DARPA-BAA-12-64_Amendment_No._03_Final_For_Posting_2May2014.pdf

Broad Agency Announcement

DARPA-BAA-12-64

Microsystems Technology Office

Office-Wide

30 August 2012 (Open Period: 2 September 2012 through 1 September 2014)

(Amendment No. 03: As amended on 2 May 2014)

Table of Contents

Part I: Overview Information Part II: Full Text of Announcement

Sec. I: FUNDING OPPORTUNITY DESCRIPTION Sec II. AWARD INFORMATION Sec. III: ELIGIBILITY INFORMATION

A. Eligible Applicants B. Procurement Integrity, Standards of Conduct, Ethical Considerations, and Organizational Conflicts of Interest C. Cost Sharing/Matching D. Other Eligibility Criteria

Sec. IV: APPLICATION AND SUBMISSION INFORMATION A. Address to Request Application Package B. Content and Form of Application Submission

1. Security and Proprietary Issues

2. Abstract/White Paper Submission Information

3. Abstract/White Paper Format

4. Proposal Submission Information

5. Full Proposal Format

6. Submission Dates and Times

7. Intergovernmental Review

8. Funding Restrictions

9. Other Submission Requirements (if any)

Sec. V: APPLICATION REVIEW INFORMATION A. Evaluation Criteria B. Review and Selection Process

Sec. VI: AWARD ADMINISTRATION INFORMATION A. Selection Notices B. Administrative and National Policy Requirements

1. Meeting and Travel Requirements

2. Human Use

3. Animal Use

4. Publication Approval

5. Export Control

6. Subcontracting

7. Electronic and Information Technology

8. Employment Eligibility Verification

9. Additional Requirement and Responsibilities relating to Alleged Crimes by or against Contractor Personnel in Iraq and Afghanistan

10. System for Award Management (SAM) Registration and Universal Identifier Requirements

11. Reporting Executive Compensation and First-Tier Subcontract Awards

12. Updates of Information Regarding Responsibility Matters

13. Representation by Corporations Regarding Unpaid Delinquent Tax Liability or a Felony Conviction Under Any Federal Law

14. Cost Accounting Standards Notices and Certification Deviation 2012-00003 (Jan 2012) 33

15. Controlled Unclassified Information on Non-DoD Information Systems

C. Reporting D. Electronic Systems

1. Representations and Certifications

2. Wide Area Work Flow (WAWF)

3. i-Edison

Sec. VII: AGENCY CONTACTS Sec. VIII: OTHER INFORMATION

A. Intellectual Property Procurement Contract Proposers

1. Noncommercial Items (Technical Data and Computer Software)

2. Commercial Items (Technical Data and Computer Software)

B. Non-Procurement Contract Proposers – Noncommercial and Commercial Items (Technical Data and Computer Software) C. All Proposers – Patents D. All Proposers – Intellectual Property Representations E. Other Transactions (OTs):

Part I: Overview Information

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

• Funding Opportunity Title – Office-Wide Broad Agency Announcement

• Announcement Type – Initial Announcement.

• Funding Opportunity Number – DARPA-BAA-12-64

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

• Dates o Posting Date: 30 August 2012 o Open period: 2 September 2012 through 1 September 2014 o Abstract/White Papers and Proposals will be submitted on a rolling basis until

4:00pm EST, on 1 September 2014

• Concise description of the funding opportunity: This announcement seeks revolutionary research ideas for topics not being addressed by ongoing MTO programs or other published BAA solicitations.

• Anticipated individual awards – Multiple awards are anticipated.

• Anticipated funding type - 6.1, 6.2, and/or 6.3

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

• Any cost sharing requirements – None.

• Agency contact o William Chappell, Ph.D., Deputy Director, DARPA/MTO BAA Coordinator: DARPA-BAA-12-64@darpa.mil

DARPA/MTO

ATTN: DARPA-BAA-12-64

675 North Randolph Street Arlington, VA 22203-2114

PROPOSERS ARE CAUTIONED THAT EVALUATION RATINGS MAY BE LOWERED

AND/OR PROPOSALS REJECTED IF PROPOSAL PREPARATION (PROPOSAL FORMAT,

CONTENT, ETC.) AND/OR SUBMITTAL INSTRUCTIONS ARE NOT FOLLOWED.

