DARPA-BAA-14-42_Amend_01_Final_For_Posting_18Dec2014.pdf

Broad Agency Announcement Office Wide

Microsystems Technology Office

DARPA-BAA-14-42

September 10, 2014

(Amendment No. 01: As amended through 18 December 2014)

Table of Contents

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

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

A. Eligible Applicants B. Procurement Integrity, Standards of Conduct, Ethical Considerations, and

Organizational Conflicts of Interest C. Cost Sharing/Matching D. Other Eligibility Criteria

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

1. Security Information

2. Proprietary Information

3. Abstract Submission Information

4. Abstract Format

5. Proposal Submission Information

6. Full Proposal Format

7. Submission Dates and Times

8. Funding Restrictions

9. Other Submission Requirements

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

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

1. Meeting and Travel Requirements

2. Human Subjects Research

3. Animal Use

4. Export Control

5. Subcontracting

6. Electronic and Information Technology

7. Employment Eligibility Verification

8. System for Award Management (SAM) Registration 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)

12. Cost Accounting Standards (CAS) Notices and Certification

13. Controlled Unclassified Information (CUI) on Non-DoD Information Systems

14. Safeguarding of Unclassified Controlled Technical Information C. Reporting D. Electronic Systems

1. Representations and Certifications

2. Wide Area Work Flow (WAWF)

3. i-Edison

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

A. Intellectual Property Procurement Contract Proposers

1. Noncommercial Items (Technical Data and Computer Software)

2. Commercial Items (Technical Data and Computer Software)

B. Non-Procurement Contract Proposers – Noncommercial and Commercial Items (Technical Data and Computer Software)

C. All Proposers – Patents D. All Proposers – Intellectual Property Representations E. Other Transactions (OTs):

Part I: Overview Information

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

• Funding Opportunity Title – Office-Wide Broad Agency Announcement

• Announcement Type – Initial Announcement.

• Funding Opportunity Number – DARPA-BAA-14-42

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

• Dates o Posting Date: September 10, 2014 o Open Period: September 10, 2014 through September 9, 2016 o Abstract/White Papers and Proposals will be submitted on a rolling basis until

4:00pm EST, on September 9, 2016

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

• Anticipated individual awards – Multiple awards are anticipated.

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

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

• Any cost sharing requirements – None.

• Agency contact o Dr. William Chappell, Ph.D., Director, DARPA/MTO BAA Coordinator: DARPA-BAA14-42@darpa.mil

DARPA/MTO

ATTN: DARPA-BAA-14-42

675 North Randolph Street Arlington, VA 22203-2114

PROPOSERS ARE CAUTIONED THAT EVALUATION RATINGS MAY BE LOWERED

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

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

THOSE INTENDING TO SUBMIT A PROPOSAL FOR AN ASSISTANCE INSTRUMENT

(GRANT OR COOPERATIVE AGREEMENT) ARE STRONGLY ENCOURAGED TO READ

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

REQUIRED TO RECEIVE VALIDATION OF SUBMISSIONS MADE THROUGH

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

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

mailto:name@darpa.mil

Part II: Full Text of Announcement

Sec. I: FUNDING OPPORTUNITY DESCRIPTION

The Defense Advanced Research Projects Agency (DARPA) often selects its research efforts through the Broad Agency Announcement (BAA) process. This BAA is being issued, and any resultant selection will be made, using procedures under Federal Acquisition Regulation (FAR)

35.016 and the Department of Defense Grant and Agreement Regulatory System (DoDGARS) Part 22 for Grants and Cooperative Agreements. Any negotiations and/or awards will use procedures under FAR 15.4, Contract Pricing, as specified in the BAA (including DoDGARS Part 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 (FedBizOpps) website, http://www.fbo.gov/, and, as applicable, the Grants.gov website at http://www.grants.gov/. The following information is for those wishing to respond to the BAA.

