HR001121S0032.pdf

HR001121S0032 DSO OFFICE-WIDE 1

Broad Agency Announcement Defense Sciences Office Office-wide

HR001121S0032

June 11, 2021

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Table of Contents I. Funding Opportunity Description

A. Introduction B. Technical Thrust Area Descriptions

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

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

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

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

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

VII. Other Information A. Frequently Asked Questions (FAQs)

BAA Attachments:

Attachment A: EXECUTIVE SUMMARY TEMPLATE Attachment B: ABSTRACT SUMMARY SLIDE TEMPLATE Attachment C: ABSTRACT TEMPLATE Attachment D: PROPOSAL SUMMARY SLIDE TEMPLATE Attachment E: PROPOSAL TEMPLATE VOLUME 1: TECHNICAL & MANAGEMENT Attachment F: PROPOSAL TEMPLATE VOLUME 2: COST Attachment G: MS ExcelTM DARPA COST PROPOSAL SPREADSHEET Attachment H: PROPOSAL TEMPLATE VOLUME 3: ADMINISTRATIVE & NATIONAL POLICY

REQUIREMENTS

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PART I: OVERVIEW INFORMATION

Federal Agency Name: Defense Advanced Research Projects Agency (DARPA), Defense Sciences Office (DSO) Funding Opportunity Title: DSO Office-wide Broad Agency Announcement (BAA) Announcement Type: Initial Announcement Funding Opportunity Number: HR001121S0032 NAICS Code: 541715 Catalog of Federal Domestic Assistance (CFDA) Number(s): 12.910 Research and

Technology Development Dates (All times listed herein are Eastern Time.)

o Posting Date: June 11, 2021 o Executive Summary Due Date and Time: Executive Summaries may be submitted on a rolling basis until Executive Summary Due Date: June 10, 2022, 4:00 p.m.

o Proposal Abstract Due Date and Time: Abstracts may be submitted on a rolling basis until June 10, 2022, 4:00 p.m.

o FAQ Submission Deadline: June 2, 2022, 4:00 p.m. See Section VIII.A.

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

June 10, 2022, 4:00 p.m.

o BAA Closing Date: June 10, 2022, 4:00 p.m.

o Estimated period of performance start: Approximately 120 calendar days after proposal submission Anticipated Individual Awards: Multiple awards are anticipated; however, the level of funding for individual awards made under this solicitation has not been predetermined and will depend on the scope and quality of the proposals received, as well as the availability of funds. See Section II for further information.

Types of Instruments that May be Awarded: Procurement contracts, grants, cooperative agreements or Other Transactions. Award instruments will be limited to procurement contracts and Other Transactions for Proposers whose proposed solution includes Controlled Unclassified Information (CUI).

Agency contacts o Technical POC: Phil Root, Deputy Director, DARPA/DSO o BAA Email: HR001121S0032@darpa.mil o BAA Mailing Address:

DARPA/DSO

ATTN: HR001121S0032 Office-wide 675 North Randolph Street Arlington, VA 22203-2114 o DARPA/DSO Opportunities Website: http://www.darpa.mil/work-with-us/opportunities

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

mailto:HR001121S0032@darpa.mil http://www.darpa.mil/work-with-us/opportunities?tFilter=&oFilter=2&sort=name

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PART II: FULL TEXT OF ANNOUNCEMENT

I. Funding Opportunity Description This Broad Agency Announcement (BAA) constitutes a public notice of a competitive funding opportunity as described in Federal Acquisition Regulation (FAR) 6.102(d)(2)(i) and 35.016 as well as 2 C.F.R. § 200.203. Any resultant negotiations and/or awards will follow all laws and regulations applicable to the specific award instrument(s) available under this BAA, e.g., FAR

15.4 for procurement contracts.

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

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

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

B. Technical Thrust Area Descriptions Frontiers in Math, Computation & Design: The increasingly complex, technologically sophisticated, and dynamic military operational environment leads to fundamental challenges in how we design and plan for future military needs. The DoD implications of these trends drive a need for new math, computation, and design tools that enable trusted decision making at increased speed and with known confidence levels. Topics of interest under this thrust area include, but are not limited to, the following: (1) mathematical, computational, and design frameworks and tools that provide robust solutions to challenging planning and optimization problems important to DoD; (2) fundamental scientific underpinnings and limits of artificial intelligence; (3) quantum information processing; and (4) alternative computing models, architectures, and substrates for faster, more robust decision making, particularly in size, weight and power constrained and/or low-resourced environments.

