BAA; proposals that
fail to do so may be deemed non-conforming and may be removed from consideration.
NAWCAD may, at its discretion, choose not to make an award to any Proposer for any
reason.
Proposals will not be evaluated against each other since they are not submitted in
accordance with a common work statement. NAWCAD’s intent is to review proposals
as soon as possible after they arrive; however, proposals may be reviewed periodically
for administrative reasons.
Selections may be made at any time during the period of this BAA. Pursuant to FAR
35.016, the primary basis for selection of proposals for award negotiations shall be
technical, importance to agency programs, and funds availability.
The ultimate recommendation for award of proposals is made by NAWCAD's
scientific/technical community. Recommended proposals will then be forwarded to the
NAWCAD Enterprise Procurement Support Division - A2161000. Any notification
received from NAWCAD that indicates that the Proposer’s full proposal has been
recommended does not ultimately guarantee an award will be made. This notice indicates
that the proposal has been selected in accordance with the evaluation criteria stated above
and has been sent to the Procurement Group to conduct cost analysis, to determine the
Proposer’s responsibility, to confirm whether funds are available, and to take other
relevant steps necessary prior to commencing negotiations with the Proposer.
b. Options
The Government will evaluate options for award purposes by adding the total cost for
all options to the total cost for the basic requirement. Evaluation of options will not
obligate the Government to exercise the options during contract or grant performance.
c. Evaluation Panel
Government subject matter experts will determine the interest in PHASE I - White
Papers and perform the evaluation of the invited PHASE II – Full Technical/Cost
Proposals received at NAWCAD. Subject to the restrictions set forth in FAR 37.203(d),
input on technical aspects of the proposals may be solicited by NAWCAD from non-
Government consultants/experts who are strictly bound by appropriate non-disclosure
requirements. In many cases, the Government subject matter experts will participate in
an awarded project with the responsibility of guiding, coordinating, and executing
efforts in support of the project.
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Technical and cost proposals submitted under this BAA will be protected from
unauthorized disclosure in accordance with FAR 2.101, FAR 3.104-4, and FAR 15.207,
10 U.S.C. § 4021(i), or 10 U.S.C. § 4022(h), as applicable.
3. Recipient Qualifications
a. Requirements Applicable to Grants and Cooperative Agreements; see Appendix
1
b. Requirements Applicable to Contracts; see Appendix 2
c. Requirements Applicable to Other Transaction Agreements; see Appendix 3
F. Federal Award Administration Information
1. Administrative and National Policy Requirements
Intellectual Property
Proposers should note that the Government does not own the intellectual property of
technical data/computer software developed under Government contracts; it acquires the
right to use the technical data/computer software. Regardless of the scope of the
Government’s rights, performers may freely use their same data/software for their own
commercial purposes (unless restricted by U.S. export control laws or security classification).
Therefore, technical data and computer software developed under this BAA will remain the
property of the performers, though NAWCAD desires to have a minimum of Government
Purpose Rights (GPR) to noncommercial technical data/computer software developed
through NAWCAD sponsorship.
NAWCAD will emphasize creating and leveraging upon open source technology and
architecture. Intellectual property rights asserted by Proposers are strongly encouraged to be
aligned with open source/open architecture regimes.
Proposers expecting to use, but not to deliver, commercial open source tools or other
materials in implementing their approach may be required to indemnify the Government
against legal liability arising from such use.
All references to “Unlimited Rights” or Government Purpose Rights” are intended to refer
to the definitions of those as set for in DFARS Part 227.
Export Control Laws
Proposers should be aware of recent changes in export control laws. Proposers are
responsible for ensuring compliance with all U.S. export control laws and regulations,
including the International Traffic in Arms Regulations (ITAR)(22 CFR Parts 120 - 130) and
Export Administration Regulations (EAR) (15 CFR Parts 730 – 774), as applicable. In some
cases, developmental items funded by the Department of Defense are now included on the
United States Munitions List (USML) (22 CFR Part 121) and are therefore subject to ITAR
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jurisdiction. In other cases, items that were previously included on the USML have been
moved to the EAR Commerce Control List (CCL)(15 CFR 774). Proposers should address
in their proposals whether ITAR or EAR restrictions apply to the work they are proposing to
perform for NAWCAD. The ITAR and EAR are available online at http://www.ecfr.gov/.
Proposers must comply with all U.S. export control laws and regulations, including the
ITAR and EAR, in the performance of any award or agreement resulting from this BAA.
Proposers shall be responsible for obtaining any required licenses or other approvals, or
license exemptions or exceptions if applicable, for exports of hardware, technical data,
and software (including deemed exports), or for the provision of technical assistance.
Security Classification:
In order to facilitate intra-program collaboration and technology transfer, the Government
will attempt to enable technology developers to work at the unclassified level to the
maximum extent possible. If access to government CUI or classified material will be
required at any point during performance, the Proposer must coordinate with the
Government Technical Point of Contact, Contracting Officer, and Industrial Security
Representative.
If it is determined that access to government CUI will be required during the performance
of an award, the Technical Point of Contract, Contracting Officer, and Industrial Security
representative will provide security protocols and requirements.
If it is determined that access to classified information will be required during the
performance of an award, a Department of Defense (DD) Form 254 will be attached to the
award, and FAR Clause 52.204-2, Security Requirements will be incorporated into the
contract (or other comparable terms and conditions for OT awards).
NAWCAD does not provide access to government CUI or classified material under
assistance instruments.
Requirements Concerning Live Organisms:
a) Use of Animals: Award recipients performing research, experimentation, or testing
involving the use of animals shall comply with the rules on animal acquisition,
transport, care, handling, and use as outlined in: (i) 9 CFR parts 1-4, Department of
Agriculture rules that implement the Animal Welfare Act of 1966, as amended, (7
U.S.C. § 2131-2159); (ii) National Institutes of Health Publication No. 86-23, "Guide
for the Care and Use of Laboratory Animals" (8th Edition); and (iii) DoD Instruction
3216.01, “Use of Animals in DoD Programs.”
For projects anticipating animal use, proposals should briefly describe plans for
Institutional Animal Care and Use Committee (IACUC) review and approval. Animal
studies in the program will be expected to comply with the Public Health Service (PHS)
Policy on Humane Care and Use of Laboratory Animals, available at
https://olaw.nih.gov/policies-laws/phs-policy.htm.
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All award recipients must receive approval by a DoD-certified veterinarian, in addition
to an IACUC approval. No animal studies may be conducted using DoD funding until
the United States Army Medical Research and Materiel Command (USAMRMC)
Animal Care and Use Review Office (ACURO) or other appropriate DoD veterinary
office(s) grant approval. As a part of this secondary review process, the award recipient
will be required to complete and submit an ACURO Animal Use Appendix, which may
be found at:
https://mrdc.health.mil/index.cfm/collaborate/research_protections/acuro.
b) Use of Human Subjects in Research: Proposers must protect the rights and
welfare of individuals who participate as human subjects in research under this
award and comply with the requirements of the Common Rule at 32 CFR part 219
and applicable provisions of DoDI 3216.02, Protection of Human Subjects and
Adherence to Ethical Standards in DoD-Supported Research (2022), the DON
implementation of the human research protection program contained in
SECNAVINST 3900.39E (or its replacement), 10 U.S.C § 980 “Limitation on Use
of Humans as Experimental Subjects,” and when applicable, Food and Drug
Administration (FDA) and other federal and state law and regulations.
For proposals containing activities that include or may include “research involving
human subjects” as defined in DoDI 3216.02, prior to award, the Proposer must
submit documentation of:
i. Approval from an Institutional Review Board (IRB) (IRB-approved
research protocol, IRB- approved informed consent document, and other
material they considered); proof of completed human research training
(e.g., training certificate or institutional verification of training for the
principal investigator, co-investigators); and the Proposer’s Department
of Health and Human Services (DHHS)-issued Federal Wide Assurance
number (FWA#).
ii. Any claimed exemption under 32 CFR 219.104, including the category
of exemption, supporting documentation considered by your institution
in making the determination (e.g., protocol, data collection tools,
advertisements, etc.). The documentation shall include a short rationale
supporting the exemption determination. This documentation shall be
signed by the IRB Chair or IRB vice Chair, designated IRB administrator
or official of the human research protection program.
iii. Any determinations that the proposal does not contain activities that
constitute research involving human subjects, including supporting
documentation considered by your institution in making the
determination. This documentation shall be issued by the IRB Chair or
