HR001120S0044.pdf

Broad Agency Announcement

Biological Technologies

BIOLOGICAL TECHNOLOGIES OFFICE

HR001120S0044

April 23, 2020

HR001120S0044, Biological Technologies

TABLE OF CONTENTS

PART I: OVERVIEW INFORMATION

PART II: FULL TEXT OF ANNOUNCEMENT

1. Funding Opportunity Description

2. Award Information

2.1. General Award Information

2.2. Fundamental Research

3. Eligibility Information

3.1. Eligible Applicants

3.2. Organizational Conflicts of Interest

3.3. Cost Sharing/Matching

4. Application and Submission Information

4.1. Address to Request Application Package

4.2. Content and Form of Application Submission

Disclosure of Information and Compliance with Safeguarding Covered Defense Information Controls

4.3. Funding Restrictions

4.4. Other Submission Information

5. Application Review Information

5.1. Evaluation Criteria

5.2. Review of Proposals

6. Award Administration Information

6.1. Selection Notices

6.2. Administrative and National Policy Requirements

6.3. Reporting

6.4. Electronic Systems

7. Agency Contacts

8. Other Information

9. APPENDIX 1 – Volume II checklist

PART I: OVERVIEW INFORMATION

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

Funding Opportunity Title – Biological Technologies Announcement Type – Initial Announcement Funding Opportunity Number – HR001120S0044 North American Industry Classification System (NAICS) – 541714 Catalog of Federal Domestic Assistance Numbers (CFDA) – 12.910 Research and

Technology Development Dates o Posting Date: April 23, 2020 o Proposal Abstract Due Date and Time: Abstracts may be submitted on a rolling basis until 4:00 PM ET, April 22, 2021 o Full Proposal Due Date and Time: Proposals may be submitted on a rolling basis until 4:00 PM ET, April 22, 2021 o BAA Closing Date: April 22, 2021 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 BTO programs or other published solicitations.

Anticipated individual awards – Multiple awards are anticipated.

Types of instruments that may be awarded – Procurement contract, grant, cooperative agreement, or Other Transaction.

Agency contact

The BAA Coordinator for this effort may be reached at:

BTOBAA2020@darpa.mil

DARPA/BTO

ATTN: HR001120S0044

675 North Randolph Street Arlington, VA 22203-2114 mailto:BTOBAA2020@darpa.mil

PART II: FULL TEXT OF ANNOUNCEMENT

1. Funding Opportunity Description

This publication constitutes a Broad Agency Announcement (BAA) as contemplated in Federal Acquisition Regulation (FAR) 6.102(d)(2) and 35.016 and 2 CFR § 200.203. Any resultant award negotiations will follow all pertinent law and regulation, and any negotiations and/or awards for procurement contracts will use procedures under FAR 15.4, Contract Pricing, as specified in the BAA.

The Defense Advanced Research Projects Agency (DARPA) often selects its research efforts through the Broad Agency Announcement (BAA) process. The BAA will appear first on the beta.SAM.gov website, https://beta.sam.gov, and the Grants.gov website http://www.grants.gov/.

The following information is for those wishing to respond to the BAA.

The mission of BTO is to foster, demonstrate, and transition breakthrough research, discoveries, and applications that integrate biology, engineering, computer science, mathematics, and the physical sciences. BTO's research investment portfolio includes combating pandemic disease, innovative physiological interventions, human performance and warfighter readiness, microbes as production platforms, and deep exploration of changing ecologies and environments on U.S.

capabilities and resilience. BTO's programs operate across a wide range of scales, from individual cells to the warfighter to global ecosystems. BTO responds to the urgent and long-term needs of the Department of Defense (DoD) and addresses national security priorities.

BTO is interested in submissions related to the following areas:

Discovering and leveraging novel findings from biotechnology, biochemistry, molecular biology, neuroscience, psychology, cognitive science, and related disciplines to advance treatment and resilience in neurological health, transformative neural processing, and optimize human performance.

Understanding and improving interfaces between the biological and physical world to enable seamless hybrid systems and revolutionary new human-machine interfaces.

Designing novel materials, sensors, or processes that mimic or are inspired by biological systems.

Leveraging and translating a biological system’s underlying design rules, functional processes, and/or means of interactivity to provide insight into or control over complex biological systems from biofilms to organs.