THOSE INTENDING TO SUBMIT A PROPOSAL FOR AN ASSISTANCE INSTRUMENT

(GRANT OR COOPERATIVE AGREEMENT) ARE STRONGLY ENCOURAGED TO READ

THE INSTRUCTIONS PROVIDED AT SECTION IV(B)(4) REGARDING THE TIME

REQUIRED TO RECEIVE VALIDATION OF SUBMISSIONS MADE THROUGH

GRANTS.GOV. PROPOSALS THAT ARE VALIDATED AFTER THE PROPOSAL DUE

DATE/TIME WILL BE CONSIDERED LATE AND, AS SUCH, WILL NOT BE REVIEWED.

mailto:name@darpa.mil

Part II: Full Text of Announcement

Sec. I: FUNDING OPPORTUNITY DESCRIPTION

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

The Microsystems Technology Office (MTO) supports DARPA’s mission of maintaining technological superiority and preventing technological surprise by investing in areas such as microelectromechanical systems (MEMS), electronics, system architecture, photonics, and biotechnology. In recent years, the proliferation of commercial components and manufacturing processes has allowed our adversaries to achieve capabilities that were previously not possible.

In response, DARPA/MTO is dedicated to pursuing avenues that leverage, counter, and transcend these commercial-off-the-shelf approaches (COTS). MTO aims to leverage and multiply the power of COTS by aggregating, adapting, and integrating components into networks and systems for the benefit of the warfighter. We create methods for countering threats that emerge from sustained advancements in cheap and readily available technologies that our adversaries may employ. Lastly, MTO develops high-risk, high-reward technologies outside and beyond the scope of the commercial industry to secure the DoD’s technological superiority. By continuing to drive revolutionary capabilities, we seek to “un-level” the playing field.

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

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

http://www.darpa.mil/our_work/MTO/ and other MTO solicitations list at:

http://www.darpa.mil/Opportunities/Solicitations/MTO_Solicitations.aspx to avoid proposing efforts to this BAA that duplicate existing activities or that are responsive to other published MTO BAAs. Contacting MTO program managers to discuss research interests is also encouraged.

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

http://www.fedbizopps.gov/ http://www.grants.gov/ http://www.darpa.mil/our_work/MTO/ http://www.darpa.mil/Opportunities/Solicitations/MTO_Solicitations.aspx

• Heterogeneous Integration

• Emerging MEMs Technologies

• Energy-Efficient Computing

• Non-Silicon Electronics

• Novel Photonic Devices

• Quantum Devices

• Hardware Assurance, Reliability & Validation

• Low Volume Microsystems Manufacturing

• Signal Processing Hardware

• Low Power Electronics

• Thermal Management

• Advanced Imaging Architectures

• Photonic & Electronic Interconnects

• Microsystem Design & CAD

• Biological & Biomedical Microsystems

• Chip Scale Sensors

• Microsystems for Directed Energy

• Microsystems for Precision Navigation & Timing

• Enabling Component Technology for Cold-Atom Microsystems

• Microsystems for RF/Optical Transceivers

• Other Microsystems Technology Topic Areas

Sec II. AWARD INFORMATION

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

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

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

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

Sec. 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 address the following conditions. FFRDCs must clearly demonstrate that the proposed work is not otherwise available from the private sector AND 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.

B. 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 William Chappell. 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.)

Without prior approval or a waiver from the DARPA Director, in accordance with FAR 9.503, a Contractor cannot simultaneously provide scientific, engineering, technical assistance (SETA) or similar support and also be a technical performer. Therefore, all Proposers as well as proposed subcontractors and consultants must affirm whether they (their organizations and individual team members) are providing 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, subcontractor, consultant, or individual supports and identify the prime contract number(s).

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 must include a description of the action the Proposer has taken or proposes to take to avoid, neutralize, or mitigate such conflict. If in the sole opinion of the Government after full consideration of the circumstances, a proposal fails to fully disclose potential conflicts of interest and/or any identified conflict situation cannot be effectively mitigated, the proposal 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) or has questions on what constitutes a conflict of interest, the Proposer should promptly raise the issue with DARPA by sending his/her contact information and a summary of the potential conflict to the BAA mailbox (DARPA-BAA-12-64@dapra.mil) before time and effort are expended in preparing a proposal and mitigation plan.

