HR001120S0056.pdf

Broad Agency Announcement Lexi

BIOLOGICAL TECHNOLOGIES OFFICE

HR001120S0056

August 26, 2020

HR001120S0056, Lexi

TABLE OF CONTENTS

PART I: OVERVIEW INFORMATION

PART II: FULL TEXT OF ANNOUNCEMENT

1. Funding Opportunity Description

1.1. Program Overview

1.2. Program Structure

1.3. Program Metrics

1.4. Program Demonstrations

1.5. General Requirements

1.6. Independent Verification and Validation (IV&V)

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

4.3. Funding Restrictions

4.4. Other Submission Requirements

5. Application Review Information

5.1. Evaluation Criteria

5.2. Review of Proposals

6. Award Administration Information

6.1. Administrative and National Policy Requirements

6.2. Reporting

6.3. Electronic Systems

7. Agency Contacts

8. Other Information

8.1. Teaming Information

8.2. Proposers Day

9. APPENDIX 1 – Volume II Checklist

10. APPENDIX 2 – Classified Addendum Request Form

LIST OF ATTACHMENTS

Attachment 1 – Proposal Abstract Summary Slide Template

Attachment 2 – Proposal Abstract Template

Attachment 3 – Proposal Summary Slide Template

Attachment 4 – Statement of Work (SOW) Template

Attachment 5 – Volume 1 Technical & Management Template

Attachment 6 – Cost Proposal Spreadsheet Template

Attachment 7 – Volume 2 Cost Template

Attachment 8 – Volume 3 Administrative, National Policy, and Security Requirements

PART I: OVERVIEW INFORMATION

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

Funding Opportunity Title – Lexi Announcement Type – Initial announcement Funding Opportunity Number – HR001120S0056 Catalog of Federal Domestic Assistance Numbers (CFDA) – 12.910 Research and

Technology Development Dates o Posting Date: August 26, 2020 o Proposal Abstract Due Date: October 16, 2020, 4:00 PM ET o Proposal Due Date: December 1, 2020, 4:00 PM ET o BAA Closing Date: December 1, 2020 o Deadline to Request Copies of the Classified Addendum: November 17, 2020 o Proposers Day: See classified addendum

Concise description of the funding opportunity: DARPA is seeking novel transient molecular approaches to investigate protein production in mature plants.

Anticipated individual awards – Multiple awards are anticipated.

Types of instruments that may be awarded – Procurement contract or Other

Transaction.

Agency contact o Points of Contact The BAA Coordinator for this effort may be reached at:

Lexi@darpa.mil

DARPA/BTO

ATTN: HR001120S0056

675 North Randolph Street Arlington, VA 22203-2114 mailto:Lexi@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.

DARPA is seeking novel transient molecular approaches to investigate protein production in mature plants.

1.1. PROGRAM OVERVIEW

See classified addendum.

1.2. PROGRAM STRUCTURE

See classified addendum.

1.3. PROGRAM METRICS

See classified addendum.

1.4. PROGRAM DEMONSTRATIONS

See classified addendum.

1.5. GENERAL REQUIREMENTS

Biocontainment/Bio Safety See classified addendum.

Permits and Compliance See classified addendum.

Proposing Teams It is expected that proposals will involve multidisciplinary teams that include expertise from multiple complementary disciplines (e.g., biology, biotechnology, chemistry, ecology, materials science, molecular biology, and plant physiology) and have access to a laboratory that has a safeguarding level of secret or higher and a classified network accredited at secret or higher.

Prime proposers without access to a currently accredited laboratory at the secret level or above and a classified network accredited at secret or higher will not be considered.

Specific content, communications, networking, and team formation are the sole responsibility of the proposer teams. Proposer teams must submit a single, integrated proposal led by a single Program Integrator/Manager or prime contractor that addresses all program phases, as applicable.

DARPA will hold a Proposers Day to facilitate the formation of proposer teams with the expertise necessary to meet the goals of the program and enable sharing of information among interested proposers. See the Classified Addendum for more information.

