HR001121S0001-Amendment-04.pdf

HR001121S0001

Broad Agency Announcement Fast Event-based Neuromorphic Camera and Electronics

(FENCE)

Microsystems Technology Office

HR001121S0001

October 2, 2020

AMENDMENT 4

As amended December 22, 2020

The purpose of this amendment is to re-open the FENCE BAA and extend the final deadline for proposal submission to January 15, 2021. An updated FENCE FAQ dated December 22, 2020 is available at https://www.darpa.mil/work-with-us/opportunities https://www.darpa.mil/work-with-us/opportunities

Table of Contents

PART I: OVERVIEW INFORMATION

PART II: FULL TEXT OF ANNOUNCEMENT

I. Funding Opportunity Description A. Background B. Program Description C. Program Structure D. Schedule/Milestones E. Deliverables F. Government Furnished Equipment/Property/Information G. Intellectual Property

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

III. Eligibility Information A. Eligible Applicants

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

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

1. Ability to support Classified Development/Controlled Unclassified Information

(CUI)

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

1. Abstract Format

2. Full Proposal Format

3. Proprietary Information

4. Security Information

a. Program Security Information

b. Both Classified and Unclassified Submissions

c. Classified Submissions

5. Disclosure of Information and Compliance with Safeguarding Covered Defense

Information Controls

6. Human Subjects Research (HSR)/Animal Use

7. Approved Cost Accounting System Documentation

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

9. Small Business Subcontracting Plan

10. Intellectual Property

a. For Procurement Contracts

11. Patents

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

13. Funding Restrictions

C. Submission Information

1. Submission Dates and Times

a. Abstract Due Date

b. Full Proposal Date

c. Frequently Asked Questions (FAQ)

2. Abstract Submission Information

3. Proposal Submission Information

a. For Proposers Requesting Technology Investment Agreements

b. For Proposers Requesting Contracts or Other Transaction Agreements

c. Classified Submission Information

4. Other Submission Requirements

V. Application Review Information A. Evaluation Criteria

1. Overall Scientific and Technical Merit

2. Potential Contribution and Relevance to the DARPA Mission

3. Cost Realism

B. Review and Selection Process

1. Review Process

2. Handling of Source Selection Information

3. Federal Awardee Performance and Integrity Information (FAPIIS)

VI. Award Administration Information A. Selection Notices

1. Abstracts

2. Proposals

B. Administrative and National Policy Requirements

1. Meeting and Travel Requirements

2. FAR and DFARS Clauses

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

4. Representations and Certifications

C. Reporting D. Electronic Systems

1. Wide Area Work Flow (WAWF)

2. i-Edison

3. TFIMS

VII. Agency Contacts VIII. Other Information

A. Proposers Day B. Protesting

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

Addendum Documents Not Attached (See Attachment 3 for instructions) Unclassified//For Official Use Only (FOUO) Addendum Collateral Secret Addendum

PART I: OVERVIEW INFORMATION

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

Funding Opportunity Title: Fast Event-based Neuromorphic Camera and Electronics

(FENCE)

Announcement Type: Initial Announcement Funding Opportunity Number: HR001121S0001 Catalog of Federal Domestic Assistance Numbers (CFDA): Not applicable Dates: (All times listed herein are Eastern Time) o Posting Date: October 2, 2020 o Proposers Day: October 9, 2020 9:00 am (ET) o Abstract Due Date: November 2, 2020 4:00 pm (ET) o Request for SCG, FOUO and Classified BAA Addendums: Must be made by

November 18, 2020 at 5:00 pm (ET) o FAQ Submission Deadline: January 4, 2021 by 4:00 pm (ET) o Deadline to Notify Security of Intent to Submit Classified Proposals: January 5, 2021 by 5:00 pm (ET) o Proposal Due Date: January 15, 2021 by 4:00 pm (ET) o Estimated period of performance start: May 2021