Developing new tools and capabilities for forward engineering of biological systems, such as cells, tissues, organs, organisms, and complex communities, to both develop new products and functional systems, as well as to gain new insights into underlying mechanisms.

https://beta.sam.gov/ http://www.grants.gov/

Developing new platform technologies that integrate, automate, and miniaturize the collection, processing, and analysis of biological and chemical samples.

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

Developing and validating new theories and computational models that identify factors and principles underlying collective and interactive behaviors of biological organisms at all scales from individual cells to global ecosystems.

Understanding the dynamics of population and ecosystem behavior to preserve equilibrium, provide strategic opportunity, or avoid catastrophe.

Developing and leveraging new technologies that can be applied to agricultural ecosystems for production stabilization, by improving quality or reducing losses from pathogens or pests.

Developing and leveraging new insights into non-human biology across and between populations of microbes, insects, plants, marine life, and other non-human biologic entities.

Developing technologies to leverage biological systems and enhance the ability to acquire and maintain critical and strategic organic and inorganic materials.

Developing new technologies and approaches that ensure biosafety, biosecurity, digital biosecurity of biological hardware, data and information, and protection of the bioeconomy.

Understanding emerging threats to global food and water supplies and developing countermeasures that could be implemented on regional or global scales.

Developing new technologies to treat, prevent, and predict the emergence and spread of infectious diseases that have the potential to cause significant health, economic, and social burden.

Developing and leveraging technologies to advance continuous or near-continuous monitoring of an organism’s physiology to elucidate mechanisms of human resilience.

Developing new technologies for the rapid manufacturing, delivery and distribution of large molecule drugs such as biologics.

Leveraging biology to provide new tactical and strategic maritime operational advantages.

Developing an understanding of mechanisms that organisms use to assess and interact with their environment.

Developing new technologies for advanced eukaryotic cellular engineering to support next generation cellular therapeutic applications.

Developing new platform technologies for targeted, effective, spatiotemporally-controlled delivery of large and small molecules and biologics.

Developing tools to understand the underlying rules defining biomolecular and biomaterial structure/function properties in order to predict desired outcomes for novel materials.

Leveraging biological systems to produce solutions for antimicrobial resistance.

Other biological technology topic areas that fit the national security scope of BTO’s mission.

2. Award Information

2.1. GENERAL AWARD INFORMATION

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

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

The Government reserves the right to request any additional, necessary documentation once it makes the award instrument determination. Such additional information may include but is not limited to Representations and Certifications (see Section VI.B.2., “Representations and Certifications”). The Government reserves the right to remove proposers from award consideration should the parties fail to reach agreement on award terms, conditions, and/or cost/price within a reasonable time, and the proposer fails to timely provide requested additional information. Proposals identified for negotiation may result in a procurement contract, 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.

2.2. FUNDAMENTAL RESEARCH

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

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

As of the date of publication of this BAA, the Government cannot identify whether the work under this BAA may be considered fundamental research and may award both fundamental and non-fundamental research.

Proposers should indicate in their proposal whether they believe the scope of the research included in their proposal is fundamental or not. While proposers should clearly explain the intended results of their research, the Government shall have sole discretion to 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.

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

3. Eligibility Information

3.1. ELIGIBLE APPLICANTS

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

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

FFRDCs FFRDCs are subject to applicable direct competition limitations and cannot propose to this BAA in any capacity unless they meet the following conditions. (1) FFRDCs must clearly demonstrate that the proposed work is not otherwise available from the private sector. (2) FFRDCs must provide a letter, on official letterhead from their sponsoring organization, 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.

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.

Authority and Eligibility At the present time, DARPA does not consider 15 U.S.C. § 3710a to be sufficient legal authority to show eligibility. While 10 U.S.C.§ 2539b may be the appropriate statutory starting point for some entities, specific supporting regulatory guidance, together with evidence of agency approval, will still be required to fully establish eligibility. DARPA will consider FFRDC and Government Entity eligibility submissions on a case-by-case basis; however, the burden to prove eligibility for all team members rests solely with the proposer.

3.1.2. Non-U.S. Organizations

Non-U.S. organizations and/or individuals may participate to the extent that such participants comply with any necessary nondisclosure agreements, security regulations, export control laws, and other governing statutes applicable under the circumstances.

