DARPA-BAA-15-05_Amendment_01_25Nov2014.pdf

Broad Agency Announcement

Biological Technologies EZ

BIOLOGICAL TECHNOLOGIES OFFICE

DARPA-BAA-15-05

6 November 2014

(Amendment No. 01: As amended through 25 November 2015)

DARPA-BAA-15-05

TABLE OF CONTENTS

Part One: Overview Information

Part Two: Full Text of Announcement

1. FUNDING OPPORTUNITY DESCRIPTION

2. AWARD INFORMATION

3. ELIGIBILITY INFORMATION

3.1 ELIGIBLE APPLICANTS

3.1.1 Federally Funded Research and Development Centers (FFRDCs) and Government Entities

3.1.2 Non-U.S. Organizations

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

4. APPLICATION AND SUBMISSION INFORMATION

4.1 ADDRESS TO REQUEST APPLICATION PACKAGE

4.2. CONTENT AND FORM OF APPLICATION SUBMISSION

4.2.1 Security and Proprietary Issues

4.2.2 Proposal Abstract Information

4.2.3 Proposal Information

4.2.4 Restrictive Markings on Proposals

4.3 FORMATTING CHARACTERISTICS

4.3.1 Proposal Abstract Format

4.3.2 Proposal Format

4.4 SUBMISSION DATES AND TIMES

4.4.1 Proposal Abstract Submission Deadline

4.4.2 Full Proposal Submission Deadline

4.5 FUNDING RESTRICTIONS

5. APPLICATION REVIEW INFORMATION

5.1 EVALUATION CRITERIA

5.1.1 Overall Scientific and Technical Merit

5.1.2 Potential Contribution and Relevance to the DARPA Mission

5.1.3 Cost Realism

5.2 REVIEW AND SELECTION PROCESS

6. AWARD ADMINISTRATION INFORMATION

6.1 SELECTION NOTICES

6.2 ADMINISTRATIVE AND NATIONAL POLICY REQUIREMENTS

6.2.1 Human Subjects Research and/or Animal Use

6.2.2 Export Control

6.2.3 Employment Eligibility Verification

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

6.2.5 Reporting Executive Compensation and First-Tier Subcontract Awards

6.2.6 Updates of Information Regarding Responsibility Matters

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

6.2.8 Controlled Unclassified Information (CUI) on Non-DoD Information Systems . 22

6.2.9 Safeguarding of Unclassified Controlled Technical Information

6.3 REPORTING

6.4 ELECTRONIC SYSTEMS

6.4.1 Representations and Certifications

6.4.2 Wide Area Work Flow (WAWF)

6.4.3 i-EDISON

7. AGENCY CONTACTS

8. OTHER INFORMATION

8.1 INTELLECTUAL PROPERTY

8.1.1 Procurement Contract Proposers

8.1.2 Non-Procurement Contract Proposers - Noncommercial and Commercial Items (Technical Data and Computer Software)

8.1.3 All Proposers – Patents

8.1.4 All Proposers-Intellectual Property Representations

9. APPENDIX 1 – Volume II sample template

Part One: Overview Information

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

• Funding Opportunity Title – Biological Technologies EZ

• Announcement Type – Initial

• Funding Opportunity Number – DARPA-BAA-15-05

• Catalog of Federal Domestic Assistance Numbers (CFDA) – Not applicable

• Dates o Posting Date: 6 November 2014 o Open Period: 6 November 2014 through 6 November 2015 o Proposal Abstracts will be submitted on a rolling basis until 28 August 2015, 4:00pm ET o Full Proposals will be submitted on a rolling basis until 6 November 2015, 4:00pm ET

• This announcement seeks revolutionary research ideas for topics not being addressed by ongoing BTO programs or other published solicitations.

• Anticipated individual awards - Multiple awards are anticipated.

• Types of instruments that may be awarded – Other Transactions or fixed price procurement contracts.

• Agency contact o Points of Contact The BAA Coordinator for this effort may be reached at:

DARPA-BAA-15-05@darpa.mil

DARPA/BTO

ATTN: DARPA-BAA-15-05

675 North Randolph Street Arlington, VA 22203-2114 mailto:DARPA-BAA-15-05@darpa.mil

Part Two: Full Text of Announcement

1. FUNDING OPPORTUNITY DESCRIPTION

The Defense Advanced Research Projects Agency (DARPA) is soliciting innovative research proposals of interest to the Biological Technologies Office (BTO). Of particular interest are those proposals from entities (both small and large business) that have never received Government funding, or who do not normally propose to Government solicitations.

