HR001120S0048.pdf

HR001120S0048 DSO OFFICE-WIDE 1

Broad Agency Announcement Defense Sciences Office Office-wide

HR001120S0048

June 12, 2020

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Table of Contents

PART II: FULL TEXT OF ANNOUNCEMENT

I. Funding Opportunity Description A. Introduction B. Technical Thrust Area Descriptions

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

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

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

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

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

VII. Other Information A. Frequently Asked Questions (FAQs) B. Collaborative Efforts/Teaming

BAA Attachments:

Attachment A: EXECUTIVE SUMMARY TEMPLATE Attachment B: ABSTRACT SUMMARY SLIDE TEMPLATE Attachment C: ABSTRACT TEMPLATE Attachment D: PROPOSAL SUMMARY SLIDE TEMPLATE Attachment E: PROPOSAL TEMPLATE VOLUME 1 TECHNICAL &

MANAGEMENT VOLUME

Attachment F: PROPOSAL TEMPLATE VOLUME 2 COST VOLUME Attachment G: MS ExcelTM DARPA COST PROPOSAL TEMPLATE Attachment H: PROPOSAL TEMPLATE VOLUME 3 ADMINISTRATIVE &

NATIONAL POLICY REQUIREMENTS VOLUME

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PART I: OVERVIEW INFORMATION

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

Funding Opportunity Title: DSO Office-wide Broad Agency Announcement (BAA)

Announcement Type: Initial Announcement

Funding Opportunity Number: HR001120S0048

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

Dates (All times listed herein are Eastern Time.)

o Posting Date: June 12, 2020 o Executive Summary Due Date and Time: Executive Summaries may be submitted on a rolling basis until Executive Summary Due Date: June 11, 2021, 4:00 p.m.

o Proposal Abstract Due Date and Time: Abstracts may be submitted on a rolling basis until June 11, 2021, 4:00 p.m.

o FAQ Submission Deadline: June 2, 2021, 4:00 p.m. See Section VIII.A.

o Full Proposal Due Date and Time: Proposals may be submitted on a rolling basis until

June 11, 2021, 4:00 p.m.

o BAA Closing Date: June 11, 2021, 4:00 p.m.

o Estimated period of performance start: Approximately 120 calendar days after proposal submission

Anticipated Individual Awards: Multiple awards are anticipated; however, the level of funding for individual awards made under this solicitation has not been predetermined and will depend on the scope and quality of the proposals received, as well as the availability of funds. See Section II for further information.

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

Agency contacts o Technical POC: Phil Root, Deputy Director, DARPA/DSO o BAA Email: HR001120S0048@darpa.mil o BAA Mailing Address:

DARPA/DSO

ATTN: HR001120S0048 Office-Wide 675 North Randolph Street Arlington, VA 22203-2114 o DARPA/DSO Opportunities Website: http://www.darpa.mil/work-with-us/opportunities

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

mailto:HR001120S00XX@darpa.mil http://www.darpa.mil/work-with-us/opportunities?tFilter=&oFilter=2&sort=name

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PART II: FULL TEXT OF ANNOUNCEMENT

I.Funding Opportunity Description This Broad Agency Announcement (BAA) constitutes as a public notice of a competitive funding opportunity as described in Federal Acquisition Regulation (FAR) 6.102(d)(2) and

35.016 as well as 2 C.F.R. § 200.203. Any resultant negotiations and/or awards will follow all laws and regulations applicable to the specific award instrument(s) available under this BAA, e.g., FAR 15.4 for procurement contracts.

A. Introduction The mission of the Defense Advanced Research Projects Agency (DARPA) Defense Sciences Office (DSO) is to identify and create the next generation of scientific discovery by pursuing high-risk, high-payoff research initiatives across a broad spectrum of science and engineering disciplines and transforming these initiatives into disruptive technologies for U.S. national security. In support of this mission, the DSO Office-wide BAA invites proposers to submit innovative basic or applied research concepts or studies and analysis proposals that address one or more of the following technical thrust areas: (1) Frontiers in Math, Computation and Design,

(2) Limits of Sensing and Sensors, (3) Complex Social Systems, and (4) Anticipating Surprise.

