DARPA-BAA-15-39.pdf

Defense Sciences Office

Office-wide Broad Agency Announcement

DARPA-BAA-15-39

July 2, 2015

DARPA-BAA-15-39 DSO OFFICE-WIDE BAA 2

Table of Contents

PART I: OVERVIEW INFORMATION

PART II: FULL TEXT OF ANNOUNCEMENT

I. Funding Opportunity Description II. Award Information

A. Awards B. Fundamental Research

III. Eligibility Information A. Eligible Applicants B. Procurement Integrity, Standards of Conduct, Ethical Considerations, and Organizational Conflicts of Interest 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 - Unclassified Submission Instructions

V. Application Review Information A. Evaluation Criteria B. Proposal 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

ATTACHMENT 1: PROPOSAL TEMPLATE – TECHNICAL & MANAGEMENT VOLUME

ATTACHMENT 2: PROPOSAL TEMPLATE – SUMMARY SLIDE

ATTACHMENT 3: PROPOSAL TEMPLATE – COST VOLUME

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PART I: OVERVIEW INFORMATION

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

Funding Opportunity Title: DSO Office-wide BAA Announcement Type: Initial Announcement Funding Opportunity Number: DARPA-BAA-15-39 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: July 2, 2015 o Proposers’ Days: July 21-22, 2015. See Section VIII.B.

o Executive Summary Due Date: May 12, 2016, 4:00 p.m.

o Abstract Due Date: June 2, 2016, 4:00 p.m.

o Full Proposal Due Date: July 2, 2016, 4:00 p.m.

Anticipated Individual 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.

Concise Description of Funding Opportunity: This BAA solicits executive summaries, abstracts and proposals for revolutionary research efforts applicable to the DSO mission as described herein.

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

Solicitation Email: DARPA-BAA-15-39@darpa.mil

Solicitation Mailing Address:

DARPA/DSO

ATTN: DARPA-BAA-15-39

675 North Randolph Street Arlington, VA 22203-2114

DSO Solicitation Website: http://www.darpa.mil/work-with-us/opportunities

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

mailto:DARPA-BAA-15-39@darpa.mil http://www.darpa.mil/work-with-us/opportunities?tFilter=&oFilter=2&sort=name

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PART II: FULL TEXT OF ANNOUNCEMENT

I. Funding Opportunity Description This Broad Agency Announcement (BAA) is being issued, and any resultant selection will be made, using procedures under Federal Acquisition Regulation (FAR) 35.016. Any negotiations and/or awards will use procedures under FAR 15.4 (or 32 CFR 22 for grants and cooperative agreements). Any amendments to this BAA will be posted to the Federal Business Opportunities (FBO) website (http://www.fbo.gov/) and the Grants.gov website (http://www.grants.gov/).

A. Introduction

The mission of the Defense Advanced Research Projects Agency (DARPA) Defense Sciences Office (DSO) is to identify and pursue high-risk, high-payoff research initiatives across a broad spectrum of science and engineering disciplines and to transform these initiatives into important, radically new, game-changing technologies for U.S. national security. In support of this mission, this DSO Office-wide BAA invites proposers to submit innovative basic or applied research concepts in one or more of the following technical areas:

Physical Systems; Mathematics, Modeling and Design; and Human-Machine Systems. Each of these areas is described below and includes a list of example research topics. For each technical area addressed, proposed research should investigate innovative approaches that enable revolutionary advances. DSO is explicitly not interested in approaches or technologies that primarily result in evolutionary improvements to the existing state of practice.

B. Technical Areas of Interest

Physical Systems: Leading edge experimental and/or theoretical research that explores scientific boundaries and advances our understanding of physics, chemistry, and materials science to generate unique capabilities for U.S. national security.

Example topics: exploration of emerging quantum sciences ranging from quantum information to novel photonic devices; novel metrology; advanced armor concepts;

new computational substrates optimized for solving complex problems; and new methods for achieving molecules with unique chemical and biological functionalities.

Mathematics, Modeling, and Design: Development and implementation of advanced mathematics and modeling tools for applications of interest to U.S. national security.

Example topics: novel mathematical advances that accelerate discovery in physics, chemistry, and materials science; new approaches to electromagnetic modeling and simulation; major conceptual advances that lead to novel computation at scale;

advanced mathematics and modeling tools needed to efficiently propagate multiple sources of uncertainty to make accurate predictions about stochastic, complex systems; representational and computational foundations for new design approaches http://www.fbo.gov/ http://www.grants.gov/

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and tools; and techniques to enhance the capability for humans to understand, construct and optimize complex engineering systems.

