HR001121S0010.pdf

Broad Agency Announcement Information Innovation Office (I2O) Office‐wide

HR001121S0010

October 27, 2020

Defense Advanced Research Projects Agency Information Innovation Office 675 North Randolph Street Arlington, VA 22203-2114

HR001121S0010 I2O OFFICE‐WIDE 2

Table of Contents Part I: Overview Information……………………………………………………………………...………3

Part II: Full Text of Announcement………………………………………………………………………..5

I. Funding Opportunity Description

II. Award Information

A. Awards

B. Fundamental Research

C. Disclosure of Information and Compliance with Safeguarding Covered Defense Information Controls

III. Eligibility Information

A. Eligible Applicants

B. Organizational Conflicts of Interest

C. Cost Sharing/Matching

IV. Application and Submission Information

A. Address to Request Application Package

B. Content and Form of Application Submission

C. Submission Dates and Times

D. Other Submission Requirements

V. Application Review Information

A. Evaluation Criteria

B. Review and Selection Process

VI. Award Administration Information

A. Abstract Responses

B. Selection Notices

C. Administrative and National Policy Requirements

D. Reporting

VII. Agency Contacts

VIII. Other Information

A. Frequently Asked Questions (FAQs)

B. Submission Checklist

C. Technology Investment Agreement

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PART I: OVERVIEW INFORMATION

Federal Agency Name: Defense Advanced Research Projects Agency (DARPA), Information Innovation Office (I2O)

Funding Opportunity Title: I2O Office-wide BAA

Announcement Type: Initial Announcement

Funding Opportunity Number: HR001121S0010

Catalog of Federal Domestic Assistance Numbers (CFDA):

12.910 Research and Technology Development

Dates o Posting Date: October 27, 2020 o Abstract Due Date: September 23, 2021, 12:00 noon (ET) o Proposal Due Date: October 28, 2021, 12:00 noon (ET)

Concise Description of Funding Opportunity: This Broad Agency Announcement (BAA) seeks revolutionary research ideas for topics not being addressed by ongoing I2O programs or other published solicitations. Potential proposers are highly encouraged to review the current I2O programs (http://www.darpa.mil/about-us/offices/i2o) and solicitations (http://www.darpa.mil/work-with-us/opportunities) to avoid proposing efforts that duplicate existing activities or that are responsive to other published I2O solicitations.

Anticipated Individual Awards: Multiple awards are anticipated. See Part II.

Types of Instruments that May be Awarded: Procurement contracts, grants, cooperative agreements or Other Transactions

Doing Business: DARPA welcomes engagement from all responsible sources capable of satisfying the Government's needs, including academia (colleges and universities);

businesses (large, small, small disadvantaged, etc.); other organizations (including non-profit); entities (foreign, domestic, and government); Federally Funded Research and Development Centers (FFRDCs); minority institutions; and others.

DARPA welcomes engagement from non-traditional sources in addition to current DARPA performers. For these non-traditional sources, DARPA can use statutory authorities to employ award mechanisms that allow commercial companies to continue using their internal business processes, and permits flexibility in negotiating most terms and conditions in any resultant agreement. Other Transaction (OT) for Prototypes, for example, could be used when the main focus of the agreement is to create a prototype that the Government may acquire, even when significant research is necessary to create the prototype. DARPA has wide latitude to use this authority, but it has a statutory requirement that the proposer's team needs to either have at least one “non-traditional participant” (an entity that has not had $50 million or more in defense contracts with the http://www.darpa.mil/about-us/offices/i2o http://www.darpa.mil/work-with-us/opportunities

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Government in the last year) or to cost-share one-third of the project’s costs.

DARPA welcomes your interest and participation and is willing and able to work with a potential performer in coming up with a contracting arrangement that benefits everyone.

