DARPA-BAA-14-39.pdf

Broad Agency Announcement Information Innovation Office (I2O) Office-wide

DARPA-BAA-14-39

July 15, 2014

Defense Advanced Research Projects Agency Information Innovation Office 675 North Randolph Street Arlington, VA 22203-2114

DARPA-BAA-14-39 I2O OFFICE-WIDE BAA 2

Table of Contents

PART I: OVERVIEW

PART II: FULL TEXT OF ANNOUNCEMENT

I. FUNDING OPPORTUNITY DESCRIPTION

II. AWARD INFORMATION

A. Awards

B. Fundamental Research

III. ELIGIBILITY INFORMATION

A. Eligible Applicants

B. Procurement Integrity, Standards of Conduct, Ethical Considerations and Organizational Conflicts of Interest (OCIs)

C. Cost Sharing/Matching

IV. APPLICATION AND SUBMISSION INFORMATION

A. Address to Request Application Package

B. Content and Form of Application Submission

C. Submission Dates and Times

D. Funding Restrictions

E. 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

C. Reporting

VII. AGENCY CONTACTS

VIII. OTHER INFORMATION

A. Frequently Asked Questions (FAQs)

B. Submission Checklist

DARPA-BAA-14-39 I2O OFFICE-WIDE BAA 3

PART I: OVERVIEW

• Federal Agency Name: Defense Advanced Research Projects Agency (DARPA), Information Innovation Office (I2O)

• Funding Opportunity Title: I2O Office-wide BAA

• Announcement Type: Initial Announcement

• Funding Opportunity Number: DARPA-BAA-14-39

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

• Dates o Posting Date: July 15, 2014 o Abstract Due Date: June 2, 2015, 12:00 noon (ET) o Proposal Due Date: July 15, 2015, 12:00 noon (ET)

• Concise Description of Funding Opportunity: This BAA seeks revolutionary research ideas for topics not being addressed by ongoing I2O programs or other published solicitations. Potential proposers are highly encouraged to review the current I2O programs (http://www.darpa.mil/Our_Work/I2O/Programs/) and solicitations (http://www.darpa.mil/Opportunities/Solicitations/I2O_Solicitations.aspx) to avoid proposing efforts that duplicate existing activities or that are responsive to other published I2O solicitations.

• Anticipated Individual Awards: Multiple awards are anticipated. See Section II below.

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

• BAA POC: BAA Coordinator, DARPA/I2O

• BAA Email: DARPA-BAA-14-39@darpa.mil

• BAA Mailing Address:

DARPA/I2O

ATTN: DARPA-BAA-14-39

http://www.darpa.mil/Our_Work/I2O/Programs/ http://www.darpa.mil/Opportunities/Solicitations/I2O_Solicitations.aspx mailto:DARPA-BAA-14-39@darpa.mil

DARPA-BAA-14-39 I2O OFFICE-WIDE BAA 4

PART II: FULL TEXT OF ANNOUNCEMENT

I. FUNDING OPPORTUNITY DESCRIPTION

The Defense Advanced Research Projects Agency (DARPA) is soliciting innovative research proposals of interest to the Information Innovation Office (I2O). I2O explores game-changing technologies in the fields of information science and technology to anticipate and create rapid shifts in the complex national security landscape. Conflict can occur in traditional domains such as land, sea, air, and space, and in emerging domains such as cyber and other types of irregular warfare. I2O’s research portfolio is focused on anticipating new modes of warfare in these emerging areas and developing the concepts and tools necessary to provide a decisive information advantage for the U.S. and its allies.

As much of the world-wide economy has moved into cyberspace, protecting and assuring information flows over these networks has become a priority. Most networks today rely on the successive discovery of vulnerabilities and deployment of patches to maintain security. Even after patching, new vulnerabilities are often introduced in successive releases, and may even be introduced by the patches themselves. The I2O defensive cyber portfolio is largely focused on changing this paradigm through a variety of methods such as heterogeneity, formal methods proofs, secure code generation, and automation. Exploration of offensive methods is essential to expand and inform defensive work. The I2O portfolio covers a broad space, investigating enterprise networks, secure communications, industrial systems, and purpose-built military systems.

