DARPA-BAA-14-56.pdf

Broad Agency Announcement Atoms to Product (A2P)

Defense Sciences Office

DARPA-BAA-14-56

September 2, 2014

DARPA-BAA-14-56 A2P 2

Table of Contents I. Funding Opportunity Description

A. Introduction/Background B. Program Description/Scope C. Program Structure, Schedule and Milestones D. Technical Areas E. Meetings and Travel F. Deliverables G. Intellectual Property

II. Award Information A. Awards B. Fundamental Research

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

IV. Application and Submission Information A. Address to Request Application Package B. Content and Form of Application Submission C. Submission Dates and Times D. Funding Restrictions E. Other Submission Requirements

V. Application Review Information A. Evaluation Criteria B. Review and Selection Process

VI. Award Administration Information A. Selection Notices B. Administrative and National Policy Requirements C. Reporting

VII. Agency Contacts VIII. Other Information

A. Frequently Asked Questions (FAQs) B. Proposers’ Day C. Collaborative Efforts/Teaming

ATTACHMENT 1: EXECUTIVE SUMMARY SLIDE

ATTACHMENT 2: COST VOLUME CHECKLIST

ATTACHMENT 3: CONTRACTS COST ELEMENT SUMMARY SHEET

ATTACHMENT 4: GRANTS COST ELEMENT SUMMARY SHEET

DARPA-BAA-14-56 A2P 3

PART I: OVERVIEW INFORMATION

Federal Agency Name: Defense Advanced Research Projects Agency (DARPA), Defense Sciences Office (DSO)

Funding Opportunity Title: Atoms to Product (A2P)

Announcement Type: Initial Announcement

Funding Opportunity Number: DARPA-BAA-14-56

Catalog of Federal Domestic Assistance (CFDA) Number(s): 12.910 Research and Technology Development

Dates: All times listed herein are Eastern Time.

o Posting Date: September 2, 2014 o Proposers’ Days: September 9 and 11, 2014. See Section VIII.B.

o Abstract Due Date: September 23, 2014, 4:00 p.m.

o FAQ Submission Deadline: November 7, 2014, 4:00 p.m.

o Full Proposal Due Date: November 12, 2014, 4:00 p.m.

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

Agency Contacts o Technical POC: John Main, Program Manager, DARPA/DSO o Solicitation Email: A2P@darpa.mil o Solicitation Mailing Address:

DARPA/DSO

ATTN: DARPA-BAA-14-56

675 North Randolph Street Arlington, VA 22203-2114 o DSO Solicitation Website:

http://www.darpa.mil/Opportunities/Solicitations/DSO_Solicitations.aspx

Teaming Information: See Section VIII.C for further information.

Frequently Asked Questions (FAQ): FAQs for this solicitation may be viewed on the DSO Solicitation Website. See Section VIII.A for further information.

mailto:A2P@darpa.mil http://www.darpa.mil/Opportunities/Solicitations/DSO_Solicitations.aspx

DARPA-BAA-14-56 A2P 4

PART II: FULL TEXT OF ANNOUNCEMENT

I. Funding Opportunity Description The Defense Advanced Research Projects Agency (DARPA) is soliciting innovative research proposals in the area of processes and technology for assembly of systems, components, and materials at millimeter scale or larger from nanometer scale constituents. 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.

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

The following information is for those wishing to respond to this solicitation.

A. Introduction/Background The Atoms to Product (A2P) program seeks to make the use and application of nanometer scale material properties and devices a viable option to the system designer. To that end, the primary goal of the A2P program is to develop the technologies and processes required to assemble nanometer scale constituents into systems, components, or materials that are at least millimeter scale in size.

A secondary, yet key program interest is exploitation of unique nanometer scale characteristics.

The systems, components, or materials that result from the A2P assembly process will leverage unique material properties and/or the miniaturization, material and geometric heterogeneity, and ability to build in three dimensions made possible by assembly from the nanometer scale.

