HR001119S0052.pdf

HR001119S0052ONISQ 1

Broad Agency Announcement Optimization with Noisy Intermediate-Scale Quantum devices

(ONISQ)

Defense Sciences Office

HR001119S0052

April 9, 2019

HR001119S0052ONISQ 2

Table of Contents I. Funding Opportunity Description

A. Introduction B. Background C. Program Description/Scope D. Program Structure E. Technical Area Descriptions F. Schedule/Milestones G. Deliverables

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

IV. Application and Submission Information A. Address to Request Application Package B. Content and Form of Application Submission C. Submission Dates and Times D. Funding Restrictions E. Unclassified Submission Instructions

V. Application Review Information A. Evaluation Criteria B. Review and Selection Process C. Federal Awardee Performance and Integrity Information (FAPIIS)

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

VII. Agency Contacts VIII. Other Information

A. Frequently Asked Questions (FAQs) B. Proposers Day

BAA Attachments:

Attachment A: ABSTRACT SUMMARY SLIDE TEMPLATE Attachment B: ABSTRACT TEMPLATE Attachment C: PROPOSAL SUMMARY SLIDE TEMPLATE Attachment D: PROPOSAL TEMPLATE VOLUME 1 TECHNICAL & MANAGEMENT VOLUME Attachment E: PROPOSAL TEMPLATE VOLUME 2 COST VOLUME Attachment F: PROPOSAL TEMPLATE VOLUME 2 COST SUMMARY SPREADSHEET Attachment G: PROPOSAL TEMPLATE VOLUME 3 ADMINISTRATIVE & NATIONAL POLICY REQUIREMENTS VOLUME

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PART I: OVERVIEW INFORMATION

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

Funding Opportunity Title: Optimization with Noisy Intermediate-Scale Quantum devices (ONISQ)

Announcement Type: Broad Agency Announcement

Funding Opportunity Number: HR001119S0052

Catalog of Federal Domestic Assistance (CFDA) Number(s): 12.910 Research and Technology Development

Dates (All times listed herein are Eastern Time.)

o Posting Date: April 9, 2019.

o Proposers Day: March 19, 2019. See Section VIII.B.

o Abstract Due Date: April 22, 2019, 4:00 p.m.

o FAQ Submission Deadline: May 28, 2019, 4:00 p.m. See Section VIII.A.

o Full Proposal Due Date: June 10, 2019, 4:00 p.m.

Anticipated Individual Awards: DARPA anticipates multiple awards

Anticipated Funding Available for Awards (approximate anticipated sum-total of all awards made): $33M.

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

Agency contacts o Technical POC: Tatjana Curcic, Program Manager, DARPA/DSO o BAA Email: ONISQ@darpa.mil o BAA Mailing Address:

DARPA/DSO

ATTN: HR001119S0052

675 North Randolph Street Arlington, VA 22203-2114 o DARPA/DSO Opportunities Website: http://www.darpa.mil/work-with-us/opportunities

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

http://www.darpa.mil/work-with-us/opportunities?tFilter=&oFilter=2&sort=name

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PART II: FULL TEXT OF ANNOUNCEMENT

I. Funding Opportunity Description

This Broad Agency Announcement (BAA) constitutes a public notice of a competitive funding opportunity as described in Federal Acquisition Regulation (FAR) 6.102(d)(2) and 35.016 as well as 2 CFR § 200.203. Any resultant negotiations and/or awards will follow all laws and regulations applicable to the specific award instrument(s) available under this BAA, e.g., FAR

15.4 for procurement contracts.

