DARPA-BAA-16-33.pdf

Broad Agency Announcement

BIOLOGICAL TECHNOLOGIES

DARPA-BAA-16-33

April 28, 2016

DARPA-BAA-16-33, BIOLOGICAL TECHNOLOGIES

PART I: OVERVIEW INFORMATION

PART II: FULL TEXT OF ANNOUNCEMENT

1. Funding Opportunity Description

2. Award Information

3. Eligibility Information

3.1. ELIGIBLE APPLICANTS

3.2. COST SHARING/MATCHING

4. Application and Submission Information

4.1. ADDRESS TO REQUEST APPLICATION PACKAGE

4.2. CONTENT AND FORM OF APPLICATION SUBMISSION

4.3. FORMATTING CHARACTERISTICS

4.4. SUBMISSION DATES AND TIMES

4.5. FUNDING RESTRICTIONS

4.6. OTHER SUBMISSION REQUIREMENTS

5. Application Review Information

5.1. EVALUATION CRITERIA

5.2. REVIEW AND SELECTION PROCESS

6. Award Administration Information

6.1. SELECTION NOTICES

6.2. ADMINISTRATIVE AND NATIONAL POLICY REQUIREMENTS

6.3. REPORTING

6.4. ELECTRONIC SYSTEMS

7. Agency Contacts

8. Other Information

8.1. INTELLECTUAL PROPERTY

PART I: OVERVIEW INFORMATION

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

Funding Opportunity Title – Biological Technologies Announcement Type – Initial Funding Opportunity Number – Broad Agency Announcement (BAA) DARPA-

BAA-16-33

Catalog of Federal Domestic Assistance Numbers (CFDA) - 12.910 Research and

Technology Development Dates o Posting Date: April 28, 2016 o Open period: April 28, 2016 through April 28, 2017 o Proposal Abstracts and Full Proposals will be submitted on a rolling basis until April 28, 2017, 4:00pm ET Concise description of the funding opportunity - 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 - Procurement contract, grant, cooperative agreement or Other Transaction.

Any cost sharing requirements - None Agency contact

Points of Contact:

The BAA Administrator for this effort can be reached at:

E-mail: DARPA-BAA-16-33@darpa.mil

DARPA/BTO

ATTN: DARPA-BAA-16-33

675 North Randolph Street Arlington, VA 22203-2114

Solicitations can be viewed at:

http://www.darpa.mil/work-with-us/opportunities mailto:DARPA-BAA-16-33@darpa.mil http://www.darpa.mil/work-with-us/opportunities?tFilter=&oFilter=1&sort=date

PART II: 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). Proposed research should investigate leading edge approaches that enable revolutionary advances in science, technologies, or systems at the intersection of biology with engineering and the physical and computer sciences. 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, lead to extraordinary outcomes, and create entirely new fields.

The mission of BTO is to foster, demonstrate, and transition breakthrough fundamental research, discoveries, and applications that integrate biology, engineering, computer science, mathematics, and the physical sciences. BTO’s investment portfolio goes far beyond life sciences applications in medicine to include areas of research such as human-machine interfaces, microbes as production platforms, and deep exploration of the impact of evolving ecologies and environments on U.S. readiness and capabilities. BTO’s programs operate across a wide range of scales, from individual cells to the warfighter to global ecosystems. BTO responds to the urgent and long-term needs of the Department of Defense (DoD) and addresses national security priorities.

BTO is interested in submissions related to the following areas:

Discovering and leveraging novel findings from neuroscience, psychology, cognitive science, and related disciplines to advance treatment and resilience in neurological health and optimize human aptitude and performance.

Understanding and improving interfaces between the biological and physical world to enable seamless hybrid systems.

Developing and leveraging fundamental understanding of the underlying design rules that govern biological system behavior.

Developing new tools and capabilities for forward engineering of biological systems (cells, tissues, organs, organisms, and complex communities) to both develop new products and functional systems as well as to gain new insights into underlying mechanisms.

Developing and validating new theories and computational models that identify factors and principles underlying collective and interactive behaviors of biological organisms at all scales from individual cells to global ecosystems.