3.2. ORGANIZATIONAL CONFLICTS OF INTEREST

FAR 9.5 Requirements In accordance with FAR 9.5, proposers are required to identify and disclose all facts relevant to potential OCIs involving the proposer’s organization and any proposed team member (subawardee, consultant). Under this Section, the proposer is responsible for providing this disclosure with each proposal submitted to the BAA. The disclosure must include the proposer’s, and as applicable, proposed team member’s OCI mitigation plan. The OCI mitigation plan must include a description of the actions the proposer has taken, or intends to take, to prevent the existence of conflicting roles that might bias the proposer’s judgment and to prevent the proposer from having unfair competitive advantage. The OCI mitigation plan will specifically discuss the disclosed OCI in the context of each of the OCI limitations outlined in FAR 9.505-1 through

FAR 9.505-4.

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

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

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

The name of the DARPA office receiving the support;

The prime contract number;

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

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

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

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

3.3. COST SHARING/MATCHING

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

4. Application and Submission Information

4.1. ADDRESS TO REQUEST APPLICATION PACKAGE

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

4.2. CONTENT AND FORM OF APPLICATION SUBMISSION

All submissions, including abstracts and proposals, must be written in English with type no smaller than 12-point font. A smaller font may be used for figures, tables, and charts. The page limitation includes all figures, tables, and charts. All pages shall be formatted for printing on 8- 1/2 by 11-inch paper. Margins must be 1-inch on all sides. Copies of all documents submitted must be clearly labeled with the DARPA BAA number, proposer organization, and proposal title/proposal short title.

4.2.1. Proposal Abstract Format

Proposers are strongly encouraged to submit an abstract in advance of a full proposal to minimize effort and reduce the potential expense of preparing an out of scope proposal.

DARPA will respond to abstracts providing feedback and indicating whether, after preliminary review, there is interest within BTO for the proposed work. DARPA will attempt to reply within 20 calendar days of receipt. Proposals may be submitted irrespective of comments or feedback received in response to the abstract. Proposals are reviewed without regard to feedback given as a result of abstract review. The time and date for submission of proposal abstracts are specified in Part I above.

The abstract is a concise version of the proposal comprising a maximum of two (2) pages, including all figures, tables, and charts. All submissions must be written in English with type no smaller than 12-point font. A smaller font may be used for figures, tables, and charts. All pages shall be formatted for printing on 8-1/2 by 11-inch paper. Margins must be 1-inch on all sides. Copies of all documents submitted must be clearly labeled with the DARPA BAA number (HR001120S0044), proposer organization, and proposal abstract title.

http://www.darpa.mil/

Abstracts must include the following components:

A. Cover Sheet (does not count towards page limit): Include the administrative and technical points of contact (name, address, phone, fax, e-mail, lead organization). Also include the BAA number, title of the proposed project, primary subcontractors, estimated cost, duration of the project, and the label “ABSTRACT.”

B. Goals and Impact: Clearly describe what is being proposed and what difference it will make (qualitatively and quantitatively), including brief answers to the following questions:

1. What is the proposed work attempting to accomplish or do?

2. How is it done today? And what are the limitations?

3. What is innovative in your approach, and how does it compare to the current state-of-the-art (SOA)?

4. What are the key technical challenges in your approach, and how do you plan to overcome these?

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

6. How much will it cost and how long will it take?

D. Technical Plan: Outline and address all technical challenges inherent in the approach and possible solutions for overcoming potential problems. This section should provide appropriate specific milestones (quantitative, if possible) at intermediate stages of the project to demonstrate progress, and a brief plan for accomplishment of the milestones.

F. Capabilities: Provide a brief summary of expertise of the team, including subcontractors and key personnel. A principal investigator for the project must be identified. If resumes are provided, no more than two resumes (one from the PI) should be included as part of the abstract. Resumes do not count as part of the page limit.

Include a description of the team’s organization, including roles and responsibilities.

Describe the organizational experience in this area, existing intellectual property required to complete the project, and any specialized facilities to be used as part of the project. List Government-furnished materials or data assumed to be available. If desired, include a brief bibliography with links to relevant papers or reports.

