MAD-FIRES_BAA_-_ADDENDUM_1.pdf

DARPA-BAA-14-45

Broad Agency Announcement – Amendment 1

Multi Azimuth Defense Fast Intercept Round Engagement System (MAD-FIRES)

TTO

August 14, 2014

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

I. Funding Opportunity Description II. Award Information III. Eligibility Information

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

IV. Application and Submission Information A. Address to Request Application Package B. Content and Form of Application Submission

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 D. Electronic Systems

VII. Agency Contacts VIII. Other Information

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

Part I: Overview Information

Federal Agency Name – Defense Advanced Research Projects Agency (DARPA), Tactical Technology Office (TTO)

Funding Opportunity Title – Multi Azimuth Defense Fast Intercept Round Engagement System (MAD-FIRES)

Announcement Type – Initial Announcement Funding Opportunity Number – DARPA-BAA-14-45 Catalog of Federal Domestic Assistance Numbers (CFDA) – Not Applicable Dates o Proposers’ Day: July 31, 2014 o Posting Date: August 14, 2014 o Request for Addendum Due Date: September 10, 2014 o Questions Due Date: September 10, 2014 o Proposal Due Date: October 15, 2014

Concise description of the funding opportunity: The objective of the MAD- FIRES program is to develop and demonstrate advances in guided projectile technologies. The full objectives of the program can be found in this BAA’s classified addendum. Instructions for requesting the addendum can be found in Section IV.A of Part Two of this document.

Anticipated Individual Awards o Phase 0 (base): Multiple cost reimbursable awards of approximately

$1,750,000 each o Phase 1 (option): Multiple cost reimbursable awards.

o Phase 2 and Phase 3: Multiple cost reimbursable awards, pending funding availability and review of performance of Phases 0, 1, and 2.

Types of instruments that may be awarded - Procurement contract or other transaction.

Agency contact o The BAA Coordinator for this effort can be reached at

DARPA/TTO

ATTN: DARPA-BAA-14-45

675 North Randolph Street Arlington, VA 22203-2114 E-mail: DARPA-BAA-14-45@darpa.mil

Other - The addendum to this BAA is available upon request as described in Section IV.A of Part Two of this announcement.

Part II: Full Text of Announcement

I. Funding Opportunity Description

The Defense Advanced Research Projects Agency 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. Any negotiations and/or awards will use procedures under FAR 15.4, Contract Pricing, as specified in the BAA. 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/. The following information is for those wishing to respond to the BAA.

DARPA is soliciting innovative research proposals in the area of advanced projectiles. Proposed research should investigate innovative approaches that enable revolutionary advances in science, devices, or systems. Specifically excluded is research that primarily results in evolutionary improvements to the existing state of practice. Key aspects of the MAD-FIRES program are classified. Only proposals addressing the classified aspects of MAD-FIRES will be eligible for funding under this BAA.

Instructions for requesting the classified addendum can be found in Section IV.A of this BAA.

Based on advancements in gun hardening and miniaturization of guided munition components, DARPA believes the next generation medium caliber munition is possible.

To this end, DARPA is seeking new approaches to medium caliber weapons. The vision of MAD-FIRES is to provide a highly capable projectile that is able to withstand the gun-launch environment and achieve greatly enhanced accuracy, enabling new missions. To this end, MAD-FIRES will advance fire control technologies, medium caliber gun technologies and guided projectile technologies enabling the multiple, simultaneous target engagement mission.

The MAD-FIRES program is envisioned and structured as a risk reduction effort that will demonstrate critical technology advancements early and often throughout the life of the program. Short phases with multiple demonstration events seek to show regular progress towards program objectives.

Figure 1. MAD-FIRES Schedule

The Government will use a phased acquisition approach for the MAD-FIRES program under this BAA (see Figure 1). The program will be conducted over four phases. Phase 0 will define concepts and establish a modeling and simulation baseline for the program. Following a selection, Phase 1 will consist of preliminary risk reduction demos. During Phase 1, the Government will determine whether to proceed to Phases 2 and 3. If the Government elects to continue the program, Phase 2 will further advance MAD-FIRES design work and conduct additional risk reduction demos. After a final selection from Phase 2 performers, Phase 3 will demonstrate the final MAD-FIRES technologies in a relevant environment.