Understanding the dynamics of population and ecosystem behavior in order to preserve equilibrium, provide strategic opportunity, or avoid catastrophe.

Developing and leveraging new technologies that can be applied to agricultural ecosystems for production stabilization by improving quality or reducing losses from pathogens or pests.

Developing and leveraging new insights into non-human biology across and between populations of microbes, insects, plants, marine life, and other non-human biologic entities.

Developing new technologies and approaches that ensure biosafety, biosecurity, and protection of the bioeconomy.

Understanding emerging threats to global food and water supplies and developing countermeasures that can be implemented on a global scale.

Developing new technologies to treat, prevent, and predict the emergent and spread of infectious diseases that have the potential to cause significant health, economic, and social burden.

Other biological technology topic areas that fit the scope of BTO’s mission.

2. Award Information

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

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

Awards under this BAA will be made to proposers on the basis of the evaluation criteria listed below (see section labeled “Application Review Information”, Section 5), and program balance to provide overall value to the Government. The Government reserves the right to request any additional, necessary documentation once it makes the award instrument determination. Such additional information may include but is not limited to Representations and Certifications. The Government reserves the right to remove proposers from award consideration should the parties fail to reach agreement on award terms, conditions and cost/price within a reasonable time or the proposer fails to timely provide requested additional information. Proposals identified for negotiation may result in a procurement contract, grant, cooperative agreement, or other transaction depending upon the nature of the work proposed, the required degree of interaction between parties, whether or not the research is classified as Fundamental Research, and other factors.

In all cases, the Government contracting officer shall have sole discretion to select award instrument type and to negotiate all instrument terms and conditions with selectees. Proposers are advised that regardless of the instrument type proposed, DARPA personnel, in consultation with the Government contracting officer, may select other award instruments, as they deem appropriate. DARPA will apply publication or other restrictions, as necessary, if it determines that the research resulting from the proposed effort will present a high likelihood of disclosing performance characteristics of military systems or manufacturing technologies that are unique and critical to defense. Any award resulting from such a determination will include a requirement for DARPA permission before publishing any information or results on the program. For more information on publication restrictions, see the section below on Fundamental Research.

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 fundamental research. In those cases, it is the prime contractor’s responsibility to explain in its proposal why its subawardee’s effort is 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 Fundamental Research, papers resulting from unclassified fundamental research are exempt from prepublication controls and this review requirement, pursuant to DoD Instruction 5230.27 dated October 6, 1987.

When submitting material for written approval for open publication, the contractor/awardee must submit a request for public release to the DARPA/PRC and include the following information: (1) Document Information: document title, document author, short plain-language description of technology discussed in the material (approx.

30 words), number of pages (or minutes of video) and document type (e.g., briefing, report, abstract, article, or paper); (2) Event Information: event type (conference, principal investigator meeting, article or paper), event date, desired date for DARPA's approval; (3) DARPA Sponsor: DARPA Program Manager, DARPA office, and contract number; and (4) Contractor/Awardee's Information: POC name, email and phone. Allow four weeks for processing; due dates under four weeks require a justification. Unusual electronic file formats may require additional processing time. Requests may be sent either via email to public_release_center@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.”

3. Eligibility Information

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

3.1. ELIGIBLE APPLICANTS

3.1.1. 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’s terms and conditions. This mailto:public_release_center@darpa.mil 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 and Government entity 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 are/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. See Section 4.2 “Security and Proprietary Issues” regarding the proposers capabilities to perform research and development at the classification level they propose.

3.1.3. 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.

3.2. COST SHARING/MATCHING

Cost sharing is not required; however, it will be carefully considered where there is an applicable statutory condition relating to the selected funding instrument (e.g., for any Other Transactions under the authority of 10 U.S.C. § 2371). Cost sharing is encouraged where there is a reasonable probability of a potential commercial application related to the proposed research and development effort.

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. This notice, with the classified addendum, constitutes the total solicitation. No additional information is available, except as provided at FBO.gov or Grants.gov, nor will a formal Request for Proposal (RFP) or additional solicitation regarding this announcement be issued. Requests for the same will be disregarded.