The mission of BTO is to leverage biology as a technology to solve intractable problems. BTO seeks to leverage advances in engineering and computer science to drive and reshape biotechnology for national security. To achieve this vision, BTO is interested in a range of emerging technical areas, including but not limited to human-machine interfaces, human performance, infectious disease, and synthetic biology. The overarching goal is to develop, demonstrate, and transition biologically-based technologies as part of the national security toolkit.

Proposed research must enable revolutionary advances in science, technologies, or systems.

Specifically excluded is research that primarily results in evolutionary improvements to the existing state of the art. BTO seeks unconventional approaches that are outside the mainstream, challenge assumptions, and have the potential to radically change established practice. Efforts should be creative and agile both in terms of the technologies proposed and in the structure of the approach.

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

2. AWARD INFORMATION

Multiple awards are possible. 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 select only portions of proposals for award.

Awards under this BAA will be made to proposers on the basis of the evaluation criteria listed below in Section 5 to provide overall value to the Government. The Government reserves the right to remove proposers from award consideration should the parties fail to reach agreement on award terms, conditions and cost/price within a reasonable time or the proposer fails to timely provide requested additional information.

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. 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 http://www.darpa.mil/Our_Work/BTO/ defense. Any award resulting from such a determination will include a requirement for DARPA permission before publishing any information or results on the program. For more information on publication restrictions, see the section below on Fundamental Research.

Fundamental Research

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

The Directive defines fundamental research as follows:

“Fundamental research means basic or applied research in science and engineering, the results of which ordinarily are published and shared broadly within the scientific community, as distinguished from proprietary research and from industrial development, design, production, and product utilization the results of which ordinarily are restricted for proprietary or national security reasons.

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

For certain research projects, it may be possible that although the research being performed by the prime contractor is restricted research, a subcontractor may be conducting contracted fundamental research. In those cases, it is the prime contractor’s responsibility to explain in their proposal why its subcontractor’s effort is contracted fundamental research.

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

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

When submitting material for written approval for open publication, the contractor/awardee must submit a request for public release to the PRC and include the following information: (1)

Document Information: document title, document author, short plain-language description of technology discussed in the material (approx. 30 words), number of pages (or minutes of video) and document type (e.g., briefing, report, abstract, article, or paper); (2) Event Information: event type (conference, principal investigator meeting, article or paper), event date, desired date for DARPA's approval; (3) DARPA Sponsor: DARPA Program Manager, DARPA office, and contract number; and (4) Contractor/Awardee's Information: POC name, e-mail and phone. Allow four weeks for processing; due dates under four weeks require a justification. Unusual electronic file formats may require additional processing time. Requests may be sent either by-mail to prc@darpa.mil or via 675 North Randolph Street, Arlington VA 22203-2114, telephone (571) 218-4235. Refer to the following for link for information about DARPA’s public release process:

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

3. ELIGIBILITY INFORMATION

This BAA is open to all eligible sources.

3.1 ELIGIBLE APPLICANTS

3.1.1 Federally Funded Research and Development Centers (FFRDCs) and Government Entities

DARPA will consider eligibility submissions on a case-by-case basis; however, the burden to prove eligibility for all team members rests solely with the proposer.

3.1.2 Non-U.S. Organizations

Non-U.S. organizations 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.

3.2 Ethical Considerations and Organizational Conflicts of Interest

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 mailto:prc@darpa.mil 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 DARPA-BAA-15-05@darpa.mil before time and effort are expended in preparing a proposal and mitigation plan.

4. APPLICATION AND SUBMISSION INFORMATION

4.1 ADDRESS TO REQUEST APPLICATION PACKAGE

This solicitation contains all information required to submit a proposal. No additional forms, kits, or other materials are needed. No additional information is available, except as provided at https://www.fbo.gov, nor will a formal Request for Proposal (RFP) or additional solicitation regarding this announcement will be issued. Requests for the same will be disregarded.

4.2. CONTENT AND FORM OF APPLICATION SUBMISSION

4.2.1 Security and Proprietary Issues

The Government anticipates proposals submitted under this BAA will be unclassified. However, if a proposal is submitted as “Classified National Security Information” as defined by Executive Order 13526, then the information must be marked and protected as though classified at the appropriate classification level and then submitted to DARPA for a final classification determination.