IRB vice Chair, designated IRB administrator or official of the human
research protection program.
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Documentation must be submitted to the NAWCAD Human Research Protection
Official (HRPO), by way of the NAWCAD Enterprise Procurement Support
Division - A2161000. If the research is determined by the IRB to be greater than
minimal risk, you also must provide the name and contact information for the
independent research monitor and a written summary of the monitors’ duties,
authorities, and responsibilities as approved by the IRB.
Contracts, orders, or grant awards and any subawards or modifications will include
a statement indicating successful completion of the HRPO review. Research
involving human subjects must not be commenced under any award or modification
or any subcontract or grant subaward or modification until awardee receives
notification from the Contracting or Grants Officer that the HRPO has approved the
assurance as appropriate for the research under the award or modification and that
the HRPO has reviewed the protocol and accepted the IRB approval or determination
for compliance with Federal, DoD and DON research protection requirements.
DFARS Clause 252.235-7004, Protection of Human Subjects, will be incorporated
into the contract.
Use of Recombinant DNA or Synthetic Nucleic Acid Molecules:
Proposals which call for experiments using recombinant or synthetic nucleic acid molecules
must include documentation of compliance with National Institutes of Health (NIH)
Guidelines for Research Involving Recombinant or Synthetic Nucleic Acid Molecules
(NIH Guidelines), https://osp.od.nih.gov/wp-content/uploads/NIH_Guidelines.pdf, approval
of the Institutional Biosafety Committee (IBC), and copies of the Department of Health and
Human Service Approval of the IBC letter.
Institutional Dual Use Research of Concern:
As of September 24, 2015, all institutions and United States Government (USG) funding
agencies subject to the United States Government Policy for Institutional Oversight of
Life Sciences Dual Use Research of Concern, https://aspr.hhs.gov/S3/Documents/durc-
policy.pdf, must comply with all the requirements listed therein. If your research proposal
directly involves certain biological agents or toxins, contact the cognizant Technical Point
of Contact. U.S. Government Science, Safety, Security (S3) guidance may be found at
https://aspr.hhs.gov/S3/Pages/Dual-Use-Research-of-Concern-Oversight-Policy-
Framework.aspx.
Department of Defense High Performance Computing Program:
The DoD High Performance Computing Program (HPCMP) furnishes the DoD Science and
Technology (S&T) and Research Development Test and Evaluation (RDT&E) communities
with use-access to very powerful high performance computing systems. Awardees of
NAWCAD contracts, grants, and other assistance instruments may be eligible to use HPCMP
assets in support of their funded activities if NAWCAD Program Officer approval is obtained
and if security/screening requirements are favorably completed. Additional information may
be found at https://www.hpc.mil/.
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Publication of Grant Awards:
Per Section 8123 of the Department of Defense Appropriations Act, 2015 (Pub. L. 113-235),
all grant awards must be posted on a public website in a searchable format. To comply with
this requirement, Proposers requesting grant awards must submit a maximum one (1) page
abstract that may be publicly posted and explains the program or project to the public. The
Proposer should sign the bottom of the abstract confirming the information in the abstract is
approved for public release. Proposers are advised to provide both a signed PDF copy, as
well as an editable (e.g., Microsoft Word) copy. Abstracts contained in grant proposals that
are not selected for award will not be publicly posted.
2. Reporting:
If the total Federal share of the Federal award may include more than $500,000 over the
period of performance, the post award reporting requirements, Award Term and Condition
for Recipient Integrity and Performance Matters (2 CFR Part 200 Appendix XII), is
applicable as follows:
Reporting of Matters Related to Recipient Integrity and Performance
1. General Reporting Requirement. If the total value of your currently active
grants, cooperative agreements, and procurement contracts from all Federal awarding
agencies exceeds $10,000,000 for any period of time during the period of performance of
this Federal award, then you as the recipient during that period of time must maintain the
currency of information reported to the System for Award Management (SAM) that is
made available in the designated integrity and performance system (currently the Federal
Awardee Performance and Integrity Information System (FAPIIS)) about civil, criminal,
or administrative proceedings described in paragraph 2 of this award term and condition.
This is a statutory requirement under section 872 of Public Law 110-417, as amended (41
U.S.C. 2313). As required by section 3010 of Public Law 111-212, all information posted
in the designated integrity and performance system on or after April 15, 2011, except past
performance reviews required for Federal procurement contracts, will be publicly
available.
2. Proceedings About Which You Must Report. Submit the information required
about each proceeding that:
a. Is in connection with the award or performance of a grant, cooperative
agreement, or procurement contract from the Federal Government;
b. Reached its final disposition during the most recent five-year period; and
c. Is one of the following:
(1) A criminal proceeding that resulted in a conviction, as defined in paragraph 5 of
this award term and condition;
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(2) A civil proceeding that resulted in a finding of fault and liability and payment of
a monetary fine, penalty, reimbursement, restitution, or damages of $5,000 or
more;
(3) An administrative proceeding, as defined in paragraph 5 of this award term and
condition that resulted in a finding of fault and liability and your payment of
either a monetary fine or penalty of $5,000 or more or reimbursement,
restitution, or damages in excess of $100,000; or
(4) Any other criminal, civil, or administrative proceeding if:
(i) It could have led to an outcome described in paragraph 2.c. (1), (2), or (3) of
this award term and condition;
(ii) It had a different disposition arrived at by consent or compromise with an
acknowledgment of fault on your part; and
(iii) The requirement in this award term and condition to disclose information
about the proceeding does not conflict with applicable laws and regulations.
3. Reporting Procedures. Enter in the SAM Entity Management area the
information that SAM requires about each proceeding described in paragraph 2 of this
award term and condition. You do not need to submit the information a second time under
assistance awards that you received if you already provided the information through SAM
because you were required to do so under Federal procurement contracts that you were
awarded.
4. Reporting Frequency. During any period of time when you are subject to the
requirement in paragraph 1 of this award term and condition, you must report proceedings
information through SAM for the most recent five-year period, either to report new
information about any proceeding(s) that you have not reported previously or affirm that
there is no new information to report. Recipients that have Federal contract, grant, and
cooperative agreement awards with a cumulative total value greater than $10,000,000
must disclose semiannually any information about criminal, civil, and administrative
proceedings.
5. Definitions. For purposes of this award term and condition:
a. Administrative proceeding means a non-judicial process that is adjudicatory in nature
in order to make a determination of fault or liability (e.g., Securities and Exchange
Commission Administrative proceedings, Civilian Board of Contract Appeals
proceedings, and Armed Services Board of Contract Appeals proceedings). This
includes proceedings at the Federal and State level but only in connection with
performance of a Federal contract or grant. It does not include audits, site visits,
corrective plans, or inspection of deliverables.
b. Conviction, for purposes of this award term and condition, means a judgment or
conviction of a criminal offense by any court of competent jurisdiction, whether
entered upon a verdict or a plea, and includes a conviction entered upon a plea of nolo
contendere.
c. Total value of currently active grants, cooperative agreements, and procurement
contracts includes the value of the Federal Share already received plus any anticipated
Federal share under those awards (such as continuation funding).
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Further guidance for reporting:
 Requirements Applicable to Grants and Cooperative Agreements; see
Appendix 1
 Requirements Applicable to Contracts; see Appendix 2
 Requirements Applicable to Other Transaction Agreements; see Appendix 3
G. Federal Awarding Agency Contacts
1. Communications:
a. Technical or administrative questions only shall be submitted via e-mail to
Stephanie.L.Gleason2.civ@us.navy.mil, the Technical Point of Contact (POC), with a
copy to the designated Business POCs at Elisabeth.A.Keith.civ@us.navy.mil and
Joanne.M.Hall16.civ@us.navy.mil.
b. All White Papers shall be submitted to the appropriate email address provided below:
Academia (college and universities), shall submit white papers under this BAA to:
NAWCAD-Academia-BAA@us.navy.mil
All others, including businesses (large, small, small disadvantaged, etc.) other organizations
(including non-profit), and entities (foreign and domestic), shall submit white papers under
this BAA to: NAWCAD-Industry-BAA@us.navy.mil
White paper submissions not submitted to the appropriate email address will not
be reviewed.
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III. APPENDICES
APPENDIX 1 – REQUIREMENTS APPLICABLE TO GRANTS AND COOPERATIVE
AGREEMENTS
A. Application and Submission Information
1. Content and Form of Application Submission
(a) Full Proposals:
i. Instructions for Grants and Cooperative Agreements
Content and Form of Application:
Proposers must submit a full proposal accordance with the instructions provided below. Files
