HR001120S0030-Amendment-01.pdf

HR001120S0030

Summary of Amendment 01: This Amendment updates deadlines for abstract and full proposal submission. New abstract deadline is March 17, 2020; full proposal submission deadline is April 28, 2020.

Broad Agency Announcement Wideband Secure and Protected Emitter and Receiver

(WiSPER) Microsystems Technology Office

HR001120S0030

February 11, 2020 Amendment 01

As amended February 26, 2020

Table of Contents

PART I: OVERVIEW INFORMATION

PART II: FULL TEXT OF ANNOUNCEMENT

I. Funding Opportunity Description A. Background B. Program Description C. Program Structure

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. Ability to support Classified Development/Controlled Unclassified Information

(CUI)

IV. Application and Submission Information A. Address to Request Application Package B. Unclassified//For Official Use Only Addendum and Security Classification Guide

(SCG)

C. Content and Form of Application Submission

1. Abstract Format

2. Full Proposal Format

3. Proprietary Information

4. Security Information

a. Program Security Information

b. 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. Small Business Subcontracting Plan

10. Intellectual Property

a. For Procurement Contracts

b. For All Non-Procurement Contracts

11. Patents

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

13. Funding Restrictions

D. 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 Technology Investment Agreements

b. 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 and Schedule 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

C. Reporting D. Electronic Systems

1. Wide Area Work Flow (WAWF)

2. i-Edison

3. TFIMS

VII. Agency Contacts VIII. Other Information

A. Proposers Day B. Protesting

ATTACHMENT 1: Cost Volume Proposer Checklist ATACHEMENT 2: Proposal Summary Slide Template ATTACHMENT 3: Security Classification Guide (SCG) and Unclassified//For Official Use Only (FOUO) Addendum Request Form

PART I: OVERVIEW INFORMATION

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

Funding Opportunity Title: Wideband Secure and Protected Emitter and Receiver (WiSPER)

Announcement Type: Initial Announcement Funding Opportunity Number: HR001120S0030 Catalog of Federal Domestic Assistance Numbers (CFDA): Not applicable Dates: (All times listed herein are Eastern Time) o Posting Date: February 11, 2020 o Proposers Day: February 13, 2020 at 8:00am (ET) o Request for FOUO BAA Addendum: Must be made by March 3, 2020 at 5:00pm

(ET)

o Abstract Due Date: March 17, 2020 by 1pm (ET) o FAQ Submission Deadline: April 14, 2020 by 1:00pm (ET) o Deadline to Notify Security of Intent to Submit Classified Proposals: April 14, 2020 by 5:00pm (ET) o Subcontractor list due date: April 14, 2020 by 5:00pm (ET) o Proposal Due Date: April 28, 2020 by 1:00pm (ET) o Estimated period of performance start: September 2020

Concise description of the funding opportunity: DARPA is soliciting innovative research proposals to develop wideband secure and protected radio interface technologies for future Radio Frequency (RF) systems. The WiSPER program will enable next-generation secure tactical radios. Please request the BAA Unclassified//FOUO addendum for additional information.

Anticipated Funding Available for Award: Approximately $50M across all program phases.

Anticipated individual awards: Multiple awards are anticipated.

Anticipated funding type: 6.3 Types of instruments that may be awarded: Procurement contract or other transaction.

Agency contact:

o Dr. Young-Kai Chen, Program Manager BAA Coordinator: HR001120S0030@darpa.mil

DARPA/MTO

ATTN: HR001120S0030

675 North Randolph Street Arlington, VA 22203-2114 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. § 200.203. Any negotiations and/or awards will use procedures under FAR 15.4, Contract Pricing. 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/. The following information is for those wishing to respond to the

BAA.

The Defense Advanced Research Projects Agency (DARPA) is soliciting innovative proposals in the area of advanced Radio Frequency (RF) transmitter and receiver technologies. Proposed research should investigate innovative approaches that enable revolutionary advances in science, devices, or systems. Specifically excluded is research that primarily results in evolutionary improvements to the existing state of practice.