This BAA solicits firm proposals for Phase 0 (base) and Phase 1 (option) only. At the conclusion of Phase 0 (base), the Government may award the contract option for the Phase 1 effort on one or more contracts. Should the Government decide to pursue Phase 2, based on the performance of Phase 0 and Phase 1 and funding availability, the Government will request Phase 1 performers only to update and expand their technical and cost proposals for the Phase 2 effort to include detailed tasks, costs, and schedules.

Detailed proposal guidance for Phase 2 will be provided to only Phase 1 performers during Phase 1. The Government may award the Phase 2 work to all, one or none of the Phase 1 performers.

Should the Government decide to pursue Phase 3, based on the results of Phase 2 and funding availability, the Government will request Phase 2 performers only to update and expand their technical and cost proposals for the Phase 3 effort to include detailed tasks, costs, and schedules. Detailed proposal guidance for Phase 3 will be provided to only Phase 2 performers during Phase 2. The Government may award the Phase 3 work to all, one or none of the Phase 2 performers.

Submission of proposals for Phase 2 and Phase 3 is optional and associated proposal preparation costs will not be reimbursed under Phase 0, Phase 1 and 2 awards.

The decision to continue the program into Phases 2 and 3 is the prerogative of the Government and will be based upon availability of funds, quality of proposals, quality of performance during each phase, and the determination that performers have made sufficient progress towards meeting program performance objectives, maturing the required technologies, and addressing risks. Evaluations of Phase 2 and Phase 3 proposals will be conducted through a scientific review process, be based on evaluation criteria to be specified in the proposal requests, and include consideration of Phase 0 and Phase 1 performance for Phase 2 awards and consideration of Phase 0, Phase 1, and Phase 2 performance for Phase 3 awards.

Although this BAA solicits firm proposals for Phase 0 (base) and Phase 1 (option) only, a preliminary statement of work (SOW), schedule, and rough order of magnitude (ROM) program cost for Phase 2 and Phase 3 are also required to facilitate DARPA's understanding of the scope of the proposed effort. It is understood that these will be anticipatory and preliminary in quality.

II. Award Information

A. Multiple awards are anticipated. For Phase 0, multiple cost reimbursable awards of approximately $1,750,000 each are anticipated. For Phase 1, multiple cost reimbursable awards are anticipated of unspecified amount. For Phase 2 and Phase 3, multiple cost reimbursable awards are anticipated, pending funding availability and reviews of performance of previous Phases. 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 reserves the right to award the contract option for Phase 1 work on all, some, one, or none of the contracts awarded under this solicitation. The Government also reserves the right to conduct discussions if it is later determined to be necessary. If warranted, portions of resulting awards may be segregated into pre-priced options. Additionally, DARPA reserves the right to accept proposals in their entirety or to select only portions of proposals for award. In the event that DARPA desires to award only portions of a proposal, negotiations may be opened with that proposer. The Government reserves the right to fund proposals in phases with options for continued work at the end of one or more of the phases.

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

Key aspects of the MAD-FIRES program are classified. Only proposals addressing the classified aspects of MAD-FIRES will be eligible for funding under this BAA. Instructions for requesting the classified addendum can be found in Section IV.A of this BAA.

B. 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 expects that program goals as described herein either cannot be met by proposers intending to perform fundamental research or the proposed research is anticipated to present a high likelihood of disclosing performance characteristics of military systems or manufacturing technologies that are unique and critical to defense. Therefore, the Government anticipates restrictions on the resultant research that will require the contractor to seek DARPA permission before publishing any information or results relative to the program.

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_Cente r.aspx.

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 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.

All proposers are expected to address transition (see Volume I, Section II.F, “Transition Plan” of Section IV.B.3 of this BAA, “Proposal Format”); transition is part of the evaluation criteria in section V.A. However, given their special status, FFRDCs should describe how and when a proposed technology/system will transition to which Non-FFRDC organization(s).

2. Non-U.S. Organizations and/or Individuals

Due to security requirements associated with MAD-FIRES, only organizations that are capable of receiving, processing, and storing export controlled and classified information associated with this effort are eligible for awards.