Each of these thrust areas is described below and includes a list of example research topics that highlight several (but not all) potential areas of interest. Proposals must investigate innovative approaches that enable revolutionary advances. DSO is explicitly not interested in approaches or technologies that primarily result in evolutionary improvements to the existing state of practice.

B. Technical Thrust Area Descriptions Frontiers in Math, Computation & Design: The increasingly complex, technologically sophisticated, fast-paced and dynamic military operational environment imposes fundamental challenges in how we design and plan for future military needs. The DoD implications of these trends drive a need for new math, computation, and design tools that enable trusted decision making at increased speed and with known confidence levels. Topics of interest under this thrust area include, but are not limited to, the following: (1) mathematical, computational, and design frameworks and tools that provide robust solutions to challenging DoD problems such as planning, optimization, and platform design; (2) fundamental scientific underpinnings and limits of machine learning (ML) and artificial intelligence (AI); and (3) alternative computing models, architectures, and substrates for faster, more robust decision making.

Limits of Sensing & Sensors: Sensing and measurement of signals ranging from “DC to daylight” are ubiquitous to military systems and missions. Surveillance, navigation, warfighter health monitoring, and target ID/tracking are just a few examples of missions and/or applications that rely on various sensing modalities. Topics of interest under this thrust area include, but are not limited to, the following: (1) new sensing modalities, (2) fundamental sensing limits, (3) engineered materials that enable novel optics and imaging capabilities, (4) fundamental and practical limits of quantum enabled sensing and metrology, and (5) practical and deployable sensing and sensor designs.

Complex Social Systems: Understanding social behavior and the dynamics of complex social networks is critically important for many military operations including stability, deterrence, influence, counter-terrorism, shaping the environment, training, and mission planning.

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Additionally, increasingly robust machine capabilities in the form of automation, platforms, and artificial intelligence (AI) will fundamentally change how heterogeneous human-machine teams frame problems, plan, and operate at tempo and manage complexity. Topics of interest under this thrust area include, but are not limited to, the following: (1) accurate and scientifically validated models of the social dynamics underlying different kinds of conflict; (2) capabilities to improve understanding of causality in complex social systems; (3) artificial intelligence and other tools that enable improved human-machine symbiotic decision-making; and (4) new concepts in war-gaming and simulations to identify and understand options for deterrence and stability operations.

Anticipating Surprise: Ultimately, the goal of DSO Research and Development (R&D) investments is to ensure that U.S. warfighters have access to the most advanced technologies.

Research funded under this thrust area supports scientific and technological discovery that leads to “leap ahead” capabilities across multiple technology domains to ensure enhanced military readiness against specific existing, emerging and/or future threats to national security. Topics of interest under this thrust area include, but are not limited to, the following: (1) novel functional and structural materials and manufacturing processes; (2) materials for harsh environments; (3) defense against Weapons of Mass Destruction/Weapons of Mass Terror (WMD/WMT) threats;

(4) energetic materials; (5) new propulsion concepts; and (6) novel approaches to energy storage and power generation.

II. Award Information A. General Award Information

DARPA anticipates multiple awards. The level of funding for individual awards made under this BAA will depend on the quality of the proposals received and the availability of funds. Awards will be made to proposers1 whose proposals are determined to be the most advantageous to the Government, all evaluation factors considered. See Section V for further information.

The Government reserves the right to:

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

make awards without discussions with proposers;

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

segregate portions of resulting awards into pre-priced options;

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

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

request additional documentation once the award instrument has been determined (e.g., representations and certifications); and remove proposers from award consideration should the parties fail to reach agreement on

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

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award terms within a reasonable time or the proposer fails to provide requested additional information in a timely manner.

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

Proposers looking for innovative, commercial-like contractual arrangements are encouraged to consider requesting Other Transactions. To understand the flexibility and options associated with Other Transactions, consult http://www.darpa.mil/work-with-us/contract-management#OtherTransactions.

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

In all cases, the Government contracting officer shall have sole discretion to select award instrument type, regardless of instrument type proposed, and to negotiate all instrument terms and conditions with selectees. DARPA will apply publication or other restrictions, as necessary, if it determines that the research resulting from the proposed effort will present a high likelihood of disclosing performance characteristics of military systems or manufacturing technologies that are unique and critical to defense. Any award resulting from such a determination will include a requirement for DARPA permission before publishing any information or results on the program. For more information on publication restrictions, see the section below on Fundamental Research.