A. Background

Secure tactical radios are a critical capability for DoD systems. Current DoD tactical radios attempt to achieve security over a wireless channel by spreading transmitted content over time and operating frequency. Temporal and spectral spreading reduces transmitted power density, so as to potentially operate below the adversary’s receiver detection limit. However, current spread spectrum techniques lack sufficient complexity to evade detection by modern signal intelligence (SIGINT) receivers or interception by compromised devices. Specific vulnerabilities of current secure tactical radios include:

a) Hypersensitive receivers. Modern SIGINT receivers utilize cryogenic cooled energy detectors and cyclostationary processing over prolonged observation time to increase detection sensitivity by significantly reducing uncorrelated noise. This technique reveals salient cyclic features, such as chip rate, modulation format, etc., that are used to establish spread spectrum transmissions.

b) Collaborative receivers. Current tactical RF communication systems are vulnerable to interception by remote adversary multi-receiver networks that coherently recombine power to detect the transmitter.

Today’s tactical radios use spread spectrum techniques to reduce the spectral power density of transmitted signals. Signal spreading is mainly used to accommodate spectrum sharing by multiple users and to reduce transmission power below the sensitivity of the adversary’s detection threshold. The limitations of current spread spectrum approaches include:

Narrow band signals that are only spread in the time and frequency domains and that contain cyclic features. The RF waveform is generally narrow band with prescribed fixed and limited dynamic range (< 30 dB), leading to the inability to remain undetectable while providing persistent communications. Even worse, the transmitted signal can be detected by adversarial receivers with highly sensitive detectors and cyclostationary feature detection. More recent waveforms, such as chaotic waveforms reducing cyclic features, only provide marginal reduction of detectability, require higher signal-to-noise ratios to synchronize and operate, and are not sufficiently featureless to evade detection.

Highly directional beams and reconstruction of coherent scattered signals are impractical to implement using today’s tactical radios. While detection could be mitigated by the use of highly directional antennas, at low frequency such antennas are too large to be portable.

Spatial-temporal spreading is not possible for current tactical radios whose narrow bandwidth of 10 to 100’s MHz produce low spatial resolution or require vast antenna size.

Reconstruction of scattered signal using digital rake receivers can only recover a few multi-path signals, limited by high processing power and very poor recovered signal strength.

Loss of connectivity or data rate due to environmental impairments. While spread spectrum techniques minimize the signal strength in order to avoid being detected, today’s tactical radios face additional operational challenges due to channel impairments that reduce the link margin of the radio. With fixed operational frequency and bandwidth, existing tactical radios provide limited options and margins to sustain persistent transceiver operations under varying and unpredictable natural and man-made channel impairments.

B. Program Description

The WiSPER program seeks to develop a fundamentally disruptive wireless air interface transceiver technology to enable and sustain secure and robust high-bandwidth RF communication links. The WiSPER wideband adaptive air interface will also mitigate impairment due to dynamic harsh and contested environments to maintain a stable communication link. It is envisioned that the capabilities developed under the WiSPER program will provide future U.S. warfighters with a dominant technology advantage over their adversaries.

DARPA is soliciting solutions that are implemented in a tactical radio size, weight, and power suitable for portable or ground installations.

An UNCLASSIFIED//FOR OFFICIAL USE ONLY (FOUO) addendum and Security Classification Guide (SCG) has been created to provide additional details on the WiSPER program. Please see BAA Attachment 3 “Security Classification Guide and Unclassified//For Official Use Only (FOUO) Addendum Request Form” for instructions on receiving these additional documents.

C. Program Structure

WiSPER is a 48-month, three-phase program with an 18-month Phase 1, 18-month Phase 2, and 12-month Phase 3. WiSPER consists of a single highly focused technical area. Proposers to this BAA must submit proposals that address all phases to cover the execution of the entire program. DARPA anticipates funding multiple performers with a variety of technical approaches. It is expected that fewer performers will be funded to participate in Phases 2 and 3 of the program. Options may be exercised, at the Government’s sole discretion, based on technical progress measured against the metrics and milestones defined in the BAA and its accompanying addendum as well as funding availability.

The high level WiSPER phase summaries are:

Phase 1 performers will carry the WiSPER system architecture through a conceptual design supported by modeling and simulation, as well as critical experimentation, culminating in a benchtop implementation and lab test.

Phase 2 performers will enhance the design through to improve the performance, culminating in a transportable implementation and field test.

