DARPA-BAA-14-38_Biological_Technologies.pdf

May 1, 2014 1

Broad Agency Announcement Biological Technologies

DARPA-BAA-14-38

May 1, 2014

May 1, 2014 2

PART I: OVERVIEW INFORMATION

PART II: FULL TEXT OF ANNOUNCEMENT

I. FUNDING OPPORTUNITY DESCRIPTION

II. AWARD INFORMATION

III. ELIGIBILITY INFORMATION

A. ELIGIBLE APPLICANTS

B. PROCUREMENT INTEGRITY, STANDARDS OF CONDUCT, ETHICAL CONSIDERATIONS,

AND ORGANIZATIONAL CONFLICTS OF INTEREST

C. COST SHARING/MATCHING

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 Submission Information

3. Full Proposal Submission Information

4. Abstract Format

5. Full Proposal Format

a. Volume I, Technical and Management Proposal

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

6. Submission Dates and Times

a. Abstract Date

b. Full Proposal Date

7. Funding Restrictions

8. Other Submission Requirements

V. APPLICATION REVIEW INFORMATION

A. EVALUATION CRITERIA

B. REVIEW AND SELECTION PROCESS

VI. AWARD ADMINISTRATION INFORMATION

A. SELECTION NOTICES

B. ADMINISTRATIVE AND NATIONAL POLICY REQUIREMENTS

1. Meeting and Travel Requirements

2. Human Subjects Research

3. Animal Use

4. Export Control

5. Subcontracting

6. Electronic and Information Technology

7. Employment Eligibility Verification

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

9. Reporting Executive Compensation and First-Tier Subcontract Awards

10. Updates of Information Regarding Responsibility Matters

11. Representation by Corporations Regarding an Unpaid Delinquent Tax Liability or a Felony Conviction under any Federal Law—Fiscal Year 2014 Appropriations (Deviation 2014-OO00009) 31

12. Cost Accounting Standards (CAS) Notices and Certification

13. Controlled of Unclassified Controlled Technical Information

C. REPORTING

D. ELECTRONIC SYSTEMS

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1. Representations and Certifications

2. Wide Area Work Flow (WAWF)

3. i-Edison

VII. AGENCY CONTACTS

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

APPENDIX A

APPENDIX B

APPENDIX C

May 1, 2014 4

Part I: Overview Information

• Federal Agency Name – Defense Advanced Research Projects Agency (DARPA), Biological Technologies Office (BTO)

• Funding Opportunity Title – Biological Technologies

• Announcement Type – Initial.

• Funding Opportunity Number – Broad Agency Announcement (BAA)

DARPA-BAA-14-38

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

Research and Technology Development

• Dates o Posting Date: May 1, 2014 o Open period: May 1, 2014 through April 30, 2015 o Proposal Abstracts and Full Proposals can be submitted on a rolling basis until April 30, 2015, 4:00pm ET

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

• Anticipated individual awards – Multiple awards are anticipated.

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

• Any cost sharing requirements – None.

• Agency contact

Points of Contact:

The BAA Administrator for this effort can be reached at:

E-mail: DARPA-BAA-14-38@darpa.mil

DARPA/BTO

ATTN: DARPA-BAA-14-38

675 North Randolph Street Arlington, VA 22203-2114

Solicitations can be viewed at:

http://www.darpa.mil/Opportunities/Solicitations/BTO_Solicitations.aspx mailto:DARPA-BAA-14-38@darpa.mil http://www.darpa.mil/Opportunities/Solicitations/BTO_Solicitations.aspx

May 1, 2014 5

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 Biological Technologies Office (BTO). Proposed research should investigate leading edge approaches that enable revolutionary advances in science, technologies, or systems at the intersection of biology with engineering and the physical and computer sciences. Specifically excluded is research that primarily results in evolutionary improvements to the existing state of the art. BTO seeks unconventional approaches that are outside the mainstream, challenge assumptions, and have the potential to radically change established practice, lead to extraordinary outcomes, and create entirely new fields.

The mission of BTO is to foster, demonstrate, and transition breakthrough fundamental research, discoveries, and applications that integrate biology, engineering, computer science, mathematics, and the physical sciences to expand the national security toolkit.

