HR001122S0013.pdf

UNCLASSIFIED

Broad Agency Announcement

Strategic Chaos Engine for Planning, Tactics, Experimentation and Resiliency (SCEPTER)

STRATEGIC TECHNOLOGY OFFICE

HR001122S0013

January 18, 2022

UNCLASSIFIED 2

TABLE OF CONTENTS

PART I: OVERVIEW INFORMATION

PART II: FULL TEXT OF ANNOUNCEMENT

1. Funding Opportunity Description

1.1 Program Overview

1.2 Program Metrics

2 Award Information

2.1 General Award Information

2.2 Fundamental Research

3 Eligibility Information

3.1 Eligible Applicants

3.2 Organizational Conflicts of Interest

3.3 Cost Sharing/Matching

4 Application and Submission Information

4.1 Address to Request Application Package

4.2 Content and Form of Application Submission

5 Application Review Information

5.1 Evaluation Criteria

5.2 Review of Proposals

6 Award Administration Information

6.1 Selection Notices and Notifications

6.2 Administrative and National Policy Requirements

6.3 Reporting

6.4 Electronic Systems

6.5 DARPA Embedded Entrepreneurship Initiative (EEI)

7 Agency Contacts 8 Other Information

APPENDIX 1: PROPOSAL SLIDE SUMMARY

APPENDIX 2: VOLUME 1 COVER SHEET TEMPLATE

UNCLASSIFIED 3

PART I: OVERVIEW INFORMATION

Federal Agency Name – Defense Advanced Research Projects Agency (DARPA), Strategic Technology Office (STO) Funding Opportunity Title – Strategic Chaos Engine for Planning, Tactics, Experimentation and Resiliency (SCEPTER) Announcement Type – Initial announcement Funding Opportunity Number – HR001122S0013 Catalog of Federal Domestic Assistance Numbers (CFDA) – Not applicable Dates o Posting Date: January 18, 2022 o Questions Due Date and Time: February 14, 2022, 4:00PM (EDT) o Proposal Due Date and Time: March 11, 2022, 4:00PM (EDT)

This solicitation is for the Phase 1 Base Period only.

Total amount anticipated to be awarded: $39M (Phases 1 and 2).

Anticipated individual awards – Multiple awards are anticipated.

Types of instruments that may be awarded – Procurement Contract or Other Transaction.

Any cost sharing requirements: None.

Agency contact

The BAA Coordinator for this effort can be reached at:

HR001122S0013@darpa.mil DARPA/ Strategic Technology Office

ATTN: HR001122S0013

675 North Randolph Street Arlington, VA 22203-2114

UNCLASSIFIED 4

PART II: FULL TEXT OF ANNOUNCEMENT

1. Funding Opportunity Description

This publication constitutes a Broad Agency Announcement (BAA) as contemplated in Federal Acquisition Regulation (FAR) 6.102(d)(2) and 35.016 and 2 CFR § 200.203. Any resultant award negotiations will follow all pertinent law and regulation, and any negotiations and/or awards for procurement contracts will use procedures under FAR 15.4, Contract Pricing, as specified in the BAA.

The Defense Advanced Research Projects Agency (DARPA) is soliciting innovative proposals in machine-generated operational / campaign-scale planning and analytics. Proposed research should investigate innovative approaches that enable revolutionary advances in science, devices, or systems. Specifically excluded is research that primarily results in evolutionary improvements to the existing state of practice.

The Strategic Chaos Engine for Planning, Tactics, Experimentation and Resiliency (SCEPTER) program seeks to develop analytic engines that will produce machine-generated strategies, capable of competing with humans in the planning of real warfare as evaluated within trusted simulation environments. SCEPTER will discover novel and surprising courses of action (COAs) by exploring the high complexity state-action space of military engagements at machine speed. It is envisioned that high COA exploration speed will be enabled by tailorable abstraction of trusted, expert-informed models. A few of the best performing COAs will be validated in higher fidelity trusted simulators and with thorough human review. Compliant Phase 1 proposals will address two key technical challenges or focus areas: (FA-1) Development of unscripted goal-oriented agents capable of discovering novel, relevant, and interpretable COAs; and (FA-2) Management of exponential growth of the global state-action space to achieve fast exploration of large-scale military scenarios.

