Final DARPA-BAA 10-83 Am 01.pdf

DARPA-BAA-10-83, Strategic Technologies

Strategic Technology Office (STO) Broad Agency Announcement (BAA)

DARPA-BAA-10-83

Strategic Technologies 8 September 2010

(Amendment 1 Version)

TABLE OF CONTENTS

Part One: Overview Information

Part Two: Full Text of Announcement

1. Funding Opportunity Description

1.1. PROGRAM OVERVIEW

2. Award Information

3. Eligibility Information

3.1 ELIGIBLE APPLICANTS

3.1.1 Procurement Integrity, Standards of Conduct, Ethical Considerations, and Organizational Conflicts of Interest

3.2 COST SHARING/MATCHING

4. Application and Submission Information

4.1 ADDRESS TO REQUEST APPLICATION PACKAGE

4.2 SECURITY AND PROPRIETARY ISSUES

4.3 CONTENT AND FORM OF APPLICATION SUBMISSION

4.3.1 Submission Guidelines

4.3.2 Restrictive Markings on Proposals

4.3.3 Executive Summary Information

4.3.4 Executive Summary Format

4.3.5 Proposal Abstract and Discussion with a DARPA/STO PM

4.3.6 Proposal Abstract Format

4.3.7 Proposal Format

5. Application Review Information

5.1 EVALUATION CRITERIA

5.1.1 Overall Scientific and Technical Merit

5.1.2 Potential Contribution and Relevance to the DARPA Mission

5.1.3 Proposer’s Capabilities and/or Related Experience

5.1.4 Cost and Schedule Realism

5.1.5 Plans and Capability to Accomplish Technology Transition

5.2 REVIEW AND SELECTION PROCESS

6. Award Administration Information

6.1 AWARD NOTICES

6.2 ADMINISTRATIVE AND NATIONAL POLICY REQUIREMENTS

6.2.1 Meeting and Travel Requirements

6.2.2 Human Use

6.2.3 Animal Use

6.2.4 Publication Approval

6.2.5 Export Control

6.2.6 Subcontracting

6.2.7 Electronic and Information Technology

6.2.8 Employment Eligibility Verification

6.3 REPORTING

6.3.1 Central Contractor Registration (CCR) ....................... Error! Bookmark not defined.

6.3.2 Representations and Certifications

6.3.3 Wide Area Work Flow (WAWF)

7. AGENCY CONTACTS

8. OTHER INFORMATION

8.1 INTELLECTUAL PROPERTY

8.1.1 PROCUREMENT CONTRACT PROPOSERS

8.1.1.1 Noncommercial Items (Technical Data and Computer Software)

8.1.1.2 Commercial Items (Technical Data and Computer Software)

8.2 NONPROCUREMENT CONTRACT PROPOSERS - Noncommercial and

Commercial Items (Technical Data and Computer Software)

8.3 ALL PROPOSERS – PATENTS

8.3.1 All Proposers-Intellectual Property Representations

9. APPENDIX 1: Volume 1 Cover Sheet Template

10. APPENDIX 2: Volume 2 Cover Sheet, Checklist and Sample Templates

Part One: Overview Information

• Federal Agency Name – Defense Advanced Research Projects Agency (DARPA), Strategic Technology Office

• Funding Opportunity Title – Strategic Technologies

• Announcement Type – Initial announcement

• Funding Opportunity Number – Broad Agency Announcement (BAA) DARPA-BAA-

10-83

• Catalog of Federal Domestic Assistance Numbers (CFDA) – 12.910 Research and

Technology Development

• Dates o BAA Posting Date: 8 September 2010 o BAA Closing Date: 7 September 2011

• Anticipated individual awards – Multiple awards are anticipated.

• Types of instruments that may be awarded -- Procurement contract, grant, cooperative agreement or other transaction.

• Agency contact --The BAA Coordinator for this effort can be reached at BAA10-

83@darpa.mil.

DARPA/STO

ATTN: DARPA-BAA 10-83

3701 North Fairfax Drive Arlington, VA 22203-1714

Part Two: Full Text of Announcement

1. FUNDING OPPORTUNITY DESCRIPTION

The Defense Advanced Research Projects Agency often selects its research efforts through the Broad Agency Announcement (BAA) process. The BAA will appear first on the FedBizOpps website, http://www.fedbizopps.gov/, and/or Grants.gov website at http://www.grants.gov/. The following information is for those wishing to respond to the BAA.

The Defense Advanced Research Projects Agency’s (DARPA) Strategic Technology Office (STO) is soliciting innovative proposals under this BAA for the performance of research, development, design, and testing that directly supports Strategic Technology Office (STO). This includes Communications, Networks and Electronic Warfare; Energy and Self-Sufficient Operations; Finding Difficult Targets; Recapturing Surprise; and Core Strategic Technologies.

Proposed research should investigate innovative approaches that enable revolutionary advances in science, devices, or systems. Specifically excluded is research that primarily results in evolutionary improvements to the existing state of practice.