Data Sharing DARPA anticipates that a large amount of data will be generated under this program by each performer and that the approaches and validation will be strengthened by compiling and integrating information across all performers. The Lexi program will require that performer data and analysis be shared with DARPA, the Independent Verification & Validation (IV&V) partner, and U.S. Government stakeholders. DARPA encourages sharing of pre-existing data, including those generated through funding from other sources, with the aforementioned entities, although this is not a requirement of the program.

Other Requirements Performers are expected to attend program level meetings to provide scientific and technical updates to the selected performers on the Lexi program on progress towards their milestones and scientific goals, and to summarize outstanding challenges and limitations that must still be overcome to achieve the overarching goals of the program. Program level meetings will be held at the kick-off of each phase (Phases 1, 2, and 3) for the program duration.

1.6. INDEPENDENT VERIFICATION AND VALIDATION (IV&V)

See classified addendum.

2. Award Information

2.1. GENERAL AWARD INFORMATION

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

The Government reserves the right to select for negotiation all, some, one, or none of the proposals received in response to this solicitation and to make awards without discussions with proposers. The Government also reserves the right to conduct discussions if it is later determined to be necessary. If warranted, portions of resulting awards may be segregated into pre-priced options. Additionally, DARPA reserves the right to accept proposals in their entirety or to select only portions of proposals for award. In the event that DARPA desires to award only portions of a proposal, negotiations may be opened with that proposer. The Government reserves the right to fund proposals in phases with options for continued work, 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 contractor 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 expects that program goals as described herein either cannot be met by proposers intending to perform fundamental research or the proposed research is anticipated to present a high likelihood of disclosing performance characteristics of military systems or manufacturing technologies that are unique and critical to defense. Therefore, the Government anticipates restrictions on the resultant research that will require the awardee to seek DARPA permission before publishing any information or results relative to the program.

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

Proposers should indicate in their proposal whether they believe the scope of the research included in their proposal is fundamental or not. While proposers should clearly explain the intended results of their research, the Government shall have sole discretion to determine whether the proposed research shall be considered fundamental and to select the award instrument type. Appropriate language will be included in resultant awards for non-fundamental research to prescribe publication requirements and other restrictions, as appropriate. This language can be found at http://www.darpa.mil/work-with-us/additional-baa.

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

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

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

DARPA will only accept classified abstracts and proposals. Applicants shall ensure all industrial, personnel, and information system processing security requirements are in place and at the appropriate level (e.g., Facility Clearance (FCL), Personnel Security Clearance (PCL), certification and accreditation (C&A)) and any Foreign Ownership Control and Influence (FOCI) issues are mitigated prior to such submission or access. It is required that the facility has a laboratory space that has a safeguarding level of secret or higher and a classified network accredited at secret or higher. Prime proposers without access to a currently accredited laboratory at the secret level or above and a classified network accredited at secret or higher will not be considered. Additional information on these subjects can be found at http://www.dcsa.mil.

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.

file:///C:/Users/dswan/AppData/Local/Microsoft/Windows/INetCache/Content.Outlook/W2GIPWSY/~WRD000%20(002).jpg

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 https://beta.SAM.gov, contact the administrative contact listed herein.

4.1.1. Classified Addendum

A formal request for the HR001120S0056 Classified Addendum and the Security Classification Guide (SCG) may be submitted by filling out the Classified Addendum Request Form (found in Appendix 2 to this BAA) and emailing the Request Form to Lexi@darpa.mil with the subject line titled “Request HR001120S0056 Classified Addendum and Security Classification Guide.”

The attached Classified Addendum Request Form is the only method of request that will be accepted. Additional security guidance via a DD Form 254, “DoD Contract Security Classification Specification” will be provided with the classified addendum and SCG.

Proposers should allow at least five (5) business days for processing requests for the classified addendums plus time for delivery. Requests for this information will not be accepted after November 17, 2020.

DARPA intends to use the FedEx shipping service in an effort to expedite receipt of the addendum. Please note that any requesting organizations that are unable to accept this form of delivery may experience delays.

https://beta.sam.gov/ mailto:Lexi@darpa.mil

4.2. CONTENT AND FORM OF APPLICATION SUBMISSION

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

4.2.1. Proposal Abstract Information

All proposers are required to use Attachment 1: Abstract Summary Slide Template (see classified addendum for instructions on completing the slide) and Attachment 2: Proposal Abstract Template provided to this solicitation on https://beta.sam.gov/.