I2O is also pursuing information technologies to change the way we perceive and interact with our surroundings. Exponential improvements in computing power, network bandwidth and storage density combine with ever more pervasive sensing and measurement technologies to provide new and powerful ways to gain insight into the world. Essentially all human activities that can be measured, from mercantile to military, are being quantitatively re-examined in the context of this new, “big data”, capability. Early demonstrations have produced remarkable insights into human activities and enabled quantitative decision making. I2O’s investment portfolio begins at the fundamental science level with programs investigating varied topics from the mathematical properties of graphs, to online correlation for societal unrest. The portfolio also addresses fundamental computational issues such as novel algorithm design, natural language processing, and architectures for efficient processing of streamed data. Closer to the customer, I2O works with the national security community on operational data to ensure continuous transition of tools as programs make progress.

I2O is interested in submissions related to the general areas discussed above and to the following specific areas:

• secure cloud computing systems

• software code with mathematically provable security properties

• automated cyber security systems

• preserving security on untrustworthy computational infrastructure

DARPA-BAA-14-39 I2O OFFICE-WIDE BAA 5

• insider threat detection and response

• maintaining security and mission effectiveness of systems after attack, including detection, cleanup, and reconstitution

• computational tools and scalable algorithms

• advanced user interfaces

• pre-processing technology for data sets, including those that are corrupted, incomplete, or disaggregated

• processing and computational approaches (including, but not limited to, novel algorithm design, natural language processing, and architecture systems) for data sets that may be multimodal, realtime-streamed, or on a scale for which storage is infeasible

• algorithm development for analysis of dynamic, unlinked and scripted content

• tools to draw inferences, deduce relationships, make correlations or detect anomalies working solely from data sets that are weak proxies for the underlying quantities of interest

• fusion of data from varied modalities ranging from traditional overhead sensing to open source data

• automated language translation and understanding

• fundamental science and mathematics supporting data analytics including:

o mathematical properties of graphs o online correlation for societal unrest o virtual and blended worlds o machine-to-machine internet-of-things

• tools to assist emerging technologies in:

o virtuality and immersivity o ubiquitous sensing o persuasion and cognitive hacking o social multimedia o hypercomputing

• environment modeling and reconstruction

• crowd-sourced approaches to data processing

• modeling of human activity and proclivities

• analytics of economic systems

• technologies for scalable education and training

• electronic warfare and cyber systems

• biometrics and provenance

• online information validation and evidence collection

• resilient command and control systems, including secure information exchange

• assured information access

• privacy science and systems

• semantic analysis

• programming languages

I2O seeks unconventional approaches that are outside the mainstream, challenge accepted assumptions, and have the potential to radically change established practice. Proposed research should investigate innovative approaches that enable revolutionary advances in

DARPA-BAA-14-39 I2O OFFICE-WIDE BAA 6

science, devices, or systems. Specifically excluded is research that primarily results in evolutionary improvements to the existing state of the art.

I2O collaborates with other DARPA program offices, in some cases acting as the recipient of significant emerging technologies and, in other cases, serving as a catalyst by identifying relevant new external technology trends. Novel methods are sought to build technical communities and tap into sources of innovation both inside and outside traditional Department of Defense (DoD) performer communities. However, proposers may not propose work (1) they have already completed, nor (2) for which they have already received funding or a positive funding decision (whether by DARPA or another Government agency). I2O encourages efforts that are creative and agile both in terms of the technologies proposed and in the structure of the approach (e.g., shorter periods of performance).

For the purposes of this solicitation, only submissions deemed relevant will receive a detailed Scientific Review. Relevance first and foremost requires that submissions address one or more of the focus areas described herein. Additional factors considered in determining relevance include: the overall goal of the proposed effort, if achieved, would convey technology significantly beyond the state of the art; the timetable for achieving results is appropriate for a mission agency such as DARPA; and the scope of work is commensurate with I2O priorities.

Submission of abstracts in advance of full proposals is strongly encouraged to ascertain I2O interest in the proposed effort. I2O will respond to abstracts with a letter encouraging or discouraging the submission of a full proposal based on a preliminary assessment of the proposed effort’s scientific or technical merit and interest in the technology concept. Abstracts that are not determined to be relevant per the above definition will receive a “No Interest” letter. See Section IV.B.1 for further information related to abstracts.