4.2. CONTENT AND FORM OF APPLICATION SUBMISSION

4.2.1. Proprietary and Security Information

DARPA policy is to treat all submissions as source selection information (see FAR 2.101 and 3.104), and to disclose their contents only for the purpose of evaluation. Restrictive notices notwithstanding, during the evaluation process, submissions may be handled by support contractors for administrative purposes and/or to assist with technical evaluation. All DARPA support contractors performing this role are expressly prohibited from performing DARPA-sponsored technical research and are bound by appropriate nondisclosure agreements.

Submissions will not be returned. The original of each submission received will be retained at DARPA and all other non-required copies destroyed. A certification of destruction may be requested, provided the formal request is received at this office within 5 days after notification that a proposal was not selected.

4.2.1.1 Proprietary Information

Proposers are responsible for clearly identifying proprietary information. Submissions containing proprietary information must have the cover page and each page containing such information clearly marked with a label such as “Proprietary” or “Company Proprietary.” Note, “Confidential” is a classification marking used to control the dissemination of U.S. Government National Security Information as dictated in Executive Order 13526 and should not be used to identify proprietary business information.

4.2.1.2 Security Information

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

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

If a submission contains Classified National Security Information as defined by Executive Order 13526, the information must be appropriately and conspicuously marked with the proposed classification level and declassification date. Similarly, when the classification of a submission is in question, the submission must be appropriately and conspicuously marked with the proposed classification level and declassification date. Submissions requiring DARPA to make a final classification determination shall be marked as follows:

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

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

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

Proposers choosing to submit classified information from other collateral classified sources (i.e., sources other than DARPA) must ensure: (1) they have permission from an authorized individual at the cognizant Government agency (e.g., Contracting Officer, Program Manager); (2) the proposal is marked in accordance with the source Security Classification Guide (SCG) from which the material is derived; and (3) the source SCG is submitted along with the proposal.

DARPA anticipates that submissions received under this BAA will be unclassified. However, should a proposer wish to submit classified information, an unclassified email must be sent to the BAA mailbox requesting submission instructions from the Technical Office PSO.

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

4.2.2. Submission Information

Proposers are strongly encouraged to submit a proposal abstract in advance of a proposal. This procedure is intended to minimize unnecessary effort in proposal preparation and review. The time and date for submission of proposal abstracts is specified in Section 4.5.1 below. DARPA http://www.dss.mil/ will acknowledge receipt of the submission and assign a control number that should be used in all further correspondence regarding the proposal abstract.

DARPA will respond to abstracts with a statement as to whether DARPA is interested in the idea. 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. 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.

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.

Restrictive notices notwithstanding, proposals may be handled, for administrative purposes only, by a support contractor. This support contractor is prohibited from competition in DARPA technical research and is bound by appropriate nondisclosure requirements. Proposals and/or proposed abstracts may not be submitted by fax or e-mail; any so sent will be disregarded.

Proposals not meeting the format described in the BAA may not be reviewed.

For Proposers Submitting Proposal Abstracts or Full Proposals as Hard Copies/On CD-

ROM:

Proposers must submit an original hardcopy and one (1) electronic copy of the abstract or 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-16-33, proposer organization, technical point of contact, and proposal title (short title recommended).

Please note that submitters via hardcopy/CD-ROM will still need to visit https://baa.darpa.mil to register their organization concurrently to ensure the BAA office can verify and finalize their submission.

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

Abstracts and Full Proposals sent in response to DARPA-BAA-16-33 may be submitted via DARPA’s BAA Website (https://baa.darpa.mil). Visit the website to complete the two-step registration process. Submitters will need to register for an Extranet account (via the form at the URL listed above) and wait for two separate e-mails containing a username and temporary password. After accessing the Extranet, submitters may then create an account for the DARPA BAA website (via the “Register your Organization” link along the left side of the homepage), view submission instructions, and upload/finalize the abstract. Proposers using the DARPA BAA Website may encounter heavy traffic on the submission deadline date; it is highly advised that submission process be started as early as possible.