4.2.2. Proposal Format

All full proposals must be in the format given below. Proposals shall consist of two volumes: (1) Volume I, Technical and Management Proposal, and (2) Volume II, Cost Proposal. All submissions must be written in English with type no smaller than 12-point font. A smaller font may be used for figures, tables, and charts. The page limitation includes all figures, tables, and charts. All pages shall be formatted for printing on 8-1/2 by 11- inch paper. Margins must be 1-inch on all sides. Copies of all documents submitted must be clearly labeled with the DARPA BAA number (HR001120S0044), proposer organization, and proposal title/proposal short title.

Volume I, Technical and Management Proposal, may include an attached bibliography of relevant technical papers or research notes (published and unpublished) which document the technical ideas and approach upon which the proposal is based. Copies of not more than three (3) relevant papers may be included with the submission. The bibliography and attached papers are not included in the page counts given below. The submission of other supporting materials along with the proposals is strongly discouraged and will not be considered for review. The maximum page count for Volume I is 25 pages. The official transmittal (submission) letter is not included in the page count. Volume I should include the following components:

NOTE: Non-conforming submissions that do not address both technical areas and/or follow the instructions herein may be rejected without further review.

a. Volume I, Technical and Management Proposal

Section I. Administrative

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

1. BAA number (HR001120S0044);

2. Lead organization submitting proposal (prime contractor);

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

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

BUSINESS,” “HBCU,” “MI,” “OTHER EDUCATIONAL,” OR “OTHER

NONPROFIT”;

4. Proposer’s reference number (if any);

5. Other team members (if applicable) and type of business for each;

6. Proposal title;

7. Technical point of contact (Program Manager or Principle Investigator) to include:

salutation, last name, first name, street address, city, state, zip code, telephone, fax (if available), e-mail (if available);

8. Administrative point of contact (Contracting Officer or Award Officer) to include:

salutation, last name, first name, street address, city, state, zip code, telephone, fax (if available), e-mail (if available);

9. Award instrument requested: cost-plus-fixed-free (CPFF), cost-contract—no fee, cost sharing contract – no fee, or other type of procurement contract (specify), cooperative agreement, or other transaction;

10. Place(s) of performance, including all subcontractors and consultants;

11. Period of performance;

12. Total funds requested from DARPA, total funds requested per phase and the amount of any cost share (if any);

13. Proposal validity period; AND

14. Date proposal was submitted.

Information on award instruments is available at http://www.darpa.mil/work-with-us/contract-management.

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

B. Official Transmittal Letter.

Section II. Detailed Proposal Information

A. Executive Summary: Provide a synopsis of the proposed project, including answers to the following questions:

1. What is the proposed work attempting to accomplish or do?

2. How is it done today? And what are the limitations?

3. What is innovative in your approach, and how does it compare to the current state-of-the-art (SOA)?

4. What are the key technical challenges in your approach, and how do you plan to overcome these?

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

6. How much will it cost and how long will it take?

B. Goals and Impact: Clearly describe what the team is trying to achieve and the difference it will make (qualitatively and quantitatively) if successful. Describe the innovative aspects of the project in the context of existing capabilities and approaches, clearly delineating the uniqueness and benefits of this project in the context of the state of the art, alternative approaches, and other projects from the past and present. Describe how the proposed project is revolutionary and how it significantly rises above the current state-of-the-art. Describe the deliverables associated with the proposed project and any plans to commercialize the technology, transition it to a customer, or further the work.

C. Technical Plan: Outline and address technical challenges inherent in the approach and possible solutions for overcoming potential problems. This section should provide appropriate measurable milestones (quantitative if possible) at intermediate stages of the program to demonstrate progress and a plan for achieving the milestones. The technical plan should demonstrate a deep understanding of the technical challenges and present a credible (even if risky) plan to achieve the program goal. Discuss mitigation of technical risk.

D. Management Plan: Provide a summary of expertise of the team, including any subcontractors, and key personnel who will be doing the work. Identify a principal investigator for the project. Provide a clear description of the team’s organization including an organization chart that includes, as applicable: the programmatic relationship of team members; the unique capabilities of team members; the task responsibilities of team members, the teaming strategy among the team members; and key personnel with the amount of effort to be expended by each person during each year.

Provide a detailed plan for coordination, including explicit guidelines for interaction among collaborators/subcontractors of the proposed effort. Include risk management approaches. Describe any formal teaming agreements that are required to execute this program.

E. Capabilities: Describe organizational experience in relevant subject area(s), existing intellectual property, specialized facilities, and any Government-furnished materials or information. Discuss any work in closely related research areas and previous accomplishments.

