MTO Office-wide_DARPA-BAA-10-35_final for posting_2Mar10.pdf

Broad Agency Announcement Office-Wide Broad Agency Announcement

Microsystems Technology Office

DARPA-BAA-10-35

2 March 2010

Table of Contents

Part I: Overview Information 3 Part II: Full Text of Announcement Sec. I: Funding Opportunity Description 4 Sec. II: Award Information 5 Sec. III: Eligibility Information 6

A. Eligible Applicants B. Cost Sharing and Matching C. Other Eligibility Criteria

Sec. IV. Application and Submission Information 8 A. Address to Request Application Package B. Content and Form of Application Submission C. Submission Dates and Times D. Intergovernmental Review E. Funding Restrictions

Sec. V. Application Review Information 20 A. Evaluation Criteria B. Review and Recommendation Process

Sec. VI. Award Administration Information 23 A. Award Notices B. Administrative and National Policy Requirements C. Reporting D. Electronic Systems

Sec. VII. Agency Contacts 28 Sec. VIII. Other Information 29

A. Intellectual Property B. Other Transactions (OTs)

Part One: Overview Information

• Federal Agency Name – Defense Advanced Research Projects Agency (DARPA), Microsystems Technology Office (DARPA/MTO)

• Funding Opportunity Title – Office-Wide Broad Agency Announcement

• Announcement Type – Initial Announcement

• Funding Opportunity Number – DARPA-BAA-10-35

• Catalog of Federal Domestic Assistance Numbers (CFDA) – Not

Applicable

• Dates o Posting Date: March 2, 2010 o Abstracts and Proposals will be submitted on a rolling basis until

4:00 PM, local time, on March 1, 2011

• Anticipated individual awards – Multiple awards are anticipated

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

• Any cost sharing requirements: No Direct Requirements

• Agency contact

Gregory Kovacs, M.D., Ph.D.

Director, DARPA/MTO 3701 North Fairfax Drive Arlington, VA 22203-1714 Fax: (703) 741-0086 Email: DARPA-BAA-10-35@darpa.mil

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 Grants.gov website at http://www.grants.gov/. The following information is for those wishing to respond to the

BAA.

The Microsystems Technology Office’s (MTO) mission is to exploit breakthroughs in materials, devices, circuits, and mathematics to develop beyond leading edge Microsystems components with revolutionary performance and functionality to enable new platform capability for the Department of Defense. To execute this mission, MTO supports revolutionary research in electronics, photonics, MEMS, algorithms, and combined Microsystems technology to deliver new capabilities to sense, communicate, energize, actuate, and process data and information for the war fighter.

MTO regularly publishes Broad Agency Announcements requesting responses to specific program topics. This announcement seeks revolutionary research ideas for topics not being addressed by ongoing MTO programs or other published BAA solicitations. This BAA is primarily, but not solely, intended for early stage research (Studies) that may lead to larger, focused, MTO programs in the future. Studies are defined as single phase efforts of short duration (< 12 months) costing less than $1,000,000. Whereas proposers are strongly encouraged to submit Studies to this BAA, Multi-Phase Efforts will also be considered. Multi-Phase Efforts are efforts with more than one phase that may span longer than 12 months and that may cost more than $1,000,000. Multi-Phase Efforts must also cover discernable research topic areas that lead to clearly defined, quantitative technical metrics.

Potential bidders are highly encouraged to review the current MTO programs listed on the MTO website at:

http://www.darpa.mil/mto/programs.html and other MTO solicitations list at:

http://www.darpa.mil/mto/solicitations/index.html to avoid proposing efforts to this BAA that duplicate existing activities or that are responsive to other published MTO BAAs.

Contacting MTO program managers to discuss research interests is also encouraged.

Specifically excluded is research that primarily results in evolutionary improvements to the existing state of practice.

http://www.fedbizopps.gov/ http://www.grants.gov/

Research areas of current interest in MTO include, but are not limited to, the following topics:

• Heterogeneous Integration

• Emerging MEMs Technologies

• Non-Silicon Electronics

• Novel Photonic Devices

• Quantum Devices

• Hardware Assurance, Reliability & Validation

• Low Volume Microsystems Manufacturing

• Signal Processing Hardware

• Low Power Electronics

• Power Generation, Storage & Conversion

• Thermal Management

• Microsystems Complexity & Nonlinearity

• Advanced Imaging

• Photonic & Electronic Interconnects

• Microsystem Design & CAD

• Bio-Medical Microsystems

• Chip Scale Sensors

• Microsystems for Directed Energy

• Microsystems for Precision Navigation & Timing

• Microsystems for RF/Optical Transceivers

• Other Microsystems Technology Topic Areas

II. AWARD INFORMATION

Multiple awards are anticipated. 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,” Sec. V.), 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 and/or supplemental cost information. 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 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.