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.

4.2.2. Full Proposal Information

Proposals consist of Volume 1: Technical and Management Volume, Volume 2: Cost Volume, and Volume 3: Administrative, Policy, and Security Requirements Volume.

To assist in proposal development, various attachments have been provided along with the BAA posted on https://beta.sam.gov/ (Attachment 3: Proposal Summary Slide Template – see classified addendum for instructions on completing the slide, Attachment 4: SOW Template, Attachment 5: Volume 1 Technical & Management Template, Attachment 6: MS ExcelTM DARPA Cost Proposal Speadsheet Template, Attachment 7: Volume 2 Cost Template and Attachment 8: Volume 3 Administrative, National Policy, and Security Requirements Template).

As soon as the evaluation of all proposals is complete, the proposer will be notified that: (1) the proposal has been selected for funding pending award negotiations, in whole or in part, or (2) the proposal has not been selected. These official notifications will be sent via e-mail to the Technical POC and/or Administrative POC identified on the proposal coversheet.

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.

Subawardee Proposals The awardee is responsible for compiling and providing all subawardee proposals for the Procuring Contracting Officer (PCO)/Agreements Officer (AO), 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. Unclassified subawardee proposals submitted to the Government by the proposed subawardee should be submitted via e-mail to the address in Section I.

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

Security Information DARPA will only accept classified submissions received under this BAA. Submission information can be found below and in Section 4.2.4.

The classified proposal shall use the outline and section numbering as directed by this document, the proposal templates (Volume I, II, and III), and the classified addendum. DARPA will provide specific security classification guidance via an SCG and DD Form 254, “DoD Contract Security Classification Specification”.

a) Classified Proposal Markings Classified submissions shall be transmitted and marked in accordance with the following guidance. If a submission contains Classified National Security Information or the suspicion of such, as defined by Executive Order 13526, the information must be appropriately and conspicuously marked with the proposed classification level and declassification date.

Submissions requiring DARPA to make a final classification determination shall be marked as follows:

“CLASSIFICATION DETERMINATION PENDING.

Protect as though classified SECRET”

NOTE: Classified submissions must indicate the classification level of not only the submitted materials, but also the classification level of the anticipated award.

b) Classified Submission Requirements and Procedures Proposers submitting classified information must have cognizant security agency approved facilities, information systems, and appropriately cleared/eligible personnel to perform at the classification level proposed. All proposer personnel performing Information Assurance (IA)/Cybersecurity related duties on classified Information Systems shall meet the requirements set forth in DoD Manual 8570.01-M (Information Assurance Workforce Improvement Program).

Additional information on the subjects discussed in this section may be found at http://www.dss.mil.

Proposers choosing to submit non-DARPA classified information must ensure (1) they have permission from an authorized individual at the cognizant Government agency (e.g., Contracting Officer, Program Manager); (2) the proposal is marked in accordance with the source Security Classification Guide (SCG) from which the material is derived; and (3) the source SCG is submitted along with the proposal.

When submitting a hard copy of the classified proposal according to the instructions outlined below, proposers shall submit two (2) hard copies of the classified proposal and two (2) CD- ROMs containing the classified proposal broken into separate files containing:

(1) full proposal executive summary slides in MS PowerPoint,

(2) full proposal Volume I in searchable Adobe PDF,

(3) Statement of Work (SOW) in MS Word,

(4) full proposal Volume II in searchable Adobe PDF,

(5) the unclassified DARPA cost proposal spreadsheet in Microsoft Excel, and

(6) full proposal Volume III in searchable Adobe PDF.

Classified Information Use transmission, classification, handling, and marking guidance provided by the solicitation SCG, the DoD Information Security Manual (DoDM 5200.01, Volumes 1 - 4), and the National Industrial Security Program Operating Manual, including the Supplement Revision 1 (DoD 5220.22-M and DoD 5200.22-M Sup. 1), when submitting Confidential, Secret, and/or Top Secret classified information.

