HR001117S0030.pdf

Broad Agency Announcement

BIOLOGICAL TECHNOLOGIES OFFICE

HR001117S0030

April 26, 2017

HR001117S0030, BIOLOGICAL TECHNOLOGIES

TABLE OF CONTENTS

PART I: OVERVIEW INFORMATION

PART II: FULL TEXT OF ANNOUNCEMENT

1. Funding Opportunity Description

2. Award Information

2.1. General award information

2.2. Fundamental Research

3. Eligibility Information

3.1. ELIGIBLE APPLICANTS

3.2. Organizational Conflicts of Interest

3.3. 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. FUNDING RESTRICTIONS

4.4. OTHER SUBMISSION REQUIREMENTS

5. Application Review Information

5.1. EVALUATION CRITERIA

5.2. REVIEW of proposals

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

OTHER INFORMATION

8. APPENDIX 1 – Volume II checklist

PART I: OVERVIEW INFORMATION

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

Funding Opportunity Title – Biological Technologies Announcement Type – Initial Announcement Funding Opportunity Number – HR001117S0030 Catalog of Federal Domestic Assistance Numbers (CFDA) – 12.910 Research and

Technology Development Dates o Posting Date April 26, 2017 o Open Period: April 26, 2017 through April 26, 2018 o Proposal Abstracts and Full Proposals will be submitted on a rolling basis until April 26, 2018, 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.

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

BTOBAA2017@darpa.mil

DARPA/BTO

ATTN: HR001117S0030

675 North Randolph Street Arlington, VA 22203-2114 mailto:BTOBAA2017@darpa.mil

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 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 the behavior of biological systems.

Developing new tools and capabilities for forward engineering of biological systems, such as 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 new platform technologies that integrate, automate, and miniaturize the collection, processing, and analysis of biological samples.

Developing technologies that leverage ecological diversity and/or help support human operations in extreme environments (ocean, desert, space, etc.).

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 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 could be implemented on regional or global scales.

Developing new technologies to treat, prevent, and predict the emergence 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 national security scope of BTO’s mission.

2. Award Information

2.1. GENERAL AWARD INFORMATION

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

The Government reserves the right to select for negotiation all, some, one, or none of the proposals received in response to this solicitation and to 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, grant, cooperative agreement, or Other Transactions, 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.

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.

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

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

3.1. ELIGIBLE APPLICANTS

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

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

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.

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.

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 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.

http://www.darpa.mil/work-with-us/additional-baa

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 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 is not required; however, it will be carefully considered where there is an applicable statutory condition relating to the selected funding instrument. Cost sharing is encouraged where there is a reasonable probability of a potential commercial application related to the proposed research and development effort.

For more information on potential cost sharing requirements for Other Transactions for Prototype, see http://www.darpa.mil/work-with-us/contract-management#OtherTransactions

4. Application and Submission Information

4.1. ADDRESS TO REQUEST APPLICATION PACKAGE

This announcement, any attachments, and any references to external websites herein constitute the total solicitation. If proposers cannot access the referenced material posted in the announcement found at http://www.darpa.mil, contact the administrative contact listed herein.

4.2. CONTENT AND FORM OF APPLICATION SUBMISSION

All submissions, including abstracts and proposals must be written in English with type not smaller than 12 point font. Smaller font may be used for figures, tables, and charts. Copies of all documents submitted must be clearly labeled with the DARPA BAA number, proposer organization, and proposal title/proposal short title.

4.2.1. Proposal Abstract Format

Proposers are strongly encouraged to submit an abstract in advance of a proposal to minimize effort and reduce the potential expense of preparing an out of scope proposal. The abstract is a concise version of the proposal comprising a maximum of 2 pages including 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 (does not count towards page limit): 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 is the proposed work attempting to accomplish or 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. What are the key technical challenges in your approach and how do you plan to overcome these?

http://www.darpa.mil/

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

6. 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 do not count against the abstract page limit.

4.2.2. Proposal Format

All full proposals must be in the format provided below. Proposals shall consist of two volumes:

(1) Volume I, Technical and Management Proposal, and (2) Volume II, Cost Proposal. 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. A submission letter is optional and is not included in the page count. Volume I should include the following components:

NOTE: Non-conforming submissions that do not follow the instructions herein may be rejected without further review.

a. Volume I, Technical and Management Proposal

Section I. Administrative

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

1. BAA number (HR001117S0030);

2. Technical area;

3. Lead organization submitting proposal (prime contractor);

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

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

BUSINESS,” “HBCU (Historically Black College & University),” “MI (Military Institute),” “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. Administrative point of contact (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. Total funds requested from DARPA, and the amount of cost share (if any); AND

14. Date proposal was submitted.

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?

http://www.darpa.mil/work-with-us/contract-management http://www.darpa.mil/work-with-us/contract-management

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 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. 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.