A. Introduction The Defense Sciences Office at the Defense Advanced Research Projects Agency (DARPA) is soliciting innovative research proposals in support of the Optimization with Noisy Intermediate- Scale Quantum devices (ONISQ) program. The goal of the ONISQ program is to establish that Quantum Information Processing (QIP) using Noisy Intermediate-Scale Quantum (NISQ) devices has a quantitative advantage for solving real-world combinatorial optimization problems as compared with the best known classical methods. In addition, the ONISQ program will develop a theoretical basis to explore the power of hybrid optimization approaches, including identifying families of problem instances in combinatorial optimization where QIP is likely to have the biggest impact. Proposed research should investigate innovative approaches that enable revolutionary advances in science, devices, and NISQ systems. Specifically excluded is research that primarily results in evolutionary improvements to the existing state of practice. For the purposes of this BAA, QIP refers to quantum information processing using noisy, non-fault-tolerant devices. The advancement of fully fault-tolerant quantum computation is outside the scope of this BAA. Quantum annealing approaches are also explicitly excluded.

B. Background Combinatorial optimization problems are ubiquitous across a wide range of applications from specific defense challenges, such as target assignment and mission planning, to dual-use challenges including scheduling, supply chain management and circuit fault detection. Because these problems are NP-complete, exact solutions are often impossible to determine. For many cases, efficient heuristic algorithms have been developed, without guarantee of optimality. For many others, only methods that scale exponentially with the size of the problem yield good results. Fault-tolerant quantum computers (QCs) have been proposed as an answer for solving a host of intractable problems, but despite steady progress, most experts agree that such systems are still decades away. However, over the past several years, quantum processors with >50 qubits have been developed in several different platforms (e.g., superconducting, trapped ions, neutral atoms) and processors with >100 physical qubits are anticipated soon. Although these processors are noisy and thus can only implement circuits with limited depth1, there is a growing body of research aimed at establishing the utility of these NISQ devices.

Of particular interest is the recent development of quantum heuristics suitable for low-depth quantum circuits. A hybrid quantum/classical variational approach, an example of which is the

1 Circuit depth is the number of time steps needed to implement an algorithm.

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Quantum Approximate Optimization Algorithm (QAOA), has emerged as a candidate for solving combinatorial optimization problems2. In these hybrid algorithms, a quantum processor prepares a parametrized quantum state according to a set of variational parameters. This state is created by alternately applying parametrized quantum operators p times (p≥1) in a p-level circuit3. Using measurement outputs, the parameters are then optimized by a classical computer and fed back to the quantum processor in a closed loop. Due to the difficulty of evaluating this approach theoretically, the performance has not been quantitatively established. However, results to date are very encouraging and provide a strong impetus to implement and evaluate such hybrid algorithms in NISQ hardware. For example, it has been proven that the approximate solution improves as p increases. For the purposes of ONISQ objectives, a relevant figure of merit for the NISQ hardware is the product N∙p, where N is the number of qubits.

Another important and encouraging recent development is that it has been shown that large combinatorial optimization problems can be effectively decomposed into smaller parts that can then be embedded in a quantum processor without sacrificing the quality of the overall solution4.

Therefore, if a quantum speedup is demonstrated on even modest-size NISQ devices and problem decomposition techniques are applied, it is likely that QIP will have a quantitative advantage over the best classical methods for an arbitrary-size problem.

In summary, the difficulty in solving important combinatorial optimization problems coupled with the promise of new algorithms and emerging quantum hardware, provide the impetus for the ONISQ program.

C. Program Description/Scope ONISQ will establish the utility of NISQ processors for solving real-world combinatorial optimization problems. It is envisioned that by the end of the program, a clear pathway towards solving problems of relevance to the Department of Defense will be established. This will be accomplished via:

Developing quantum processors with a sufficiently large number of qubits and circuit depth;

Implementing a hybrid variational optimization algorithm in NISQ hardware and fully characterizing its performance;

Demonstrating quantum advantage via benchmarking against state-of-the-art classical optimization algorithms for a problem of choice; quantum advantage can be manifested as, for example, a better approximate solution, as measured by the approximation ratio, or a better time/energy-to-solution scaling;

Identifying families of problem instances in combinatorial optimization where hybrid variational approaches are likely to have the biggest impact, and developing strategies for addressing large optimization problems.