B. Program Description/Scope Assembly that begins at the nanometer scale offers benefits but also poses challenges. The obvious benefits include miniaturization, access to unique material properties, and the ability to leverage nanometer scale devices. Characteristics that are unique to the nanometer scale include quantized current-voltage behavior, dramatically lower melting points, higher specific heats, enormous surface-to-volume ratios that enable rapid temperature changes, manipulated reactivity enabled by placing different catalytic surfaces in close proximity, component miniaturization, and bandgaps/colors that change from bulk characteristics. While access to these characteristics would be beneficial to system designers, the challenge of incorporating nanometer scale features in millimeter scale or larger systems has thus far prevented widespread use.

Assembling nanometer scale constituents into millimeter scale products requires assembly across six length-scales, i.e., a finished product that is 1,000,000 times larger than the basic building http://www.fbo.gov/ http://www.grants.gov/

DARPA-BAA-14-56 A2P 5

blocks. It is illustrative to consider how assembly is accomplished over multiple length-scales in both naturally occurring and man-made systems.

In biological assemblies, many length-scales are crossed using a structural hierarchy. Lipid molecules self-assemble into cell walls, cells are assembled into organs, and organs combine to form organisms. In similar fashion, man-made assembly typically begins with millimeter-size and larger components (e.g., nuts, bolts, integrated circuits, wires) that are assembled into larger subsystems (e.g., displays, gearboxes, fans), which frequently fall in the 10-centimeter to meter-scale. Subsystems are then assembled into final products.

A recurring theme in both biological and non-biological assembly across multiple length-scales is that the size “jump” between each hierarchical level is rarely more than two or three length-scales (100-1000x). The root cause for this limit appears to be the fact that physically moving components into place during assembly is a time-consuming process. For example, if a 10 kHz baseline assembly rate (a high acoustic rate) is assumed, assembly of a 103 x 103 2D planar array of unit blocks requires less than two minutes, and assembly of a 104 x 104 2D planar array requires approximately 2½ hours – slow, but perhaps economically feasible in certain applications. Corresponding assembly times for a 3D volumetric array of unit blocks is revealing. A 103 x 103 x 103 array would take approximately 28 hours to assemble, while a 104 x 104 x 104 array would take 3.2 years. These assembly times are clearly stretching (28 hours) and breaking (3+ years) any sort of economic feasibility threshold.

After long periods of evolution, both natural and man-made systems have arrived at hierarchical approaches when faced with the challenge of assembly across many length-scales. The assembly scaling arithmetic also clearly indicates that the number of length-scales between each level of the hierarchy has a practical limit of no more than three, unless assembly rates much higher than 10 kHz are achieved. Combined, these two observations provide a framework for addressing the challenges posed by the A2P program.

The A2P program structure is defined by two hierarchical steps required to assemble across the six length-scales from the nanometer scale to the millimeter scale (Figure 1). The first step, Technical Area 1 (TA1), is called “Atoms to Micron” and focuses on assembly of (~10-9 m) constituents into micron scale (~10-6 m) components or materials. The second step, Technical Area 2 (TA2), is called “Micron to Millimeter” and addresses assembly of the micron-scale (~10-6 m) Atoms to Micron output into systems, components, or materials that are at least at the millimeter scale (~10-3 m).

10-9m 10-6m 10-3m 100m

Products Leveraging Nanoscale Characteristics

Conventional Fabrication and

Assembly

TA2

Micron to Millimeter

Assembly

TA1

Atoms to Micron

Assembly

FeedstockConstituent Atoms, Molecules, Nanodevices

Systems, Components, Materials

Figure 1. Technical Area Description

Numerous technologies and approaches currently exist to incorporate millimeter scale systems, DARPA-BAA-14-56 A2P 6 components, and materials in larger product scale systems. Hence, the A2P program’s successful development of technologies and processes to assemble nanometer scale constituents into millimeter scale systems, components, or materials will enable broad exploitation of nanometer scale characteristics in systems of all sizes.