1.1. PROGRAM OVERVIEW

Research supporting any of STO's broad mission objectives identified in the Funding Opportunity Description above may be submitted under this BAA. Topic areas of specific interest include, but are not limited to, the following:

I. Communications, Networks and Electronic Warfare

a. Applications, architecture, control and management, and hardware systems for multi-terabit, fiber-optic core, edge and mobile-platform networks;

b. Approaches to inter-connect wave-division multiplexed backbone communications infrastructures with IP-based metropolitan networks (may include route discovery/distribution and new addressing schemes);

c. Miniature, low power sensors and networks;

d. Network centric warfare, including novel approaches to the development, implementation, and control of networked weapons systems;

e. Network storage and caching protocols for reducing long-haul communications loads;

f. New approaches to self-forming, wireless, mesh networks of over 10,000 devices with high throughput (at least 50 Mbps across the network between two end-points);

This may include work on multiple frequencies, graph partitioning, and sub-net allocations;

g. Novel approaches for the development, implementation and control of heterogeneous networks of human decision makers and human-operated or autonomous sensors and weapons;

h. Novel approaches to effect collaboration among human decision makers in heterogeneous, coalition environments;

i. Novel approaches to monitor, visualize and recommend alternative courses-of-action in the management and defense of massive, heterogeneous wide-area networks (5 million nodes);

j. Size-weight-power reduced soldier electronics and communications devices;

k. Sensing and communication applications in high multipath urban environments;

l. Unmanned systems - Heterogeneous networks of vehicles and sensors;

m. Distributed multi-static sensor networks;

n. Improved communications across rugged terrain among assets, and for exfiltration uplinks;

o. Novel communications for distributed sensors and platforms over expansive maritime operating areas;

p. Communication protocols for wireless distributed computing;

q. Novel cognitive techniques for improving the performance of cognitive radios and cognitive networks;

r. Cognitive techniques to recognize emergent behaviors of complex networks, and respond appropriately to those emergent behaviors;

s. Breakthrough techniques for visualization or human understanding of properties of many or all layers of protocol in communication waveforms;

t. Smart antenna technologies;

u. Multimission software defined communication architectures;

v. Advanced nonlinear signal processing techniques for communication waveform design, synthesis, modulation, acquisition or demodulation;

w. Processor architectures leading to dramatic power savings in communication radio or sensor implementation;

x. Sensor information compression by extracting and source coding actionable intelligence;

y. Autonomous situational awareness and adaption of electronic systems;

z. Generation and detection of high frequency gravitational waves;

aa. Novel approaches to derive confidence of identity of remote information, users, processes, and devices in dynamic, untrusted, networked environments;

bb. Novel approaches to measure, compare, and assess alternative information operations tools and effects;

cc. Trustworthy computing in mobile environments;

dd. Methods to protect against network disruption;

ee. Identification of influence propagated across disparate networks;

ff. Software tools for communication waveform development and deployment;

gg. Electrically small antennae;

hh. Simultaneously receive and transmit technologies;

ii. Distributed electronic warfare concepts.

II. Energy and Self-Sufficient Operations

a. Novel low weight/high efficiency power generator technologies;

b. Power harvesting technologies and devices;

c. Energy-related power systems and portable power technologies;

d. Geothermal energy systems;

e. High power density air independent propulsion;

f. Power harvesting technologies and devices from earth's electro-magnetic or magneto-telluric fields;

g. Large scale efficient energy storage;

h. Large scale efficient hydrogen storage;

i. High efficiency electrolyzers;

j. Regenerative or reverse solid oxide fuel cells;

k. Fuel flexible generator;

l. Technologies for operating with thermal vents: extracting energy, discovering, and surveying;

m. Air independent energy storage and generation systems.

III. Finding Difficult Targets

a. Close-in and standoff sensor concepts;

b. Determining structural layout or locations of specific vulnerabilities;

c. Development and demonstration of technologies to find unknown facilities, on both strategic and tactical timelines;

d. Identification of facility function;

e. Monitoring pace of activity;

f. Enhancing post-attack bomb damage assessment (BDA);

g. Exploitation of novel observables or substantially improved methods of detecting/analyzing observables, including active source methods;

h. Improved deployable ground and airborne sensors;

i. New methods for characterizing activities associated with tunnels and caves, to include small and unimproved sites, in both urban and rural areas;

j. New methods for sensor and system modeling;

k. Large geophysical inversions of multi-source data;

l. Global tailored tactical surveillance;

m. Novel systems and enabling technologies for high-resolution, deep sub-canopy imaging;

n. Wide-area urban tracking architectures;

o. Low cost stand-off concealed weapons detection;

p. Miniature, low power sensors and networks;

q. Non-acoustic bullet detection and tracking technology;

r. Non-cooperative LPD building interior imaging systems;

s. Novel laser remote sensing, laser radar, LADAR and LIDAR systems concepts, techniques and enabling technologies;

t. Novel methods for tracking, localization, and identification;

u. Novel miniature, low cost RADAR system concepts;

v. Novel precision navigation and real-time targeting systems concepts and technologies;

w. Novel systems and enabling technologies for high-resolution, deep sub-canopy imaging;

x. Positive detection of urban threats;

y. Wide-area urban tracking architectures / methods for rapid cueing of wide-area surveillance systems;

z. Novel technologies and systems to identify threats prior to building entry;

aa. Sensor systems for determining building layouts and personnel within buildings;

bb. Maritime surveillance systems and technologies;

cc. Unique concepts for tagging, tracking, and locating;