F. Statement of Work (SOW): The SOW should provide a detailed task breakdown, citing specific tasks and their connection to the interim milestones and program metrics. Each phase of the program should be separately defined. The SOW must not include proprietary information.

For each task/subtask, provide:

A detailed description of the approach to be taken to accomplish each defined task/subtask.

Identification of the primary organization responsible for task execution (prime contractor, subcontractor(s), consultant(s), by name).

A measurable milestone, i.e., a deliverable, demonstration, or other event/activity that marks task completion. Include completion dates for all milestones. Include quantitative metrics.

A definition of all deliverables (e.g., data, reports, software) to be provided to the Government in support of the proposed tasks/subtasks.

G. Schedule and Milestones: Provide a detailed schedule showing tasks (task name, duration, work breakdown structure element as applicable, performing organization), milestones, and the interrelationships among tasks. The task structure must be consistent with that in the SOW. Measurable milestones should be clearly articulated and defined in time relative to the start of the project.

H. DARPA Embedded Entrepreneur Initiative (optional sub-section; does not count toward page count): To catalyze the conversion of scientific discovery to impact, BTO offers applicants the opportunity for additional funding and transition assistance through participation in the Embedded Entrepreneur Initiative (EEI). EEI will provide additional funding, up to $250,000, to employ one entrepreneur-in residence or one corporate business development lead. The entrepreneurial lead's ultimate goal is to develop a robust go to market strategy for entering into defense and commercial markets. The determination for participation in EEI will be made independently by the Government following selection for an award. Selection for award does not imply selection for participation in EEI.

All commercialization and transition activities will be timed to suit the performer's stage of maturity. Often, the EEI work is most useful in year two or three of an effort.

Activities conducted can include, but are not limited to; cost modeling, end user engagement, market analysis and mapping, competitive analysis, techno-economic analysis, manufacturing and scale-up strategy, IP securement strategy, and financial plan creation. EEI participants will work closely with DARPA's Commercial Strategy team and their extensive network of U.S. investors, strategic partners, and mentors.

Proposers wishing to be considered for participation in the EEI must:

Include an initial hypothesis describing how the proposed technology will transition from its current state to future integration into a product or capability.

Include a separately costed option in the provided cost proposal template not to exceed $250,000 that includes tasks describing plans to build and refine a viable Go to Market Strategy over the course of the effort. Tasks contributing to the build of a robust Go to Market Strategy can include, but are not limited to; cost modeling, end user engagement, market analysis and mapping, competitive analysis, techno-economic analysis, manufacturing and scale-up strategy, IP securement strategy, and financial plan creation. These EEI tasks and deliverables must be provided as an option in the Statement of Work submitted in response to this BAA.

The DARPA EEI option will be exercised at the discretion of the Government based on a performer’s technical accomplishments and progress towards development of a technology with transition and commercialization potential and subject to the availability of funding.

Participation in EEI is voluntary. Participants are not expected to form a new company or leave their current research positions to pursue transition, but are expected to, throughout the lifecycle of the proposed effort, identify appropriate partners for enabling transition. EEI funding requests should be consistent with the proposed work scope and proposed timeline, but are anticipated to be in the range of $250,000 per performer.

Section III. Additional Information (Note: Does not count towards page limit)

A brief bibliography of relevant technical papers and research notes (published and unpublished), which document the technical ideas upon which the proposal is based. Copies of not more than three (3) relevant papers can be included in the submission.

a. Volume II, Cost Management Proposal

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

1. BAA Number (HR001120S0044);

2. Lead organization submitting proposal;

3. Type of organization, selected among the following categories: “LARGE BUSINESS”, “SMALL DISADVANTAGED BUSINESS”, “OTHER SMALL BUSINESS”, “HBCU”, “MI”, “OTHER EDUCATIONAL”, OR “OTHER NONPROFIT”;

4. Proposer’s reference number (if any);

5. Other team members (if applicable) and type of business for each;

6. Proposal title;

7. Technical point of contact (Program Manager or Principal Investigator) to include:

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

8. Administrative point of contact (Contracting Officer or Award Officer) to include:

salutation, last name, first name, street address, city, state, zip code, telephone, fax (if available), and electronic mail (if available);

