DARPA-BAA-09-31.doc

Broad Agency Announcement Defense Sciences Research & Technology

Defense Sciences Office (DSO)

DARPA-BAA-09-31

March 6, 2009 4I.

Funding Opportunity Description

10II.

Award Information

11III.

Eligibility Information

11A.

Eligible Applicants

121.

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

13B.

Cost Sharing/Matching

13C.

Other Eligibility Criteria (optional)

131.

Collaborative Efforts

13IV.

Application and Submission Information

13A.

Address to Request Application Package

13B.

Content and Form of Application Submission

131.

Security and Proprietary Issues

15C.

Abstract and Proposal Information

181.

Proposal Abstract Format

192.

Full Proposal Format

26D.

Submission Dates and Times

261.

Proposal Abstract Date

272.

Full Proposal Date

27E.

Intergovernmental Review

27F.

Funding Restrictions

27G. Other Submission Requirements

28V.

Application Review Information

28A.

Evaluation Criteria

30B.

Review and Recommendation Process

30VI.

AWARD ADMINISTRATION INFORMATION

30A.

Award Notices

31B.

Administrative and National Policy Requirements

311.

Meeting and Travel Requirements

312.

Human Use

323.

Animal Use

324.

Publication Approval

345.

Export Control

346.

Subcontracting

347.

Electronic and Information Technology

35C.

Reporting

35D.

Electronic Systems

351.

Central Contractor Registration (CCR)

352.

Representations and Certifications

353.

Wide Area Work Flow (WAWF)

364.

i-Edison

36VII.

AGENCY CONTACTS

36VIII.

OTHER INFORMATION

36A.

Intellectual Property – Procurement Contract Proposers

37B.

Intellectual Property – Non-Procurement Contract Proposers

38C.

All Proposers – Patents

38D.

All Proposers – Intellectual Property Representations

Part One: Overview Information

· Federal Agency Name – Defense Advanced Research Projects Agency (DARPA), Defense Sciences Office (DSO)

· Funding Opportunity Title – Defense Sciences Research & Technology

· Announcement Type – Initial Announcement

· Funding Opportunity Number – Broad Agency Announcement (BAA) DARPA-BAA-09-31

· Catalog of Federal Domestic Assistance Numbers (CFDA) – 12.910 Research and Technology Development

· Dates

· March 6, 2009

· White Papers and Full Proposals due 4:00PM ET, March 8, 2010

· Closing Date, 4:00PM ET, March 8, 2010

· Description of the funding opportunity – The mission of the Defense Advanced Research Projects Agency’s (DARPA) Defense Sciences Office (DSO) is to bridge the gap from fundamental science to applications by identifying and pursuing the most promising ideas within the science and engineering research communities, and transforming these ideas into new DoD capabilities. To carry out this mission, DSO seeks research ideas and areas that might lead to innovations in science and engineering. Therefore, DSO is soliciting proposals for advanced research and development in a variety of enabling technical areas.

· Multiple awards are anticipated.

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

· Agency contact

· Points of Contact:

The BAA Technical POC is Dr. Leo Christodoulou, who can be reached at DSO-BAA@darpa.mil.

The BAA Administrator for this effort can be reached at:

Electronic mail: DARPA-BAA-09-31@darpa.mil

DARPA/DSO

ATTN: DARPA-BAA-09-31

3701 North Fairfax Drive

Arlington, VA 22203-1714

Phone: (571) 218-4565

Solicitations can be viewed at:

Web: http://www.darpa.mil/dso/solicitations/solicit.htm Part Two: Full Text of Announcement I. 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 the Grants.gov website, http://www.grants.gov. The following information is for those wishing to respond to the BAA.

Proposals may be either basic or applied research. However, in all cases, proposers should demonstrate that their proposed effort is aimed at high-risk/high-payoff technologies that have the potential for making, in the 5-10 year timeframe, revolutionary rather than incremental improvements to national security, including emerging threats and operational challenges. While there is no specific requirement for cost and duration of the proposed effort, it is recommended that proposers include a Phase I of 12 to 18 months in length that addresses the most critical issues on the path to success.