Security classification guidance via a DD Form 254, “DoD Contract Security Classification Specification,” will not be provided at this time, since DARPA is soliciting ideas only. After reviewing the incoming proposals, if a determination is made that the award instrument may result in access to classified information; a DD Form 254 will be issued and attached as part of the award.

4.2.2 Proposal Abstract Information

Proposers are strongly encouraged to submit proposal abstracts prior to submitting full proposals. This procedure is intended to minimize unnecessary effort in proposal preparation and review. DARPA will acknowledge receipt of the submission and assign a control number that should be used in all further correspondence regarding the submission.

https://www.fbo.gov/

DARPA will respond to abstracts with a statement as to whether DARPA is interested in the idea. DARPA will attempt to reply to abstracts in writing within two weeks of receipt. If DARPA does not recommend the proposer submit a full proposal, DARPA will provide 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.

For Proposers Submitting Proposal Abstracts through DARPA’s BAA Submission Portal:

Abstracts sent in response to DARPA-BAA-15-05 may be submitted via DARPA’s BAA Website (https://baa.darpa.mil). Visit the website to complete the two-step registration process.

Submitters will need to register for an Extranet account (via the form at the URL listed above) and wait for two separate e-mails containing a username and temporary password. After accessing the Extranet, submitters may then create an account for the DARPA BAA website (via the “Register your Organization” link along the left side of the homepage), view submission instructions, and upload/finalize the abstract.

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

Proposers using the DARPA BAA Website may encounter heavy traffic on the submission deadline date; it is highly advised that submission process be started as early as possible.

For Proposers Submitting Abstracts as Hard Copies/On CD-ROM

Proposers who do not wish to submit abstracts to the DARPA BAA Website may submit the documents via hard copy/CD-ROM. Proposers must submit an original hardcopy and one (1) electronic copy of the abstract in PDF (preferred) on a CD-ROM to the mailing address listed in Part I. Each copy must be clearly labeled with DARPA-BAA-15-05, proposer organization, technical point of contact, and proposal title (short title recommended).

4.2.3 Proposal Information

Proposers are strongly encouraged to submit proposal abstracts prior to submitting full proposals.

The typical proposal should express a consolidated effort in support of one or more related technical concepts or ideas. Disjointed efforts should not be included into a single proposal.

For Proposals Being Submitted through DARPA’s BAA Submission Portal:

Full proposals sent in response to DARPA-BAA-15-05 may be submitted via DARPA’s BAA Website (https://baa.darpa.mil). Visit the website to complete the two-step registration process.

Submitters will need to register for an Extranet account (via the form at the URL listed above) and wait for two separate e-mails containing a username and temporary password. After https://baa.darpa.mil/ mailto:BAAT_Support@darpa.mil https://baa.darpa.mil/ accessing the Extranet, submitters may then create an account for the DARPA BAA website (via the “Register your Organization” link along the left side of the homepage), view submission instructions, and upload/finalize the proposal.

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

Proposers using the DARPA BAA Website may encounter heavy traffic on the submission deadline date; it is highly advised that submission process be started as early as possible.

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

Proposers who do not wish to submit full proposals to the DARPA BAA Website may submit the documents via hard copy/CD-ROM. Proposers must submit an original hardcopy and one (1) electronic copy of the proposal in PDF (preferred) on a CD-ROM to the mailing address listed in Part I. Each copy must be clearly labeled with DARPA-BAA-15-05, proposer organization, technical point of contact, and proposal title (short title recommended).

For All:

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

BAA Administrator E-mail: DARPA-BAA-15-05@darpa.mil

DARPA/BTO

ATTN: DARPA-BAA-15-05

675 North Randolph Street Arlington, VA 22203-2114 Office Website: http://www.darpa.mil/Our_Work/BTO/ Solicitations Page: http://www.darpa.mil/Opportunities/Solicitations/BTO_Solicitations.aspx

DARPA intends to use electronic mail for correspondence regarding DARPA-BAA-15-05.