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 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.

http://www.dss.mil/

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-10- 35@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 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.

C. Other Eligibility Criteria

1. Collaborative Efforts

Collaborative efforts/teaming are encouraged. Specific content, communications, networking, and team formation are the sole responsibility of the participants.

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 address to:

Defense Advanced Research Projects Agency ATTN: Microsystems Technology Office Reference: DARPA-BAA-10-35 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 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 the formal request is received at this office within 5 days after unsuccessful notification.

2. 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 C below. DARPA will acknowledge receipt of the submission and assign a control number that should be used in all further correspondence regarding the proposal abstract. (Note: Proposers using Grants.gov will not receive notification of a control number after submission.)

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 forty-five (45) 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 Government’s recommendation. 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 for selection. DARPA may evaluate proposals received after this date for a period up to one year from date of posting on FedBizOpps and Grants.gov.

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 nondisclosure 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, or failing to provide the information required in the BAA, may not be reviewed.

For All:

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 address below or to DARPA-BAA-10-35@darpa.mil; e-mail is preferred. DARPA intends to use e-mail for correspondence regarding DARPA- BAA-10-35. Proposals and proposal abstracts may not be submitted by e-mail or fax;

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.

For Proposers Submitting Proposals Through T-FIMS(required method for submission of proposals seeking other than a grant or cooperative agreement):

Proposals sent in response to BAA 10-35 must be submitted through T-FIMS. See https://www.tfims.darpa.mil/baa/ for more information on how to request an account, upload proposals, and use the T-FIMS tool. Because 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 proposers using T-FIMS must also encrypt the proposal, as per the instructions below.

https://www.tfims.darpa.mil/baa/

All proposals submitted electronically by means of an Electronic Business Application Tool or proposal submission web site (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-10- 35@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/.

For Proposers Submitting Proposals Through 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.

Grant or cooperative agreement proposals may be submitted to DARPA through Grants.gov, through T-FIMS, or in hard copy. 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. 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. Proposals submitted in hard copy should be addressed to DARPA/MTO, 3701 Fairfax Drive, Arlington, VA 22203-1714 (Attn.: DARPA-BAA- 10-35.)

https://www.tfims.darpa.mil/baa/ https://www.tfims.darpa.mil/baa/ http://www.grants.gov/applicants/get_registered.jsp https://www.bpn.gov/CCRSearch/Search.aspx http://www.grants.gov/agencies/aapproved_standard_forms.jsp#2

3. Proposal Abstract Format

Proposal abstracts are encouraged in advance of full proposals in order to provide potential proposers with a rapid response to minimize unnecessary effort. 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. (However, no formal transmittal letter is required.) The cover sheet should be clearly marked “PROPOSAL ABSTRACT” and the total length shall not exceed 5 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.

Specifically the proposal abstract shall address:

1. The problem to be solved by the proposed research.

2. The current state-of-the-art of existing approaches.

3. How the proposed effort will quantitatively exceed existing capability with a description of what is new in the proposed approach.

4. How the proposed research will be performed with emphasis on what technical challenges must be overcome and the approach to same.

5. The impact the proposed research would have on a military relevant application.

6. The program schedule (period of performance) and budget.

If DARPA/MTO does not have any interest in your Proposal Abstract you will be notified by a formal letter. If DARPA/MTO is interested in your Proposal Abstract, you will be encouraged by a formal letter to submit a full proposal.

4. 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. 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 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. 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. Except for the attached bibliography and Section I, Volume I shall not exceed 41 pages. Section II of Volume I, Technical and Management Proposal, shall not exceed 15 pages. Section III of Volume I, Technical and Management Proposal, shall not exceed 26 pages. Maximum page lengths for each section are shown in braces { } below. All full proposals must be written in English.

5. Volume I, Technical and Management Proposal

Section I. Administrative

A. Cover sheet to include:

(1) BAA number

(2) Research area(s) of current interest to MTO – Select from list at the beginning of this document: Section I – “Funding Opportunity Description.”

(3) Lead Organization Submitting proposal

(4) Type of business, selected among the following categories: “LARGE

BUSINESS”, “SMALL DISADVANTAGED BUSINESS”, “OTHER SMALL

BUSINESS”, “HBCU”, “MI”, “OTHER EDUCATIONAL”, OR “OTHER

NONPROFIT”

(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, 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, zip code, telephone, fax (if available), electronic mail (if available), total funds requested from DARPA, and the amount of cost share (if any) AND

(10) Date proposal was submitted.