This broad agency announcement (BAA) is being issued, and any resultant selection will be made, using procedures under Federal Acquisition Regulation (FAR) 35.016. Any negotiations and/or awards will use procedures under FAR 15.4 (or 32 CFR 22 for grants and cooperative agreements). Proposals received as a result of this BAA shall be evaluated in accordance with evaluation criteria specified herein through a scientific review process. DARPA BAAs are posted on the Federal Business Opportunities (FBO) website (http://www.fbo.gov/) and, as applicable, the Grants.gov website (http://www.grants.gov/).

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

http://www.fbo.gov/ http://www.grants.gov/ http://www.darpa.mil/Our_Work/I2O/

DARPA-BAA-14-39 I2O OFFICE-WIDE BAA 7

II. AWARD INFORMATION

A. Awards

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

The Government reserves the right to:

− select for negotiation all, some, one, or none of the proposals received in response to this solicitation;

− make awards without discussions with proposers;

− conduct discussions with proposers if it is later determined to be necessary;

− segregate portions of resulting awards into pre-priced options;

− accept proposals in their entirety or to select only portions of proposals for award;

− fund proposals in increments with options for continued work at the end of one or more phases;

− request additional documentation once the award instrument has been determined (e.g., representations and certifications); and − remove proposers from award consideration should the parties fail to reach agreement on award terms within a reasonable time or the proposer fails to provide requested additional information in a timely manner.

Proposals selected for award negotiation may result in a procurement contract, grant, cooperative agreement, or other transaction (OT) depending upon the nature of the work proposed, the required degree of interaction between parties, 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, the Government contracting officer may select other award instruments, as appropriate. Publication or other restrictions will be applied, as necessary, if DARPA 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 Section II.B.

B. Fundamental Research

It is Department of Defense (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, DARPA-BAA-14-39 I2O OFFICE-WIDE BAA 8 technical, and engineering information produced in federally funded fundamental research at colleges, universities, and laboratories. NSDD 189 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 awarded under this BAA may be considered fundamental research. Awards may include both fundamental and non-fundamental research.

Proposers should indicate in their proposal whether they believe the scope of the proposed research is fundamental. For certain research projects, it may be possible that although the research to be performed by the prime proposer is non-fundamental, a subcontractor’s tasks may be considered fundamental research. In those cases, it is the prime proposer’s responsibility to explain in their proposal why its subcontractor’s effort is fundamental research. While proposers should clearly explain the intended results of their research, DARPA shall have sole discretion to determine whether the project is considered fundamental research. Awards for non-fundamental research will include the following statement or similar provision:

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: title, author, short plain-language description of technology discussed in the material (approx. 30 words), number of pages (or minutes of video) and type (e.g., briefing, report, abstract, article, or paper); 2) Event Information: type (e.g., conference, principal investigator meeting, article or paper), 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 address and phone number. 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 to prc@darpa.mil or 675 North Randolph Street, Arlington VA 22203-2114, telephone (571) 218-4235. See http://www.darpa.mil/NewsEvents/Public_Release_Center/Public_Release_Center.aspx for further information about DARPA’s public release process.

mailto:prc@darpa.mil http://www.darpa.mil/NewsEvents/Public_Release_Center/Public_Release_Center.aspx

DARPA-BAA-14-39 I2O OFFICE-WIDE BAA 9

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.

1. Federally Funded Research and Development Centers (FFRDCs) and Government Entities

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 solicitation in any capacity unless the following conditions are met.

− FFRDCs must clearly demonstrate that the proposed work is not otherwise available from the private sector and must provide a letter on official letterhead from their sponsoring organization citing the specific authority establishing the FFRDC’s eligibility to propose to Government solicitations and compete with industry, and compliance with the terms and conditions in the associated FFRDC sponsor agreement. This information is required for FFRDCs proposing as either prime contractors or subcontractors.

− Government entities must clearly demonstrate that the proposed work is not otherwise available from the private sector and provide documentation citing the specific statutory authority (and contractual authority, if relevant) establishing their eligibility to propose to Government solicitations.

At the present time, DARPA does not consider 15 USC § 3710a to be sufficient legal authority to show eligibility. For some entities, 10 USC § 2539b may be the appropriate statutory starting point; however, 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.