Concise description of the funding opportunity: DARPA MTO is soliciting research and development proposals for the Fast Event-based Neuromorphic Camera and Electronics (FENCE) program to develop and demonstrate a low latency, low power, event-based camera and a new class of signal processing and learning algorithms that use combined spatial and temporal (spatio-temporal) information to enable intelligent sensors for tactical DoD applications. Because of the nature of the work, proposers will require personnel with collateral SECRET clearances and access to both an accredited facility and secure communications in order to support classified development OR proposers must team with an organization that has personnel with collateral SECRET clearances and access to both an accredited facility and secure communications in order to support classified development.

Anticipated Program Funding Available: $51.5M over 4 years.

Anticipated individual awards: Multiple awards are anticipated.

Anticipated funding type: 6.2 Types of instruments that may be awarded: Procurement contract or Other

Transaction Agency contact:

o Dr. Whitney Mason, Program Manager BAA Coordinator: HR001121S0001@darpa.mil

DARPA/MTO

ATTN: HR001121S0001

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

PART II: FULL TEXT OF ANNOUNCEMENT

I. Funding Opportunity Description

The Defense Advanced Research Projects Agency (DARPA) often selects its research efforts through the Broad Agency Announcement (BAA) process. This BAA is being issued, and any resultant selection will be made, using the procedures under Federal Acquisition Regulation (FAR) 6.102(d)(2) and 35.016 and 2 C.F.R. § 200.203. Any negotiations and/or awards will use procedures under FAR 15.4, Contract Pricing. Proposals received as a result of this BAA shall be evaluated in accordance with evaluation criteria specified herein through a scientific review process.

DARPA BAAs are posted on the beta SAM website, under the Contract Opportunities (FBO) link, at https://beta.sam.gov/. The following information is for those wishing to respond to the

BAA.

The Microsystems Technology Office at DARPA seeks innovative proposals to develop and demonstrate a low latency, low power, event-based camera and a new class of signal processing and learning algorithms that use combined spatial and temporal (spatio-temporal) information to enable intelligent sensors for tactical DoD applications. Proposed research should investigate innovative approaches that enable revolutionary advances in science, devices, or systems.

Specifically excluded are proposals that are: (1) research that primarily results in evolutionary improvements to the existing state of practice, (2) proposals to produce spiking event-driven cameras that are not cryogenically cooled or have cutoff wavelengths less than 3 m, (3) proposals using low technology readiness level (TRL) detector materials not fielded in military systems (e.g., graphene, transition metal dichalcogenides, colloidal quantum dots, etc.), and (4) amalgamations of existing imagers that are neuromorphic but not using the event-driven asynchronous methodology as described by the solicitation below as well as in the U//FOUO BAA addendum.

A. Background

The term neuromorphic engineering was coined by Carver Mead1 and refers to the development of silicon circuits that mimic brain operation; its hallmark traits are low latency, sparse output, and extreme energy efficiency. Event-based (or neuromorphic) cameras operate on the principle of sparse output, only responding to changes in the scene, with accompanying low latency (on the order of tens of microseconds) and low power (on the order of milliwatts) for small format cameras in sparse scenes.

Event-based imagers are an emerging class of sensors with major demonstrated advantages relative to traditional cameras. Because they operate asynchronously and only transmit data from pixels that have changed, they have been shown to produce over 100x less data in sparse scenes relative to traditional focal plane arrays (FPAs).2 This leads directly to 100x lower latency at

1 https://en.wikipedia.org/wiki/Carver_Mead 2 https://youtu.be/bTRM0jHKOsY https://en.wikipedia.org/wiki/Carver_Mead https://youtu.be/bTRM0jHKOsY

100x lower power. State-of-the-art visible event-based cameras have been developed by iniVation in Switzerland and by Prophesee in France for applications that include autonomous vehicles, robotics, augmented/virtual reality, and video gaming.