B. Official transmittal letter. (Note: An official transmittal letter is not required when submitting a Proposal Abstract.)

C. Table of Contents. The Table of Contents should be keyed to the page numbers of the proposal sections.

D. Proposal Summary Chart. PowerPoint-type slide(s) (i.e., landscape formatted for presentation) that succinctly highlights the major aspects of the proposal, including all program metrics (including proposer defined metrics, if applicable), in a manner suitable for presentation to DARPA management. The summary chart should indicate the proposal’s main objective, key innovations, expected impact, and other unique aspects of the proposal (Proposal Summary Chart Template provided in Appendix A or at www.darpa.mil/mto/solicitations/index.html ).

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.

A. {4} 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. {3} 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. For forms to be completed regarding intellectual property, see Section VIII. There will be no page limit for the listed forms.

C. {1} 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.)

D. {3} 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. {2} General discussion of other research in this area.

F. {2} 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. {12} Technical Rationale and Approach. Detailed technical rationale and approach enhancing that of Section II. A concise section outlining the scientific and technical challenges, unique approaches, and potential anticipated technical solutions to the challenges that will be addressed. This section should demonstrate that the proposer has a clear understanding of the state-of-the-art; and should provide sufficient technical details so as to permit complete evaluation of the feasibility of the idea. Additionally, comparison with other ongoing research shall be provided indicating advantages and disadvantages of the proposed effort.

Technical rationale and approach should be addressed for each research area listed on the cover sheet in Volume I, Section I, above.

B. {1} Teaming and Management Plan. A clearly defined organization chart for the program team which includes the programmatic relationship and a summary of each member’s roles and responsibilities. Additionally, a narrative discussing

(1) the proposers teaming strategy/rationale; (2) the specific roles and responsibilities of the team members; (3) the unique capabilities of the team members; and (4) the proposer’s team management approach.

C. {3} Technology Transition & Business Plan. A description of the results, products, transferable technology, and expected technology transfer path enhancing that of Section II. B. See also Section VIII “Intellectual Property.”

D. {2} Capabilities. A section describing relevant prior work, the background, qualifications and relevant experience of team member organizations (prime and sub) and key individuals to be assigned to the program, and the facilities and equipment to be utilized. Please do not attach supporting material (CDs, movies, etc.) to the proposal, except as noted in Section IV below.

E. {3} Cost schedules and Measurable Milestones, if proposed, for the proposed research including estimates of cost for each task in each phase and 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.) Measurable milestones (descriptions, exit criteria, etc.), if proposed, must not include proprietary information. For Multi-Phase Efforts, discrete tasks that can be reasonably partitioned must be separately priced. The Government reserves the right to fund any number of discrete tasks within each submitted proposal.

F. {5} Statement of Work (SOW) - In plain English, clearly define the technical tasks/subtasks to be performed, their durations, and dependencies amongst them.

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

• Define all deliverables (reporting, data, reports, hardware, software, etc.) to be provided to the Government.

For Multi-Phase Efforts, the SOW must be developed so that each phase of the program is separately defined. The SOW must include, for each phase, a table defining the program metrics to be achieved.

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.

6. Volume II, Cost Proposal – {No Page Limit}

Proposals shall be priced in U.S. dollars ($).

Cover sheet to include:

(1) BAA number;

(2) Research area(s) of current interest to MTO – Select from list at the beginning of this document: Section I – “Funding Opportunity Description.”

(3) Lead Organization Submitting proposal;

(4) Type of business, selected among the following categories: “LARGE

BUSINESS”, “SMALL DISADVANTAGED BUSINESS”, “OTHER SMALL

BUSINESS”, “HBCU”, “MI”, “OTHER EDUCATIONAL”, OR “OTHER

NONPROFIT”;

(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, 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, zip code, telephone, fax (if available), and electronic mail (if available);

(10) Award instrument requested: cost-plus-fixed-free (CPFF), cost-contract—no fee, cost sharing contract – no fee, or other type of procurement contract (specify), grant, cooperative agreement, or other transaction;

(11) Place(s) and period(s) of performance;

(12) Total proposed cost separated by basic award and option(s) (if any);

(13) Name, address, and telephone number of the proposer’s cognizant Defense Contract Management Agency (DCMA) administration office (if known);

(14) Name, address, and telephone number of the proposer’s cognizant Defense Contract Audit Agency (DCAA) audit office (if known);

(15) Date proposal was prepared;

(16) DUNS number;

(17) TIN number; and

(18) Cage Code;

(19) Subcontractor Information; and

(20) Proposal validity period.