Human-Machine Systems: Development of a fundamental understanding of human-technology system dynamics to analyze and assess a wide variety of critical systems – factories, defense systems, human innovation systems – by radically magnifying the capabilities of people (individuals and groups) to respond to increasingly complex problems.

Example topics: Research into trusted human-machine systems; enhancement of human capabilities through application of machine interfaces; leveraging machines to accelerate human discovery and application of technology solutions; and modeling human behavior, such as through the development of new research methods to discover and validate underlying principles in social science.

C. Submissions

Prior to submitting a research concept to any DARPA BAA, proposers should review each technical office’s website for descriptions of the particular focus areas to ensure the proposed concept is in line with that office’s technology investment portfolio (http://www.darpa.mil/about-us/offices). The office-wide BAAs published by each technical office also describe the particular technical areas of interest specific to each office (http://www.darpa.mil/work-with-us/opportunities). Since each DARPA BAA addresses different challenges and technical areas, proposers should not simultaneously propose the same research to multiple DARPA BAAs.

Submissions to this DSO Office-wide BAA may be in the form of an executive summary, abstract, or full proposal. Prior to submitting an abstract or full proposal, proposers are strongly encouraged to first submit an executive summary as described in Section IV. This process allows a proposer to quickly ascertain whether the proposed concept is: (1) applicable to the DSO mission and (2) currently of interest. For the purposes of this BAA, applicability to the DSO mission is defined as follows:

The proposed concept is applicable to the technical areas described herein.

The proposed concept is important to DSO’s current investment portfolio.

The proposed concept investigates an innovative approach that enables revolutionary advances, i.e., will not primarily result in evolutionary improvements to the existing state of practice.

The proposed work has not already been completed (i.e., the research element is complete but manufacturing/fabrication funds are required).

The proposer has not already received funding or a positive funding decision for the proposed concept (whether from DARPA or another Government agency).

The recommended order of submissions is executive summary, abstract, full proposal. Abstracts and full proposals that are not found to be applicable to the DSO mission as defined above may be deemed non-conforming1 and removed from consideration. All abstracts and full proposals http://www.darpa.mil/about-us/offices http://www.darpa.mil/about-us/offices http://www.darpa.mil/work-with-us/opportunities http://www.darpa.mil/work-with-us/opportunities

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must provide sufficient information to assess the validity/feasibility of their claims as well as comply with the requirements outlined herein for submission formatting, content and transmission to DARPA. Abstracts and full proposals that fail to do so may be deemed non-conforming and removed from consideration. Proposers will be notified of non-conforming determinations via letter. See Section IV for detailed information regarding submission requirements.

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

1 “Conforming” is defined as having been submitted in accordance with the requirements outlined herein.

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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 cannot identify whether the work under this BAA may be considered fundamental research and may award both fundamental and non-fundamental.

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

For certain research projects, it may be possible that although the research being performed by the prime contractor is restricted research, a 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’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.

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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/work-with-us/contract-management/public-release.”

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 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 mailto:prc@darpa.mil

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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.

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 U.S.C. § 2371).

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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 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 As stated above, the recommended order of submissions is executive summary, abstract, full proposal. The below sections describe each type of submission and provide instructions for content, format, and transmission.

1. Executive Summary Information The executive summary provides a synopsis of the proposed project by concisely answering 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?

DARPA will respond to executive summaries with a brief statement either encouraging or discouraging submission of a follow-on abstract or full proposal. In keeping with the intent of the executive summary, these responses will generally be limited to a statement of interest (or lack thereof), rather than providing detailed feedback. DARPA will attempt to reply to executive summaries via e-mail within thirty (30) calendar days of receipt. Regardless of DARPA’s response to an executive summary, proposers may submit an abstract or full proposal.

a. Executive Summary Format Executive summaries shall not exceed 2 pages as outlined below. The document 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. The document file must be in .pdf, .doc, or .docx format and must be written in English.

Executive summaries must not be submitted to DARPA via email; any so sent will be disregarded. See Section IV.E.1 for submission instructions.

Executive summaries must include the following components:

i. Cover Sheet (1 page) Provide the following information:

(1) Label: “Executive Summary”

(2) BAA number (DARPA-BAA-15-39) http://www.grants.gov/

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(3) Executive summary title

(4) Lead organization name

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

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

ii. Technical Description (1 page) Provide a synopsis of the proposed project by effectively and succinctly conveying the main objective, key innovations, expected impact, and other unique aspects of the proposed project.