Despite their inherent advantages, existing event-based cameras are not currently compatible with DoD applications as DoD scenarios are highly cluttered and dynamic. The FENCE program seeks to develop an integrated event-based infrared (IR) FPA with embedded processing to overcome these challenges.

See U//FOUO addendum for more detail.

B. Program Description

The Fast Event-based Neuromorphic Camera and Electronics (FENCE) program seeks to develop and demonstrate a low latency, low power, event-based camera and a new class of signal processing and learning algorithms that use combined spatial and temporal (spatio-temporal) information to enable intelligent sensors for tactical DoD applications.

FENCE will develop an infrared neuromorphic imager consistent with military requirements.

The sole technical area (TA) will develop an asynchronous read-out integrated circuit (ROIC) capable of very low latency and power operation. It will also develop a low power processing layer that integrates with the ROIC to identify salient spatio-temporal signals. The ROIC and the processing layer together will enable an integrated FENCE sensor to operate at low power (< 1.5 W).

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

C. Program Structure

The FENCE program is a 48-month, 3-phase program with a 15-month Phase 1 (base), 21-month Phase 2 (option), and 12-month Phase 3 (option). Options may be exercised, at the Government’s sole discretion, based on technical progress measured against the metrics and milestones defined in the BAA and funding availability. Each phase has a specific technical goal. For a more detailed schedule see the FENCE U//FOUO addendum.

FENCE will develop an event-based neuromorphic IR FPA leveraging large interdisciplinary teams to co-design multiple elements under a single technical area. The sole TA will focus on the design and development of a new, low latency, event-based IR sensor with in-pixel processing.

The FENCE key performance metrics and requirements for the sensor can be found in the FENCE U//FOUO addendum.

D. Schedule/Milestones

The period of performance is 48 months with each phase reducing risk and developing specific components of a complete event-based imaging system.

A high level schedule is provided in Figure 1. For a more detailed schedule see the FENCE U//FOUO addendum.

Figure 1: FENCE Program Schedule

Expected Program Milestones and Deliverables Phase 1 Awards 3QFY21 Program Kick-off 3QFY21

ROIC PDR 4QFY21

ROIC CDR - full simulation 3QFY22 Processor PDR and functionality simulation 3QFY22 FENCE Test plan 3QFY22

Phase 1 Option Exercise Decision 3QFY22

Phase 2 Awards 4QFY22 Tapeout ROIC 1QFY23 Processor CDR – full simulation 1QFY23 ROIC power and latency measurement 3QFY23 Processor power measurement 4QFY24 Processor metric measurements* 2QFY24

Phase 2 Option Exercise Decision 2QFY24

Phase 3 Awards 3QFY24 FPA Performance 4QFY24 FPA Power and Latency Measurements 4QFY24 Camera Demo 2QFY25

Program Completion 3QFY25

* See U//FOUO BAA Addendum for measurement specifics.

General guidance for proposals:

Proposers should provide a technical and programmatic strategy that conforms to the entire program schedule and presents an aggressive plan to fully address all program goals, metrics, milestones, and deliverables, including specific metrics as detailed in Table 1 in the U//FOUO addendum.

The task structure must be consistent across the proposed schedule, Statement of Work, and Cost Volume.

All teams should plan for phase transition information to be required 1.5 months prior to the end of a given phase (Phase 1 and Phase 2). Program reviews will be scheduled accordingly to facilitate transfer of information to inform the transition decision process in order to execute phase transitions in a timely manner.

A target start date of May 2021 may be assumed for planning and budgeting purposes.