dd. Non-traditional approaches for active low-power sonar;

ee. Solutions for rapid deployment of multiple small-scale sensors;

ff. Novel submarine signature exploitation for detection and classification;

gg. Advanced 3D image processing, analysis and feature extraction approaches;

hh. Lensless and computational imaging;

ii. Enabling active electro-optical sensing technology and system concepts for advanced sensing and countermeasures;

jj. Ultra-sensitive R.F. receivers;

kk. Remote detection of concealed explosives;

ll. Long-range laser radar systems;

mm. High-resolution 3-D imaging systems;

nn. Innovative urban sensing systems and networked architectures;

oo. Innovative thermal inertia imaging technologies and concepts;

pp. Novel synergistic EW/ISR approaches;

qq. Remote optical sensing technologies;

rr. Miniature, low power underwater (water column and bottom mounted) sensors and networks;

ss. Deep Ocean surveillance sensing technology for monitoring: submarines, critical infrastructure, surface activity, and shore activity;

tt. Novel non-acoustic ASW sensing technology that exploits extended or secondary signatures;

uu. Remote detection of acoustic signals on the ocean surface from aircraft;

vv. Efficient, high energy per pulse, high PRF blue laser transmitter, with a narrow bandwidth receiver filter and high quantum efficiency receiver.

IV. Recapturing Surprise

a. Chemical, biological, radiological, nuclear, and environmental sensors;

b. Sensing approaches for material identification;

c. Proximate sensing using cellular automata;

d. Long-range sensing of WMD development and deployment; countermeasures;

e. Advanced sighting systems for tactical operations;

f. Direction finding capabilities for urban applications;

g. Novel approaches for the development and implementation of irregular warfare;

h. Novel technologies to enable tactical, operational, and strategic level distributed operations;

i. Signature reduction (low probability of detection/intercept);

j. Tactical lighting and imaging devices and technologies (including both visible and IR spectrum);

k. Tactical optical systems that aid and enhance the ability of the warfighter;

l. Novel approaches to significantly reduce the cost of undersea warfare without compromising capability;

m. Breathalyzer for rapid and sensitive determination of human health;

n. Shock mitigation for high speed maritime platforms;

o. GPS-free guidance and navigation;

p. Revolutionary drag reduction technologies;

q. Novel materials and fabrication methods for gradient index optical lenses;

r. Plug-and-play architectures for navigation systems;

s. Novel underwater high-maneuverability propulsion system;

t. Unmanned long-duration, high-speed underwater vehicles;

u. Arctic indications and warnings technologies and systems;

v. Novel under-ice technology for Arctic access, measurement, situation awareness’, and submarine operations;

w. Deep Ocean (>5 km) operations technology: sensors, platforms, energy, and communication;

x. Additive fabrication for custom 3D manufacturing of mixed material optics;

y. Novel approaches to low cost sensor and system integration;

z. Novel sensor and system concepts enabled by 3D gradient index optics;

aa. Novel surface coatings for extreme environments;

bb. Remote standoff detection of magnetic fields in the ocean;

cc. Anti-tamper technologies.

V. Core Strategic Technologies

a. High-power pulsed lasers;

b. Materials and composites with spatially tunable elastic properties;

c. Applied quantum mechanics;

d. Advanced electronic vision and situation-awareness devices, algorithms, and systems;

e. Innovative methods to visualize complex, self-organizing systems;

f. Novel three-dimensional data visualization and projection methods;

g. Exploitation of human visual psychophysics for efficiently conveying or hiding information;

h. Advanced battlefield forensic techniques to track highly mobile insurgent forces;

i. Non-mechanical laser beam steering and zooming;

j. Compact laser weapon system approaches for tactical platforms;

k. Cyber physical/embedded systems.

l. Cyber testing

2. AWARD INFORMATION

Multiple awards are possible. The amount of resources made available under this BAA will depend on the quality of the proposals received and the availability of funds.

The Government reserves the right to select for negotiation all, some, one, or none of the proposals received in response to this solicitation, and to make awards without discussions with proposers. The Government also reserves the right to conduct discussions if it is later determined to be necessary. If warranted, portions of resulting awards may be segregated into pre-priced options. Additionally, DARPA reserves the right to accept proposals in their entirety or to select only portions of proposals for award. In the event that DARPA desires to award only portions of a proposal, negotiations may be opened with that proposer. The Government reserves the right to fund proposals in phases with options for continued work at the end of one or more of the phases.

Awards under this BAA will be made to proposers on the basis of the evaluation criteria listed below (see section labeled “Application Review Information,” Section 5), and program balance to provide overall value to the Government. Proposals identified for negotiation may result in a procurement contract, grant, cooperative agreement, or other transaction depending upon the nature of the work proposed, the required degree of interaction between parties, and other factors. The Government reserves the right to request any additional, necessary documentation once it makes the award instrument determination. Such additional information may include but is not limited to Representations and Certifications. The Government reserves the rights to remove proposers from award consideration should the parties fail to reach agreement on award terms, conditions and cost/price within a reasonable time or the proposer fails to timely provide required additional information.