C. Program Structure, Schedule and Milestones A2P has a four-year program structure that envisions multiple performers in each of the two technical areas described above, TA1 – Atoms to Micron and TA2 – Micron to Millimeter. As shown in Figure 2, TA1 is anticipated to have a duration of 42 months, while TA2 is anticipated to last 48 months. The program will be managed to ensure continuous exchange of technologies, information, design specifications, and interface requirements between the two groups of performers. Cooperation between the TA1 and TA2 performers will be benchmarked at 12, 24, 36 and 42 months through a delivery of TA1 products – referred to as “feedstocks” – to the TA2 performers to complete the demonstration of assembly across six full length-scales. Coincident with the delivery of feedstocks is a production demonstration by each TA1 performer.

Year 1 Year 2 Option - Year 3 Option - Year 4

1st Gen Feedstocks

2nd Gen Feedstocks

3rd Gen Feedstocks

4rd Gen Feedstocks

Demo Demo Demo Demo

Demo

TA

Pe rf or m er s

TA

Pe rf or m er s

Figure 2. Atoms to Product program structure

Each delivery of feedstocks drives an assembly demonstration by the TA2 performers. An initial TA2 assembly demonstration occurs at the program 12 month mark, where TA2 performers will provide their own generic micron scale feedstock to demonstrate assembly. Subsequently, demonstrations of 1st generation feedstock assembly occurs at 24 months, 2nd generation at 36 months, 3rd generation at 42 months, and the culminating demonstration of 4th generation feedstock assembly at 48 months.

Development of micron scale feedstocks will necessarily require development of interface technology so the feedstocks can be assembled, powered, cooled, controlled, and otherwise interfaced to both the substrate on which they are assembled and to other feedstocks in the assembly. A significant program-level activity will be development of structural, mechanical, thermal, electrical, and data interfaces for feedstock-to-substrate and feedstock-to-feedstock connections. Both TA1 and TA2 performers should anticipate participating in the development

DARPA-BAA-14-56 A2P 7

of the interface technology. DARPA reserves the right to standardize interfaces across performers if DARPA deems that to be in the best interest of the program.

Proposers should anticipate a significant exchange of planning and technical information between all performers. Close coordination between TA1 and TA2 performers is seen as crucial to the successful transfer of feedstocks from TA1 to TA2 performers and the assembly and operation of the feedstock-based, millimeter scale (or larger) products by the TA2 performers.

Proposers should provide a work plan for a base effort of 24 months. TA1 proposers may add an additional 18 months of options at the conclusion of the initial 24 month period. TA2 proposers may add an additional 24 months of options at the conclusion of the initial 24 month period.

This solicitation describes various deliverables and milestones with notional estimated due dates.

Proposals should include a detailed schedule that incorporates these deliverables/milestones and is consistent with the maturity of the proposed approaches. These schedules will be synchronized across performers, as required, and monitored/revised as necessary throughout the A2P program.

Small, independent proposers and non-traditional Government service providers are encouraged to apply to this solicitation – either on their own or in a teaming partnership with a firm who has experience in Government contracting. Section VIII.C provides information that may assist individuals and small firms to find more established firms with experience in the solicitation and contracting process.

D. Technical Areas DARPA seeks innovative proposals in two A2P technical areas, each covering assembly across three orders of magnitude in length. TA1 (Atoms to Micron) focuses on assembling nanometer scale constituents (~10-10-10-8 m, e.g., small molecules, atoms, nanodevices, etc.) into micron-sized (~10-6 m) “feedstocks”. TA2 (Micron to Millimeter) focuses on assembling the micron-sized (~10-6 m) feedstocks into at least millimeter scale (~10-3 m) systems, components, or materials, which serve as the next hierarchical assembly step with respect to size, complexity, and capability. The output of the TA2 processes should be amenable to assembly into larger systems using currently available techniques.