2. Abstract Information The abstract expands on the executive summary’s synopsis of the proposed project, providing sufficient information for DARPA to make a preliminary assessment of the scientific or technical merit of the proposed concept.

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.

Abstracts must not be submitted to DARPA via email. See Section IV.E.2 for abstract submission instructions.

b. Abstract Format 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. The document file must be in .pdf, .doc, or .docx formats and must be written in English.

Abstracts shall not exceed a maximum of 5 pages.

Page limit includes: Page limit does NOT include:

All figures, tables, charts, references and resumes Official transmittal letter (optional) Bibliography (optional) Cover Sheet

Abstracts must include the following components:

i. Cover Sheet: Provide the following information:

(1) Label: “Abstract”

(2) BAA number (DARPA-BAA-15-39)

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(3) Abstract title

(4) Lead organization name

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

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

(7) Estimated total cost

(8) Estimated period of performance

(9) Primary subcontractors (if known/applicable)

(10) Identify any other solicitation(s) to which this concept has been proposed

ii. 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.

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

iv. Capabilities/Management Plan: Provide a brief summary of expertise of the team (key personnel and subcontractors), including organizational experience in this area. Include a description of the team’s organization including roles and responsibilities. Teaming arrangements do not need to be finalized at the time of abstract submission; however, mention of potential teaming/collaboration arrangements is encouraged.

v. Cost and Schedule: Provide a cost estimate for resources over the proposed timeline of the project, broken down by Government fiscal year and major cost items (e.g., labor, materials, etc.). Include cost estimates for each potential subcontractor (may be a rough order of magnitude).

vii. Bibliography (Optional): If desired, include a brief bibliography with links to relevant papers, references, reports, or resumes of key team members.

3. Full Proposal Information Proposals consist of Volume 1: Technical and Management Volume (including mandatory subsection xii (Administrative and National Policy Requirements) and the optional bibliography (subsection xiii); and Volume 2: Cost Volume.

All pages in both the Technical and Management Volume and the Cost Volume 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 only be used for figures, tables, and charts. Document files must be in .pdf, .odx, .ppt, .pptx, .doc, .docx, .xls, or .xlsx formats and must be written in English.

To assist in proposal development, proposers may use the templates provided along with the BAA posted at http://www.fbo.gov/. Attachment 1 is for the Technical and Management

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Volume, Attachment 2 is for the summary slide (introductory section of the Technical Volume), and Attachment 3 is for the Cost Volume. Use of these templates is optional; proposers may use their own format as long as all of the information requested herein is provided.

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 the Cost Volume which is not related to cost will not be considered. Additional information not explicitly called for in the Technical and Management Volume description must not be submitted with the proposal, but may be included as links in the bibliography. Such materials will be considered for the reviewers’ convenience only and not evaluated as part of the proposal.

a. Volume 1: Technical and Management Volume Volume 1 shall not exceed a maximum of 20 pages.

Page limit includes Page limit does NOT include Technical figures Cover Sheet and Table of Contents Technical tables Official transmittal letter Technical charts Executive summary slide References Administrative and National Policy Requirements Resumes Bibliography (optional)

While not included in the overall page limit, the bibliography should not exceed 2 pages. Since resumes and references count against the proposal page limit, proposers may wish to include them as links in the bibliography.

Volume 1 must include the following components:

i. Cover Sheet: Include the following information.

(1) Label: “Proposal: Volume 1”

(2) BAA number (DARPA-BAA-15-39)

(3) Proposal title

(4) Proposer’s reference number, if any

(5) Lead organization (prime contractor) name

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

Business, Small Disadvantaged Business, Other Small Business, Historically Black Colleges and Universities (HBCU), Minority Institution (MI), Other Educational, or Other Nonprofit

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

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

(9) Total proposed cost separated by base award and any proposed option(s)

(10) Award instrument requested: procurement contract (specify type), grant, DARPA-BAA-15-39 DSO OFFICE-WIDE BAA 14 cooperative agreement or OT.

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

(12) List all other team members (subcontractors and consultants), including

Technical POC name, organization and organization type

(13) Date proposal was prepared

(14) Proposal validity period

ii. Official Transmittal Letter

iii. Table of Contents

iv. 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.

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.

vi. Technical Plan: Demonstrate a deep understanding of the technical challenges and present a credible (even if risky) plan to achieve the project’s goal. Outline and address technical risks inherent in the approach and possible solutions for overcoming potential problems (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.