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

4.2.4 Restrictive Markings on Proposals

All proposals should clearly indicate limitations on the disclosure of their contents. Proposers who include in their proposals data that they do not want disclosed to the public for any purpose, or used by the Government except for evaluation purposes, shall-

(1) Mark the title page with the following legend:

mailto:BAAT_Support@darpa.mil mailto:BAAT_Support@darpa.mil mailto:DARPA-BAA-15-05@darpa.mil http://www.darpa.mil/Our_Work/BTO/ http://www.darpa.mil/Opportunities/Solicitations/BTO_Solicitations.aspx

This proposal includes data that shall not be disclosed outside the Government and shall not be duplicated, used, or disclosed-in whole or in part-for any purpose other than to evaluate this proposal. If, however, a contract is awarded to this proposer as a result of, or in connection with, the submission of this data, the Government shall have the right to duplicate, use, or disclose the data to the extent provided in the resulting contract. This restriction does not limit the Government's right to use information contained in this data if it is obtained from another source without restriction. The data subject to this restriction are contained in sheets [insert numbers or other identification of sheets]; and

(2) Mark each sheet of data it wishes to restrict with the following legend:

Use or disclosure of data contained on this sheet is subject to the restriction on the title page of this proposal.

Markings like "Company Confidential" or other phrases that may be confused with national security classifications shall be avoided.

4.3 FORMATTING CHARACTERISTICS

4.3.1 Proposal Abstract Format

Proposers are strongly encouraged to submit an abstract in advance of a proposal to minimize effort and reduce the potential expense of preparing an out of scope proposal. The abstract is a concise version of the proposal comprising a maximum of 2 pages, including the cover sheet and all figures, tables, and charts. All pages shall be formatted for printing on 8-1/2 by 11 inch paper with font size not smaller than 12 point. Smaller font sizes may be used for figures, tables, and charts. Submissions must be written in English.

Abstracts must include the following components:

A. Cover Sheet: Include the administrative and technical points of contact (name, address, phone, fax, email, lead organization). Also include the BAA number, title of the proposed project, primary subcontractors, estimated cost, duration of the project, and the label “ABSTRACT.”

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

1. From a big picture point of view, what are you trying to do and why is it transformative?

2. How is it done today? And what are the limitations?

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

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

5. What are the key technical challenges and how do you plan to overcome these?

6. How much will it cost and how long will it take?

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

DARPA will respond (usually within 30 calendar days) to abstracts providing feedback and indicating whether, after preliminary review, there is interest within BTO for the proposed work.

Proposals may be submitted irrespective of comments or feedback received in response to the abstract. Proposals are reviewed without regard to feedback given as a result of abstract review.

4.3.2 Proposal Format

4.3.2.1 Volume I, Technical and Management Proposal

The maximum page count for Volume 1 is 20 pages, including all figures, tables and charts but not including the cover sheet, table of contents or appendices. A submission letter is optional and is not included in the page count. Volume I should include the following components:

Section I. Administrative

A. Cover Sheet (LABELED “PROPOSAL: VOLUME I”): to include the BAA number (DARPA-BAA-15-05), technical area; the name of the organization which would receive the contract (prime contractor); indicate if the organization is categorized as “small disadvantaged business”, “other small business”, or “nontraditional defense contractor”; the names of any subcontractor or team member organizations and their categorization; proposal title; a technical and administrative point of contact (which can be the same person), and their title, mailing address, telephone, and e-mail; total proposed cost; the type of award instrument requested (Other Transactions such as a Technology Investment Agreement or an Other Transactions for Prototype, or a fixed price procurement contract ); proposal validity period;

place and period of performance; DUNS number; Taxpayer ID number; CAGE code.

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

Taxpayer ID information: (http://www.irs.gov/Individuals/International-Taxpayers/Taxpayer- Identification-Numbers-(TIN));

CAGE code information: (http://www.dlis.dla.mil/CAGETier3/faqs.asp);

Sample award instruments are available at:

B. Official Transmittal Letter

Section II. Detailed Proposal Information

A. Lay Summary (200 word limit): Clearly and succinctly describe in lay terms what you are trying to achieve and why it is transformative.

http://www.dnb.com/get-a-duns-number.html http://www.irs.gov/Individuals/International-Taxpayers/Taxpayer-Identification-Numbers-(TIN) http://www.irs.gov/Individuals/International-Taxpayers/Taxpayer-Identification-Numbers-(TIN) http://www.dlis.dla.mil/CAGETier3/faqs.asp

B. Goals and Impact: Clearly describe from a technical point of view what is being proposed and why it is transformative (qualitatively and quantitatively), including answers to the following questions:

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

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

• What is innovative in your approach?

