DARPA-BAA-11-34

Broad Agency Announcement I2O Office-Wide

DARPA-BAA-11-34

May 31, 2011

Defense Advanced Research Projects Agency 3701 North Fairfax Drive Arlington, VA 22203-1714

DARPA I2O OFFICE-WIDE BROAD AGENCY ANNOUNCEMENT ii

Table of Contents

Part I: Overview

Part II: Full Text of Announcement

I. FUNDING OPPORTUNITY DESCRIPTION

II. AWARD INFORMATION

III. ELIGIBILITY

A. Applicants

B. Procurement Integrity

C. Cost Sharing/Matching

IV. APPLICATION

A. Announcement

B. Abstracts

C. Proposals

D. Proprietary and Classified Information

E. Submission Instructions

1. Due Dates

2. Unclassified Submission

3. Classified Submission

F. Intergovernmental Review

G. Funding Restrictions

V. EVALUATION

A. Evaluation Criteria

B. Review and Selection Process

VI. AWARD ADMINISTRATION

A. Selection Notices

B. Administrative and National Policy Requirements

1. Meeting and Travel Requirements

2. Intellectual Property

3. Human Use

4. Animal Use:

5. Publication Approval

6. Export Control

7. Electronic and Information Technology

DARPA I2O OFFICE-WIDE BROAD AGENCY ANNOUNCEMENT iii

8. Employment Eligibility Verification

9. Reporting Executive Compensation and First-Tier Subcontract Awards

10. Updates of Information Regarding Responsibility Matters

C. Reporting

D. Electronic Systems

VII. AGENCY CONTACTS

VIII. OTHER INFORMATION

A. Frequently Asked Questions (FAQs)

B. Industry Day

C. Submission Checklist

DARPA-BAA-11-34 I2O OFFICE-WIDE 1

Part I: Overview

• Federal Agency Name: Defense Advanced Research Projects Agency (DARPA), Information

Innovation Office (I2O)

• Funding Opportunity Title: I2O Office-Wide BAA

• Announcement Type: Initial Announcement

• Funding Opportunity Number: DARPA-BAA-11-34

• Catalog of Federal Domestic Assistance Numbers (CFDA): 12.910 Research and Technology Development

• Dates o Posting Date: May 31, 2011 o Due Date: May 30, 2012 at 1200 noon (ET)

• Summary Description: The Defense Advanced Research Projects Agency (DARPA) is soliciting innovative research proposals of interest to the Information Innovation Office (I2O). Proposed research should investigate innovative approaches that enable revolutionary advances in science, devices, or systems. Specifically excluded is research that results primarily in evolutionary improvements to the existing state of the art.

• Anticipated Individual Awards: Multiple awards are anticipated.

• Total Funding Available for Award: The number of awards possible and the amount of resources made available to this BAA will depend on the quality of the proposals received and the availability of funds. No funding has been specifically reserved for this solicitation.

• Types of Instruments that May Be Awarded: Procurement contracts, grants, cooperative agreements or other transactions.

• Technical POC: Norman Whitaker, Deputy Director, DARPA/I2O

• BAA Email: DARPA-BAA-11-34@darpa.mil

• BAA Mailing Address:

o DARPA/I2O

ATTN: DARPA-BAA-11-34

3701 North Fairfax Drive Arlington, VA 22203-1714

• I2O Solicitation Website:

http://www.darpa.mil/Opportunities/Solicitations/I2O_Solicitations.aspx mailto:DARPA-BAA-11-34@darpa.mil

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Part II: Full Text of Announcement

I. FUNDING OPPORTUNITY DESCRIPTION

The Defense Advanced Research Projects Agency (DARPA) is soliciting innovative research proposals of interest to the Information Innovation Office (I2O). Proposed research should investigate innovative approaches that enable revolutionary advances in science, devices, or systems. Specifically excluded is research that results primarily in evolutionary improvements to the existing state of the art. I2O seeks unconventional approaches that are outside the mainstream, undertaking directions that challenge assumptions and have the potential to radically change established practice.

Additional information on I2O can be found at http://www.darpa.mil/Our_Work/I2O/.

DARPA broad agency announcements (BAAs) are posted on the FedBizOpps website (https://www.fedbizopps.gov/) and Grants.gov website (http://www.grants.gov/).

I2O collaborates with other DARPA program offices, in some cases acting as the recipient of significant emerging technologies and, in other cases, serving as a catalyst by identifying relevant new external technology trends. Novel methods are sought to build technical communities and tap into sources of innovation both inside and outside traditional Department of Defense (DoD) performer communities.