Proposals that are not within the topical areas described below may be considered out of scope and may not be evaluated. Likewise, proposals for the integration of existing technologies or development of systems will also be considered out of scope and will not be evaluated.

Physical Sciences:

Quantum Science and Technology: DSO is interested in leading edge experimental and/or theoretical research that advances our understanding of quantum information science and technology to overcome fundamental limits of current processing and communications technologies. Proposed research should offer the potential to dramatically improve the underlying materials, devices, and quantum algorithms or employ novel quantum effects for significant advantage. Research topics of interest include, but are not limited to:

· Enabling technologies for controlling quantum and non-equilibrium behavior (e.g., slowing, storing, and processing of light)

· Understanding and mitigation of decoherence

· Novel types of qubits

· Revolutionary materials for qubits

· Quantum information theory

· Quantum algorithms

· Novel applications of unique quantum properties

· Quantum communication

· Quantum metrology

· Methods and technologies to extract information from quantum systems

Physics of Nano-Materials and Devices: DSO is interested in innovative fundamental and applied research in nano-materials, design methodologies, and potential device application (e.g., navigation, communication, and sensing of chemical, biological, optical, infrared, acoustic, magnetic, and other signals of interest). Research topics of interest include, but are not limited to:

· Nanoscale devices

· Spintronic devices

· Power electronics with applications for improved energy capture and conversion

· Emerging memory technologies

· Unique mechanical and chemical properties and capabilities available at the micro and nanoscale

· Technologies for fabrication of particles and functional structures in the nano- and micro-to-millimeters size range, with arbitrary geometry

· Methods for precise measurement of forces and fields that lend themselves to deployment on mobile platforms (e.g., atom interferometry)

· New methods to achieve precise molecular recognition

Lasers and Photonics: DSO is interested in basic research in lasers, including novel laser architectures and applications. Specific areas of interest include, but are not limited to:

· Ultra-short pulse lasers

· Novel laser implementations including operation in Medium Wave Infrared (MWIR), Low Wave Infrared (LWIR), visible, Ultraviolet (UV), and X-ray spectral ranges

· Modeling for next-generation laser design

· Fundamental emerging of integrated photonic materials and devices

· Photonic-based bio/chemical sensing and processing

· Integrated optical Nanoelectromechanical Systems (NEMS) /Microelectromechanical Systems (MEMS) concepts

· Methods of high fidelity measurements of optical signals (e.g., single photon detection, optical waveform characterization, coherent image processing)

Material Science:

DSO is interested in exploring fundamental materials science for creating new defense capabilities. Research areas of interest include, but are not limited to:

· The physical bases for the evolution of properties (e.g., structural, electro-magnetic, thermal, etc.) in materials

· The influence of feature variation/distribution and the existence of extreme values

· The coupled dependence of properties on features and the influence of these properties

· The existence and evolution of defects on function

· The understanding, predicting, and capability to select and optimize for desired properties at the salient spatial and temporal scale (ato-, nano-, micro-, and macro- level)

· The development of ‘fast’ techniques for optimization, qualification, and implementation, with specific emphasis on reducing complexity and managing uncertainty

· Elucidating the hierarchical organization and topology that gives rise to macroscopically apparent functions in (strongly) correlated systems

· Processing techniques that can be developed for rapidly synthesizing materials and structures at low environmental and fiscal costs

· Techniques to reliably and quantitatively predict future behavior, accounting for the stochastic nature of the materials and probabilistic nature of use and environment

DSO is particularly interested in:

· Topologically ordered material systems (e.g., biotic and abiotic ensembles and templated, directed assemblies)

· Strongly correlated assemblies and their emergent behavior

· Malleable/flexible material systems (e.g., materials that allow for dynamic control of properties at the local and global scale)