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

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

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

C. Statement of Work (SOW): Provide a SOW, outlining the work activities (i.e. tasks and subtasks), deliverables, and timeline that must be executed to successfully achieve the goals of the proposed project. The SOW should provide a detailed task breakdown, citing specific tasks and their connection to the interim milestones and program metrics.

Each phase of the program should be separately defined. The SOW must not include proprietary information.

For each task/subtask, provide:

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

• Total cost and timeline of each task/subtask.

• Identification of the primary organization responsible for task execution

(prime contractor, subcontractor(s), consultant(s), by name).

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

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

D. Management Plan: Provide a summary of expertise of the team, including any subcontractors, and key personnel who will be doing the work. Resumes count against the proposal page count. Identify a principal investigator for the project. Provide a clear description of the team’s organization including an organization chart that includes, as applicable: the programmatic relationship of team members; the unique capabilities of team members; the task responsibilities of team members, the teaming strategy among the team members; and key personnel with the amount of effort to be expended by each person during each year. Provide a detailed plan for coordination including explicit guidelines for interaction among collaborators/subcontractors of the proposed effort. Include risk management approaches. Describe any formal teaming agreements that are required to execute this program.

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

F. Cost Summary: In addition, provide a table (see table 1 below, does not count as part of page count) describing your work breakdown structure (WBS) in the following format:

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

Columns should list:

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

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

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

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

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

Table 1

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

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

All proposers, including FFRDCs, must submit the following:

Cover sheet to include: the BAA number (DARPA-BAA-15-05), technical area; the name of the organization which would receive the contract (prime contractor); indicate if the organization is categorized as “small disadvantaged business”, “other small business”, or “nontraditional defense contractor”; the names of any subcontractor or team member organizations and their categorization; proposal title; a technical and administrative point of contact (which can be the same person), and their title, mailing address, telephone, and e-mail;

total proposed cost; the type of award instrument requested (Other Transactions such as a Technology Investment Agreement or an Other Transactions for Prototypes, or a fixed price procurement contract); proposal validity period; place and period of performance; DUNS number (if applicable); Taxpayer ID number; and CAGE code (if applicable).

The remainder of the cost section should delineate the proposed costs by task as listed in the SOW. For each task, the cost should be explained by major cost category (direct labor;

materials; travel; other direct costs; overhead charges, etc.), including the basis of estimate and its rationale should be supplied for each category. The basis of estimate should explain how you arrived at the proposed cost and include any supporting documentation such as vendor quotes, engineering estimates, etc.

This information must be supplied for ALL team members, including any subcontractors, consultants, etc. Overall cost should also be broken down by month relative to the award date (i.e., award+1 month, +2 months, etc.). The source, nature, and amount of any cost-sharing should be separately documented.

Senior Mid Junior Admin Begin End

Major Task 1.1 Minor Task 1.1.1 Minor Task 1.1.2

Major Task 1.2

Travel Hardware

Phase 2

Major Task 2.1

Total Cost Hours Date

Phase 1

NOTE: for IT and equipment purchases, include a letter stating why the proposer cannot provide the requested resources from its own funding.

A sample table for completing the cost proposal is included in Appendix 1.This table should be completed by prime contractors and subcontractors, as applicable.

4.3.2.3 Available Contract Types Include Innovative Contracting Arrangements (Other Transactions) and Traditional Procurement Contracts

DARPA obtains its research support through a variety of legal instruments and flexible arrangements, including the use of Other Transactions (“OTs”). OTs are potentially applicable to a wide variety of DARPA programs. They are particularly suited to support the development of dual-use technologies (those with commercial nonmilitary potential as well as military applications) or when participants are largely from commercial industry. Because OTs are not traditional procurement contracts, DARPA is not required to include the traditional FAR and DFARS clauses in these arrangements, but is free to negotiate provisions that are mutually agreeable to both the Government and the company entering into the agreement. In their submissions, Proposers must choose the preferred contract type for its project and may opt for a form of OT or a fixed price procurement contract.