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, International Traffic in Arms Regulations (ITAR), and other governing statutes applicable under the circumstances. See Section IV.B.1, “Security and Proprietary Issues,” regarding the proposers’ capabilities to perform research and development at the classification level they propose. Since DARPA does not intend to provide classified or export controlled data to any international participants, proposers are reminded that implementation of applicable agreements and licenses is the responsibility of the proposer.

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

Current federal employees are prohibited from participating in particular matters involving conflicting financial, employment, and representational interests (18 U.S.C. §§ 203, 205, and 208). Once the proposals have been received, and prior to the start of proposal evaluations, the Government will assess potential conflicts of interest and will promptly notify the proposer if any appear to exist. The Government assessment does NOT affect, offset, or mitigate the proposer’s responsibility to give full notice and planned mitigation for all potential organizational conflicts, as discussed below.

Without prior approval or a waiver from the DARPA Director, in accordance with FAR 9.503, a contractor cannot simultaneously provide scientific, engineering, technical assistance (SETA) or similar support and also be a technical performer. As part of the proposal submission, all members of the proposed team (prime proposers, proposed subcontractors, and consultants) must affirm whether they (their organizations and individual team members) are providing SETA or similar support to any DARPA technical office(s) through an active contract or subcontract. All affirmations must state which office(s) the proposer, subcontractor, consultant, or individual supports and identify the prime contract number(s). All facts relevant to the existence or potential existence of organizational conflicts of interest (FAR 9.5) must be disclosed. The disclosure must include a description of the action the proposer has taken or proposes to take to avoid, neutralize, or mitigate such conflict. If in the sole opinion of the Government after full consideration of the circumstances, a proposal fails to fully disclose potential conflicts of interest and/or any identified conflict situation cannot be 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-14-45@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/teaming are encouraged.

IV. Application and Submission Information

A. Address to Request Application Package

This solicitation, including its addendum, contains all information required to submit a proposal. See the paragraph below for instructions on requesting the classified addendum. No additional forms, kits, or other materials are needed. This notice, including its addendum, constitutes the total solicitation. No additional information is available, except as provided at FBO.gov, nor will a formal Request for Proposal (RFP) or additional solicitation regarding this announcement be issued. Requests for the same will be disregarded.

The addendum (with classified information) in support of this BAA can be requested via e-mail to DARPA-BAA-14-45@darpa.mil. Requests for the addendum should include, at a minimum, the organization name, technical POC name and phone number, Facility Security Officer (FSO) name and phone number, CAGE code, statement of facility clearance and safeguarding capability, and a valid address for receiving classified material at the Secret level via express mail. DARPA will verify the facility clearance and the clearance of the recipient before mailing the classified material. If the classified mailing address is not authorized for express mail, this should be indicated in the request and the addendum package will be sent via registered mail.

Key aspects of the MAD-FIRES program are classified. Only proposals addressing the classified aspects of MAD-FIRES will be eligible for funding under this BAA.

Proposers should allow at least five (5) business days for processing requests for the classified addendum plus time for delivery. Requests for the addendum will not be accepted after 10 September 2014.

B. Content and Form of Application Submission

1. Security Issues

NOTE: If proposals are classified, the proposals must indicate the classification level of not only the proposal itself, but also the anticipated award document classification level.

The effort being solicited by this BAA is classified and involves access to, or generation of, classified information. Security classification guidance via a Security Classification Guide (SCG) and/or DD Form 254, “DoD Contract Security Classification Specification,” is provided as part of the BAA addendum.

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

Proposers choosing to submit classified information from other collateral classified sources, as part of their proposal, must ensure they have permission from the cognizant government customer (e.g. contracting officer, program manager) and that their proposal is marked in accordance with the source security classification guide the material is derived from. The source security classification guide must also be submitted along with the proposal.

