NV Logic_DARPA-BAA-10-42_Final For Posting_5 March10 Final.pdf

Broad Agency Announcement Non-Volatile Logic (NV Logic)

Microsystems Technology Office

DARPA-BAA-10-42

March 5, 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………………………………………8 Sec. III: Eligibility Information……………………………….….9

A. Eligible Applicants B. Cost Sharing and Matching

Sec. IV. Application and Submission Information………………11 A. Address to Request Application Package B. Content and Form of Application

Submission C. Submission Dates and Times D. Intergovernmental Review E. Funding Restrictions F. Other Submission Requirements

Sec. V. Application Review Information………………………...22 A. Evaluation Criteria B. Review and Recommendation Process

Sec. VI. Award Administration Information…………………..…24 A. Award Notices B. Administrative and National Policy Requirements C. Reporting Requirements D. Electronic Systems

Sec. VII. Agency Contacts…………………………………….…30 Sec. VIII. Other Information………………………………….….30

A. Intellectual Property B. Other Transactions (OTs)

Attachment 1……………………………………………………………..35

Part One: Overview Information

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

• Funding Opportunity Title – Non-Volatile Logic (NV Logic)

• Announcement Type – Initial Broad Agency Announcement (BAA)

• Funding Opportunity Number – DARPA-BAA-10-42

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

Research and Technology Development

• Dates o Posting Date: March 5, 2010 o Proposal Due Date: April 21, 2010

• Concise description of the funding opportunity DARPA is soliciting innovative research proposals in the area of Non-Volatile Logic technologies.

The goal of this program is to develop a complete library of logic elements/building blocks that perform logical functions by exploiting new computational state variables such as magnetization and which can retain their state when power is removed. The NV Logic program is expected to enable a new computational paradigm based on the technologies developed in this program.

• 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 – None.

• Agency contact o Dr. Devanand Shenoy

DARPA/MTO

ATTN: BAA 10-42

3701 North Fairfax Drive Arlington, VA 22203-1714

FAX: (703) 696-2206

EMAIL: DARPA-BAA-10-42@darpa.mil mailto:DARPA-BAA-10-42@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.

DARPA is soliciting innovative research proposals in the area of Non-Volatile Logic technologies. The goal of this program is to develop a complete library of logic elements/building blocks that perform logical functions by exploiting new computational state variables such as magnetization and which can retain their state when power is removed. The NV Logic program is expected to enable a new computational paradigm based on the technologies developed in this program.

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

BACKGROUND AND DESCRIPTION

Digital electronics are ubiquitous in systems within the Department of Defense (DoD).

An important metric for power-sensitive systems such as remote sensors, portable electronics, small Unattended Air Vehicles (UAVs), and high performance computing, is digital/computational throughput per watt dissipated (Ops/Watt). The computation in these systems is currently performed by Silicon Complimentary Metal-Oxide- Semiconductor (CMOS) integrated circuits (ICs) using the movement of charge under the influence of electric fields. Power consumption in CMOS ICs is a result of the movement of free charge within the transistor and transistor interconnects and is often broken into a “static” component and a dynamic one. Improvements in Ops/Watt in CMOS ICs are currently made, for example, by scaling the gate length, terminal voltage, and other parameters associated with the transistor. In order to extend geometric and functional scaling, new materials are being introduced as gate dielectrics. However, as long as charge movement is used to represent information in ICs, CMOS (and other electron-based architectures) will continue to make only incremental improvements in Ops/Watt.

To overcome the constraints to the attainable Ops/Watt imposed by movement of free charge, logic devices based on another computational state variable need to be developed.

One of the most promising candidates for an alternative state variable is the magnetic moment. Indeed, entirely new device and system architectures are possible with a new computational state variable such as magnetization. One example is a majority logic gate for Boolean operations. In these devices, there is no “transfer of resistance” as in a http://www.fedbizopps.gov/ http://www.grants.gov/ transistor. A large number of electrons (thousands), each 40 kT, are required to achieve a logic function in CMOS architectures. In magnetic logic devices, however, due to the collective interactions of magnetic moments in the ferromagnetic state, energies of the order of 50 kT may be sufficient to switch the state of the entire nanomagnetic device.

In addition to significantly reduced power consumption, logic based on magnetic moments has the added advantage that it can be non-volatile (when the power is removed the computational state is retained). Furthermore, it is intrinsically radiation hard (due to the use of ferromagnetic materials).