Since its inception in 1992, DARPA’s Microsystems Technology Office (MTO) has helped create and prevent strategic surprise through investments in compact microelectronic components such as microprocessors, microelectromechanical systems (MEMS), and photonic devices. MTO’s revolutionary work applying advanced capabilities in areas such as wide-band gap materials, phased array radars, high-energy lasers and infrared imaging have helped the United States establish and maintain technological superiority for more than two decades. As MTO evolves to address future challenges in microsystems, the office has identified four target problem areas: (1) our critical reliance on the electromagnetic spectrum, (2) the decentralization of effects within the battlefield, (3) the impending end of Moore’s law, and (4) embracing and thriving in the internationalized technology base. There is inherent overlap between these spaces which is rife with opportunity to explore solutions.

• Electromagnetic Spectrum - The electromagnetic spectrum is the heart of current and future warfare, but it remains highly contested and congested. The future of info-centric warfare will require electromagnetic access for collecting and distributing information.

• Decentralization - The ability to update underlying capabilities in large and massively complex systems inexpensively and quickly is crucial to avoid outdated and inferior electronics. The increasing complexity of our major military systems precludes rapid change so it is essential that we move towards a new model that allows for quick adoption of new and modern electronics.

• Information Microsystems - The need to process significantly more and complex data than ever before continues to increase even as the end of Moore’s Law quickly approaches (or is already here). Our computing systems must have the capabilities to handle this ever increasing demand in new ways, exploring new architectures, algorithms/signal processing, and hardware.

• Globalization - As our world becomes more globalized, fabrication must be on a grounded component base that we trust and believe will work when we need it. As the manufacturing of components abroad increases, we must embrace the global capabilities that will lead to affordable systems, while maintaining trust.

http://www.fbo.gov/ http://www.grants.gov/

MTO seeks to develop high-risk, high-reward technologies to create and prevent strategic surprise to secure the DoD’s technological superiority and address the complex threats facing U.S. national security.

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

• Advanced Imaging Architectures and Systems

• Chip Scale Sensors

• Electro-Optical Infrared(EO/IR) Technologies

• Emerging MEMS Technologies

• Enabling component technology for cold-atom microsystems

• Energy-Efficient Computing

• Hardware Assurance, Reliability & Validation

• Hardware for Advanced Signal Processing

• Heterogeneous Integration

• Low Power Electronics

• Low Volume Microsystems Manufacturing

• Microsystem Design & CAD

• Microsystems for Directed Energy

• Microsystems for Precision Navigation & Timing

• Microsystems for RF/Optical Transceivers

• Non-Silicon Electronics

• Novel Photonic Devices

• Photonic & Electronic Interconnects

• Processing Techniques for Imaging and Spectral Recognition

• Quantum Devices

• Signal Processing to Reduce Hardware Requirements

• Thermal Management

• Other Microsystems Technology Topic Areas

MTO regularly publishes Broad Agency Announcements requesting responses to specific program topics. This announcement seeks revolutionary research ideas for topics not being addressed by ongoing MTO programs or other published BAA solicitations. This BAA is primarily, but not solely, intended for early stage research (studies) that may lead to larger, focused, MTO programs in the future. Studies are defined as single phase efforts of short duration (12 months or less) costing less than $1,000,000. Whereas proposers are strongly encouraged to submit studies to this BAA, multi-phase efforts will also be considered. Multi-phase efforts are defined as efforts with more than one phase that may span longer than 12 months and that may cost more than $1,000,000. Multi-phase efforts must also cover clearly identifiable research topic areas with quantitative technical metrics. Proposals for studies that are 12 months or less in duration, cost $500,000 or less, and for which the performer is seeking an assistance instrument (grant or cooperative agreement) are provided a streamlined proposal preparation process (see Section IV(B)(6)). Specifically excluded is research that primarily results in evolutionary improvements to the existing state of practice, or that commercial industry is likely to develop on its own.

Potential bidders are highly encouraged to review the current MTO programs listed on the MTO website at: http://www.darpa.mil/our_work/MTO/ and other MTO solicitations listed at:

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

Sec. II. AWARD INFORMATION

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

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

Awards under this BAA will be made to proposers on the basis of the evaluation criteria listed below (see section labeled “Application Review Information”, Sec. V.), and program balance to provide overall value to the Government. The Government reserves the right to request any additional, necessary documentation once it makes the award instrument determination. Such additional information may include but is not limited to Representations and Certifications. The Government reserves the right to remove proposers from award consideration should the parties fail to reach agreement on award terms, conditions and cost/price within a reasonable time or the proposer fails to timely provide requested additional information. 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.

http://www.darpa.mil/our_work/MTO/ http://www.darpa.mil/Opportunities/Solicitations/MTO_Solicitations.aspx http://www.darpa.mil/Our_Work/MTO/Personnel/

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 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.