When the classification of a submission is in question, the proposer shall ensure the submission is appropriately and conspicuously marked with the proposed classification level and declassification date. Submissions requiring DARPA to make a final classification determination shall be marked as follows:

CLASSIFICATION DETERMINATION PENDING. Protect as though classified (insert the recommended classification level: (e.g., Top Secret, Secret or Confidential)

Classified submissions shall be transmitted in accordance with the following guidance:

Confidential, Secret, Confidential/Special Access Program (SAP), and Secret/SAP classified information: Use transmission, classification, handling, and marking guidance provided by previously issued security classification guides, the DoD Information Security Manual (DoDM 5200.01, Volumes 1 - 4), and the National Industrial Security Program Operating Manual, including the Supplement Revision 1, (DoD 5220.22-M and DoD 5200.22-M Sup 1) when submitting classified information.

Confidential, Secret, Confidential/SAP, and Secret/SAP classified information may be submitted via ONE of the two following methods:

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

OR

2. Mailed via appropriate U.S. Postal Service (USPS) methods (e.g., USPS Registered Mail or USPS Express Mail.). Use of USPS

Express Mail for mailing SAP material requires the DARPA Technical Office PSO approval. All classified information will be enclosed in opaque inner and outer covers and double wrapped.

The inner envelope shall be sealed and plainly marked with the assigned classification and addresses of both sender and addressee.

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

Defense Advanced Research Projects Agency Security & Intelligence Directorate, Attn: CDR 675 North Randolph Street Arlington, VA 22203-2114

The inner envelope shall be addressed to:

Defense Advanced Research Projects Agency

ATTN: DARPA/TTO

Reference: DARPA-BAA-14-45

All Top Secret Materials: Top Secret (collateral, SAP, or SCI) information must be hand carried by an appropriately cleared and authorized courier(s) to the DARPA Classified Document Registry (CDR). Prior to traveling, the courier(s) shall contact the DARPA CDR at 703-526-4052 to coordinate arrival and delivery.

Special Access Program (SAP) Information: SAP information must be marked IAW DoDM 5205.07 Volume 4 and transmitted via the instructions below.

Proposers choosing to submit a classified proposal that includes Special Access Program (SAP) information from an agency other than DARPA are required to provide the DARPA Technology Office Program Security Officer written permission from the source materials cognizant SAPCO or designated representative. Clarification regarding this process can be provided by the DARPA Technology Office Program Security Officer or the DARPA SAPCO, Mr. Darin Smith, at 703-526-4102.

Proposal SAP Information Systems will require an Authorization-to-Operate from the applicable DARPA Authorization Official (normally the PSO) using the Risk Management Framework (RMF) process outlined in the Joint Special Access Program (SAP) Implementation Guide (JSIG), Revision 3, dated October 9, 2013 (or successor document).

Additional SAP security requirements regarding facility accreditations, information security, personnel security, physical security, operations security, test security, classified transportation plans, and program protection planning may be specified in the DD Form 254.

Sensitive Compartmented Information (SCI): SCI must be marked, transmitted, and managed IAW DoDM 5105.21 Volumes 1 - 3.

Successful proposers may be sponsored by DARPA for access to SCI.

Sponsorship must be aligned to an existing DD Form 254 where SCI has been authorized. Questions regarding SCI sponsorship should be directed to the DARPA Personnel Security Office at 703-526-4543.

2. Proprietary Data

All proposals containing proprietary data should have the cover page and each page containing proprietary data clearly marked as containing proprietary data. It is the proposer’s responsibility to clearly define to the Government what is considered proprietary data.

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

3. Proposal Submission Information

The typical proposal should express a consolidated effort in support of the MAD- FIRES technical concept. Disjointed efforts should not be included into a single proposal. Proposals may not be submitted by fax or e-mail; any so sent will be disregarded. Proposals not meeting the format described in the BAA may not be reviewed.

Proposers must submit an original, five (5) copies, and two (2) electronic copies of the full proposal on CD-ROM. Each copy must be clearly labeled with DARPA- BAA-14-45, proposer organization, proposal title (short title recommended), and Copy _ of 2.

For proposals submitting classified information, the proposal must be separated into an unclassified part and a classified part. Proposals should utilize the unclassified part to the maximum extent reasonable. Both the classified part and the unclassified part can be sent within the same package, but must be on separate media. Please ensure that all unclassified files are kept on a separate CD from the classified files, and that all CDs are well-marked.