· Far from equilibrium and dynamic states for spatio-temporal control

· Interfaces/membranes/thin films

· Hybrid systems (e.g., metal/composite meta/ceramic)

· Tools for rapid development, qualification, and implementation of material systems

Structural Materials: DSO is interested in leading edge research aimed at creating new materials opportunities and discoveries that might change how the military operates. The importance of materials technology to defense systems is critical and longstanding – many fundamental changes in warfighting capabilities have sprung from new or improved materials. The breadth of this impact is large, ranging from stealth to advanced aircraft/spacecraft and engines. In keeping with this broad impact, DARPA seeks innovative research in the following specific areas of interest to include, but not limited to:

· High-performance polymers, metals, ceramics, and their composites

· Ultra-lightweight materials

· High strength fibers (e.g., carbon, polymer, ceramic)

· Damage accumulation and fracture

· Environmental degradation

· Energy absorbing materials and structures

· Adaptive materials and structures

· Materials for thermal management Functional Materials: DSO is interested in leading edge research aimed at adaptive electromagnetic and optical materials and Metamaterials. Specific areas of interest include, but are not limited to:

· Advanced electronic, photonic, and magnetic materials

· Phase change materials

· New polymeric materials with unique/extreme functional properties

· Materials based on unusual elements including the semimetals and metalloids

· Novel multi-sensor materials

· Biologically inspired materials

· New material architectures with extreme functional plasticity utilizing geometric, topological, origami, or other principles

· Revolutionary armor systems

· Predictive approaches for new material discovery Power and Energy: DSO is interested in innovative research that can lead to portable, efficient, and compact power technologies that increase our military’s reach, decrease the logistics burden, and improve the overall efficiency of our war fighting forces, especially for distributed and net-centric operations. Specific areas of interest include, but are not limited to:

· Advanced energy storage

· Energy conversion

· Energy harvesting

· Micro-scale power sources

· Novel electric and magnetic materials

Manufacturing Science and Technology: DSO is interested in innovative research addressing reliable, robust, and cost-effective manufacturing technologies that meet DoD needs for critical defense-specific materials and components. Specific areas of interest include, but are not limited to:

· Nanofabrication and self-assembly

· Disruptive 3D manufacturing techniques

· Polymer, composite, and ceramic synthesis

· Biologically inspired processes

· Joining and other fabrication techniques

Biology:

Molecular Biology: DARPA is interested in leading edge research aimed at exploiting and developing the synergies among the science and technology of biology, information technology, and micro/nanotechnology to achieve new insights and new capabilities. Advances in one area often benefit the others. For example, research to discover the fundamental laws of biology that extend across biological scales can be used to predict biological function and behaviors. Specific areas of interest include, but are not limited to:

· Bioelectronic and biophotonic interfaces

· Nanotechnological modulation of cellular signal transduction pathways

· Advanced molecular analysis and synthesis devices

· Information-driven self-assembly in vitro

· Biomolecular strategies for information processing

· Approaches to global understanding in genomics and proteomics

· Disruptive ideas in rational protein design

· Unique approaches for pre-symptomatic diagnosis of disease and health

· Remote detection/characterization of naturally occurring or engineered biological substances

· Technologies that radically accelerate pre-clinical evaluation of the safety or efficacy of therapeutics and vaccines

· Accelerated, high-yield manufacture of biological therapeutics, including vaccines and immune modifiers

· New methods for direct manipulation and control of biomaterials (e.g., proteins) on length and temporal scales commensurate with biological processes

· Artificial recognition elements (e.g., antibody mimetics)

· Biological approaches to the growth of materials and devices

· Real-time methods to determine the structure of biomolecules and cell surfaces

· New tools for real-time measurement and characterization of biomolecules and other biological structures

· Approaches for, and technology devoted to, maintaining the general health of deployed troops