Ferromagnetic logic is not a new idea; it was commercialized over 60 years ago. During the era of vacuum tubes, MultiAperture Devices (MADs), a form of magnetic logic, were preferred for critical systems such as the Canadian National Railroad Hump Yard, the New York subway, and the B-50 friend or foe system, that needed to be impervious to lightning and electrical disruption. These technologies, however, were not scalable.

With the advent of silicon integrated circuits and due to the enormous success of CMOS-based devices, interest in magnetic logic was relegated to the world of laboratory science.

Developments such as domain tip propagation logic in the 1960’s and magnetic bubbles in the 1970’s were widely researched but never developed into viable technologies.

Magnetic phenomena found great application in storage and dominate in the low-cost memory storage domain, the hard drive, while R&D advanced the broad technology and enabled denser and faster drives. New technologies and approaches have arisen over the years, including those termed as “Spintronics.” More recently, technologies such as Magnetic Quantum Cellular Automata, Spin Valves, Spin Waves, and Domain Wall Logic, have been advanced and/or demonstrated and now have the potential to enable digital electronics and computational processing based only on magnetic moments.

These technologies are enabled by recent advances in nanoscience and nanotechnology and unlike many of the approaches in the past, are scalable and could exploit the extensive CMOS fabrication processes that are available today. The compatibility of these technologies with CMOS, from a fabrication standpoint, allows for hybrid architectures that exploit the best of CMOS and the low power, high performance potential of the magnetic-based technologies.

PROGRAM OVERVIEW

The objective of the NV Logic Program is to develop the science and engineering and thereby mitigate the risks for viable new technologies based on new computational variables such as magnetic moments, including the design and fabrication methodology, and the demonstration of circuits that utilize magnetic moments instead of charge to perform computation. The NV Logic circuit is expected to be a completely self-contained component and should communicate via conventional electrical wire signals to other conventional circuit elements. Approaches that require external components such as electromagnets to generate magnetic fields necessary for operation, or specialized read-out devices such as Magnetic Force Microscopes (MFMs) are not of interest and are discouraged from responding to this BAA. The NV Logic circuit should operate at room temperature and require no special electronics for control beyond those typically used to interrogate an IC.

The fabricated circuits are expected to display lower power per operation while having equal or better computational density (operations per square cm per nanosecond) as state-of–the-art circuits that use charge. The demonstration of ultra-low power magnetic logic will represent a radically new way of developing digital logic. At the conclusion of the program, it is anticipated that the technology will have matured enough that the major risks inherent in the technology will have been mitigated and that a viable circuit technology will be available to enable new computational processing paradigms.

TECHNICAL AREAS OF INTEREST

The Non-Volatile Logic Program has three technical areas of interest. Since a comprehensive solution is desired, proposers are strongly encouraged to address all three technical areas. Although not necessarily desired, proposals that address only one of the technical areas will also be considered when they could dramatically benefit one or more of the funded comprehensive efforts within the NV Logic program. In such cases, the proposers will be expected to collaborate closely with the comprehensive effort.

Technical Area One: Theory of the switching behavior of nanoscale magnetic materials and the interaction of multiple magnetic domains.

This Technical Area consists of research into the theory of all areas necessary for the successful implementation of NV Logic. Potential topics might include, but are not limited to: energy, area, and time requirements and limits for information transfer;

coupling of input electrical signal to magnetic domain and magnetic domain to electrical readout; dynamic model of information flow through multiple devices; and attenuation of magnetic signal with propagation distance. The results produced in this technical area are intended to guide the successful fabrication of a computational device and to guide accurate device and circuit design and simulation.

Technical Area Two: Fabrication and testing of the Non-Volatile Logic Circuit, including the integrated input, computational device, and output circuit required to perform logical functions.

The fabrication should include all of the components necessary for independent operation of the non-volatile logic circuit including, if needed, on-chip generation of magnetic fields, and magnetic-based interconnects. In addition, the materials used should be compatible with eventual manufacturing techniques of complex circuits. This technical area is intended to develop an implementable technology that can be used to demonstrate that the devices envisioned can be produced and that they perform as envisioned. This technical area should also address the issue of device yield during fabrication.

Technical Area Three: Development of novel circuits and circuit design tools.