2. Foreign Participation

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

B. Procurement Integrity, Standards of Conduct, Ethical Considerations and Organizational Conflicts of Interest (OCIs)

Current Federal employees are prohibited from participating in particular matters involving conflicting financial, employment, and representational interests (18 USC §§ 203, 205, and 208).

Prior to the start of proposal evaluation, the Government will assess potential conflicts of interest and will promptly notify the proposer if any appear to exist. The Government

DARPA-BAA-14-39 I2O OFFICE-WIDE BAA 10

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.

In accordance with FAR 9.5 and without prior approval or a waiver from the DARPA Director, a contractor cannot simultaneously provide scientific, engineering, and technical assistance (SETA) or similar support and be a technical performer. As part of the proposal submission (not required for abstracts), all members of a proposed team (prime proposers, proposed subcontractors and consultants) must affirm whether they (individuals and organizations) are providing SETA or similar support to any DARPA technical office(s) through an active contract or subcontract. Affirmations must state which office(s) the proposer and/or proposed subcontractor/consultant supports and must provide prime contract number(s). All facts relevant to the existence or potential existence of OCIs must be disclosed. The disclosure shall include a description of the action the proposer has taken or proposes to take to avoid, neutralize, or mitigate such conflict. 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 a conflict of interest exists or may exist (whether organizational or otherwise) or has a question as to what constitutes a conflict, a summary of the potential conflict should be sent to DARPA-BAA-14-39@darpa.mil before 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., OTs under the authority of 10 USC § 2371).

DARPA-BAA-14-39 I2O OFFICE-WIDE BAA 11

IV. APPLICATION AND SUBMISSION INFORMATION

A. Address to Request Application Package

This document contains all information required to submit a response to this solicitation. No additional forms, kits, or other materials are needed except as referenced herein. No request for proposal (RFP) or additional solicitation regarding this opportunity will be issued, nor is additional information available except as provided at the Federal Business Opportunities website (http://www.fbo.gov), the Grants.gov website (http://www.grants.gov/), or referenced herein.

B. Content and Form of Application Submission

1. Abstracts

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. The abstract provides a synopsis of the proposed project, including brief 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?

− Who will care and what will the impact be if the work is successful?

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

DARPA will respond to abstracts with a letter encouraging or discouraging the submission of a full proposal based on a preliminary assessment of the proposed effort’s scientific or technical merit and interest in the technology concept. Abstracts that are not determined to be relevant to I2O will receive a “No Interest” letter. If DARPA does not recommend submission of a full proposal, “Discourage” responses will include detailed feedback regarding the rationale for this decision. Responses will be sent by email to the technical point of contact listed on the cover sheet. DARPA will attempt to reply within 30 calendar days of receipt. A favorable response to an abstract is not an assurance that a full proposal on the abstract’s topic will ultimately be selected for award negotiation. All proposals will be reviewed irrespective of comments or feedback provided in response to the abstract.

Abstract Format: Abstracts shall not exceed a maximum of 10 pages including the cover sheet and all figures, tables, and charts. The page limit does not include a submission letter (optional). All pages shall be formatted for printing on 8-1/2 by 11 inch paper with 1-inch margins and 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.

Abstracts must include the following components:

− Cover Sheet: Provide the administrative and technical points of contact (name, address, phone, email, lead organization). Include the BAA number, title of the http://www.fbo.gov/ http://www.grants.gov/

DARPA-BAA-14-39 I2O OFFICE-WIDE BAA 12

proposed project, primary subcontractors, estimated cost, duration of the project, and the label “Abstract.”

− Technical Plan: Describe what is being proposed and what difference it will make

(qualitatively and quantitatively) if successful. Outline and address all technical challenges inherent in the approach and possible solutions for overcoming potential problems. Describe the innovative aspects of the project in the context of existing capabilities and approaches, clearly delineating the relationship of this work to any other projects from the past and present. State whether this is the first solicitation to which this capability/technology has been proposed.

− Capabilities/Management Plan: Provide a brief summary of expertise of the team, including subcontractors and key personnel. Identify a principal investigator for the project and 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.

− Statement of Work, Cost and Schedule: Provide the principal work activities, appropriate specific milestones (quantitative, if possible) at intermediate stages of the project to demonstrate progress, and a brief plan for accomplishment of the milestones. Provide a cost estimate for resources over the proposed timeline of the project. Include labor, materials, a list of deliverables and delivery schedule. Provide cost estimates for each subcontractor (may be a rough order of magnitude).