SCEPTER is planned as a two-phase 36-month program. This solicitation is for the execution of an 18-month Phase 1 Base Period only. Phase 2 proposal instructions will be released to the Phase 1 performers prior to the end of Phase 1. The Phase 2 proposal instructions and program execution will be classified. Any Phase 1 awardees that do not currently hold clearances and/or do not have access to accredited facilities for classified work will be sponsored for clearance and facility accreditation during the Phase 1 period of performance in preparation to receive the Phase 2 classified proposal instructions. Proposers are required to submit a technical and cost proposal that covers the Phase 1 Base Period only. Program continuation beyond Phase 1 will depend on performance and funding availability.

1.1 Program Overview

See CUI Addendum. Instructions to request the CUI Addendum and accompanying CUI Guide can be found in Section 4.1.1

1.1.1 Background and Motivation

UNCLASSIFIED 5

See CUI Addendum.

1.1.2 SCEPTER Approach

See CUI Addendum.

1.1.3 Program Structure

See CUI Addendum.

1.1.4 Program Execution Plan

SCEPTER is planned as a two-phase 36-month program, with each phase lasting 18 months.

This solicitation is for the execution of an 18-month Phase 1 Base Period only. Prior to the end of Phase 1, Phase 2 proposal instructions will be released to the Phase 1 performers. Phase 2 proposal instructions and program execution will be classified. Proposers are required to submit a technical and cost proposal that covers the Phase 1 Base Period only. Program continuation beyond Phase 1 will depend on performance and funding availability.

Figure 1 gives the high-level program schedule. Proposers should structure a project around a spiral development model, with spirals spanning no more than one quarter (more frequent spirals are seen as a strength). At the end of each spiral, performers should showcase new capabilities in “end-of-spiral tests.” Major tests are also noted at the end of every third spiral. These major test events are opportunities to demonstrate program metrics with higher visibility on SCEPTER capabilities with transition partners.

Figure 1– Program schedule. This solicitation is for Phase 1 only. Phase 2 program schedule given for context only.

UNCLASSIFIED 6

1.1.5 Phase 1

See CUI Addendum.

1.1.6 Phase 2

The Phase 2 proposal instructions will be classified and released to Phase 1 performers prior to the end of Phase 1. The Phase 2 high-level schedule is shown in Figure 1 for reference only.

Proposers should note the increased frequency of scenario evaluation in Phase 2 and, therefore, should highlight solutions that enable rapid scenario ingestion in their proposals. Proposers should also note the tournament play amongst performers begins in Phase 2 of the program.

1.2 Program Metrics

See CUI Addendum.

2 Award Information

2.1 General Award Information

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

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

The Government reserves the right to request any additional, necessary documentation once it makes the award instrument determination. Such additional information may include but is not limited to Representations and Certifications (see Section 4.2.2.4 “Representations and Certifications”). The Government reserves the right to remove proposers from award consideration should the parties fail to reach agreement on award terms, conditions, and/or cost/price within a reasonable time, and the proposer fails to timely provide requested additional information. Proposals identified for negotiation may result in a procurement contract, or other transaction, depending upon the nature of the work proposed, the required degree of interaction between parties, whether or not the research is classified as Fundamental Research, and other factors.

Proposers looking for innovative, commercial-like contractual arrangements are encouraged to consider requesting Other Transactions. To understand the flexibility and options associated with

UNCLASSIFIED 7

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.

2.2 Fundamental Research

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

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

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

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

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

UNCLASSIFIED 8

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

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

3 Eligibility Information

3.1 Eligible Applicants

All responsible sources capable of satisfying the Government's needs may submit a proposal that shall be considered by DARPA.

3.1.1 Federally Funded Research and Development Centers (FFRDCs) and Government Entities

3.1.1.1 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.

3.1.1.2 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.

3.1.1.3 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.

UNCLASSIFIED 9

3.1.2 Other Applicants

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.