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

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instrument type. Appropriate language will be included in resultant awards for non-fundamental research to prescribe publication requirements and other restrictions, as appropriate. This language can be found at http://www.darpa.mil/work-with-us/additional-baa.

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

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

III. Eligibility Information A. Eligible Applicants

All responsible sources capable of satisfying the Government's needs may submit a proposal DARPA’s consideration.

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

a. FFRDCs 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.

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

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Non-U.S. organizations and/or individuals may participate to the extent that such participants comply with any necessary nondisclosure agreements, security regulations, export control laws, and other governing statutes applicable under the circumstances. For classified submissions, this includes mitigating any Foreign Ownership Control and Influence (FOCI) issues prior to transmitting the submission to DARPA. Additional information on these subjects can be found at https://www.dcsa.mil/mc/ctp/foci/.

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

FAR 9.505-4.

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

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

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

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.

https://www.dcsa.mil/mc/ctp/foci/

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

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

C. Cost Sharing/Matching Cost sharing is not required; however, it will be carefully considered where there is an applicable statutory condition relating to the selected funding instrument (e.g., OTs under the authority of 10 U.S.C. § 2371). Cost sharing is encouraged where there is a reasonable probability of a potential commercial application related to the proposed research and development effort.

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

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

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

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

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

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

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

Executive summaries, abstracts and full proposals that are not found to be applicable to the DSO Office-Wide BAA as defined above may be deemed non-conforming2 and removed from consideration. All executive summaries, abstracts and full proposals must provide sufficient information to assess the validity/feasibility of their claims as well as comply with the requirements outlined herein for submission formatting, content and transmission to DARPA.

Executive summaries, abstracts and full proposals that fail to do so may be deemed non-conforming and removed from consideration. Proposers will be notified of non-conforming determinations via letter.

A. Address to Request Application Package This document contains all information required to submit a response to this solicitation. No

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

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additional forms, kits, or other materials are needed except as referenced herein. No request for proposal or additional solicitation regarding this opportunity will be issued, nor is additional information available except as provided at the beta.SAM.gov website (https://beta.sam.gov/), the Grants.gov website (http://www.grants.gov/), or referenced herein.

B. Content and Form of Application Submission

1. Executive Summary Information

The executive summary provides a synopsis of the proposed project by concisely answering the following questions (Note: these questions are a subset of the Heilmeier Catechism. Please view http://www.darpa.mil/work-with-us/heilmeier-catechism for more information.):

What is the proposed work attempting to accomplish or do?

How is the work performed today (what is the state of the art or practice), and what are the limitations?

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

DARPA will respond to executive summaries with a brief statement either encouraging or discouraging submission of a follow-on abstract or full proposal. In keeping with the intent of the executive summary, these responses will generally be limited to a statement of interest (or lack thereof), rather than providing detailed feedback. DARPA will attempt to reply to executive summaries via e-mail within thirty calendar days of receipt. Regardless of DARPA’s response to an executive summary, proposers may submit an abstract or full proposal.

Executive Summary Format All proposers are required to use Attachment A: Executive Summary Template provided as an attachment to the solicitation on https://beta.sam.gov and http://www.grants.gov.

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

What is the proposed work attempting to accomplish or do?

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

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

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

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

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

DARPA will attempt to reply to abstracts within thirty calendar days. These official notifications https://beta.sam.gov/ http://www.grants.gov/ http://www.darpa.mil/work-with-us/heilmeier-catechism https://beta.sam.gov/ http://www.grants.gov/

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will be sent via email to the Technical POC and/or Administrative POC identified on the abstract coversheet.

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

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

To assist in proposal development, various attachments have been provided along with the BAA posted on https://beta.sam.gov/ (Attachment D: Proposal Summary Slide Template, Attachment E: Proposal Template Volume 1 Technical & Management Volume, Attachment F: Proposal Template Volume 2 Cost Volume, Attachment G: MS ExcelTM DARPA Cost Proposal Template and Attachment H: Proposal Template Volume 3 Administrative & National Policy Requirements Volume).

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

Attachment D Attachment E Attachment F Attachment H

Proposers requesting a procurement contract or other transaction (OT) are also strongly encouraged to use the following attachment:

Attachment G (MS ExcelTM DARPA cost proposal spreadsheet).