2. Proposals

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

Proposers are encouraged to submit concise, but descriptive, proposals. Specific examples of problems, approaches, or goals are preferred to qualitative generalities. The Government will not consider pages in excess of the page count limitation, as described herein. Proposals with fewer than the maximum number of pages will not be penalized.

Information incorporated into Volume 2: Cost Proposal which is not related to cost will not be considered.

All pages shall be formatted for printing on 8-1/2 by 11-inch paper with 1-inch margins, single-line spacing, and 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 prescribed herein may not be reviewed.

a. Volume 1: Technical and Management Proposal

The maximum page count for Volume 1 is 25 pages, including all figures, tables and charts

DARPA-BAA-14-39 I2O OFFICE-WIDE BAA 13

but not including the cover sheet, table of contents or appendices. A submission letter is optional and is not included in the page count. Appendix A does not count against the page limit and is mandatory.

Volume 1 must include the following components:

i. Cover Sheet: Include the following information.

− Label: “Proposal: Volume 1” − BAA number (DARPA-BAA-14-39) − Proposal title − Lead organization (prime contractor) name − Type of organization, selected from the following categories: Large Business, Small Disadvantaged Business, Other Small Business, HBCU, MI, Other Educational, or Other Nonprofit

− Technical point of contact (POC) including name, mailing address, telephone, and email

− Administrative POC including name, mailing address, telephone number, and email address

− Award instrument requested: procurement contract (specify type), grant, cooperative agreement or OT.1

− Place(s) and period(s) of performance − Other team member (subcontractors and consultants) information (for each, include Technical POC name, organization, type of organization, mailing address, telephone number, and email address)

− Proposal validity period (minimum 120 days) − Data Universal Numbering System (DUNS) number2 − Taxpayer identification number3 − Commercial and Government Entity (CAGE) code4 − Proposer’s reference number (if any)

ii. Table of Contents

iii. 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?

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

2 The DUNS number is used as the Government's contractor identification code for all procurement-related activities. Go to http://fedgov.dnb.com/webform/index.jsp to request a DUNS number (may take at least one business day). See Section VI.B.8. for further information.

3 See http://www.irs.gov/businesses/small/international/article/0,,id=96696,00.html for information on requesting a TIN. Note, requests may take 1 business day to 1 month depending on the method (online, fax, mail).

4 A CAGE Code identifies companies doing or wishing to do business with the Federal Government. See Section VI.B.8 for further information.

http://www.darpa.mil/Opportunities/Contract_Management/Contract_Management.aspx http://fedgov.dnb.com/webform/index.jsp http://www.irs.gov/businesses/small/international/article/0,,id=96696,00.html

DARPA-BAA-14-39 I2O OFFICE-WIDE BAA 14

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

− 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?

The executive summary should include a description of the key technical challenges, a concise review of the technologies proposed to overcome these challenges and achieve the project’s goal, and a clear statement of the novelty and uniqueness of the proposed work. If applicable, identify other Government solicitations to which this technology has been proposed and whether a funding decision is still pending.

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

Describe how the proposed project is revolutionary and how it significantly rises above the current state of the art.

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

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

vi. Management Plan: Provide a summary of expertise of the proposed team, including any subcontractors/consultants and key personnel who will be executing the work.

Identify a principal investigator for the project. Provide a clear description of the team’s organization including an organization chart that includes, as applicable, the relationship of team members; unique capabilities of team members; task responsibilities of team members; teaming strategy among the team members; and key personnel with the amount of effort to be expended by each person during the project. Provide a detailed plan for coordination including explicit guidelines for interaction among collaborators/subcontractors of the proposed project. Include risk management approaches. Describe any formal teaming agreements that are required to execute this project. List Government-furnished materials or data assumed to be available.

vii. Personnel, Qualifications, and Commitments: List key personnel (no more than one page per person), showing a concise summary of their qualifications, discussion of previous accomplishments, and work in this or closely related research areas. Indicate