2 E. Farhi et al., arXiv:1411.4028 (2018); S. Hadfield et al., Algorithms 12.2 (2019): 34 3 Notice that p is in general not the same as the “circuit depth” d. While p and d are proportional to each other their relationship will depend on the specific hardware and algorithm chosen.

4 Z. Bian, et al., Frontiers in ICT, Vol. 3, 14 (2016)

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Quantum annealing approaches are explicitly excluded from consideration.

D. Program Structure

ONISQ is a 48-month program composed of two separate, but related, Technical Areas (TAs):

proposers who want to work in both TAs should submit a stand-alone proposal for each TA.

Work in TA1 will involve hardware development, with supporting theoretical efforts, and demonstration of quantum advantage. TA2 is focused on the development of theoretical foundations for demonstrating quantum advantage for real-world combinatorial optimization problems. The program is divided into two phases:

Phase I (18-month duration) ─ In this phase, TA1 performers will achieve a proof of principle implementation of a quantum optimization algorithm in modest-size/performance NISQ hardware and perform initial characterization of the algorithm.

TA2 performers will develop theoretical foundations for quantum optimization in NISQ devices.

Phase II (30-month duration) ─ TA1 performers will fully characterize the optimization algorithm in scaled up NISQ hardware, solve a combinatorial optimization problem, and perform benchmarking against the best classical method. TA2 performers will provide theoretical proofs with respect to the viability of hybrid quantum approaches for solving real-world combinatorial problems better than with the best classical methods.

Performers will be encouraged to exchange information and collaborate openly and regularly with other performers in the program.

E. Technical Area Descriptions The program has two TAs: TA1 is focused on the demonstration of quantum advantage in hardware, and TA2 provides foundational theoretical support to the program objectives. Each proposal should address a single TA. Instructions on the information that should be included in a proposal abstract and/or full proposal can be found in attachments B and D, respectively. The following is a detailed description of the TAs:

Technical Area 1 ─ Quantum optimization demonstration: The focus in this TA is to implement a hybrid quantum/classical optimization algorithm in NISQ hardware for a specific combinatorial optimization problem and to characterize it fully, with the ultimate goal of demonstrating quantum advantage over classical approaches. This will likely require significant advances in hardware, such as increasing the number of qubits and improving their quality, as well as improving the fidelity of quantum operations. Optimization of the algorithm implementation in hardware will also be important, as it can impact the requirement on circuit depth. Finally, careful benchmarking against classical methods is critical for establishing quantum advantage. The choice of the optimization problem is expected to have a clear and justified military relevance and application.

While this technical area has a strong hardware component, theoretical support on algorithm implementation optimization and benchmarking, for example, is integral and critical for this area. Addressing all of the requirements, metrics, and milestones for this TA is expected to require collaboration between experimental and theoretical physicists, engineers, computer

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scientists and mathematicians. Therefore, multidisciplinary teams with broad expertise are strongly encouraged.

Proposers in this TA are expected to address the following in their proposal:

Specify which combinatorial optimization problem will be solved, and describe the national security relevance. Explain how it is solved today and justify why the proposed approach is expected to perform better.

Describe in detail the NISQ hardware that will be used and how it will be scaled up to achieve the program objectives. Provide a discussion about the challenges related to achieving the required quantum circuit size and depth, and error mitigation techniques that will be employed in order to achieve quantum advantage.

Describe clearly how the algorithm will be implemented in your NISQ hardware and how its implementation will be optimized.

Describe in detail the algorithm characterization procedures and measurements, which measure of quantum advantage will be used and why it is the relevant measure for the chosen problem.

Describe the classical state of the art, provide a detailed procedure for benchmarking the quantum algorithm against the best classical for the chosen problem, and describe how any quantum advantage will be quantified.

Technical Area 2 ─ Theoretical foundations for quantum optimization: The focus in this TA is the development of more general theoretical methods to explore the power of hybrid optimization approaches and ultimately pave the way for a quantum optimization paradigm that surpasses the best classical methods for certain classes of combinatorial optimization problems.