C. Cost Sharing/Matching

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

D. Other Eligibility Criteria

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

Sec. 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 13526, 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.

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

Proposers 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 DoD Information Security Manual (DoDM 5200.01, Volumes 1 - 4) 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 submitted via ONE of the two following methods:

1. Hand-carried by an appropriately cleared and authorized courier to the DARPA CDR. Prior to traveling, the courier shall contact the DARPA CDR at 703-526-4052 to coordinate arrival and delivery.

OR

2. Mailed via appropriate U.S. Postal Service methods (e.g., (USPS)

Registered Mail or USPS Express Mail). All classified information will be enclosed in opaque inner and outer covers and double wrapped. The inner envelope shall be sealed and plainly marked with the assigned classification and addresses of both sender and addressee.

The inner envelope shall be addressed to:

ATTN: Microsystems Technology Office

Reference: DARPA-BAA-12-64

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

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

All Top Secret materials: Top Secret information should be hand carried by an appropriately cleared and authorized courier to the DARPA CDR. Prior to traveling, the courier shall contact the DARPA CDR at 703-526-4052 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- 526-4052 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.

Proposers must have existing and in-place prior to execution of an award, approved capabilities (personnel and facilities) to perform research and development at the classification level they propose. It is the policy of DARPA to treat all proposals as competitive information, and to disclose their contents only for the purpose of evaluation. Proposals will not be returned. The original of each proposal received will be retained at DARPA and all other non-required copies destroyed. A certification of destruction may be requested, provided the formal request is received at this office within 5 days after unsuccessful notification.

2. Abstract/White Paper Submission Information

Proposers are strongly encouraged to submit an abstract/white paper in advance of a full proposal. This procedure is intended to minimize unnecessary effort in proposal preparation and review. The time and date for submission of abstracts is specified in Section IV.B.6 (Submission Dates and Times) below. DARPA will acknowledge receipt of the submission and assign a control number that should be used in all further correspondence regarding the abstract.

Abstract/white papers sent in response to DARPA-BAA-12-64 shall be submitted through T- FIMS. DO NOT SUBMIT ABSTRACT/WHITE PAPERS TO GRANTS.GOV. See https://baat.darpa.mil for more information on how to request an account, upload abstract/white papers, and use the T-FIMS tool.

Abstract/white papers may not be submitted by fax or e-mail; any so sent will be disregarded.

Upon review, DARPA will provide written feedback on the likelihood of a full proposal being selected.

3. Abstract/White Paper Format

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

DARPA will respond to abstract/white papers via a letter that includes a statement as to whether DARPA is interested in the idea (commonly referred to as an “encourage/discourage” letter).

DARPA will attempt to reply to abstract/white papers within thirty (30) calendar days of receipt.

Should a proposer be discouraged from submitting a full proposal, the letter will contain feedback for the proposer regarding the rationale for the decision not to recommend a full https://baat.darpa.mil/ proposal be submitted. Abstract/white papers will typically be reviewed in the order they are received. Early submissions of abstract/white papers and full proposals are strongly encouraged because selections may be made at any time during the period of solicitation. Regardless of DARPA’s response to an abstract/white paper, proposers may submit a full proposal. DARPA will review all full proposals submitted using the published evaluation criteria and without regard to any comments resulting from the review of an abstract/white paper.

4. Proposal Submission Information

Proposers are required to submit proposals by the time and date specified in the BAA in order to be considered. 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 may not be submitted by fax or e-mail; any so sent will be disregarded.

For Proposers Requesting an Assistance Instrument (Grant or Cooperative Agreement):

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

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

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

• Proposers must obtain a DUNS number

• Proposers must register their organization in the System for Award Management (SAM) https://www.sam.gov.

• 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.