DARPA-BAA-14-39 I2O OFFICE-WIDE BAA 15

the level of effort in terms of hours to be expended by each person during each contract year and other (current and proposed) major sources of support for them and/or commitments of their efforts. DARPA expects all key personnel associated with a proposal to make substantial time commitment to the proposed activity and the proposal will be evaluated accordingly. It is DARPA’s intention to put key personnel conditions into the awards, so proposers should not propose personnel that are not anticipated to execute the award. Include a table of key individual time commitments as follows:

Key Individual Project Status

(Current, Pending, Proposed)

2014 2015 2016

Individual Name 1

Proposed DARPA Project Proposed xx hours xx hours xx hours

Project Name 1 Current n/a n/a n/a

Project Name 2 Pending xx hours n/a n/a

Individual Name 2

Proposed DARPA Project Proposed n/a xx hours xx hours

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

ix. Statement of Work (SOW): The SOW must provide a detailed task breakdown, citing specific tasks and their connection to the interim milestones and metrics, as applicable. Each year of the project should be separately defined. The SOW must not include proprietary information. For each defined task/subtask, provide:

− A general description of the objective.

− 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, (e.g., a deliverable, demonstration, or other event/activity that marks task completion).

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

x. 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.

xi. Cost Summary: Provide the cost summary as described in Section IV.B.2.b.ii.

DARPA-BAA-14-39 I2O OFFICE-WIDE BAA 16

xii. Appendix A: This section is mandatory and must include all of the following components. If a particular subsection is not applicable, state “NONE.”

(1). Team Member Identification: Provide a list of all team members including the prime, subcontractor(s), and consultant(s), as applicable. Identify specifically whether any are a non-US organization or individual, FFRDC and/or Government entity. Use the following format for this list:

Individual Name

Role (Prime, Subcontractor or Consultant)

Organization

Non-US? FFRDC or

Govt? Org. Ind.

(2). Government or FFRDC Team Member Proof of Eligibility to Propose: If none of the team member organizations (prime or subcontractor) are a Government entity or FFRDC, state “NONE.”

If any of the team member organizations are a Government entity or FFRDC, provide documentation (per Section III.A.1) citing the specific authority that establishes the applicable team member’s eligibility to propose to Government solicitations to include: 1) statutory authority; 2) contractual authority; 3) supporting regulatory guidance; and 4) evidence of agency approval for applicable team member participation.

(3). Government or FFRDC Team Member Statement of Unique Capability: If none of the team member organizations (prime or subcontractor) are a Government entity or FFRDC, state “NONE.”

If any of the team member organizations are a Government entity or FFRDC, provide a statement (per Section III.A.1) that demonstrates the work to be performed by the Government entity or FFRDC team member is not otherwise available from the private sector.

(4). Organizational Conflict of Interest Affirmations and Disclosure: If none of the proposed team members is currently providing SETA or similar support as described in Section III.B, state “NONE.”

If any of the proposed team members (individual or organization) is currently performing SETA or similar support, furnish the following information:

DARPA-BAA-14-39 I2O OFFICE-WIDE BAA 17

Prime Contract

Number DARPA Technical Office supported

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

(5). Intellectual Property (IP): If no IP restrictions are intended, state “NONE.” The

Government will assume unlimited rights to all IP not explicitly identified as restricted in the proposal.

For all technical data or computer software that will be furnished to the Government with other than unlimited rights, provide (per Section VI.B.1) a list describing all proprietary claims to results, prototypes, deliverables or systems supporting and/or necessary for the use of the research, results, prototypes and/or deliverables. Provide documentation proving ownership or possession of appropriate licensing rights to all patented inventions (or inventions for which a patent application has been filed) to be used for the proposed project.

Use the following format for these lists:

NONCOMMERCIAL

Technical Data and/or Computer Software To be Furnished With Restrictions

Summary of Intended Use in the Conduct of the Research

Basis for Assertion

Asserted Rights Category

Name of Person Asserting Restrictions

(List) (Narrative) (List) (List) (List)

COMMERCIAL

Technical Data and/or Computer Software To be Furnished With Restrictions

Summary of Intended Use in the Conduct of the Research

Basis for Assertion

Asserted Rights Category

Name of Person Asserting Restrictions

(6). Human Subjects Research (HSR): If HSR is not a factor in the proposal, state

“NONE.”

If the proposed work will involve human subjects, provide evidence of or a plan for review by an institutional review board (IRB). For further information on this subject, see Section VI.B.2.

(7). Animal Use: If animal use is not a factor in the proposal, state “NONE.”