I2O is interested in submissions related to the following focus areas:

• Understand: Change is pervasive and accelerating throughout all aspects of human, world and military affairs, bringing with it both opportunities and threats. Examples of threats include emerging regional peer rivals, rogue and failed nation-states, insurgent groups, militant/radicalized populations, transnational terrorist organizations and criminal enterprises, and new classes of cyber-human-physical threats. Military success requires understanding threat capabilities, intentions, and activities as well as local human, social, cultural, and behavioral factors. I2O seeks to enable this understanding through the development of computational and analytic techniques that can process and assimilate the huge volumes of data generated by modern sensor, information, and communication systems, and by incorporating these techniques and new enabling sensor technologies in intelligence, surveillance, and reconnaissance (ISR) exploitation and language processing systems that can classify behaviors, correlate events, identify trends, detect anomalies, and generate alerts.

• Empower: Just as the world has gotten more complex, so have military operations, which require the precise tasking, coordination and control of air, ground and naval forces, ISR assets, weapons systems, communications resources and logistics under http://www.darpa.mil/Our_Work/I2O/ https://www.fedbizopps.gov/ http://www.grants.gov/

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highly dynamic, uncertain, and dangerous conditions. I2O works to empower warfighters at all echelons to meet these challenges by developing advanced computing technologies, including modeling and simulation, visualization, knowledge management, geographic information systems, semantic web techniques, social networks, crowd-sourced, and Web 2.0/3.0 techniques, and implementing these in command and control systems that automate and improve the application of information to military decision-making, planning, training, mission rehearsal, and operations support.

• Connect: Modern warfighting depends on reliable connectivity for access to theater and national sensor data and to coordinate the action of widely distributed forces. This connectivity is being challenged by increasingly sophisticated cyber attacks on network and computational resources. I2O aims to ensure this connection by developing more resilient computing and communication technologies and by creating new approaches to ensure the security of Defense networks and computing systems. These technologies will enable more rapid detection, analysis, and mitigation of cyber threats; more efficient utilization of network resources; and more effective monitoring and control of computing and communications infrastructure.

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II. AWARD INFORMATION

Multiple awards are anticipated. The level of funding for individual awards made under this BAA has not been predetermined and will depend on the quality of the proposals received and the availability of funds. Awards will be made to proposers whose proposals are determined to be the most advantageous and provide the best value to the Government, all factors considered, including the potential contributions of the proposed work, overall funding strategy, and availability of funding for the effort. See Section V.B. for further information.

Proposals selected through this BAA 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. In all cases, the Government shall have sole discretion to select award instrument type and to negotiate all instrument provisions with selectees.

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. Proposers should indicate in their proposal whether they believe the scope of the research included in their proposal is fundamental or restricted, with the understanding that in all cases, the DARPA contracting officer shall have sole discretion to select award instrument type and to negotiate all instrument provisions with selectees. See Section VI.B.4 for further information on fundamental, non-fundamental and restricted research.

The Government reserves the right to:

• Select for negotiation all, some, one, or none of the proposals received in response to this solicitation.

• Make awards without discussions with proposers.

• Conduct discussions if it is later determined to be necessary.

• Segregate portions of resulting awards into pre-priced options.

• Accept proposals in their entirety or to select only portions of proposals for award.

• Fund proposals in phases with options for continued work at the end of one or more phases.

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• Request additional documentation once the award instrument has been determined;

such information may include but is not limited to representations and certifications.

• Remove proposers from award consideration should the parties fail to reach agreement on award terms within a reasonable time or the proposer fails to provide requested additional information in a timely manner.

III. ELIGIBILITY

A. Applicants

All responsible sources capable of satisfying the Government's needs may submit a proposal that shall be considered by DARPA.

1. Historically Black Colleges and Universities, Small Businesses, Small Disadvantaged Businesses and Minority Institutions

Historically black colleges and universities (HBCUs), small businesses, small disadvantaged businesses and minority institutions (MIs) are encouraged to submit proposals and team with others to submit proposals; however, no portion of this announcement will be set aside for these organizations due to the impracticality of reserving discrete or severable areas of this research for exclusive competition among these entities.

2. Federally Funded Research and Development Centers (FFRDCs) and Government entities

Federally funded research and development centers (FFRDCs) and Government entities (e.g., Government/national laboratories and military educational institutions) are subject to applicable direct competition limitations and cannot propose to this BAA in any capacity unless the following conditions are met.

• FFRDCs must clearly demonstrate that the proposed work is not otherwise available from the private sector and must provide a letter on letterhead from their sponsoring organization citing the specific authority establishing 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 as either prime contractors or subcontractors.