As of the date of publication of this BAA, DARPA cannot identify whether or not the work under this BAA may be considered 'fundamental research,' i.e., basic and applied research in science and engineering, the results of which ordinarily are published and shared broadly within the scientific community, as distinguished from proprietary research and from industrial development, design, production, and product utilization the results of which ordinarily are restricted for proprietary or national security reasons. Notwithstanding this statement of expectation, DARPA is not prohibited from considering and selecting research proposals that, while perhaps not qualifying as 'fundamental research' under the foregoing definition, still meet the BAA criteria for submissions. In all cases, the contracting officer shall have sole discretion to select award instrument type and to negotiate all instrument provisions with selectees.

3. ELIGIBILITY INFORMATION

3.1 ELIGIBLE APPLICANTS

All responsible sources capable of satisfying the Government's needs may submit a proposal that shall be considered by DARPA. Historically Black Colleges and Universities (HBCUs), Small Businesses, Small Disadvantaged Businesses and Minority Institutions (MIs) are encouraged to submit proposals and join others in submitting proposals; however, no portion of this announcement will be set aside for these organizations’ participation due to the impracticality of reserving discrete or severable areas of this research for exclusive competition among these entities.

Federally Funded Research and Development Centers (FFRDCs) and Government entities (Government/National laboratories, military educational institutions, etc.) are subject to applicable direct competition limitations and cannot propose to this BAA in any capacity unless they meet the following conditions. FRRDCs must clearly demonstrate that the work is not otherwise available from the private sector AND they also provide a letter on letterhead from their sponsoring organization citing the specific authority establishing their eligibility to propose to government solicitations and compete with industry, and compliance with the associated FFRDC sponsor agreement and terms and conditions. This information is required for FFRDCs proposing to be prime or subcontractors. Government entities must clearly demonstrate that the work is not otherwise available from the private sector and provide written documentation citing the specific statutory authority (as well as, where relevant, contractual authority) establishing their ability to propose to Government solicitations. At the present time, DARPA does not consider 15 U.S.C. 3710a to be sufficient legal authority to show eligibility. While 10 U.S.C.

2539b may be the appropriate statutory starting point for some entities, specific supporting regulatory guidance, together with evidence of agency approval, will still be required to fully establish eligibility. DARPA will consider eligibility submissions on a case-by-case basis;

however, the burden to prove eligibility for all team members rests solely with the Proposer.

Foreign participants and/or individuals may participate to the extent that such participants comply with any necessary Non-Disclosure Agreements, Security Regulations, Export Control Laws, and other governing statutes applicable under the circumstances.

Applicants considering classified submissions (or requiring access to classified information during the life-cycle of the program) shall ensure all industrial, personnel, and information system processing security requirements are in place and at the appropriate level (e.g., Facility Clearance (FCL), Personnel Security Clearance (PCL), certification and accreditation (C&A)) and any Foreign Ownership Control and Influence (FOCI) issues are mitigated prior to such submission or access. Additional information on these subjects can be found at: www.dss.mil.

3.1.1 Procurement Integrity, Standards of Conduct, Ethical Considerations, and Organizational Conflicts of Interest

Current federal employees are prohibited from participating in particular matters involving conflicting financial, employment, and representational interests (18 USC 203, 205, and 208).

Prior to the start of proposal evaluations, the Government will assess potential conflicts of interest and will promptly notify the proposer if any appear to exist. (Please note the Government assessment does NOT affect, offset, or mitigate the proposer’s own duty to give full notice and planned mitigation for all potential organizational conflicts, as discussed below.)

All Proposers and proposed subcontractors must affirm whether they are providing scientific, engineering, and technical assistance (SETA) or similar support to any DARPA technical office(s) through an active contract or subcontract. All affirmations must state which office(s) the Proposer supports and identify the prime contract numbers. Affirmations shall be furnished at the time of proposal submission. All facts relevant to the existence or potential existence of organizational conflicts of interest (FAR 9.5) must be disclosed. The disclosure shall include a description of the action the Proposer has taken or proposes to take to avoid, neutralize, or mitigate such conflict. In accordance with FAR 9.503 and without prior approval or a waiver from the DARPA Director, a Contractor cannot simultaneously be a SETA and Performer.

Proposals that fail to fully disclose potential conflicts of interests and/or do not have plans to mitigate this conflict will be rejected without technical evaluation and withdrawn from further consideration for award.

If a prospective Proposer believes that any conflict of interest exists or may exist (whether organizational or otherwise), the Proposer should promptly raise the issue with DARPA by sending Proposer’s contact information and a summary of the potential conflict by email to the mailbox address for this BAA at BAA10-83@darpa.mil, before time and effort are expended in preparing a proposal and mitigation plan. If, in the sole opinion of the Government after full consideration for the circumstances, any conflict situation cannot be effectively mitigated, the proposal may be returned without technical evaluation and withdrawn from further consideration for award under this BAA.

3.2 COST SHARING/MATCHING

Cost sharing is not required for this particular program; however, cost sharing will be carefully considered where there is an applicable statutory condition relating to the selected funding instrument (e.g., for any Other Transactions under the authority of 10 U.S.C. § 2371). Cost sharing is encouraged where there is a reasonable probability of a potential commercial application related to the proposed research and development effort.

