HR001117S0022.pdf

Broad Agency Announcement Hunter

STRATEGIC TECHNOLOGY OFFICE

HR001117S0022

March 20, 2017

TABLE OF CONTENTS

PART I: OVERVIEW INFORMATION

PART II: FULL TEXT OF ANNOUNCEMENT

1. FUNDING OPPORTUNITY DESCRIPTION

1.1. PROGRAM OVERVIEW

1.2. PROGRAM METRICS

2. AWARD INFORMATION

2.1. FUNDAMENTAL RESEARCH

3. ELIGIBILITY INFORMATION

3.1. ELIGIBLE APPLICANTS

3.2. ORGANIZATIONAL CONFLICTS OF INTEREST

3.3. COST SHARING/MATCHING

3.4. OTHER ELIGIBILITY CRITERIA

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 AND NOTIFICATIONS

6.2. ADMINISTRATIVE AND NATIONAL POLICY REQUIREMENTS

6.3. REPORTING

6.4. ELECTRONIC SYSTEMS

7. AGENCY CONTACTS

8. OTHER INFORMATION

8.1. INTELLECTUAL PROPERTY

9. APPENDIX 1: PROPOSAL SLIDE SUMMARY

10. APPENDIX 2: CLASSIFIED ADDENDUM REQUEST FORM

11. APPENDIX 3: VOLUME 1 COVER SHEET TEMPLATE

12. APPENDIX 4: VOLUME 2 COVER SHEET, CHECKLIST AND SAMPLE

TEMPLATES

13. APPENDIX 5: MS EXCEL COST SPREADSHEET

PART I: OVERVIEW INFORMATION

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

Funding Opportunity Title – Hunter Announcement Type – Initial Announcement Funding Opportunity Number – HR001117S0022 Catalog of Federal Domestic Assistance Numbers (CFDA)- Not applicable Dates o Posting Date: 20 March 2017 o Proposers Day: 7 March 2017 o Industry Questions Due: 3 April 2017 o Proposal Due Date: 9 May 2017 o BAA Closing Date 15 September 2017

Anticipated individual awards – Multiple awards are anticipated.

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

Any cost sharing requirements – Cost sharing may be required under applicable statutory regulations for other transactions for prototype projects awarded under the authority of 10 U.S.C. § 2371b.

Agency contact o Points of Contact

The BAA Coordinator for this effort may be reached at:

HR001117S0022@darpa.mil

DARPA/STO

ATTN: HR001117S0022

675 North Randolph Street Arlington, VA 22203-2114 mailto:HR001117S0022@darpa.mil

PART II: FULL TEXT OF ANNOUNCEMENT

1. FUNDING OPPORTUNITY DESCRIPTION

This publication constitutes a Broad Agency Announcement (BAA) as contemplated in Federal Acquisition Regulation (FAR) 6.102(d)(2) and 35.016 and 2 CFR § 200.203. Any resultant award negotiations will follow all pertinent law and regulation, and any negotiations and/or awards for procurement contracts will use procedures under FAR 15.4, Contract Pricing, as specified in the BAA.

The Defense Advanced Research Projects Agency (DARPA) Hunter program seeks to develop an innovative concept for the delivery of advanced undersea payloads from extra-large unmanned underwater vehicles (XLUUVs). The Hunter Program is a 45-month program executed in three phases. Phase 1 will design and build the payload delivery device to fit inside a Government-provided payload module. Phases 2 and 3 will support integration of the payload delivery device into the XLUUV and perform testing. The Government will use a phased acquisition approach for the Hunter program. At this time, DARPA is soliciting firm proposals for the Phase 1 Base and Phase 1 Option efforts, with Statements of Work (SOWs) and Rough Orders of Magnitude (ROM) costs for Phases 2 and 3.