All proposals should include the following meetings and travel in the proposed schedule and costs:

o Proposals should budget for 6 two-day meetings over the course of the 48 month period of performance – three meetings in the Washington, D.C. area and three meetings in the San Francisco, CA area. These can be anticipated as two meetings per Phase.

o Regular monthly teleconference meetings will be scheduled with the Government team for progress reporting and the identification and mitigation of performance and schedule issues. Proposers should also anticipate at least one site visit per phase by the DARPA Program Manager during which they will have the opportunity to demonstrate progress towards agreed-upon milestones.

o Budget for attending and presenting results at appropriate technical conferences is acceptable (one per phase, at conferences consistent with the information being disseminated); beyond this level of conference, attendance will need substantial justification

E. Deliverables

Quarterly technical reports are due within ten days of the end of the given quarter, describing progress made on the specific milestones as laid out in the SOW. (Outlined in Section VI.C.)

Monthly financial reports are due within ten days of the end of each month. (Outlined in Section VI.C.)

A Phase Completion report submitted within 45 days of the end of each phase, summarizing the research done and justifying performance required to move on to the next phase.

Preliminary Design Review (PDR) and Critical Design Review (CDR) meetings with complete reports (slides) prior to tapeout of both ROIC and Processor.

Phase 1:

o Simulations validating ROIC designs will meet or exceed Phase I metrics.

o Completed ROIC design ready for tapeout o PDR of processor layer including basic functional circuits and functionality description required to demonstrate key processor functions o Test plan: Describe plan for ingesting data and measuring hardware performance metrics.

Phase 2:

o Fabricated ROIC, including laboratory test data of power measurements and metrics meeting program goals o Processor CDR with design completed, simulated to demonstrate required functionality and metrics, and design ready for tapeout.

o Fabricated processor, including laboratory test data meeting phase 2 metrics for the program.

o Lab test of FPGA controlled ROIC with test data meeting program metrics.

Phase 3:

o Integrated FPA performance measurements including measurements meeting or exceeding program goals.

o FPA demonstration o Two (2) complete imaging units3 for final independent verification and validation (IV&V) Other proposed deliverables specific to the objectives of the individual efforts. These may include registered reports, experimental protocols, publications, data management plan, intermediate and final versions of software libraries, code, and APIs, including documentation and user manuals, and/or a comprehensive assemblage of design documents, models, modeling data and results, and model validation data.

F. Government Furnished Equipment/Property/Information

For information on government furnished equipment, property, and information, see the FENCE U//FOUO addendum.

G. Intellectual Property

(U) It is expected that the data/software developed under FENCE will have the following minimum data rights:

(U) No less than Government Purpose Rights

II. Award Information

A. General Award Information

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

3 Imaging unit is defined as a complete system with optics, cooler, electronics and documentation sufficient for a government laboratory to perform IV&V in a military relevant environment. A re-sealable Dewar is acceptable.

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

Awards under this BAA will be made to proposers on the basis of the evaluation criteria listed below (see section labeled “Application Review Information,” Sec. V.), and program balance to provide overall value to the Government. The Government reserves the right to request any additional, necessary documentation once it makes the award instrument determination. Such additional information may include but is not limited to Representations and Certifications (see Section VI.B.4., “Representations and Certifications”). The Government reserves the right to remove proposers from award consideration should the parties fail to reach agreement on award terms, conditions and cost/price within a reasonable time or the proposer fails to timely provide requested additional information. Proposals identified for negotiation may result in a procurement contract or Other Transaction. Depending upon the nature of the work proposed, the required degree of interaction between parties, whether or not the research is classified as Fundamental Research, and other factors.

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

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.

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

B. Fundamental Research

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

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

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

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

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

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

III. Eligibility Information

A. Eligible Applicants

To participate in the program, proposers will require personnel with collateral SECRET clearances and access to both an accredited facility and secure communications in order to support classified development OR proposers must team with an organization that has personnel with collateral SECRET clearances and access to both an accredited facility and secure communications in order to support classified development. Proposals to FENCE are expected to be submitted as two separate submissions: one that is U//FOUO and one addendum classified at http://www.darpa.mil/work-with-us/additional-baa the collateral SECRET level. Because of the nature of the work, proposals that are not U//FOUO and/or do not include the classified addendum will be non-conforming.