must be in Adobe Portable Document Format (PDF) and/or Microsoft Word compatible and
Microsoft Excel Spreadsheet. Do not password protect documents.
Proposers are responsible for clearly identifying proprietary information. Submissions
containing proprietary information must have the cover page, and each page containing such
information, clearly marked with a label such as “Proprietary.” NOTE: “Confidential” is a
classification marking used to control the dissemination of U.S. Government National Security
Information as dictated in Executive Order 13526 and should not be used to identify proprietary
business information.
NAWCAD encourages grant and cooperative agreement Proposers to submit their Full Proposals
online through www.Grants.gov. Proposers that plan to submit through Grants.gov must be aware
of the following procedures and the potential time it may take to complete them.
Submissions: Proposers must submit the following listed below:
SF 424 Research and Related (R&R) Application for Federal Assistance. This form must
be completed and submitted. Complete this form first as it is designed to fill in common
required fields across other forms, such as the Proposer name, address, and Unique Entity
ID. Once it is completed, the information will transfer to the other forms.
Research and Related Senior/Key Person Profile (Expanded). This form must be completed
and submitted. This form will be used to collect the following information for all
senior/key personnel, including Project Director/Principal Investigator and Co-Project
Director/Co-Principal Investigator, whether or not the individuals’ efforts under the project
are funded by the DoD:
• Degree Type and Degree Year.
• Current and Pending Support, including;
o A list of all current projects the individual is working on, in addition to any
future support the individual has applied to receive, regardless of the source.
o Title and objectives of the other research projects.
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o The percentage per year to be devoted to the other projects.
o The total amount of support the individual is receiving in connection to each
of the other research projects or will receive if other proposals are awarded.
o Name and address of the agencies and/or other parties supporting the other
research projects
o Period of performance for the other research projects
To evaluate compliance with Title IX of the Education Amendments of 1972 (20 U.S.C.§
1681 Et. Seq.), the Department of Defense (DoD) is collecting certain demographic and
career information to be able to assess the success rates of women who are proposed for
key roles in applications in science, technology, engineering, or mathematics disciplines.
In addition, the National Defense Authorization Act (NDAA) for FY 2019, Section 1286,
directs the Secretary of Defense to protect intellectual property, controlled information,
key personnel, and information about critical technologies relevant to national security and
limit undue influence, including foreign talent programs by countries that desire to exploit
the United States’ technology within the DoD research, science and technology, and
innovation enterprise. This requirement is necessary for all research and research-related
educational activities.
Research and Related Personal Data. Each Proposer must complete the name field of this
form; however, provision of the demographic information is voluntary. Regardless of
whether the demographic fields are completed or not, this form must be submitted with at
least the Proposer’s name completed. Additional senior/key persons can be added by
selecting the “Next Person” button at the bottom of the form. Note that, although
applications without this information completed may pass Grants.gov edit checks, if
NAWCAD receives an application without the required information, NAWCAD may
determine that the application is incomplete, which may cause your submission to be
rejected and eliminated from further review and consideration under the BAA. NAWCAD
reserves the right to request further details from the Proposer before making a final
determination on funding the effort.
Attachment. Each Proposer will attach their required documents using this form as
instructed in this Appendix. Proposers may use the optional Research and Related (R&R)
Budget template for the submission of the cost proposal but do not use both forms; choose
either the Attachment or RR Budget form to prevent the duplication of cost proposal
submissions.
Project Abstract. Each Proposer requesting grant awards must submit a maximum one (1)
page abstract that may be publicly posted and explains the program or project to the
public. The Proposer should sign the bottom of the abstract confirming the information in
the abstract is approved for public release.
The mandatory forms are found at https://www.grants.gov/forms/forms-repository/
Grants.gov requires Proposers to complete a one-time registration process before a proposal can
be electronically submitted. However, before you can register as an Proposer with Grants.gov,
you will need to generate an Unique Entity ID (System for Award Management (SAM)) and
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complete registration in SAM. These processes can take up to four weeks. Once your Unique
Entity ID number has been verified, you can submit your registration to Grants.gov.
For more information, see https://grants.gov/applicants/applicant-registration/
Submit your proposal via electronic upload at: https://grants.gov/system-to-system/applicant-
system-to-system/web-services/submit-application
For more information on submitting proposals to Grants.gov, see: https://grants.gov/applicants/applicant-
training
Technical support for Grants.gov submissions may be reached at 1-800-518-4726 or by email at
support@grants.gov.
Once Grants.gov has received a proposal submission, Grants.gov will send two email messages to
advise Proposers as to whether or not their proposals have been validated or rejected by the system.
It may take up to two days to receive these emails. The first email will confirm receipt of the
proposal by the Grants.gov system, but this email only confirms receipt, not acceptance, of the
proposal. The second email will indicate that the application has been successfully validated by
the system prior to transmission to the grantor agency or that it has been rejected due to errors. If
the proposal is validated, then the Proposer has successfully submitted their proposal. If the
proposal is rejected, the proposal submission must be corrected and resubmitted before NAWCAD
can retrieve it. If the solicitation is no longer open, the rejected proposal cannot be resubmitted.
Once the proposal is retrieved by NAWCAD, the Proposer will receive a third email from
Grants.gov. For more information on tracking your proposal submission, see:
https://grants.gov/applicants/grant-applications/track-my-application.
Grants.gov recommends that Proposers submit their proposals to Grants.gov 24-48 hours in
advance of the proposal due date, to provide sufficient time to complete the registration and
submission process, receive email notifications and correct errors, as applicable.
NOTE: THESE INSTRUCTIONS APPLY ONLY UPON INVITATION TO PHASE II,
FULL PROPOSAL SUBMISSION. Phase 1, White Papers will NOT be accepted if
submitted via Grants.gov. White Papers shall be submitted in accordance with Section II,
paragraph D.(2.)(c.)(ii), White Paper Submission. Any direct submission of Full Proposals
without specific Government request will not be considered.
Full Proposal Format
 Written in English
 Paper Size – 8.5 x 11 inch paper
 Margins – 1 inch
 Spacing – single-spaced
 Font- Times New Roman or Calibri, no smaller than12-point
 Font sizes of 8 or 10-point may be used for figures, tables, and charts
 Documents need to be readable text to enable Ctrl+f Function
 Spell out all acronyms on all first occurrences
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 Page limit - 25 pages, exclusive of cover page. There are no page limitations for the cost
proposal.
Note: Any pages submitted exceeding the page limit shall be disregarded and not evaluated.
Additionally, the electronic file name for all documents submitted under this solicitation
must not exceed 68 characters in length, including the file name extension.
The technical proposal must describe the research in sections as described below:
 Cover Page: This must include the words “Technical Proposal” and the following:
(a) BAA Number: N00421-25-S-0001;
(b) Title of Proposal;
(c) Identity of prime Proposer and complete list of subawards, if applicable;
(d) Type of organization, selected from the following categories: Large Business,
Small Disadvantaged Business, Other Small Business, HBCU, MI, Other
Educational, or Non Profit;
(e) Technical contact (name, address, phone, electronic mail address);
(f) Administrative/business contact (name, address, phone, electronic mail address)
and;
(g) Total Amount of the proposed effort;
(h) Place(s) of Performance
(i) Period of performance (identify both the base period and any options, if
included).
(j) Award instrument requested;
(k) System for Award Management (SAM) Unique Entity ID;
(l) Taxpayer identification number (TIN);
(m) Commercial and Government Entity (CAGE) code
(n) Administration Office POC at Defense Contract Management Agency (DCMA)
or Office of Naval Research (ONR), if known
(o) Audit Office POC at Defense Contract Audit Agency (DCAA), it known
(p) Date Proposal was Prepared; and
(q) Proposal validity period (minimum 120 days);
Note: In all cases, the Government Contracting Officer has sole discretion to select award
instrument type, regardless of instrument type proposed, and to negotiate all instrument terms
and conditions with Proposers.
1) Technical Volume:
 Table of Contents: A listing of the sections within the proposal, including
corresponding page numbers.
 Executive Summary: The executive summary should include a description of the key
technical challenges, a concise review of the technologies proposed to overcome these
challenges and achieve the project’s goal, and a clear statement of the novelty and
uniqueness of the proposed work. Provide a synopsis of the proposed project, including
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answers to the following questions:

What is the proposed work attempting to accomplish or do?

How is the work performed today (what is the state of the art or practice), and what are

the limitations?

Who or what will be affected and what will be the impact if the work is successful?

What is new in your approach, and why do you think it will be successful?

How much will it cost, and how long will it take?

 Technical Approach. Describe the basic scientific or technical concepts that will be
investigated, giving the complete research plan. Describe what is innovative about the
proposed approach. Provide the proposed approach compared to alternate approaches other
researchers in this field have taken. Given the successful completion, describe the results,
new knowledge, or insights, as well as, addressing the following:

Future Naval Relevance: A description of the potential contributions of the proposed

effort and the relevancy to the NAWCAD and Department of the Navy mission.

Project Schedule and Milestones: A summary of the schedule of events and milestones.

Detailed Task Description: A detailed description of work to include a detailed task

breakdown, citing specific tasks and their connection to the interim milestones and
metrics, as applicable. Any optional tasking shall be separately identifiable within the
document.

Reports: An overview of the content, format, and delivery frequency of Technical and

Financial Progress Reports, as well as the Final Report.
NOTE: Grants and Cooperative Agreements shall not include the delivery of software,
prototypes, and other hardware deliverables.

Principal Investigator Qualifications: A discussion of the qualifications of the proposed

Principal Investigator and any other key personnel. Include resumes or curricula vitae
for the Principal Investigator, other key personnel and consultants. The
resumes/curricula vitae shall be attached to the proposal.

Facilities & Equipment: Describe facilities available for performing the proposed

research and any additional facilities or equipment the organization proposes to acquire
at its own expense. Indicate government-owned facilities or equipment already
possessed that will be used. Justify the need for each equipment item. (Additional
facilities and equipment will not be provided unless the research cannot be completed
by any other practical means.)
2. Cost Volume: The Cost Volume must address the full project (base + options) and must
include all components described herein. No page limit is specified for the Cost Volume.
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The proposed costs are to reflect an understanding of the costs needed to accomplish the
proposed technical approach. A separate cost narrative Adobe.pdf document, in addition to
a fully disclosed unburdened cost proposal with working formulas in Microsoft Excel, shall
be included in the volume that provides appropriate justification and/or supporting
documentation for each element of cost proposed. The Government reserves the right to
ask for additional cost information, as determined necessary, in order to determine that the
pricing is fair and reasonable. The electronic submission of the Excel spreadsheet should
be in a “useable condition” to aid the Government with its evaluation. The term “useable
condition” indicates that the spreadsheet should visibly include and separately identify
within each appropriate cell any and all inputs, formulas, calculations, etc. The Proposer
should not provide “value only spreadsheets” similar to a hard copy; Cost spreadsheet
template available upon request, contingent on receiving an Invitation to Phase II.
(a) The cost proposal shall include the following:
 Direct Labor – Individual labor categories and/or persons, with associated labor hours
and unburdened direct labor rates. Provide basis for escalation rates for out years.
 Fringe Benefits and Indirect Costs – The proposal must show the proposed indirect
rate(s), allocation base, and calculation of the costs for each rate category. If the rates
have been approved/negotiated by a Government agency, provide a copy of the
memorandum/agreement (e.g., Forward Pricing Rate Agreement, Department of Health
and Human Services (DHHS), or Office of Naval Research (ONR) rate agreements.) If
the rates have not been approved/negotiated, provide sufficient detail to enable a
determination of allowability, allocability and reasonableness of the allocation bases,
and how the rates are calculated. Additional information may be requested, if needed.
If composite rates are used, provide the calculations used in deriving the composite
rates.
 Travel – The proposed travel cost must include the following for each trip: the purpose
of the trip, origin and destination if known, approximate duration, the number of
travelers, the estimated cost per trip, and basis for estimation. Such estimates and the
resultant costs claimed must conform to the applicable Federal cost principles.
 Subcontractor(s) – For each proposed subcontractor, provide all the information and
documentation at the same level of detail as that required of the Prime Proposer. A
proposal and any supporting documentation must be received and reviewed before the
Government can complete its cost analysis of the proposal and enter negotiations.
NAWCAD's preferred method of receiving subcontract information is for this
information to be included with the Prime's proposal. However, a subcontractor's cost
proposal can be provided via e-mail directly to the Government at the same time the
Prime’s proposal is submitted. The e-mail shall identify the proposal title and the Prime.
 Consultants – Provide a breakdown of the consultant’s hours, the hourly rate proposed,
any other proposed consultant costs, a copy of the signed Consulting Agreement or other
documentation supporting the proposed consultant rate/cost, and a copy of the
consultant’s proposed tasking if it is not already separately identified in the Prime’s
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proposal.
 Materials & Supplies and/or Other Direct Costs (ODCs) – Provide an itemized list of all
proposed materials, supplies, and/or ODCs including quantities, unit prices, and the
basis for the estimate. Supporting documentation or substantiation must be provided for
all with a unit price over $1,000. Data source and format are at the discretion of the
Proposer; by way of example and not limitation, this could consist of market research
documentation (screenshots, etc.), current price quotes, current published price lists,
and/or historical information (historical purchase orders, etc.). Articulate all applicable
basis of estimate information, including the basis for any applied complexity factors. If
part numbers are included, please ensure they are complete, meaningful manufacturer
part numbers to aid in the Government’s analysis.
 Equipment or Facilities – If acquisition of equipment and/or facilities is proposed, a
justification for the purchase of the items must be provided. Provide an itemized list of
all equipment and/or facilities costs and the basis for the estimate (e.g., quotes, prior
purchases, catalog price lists). Supporting documentation or substantiation must be
provided for all equipment or facilities with a unit price over $1,000. Data source and
format are at the discretion of the Proposer; by way of example and not limitation, this
could consist of market research documentation (screenshots, etc.), current price quotes,
current published price lists, and/or historical information (historical purchase orders,
etc.). Articulate all applicable basis of estimate information, including the basis for any
applied complexity factors. Include any requests for Government-furnished equipment
or information with cost estimates and delivery dates.
Allowable items normally are limited to research equipment not already available for
the project. General purpose equipment (i.e., equipment not used exclusively for
research, scientific or other technical activities, such as personal computers, laptops,