The designed circuits should encompass the complete suite of logical functions necessary for a general purpose processor. The circuit design tools should enable accurate simulation and optimization (with respect to power, speed and device density) of NV Logic chips. This would include the design and simulation of concatenated multiple logical functions. This technical area is intended to both enable the achievement of the program goals and to assist future transition of the technology to industrial partners by predicting the requirements and performance of future scaling of the technology.

PROGRAM METRICS

DARPA envisions that the NV Logic Program will consist of two phases, termed “stages”, with performance criteria for each stage summarized in Table 1. The overall duration of the efforts proposed under this BAA should not exceed 54 months, of which it is envisioned that stage 1 would require a period of approximately 24 months . The two-stage program structure is meant to serve as guidance and proposers may propose their own structure – schedule, intermediate quantitative metrics and technical road map - to achieve the end metrics of the NV Logic program within the 54 month period.

Stage 1: This is a proof-of-concept stage to demonstrate that the proposed non-volatile logic devices and circuits can be built and that they function. This demonstration should include a demonstration of at least a simple circuit (such as a 2-bit adder). All of the components (input/device/output) for the circuit need to be integrated onto one chip for this circuit demonstration. In addition, the applicability of the approach to other simple circuits needs to be demonstrated computationally.

Stage 2: Research conducted in this stage will optimize the performance of the simple circuit and demonstrate scalability of the technology. In addition, this stage will provide a detailed analysis of the expected performance of a fully integrated NV Logic IC and compare that performance to a similarly dense CMOS IC using the ITRS projected 2022 performance metrics. Together, this will detail the future potential of NV Logic and facilitate transitioning the technology to industrial partners.

Technical metrics for the two stages are:

Table 1. NV Logic Program Goals by stage

Stage 1:

• Circuit e.g. 2 bit adder

• Switching speed 10 ns

• Circuit area 25 μm2

• Energy 100 aJ/op

• Stability, Δ* 40

Stage 2:

• Circuit e.g. 2-bit adder

• Switching speed 1 ns

• Circuit area 1 μm2

• Energy 10 aJ/op

• Stability, Δ* 40

* Δ is defined as (switching energy)/kbT where kb is the Boltzmann constant and T is the absolute temperature.

Performance will be continually evaluated based on the probability that progress will lead to achievement of the final goals of the NV Logic program. Should it be determined, that substantial progress is unlikely, DARPA does not guarantee continued funding.

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 stages with options for continued work at the end of one or more of the stages.

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. 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 expects that program goals for this BAA may be met by proposers intending to perform '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, 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.). The DARPA Program Manager for this BAA is Dr. Devanand Shenoy.

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

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

If a prospective Proposer believes that any conflict of interest exists or may exist (whether organizational or otherwise), the Proposer should promptly raise the issue with DARPA by sending Proposer's contact information and a summary of the potential conflict by email to the mailbox address for this BAA at DARPA-BAA-10- 42@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 http://www.dss.mil/ 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, no matter the type of award instrument proposed, 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. 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-10-42 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. Proposal Information

Proposers are required to submit full proposals by the time and date specified in the BAA in order to be considered during the single round of selections. Proposals received after the time and date specified in the BAA will be considered late and, as such, will not be evaluated.

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 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.

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- 10-42.)

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-10-42; e-mail is preferred. DARPA intends to use electronic mail correspondence regarding DARPA- BAA-10-42. Proposal 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.

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 DARPA-BAA-10-42, unless seeking a grant or cooperative agreement, must be submitted through T-FIMS. See https://www.tfims.darpa.mil/baa/ https://www.bpn.gov/CCRSearch/Search.aspx http://www.grants.gov/agencies/aapproved_standard_forms.jsp#2 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.

All proposals submitted electronically through T-FIMS 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- 42@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/ .

3. 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 forty two (42) number pages.

Maximum page lengths for each section are shown in braces { } below. All full proposals must be written in English.

4. Volume I, Technical and Management Proposal

Section I. Administrative 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 DISADVANTAGED BUSINESS”, “OTHER SMALL

mailto:DARPA-BAA-10-42@darpa.mil mailto:DARPA-BAA-10-42@darpa.mil

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.

(11) Total funds requested, broken down by phase and phase duration (list number of months, not periods of time). Please make sure that these amounts match the funds in Volume II, the cost proposal.