• Government entities must clearly demonstrate that the proposed work is not otherwise available from the private sector and provide written documentation citing the specific statutory authority (and contractual authority, if relevant) establishing the 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.

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3. Foreign Participation Non-U.S. organizations and/or individuals may participate to the extent that such participants comply with any necessary nondisclosure agreements, security regulations, export control laws, and other governing statutes applicable under the circumstances.

B. Procurement Integrity

Active 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. The Government assessment does not affect, offset, or mitigate the proposer’s responsibility to give full notice and planned mitigation for all potential organizational conflicts, as discussed below.

Without the prior approval or a waiver from the DARPA Director, a contractor cannot simultaneously be a scientific, engineering, and technical assistance (SETA) contractor and a performer. (See Federal Acquisition Regulation (FAR) 9.503 at https://www.acquisition.gov/FAR/.) As part of the proposal (but not abstract) submission, proposers, proposed subcontractors and consultants must affirm whether they (individuals and organizations) are providing SETA or similar support to any DARPA technical office(s) through an active contract or subcontract. Affirmations must state which office(s) the proposer and/or proposed subcontractor/consultant supports and must provide prime contract numbers. 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. Proposals that fail to fully disclose potential conflicts of interest and/or do not have plans to mitigate this conflict may be rejected without technical evaluation and withdrawn from further consideration for award. If, in the sole opinion of the Government after full consideration of the circumstances, any conflict situation cannot be effectively mitigated, a proposal may be rejected without technical evaluation and withdrawn from further consideration for award under this BAA.

If a prospective proposer believes a conflict of interest exists or may exist (whether organizational or otherwise) or has a question as to what constitutes a conflict, a summary of the potential conflict should be sent to DARPA-BAA-11-34@darpa.mil before preparing a proposal and mitigation plan.

C. Cost Sharing/Matching Cost sharing/matching is not required unless a statutory condition applies such as the conditions of 10 U.S.C. 2371 as they apply to other transactions (see section IV.C.2.e).

https://www.acquisition.gov/FAR/

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IV. APPLICATION

A. Announcement

This announcement contains all information required to respond to this solicitation and constitutes the total BAA. No additional forms, kits, or other materials are needed. No request for proposal (RFP) or additional solicitation regarding this opportunity will be issued, nor is additional information available except as provided at the FedBizOpps website (http://www.fbo.gov) or referenced in this document.

B. Abstracts

Proposers may submit an abstract in advance of a proposal to reduce potential effort in proposal preparation. DARPA will respond to abstracts indicating whether, after preliminary review, there is interest in I2O for the proposed work. Written responses will be sent within 30 calendar days of receipt. Proposals may be submitted and will be reviewed irrespective of comments or feedback received in response to the abstract.

The abstract is a concise version of the proposal comprising a maximum of 12 pages including the cover sheet and all figures, tables, and charts. The (optional) submission letter and (optional) additional information is not included in the page count.

All pages shall be formatted for printing on 8-1/2 by 11 inch paper with font size not smaller than 12 point. Font sizes of 8 point may be used for figures, tables, and charts.

Submissions must be written in English.

The abstract must include the following components:

• Cover Sheet: Include the administrative and technical points of contact (name, address, phone, fax, email, lead organization). Also include the BAA number, title of the proposed project, primary subcontractors, estimated cost, duration of the project, and the label “ABSTRACT.”

• Executive Summary: Provide a synopsis of the proposed project, including brief answers to the following questions:

− What are you trying to do?

− How is it done today and what are the limitations?

− Who will care and what will the impact be if you are successful?

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

• Goals and Impact: Describe clearly what is being proposed and what difference it will make (qualitatively and quantitatively) if successful. Describe the innovative aspects of the project in the context of existing capabilities and approaches, clearly delineating the relationship of this work to other projects from the past and present.

http://www.fbo.gov/

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• Technical Plan: Outline and address all technical challenges inherent in the approach and possible solutions for overcoming potential problems. Provide appropriate specific milestones (quantitative, if possible) at intermediate stages of the project to demonstrate progress, and a brief plan for accomplishment of the milestones.

• Management Plan: Provide a brief summary of expertise of the team, including subcontractors and key personnel. Identify principal investigator for the project and include a description of the team’s organization including roles and responsibilities.

Do not include more than two resumes as part of the abstract.

• Capabilities: Describe briefly the organizational experience in this area, existing intellectual property required to complete the project, and any specialized facilities to be used as part of the project. List Government-furnished materials or data assumed to be available.

• Cost and Schedule: Provide a cost estimate for resources over the proposed timeline of the effort, broken down by year and phase. Include labor, materials, a list of deliverables and delivery schedule. Provide cost estimates for each subcontractor (it may be a rough order of magnitude).