9. Award instrument requested: cost-plus-fixed-free (CPFF), cost-contract—no fee, cost sharing contract – no fee, or other type of procurement contract (specify), cooperative agreement, or other transaction;

10. Place(s) of performance, including all subcontractors and consultants;

11. Period of performance;

12. Total proposed cost separated by Task Area and Phase (as defined in Figure 1), and the amount of any cost share (if any);

13. Name, address, and telephone number of the proposer’s cognizant Defense Contract

Management Agency (DCMA) administration office (if known);

14. Name, address, and telephone number of the proposer’s cognizant Defense Contract

Audit Agency (DCAA) audit office (if known);

15. Date proposal was prepared;

16. Data Universal Numbering System (DUNS) number (http://www.dnb.com/get-a-duns-number.html);

17. Taxpayer ID number (https://www.irs.gov/Individuals/International-

Taxpayers/Taxpayer-Identification-Numbers-TIN);

18. Commercial and Government Entity (CAGE) code

(https://cage.dla.mil/Home/UsageAgree);

19. Proposal validity period

The Government strongly encourages that proposers use the provided MS ExcelTM cost proposal spreadsheet (Attachment 1) in the development of their cost proposals. All tabs and tables in MS ExcelTM cost proposal spreadsheet should be developed in an editable format with calculation formulas intact to allow traceability of the cost proposal numbers across the spreadsheet. This MS ExcelTM cost proposal spreadsheet should be used by the prime organization and all subcontractors. In addition to using the MS ExcelTM cost proposal spreadsheet, Volume II still must include all other items discussed below that are not covered by the editable spreadsheet. Subcontractor MS ExcelTM cost proposal spreadsheets may be submitted directly to the Government by the proposed subcontractor via e-mail to the address in http://www.dnb.com/get-a-duns-number.html http://www.dnb.com/get-a-duns-number.html https://www.irs.gov/Individuals/International-Taxpayers/Taxpayer-Identification-Numbers-TIN https://www.irs.gov/Individuals/International-Taxpayers/Taxpayer-Identification-Numbers-TIN https://cage.dla.mil/Home/UsageAgree

Part I of this BAA. Using the provided MS ExcelTM cost proposal spreadsheet will assist the Government in a rapid analysis of your proposed costs and, if your proposal is selected for award, speed up the negotiation and award execution process.

(1) Total program, per phase (Phase I (Base), Phase II (Option)) and per task cost broken down by major cost items to include:

i. Direct labor – provide an itemized breakout of all personnel, listed by name or TBD, with labor rate (or salary), labor hours (or percent effort), and labor category. All senior personnel must be identified by name.

ii. Materials and Supplies – itemized list, which includes description of material, quantity, unit price, and total price. If a material factor is used based on historical purchases, provide data to justify the rate.

iii. Equipment – itemized list, which includes description of equipment, unit price, quantity, and total price. Any equipment item with a unit price over $5,000 must include a vendor quote.

iv. Animal Use Costs – itemized list of all materials, animal purchases, and per diem costs, associated with proposed animal use; include documentation supporting daily rates.

v. Travel – provide an itemized list of travel costs to include purpose of trips, departure and arrival destinations, projected airfare, rental car and GSA approved per diem, number of travelers, number of days); provide screenshots from travel website for proposed airfare and rental car, as applicable; provide screenshot or web link for conference registration fee and note if the fee includes hotel cost. Conference attendance must be justified, explain how it is in the best interest of the project.

vi. Other Direct Costs (e.g., computer support, clean room fees) – Should be itemized with costs or estimated costs. Backup documentation and/or a supporting cost breakdown is required to support proposed costs with a unit price over $5,000. An explanation of any estimating factors, including their derivation and application, must be provided. Please include a brief description of the proposers’ procurement method to be used.

vii. Other Direct Costs/Consultants – provide executed Consultant Agreement that describes work scope, rate and hours.

viii. Indirect Costs (General) – fringe benefits, overhead, General and Administrative (G&A) expense, and cost of money (see university vs.

company specific requirements below).

ix. Indirect costs (specific to an Academic/University performer):