The two most common types of Other Transactions are Technology Investment Agreements (“TIA”) and Other Transactions for Prototypes (“OTs for Prototypes”). TIAs are typically used for situations where the primary goal of the agreement is to perform a research effort, even if items are required to be created to test the credibility of the research. On the other hand, OTs for Prototypes are used when the main focus of the agreement is to create a prototype that the Government may acquire, even if significant research is necessary to create the prototype. Other types of OTs will be considered depending on the nature of the offer, the company’s status, or other related factors. In addition, a sample TIA agreement, a sample OT for Prototypes, and a sample procurement contract are provided at http://www.darpa.mil/Opportunities/Solicitations/BTO_Solicitations.aspx.

Because a TIA is not considered a procurement instrument, it is not subject to procurement regulations such as the Federal Acquisition Regulation (FAR) or any of its supplements. Instead, TIAs are issued in accordance with 10 U.S.C. 2371 and Part 37 of the Department of Defense Grant and Agreement Regulations (DoDGARs). TIAs are assistance instruments used to stimulate or support research designed to: (a) reduce barriers to commercial firm’s participation in defense research, to give the Department of Defense (“DoD”) access to the broadest possible technology and industrial base; (b) promote new relationships among performers in both the defense and commercial sectors of that technology and industrial base; and (c) stimulate performers to develop, use, and disseminate improved performance and contracting practices. As a matter of DoD policy, a TIA may be awarded only when one or more for-profit firms are to be involved in either in the (1) performance of the research project; or (2) the commercial application of the research results (i.e. commercial transition partner). In addition, the statute requires that, to the maximum extent practicable, the non-Federal parties carrying out a research project under a TIA are to provide at least half of the costs of the project. This statutory cost-sharing requirement is not absolute but can be lessened or overcome in certain reasonable and justified circumstances. Participants with legitimate issues with the cost-sharing requirement should include their clear and specific rationale for lessening this requirement in their proposal.

Generally Accepted Accounting Principles (GAAP) apply rather than the FAR or DFARS cost principles or cost accounting standards.

Other Transactions for Prototypes (OTs for Prototypes) is an extension of the authority provided to DoD in 10 U.S.C. 2371. While the original statute limited the OT authority to projects for basic, applied, and advanced research, the extension passed in 1994 in Section 845 of Public Law 103-160 (as amended), allows the agency to also use OTs for prototypes projects directly relevant to weapons or weapons systems proposed to be acquired or developed by the DoD.

Unlike the basic OT authority, OTs for Prototypes have unique additional requirements.

Specifically, OTs for Prototypes require that there be at least one nontraditional defense contractor participating to a significant extent in the prototype project. A nontraditional defense contractor is defined as a company that, for one year prior to the OT award, has not had a contract subject to full coverage under the federal cost accounting standards; or has not had any other contract in excess of $500,000 with a federal agency to perform basic, applied, or advanced research or a prototype project. If the proposing team does not have a nontraditional participant, the team will be required to provide at least 1/3 cost share from their own funds, unless a case can be made for a waiver. Waivers are not common and will require significant justification.

Notwithstanding these requirements, OTs for Prototypes offer significant flexibility that would allow for open negotiation of many agreement terms and conditions. As stated above, DARPA is not required to include the traditional FAR and DFARS clauses in these arrangements, but is free to negotiate provisions that are mutually agreeable to both the Government and the company entering into the agreement.

Lastly, a traditional FAR-based fixed price procurement contract is available as a contract option. All of the standard procurement laws and regulations from the Federal Acquisition Regulation (FAR) and the Department of Defense FAR Supplement (DFARS) would apply to this contract type, and standard negotiation procedures will be used. It is noted, however, that use of this contract type would not – for actions under this BAA – required the proposer to possess a DCMA-approved cost accounting system or to submit certified cost and pricing data. As previously noted, such contracts would involve the use of fixed price payable milestones.

4.3.2.4 Milestone Payments

Regardless of contract type chosen, all proposers must include a detailed list of performance milestones. Successful completion of each milestone will result in the payment of a fixed and predetermined amount. Each milestone must include the following: milestone description, completion criteria, due date, and payment/funding schedule (to include, if cost share is proposed, contractor and Government share amounts). It is noted that, at a minimum, milestones should relate directly to accomplishment of program technical metrics as defined in the BAA and/or the proposer’s proposal.

4.4 SUBMISSION DATES AND TIMES

4.4.1 Proposal Abstract Submission Deadline

Proposal abstracts must be submitted on or before 4:00 p.m., ET, 28 August 2015. Proposal abstracts received after this time and date may not be reviewed.

