HR001122S0003.pdf

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

HR001122S0003

October 26, 2021

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

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

Part II: Full Text of Announcement………………………………………………………………………..4

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

Countering Foreign Influence Program (CFIP)

V. Application Review Information

A. Evaluation Criteria

B. Review and Selection Process

VI. Award Administration Information

A. Selection Notices

B. Administrative and National Policy Requirements

C. Reporting

VII. Agency Contacts

VIII. Other Information

A. Frequently Asked Questions (FAQs)

B. Protests

C. Submission Checklist

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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 Broad Agency Announcement (BAA)

Announcement Type: Initial Announcement

Funding Opportunity Number: HR001122S0003

Catalog of Federal Domestic Assistance Numbers (CFDA):

12.910 Research and Technology Development

Dates:

o Posting Date: October 26, 2021 o Abstract Due Date: September 23, 2022, 12:00 noon (ET) o Proposal Due Date: October 28, 2022, 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.

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. For example, Other Transaction (OT) for Prototypes 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 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:

http://www.darpa.mil/about-us/offices/i2o http://www.darpa.mil/work-with-us/opportunities

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o Technical POC: BAA Coordinator, DARPA/I2O o BAA Email: HR001122S0003@darpa.mil o BAA Mailing Address:

DARPA/I2O

ATTN: HR001122S0003

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.

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 mailto:HR001122S0003@darpa.mil http://www.darpa.mil/work-with-us/opportunities

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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. 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 Department of Defense (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 from DARPA or another Government agency. I2O encourages efforts that are creative 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

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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’s 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 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 C.F.R. § 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://sam.gov), the Grants.gov website (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;

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 file://filer1/i2o/BAAs/ITO-IPTO-I2O%20BAAs/Solicitations%20by%20year/FY21/(1)%20OFFICE%20WIDE/(5)%20Office-Wide%2022-03/grants.gov

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

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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.

University or non-profit research institution performance under this solicitation may include effort categorized as fundamental research. In addition to Government support for free and open scientific exchanges and dissemination of research results in a broad and unrestricted manner, the academic or non-profit research performer or recipient, regardless of tier, acknowledges that such research may have implications that are important to U.S. national interests and must be protected against foreign influence and exploitation. As such, the academic or non-profit research performer or recipient agrees to comply with the following requirements:

(a) The University or non-profit research institution performer or recipient must establish and maintain an internal process or procedure to address foreign talent programs, conflicts of commitment, conflicts of interest, and research integrity.

The academic or non-profit research performer or recipient must also utilize due diligence to identify Foreign Components or participation by Senior/Key Personnel in Foreign Government Talent Recruitment Programs and agree to share such information with the Government upon request.

i. The above described information will be provided to the Government as part of the proposal response to the solicitation and will be reviewed and assessed prior to award. Generally, this information will be included in the Research and Related Senior/Key Personnel Profile (Expanded) form (SF-424) required as part the proposer’s submission through Grants.gov.

1. Instructions regarding how to fill out the SF- 424 and its biographical sketch can be found through Grants.gov.

ii. In accordance with USD(R&E) direction to mitigate undue foreign influence in DoD-funded science and technology, DARPA will assess all Senior/Key Personnel proposed to support DARPA grants and cooperative agreements for potential undue foreign influence risk factors. This will be done by evaluating information provided via the SF-424, and any accompanying or referenced documents, in order to identify and assess any associations or affiliations the Senior/Key Personnel may have with foreign strategic competitors or countries that have a history of intellectual property theft, research misconduct, or history of targeting U.S. technology

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for unauthorized transfer. DARPA’s evaluation takes into consideration the entirety of the Senior/Key Personnel’s SF-424, current and pending support, and biographical sketch, placing the most weight on the Senior/Key Person’s activities over the last 4 years. The majority of foreign entities lists used to make these determinations are publicly available. The DARPA Countering Foreign Influence Program (CFIP) “Senior/Key Personnel Foreign Influence Risk Rubric” details the various risk ratings and factors.

The rubric can be seen at the following link:

https://www.darpa.mil/attachments/092021DARPA CFIPRubric.pdf

iii. Examples of lists that DARPA leverages to assess potential undue foreign influence factors include, but are not limited to:

1. Executive Order 13959 “Addressing the Threat From Securities Investments That Finance Communist Chinese Military Companies”:

https://www.govinfo.gov/content/pkg/FR- 2020-11-17/pdf/2020-25459.pdf

2. The U.S. Department of Education’s College Foreign Gift and Contract Report:

College Foreign Gift Reporting (ed.gov)