If the proposed research will involve animal use, provide a brief description of the plan for Institutional Animal Care and Use Committee (IACUC) review and approval. For further information on this subject, see Section VI.B.3.

DARPA-BAA-14-39 I2O OFFICE-WIDE BAA 18

(8). Representations Regarding Unpaid Delinquent Tax Liability or a Felony

Conviction under Any Federal Law: Per Section VI.B.11, complete the following statements.

(a) The proposer represents that it is [ ] is not [ ] a corporation that has any unpaid Federal tax liability that has been assessed, for which all judicial and administrative remedies have been exhausted or have lapsed, and that is not being paid in a timely manner pursuant to an agreement with the authority responsible for collecting the tax liability.

(b) The proposer represents that it is [ ] is not [ ] a corporation that was convicted of a felony criminal violation under a Federal law within the preceding 24 months.

(9). Cost Accounting Standards (CAS) Notices and Certification: Per Section VI.B.12, any proposer who submits a proposal which, if accepted, will result in a CAS-compliant contract, must include a Disclosure Statement as required by 48 CFR

9903.202. The disclosure forms may be found at

http://www.whitehouse.gov/omb/procurement_casb.

If this section is not applicable, state “NONE.”

b. Volume 2 - Cost Proposal

This volume is mandatory and must include all the listed components. No page limit is specified for this volume. The cost proposal should include a spreadsheet file (.xls or equivalent format) that provides formula traceability among all components of the cost proposal. The spreadsheet file must be included as a separate component of the full proposal package. Costs must be traceable between the prime and subcontractors/consultants, as well as between the cost proposal and the SOW.

Pre-award costs will not be reimbursed unless a pre-award cost agreement is negotiated prior to award.

i. Cover Sheet: Include the same information as the cover sheet for Volume 1, but with the label “Proposal: Volume 2.”

ii. Cost Summary: Provide a single-page summary broken down by Government fiscal year listing cost totals for labor, materials, other direct charges (ODCs), indirect costs (overhead, fringe, general and administrative (G&A)), and any proposed fee for the project. Include costs for each task in each year of the project by prime and major subcontractors, total cost and proposed cost share, if applicable.

iii. Cost Details: For each task, provide the following cost details by month. Include supporting documentation describing the method used to estimate costs. Identify any cost sharing.

http://www.whitehouse.gov/omb/procurement_casb

DARPA-BAA-14-39 I2O OFFICE-WIDE BAA 19

(1). Direct Labor: Provide labor categories, rates and hours. Justify rates by providing examples of equivalent rates for equivalent talent, past commercial or Government rates or Defense Contract Audit Agency (DCAA) approved rates.

(2). Indirect Costs: Identify all indirect cost rates (such as fringe benefits, labor overhead, material overhead, G&A, etc.) and the basis for each.

(3). Materials: Provide an itemized list of all proposed materials, equipment, and supplies for each year including quantities, unit prices, proposed vendors (if known), and the basis of estimate (e.g., quotes, prior purchases, catalog price lists, etc.). For proposed equipment/information technology (as defined in FAR 2.101) purchases equal to or greater than $50,000, include a letter justifying the purchase. Include any requests for Government-furnished equipment or information with cost estimates (if applicable) and delivery dates.

(4). Travel: Provide a breakout of travel costs including the purpose and number of trips, origin and destination(s), duration, and travelers per trip.

(5). Subcontractor/Consultant Costs: Provide above info for each proposed subcontractor/consultant. Subcontractor cost proposals must include interdivisional work transfer agreements or similar arrangements.

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

Proprietary subcontractor/consultant cost proposals may be included as part of Volume 2 or emailed separately to DARPA-BAA-14-39@darpa.mil. Email messages must include “Subcontractor Cost Proposal” in the subject line and identify the principal investigator, prime proposer organization and proposal title in the body of the message.

(6). ODCs: Provide an itemized breakout and explanation of all other anticipated direct costs.

iv. Proposals Requesting a Procurement Contract: Provide the following information where applicable.

(1). Proposals for $700,000 or more: Provide “certified cost or pricing data” (as defined in FAR 2.101) or a request for exception in accordance with FAR 15.403.