BTO’s investment portfolio goes far beyond life sciences applications in medicine to include areas of research such as human-machine interfaces, microbes as production platforms, and deep exploration of the impact of evolving ecologies and environments on U.S. readiness and capabilities. BTO’s programs operate across a wide range of scales, from individual cells to the warfighter to global ecosystems. BTO responds to the urgent and long-term needs of the Department of Defense (DoD) and addresses national security priorities. The overarching goal is to develop, demonstrate, and transition biological-based technologies as part of the toolkit available to DARPA stakeholders.

BTO is seeking novel approaches that will build technical communities that tap into sources of innovation both inside and outside traditional DoD performer communities.

BTO encourages efforts that are creative and agile both in terms of the technologies proposed and in the structure of the approach. BTO is interested in submissions related to the following areas:

• Developing radical new techniques and technologies to optimally restore and maintain the health and abilities of military service members.

• Discovering and leveraging novel insights from neuroscience, psychology, cognitive science and related disciplines to advance treatment and resilience in neurological health and optimize human aptitude and performance.

• Understanding and improving interfaces between humans and the physical and biological world to enable optimal performance in complex environments.

• Developing and leveraging a fundamental understanding of the underlying design rules that govern biological system behavior.

• Developing new tools and techniques for forward engineering of biological systems (cells, tissues, organs, and organisms) to both develop new products and functional systems as well as to gain new insights into underlying mechanisms.

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• Leveraging new computational techniques from computer science, big data, and biology to enable investigation and generation of knowledge from biological data at scale.

• Developing and validating new theories and computational models that identify factors and explain principles underlying collective and interactive behaviors of biological organisms at all scales from individual cells to the warfighter to global ecosystems.

• Understanding where there are inflection points in population and ecosystem behavior in order to preserve equilibrium, provide strategic opportunity, or avoid catastrophe.

• Developing and leveraging new insights into non-human biology across and between populations of microbes, plants, marine life, and other non-human biologic entities.

• Understanding how social, environmental, and biological factors converge to generate violence and conflict or lead to deterrence and influence.

• Radical new approaches towards countermeasure development for biological, chemical and/or radiological threats.

• Other biological technology topic areas which fit the scope of BTO’s mission.

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

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”, Section V), and program balance to provide overall value to the Government. 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 http://www.darpa.mil/Our_Work/BTO/

May 1, 2014 7 provide requested additional information. 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, whether or not the research is classified as Fundamental Research, and other factors.

In all cases, the Government contracting officer shall have sole discretion to select award instrument type and to negotiate all instrument terms and conditions with selectees.

Proposers are advised that if they propose grants or cooperative agreements, DARPA may select other award instruments, as it deems appropriate. DARPA will apply publication or other restrictions, as necessary, if it determines that the research resulting from the proposed effort will present a high likelihood of disclosing performance characteristics of military systems or manufacturing technologies that are unique and critical to defense. Any award resulting from such a determination will include a requirement for DARPA permission before publishing any information or results on the program. For more information on publication restrictions, see the section below on Fundamental Research.

Fundamental Research

It is DoD policy that the publication of products of fundamental research will remain unrestricted to the maximum extent possible. National Security Decision Directive (NSDD) 189 established the national policy for controlling the flow of scientific, technical, and engineering information produced in federally funded fundamental research at colleges, universities, and laboratories. The Directive defines fundamental research as follows:

“Fundamental research” means 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.

As of the date of publication of this BAA, the Government cannot identify whether the work under this BAA may be considered fundamental research and may award both fundamental and non-fundamental.

Proposers should indicate in their proposal whether they believe the scope of the research included in their proposal is fundamental or not. While proposers should clearly explain the intended results of their research, the Government shall have sole discretion to select award instrument type and to negotiate all instrument terms and conditions with selectees. Appropriate clauses will be included in resultant awards for non-fundamental research to prescribe publication requirements and other restrictions, as appropriate.

For certain research projects, it may be possible that although the research being performed by the prime contractor is restricted research, a subcontractor may be conducting contracted fundamental research. In those cases, it is the prime contractor’s

May 1, 2014 8 responsibility to explain in their proposal why its subcontractor’s effort is contracted fundamental research.