• Additional Information (optional): Include, if desired, a brief bibliography with links to relevant papers, reports, videos, or resumes of key performers. Provided for reviewer convenience, it should be limited to 2 pages and will not be reviewed as part of the abstract.

C. Proposals

Proposals consist of Volume 1: Technical and Management Proposal (including Appendix A) and Volume 2: Cost Proposal.

All pages shall be formatted for printing on 8-1/2 by 11-inch paper with a font size not smaller than 12 point. Font sizes of 8 or 10 point may be used for figures, tables, and charts.

Document files must be in Portable Document Format (.pdf, ISO 32000-1), OpenDocument (.odx, ISO/IEC 26300:2006 ), .doc, .docx, .xls, .or .xlsx formats.

Submissions must be written in English.

Proposals not meeting the format prescribed herein may not be reviewed.

1. Volume I: Technical and Management Proposal:

The maximum count for Volume 1 is 40 pages, including all figures, tables and charts but not including the cover sheet, table of contents or appendices. A submission letter is optional and

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is not included in the page count. Appendix A does not count against the page limit and is mandatory. Appendix B does not count against the page limit and is optional.

Additional information not explicitly called for here must not be submitted with the proposal, but may be included as links in the bibliography in Appendix B. Such materials will be considered for the reviewers’ convenience only and not evaluated as part of the proposal.

Volume I must include the following components:

a. Cover Sheet

− BAA number − Technical area − Lead organization (prime contractor) name − Type of business, selected from among the following categories: “LARGE

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

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

− Contractor’s reference number (if any) − Other team members (if applicable) and type of business for each − Proposal title − Technical point of contact including name, mailing address, telephone, email, and fax − Administrative point of contact including name, mailing address, telephone, email, and fax − 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 agreement.

Information on award instruments can be found at http://www.darpa.mil/Opportunities/Contract_Management/Contract_Man agement.aspx.

− Place(s) and period(s) of performance − Subcontractor information − Proposal validity period (minimum 120 days) − DUNS number (http://www.dnb.com/US/duns_update) − Taxpayer identification number

(http://www.irs.gov/businesses/small/international/article/0,,id=96696,00.h tml)

− CAGE code (http://www.dlis.dla.mil/CAGESearch/cage_faq.asp) − Label: “PROPOSAL: VOLUME I” http://www.darpa.mil/Opportunities/Contract_Management/Contract_Management.aspx http://www.darpa.mil/Opportunities/Contract_Management/Contract_Management.aspx http://www.dnb.com/US/duns_update http://www.irs.gov/businesses/small/international/article/0,,id=96696,00.html http://www.irs.gov/businesses/small/international/article/0,,id=96696,00.html http://www.dlis.dla.mil/CAGESearch/cage_faq.asp

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b. Table of Contents

c. Executive Summary: Provide a synopsis of the proposed project, including answers to the following questions:

− What are you trying to do?

− How is it done today and what are the limitations?

− Who will care and what will the impact be if you are successful?

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

The summary should include a description of the key technical challenges, a concise review of the technologies proposed to overcome these challenges and achieve the effort’s goal, and a clear statement of the novelty and uniqueness of the proposed idea.

d. Goals and Impact: Describe clearly what the team is trying to achieve and the difference it will make (qualitatively and quantitatively) if successful. Describe the innovative aspects of the project in the context of existing capabilities and approaches, clearly delineating the uniqueness and benefits of this project in the context of the state of the art, alternative approaches, and other projects from the past and present. Describe how the proposed project is revolutionary and how it significantly rises above the current state of the art.

Describe the deliverables associated with the proposed project and any plans to commercialize the technology, transition it to a customer, or further the work. Discuss the mitigation of any issues related to sustainment of the technology over its entire lifecycle, assuming the technology transition plan is successful.

e. Technical Plan: Outline and address technical challenges inherent in the approach and possible solutions for overcoming potential problems. Provide appropriate measurable milestones (quantitative if possible) at intermediate stages of the effort to demonstrate progress, and a plan for achieving the milestones. Demonstrate a deep understanding of the technical challenges and present a credible (even if risky) plan to achieve the effort’s goal. Discuss mitigation of technical risk.

f. Management Plan: Provide a summary of expertise of the team, including any subcontractors, and key personnel who will be doing the work. Resumes count against the proposal page count. Identify a principal investigator for the project. Provide a clear description of the team’s organization including an organization chart that includes, as applicable, the relationship of team members; unique capabilities of team members; task responsibilities of team members; teaming strategy among the team members; and key personnel with the amount of effort to be expended by each person during each year. Include

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a detailed plan for coordination including explicit guidelines for interaction among collaborators/subcontractors of the proposed effort. Include risk management approaches. Describe any formal teaming agreements that are required to execute this effort.

g. Capabilities: Describe organizational experience in this area, existing intellectual property, specialized facilities, and any Government-furnished materials or data. Provide a discussion of any work in closely related research areas and previous accomplishments.

h. Statement of Work (SOW): The SOW should provide a detailed task breakdown, citing specific tasks and their connection to the interim milestones and effort metrics, as applicable. Each phase of the effort should be separately defined.