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viii. Personnel, Qualifications, and Commitments: List key personnel (no more than one page per person), showing a concise summary of their qualifications, discussion of previous accomplishments, and work in this or closely related research areas. Indicate the level of effort in terms of hours to be expended by each person during each year of the project as well as other (current and proposed) major sources of support for them and/or commitments of their efforts. DARPA expects all key personnel associated with a proposal to make substantial time commitment to the proposed activity and the proposal will be evaluated accordingly. Furthermore, awards may include key personnel conditions, so proposals should not include personnel that are not anticipated to execute the work.

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. Identify other solicitation(s) to which this concept has been proposed. If applicable, state whether funding or a positive funding decision has already been received, and from which agency.

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 time relative to the start of the project.

xii. 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 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-U.S. organization or individual, FFRDC and/or Government entity. Use the following format for this list:

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Prime Individual Name: Organization: Non-U.S. Organization: Yes No

Non-U.S. Individual: Yes No FFRDC: Yes No Government Entity: Yes No

Subcontractors/Consultants Individual Name: Organization: Non-U.S. Organization: Yes No

Non-U.S. Individual: Yes No FFRDC: Yes No Government Entity: Yes No

Individual Name: Organization: Non-U.S. Organization: Yes No Non-U.S.US Individual: Yes No FFRDC: Yes No Government Entity: Yes No

(2). Government or FFRDC Team Member Proof of Eligibility to Propose: If any of the team member organizations (prime or subcontractor) 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 any of the team member organizations (prime or subcontractor) 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 DARPA with SETA or similar support as described in Section III.B, state “NONE.”

If any of the proposed team members (individual or organization) is currently performing SETA or similar support to DARPA, provide 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 delivered to the

DARPA-BAA-15-39 DSO OFFICE-WIDE BAA 17

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 Delivered 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 Delivered 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 proposal, state

“NONE.”

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

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

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

(8). Representations Regarding Unpaid Delinquent Tax Liability or a Felony Conviction under Any Federal Law: Per Section VI.B.10, complete the following statements.

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

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

xiii. Bibliography (Optional): If desired, include a brief bibliography with links to relevant papers, reports, references or resumes. Do not include technical papers. This section is optional, and the linked materials will not be evaluated as part of the proposal review.

b. Volume 2 –Cost Volume This volume is mandatory and must include all the listed components. No page limit is specified for this volume. The Cost Volume 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 for all document files. Submissions must be written in English.

Costs must be traceable between the prime and subcontractors/consultants, as well as between the cost proposal and the SOW. Cost information must be provided in sufficient detail to substantiate the proposed prices.

i. Cover Sheet:

(1) Label: “Proposal: Volume 2”

(2) BAA number (DARPA-BAA-15-39)

(3) Proposal title

(4) Proposer’s reference number, if applicable

(5) Lead organization (prime proposer) name

(6) Type of organization, selected from the following categories: Large Business, Small Disadvantaged Business, Other Small Business, HBCU, MI, Other Educational, or Other Nonprofit

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

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

(9) Total proposed cost separated by base award and any proposed option(s)

(10) Award instrument requested: procurement contract (specify type), grant, cooperative agreement, other transaction

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

(12) List all other team member(s) (subcontractors and consultants), if applicable;

for each, provide the Technical POC name and organization

(13) Data Universal Numbering System (DUNS) number2

(14) Taxpayer identification number (TIN)3

(15) Commercial and Government Entity (CAGE) code4

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

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

4 A CAGE Code identifies companies doing or wishing to do business with the Federal Government. See Section http://fedgov.dnb.com/webform/index.jsp http://www.irs.gov/businesses/small/international/article/0,,id=96696,00.html

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(16) Name, address, and telephone number of the proposer’s cognizant Defense Contract Management Agency (DCMA) administration office5 or Office of Naval Research (ONR) administration office6, if known

(17) Name, address, and telephone number of the proposer’s cognizant Defense Contract Audit Agency (DCAA) audit office7, if known

(18) Date proposal was prepared

(19) Proposal validity period

ii. Cost Summaries

(1) Cost Summary by Year: Provide total program cost by Government Fiscal Year (GFY), broken down by major cost items to include: labor costs, materials, travel, consultants, subcontracts, other direct charges (ODCs), indirect costs (overhead, fringe, general and administrative (G&A)), and any proposed fee for the project.

(2) Cost Summary by Month: Provide a summary of projected funding requirements by month.

(3) Cost Summary by Task: Provide a summary of total program costs by task.

iii. Cost Details: Provide the following cost details broken down by GFY. Include supporting documentation describing the method used to estimate costs.