Limits of Sensing & Sensors: Sensing and measurement of signals ranging from “DC to daylight” are ubiquitous to military systems and missions. Surveillance, navigation, warfighter health monitoring, and target ID/tracking are just a few examples of missions and/or applications that rely on various sensing modalities. Topics of interest under this thrust area include, but are not limited to, the following: (1) new sensing modalities, (2) fundamental sensing limits, (3) practical and deployable sensing and sensor designs, (4) fundamental and practical limits of quantum enabled sensing and metrology, (5) novel and/or engineered materials that enable novel optics and imaging capabilities, and (6) imaging in low-resourced environments.

Complex Social Systems: Understanding social behavior and the dynamics of complex social

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networks is critically important for many military operations including stability, deterrence, influence, counter-terrorism, shaping the environment, training, and mission planning.

Additionally, increasingly robust machine capabilities in the form of automation, platforms, and artificial intelligence (AI) will fundamentally change how human teams frame problems, plan, and operate at tempo and manage complexity. Topics of interest under this thrust area include, but are not limited to, the following: (1) accurate and scientifically validated models of the social dynamics underlying different kinds of conflict, (2) capabilities to improve understanding of causality in complex social systems, (3) tools that enable improved human-machine symbiotic decision-making, (4) new concepts in war-gaming and conflict simulation, and (5) scientific underpinnings of influence and deterrence.

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

Research funded under this thrust area supports scientific and technological discovery that leads to leap-ahead capabilities across multiple technology domains to ensure enhanced military readiness against specific existing, emerging and/or future threats to national security. Example topics of interest under this thrust area include, but are not limited to, the following: (1) novel functional and structural materials and manufacturing processes, (2) materials for harsh environments, (3) defense against Weapons of Mass Destruction/Weapons of Mass Terror (WMD/WMT) threats, (4) energetic materials, (5) novel approaches to energy storage and power generation, and (6) novel approaches for improving robustness and resilience of critical infrastructure and supply chains.

II. Award Information A. General Award Information

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

The Government reserves the right to:

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

make awards without discussions with proposers;

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

segregate portions of resulting awards into pre-priced options;

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

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

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

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

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

In accordance with 10 U.S.C. § 2371b(f), the Government may award a follow-on production contract or Other Transaction (OT) for any OT awarded under this solicitation 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 solicitation, the Government cannot identify whether the work under this solicitation may be considered fundamental research and may award both fundamental and non-fundamental research.

Proposers should indicate in their proposal whether they believe the scope of the research included in their proposal is fundamental or not. While proposers should clearly explain the intended results of their research, the Government shall have sole discretion to determine http://www.darpa.mil/work-with-us/contract-management#OtherTransactions http://www.darpa.mil/work-with-us/contract-management#OtherTransactions

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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

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

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

a. FFRDCs FFRDCs are subject to applicable direct competition limitations and cannot propose to this solicitation 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. Other Applicants http://www.darpa.mil/work-with-us/additional-baa

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

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 solicitation. 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 solicitation 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.

Include any OCIs affirmations and disclosures in Attachment H: PROPOSAL TEMPLATE

VOLUME 3: ADMINISTRATIVE & NATIONAL POLICY REQUIREMENTS, SECTION 3.

C. Cost Sharing/Matching

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

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

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

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

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

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

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

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

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

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

A. Address to Request Application Package This document contains all information required to submit a response to this solicitation. No additional forms, kits, or other materials are needed except as referenced herein. No request for proposal or additional solicitation regarding this opportunity will be issued, nor is additional information available except as provided at the SAM.gov website (https://sam.gov/), the Grants.gov website (http://www.grants.gov/), or referenced herein.

B. Content and Form of Application Submission

1. Executive Summary Information and Formatting

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

http://www.darpa.mil/work-with-us/contract-management#OtherTransactions https://sam.gov/ http://www.grants.gov/

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

What is the proposed work attempting to accomplish or do?