Phase 1 will be broken into a Phase 1 Base and Phase 1 Option effort. The Phase 1 Base will be up to eleven (11) months and fundamentally encompasses design of the Hunter system through the Critical Design Review. Specifically, the base effort should include development of a systems engineering development plan including system requirements and system architecture;

design of the Hunter payload delivery system as described in the BAA Classified Addendum to include a preliminary system design and preliminary review (PDR); and detailed design culminating with a critical design review (CDR). The Phase 1 Option will be eleven (11) months and continue execution of the systems engineering plan to fabricate and test the payload delivery system. Program continuation beyond the Phase 1 Base will depend on funding availability and promising Phase 1 Base results. If the Government elects to continue the program into the Phase 1 option effort, it will exercise the option on the award of the selected performer. The Government may award the contract option for the Phase 1 option effort on one award.

DARPA intends to request updated technical and cost proposals for Phase 2 prior to the completion of Phase 1 Option. Request for proposals for Phase 2 will be solicited from the Phase 1 Option performer. Participation for Phase 2 will be optional and proposal guidance for Phase 2 will be provided during the Phase 1 Option period of performance. This approach avoids a program gap and preserves the desired program schedule to enable Phase 2 award negotiations concurrent with Phase 1 option program execution.

Similarly, DARPA intends to request updated technical and cost proposals for Phase 3 prior to the completion of Phase 2. Request for proposals for Phase 3 will be solicited from only the Phase 2 performer. Participation for Phase 3 will be optional and proposal guidance for Phase 3 will be provided during the Phase 2 period of performance.

At this time, based on funding projections, DARPA currently anticipates maintaining one performer for the Phase 1 option, Phase 2 and Phase 3 efforts. Associated proposal preparation costs for Phases 2 and 3 will not be reimbursed under Phase 1 or 2 awards. The decision to continue the program into the Phase 1 option, Phase 2 and Phase 3 is the prerogative of the Government. These decisions will be based upon availability of funds, quality of proposals, quality of performance during each phase, and the determination that a performer has made sufficient progress towards meeting program performance objectives, maturing the required technologies, and addressing risks.

The Government reserves the right to issue a new solicitation or change the award instrument for Phases 2 and 3 if programmatic circumstances dictate. Additional details are provided in the BAA Classified Addendum, which can be requested according to the information in Section 4.2.1.

Proposed research should investigate innovative approaches that enable revolutionary advances in science, devices, or systems. Specifically excluded is research that primarily results in evolutionary improvements to the existing state of practice.

1.1. PROGRAM OVERVIEW

See BAA Classified Addendum.

1.2. PROGRAM METRICS

See BAA Classified Addendum.

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, as applicable. 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 (see Section VI.B.2., “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/or cost/price within a reasonable time, and the proposer fails to timely provide requested additional information. Proposals identified for negotiation may result in a procurement contract, or other transaction for prototype project, depending upon the nature of the work proposed, and other factors.

Proposers looking for innovative, commercial-like contractual arrangements are encouraged to consider requesting Other Transactions. To understand the flexibility and options associated with Other Transactions, consult www.darpa.mil/work-with-us/contract-management#OtherTransactions.

In all cases, the Government contracting officer shall have sole discretion to select award instrument type, regardless of instrument type proposed, and to negotiate all instrument terms and conditions with selectees. DARPA will apply publication or other restrictions, as necessary, if it determines that the research resulting from the proposed effort will present a high likelihood of disclosing performance characteristics of military systems or manufacturing technologies that are unique and critical to 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.

2.1. 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 defines fundamental research as follows:

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

As of the date of publication of this BAA, the Government expects that program goals as described herein either cannot be met by proposers intending to perform fundamental research or the proposed research is anticipated to present a high likelihood of disclosing performance characteristics of military systems or manufacturing technologies that are unique and critical to defense. Therefore, the Government anticipates restrictions on the resultant research that will require the awardee1 to seek DARPA permission before publishing any information or results relative to the program.

