HR001120S0018-Amendment-01.pdf

HR001120S0018

Microsystems Technology Office Office-wide

Broad Agency Announcement

HR001120S0018

March 13, 2020

Amendment 01 As amended November 10, 2020

Summary of Amendment 01: Adds Notes 2 and 4 to Section IV.B.2.a c. “Full Proposal Format, Volume II, Cost Proposal” to clarify Other Transaction proposer requirements and details the new DARPA Standard Cost Proposal spreadsheet. Language under Section VI.B.4.

“Representations and Certifications” has also been updated.

Table of Contents

PART I: OVERVIEW INFORMATION

PART II: FULL TEXT OF ANNOUNCEMENT

I. Funding Opportunity Description A. MTO Mission and Thrust Areas B. Topic Areas of Interest

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

III. Eligibility Information A. Eligible Applicants

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

B. Organizational Conflicts of Interest C. Cost Sharing/Matching D. Other Eligibility Criteria

1. Collaborative Efforts IV. Application and Submission Information

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

1. Abstract Format

2. Full Proposal Format

3. Proprietary Information

4. Security Information

a. Unclassified Submissions

b. Both Classified and Unclassified Submissions

c. Classified Submissions

5. Disclosure of Information and Compliance with Safeguarding Covered Defense

Information Controls

6. Human Subjects Research (HSR)/Animal Use

7. Approved Cost Accounting System Documentation

8. Section 508 of the Rehabilitation Act (29 U.S.C. § 749d)/FAR 39.2

9. Grant Abstract

10. Small Business Subcontracting Plan

11. Intellectual Property

a. For Procurement Contracts

b. For All Non-Procurement Contracts

12. Patents

13. System for Award Management (SAM) and Universal Identifier Requirements

14. Funding Restrictions

C. Submission Information

1. Submission Dates and Times

a. Abstract Due Date

b. Full Proposal Date

c. Frequently Asked Questions (FAQ)

2. Abstract Submission Information

3. Proposal Submission Information

a. For Proposers Requesting Grants or Cooperative Agreements:

b. For Proposers Requesting Technology Investment Agreements

c. For Proposers Requesting Contracts or Other Transaction Agreements

d. Classified Submission Information

4. Other Submission Requirements

V. Application Review Information A. Evaluation Criteria

1. Overall Scientific and Technical Merit

2. Potential Contribution and Relevance to the DARPA Mission

3. Cost Realism

B. Review and Selection Process

1. Review Process

2. Handling of Source Selection Information

3. Federal Awardee Performance and Integrity Information (FAPIIS)

VI. Award Administration Information A. Selection Notices

1. Abstracts

2. Proposals

B. Administrative and National Policy Requirements

1. Meeting and Travel Requirements

2. FAR and DFARS Clauses

3. Controlled Unclassified Information (CUI) on Non-DoD Information Systems

4. Representations and Certifications

5. Terms and Conditions

C. Reporting D. Electronic Systems

1. Wide Area Work Flow (WAWF)

2. i-Edison

VII. Agency Contacts VIII. Other Information

A. Protesting

ATTACHMENT 1: Cost Volume Proposer Checklist ATTACHMENT 2: Proposal Summary Slide Template

PART I: OVERVIEW INFORMATION

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

Funding Opportunity Title – Microsystems Technology Office (MTO) Office-wide Announcement Type – Initial Announcement Funding Opportunity Number – HR001120S0018 Catalog of Federal Domestic Assistance Numbers (CFDA) – 12.910 Research and

Technology Development Dates (All times listed herein are Eastern Time) o Posting Date: March 13, 2020 o Abstract Due Date: Abstracts may be submitted on a rolling basis until 1:00PM on January 3, 2022.

o Proposal Due Date: Proposals may be submitted on a rolling basis until 1:00PM on March 13, 2022.

o Closing Date: March 13, 2022 o Estimated period of performance start: Approximately 120 calendar days after proposal submission Concise description of the funding opportunity - This announcement seeks revolutionary research ideas for topics not being addressed by ongoing MTO programs or other published solicitations.

Anticipated individual awards – Multiple awards are anticipated.