Once Grants.gov has received a proposal submission, Grants.gov will send two email messages to advise proposers as to whether or not their proposals have been validated or rejected by the system; IT MAY TAKE UP TO TWO DAYS TO RECEIVE THESE EMAILS. The first email http://www.grants.gov/applicants/get_registered.jsp https://www.sam.gov/ will confirm receipt of the proposal by the Grants.gov system; this email only confirms receipt, not acceptance, of the proposal. The second will indicate that the application has been successfully validated by the system prior to transmission to the grantor agency or has been rejected due to errors. If the proposal is validated, then the proposer has successfully submitted their proposal. If the proposal is rejected, the proposer will have to resubmit their proposal.

Once the proposal is retrieved by DARPA, the proposer will receive a third email from Grants.gov. To avoid missing deadlines, proposers should submit their proposals in advance of the final proposal due date with sufficient time to receive confirmations and correct any errors in the submission process through Grants.gov. For more information on submitting proposals to Grants.gov, visit the Grants.gov submissions page at:

http://grants.gov/applicants/apply_for_grants.jsp

Proposers electing to submit grant or cooperative agreement proposals via grants.gov must complete the SF 424 R&R form (Application for Federal Assistance, Research and Related) and the SF-LLL (if required). Please use the Attachments Form and upload, as two separate documents, Volume I, Technical and Management Proposal and Volume II, the Cost Proposal, as well as any other documents require by the BAA (i.e., subcontract proposals). No other Grants.gov forms are required. Please note that Grants.gov does not accept zipped or encrypted documents uploaded at attachments. Please follow the document made available on grants.gov as part of the solicitation entitled “Instructions for Using Grants.gov to Apply for a Grant or Agreement from DARPA (Short Form),” dated 20 October 2011, for more information.

If submitting hard-copy, an original and (4) copies of the proposal and (4) electronic copies of the proposal on a CD-ROM shall be submitted to DARPA/MTO, via 675 North Randolph Street, Arlington VA 22203-2114 (Attn: DARPA-BAA-12-64), no later than time and date specified in Section IV.B.6 Submission Dates and Times.

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

For Proposers Requesting a Contract or Other Transaction Agreement

Proposals not requesting a grant or cooperative agreement sent in response to DARPA-BAA-12- 64 must be submitted through T-FIMS. See https://baat.darpa.mil 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.

For All Proposers:

All administrative correspondence and questions on this solicitation should be directed to DARPA-BAA-12-64@darpa.mil. DARPA intends to use electronic mail for correspondence regarding DARPA-BAA-12-64. DARPA encourages use of the Internet for retrieving the BAA and any other related information that may subsequently be provided.

http://grants.gov/applicants/apply_for_grants.jsp mailto:support@grants.gov?subject=Support https://baat.darpa.mil/

5. 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. Section II of Volume I, Technical and Management Proposal, shall not exceed 15 pages. Section III of Volume I, Technical and Management Proposal, shall not exceed 26 pages. All full proposals must be written in English.

a. Volume I, Technical and Management Proposal

Section I. Administrative

A. Cover sheet to include:

(1) BAA number

(2) Technical area(s)

(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

(9) Administrative point of contact to include: salutation, last name, first name, street address, city, state, zip code, telephone, fax (if available), electronic mail

(10) Total funds requested from DARPA, and the amount of cost share (if any) AND

(11) Date proposal was submitted.

B. Official transmittal letter. (Note: An official transmittal letter is not required when submitting an Abstract/White paper.)

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

Section II. Summary of Proposal

This section provides an overview of the proposed work as well as an introduction to the associated technical and management issues. Further elaboration will be provided in Section III.

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

B. Deliverables associated with the proposed research and the plans and capability to accomplish technology transition and commercialization. Include in this section all proprietary claims to the results, prototypes, intellectual property, or systems supporting and/or necessary for the use of the research, results, and/or prototype. If there are not proprietary claims, this should be stated. For forms to be completed regarding intellectual property, see Section VIII. There will be no page limit for the listed forms.

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

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

E. General discussion of other research in this area.

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

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

Section III. Detailed Proposal Information

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

A. Innovative Claims, Technical Rationale and Approach - This section is the centerpiece of the proposal and should succinctly describe clearly what you propose to do without using any jargon, and thoroughly and quantitatively describe the uniqueness and benefits of the proposed approach relative to the current state-of-art and alternate approaches; enhancing that of Section II.D. 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. The feasibility of the proposed approach(es) should be justified. All program metrics must be associated with demonstrable, quantitative measures of performance and should be summarized in a single table (values for the metrics should be given that are anticipated at the program’s conclusion and at intermediate milestones).