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

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

What is new in your approach, and why do you think it will be successful?

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

All proposers are required to use Attachment A: EXECUTIVE SUMMARY TEMPLATE provided as an attachment to the solicitation on https://sam.gov and http://www.grants.gov.

2. Abstract Information and Formatting As stated above, proposers are strongly encouraged to submit an abstract in advance of a full proposal to minimize effort and reduce the potential expense of preparing an out of scope proposal. All proposers are required to use Attachment B: ABSTRACT SUMMARY SLIDE TEMPLATE and Attachment C: ABSTRACT TEMPLATE provided with this solicitation on https://sam.gov/ and http://www.grants.gov. Attachment B: ABSTRACT SUMMARY SLIDE TEMPLATE described herein must be in .ppt, .pptx or .pdf format and should be attached as a separate file to this document.

The abstract provides a synopsis of the proposed project by briefly answering the following questions:

What is the proposed work attempting to accomplish or do?

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

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

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

What is new in your approach, and why do you think it will be successful?

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

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

While it is DARPA policy to attempt to reply to abstracts within thirty calendar days, proposers to this solicitation may anticipate a response within approximately three weeks. These official http://www.darpa.mil/work-with-us/heilmeier-catechism https://sam.gov/ http://www.grants.gov/

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

3. Full Proposal Information and Formatting

a. Proposal Volumes

Full proposals must consist of all 3 volumes described below. To assist in proposal development, templates for these volumes are posted as attachments to this solicitation on https://sam.gov/. The templates are specific to each volume, as outlined below.

Full proposals requesting a procurement contract or Other Transaction (OT) must use the following attachments in each volume:

Volume 1 o Attachment D: PROPOSAL SUMMARY SLIDE TEMPLATE o Attachment E: PROPOSAL TEMPLATE VOLUME 1: TECHNICAL &

MANAGEMENT

Volume 2 o Attachment F: PROPOSAL TEMPLATE VOLUME 2: COST o Attachment G: MS ExcelTM DARPA COST PROPOSAL SPREADSHEET

Volume 3 o Attachment H: PROPOSAL TEMPLATE VOLUME 3: ADMINISTRATIVE &

NATIONAL POLICY REQUIREMENTS

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

Volume 1 o Attachment D: PROPOSAL SUMMARY SLIDE TEMPLATE o Attachment E: PROPOSAL TEMPLATE VOLUME 1: TECHNICAL &

MANAGEMENT

Volume 2* o Attachment G: MS ExcelTM DARPA COST PROPOSAL SPREADSHEET

Volume 3 o Attachment H: PROPOSAL TEMPLATE VOLUME 3: ADMINISTRATIVE &

NATIONAL POLICY REQUIREMENTS

* Full proposals requesting a grant or cooperative agreement do not need to include Attachment F. Instead, Budget Justification should be provided as Section L of the SF 424 Research & Related Budget form provided via http://www.grants.gov (see section IV.E.1.c for additional details). The Budget Justification should include the following information for the recipient and all subawardees:

Direct Labor (sections A and B) - Detail the total number of persons and their level of

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commitment for each position listed (as well as which specific tasks (as described in the SOW) they will support.

Equipment (section C) - Provide an explanation for listed requested equipment exceeding $5,000, properly justifying why it is required to meet the objectives of the program.

Travel (section D) - Provide the purpose of the trip, number of trips, number of days per trip, departure and arrival destinations, number of people, etc.

Other Direct Costs (section F) - Provide a justification for the items requested and an explanation of how the estimates were obtained.

Participant/Trainee Support Costs (section E) - Provide details on Tuition/ Fees/ Health Insurance, Stipends, Travel and Subsistence costs.

The Government requires 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 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.

All proposers are required to use the appropriate templates based on the type of award requested.