Anticipated funding type - 6.1, 6.2, and/or 6.3 Types of instruments that may be awarded – Procurement contract, grant, cooperative agreement or other transaction Agency contact o Dr. Mark Rosker Director, Microsystems Technology Office BAA Coordinator: HR001120S0018@darpa.mil

DARPA/MTO

ATTN: HR001120S0018

675 North Randolph Street Arlington, VA 22203-2114

THOSE INTENDING TO SUBMIT A PROPOSAL FOR AN ASSISTANCE INSTRUMENT

(GRANT OR COOPERATIVE AGREEMENT) ARE STRONGLY ENCOURAGED TO READ

THE INSTRUCTIONS PROVIDED AT SECTION IV.C.3.a REGARDING THE TIME

REQUIRED TO RECEIVE VALIDATION OF SUBMISSIONS MADE THROUGH

GRANTS.GOV. PROPOSALS THAT ARE VALIDATED AFTER THE PROPOSAL DUE

DATE/TIME WILL BE CONSIDERED LATE AND, AS SUCH, WILL NOT BE REVIEWED.

mailto:name@darpa.mil

PART II: FULL TEXT OF ANNOUNCEMENT

I. Funding Opportunity Description

The Defense Advanced Research Projects Agency (DARPA) often selects its research efforts through the Broad Agency Announcement (BAA) process. This BAA is being issued, and any resultant selection will be made, using the procedures under Federal Acquisition Regulation (FAR) 6.102(d)(2) and 35.016, and 2 C.F.R. § 200, as applicable. Any negotiations and/or awards will use procedures under FAR 15.4, Contract Pricing, and 2 C.F.R § 200, as applicable.

Proposals received as a result of this BAA shall be evaluated in accordance with evaluation criteria specified herein through a scientific review process.

DARPA BAAs are posted on the Beta SAM website, under the Contract Opportunities (FBO) link, at https://Beta.SAM.gov/, and, as applicable, the Grants.gov website at http://www.grants.gov/. The following information is for those wishing to respond to the BAA.

The Microsystems Technology Office (MTO) at DARPA regularly publishes BAAs requesting responses to specific program topics. This announcement seeks revolutionary research ideas for topics not addressed by ongoing MTO programs or other published BAA solicitations.

To avoid proposals that duplicate existing activities or are responsive to other published MTO solicitations, potential bidders are highly encouraged to review current MTO programs and solicitations, respectively listed at http://www.darpa.mil/about-us/offices/mto and http://www.darpa.mil/work-with-us/opportunities. Contacting MTO program managers to discuss their research interests is also encouraged. A current list of program managers is available at http://www.darpa.mil/about-us/people.

A. MTO Mission and Thrust Areas

Since its inception in 1991, MTO has helped create and prevent strategic surprise through investments in compact microelectronic components such as microprocessors, microelectromechanical systems (MEMS), and photonic devices. MTO’s revolutionary work applying advanced capabilities in areas such as wide-band gap materials, phased array radars, high-energy lasers, and infrared imaging have helped the United States establish and maintain technological superiority for more than two decades.

MTO seeks to develop high-risk, high-reward technologies that continue DARPA’s mission of creating and preventing strategic surprise, help to secure the Department of Defense’s (DoD) technological superiority, and address the complex threats facing U.S. national security.

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.

As MTO evolves to address future microsystems-related challenges, the office has identified four thrust areas: (1) Embedded Microsystem Intelligence and Localized Processing, (2) Next Generation Front-End Component Technologies for Electromagnetic (EM) Spectrum http://www.grants.gov/ http://www.darpa.mil/about-us/offices/mto http://www.darpa.mil/work-with-us/opportunities http://www.darpa.mil/about-us/people

Dominance, (3) Microsystem Integration for Increased Functional Density and Security, and (4) Disruptive Defense Microsystem Applications. Each of these overlapping spaces present significant opportunities for exploring new and creative technologies.

1. Embedded Microsystem Intelligence and Localized Processing Creating the capability to rapidly assess and make decisions at the tactical edge will fundamentally alter the future battlespace. Intelligent microsystems – self-tuning, self-optimizing, and mission reconfigurable, at an acceptable size, weight, power, and cost (SWAP-C) – have been a longtime focus of MTO research investments.

However, past attempts to realize this goal were constrained by limitations in the available local processing capability. Advances in artificial intelligence and machine learning-specific processors, graphic processing units (GPUs), and other special purpose computation technologies offer a new path to overcome such limitations.