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

Attachment D Attachment E Attachment H

Proposers requesting a grant or a cooperative agreement are also strongly encouraged to use the following attachment:

Attachment G (MS ExcelTM DARPA cost proposal spreadsheet).

*Note – Budget Justification should be provided as Section L of the SF 424 Research & Related Budget form provided via Grants.gov. The Budget Justification should include the following information for the recipient and all subawardees: (1) Direct Labor: Detail the total number of persons and their level of commitment for each position listed (in sections A and B), as well as which specific tasks (as described in the Statement of Work) they will support.(2) Equipment (section C) Provide an explanation for listed requested equipment exceeding $5,000, properly justifying their need to meet the objectives of the program. (3) Travel (section D) Provide the https://beta.sam.gov/ https://beta.sam.gov/

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purpose of the trip, number of trips, number of days per trip, departure and arrival destinations, number of people, etc. (4) Other Direct Costs (section F). Provide a justification for the items requested and an explanation of how the estimates were obtained.

DARPA Embedded Entrepreneur Initiative (optional sub-section; does not count toward page count): To catalyze the conversion of scientific discovery to impact, DSO 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.

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

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Full Proposal Format All proposers are required to use the templates provided as attachments to this solicitation on https://beta.sam.gov/ and http://www.grants.gov. Formatting instructions are provided therein.

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

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

5. Security Information DARPA anticipates that submissions received under this BAA will be unclassified. However, should a proposer wish to submit classified information, an unclassified email must be sent to the HR001120S0048@darpa.mil requesting submission instructions from the DARPA/DSO Program Security Officer (PSO).

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

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

DARPA will acknowledge receipt of complete submissions via email and assign identifying numbers that should be used in all further correspondence regarding those submissions. If no confirmation is received within two business days, please contact the BAA Administrator at HR001120S0048@darpa.mil to verify receipt.

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

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

3. Full Proposals https://beta.sam.gov/ mailto:HR001120S00XX@darpa.mil

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

D. Funding Restrictions Not applicable.

E. Other Submission Requirements

1. Unclassified Submission Instructions

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

a. Executive Summaries DARPA/DSO will employ an electronic upload submission system (https://baa.darpa.mil/) for all UNCLASSIFIED executive summaries sent in response to this solicitation. Executive summaries must not be submitted via Grants.gov or email.

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

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

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

Technical support for the DARPA BAA Submission website is available during regular business hours, Monday – Friday, 9:00 a.m. – 5:00 p.m. Requests for technical support must be emailed https://baa.darpa.mil/

HR001120S0048 DSO OFFICE-WIDE 15

to BAAT_Support@darpa.mil with a copy to HR001120S0048@darpa.mil. Questions regarding submission contents, format, deadlines, etc. should be emailed to HR001120S0048@darpa.mil.

Questions/requests for support sent to any other email address may result in delayed/no response.

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

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

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

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

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

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

Technical support for the DARPA BAA Submission website is available during regular business hours, Monday – Friday, 9:00 a.m. – 5:00 p.m. Requests for technical support must be emailed to BAAT_Support@darpa.mil with a copy to HR001120S0048@darpa.mil. Questions regarding submission contents, format, deadlines, etc. should be emailed to HR001120S0048@darpa.mil.

Questions/requests for support sent to any other email address may result in delayed/no response.

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

Note: Proposers submitting an abstract via the DARPA BAA Submission site MUST (1) click the “Finalize” button in order for the submission to upload AND (2) do so with sufficient time for mailto:BAAT_Support@darpa.mil mailto:HR001120S00XX@darpa.mil mailto:HR001120S00XX@darpa.mil https://baa.darpa.mil/ mailto:BAAT_Support@darpa.mil

HR001120S0048 DSO OFFICE-WIDE 16

the upload to complete prior to the deadline. Failure to do so will result in a late submission.

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

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

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

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

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

Technical support for the DARPA BAA Submission website is available during regular business hours, Monday – Friday, 9:00 a.m. – 5:00 p.m. Requests for technical support must be emailed to BAAT_Support@darpa.mil with a copy to HR001120S0048@darpa.mil. Questions regarding submission contents, format, deadlines, etc. should be emailed to HR001120S0048@darpa.mil.

