HR001119S0025-Amendment-01.pdf

Broad Agency Announcement

System of Systems Enhanced Small Units

STRATEGIC TECHNOLOGY OFFICE

HR001119S0025

Amendment 1

March 19, 2019

The purpose of this amendment is to make revisions to language in the following sections, which are highlighted in yellow throughout the document:

Part IV. Application and Submission Information; B. Content and Form of Application Submission; 2. Additional Proposal Information; b) Security Information; (2) Classified Submissions, (b) Classified Submission Requirements and Procedures, page 18

TABLE OF CONTENTS

PART II: FULL TEXT OF ANNOUNCEMENT

I. Funding Opportunity Description

A. Program Overview

B. PROGRAM METRICS

II. Award Information A. General Award Information B. Fundamental Research

III. Eligibility Information A. Eligible Applicants B. Organizational Conflicts of Interest C. Cost Sharing/Matching D. Collaborative Efforts

IV. Application and Submission Information A. Address to Request Application Package B. Content and Form of Application Submission

V. Application Review Information A. Evaluation Criteria B. Review of Proposals

VI. Award Administration Information A. Selection Notices and Notifications B. Administrative and National Policy Requirements C. Reporting D. Electronic Systems

VII. Agency Contacts VIII. Other Information

IX. APPENDIX 1: PROPOSAL SLIDE SUMMARY

X. APPENDIX 2: CLASSIFIED ADDENDUM REQUEST FORM

XI. APPENDIX 3: VOLUME 1 COVER SHEET TEMPLATE

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

TEMPLATES

XIII. APPENDIX 5: PROGRAM PROTECTION INFORMATION AND TEMPLATES ...40

PART I: OVERVIEW INFORMATION

Federal Agency Name – Defense Advanced Research Projects Agency (DARPA), Strategic Technology Office (STO) Funding Opportunity Title – System of Systems Enhanced Small Units Announcement Type – Initial Announcement Funding Opportunity Number – HR001119S0025 Catalog of Federal Domestic Assistance Numbers (CFDA) – Not applicable Dates o Posting Date: March 13, 2019 o Proposers’ Day: March 18, 2019 o Addendum Request Due Date: March 22, 2019, 05:00 PM (EDT) o Questions Due Date: April 1, 2019, 05:00 PM (EDT) o Proposal Due Date and Time: May 2, 2019, 04:00 PM (EDT)

Total amount anticipated to be awarded – Up to $45.5M (Phases I and II) Anticipated individual awards – Multiple awards are anticipated.

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

Any cost sharing requirements – Not applicable Agency contact o Points of Contact The BAA Coordinator for this effort can be reached at:

HR001119S0025@darpa.mil

DARPA/STO

ATTN: HR001119S0025

675 North Randolph Street Arlington, VA 22203-2114 mailto:HR001119S0025@darpa.mil

PART II: FULL TEXT OF ANNOUNCEMENT

I. 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) System of Systems Enhanced Small Units (SESU) program seeks to develop System of Systems (SoS) capabilities that could enable a small unit (~200-300 soldiers, corresponding materiel footprint, and limited rear-echelon support) to destroy, deceive, and/or disrupt the adversary's Anti-Access / Area Denial (A2/AD) capabilities in order to enable joint and coalition multi-domain operations at appropriate times and locations. Future U.S. land forces are increasingly likely to face an adversary force that is overwhelmingly superior in size and armament with formidable A2/AD capabilities. DARPA is also interested in technologies to destroy, degrade, and delay the adversary's maneuver capabilities. The SESU program will focus on two technical areas: 1) Adaptive Command and Control (C2) that will enable a small unit to do distributed mission planning and execute counter- A2/AD missions leveraging a large number of low-cost, autonomous, Unmanned Air and Ground (UxVs) platforms equipped with appropriate sensor and effects payloads; and 2) Innovative sensors and effects payloads that can cooperate to degrade, disrupt, or destroy aspects of an adversary's A2/AD capabilities.

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.

A. Program Overview

See BAA Classified Addendum.

B. PROGRAM METRICS

See BAA Classified Addendum.

II. Award Information

A. General 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. For planning purposes, the Government budgeted the following funding levels (for TA-1 and TA-2) for award under this BAA (these amounts are approximate, subject to change, and do not include funding set aside for Government support):

Phase 1 Base Period (12 Months) and Phase 2 Priced Option (21 Months): $45.5M

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.4., “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, 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 http://www.darpa.mil/work-with-us/contract-management#OtherTransactions.