3. The U.S. Department of Commerce, Bureau of Industry and Security, List of Parties of Concern:

https://www.bis.doc.gov/index.php/policy-guidance/lists-of-parties-of-concern

4. Georgetown University’s Center for Security and Emerging Technology (CSET) Chinese Talent Program Tracker:

https://chinatalenttracker.cset.tech

5. Director of National Intelligence (DNI) “World Wide Threat Assessment of the US Intelligence Community”: 2021 Annual Threat Assessment of the U.S. Intelligence Community (dni.gov)

6. Various Defense Counterintelligence and Security Agency (DCSA) products regarding targeting of US technologies, adversary targeting of academia, and the exploitation of academic experts:

https://www.dcsa.mil/ https://www.darpa.mil/attachments/092021DARPACFIPRubric.pdf https://www.darpa.mil/attachments/092021DARPACFIPRubric.pdf https://www.govinfo.gov/content/pkg/FR-2020-11-17/pdf/2020-25459.pdf https://www.govinfo.gov/content/pkg/FR-2020-11-17/pdf/2020-25459.pdf https://sites.ed.gov/foreigngifts/ https://www.bis.doc.gov/index.php/policy-guidance/lists-of-parties-of-concern https://www.bis.doc.gov/index.php/policy-guidance/lists-of-parties-of-concern https://chinatalenttracker.cset.tech/ https://www.dni.gov/index.php/newsroom/reports-publications/reports-publications-2021/item/2204-2021-annual-threat-assessment-of-the-u-s-intelligence-community https://www.dni.gov/index.php/newsroom/reports-publications/reports-publications-2021/item/2204-2021-annual-threat-assessment-of-the-u-s-intelligence-community https://www.dni.gov/index.php/newsroom/reports-publications/reports-publications-2021/item/2204-2021-annual-threat-assessment-of-the-u-s-intelligence-community https://www.dcsa.mil/

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DARPA’s analysis and assessment of Senior/Key Personnel is compliant with Title VI of the Civil Rights Act of 1964. Information regarding race, color, or national origin is not collected and does not have bearing in DARPA’s assessment.

University or non-profit research institutions with proposals selected for negotiation that have been assessed as having high or very high undue foreign influence risk, will be given an opportunity during the negotiation process to mitigate the risk. DARPA reserves the right to request any follow-up information needed to assess risk or mitigation strategies.

iv. Upon conclusion of the negotiations, if DARPA determines, despite any proposed mitigation terms (e.g. mitigation plan, alternative research personnel), the participation of any Senior/Key Research Personnel still represents high risk to the program, or proposed mitigation affects the Government’s confidence in proposer’s capability to successfully complete the research (e.g., less qualified Senior/Key Research Personnel) the Government may determine not to award the proposed effort. Any decision not to award will be predicated upon reasonable disclosure of the pertinent facts and reasonable discussion of any possible alternatives while balancing program award timeline requirements.

(b) Failure of the academic or non-profit research performer or recipient to reasonably exercise due diligence to discover or ensure that neither it nor any of its Senior/Key Research Personnel involved in the subject award are participating in a Foreign Government Talent Program or have a Foreign Component with an a strategic competitor or country with a history of targeting U.S. technology for unauthorized transfer may result in the Government exercising remedies in accordance with federal law and regulation.

i. If, at any time, during performance of this research award, the academic or non-profit research performer or recipient should learn that it, its Senior/Key Research Personnel, or applicable team members or subtier performers on this award are or are believed to be participants in a Foreign Government Talent Program or have Foreign Components with a strategic competitor or country with a history of targeting U.S. technology for unauthorized transfer , the performer or recipient

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will notify the Government Contracting Officer or Agreements Officer within 5 business days.

1. This disclosure must include specific information as to the personnel involved and the nature of the situation and relationship.

The Government will have 30 business days to review this information and conduct any necessary fact-finding or discussion with the performer or recipient.

2. The Government’s timely determination and response to this disclosure may range anywhere from acceptance, to mitigation, to termination of this award at the Government’s discretion.

3. If the University receives no response from the Government to its disclosure within 30 business days, it may presume that the Government has determined the disclosure does not represent a threat.

ii. The performer or recipient must flow down this provision to any subtier contracts or agreements involving direct participation in the performance of the research.

(c) Definitions

i. Senior/Key Research Personnel

1. This definition would include the Principal Investigator or Program/Project Director and other individuals who contribute to the scientific development or execution of a project in a substantive, measurable way, whether or not they receive salaries or compensation under the award. These include individuals whose absence from the project would be expected to impact the approved scope of the project.

2. Most often, these individuals will have a doctorate or other professional degrees, although other individuals may be included within this definition on occasion.

ii. Foreign Associations/Affiliations

1. Association is defined as collaboration, coordination or interrelation, professionally or personally, with a foreign government-connected entity where no direct monetary or non-monetary reward is involved.