The proposers, to include eligible FFRDCs, cost volume shall provide cost and pricing information, or other than cost or pricing information if the total price is under $650,000, in sufficient detail to substantiate the program price proposed (e.g., realism and reasonableness). In doing so, the proposer shall provide a detailed cost breakdown by phase, task and month. The breakdown shall include, at a minimum, the following major cost items: direct labor (labor categories and labor hours per category); subcontracts (by subcontractor); material/equipment; other direct costs (travel, computer usage fees, etc.), and indirect charges (rates and factors such as Overhead, G&A, Fringe Benefits, etc.).

Proposers are encouraged to provide the aforementioned cost breakdown as an editable MS Excel spreadsheet, inclusive of calculations formulae, with tabs (material, travel, ODC’s) provided as necessary. Additionally, the proposer shall provide (1) a summary of total program costs by phase and task, (2) an itemization of major subcontracts, (3) a priced Bill-of-Materials (BOM) clearly identifying, for each item proposed, the source of the unit price (i.e., vendor quote, engineering estimate, etc.) and the type of item (i.e., material, equipment, special test equipment, plant equipment, information technology (IT), etc.); (4) the source, nature, and amount of any industry cost-sharing; and (5) identification of pricing assumptions of which may require incorporation into the resulting award instrument (e.g., use of Government Furnished Property/Facilities/Information, access to Government Subject Matter Expert/s, etc.).

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.

For Multi-Phase Efforts, discrete tasks that can be reasonably partitioned must be separately priced. The Government reserves the right to fund any number of discrete tasks within each submitted proposal.

The proposer shall provide a detailed description of the methods used to estimate costs, to include, at a minimum: 1) substantiation of all rates and factors, and 2) labor and material estimates supported by a narrative basis-of-estimate (BOE) providing sufficient detail to substantiate cost estimates. The prime contractor is responsible for compiling and providing, as part of its proposal submission to the Government, subcontractor proposals prepared at the same level of detail as that required of the prime. Subcontractor proposals include Interdivisional Work Transfer Agreements (ITWA) or similar arrangements. If seeking a procurement contract, the prime contractor shall provide a cost reasonableness analysis of proposed subcontractor prices. Such analysis shall indicate the extent to which the prime contractor has negotiated subcontract prices. All proprietary subcontractor proposal documentation which cannot be uploaded to TFIMS or Grants.gov as part of the proposers submission, shall be made immediately available to the Government, upon request, under separate cover (i.e., mail, electronic/email, etc.), either by the Proposer or by the subcontractor organization – this does not relieve the proposer from the requirement to include, as part of their submission, subcontract proposals that do not include proprietary pricing information (i.e., rates, factors, etc.).

If seeking a procurement contract and items of Contractor Acquired Property are proposed, exclusive of material1, the proposer shall clearly demonstrate that the inclusion of such items as Government Property is in keeping with the requirements of FAR Part 45.102.

NOTE: “cost or pricing data” as defined in FAR Subpart 15.4 shall be required if the proposer is seeking a procurement contract award of $650,000 or greater unless the proposer requests an exception from the requirement to submit cost or pricing data.

“Cost or pricing data” are not required if the proposer proposes an award instrument other than a procurement contract (e.g., a grant, cooperative agreement, or other transaction.) Those proposing a grant or cooperative agreement may follow/use the application instructions/form templates (i.e., DARPA BAA Form Package) provided as part of the BAA posting to grants.gov; however, the costing details requested above should be provided to the maximum extent possible.

The Defense Appropriations Act caps indirect cost rates for any procurement contract, grant or agreement using 6.1 Basic Research Funding at 35% of the total cost of the award. Total costs include all bottom line costs. For grants/agreement awardees subject to cost principles in 2 CFR part 220 (Educational Institutions), indirect costs are all costs of a prime award that are Facilities and Administration costs. For grant/agreement awardees subject to the cost principles in 2 CFR part 225 (State, Local, and Indian Tribal Governments), 2 CFR part 230 (Non-profit Organizations) or 48 CFR part 23 (Federal Acquisition Regulation), indirect costs refer to any cost not directly identified with a single final cost objective, but identified with two or more final cost objectives or with at least one intermediate cost objective. The cost limitations do not flow down to subcontractors.

NOTE: PROPOSERS ARE CAUTIONED THAT EVALUATION RATINGS MAY BE

LOWERED AND/OR PROPOSALS REJECTED IF SUBMITTAL INSTRUCTIONS

ARE NOT FOLLOWED.

C. Submission Dates and Times

1. Proposal Abstract Date

The proposal abstract must be submitted to DARPA on or before 4:00 p.m., local time, March 1, 2011. Proposal abstracts received after this time and date will not be reviewed.