Proposers may submit to one or both technical areas; proposers choosing to submit to both may propose each technical area in separate proposals or combine both technical areas in one proposal. Specific objectives for each technical area are listed below. These objectives assume that TA1 and TA2 are independent. These objectives may not be appropriate in the case of a combined TA1/TA2 proposal, in which case it is incumbent upon the proposer to (1) identify the objectives that are not relevant in the proposer’s construct, and (2) provide alternate objectives which are congruent with program goals and the proposer’s work plan.

1. Technical Area 1 - Atoms to Micron Assembly The output of the Atoms to Micron assembly processes should exploit the benefits of assembly from the nanometer scale. Key examples are geometric and material heterogeneity, exploitation

DARPA-BAA-14-56 A2P 8

of nanometer scale material properties, miniaturization, and the ability to build in three dimensions – but there are many other characteristics worthy of exploitation.

Proposals to Technical Area 1 must address the following objectives:

Deliveries of micron scale feedstocks to TA2 performers at the conclusion of months 12, 24, 36, and 42.

Participation in feedstock interface development and Interface Control Document (ICD) development, complete by month 24.

Use case description, including a technical description of the nanometer scale characteristics or features intended for exploitation, and a technical description of the assembled micron-scale feedstock functionality(ies) being proposed, including quantitative performance metrics. The use case supports the selection of assembly technology and processes, and frames the system design parameters.

A technology development plan to achieve assembly of micron scale feedstocks from multiple nanometer scale constructs. Feedstocks that are uniquely enabled by assembly from the nanometer scale are of particular interest, as are feedstocks that are fully three dimensional, formed from multiple materials, and possess material and geometric heterogeneity.

A technology development plan to achieve an assembly rate of 10,000 constituents per second, or demonstrate through modeling that the proposed process or technology is scalable to 10,000 constituents per second, given reasonable time and resources.

Technical plan describing testing technology and procedures to validate that the desired nanometer scale characteristics are preserved in the assembled micron-size feedstocks.

A plan to develop strawman designs for a set of feedstock units that broadly represents the design space.

2. Technical Area 2 - Micron to Millimeter Assembly Technical Area 2 will focus on assembling the micron scale feedstocks delivered by TA1 performers into at least millimeter scale components, subsystems, or materials. TA2 represents the next hierarchical assembly step with respect to size, complexity, and capability.

Proposals to Technical Area 2 must address the following objectives:

Assembly demonstration using generic micron scale feedstocks at the conclusion of month 12.

Assembly demonstrations using the micron scale feedstocks delivered by TA1 performers at the conclusion of months 24, 36, 42, and 48.

A technology development plan to achieve assembly of millimeter scale systems, components, or materials from micron scale feedstocks.

A technology development plan to develop feedstock-to-substrate and feedstock-to-feedstock interface technology that will enable structural, mechanical, thermal, and electrical connections.

Leadership of feedstock interface development and Interface Control Document (ICD) development, complete by month 24.

A technology development plan to achieve an assembly rate of 1,000 micron scale feedstocks per second, or demonstrate through modeling that the proposed process or

DARPA-BAA-14-56 A2P 9

technology is scalable to assembling 1,000 micron scale feedstocks per second, given reasonable time and resources.

Detailed technical and engineering plan describing practical and scalable pathway to economic production objectives for TA2, including incorporation of the TA2 output into systems that utilize other available standardized parts.

E. Meetings and Travel All performers should plan on participating in the following program-level events at the locations specified below.

Monthly Program Update Telecon (Full period of performance) Monthly Interface Committee Telecons (Months 1-24) Quarterly Interface Committee Meetings (Months 1-24, various performer locations) Semi-annual PI Meetings (Months 1-42, DARPA and various performer locations) TA1 Capstone Meeting (Month 42, DARPA) TA2 Capstone Meeting (Month 48, DARPA)

F. Deliverables The list below describes the required deliverables for each technical area. These deliverables are also required for combined TA1/TA2 performers.

TA1 – Feedstock deliveries at months 12, 24, 36, 42 TA1 – Fabrication demonstrations at months 12, 24, 36, 42 TA1 – Quarterly Technical Report TA2 – Assembly demos at months 12, 24, 36, 42, 48 TA2 – Quarterly Technical Report All performers – reporting as outlined in Section VI.C.