· Technologies for remote sensing of a soldier’s health

· Micro/nano-scale technologies for non-invasive and/or remote assessment of health (e.g., vital signs, blood chemistry)

· Technologies to enable remote interrogation and control of biological systems at the system/organ/tissue/cellular/molecular scales

· Investigation of the interactions between physical forces, materials, and biology (e.g., interface of biology with magnetics)

· New technologies to drastically reduce the logistics burden of medical treatment in the field

· Systems biology approaches to emitter/receiver-hard problems including human-to-human communications, chemical signaling (e.g., olfaction), and other information transductions common in biology

· Technologies to engineer field medical therapies at the point of care, such as production of multiple drugs from a single pro-drug, or to adapt therapies for wide variations in body mass, metabolism, or physiologic stress

· New approaches for creating greater adaptability and flexibility for the solider

Neuroscience:

Basic Neuroscience Research: DSO is interested in cutting-edge neuroscience research ideas enabling innovation in the science and technology for improved human performance, specifically to overcome the challenges encountered in the operational environment. The areas for research may span fundamental, applied, and computational neuroscience, and may include, but are not limited to:

· Approaches for minimizing the after-effects of battle injuries, including neurotrauma from penetrating and non-penetrating injuries, as well as faster recuperation from battlefield injuries and wounds

· Neuromorphic information processing systems and architectures, electronic devices, and robotic systems

· Environments, systems, and concepts for the evaluation of machine intelligence

· Understanding the human effects of non-lethal weapons

· Advanced signal processing techniques for the decoding of neural signals in real time, specifically those associated with operationally relevant cognitive events, including target detection, errors, and other decision-making processes

· Novel techniques and experimental methods for understanding the impact of stress on the brain (e.g., information processing, decision making, attention, and memory) with a specific interest in translating work on animal models to human populations

Operational Neuroscience: DSO is interested in leading edge research aimed at the use of neuroscience tools and techniques to design systems, train individuals, and measure cognitive state in military settings. Areas of investigation may include, but are not limited to:

· Adaptability and resilience of individuals to high stress environments

· Novel wearable neural sensors and recording technologies

· Real-time neural signal acquisition and analysis in applied environments

· Investigations into the cognitive state of warfighters during real and simulated task environments

· Novel interface and sensor designs for interacting with the central (cortical and subcortical structures) and peripheral nervous systems, with a particular emphasis on non-invasive and/or non-contact approaches

· New approaches for understanding and predicting the behavior of individuals and groups, especially those that elucidate the neurobiological basis of behavior and decision making

· New approaches for training individuals and teams, including embedded training and simulation

· Understanding and improving team performance

· New approaches for improving rapid decision-making in chaotic or data-poor environments

Mathematics:

DSO is interested in leading edge research in fundamental mathematical research to build the foundation for advanced science and technology programs and also in applied mathematics and computational mathematics to achieve cutting-edge technical superiority. Areas of interest include, but are not limited to:

· Algorithms

· Geometric and topological methods

· Inverse methods

· Multi-resolution analysis

· Computation that can be applied to design and control complex systems, extract knowledge from data, forecast and assess risk, and perform efficient computations

· Interdisciplinary efforts that illuminate the mathematical aspects of the other core technologies listed in this BAA II. Award Information

Multiple awards are anticipated. The amount of resources made available to 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 the Source Selection Authority later determines them 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. If the proposed effort is inherently divisible and nothing is gained from the aggregation, proposers should consider submitting it as multiple independent efforts. 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 Sec. V., “Application Review Information”) and 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. Proposers should note that the required degree of interaction between parties will be to the maximum extent possible as allowed by the contractual vehicle. 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 right 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 requested 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.

III. Eligibility Information A. 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. FFRDCS must clearly demonstrate that the work is not otherwise available from the private sector AND they must 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 in compliance with the associated FFRDC sponsor agreement 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 a 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: http://www.dss.mil.