Phase 3 performers will further optimize the air interface to demonstrate adaptation to weather and other impairments in a portable prototype implementation.

A high level schedule is provided in Figure 1. For a more detailed schedule see the WiSPER UNCLASSIFIED//FOR OFFICIAL USE ONLY (FOUO) addendum

Figure 1: Program Schedule

Performance verification will occur with Government support, at the conclusion of all three phases. A functional air interface prototype must be constructed and delivered in a form factor with detailed supporting documentation to be shipped at the end of each phase to government test facilities for evaluations.

II. Award Information

A. General Award Information

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

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 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 and https://acquisitioninnovation.darpa.mil.

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

It is DoD policy that the publication of products of fundamental research will remain unrestricted to the maximum extent possible. National Security Decision Directive (NSDD) 189 defines fundamental research as follows:

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

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

III. Eligibility Information

A. Eligible Applicants

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

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

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.

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 http://www.dss.mil/

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

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

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

The name of the DARPA office receiving the support;

The prime contract number;

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

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

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

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

C. Cost Sharing/Matching

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

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

D. Other Eligibility Criteria

1. Ability to support Classified Development/Controlled Unclassified Information

(CUI)

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

Proposals to WiSPER are expected to be classified at the collateral SECRET level. Therefore, performers will require collateral SECRET clearances and access to both an accredited facility and secure communications in order to support classified development.

Proposers must also be able to handle Controlled Unclassified Information. All award instruments will include a CUI clause or article. See BAA Section IV.C.5. “Disclosure of Information and Compliance with Safeguarding Covered Defense Information Controls.”

IV. Application and Submission Information

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.

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 www.darpa.mil, contact the administrative contact listed herein.

B. Unclassified//For Official Use Only Addendum and Security Classification Guide

(SCG)

A formal request for the HR001120S0030 Security Classification Guide and U//FOUO BAA Addendum may be submitted by filling out the Security Classification Guide and FOUO Addendum Request Form (found in Attachment 3 to this BAA) and emailing the Request Form to HR001120S0030@darpa.mil with subject line titled, “Request HR001120S0030 Security Classification Guide and Unclassified//FOUO Addendum.”

Proposers should submit this request no later than March 3, 2020 by 5:00pm (ET) to allow adequate time to have classified material release to them in support of HR001120S0030. The Security Classification Guide and Unclassified//For Official Use Only (FOUO) Addendum Request Form (Attachment 3) is the only method of request that will be accepted. Security classification guidance via a Security Classification Guide and a DD Form 254, "DoD Contract Security Classification Specification," will be provided. DARPA will verify the facility clearance and the clearance of the recipient before e-mailing (via secure system) and/or mailing the BAA Addendum and security classification guide.

Proposers should allow at least five (5) business days for processing requests for the Unclassified//FOUO addendum plus time for delivery. Requests will be handled on a first in, first out basis. Incomplete or inaccurate forms will be returned to sender along with a notification of what needs to be corrected and the new request will be processed based on the date of when the revised request form is received.

It is the proposer’s responsibility to ensure that they fully familiarize themselves with the WiSPER Security Classification Guide prior to reading the FOUO Addendum and preparing http://www.darpa.mil/ mailto:HR001120S0001@darpa.mil proposals for submission. It is expected that responses to the BAA and Addendum will contain information classified only up to the collateral SECRET level. Precautions for the handling and transmission of this material should be considered in the logistics and timeline of proposal submission. In addition, no material exceeding the collateral SECRET level should be contained in the proposal or associated with the WiSPER program.

C. Content and Form of Application Submission

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

1. Abstract Format

Proposers are strongly encouraged to submit an abstract in advance of a full proposal. 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 8 pages (coversheet is not included in page limit).

Section I. Administrative

A. Cover sheet to include:

(1) BAA number (HR001120S0030);

(2) Technical area(s);

(3) Lead Organization submitting 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) 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, SIPRnet (or other qualified lateral secure email system);

(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, SIPRnet (or other qualified lateral secure email system);

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

(11) Date proposal abstract was submitted.

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

Section II. Abstract Details

A. Innovative Claims {no more than 1 pages} 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 {no more than 5 pages} Technical rationale, technical approach, and constructive plan for accomplishment of technical goals in support of innovative claims and deliverable production.