MTO seeks to explore the development of sensors and systems that enable specialized computation at the tactical edge and microsystems capable of learning, moving beyond those with pre-set functions. One area of particular interest within this topic is technologies to achieve improved cognitive electronic warfare (EW).

2. Next Generation Front-End Component Technologies for Electromagnetic (EM) Spectrum Dominance For many DoD command, control, communications, computing, intelligence, surveillance, and reconnaissance (C4ISR) and EW systems, the analog and mixed-signal front-end fundamentally determines key performance characteristics, such as bandwidth, tuning range, dynamic range, etc. Often these requirements greatly exceed the needs of the commercial sector. Thus, these technologies tend to be niche and largely ignored by the commercial electronics industry, but they hold extraordinary value for the DoD. To maintain dominance in the EM battlespace, MTO is investing in a new set of emerging material, device, and circuit approaches that provide leap-ahead performance in the sensing and modulation for radio frequency (RF), active and passive photonic, electro-optical/infrared (EO/IR), and magnetic-field applications. The office is also pursuing alternatives to large, costly optical/RF systems, exploring highly integrated microsystems, and new fabrication technologies to enable the proliferation of compact optical/RF systems in a variety of SWaP-C constrained platforms. Finally, MTO is exploring compact next-generation positioning, navigation, and timing technologies.

3. Microsystem Integration for Increased Functional Density and Security Over the past decades, microelectronics advancement has proceeded through several waves – the first wave was controlled by device scaling, the second by the introduction of new materials and architectures, and the third through the creation of 3D devices. MTO has assumed a leadership role in the ongoing “Fourth Wave” revolution that will be dominated by 3D heterogeneous integration at multiple length scales. Fine-scale integration will bridge the technical gap between traditional assembly technology and the lithography-defined back-end-of-the-line dense interconnects. A key part of this vision is that fine-scale integration can serve as a means to tie together the incredibly powerful but widely available commercial capabilities with DoD-specific discriminators. In addition to the tools and methods to realize fine-scale integration, MTO aims to address its associated challenges for these increasingly complex circuits and systems-on-chip (SoC). These include next-generation of electronic design automation (EDA) tools, new approaches ensure secure and trusted microsystems, and microsystem thermal management technologies.

4. Disruptive Defense Microsystem Applications MTO seeks to increase the pace of innovation by identifying and rapidly demonstrating disruptive applications of innovative microsystems component technologies, including those developed under the prior three thrusts. MTO aims to explore high-risk/high-reward technologies in their infancy to identify disruptive potential well in advance of operational use. If successful, activities under this thrust should hasten adoption of advanced microsystem technologies and enable future DoD C4ISR, EW, and directed energy (DE) systems.

B. Topic Areas of Interest

Research areas of current interest to MTO include, but are not limited to, the following topics:

Advanced RF and EO/IR filters and related front-end components Advanced imaging architectures and systems Advanced photonic & electronic interconnects Atomic physics Chip-scale sensors Cold-atom microsystem component technologies Cognitive and other advanced EW technologies Compound semiconductor-based electronics and other emerging device technologies Computational architectures and algorithms for next generation artificial intelligence (AI) Directed energy component technologies, physics of effects, and protection techniques Electro-optical/infrared (EO/IR) technologies Electronics and micro sensors for harsh environments Energy-efficient computing and advanced signal processing Hardware assurance, reliability & validation Heterogeneous integration/assembly technologies (2D, 2.5D, and 3D) High energy lasers High power microwave technologies Low power electronics Low temperature electronics Low volume microsystems manufacturing and assembly Materials to enable next-generation microelectronics Microelectromechanical system technology Microsystem design & CAD Microsystems for position, navigation & timing Microsystems for RF/optical transceivers Mixed-signal electronics Novel photonic devices

Processing techniques for imaging and spectral recognition Quantum devices Signal processing algorithms and techniques to reduce hardware requirements Thermal management of microsystems Other microsystems technology topic areas

II. Award Information

A. General Award Information

This BAA is primarily, but not solely, intended for early stage research (studies) that may lead to larger, focused, MTO programs in the future. Studies are defined as single phase efforts of short duration (< 12 months) costing less than $1,000,000. Whereas proposers are strongly encouraged to submit studies to this BAA, multi-phase efforts will also be considered. Multi-phase efforts are defined as efforts with more than one phase that may span longer than 12 months and that may cost more than $1,000,000. Multi-phase efforts must also cover clearly identifiable research topic areas with quantitative technical metrics. Proposals for studies that are 12 months or less in duration, cost $500,000 or less, and for which the performer is seeking an assistance instrument (grant or cooperative agreement) are provided a streamlined proposal preparation process (see Section IV.B.2, “Full Proposal Format”).