(1) Direct Labor: Provide individual labor categories or persons, with associated labor hours and direct labor rates.

(2) Indirect Costs: Identify all indirect cost rates (Fringe Benefits, Overhead, G&A, Facilities Cost of Money, etc.) and the basis for each.

(3) Materials: Provide an itemized list of all proposed materials including quantities, unit prices, proposed vendors (if known), and the basis of estimate (e.g., quotes, prior purchases, catalog price lists, etc.). Any item that exceeds $5,000 must be supported with back-up documentation such as a copy of catalog price lists or quotes prior to purchase.

(4) Equipment Purchases: Provide an itemized list of all proposed equipment including quantities, unit prices, proposed vendors (if known) and the basis of estimate (e.g., quotes, prior purchases, catalog price lists, etc.). Any item that exceeds $5,000 must be supported with back-up documentation such as a copy of catalog price lists or quotes prior to purchase. Include any requests for Government-furnished equipment or information with cost estimates and delivery dates.

VI.B.7 for further information.

5 https://pubapp.dcma.mil/CASD/CasdSearch.do.

6 http://www.onr.navy.mil/Contracts-Grants/Regional-Contacts.aspx.

7 http://www.dcaa.mil/FAQs_Contractor.pdf.

https://pubapp.dcma.mil/CASD/CasdSearch.do http://www.onr.navy.mil/Contracts-Grants/Regional-Contacts.aspx http://www.dcaa.mil/FAQs_Contractor.pdf

DARPA-BAA-15-39 DSO OFFICE-WIDE BAA 20

(5) Travel: Provide the purpose of the trip, number of trips, number of days per trip, departure and arrival destinations, number of people, etc.

(6) ODCs: Provide an itemized breakdown with costs. Backup documentation must be submitted to support proposed costs. An explanation of any estimating factors, including their derivation and application, must be provided.

(7) Cost Sharing: Provide the source, nature, and amount of any industry cost-sharing.

(8) Consultant Costs: Provide a copy of all consultants’ proposed SOWs as well as signed consultant agreements or other documents which verify the proposed loaded daily / hourly rate, hours and any other proposed consultant costs (e.g., travel).

(9) Subcontractor Costs: Provide information requested above in subsections (1)-(7) for each proposed subcontractor. All documentation must be prepared at the same level of detail as that required of the prime. In addition, prime proposers must provide the following for all proposed subcontractors, as applicable:

interdivisional work transfer agreements or evidence of similar arrangements;

and a cost or price reasonableness analysis of proposed subcontractor prices as defined in FAR 15.404-3. Such analysis shall indicate the extent to which the prime contractor has negotiated subcontract prices.

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

Proprietary subcontractor cost proposals may be included as part of Volume 2 or emailed separately (by the subcontractor) to DARPA-BAA-15-39@darpa.mil. Email messages must include “Subcontractor Cost Proposal” in the subject line and identify the principal investigator, prime proposer organization and proposal title in the body of the message.

iv. Rate Agreements: Provide any available Forward Pricing Rate Agreements, Department of Health and Human Services (DHHS) rate agreements, or other such approved rate information or documentation that may assist in expediting negotiations.

v. Proposals Requesting a Procurement Contract: Provide the following information where applicable. Note: this information is not required for grants, cooperative agreements or other transactions.

(1) Proposals for $700,000 or more (inclusive of all options): “Certified cost or pricing data” (as defined in FAR 2.101) will be required unless the proposer requests an exception in accordance with FAR 15.403. Furthermore, per Section VI.B.11, a

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proposal which may result in a CAS-compliant procurement contract, must include a Disclosure Statement as required by 48 CFR 9903.202.

(2) Proposals for $650,000 or more (inclusive of all options): Pursuant to Section 8(d) of the Small Business Act (15 U.S.C. § 637(d)), it is Government policy to enable small business and small disadvantaged business concerns to be considered fairly as subcontractors to organizations performing work as prime contractors or subcontractors under Government contracts, and to ensure that prime contractors and subcontractors carry out this policy. In accordance with FAR 19.702(a)(1) and 19.702(b), prepare a subcontractor plan, if applicable. The plan format is outlined in

FAR 19.704.

(3) Proposals for a cost-type contract: Proposers who do not have a cost accounting system that has been deemed adequate for determining accurate costs must provide the DCAA Pre-award Accounting System Adequacy Checklist in order to facilitate DCAA’s completion of Standard Form (SF) 1408. The checklist may be found at:

http://www.dcaa.mil/preaward_accounting_system_…