All unclassified administrative correspondence and questions on this solicitation, including requests for information on how to submit a proposal to this BAA, should be directed to the administrative address below; e-mail is preferred.

DARPA-BAA-14-45@darpa.mil

DARPA/TTO

ATTN: DARPA-BAA-14-45

If you have a classified inquiry, please send an unclassified e-mail to DARPA-

BAA-14-45@darpa.mil to request submission instructions.

DARPA intends to use electronic mail for correspondence regarding DARPA-

BAA-14-45. Proposals may not be submitted by fax or e-mail; any so sent will be disregarded. DARPA encourages use of the Internet for retrieving the BAA and any other related information that may subsequently be provided.

4. Proposal Format

All proposals must be in the format given below. Nonconforming proposals may be rejected without review. Proposals shall consist of two volumes. Electronic copies of proposals shall be provided in Microsoft Word and/or Adobe PDF format. All pages shall be printed on 8-1/2 by 11 inch paper with type not smaller than 12 point. Smaller font may be used for figures, tables and charts. The page limitation for proposals includes all figures, tables, and charts. The submission of other supporting materials along with the proposals is strongly discouraged and will not be considered for review. Maximum page lengths for each section are shown in braces { } below. All proposals must be written in English.

Ensure that each 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.

› Volume I, Technical and Management Proposal

Section I. Administrative Do not include classified information in this section.

A. Cover Sheet {no page limit} in the following format:

Volume I, Technical and Management Proposal

(1) BAA number (DARPA-BAA-14-45);

(2) Lead Organization submitting proposal;

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

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

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

NONPROFIT”;

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

(5) Proposal title;

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

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

(8) Total funds requested from DARPA, and the amount of cost share (if any), broken down by phase; AND

(9) Date proposal was submitted.

B. Official transmittal letter.

C. Table of Contents. {no page limit}

Section II. Core Technical Proposal {45} Classified information may be provided in this section. It is preferred that the Technical, Schedule, and Cost Summaries are provided unclassified where reasonable.

A. {1} Technical Summary. This section should concisely summarize your technical approach and its uniqueness and benefits relative to the current state-of-art alternate approaches.

B. {2} Schedule Summary. A single page schedule should be included showing key program milestones for Phases 0/1 and for Phases 2/3. The milestones must not include proprietary information. Identify the schedule critical path and near critical path (if applicable).

C. {1} Cost Summary. Cost for the proposed research, including estimates of cost for each task in each year of the effort delineated by the primes and major subcontractors, total cost, and any company cost share. Where the effort consists of multiple portions which could reasonably be partitioned for purposes of funding, these should be identified as options with separate cost estimates for each. Include a concise explanation of each increment or option. Include rough, order-of-magnitude (ROM) cost estimates for Phases 2 and 3.

D. {26} Core Technical Discussion. Technical rationale, technical approach, and constructive plan for accomplishment of technical goals in support of innovative claims and deliverable production. Items addressed in other sections or subsections should not be addressed in this section. See the addendum for additional requirements in this section (see Section IV.A for instructions on obtaining the classified addendum).

E. {11} Risk Reduction and Deliverables. Specifically indicate current state, incremental technology improvements, and final state demonstrated throughout the life of the program. Indicate high risk technology areas and indicate how and when these risk areas will be addressed in the program. Show how risks can be reduced incrementally.

F. {2} Transition Plan. Describe the plans and capability to accomplish technology transition to a Service branch. Describe specific challenges associated with transition of your approach and proposed activities to overcome these challenges.

G. {2} Team Description. A clearly defined organization chart for the program team which includes, as applicable: (1) the programmatic relationship of team members; (2) the unique capabilities of team members; (3) the task and responsibilities of team members; (4) the teaming strategy among the team members; and (5) the key personnel along with the amount of effort to be expended by each person during each year.

Section III. Technical Proposal Supporting Artifacts Do not include classified information in the SOW, GFP, or Team Composition submissions. If necessary, a classified annex to these sections may be provided in the classified part of the submission.

A. {no page limit} Statement of Work (SOW). In plain English, clearly define the technical tasks/subtasks to be performed, their durations, and dependencies among them. For each task/subtask, provide:

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

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

Identification of the primary organization responsible for task execution (prime, sub, team member, by name, etc.);

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

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

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

The SOW should be developed so that each phase of the program is separately defined. Do not include any proprietary information in the SOW.