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

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

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

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.

For the effort solicited under this BAA, OT agreements are encouraged for non-traditional teams and those proposing research with potential commercial application. As a resource, the Model OT Agreement for ERI programs has been provided on the DARPA Acquisition Innovation website, under the title “Microsystems Technology Office (MTO) Electronics Resurgence Initiative (ERI)” (see https://acquisitioninnovation.darpa.mil/samples-and-resources/darpa-ot-programs).

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

http://www.darpa.mil/work-with-us/contract-management#OtherTransactions http://www.darpa.mil/work-with-us/contract-management#OtherTransactions https://acquisitioninnovation.darpa.mil/samples-and-resources/darpa-ot-programs https://acquisitioninnovation.darpa.mil/samples-and-resources/darpa-ot-programs

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

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

A. Eligible Applicants

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

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, that (a) cites the specific authority establishing their eligibility to propose to Government solicitations and compete with industry, and (b) certifies the FFRDC’s compliance with the associated FFRDC sponsor agreement’s terms and conditions. These conditions are a requirement 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 and compete with industry. This information is required for Government Entities proposing to be awardees or subawardees.

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

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 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.

(2) For classified proposals, 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 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:

http://www.dss.mil/

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. Other Eligibility Criteria

1. Collaborative Efforts

Collaborative efforts/teaming are encouraged.

IV. Application and Submission Information

A. Address to Request Application Package

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

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

PROPOSERS ARE CAUTIONED THAT EVALUATION RATINGS MAY BE LOWERED

AND/OR PROPOSALS REJECTED IF PROPOSAL PREPARATION (PROPOSAL FORMAT,

CONTENT, ETC.) AND/OR SUBMITTAL INSTRUCTIONS ARE NOT FOLLOWED.

B. Content and Form of Application Submission

1. Abstract Format

Abstracts should follow the format described below in this section. The cover sheet should be clearly marked “ABSTRACT” and the total length of Section II should not exceed 6 pages, which includes all figures, tables, and charts. All pages shall be printed on 8-1/2 by 11 inch paper with type not smaller than 12 point. Smaller font may be used for figures, tables and charts. No formal transmittal letter is required. All abstracts must be written in English.

Section I. Administrative

A. Cover sheet to include:

(1) BAA number;

(2) MTO Topic(s) of Interest (see Section I.B.);

(3) Lead Organization submitting proposal abstract;

(4) Type of organization, selected among the following categories:

Large Organization, Small Disadvantaged Organization, Other Small Organization, HBCU, MI, Other Educational, Other Nonprofit;

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

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

(7) Abstract title;

(8) Technical point of contact to include:

Salutation, last name, first name, street address, city, state, zip code (+4), telephone, fax (if available), electronic mail;

(9) Administrative point of contact to include:

Salutation, last name, first name, street address, city, state, zip code (+4), telephone, fax (if available), electronic mail;

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

(11) Date abstract was submitted.

(Note: An official transmittal letter is not required when submitting a Proposal Abstract.)

Section II. Abstract Details

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

B. Technical Approach

Technical rationale, technical approach, and constructive plan for accomplishment of technical goals in support of innovative claims and deliverable production.

C. Deliverables Deliverables associated with the proposed research and the plans and capability to accomplish technology transition and commercialization.

D. Other Research General discussion of other research in this area.

E. Cost and Schedule Provide a cost estimate for resources (e.g. labor, materials) and any subcontractors over the proposed timeline of the project, broken down by Government fiscal year.

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

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

2. Full Proposal Format

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

Volume I – Technical and Management Proposal (3 sections), and Volume II – Cost Proposal (4 sections). The submission of other supporting materials along with the proposals is strongly discouraged and will not be considered for review. All pages shall be printed on 8-1/2 by 11 inch paper with type not smaller than 12 point. Smaller font may be used for figures, tables and charts.