The following statement or similar provision will be incorporated into any resultant non-fundamental research procurement contract or other transaction:

There shall be no dissemination or publication, except within and between the contractor and any subcontractors, of information developed under this contract or contained in the reports to be furnished pursuant to this contract without prior written approval of DARPA’s Public Release Center (DARPA/PRC). All technical reports will be given proper review by appropriate authority to determine which Distribution Statement is to be applied prior to the initial distribution of these reports by the contractor. With regard to subcontractor proposals for Contracted Fundamental Research, papers resulting from unclassified contracted fundamental research are exempt from prepublication controls and this review requirement, pursuant to DoD Instruction 5230.27 dated October 6, 1987.

When submitting material for written approval for open publication, the contractor/awardee must submit a request for public release to the PRC and include the following information: (1) Document Information: document title, document author, short plain-language description of technology discussed in the material (approx. 30 words), number of pages (or minutes of video) and document type (e.g., briefing, report, abstract, article, or paper); (2) Event Information: event type (conference, principal investigator meeting, article or paper), event date, desired date for DARPA's approval;

(3) DARPA Sponsor: DARPA Program Manager, DARPA office, and contract number;

and (4) Contractor/Awardee's Information: POC name, e-mail and phone. Allow four weeks for processing; due dates under four weeks require a justification. Unusual electronic file formats may require additional processing time. Requests may be sent either by-mail to prc@darpa.mil or via 675 North Randolph Street, Arlington VA 22203- 2114, telephone (571) 218-4235. Refer to the following for link for information about DARPA’s public release process:

http://www.darpa.mil/NewsEvents/Public_Release_Center/Public_Release_Center.aspx.

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.

Federally Funded Research and Development Centers (FFRDCs) and Government entities (e.g., Government/National laboratories, military educational institutions, etc.)

are subject to applicable direct competition limitations and cannot propose to this BAA in any capacity unless they meet the following conditions: (1) FFRDCs must clearly demonstrate that the proposed work is not otherwise available from the private sector, mailto:prc@darpa.mil http://www.darpa.mil/NewsEvents/Public_Release_Center/Public_Release_Center.aspx

May 1, 2014 9 and (2) FFRDCs must provide a letter on official letterhead from their sponsoring organization citing the specific authority establishing their eligibility to propose to Government solicitations and compete with industry, and their compliance with the associated FFRDC sponsor agreement and terms and conditions. This information is required for FFRDCs proposing to be prime contractors 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 and contractual authority, if relevant, 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 FFRDC eligibility submissions on a case-by-case basis; however, the burden to prove eligibility for all team members rests solely with the proposer.

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, 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 U.S.C. §§ 203, 205, and 208). 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. 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 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. As part of the proposal submission, all members of the proposed team (prime proposers, 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). 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

May 1, 2014 10 effectively mitigated, the proposal will be rejected without technical evaluation and withdrawn from further consideration for award.

If a prospective proposer believes a conflict of interest exists or may exist (whether organizational or otherwise) or has questions on what constitutes a conflict of interest, the proposer should send his/her contact information and a summary of the potential conflict to the DARPA-BAA-14-38 mailbox before time and effort are expended in preparing a proposal and mitigation plan.

C. Cost Sharing/Matching

Cost sharing is not required; however, it 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.

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 solicitation.

No additional information is available, except as provided at https://www.fbo.gov or http://www.grants.gov, nor will a formal Request for Proposal (RFP) or additional solicitation regarding this announcement be issued. Requests for the 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 https://www.fbo.gov/ http://www.grants.gov/

May 1, 2014 11 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:

Defense Advanced Research Projects Agency ATTN: Biological Technologies Office

Reference: DARPA-BAA-14-38 675 North Randolph Street Arlington, VA 22203-2114

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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 Submission Information

Proposers are strongly encouraged to submit an abstract in advance of a full proposal.

This procedure is intended to minimize unnecessary effort in proposal preparation and review. The time and date for submission of abstracts is specified in Section IV.B.6 below. DARPA will acknowledge receipt of the submission and assign a control number that should be used in all further correspondence regarding the abstract.