C. Deliverables {no more than 1 pages} Deliverables associated with the proposed research and the plans and capability to accomplish technology transition and commercialization.

D. Cost and Schedule {no more than 1 page} 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.

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. Section II of Volume I, Technical and Management Proposal, shall not exceed 40 pages. The page limitation for full proposals includes all figures, tables, and charts. There is no page limit for Volume II, Cost Proposal.

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

Section I. Administrative

A. Cover sheet to include:

(1) BAA number (HR001120S0030);

(2) Technical area(s);

(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, SIPRnet (or other qualified lateral secure email system);

(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, SIPRnet (or other qualified lateral secure email system);

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

(11) Date proposal was submitted.

B. Official transmittal letter.

The transmittal letter should identify the BAA number, the proposal by name, and the proposal reference number (if any), and should be signed by an individual who is authorized to submit proposals to the Government.

Section II. Detailed Proposal Information

A. Executive Summary {no more than 2 pages} 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 {no more than 22 pages} 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. 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). This section should include a detailed technical rationale, technical approach, supporting quantitate analysis, and constructive plan for accomplishment of technical goals in support of innovative claims, prototypes and deliverables to attain targeted program performance.

C. Schedules, measurable milestones, and Statement of Work (SOW) {no more than 7 pages} Schedules 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 which could reasonably be partitioned for purposes of funding, these should be identified as options. Additionally, proposals should clearly explain the technical approach(es) that will be employed to meet or exceed each program metric and provide ample justification as to why the approach(es) is/are feasible. The milestones must not include proprietary information.

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, prototype of transceiver air interfaces, 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, if applicable

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. Results and Technology Transfer {no more than 2 pages} 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.10, “Intellectual Property.” If there are no proprietary claims, this should be stated.

E. Risk Analysis and Mitigation Plan {no more than 3 pages} 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.

F. Ongoing Research and Proposer Accomplishments {no more than 2 pages} Comparison with other ongoing research indicating advantages and disadvantages of the proposed effort. Discussion of proposer’s previous accomplishments and work in closely related research areas.

G. Facilities, Equipment, and Teaming {no more than 2 pages} Description of the facilities and equipment that would be used for the proposed effort and how they will support meeting program metrics.

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.

Section III. Additional Information

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

b. Volume II, Cost Proposal – {No Page Limit}

All proposers, including FFRDCs, must submit the following:

Section I. Administrative

Cover sheet to include:

(1) BAA number (HR001120S0030);

(2) Technical area(s);

(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, SIPRnet (or other qualified lateral secure email system) (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, SIPRnet (or other qualified lateral secure email system) (if available);

(10) Award instrument requested:

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

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

(12) Total proposed cost separated by basic award and option(s), if any, 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 (120 days is recommended); 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:

Total program cost broken down by major cost items:

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 Including 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 trip, number of trips, number of days per trip, departure and arrival destinations, number of people, etc.;

D. Other Direct Costs Itemized with costs; back-up documentation is to be submitted to support proposed costs;

E. Material/Equipment

(i) For IT and equipment purchases, include a letter stating why the proposer cannot provide the requested resources from its own funding.

(ii) A priced Bill-of-Material (BOM) clearly identifying, for each item proposed, the quantity, unit price, the source of the unit price (i.e., vendor quote, engineering estimate, etc.), the type of property (i.e., material, equipment, special test equipment, information technology, etc.), and a cross-reference to the Statement of Work (SOW) task/s that require the item/s. At time of proposal submission, any item that exceeds $2,000 must be supported with basis-of-estimate (BOE) documentation such as a copy of catalog price lists, vendor quotes or a written engineering estimate (additional documentation may be required during negotiations, if selected).

(iii) If seeking a procurement contract and items of Contractor Acquired Property are proposed, exclusive of material, the proposer shall clearly demonstrate that the inclusion of such items as Government Property is in keeping with the requirements of FAR Part 45.102.