Agency Contacts o Technical POC: BAA Coordinator, Program Manager, DARPA/I2O o BAA Email: HR001121S0010@darpa.mil o BAA Mailing Address:

DARPA/I2O

ATTN: HR001121S0010

675 North Randolph Street Arlington, VA 22203-2114 o I2O Solicitation Website: http://www.darpa.mil/work-with-us/opportunities

PART II: FULL TEXT OF ANNOUNCEMENT

I. Funding Opportunity Description

The mission of the Information Innovation Office (I2O) is to ensure enduring advantage for the U.S. and its allies across a broad range of information technologies through the advancement of core technical foundations as well as the design of novel application concepts based on these foundations. I2O’s core technical work ranges from artificial intelligence and data analysis to secure engineering and formal methods. Building on its core technical work, I2O programs also focus on overcoming technical challenges in bringing these technologies to the mission, addressing topics such as network security, cyber and multi-domain operations, human-system interaction, and assured autonomy. I2O programs are organized into four thrust areas:

a. Proficient artificial intelligence (AI): I2O is focused on the exploration and advancement of a full range of AI techniques, including symbolic reasoning, statistical machine learning, grounded cognition, meta-learning, explanation and assurance, and hybrid methods. The office’s AI programs focus on increasing cognitive capability, such as enhancing human language understanding, and combining this with increases in robustness and trustworthiness. Programs also focus on human-system partnering where AI-based systems can engage with individuals and teams in ways that are both effective and non-obtrusive. Programs focus additionally on the engineering of trustworthy systems that include diverse AI components. As AI technology continues to evolve rapidly, an emerging I2O focus is next-generation AI. This focus area addresses challenges related to harmonizing symbolic domain models with statistical AI, as well as augmenting systems with meta-cognition, for example, learning how to learn and how to evolve domain abstractions.

http://www.darpa.mil/work-with-us/opportunities

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b. Advantage in cyber operations: The I2O cyber operations portfolio includes techniques, tools, and frameworks for the full range of cyber operations, and involves many layers and stages in systems, from endpoint to endpoint. I2O’s research explores network operations analytics, attribution of attacks, applied cryptography – such as secure multi-party computation – graceful-degradation and recovery from attacks, deterrence effects, and social engineering defense. Programs also address challenges related to advancing the capacity of cyber operators through improved data sourcing and analytics, tools and frameworks, and operator experience design, including environments for command centers and cyber operators.

c. Confidence in the information domain: The information domain has been a focus of military and civil engagement since the dawn of the ages. Totalitarian regimes, for example, have historically used information operations for domestic social control and to exert international influence. The combination of connectivity and modern media has greatly amplified the potential effects on populations, including populations with extensive access to traditional sources of news as well as social media. The information domain has become critical both to stability and to multi-domain operations in modern warfare. I2O programs focus on understanding online activity, building better technical models of strategic and tactical operations in the information domain, developing technologies to support stabilization efforts, and building on these to create improved situational awareness to inform strategic decision-making.

d. Resilient, adaptable, and secure systems: Engineering practices for software-reliant systems have evolved steadily over many decades, and yet systems remain vulnerable as functional and quality ambitions continue to outpace engineering capability. I2O is focused on creating new techniques, technologies, and tools that can lead to improvements in engineering practice for software-based systems for the military and its supply chain. Programs are addressing a number of challenges in enabling iterative patterns of continuous development with continuous integration and, importantly, with continuous verification and validation (CD/CI/CV). I2O’s research efforts focus on topics related to modeling and analysis, toolchain development, support for human developers and analysts, and the capture and management of diverse kinds of engineering evidence, both formal and informal.

I2O may also consider submissions outside these thrust areas if the proposal involves the development of novel software‐based capabilities having a promise to provide decisive information advantage for the U.S. and its allies. I2O seeks unconventional software-based approaches that are outside the mainstream, challenge accepted assumptions, and have the potential to radically change established practice. Proposed research should investigate innovative approaches that enable revolutionary advances in software science, technology, or systems. Specifically excluded is research that primarily results in evolutionary improvements to the existing state of the art.

I2O collaborates with other DARPA technical offices, in some cases acting as the recipient of significant emerging technologies and, in other cases, serving as a catalyst by identifying relevant new external technology trends. Novel methods are sought to build technical communities and tap into sources of innovation both inside and outside traditional DoD performer communities. However, proposers may not propose work (1) they have already completed, nor (2) for which they have already received funding or a positive funding decision (whether by DARPA or another Government agency). I2O encourages efforts that are creative

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and agile both in terms of the technologies proposed and in the structure of the approach (e.g., shorter periods of performance).