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2. Affiliation is defined as collaboration, coordination, or interrelation, professionally or personally, with a foreign government-connected entity where direct monetary or non-monetary reward is involved.

iii. Foreign Government Talent Recruitment Programs

1. In general, these programs will include any foreign-state-sponsored attempt to acquire U.S. scientific-funded research or technology through foreign government-run or funded recruitment programs that target scientists, engineers, academics, researchers, and entrepreneurs of all nationalities working and educated in the U.S.

2. Distinguishing features of a Foreign Government Talent Recruitment Program may include:

a. Compensation, either monetary or in-kind, provided by the foreign state to the targeted individual in exchange for the individual transferring their knowledge and expertise to the foreign country.

b. In-kind compensation may include honorific titles, career advancement opportunities, promised future compensation or other types of remuneration or compensation.

c. Recruitment, in this context, refers to the foreign-state-sponsor’s active engagement in attracting the targeted individual to join the foreign-sponsored program and transfer their knowledge and expertise to the foreign state. The targeted individual may be employed and located in the U.S. or in the foreign state.

d. Contracts for participation in some programs that create conflicts of commitment and/or conflicts of interest for researchers. These contracts include, but are not limited to, requirements to attribute awards, patents, and projects to the foreign institution, even if conducted under U.S. funding, to recruit or train other

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talent recruitment plan members, circumventing merit-based processes, and to replicate or transfer U.S.-funded work in another country.

e. Many, but not all, of these programs aim to incentivize the targeted individual to physically relocate to the foreign state. Of particular concern are those programs that allow for continued employment at U.S. research facilities or receipt of U.S. Government research funding while concurrently receiving compensation from the foreign state.

3. Foreign Government Talent Recruitment Programs DO NOT include:

a. Research agreements between the University and a foreign entity, unless that agreement include provisions that create situations of concern addressed elsewhere in this section,

b. Agreements for the provision of goods or services by commercial vendors, or

c. Invitations to attend or present at conferences.

iv. Conflict of Interest

1. A situation in which an individual, or the individual’s spouse or dependent children, has a financial interest or financial relationship that could directly and significantly affect the design, conduct, reporting, or funding of research.

v. Conflict of Commitment

1. A situation in which an individual accepts or incurs conflicting obligations between or among multiple employers or other entities.

2. Common conflicts of commitment involve conflicting commitments of time and effort, including obligations to dedicate time in excess of institutional or funding agency policies or commitments. Other types of conflicting obligations, including obligations

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to improperly share information with, or withhold information from, an employer or funding agency, can also threaten research security and integrity and are an element of a broader concept of conflicts of commitment.

vi. Foreign Component

1. Performance of any significant scientific element or segment of a program or project outside of the U.S., either by the University or by a researcher employed by a foreign organization, whether or not U.S.

government funds are expended.

2. Activities that would meet this definition include, but are not limited to:

a. Involvement of human subjects or animals;

b. Extensive foreign travel by University research program or project staff for the purpose of data collection, surveying, sampling, and similar activities;

c. Collaborations with investigators at a foreign site anticipated to result in co-authorship;

d. Use of facilities or instrumentation at a foreign site;

e. Receipt of financial support or resources from a foreign entity; or

f. Any activity of the University that may have an impact on U.S. foreign policy through involvement in the affairs or environment of a foreign country.

3. Foreign travel is not considered a Foreign Component.

vii. Strategic Competitor

1. A nation, or nation-state, that engages in diplomatic, economic or technological rivalry with the United States where the fundamental strategic interests of the U.S are under threat.

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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://nvlpubs.nist.gov/nistpubs/SpecialPublications/NIST.SP.800-171r2.pdf) and DoDI

8582.01 that are in effect at the time the solicitation 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

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 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 http://www.darpa.mil/work-with-us/additional-baa#NPRPAC https://nvlpubs.nist.gov/nistpubs/SpecialPublications/NIST.SP.800-171r2.pdf

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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

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.

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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.

C. Cost Sharing/Matching

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

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 technical point of 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://sam.gov), the Grants.gov website (grants.gov), or referenced herein.

PROPOSERS ARE CAUTIONED THAT FAILURE TO FOLLOW THE BAA’S PROPOSAL

PREPARATION (PROPOSAL FORMAT, CONTENT, ETC.) AND/OR SUBMITTAL

INSTRUCTIONS MAY RESULT IN A NEGATIVE EVALUATION AND/OR PROPOSAL

MAY BE REJECTED.

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 http://www.darpa.mil/ file://filer1/i2o/BAAs/ITO-IPTO-I2O%20BAAs/Solicitations%20by%20year/FY21/(1)%20OFFICE%20WIDE/(5)%20Office-Wide%2022-03/grants.gov

HR001122S0003 I2O OFFICE‐WIDE 18

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.

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.

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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 chart.

All pages, excluding the PowerPoint summary chart, 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 (Office-wide BAA Proposal Summary Chart Template) 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.

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 (HR001122S0003) 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

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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 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.

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).

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.

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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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.