office equipment) should not be requested unless they will be used primarily or
exclusively for the project. For computer/laptop purchases and other general purpose
equipment, if proposed, include a statement indicating how each item of equipment will
be integrated into the project or used as an integral part of the solution.
 Fee/Profit – Fee/profit is unallowable under assistance agreements at either the prime or
subcontract level.
 Options – If proposing options, they must be separately priced and separate
spreadsheets shall be provided for the base period and each option. In addition to
providing summary by period of performance (base and any options), the Proposer is
also responsible for providing a breakdown of cost for each task identified in the
Detailed Task Description. The sum of all costs by task worksheets MUST equal the
total cost summary.
B. Application Review Information
1. Recipient Qualifications
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a. Grant and Cooperative Agreement Proposals
i. The Grants Officer is responsible for determining a recipient’s qualifications
prior to award. In general, a Grants Officer will award grants or cooperative
agreements only to qualified awardees that meet the standards at 32 CFR
22.415 and 22.420. To be qualified, a potential recipient must:
(1) Have the management capability and adequate financial and technical
resources, given those that would be made available through the grant or
cooperative agreement, to execute the program of activities envisioned under
the grant or cooperative agreement;
(2) Have a satisfactory record of executing such programs or activities (if a
prior recipient of an award);
(3) Have a satisfactory record of integrity and business ethics;
(4) Be otherwise qualified and eligible to receive a grant or cooperative
agreement under applicable laws and regulations; and
(5) Not identified in the Exclusion section of SAM.gov, as being debarred,
suspended or otherwise ineligible to receive the award.
The Grants Officer reserves the right to request additional information to support the
responsibility determination of the awardee.
ii. In accordance with Office of Management and Budget (OMB) guidance in parts
180 and 200 of Title 2, CFR, it is DoD policy that DoD Components must report and use
integrity and performance information in the Responsibility/Qualifications section of SAM.gov,
or any successor system designated by OMB, concerning grants and cooperative agreements as
follows:
If the total Federal share will be greater than the simplified acquisition threshold on any Federal
award under a notice of funding opportunity (see 2 CFR 1108.340 Simplified Acquisition
Threshold):
(1) The Federal awarding agency, prior to making a Federal award with a
total amount of Federal share greater than the simplified acquisition threshold, is required to
review and consider any information about the Proposer that is in the designated integrity and
performance system accessible through SAM (see 41 U.S.C. 2313);
(2) A Proposer, at its option, may review information in the designated
integrity and performance systems accessible through SAM and comment on any information
about itself that a Federal awarding agency previously entered and is currently in the designated
integrity and performance system accessible through SAM;
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(3) The Federal awarding agency will consider any comments by the
Proposer, in addition to the other information in the designated integrity and performance
system, in making a judgment about the Proposer’s integrity, business ethics, and record of
performance under Federal awards when completing the review of risk posed by Proposers as
described in 2 CFR 200.206 Federal awarding agency review of risk posed by Proposers.
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APPENDIX 2 - REQUIREMENTS APPLICABLE TO CONTRACTS
A. Application and Submission Information
1. Content and Form of Application Submission
(a) Full Proposals:
i. Instructions for Contracts
Content and Form Application:
Proposers must submit a full proposal in accordance with the instructions provided below. Files
must be in Adobe Portable Document Format (PDF) and/or Microsoft Word and Microsoft
Excel. Do not password-protect documents.
Proposers are responsible for clearly identifying proprietary information. Submissions
containing proprietary information must have the cover page, and each page containing such
information, clearly marked with a label such as “Proprietary.” NOTE: “Confidential” is a
classification marking used to control the dissemination of U.S. Government National Security
Information as dictated in Executive Order 13526 and should not be used to identify proprietary
business information.
Full Proposal Format
• Written in English
• Paper Size- 8.5 x 11 inch paper
• Margins – 1 inch
• Spacing- single-spaced
• Font- Times New Roman or Calibri, no smaller than12-point
 Font sizes of 8 or 10-point may be used for figures, tables, and charts
 Documents need to be readable text to enable Ctrl+f Function
 Spell out all acronyms on all first occurrences
 Technical Proposal Page limit – 25 pages, exclusive of cover page. There are no page
limitations for the Cost Proposal or the remaining submission requirements.
NOTE: Any pages submitted exceeding the page limit shall be disregarded and not evaluated.
Additionally, the electronic file name for all documents submitted under this solicitation
must not exceed 68 characters in length, including the file name extension.
The following documents, with attachments, comprise a complete proposal package as
described below:
 Cover Page: This must include the following:
(a) BAA Number: N00421-25-S-0001;
(b) Title of Proposal;
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(c) Identity of prime Proposer and complete list of subcontractors, if applicable;
(d) Type of organization, selected from the following categories: Large Business,
Small Disadvantaged Business, Other Small Business, HBCU, MI, Other
Educational, or Non Profit;
(e) Technical contact (name, address, phone, electronic mail address);
(f) Administrative/business contact (name, address, phone, electronic mail address);
(g) Total Amount of the proposed effort;
(h) Place(s) of Performance;
(i) Period of performance (identify both the base period and any options, if
included);
(j) Award instrument requested;
(k) System for Award Management (SAM) Unique Entity ID;
(l) Taxpayer identification number (TIN);
(m) Commercial and Government Entity (CAGE) code;
(n) Administration Office POC at Defense Contract Management Agency (DCMA)
or Office of Naval Research (ONR), if known
(o) Audit Office POC at Defense Contract Audit Agency (DCAA), it known
(p) Date Proposal was Prepared; and
(q) Proposal validity period (minimum 120 days)
Note: In all cases, the Government Contracting Officer has sole discretion to select award
instrument type, regardless of instrument type proposed, and to negotiate all instrument terms
and conditions with selectees.
1. Technical Volume:
 Table of Contents: A listing of the sections within the proposal, including
corresponding page numbers.
 Proposal Adequacy Checklist in accordance with DFARS 252.215-7009
Proposer shall complete the proposal adequacy checklist contained at DFARS 252.215-7009,
providing the location of requested information, or an explanation of why the requested
information is not provided. In preparation of the Proposer’s checklist, Proposers may elect to
have their prospective subcontractors use the same or similar checklist as appropriate.
 Executive Summary
The executive summary should include a description of the key technical challenges, a concise
review of the technologies proposed to overcome these challenges and achieve the project’s
goal, and a clear statement of the novelty and uniqueness of the proposed work. Provide a
synopsis of the proposed project, including answers to the following questions:

What is the proposed work attempting to accomplish or do?

How is the work performed today (what is the state of the art or practice), and what are

the limitations?

Who or what will be affected and what will be the impact if the work is successful?

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What is new in your approach, and why do you think it will be successful?

How much will it cost, and how long will it take?

 Technical Approach.
Describe the basic scientific or technical concepts that will be investigated, giving the complete
research plan. Describe what is innovative about the proposed approach. Provide the proposed
approach compared to alternate approaches other researchers in this field have taken. Given the
successful completion, describe the results, new knowledge, or insights, as well as, addressing
the following:
a) Future Naval Relevance: A description of the potential contributions of the proposed
effort and the relevancy to the NAWCAD and Department of the Navy mission.
b) Project Schedule and Milestones: Provide a detailed schedule showing tasks (task
name, duration, work breakdown structure element as applicable, performing
organization), milestones, and the interrelationships among tasks. The task structure
must be consistent with that in the Statement of Work. Measurable milestones should
be clearly articulated and defined in time relative to the start of the project.
c) Stand-alone non-proprietary Statement of Work: The Statement of Work must clearly
define the technical tasks/subtasks to be performed, their durations, and dependencies
among them. For each task/subtask, provide:
 A general description of the objective (for each defined task/activity);
 A detailed description of the approach to be taken to accomplish each defined
task/subtask;
 Identification of the primary organization responsible for task execution (prime
contractor, subcontractor(s), consultant(s)), by name;
 A measurable milestone (e.g., a deliverable, demonstration, or other event/activity
that marks task completion);
 A definition of all deliverables (reporting frequency, data, reports, including report
content, software, etc.) to be provided to the Government in support of the proposed
research tasks/subtasks; and
 Clearly identify any tasks/subtasks (to be performed by either a prime or
subcontractor) that will be accomplished on-campus at a university, if applicable.
 Identification of the proposed classification for each task/subtask.
o For all tasks and subtasks proposed to be unclassified, identify if the
task/subtask is proposed as fundamental research or controlled unclassified
information (CUI).
o Provide a short explanation for why each task/subtask should be categorized
as fundamental research or CUI.
 Any optional tasking shall be separately identifiable within the document.
Note: It is recommended that the SOW should be developed so that each Phase of the program
is separately defined. The SOW shall be submitted in Microsoft Word format.
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d) Key Personnel Qualifications: A discussion of the qualifications of all key personnel.
Include resumes or curricula vitae for any key personnel and consultants.
e) Facilities & Equipment. Describe facilities available for performing the proposed
research and any additional facilities or equipment the organization proposes to acquire
at its own expense. Indicate government-owned facilities or equipment already
possessed that will be used. Justify the need for each equipment item. (Additional
facilities and equipment will not be provided unless the research cannot be completed
by any other practical means.)
2. Cost Volume:
The Cost Volume must address the full project (base + options) and must include all components
described herein. No page limit is specified for the Cost Volume.
The proposed costs are to be consistent with the proposed SOW and reflect an understanding of
the costs needed to accomplish the proposed technical approach. A separate cost narrative
Adobe .pdf document, in addition to a fully disclosed unburdened cost proposal with working
formulas in Microsoft Excel, should be included in the proposal that provides appropriate
justification and/or supporting documentation for each element of cost proposed. The electronic
submission of the Excel spreadsheet should be in a “useable condition” to aid the Government
with its evaluation. The term “useable condition” indicates that the spreadsheet should visibly
include and separately identify within each appropriate cell any and all inputs, formulas,
calculations, etc. The Proposer should not provide “value only spreadsheets” similar to a hard
copy; Cost spreadsheet template available upon request, contingent on receiving an Invitation
to Phase II.
(a) The cost proposal shall include the following, as applicable:
 Direct Labor – Individual labor categories or persons, with associated labor hours and
unburdened direct labor rates. Provide basis for escalation rates for out years.
 Fringe Benefits and Indirect Costs (Overhead, General & Administrative, etc.) – The
proposal must show the proposed indirect rate(s), allocation base, and calculation of
the costs for each rate category. If the rates have been approved/negotiated by a
Government agency, provide a copy of the memorandum/agreement (e.g., Forward
Pricing Rate Agreement, Department of Health and Human Services (DHHS), or Office
of Naval Research (ONR) rate agreements.) If the rates have not been
approved/negotiated, provide sufficient detail to enable a determination of
allowability, allocability and reasonableness of the allocation bases, and how the rates
are calculated. Additional information may be requested, if needed. If composite rates
are used, provide the calculations used in deriving the composite rates.
 Travel – The proposed travel cost must include the following for each trip: the purpose
of the trip, origin and destination if known, approximate duration, the number of
travelers, the estimated cost per trip, and basis for estimation. Such estimates and the
resultant costs claimed must conform to the applicable Federal cost principles.
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 Subcontractor(s) – For each proposed subcontractor, provide all the information and
documentation at the same level of detail as that required of the Prime Proposer. A
proposal and any supporting documentation must be received and reviewed before the
Government can complete its cost analysis of the proposal and enter negotiations.
NAWCAD's preferred method of receiving subcontract information is for this
information to be included with the Prime's proposal. However, a subcontractor's cost
proposal can be provided via e-mail directly to the Government at the same time the
prime proposal is submitted. The e-mail shall identify the proposal title and the Prime.
A cost or price reasonableness analysis or proposed subcontractor(s) prices as defined
in FAR 15.404-3. Such analysis shall indicate the extent to which the Prime Proposer
has negotiated subcontract prices.
 Consultants – Provide a breakdown of the consultant’s hours, the hourly rate proposed,
any other proposed consultant costs, a copy of the signed Consulting Agreement or
other documentation supporting the proposed consultant rate/cost, and a copy of the
consultant’s proposed tasking if it is not already separately identified in the prime
contractor’s proposal.
 Materials & Supplies and/or Other Direct Costs (ODCs) – Provide an itemized list of
all proposed materials, supplies, and/or ODCs including quantities, unit prices, and the
basis for the estimate (e.g., quotes, prior purchases, catalog price lists). Supporting
documentation or substantiation must be provided for all with a unit price over $1,000.
Data source and format are at the discretion of the Proposer; by way of example and
not limitation, this could consist of market research documentation (screenshots, etc.),
current price quotes, current published price lists, and/or historical information
(historical purchase orders, etc.). Articulate all applicable basis of estimate
information, including the basis for any applied complexity factors. If part numbers
are included, please ensure they are complete, meaningful manufacturer part numbers
to aid in the Government’s analysis.
 Equipment or Facilities –If acquisition of equipment and/or facilities is proposed, a
justification for the purchase of the items must be provided. Provide an itemized list
of all equipment and/or facilities costs and the basis for the estimate (e.g., quotes, prior
purchases, catalog price lists). Supporting documentation or substantiation must be
provided for all equipment or facilities with a unit price over $1,000. Data source and
format are at the discretion of the Proposer; by way of example and not limitation, this
could consist of market research documentation (screenshots, etc.), current price
quotes, current published price lists, and/or historical information (historical purchase
orders, etc.). Articulate all applicable basis of estimate information, including the basis
for any applied complexity factors. Include any requests for Government-furnished
equipment or information with cost estimates and delivery dates.
Allowable items normally are limited to research equipment not already available for
the project. General purpose equipment (i.e., equipment not used exclusively for
research, scientific or other technical activities, such as personal computers, laptops,
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office equipment) should not be requested unless they will be used primarily or
exclusively for the project. For computer/laptop purchases and other general purpose
equipment, if proposed, include a statement indicating how each item of equipment will
be integrated into the program or used as an integral part of the solution.
 Fee/Profit – In accordance with FAR 15.404-4(c)(4), the fee for experimental,
developmental, or research work performed under a cost-plus-fixed-fee contract shall
not exceed 15% of the contract’s estimated cost, excluding fee. For other cost-plus-
fixed fee contracts, the fee shall not exceed 10% of the contract’s estimated cost,
excluding fee.
 Facilities Capital Cost of Money (FCCM) - If proposed, provide the FCCM rate(s),
allocation base(s), and calculation of the costs for each rate category.
 Certified Cost or Pricing Data – Certified cost or pricing data, or other than certified
cost or pricing data, may be requested by the Contracting Officer in accordance with
FAR 15.403.
 Options - If proposing options, they must be separately priced and separate
spreadsheets shall be provided for the base period and each option. In addition to
providing summary by period of performance (base and any options), the Proposer is
also responsible for providing a breakdown of cost for each task identified in the