For the purposes of this solicitation, only submissions deemed –compliant and relevant will receive a detailed scientific review. Compliance and relevance, first and foremost, requires that submissions address one or more of the aforementioned thrust areas and/or propose revolutionary advances in software science, technology, or systems. Additional compliance and relevance factors include: whether the overall goal of the proposed effort, if achieved, would convey technology significantly beyond the state of the art; whether the timetable for achieving results is appropriate for a mission agency such as DARPA; and whether the cost, scale, and scope of work is commensurate with I2O resources and priorities.

Submission of abstracts in advance of full proposals is strongly encouraged to ascertain I2O interest in the proposed effort. I2O will respond to abstracts with an email encouraging or discouraging the submission of a full proposal based on a preliminary assessment of the proposed effort’s scientific or technical merit and interest in the technology concept. Abstracts that are not determined to be relevant per the above factors will receive a “No Interest” email.

See Section IV.B.1 for further information related to abstracts.

This Broad Agency Announcement (BAA) is being issued, and any resultant selection will be made, using procedures under Federal Acquisition Regulation (FAR) 6.102(d)(2) and 35.016.

Any negotiations and/or awards will use procedures under FAR 15.4 (or 32 CFR § 200.203 for grants and cooperative agreements). Compliant and relevant 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 System for Award Management, Contract Opportunities website (https://beta.sam.gov), the Grants.gov website (https://www.grants.gov/), or referenced herein.

II. Award Information

A. Awards

Multiple awards are anticipated. The level of funding for individual awards made under this solicitation has not been predetermined and will depend on the quality of the proposals received and the availability of funds. Awards under this BAA will be made to proposers on the basis of the evaluation criteria listed in Section V and those proposals determined to be the most advantageous to the Government, all factors considered, including the potential contributions of the proposed work, overall funding strategy, and availability of funding. See Section V for further information.

The Government reserves the right to:

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

make awards without discussions with proposers;

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

segregate portions of resulting awards into pre-priced options;

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

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

request additional documentation once the award instrument has been determined (e.g., representations and certifications); and remove proposers from award consideration should the parties fail to reach agreement on award terms within a reasonable time or the proposer fails to provide requested additional information in a timely manner.

Proposals selected for award negotiation may result in a procurement contract, grant, cooperative agreement, or Other Transaction (OT) depending upon the nature of the work proposed, the required degree of interaction between parties, 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.

B. Fundamental Research

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

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

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

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

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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.

C. Disclosure of Information and Compliance with Safeguarding Covered Defense Information Controls

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

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

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

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

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

III. Eligibility Information

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

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DARPA welcomes engagement from all responsible sources capable of satisfying the Government's needs, including academia (colleges and universities); businesses (large, small, small disadvantaged, etc.); other organizations (including non-profit); other entities (foreign, domestic, and government); Federally Funded Research and Development Centers (FFRDCs);

minority institutions; and others.

DARPA welcomes engagement from non-traditional sources in addition to current DARPA performers.

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

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

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

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

2. Foreign Participation 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.

B. Organizational Conflicts of Interest

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

FAR 9.505-4.

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

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

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

The name of the DARPA office receiving the support;

The prime contract number;

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

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

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

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

C. Cost Sharing/Matching

Cost sharing is not required; however, it will be carefully considered where there is an applicable statutory condition relating to the selected funding instrument (e.g., OTs under the authority of

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10 U.S.C. § 2371). Cost sharing is encouraged where there is a reasonable probability of a potential commercial application related to the proposed research and development effort.

IV. Application and Submission Information

A. Address to Request Application Package

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

No request for proposal (RFP) or additional solicitation regarding this opportunity will be issued, nor is additional information available except as provided at the System for Award Management, Contract Opportunities website (https://beta.sam.gov), the Grants.gov website (https://www.grants.gov/), or referenced herein.

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.

B. Content and Form of Application Submission

1. Abstracts Proposers are highly encouraged to submit an abstract in advance of a proposal to minimize effort and reduce the potential expense of preparing an out of scope proposal. The abstract provides a synopsis of the proposed project, including brief answers to the following questions:

What is the proposed work attempting to accomplish or do?

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

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

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

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

Abstract Format: Abstracts shall not exceed a maximum of 10 pages including the cover sheet and all figures, tables, and charts. The page limit does not include a submission letter (optional).