For each task/subtask, provide:

− General description of the objective − Detailed description of the approach to be taken to accomplish each defined task/activity − Identification of the primary organization responsible for task execution

(prime contractor, subcontractor, team member, by name) − Measurable milestone; i.e., a deliverable, demonstration, or other event that marks completion − Definition of all deliverables (e.g., reporting, data, reports, and software) to be provided to the Government in support of the proposed research tasks/activities

− Identify any tasks/subtasks (by the prime or subcontractor) that will be accomplished on campus at a university

The SOW must not include proprietary information.

i. Schedule and Milestones: Provide a detailed schedule showing tasks (task name, duration, work breakdown structure element as applicable, performing organization), milestones, and the interrelationships among tasks. The task structure must be consistent with that in the SOW. Measurable milestones should be clearly articulated and defined in time relative to start of effort.

j. Cost Summary: Provide the cost summary as described in Section IV.C.2.b.

k. Appendix A: This section is mandatory and must include all the following components.

− Team Member Identification: Provide a list of all team members (prime and subcontractors). Identify specifically whether any are a non-US organization or individual, FFRDC and/or Government entity as applicable.

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− Government or FFRDC Team Member: Provide documentation (per

Section III.A.2) citing the specific authority that establishes the applicable team member as eligible to propose to Government solicitations to include: 1) statutory authority; 2) contractual authority; 3) supporting regulatory guidance; and 4) evidence of agency approval for applicable team member participation. In addition, provide a statement that demonstrates the work being provided by the Government or Government-funded entity team member is not otherwise available from the private sector.

State “NONE” if none of the team member organizations (prime or subcontractor) belong to a Government entity or FFRDC.

− Organizational Conflict of Interest Affirmations and Disclosure: State “NONE” if neither the proposer nor any proposed subcontractor is currently providing SETA support as described in Section III.B.

Otherwise, provide the following information for the proposer and each proposed subcontractor, as applicable:

Prime

Contract Number

DARPA

Office supported

A description of the action the proposer has taken or proposes to take to avoid, neutralize, or mitigate the conflict

− Intellectual Property: Provide (per Section VI.B.2) a list of all technical data or computer software that will be furnished to the Government with other than unlimited rights. Include all proprietary claims to results, prototypes, deliverables or systems supporting and/or necessary for the use of the research, results, prototypes and/or deliverables. Provide documentation proving ownership or possession of appropriate licensing rights to all patented inventions (or inventions for which a patent application has been filed) to be used for the proposed project. The Government will assume unlimited rights to all intellectual property not explicitly identified as restricted in the proposal.

State “NONE” if no restrictions are intended and patents are not applicable.

− Human Use: Provide evidence of or a plan for review by an institutional review board (IRB) for all proposed research that will involve human

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subjects in the first year or phase of the project. For further information on this subject, see Section VI.B.3.

State “NONE” if human use is not a factor in a proposal.

− Animal Use: For submissions containing animal use, proposals must briefly describe plans for Institutional Animal Care and Use Committee (IACUC) review and approval. For further information on this subject, see Section

VI.B.4.

State “NONE” If animal use is not a factor in a proposal.

− Subcontractor Plan: Prepare a subcontractor plan in accordance with FAR

19.702(a) (1) and (2). Pursuant to Section 8(d) of the Small Business Act (15 U.S.C. 637(d)), it is Government policy to enable small business and small disadvantaged business concerns to be considered fairly as subcontractors to contractors performing work or rendering services as prime contractors or subcontractors under Government contracts, and to ensure that prime contractors and subcontractors carry out this policy. The plan format is outlined in FAR 19.704.

l. Appendix B: Include, if desired, a brief bibliography with links to relevant papers, reports, videos, or resumes. Do not include technical papers in the submission. This section is optional, and the linked materials will not be evaluated as part of the review.