Abstracts may not be submitted by fax or e-mail; any so sent will be disregarded.

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For Abstracts Being Submitted as Hard Copies/On CD-ROM:

Proposers must submit an original hardcopy and one (1) electronic copy of the abstract in PDF (preferred) on a CD-ROM to the mailing address listed in Part I. Each copy must be clearly labeled with DARPA-BAA-14-38, proposer organization, technical point of contact, and proposal title (short title recommended).

Please note that submitters via hardcopy/CD-ROM will still need to visit https://baa.darpa.mil to register their organization concurrently to ensure the BAA office can verify and finalize their submission.

For Proposers Submitting Abstracts to the DARPA BAA Website:

Abstracts sent in response to DARPA-BAA-14-38 may be submitted via DARPA’s BAA Website (https://baa.darpa.mil). Visit the website to complete the two-step registration process. Submitters will need to register for an Extranet account (via the form at the URL listed above) and wait for two separate e-mails containing a username and temporary password. After accessing the Extranet, submitters may then create an account for the DARPA BAA website (via the “Register your Organization” link along the left side of the homepage), view submission instructions, and upload/finalize the abstract. Proposers using the DARPA BAA Website may encounter heavy traffic on the submission deadline date; it is highly advised that submission process be started as early as possible.

Technical support for BAA Website may be reached at action@darpa.mil, and is typically available during regular business hours, (9:00 AM- 5:00 PM EST Monday – Friday).

3. Full 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 Section IV.B.6 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.

Proposals may not be submitted by fax or e-mail; any so sent will be disregarded.

For Proposers Submitting Full Proposals as Hard Copies/ On CD-ROM:

Proposers must submit an original hardcopy, one (1) electronic copy of the full proposal [in PDF (preferred)] on a CD-ROM to the mailing address listed in Part I. Each copy must be clearly labeled with DARPA-BAA-14-38, proposer organization, proposal title (short title recommended).

https://baa.darpa.mil/ https://baa.darpa.mil/ mailto:action@darpa.mil

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Please note that submitters via hardcopy/CD-ROM will still need to visit https://baa.darpa.mil/ to register their organization concurrently to ensure the BAA office can verify and finalize their submission.

For Proposers Requesting Grants or Cooperative Agreements:

Proposers requesting grants or cooperative agreements may submit proposals through one of the following methods: (1) hard copy mailed directly to DARPA; or (2) electronic upload per the instructions at http://www.grants.gov/web/grants/applicants/apply-for-grants.html. Grant or cooperative agreement proposals may not be submitted through any other means. If proposers intend to use Grants.gov as their means of submission, then they must submit their entire proposal through Grants.gov; applications cannot be submitted in part to Grants.gov and in part as a hard-copy. Proposers using Grants.gov do not submit paper proposals in addition to the Grants.gov electronic submission.

Grants.gov requires proposers to complete a one-time registration process before a proposal can be electronically submitted. If proposers have not previously registered, this process can take between three business days and four weeks. See the Grants.gov registration checklist at http://www.grants.gov/documents/19/18243/OrganizationRegChecklist.pdf for registration requirements and instructions.

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 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 proposed must be corrected and resubmitted before DARPA can retrieve it.

If the solicitation is no longer open, the rejected proposal cannot be resubmitted. 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://www.grants.gov/web/grants/applicants/apply-for-grants.html

Upload two separate documents, Volume I, Technical and Management Proposal and Volume II, the Cost Proposal as attachments to the application package. No other Grants.gov forms are required. Please note that Grants.gov does not accept zipped or encrypted proposals. More detailed instructions for using Grants.gov can be found on the Grants.gov website.

https://baa.darpa.mil/ http://www.grants.gov/web/grants/applicants/apply-for-grants.html http://www.grants.gov/web/grants/applicants/apply-for-grants.html http://www.grants.gov/documents/19/18243/OrganizationRegChecklist.pdf http://www.grants.gov/web/grants/applicants/apply-for-grants.html

May 1, 2014 15

Proposers electing to submit grant or cooperative agreement proposals as hard copies must complete the SF 424 R&R form (Application for Federal Assistance, Research and Related) available on the Grants.gov website http://apply07.grants.gov/apply/forms/sample/RR_SF424_2_0-V2.0.pdf. Technical support for Grants.gov submissions may be reached at 1-800-518-4726 or support@grants.gov.