All pages shall be formatted for printing on 8-1/2 by 11 inch paper with 1-inch margins and font size not smaller than 12 point. Font sizes of 8 or 10 point may be used for figures, tables, and charts. Document files must be in .pdf, .odx, .doc, .docx, .xls, or .xlsx formats.

Submissions must be written in English. All pages should be numbered.

http://www.darpa.mil/

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Abstracts must include the following components:

Cover Sheet: Provide the administrative and technical points of contact (name, address, phone, email, lead organization). Include the BAA number, title of the proposed project, primary subcontractors, estimated cost, duration of the project, and the label “Abstract.”

Goals and Impact: Describe what is being proposed and what difference it will make (qualitatively and quantitatively) if successful. Describe the innovative aspects of the project in the context of existing capabilities and approaches, clearly delineating the relationship of this work to any other projects from the past and present.

Technical Plan: Outline and address all technical challenges inherent in the approach and possible solutions for overcoming potential problems. Provide appropriate specific milestones (quantitative, if possible) at intermediate stages of the project to demonstrate progress.

Capabilities/Management Plan: Provide a brief summary of expertise of the team, including subcontractors and key personnel. Identify a principal investigator for the project and include a description of the team’s organization including roles and responsibilities. Describe the organizational experience in this area, existing intellectual property required to complete the project, and any specialized facilities to be used as part of the project. List Government-furnished property, facilities, or data assumed to be available. If desired, include a brief bibliography with links to relevant papers, reports, or resumes of key performers. Do not include more than two resumes as part of the abstract. Resumes count against the abstract page limit.

Cost and Schedule: Provide a cost estimate for resources over the proposed timeline of the project, broken down by year. Include labor, materials, a list of deliverables and delivery schedule. Provide cost estimates for each subcontractor (may be a rough order of magnitude).

2. Proposals All proposals must be in the format stated herein. Proposals consist of Volume 1: Technical and Management Proposal (including mandatory Appendix A and optional Appendix B);

Volume 2: Cost Proposal; and the PowerPoint summary slide.

All pages, excluding the PowerPoint summary slide 3, shall be formatted for printing on 8- 1/2 by 11-inch paper with 1-inch margins, single-line spacing, and a font size not smaller than 12 point. Font sizes of 8 or 10 point may be used for figures, tables, and charts.

Document files must be in .pdf, .odx, .doc, .docx, .xls, or .xlsx formats. Submissions must be written in English. All pages of Volume 1 should be numbered.

A summary slide of the proposed effort, in PowerPoint format, should be submitted with the proposal. A template slide is provided as an attachment to the BAA. Submit this PowerPoint file in Volume 2 of your full proposal.

Proposals not meeting the format prescribed herein may be found non-compliant.

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a. Volume 1: Technical and Management Proposal The maximum page count for Volume 1 is 25 pages, including all figures, tables and charts.

The cover sheet, table of contents and appendices are excluded from the page count.

Proposers should note Appendix A does not count against the page limit; however, it is mandatory and is required in the submission of Volume 1. Appendix B does not count against the page limit and is optional.

Further, a submission letter is optional and is excluded from the page count. Additional information not explicitly called for herein is discouraged. If the proposer chooses to provide additional information, that information must be included in Appendix B. Such materials will be considered for the reviewers’ convenience only and not evaluated as part of the proposal.

Volume 1 must include the following components:

i. Cover Sheet: Include the following information.

Label: “Proposal: Volume 1” BAA number (HR001121S0010) Proposal title Lead organization (prime contractor) name Type of organization, selected from the following categories: Large Business, Small Disadvantaged Business, Other Small Business, Historically Black Colleges and Universities, Military Institution, Other Educational, or Other Nonprofit

Technical point of contact (POC) including name, mailing address, telephone number, and email address

Administrative POC including name, mailing address, telephone number, and email address

Award instrument requested: procurement contract (specify cost/price structure), grant, cooperative agreement or OT.1

Total amount of the proposed effort Place(s) and period(s) of performance Other team member (subcontractors and consultants) information (for each, include Technical POC name, organization, type of organization, mailing address, telephone number, and email address)

Proposal validity period (minimum 120 calendar days) Data Universal Numbering System (DUNS) number2 Taxpayer Identification Number (TIN)3

1 Information on award instruments can be found at http://www.darpa.mil/work-with-us/contract-management.

2 The DUNS number is used as the Government's contractor identification code for all procurement-related activities. Go to http://fedgov.dnb.com/webform/index.jsp to request a DUNS number (may take at least one business day). For further information regarding this subject, please see www.darpa.mil/work-with-us/additional-baa for further information.