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

1 As used throughout this BAA, awardee refers to anyone who might receive a prime award from the Government, including recipients of procurement contracts, grants, cooperative agreements, Other Transactions, or any type of award. Subawardee refers to anyone who might receive a subaward from a prime awardee.

http://www.darpa.mil/work-with-us/contract-management#OtherTransactions http://www.darpa.mil/work-with-us/contract-management#OtherTransactions http://www.darpa.mil/work-with-us/additional-baa

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

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

3.1.1.1. FFRDCs

FFRDCs are subject to applicable direct competition limitations and cannot propose to this BAA in any capacity unless they meet the following conditions: (1) FFRDCs must clearly demonstrate that the proposed work is not otherwise available from the private sector. (2) FFRDCs must provide a letter on official letterhead from their sponsoring organization citing the specific authority establishing their eligibility to propose to Government solicitations and compete with industry, and their compliance with the associated FFRDC sponsor agreement’s terms and conditions. This information is required for FFRDCs proposing to be awardees or subawardees.

3.1.1.2. Government Entities

Government Entities (e.g., Government/National laboratories, military educational institutions, etc.) are subject to applicable direct competition limitations. 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.

3.1.1.3. Authority and Eligibility

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 and/or individuals may not participate as a prime contractor. Non-U.S.

organizations and/or individuals may act as subcontractors to the extent that the prime contractor can ensure that such participants comply with any necessary nondisclosure agreements, security regulations, export control laws, and other governing statutes applicable under the circumstances.

3.1.3. Classified Submissions

All proposals shall be classified at the collateral SECRET level or above. Applicants will ensure all industrial, personnel, and information systems processing security requirements are in place and at the appropriate level (e.g., Facility Clearance Level (FCL), Automated Information Security (AIS), Certification and Accreditation (C&A)), and any Foreign Ownership Control and Influence (FOCI) issues are mitigated prior to submission. Additional information on these subjects can be found at www.dss.mil.

3.2. ORGANIZATIONAL CONFLICTS OF INTEREST

FAR 9.5 Requirements In accordance with FAR 9.5, proposers are required to identify and disclose all facts relevant to potential OCIs involving the proposer’s organization and any proposed team member (subawardee, consultant). Under this Section, the proposer is responsible for providing this disclosure with each proposal submitted to the BAA. The disclosure must include the proposer’s, and as applicable, proposed team member’s OCI mitigation plan. The OCI mitigation plan must include a description of the actions the proposer has taken, or intends to take, to prevent the existence of conflicting roles that might bias the proposer’s judgment and to prevent the proposer from having unfair competitive advantage. The OCI mitigation plan will specifically discuss the disclosed OCI in the context of each of the OCI limitations outlined in FAR 9.505-1 through FAR 9.505-4.

Agency Supplemental OCI Policy In addition, DARPA has a supplemental OCI policy that prohibits contractors/performers from concurrently providing Scientific Engineering Technical Assistance (SETA), Advisory and Assistance Services (A&AS) or similar support services and being a technical performer.

Therefore, as part of the FAR 9.5 disclosure requirement above, a proposer must affirm whether the proposer or any proposed team member (subawardee, consultant) is providing SETA, A&AS, or similar support to any DARPA office(s) under: (a) a current award or subaward; or (b) a past award or subaward that ended within one calendar year prior to the proposal’s submission date.

If SETA, A&AS, or similar support is being or was provided to any DARPA office(s), the proposal must include:

The name of the DARPA office receiving the support;

The prime contract number;

Identification of proposed team member (subawardee, consultant) providing the support; and An OCI mitigation plan in accordance with FAR 9.5.

Government Procedures In accordance with FAR 9.503, 9.504 and 9.506, the Government will evaluate OCI mitigation plans to avoid, neutralize or mitigate potential OCI issues before award and to determine whether it is in the Government’s interest to grant a waiver. The Government will only evaluate OCI mitigation plans for proposals that are determined selectable under the BAA evaluation criteria http://www.dss.mil/ and funding availability.