All unclassified concepts submitted electronically through DARPA’s BAA Website must be uploaded as zip files (.zip or .zipx extension). The final zip file should be no greater than 50 MB https://baa.darpa.mil/ in size. Only one zip file will be accepted per submission. Classified submissions and proposals requesting assistance instruments (grants or cooperative agreements) should NOT be submitted through DARPA’s BAA Website (https://baa.darpa.mil), though proposers will likely still need to visit https://baa.darpa.mil to register their organization (or verify an existing registration) to ensure the BAA office can verify and finalize their submission.

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 Requesting Grants or Cooperative Agreements:

Proposers requesting grants or cooperative agreements may submit proposals through one of the following methods: (1) hard copy mailed directly to DARPA; or (2) electronic upload per the instructions at http://www.grants.gov/applicants/apply-for-grants.html. Grant or cooperative agreement proposals may not be submitted through any other means. If proposers intend to use Grants.gov as their means of submission, then they must submit their entire proposal through Grants.gov; applications cannot be submitted in part to Grants.gov and in part as a hard-copy.

Proposers using the Grants.gov do not submit paper proposals in addition to the Grants.gov electronic submission.

Grants.gov requires proposers to complete a one-time registration process before a proposal can be electronically submitted. If proposers have not previously registered, this process can take between three business days and four weeks. See the Grants.gov registration checklist at http://www.grants.gov/documents/19/18243/OrganizationRegChecklist.pdf for registration requirements and instructions.

Once Grants.gov has received a proposal submission, Grants.gov will send two email messages to advise proposers as to whether or not their proposals have been validated or rejected by the system; IT MAY TAKE UP TO TWO DAYS TO RECEIVE THESE EMAILS. The first email will confirm receipt of the proposal by the Grants.gov system; this email only confirms receipt, not acceptance, of the proposal. The second will indicate that the application has been successfully validated by the system prior to transmission to the grantor agency or has been rejected due to errors. If the proposal is validated, then the proposer has successfully submitted their proposal. If the proposal is rejected, the proposed must be corrected and resubmitted before DARPA can retrieve it. If the solicitation is no longer open, the rejected proposal cannot be resubmitted. Once the proposal is retrieved by DARPA, the proposer will receive a third email from Grants.gov. To avoid missing deadlines, proposers should submit their proposals in advance of the final proposal due date with sufficient time to receive confirmations and correct any errors in the submission process through Grants.gov. For more information on submitting proposals to Grants.gov, visit the Grants.gov submissions page at:

http://www.grants.gov/web/grants/applicants/apply-for-grants.html

Upload two separate documents, Volume I, Technical and Management Proposal, and Volume II, the Cost Proposal, as attachments to the application package. No other Grants.gov forms https://baa.darpa.mil/ https://baa.darpa.mil/ mailto:BAAT_Support@darpa.mil http://www.grants.gov/documents/19/18243/OrganizationRegChecklist.pdf http://www.grants.gov/web/grants/applicants/apply-for-grants.html are required. Please note that Grants.gov does not accept zipped or encrypted proposals. More detailed instructions for using Grants.gov can be found on the Grants.gov website.

Proposers electing to submit grant or cooperative agreement proposals as hard copies must complete the SF 424 R&R form (Application for Federal Assistance, Research and Related) available on the Grants.gov website http://apply07.grants.gov/apply/forms/sample/RR_SF424_2_0-V2.0.pdf. Technical support for Grants.gov submissions may be reached at 1-800-518-4726 or support@grants.gov.

Please note that submitters to Grants.gov will still need to visit https://baa.darpa.mil to register their organization concurrently to ensure the BAA office can verify and finalize their submission.

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-16-33@darpa.mil

DARPA/BTO

ATTN: DARPA-BAA-16-33

675 North Randolph Street Arlington, VA 22203-2114 Office Website: http://www.darpa.mil/about-us/offices/bto Solicitations Page: http://www.darpa.mil/work-with-us/opportunities

DARPA intends to use electronic mail for correspondence regarding DARPA-BAA-16-33.

Proposals and proposal abstracts (If you elected to receive both abstracts and proposals, leave language as is, if proposals only, remove “and abstracts”) may not be submitted by fax or e-mail; any so sent will be disregarded. DARPA encourages use of the Internet for retrieving the BAA and any other related information that may subsequently be provided.