3 See https://www.irs.gov/Individuals/International-Taxpayers/Taxpayer-Identification-Numbers-TIN for information on requesting a TIN. Note, requests may take from 1 business day to 1 month depending on the method (online, fax, mail).

http://www.darpa.mil/work-with-us/contract-management http://fedgov.dnb.com/webform/index.jsp http://www.darpa.mil/work-with-us/additional-baa http://www.darpa.mil/work-with-us/additional-baa https://www.irs.gov/Individuals/International-Taxpayers/Taxpayer-Identification-Numbers-TIN

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Commercial and Government Entity (CAGE) code4 Proposer’s reference number (if any)

ii. Table of Contents

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

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

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

iii. Who or what will be affected and what will be the impact if the work is successful?

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

The executive summary should include a description of the key technical challenges, a concise review of the technologies proposed to overcome these challenges and achieve the project’s goal, and a clear statement of the novelty and uniqueness of the proposed work.

iv. Innovative Claims and Deliverables: Describe the innovative aspects of the project in the context of existing capabilities and approaches, clearly delineating the uniqueness and benefits of this project in the context of the state of the art, alternative approaches, and other projects from the past and present. Describe how the proposed project is revolutionary and how it significantly rises above the current state of the art.

Describe the deliverables associated with the proposed project and any plans to commercialize the technology, transition it to a customer, or further the work. Discuss the mitigation of any issues related to sustainment of the technology over its entire lifecycle, assuming the technology transition plan is successful.

v. Technical Plan: Outline and address technical challenges inherent in the approach and possible solutions for overcoming potential problems. Demonstrate a deep understanding of the technical challenges and present a credible (even if risky) plan to achieve the project’s goal. Discuss mitigation of technical risk. List Government-furnished materials or data assumed to be available.

vi. Management Plan: Provide a summary of expertise of the proposed team, including any subcontractors/consultants and key personnel who will be executing the work.

Identify a principal investigator (PI) for the project. Provide a clear description of the team’s organization including an organization chart that illustrates, as applicable, the relationship of team members; unique capabilities of team members; task responsibilities of team members; teaming strategy among the team members; and key personnel with the amount of effort to be expended by each person during the project. Provide a detailed plan for coordination including explicit guidelines for interaction among collaborators/subcontractors of the proposed project. Include risk management

4 A CAGE Code identifies companies doing or wishing to do business with the Federal Government. For further information regarding this subject, please see www.darpa.mil/work-with-us/additional-baa.

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approaches. Describe any formal teaming agreements that are required to execute this project.

vii. Personnel, Qualifications, and Commitments: List key personnel (no more than one page per person), showing a concise summary of their qualifications, discussion of previous accomplishments, and work in this or closely related research areas. Indicate the level of effort in terms of hours to be expended by each person during each contract year and other (current and proposed) major sources of support for them and/or commitments of their efforts. The proposer should include a table of key individual time commitments as follows:

Hours on Project Key

Individual Project

Status (Current, Pending, Proposed) Phase 1 Phase 2 Phase 3 Program name Proposed X x x Project Name 1 Current X x n/aName 1 Project Name 2 Pending n/a x x Program Name Proposed X x x

Name 2 Project Name 3 Proposed X x x

DARPA expects all key personnel associated with a proposal to make a substantial time commitment to the proposed activity and the proposal will be evaluated accordingly. It is DARPA’s intention to put key personnel conditions into the awards, so proposers should not propose personnel that are not anticipated to execute the award. The proposer should note, official resumes are considered additional information and therefore count against the Volume 1 page count. If the proposers wishes to include official resumes, they should be included in Appendix B.

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

iv. Statement of Work (SOW): The SOW must provide a detailed task breakdown, citing specific tasks and their connection to the interim milestones and metrics, as applicable. Each Phase of the project should be separately defined. The SOW must not include proprietary information. For each defined task/subtask, provide:

A general description of the objective.