In accordance with 10 U.S.C. § 2371b(f), the Government may award a follow-on production contract or Other Transaction (OT) for any OT awarded under this BAA if: (1) that participant in the OT, or a recognized successor in interest to the OT, successfully completed the entire prototype project provided for in the OT, as modified; and (2) the OT provides for the award of a follow-on production contract or OT to the participant, or a recognized successor in interest to the OT.

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.

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

B. Fundamental Research

It is DoD policy that the publication of products of fundamental research will remain unrestricted to the maximum extent possible. National Security Decision Directive (NSDD) 189 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 awardee 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 determine whether the proposed research shall be considered fundamental and to select the award instrument type. Appropriate language will be included in resultant awards for non-fundamental research to prescribe publication requirements and other restrictions, as appropriate. This language can be found at http://www.darpa.mil/work-with-us/additional-baa.

For certain research projects, it may be possible that although the research to be performed by a potential awardee is non-fundamental research, its proposed subawardee’s effort may be fundamental research. It is also possible that the research performed by a potential awardee is fundamental research while its proposed subawardee’s effort may be non-fundamental research.

In all cases, it is the potential awardee’s responsibility to explain in its proposal which proposed efforts are fundamental research and why the proposed efforts should be considered fundamental research.

III. Eligibility Information

A. Eligible Applicants

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

1. Federally Funded Research and Development Centers (FFRDCs) and Government Entities http://www.darpa.mil/work-with-us/additional-baa

a) 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.

b) 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. This information is required for Government Entities proposing to be awardees or subawardees.

c) 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.

(1) 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.

(2) All proposals shall be classified at the collateral SECRET level or above. Proposers must have the ability to execute the entire program at the collateral SECRET level as a minimum. 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 http://www.dss.mil.

B. 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 http://www.dss.mil/ 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.

C. Cost Sharing/Matching

Cost sharing is not required; however, it will be carefully considered where there is an applicable statutory condition relating to the selected funding instrument. 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.

D. Collaborative Efforts

Collaborative efforts/teaming are encouraged. Specific content, communications, networking, and team formation are the sole responsibility of participants.

IV. Application and Submission Information

A. Address to Request Application Package

This announcement, any attachments, and the classified addendum 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.

B. Content and Form of Application Submission

All proposals must be in the following format. Non-conforming submissions that do not follow the instructions herein may be rejected without further review. Proposals shall consist of two volumes: 1) Volume I, Technical and Management Proposal, and 2) Volume II, Cost Proposal.

Each volume should be submitted as single searchable Adobe PDF file. All pages should be printed on 8-1/2 by 11 inch paper with type not smaller than 12 point. Small fonts may be used for figures, tables, and charts. Fold-outs up to 11 by 17 inches may be used, but will be counted as two pages. The page limitations for proposals includes all figures, tables, and charts. All proposals must be written in English. The typical proposal should express a consolidated effort in support of one or more related technical concepts or ideas. Bracketed numbers before each section denote recommended page limits. Copies of all documents submitted must be clearly labeled with the DARPA BAA number, proposer organization, and proposal title/proposal short title.

1. Proposals Format

All proposals must be in the format given below. 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. Proposals shall consist of two volumes: 1) Volume I, Technical and Management Proposal (composed of 3 parts), and 2) Volume II, Cost Proposal. Bracketed numbers before each section denote recommended page limits.

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

a) Volume I, Technical and Management Proposal

(1) Section I: Administrative {2}

(a) Cover Sheet to Include

(1) BAA number (HR001119S0025) http://www.darpa.mil/

(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 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); AND

(11) Date proposal was submitted.

(b) Official transmittal letter. Proposers may also use the transmittal letter to address Organizational Conflicts of Interest as described in Section III.B, if necessary.

(2) Section II: Summary of Proposal {10}

A. The proposal shall provide an executive-level description of key elements and unique features of the proposed System of Systems Enhanced Small Units effort. The Executive Summary should also include a top-level schedule that outlines the proposer’s overall vision and approach to execute the proposed work.

B. Innovative claims for the proposed research. The proposer shall describe their top-level vision of an operational version of the proposed system. This discussion should convey an understanding of how the proposed system will effectively achieve the program goals, providing ample justification as to why the approach is feasible. It should also succinctly describe the proposer’s innovative claims – the uniqueness and benefits of the proposed approach relative to the current state-of-art alternate approaches.