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 evaluation, the Government will assess whether any potential conflict of interest exists in regards to the DARPA Program Manager, as well any other individuals chosen to evaluate the proposal or participate in the review and selection process. A Program Manager is required to review and evaluate all proposals received under this BAA and to manage all selected efforts.

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 DARPA-BAA-09-31@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 of the circumstances, any conflict situation cannot be effectively mitigated, the proposal may be rejected without technical evaluation and withdrawn from further consideration for award under this BAA.

B. Cost Sharing/Matching

Cost sharing is not required for any 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.

C. Other Eligibility Criteria (optional)

1. Collaborative Efforts

Collaborative efforts/teaming are encouraged.

IV. Application and Submission Information

A. 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.

B. Content and Form of Application Submission

1. 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 12958 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: Defense Sciences Office

Reference: DARPA-BAA-09-31

3701 North Fairfax Drive

Arlington, VA 22203-1714

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

3701 North Fairfax Drive

Arlington, VA 22203-1714

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): 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 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 DARPA’s policy 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 the formal request is received at this office within 5 days after unsuccessful notification.

C. Abstract and Proposal Information

Proposers are strongly encouraged to submit a proposal abstract in advance of a full proposal. This procedure is intended to minimize unnecessary effort in proposal preparation and review. The time and date for submission of proposal abstracts is specified in Section D below. DARPA will acknowledge receipt of the submission and assign a control number that shall be used in all further correspondence regarding the proposal abstract.

DARPA will respond to proposal abstracts with a statement as to whether DARPA is interested 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 must 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. Early submissions of proposal abstracts and full proposals are strongly encouraged because selections may be made at any time during the period of solicitation. 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.

Proposers are required to submit full proposals by the time and date specified in the BAA in order to be considered during the initial round of selections. DARPA may evaluate proposals received after this date for a period up to one year from date of posting on FedBizOpps and Grants.gov. Ability to review late submissions remains contingent on availability of funds.

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.

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 non-disclosure requirements. Proposals and proposed abstracts may not be submitted by fax or e-mail; any so sent will be disregarded.

Proposals not meeting the format described in the BAA may not be reviewed.

For Proposers Submitting Hard Copies/on CD-ROM:

Proposers who wish to submit their proposal abstract or full proposal on a CD-ROM or in hard copy format (one copy of either format is acceptable) may do so. The original hard copy and/or one CD-ROM must be clearly labeled with DARPA-BAA-09-31, the proposer’s organization, and the proposal title (short title recommended). The mailing address can be found in Section VII (Agency Contacts).

For Proposers Posting to Grants.Gov:

Proposers may elect to use the Grants.gov APPLY function if the applicant is seeking a grant or cooperative agreement. The APPLY function replaces the proposal submission process that other proposers follow. The APPLY function does not affect the proposal content or format. The APPLY function is electronic; proposers do not submit paper proposals in addition to the Grants.gov APPLY electronic submission.

Proposers must complete the following steps 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 obtain a user name and password with an E-Authentication provider

· 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 shall complete the Grants.gov SF 424 (R&R) form. Attach the single, encrypted proposal file containing the two proposal volumes in “Section 20 -- Pre-application” of the SF 424 form. No other Grants.gov forms are required. More detailed instructions for using Grants.gov can be found on the Grants.gov website.

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. 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.

For Proposers Submitting Hard Copies/on CD-ROM or Posting to Grants.Gov:

Please note that due to the new DARPA security policies, submitters still need to visit http://www.sainc.com/dsobaa/ to register their organization concurrently and are required to send in a password form via email to ensure the DSO BAA office can verify the security of their submission.

All administrative correspondence and questions on this solicitation, including requests for information on how to submit a proposal abstract or full proposal to this BAA, should be directed to the administrative addresses below; e-mail is preferred:

BAA Administrator

Phone: (571) 218-4565

E-mail: DARPA-BAA-09-31@darpa.mil

DARPA/DSO

ATTN: DARPA DARPA-BAA-09-31

3701 North Fairfax Drive

Arlington, VA 22203-1714 http://www.darpa.mil/dso/solicitations/solicit.htm

DARPA intends to use electronic mail and fax for correspondence regarding DARPA-BAA-09-31. 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.