(1) Fringe Benefit Rate (provide current Department of Health and Human Services (DHHS) or Office of Naval Research (ONR) negotiated rate package; if calculated by other than a rate, provide University documentation identifying fringe costs by position or HR documentation if unique to each person); (2) F&A Indirect Overhead Rate (provide current DHHS or ONR negotiated rate package); (3) Tuition Remission (provide current University documentation justifying per student amount);

and (4) Health Insurance/Fee (provide current University documentation justifying per student amount, if priced separately from fringe benefits with calculations included in the EXCEL cost file).

x. Indirect costs (specific to a Private Industry performer): (1) Fee/Profit (provide rationale for proposed fee/profit percentage using criteria found in DFARS 215.404-70); and (2) Fringe Benefit/Labor OH/Material OH/G&A Rates (provide current Forwarding Pricing Rate Proposal (FPRP) or DCMA/DCAA Forward Pricing Rate Recommendation or Agreement (FPRR or FPRA). If these documents are not available, provide company historical data, preferably two years, minimum of one, to include both pool and expense costs used to generate the rates).

(2) A summary of total program costs by phase and task.

(3) An itemization of Subcontracts. All subcontractor cost proposal documentation must be prepared at the same level of detail as that required of the prime.

Subcontractor proposals should include Interdivisional Work Transfer Agreements (IWTA) or evidence of similar arrangements (an IWTA is an agreement between multiple divisions of the same organization). The prime proposer is responsible for compiling and providing all subcontractor proposals for the Procuring Contracting Officer (PCO). The proposal must show how subcontractor costs are applied to each phase and task. If consultants are to be used, proposer must provide consultant agreement or other document that verifies the proposed loaded daily/hourly rate.

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

(5) A summary of projected funding requirements by month for all phases of the project.

(6) A summary of tasks that have animal or human use funding.

(7) The source, nature, and amount of any industry cost-sharing. Where the effort consists of multiple portions that could reasonably be partitioned for purposes of funding, these should be identified as options with separate cost estimates for each.

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

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

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

Per FAR 15.403-4, certified cost or pricing data shall be required if the proposer is seeking a procurement contract award per the referenced threshold, unless the proposer requests and is granted an exception from the requirement to submit cost or pricing data. Certified cost or pricing data” are not required if the proposer proposes an award instrument other than a procurement contract (e.g., a grant, cooperative agreement, or other transaction.)

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

All proprietary subawardee proposal documentation, prepared at the same level of detail as that required of the awardee’s proposal and which cannot be uploaded with the proposed awardee’s proposal, shall be provided to the Government either by the awardee or by the subawardee organization when the proposal is submitted. Subawardee proposals submitted to the Government by the proposed subawardee should be submitted via e-mail to the address in Section I.

Other Transaction (OT) Requests All proposers requesting an OT must include a detailed list of milestones for each phase of the program (I and II). Each milestone must include the following:

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

Government share amounts).

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

4.2.3. Additional Proposal Information

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

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

Unclassified Submissions DARPA anticipates that submissions received under this BAA will be unclassified. However, should a proposer wish to submit classified information, an unclassified e-mail must be sent to the BAA mailbox requesting submission instructions from the Technical Office Program Security Officer (PSO). If a determination is made that the award instrument may result in access to classified information, a Security Classification Guide (SCG) and/or Department of Defense Form 254 (DD Form 254), Contract Security Classification Specification, will be issued by DARPA and attached as part of the award.

Disclosure of Information and Compliance with Safeguarding Covered Defense Information Controls

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

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

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

Compliance with the above requirements includes the mandate for proposers to implement the security requirements specified by National Institute of Standards and Technology (NIST) Special Publication (SP) 800-171, “Protecting Controlled Unclassified Information in Nonfederal Information Systems and Organizations” (see https://doi.org/10.6028/NIST.SP.800-171r1) that are in effect at the time the BAA is issued.

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

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

http://www.darpa.mil/work-with-us/additional-baa#NPRPAC https://doi.org/10.6028/NIST.SP.800-171r1

Approved Cost Accounting System Documentation Proposers that do not have a Cost Accounting Standards (CAS) compliant accounting system considered adequate for determining accurate costs that are negotiating a cost-type procurement contract must complete an Standard Form 1408 (SF 1408), Preaward survey of Prospective Contractor Accounting System. For more information on CAS compliance, see http://www.dcaa.mil/cas.html. To facilitate this process, proposers should complete the SF 1408 found at http://www.gsa.gov/portal/forms/download/115778 and submit the completed form with the proposal.

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

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

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

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