3.2 Organizational Conflicts of Interest

FAR 9.5 Requirements

In accordance with FAR 9.5, proposers are required to identify and disclose all facts relevant to potential OCIs involving the proposer’s organization and any proposed team member (subawardee, consultant). Under this Section, the proposer is responsible for providing this disclosure with each proposal submitted to the 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.

UNCLASSIFIED 10

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

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

3.3 Cost Sharing/Matching

Cost Sharing. Cost sharing is not required; however, it will be carefully considered where there is an applicable statutory condition relating to the selected funding instrument. Cost sharing is encouraged where there is a reasonable probability of a potential commercial application related to the proposed research and development effort.

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

4 Application and Submission Information

4.1 Address to Request Application Package.

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

4.1.1 CUI Addendum and CUI Guide

All individuals accessing CUI agree to protect CUI in accordance with DoD Instruction 5200.48 CONTROLLED UNCLASSIFIED INFORMATION (CUI) and NIST Special Publication 800-171 Protecting Controlled Unclassified Information in Nonfederal Systems and Organizations. Only verified U.S. persons will have access to the CUI Addendum and CUI Guide. A formal request for the HR001122S0013 CUI Addendum and CUI Guide may be submitted by emailing HR001122S0013@darpa.mil with subject line titled “Request HR001122S0013 CUI Addendum and CUI Guide.” After the request is received a file drop-off link will be sent via DoD SAFE requesting proof of U.S. person documentation. Proof of U.S. person documentation should only be submitted through the DoD SAFE link provided. The electronic transmission of PII requires sender prudence and the DoD SAFE encryption option must be selected. The responsibility to safeguard PII remains with the party transmitting it. The following documents are considered valid proof of U.S. persons:

1. U.S. Passport / Passport Card

2. U.S. Birth Certificate

3. U.S. Naturalization Papers

4. U.S. Permanent Resident Card

5. U.S. Security Clearance: provide SSN for security clearance lookup.

http://www.darpa.mil/work-with-us/contract-management#OtherTransactions http://www.darpa.mil/ mailto:HR001122S0013@darpa.mil

UNCLASSIFIED 11

6. Key Management Personnel (i.e. FSO/CEO) signed letter on company letterhead certifying employee is a U.S. person.

After the requestor’s U.S. person status is verified, the CUI Addendum and CUI Guide will be distributed via DoD SAFE. Any PII provided to DARPA will only be used for the purposes of this solicitation. DARPA will not create profiles from individual information and will not provide such information to any entity for commercial purposes. Providing PII is voluntary.

However, failure to do so will prevent access to the SCEPTER CUI Addendum and CUI Guide.

Please contact HR001122S0013@darpa.mil with any questions. Proposers should allow at least five business days for processing requests.

4.2 Content and Form of Application Submission

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

4.2.1 Proposals Format

All proposals must be in the format given below. The typical proposal should express a consolidated effort in support of one or more related technical concepts or ideas. Disjointed efforts should not be included into a single proposal. Proposals shall consist of two volumes: 1) Volume I, Technical and Management Proposal (composed of 3 parts), and 2) Volume II, Cost Proposal. Volume I, Technical and Management Proposal, may include an attached bibliography of relevant technical papers or research notes (published and unpublished) which document the technical ideas and approach upon which the proposal is based. These papers or research notes will not be formally reviewed against the evaluation criteria, but should allow technical understanding of the claims made. Maximum page lengths for each section are shown in brackets {x} below.

NOTE: Non-conforming submissions that do not follow the instructions herein may be rejected without further review.