Sec. III: ELIGIBILITY INFORMATION

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

A. Eligible Applicants

1. 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. (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.

2. 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 mailto:prc@darpa.mil

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 has taken 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 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-14-42@darpa.mil) 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.

D. Other Eligibility Criteria

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

Sec. IV: APPLICATION AND SUBMISSION INFORMATION

A. Address to Request Application Package This solicitation contains all information required to submit a proposal. No additional forms, kits, or other materials are needed. This notice constitutes the total BAA solicitation. No additional information is available, except as provided at FBO.gov or 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 Information Classified submissions shall be transmitted in accordance with the following guidance.

Additional information on the subjects discussed in this section may be found at http://www.dss.mil/.

If a submission contains Classified National Security Information as defined by Executive Order 13526, the information must be appropriately and conspicuously marked with the proposed classification level and declassification date. Similarly, when the classification of a submission is in question, the submission must 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)’

NOTE: Classified submissions must indicate the classification level of not only the submitted materials, but also the classification level of the anticipated award.

Proposers submitting classified information must have, or be able to obtain prior to contract award, cognizant security agency approved facilities, information systems, and appropriately cleared/eligible personnel to perform at the classification level proposed. All proposer personnel performing Information Assurance (IA)/Cybersecurity related duties on classified Information Systems shall meet the requirements set forth in DoD Manual 8570.01-M (Information Assurance Workforce Improvement Program).

Proposers choosing to submit classified information from other collateral classified sources (i.e., sources other than DARPA) must ensure (1) they have permission from an authorized individual at the cognizant Government agency (e.g., Contracting Officer, Program Manager);

(2) the proposal is marked in accordance with the source Security Classification Guide (SCG) from which the material is derived; and (3) the source SCG is submitted along with the proposal.

DARPA anticipates that submissions received under this BAA will be unclassified. However, should a proposer wish to submit classified information, an unclassified email must be sent to the BAA mailbox requesting submission instructions from the DARPA/MTO Program Security Officer (PSO).

Security classification guidance and direction via a Security Classification Guide (SCG) and/or DD Form 254, “DoD Contract Security Classification Specification,” will not be provided at this time, since DARPA is soliciting ideas only. If a determination is made that the award instrument http://www.dss.mil/ may result in access to classified information, a SCG and/or DD Form 254 will be issued by DARPA and attached as part of the award.

2. 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 with a label such as “Proprietary” or “Company Proprietary.”

Note, “Confidential” is a classification marking used to control the dissemination of U.S.

Government National Security Information as dictated in Executive Order 13526 and should not be used to identify proprietary business information.

3. Abstract Submission Information Proposers who choose to use abstracts 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 (Submission Dates and Times) below. DARPA will acknowledge receipt of the submission and assign a control number that should be used in all further correspondence regarding the abstract.

Abstracts sent in response to DARPA-BAA-14-42 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 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).

ABSTRACTS MAY NOT BE SUBMITTED BY FAX, E-MAIL OR VIA GRANTS.GOV;

ANY SO SENT WILL BE DISREGARDED.

4. Abstract Format Abstracts are encouraged in advance of full proposals in order to provide potential proposers with a rapid response to minimize unnecessary effort. Abstracts should follow the format described below in this section. The cover sheet should be clearly marked “ABSTRACT” and the total length of Section II should not exceed 6 pages. All pages shall be formatted to print on 8-1/2 by 11 inch paper with type not smaller than 12 point. Smaller font may be used for figures, tables and charts. The page limitation for abstracts includes all figures, tables, and charts. No formal transmittal letter is required. All abstracts must be written in English.

DARPA will respond to abstracts with a statement as to whether DARPA is interested in the idea. DARPA will attempt to reply to abstracts via letter within thirty (30) calendar days of receipt. If DARPA does not recommend the proposer submit a full proposal, DARPA will provide detailed feedback to the proposer regarding the rationale for this decision.