2. Volume II: Cost Proposal

This section is mandatory and must include all the listed components. No page limit is specified for this volume.

a. Cover Sheet: Include the same information as the cover sheet for Volume I with the label “PROPOSAL: VOLUME II.”

b. Cost Summary: Provide a single-page summary with cost totals for labor, materials, other direct charges (ODCs), indirect costs (overhead, fringe, general and administrative (G&A), and the proposed fee (if any) for the effort by phase and year. Include costs for each task in each year of the effort by prime and major subcontractors, total cost and company cost share, if applicable. Include any requests for Government-furnished equipment or information with cost estimates (if applicable) and delivery dates.

c. Detailed Cost Information: Provide detailed cost information for direct labor

(including labor categories), materials, ODCs and indirect costs by month for each task of the project. Information provided for subcontractors must be at the same level of detail as that provided for prime contractors. Both labor

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rates and hours should be detailed. A separate breakdown should be done for each proposed option.

Summarize task-level cost information to give total expenditures on labor, materials, and ODCs by month for prime and subcontractors. Identify cost sharing (if any). Itemize purchases of information technology (as defined in FAR 2.101). Provide totals for all cost categories.

The cost proposal should include a spreadsheet file (.xls, .or equivalent format) that provides formula traceability among all components of the cost proposal.

Costs must be traceable between prime and subcontractor as well as between the cost proposal and the statement of work. The spreadsheet file should be included as a separate component of the zipped submission package.

For proposed information technology and equipment purchases that are equal to or greater than $50,000 for a single item, a letter should be included justifying the purchase.

Supporting cost and pricing information shall include a description of the method used to estimate costs and supporting documentation. “Certified cost or pricing data” as defined in FAR Subpart 15.4 shall be required if the proposer is seeking a procurement contract award of $700,000 or greater unless the proposer requests an exception from the requirement to submit this information.

Certified cost or pricing data is not required if the proposer proposes an award instrument other than a procurement contract (e.g., a grant, cooperative agreement, or other transaction).

Pre-award costs are not reimbursable for awards under this BAA.

See Section III.C for information on cost sharing/matching.

See the cost proposal checklist provided in Section VIII.C for further information.

d. Subcontractors: The proposer is responsible for the compilation and submission of all subcontractor cost proposals. Proposal submissions will not be considered complete until the Government has received all subcontractor cost proposals.

Proprietary subcontractor cost proposals may be included as part of Volume II or submitted separately to DARPA-BAA-11-34@darpa.mil (not uploaded to the submission site). Email messages should include “Subcontractor Cost Proposal” in the subject line and identify the principal investigator and prime proposer organization in the message.

Subcontractor cost proposals should include interdivisional work transfer agreements or similar arrangements.

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e. Other Transactions: If the proposer requests award of an 845 Other

Transactions Agreement (OTA) as a nontraditional defense contractor, as defined in the OSD guide “Other Transactions (OT) Guide For Prototype Projects” dated January 2001 (as amended) (http://www.acq.osd.mil/dpap/Docs/otguide.doc), information must be included in the cost proposal to support the claim. If the proposer requests award of an 845 OT agreement without the required one-third cost share, information must be included in the cost proposal supporting the claim that there is at least one nontraditional Defense contractor participating to a significant extent in the proposed prototype project.

Proposers requesting an 845 OT for Prototypes agreement must include a detailed list of milestones including: milestone description, completion criteria, due date, and payment/funding schedule (to include, if cost share is proposed, contractor and Government share amounts). Milestones should relate directly to accomplishment of technical metrics as defined in the BAA and/or the proposal. Agreement type, fixed price or expenditure based, will be subject to negotiation with DARPA; however, the use of fixed price milestones with a payment/funding schedule is preferred. Proprietary information must not be included as part of the milestones.

For information on 845 OTs, refer to http://www.darpa.mil/Opportunities/Contract_Management/Other_Transaction s_and_Technology_Investment_Agreements.aspx.

D. Proprietary and Classified Information

1. Proprietary Information: DARPA policy is to treat all abstracts and proposals as source selection information (see FAR 2.101 and 3.104) and to disclose the contents only for the purpose of evaluation.

Proposers are responsible for identifying proprietary information to DARPA.

Proposals containing proprietary information must have the cover page and each page containing such information clearly marked. Proprietary information must not be included in the schedule, milestones, or SOW.

During the evaluation process, proposals and abstracts may be handled by one or more support contractors for administrative purposes and/or to assist with technical evaluation. All DARPA support contractors performing this role are expressly prohibited from performing DARPA-sponsored technical research and are bound by appropriate nondisclosure agreements.