Section II of Volume I, Technical and Management Proposal, shall not exceed: 1) 15 pages for studies proposals that are less than 12 months in duration, cost less than $500,000, and are seeking an assistance instrument (grant or cooperative agreement); and 2) 26 pages for all other proposals. The page limitation for full proposals includes all figures, tables, and charts. All proposals must be written in English. There is no page limit for Volume II - Cost Proposal. All full proposals must be written in English.

A summary slide of the proposed effort, in PowerPoint format, should be submitted with the proposal. A template slide is provided as Attachment 2 to the BAA. Submit this PowerPoint file in addition to Volumes I and II of your full proposal. This summary slide does not count towards the total page count.

a. Volume I, Technical and Management Proposal (3 sections)

Section I. Administrative

A. Cover sheet to include:

(1) BAA number;

(2) MTO Topic(s) of Interest (see above Section I.B. Topic Areas of Interest);

(3) Lead Organization submitting proposal;

(4) Type of organization, selected among the following categories:

Large Organization, Small Disadvantaged Organization, Other Small Organization, HBCU, MI, Other Educational, Other Nonprofit;

(5) Proposer’s internal 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 (+4), telephone, fax (if available), electronic mail;

(9) Administrative point of contact to include: salutation, last name, first name, street address, city, state, zip code (+4), telephone, fax (if available), electronic mail;

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

(11) Date proposal was submitted.

B. Official transmittal letter.

Section II. Detailed Proposal Information

A. Executive Summary Summarize the technical approach, anticipated performance, and expected outcomes of the proposed effort. The executive summary should be concise and to the point. Tables, graphs, and diagrams can be used as supplemental material along with narrative to convey the information.

B. Technical Approach This section is the centerpiece of the proposal and should succinctly summarize the innovative claims for the proposed research and clearly describe the proposed approach without using any jargon. Thoroughly and quantitatively describe the uniqueness and benefits of the proposed approach relative to the current state-of-art and alternate approaches. This section should demonstrate that the proposer has a clear understanding of the state-of-the-art and should provide sufficient justification for the feasibility of the proposed approach(es).

C. Statement of Work (SOW) In plain English, 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. The SOW must not include proprietary information. For each task/subtask, provide:

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

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

3. Identification of the primary organization responsible for task execution (prime, sub, team member, by name, etc.);

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

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

6. Clearly identify any tasks/subtasks (prime or subcontracted) that will be accomplished on-campus at a university.

Note: Each Phase of the program must be separately defined in the SOW. Include a SOW for each subcontractor and/or consultant in the Cost Proposal Volume. Do not include any proprietary information in the SOW(s).

D. Schedule, Measurable Milestones, and Deliverables Provide the schedule and measurable milestones for the proposed research. (Note:

Measurable milestones should capture key development points in tasks and should be clearly articulated and defined in time relative to start of effort.) Where the effort consists of multiple portions that could reasonably be partitioned for purposes of funding, these should be identified as options. Additionally, describe the material and/or data deliverables associated with the proposed research and the due date for each within the proposed schedule.

E. Results and Technology Transfer Description of the results, products, transferable technology, and expected technology transfer. 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.11, “Intellectual Property.” If there are no proprietary claims, this should be stated.

F. Risk Analysis and Mitigation Plan Identify the major technical and programmatic risks in the program. Include a risk matrix.

For each risk, assign a probability of occurrence on a scale of 1-10, where 10 indicates a high likelihood that the risk will impact program success, as well as an assessment of impact, also on a scale of 1-10, where 10 indicates that this risk would maximally limit the program from delivering prototypes on schedule or meeting performance objectives. For each item with total risk (likelihood × impact) exceeding 40, include a plan for mitigating the risk and assessing risk reduction.

G. Teaming and Management Plan Describe the formal teaming arrangements which will be used to execute this effort. Describe the programmatic relationship between investigators and the rationale for choosing this teaming strategy. Present a coherent organization chart and integrated management strategy for the program team. For each person, indicate: (1) name, (2) affiliation, (3) abbreviated listing of all technical area tasks they will work on with roles, responsibilities, and percent time indicated, (4) discussion of the proposers’ previous accomplishments, relevant expertise and/or unique capabilities.