4.2.3. 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:

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 http://apply07.grants.gov/apply/forms/sample/RR_SF424_2_0-V2.0.pdf mailto:support@grants.gov https://baa.darpa.mil/ http://www.darpa.mil/about-us/offices/bto http://www.darpa.mil/work-with-us/opportunities?tFilter=&oFilter=1&sort=date 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 (If applicable)

Proposers are highly 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. DARPA will respond to abstracts providing feedback and indicating whether, after preliminary review, there is interest within BTO for the proposed work. DARPA will attempt to reply within 30 calendar days of receipt. 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.

The abstract is a concise version of the proposal comprising a maximum of 2 pages including all figures, tables, and charts. The (optional) submission letter is not included in the page count.

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. What are you trying to do?

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

3. What is innovative in your approach and how does it compare to SOA?

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

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

C. Technical Plan: Outline and address all technical challenges inherent in the approach and possible solutions for overcoming potential problems. This section should provide appropriate specific milestones (quantitative, if possible) at intermediate stages of the project to demonstrate progress, and a brief plan for accomplishment of the milestones.

D. Capabilities: Provide a brief summary of expertise of the team, including subcontractors and key personnel. A principal investigator for the project must be identified, and a description of the team’s organization. No more than two resumes should be included as part of the abstract. Include a description of the team’s organization including roles and responsibilities. Describe the organizational experience in this area, existing intellectual property required to complete the project, and any specialized facilities to be used as part of the project. List Government-furnished materials or data assumed to be available. If desired, include a brief bibliography with links to relevant papers, reports, or resumes of key performers. Do not include more than two resumes as part of the abstract. Resumes count against the abstract page limit.

4.3.2. Proposal Format

NOTE (classification and handling markings): Confidential, Secret and Top Secret are classification markings used to control the dissemination of US Government National Security Information (NSI) as dictated in Executive Order 13526 - "Classified National Security Information". When referencing business proprietary information in a response to this BAA, please refrain from using any combination of the NSI caveats unless the content is classified.

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

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

(3) relevant papers may be included with the submission. The bibliography and attached papers are not included in the page counts given below. The submission of other supporting materials along with the proposals is strongly discouraged and will not be considered for review. The maximum page count for Volume 1 is 25 pages. The official transmittal letter is not included in the page count. Volume I should include the following components:

a. Volume I, Technical and Management Proposal

Section I. Administrative

A. Cover Sheet (LABELED “PROPOSAL: VOLUME I”):

1. BAA number (DARPA-BAA-16-33);

2. Technical area;

3. Lead organization (prime contractor);

4. Type of organization, selected from among the following categories: “LARGE

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

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

NONPROFIT”;

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

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

7. Proposal title;

8. Technical point of contact (Program Manager or Principle Investigator) to include:

salutation, last name, first name, street address, city, state, zip code, telephone, fax, e-mail;

9. Contracting Officer or Grant Officer to include: salutation, last name, first name, street address, city, state, zip code, telephone, fax, e-mail;

10. Award instrument requested: cost-plus-fixed-free (CPFF), cost-contract—no fee, firm-fixed-price, grant, cooperative agreement, other transaction, or other type (specify);

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

12. Proposal validity period;

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

14. Taxpayer ID number (https://www.irs.gov/Individuals/International-

Taxpayers/Taxpayer-Identification-Numbers-TIN); and

15. CAGE code (https://www.dlis.dla.mil/bincs/FAQ.aspx);

Information on award instruments is available at http://www.darpa.mil/work-with-us/contract-management.

B. Official Transmittal Letter.

Section II. Detailed Proposal Information

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

What is the proposed work attempting to accomplish or do?

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

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?

B. Goals and Impact: Clearly describe what the 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 http://www.dnb.com/get-a-duns-number.html https://www.irs.gov/Individuals/International-Taxpayers/Taxpayer-Identification-Numbers-TIN https://www.irs.gov/Individuals/International-Taxpayers/Taxpayer-Identification-Numbers-TIN https://www.dlis.dla.mil/bincs/FAQ.aspx http://www.darpa.mil/work-with-us/contract-management http://www.darpa.mil/work-with-us/contract-management 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.