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

Identification of the primary organization responsible for task execution

(prime contractor, subcontractor(s), consultant(s)), by name.

A measurable milestone, (e.g., a deliverable, demonstration, or other event/activity that marks task completion).

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

Identify any tasks/subtasks (by the prime or subcontractor) that will be accomplished at a university and believed to be fundamental research.

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

xi. Appendix A: This section is mandatory and must include all of the following components. If a particular subsection is not applicable, state “NONE.” There is no page limit on Appendix A.

(1). Individual Team Member Identification: Provide a list of all individual team members including the prime, subcontractor(s), and consultant(s), as applicable.

Identify specifically whether any are a non-US organization or individual, FFRDC and/or Government entity. Use the following format for this list:

Non-US?

Individual

Name

Role (Prime, Subcontractor or Consultant)

Organization Org Ind.

FFRDC

or

Govt?

(2). Government or FFRDC Individual Team Member Proof of Eligibility to Propose: If none of the individual team member organizations (prime or subcontractor) are a Government entity or FFRDC, state “NONE.”

If any of the individual team member organizations are a Government entity or FFRDC, provide documentation (per Section III.A.1) citing the specific authority that establishes the applicable team member’s eligibility to propose to Government solicitations to include: 1) statutory authority; 2) contractual authority; 3) supporting regulatory guidance; and 4) evidence of agency approval for applicable team member participation.

(3). Government or FFRDC Team Member Statement of Unique Capability: If none of the individual team member organizations (prime or subcontractor) are a Government entity or FFRDC, state “NONE.”

If any of the individual team member organizations are a Government entity or FFRDC, provide a statement (per Section III.A.1) that demonstrates the work to be performed by the Government entity or FFRDC team member is not otherwise available from the private sector.

(4). Organizational Conflict of Interest Affirmations and Disclosure: If none of the proposed individual team members is currently providing SETA or similar support as described in Section III.B, state “NONE”.

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If any of the proposed individual team members (individual or organization) is currently performing SETA or similar support, furnish the following information:

Prime Contract Number

DARPA

Technical Office supported

A description of the action the proposer has taken or proposes to take to avoid, neutralize, or mitigate the conflict

The proposer should note submission of the above table does not preclude the proposers’ responsibility to submit an OCI mitigation plan in accordance with section III.B Organizational Conflicts of Interest.

(5). Intellectual Property (IP): If no IP restrictions are intended, state “NONE.”

The Government will assume unlimited rights to all IP not explicitly identified as having less than unlimited rights in the proposal.

For all noncommercial technical data or computer software that will be furnished to the Government with other than unlimited rights, provide (per Section VI.C.1) a list describing all proprietary claims to results, prototypes, deliverables or systems supporting and/or necessary for the use of the research, results, prototypes and/or deliverables. Provide documentation proving ownership or possession of appropriate licensing rights to all patented inventions (or inventions for which a patent application has been filed) to be used for the proposed project. Use the following format for these lists:

NONCOMMERCIAL

Technical Data and/or 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) (List) (Narrative) (List) (List) (List)

COMMERCIAL

Technical Data and/or 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) (List) (Narrative) (List) (List) (List)

(6). Human Subjects Research (HSR): If HSR is not a factor in the proposal, state

“NONE.”

If the proposed work will involve human subjects, provide evidence of or a plan for review by an Institutional Review Board (IRB). For further information on this subject, see Section VI.C.2.

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(7). Animal Use: If animal use is not a factor in the proposal, state “NONE.”

If the proposed research will involve animal use, provide a brief description of the plan for Institutional Animal Care and Use Committee (IACUC) review and approval. For further information on this subject, see Section VI.C.2.

(8). Representations Regarding Unpaid Delinquent Tax Liability or a Felony Conviction under Any Federal Law: For further information regarding this subject, please see www.darpa.mil/work-with-us/additional-baa.

Please also complete the following statements.

(1) The proposer is [ ] is not [ ] a corporation that has any unpaid Federal tax liability that has been assessed, for which all judicial and administrative remedies have been exhausted or have lapsed, and that is not being paid in a timely manner pursuant to an agreement with the authority responsible for collecting the tax liability.