All responsible sources capable of satisfying the Government's needs may submit a proposal that shall be considered by DARPA. See Section III.D.1 “Ability to support Classified Development/Controlled Unclassified Information (CUI)” and the BAA addendums for additional eligibility information.

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

a) FFRDCs

FFRDCs are subject to applicable direct competition limitations and cannot propose to this BAA in any capacity unless they meet the following conditions. (1) FFRDCs must clearly demonstrate that the proposed work is not otherwise available from the private sector. (2) FFRDCs must provide a letter, on official letterhead from their sponsoring organization, that (a) cites the specific authority establishing their eligibility to propose to Government solicitations and compete with industry, and (b) certifies the FFRDC’s compliance with the associated FFRDC sponsor agreement’s terms and conditions. These conditions are a requirement for FFRDCs proposing to be awardees or subawardees.

b) Government Entities

Government Entities (e.g., Government/National laboratories, military educational institutions, etc.) are subject to applicable direct competition limitations. Government Entities must clearly demonstrate that the work is not otherwise available from the private sector and provide written documentation citing the specific statutory authority and contractual authority, if relevant, establishing their ability to propose to Government solicitations and compete with industry. This information is required for Government Entities proposing to be awardees or subawardees.

c) Authority and Eligibility

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

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

(2) For classified proposals, applicants will ensure all industrial, personnel, and information systems processing security requirements are in place and at the appropriate level (e.g., Facility Clearance Level (FCL), Automated Information Security (AIS), Certification and Accreditation (C&A), and any Foreign Ownership Control and Influence (FOCI) issues are mitigated prior to submission. Additional information on these subjects can be found at http://www.dss.mil.

B. Organizational Conflicts of Interest

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

FAR 9.505-4.

Agency Supplemental OCI Policy 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.

http://www.dss.mil/

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

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

C. Cost Sharing/Matching

Cost sharing is not expected due to the FENCE program not having a high probability of commercial application or transition at the conclusion of the program.

D. Other Eligibility Criteria

1. Ability to support Classified Development/Controlled Unclassified Information

(CUI)

To participate in the program, proposers will require personnel with collateral SECRET clearances and access to both an accredited facility and secure communications in order to support classified development OR proposers must team with an organization that has personnel with collateral SECRET clearances and access to both an accredited facility and secure communications in order to support classified development. Proposals to FENCE are expected to be submitted as two separate submissions: one that is U//FOUO and one addendum classified at the collateral SECRET level. Because of the nature of the work, proposals that are not U//FOUO and/or do not include the classified addendum will be non-conforming.

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

IV. Application and Submission Information

PROPOSERS ARE CAUTIONED THAT EVALUATION RATINGS MAY BE LOWERED

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

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

A. Address to Request Application Package

This announcement, any addendums, any attachments, and any references to external websites herein constitute the total solicitation. The U//FOUO and collateral SECRET addendums will not be posted with this material and must be requested by following the instructions outlined in Attachment 3 of this solicitation. If proposers cannot access the referenced material posted in the announcement found at www.darpa.mil, contact the administrative contact listed herein.

http://www.darpa.mil/

B. Content and Form of Application Submission

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

1. Abstract Format

Proposers are strongly encouraged to submit an abstract in advance of a full proposal. Abstracts should follow the format described below in this section. The cover sheet should be clearly marked “ABSTRACT” and the total length of Section II should not exceed 8 pages and should adhere to the subsection page guidance below in the section “Detailed Proposal Information.”

All pages of the abstract should be marked “UNCLASSIFIED//FOR OFFICIAL USE ONLY” in both the header and the footer. Submission of classified information is not expected for the abstracts. If submission of classified information is required, it should not exceed the maximum level of the program and should be submitted per the instructions in Section IV.C.3.b-c, below.

The technical content of both submissions is expected not to exceed the 8 page abstract limit.