B. {no page limit} Government Furnished Property (GFP). Description of equipment and facilities required to be provided at Government expense.

C. {no page limit} Team Composition. Provide a concise list of names of key personnel. Provide resumes for key personnel and indicate formal teaming agreements that are required to execute this program. DARPA requires key personnel identified in the proposal to be assigned as proposed, and the resulting contract/agreement will indicate no substitution shall be made without prior approval of the Government.

D. {approximately 1 page per item, 15 total pages} Existing Art. Description of existing state-of-the-art technologies leveraged in the proposer’s offering, previous accomplishments, and work in closely related research areas. For each leveraged technology or component, accomplishment or area, identify source of funding, previous investment amount, Technology Readiness Level (TRL), how TRL was determined, and current performance characteristics.

E. {no page limit} Integrated Master Schedule (IMS). At minimum, the IMS should address work breakdown to three levels with additional detail as applicable for Phase 0 and Phase 1.

F. {1} Physical Resources. Description of the facilities and equipment that would be used for the proposed effort. Identify resources for handling of classified material.

G. {1} Management Approach. Proposals should identify program metrics and clearly explain the technical approach that will be employed to meet or exceed each program metric and provide ample justification as to why the approach(es) is/are feasible.

H. {no page limit} IP Concerns. The proposer should identify any licenses and fees they plan to claim for any software included in their solution that will be provided with less than Government Purpose Rights. 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. For forms to be completed regarding intellectual property, see Section VIII.

I. {no page limit} Contract Data Requirements List. The proposer should produce in tabular form a listing of data delivery items (e.g., monthly status report) and include the following information for each item: Title, Subtitle, Reference in SOW, Frequency of submission, Date of first submission (in days after contract), and Date of subsequent submission (in days after reporting period).

Section IV. Additional Information Do not include classified information in this section.

A. Bibliography {no page limit} A brief bibliography of relevant technical papers and research notes (published and unpublished) which document the technical ideas upon which the proposal is based.

B. Acronym List {no page limit} C. Proposal Affirmations {no page limit}

(1) (1) Organizational Conflict of Interest Affirmations and Disclosure: Per the instructions in Section III.B above, all members of the proposed team (prime proposers, proposed subcontractors, and consultants) must affirm whether they (their organizations and individual team members) are providing SETA or similar support to any DARPA technical office(s) through an active contract or subcontract. All affirmations must state which office(s) the proposer, subcontractor, consultant, or individual supports and identify the prime contract number(s). All facts relevant to the existence or potential existence of organizational conflicts of interest (FAR 9.5) must be disclosed. The disclosure must include a description of the action the proposer has taken or proposes to take to avoid, neutralize, or mitigate such conflict. If the proposer or any proposed subcontractor IS NOT currently providing SETA support as described, then the proposer should simply state “NONE.” Proposals that fail to fully disclose potential conflicts of interests or do not have acceptable plans to mitigate identified conflicts will be rejected without technical evaluation and withdrawn from further consideration for award.

(2) Human Subjects Research: For all proposed research that will involve human subjects in the first year or phase of the project, the institution must provide evidence of or a plan for review by an Institutional Review Board (IRB) upon final proposal submission to DARPA as part of their proposal, prior to being selected for funding. For further information on this subject, see Section VI.B.2 below. If human subject research is not a factor in a proposal, then the proposer should state “NONE.”

(3) Animal Use: For projects anticipating animal use, proposals must briefly describe plans for Institutional Animal Care and Use Committee (IACUC) review and approval. For further information on this subject, see Section VI.B.3 below. If animal use is not a factor in a proposal, then the proposer should state “NONE.”

(4) Federally Funded Research and Development Center Team Member Eligibility: Per Section III.A., Eligible Applicants, proposals that include Federally Funded Research and Development Centers as prime, subcontractor or team member must (1) clearly demonstrate that the proposed work is not otherwise available from the private sector and (2) 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. For more information, see Section III.A. If none of the team members belongs to an FFRDC, then the proposer should state “Not Applicable.”