G. Intellectual Property Proposers who propose unpatentable feedstock interface technology that was developed entirely at private expense must list such specific technology in their proposal and explicitly agree to allow A2P program participants to access the technology for research and development purposes for the duration of the program. To facilitate this exchange, the proposers must agree to the inclusion in any resultant contract, grant or agreement of specifically negotiated license rights1 to the interface technology for the duration of the program. Any such license will limit the Government’s rights to use the technology for A2P program purposes only and to share the interface technology only with parties directly associated with the execution and evaluation of the A2P program. Parties include DARPA, DARPA support contractors,2 Air Force Research Laboratory, Department of Interior, NASA, and A2P program participants on an as-needed basis.

Likewise, proposers must list in their proposal any patentable feedstock interface technology that

1 See DFARS 252.227-7013 (b)(4) for the definition of “specifically negotiated license rights” as used herein.

2 DARPA support contractors are bound by appropriate non-disclosure agreements.

DARPA-BAA-14-56 A2P 10

was developed at private expense and explicitly agree to negotiate a license that permits parties directly associated with the execution and evaluation of the A2P program to access the technology for research and development purposes for the duration of the program. Parties include DARPA, DARPA support contractors, Air Force Research Laboratory, Department of Interior, NASA, and A2P program participants on an as-needed basis. See Section VI.B.1 for further information on Intellectual Property.

Proposals that do not include the agreement to provide negotiated licenses as discussed above will be considered non-responsive to the BAA and will not be reviewed.

II. Award Information A. Awards

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

The Government reserves the right to:

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

make awards without discussions with proposers;

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

segregate portions of resulting awards into pre-priced options;

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

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

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

Proposals identified for negotiation may result in a procurement contract, grant, cooperative agreement or other transaction (OT) depending upon the nature of the work proposed, the required degree of interaction between parties, and other factors.

In all cases, the Government contracting officer shall have sole discretion to select award instrument type and to negotiate all instrument terms and conditions with selectees. Proposers are advised that if they propose grants or cooperative agreements, 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

DARPA-BAA-14-56 A2P 11

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.

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 may be met by proposers intending to perform fundamental research. The Government does not anticipate applying publication restrictions of any kind to individual awards for fundamental research that may result from this BAA. Notwithstanding this statement of expectation, the Government is not prohibited from considering and selecting research proposals that, while perhaps not qualifying as fundamental research under the foregoing definition, still meet the BAA criteria for submissions. If proposals are selected for award that offer other than a fundamental research solution, the Government will either work with the proposer to modify the proposed statement of work to bring the research back into line with fundamental research or else the proposer will agree to restrictions in order to receive an award.

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 subawardee may be conducting contracted fundamental research. In those cases, it is the prime contractor’s responsibility to explain in its proposal why its subawardee’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 subawardees, of information developed under this contract or contained in the reports to be furnished pursuant to this contract without prior written approval of

DARPA-BAA-14-56 A2P 12

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 subawardee 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 DARPA/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, email 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 via email to prc@darpa.mil or by mail at 675 North Randolph Street, Arlington VA 22203-2114, telephone (571) 218-4235. Refer to the following for link for information about DARPA’s public release process:

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

III. Eligibility Information A. Eligible Applicants

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

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; and (2) FFRDCs must provide a letter on official letterhead from their sponsoring organization citing the specific authority establishing their eligibility to propose to Government solicitations and compete with industry, and their compliance with the associated FFRDC sponsor agreement and terms and conditions. This information is required for FFRDCs proposing to be prime contractors or subawardees. 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 mailto:prc@darpa.mil

DARPA-BAA-14-56 A2P 13

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

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

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 subawardees, 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, subawardees, 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 via email to the BAA email address before time and effort are expended in preparing a proposal and mitigation plan.