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.

b. Volume II, Cost Management Proposal

Cover Sheet (LABELED “PROPOSAL: VOLUME II”):

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 (Program Manager or Principal Investigator) 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 (Contracting Officer or Grant Officer) 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), grant, cooperative agreement, 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.

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:

i. 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 National Institute of Health or other web-based salary database);

ii. 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);

iii. Indirect Costs – Including Fringe Benefits, Overhead, General and Administrative (G&A) 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 2 years historical data to include pool and expense costs used to generate the rates. For academia, provide Department of Health & Human Services (DHHS) or Office of Naval Research negotiated rate package or, if calculated by other than a rate, provide University documentation identifying G&A and fringe costs by position;

iv. Travel – Provide the purpose of the trip, number of trips, number of days per trip, departure and arrival destinations, number of people, estimated rental car and airfare costs, and prevailing per diem rates as determined by gsa.gov, etc.; quotes must be supported by screenshots from travel websites;

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

v. Other Direct Costs – Itemized with costs including tuition remission, animal per diem rates, health insurance/fee; back-up documentation is to be submitted to support proposed costs;

vi. Equipment Purchases – Itemization with individual and total costs, including quantities, unit prices, proposed vendors (if known), and the basis of estimate (e.g., quotes, prior purchases, catalog price lists, etc.); any item that exceeds $5,000 must be supported with back-up documentation such as a copy of catalog price lists or quotes prior to purchase (NOTE: For equipment purchases, include a letter stating why the proposer cannot provide the requested resources from its own funding), and;

vii. Materials – Itemization with costs, including quantities, unit prices, proposed vendors (if known), and the basis of estimate (e.g., quotes, prior purchases, catalog price lists, etc.); any item that exceeds $5,000 must be supported with back-up documentation such as a copy of catalog price lists or quotes prior to purchase.

(2) A summary of major program tasks by Government Fiscal Year (GFY = Oct 1 – Sep 30)

(3) A summary of total program costs by phase and task;

(4) A summary of projected funding requirements by month;

(5) An itemization of any information technology (IT) purchase (including a letter stating why the proposer cannot provide the requested resources from its own funding), as defined in FAR Part 2.101;

(6) An itemization of Subcontracts. All subcontractor cost proposal documentation must be prepared at the same level of detail as that required of the prime. Subcontractor proposals should include Interdivisional Work Transfer Agreements (IWTA) or evidence of similar arrangements (an IWTA is an agreement between multiple divisions of the same organization);

(7) The source, nature, and amount of any industry cost-sharing. 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;

(8) Identification of pricing assumptions of which may require incorporation into the resulting award instrument (e.g., use of Government Furnished Property/Facilities/Information, access to Government Subject Matter Expert(s), etc.);

(9) Any Forward Pricing Rate Agreement, DHHS rate agreement, other such approved rate information, or such documentation that may assist in expediting negotiations (if available); and

(10) Proposers with a Government acceptable accounting system who are proposing a cost-type contract, must submit the DCAA document approving the cost accounting system.

4.2.3. Additional Proposal Information

Proprietary Markings 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.

Unclassified Submissions 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 Program Security Officer. If a determination is made that the award instrument may result in access to classified information, a Security Classification Guide and/or DD Form 254 (DoD Contract Security Classification Specification) will be issued by DARPA and attached as part of the award.

Human Research Subjects/Animal Use

Proposers that anticipate involving Human Research Subjects or Animal Use must comply with the approval procedures detailed at www.darpa.mil/work-with-us/additional-baa.

Approved Cost Accounting System Documentation

Proposers that do not have a Cost Accounting Standards (CAS) complaint accounting system considered adequate for determining accurate costs that are negotiating a cost-type procurement contract must complete an SF 1408 (Pre-Award Survey of Prospective Contractor-Accounting System). For more information on CAS compliance, see http://www.dcaa.mil/cas.html. 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, see (http://www.dcaa.mil/preaward_accounting_system_adequacy_checklist.html).