In accordance with FAR 35.014, “Government property and title,” it is the Government’s intent that title to all equipment purchased with funds available for research under any resulting contract will vest in the acquiring nonprofit institution (e.g., Nonprofit Institutions of Higher Education and Nonprofit Organizations whose primary purpose is the conduct of scientific research) upon acquisition without further obligation to the Government. Any such equipment shall be used for the conduct of basic and applied scientific research. The above transfer of title to all equipment purchased with funds available for research under any resulting contract is not allowable when the acquiring entity is a for-profit organization;

however, such organizations can, in accordance with FAR 52.245-1(j), be given priority to acquire such property at its full acquisition cost.

F. 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);

G. Subcontracts 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://baa.darpa.mil, BAAT) 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 https://baa.darpa.mil/

BAAT), 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, may result in the full proposal being deemed non-compliant or evaluation ratings may be lowered;

H. Cost-Sharing The amount of any industry cost-sharing (the source and nature of any proposed cost-sharing should be discussed in the narrative portion of the cost volume).

Note 1:

(a) “Cost or Pricing Data” as defined in FAR 15.403-4 shall be required if the proposer is seeking a procurement contract per the referenced threshold, unless the proposer requests and is granted an exception from the requirement to submit cost or pricing data. Per DoD Class Deviation 2018-O0012, dated 13 April 2018, the threshold for obtaining certified cost and pricing data is $2,000,000. Per DFARS 215.408(5), DFARS 252.215-7009, Proposal Adequacy Checklist, applies to all proposers/proposals seeking a FAR-based award (contract).

(b) In accordance with DFARS 215.403-1(4)(D), DoD has waived cost or pricing data requirements for nonprofit organizations (including educational institutions) on cost-reimbursement-no-fee contracts. In such instances where the waiver stipulated at DFARs 215.403-1(4)(D) applies, proposers shall submit information other than cost or pricing data to the extent necessary for the Government to determine price reasonableness and cost realism;

and cost or pricing data from subcontractors that are not nonprofit organizations when the subcontractor’s proposal exceeds the cost and pricing data threshold at FAR 15.403-4(a)(1).

(c) Per Section 873 of the FY2016 National Defense Authorization Act (Pub L. 114-92), “Pilot Program For Streamlining Awards For Innovative Technology Projects,” small businesses and nontraditional defense contractors (as defined therein) are alleviated from submission of certified cost and pricing data for new contract awards valued at less than $7,500,000. In such instances where this “waiver” applies, proposers seeking a FAR-based contract shall submit information other than certified cost or pricing data to the extent necessary for the Government to determine price reasonableness and cost realism; and certified cost or pricing data from subcontractors that are not small businesses or nontraditional defense contractors when such subcontract proposals exceed the cost and pricing data threshold at FAR 15.403-4(a)(1).

(d) “Cost or pricing data” are not required if the proposer proposes an award instrument other than a procurement contract (i.e. other transaction).

Note 2:

Proposers are required to provide the aforementioned cost breakdown as an editable MS Excel spreadsheet, inclusive of calculations formulae, with tabs (material, travel, ODC’s) provided as necessary. The Government also requests and recommends that the Cost Proposal include MS Excel file(s) that provide traceability between the Bases of Estimate (BOEs) and the proposed costs across all elements and phases. This includes the calculations and adjustments that are utilized to generate the Summary Costs from the source labor hours, labor costs, material costs, etc. input data. It is requested that the costs and Subcontractor proposals be readily traceable to the Prime Cost Proposal in the provided MS Excel file(s) – although this is not a requirement, providing information in this manner will assist the Government in understanding what is being proposed both technically and in terms of cost realism. NOTE: If the PDF submission differs from the Excel submission, the PDF will take precedence.

Section III. Other Transaction Request, if applicable

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

Milestone description Completion/Exit criteria (to include identifying all associated data deliverables excluding those specifically providing project status) Due date Payment/funding schedule (to include, if cost share is proposed, awardee and

Government share amounts) For each data deliverable, identify the proposed Government data rights (keeping in mind the how each data deliverable will need to be used by the Government given the goals and objectives of the proposed project)

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

Section IV. Other Cost Information

Where the effort consists of multiple portions which could reasonably be partitioned for purposes of funding, these should be identified as options with separate cost estimates.

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.).

The proposer should include supporting cost and pricing information in sufficient detail to substantiate the summary cost estimates and should include a description of the method used to estimate costs and…