(2). Proposals for $650,000 or more: Pursuant to Section 8(d) of the Small Business Act (15 USC § 637(d)), it is Government policy to enable small business and small disadvantaged business concerns to be considered fairly as subcontractors to organizations performing work as prime contractors or subcontractors under

DARPA-BAA-14-39 I2O OFFICE-WIDE BAA 20

Government contracts, and to ensure that prime contractors and subcontractors carry out this policy. In accordance with FAR 19.702(a)(1) and 19.702(b), prepare a subcontractor plan, if applicable. The plan format is outlined in FAR 19.704.

(3). Proposers without a DCAA-approved cost accounting system: If requesting a cost-type contract, provide the DCAA Pre-award Accounting System Adequacy Checklist to facilitate DCAA’s completion of an SF 1408. The checklist may be found at http://www.dcaa.mil/preaward_accounting_system_adequacy_checklist.html

v. Proposals Requesting an Other Transaction for Prototypes (845 OT) agreement:

Proposers must indicate whether they qualify as a nontraditional Defense contractor5, have teamed with a nontraditional Defense contractor, or are providing a one-third cost share for this effort. Provide information to support the claims. Provide a detailed list of milestones including: description, completion criteria, due date, and payment/funding schedule (to include, if cost share is proposed, contractor and Government share amounts). Milestones must relate directly to accomplishment of technical metrics as defined in the solicitation and/or the proposal. While agreement type (fixed price or expenditure based) will be subject to negotiation, the use of fixed price milestones with a payment/funding schedule is preferred. Proprietary information must not be included as part of the milestones.

3. Proprietary and Classified Information

DARPA policy is to treat all submissions as source selection information (see FAR 2.101 and 3.104) and to disclose the contents only for the purpose of evaluation. Restrictive notices notwithstanding, during the evaluation process, submissions may be handled by support contractors for administrative purposes and/or to assist with technical evaluation. All DARPA support contractors performing this role are expressly prohibited from performing DARPA-sponsored technical research and are bound by appropriate nondisclosure agreements.

a. Proprietary Information

Proposers are responsible for clearly identifying proprietary information. Submissions containing proprietary information must have the cover page and each page containing such information clearly marked.

b. Classified Information

DARPA anticipates that most submissions received under this solicitation will be unclassified; however, classified submissions will be accepted. Classified submissions must be appropriately and conspicuously marked with the proposed classification level and declassification date. Use classification and marking guidance provided by the DoD Information Security Manual (DoDM 5200.1, Volumes 1-4) and the National Industrial Security Program Operating Manual (DoD 5220.22-M). When marking information

5 For definitions and information on 845 OT agreements see http://www.darpa.mil/Opportunities/Contract_Management/Other_Transactions_and_Technology_Investment_A greements.aspx and “Other Transactions (OT) Guide For Prototype Projects,” dated January 2001 (as amended) at http://www.acq.osd.mil/dpap/Docs/otguide.doc.

http://www.dcaa.mil/preaward_accounting_system_adequacy_checklist.html http://www.darpa.mil/Opportunities/Contract_Management/Other_Transactions_and_Technology_Investment_Agreements.aspx http://www.darpa.mil/Opportunities/Contract_Management/Other_Transactions_and_Technology_Investment_Agreements.aspx http://www.acq.osd.mil/dpap/Docs/otguide.doc

DARPA-BAA-14-39 I2O OFFICE-WIDE BAA 21

previously classified by another Original Classification Authority (OCA), also use the applicable security classification guides. Classified submissions must indicate the classification level of not only the submitted materials, but also the anticipated classification level of the award document.

If a proposer believes a submission contains classified information (as defined by Executive Order 13526), but requires DARPA to make a final classification determination, the information must be marked and protected as though classified at the appropriate classification level (as defined by Executive Order 13526). Submissions requesting 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., Confidential, Secret, or Top Secret].”

Proposers submitting classified proposals or requiring access to classified information during the lifecycle of the project shall ensure all industrial, personnel, and information system processing security requirements (e.g., facility clearance, personnel security clearance, certification and accreditation) are in place and at the appropriate level, and any foreign ownership control and influence issues are mitigated prior to submission or access. Proposers must have existing, approved capabilities (personnel and facilities) prior to award to perform research and development at the classification level proposed.

Additional information on these subjects is at http://www.dss.mil.

Classified submissions will not be returned.