This area has 3 subareas with the aim of addressing these program goals:

a) Identify families of instances in combinatorial optimization where hybrid quantum/classical approaches can outperform classical methods

b) Develop novel methods that will enable addressing large combinatorial optimization problems for DoD applications and can be efficiently implemented in NISQ devices

c) Develop new quantum optimization algorithms for NISQ devices.

Awards for this technical area are expected to be made both to small teams and single investigators. Proposers to this TA may address one or multiple subareas in their proposal.

F. Schedule/Milestones ONISQ is structured to provide proof-of-principle demonstrations of the utility of NISQ devices for combinatorial optimization applications of interest to the DoD. Proposers should specify the research and technology development schedule for the full period of performance, split between a base Phase I (18 months) and an option Phase II (30 months). The Statement of Work (SOW) must provide a detailed task breakdown, citing specific tasks and their connection to interim milestones and metrics, as applicable. Each phase of the program should be separately defined;

tasks may not span more than one phase. To the extent practical, the SOW should be organized by the work required to achieve a particular technical objective. The task structure must be consistent across the proposed schedule, SOW, and cost volume. For TA1, proposers should

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provide a technical and programmatic strategy that conforms to the entire program schedule and presents an aggressive plan to fully address all program goals, metrics, milestones, and deliverables. For TA2, proposers may address one or multiple subareas (see Section E), and related milestones, and deliverables.

Schedules will be synchronized across performers, as required, and monitored/revised as necessary throughout the program. A target start date of November 1, 2019 may be assumed for planning purposes. The following milestones and metrics will serve as evaluation points during the course of the program; proposers should incorporate these into their SOW. The successful achievement of end-of-Phase I metrics will be considered when funding decisions are made for Phase II.

Phase I (18 months) milestones Technical Area 1 ─ Quantum optimization demonstration

9 mo: Design a hybrid quantum/classical optimizer with N∙p>100, where N is the number of qubits and p is the number of alternating applications of parametrized quantum operators in the variational protocol (see Section B).

18 mo: Implement the selected variational algorithm in the hybrid NISQ optimizer with N∙p >100 and characterize its performance.

Technical Area 2 ─ Theoretical foundations for quantum optimization (per subarea, see section E)

18 mo:

a) Identify families of instances in combinatorial optimization where hybrid approaches could possibly outperform the best classical methods.

b) Develop novel methods for addressing large combinatorial optimization problems for DoD applications that can be efficiently implemented in NISQ devices. An example of such methods is problem decomposition techniques.

c) Develop new quantum optimization algorithms.

Phase II (30 months) milestones Technical Area 1 ─ Quantum optimization demonstration

9 mo: Design a hybrid quantum/classical optimizer with N∙p >10,000.

18 mo: Implement the selected variational algorithm in the scaled-up hybrid NISQ processor with N∙p >10,000 and fully characterize its performance.

30 mo: Perform benchmarking against the best classical method for a combinatorial optimization problem of choice; demonstrate and quantify quantum advantage.

Technical Area 2 ─ Theoretical foundations for quantum optimization (per subarea, see section E)

30 mo:

a) Quantify the quantum advantage for the identified problem instances, to the extent possible.

b) Provide proofs of the soundness of the methods developed in Phase I.

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c) Perform theoretical characterization, analytical and/or numerical, of the performance of new quantum optimization algorithms.

Meetings and Travel All proposals must include the following meetings and travel in the proposed schedule and costs:

To continue integration and development between TAs, foster collaboration between teams and disseminate program developments, a two-day Principal Investigator (PI) meeting will be held approximately every six months. For budgeting purposes, plan for nine two-day meetings over the course of 48 months: four meetings in the Washington, D.C. area and five meetings in the San Francisco, CA area.

Regular teleconference meetings will be scheduled with the Government team for progress reporting as well as problem identification and mitigation. Proposers should also anticipate at least one site visit per phase by the DARPA Program Manager during which they will have the opportunity to demonstrate progress towards agreed-upon milestones.