4. APPLICATION AND SUBMISSION INFORMATION

4.1 ADDRESS TO REQUEST APPLICATION PACKAGE

This solicitation contains all information required to submit a proposal. No additional forms, kits, or other materials are needed. This notice constitutes the total BAA. No additional information is available, nor will a formal Request for Proposal (RFP) or additional solicitation regarding this announcement be issued. Requests for same will be disregarded.

4.2 SECURITY AND PROPRIETARY ISSUES

NOTE: If proposals are classified, the proposals must indicate the classification level of not only the proposal itself, but also the anticipated award document classification level.

The Government anticipates proposals submitted under this BAA will be unclassified. However, if a proposal is submitted as “Classified National Security Information” as defined by Executive Order 13526 as amended, then the information must be marked and protected as though classified at the appropriate classification level and then submitted to DARPA for a final classification determination.

Proposers choosing to submit a classified proposal from other classified sources must first receive permission from the respective Original Classification Authority in order to use their information in replying to this BAA. Applicable classification guide(s) should also be submitted to ensure the proposal is protected at the appropriate classification level.

Classified submissions shall be appropriately and conspicuously marked with the proposed classification level and declassification date. Submissions requiring DARPA to make a final classification determination shall be marked as follows:

CLASSIFICATION DETERMINATION PENDING. Protect as though classified (insert the recommended classification level: (e.g., Top Secret, Secret or Confidential).

Classified submissions shall be in accordance with the following guidance:

Confidential and Secret Collateral Information: Use classification and marking guidance provided by previously issued security classification guides, the Information Security Regulation (DoD 5200.1-R), and the National Industrial Security Program Operating Manual (DoD 5220.22-M) when marking and transmitting information previously classified by another Original Classification Authority. Classified information at the Confidential and Secret level may be mailed via appropriate U.S. Postal Service methods (e.g., USPS) Registered Mail or USPS Express Mail. All classified information will be enclosed in opaque inner and outer covers and double wrapped. The inner envelope shall be sealed and plainly marked with the assigned classification and addresses of both sender and addressee. The inner envelope shall be addressed to:

Defense Advanced Research Projects Agency

ATTN: STO

Reference: DARPA-BAA-10-83

The outer envelope shall be sealed with no identification as to the classification of its contents and addressed to:

Defense Advanced Research Projects Agency Security & Intelligence Directorate, Attn: CDR

All Top Secret materials: Top Secret information should be hand carried by an appropriately cleared and authorized courier to the DARPA CDR. Prior to traveling, the courier shall contact the DARPA CDR at 571 218-4842 to coordinate arrival and delivery.

Special Access Program (SAP) Information: SAP information must be transmitted via approved methods. Prior to transmitting SAP information, contact the DARPA SAPCO at 703-526-4052 for instructions.

Sensitive Compartmented Information (SCI) Data: SCI must be transmitted via approved methods. Prior to transmitting SCI, contact the DARPA Special Security Office (SSO) at 703- 248-7213 for instructions.

Proprietary Data: All proposals containing proprietary data should have the cover page and each page containing proprietary data clearly marked as containing proprietary data. It is the Proposer’s responsibility to clearly define to the Government what is considered proprietary data.

Security classification guidance via a DD Form 254, “DoD Contract Security Classification Specification” will not be provided at this time since DARPA is soliciting ideas only. After reviewing the incoming proposals, if a determination is made that the award instrument may result in access to classified information a DD Form 254 will be issued and attached as part of the award.

Proposers must have existing and in-place prior to execution of an award, approved capabilities (personnel and facilities) to perform research and development at the classification level they propose.

It is the policy of DARPA to treat all proposals as competitive information, and to disclose their contents only for the purpose of evaluation. Proposals will not be returned. The original of each proposal received will be retained at DARPA and all other non-required copies destroyed. A certification of destruction may be requested, provided that the formal request is received at this office within 5 days after unsuccessful notification.

4.3 CONTENT AND FORM OF APPLICATION SUBMISSION

4.3.1 Submission Guidelines

For all responses to this BAA, the responder must clearly identify the technical topic area(s) the proposed effort seeks to address.

In order to reduce the administrative burden on proposers and the Government and in an attempt to mitigate unnecessary costs associated with the generation of proposals that are not of interest to DARPA/STO, described herein is the Government’s process for submittal of information for evaluation. Any responsible proposer is encouraged to respond.

Executive summaries, proposal abstracts and/or full proposals that are submitted electronically in response to DARPA-BAA-10-83 must be submitted through DARPA’s T-FIMS BAA Submission System (T-FIMS). (NOTE: Grant or cooperative agreement submissions may be made via www.Grants.gov by using the “Apply for Grants” function.) Instructions on how to submit proposal abstracts and/or proposals via T-FIMS can be found at the following link:

https://www.tfims.darpa.mil/baa/baalist.asp. A thorough read of these instructions guarantees successful submission to T-FIMS and explains all the necessary steps to submitting proposals through T-FIMS. Proposers using T-FIMS may encounter heavy traffic on the web server, and T-FIMS requires a registration and certificate installation for all proposers, proposers should not wait until the day the proposal is due to create an account in T-FIMS and submit the proposal.

All items submitted electronically via the T-FIMS BAA Submission System must be encrypted using WinZip or PKZip with 256-bit AES encryption. Only one zipped/encrypted file will be accepted per proposal and proposals not zipped/encrypted will be rejected by DARPA. An encryption password form must be completed and emailed to BAA10-83@darpa.mil at the time of proposal submission. See https://www.tfims.darpa.mil/baa/ for the encryption password form.