Please note that submitters to Grants.gov will still need to visit https://baa.darpa.mil to register their organization concurrently to ensure the BAA office can verify and finalize their submission.

For Proposers Submitting Full Proposals to the DARPA BAA Website:

Full proposals sent in response to DARPA-BAA-14-38 may be submitted via DARPA’s BAA Website (https://baa.darpa.mil). Visit the website to complete the two-step registration process. Submitters will need to register for an Extranet account (via the form at the URL listed above) and wait for two separate e-mails containing a username and temporary password. After accessing the Extranet, submitters may then create an account for the DARPA BAA website (via the “Register your Organization” link along the left side of the homepage), view submission instructions, and upload/finalize the proposal.

Proposers using the DARPA BAA Website may encounter heavy traffic on the submission deadline date; it is highly advised that submission process be started as early as possible. Classified submissions and proposals requesting assistance instruments (grants or cooperative agreements) should NOT be submitted through DARPA’s BAA Website (https://baa.darpa.mil), though proposers will likely still need to visit https://baa.darpa.mil to register their organization (or verify an existing registration) to ensure the BAA office can verify and finalize their submission.

Technical support for DARPA’s BAA Website may be reached at action@darpa.mil, and is typically available during regular business hours, (9:00 AM- 5:00 PM EST Monday – Friday).

For All:

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

BAA Administrator

ATTN: DARPA-BAA-14-38

DARPA intends to use electronic mail for correspondence regarding http://apply07.grants.gov/apply/forms/sample/RR_SF424_2_0-V2.0.pdf mailto:support@grants.gov https://baa.darpa.mil/ https://baa.darpa.mil/ https://baa.darpa.mil/ https://baa.darpa.mil/ mailto:action@darpa.mil mailto:action@darpa.mil

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DARPA-BAA-14-38. Proposals and abstracts may not be submitted by fax or e-mail;

any so sent will be disregarded. DARPA encourages use of the Internet for retrieving the BAA and any other related information that may subsequently be provided.

4. Abstract Format

Proposers are highly encouraged to submit an abstract in advance of a proposal to minimize effort and reduce the potential expense of preparing an out of scope proposal.

DARPA will respond to abstracts providing feedback and indicating whether, after preliminary review, there is interest within BTO for the proposed work. DARPA will attempt to reply within 30 calendar days of receipt. Proposals may be submitted irrespective of comments or feedback received in response to the abstract. Proposals are reviewed without regard to feedback given as a result of abstract review.

The abstract is a concise version of the proposal comprising a maximum of 8 pages including the cover sheet and all figures, tables, and charts. The (optional) submission letter 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. Smaller font sizes may be used for figures, tables, and charts.

Submissions must be written in English.

Abstracts must include the following components:

A. 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.”

B. Goals and Impact: Clearly describe what is being proposed and what difference it will make (qualitatively and quantitatively), including brief answers to the following questions:

− What are you trying to do?

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

− What is innovative in your approach and how does it compare to state of the art?

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

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

C. Technical Plan: Outline and address all technical challenges inherent in the approach and possible solutions for overcoming potential problems. This section should 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.

D. Capabilities: Provide a brief summary of expertise of the team, including subcontractors and key personnel. A principal investigator for the project must

May 1, 2014 17 be identified, and a description of the team’s organization. No more than two resumes should be included as part of the abstract. Include a description of the team’s organization including roles and responsibilities. Describe 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. If desired, include a brief bibliography with links to relevant papers, reports, or resumes of key performers. Do not include more than two resumes as part of the abstract. Resumes count against the abstract page limit.

5. Full Proposal Format

NOTE (classification and handling markings): Confidential, Secret and Top Secret are classification markings used to control the dissemination of U.S. Government National Security Information (NSI) as dictated in Executive Order 13526 - "Classified National Security Information". When referencing business proprietary information in a response to this BAA, please refrain from using any combination of the NSI caveats unless the content is classified.