All proposals submitted electronically by means of an Electronic Business Application Tool or proposal submission website (not including Grants.gov) 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 DARPA-BAA-09-31@darpa.mil at the time of proposal submission. See http://www.sainc.com/dsobaa 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 http://www.sainc.com/dsobaa.

1. Proposal Abstract Format

It is STRONGLY ENCOURAGED that a proposal abstract be submitted to determine the acceptability of the proposed concept to the BAA. This allows for comments to the proposer prior to full proposal submission.

Proposal abstracts should be concise and limited to 8 pages in length; shorter proposal abstracts that can cover the content above are highly encouraged. All pages shall be printable on single-spaced, 8-1/2 by 11 inch paper with type not smaller than 12 point font. 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. The proposal abstract should contain the following sections:

· Cover Sheet (must be clearly marked "Proposal abstract"): Should include the Technical Point of Contact’s information (name, address, phone, fax, email, lead organization and business type), the title of the proposed work, the estimated cost, and the duration of the proposed work. (Note: cover sheet does not count toward page limit.)

· Executive Summary: An executive summary, including the key technical challenges, concise review of the technologies proposed to overcome these challenges and achieve the program goal, and a clear statement of the novelty and uniqueness of the proposed idea.

· Proposed Approach: Clearly describe the technical approach in support of the innovative claims. Outline and address all technical challenges inherent in the approach and possible solutions for overcoming potential problems. Proposal abstracts MUST provide several specific, quantitative milestones at intermediate stages of the program to assess program progress towards the Phase I and Phase II milestones, as well as a constructive plan for accomplishment of the interim milestones.

· Supporting Technical Analysis: Address how the proposed technical approach is revolutionary and how it significantly rises above the current state practice.

· Research Plan: Proposal abstracts MUST provide several specific, quantitative milestones at intermediate stages of the program to assess program progress towards the Phase I and Phase II milestones. The milestones should not to be separated by more than 9 months.

· Team Expertise and Management Plan: A brief summary of expertise of the key personnel on the project relevant to the program goals. A Principal Investigator for the project must be identified. That person will assume all responsibilities for the conduct of the effort. The proposer team must have demonstrated expertise in ALL pertinent technical areas.

· Cost Estimates for Phase I and Phase II: A cost estimate for resources, including both labor and materials, over the proposed timeline. The cost estimates can be a rough order of magnitude for the purpose of the proposal abstract. A separate cost estimate for each phase is required.

· Brief list of relevant references.

2. Full Proposal Format

All full proposals must be in the format given below. Nonconforming proposals may be rejected without review. Proposals shall consist of two volumes, combined into one document prior to submission. All pages shall be printable on single-spaced, 8-1/2 by 11 inch paper with type not smaller than 12 point font. Smaller font may be used for figures, tables and charts. The page limitation for full 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. Intellectual Property/Patents Requirements and the bibliography are not included in the page counts. The submission of other supporting materials along with the proposals is strongly discouraged and will not be considered for review. Except for the attached bibliography and Section I, Volume I shall not exceed 36 pages. Maximum page lengths for each section are shown in braces { } below.

Volume I, Technical and Management Proposal

Section I. Administrative

COVER SHEET TO INCLUDE:

A.