G. Deliverables Performers will be expected to provide at a minimum the following deliverables:

Comprehensive quarterly technical reports due within ten days of the end of the given quarter, describing progress made on the specific milestones as laid out in the SOW.

A phase completion report submitted within 30 days of the end of each phase, summarizing the research done.

Other negotiated deliverables specific to the objectives of the individual efforts. These may include registered reports, experimental protocols, publications, data management plan, intermediate and final versions of software libraries, code, and APIs, including documentation and user manuals, and/or a comprehensive assemblage of design documents, models, modeling data and results, and model validation data.

Reporting as outlined in Section VI.C.

II. Award Information A. General Award Information

DARPA anticipates multiple awards. The level of funding for individual awards made under this BAA will depend on the quality of the proposals received and the availability of funds. Awards will be made to proposers5 whose proposals are determined to be the most advantageous to the Government, all evaluation factors considered. See Section V for further information.

5 As used throughout this BAA, “proposer” refers to the lead organization on a submission to this BAA. The proposer is responsible for ensuring that all information required by a BAA--from all team members--is submitted in accordance with the BAA. “Awardee” refers to anyone who might receive a prime award from the Government, including recipients of procurement contracts, grants, cooperative agreements, or Other Transactions. “Subawardee” refers to anyone who might receive a subaward from a prime awardee (e.g., subawardee, consultant, etc.).

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The Government reserves the right to:

select for negotiation all, some, one, or none of the proposals received in response to this solicitation;

make awards without discussions with proposers;

conduct discussions with proposers if it is later determined to be necessary;

segregate portions of resulting awards into pre-priced options;

accept proposals in their entirety or to select only portions of proposals for award;

fund awards in increments with options for continued work at the end of one or more phases;

request additional documentation once the award instrument has been determined (e.g., representations and certifications); and remove proposers from award consideration should the parties fail to reach agreement on award terms within a reasonable time or the proposer fails to provide requested additional information in a timely manner.

Proposals identified for negotiation may result in a procurement contract, grant, cooperative agreement, or other transaction (OT), depending upon the nature of the work proposed, the required degree of interaction between parties, and other factors.

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.

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

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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 may be met by proposers intending to perform fundamental research and does not anticipate applying publication restrictions of any kind to individual awards for fundamental research that may result from this BAA. Notwithstanding this statement of expectation, the Government is not prohibited from considering and selecting research proposals that, while perhaps not qualifying as fundamental research under the foregoing definition, still meet the BAA criteria for submissions. If proposals are selected for award that offer other than a fundamental research solution, the Government will either work with the proposer to modify the proposed statement of work to bring the research back into line with fundamental research or else the proposer will agree to restrictions in order to receive an award.

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 DARPA’s consideration.

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

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

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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.

2. Foreign Participation 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. For classified submissions, this includes mitigating any Foreign Ownership Control and Influence (FOCI) issues prior to transmitting the submission to DARPA. Additional information on these subjects can be found at http://www.dss.mil/isp/foci/foci_faqs.html.

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 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 http://www.dss.mil/isp/foci/foci_faqs.html

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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.

Include any OCIs affirmations and disclosures in Attachment G Proposal Template Vol. 3- Admin and National Policy Requirements.

C. Cost Sharing/Matching Cost sharing is not required; however, it will be carefully considered where there is an applicable statutory condition relating to the selected funding instrument (e.g., OTs under the authority of 10 U.S.C. § 2371). 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

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

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IV. Application and Submission Information Prior to submitting a full proposal, proposers are strongly encouraged to first submit an abstract as described below. This process allows a proposer to ascertain whether the proposed concept is: (1) applicable to the ONISQ BAA and (2) currently of interest. For the purposes of this BAA, applicability is defined as follows:

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

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

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

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

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

Abstracts and full proposals that are not found to be applicable to the ONISQ BAA as defined above may be deemed non-conforming6 and removed from consideration. All abstracts and full proposals must provide sufficient information to assess the validity/feasibility of their claims as well as comply with the requirements outlined herein for submission formatting, content and transmission to DARPA. Abstracts and full proposals that fail to do so may be deemed non-conforming and removed from consideration. Proposers will be notified of non-conforming determinations via letter.