Small Business Subcontracting Plan Pursuant to Section 8(d) of the Small Business Act (15 U.S.C. § 637(d)) and FAR 19.702(a)(1), each proposer who submits a contract proposal and includes subcontractors might be required to submit a subcontracting plan with their proposal. The plan format is outlined in FAR 19.704.

Section 508 of the Rehabilitation Act (29 U.S.C. § 749d)/FAR 39.2 All electronic and information technology acquired or created through this BAA must satisfy the accessibility requirements of Section 508 of the Rehabilitation Act (29 U.S.C. § 749d)/FAR 39.2.

Grant Abstract Per Section 8123 of the Department of Defense Appropriations Act, 2015 (Pub. L. 113-235), all grant awards must be posted on a public website in a searchable format. To comply with this requirement, proposers requesting grant awards must submit a maximum one (1) page abstract that may be publicly posted and explains the program or project to the public. The proposer should sign the bottom of the abstract confirming the information in the abstract is approved for public release. Proposers are advised to provide both a signed PDF copy, as well as an editable (e.g., Microsoft word) copy. Abstracts contained in grant proposals that are not selected for award will not be publicly posted.

http://www.darpa.mil/work-with-us/additional-baa http://www.dcaa.mil/cas.html http://www.gsa.gov/portal/forms/download/115778 http://www.dcaa.mil/preaward_accounting_system_adequacy_checklist.html

Intellectual Property All proposers must provide a good faith representation that the proposer either owns or possesses the appropriate licensing rights to all intellectual property that will be utilized under the proposed effort.

For Procurement Contracts

Proposers responding to this BAA requesting procurement contracts will need to complete the certifications at DFARS 252.227-7017. See http://www.darpa.mil/work-with-us/additional-baa for further information. If no restrictions are intended, the proposer should state “NONE.” The table below captures the requested information:

Technical Data Computer Software To be Furnished With Restrictions

Summary of Intended Use in the Conduct of the Research

Basis for Assertion

Asserted Rights Category

Name of Person Asserting

Restrictions

(LIST) (NARRATIVE) (LIST) (LIST) (LIST)

For All Non-Procurement Contracts

Proposers responding to this BAA requesting a grant, cooperative agreement, Technology Investment Agreement, or Other Transactions for Prototypes shall follow the applicable rules and regulations governing these various award instruments, but, in all cases, should appropriately identify any potential restrictions on the Government’s use of any intellectual property contemplated under the award instrument in question. This includes both Noncommercial Items and Commercial Items. Proposers are encouraged to use a format similar to that described in the section above. If no restrictions are intended, then the proposer should state “NONE.”

System for Award Management (SAM) and Universal Identifier Requirements All proposers must be registered in SAM unless exempt per FAR 4.1102. FAR 52.204-7, “System for Award Management” and FAR 52.204-13, “System for Award Management Maintenance” are incorporated into this BAA. See www.darpa.mil/work-with-us/additional-baa for further information.

4.2.4. Submission Information

DARPA will acknowledge receipt of all submissions and assign an identifying control number that should be used in all further correspondence regarding the submission. DARPA intends to use electronic mail correspondence regarding HR001117S0030. Submissions may not be submitted by fax or e-mail; any so sent will be disregarded.

Submissions will not be returned. An electronic copy 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 by DARPA within 5 days after notification that a proposal was not selected.

For (abstract and) full proposal submission dates, see Part I, Overview Information. Submissions received after these dates and times 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 HR001117S0030, proposer organization, technical point of contact, and proposal title (short title recommended).

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

https://baa.darpa.mil/

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

Abstracts and full proposals sent in response to HR001117S0030 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. A fter 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 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 Submitting Full Proposals Requesting Grants or Cooperative Agreements via Grants.gov (NOTE: Proposal Abstracts cannot be accepted if submitted via Grants.gov):

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 Submissions: Grants.gov requires proposers to complete a one-time registration process before a proposal can be electronically submitted. First time registration can take between three business days and four weeks. For more information about registering for Grants.gov, see http://www.darpa.mil/work-with-us/additional-baa.

https://baa.darpa.mil/ https://baa.darpa.mil/ https://baa.darpa.mil/ mailto:BAAT_Support@darpa.mil

Hard-copy Submissions: Proposers electing to submit grant or cooperative agreement proposals as hard copies must complete the SF 424 R&R form (Application for Federal Assistance), available on the Grants.gov website http://apply07.grants.gov/apply/forms/sample/RR_SF424_2_0-V2.0.pdf.