4.4.2 Full Proposal Submission Deadline

Full proposals must be submitted on or before 4:00 p.m., ET, 6 November 2015. Proposals received after this time and date will not be reviewed.

4.5 FUNDING RESTRICTIONS

Awards are limited to less than $700,000.00 (inclusive of all options).

5. APPLICATION REVIEW INFORMATION

5.1 EVALUATION CRITERIA

Proposals will be evaluated using the following criteria listed in descending order of importance:

(a) Overall Scientific and Technical Merit; (b) Potential Contribution and Relevance to the DARPA Mission; and (c) Cost Realism.

5.1.1 Overall Scientific and Technical Merit

The proposed technical approach is feasible, achievable, complete and supported by a proposed technical team that has the expertise and experience to accomplish the proposed tasks.

5.1.2 Potential Contribution and Relevance to the DARPA Mission

The potential contributions of the proposed effort are relevant to the national technology base.

Specifically, DARPA’s mission is to maintain the technological superiority of the U.S. military and prevent technological surprise from harming national security by sponsoring revolutionary, high-payoff research that bridges the gap between fundamental discoveries and their application.

5.1.3 Cost Realism

The proposed costs are realistic for the technical and management approach offered and determines the proposer’s practical understanding of the effort. The proposal will be reviewed to determine if the costs proposed are based on realistic assumptions, reflect a sufficient understanding of the technical goals and objectives of the BAA, and are consistent with the proposer’s technical approach (to include the proposed Statement of Work). At a minimum, this will involve the review, at the prime and subcontract level, of the type and number of labor hours proposed per task as well as the types and kinds of materials, equipment and fabrication costs proposed.

5.2 REVIEW AND SELECTION PROCESS

DARPA will conduct a scientific/technical review of each conforming proposal. Proposals will not be evaluated against each other since they are not submitted in accordance with a common work statement. DARPA’s intent is to review proposals as soon as possible after they arrive;

however, proposals may be reviewed periodically for administrative reasons.

For evaluation purposes, a proposal is the document described in “Proposal Information”, Section 4.3.2. Other supporting or background materials submitted with the proposal will be considered for the reviewer's convenience only and not considered as part of the proposal.

Restrictive notices notwithstanding, proposals may be handled for administrative purposes by support contractors. These support contractors are prohibited from competition in DARPA technical research and are bound by appropriate non-disclosure requirements.

Subject to the restrictions set forth in FAR 37.203(d), input on technical aspects of the proposals may be solicited by DARPA from non-Government consultants /experts who are strictly bound by the appropriate non-disclosure requirements.

It is the policy of DARPA to treat all proposals as competitive information and to disclose their contents only for the purpose of evaluation. No proposals will be returned. Upon completion of the source selection process, the original of each proposal received will be retained at DARPA and all other copies will be destroyed.

6. AWARD ADMINISTRATION INFORMATION

6.1 SELECTION NOTICES

As soon as the evaluation of a proposal is complete, the proposers will be notified that 1) the proposal has been selected for funding pending contract negotiations, or 2) the proposal has not been selected. These official notifications will be sent via email to the Technical POC identified on the proposal coversheet.

6.2 ADMINISTRATIVE AND NATIONAL POLICY REQUIREMENTS

Unless otherwise noted, this section applies to all contract types delineated in Part 1 of this BAA.

The following administrative and national policy requirements apply to the award instrument types (e.g., Contract or Other Transaction) as indicated in the below table:

“X” indicates requirement is applicable.

“N/A” indicates requirement is not applicable.

Contract Other Transaction

6.2.1. Human Subject Research and/or Animal Use X X

6.2.2. Export Control X X

6.2.3. Employment Eligibility Verification X N/A

6.2.4. System for Award Management (SAM)

Registration and Universal Identifier Requirements

X X

6.2.5. Reporting Executive Compensation and First-

Tier Subcontract Awards

X N/A

6.2.6. Updates of Information Regarding Responsibility

Matters X N/A

6.2.7. Representation by Corporations Regarding an

Unpaid Delinquent Tax Liability or a Felony Conviction under any Federal Law—Fiscal Year 2014 Appropriations (Deviation 2014-OO00009)

X X

6.2.8. Controlled Unclassified Information (CUI) on

Non-DoD Information Systems X X

6.2.9. Safeguarding of Unclassified Controlled

Technical Information X N/A

6.2.1 Human Subjects Research and/or Animal Use

The Government does not intend to fund research involving human subjects, or research, experimentation, or testing involving the use of animals under the subject BAA. However, proposed research efforts that will involve human subjects or the use of animals are not discouraged and must comply with all federal regulations for human subject’s protection and/or animal use.