B. 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. 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.

• Clearly identify any tasks/subtasks (prime or subcontracted) that will be accomplished on-campus at a university.

Note: It is recommended, if applicable, that the SOW should be developed so that each Phase of the program is separately defined. However, as previously stated, this BAA is primarily intended for early stage research consisting of short duration, single phase efforts.

C. Program Plan & Risk Assessment – Clearly describe a detailed plan for accomplishing the proposed research effort using the innovative approach(es) described in Section III(A). The program plan should: (1) provide a detailed description of performance metrics and assessment parameters and how performance of each will be accurately demonstrated and measured (2) include a comprehensive timeline, (3) identify expected intermediate progress time points and values for all quantitative metrics and assessment parameters, and (4) identify all milestones. In addition, this section must include a thoughtful and thorough risk-assessment, in which the major risks associated with the proposed work are articulated. All risk assessments should: (1) identify all major technical risks specific to the proposed approaches, (2) estimate the relative magnitude of the risks, (3) identify which milestones are subject to each risk, and(4) describe specific plans to mitigate each risk.

D. Teaming and Management Plan. Present a coherent organization chart and integrated management strategy for the program team enhancing that of Section II.F. For each person, indicate: (1) name, (2) affiliation, (3) abbreviated listing of all technical area tasks they will work on with roles, responsibilities, and percent time indicated, (4) keywords identifying relevant expertise and/or unique capabilities. Additionally, describe the programmatic relationship between investigators and the rationale for choosing this teaming strategy.

E. Description of the results, products, transferable technology, and expected technology transfer path – This description should enhance that of Section II.B. This should also address mitigation of life-cycle and sustainment risks associated with transitioning intellectual property for U.S. military applications, if applicable. See also Section VIII.

“Intellectual Property.”

F. Capabilities - Identify the facilities and equipment required to achieve the proposed goals.

Clearly identify which tools and facilities are presently available to the team. For each, if it is presently available to the team, identify its location, which investigator or facility is providing it, and describe its specifications and/or qualifications. If the tool or facility is not available to the team, justify why this is the case and provide the expected cost of acquisition, enhancing the discussion of research noted in Section II.E.

G. Cost, Schedule, and Measurable Milestones - For the proposed research, enhance the information provided in Section II.C., including estimates of cost for each task in each year of the effort delineated by the primes and major subcontractors (if applicable), total cost, and any company cost share. (Note: Measurable milestones should capture key development points in tasks and should be clearly articulated and defined in time relative to start of effort.)

Where the effort consists of multiple portions which could reasonably be partitioned for purposes of funding, these should be identified as options with separate cost estimates for each. Additionally, proposals should clearly explain the technical approach(es) that will be employed to meet or exceed each program metric and provide justification as to why the approach(es) is/are feasible. The milestones must not include proprietary information.

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.

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

Cover sheet to include:

(1) BAA number;

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

(3) Lead Organization submitting proposal;

(4) Type of business, selected among the following categories: “LARGE BUSINESS”, “SMALL DISADVANTAGED BUSINESS”, “OTHER SMALL BUSINESS”, “HBCU”, “MI”, “OTHER EDUCATIONAL”, OR “OTHER NONPROFIT”;

(5) Contractor’s reference number (if any);

(6) Other team members (if applicable) and type of business for each;

(7) Proposal title;

(8) Technical point of contact to include: salutation, last name, first name, street address, city, state, zip code, telephone, fax (if available), electronic mail (if available);

(9) Administrative point of contact to include: salutation, last name, first name, street address, city, state, zip code, telephone, fax (if available), and electronic mail (if available);

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

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

(12) Total proposed cost separated by basic award and option(s) (if any) broken down by calendar year and by government fiscal year;

(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;

(18) Cage Code;

(19) Subcontractor Information;

(20) Proposal validity period; and

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

NOTE: Attachment 1, the Cost Volume Proposer Checklist, must be included with the coversheet of the Cost Proposal

For proposers without a DCAA-approved cost accounting system who are proposing negotiation of a cost-type contract, Attachment 2 (SF 1408) must be completed and submitted with your proposal in order for your submission to be deemed conforming to this solicitation.