The Government may require proposers to provide additional information to assist the Government in evaluating the proposer’s OCI mitigation plan.

If the Government determines that a proposer failed to fully disclose an OCI; or failed to provide the affirmation of DARPA support as described above; or failed to reasonably provide additional information requested by the Government to assist in evaluating the proposer’s OCI mitigation plan, the Government may reject the proposal and withdraw it from consideration for award.

3.3. COST SHARING/MATCHING

Cost sharing may be required under applicable statutory regulations for other transactions for prototype projects awarded under the authority of 10 U.S.C. § 2371b.

3.4. OTHER ELIGIBILITY CRITERIA

Proposers must have the ability write the proposal and to execute the entire program at the collateral SECRET level as a minimum.

3.4.1. Collaborative Efforts

Collaborative efforts/teaming are encouraged.

3.4.2 Past Experience

See BAA classified addendum.

4. APPLICATION AND SUBMISSION INFORMATION

4.1. ADDRESS TO REQUEST APPLICATION PACKAGE

This announcement and the classified addendum constitute the total solicitation. If proposers cannot access the referenced material posted in the announcement found at www.darpa.mil or classified channels, contact the administrative contact listed herein.

4.2. CONTENT AND FORM OF APPLICATION SUBMISSION

4.2.1. Security and Proprietary Issues

NOTE: Proposals must indicate the classification level of not only the proposal itself, but also the anticipated award document classification level.

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 http://www.darpa.mil/ 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.

a. 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”. 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.

b. 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 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 in writing 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.

http://www.dss.mil/

The effort being solicited by this BAA is classified or otherwise involves access to, or generation of, classified information. Security classification guidance via a Security Classification Guide (SCG) and DD Form 254, “DoD Contract Security Classification Specification,” will be provided as an attachment to the BAA Classified Addendum. The SCG and BAA Classified Addendum are classified collateral Secret; as such, they can only be mailed to the requester’s classified mailing address, which must be provided to the Technical Office Program Security Officer or their staff.

A formal request for the DARPA-HR001117S0022 BAA Classified Addendum and Security Classification Guide may be submitted by filling out the Classified Documents Request Form (found in APPENDIX 2 to this BAA) and emailing the Request Form to HR001117S0022@darpa.mil with subject line titled “Request DARPA- HR001117S0022 Classified Documents.”

Proposers are encouraged to submit this request no later than 27 March 2017 to allow for adequate time for delivery of the material. The DARPA-HR001117S0022 Classified Documents Request Form is the only method of request that will be accepted.

Note: Section 4.2.1.b of the BAA Classified Addendum provides a listing of relevant security classification guides and instructions.

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

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

Hand-carried by an appropriately cleared and authorized courier to the DARPA CDR.

Prior to traveling, the courier shall contact the DARPA Classified Document Registry (CDR) at 703-526-4052 to coordinate arrival and delivery.

OR

Mailed via U.S. Postal Service (USPS) Registered Mail or USPS Express Mail. All classified information will be enclosed in opaque inner and outer covers and double-wrapped. The inner envelope shall be sealed and plainly marked with the assigned classification and addresses of both sender and addressee.

The inner envelope shall be addressed to:

Defense Advanced Research Projects Agency ATTN: STO / Dr. James Galambos / Ms. Jackie Croat Reference: HR001117S0022 675 North Randolph Street Arlington, VA 22203-2114

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

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

Top Secret Information Use classification, handling, and marking guidance provided by previously issued SCGs, the DoD Information Security Manual (DoDM 5200.01, Volumes 1 - 4), and the National Industrial Security Program Operating Manual, including the Supplement Revision 1, (DoD 5220.22-M and DoD 5200.22-M Sup. 1). Top Secret information must be hand-carried by an appropriately cleared and authorized courier to the DARPA CDR. Prior to traveling, the courier shall contact the DARPA CDR at 703-526-4052 to coordinate arrival and delivery.