Regardless of DARPA’s response to an abstract, proposers may submit a full proposal. DARPA will review all full proposals submitted using the published evaluation criteria and without regard to any comments resulting from the review of an abstract.

Section I. Administrative

A. Cover sheet to include:

(1) BAA number (DARPA-BAA-14-42);

(2) Technical area(s);

(3) Lead Organization submitting proposal;

(4) Type of organization, selected among the following categories: “LARGE

ORGANIZATION”, “SMALL DISADVANTAGED ORGANIZATION”, “OTHER

SMALL ORGANIZATION”, “HBCU”, “MI”, “OTHER EDUCATIONAL”, OR

“OTHER NONPROFIT”;

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

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

(7) Proposal title;

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

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

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

(11) Date proposal was submitted.

(Note: An official transmittal letter is not required when submitting an Abstract.)

Section II. Abstract Details

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

B. Technical rationale, technical approach, and constructive plan/schedule for accomplishment of technical goals in support of innovative claims and deliverable production.

C. Deliverables associated with the proposed research and the plans and capability to accomplish technology transition and commercialization. Include in this section all proprietary claims to the results, prototypes, intellectual property, or systems supporting and/or necessary for the use of the research, results, and/or prototype. If there are no proprietary claims, this should be stated.

D. General discussion of other research in this area.

E. Summary of the teaming/management approach to include (1) identification of all team members and the roles and responsibilities of each, (2) a general discussion of the teaming strategy chosen, and (3) identification of all key personnel.

5. Proposal Submission Information 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.

DARPA policy is to treat all submissions as source selection information (see FAR 2.101 and 3.104), and to disclose their 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.

Submissions will not be returned. The original of each submission 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.

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 DARPA-BAA-14-42@darpa.mil. DARPA intends to use electronic mail for correspondence regarding DARPA-BAA-14-42. 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.

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/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 the Grants.gov APPLY do not submit paper proposals in addition to the Grants.gov APPLY 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 http://www.grants.gov/documents/19/18243/OrganizationRegChecklist.pdf 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.

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 . Please use the Attachments Form and upload as two separate documents, Volume I, Technical and Management Proposal and Volume II, Cost Proposal, as well as any other documents required by the BAA (i.e., subcontract proposals). No other Grants.gov forms are required. Please note that Grants.gov does not accept zipped or encrypted documents uploaded as attachments. Please follow the document made available on Grants.gov as part of the solicitation entitled “Instructions for Using Grants.gov to Apply for a Grant or Agreement from DARPA (Short Form),” dated 20 October 2011, for more information.

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

If submitting the full proposal in hard-copy, an original and two (2) copies and two (2) electronic copies on a CD-ROM shall be submitted to the address delineated at Section VII “Agency Contacts.” Each copy must be clearly labeled with DARPA-BAA-14-42, proposer organization, proposal title (short title recommended), and Copy _ of 2.

For Proposers Requesting a Contract or Other Transaction Agreement (OTA):

Full (unclassified) proposals sent in response to DARPA-BAA-14-42 must 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) CANNOT 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.

http://www.grants.gov/web/grants/applicants/apply-for-grants.html http://apply07.grants.gov/apply/forms/sample/RR_SF424_2_0-V2.0.pdf mailto:support@grants.gov?subject=Support

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).

6. Full Proposal Format All full proposals must be in the format given below. Nonconforming proposals may be rejected without review. Proposals shall consist of two volumes. All pages shall be formatted to print on 8-1/2 by 11 inch paper with type not smaller than 12 point. Smaller font may be used for figures, tables and charts. The page limitation for full proposals includes all figures, tables, and charts.

Volume I, Technical and Management Proposal, may include an attached bibliography of relevant technical papers or research notes (published and unpublished) which document the technical ideas and approach upon which the proposal is based. Copies of not more than three

(3) relevant papers may be included with the submission. The bibliography and attached papers are not included in the page counts given below. The submission of other supporting materials along with the proposals is strongly discouraged and will not be considered for review. Section II of Volume I, Technical and Management Proposal, shall not exceed: 1) 15 pages for studies proposals that are 12 months or less in duration, cost $500,000 or less, and are seeking an assistance instrument (grant or cooperative agreement); and 2) 26 pages for all other proposals.