Statement of Work. The sum of all costs by task worksheets MUST equal the total cost
summary.
3. Representations and Certifications
a. Prospective awardees must be registered in the System for Award Management (SAM)
database prior to award and complete electronic annual representations and
certifications consistent with FAR guidance at 4.1102 and 4.1201. The representations
can be found at https://sam.gov/. Supplementary representations and certifications
which must be included in the proposal submission are as follows:
Provision Number Title
FAR 52.209-7 Information Regarding Responsibility Matters
DFARS 252.203-7005 Representation Relating to Compensation of
Former DOD Officials
DFARS 252.204-7007 Annual Representations and Certifications
Alt A
DFARS 252.225-7003 Report of Intended Performance Outside the
United States and Canada – Submission with
Offer (applicable for proposals over $15.0M)
DFARS 252.227-7017 Identification and Assertion of Use, Release, or
Disclosure Restrictions
b. Additional Guidance Regarding Data Rights/Intellectual Property Assertions
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i. Noncommercial Items (Technical Data and Computer Software): Proposers
requesting a procurement contract must list all noncommercial technical data
and computer software that it plans to generate, develop, and/or deliver, in
which the Government will acquire less than unlimited rights and to assert
specific restrictions on those deliverables. In the event a Proposer does not
submit the list, the Government will assume that it has unlimited rights to all
noncommercial technical data and computer software generated, developed,
and/or delivered, unless it is substantiated that the development of the
noncommercial technical data and computer software occurred with mixed
funding. If mixed funding is anticipated in the development of
noncommercial technical data and computer software generated, developed,
and/or delivered, Proposers should identify the data and software in question
as subject to Government Purpose Rights (GPR). In accordance with DFARS
252.227-7013, “Rights in Technical Data – Noncommercial Items,” and
DFARS 252.227-7014, “Rights in Noncommercial Computer Software and
Noncommercial Computer Software Documentation,” the Government will
automatically assume that any such GPR restriction is limited to a period of 5
years, at which time the Government will acquire unlimited rights unless the
parties agree otherwise. The Government may use the list during the
evaluation process to evaluate the impact of any identified restrictions and
may request additional information from the Proposer, as may be necessary,
to evaluate the Proposer’s assertions. Failure to provide full information may
result in a determination that the proposal is not compliant with the
solicitation.
ii. Commercial Items (Technical Data and Computer Software): Proposers
requesting a procurement contract must list all commercial technical data and
commercial computer software that may be included in any deliverables
contemplated under the research project, and assert any applicable restrictions
on the Government’s use of such commercial technical data and/or computer
software. In the event a Proposer does not submit the list, the Government
will assume there are no restrictions on the Government’s use of such
commercial items. The Government may use the list during the evaluation
process to evaluate the impact of any identified restrictions and may request
additional information from the Proposer to evaluate the Proposer’s assertions.
Failure to provide full information may result in a determination that the
proposal is not compliant with the solicitation.
iii. For all technical data or computer software that will be furnished to the
Government with other than unlimited rights, the Proposer and proposed
subcontractor(s) shall provide a list describing all proprietary claims to results,
prototypes, deliverables or systems supporting and/or necessary for the use of
the research, results, prototypes, and/or deliverables. Provide documentation
proving ownership or possession of appropriate licensing rights to all patented
inventions (or inventions for which a patent application has been filed) to be
used for the proposed project. Provide the following information for Proposer
and each subcontractor(s). Enter “none,” when all data or computer software
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will be submitted without restrictions. Submit the signed data assertions in
a single list as a separate standalone attachment of the proposal.
Technical Data or Basis of Asserted Rights Category (i.e., Name of Patent Information
Computer Assertion; Commercial Technical Data Person/Entity (if applicable)
Software to be including License Rights, Limited Asserting
furnished with IRAD Report Rights, Commercial Computer Restrictions
Restrictions Number(s) Software License Rights, etc.)
and/or
Government
contract
number, if
applicable
4. Additional Submission Requirements
a) Use of Arms, Ammunition and Explosives
i. Safety
The Proposer is required to be in compliance with DoD manual 4145.26-M, DoD
Contractor’s Safety Manual for Ammunition and Explosives if ammunitions and/or
explosives are to be utilized under the proposed research effort (See DFARS 223.370-
5, DFARS 252.223-7002, and DFARS 252.223-7003). If ammunitions and/or
explosives (A&E) are to be utilized under the proposed research effort, the
Government requires a preaward safety survey in accordance with DFARS PGI
223.370-4(1)(i)(C)(iv) entitled Preaward survey.
If the Proposer requests that the Government provide Government-furnished A&E
containing any nitrocellulose-based propellants and/or nitrate ester-based materials
(such as nitroglycerin) or other similar A&E with a tendency to become chemically
unstable over time, then NMCARS 5252.223-9000 will also apply to a resulting
contract award (See NMCARS 5223.370-5).
ii. Security
Applicable security terms and conditions will be included as deemed appropriate
for the classification level of the award.
If arms, ammunition or explosives (AA&E) are to be utilized under the proposed
research effort, the Government requires a preaward security survey. (See DoD
manual 5100.76-M, dated April 17, 2012, Change 2 Effective October 5, 2020,
Physical Security of Sensitive Conventional Arms, Ammunition and Explosives,
Enclosure 2, paragraph 2.a.)
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If AA&E are to be utilized under the proposed research effort, the Government may
require the Contractor to have perimeter fencing around the place of performance
in accordance with DoD 5100.76-M dated April 17, 2012, Change 2 Effective
October 5, 2020, Enclosure 5, paragraph 2.a.
If AA&E are to be utilized under the proposed research effort, the Proposer is required
to provide a written copy of the Proposer’s AA&E accountability procedures in
accordance with DoD 5100.76-M. If the Proposer is required to provide written
AA&E accountability procedures, the Proposer should provide the respective
procedures with its proposal submission. See DoD 5100.76-M dated April 17, 2012,
Change 2 Effective October 5, 2020, Enclosure 9, paragraph 9.Conflicts of Interest
i. Disclosure.
A Proposer shall state in its proposal whether it is aware of any information bearing
on the existence of any actual or potential organizational conflict of interest (OCI)
as defined in FAR 2.101 and as further discussed in FAR Subpart 9.5 as to itself and
any proposed subcontractors, partners, consultants or other affiliates. Proposers
performing systems engineering and technical assistance (SETA) or Advisory and
Assistance Services (A&AS) for NAWCAD are considered to have an OCI that may
not be susceptible to mitigation.
The nondisclosure or misrepresentation of an interest creating an OCI may result in
the disqualification of a Proposer for award, or if such nondisclosure or
misrepresentation is discovered after award, the Government may terminate the
contract for default, recommend that the Proposer be disqualified from subsequent
related contracts, or be subject to such other remedial actions as may be permitted
or provided by law (see 18 U.S.C. § 1001 and 31 U.S.C. § 3802(a)(2)). Therefore,
Proposers should interpret the requirements of this section broadly.
A Proposer who does not provide support services to NAWCAD or concludes no
actual or potential OCI exists shall include the following statement in its proposal:
“I [NAME] as an authorized negotiator on behalf of [NAME OF PROPOSER]
certify that NO actual or potential organizational conflict of interest (OCI) exists
under [BAA NUMBER]. I understand that the failure to disclose the existence of
actual or potential OCI shall result in the Proposer not being considered for award.”
A Proposer who does provide support services to NAWCAD or is aware
circumstances exist that may result in the appearance that it may have an unfair
competitive advantage shall submit the following with its proposal:
1. The name of the entity the Proposer, its subcontractors, partners, consultants
or affiliates supports.
2. The number of the contract, subcontract, or agreement that creates the actual
or potential OCI. If NAWCAD did not award the contract or agreement,
provide a copy of the document. If NAWCAD awarded the contract, provide
the name of the technical point of contact.
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3. A description of the actual or potential OCI. The statement must describe in
a concise manner all relevant facts concerning any past, present or currently
planned interest (financial, contractual, organizational, or otherwise) relating
to the work to be performed hereunder and bearing on whether the Proposer
has a possible organizational conflict of interest with respect to (1) impartial,
technically sound, and unbiased assessments, recommendations, or
evaluations, or (2) being given an unfair competitive advantage. If relevant,
Proposers shall address the personal conflicts of their employees.
4. A Mitigation Plan. Proposers should refer to FAR Subpart 9.5 for policies
and procedures for avoiding, neutralizing, or mitigating organizational
conflicts of interest.
5. A concluding statement as follows: “I [NAME] as an authorized negotiator
on behalf of [NAME OF PROPOSER] certify that I have, to the best of my
knowledge and belief, disclosed all actual or potential organizational
conflicts of interest (OCI) under [BAA NUMBER]. I understand that the
failure to disclose the existence of an actual or potential OCI shall result in
the proposer not being considered for award.”
ii. OCI Mitigation Plan Contents. At a minimum, a Mitigation Plan shall:
1. Provide organizational charts showing the Proposer’s (and, as appropriate,
those of its subcontractors, partners, consultants, and affiliates) structure as
it relates to performance under the contract awarded under this BAA and all