Secret classified information may be submitted via ONE of the two following methods to the mailing address listed in the contact information in Part I of this BAA:

http://www.dss.mil/

Hand-carried by an appropriately cleared and authorized courier to the DARPA Classified Document Registry (CDR). Prior to traveling, the courier shall contact the DARPA CDR at 703-526-4052 to coordinate arrival and delivery.

OR

Mailed via U.S. Postal Service (USPS) Registered Mail, USPS Express Mail, or Federal Express (FedEx). All classified information will be enclosed in opaque inner and outer covers and double- wrapped. The inner envelope shall be sealed and plainly marked with the assigned classification and addresses of both sender and addressee. The inner envelope shall be addressed to Defense Advanced Research Projects Agency, ATTN:

DARPA/BTO Dr. Blake Bextine, with a reference to the BAA number

(HR001120S0056).

Each copy must be clearly labeled with BAA number HR001120S0056, proposer organization, technical point of contact, and unclassified proposal title (unclassified short title recommended).

Senders should mail to the mailing address listed in the contact information herein.

Subcontractor proposals not submitted by the Prime should include the Prime organization name, proposal title (same as the Prime), and the Subcontractor contact information on the inner envelope.

The outer envelope shall be sealed with no identification as to the classification of its contents and addressed to Defense Advanced Research Projects Agency, Security & Intelligence Directorate, Attn: CDR.

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

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.

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 SF 1408. 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. To complete the form, check the boxes on the second page, then provide a narrative explanation of your accounting system to supplement the checklist on page one. For more information, see (https://www.dcaa.mil/Content/Documents/Preaward_Survey_of_Prospective_Contractor_Accou nting_System_Checklist.pdf).

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.

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 under the proposed effort.

For Procurement Contracts

Proposers responding to this BAA requesting procurement contracts will need to complete the certifications at DFARS 252.227-7017. See http://www.darpa.mil/work-with-us/additional-baa for further information. If no restrictions are intended, the proposer should state “none.” The table below captures the requested information:

https://doi.org/10.6028/NIST.SP.800-171r1 http://www.darpa.mil/work-with-us/additional-baa http://www.darpa.mil/work-with-us/additional-baa http://www.dcaa.mil/cas.html http://www.gsa.gov/portal/forms/download/115778 https://www.dcaa.mil/Content/Documents/Preaward_Survey_of_Prospective_Contractor_Accounting_System_Checklist.pdf https://www.dcaa.mil/Content/Documents/Preaward_Survey_of_Prospective_Contractor_Accounting_System_Checklist.pdf

Technical Data Computer Software To be Furnished With Restrictions

Summary of Intended Use in the Conduct of the Research

Basis for Assertion

Asserted Rights Category

Name of Person Asserting Restrictions

(LIST) (NARRATIVE) (LIST) (LIST) (LIST)

For All Non-Procurement Contracts

Proposers responding to this BAA requesting an Other Transaction shall follow the applicable rules and regulations governing these various award instruments, but, in all cases, should appropriately identify any potential restrictions on the Government’s use of any Intellectual Property contemplated under the award instrument in question. This includes both Noncommercial Items and Commercial Items. Proposers are encouraged to use a format similar to that described in the table above. If no restrictions are intended, then the proposer should state

“NONE.”

System for Award Management (SAM) and Universal Identifier Requirements All proposers must be registered in SAM unless exempt per FAR 4.1102. FAR 52.204-7, “System for Award Management” and FAR 52.204-13, “System for Award Management Maintenance” are incorporated into this BAA. See http://www.darpa.mil/work-with-us/additional-baa for further information.

International entities can register in SAM by following the instructions in this link:

https://www.fsd.gov/fsd-gov/answer.do?sysparm_kbid=dbf8053adb119344d71272131f961946&sysparm_search=KB001 3221.

4.2.4. Submission Information

DARPA will acknowledge receipt of all classified submissions and assign an identifying control number that should be used in all further correspondence regarding the submission. DARPA intends to use electronic mail correspondence regarding HR001120S0056. Submissions may not be submitted by fax or e-mail; any so sent will be disregarded.