Templates are provided as attachments to this solicitation on https://sam.gov/ and http://www.grants.gov. Full Proposals that do not include the appropriate attachments as detailed here may be deemed non-conforming and may not be evaluated.

b. DARPA Embedded Entrepreneur Initiative (EEI)

Awardees pursuant to this solicitation may be eligible to participate in the DARPA Embedded Entrepreneur Initiative (EEI) during the award’s period of performance. EEI is a limited scope program offered by DARPA, at DARPA’s discretion, to a small subset of awardees. The goal of DARPA’s EEI is to increase the likelihood that DARPA-funded technologies take root in the U.S. and provide new capabilities for national defense. EEI supports DARPA’s mission “to make pivotal investments in breakthrough technologies and capabilities for national security” by accelerating the transition of innovations out of the lab and into new capabilities for the Department of Defense (DoD). EEI investment supports development of a robust and deliberate Go-to-Market strategy for selling technology to Government and commercial markets and positions DARPA awardees to attract U.S. investment. The following is for informational and planning purposes only and does not constitute solicitation of proposals to the EEI.

There are three elements to DARPA’s EEI: (1) A Senior Commercialization Advisor (SCA) http://www.darpa.mil/work-with-us/contract-management

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from DARPA who works with the Program Manager (PM) to examine the business case for the awardee’s technology and uses commercial methodologies to identify steps toward achieving a successful transition of technology to the Government and commercial markets; (2) Connections to potential industry and investor partners via EEI’s Transition Working Groups; and (3) Additional funding for awardees to hire an embedded entrepreneur to achieve specific commercialization milestones and work towards the delivery of a robust transition plan for both defense and commercial markets. This embedded entrepreneur’s qualifications should include business experience within the target industries of interest, experience in commercializing early stage technology, and the ability to communicate and interact with technical and non-technical stakeholders. Funding for EEI is typically no more than $250,000 per awardee over the duration of the award. An awardee may apportion EEI funding to hire more than one embedded entrepreneur, if achieving the milestones requires different expertise that can be obtained without exceeding the awardee’s total EEI funding. The EEI effort is intended to be conducted concurrent with the research program without extending the period of performance.

EEI Application Process:

After receiving an award under the solicitation, awardees interested in being considered for EEI should notify their DARPA Program Manager (PM) during the period of performance. Timing of such notification should ideally allow sufficient time for DARPA and the awardee to review the awardee’s initial transition plan, identify commercial milestones to deliver under EEI, modify the award, and conduct the work required to achieve such milestones within the original award period of performance. These steps may take 18-24 months to complete, depending on the technology. If the DARPA PM determines that EEI could be of benefit to transition the technology to product(s) the Government needs, the PM will refer the performer to DARPA’s Commercial Strategy team.

DARPA’s Commercial Strategy team will then contact the performer, assess fitness for EEI, and in consultation with the DARPA technical office, determine whether to invite the performer to participate in the EEI. Factors that are considered in determining fitness for EEI include DoD/Government need for the technology; competitive approaches to enable a similar capability or product; risks and impact of the Government’s being unable to access the technology from a sustainable source; Government and commercial markets for the technology; cost and affordability; manufacturability and scalability; supply chain requirements and barriers;

regulatory requirements and timelines; Intellectual Property and Government Use Rights, and available funding.

Invitation to participate in EEI is at the sole discretion of DARPA and subject to program balance and the availability of funding. EEI participants’ awards may be subsequently modified bilaterally to amend the Statement of Work to add negotiated EEI tasks, provide funding, and specify a milestone schedule which will include measurable steps necessary to build, refine, and execute a Go-to-Market strategy aimed at delivering new capabilities for national defense.

Milestone examples are available at: https://www.darpa.mil/work-with-us/contract-management.

Awardees under this solicitation are eligible to be considered for participation in EEI, but selection for award under this solicitation does not imply or guarantee participation in EEI.

4. Proprietary Information https://www.darpa.mil/work-with-us/contract-management

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

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

5. Controlled Unclassified Information (CUI) and Controlled Technical Information (CTI) on Non-DoD Information Systems

Proposers and awardees are subject to the DoD requirements related to protection of CUI and CTI IAW Executive Order 13556, Controlled Unclassified Information, DFARS 252.204-7000, Disclosure of Information, DFARS 252.204-7012, Safeguarding Covered Defense Information and Cyber Incident Reporting, DoD Instruction 5200.48, Controlled Unclassified Information, DoD Instruction 8582.01, Security of Non-DoD Information Systems Processing Unclassified Nonpublic DoD Information. See http://www.darpa.mil/work-with-us/additional-baa for additional guidance on protecting CUI on Non-DoD Information Systems.