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

D. The proposer should provide a clearly defined organization chart for the program team, which includes, as applicable: (1) the programmatic relationship of the team members; (2) the unique capabilities of the team members; (3) the list of responsibilities of team members;

(4) the teaming strategy among the team members; and (5) the key personnel along with the amount of effort that will be expended by each person during each year. DARPA requires the key personnel identified in the proposal to be assigned as proposed, and the resulting contract/agreement will indicate no substitution shall be made without prior approval of the government.

E. 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 no proprietary claims, this should be stated. For forms to be completed regarding intellectual property, see Section IV.B.3.h of this BAA. There will be no page limit for the listed forms.

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.

(3) Section III: Detailed Proposal Information {35}

A. Detailed technical rationale enhancing that of Section II.

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

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

D. Statement of Work (SOW) - 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. Note, an unclassified version of the SOW should be provided with the unclassified cost proposal. 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 recommended that the SOW be developed so that each Phase of the program is separately defined.

Do not include any proprietary information in the SOW.

E. 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 IV.B.3.h “Intellectual Property.”

F. Discussion of proposer’s previous accomplishments and work in closely related research areas.

G. Description of the facilities that would be used for the proposed effort. This section should address how safeguarding of materials will be handled at each facility to include classified materials when applicable.

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

I. 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 proposed awardee and major sub-awardees, 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. Additionally, proposals should clearly explain 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. The milestones must not include proprietary information.

J. A cost breakdown table by task, delineated by primes and major subcontractors, should be included that summarizes:

Prime labor hours by labor category, labor cost, materials cost, and travel costs 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 cu rit y

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 ba w ar de e

Ho ur s

Su ba w ar de e

La bo r C os ts

Su ba w ar de e

M at er ia ls

Su ba w ar de eT ra ve l

To ta ls

System Requirements Review (SRR) Design Task 1. Conceptual Design hours hours hours hours hours hours hours hours hours $ $ $ hours $ $ $ $

Task 2. Develop Integrated Link and Control Approach hours hours hours hours hours hours hours hours hours $ $ $ hours $ $ $ $

Task 3. Develop and Validate Modeling and Simulation Approach hours hours hours hours hours hours hours hours hours $ $ $ hours $ $ $ $

Task 4. Experimental Validation of any Unproven Link Technologies hours hours hours hours hours hours hours hours hours $ $ $ hours $ $ $ $

Task 5. WF and ICD Definition hours hours hours hours hours hours hours hours hours $ $ $ hours $ $ $ $

Task 6. Program Management hours hours hours hours hours hours hours hours hours $ $ $ hours $ $ $ $

Task 7. … SRR Sub Totals

Preliminary Design Review Option hours hours hours hours hours hours hours hours hours $ $ $ hours $ $ $ $

Task 1. Develop Fully Qualified Design hours hours hours hours hours hours hours hours hours $ $ $ hours $ $ $ $

Task 2. Develop and Test Brassboard System hours hours hours hours hours hours hours hours hours $ $ $ hours $ $ $ $

Task 3. Program Management hours hours hours hours hours hours hours hours hours $ $ $ hours $ $ $ $

Task 4. … PDR Sub Totals

Grand Totals

(3) Section IV. Additional Information {No more than 6 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. These papers or research notes will not be formally reviewed against the evaluation criteria, but should allow technical understanding of the claims made. Copies of not more than three (3) relevant papers can be included in the submission.

b) Volume II, Cost Proposal {no page limit}

All proposers, including FFRDCs, must submit the following:

(1) Cover sheet to include:

(1) BAA number (HR001119S0025);

(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 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-fee (CPFF), cost-contract—no fee, cost sharing contract – no fee, or other type of procurement contract (specify) or Other Transaction;

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

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

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

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

(15) Date proposal was prepared;

(16) DUNS number;

(17) TIN number;

(18) CAGE Code;

(19) Subawardee Information; and

(20) Proposal validity period.

(2) Additional Cost Proposal Information

(a) Supporting Cost and Pricing Data

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 Government strongly encourages that tables included in the cost proposal also be provided in an editable (e.g., MS Excel) format with calculation formulas intact to allow traceability of the cost proposal numbers across the prime and subcontractors. 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).

(b) Cost Breakdown Information and Format Detailed cost breakdown to include:

Total program costs broken down by major cost items (direct labor, including labor categories; subcontracts; materials; other direct costs; overhead charges, etc.) and further broken down by task and phase

Major program tasks by fiscal year An itemization of major subcontracts and equipment purchases.

Documentation supporting the reasonableness of the proposed equipment costs

(vendor quotes, past purchase orders/purchase history, detailed engineering estimates, etc.) shall be provided.