(5) Government Entity Team Member Eligibility: Per Section III.A., proposals from Eligible Applicants that include Government entities (e.g., Government/National laboratories, military educational institutions, etc.) as prime, subcontractor or team member must (1) clearly demonstrate that the work is not otherwise available from the private sector and (2) provide written documentation citing the specific statutory authority and contractual authority, if relevant, establishing their ability to propose to Government solicitations.

See Section III.A.1 for additional information. If no such entities are involved, then the proposer should state “NONE.”

(6) Other representations: Other representations as required by this BAA or applicable Federal Law.

› Volume II, Cost Proposal – {No Page Limit}

Do not include classified information in this volume. If necessary, a classified annex to this volume may be provided in the classified part of the submission.

All proposers, including FFRDCs, must submit the following:

Cover sheet to include:

A. Cover Sheet in the following format:

Volume II, Cost Proposal

(1) BAA number (DARPA-BAA-14-45);

(2) Lead Organization submitting proposal;

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

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

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

NONPROFIT”;

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

(5) Proposal title;

(6) 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);

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

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

(11) Place(s) and period(s) of performance, including the highest classification of work expected at each location;

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

(13) Name, address, and telephone number of the proposer’s cognizant Defense Contract Management Agency (DCMA) administration office (if known);

(14) Name, address, and telephone number of the proposer’s cognizant Defense Contract Audit Agency (DCAA) audit office (if known);

(15) Date proposal was prepared;

(16) DUNS number;

(17) TIN number;

(18) CAGE Code(s) for all proposed locations involving classified work;

(19) Subcontractor Information; and

(20) Proposal validity period.

Note that nonconforming proposals may be rejected without review. A detailed cost proposal is required for Phases 0 and 1. A ROM cost estimate is required for Phases 2 and 3. It is highly desirable for the proposer to submit as detailed as possible cost information for Phases 2 and 3. Please consider all costs in the proposal assuming minimal Government Furnished Property (GFP) with the exception of GFP required for the Phase 3 final test.

For proposers without a DCAA-approved cost accounting system who are proposing negotiation of a cost-type contract, DCAA must complete an SF 1408.

To facilitate this process, complete the SF 1408 found at http://www.gsa.gov/portal/forms/download/115778 and submit the completed form with your proposal. Proposals requesting a cost-type contract without this form may be deemed non-conforming to this solicitation. The Government recognizes that this form is intended for an auditor to use when evaluating a contractor's cost accounting system.

However, your preliminary responses to the questions will expedite the DCAA accounting system review. To complete the form, check the boxes on the second page, then provide a narrative explanation of your accounting system to supplement the checklist on page one.

The Government strongly encourages that tables included in the cost proposal also be provided in an editable (e.g., MS Excel) format with calculation formulas intact to allow traceability of the cost proposal numbers across the prime and subcontractors. This includes the calculations and adjustments that are utilized to generate the Summary Costs from the source labor hours, labor costs, material costs, etc. input data. The Government prefers receiving cost data as Excel files; however, this is not a requirement. If the PDF submission differs from the Excel submission, the PDF will take precedence. Each copy must be clearly labeled with the DARPA BAA number, proposer organization, and proposal title (short title recommended).

The Government also strongly encourages that the proposer provide a detailed cost breakdown to include: (1) total program cost broken down by major cost items (direct labor, including labor categories; subcontracts; materials; other direct costs, overhead charges, etc.) and further broken down by tasks and phases (Phase 0, Phase 1, Phase 2, and Phase 3); (2) major program tasks by fiscal year; (3) an itemization of major subcontracts and equipment purchases; (4) an itemization of any information technology (IT) purchase, as defined in FAR 2.101; (5) a summary of projected funding requirements by month; and (6) the source, nature, and amount of any industry cost-sharing; and (7) identification of pricing assumptions of which may require incorporation into the resulting award instrument (e.g., use of Government Furnished Property/Facilities/Information, access to Government Subject Matter Expert/s, etc.).

The proposer should include supporting cost and pricing information in sufficient detail to substantiate the summary cost estimates and should include a description of the method used to estimate costs and supporting documentation.