B. Official transmittal letter.

C. Cost Proposal Summary Checklist (Attachment 1)

Section II. Summary of Proposal

A. {4} Executive Summary. This should clearly and concisely summarizes the following:

a. Innovative claims for the proposed research and comparison to current technology and related on-going research;

b. Description of the technical solutions and innovative approaches proposed and their uniqueness and benefits relative to the current state-of-art alternate approaches;

c. Technical and Management/Teaming Approach (to include team member roles and responsibilities);

d. Technology Transition Plan/Approach;

e. Cost, Schedule and Measurable Milestones for the proposed research, including estimates of cost for each task in each year of the effort;

f. A single powerpoint slide summarizing the program and effort.

Section III. Detailed Proposal Information

A. {17} Innovative Claims, Technical Rationale and Approach. 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. A concise section, enhancing that of Section II, 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. All program metrics must be associated with demonstrable, quantitative measures of performance and should be summarized in a single table. 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. Additionally, comparison with other ongoing research shall be provided indicating advantages and disadvantages of the proposed effort.

B. {6} Program Plan & Risk Assessment. Detailed program plan and risk assessment enhancing that of Section II. A narrative explaining the explicit timelines, milestone achievements, and quantitative program metrics (to include proposer defined metrics, if applicable) by which progress toward the goals can be evaluated. The proposed period of performance of the overall program, and each program stage, should be clearly stated. The narrative plan should include a test plan/approach detailing how all program metrics will be accurately measured.

This section should also identify major technical risk elements specific to the proposed technical and management approach, estimate the risk magnitude for each such element, and describe specific plans to mitigate risks. All program metrics should be described/discussed in detail so government reviewers can assess risks associated with meeting them. For proposals that involve research with humans in the first year or phase, this section should also include text that provides evidence of or a plan for review by an Institutional Review Board (IRB) upon final proposal submission to DARPA (see Section IV.B.2 below). For proposals that involve research with animals, this section should also include text that briefly describes plans for Institutional Animal Care and Use Committee (IACUC) review and approval (see Section IV.B.3 below).

C. {2} 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 proposers team management approach. This section shall also include any formal teaming agreements which are required to execute this program.

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

The page length for the SOW will be dependent on the amount of the effort. The SOW must not include proprietary information. 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 For each task/subtask, provide:

• A general description of the objective (for each defined task/activity);

• A detailed description of the approach to be taken to accomplish each defined task/activity);

• Identification of the primary organization responsible for task execution (prime, sub, team member, by name, etc.);

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

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

E. {2} Technology Transition Approach/Plan. Description of the results, products, transferable technology, and expected technology transition path/plan enhancing that of Section II. See also Section VIII. “Intellectual Property.”

F. {3} 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.

G. {3} Cost schedules and measurable milestones for the proposed research, including:

a. Estimates of cost for each task in each year of the effort delineated by the primes and major subcontractors;

b. Total cost;

c. 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.);

Where the effort consists of multiple portions which could reasonably be partitioned for purposes of funding (such as out-year program stages), these should be identified as options with separate cost estimates for each.

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.

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

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 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. (21) Any Forward Pricing Rate Agreement(s), other such approved rate information, or such documentation that may assist in expediting negotiations (if available).

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 stage, 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 stage 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 property (i.e., material, equipment, special test equipment, plant equipment, information technology (IT)1, etc.); (4) the source, nature, and amount of any industry cost-sharing; and (5)

• 1 IT is defined as “any equipment, or interconnected system(s) or subsystem(s) of equipment that is used in the automatic acquisition, storage, manipulation, management, movement, control, display, switching, interchange, transmission, or reception of data or information by the agency. (a) For purposes of this definition, equipment is used by an agency if the equipment is used by the agency directly or is used by a contractor under a contract with the agency which – (1) Requires the use of such equipment; or (2) Requires the use, to a significant extent, or such equipment in the performance of a service or the furnishing of a product. (b) The term “information technology” includes 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.

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 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 TFIMS submission, subcontract proposals that do not include proprietary pricing information (rates, factors, etc.).

If seeking a procurement contract and items of Contractor Acquired Property are proposed, exclusive of material, 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 1: “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.

computers, ancillary, software, firmware and similar procedures, services (including support services), and related resources. (c) The term “information technology” does not include – (1) Any equipment that is acquired by a contractor incidental to a contract; or (2) Any equipment that contains imbedded information technology that is used as an integral part of the product, but the principal function of which is not the acquisition, storage, manipulation, management, movement, control, display, switching, interchange, transmission, or reception of data or information.