2. Classified Information: Proposers submitting classified proposals or requiring access to classified information during the lifecycle of the effort shall ensure all industrial, http://www.acq.osd.mil/dpap/Docs/otguide.doc http://www.darpa.mil/Opportunities/Contract_Management/Other_Transactions_and_Technology_Investment_Agreements.aspx http://www.darpa.mil/Opportunities/Contract_Management/Other_Transactions_and_Technology_Investment_Agreements.aspx

DARPA-BAA-11-34 I2O OFFICE-WIDE 16

personnel, and information system processing security requirements (e.g., facility clearance (FCL), personnel security clearance (PCL), certification and accreditation (C&A)) are in place and at the appropriate level, and any foreign ownership control and influence (FOCI) issues are mitigated prior to submission or access. Proposers must have existing, approved capabilities (personnel and facilities) prior to award to perform research and development at the classification level proposed. Additional information on these subjects is at http://www.dss.mil.

If a proposal is submitted as “Classified National Security Information” as defined by Executive Order 13526 the information must be marked and protected as though classified at the appropriate classification level and submitted to DARPA for a final classification determination.

Classified submissions must indicate the classification level of not only the proposal materials, but also the anticipated classification level of the award document.

After an incoming proposal is reviewed and a determination has been made that the award instrument may result in access to classified information, DD Form 254, “DoD Contract Security Classification Specification,” will be issued and attached as part of the award. A DD Form 254 will not be provided at the time of submission. The DD Form 254 template is available at http://www.dtic.mil/dtic/pdf/formsNguides/dd0254.pdf.

Proposers choosing to submit a classified proposal from other classified sources must first receive permission from the respective original classification authority (OCA) to use this information in replying to this BAA. Applicable classification guide(s) must 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: Confidential, Secret, or Top Secret)

Classified proposals will not be returned. The original of each classified proposal received will be retained at DARPA, and all other copies destroyed. A destruction certificate will be provided if a formal request is received by DARPA within 5 days of notification of non-selection.

E. Submission Instructions

1. Due Dates: Abstracts and proposal packages--full proposal (Volume I and II) and, as applicable, the encryption password, proprietary subcontractor cost proposals, http://www.dss.mil/ http://www.dtic.mil/dtic/pdf/formsNguides/dd0254.pdf

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classified appendices to unclassified proposals--must be submitted per the instructions outlined in this document and received by DARPA on or before 12:00 PM., ET, May 30, 2012. Submissions received after this time will not be reviewed.

Proposers are warned that submission deadlines as outlined herein are strictly enforced.

DARPA will receive and review abstracts and proposals on a rolling basis through the submission due date.

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

2. Unclassified Submission

Proposers must submit their entire abstract or proposal via the same method;

applications cannot be submitted in part via one method and in part via another method nor should duplicate submissions be sent via multiple methods.

a. Procurement Contract or Other Transaction Agreement Proposers: Unclassified abstracts and proposals sent in response to DARPA-BAA-11-34 should be submitted electronically through the DARPA BAA Submission System (https://www.tfims.darpa.mil/baa/). Email submissions will not be accepted.

Because the DARPA BAA Submission System requires registration and certificate installation, adequate time before deadlines should be allowed to complete this process. Information regarding account request, proposal upload, and other functions is available at https://www.tfims.darpa.mil/baa/.

Abstracts and proposals submitted through the DARPA BAA submission system must be compressed and submitted as a single zip file (http://en.wikipedia.org/wiki/ZIP_(file_format)). Only one file will be accepted per submission, and submissions not zipped will be rejected. All proposals submitted through the DARPA BAA Submission System (not including Grants.gov) must be encrypted using Winzip or PKZip with 256-bit AES encryption.

Passwords should be emailed to DARPA-BAA-11-34@darpa.mil at the time of proposal submission.

b. Grant or Cooperative Agreement Proposers: Proposers applying for grants or cooperative agreements may submit through one of the following methods: 1) electronic upload per the instructions at http://www.grants.gov/applicants/apply_for_grants.jsp; or 2) mailed directly to

DARPA.

Technical support for Grants.gov submissions may be reached at 1-800-518-4726 and support@grants.gov.

https://www.tfims.darpa.mil/baa/ https://www.tfims.darpa.mil/baa/ http://en.wikipedia.org/wiki/ZIP_(file_format) mailto:DARPA-BAA-11-34@darpa.mil http://www.grants.gov/applicants/apply_for_grants.jsp mailto:support@grants.gov

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3. Classified Submission: Most abstracts and proposals submitted under this BAA will be unclassified; however, classified submissions will be accepted. Classified abstracts and proposals must be appropriately marked and must not be submitted electronically by any means, including the electronic upload system or Grants.gov, as described above.