Note the word “PASSWORD” must appear in the subject line of the above email and there are minimum security requirements for establishing the encryption password. Failure to provide the encryption password may result in the proposal not being evaluated. For further information and instructions on how to zip and encrypt proposal files, see https://www.tfims.darpa.mil/baa/.

Grant or cooperative agreement proposals may only be submitted to DARPA through Grants.gov or in hard-copy. Grant or cooperative agreement proposals may not be submitted through any other means (including T-FIMS and other comparable systems). If proposers intend to use Grants.gov as their means of submission, then they must submit their entire proposal through Grants.gov; applications cannot be submitted in part to Grants.gov and in part as a hard-copy.

Proposers using the Grants.gov APPLY do not submit paper proposals in addition to the Grants.gov APPLY electronic submission.

Proposers must complete the following steps in the order listed below before submitting proposals on Grants.gov (these steps are also detailed at www.grants.gov/applicants/get_registered.jsp):

• Proposers must obtain a DUNS number

• Proposers must register their organization in the Central Contractor Registration (CCR)

(https://www.bpn.gov/CCRSearch/Search.aspx)

• Proposers must register the Authorized Organization Representative (AOR) in Grants.gov

• Proposers must have the organization’s E-BIZ point of contact authorize the AOR to submit applications.

Proposers electing to submit grant or cooperative agreement proposals as hard copies must complete the SF 424 R&R form (Application for Federal Assistance, Research and Related) available on the Grants.gov website http://www.grants.gov/agencies/aapproved_standard_forms.jsp#2.

All administrative correspondence and questions on this solicitation, including requests for information on how to submit an executive summary, proposal abstract or proposal to this BAA, should be directed to BAA10-83@darpa.mil. DARPA intends to use electronic mail and fax for correspondence regarding DARPA-BAA-10-83. Executive summaries, proposals and proposal abstracts may not be submitted by fax or e-mail; any so sent will be disregarded. DARPA encourages use of the Internet for retrieving the BAA and any other related information that may subsequently be provided.

4.3.2 Restrictive Markings on Proposals

All proposals should clearly indicate limitations on the disclosure of their contents. Proposers who include in their proposals data that they do not want disclosed to the public for any purpose, or used by the Government except for evaluation purposes, shall-

(1) Mark the title page with the following legend:

This proposal includes data that shall not be disclosed outside the Government and shall not be duplicated, used, or disclosed-in whole or in part-for any purpose other than to evaluate this proposal. If, however, a contract is awarded to this proposer as a result of, or in connection with, the submission of this data, the Government shall have the right to duplicate, use, or disclose the data to the extent provided in the resulting contract. This restriction does not limit the Government's right to use information contained in this data if it is obtained from another source without restriction. The data subject to this restriction are contained in sheets [insert numbers or other identification of sheets]; and

(2) Mark each sheet of data it wishes to restrict with the following legend:

Use or disclosure of data contained on this sheet is subject to the restriction on the title page of this proposal.

Markings like "Company Confidential" or other phrases that may be confused with national security classifications shall be avoided. See Section 4.2 for additional information.

4.3.3 Executive Summary Information

Proposers are strongly encouraged to submit an executive summary in advance of a proposal.

This procedure is intended to minimize unnecessary effort in proposal preparation and review.

Executive summaries will be reviewed as they are received. DARPA will acknowledge receipt of the submission and assign a control number that should be used in all further correspondence regarding the executive summary.

DARPA will attempt to review executive summaries within thirty (30) calendar days after receipt. If DARPA/STO does not have interest in your Executive Summary you will be notified by a formal letter. If DARPA/STO is interested in receiving more information on your submission, you will be notified, by a formal letter, of DARPA’s interest in receiving either a proposal abstract or full proposal. Proposers should then expect to develop a Proposal Abstract (see paragraph 4.3.7.) or a Proposal (see paragraph 4.3.8).

4.3.4 Executive Summary Format

All submissions must be in the following format – nonconforming submissions may be rejected without further review. The executive summary should be clearly marked "EXECUTIVE SUMMARY" and the total length shall not exceed one (1) page. A page is defined as being no larger than 8.5” by 11.0”. (Accordion-style foldouts will be counted as multiple pages equivalent to the expanded size.) Proposals must be written in English, and with 1-inch margins (left, right, top, and bottom) on each page and contain no smaller than 12-point font type.

The page limitation for executive summaries includes all point of contact information, figures, tables, and charts. Do not submit additional copies of the same executive summary for different technical topic areas. If an executive summary applies to more than one area, simply indicate that fact.

Proposers must submit their one-page executive summary via the web-based TFIMS application at http://www.tfims.darpa.mil/baa. (NOTE: Grant or cooperative agreement submissions may be made via www.grants.gov by using the “Apply for Grants” function.) The executive summary must be in PDF or an MS Word readable application. No facsimile or hard copy submissions will be accepted.