A. Address to Request Application Package This document contains all information required to submit a response to this solicitation. No additional forms, kits, or other materials are needed except as referenced herein. No request for proposal or additional solicitation regarding this opportunity will be issued, nor is additional information available except as provided at the Federal Business Opportunities website (http://www.fbo.gov), the Grants.gov website (http://www.grants.gov/), or referenced herein.

B. Content and Form of Application Submission

1. Abstract Information

As stated above, proposers are strongly encouraged to submit an abstract in advance of a full proposal to minimize effort and reduce the potential expense of preparing an out of scope proposal. The abstract provides a synopsis of the proposed project by briefly answering the following questions:

What is the proposed work attempting to accomplish or do?

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

Who will care and what will the impact be if the work is successful?

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

http://www.fbo.gov/ http://www.grants.gov/

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How much will it cost, and how long will it take?

DARPA will respond to abstracts with a statement as to whether DARPA is interested in the idea. If DARPA does not recommend the proposer submit a full proposal, DARPA will provide feedback to the proposer regarding the rationale for this decision. Regardless of DARPA’s response to an abstract, proposers may submit a full proposal. DARPA will review all conforming full proposals using the published evaluation criteria and without regard to any comments resulting from the review of an abstract.

Proposers should note that a favorable response to an abstract is not a guarantee that a proposal based on the abstract will ultimately be selected for award negotiation.

While it is DARPA policy to attempt to reply to abstracts within thirty calendar days, proposers to this solicitation may anticipate a response within approximately three weeks. These official notifications will be sent via email to the Technical POC and/or Administrative POC identified on the abstract coversheet.

Abstract Format All proposers are required to use Attachment A: Abstract Summary Slide Template and Attachment B: Abstract Template provided to this solicitation on http://www.fbo.gov and http://www.grants.gov. Attachment A Abstract Summary Slide Template described herein must be in .ppt or .pptx format and should be attached as a separate file to this document.

2. Full Proposal Information Proposals consist of Volume 1: Technical and Management Volume, Volume 2: Cost Volume, and Volume 3: Administrative and National Policy Requirements Volume.

To assist in proposal development, various attachments have been provided along with the BAA posted on http://www.fbo.gov (Attachment C: Proposal Summary Slide Template, Attachment D: Proposal Template Volume 1 Technical & Management Volume, Attachment E: Proposal Template Volume 2 Cost Volume, Attachment F: Proposal Template Volume 2 Cost Summary Spreadsheet, and Attachment G: Proposal Template Volume 3 Administrative & National Policy Requirements Volume).

Full proposals requesting a procurement contract or other transaction (OT) must use the following attachments:

Attachment C Attachment D Attachment E Attachment F Attachment G http://www.fbo.gov/

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Full proposals requesting a grant or cooperative agreement must use the following attachments in addition to the Grants.gov application package:

Attachment C Attachment D Attachment F Attachment G *Note – Budget Justification should be provided as Section L of the SF 424 Research & Related Budget form provided via Grants.gov. The Budget Justification should include the following information for the recipient and all subawardees: (1) Direct Labor: Detail the total number of persons and their level of commitment for each position listed (in sections A and B), as well as which specific tasks (as described in the SOW) they will support.(2) Equipment (section C) Provide an explanation for listed requested equipment exceeding $5,000, properly justifying their need to meet the objectives of the program. (3) Travel (section D) Provide the purpose of the trip, number of trips, number of days per trip, departure and arrival destinations, number of people, etc. (4) Other Direct Costs (section F). Provide a justification for the items requested and an explanation of how the estimates were obtained.

Proposals not meeting the format prescribed herein may not be reviewed.

Full Proposal Format

All proposers are required to use the templates provided as attachments to this solicitation on http://www.fbo.gov and http://www.grants.gov. Formatting instructions are provided therein.