C. Technical Plan: Outline and address technical challenges inherent in the approach and possible solutions for overcoming potential problems. This section should provide appropriate measurable milestones (quantitative if possible) at intermediate stages of the program to demonstrate progress, and a plan for achieving the milestones. The technical plan should demonstrate a deep understanding of the technical challenges and present a credible (even if risky) plan to achieve the program goal. Discuss mitigation of technical risk.

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. Statement of Work (SOW): 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 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, i.e., a deliverable, demonstration, or other event/activity that marks task completion. 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.

G. 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. Milestone costs should be directly linked to tasks and subtasks and there should be metrics and or deliverables identified for each milestone. 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.

H. Cost Summary: In addition, provide a table (see Table 1 below) 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:

a. 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, human subjects research costs, animal use costs,etc. It is preferable to break out significant hardware and software costs into separate lines so that their impact can be easily noted.

b. 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.

c. 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

Hours DateTotal Cost Senior Mid Junior Admin Begin End

WBS

Major Task 1.0

Minor Task 1.1 Minor Task 1.2

Major Task 2.0

Travel Hardware Item 1

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

The correlation between the WBS, the Statement of Work, and the cost proposal should be clear with cost information provided to the same level of task breakdown provided in Table 1.

Section III. Additional Information (Note: Does not count towards page limit)

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

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

All proposers, including FFRDCs, must submit the following:

Cover sheet to include:

1. BAA number;

2. Technical area;

3. Lead Organization Submitting proposal;

4. Type of organization, selected among the following categories: “LARGE BUSINESS”, “SMALL DISADVANTAGED BUSINESS”, “OTHER SMALL BUSINESS”, “HBCU”, “MI”, “OTHER EDUCATIONAL”, OR “OTHER NONPROFIT”;

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

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

7. Proposal title;

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

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

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

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

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

13. Name, address, and telephone number of the proposer’s cognizant Defense Contract

Management Agency (DCMA) administration office (if known);

14. Name, address, and telephone number of the proposer’s cognizant Defense Contract

Audit Agency (DCAA) audit office (if known);

15. Date proposal was prepared;

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

17. Taxpayer ID number (https://www.irs.gov/Individuals/International-

Taxpayers/Taxpayer-Identification-Numbers-TIN);

18. CAGE code (https://www.dlis.dla.mil/bincs/FAQ.aspx); and

19. Proposal validity period.

Note that nonconforming proposals may be rejected without review.

Proposers without an accounting system considered adequate for determining accurate costs must complete an SF 1408 if a cost type contract is to be negotiated. To facilitate this process, proposers should complete the SF 1408 found at http://www.gsa.gov/portal/forms/download/115778 and submit the completed form with the proposal. To complete the form, check the boxes on the second page, then provide a narrative explanation of your accounting system to supplement the checklist on page one. For more information, please see http://www.dcaa.mil/preaward_accounting_system_adequacy_checklist.html.

The Government strongly encourages that the proposer provide a detailed cost breakdown to include:

(1) Total program cost broken down by major cost items to include:

a. Direct Labor – Including individual labor categories with associated labor hours and direct labor rates. If selected for award, be prepared to submit supporting documentation to justify labor rates. (i.e., screenshots of HR databases, comparison to NIH or other web-based salary database);

b. Consultants – If consultants are to be used, proposer must provide a copy of the consultant’s proposed SOW as well as a signed consultant agreement or other document which verifies the proposed loaded daily / hourly rate, hours and any other proposed consultant costs (e.g., travel);

http://www.dnb.com/get-a-duns-number.html https://www.irs.gov/Individuals/International-Taxpayers/Taxpayer-Identification-Numbers-TIN https://www.irs.gov/Individuals/International-Taxpayers/Taxpayer-Identification-Numbers-TIN https://www.dlis.dla.mil/bincs/FAQ.aspx http://www.gsa.gov/portal/forms/download/115778 http://www.dcaa.mil/preaward_accounting_system_adequacy_checklist.html

c. Indirect Costs – Including Fringe Benefits, Overhead, General and Administrative Expense, Cost of Money, Fee, etc. (must show base amount and rate), if available, provide current Forward Pricing Rate Agreement or Forward Pricing Rate Proposal.

If not available, provide…