Classified materials must be submitted in accordance with the following guidelines:

− Confidential and Secret Collateral Information: Use classification and marking guidance provided by previously issued security classification guides, DoD 5200.1-R “Information Security Regulation” and DoD 5220.22-M “National Industrial Security Program Operating Manual,” when marking and transmitting information previously classified by another OCA. 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. Classified information at the Confidential or Secret level may be submitted via one of the following methods:

o Hand carried by an appropriately cleared and authorized courier to DARPA.

Prior to traveling, the courier shall contact the DARPA Classified Document Registry (CDR) at 703-526-4052 to coordinate arrival and delivery or o Mailed via appropriate U.S. Postal Service methods (e.g., Registered Mail or Express Mail). All classified information will be enclosed in opaque inner and outer covers and double wrapped. The inner envelope shall be sealed and plainly marked with the assigned classification and addresses of both sender and addressee.

The inner envelope shall be addressed to:

ATTN: I2O

Reference: DARPA-BAA-11-34

The outer envelope shall be sealed without identification as to the classification of its contents and addressed to:

Security & Intelligence Directorate, Attn: CDR

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− Top Secret Information: Top Secret information must be hand carried by an appropriately cleared and authorized courier to DARPA. Prior to traveling, the courier must contact DARPA CDR at 703-526-4052 for instructions.

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

− Sensitive Compartmented Information (SCI): SCI must be transmitted via approved methods. Prior to submission, contact DARPA CDR at 703-526-4052 for instructions.

F. Intergovernmental Review Not applicable.

G. Funding Restrictions Not applicable.

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V. EVALUATION

A. Evaluation Criteria

Evaluation of proposals will be accomplished through a scientific/technical review of each proposal using the following criteria listed in descending order of importance.

• Overall Scientific and Technical Merit: 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 are complete and in a logical sequence, with all proposed deliverables clearly defined such that a viable attempt to achieve effort goals is likely as a result of award. The proposal identifies major technical risks, and mitigation efforts are clearly well-defined and feasible.

• 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. Specifically, DARPA’s mission is to maintain the technological superiority of the U.S. military and prevent technological surprise from harming our national security by sponsoring revolutionary, high-payoff research that bridges the gap between fundamental discoveries and their application.

• Cost Realism: The objective of this criterion is to establish that the proposed costs are realistic for the technical and management approach offered and 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 SOW). At a minimum, this review will include, at the prime and subcontract level, the type and number of labor hours proposed per task, the types and quantity of materials, equipment and fabrication costs, travel and other various elements proposed. For efforts with a likelihood of commercial application, appropriate direct cost sharing may be a positive factor in the evaluation. The evaluation criterion recognizes that undue emphasis on cost may motivate proposers to offer low-risk ideas with minimum uncertainty and to staff the effort with junior personnel to be in a more competitive posture. Cost strategies such as these are discouraged.

B. Review and Selection Process DARPA policy is to ensure impartial, equitable, comprehensive proposal evaluations and to select sources whose offers meet the DARPA technical, policy, and programmatic goals.

In order to provide the desired evaluation, qualified Government personnel will conduct reviews and (if necessary) convene panels of experts in the appropriate areas. Subject to the restrictions set forth in FAR 37.203(d), input on technical aspects of the proposals may be solicited by DARPA from non-Government consultants/experts who are strictly bound by appropriate nondisclosure requirements.

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The review process identifies proposals that meet the established criteria and are, therefore, selectable for funding awards by the Government. Selections under this BAA will be made to proposers on the basis of the evaluation criteria listed in Section V.A. Proposals that are determined to be selectable will not necessarily receive awards. Selections may be made at any time during the period of solicitation.

DARPA will review all proposals without regard to feedback resulting from abstract review.

Proposals are evaluated individually, not rated competitively against other proposals because they are not submitted in accordance with a common work statement. For purposes of evaluation, a proposal is defined to be the document and supporting materials (except Appendix B) as described in Section IV. DARPA’s intent is to review proposals as soon as possible after they arrive; however, proposals may be reviewed periodically for administrative reasons.

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

No abstracts or proposals, classified or unclassified, will be returned. After proposals have been evaluated and selections made, the original of each proposal will be retained at DARPA. Hard copies will be destroyed.

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VI. AWARD ADMINISTRATION

A. Selection Notices

After proposal evaluation is complete, proposers will be notified whether their proposals are selectable as determined by the review process. The Government may initiate contract negotiations if the proposal has been selected for immediate funding. Notification will be sent by email to the technical and administrative POCs identified on the proposal coversheet.

B. Administrative and National Policy Requirements

1. Meeting and Travel Requirements

Performers should anticipate periodic site visits at the program manager’s discretion.

2. Intellectual Property

a. Procurement Contracts

− Noncommercial Items (Technical Data and Computer Software): Proposers responding to this BAA requesting a…