3. Proprietary Information Proposers are responsible for clearly identifying proprietary information. Submissions containing proprietary information must have the cover page and each page containing such information clearly marked with a label such as “Proprietary” or “Company Proprietary.” NOTE:

“Confidential” is a classification marking used to control the dissemination of U.S. Government National Security Information as dictated in Executive Order 13526 and should not be used to identify proprietary business information. See Section V.B.1 for additional information.

4. Security Information 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 DARPA/DSO Program Security Officer (PSO).

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

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issued by DARPA and attached as part of the award.

C. Submission Dates and Times Proposers are warned that submission deadlines as outlined herein are in Eastern Time and will be strictly enforced. When planning a response to this solicitation, proposers should take into account that some parts of the submission process may take from one business day to one month to complete (e.g., registering for a Data Universal Numbering System (DUNS) number or Taxpayer Identification Number (TIN)).

DARPA will acknowledge receipt of complete submissions via email and assign identifying numbers that should be used in all further correspondence regarding those submissions. If no confirmation is received within two business days, please contact the BAA Administrator at ONISQ@darpa.mil to verify receipt.

1. Abstracts Abstracts must be submitted per the instructions outlined herein and received by DARPA no later than the due date and time listed in Part One: Overview Information. Abstracts received after this time and date may not be reviewed.

2. Full Proposals Full proposal packages--full proposal (Volume 1: Technical and Management Volume, Volume 2: Cost Volume, and Volume 3: Administrative and National Policy Requirements Volume) and, as applicable, proprietary subawardee cost proposals, classified appendices to unclassified proposals-- must be submitted per the instructions outlined herein and received by DARPA no later than the due date and time listed in Part One: Overview Information. Proposals received after this time and date may not be reviewed.

D. Funding Restrictions Not applicable.

E. Unclassified Submission Instructions Proposers must submit all parts of their submission package using the same method; submissions cannot be sent in part by one method and in part by another method nor should duplicate submissions be sent by multiple methods. Email submissions will not be accepted. Failure to comply with the submission procedures outlined herein may result in the submission being deemed non-conforming and withdrawn from consideration.

1. Abstracts DARPA/DSO will employ an electronic upload submission system (https://baa.darpa.mil/) for all UNCLASSIFIED abstracts sent in response to this solicitation. Abstracts must not be submitted via Grants.gov.

First time users of the DARPA BAA Submission website must complete a two-step account https://baa.darpa.mil/

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creation process. The first step consists of registering for an extranet account by going to the URL listed above and selecting the “Account Request” link. Upon completion of the online form, proposers will receive two separate emails; one will contain a user name and the second will provide a temporary password. Once both emails have been received, the second step requires proposers to go back to the submission website and log in using that user name and password. After accessing the extranet, proposers may then create a user account for the DARPA BAA Submission website by selecting the “Register your Organization” link at the top of the page. Once the user account is created, proposers will be able to see a list of solicitations open for submissions, view submission instructions, and upload/finalize their abstract.

Proposers who already have an account on the DARPA BAA Submission website may simply log in at https://baa.darpa.mil/, select this solicitation from the list of open DARPA solicitations and proceed with their abstract submission. Note: proposers who have created a DARPA BAA Submission website account to submit to another DARPA Technical Office’s solicitations do not need to create a new account to submit to this solicitation.

All abstracts submitted electronically through the DARPA BAA Submission website must meet the following requirements: (1) uploaded as a zip file (.zip or .zipx extension); (2) only contain the document(s) requested herein; (3) only contain unclassified information; and (4) must not exceed 100 MB in size. Only one zip file will be accepted per abstract and abstracts not uploaded as zip files will be rejected by DARPA.

Technical support for the DARPA BAA Submission website is available during regular business hours, Monday – Friday, 9:00 a.m. – 5:00 p.m. Requests for technical support must be emailed to BAAT_Support@darpa.mil with a copy to ONISQ@darpa.mil. Questions regarding submission contents, format, deadlines, etc. should be emailed to ONISQ@darpa.mil. Questions/requests for support sent to any other email address may result in delayed/no response.