Proposals consist of Volume 1: Technical and Management Proposal 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 .pdf, .odx, .doc, .docx, .xls, or .xlsx formats.

Submissions must be written in English. Proposals not meeting the format described in the BAA may not be reviewed.

The maximum page 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 is not included in the page count. Volume I should include the following components:

a. Volume I, Technical and Management Proposal

Section I. Administrative

A. Cover Sheet (LABELED “PROPOSAL: VOLUME I”):

1. BAA number (DARPA-BAA-14-38);

2. Technical area;

3. Lead organization (prime contractor);

4. Type of organization, selected from among the following categories: “LARGE

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

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

NONPROFIT”;

May 1, 2014 18

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

6. Other team members and/or subcontractors (if applicable) and type of business for each;

7. Proposal title;

8. Technical point of contact (Program Manager or Principle Investigator) to include: salutation, last name, first name, street address, city, state, zip code, telephone, fax, e-mail;

9. Contracting Officer or Grant Officer to include: salutation, last name, first name, street address, city, state, zip code, telephone, fax, e-mail;

10. Award instrument requested: cost-plus-fixed-fee (CPFF), cost-contract—no fee, firm-fixed-price, grant, cooperative agreement, other transaction, or other type (specify);

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

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

13. Proposal validity period;

14. Data Universal Numbering System (DUNS) number (http://www.dnb.com/get-a-duns-number.html);

15. Taxpayer ID number (http://www.irs.gov/Individuals/International-

Taxpayers/Taxpayer-Identification-Numbers-(TIN));

16. Commercial and government Entity (CAGE) code

(http://www.dlis.dla.mil/CAGESearch/cage_faq.asp);

Information on award instruments is available at http://www.darpa.mil/Opportunities/Contract_Management/Contract_Management.aspx.

B. Official Transmittal Letter.

Section II. Detailed Proposal Information

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

• What is the proposed work attempting to accomplish or do?

• How is it done today, and what are the limitations?

• What is innovative in your approach?

• What are the key technical challenges in your approach and how do you plan to overcome these?

• Who or what will be affected and what will be the impact if the work is successful?

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

http://www.dnb.com/get-a-duns-number.html http://www.dnb.com/get-a-duns-number.html http://www.irs.gov/Individuals/International-Taxpayers/Taxpayer-Identification-Numbers-(TIN)) http://www.irs.gov/Individuals/International-Taxpayers/Taxpayer-Identification-Numbers-(TIN)) http://www.dlis.dla.mil/CAGESearch/cage_faq.asp http://www.darpa.mil/Opportunities/Contract_Management/Contract_Management.aspx

May 1, 2014 19

B. Goals and Impact: Clearly describe 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.

C. Technical Plan: Outline and address technical challenges inherent in the approach and possible solutions for overcoming potential problems. This section should provide appropriate measurable milestones (quantitative if possible) at intermediate stages of the program to demonstrate progress, and a plan for achieving the milestones. The technical plan should demonstrate a deep understanding of the technical challenges and present a credible (even if risky) plan to achieve the program goal. Discuss mitigation of technical risk.

D. Management Plan: Provide a summary of expertise of the team, including any subcontractors, and key personnel who will be doing the work. Provide resumes of key personnel. Key personnel 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 programmatic relationship of team members; the unique capabilities of team members; the task responsibilities of team members, the teaming strategy among the team members; and key personnel with the amount of effort to be expended by each person during each year. Provide 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 program.

E. Capabilities: Describe organizational experience in relevant subject area(s), existing intellectual property, specialized facilities, and any Government-furnished materials or information. Discuss any work in closely related research areas and previous accomplishments.

F. Statement of Work (SOW): The SOW should provide a detailed task breakdown, citing specific tasks and their connection to the interim milestones

May 1, 2014 20 and program metrics. Each phase of the program should be separately defined.

The SOW must not include proprietary information.

For each task/subtask, provide:

• A detailed description of the approach to be taken to accomplish each defined task/subtask.

• Identification of the primary organization responsible for task execution (prime contractor, subcontractor(s), consultant(s), by name).