Sensitive Compartmented Information (SCI) SCI must be marked, managed and transmitted in accordance with DoDM 5105.21 Volumes 1

- 3. Questions regarding the transmission of SCI may be sent to the DARPA Technical Office PSO via the BAA mailbox or by contacting the DARPA Special Security Officer (SSO) at 703- 812-1970.

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

Special Access Program (SAP) Information SAP information must be marked in accordance with DoDM 5205.07 Volume 4 and transmitted by specifically approved methods, which will be provided by the Technical Office PSO or their staff.

Proposers choosing to submit SAP information from an agency other than DARPA are required to provide the DARPA Technical Office Program Security Officer (PSO) written permission from the source material’s cognizant Special Access Program Control Officer (SAPCO) or designated representative. For clarification regarding this process, contact the DARPA Technical Office PSO via the BAA mailbox or the DARPA SAPCO at 703-526-4102.

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

NOTE: prior to drafting the submission, if use of SAP Information Systems is to be proposed, proposers must first obtain an Authorization-to-Operate from the DARPA Technical Office PSO (or other applicable DARPA Authorization Official) using the Risk Management Framework (RMF) process outlined in the Joint Special Access Program (SAP) Implementation Guide (JSIG), Revision 3, dated October 9, 2013 (or successor document).

4.2.2. Proposal Information

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

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

Proposers should submit one (1) hard copy full proposal (no additional copies are required) and two (2) electronic copies of the proposal [in PDF (preferred)] on a CD-ROM. Each CD-ROM must be clearly labeled with DARPA-BAA-HR001117S0022, proposer organization, proposal title (short title recommended), proper Security markings, and Copy _ of 2.

All cost information requested under Section 4.3.2.2 Volume II, Cost Proposal should be submitted on separate unclassified CD-ROMs to the maximum extent possible. This includes the cost volume, MS Excel spreadsheets, subcontractor proposals and all other supporting documentation. Each unclassified CD-ROM must be clearly labeled with DARPA-BAA-HR001117S0022, proposer organization, proposal title (short title recommended), unclassified markings, and Copy _ of 2.

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.

Proposers shall send an unclassified email notification of proposal submission to HR001117S0022@darpa.mil.

BAA Administrator E-mail: HR001117S0022@darpa.mil

DARPA/STO

ATTN: HR001117S0022

675 North Randolph Street Arlington, VA 22203-2114

Office Website: http://www.darpa.mil/Our_Work/STO/ Solicitations Page: http://www.darpa.mil/Opportunities/Solicitations/STO_Solicitations.aspx

DARPA intends to use electronic mail for unclassified correspondence regarding HR001117S0022. Proposals may not be submitted by fax or e-mail; any so sent will be disregarded.

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 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. See Section 6.0, for additional information.

4.3. FORMATTING CHARACTERISTICS

4.3.1. Proposal Format

All 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 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. The bibliography is 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. Maximum page lengths for each section are shown in braces { } below. All proposals must be written in English.

4.3.2.1 Volume I, Technical and Management Proposal

http://www.darpa.mil/Our_Work/STO/ http://www.darpa.mil/Opportunities/Solicitations/STO_Solicitations.aspx

Section I. Administrative {No more than 2 pages} A. Cover sheet to include:

(1) BAA number

(2) Technical area

(3) Lead Organization Submitting proposal and CAGE code

(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); their CAGE codes, and type of organization 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), electronic mail (if available)

(10) Total funds requested from DARPA, and the amount of cost share (if any)

(11) Date proposal was submitted

B. Official transmittal letter

Section II. Summary of Proposal {No more than 10 pages}

A. Innovative claims for the proposed research. This section is the centerpiece of the proposal and should succinctly describe the uniqueness and benefits of the proposed approach relative to the current state-of-art alternate approaches.