DARPA-BAA-14-56 A2P 14

C. Cost Sharing/Matching Cost sharing is not required; however, it will be carefully considered where there is an applicable statutory condition relating to the selected funding instrument (e.g., OTs under the authority of

10 USC § 2371).

IV. Application and Submission Information A. Address to Request Application Package

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

B. Content and Form of Application Submission

1. Abstract Information

Proposers are highly encouraged to submit an abstract in advance of a full proposal to minimize effort and reduce the potential expense of preparing an out of scope proposal. The abstract provides a synopsis of the proposed project, including brief answers to the following questions:

What is the proposed work attempting to accomplish or do?

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

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

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

DARPA will respond to abstracts with a statement as to whether DARPA is interested in the idea. DARPA will attempt to reply to abstracts via email 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. Abstracts will be reviewed in the order they are received. 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.

Abstract Format: Abstracts shall not exceed a maximum of 5 pages including all figures, tables, and charts. The page limit does not include the cover sheet, an official transmittal letter (optional), or executive summary slide.

All pages shall be formatted for printing on 8-1/2 by 11 inch paper with 1-inch margins and font size not smaller than 12 point. Font sizes of 8 or 10 point may be used for figures, tables, and charts. Document files must be in .pdf, .ppt, .pptx, .odx, .doc, .docx, .xls, or .xlsx formats. Submissions must be written in English.

http://www.grants.gov/

DARPA-BAA-14-56 A2P 15

Abstracts must include the following components:

Cover Sheet: Provide the following information:

(1) Label: “Abstract”

(2) BAA number (DARPA-BAA-14-56)

(3) Technical Area(s) (TA1, TA2, or TA1+TA2)

(4) Abstract title

(5) Lead organization name

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

(7) Administrative POC including name, mailing address, telephone number, and email address

(8) Estimated total cost

(9) Estimated period of performance

(10) Primary subcontractors

(11) Data Universal Numbering System (DUNS) number3

(12) Taxpayer identification number4

(13) Commercial and Government Entity (CAGE) code5

Executive Summary Slide: Provide a one slide summary in PowerPoint that effectively and succinctly conveys the main objective, key innovations, expected impact, and other unique aspects of the proposed project. A slide template is provided as Attachment 1 to the BAA posted at http://www.fbo.gov/.

Goals and Impact: Describe what is being proposed and what difference it will make (qualitatively and quantitatively) if successful. Describe the innovative aspects of the project in the context of existing capabilities and approaches, clearly delineating the relationship of this work to any other projects from the past and present.

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

Capabilities/Management Plan: Provide a brief summary of expertise of the team, including subcontractors and key personnel. Identify a principal investigator for the project and include a description of the team’s organization including roles and responsibilities.

Cost and Schedule: Provide a cost estimate for resources over the proposed timeline of the project, broken down by year. Provide cost estimates for each subcontractor (may be

3 The DUNS number is used as the Government's contractor identification code for all procurement-related activities. Go to http://fedgov.dnb.com/webform/index.jsp to request a DUNS number (may take at least one business day). See Section VI.B.7. for further information.

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

5 A CAGE Code identifies companies doing or wishing to do business with the Federal Government. See Section VI.B.7 for further information.

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

DARPA-BAA-14-56 A2P 16

a rough order of magnitude).

2. Full Proposal Information Proposers are encouraged to submit concise, but descriptive, proposals. Specific examples of problems, approaches, or goals are preferred to qualitative generalities. The Government will not consider pages in excess of the page count limitation, as described herein. Proposals with fewer than the maximum number of pages will not be penalized. Information incorporated into Volume 2: Cost Proposal which is not related to cost will not be considered.

Proposals consist of Volume 1: Technical and Management Proposal (including mandatory subsection xiii (Administrative and National Policy Requirements) and Volume 2: Cost Proposal.

All pages in both the Technical and Management Proposal and the Cost Proposal shall be formatted for printing on 8-1/2 by 11-inch paper with 1-inch margins, single-line spacing, and a font size not smaller than 12 point. Font sizes of 8 or 10 point may be used for figures, tables, and charts in the Technical and Management Proposal only. Document files must be in .pdf, .odx, .ppt, .pptx, .doc, .docx, .xls, or .xlsx formats. Submissions must be written in English.