Since proposers may encounter heavy traffic on the web server, DARPA discourages waiting until the day abstracts are due to request an account and/or upload the submission.

Note: Proposers submitting an abstract via the DARPA BAA Submission site MUST (1) click the “Finalize” button in order for the submission to upload AND (2) do so with sufficient time for the upload to complete prior to the deadline. Failure to do so will result in a late submission.

2. Proposals Requesting a Procurement Contract or Other Transaction

Proposers requesting procurement contracts or other transactions may submit full proposals through ONE of the following methods: (1) electronic upload (DARPA-preferred); or (2) direct mail/hand-carry.

i. Electronic Upload

DARPA/DSO encourages proposers to submit UNCLASSIFIED proposals via the DARPA BAA Submission website at https://baa.darpa.mil/.

First time users of the DARPA BAA Submission website must complete a two-step account creation process. The first step consists of registering for an extranet account by going to the URL listed above and selecting the “Account Request” link. Upon completion of the online https://baa.darpa.mil/ mailto:BAAT_Support@darpa.mil

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form, proposers will receive two separate emails; one will contain a user name and the second will provide a temporary password. Once both emails have been received, the second step requires proposers to go back to the submission website and log in using that user name and password. After accessing the extranet, proposers may then create a user account for the DARPA BAA Submission website by selecting the “Register your Organization” link at the top of the page. Once the user account is created, proposers will be able to see a list of solicitations open for submissions, view submission instructions, and upload/finalize their proposal.

Proposers who already have an account on the DARPA BAA Submission website may simply log in at https://baa.darpa.mil/, select this solicitation from the list of open DARPA solicitations and proceed with their proposal submission. Note: proposers who have created a DARPA BAA Submission website account to submit to another DARPA Technical Office’s solicitations do not need to create a new account to submit to this solicitation.

All full proposals submitted electronically through the DARPA BAA Submission website must meet the following requirements: (1) uploaded as a zip file (.zip or .zipx extension); (2) only contain the document(s) requested herein; (3) only contain unclassified information; and (4) must not exceed 100 MB in size. Only one zip file will be accepted per full proposal and full proposals not uploaded as zip files will be rejected by DARPA.

Technical support for the DARPA BAA Submission website is available during regular business hours, Monday – Friday, 9:00 a.m. – 5:00 p.m. Requests for technical support must be emailed to BAAT_Support@darpa.mil with a copy to ONISQ@darpa.mil. Questions regarding submission contents, format, deadlines, etc. should be emailed to ONISQ@darpa.mil. Questions/requests for support sent to any other email address may result in delayed/no response.

Since proposers may encounter heavy traffic on the web server, DARPA discourages waiting until the day proposals are due to request an account and/or upload the submission. Note:

Proposers submitting a proposal via the DARPA BAA Submission site MUST (1) click the “Finalize” button in order for the submission to upload AND (2) do so with sufficient time for the upload to complete prior to the deadline. Failure to do so will result in a late submission.

ii. Direct Mail/Hand-carry Proposers electing to submit procurement contract or other transaction proposals via direct mail or hand-carried must provide one paper copy and one electronic copy on CD or DVD of the full proposal package. All parts of the proposal package must be mailed or hand-carried in a single delivery to the address noted in Section VII below.

3. Proposals Requesting a Grant or Cooperative Agreement Proposers requesting grants or cooperative agreements may only submit proposals through ONE of the following methods: (1) electronic upload at Grants.gov (DARPA-preferred); or (2) direct mail/hand-carry to DARPA.

To evaluate compliance with Title IX of the Education Amendments of 1972 {20 U.S.C. A§ 1681 Et. Seq.), the Department of Defense is collecting certain demographic and career information to be able to assess the success rates of women who are proposed for key roles in mailto:BAAT_Support@darpa.mil

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applications in STEM disciplines. To enable this assessment, each application must include the two following forms completed as instructed: the Research and Related Senior/Key Person Profile (Expanded) form and the Research and Related Personal Data form.