This section may also discuss proposer’s previous accomplishments and work in closely related research areas.

H. National Security Impact Statement To reduce the potential for unintended foreign access to critical U.S. national security technologies developed under this effort, proposals shall describe:

How the proposed work contributes to U.S. national security and U.S.

technological capabilities. The proposer may also summarize previous work that contributed to U.S. national security and U.S. technological capabilities.

Plans and capabilities to transition technologies developed under this effort to U.S. national security applications and/or to U.S. industry. The proposer may also discuss previous technology transitions to the benefit of U.S. interests.

Any plans to transition technologies developed under this effort to foreign governments or to companies that are foreign owned, controlled or influenced.

The proposer may also discuss previous technology transition to these groups.

How the proposer will assist its employees and agents performing work under this effort to be eligible to participate in the U.S. national security environment.

The National Security Impact Statement shall be no more than one page.

I. Facilities and Equipment Description of the facilities and equipment that would be used for the proposed effort for both the prime and each subcontractor.

Section III. Additional Information

Information in this section may include a brief bibliography of relevant technical papers and research notes (published and unpublished) that document the technical ideas upon which the proposal is based. Copies of not more than three (3) relevant papers may be included in the submission.

b. Volume II, Cost Proposal (4 sections) - Proposals seeking assistance instruments under a total proposed amount of $500,000 with a period of performance of 12 months or less

All proposers, including FFRDCs, must submit the following:

Section I. Administrative

Cover sheet to include:

(1) BAA number;

(2) MTO Topic(s) of Interest (see Section I.B.);

(3) Lead Organization submitting proposal;

(4) Type of organization, selected among the following categories:

Large Organization, Small Disadvantaged Organization, Other Small Organization, HBCU, MI, Other Educational, Other Nonprofit;

(5) Proposer’s internal 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 (+4), 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 (+4), 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), Grant, Cooperative Agreement, or Other Transaction;

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

(12) Total proposed cost separated by basic award and option(s), if any, by calendar year and by government fiscal year;

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

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

(15) Date proposal was prepared;

(16) DUNS number;

(17) TIN number;

(18) CAGE Code;

(19) Subcontractor Information;

(20) Proposal validity period; AND

(21) Any Forward Pricing Rate Agreement, other such approved rate information, or such documentation that may assist in expediting negotiations (if available).

Attachment 1, the Cost Volume Proposer Checklist, must be included with the coversheet of the Cost Proposal.

Section II. Detailed Cost Information (Prime and Subcontractors)

The proposers’, to include eligible FFRDCs’, cost volume shall provide cost and pricing information (See Note 1), or other than cost or pricing information if the total price is under the referenced threshold, in sufficient detail to substantiate the program price proposed (e.g., realism and reasonableness). In doing so, the proposer shall provide, for both the prime and each subcontractor, a “Summary Cost Breakdown” by phase and performer fiscal year, and a “Detailed Cost Breakdown” by phase, technical task/sub-task, and month. The breakdown/s shall include, at a minimum, the following major cost items along with associated backup documentation:

A. Direct Labor

Include Fringe Benefits, Facilities and Administrative (F&A), General and Administrative, as applicable (proposer must provide a copy of the current rate agreement, if applicable, and clearly describe the application of all proposed indirect cost rates);

B. Indirect Costs Include Fringe Benefits, Facilities and Administrative (F&A), General and Administrative, as applicable (proposer must provide a copy of the current rate agreement, if applicable, and clearly describe the application of all proposed indirect cost rates);

C. Travel Provide the purpose of the trip (justifying its relevancy to the proposed project), number of trips, number of days per trip, departure and arrival destinations, number of people, etc.

D. Other Direct Costs (ODCs) ODCs should be itemized with costs (proposer must provide supporting rationale justifying the relevancy of the items to the proposed project and explaining how the proposed costs/budget was developed).

E. Material Materials should be itemized with costs (proposer must provide supporting rationale justifying the relevancy of the items to the proposed project and explaining how the proposed costs/budget was developed).

F. Equipment Equipment should be itemized with costs (proposer must provide supporting rationale justifying the relevancy of the items to the proposed project and provide documentation (i.e., vendor quote, past/recent purchase order, catalog price lists, etc.) supporting the proposed price for each item.