The classified portion must be provided separately, according to the instructions outlined in the ‘Classified Submissions’ section IV.C.3.b-c and MUST NOT be submitted through the DARPA BAA Website.

Section I. Administrative

A. Cover sheet to include:

(1) BAA number (HR001121S0001);

(2) Lead Organization submitting abstract;

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

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

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

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

(6) Proposal title;

(7) Technical point of contact to include:

Salutation, last name, first name, street address, city, state, zip code (+4), telephone, fax (if available), electronic mail, SIPRnet (or other qualified lateral secure email system);

(8) Administrative point of contact to include:

Salutation, last name, first name, street address, city, state, zip code (+4), telephone, fax (if available), electronic mail, SIPRnet (or other qualified lateral secure email system);

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

(10) Date proposal abstract was submitted.

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

Section II. Abstract Details

A. Innovative Claims {1 Page} Summary of innovative claims for the proposed research. This section is the centerpiece of the abstract and should succinctly describe the uniqueness and benefits of the proposed approach relative to the current state-of-art alternate approaches.

B. Technical Approach {5 Pages} Technical rationale, technical approach, and constructive plan for accomplishment of technical goals in support of innovative claims and deliverable production.

C. Deliverables {1 Page} Deliverables associated with the proposed research and the plans and capability to accomplish technology transition and commercialization.

D. Cost and Schedule {1 Page} Provide a cost estimate for resources (e.g. labor, materials) and any subcontractors over the proposed timeline of the project, broken down by Government fiscal year.

2. Full Proposal Format

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

Volume I – Technical and Management Proposal (3 sections), and Volume II – Cost Proposal (4 sections). The submission of other supporting materials along with the proposals is strongly discouraged and will not be considered for review. Section II of Volume I, Technical and Management Proposal, shall not exceed 42 pages and should adhere to the subsection page limits outlined below in the section “Detailed Proposal Information.” The required classified addendum shall not exceed 5 pages. The page limitation for full proposals includes all figures, tables, and charts. There is no page limit for Volume II, Cost Proposal.

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

a. Volume I, Technical and Management Proposal

Section I. Administrative

A. Cover sheet to include:

(1) BAA number (HR001121S0001);

(2) Lead Organization submitting proposal;

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

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

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

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

(6) Proposal title;

(7) Technical point of contact to include:

Salutation, last name, first name, street address, city, state, zip code (+4), telephone, fax (if available), electronic mail; SIPRnet (or other qualified lateral secure email system);

(8) Administrative point of contact to include:

Salutation, last name, first name, street address, city, state, zip code (+4), telephone, fax (if available), electronic mail; SIPRnet (or other qualified lateral secure email system);

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

(10) Date proposal was submitted.

B. Official transmittal letter.

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

Section II. Detailed Proposal Information

A. Executive Summary {no more than 2 pages} Summarize the technical approach, anticipated performance, and expected outcomes of the proposed effort. The executive summary should be concise and to the point. Tables, graphs, and diagrams can be used as supplemental material along with narrative to convey the information.

B. Technical Approach {no more than 20 pages} This section is the centerpiece of the proposal and should succinctly summarize the innovative claims for the proposed research and clearly describe the proposed approach without using any jargon. This section should demonstrate that the proposer has a clear understanding of the state-of-the-art and should provide sufficient justification for the feasibility of the proposed approach(es). This section should include a detailed technical rationale, technical approach, supporting quantitative analysis, and a constructive plan for accomplishment of technical goals in support of innovative claims, prototypes and deliverable creation. This section should also include a detailed test plan and methodology.

C. Ongoing Research {no more than 2 pages} Comparison with other ongoing research indicating advantages and disadvantages of the proposed effort.