Submissions will not be returned. An electronic copy of each submission received will be retained at DARPA and all other non-required copies destroyed. A certification of destruction may be requested, provided the formal request is received by DARPA within five days after notification that a proposal was not selected.

For (abstract and) proposal submission dates, see Part I., Overview Information. Submissions received after these dates and times may not be reviewed.

http://www.darpa.mil/work-with-us/additional-baa http://www.darpa.mil/work-with-us/additional-baa https://www.fsd.gov/fsd-gov/answer.do?sysparm_kbid=dbf8053adb119344d71272131f961946&sysparm_search=KB0013221 https://www.fsd.gov/fsd-gov/answer.do?sysparm_kbid=dbf8053adb119344d71272131f961946&sysparm_search=KB0013221 https://www.fsd.gov/fsd-gov/answer.do?sysparm_kbid=dbf8053adb119344d71272131f961946&sysparm_search=KB0013221

Proposers must submit two (2) hardcopies and two (2) electronic copies of the abstract or proposal in PDF (preferred) on a CD-ROM using the guidelines provided above in Section 4.2.3.

Each copy must be clearly labeled with HR001120S0056, proposer organization, technical point of contact, and proposal title (short title recommended).

In addition to the hardcopies referenced above, cover sheets for proposal abstracts and unclassified cover sheets and cost volumes for full proposals sent in response to HR001120S0056 must be submitted via DARPA’s BAA Website (https://baa.darpa.mil).

Visit the website to complete the two-step registration process. Submitters will need to register for an Extranet account (via the form at the URL listed above) and wait for two separate e-mails containing a username and temporary password. After accessing the Extranet, submitters may then create an account for the DARPA BAA website (via the “Register your Organization” link along the left side of the homepage), view submission instructions, and upload/finalize the abstract/proposal. Proposers using the DARPA BAA Website may encounter heavy traffic on the submission deadline date; it is highly advised that proposers start the submission process as early as possible.

To the maximum extent possible, prime contractor and subcontractor cost proposal documents (Volume II: Cost Volume Template and required supporting documentation) and completed DARPA cost proposal spreadsheets should be unclassified and submitted to DARPA via DARPA’s BAA Website (https://baa.darpa.mil).

All unclassified materials submitted electronically through DARPA’s BAA Website must be uploaded as zip files (.zip or .zipx extension). The final zip file should be no greater than 50 MB in size. Only one zip file will be accepted per submission. Classified materials should NOT be submitted through DARPA’s BAA Website, only upload the Proposal Abstract cover sheet (as defined in Section 4.2.1) or the Full Proposal cover sheets and Cost Volume (as defined in Section 4.2.2).

Technical support for BAA Website may be reached at BAAT_Support@darpa.mil, and is typically available during regular business hours, (9:00 AM- 5:00 PM EST Monday – Friday).

Proposers using the DARPA BAA Website may encounter heavy traffic on the submission deadline date; it is highly advised that proposers start the submission process as early as possible.

4.3. FUNDING RESTRICTIONS

Preaward costs will not be reimbursed unless a preaward cost agreement is negotiated prior to award.

4.4. OTHER SUBMISSION REQUIREMENTS

Not applicable.

https://baa.darpa.mil/ https://baa.darpa.mil/ mailto:BAAT_Support@darpa.mil

5. Application Review Information

5.1. EVALUATION CRITERIA

Proposals will be evaluated using the following criteria, listed in descending order of importance:

5.1.1 Overall Scientific and Technical Merit; 5.1.2 Potential Contribution and Relevance to the DARPA Mission; and 5.1.3 Cost Realism.

5.1.1. Overall Scientific and Technical Merit

The proposed technical approach is innovative, feasible, achievable, and complete.

The proposed technical team has the expertise and experience to accomplish the proposed tasks.

Task descriptions and associated technical elements provided are complete and in a logical sequence with all proposed deliverables clearly defined such that a final outcome that achieves the goal can be expected as a result of award. The proposal identifies major technical risks, and planned mitigation efforts are clearly defined and feasible. The proposed team has the required cleared facilities and cleared personnel to accomplish the classified tasks and program objectives.