6.2.2 Export Control

Per DFARS 225.7901-4, all procurement contracts resultant from this solicitation will include the DFARS Export Control clause (252.225-7048). While not subject to the DFARS clause, OTs are still subject to federal export laws. Any awarded OT will contain language to this effect.

6.2.3 Employment Eligibility Verification

As per FAR 22.1802, recipients of FAR-based procurement contracts must enroll as federal contractors in E-verify and use the system to verify employment eligibility of all employees assigned to the award. All resultant contracts from this solicitation will include FAR 52.222-54, “Employment Eligibility Verification.” This clause will not be included in Other Transactions.

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

Unless the proposer is exempt from this requirement, as per FAR 4.1102 or 2 CFR 25.110 as applicable, all proposers must be registered in the System for Award Management (SAM) and have a valid Data Universal Numbering System (DUNS) number prior to award of a contract or other transaction from this solicitationsubmitting a proposal. All proposers must maintain an active registration in SAM with current information at all times during which they have an active Federal awardor proposal under consideration by DARPA. All proposers must provide the DUNS number in each proposal they submit. Information on SAM registration is available at https://www.sam.gov/portal/SAM/.

https://www.sam.gov/portal/SAM/

6.2.5 Reporting Executive Compensation and First-Tier Subcontract Awards

The FAR clause 52.204-10, “Reporting Executive Compensation and First-Tier Subcontract Awards,” will be used in all procurement contracts valued at $25,000 or more. This clause will not be included in Other Transactions.

6.2.6 Updates of Information Regarding Responsibility Matters

Per FAR 9.104-7(c), FAR clause 52.209-9, Updates of Publicly Available Information Regarding Responsibility Matter, will be included in all contracts valued at $500,000 or more where the contractor has current active Federal contracts and grants with total value greater than $10,000,000.

6.2.7 Representation by Corporations Regarding an Unpaid Delinquent Tax Liability or a Felony Conviction under any Federal Law—Fiscal Year 2014 Appropriations (Deviation

2014-OO00009)

(a) In accordance with sections 8113 and 8114 of the Department of Defense Appropriations Act, 2014, and sections 414 and 415 of the Military Construction and Veterans Affairs and Related Agencies Appropriations Act, 2014 (Public Law 113-76, Divisions C and J), none of the funds made available by those divisions (including Military Construction funds) may be used to enter into a contract with any corporation that --

(1) Has any unpaid Federal tax liability that has been assessed, for which all judicial and administrative remedies have been exhausted or have lapsed, and that is not being paid in a timely manner pursuant to an agreement with the authority responsible for collecting the tax liability, where the awarding agency is aware of the unpaid tax liability, unless the agency has considered suspension or debarment of the corporation and made a determination that this further action is not necessary to protect the interests of the Government; or

(2) Was convicted of a felony criminal violation under any Federal law within the preceding 24 months, where the awarding agency is aware of the conviction, unless the agency has considered suspension or debarment of the corporation and made a determination that this action is not necessary to protect the interests of the Government.

(b) The Offeror represents that –

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

(2) It is [ ] is not [ ] a corporation that was convicted of a felony criminal violation under a Federal law within the preceding 24 months.

http://farsite.hill.af.mil/reghtml/regs/far2afmcfars/fardfars/far/52_000.htm#P982_145096

6.2.8 Controlled Unclassified Information (CUI) on Non-DoD Information Systems

Controlled Unclassified Information (CUI) refers to unclassified information that does not meet the standards for National Security Classification but is pertinent to the national interests of the United States or to the important interests of entities outside the Federal Government and under law or policy requires protection from unauthorized disclosure, special handling safeguards, or prescribed limits on exchange or dissemination. All non-DoD entities doing business with DARPA are expected to adhere to the following procedural safeguards, in addition to any other relevant Federal or DoD specific procedures, for submission of any proposals to DARPA and any potential business with DARPA:

• Do not process DARPA CUI on publicly available computers or post DARPA CUI to publicly available webpages or websites that have access limited only by domain or Internet protocol restriction.

• Ensure that all DARPA CUI is protected by a physical or electronic…