All full proposals must be written in English.

a. Volume I, Technical and Management Proposal Section I. Administrative

A. Cover sheet to include:

(1) BAA number (DARPA-BAA-14-42);

(2) Technical area(s);

(3) Lead Organization submitting proposal;

(4) Type of organization, selected among the following categories: “LARGE

ORGANIZATION”, “SMALL DISADVANTAGED ORGANIZATION”, “OTHER

SMALL ORGANIZATION”, “HBCU”, “MI”, “OTHER EDUCATIONAL”, OR

“OTHER NONPROFIT”;

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

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

(7) Proposal title;

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

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

(10) Date proposal was submitted.

B. Official transmittal letter.

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

Section II. Detailed Proposal Information

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

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

B. Statement of Work (SOW) - In plain English, clearly define the technical tasks/subtasks to be performed, their durations, and dependencies among them. The page length for the SOW will be dependent on the amount of the effort. The SOW must not include proprietary information. For each task/subtask, provide:

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

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

3. Identification of the primary organization responsible for task execution

(prime, sub, team member, by name, etc.);

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

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

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

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

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

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

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

“Intellectual Property.”

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

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

Section III. Additional Information

A brief bibliography of relevant technical papers and research notes (published and unpublished) which document the technical ideas upon which the proposal is based. Copies of not more than three (3) relevant papers can be included in the submission.

b. Volume II, Cost Proposal (Assistance Instruments under $500,000 total proposal amount and 12 month period of performance) – {No Page Limit}

Cover sheet to include:

(1) BAA number (DARPA-BAA-14-42);

(2) Lead Organization submitting proposal;

(3) Type of organization, selected among the following categories: “LARGE

ORGANIZATION”, “SMALL DISADVANTAGED ORGANIZATION”, “OTHER

SMALL ORGANIZATION”, “HBCU”, “MI”, “OTHER EDUCATIONAL”, OR

“OTHER NONPROFIT”;

(4) Proposer’s reference number (if any);

(5) Other team members (if applicable) and type of organization for each;

(6) Proposal title;

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

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

(9) Award instrument requested: grant or cooperative agreement;

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

(11) Total proposed cost broken;

(12) Name, address, and telephone number of the proposer’s cognizant administration office (DHHS, ONR, etc.), if known;

(13) Date proposal was prepared;

(14) DUNS number;

(15) TIN number;

(16) CAGE Code; and

(17) Proposal validity period;

The proposers’ cost volume shall provide budget information in sufficient detail to substantiate the program price proposed (e.g., reasonableness). In doing so, the proposer shall provide a detailed cost breakdown by fiscal year. The breakdown shall include, at a minimum, the following major cost items along with associated backup documentation:

Total program cost broken down by major cost items:

a. Direct Labor/Personnel Costs – a breakout clearly identifying the individual labor categories with associated labor hours and direct labor rates or, as applicable, clear identification of time commitments of all proposed personnel (proposer must provide a copy of the current rate agreement, if applicable);

b. Indirect Costs – Including Fringe Benefits, Facilities and Administrative (F&A), General and Administrative, as applicable (proposer must provide a copy of the current rate agreement, if applicable, and clearly describe the application of all proposed indirect cost rates);

c. Travel – Provide the purpose of the trip (justifying its relevancy to the proposed project), number of trips, number of days per trip, departure and arrival destinations, number of people, etc.;

d. Other Direct Costs – Itemized with costs (proposer must provide supporting rationale justifying the relevancy of the items to the proposed project and explaining how the proposed costs/budget was developed);

e. Material - Itemized with costs (proposer must provide supporting rationale justifying the relevancy of the items to the proposed project and explaining how the proposed costs/budget was developed);

f. Equipment – Itemized with costs (proposer must provide supporting rationale justifying the relevancy of the items to the proposed project and provide documentation (i.e., vendor quote, past/recent purchase order, catalog price lists, etc.) supporting the proposed price for each item.

g. Subcontracts/Consultants – Itemization of all subcontracts.