D. Statement of Work (SOW) {no more than 5 pages} In plain English, clearly define the technical tasks/subtasks to be performed, their durations, and dependencies among them. The page length for the SOW will be dependent on the amount of the effort. The SOW must not include proprietary information. For each task/subtask, provide:

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

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

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

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

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

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

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

E. Schedules and measurable milestones {no more than 2 pages} Schedules and measurable milestones for the proposed research. (Note: Measurable milestones should capture key development points in tasks and should be clearly articulated and defined in time relative to start of effort.) Where the effort consists of multiple portions which could reasonably be partitioned for purposes of funding, these should be identified as options. Additionally, proposals should clearly explain the technical approach(es) that will be employed to meet or exceed each program metric and provide ample justification as to why the approach(es) is/are feasible. The milestones must not include proprietary information.

F. Risk Analysis and Mitigation Plan {no more than 2 pages} Identify the major technical and programmatic risks in the program. Include a risk matrix.

For each risk, assign a probability of occurrence on a scale of 1-10, where 10 indicates a high likelihood that the risk will impact program success, as well as an assessment of impact, also on a scale of 1-10, where 10 indicates that this risk would maximally limit the program from delivering prototypes on schedule or meeting performance objectives. For each item with total risk (likelihood × impact) exceeding 40, include a plan for mitigating the risk and assessing risk reduction. Proposers should provide a final “total program technical risk” table listing all items exceeding 40 tallying the risk scores with subtotals by phase and a final overall score of the overall program risk which will be mitigated throughout performance on the program.

G. Results and Technology Transfer {no more than 2 pages} Description of the results, products, transferable technology, and expected technology transfer. This should also address mitigation of life-cycle and sustainment risks associated with transitioning intellectual property for U.S. military applications, if applicable. See also Section IV.B.11, “Intellectual Property.” If there are no proprietary claims, this should be stated.

H. National Security Impact Statement {no more than 2 pages} To reduce the potential for unintended foreign access to critical U.S. national security technologies developed under this effort, proposals shall describe:

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

Plans and capabilities to transition technologies developed under this effort to U.S.

national security applications and/or to U.S. industry.

Any plans to transition technologies developed under this effort to foreign governments or to companies that are foreign owned, controlled or influenced. The proposer may also discuss previous technology transition to these groups.

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

I. Proposer Accomplishments {no more than 1 page} Discussion of proposer’s previous accomplishments and work in closely related research areas.

J. Facilities and Equipment {no more than 1 page} Description of the facilities and equipment that would be used for the proposed effort and how they will support meeting program metrics.

K. Teaming {no more than 2 pages} Describe the formal teaming arrangements which will be used to execute this effort. Describe the programmatic relationship between investigators and the rationale for choosing this teaming strategy. Present a coherent organization chart and integrated management strategy for the program team. For each person, indicate: (1) name, (2) affiliation, (3) abbreviated listing of all technical area tasks they will work on with roles, responsibilities, and percent time indicated, (4) discussion of the proposers’ previous accomplishments, relevant expertise and/or unique capabilities.

Volume I Addendum: {no more than 5 Pages}

L. Additional Technological Approach {no more than 3 pages} Detail any additional information required to meet the specific program metrics.

M. National Security Impact and Technology Transfer {no more than 2 pages} Detail any additional relevant national security impacts and projected technology transfer partners.

Section III. Additional Information

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

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

All proposers, including FFRDCs, must submit the following:

Section I. Administrative

Cover sheet to include:

(1) BAA number (HR001121S0001);

(2) Lead Organization submitting proposal;

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

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

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

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

(6) Proposal title;

(7) Technical point of contact to include:

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

(8) Administrative point of contact to include:

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

(9) Award instrument requested:

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

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

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

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

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

(14) Date proposal was prepared;

(15) DUNS number;

(16) TIN number;

(17) CAGE Code;

(18) Subcontractor Information;

(19) Proposal validity period (120 days is recommended); AND

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

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

Section II. Detailed Cost Information (Prime and Subcontractors)

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

Total program cost broken down by major cost items:

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

B. Materials

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

C. Equipment

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

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

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

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

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

D. Travel Provide the purpose of the trip, number of…