B. Deliverables associated with the proposed research and the plans and capability to accomplish technology transition and commercialization. Include in this section all proprietary claims to the results, prototypes, intellectual property, or systems supporting and/or necessary for the use of the research, results, and/or prototype. If there are not proprietary claims, this should be stated.

C. Technical rationale, technical approach, and constructive plan for accomplishment of technical goals in support of innovative claims and deliverable production. (In the proposal, this section should be supplemented by a more detailed plan in Section III.)

D. General discussion of other research in this area.

E. A clearly defined organization chart for the program team which includes, as applicable: (1) the programmatic relationship of team member; (2) the unique capabilities of team members;

(3) the task of responsibilities of team members; (4) the teaming strategy among the team members; and (5) the key personnel along with the amount of effort to be expended by each person during each year.

F. A three slide summary of the proposal in PowerPoint that quickly and succinctly indicates the concept overview, key innovations, expected impact, and other unique aspects of the proposal. The format for the summary slides is included as APPENDIX 1 to this BAA and does not count against the page limit.

Section III. Detailed Proposal Information {No more than 30 pages}

A. Statement of Work (SOW) – A SOW shall be written for the Phase 1 Base period and a separate SOW written for the Phase 1 Option period. SOWs for Phases 2 and 3 are also required. Clearly define the technical tasks/subtasks to be performed, their durations, and dependencies among them. The page length for the SOW will be dependent on the amount of the effort. For each task/subtask, provide:

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

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

Identification of the primary organization responsible for task execution

(prime, sub, team member, by name, etc.);

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

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

Reporting Deliverables Item Date/Frequency

(LIST) (LIST)

Tech Deliverables Item Deliverable Date Deliverable Location

(LIST) (LIST) (LIST)

Note: It is required that the SOW be developed so that each Phase and Option of the program is separately defined.

Do not include any proprietary information in the SOW.

B. Description of the results, products, transferable technology, and expected technology transfer path enhancing that of Section II. B. This should also address mitigation of life-cycle and sustainment risks associated with transitioning intellectual property for U.S.

military applications, if applicable. See also Section 8.1 “Intellectual Property.”

C. Detailed technical rationale enhancing that of Section II.

D. Detailed technical approach enhancing and completing that of Section II.

E. Clear identification of major technical risks and clear definition of feasible planned mitigation strategies and efforts to address those risks.

F. Clear explanation of the technical approach(es) that will be employed to meet or exceed each program metric and provide ample justification as to why the approach(es) is/are feasible.

G. Comparison with other ongoing research indicating advantages and disadvantages of the proposed effort.

H. See BAA Classified Addendum.

I. Description of the facilities that would be used for the proposed effort. This section should not simply relate generic company facilities, but describe design tools, equipment and test facilities related to building and testing of large, ocean capable systems. Include a description of the proposer’s design, development and manufacturing processes.

Include a complete list of design, development and fabrication documentation deliverables as described in Section 1.1.3.1.2 of the BAA Classified Addendum.

J. This section should address how safeguarding of materials will be handled at each facility to include classified materials when applicable.

K. Detail support enhancing that of Section II, including formal teaming agreements which are required to execute this program.

L. Phase 1 Base and Phase 1 Option cost schedules and measurable milestones for the proposed research, including estimates of cost for each task in each year of the effort delineated by the primes and major subcontractors, total cost, and any company cost share. Note: Measurable milestones should capture key development points in tasks and should be clearly articulated and defined in time relative to start of effort.

These milestones should enable and support a decision for the next part of the effort.

Additional interim non-critical management milestones are also highly encouraged at regular intervals. Where the effort consists of multiple portions which could reasonably be partitioned for purposes of funding, these should be identified as options with separate cost estimates for each. The milestones must not include proprietary information.

Section IV. Additional Information {No more than 3 pages} 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.

Section V. Intellectual Property {No Page Limit} For forms to be completed regarding intellectual property, see Section 8.1, “Intellectual Property”. There will be no page limit for the listed forms.