An itemization of any information technology (IT) purchase, as defined by FAR

2.101 – Documentation supporting the reasonableness of the proposed equipment costs(vendor quotes, past purchase orders/purchase history, detailed engineering estimates, etc.) shall be provided, including a letter stating why the proposer cannot provide the requested resources from its own funding for prime and all sub-awardees. If the effort is classified SAP and the offeror proposes use of a SAP IT system other than the current DARPA approved SAP IT systems solution, and DARPA approves in writing use of a SAP IT system that is unique or different from the current DARPA approved SAP IT systems solution, then: 1) successful offerors are required to track and provide all SAP IT costs associated with such unique SAP IT system solution, and 2) any such costs, to include costs for associated cybersecurity manpower, shall be reported at least annually to the DARPA Program Manager by Oct 1st of each year for inclusion in the DARPA Annual SAP report. Those costs should also include costs associated with the SAP IT Destruction, disposition, and sanitization processes required in the OSD SAPCO Memorandum, “Disposition of DoD Special Access Program Information Technology Devices”, July 27, 2017. NOTE: If the proposed SAP IT system for use is the DARPA approved SAP IT systems solution only, then no separate tracking or reporting of costs by the contractor for SAP IT is required.

A summary of projected funding requirements by month The source, nature, and amount of any industry cost-sharing 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 experts, etc.)

Tables included in the cost proposal should be in an editable (e.g. MS Excel) format with calculation formulas intact. NOTE: If PDF submissions differ from the Excel submission, the PDF will take precedence.

Per FAR 15.403-4, certified cost or pricing data 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.)

(c) Subawardee Proposals The awardee is responsible for compiling and providing all subawardee proposals for the Procuring Contracting Officer (PCO)/Agreement Officer (AO) as applicable. Subawardee proposals should include Interdivisional Work Transfer Agreements (ITWA) or similar arrangements. Where the effort consists of multiple portions which could reasonable be partitioned for purposes of funding, these should be identified as options with separate cost estimates for each.

All proprietary subawardee proposal documentation, prepared at the same level of detail as that required of the awardee’s proposal and which cannot be uploaded with the proposed awardee’s proposal, shall be provided to the Government either by the awardee or by the subawardee organization when the proposal is submitted. Subawardee proposals submitted to the Government by the proposed awardee should be submitted in a sealed envelope that the proposed awardee will not be allowed to view. The subawardee must provide the same number of copies to the PCO/GO/AO as is required of the awardee. See Section IV.B.4.b. of this BAA for proposal submission information.

(d) Other Transaction Requests All proposers requesting an OT must include a detailed list of milestones. Each milestone must include the following:

milestone description, completion criteria, due date, and payment/funding schedule (to include, if cost share is proposed, awardee and

Government share amounts).

It is noted that, at a minimum, milestones should relate directly to accomplishment of program technical metrics as defined in the BAA and/or the proposer’s proposal. Agreement type, expenditure or fixed-price based, will be subject to negotiation by the Agreements Officer. Do not include proprietary data.

2. Additional Proposal Information

a) 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”.” 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

(1) Program Security Information

(a) Program Security Proposers should include with their proposal any proposed solution(s) to program security requirements unique to this program; this information should be explained in detail in the Program Protection (P2) appendix contained in APPENDIX 5 which does not count against the proposals page count. See classified addendum for APPENDIX 5. Common program security requirements include but are not limited to: operational security (OPSEC) contracting/sub-contracting plans; foreign participation or materials utilization plans; program protection plans (which may entail the following) manufacturing and integration plans; range utilization and support plans (air, sea, land, space, and cyber); data dissemination plans; asset transportation plans; classified test activity plans; disaster recovery plans; classified material / asset disposition plans and public affairs / communications plans.

(2) Classified Submissions

(a) Classified Proposal Markings

All proposals shall be classified at the collateral SECRET level or above. Classified submissions shall be transmitted and marked in accordance with the following guidance. Security classification guidance via a Security Classification Guide (SCG) and/or DARPA 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.

If a submission contains Classified National Security Information or the suspicion of such, as defined by Executive Order 13526, the information 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.

(b) Classified Submission Requirements and Procedures

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

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

The effort being solicited by this BAA is classified or otherwise involves access to, or generation or, 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 HR001119S0025 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 HR001119S0025@darpa.mil with the subject line titled “Request DARPA-HR001119S0025 Classified Document.”

http://www.dss.mil/

Proposers should allow at least five (5) business days for processing request for the classified BAA plus time for delivery. Requests for this information will not be accepted after March 22, 2019.