Failure to comply with the submission procedures may result in the submission not being evaluated. DARPA will acknowledge receipt of complete submissions via email and assign control numbers that should be used in all further correspondence regarding proposals.

4.2.5. Disclosure of Information and Compliance with Safeguarding Covered Defense Information Controls

Unless a proposer is performing strictly fundamental research, all proposers receiving FAR-based Procurement Contracts under this BAA shall be compliant with the following:

DFARS 252.204-7000, “Disclosure of Information” DFARS 252.204-7008, “Compliance with Safeguarding Covered Defense Information Controls” DFARS 252.204-7012, “Safeguarding Covered Defense Information and Cyber Incident Reporting”

The full text of the above solicitation provision and contract clauses can be found at http://www.darpa.mil/work-with-us/additional-baa#NPRPAC.

Compliance with the above requirements includes the mandate for proposers to implement the security requirements specified by National Institute of Standards and Technology (NIST) Special Publication (SP) 800-171, “Protecting Controlled Unclassified Information in Nonfederal Information Systems and Organizations” (see https://doi.org/10.6028/NIST.SP.800-171r1) that are in effect at the time the BAA is issued, or as authorized by the Contracting Officer, not later than December 31, 2017.

4.3. FUNDING RESTRICTIONS

Not Applicable.

4.4. OTHER SUBMISSION REQUIREMENTS

Not Applicable.

5. Application Review Information

5.1. EVALUATION CRITERIA

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

5.1.1 Overall Scientific and Technical Merit; 5.1.2 Potential Contribution and Relevance to the DARPA Mission; and 5.1.3 Cost Realism.

5.1.1. Overall Scientific and Technical Merit

The proposed technical approach is innovative, feasible, achievable, and complete.

http://apply07.grants.gov/apply/forms/sample/RR_SF424_2_0-V2.0.pdf http://www.darpa.mil/work-with-us/additional-baa#NPRPAC https://doi.org/10.6028/NIST.SP.800-171r1

The proposed technical team has the expertise and experience to accomplish the proposed tasks.

Task descriptions and associated technical elements provided are complete and in a logical sequence with all proposed deliverables clearly defined such that a final outcome that achieves the goal can be expected as a result of award. The proposal identifies major technical risks and planned mitigation efforts are clearly defined and feasible.

5.1.2. Potential Contribution and Relevance to the DARPA Mission The potential contributions of the proposed effort are relevant to the national technology base.

Specifically, DARPA’s mission is to make pivotal early technology investments that create or prevent strategic surprise for U.S. National Security.

5.1.3. Cost Realism

The proposed costs are realistic for the technical and management approach and accurately reflect the technical goals and objectives of the solicitation. The proposed costs are consistent with the proposer's Statement of Work and reflect a sufficient understanding of the costs and level of effort needed to successfully accomplish the proposed technical approach. The costs for the prime proposer and proposed subawardees are substantiated by the details provided in the proposal (e.g., the type and number of labor hours proposed per task, the types and quantities of materials, equipment and fabrication costs, travel and any other applicable costs and the basis for the estimates).

It is expected that the effort will leverage all available relevant prior research in order to obtain the maximum benefit from the available funding. For efforts with a likelihood of commercial application, appropriate direct cost sharing may be a positive factor in the evaluation. DARPA recognizes that undue emphasis on cost may motivate proposers to offer low-risk ideas with minimum uncertainty and to staff the effort with junior personnel in order to be in a more competitive posture. DARPA discourages such cost strategies.

5.2. REVIEW OF PROPOSALS

Review Process It is the policy of DARPA to ensure impartial, equitable, comprehensive proposal evaluations based on the evaluation criteria listed in Section V.A and to select the source (or sources) whose offer meets the Government's technical, policy, and programmatic goals.

DARPA will conduct a scientific/technical review of each conforming proposal. Conforming proposals comply with all requirements detailed in this BAA; proposals that fail to do so may be deemed non-conforming and may be removed from consideration. Proposals will not be evaluated against each other since they are not submitted in accordance with a common work statement. DARPA’s intent is to review proposals as soon as possible after they arrive; however, proposals may be reviewed periodically for administrative reasons

Award(s) will be made to proposers whose proposals are determined to be the most advantageous to the Government, consistent with instructions and evaluation criteria specified in the BAA herein, and availability of funding.

Handling of Source Selection 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.

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

Federal Awardee Performance and Integrity Information (FAPIIS) Per 41 U.S.C.