DARPA/STO will endeavor to respond to executive summaries in an expeditious and timely manner. If DARPA/STO does not have interest in your Executive Summary you will be notified by a formal letter. If DARPA/STO is interested in receiving more information on your submission, you will be notified, by a formal letter, of DARPA’s interest in receiving either a proposal abstract or full proposal. Proposers should then expect to develop a Proposal Abstract (see paragraph 4.3.7.) or a Proposal (see paragraph 4.3.8).

4.3.5 Proposal Abstract and Discussion with a DARPA/STO PM

Proposal abstracts are encouraged in advance of proposals in order to provide potential proposers with a rapid response to minimize unnecessary effort. Discussions at this step with the DARPA/STO Program Manager are intended to further explore the concepts, ideas, and other areas of interest presented in the Executive Summary. Proposers may be able to further discuss the technical merits of their concept with a DARPA/STO PM. The purpose of the Proposal Abstract is to permit the submitter to present a more detailed explanation of the idea/concept, its technical merit and military relevance. The submitter should articulate the innovative concept and technology development needed with respect to demonstrable metrics. The submission of the Proposal Abstract should be used by the proposer to avoid unnecessary expense in proposal generation for ideas that may not be selected within this BAA. Proposers should explain in the Proposal Abstract the feasibility of idea/concept transition to the military, other government agencies or organizations, or other interested users, as applicable. Additionally, proposers should clearly specify the intended demonstrable improvements over current systems, explain transition paths, specify tentative schedules, and provide a rough estimate of cost. DARPA/STO will endeavor to respond to proposal abstracts in an expeditious and timely manner.

DARPA will respond to proposal abstracts with a statement regarding DARPA’s interest in the idea. DARPA will attempt to reply to proposal abstracts via letter within thirty (30) calendar days of receipt. Should a proposer be discouraged from submitting a full proposal, the letter will contain feedback for the proposer regarding the rationale for the decision not to recommend a full proposal be submitted. Proposal abstracts will be reviewed in the order they are received.

Regardless of DARPA’s response to a proposal abstract, proposers may submit a full proposal.

DARPA will review all full proposals submitted using the published evaluation criteria and without regard to any comments resulting from the review of a proposal abstract.

4.3.6 Proposal Abstract Format

Proposal abstracts should follow the same general format as described for Volume I under PROPOSAL FORMAT (see below), but include ONLY Sections I and II. The cover sheet should follow the template found in APPENDIX 1 (Volume 1 Cover Sheet Template) to this solicitation, clearly label the submission “proposal abstract,” and the total length should not exceed 6 pages, excluding cover page and official transmittal letter. All pages shall be printed on 8-1/2 by 11 inch paper with type not smaller than 12 point. Smaller font may be used for figures, tables and charts. The page limitation for proposal abstracts includes all figures, tables, and charts. No formal transmittal letter is required. All proposal abstracts must be written in English.

Proposers must submit their proposal abstracts via the web-based TFIMS application at http://www.tfims.darpa.mil/baa. (NOTE: Grant or cooperative agreement submissions may be made via www.grants.gov by using the “Apply for Grants” function.) The submission shall include one (1) electronic copy of the proposal abstract. Electronic copies must be in PDF or an MS Word readable application.

4.3.7 Proposal Format

The typical proposal should express a consolidated effort in support of one or more related technical concepts or ideas. Disjointed efforts should not be included into a single proposal.

Regardless of the recommendation during the executive summary or proposal abstract phases, the decision to propose is the responsibility of the proposer. All submitted proposals will be fully reviewed regardless of the disposition of the executive summary or proposal abstract.

Restrictive notices notwithstanding, proposals may be handled, for administrative purposes only, by a support contractor. This support contractor is prohibited from competition in DARPA technical research and is bound by appropriate nondisclosure requirements. Executive summaries, proposal abstracts and full proposals may not be submitted by fax or e-mail; any so sent will be disregarded.

All proposals must be in the format given below. Nonconforming proposals may be rejected without review. Proposals shall consist of two volumes. All pages shall be printed on 8-1/2 by 11 inch paper with type not smaller than 12 point. Smaller font may be used for figures, tables and charts. The page limitation for proposals includes all figures, tables, and charts. Volume I, Technical and Management Proposal, may include an attached bibliography of relevant technical papers or research notes (published and unpublished) which document the technical ideas and approach upon which the proposal is based. Copies of not more than three (3) relevant papers can be included with the submission. The bibliography and attached papers are not included in the page counts given below. The submission of other supporting materials along with the proposals is strongly discouraged and will not be considered for review. The total length of Volume I shall not exceed 50 pages. All proposals must be written in English.

Proposers must submit their full proposal via the web-based TFIMS application at http://www.tfims.darpa.mil/baa. (NOTE: Grant or cooperative agreement proposals may only be submitted to DARPA via www.Grants.gov or in hard-copy.) The submission shall include one

(1) electronic copy of the proposal abstract. Electronic copies must be in PDF or an MS Word readable application.

4.3.8.1 Volume I, Technical and Management Proposal

Section I. Administrative

A. Cover sheet. Format to be followed using the template provided as APPENDIX 1 (Volume 1 Cover Sheet Template) to this announcement.

B. Official transmittal letter.

Section II. Summary of Proposal

A. Innovative claims for the proposed research. This section is the centerpiece of the proposal and should succinctly describe the uniqueness and benefits of the proposed approach relative to the current state-of-art alternate approaches.