4.3.2.2 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 and CAGE code;

(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) Contractor’s reference number (if any);

(6) Other team members (if applicable), their CAGE codes and type of organization 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 Phase 1 Base award and Phase 1 Option. A detailed cost proposal should be provided for Phase 1 Base and Phase 1 Option, with rough order of magnitude (ROM) cost proposals provided for Phases 2 and 3;

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

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

(15) Date proposal was prepared;

(16) DUNS number

(17) TIN number

(18) Cage Code

(19) Subcontractor Information

(20) Proposal validity period

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 a detailed cost proposal be provided in the editable Microsoft Excel spreadsheet provided as Appendix 5 to this solicitation with calculation formulas intact to allow traceability of the cost proposal numbers across the prime and subcontractors. This includes the calculations and adjustments that are utilized to generate the Summary Costs from the source labor hours, labor costs, material costs, etc. input data. In addition to the request Microsoft Excel spreadsheet provided, proposers may submit their cost volume and other related cost documentation in PDF format. If the PDF submission differs from the Excel submission, the PDF will take precedence. Each copy must be clearly labeled with the DARPA BAA number, proposer organization, and proposal title (short title recommended).

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

(1) Phase 1 Base and Phase 1 Option total cost broken down by performer fiscal year to include

(this applies to the prime and all subcontractors):

i. direct labor, including individual labor categories or persons, with associated labor hours and numbered direct labor rates

ii. indirect costs including Fringe Benefits, Overhead, General and Administrative

Expense, Cost of Money, etc. (Must show base amount and rate)

iii. If consultants are to used, proposer must provide consultant agreement or other document which verifies the proposed loaded daily/hourly rate http://www.gsa.gov/portal/forms/download/115778 http://www.dcaa.mil/preaward_accounting_system_adequacy_checklist.html

iv. Travel – Number of trips, number of days per trip, departure and arrival destinations, number of people, etc.

v. Other Direct Costs – Should be itemized with costs or estimated costs. Backup documentation will be submitted to support proposed costs. An explanation of any estimating factors, including their derivation and application, must be provided.

Please include a brief description of the proposers’ procurement method to be used

(2) major program tasks by fiscal year

(3) an itemization of major subcontracts and equipment purchases, to include: a cost proposal as detailed as the prime proposer’s cost proposal

(4) an itemization of any information technology (IT) purchase, as defined in FAR Part 2.101

(5) a summary of projected funding requirements by month

(6) the source, nature, and amount of any industry cost-sharing.

(7) identification of pricing assumptions of which may require incorporation into the resulting award instrument. This includes providing estimates for required Government Furnished Property/Facilities/Information, and/or access to Government Subject Matter Expert/s

(8) A cost breakdown table by task, delineated by primes and major subcontractors, should be included that summarizes:

i. Prime labor hours by labor category, labor cost, materials cost, and travel costs

ii. Subcontractor hours, labor category, labor cost, materials cost, and travel costs

Table 1 provides an example of the single-table summary in the desired format. Labor categories shown in the table are for illustration purposes only. Proposers are free to combine labor categories but should clearly delineate an overall breakdown with senior level and junior level staff. Tasks shown in Table 1 are for illustrative purposes only.

Pr og ra m

M an ag em en t

Pr in ci pa l I nv es tig at or

Se ni or E ng in ee r

El ec tri ca l E ng in ee rin g

So ftw ar e

En tin ee rin g

Te ch ni ca l S up po rt

Ad m in st ra tiv e Su pp or t

To ta l P rim e Ho ur s

Pr im e La bo r C os ts

Pr im e M at er ia ls

Pr im e Tr av el

Su bc on tra ct or

H ou rs

Su bc on tra ct or

L ab or

Co st s

Su bc on tra ct or

M at er ia ls

Su bc on tra ct or

T ra ve l

To ta ls

Phase 1 Base Task 1 (name) hours hours hours hours hours hours hours hours $ $ $ hours $ $ $ $