Cover sheet to include:

(1) BAA Number;

(2) Technical Area;

(3) Lead Organization Submitting Proposal;

(4) Type of Business, selected among the following categories: "LARGE BUSINESS," "SMALL BUSINESS," "SMALL DISADVANTAGED BUSINESS," "8A," "OTHER SMALL BUSINESS," "EMERGING SMALL BUSINESS," "VETERAN-OWNED SMALL BUSINESS," "SERVICE-DISABLED VETERAN OWNED," "OTHER VETERAN," "WOMAN-OWNED BUSINESS," "HUBZONE," "JWOD PARTICIPATING NONPROFIT AGENCY," "OTHER NONPROFIT," "HOSPITAL," "FOREIGN CONCERN OR ENTITY," "DOMESTIC FIRM PERFORMING OUTSIDE U.S.," "HISTORICALLY BLACK COLLEGE OR UNIVERSITY (HBCU)," "MINORITY INSTITUTION (MI)," "OTHER EDUCATIONAL," "FFRDC (Including DOE Laboratories)," "DoD Component," "Other Government," "Other";

(5) Contractor’s Reference Number (if any);

(6) Other Team Members (if applicable) and Type of Business for Each;

(7) Proposal Title;

(8) Technical Point of Contact to include: Salutation, Last Name, First Name, Street Address, City, State, Nine-Digit Zip Code, Telephone, Fax (if available), Electronic Mail (if available);

(9) Administrative Point of Contact to include: Salutation, Last Name, First Name, Street Address, City, State, Nine-Digit Zip Code, Telephone, Fax (if available), Electronic Mail (if available),;

(10) Date proposal was prepared;

(11) Total Funds requested from DARPA;

(12) Duration (in months) of Proposed Work.

B. Official Signed Transmittal Letter.

Section II. Summary of Proposal

This section provides an overview of the proposed work as well as an introduction to the associated technical and management issues. Further elaboration will be provided in Section III; this section shall not exceed 4 pages.

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 no proprietary claims, this should be stated. For forms to be completed regarding intellectual property, see Section VIII. There will be no page limit for the listed forms.

C. Cost, schedule, and payable 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 critical milestones should occur every 6-12 months after start of effort. These payable milestones should enable and support a go/no-go decision for the next part of the effort. Do not include proprietary information with the milestones. Additional interim non-critical management milestones are also highly encouraged at a regular interval.

D. Technical rationale, technical approach, and constructive plan for accomplishment of technical goals in support of innovative claims and deliverable production. (In the full 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 members; (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.

Section III. Detailed Proposal Information This section provides the detailed discussion of the proposed work necessary to enable an in-depth review of the specific technical and managerial issues. Specific attention must be given to addressing both risk and payoff of the proposed work that make it desirable to DARPA.

A. {1} Executive Summary, including the key technical challenges, concise review of the technologies proposed to overcome these challenges and achieve the program goal, and a clear statement of the novelty and uniqueness of the proposed idea.

B. {3} Statement of Work (SOW) written in plain English, citing specific tasks to be performed and their connection to the interim milestones and program metrics. The SOW must not include proprietary information. 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 exit 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 should be developed so that each Phase of the program is separately defined. Do not include any proprietary information in the SOW.

C. {15} Detailed technical approach in support of the innovative claims. Address how the proposed approach is revolutionary and how it rises above the current state of practice. Proposals MUST provide several specific, quantitative milestones at intermediate stages of the program to assess program progress towards the Phase I and Phase II milestones, as well as a constructive plan for accomplishment of the interim milestones.

D. {2} Time-phased schedule and payable milestones chart. Phase I will be a research effort recommended to be between 12 to 18 months. Higher consideration will be given to efforts that will satisfy the milestones in less time. Note: Measurable critical milestones should occur every (6-12) months after start of effort. These payable milestones should enable and support a go/no-go decision for the next part of the effort. Do not include proprietary information with the milestones. Additional interim non-critical 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. The milestones must not include proprietary information.

E. {2} Deliverables associated with the proposed research and the plans and capability to accomplish technology transition and commercialization. (See Section VIII below for guidance on Proprietary Claims and Intellectual Property.)

F. {5} Organization and Management: A clearly defined organization/management chart for the program team which includes, as applicable: (1) the programmatic relationship of team members; (2) the…