The proposer clearly demonstrates its capability to transition the technology to the research, industrial, and/or operational military communities in such a way as to enhance U.S. defense. In addition, the evaluation will take into consideration the extent to which the proposed intellectual property (IP) rights structure will potentially impact the Government’s ability to transition the technology.

5.1.2. Potential Contribution and Relevance to the DARPA Mission The potential contributions of the proposed effort are relevant to the national technology base.

Specifically, DARPA’s mission is to make pivotal early technology investments that create or prevent strategic surprise for U.S. National Security.

5.1.3. Cost Realism

The proposed costs are realistic for the technical and management approach and accurately reflect the technical goals and objectives of the solicitation. The proposed costs are consistent with the proposer's Statement of Work and reflect a sufficient understanding of the costs and level of effort needed to successfully accomplish the proposed technical approach. The costs for the prime proposer and proposed subawardees are substantiated by the details provided in the proposal (e.g., the type and number of labor hours proposed per task, the types and quantities of materials, equipment and fabrication costs, travel and any other applicable costs and the basis for the estimates).

It is expected that the effort will leverage all available relevant prior research in order to obtain the maximum benefit from the available funding. Due to the likelihood of commercial application, appropriate direct cost sharing may be a positive factor in the evaluation. DARPA recognizes that undue emphasis on cost may motivate proposers to offer low-risk ideas with minimum uncertainty and to staff the effort with junior personnel in order to be in a more competitive posture. DARPA discourages such cost strategies.

5.2. REVIEW OF PROPOSALS

Review Process It is the policy of DARPA to ensure impartial, equitable, comprehensive proposal evaluations based on the evaluation criteria listed in Section 5.1 and to select the source (or sources) whose offer meets the Government's technical, policy, and programmatic goals.

DARPA will conduct a scientific/technical review of each conforming proposal. Conforming proposals comply with all requirements detailed in this BAA; proposals that fail to do so may be deemed non-conforming and may be removed from consideration. Proposals will not be evaluated against each other since they are not submitted in accordance with a common work statement. DARPA’s intent is to review proposals as soon as possible after they arrive; however, proposals may be reviewed periodically for administrative reasons.

Award(s) will be made to proposers whose proposals are determined to be the most advantageous to the Government, consistent with instructions and evaluation criteria specified in the BAA herein, and availability of funding.

Handling of Source Selection Information DARPA policy is to treat all submissions as source selection information (see FAR 2.101 and 3.104) and to disclose their contents only for the purpose of evaluation. Restrictive notices notwithstanding, during the evaluation process, submissions may be handled by support contractors for administrative purposes and/or to assist with technical evaluation. All DARPA support contractors performing this role are expressly prohibited from performing DARPA-sponsored technical research and are bound by appropriate non-disclosure agreements.

Subject to the restrictions set forth in FAR 37.203(d), input on technical aspects of the proposals may be solicited by DARPA from non-Government consultants/experts who are strictly bound by the appropriate non-disclosure requirements.

Federal Awardee Performance and Integrity Information (FAPIIS) Per 41 U.S.C. § 2313, as implemented by FAR 9.103 and 2 CFR § 200.205, prior to making an award above the simplified acquisition threshold, DARPA is required to review and consider any information available through the designated integrity and performance system (currently FAPIIS). Awardees have the opportunity to comment on any information about themselves entered in the database, and DARPA will consider any comments, along with other information in FAPIIS or other systems prior to making an award.

6. Award Administration Information

6.1. ADMINISTRATIVE AND NATIONAL POLICY REQUIREMENTS

6.1.1. Meeting and Travel Requirements

There will be a program kick off meeting in the Arlington, VA vicinity, and all key participants are required to attend. Performers should also anticipate regular program-wide Principal Investigator (PI) meetings and periodic site visits at the Program Manager’s discretion. Proposers should include within the content of their proposal details and costs of any travel or meetings they deem to be necessary throughout the course of the effort, to include periodic status reviews by the Government. Performers should anticipate monthly and quarterly meetings, including teleconference calls, in-person program reviews, and site visits by the DARPA Program Manager and/or Government team. For travel budgeting purposes, proposers may assume phase kick-off meetings as well as program reviews mid phase with alternating locations in Arlington, VA and a west coast location (two per phase for budgeting purposes).