contracts and agreements relevant to the OCI, highlighting those elements
that create the actual or apparent OCI.
2. Demonstrate how the elements that create the actual or apparent OCI will be
isolated from the resources that will perform work under the contract
awarded under this BAA.
3. Provide information showing whether the organizational elements that will
perform work under the contract awarded under this BAA will be
geographically or physically separated from the elements that create the
actual or apparent OCI.
4. For each contract or agreement relevant to the OCI, describe the process for
reassigning personnel, including those belonging to subcontractors, partners,
consultants, and affiliates, from one organization to another. Include
restrictions that apply.
5. For each contract or agreement relevant to the OCI, describe the controls,
including nondisclosure agreements, that are exercised over the future
employment of departing employees as it relates to the OCI.
6. For each contract or agreement relevant to the OCI, describe any OCI
training the employees are offered or required to attend, along with the
timing (before or after starting work on a government contract), frequency,
length, and content of such training.
7. Provide evidence of facts and circumstances that the Proposer asserts
mitigate or address the concerns related to the actual or potential OCI.
iii. Review.
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The Contracting Officer will review a Proposer’s certifications, statements, and OCI
Mitigation Plan (if applicable) submitted and may require additional relevant
information from a Proposer. All such information and any other relevant
information will be used by the Contracting Officer to determine whether an award
to the Proposer may create an OCI. If found to exist, the Government may: (1)
impose appropriate conditions which avoid such conflict, (2) disqualify the
Proposer, (3) determine that it is otherwise in the best interest of the Government to
award a contract to the Proposer and include appropriate conditions mitigating such
conflict in the award, or (4) seek a waiver. If the Contracting Officer determines
that an actual or significant potential conflict of interest exists that cannot reasonably
be avoided, neutralized or mitigated, the Proposer will be ineligible for award. If
accepted, the Mitigation Plan shall become part of the contract. Note that the
Government will only evaluate OCI mitigation plans for proposals that are
determined selectable based on the BAA evaluation criteria and funding availability.
A Proposer who has refused to disclose the information or make the certification
required by this BAA concerning an actual or potential OCI shall be disqualified
from consideration for award.
c) Small Business Participation Statement –
If subcontracting opportunities exist, all prime Proposers shall submit a Small Business
Participation Statement regardless of size in accordance with DFARS 215.304 when
receiving a contract for more than the simplified acquisition threshold. All Proposers
shall provide a statement of the extent of the Proposer’s commitment in providing
meaningful subcontracting opportunities for small businesses and other concerns subject
to socioeconomic considerations through its awards and must agree that small businesses,
VOSBs, SDVOSBs, HUBZones, SDBs, and WOSBs concerns will have the maximum
practicable opportunity to participate in contract performance consistent with efficient
performance.
This assertion will be reviewed to ensure that it supports this policy by providing
meaningful subcontracting opportunities. The statement will not be included in the
page count.
d) Small Business Subcontracting Plan
Large businesses and non-profits (including educational institutions) shall provide a
Subcontracting Plan (hereafter known as ‘the Plan’) that contains all elements required
by FAR 19.704, FAR 52.219-9 and DFARS 252.219-7003. If a company has a Master
Subcontracting Plan, as described in FAR 19.701, or a Comprehensive Subcontracting
Plan, as described in DFARS 219.702-70, a copy of the Plan shall also be submitted
with the proposal.
The Plan will be reviewed and approved by the Contracting Officer prior to contract
award. See FAR 19.702, Statutory Requirements, regarding failure of a Proposer to
negotiate and submit a Subcontracting Plan acceptable to the Contracting Officer. The
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successful Proposer’s Subcontracting Plan will be incorporated into the resultant
contract. The Proposer shall propose a minimum of the subcontracting goals identified
in the table below.
SB Area Goal %
Small Business (SB) (Total) 38.00%
Small Disadvantaged Business (SDB) 6.40%
Women-Owned SB (WOSB) 0.80%
HUBZone SB (HUBZone) 0.35%
Service-Disabled VOSB (SDVOSB) 8.40%
If proposed goals are below the minimum, then the Proposer shall include in the Plan a
viable written explanation as to why small businesses are unable to be utilized and what
attempts were taken to ensure that small business were given the opportunity to
participate in the effort to the maximum extent practicable. The Plan will not be included
in the page count.
e) Evidence of approved management/cost systems (as applicable)
i. Property Management System: If GFP/GFE is anticipated, the Proposer shall
provide evidence of an approved property management system, pursuant to FAR
45.105.
ii. Cost Accounting Standards: For any Proposer who submits a proposal which,
if accepted, will result in a CAS-compliant contract, must include a Disclosure
Statement as required by 48 CFR 9903.202. Further information regarding
CAS certification can be found in FAR 52.230-1.
iii. Adequate Cost Accounting System: If requesting a cost-type contract, the
Proposer must provide evidence of an approved accounting system, per FAR
16.104(i). If the Proposer is requesting a cost-type contract but does not yet have
an approved accounting system, Proposer shall provide the DCAA Pre-award
Accounting System Adequacy Checklist to facilitate DCAA’s completion of an
SF1408. This form is available at:
https://www.dcaa.mil/Checklists-Tools/Pre-award-Accounting-System-
Adequacy-Checklist/
B. Application Review Information
1. Recipient Qualifications & Eligibility
a) Responsibility Determination:
i. Contracts shall be awarded to responsible prospective contractors only. See FAR
9.104-1 for a listing of the general standards against which an Proposer will be
assessed to determine responsibility.
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ii. Per 13 CFR §125.6(d)(2), compliance with the limitation on subcontracting shall
be an element of responsibility. If the Proposer is a small business, it shall
provide a breakout to demonstrate how the prime contractor will satisfy the
limitation on subcontracting for each period of performance. The contractor’s
compliance with FAR Clauses 52.219-14 “Limitation on Subcontracting,”
52.219-27 “Notice of Total Service-Disabled Veteran-Owned Business Set
Aside,” 52.219-29 “Notice of Set-Aside for, or Sole Source Award to,
Economically Disadvantaged Women-Owned Small Business Concerns,”
52.219-30 “Notice of Set-Aside for, or Sole Source Award to, Women-Owned
Small Business Concerns Eligible Under the Women-Owned Small Business
Program,” or 52.219-3 “Notice of HUBZone Set Aside or Sole Source Award,”
as applicable, will be assessed as an element of responsibility. Cost of contract
incurred for personnel includes direct labor cost, overhead that has only direct
labor as its base, and the small business’s General and Administrative (G&A)
rate multiplied by the labor cost. A proposal that fails to meet the limitation on
subcontracting during each period of performance shall not be considered for
award.
iii. Per FAR 9.106-1(a), a preaward survey may be required if the Contracting
Officer determines that the information on hand or readily available, including
information from commercial sources, is not sufficient to make a determination
regarding responsibility. Proposers are expected to cooperate in the conduct of
a preaward survey if such survey is deemed necessary.
iv. Proposers may be requested to provide information subsequent to proposal
submission to assist the Contracting Officer in making a determination of
responsibility.
b) System for Award Management (SAM): All Proposers must be registered in SAM
unless exempt per FAR 4.1102. FAR 52.204-7 System for Award Management and
FAR 52.204-13 System for Award Management Maintenance are incorporated into this
BAA, and FAR 52.204-13 will be incorporated in all awards.
Note that new registrations take an average of 7-10 business days to process.
c) Employment Eligibility Verification (E-verify): As per FAR 22.1802, recipients of
FAR-based procurement contracts must enroll as Federal Contractors in E-verify and
use E-verify to verify employment eligibility of all employees assigned to the award.
All resultant contracts from this solicitation will include FAR 52.222-54,
“Employment Eligibility Verification.”
The Responsibility/Qualification section of SAM.gov will be used in making a
judgment about the entity’s integrity, business ethics, and record of performance
under Federal awards that may affect the official’s determination that the Proposer
is qualified to receive an award.
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d) Wide Area Work Flow (WAWF): Unless using another means of invoicing,
performers will be required to submit invoices for payment directly at
https://piee.eb.mil/. If applicable, WAWF registration is required prior to any award
under this solicitation.
C. FAR / DFARS / Local Command Provisions and Clauses:
1. Anticipated Terms and Conditions
For purposes of illustration and not of limitation, the following provisions and clauses may be
applicable, as amended, to NAWCAD contracts:
Number Provision/Clause
52.202-1 Definitions
Price or Fee Adjustment for Illegal or Improper
52.203-10
Activity
Certification and Disclosure Regarding Payments
52.203-11
to Influence Certain Federal Transactions
Limitation on Payments to Influence Certain
52.203-12
Federal Transactions
52.203-13 Contractor Code of Business Ethics and Conduct
52.203-14 Display of Hotline Posters
Prohibition on Contracting with Entities that
52.203-18 Require Certain Internal Confidentiality
Agreements or Statements - Representation
Prohibition on Requiring Certain Internal
52.203-19
Confidentiality Agreements or Statements
52.203-2 Certificate of Independent Price Determination
52.203-3 Gratuities
52.203-5 Covenant Against Contingent Fees
Restrictions on Subcontractor Sales to the
52.203-6
Government
52.203-7 Anti-Kickback Procedures
Cancellation, Rescission, and Recovery of Funds
52.203-8
for Illegal or Improper Activity
52.204-1 Approval of Contract
52.204-7 System for Award Management
Reporting Executive Compensation and First-Tier
52.204-10
Subcontract Awards
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