• A measurable milestone, i.e., a deliverable, demonstration, or other event/activity that marks task completion. Include quantitative metrics.

• A definition of all deliverables (e.g., data, reports, software) to be provided to the Government in support of the proposed tasks/subtasks.

G. 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 the start of the project.

H. Cost Summary: In addition, provide a table (see Table 1 below) describing your work breakdown structure (WBS) in the following format:

Rows should list WBS tasks at the phase, major task and minor task level. All minor tasks should be totaled to the major task level and all major tasks should be totaled to the phase level.

Columns should list:

• Total cost to the Government for your proposed execution of the tasks.

Include separate lines for travel, subcontractor costs, administrative costs, hardware purchases, software licenses, fee, etc. It is preferable to break out significant hardware and software costs into separate lines so that their impact can be easily noted.

• Hours of labor contributing to the execution of this task according to your organization’s characterization of the experience level of the contributing members. This should include all labor hours of subcontractors. This should be broken out by the three levels of technical experience (senior, mid and junior) and one level of administrative support experience.

May 1, 2014 21

• A start and end date for the task. With the exception of Program Management, tasks are expected to be truly broken down at the minor task level to demonstrate task dependencies.

To the extent practical, the WBS should be capability milestone-based rather than functional-based, i.e., separate out the work required to achieve a capability milestone rather than separating out the work performed by a particular functional team (e.g., development, testing, etc.). All data should represent a full roll-up of prime and sub contributions to each element of the WBS.

Table 1

Total Cost

Hours Date Senior Mid Junior Admin Begin End

Phase 1

Major Task 1.1

Minor Task 1.1.1

Minor Task 1.1.2

1.2

Travel Hardware Item 1 Phase

2.1

Note: The statement of work should use the same task numbering as the WBS required structure used in Table 1.

Section III. Additional Information (Note: Does not count towards page limit)

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}

All proposers, including FFRDCs, must submit the following:

May 1, 2014 22

A. Cover Sheet (LABELED “PROPOSAL: VOLUME II”):

1. BAA number (DARPA-BAA-14-38);

2. Technical area;

3. Lead organization (prime contractor);

4. Type of organization, selected from 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 and/or subcontractors (if applicable) and type of business for each;

7. Proposal title;

8. Technical point of contact (Program Manager or Principle Investigator) to include: salutation, last name, first name, street address, city, state, zip code, telephone, fax, e-mail;

9. Contracting Officer or Grant Officer to include: salutation, last name, first name, street address, city, state, zip code, telephone, fax, e-mail;

10. Award instrument requested: cost-plus-fixed-fee (CPFF), cost-contract—no fee, firm-fixed-price, grant, cooperative agreement, other transaction, or other type (specify);

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

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

13. Name, address, and telephone number of the proposer’s cognizant Defense

Contract Management Agency (DCMA) administration office or ONR office;

14. Name, address, and telephone number of the proposer’s cognizant Defense

Contract Audit Agency (DCAA) office;

15. Date proposal was prepared;

16. Data Universal Numbering System (DUNS) number

(http://www.dnb.com/get-a-duns-number.html);

17. Taxpayer ID number (http://www.irs.gov/Individuals/International-

Taxpayers/Taxpayer-Identification-Numbers-(TIN));

18. Commercial and government Entity (CAGE) code

(http://www.dlis.dla.mil/CAGESearch/cage_faq.asp);

19. Proposal validity period;

NOTE: Appendix C, the Cost Volume Proposer Checklist, must be included with the coversheet of the Cost Proposal.

Nonconforming proposals may be rejected without review. The statement of work should use the same task numbering as the WBS required structure used in Table 1 from the Technical and Management proposal.

http://www.dnb.com/get-a-duns-number.html http://www.irs.gov/Individuals/International-Taxpayers/Taxpayer-Identification-Numbers-(TIN)) http://www.irs.gov/Individuals/International-Taxpayers/Taxpayer-Identification-Numbers-(TIN)) http://www.dlis.dla.mil/CAGESearch/cage_faq.asp

May 1, 2014 23

For proposers without a DCAA-approved cost accounting system who are proposing negotiation of a cost-type contract,…