B. Deliverables associated with the proposed research and the plans and capability to accomplish technology transition and commercialization. Include in this section all proprietary claims to the results, prototypes, intellectual property, or systems supporting and/or necessary for the use of the research, results, and/or prototype. If there are not proprietary claims, this should be stated.

C. Cost, schedule and measurable milestones for the proposed research, including estimates of cost for each task in each year of the effort delineated by the prime and major subcontractors, total cost and company cost share, if applicable. Note: Measurable milestones should capture key development points in tasks and should be clearly articulated and defined in time relative to start of effort. These milestones should enable and support a decision for the next part of the effort.

D. Technical rationale, technical approach, and constructive plan for accomplishment of technical goals in support of innovative claims and deliverable production. (In the proposal, this section should be supplemented by a more detailed plan in Section III.)

E. General discussion of other research in this area.

F. A clearly defined organization chart for the program team which includes, as applicable: (1) the programmatic relationship of team member; (2) the unique capabilities of team members;

(3) the task of responsibilities of team members; (4) the teaming strategy among the team members; and (5) the key personnel along with the amount of effort to be expended by each person during each year.

G. A one slide summary of the proposal in PowerPoint that quickly and succinctly indicates the concept overview, key innovations, expected impact, and other unique aspects of the proposal.

Section III. Detailed Proposal Information

A. Statement of Work (SOW) - In plain English, clearly define the technical tasks/subtasks to be performed, their durations, and dependencies among them. The page length for the SOW will be dependent on the amount of the effort. 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/activity;

• Identification of the primary organization responsible for task execution

(prime, sub, team member, by name, etc.);

• The completion criteria for each task/activity - a product, event or milestone that defines its completion;

• Define all deliverables (reporting, data, reports, software, etc.) to be provided to the Government in support of the proposed research tasks/activities.

Note: It is recommended that the SOW be developed so that each Phase of the program is separately defined. Do not include any proprietary information in the SOW.

B. Description of the results, products, transferable technology, and expected technology transfer path enhancing that of Section II. B. This should also address mitigation of life-cycle and sustainment risks associated with transitioning intellectual property for U.S.

military applications, if applicable. See also Section 7.1 “Intellectual Property.”

C. Detailed technical approach enhancing and completing that of Section II.

D. Comparison with other ongoing research indicating advantages and disadvantages of the proposed effort.

E. Discussion of proposer’s previous accomplishments and work in closely related research areas.

F. Description of the facilities that would be used for the proposed effort. This section should address how safeguarding of materials will be handled at each facility to include classified materials when applicable.

G. Detail support enhancing that of Section II, including formal teaming agreements which are required to execute this program.

H. Cost schedules and measurable milestones for the proposed research, including estimates of cost for each task in each year of the effort delineated by the primes and major subcontractors, total cost, and any company cost share. Note: Measurable milestones should capture key development points in tasks and should be clearly articulated and defined in time relative to start of effort. These milestones should enable and support a decision for the next part of the effort. Additional interim non-critical management milestones are also highly encouraged at regular intervals. Where the effort consists of multiple portions which could reasonably be partitioned for purposes of funding, these should be identified as options with separate cost estimates for each.

Additionally, proposals should clearly explain the technical approach(es) that will be employed to meet or exceed each program metric and provide ample justification as to why the approach(es) is/are feasible.

Section IV. Additional Information A brief bibliography of relevant technical papers and research notes (published and unpublished) which document the technical ideas upon which the proposal is based. Copies of not more than three (3) relevant papers can be included in the submission.

4.3.8.2 Volume II, Cost Proposal – {No Page Limit}

Cover sheet. Format to be followed using the template provided as APPENDIX 2 (Volume 2 Cover Sheet, Checklist and Sample Templates) to this solicitation.

Checklist. Format to be followed using the template provided as APPENDIX 2 (Volume 2 Cover Sheet, Checklist and Sample Templates) to this solicitation.

Detailed cost breakdown to include:

(1) total program cost broken down by major cost items to include:

i. Direct labor, including individual labor categories or persons, with associated labor hours and numbered direct labor rates.

ii. If consultants are to be used, proposer must provide consultant agreement or other document which verifies the proposed loaded daily/hourly rate.

iii. Indirect costs including Fringe Benefits, Overhead, General and Administrative Expense, Cost of Money, etc. (Must show base amount and rate)

iv. Travel – Number of trips, number of days per trip, departure and arrival destinations, number of people, etc.

v. Other Direct Costs – Should be itemized with costs or estimated costs. Backup documentation should be submitted to support proposed costs.

(2) major program tasks by fiscal year;

(3) an itemization of major subcontracts and equipment purchases, to include: a cost proposal as detailed as the Proposer’s cost proposal; the subcontractor’s cost proposal can be provided in a sealed envelope with the Proposer’s cost proposal. Materials should be specifically itemized with costs or estimated costs. An explanation of any estimating factors, including their derivation and application, shall be provided. Please include a brief description of the Proposers’ procurement method to be used;

(4) an itemization of any information technology (IT)1 purchase including subcontractor cost (NOTE: For IT equipment purchases, include a letter stating why the proposer cannot provide the requested resources from its own funding);

(5) a summary of projected funding requirements by month; and

(6) the source, nature, and amount of…