CUI is defined as unclassified information that requires safeguarding or dissemination controls, pursuant to and consistent with applicable law, regulations, and Government-wide policies.

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

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

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

Proposers should indicate in their proposal if their proposed solution includes CUI. All proposals indicating CUI requirements must include a draft CUI protection plan in Attachment H:

PROPOSAL TEMPLATE VOLUME 3: ADMINISTRATIVE & NATIONAL POLICY

REQUIREMENTS detailing how CUI will be protected at performance sites as well as sub-contractor locations. The draft CUI protection plan is not a source selection criterion, and there is no page limit. During selection and negotiation, DARPA will determine additional requirements and clarification required of the CUI protection plan. Potential award instruments for proposals containing CUI will be limited to contracts or Other Transactions.

As part of Attachment E: PROPOSAL TEMPLATE VOLUME 1: TECHNICAL & MANAGEMENT, the proposer should include a Statement of Work with a breakdown of all research tasks and subtasks and indicate the proposed classification for each. For all tasks and

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subtasks proposed to be unclassified, proposers should distinguish between work proposed to be Fundamental Research versus work proposed to be CUI. Proposers will provide a short explanation for why each subtask should be categorized as Fundamental Research or CUI.

If CUI tasks are proposed in the Statement of Work, proposers must provide a plan for protecting Controlled Unclassified Information as part of Attachment H: PROPOSAL TEMPLATE VOLUME 3: ADMINISTRATIVE & NATIONAL POLICY REQUIREMENTS, Section 8.

CTI is to be marked “DISTRIBUTION C. Distribution authorized to U.S. Government agencies and their contractors; Critical Technology; [current date]. Other requests for this document shall be referred to DARPA, DSO” in accordance with Department of Defense Instruction 5203.24, “Distribution of Statements on Technical Documents.”

6. Security Information DARPA anticipates that submissions received under this BAA will be unclassified. However, should a proposer wish to submit classified information, an unclassified email must be sent to HR001121S0032@darpa.mil requesting submission instructions from the DARPA/DSO Program Security Officer (PSO).

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

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

DARPA will acknowledge receipt of complete submissions via email and assign identifying numbers that should be used in all further correspondence regarding those submissions. If no confirmation is received within two business days, please contact the BAA Administrator at HR001121S0032@darpa.mil to verify receipt.

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

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

3. Full Proposals mailto:HR001121S0032@darpa.mil

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Full proposal packages as detailed in Section IV.B.3 above and, as applicable, proprietary subawardee cost proposals and classified appendices to unclassified proposals must be submitted per the instructions outlined herein and received by DARPA no later than the due date and time listed in Part One: Overview Information. Proposals received after this time and date may not be reviewed.

D. Funding Restrictions Not applicable.

E. Other Submission Requirements

1. Unclassified Submission Instructions

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

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

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

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

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

Technical support for the DARPA BAA Submission website is available during regular business hours, Monday – Friday, 9:00 a.m. – 5:00 p.m. Requests for technical support must be emailed to BAAT_Support@darpa.mil with a copy to HR001121S0032@darpa.mil. Questions regarding https://baa.darpa.mil/ https://baa.darpa.mil/ mailto:BAAT_Support@darpa.mil

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submission contents, format, deadlines, etc. should be emailed to HR001121S0032@darpa.mil.

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

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

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

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

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

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

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

Technical support for the DARPA BAA Submission website is available during regular business hours, Monday – Friday, 9:00 a.m. – 5:00 p.m. Requests for technical support must be emailed to BAAT_Support@darpa.mil with a copy to HR001121S0032@darpa.mil. Questions regarding submission contents, format, deadlines, etc. should be emailed to HR001121S0032@darpa.mil.

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

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

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

mailto:HR001121S0032@darpa.mil https://baa.darpa.mil/ https://baa.darpa.mil/ mailto:BAAT_Support@darpa.mil

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

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

First time users of the DARPA BAA Submission website must complete a two-step account creation process. The first step consists of registering for an extranet account by going to the URL listed above and selecting the “Account Request” link.