1Per FAR Part 45, Material means property that may be consumed or expended during the performance of a contract, component parts of a higher assembly, or items that lose their individual identity through incorporation into an end-item. Material does not include equipment, special tooling, and special test equipment.

2. Full Proposal Date

The full proposal must be submitted to DARPA on or before 4:00 p.m., local time, March 1, 2011. Proposals received after this time and date will not be reviewed.

DARPA will acknowledge receipt of complete submissions via email and assign control numbers that should be used in all further correspondence regarding proposals.

Failure to comply with the submission procedures may result in the submission not being evaluated.

D. Intergovernmental Review

Not Applicable.

E. Funding Restrictions

F. Other Submission Requirements

V. APPLICATION REVIEW INFORMATION

A. Evaluation Criteria

Evaluation of proposals will be accomplished through a scientific/technical review of each proposal using the following mandatory criteria, listed in order of descending importance: (a) Overall Scientific and Technical Merit; (b) Potential Contribution and Relevance to the DARPA Mission; (c) Plans and Capability to Accomplish Technology Transition; and (d) Cost Realism. Proposals will not be evaluated against each other since they are not submitted in accordance with a common work statement. DARPA’s intent is to review proposals as soon as possible after they arrive; however, proposals may be reviewed periodically for administrative reasons.

The following are descriptions of the evaluation criteria:

(a) Overall Scientific and Technical Merit The technical merit of the research and the soundness of the plan to perform it will be evaluated. The proposed research must be highly innovative and show promise of sufficient technical payoff to warrant the technical risk. The research must have the potential to make a radical impact on future technology. The proposed technical approach is feasible, achievable, complete and supported by a proposed technical team that has the expertise and experience to accomplish the proposed tasks. Task descriptions and associated technical elements provided are complete and in a logical sequence with all proposed deliverables clearly defined such that a final outcome that achieves the goal can be expected as a result of award. The proposal identifies major technical risks and planned mitigation efforts are clearly defined and feasible.

(b) Potential Contribution and Relevance to the DARPA Mission The potential contributions of the proposed effort with relevance to the national technology base will be evaluated and its relevance to DARPA’s particular mission and methods assessed. Specifically, DARPA’s mission seeks to maintain the technological superiority of the U.S. military and prevent technological surprise from harming U.S.

national security. DARPA aims to accomplish this by sponsoring revolutionary, high-payoff research that bridges the gap between fundamental discoveries and their ultimate military use.

(c) Plans and Capability to Accomplish Technology Transition

For Studies:

The capability to transition the technology to the research and industrial communities in such a way as to enhance U.S. defense, and the extent to which intellectual property/data rights limitations creates a barrier to technology transition.

For Multi-Phase Efforts:

The capability to transition the technology to the research, industrial and operational military communities in such a way as to enhance U.S. defense, and the extent to which intellectual property/data rights limitations creates a barrier to technology transition.

(d) Cost Realism The objective of this criterion is to establish that the proposed costs are realistic for the technical and management approach offered, as well as to determine the proposer’s practical understanding of the effort. The proposal will be reviewed to determine if the costs proposed are based on realistic assumptions, reflect a sufficient understanding of the technical goals and objectives of the BAA, and are consistent with the proposer’s technical approach (to include the proposed Statement of Work). At a minimum, this will involve review, at the prime and subcontract level, of the type and number of labor hours proposed per task as well as the types and kinds of materials, equipment and fabrication costs proposed. It is expected that the effort will leverage all available relevant prior research in order to obtain the maximum benefit from the available funding. For efforts with a likelihood of commercial application, appropriate direct cost sharing may be a positive factor in the evaluation.

After selection and before award, the contracting officer will negotiate cost/price reasonableness.

NOTE: PROPOSERS ARE CAUTIONED THAT EVALUATION RATINGS MAY BE

LOWERED AND/OR PROPOSALS REJECTED IF SUBMITTAL INSTRUCTIONS

ARE NOT FOLLOWED.

B. Review and Recommendation Process

Award(s) will be made to proposers whose proposals are determined to be the most advantageous to the Government, all factors considered, including the potential contributions of the proposed work to the overall research program and the availability of funding for the effort. Award(s) may be made to any proposer(s) whose proposal(s) is determined selectable regardless of its overall rating. DARPA’s intent is to review proposals as soon as possible after they arrive; however, proposals may be reviewed periodically for administrative reasons.

It is the policy of DARPA to ensure impartial, equitable, comprehensive proposal evaluations and to select the source (or sources) whose offer meets the Government's technical, policy, and programmatic goals.