Task 2 (name) hours hours hours hours hours hours hours hours $ $ $ hours $ $ $ $

Task 3 (name) hours hours hours hours hours hours hours hours $ $ $ hours $ $ $ $

Phase 1 Base Estimated Totals hours hours hours hours hours hours hours hours $ $ $ hours $ $ $ $

Phase 1 Option:

Task 1 (name) hours hours hours hours hours hours hours hours $ $ $ hours $ $ $ $

Task 1 (name) hours hours hours hours hours hours hours hours $ $ $ hours $ $ $ $

Task 1 (name) hours hours hours hours hours hours hours hours $ $ $ hours $ $ $ $

Phase 1 Option Estimated Totals hours hours hours hours hours hours hours hours $ $ $ hours $ $ $ $

Phase 2 Task 1 (name) hours hours hours hours hours hours hours hours $ $ $ hours $ $ $ $

Task 2 (name) hours hours hours hours hours hours hours hours $ $ $ hours $ $ $ $

Task 1 (name) hours hours hours hours hours hours hours hours $ $ $ hours $ $ $ $

Phase 2 Estimated Totals hours hours hours hours hours hours hours hours $ $ $ hours $ $ $ $

Phase 3 Task 1 (name) hours hours hours hours hours hours hours hours $ $ $ hours $ $ $ $

Task 2 (name) hours hours hours hours hours hours hours hours $ $ $ hours $ $ $ $

Task 1 (name) hours hours hours hours hours hours hours hours $ $ $ hours $ $ $ $

Phase 3 Estimated Totals hours hours hours hours hours hours hours hours $ $ $ hours $ $ $ $

Table 1: Summary of Program Costs

The proposer should include supporting cost and pricing information in sufficient detail to substantiate the summary cost estimates and should include a description of the method used to estimate costs and supporting documentation. The basis of estimate (BOE) should include a description of the method used to estimate costs and supporting documentation. Supporting documentation is required for all proposed materials with a total cost >$2K. Material BOE should include bills of material for commercial and non-commercial items, and vendor quotes, past purchase orders or past invoices to support the proposed prices of materials, including an explanation of any adjustment factors applied, such as engineering estimates and complexity factors. For example, if the cost of a proposed material or equipment is based on a similar-to item from another past or current program, the proposer should provide a copy of the original purchase order for that similar-to item, an explanation of any engineering estimate or complexity factor applied, and a breakdown of any non-recurring/recurring engineering (NRE/RE) costs (i.e., estimated NRE labor hours) proposed by the vendor to modify the design of the material or equipment for the purposes of this effort. The BOE and other supporting cost narrative may be provided in the proposer’s format; however, the MS Excel spreadsheet with embedded PDF, MS or Excel files is preferred. The proposer shall also include in its proposed cost the identification and cost of any Government furnished equipment or facilities required to complete the effort.

List the item/facility, the estimated cost, basis for the estimate, location and GFE POC at location. These items should be priced separately because the Government may determine it is more efficient to fund them outside the agreement.

Per FAR 15.403-4, certified cost or pricing data shall be required shall be required if the proposer is seeking a procurement contract award per the referenced threshold, unless the proposer requests and is granted an exception from the requirement to submit cost or pricing data. Certified cost or pricing data” are not required if the proposer proposes an award instrument other than a procurement contract (e.g., other transaction for prototype project).

The prime contractor is responsible for compiling and providing all subcontractor proposals for the Procuring Contracting Officer (PCO). Subcontractor proposals should include Interdivisional Work Transfer Agreements (ITWA) or similar arrangements. Where the effort consists of multiple portions, which could reasonably be partitioned for purposes of funding, these should be identified as options with separate cost estimates for each. NOTE: for IT and equipment purchases, include a letter stating why the proposer cannot provide the requested resources from its own funding.

All proprietary…