(2) The proposer is [ ] is not [ ] a corporation that was convicted of a felony criminal violation under a Federal law within the preceding 24 months.

(9). Cost Accounting Standards (CAS) Notices and Certification: For any proposer who submits a proposal which, if accepted, will result in a CAS-compliant contract, must include a Disclosure Statement as required by 48 CFR

9903.202. The disclosure forms may be found at

https://www.whitehouse.gov/wp-content/uploads/2017/11/CASB_DS-1.pdf.

If this section is not applicable, state “NONE.” For further information regarding this subject, please see www.darpa.mil/work-with-us/additional-baa.

xii. Appendix B: If desired, include a brief bibliography to relevant papers, reports, or resumes. Do not include technical papers. This section is optional, and the materials will not be evaluated as part of the proposal review.

b. Volume 2 - Cost Proposal This volume is mandatory and must include all the listed components. No page limit is specified for this volume.

The cost proposal should include a working spreadsheet file (.xls, .xlsx or equivalent format) that provides formula traceability among all components of the cost proposal. The spreadsheet file should be included as a separate component of the full proposal package.

Costs must be traceable between the prime and subcontractors/consultants, as well as between the cost proposal and the SOW.

The Government strongly encourages that proposers use the provided MS ExcelTM DARPA Standard Cost Proposal Spreadsheet in the development of their cost proposals. A customized cost proposal spreadsheet may be an attachment to this solicitation. If not, the spreadsheet can be http://www.darpa.mil/work-with-us/additional-baa https://www.whitehouse.gov/wp-content/uploads/2017/11/CASB_DS-1.pdf

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found on the DARPA website at http://www.darpa.mil/work-with-us/contract-management (under “Resources” on the right-hand side of the webpage). All tabs and tables in the cost proposal spreadsheet should be developed in an editable format with calculation formulas intact to allow traceability of the cost proposal. This cost proposal spreadsheet should be used by the prime organization and all subcontractors. In addition to using the cost proposal spreadsheet, the cost proposal still must include all other items required in this announcement that are not covered by the editable spreadsheet. Subcontractor cost proposal spreadsheets may be submitted directly to the Government by the proposed subcontractor via e-mail to the address in Part I of this solicitation. Using the provided cost proposal spreadsheet will assist the Government in a rapid analysis of your proposed costs and, if your proposal is selected for a potential award, speed up the negotiation and award execution process.

Pre-award costs will not be reimbursed unless a pre-award cost agreement is negotiated prior to award.

i. Cover Sheet: Include the same information as the cover sheet for Volume 1, but with the label “Proposal: Volume 2.”

ii. Cost Summary Tables: Provide a single-page summary table broken down by fiscal year listing cost totals for labor, materials, other direct charges (ODCs), indirect costs (overhead, fringe, general and administrative (G&A)), and any proposed fee for the project. Include costs for each task in each fiscal year of the project by prime and major subcontractors, total cost and proposed cost share, if applicable. Provide a second table containing the same information broken down by project phase.

iii. Cost Details: For each task, provide the following cost details by month. Include supporting documentation describing the method used to estimate costs. Identify any cost sharing.

(1) Direct Labor: Provide labor categories, rates and hours. Justify rates by providing examples of equivalent rates for equivalent talent, past commercial or Government rates from a Government audit agency such as the Defense Contract Audit Agency (DCAA), the Office of Naval Research (ONR), the Department of Health and Human Services (DHHS), etc.

(2) Indirect Costs: Identify all indirect cost rates (such as fringe benefits, labor overhead, material overhead, G&A, or F&A, etc.) and the basis for each.

(3) Materials: Provide an itemized list of all proposed materials, equipment, and supplies for each year including quantities, unit prices, proposed vendors (if known), and the basis of estimate (e.g., quotes, prior purchases, catalog price lists, etc.). For proposed equipment/information technology (as defined in FAR 2.101) purchases equal to or greater than $50,000, include a letter justifying the purchase. Include any requests for Government-furnished equipment or information with cost estimates (if applicable) and delivery dates.

(4) Travel: Provide a breakout of travel costs including the purpose and number of trips, origin and destination(s), duration, and travelers per trip.

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

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(5) Subcontractor/Consultant Costs: Provide above…