Proposals not meeting the format prescribed herein may not be reviewed.

a. Volume 1: Technical and Management Proposal The maximum page count for Volume 1 is 12 pages, including all figures, tables and charts but not including the cover sheet or table of contents. This page limit applies to all proposals regardless of the number of Technical Areas addressed. An official transmittal letter is mandatory and is not included in the page count. Subsection xiii (Administrative and National Policy Requirements) does not count against the page limit and is mandatory.

Volume 1 must include the following components:

i. Cover Sheet: Include the following information.

(1) Label: “Proposal: Volume 1”

(2) BAA number (DARPA-BAA-14-56)

(3) Technical Area(s) (TA1, TA2, or TA1+TA2)

(4) Proposal title

(5) Proposer’s reference number, if any

(6) Lead organization (prime contractor) name

(7) Type of organization, selected from the following categories: Large

Business, Small Disadvantaged Business, Other Small Business, HBCU, MI, Other Educational, or Other Nonprofit

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

(9) Administrative POC including name, mailing address, telephone number, and email address

DARPA-BAA-14-56 A2P 17

(10) Total proposed cost separated by basic award and any proposed option(s)

(11) Award instrument requested: procurement contract (specify type), grant, cooperative agreement, or OT.6

(12) Place(s) and period(s) of performance

(13) List other team member(s) (subcontractors and consultants), if applicable, including Technical POC name, organization and organization type

(14) Date proposal was prepared

(15) Proposal validity period (minimum 120 days)

ii. Official Transmittal Letter

iii. Table of Contents

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

What is the proposed work attempting to accomplish or do?

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

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

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

The executive summary should include a description of the key technical challenges, a concise review of the technologies proposed to overcome these challenges and achieve the project’s goal, and a clear statement of the novelty and uniqueness of the proposed work.

Executive Summary Slide: Provide a one slide summary in PowerPoint that effectively and succinctly conveys the main objective, key innovations, expected impact, and other unique aspects of the proposed project. A slide template is provided as Attachment 1 to the BAA posted at http://www.fbo.gov/.

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

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

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

http://www.darpa.mil/Opportunities/Contract_Management/Contract_Management.aspx

DARPA-BAA-14-56 A2P 18

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

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

viii. Personnel, Qualifications, and Commitments: List key personnel, showing a concise summary of their qualifications, discussion of previous accomplishments, and work in this or closely related research areas.

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

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

A general description of the objective.

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

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

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

A definition of all deliverables (e.g., data, reports, software) to be provided to the

Government in support of the proposed tasks/subtasks.

xi. Schedule and Milestones: Provide a detailed schedule showing tasks (task name, duration, work breakdown structure element as applicable, performing organization), milestones, and the interrelationships among tasks. The task structure must be consistent with that in the SOW. Measurable milestones should be clearly articulated and defined in

DARPA-BAA-14-56 A2P 19

time relative to the start of the project.

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

xiii. Administrative and National Policy Requirements: This section is mandatory and must include ALL of the following components. If a particular subsection is not applicable, state “NONE” (i.e., do not just delete the subsection or leave it blank).

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

Non-US?

Individual Name

Role (Prime, Subcontractor or Consultant)

Organization Org. Ind.

FFRDC

or

Govt?

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

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

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

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

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

If any of the proposed team members (individual or organization) is currently

DARPA-BAA-14-56 A2P 20

performing SETA or similar support, furnish the following information:

Prime Contract Number

DARPA Technical Office supported

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

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

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

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

NONCOMMERCIAL

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

Summary of Intended Use in the Conduct of the Research

Basis for Assertion

Asserted Rights

Category

Name of Person Asserting Restrictions

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

COMMERCIAL

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

Summary of Intended Use in the Conduct of the Research

Basis for Assertion

Asserted Rights

Category

Name of Person Asserting Restrictions

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

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