Questions/requests for support sent to any other email address may result in delayed/no response.

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

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

ii. Direct Mail/Hand-carry Proposers electing to submit procurement contract or other transaction proposals via direct mail https://baa.darpa.mil/ mailto:BAAT_Support@darpa.mil

HR001120S0048 DSO OFFICE-WIDE 17

or hand-carried must provide one paper copy and one electronic copy on CD or DVD of the full proposal package. All parts of the proposal package must be mailed or hand-carried in a single delivery to the address noted in Section VII below.

d. Proposals Requesting a Grant or Cooperative Agreement Proposers requesting grants or cooperative agreements must submit proposals through ONE of the following methods: (1) electronic upload per the instructions at https://www.grants.gov/applicants/apply-for-grants.html; or (2) hard-copy mailed directly to DARPA. If proposers intend to use Grants.gov as their means of submission, then they must submit their entire proposal through Grants.gov; applications cannot be submitted in part to Grants.gov and in part as a hard-copy. Proposers using Grants.gov do not submit hard-copy proposals in addition to the Grants.gov electronic submission.

Submissions: Proposers must submit the three forms listed below.

Form 1: SF 424 Research and Related (R&R) Application for Federal Assistance, available on the Grants.gov website at https://apply07.grants.gov/apply/forms/sample/RR_SF424_2_0- V2.0.pdf. This form must be completed and submitted.

To evaluate compliance with Title IX of the Education Amendments of 1972 {20 U.S.C. A§ 1681 Et. Seq.), the Department of Defense is collecting certain demographic and career information to be able to assess the success rates of women who are proposed for key roles in applications in science, technology, engineering or mathematics disciplines. In addition, the National Defense Authorization Act (NDAA) for FY 2019, Section 1286, directs the Secretary of Defense to protect intellectual property, controlled information, key personnel, and information about critical technologies relevant to national security and limit undue influence, including foreign talent programs by countries that desire to exploit United States’ technology within the DoD research, science and technology, and innovation enterprise. This requirement is necessary for all research and research-related educational activities. The DoD is using the two forms below to collect the necessary information to satisfy these requirements. Detailed instructions for each form are available on Grants.gov.

Form 2: Research and Related Senior/Key Person Profile (Expanded), available on the Grants.gov website at https://apply07.grants.gov/apply/forms/sample/RR_KeyPersonExpanded_2_0-V2.0.pdf. This form must be completed and submitted.

The Research and Related Senior/Key Person Profile (Expanded) form will be used to collect the following information for all senior/key personnel, including Project Director/Principal Investigator and Co-Project Director/Co-Principal Investigator, whether or not the individuals' efforts under the project are funded by the DoD:

Degree Type and Degree Year.

Current and Pending Support, including:

o A list of all current projects the individual is working on, in addition to any future support the individual has applied to receive, regardless of the source.

o Title and objectives of the other research projects.

o The percentage per year to be devoted to the other projects.

https://www.grants.gov/applicants/apply-for-grants.html https://apply07.grants.gov/apply/forms/sample/RR_SF424_2_0-V2.0.pdf https://apply07.grants.gov/apply/forms/sample/RR_SF424_2_0-V2.0.pdf https://apply07.grants.gov/apply/forms/sample/RR_KeyPersonExpanded_2_0-V2.0.pdf

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o The total amount of support the individual is receiving in connection to each of the other research projects or will receive if other proposals are awarded.

o Name and address of the agencies and/or other parties supporting the other research projects o Period of performance for the other research projects.

Additional senior/key persons can be added by selecting the “Next Person” button at the bottom of the form. Note that, although applications without this information completed may pass Grants.gov edit checks, if DARPA receives an application without the required information, DARPA may determine that the application is incomplete and may cause your submission to be rejected and eliminated from further review and consideration under the BAA. DARPA reserves the right to request further details from the applicant before making a final determination on funding the effort.

Proposers requesting grants or cooperative agreements are not required to complete the Representations Regarding Proposed Key Personnel section in Attachment H: Proposal Template Volume 3 Administrative & National Policy Requirements Volume , if Form 2 is completed and submitted as part of their application through Grants.gov.

Form 3: Research and Related Personal Data, available on the Grants.gov website at…