Confidential, Secret, and Top 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, Secret, and/or Top Secret classified information.

Confidential and Secret Confidential and Secret classified information may be submitted via ONE of the two following methods to the mailing address listed in the contact information in Part I of this BAA:

Hand-carried by an appropriately cleared and authorized courier to the DARPA Classified Document Registry (CDR). Prior to traveling, the courier shall contact the DARPA CDR at 703-526-4052 to coordinate arrival and delivery. The courier shall also contact the DARPA Program Security Representative (PSR), Mr. Carlos Johnson, at 571- 218-4244 or carlos.johnson.ctr@darpa.mil.

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. Senders should mail to the mailing address listed in the contact information herein. Prior to mailing, proposers shall contact the DARPA PSR, Mr. Carlos Johnson, at 571-218-4244 or carlos.johnson.ctr@darpa.mil to coordinate submission.

The inner envelope shall be addressed to Defense Advanced Research Projects Agency, ATTN:

STO/Dr. Paul Zablocky, with a reference to the BAA number.

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.

Top Secret Information 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. At least five (5) working days prior to traveling, couriers should notify the DARPA PSR, Mr. Carlos Johnson, at 571-218-4244 or carlos.johnson.ctr@darpa.mil.

mailto:carlos.johnson.ctr@darpa.mil mailto:carlos.johnson.ctr@darpa.mil

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 Program Security Officer (PSO) via the BAA mailbox or by contacting the DARPA PSR, Mr.

Carlos Johnson, at 571-218-4244 or carlos.johnson.ctr@darpa.mil. Pre-coordination with the DARPA PSR and two weeks advance notice must be provided when submitting classified information at the SCI level.

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 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, Mr. Jason Potter, at 703-526-2687 or jason.potter@darpa.mil, or the DARPA PSR, Mr. Carlos Johnson, at 571- 218-4244 or carlos.johnson.ctr@darpa.mil.

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: All proposals containing Special Access Program (SAP) information must be processed on a SAP information technology (SAP IT) system that has received an Approval-to-Operate (ATO) from the DARPA Technology Office PSO, or other applicable DARPA SAP IT Authorizing Official. The SAP IT system ATO will be based upon the Risk Management Framework (RMF) process outlined in the Joint Special Access Program Implementation Guide (JSIG), current version, (or successor document).

(Note: A SAP IT system is any SAP IT system that requires an ATO. It can range from a single laptop/tablet up to a local and wide area networks.)

The Department of Defense mandates the use of a component’s SAP enterprise system unless a compelling reason exists to use a non-enterprise system. The DARPA Chief Information Officer (CIO) must approve any performer proposal to acquire, build, and operate a non-enterprise SAP IT system during the awarded period of performance. Use of the DARPA SAP enterprise system, SAVANNAH, does not require CIO approval.

SAP IT disposition procedures must be approved by the DARPA Senior Authorizing Official, or SAPCO, IAW the OSD SAPCO Memorandum, “Disposition of DoD Special Access Program Information Technology Devices”, July 27, 2017.

mailto:carlos.johnson.ctr@darpa.mil mailto:jason.potter@darpa.mil

c) Disclosure of Information and Compliance with Safeguarding Covered Defense Information Controls

The following provisions and clause apply to all solicitations and contracts; however, the definition of “controlled technical information” clearly exempts work considered fundamental research and therefore, even though included in the contract, will not apply if the work is fundamental research.

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.

For awards where the work is considered fundamental research, the contractor will not have to implement the aforementioned requirements and safeguards; however, should the nature of the work change during performance of the award, work not considered fundamental research will be subject to these requirements.

d) Human Subjects Research (HSR)/Animal Use

Proposers that anticipate involving human subjects or animals in the proposed research must comply with the approval procedures detailed at http://www.darpa.mil/work-with-us/additional-baa, to include providing the information specified therein as required for proposal submission.

e) Approved Cost Accounting System Documentation

Proposers that do not have a Cost Accounting Standards (CAS) compliant accounting system considered adequate for determining accurate costs that are negotiating a cost- type procurement contract must complete an SF 1408. For more information on CAS compliance, see http://www.dcaa.mil. 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.

http://www.darpa.mil/work-with-us/additional-baa#NPRPAC https://doi.org/10.6028/NIST.SP.800-171r1 http://www.darpa.mil/work-with-us/additional-baa http://www.darpa.mil/work-with-us/additional-baa http://www.dcaa.mil/ http://www.gsa.gov/portal/forms/download/115778

f) 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.