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

H. Subcontracts Include an itemization of all subcontracts. Additionally, the prime contractor is responsible for compiling and providing, as part of its proposal submission to the Government, subcontractor proposals prepared at the same level of detail as that required by the prime.

Subcontractor proposals include Interdivisional Work Transfer Agreements (ITWA) or similar arrangements. If seeking a procurement contract, the prime contractor shall provide a cost reasonableness analysis of all proposed subcontractor costs/prices. Such analysis shall indicate the extent to which the prime contractor has negotiated subcontract costs/prices and whether any such subcontracts are to be placed on a sole-source basis.

All proprietary subcontractor proposal documentation, prepared at the same level of detail as that required of the prime, which cannot be uploaded to the DARPA BAA website

(https://www.baa.darpa.mil, BAAT) or Grants.gov as part of the proposer’s submission, shall be made immediately available to the Government, upon request, under separate cover (i.e., mail, electronic/email, etc.), either by the proposer or by the subcontractor organization. This does not relieve the proposer from the requirement to include, as part of their submission (via BAAT or Grants.gov, as applicable), subcontract proposals that do not include proprietary pricing information (rates, factors, etc.).

A Rough Order of Magnitude (ROM), or similar budgetary estimate, is not considered a fully qualified subcontract cost proposal submission. Inclusion of a ROM, or similar budgetary estimate, or failure to submit a fully qualified subcontract cost proposal, will result in the full proposal being deemed non-compliant.

I. Government Furnished Equipment/Property/Information The cost proposal should include identification of pricing assumptions of which may require incorporation into the resulting award instrument (i.e., use of Government Furnished Property/Facilities/Information, access to Government Subject Matter Experts, etc.).

J. Cost-Sharing Include the source, nature, and amount of any industry cost-sharing;

K. Contracted Fundamental Research Include any written justification required per Section II.B, “Fundamental Research,” pertaining to prime and/or subcontracted effort being considered Contracted Fundamental Research;

L. Small Business Subcontracting Plan If applicable. See Section IV.B.10, “Small Business Subcontracting Plan” below.

c. Volume II, Cost Proposal (4 sections) - All proposals not meeting the above subsection b criteria

All proposers, including FFRDCs, must submit the following:

Section I. Administrative

Cover sheet to include:

(1) BAA number;

(2) MTO Topic(s) of Interest (see Section I.B.);

(3) Lead Organization submitting proposal;

(4) Type of organization, selected among the following categories:

Large Organization, Small Disadvantaged Organization, Other Small Organization, HBCU, MI, Other Educational, Other Nonprofit;

(5) Proposer’s internal 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:

https://www.baa.darpa.mil/

Salutation, last name, first name, street address, city, state, zip code (+4), 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 (+4), 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), Grant, Cooperative Agreement, or Other Transaction;

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

(12) Total proposed cost separated by basic award and option(s), if any, by calendar year and by government fiscal year;

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

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

(15) Date proposal was prepared;

(16) DUNS number;

(17) TIN number;

(18) CAGE Code;

(19) Subcontractor Information;

(20) Proposal validity period; AND

(21) Any Forward Pricing Rate Agreement, other such approved rate information, or such documentation that may assist in expediting negotiations (if available).

Attachment 1, the Cost Volume Proposer Checklist, must be included with the coversheet of the Cost Proposal.

Section II. Detailed Cost Information (Prime and Subcontractors)

The proposers’, to include eligible FFRDCs’, cost volume shall provide cost and pricing information (See Note 1), or other than cost or pricing information if the total price is under the referenced threshold, in sufficient detail to substantiate the program price proposed (e.g., realism and reasonableness). In doing so, the proposer shall provide, for both the prime and each subcontractor, a “Summary Cost Breakdown” by phase and performer fiscal year, and a “Detailed Cost Breakdown” by phase, technical task/sub-task, and month. The breakdown/s shall include, at a minimum, the following major cost items along with associated backup documentation:

A. Direct Labor A breakout clearly identifying the individual labor categories with associated labor hours and direct labor rates, as well as a detailed Basis-of-Estimate (BOE) narrative description of the methods used to estimate labor costs;

B. Indirect Costs Include Fringe Benefits, Overhead, General and Administrative Expense, Cost of Money, Fee, etc. (must show base amount and rate);

C. Travel Provide the purpose of the…