Note that nonconforming proposals may be rejected without review.

The proposers’, to include eligible FFRDCs’, cost volume shall provide cost and pricing information (See Note 1), or other than cost or pricing information if the total price is under $700,000, in sufficient detail to substantiate the program price proposed (e.g., realism and reasonableness). In doing so, the proposer shall provide a summary cost breakdown by technical area and a detailed cost breakdown by phase (if multiple phases are proposed), technical task/sub-task, and month for each technical area proposed to. The breakdown shall include, at a minimum, the following major cost item along with associated backup documentation:

Total program cost broken down by major cost items:

A. Direct Labor – a breakout clearly identifying the individual labor categories with associated labor hours and direct labor rates, as well as a detailed Basis-of-Estimate (BOE) narrative description of the methods used to estimate labor costs;

B. Indirect Costs – Including Fringe Benefits, Overhead, General and Administrative Expense, Cost of Money, Fee, etc. (must show base amount and rate);

C. Travel – Provide the purpose of the trip, number of trips, number of days per trip, departure and arrival destinations, number of people, etc.;

D. Other Direct Costs – Itemized with costs; Back-up documentation is to be submitted to support proposed costs;

E. Material/Equipment – A priced Bill-of-Material (BOM) clearly identifying, for each item proposed, the quantity, unit price, the source of the unit price (i.e., vendor quote, engineering estimate, etc.), the type of property (i.e., material, equipment, special test equipment, information technology, etc.), and a cross-reference to the Statement of Work (SOW) task/s that require the item/s. At time of proposal submission, any item that exceeds $1,000 must be supported with basis-of-estimate (BOE) documentation such as a copy of catalog price lists, vendor quotes or a written engineering estimate (additional documentation may be required during negotiations, if selected). 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.

F. Consultants – If consultants are to be used, proposer must provide a copy of the consultant’s proposed SOW as well as a signed consultant agreement or other document which verifies the proposed loaded daily / hourly rate and any other proposed consultant costs (e.g. travel);

G. Subcontracts – Itemization of all subcontracts. Additionally, 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 by 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 all proposed subcontractor costs/prices. Such analysis shall indicate the extent to which the prime contractor has negotiated subcontract costs/prices and whether any such subcontracts are to be placed on a sole-source basis. All proprietary subcontractor proposal documentation which cannot be uploaded to TFIMS or Grants.gov as part of the proposer’s submission, shall be made immediately available to the Government, upon request, under separate cover (i.e., mail, electronic/email, etc.), either by the proposer or by the subcontractor organization – this does not relieve the proposer from the requirement to include, as part of their submission (via TFIMS, Grants.gov or Hardcopy, as applicable), subcontract proposals that do not include proprietary pricing information (rates, factors, etc.);

H. The source, nature, and amount of any industry cost-sharing; and I. Written justification required per Section VI(B)(4) pertaining to subcontracted effort being considered Contracted Fundamental Research.

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. The Government also requests and recommends that the Cost Proposal include MS Excel file(s) that provide traceability between the Bases of Estimate (BOEs) and the proposed costs across all elements and phases. This includes the calculations and adjustments that are utilized to generate the Summary Costs from the source labor hours, labor costs, material costs, etc. input data. It is requested that the costs and Subcontractor proposals be readily traceable to the Prime Cost Proposal in the provided MS Excel file(s); however, this is not a requirement.

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 IT and equipment purchases, include a letter stating why the proposer cannot provide the requested resources from its own funding.

The cost proposal should include identification of pricing assumptions of which may require incorporation into the resulting award instrument (i.e., use of Government Furnished Property/Facilities/Information, access to Government Subject Matter Experts, etc.).

Supporting cost and pricing information in sufficient detail to substantiate the summary cost estimates in B. above. Include a description of the method used to estimate costs and supporting documentation.

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 $700,000 or greater unless the proposer requests an exception from the requirement to submit cost or pricing data. In accordance with DFARS 15.403-1(4)(D), DoD has waived cost or pricing data requirements for nonprofit organizations (including educational institutions) on cost-reimbursement-no-fee contracts.