6.1.1. FAR and DFARS Clauses

Solicitation clauses in the FAR and DFARS relevant to procurement contracts and FAR and DFARS clauses that may be included in any resultant procurement contracts are incorporated herein and can be found at http://www.darpa.mil/work-with-us/additional-baa.

6.1.2. Controlled Unclassified Information (CUI) on Non-DoD Information Systems CUI is defined as unclassified information that requires safeguarding or dissemination controls, pursuant to and consistent with applicable law, regulations, and Government-wide policies.

Controlled Technical Information (CTI) is defined as technical information with military or space application that is subject to controls on its access, use, reproduction, modification, performance, display, release, disclosure, or dissemination. The term CTI does not include information that is lawfully publicly available without restrictions.

DOD considers “technical information” to be technical data or computer software, as those terms are defined in Defense Federal Acquisition Regulation Supplement clause 252.227-7013, "Rights in Technical Data - Noncommercial Items" (48 CFR 252.227-7013). Examples of technical information include research and engineering data; engineering drawings; and associated lists;

specifications; standards; process sheets; manuals; technical reports; technical orders; catalog-item identifications; data sets; studies and analyses and related information; and computer software code. Note that such technical information may or may not be controlled (i.e., CTI), depending on whether it has military or space application.

Proposers and awardees will be subject to DoD requirements related to protection of CUI and CTI IAW Executive Order 13556, Controlled Unclassified Information, DFARS 252.204-7000, Disclosure of Information, DFARS 252.204-7012, Safeguarding Covered Defense Information and Cyber Incident Reporting, DoD Manual 5200.01 Volume 4, DoD Information Security Program – CUI, DoD Instruction 8582.01, Security of Non-DoD Information Systems Processing Unclassified Nonpublic DoD Information. See http://www.darpa.mil/work-with-us/additional-baa for additional guidance on protecting CUI on Non-DoD Information Systems.

CTI is to be marked “DISTRIBUTION C. Distribution authorized to U.S. Government agencies and their contractor; Critical Technology; Current date. Other requests for this document shall be referred to DARPA, BTO” in accordance with Department of Defense Instruction 5230.24, "Distribution Statements on Technical Documents."

All printed and electronic, including digital technical documents that are determined to contain export-controlled technical data shall be marked as follows:

WARNING - This document contains technical data whose export is restricted by the Arms Export Control Act (Title 22, U.S.C., Sec 2751, et seq.) or the Export Administration Act of 1979 (Title 50, U.S.C., App. 2401 et seq.), as amended. Violations of these export laws are subject to severe criminal penalties. Disseminate in accordance with provisions of DoD Directive 5230.25.

6.1.3. Representations and Certifications

In accordance with FAR 4.1102 and 4.1201, proposers requesting a procurement contract must complete electronic annual representations and certifications at https://www.sam.gov/.

In addition, all proposers are required to submit for all award instrument types (i.e., procurement contract, cooperative agreement, grant, and other transaction for prototype) supplementary DARPA-specific representations and certifications at the time of proposal submission. See http://www.darpa.mil/work-with-us/reps-certs for further information on required representation and certification depending on your requested award instrument.

6.2. REPORTING

The number and types of reports will be specified in the award document but will include as a minimum monthly financial (as prime awardees are required to submit monthly invoices) and technical status reports. The reports shall be prepared and submitted in accordance with the procedures contained in the award document and mutually agreed on before award and will follow a template developed by DARPA to streamline the reporting process. Reports and briefing material will also be required as appropriate to document progress in accomplishing program metrics.

A phase end report containing the phase accomplishments (Phases 1 and 2), analysis of IV&V testing results, as well as the plan for the following phase (Phases 2 and 3) will be required prior to entering into the next phase. In particular, the end of Phase 1 report must provide sufficient detail on development steps and risk mitigation plans to ensure success in meeting the Phase 2 metrics and milestones.

In addition, mid-term report in Phase 3 will be required to provide results of the mid-phase demonstration and address plans for the remainder of the phase.