4.2.1.1 Volume I, Technical and Management Proposal

Section I: Administrative {No more than 2 pages}

A. Cover Sheet to Include

1. BAA number (HR001122S0013)

2. Lead Organization submitting proposal;

3. Type of organization, selected among the following categories: “LARGE

BUSINESS”, “SMALL DISADVANTAGED BUSINESS”, “OTHER

SMALL BUSINESS”, “HBCU”, “MI”, “OTHER EDUCATIONAL”, OR

“OTHER NONPROFIT”;

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

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

6. Proposal title;

mailto:HR001122S0013@darpa.mil

UNCLASSIFIED 12

7. Technical point of contact to include: salutation, last name, first name, street address, city, state, zip code, telephone, fax (if available), electronic mail (if available);

8. Administrative point of contact to include: salutation, last name, first name, street address, city, state, zip code, telephone, fax (if available), electronic mail (if available);

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

10. Date proposal was submitted.

B. Official transmittal letter

Section II: Summary Slides {No more than 3 slides} A three-slide summary of the proposal in PowerPoint that quickly and succinctly indicates the concept overview, key innovations, expected impact, and other unique aspects of the proposal.

The format for the summary slides is included as APPENDIX 1 to this BAA and does not count against the page limit.

Section III: Technical Proposal {No more than 25 pages} This section provides the detailed discussion of the proposed work necessary to enable an in-depth review of the specific technical issues. Specific attention must be given to addressing both risk and payoff of the proposed work that make it desirable to DARPA.

A. Executive summary. This section should describe, in summary, what work is proposed and how the work will be accomplished. This section should be used to introduce and emphasize key aspects of the proposed work. The recommended length for this section is 2 pages.

B. Innovative claims for the proposed research. This section is the centerpiece of the proposal and should succinctly describe the uniqueness and benefits of the proposed approach relative to the current state-of-the-art and alternative approaches.

C. Technical rationale in support of innovative claims and overall feasibility of the proposed concept.

D. Risks assessment and mitigation plan.

E. Technical development approach and plan. This should include a clear and logical progression proposed to achieve the innovations claimed and retire risks.

F. Description of the results, products, transferable technology, and expected technology transfer path. This should also address mitigation of life cycle and sustainment risks associated with transitioning intellectual property for U.S.

military applications, if applicable. See also Section 4.2.2.9 “Intellectual Property.”

G. General discussion of other research in this area and other areas that may be applicable. Clearly identify results, technology, or concepts from other research that will be utilized in the proposed effort.

Section IV: Management Proposal {No more than 16 pages} This section provides the detailed discussion of the proposed work necessary to enable an in-depth review of the specific managerial issues.

A. Program schedule and measurable milestones for the proposed research delineated by

UNCLASSIFIED 13

the prime and major subcontractors. Note: Measurable milestones should capture key development points in tasks and should be clearly articulated and defined relative to months after contract award. These milestones should enable and support a decision for the next part of the effort. Additional interim non-critical management milestones are also highly encouraged at regular intervals. If the proposed effort consists of multiple portions that could reasonably be partitioned for purposes of funding, these should be identified as options with separate milestones for each. Additionally, proposals should clearly explain the technical approach(es) that will be employed to meet or exceed each program metric and provide ample justification as to why the approach(es) is/are feasible. The milestones must not include proprietary information.

B. Deliverables associated with the proposed research and the plans and capability to accomplish technology transition and commercialization. Include in this section all proprietary claims to the results, prototypes, intellectual property, or systems supporting and/or necessary for the use of the research, results, and/or prototype. If there are not proprietary claims, this should be stated.

C. A clearly defined organization chart for the program team which includes, as applicable: (1) the programmatic relationship of team member; (2) the unique capabilities of team members; (3) the task of responsibilities of team members; (4) the teaming strategy among the team members; and (5) the key personnel along with the amount of effort to be expended by each person during each year.

D. Discussion of proposer’s previous accomplishments and work in closely related research areas.

E. Description of the facilities that would be used for the proposed effort. This section should address how safeguarding of materials will be handled at each facility to include classified materials when applicable.

F. Any agreements, including formal teaming agreements, GFE, Government Furnished Information (GFI) and/or Government Furnished Facilities (GFF) that are required to execute this program. For any requested GFE/GFI/GFF item, the proposer shall provide an item description, supporting justification; owner/source, estimated cost (lease, refurbishment or transportation expense) and an item need date.

G. Approximate task costs for each task in each phase of the effort delineated by the proposed awardee and major sub-awardees, total cost, and any company cost share.

Section V: Statement of Work (SOW) {No page limit} Clearly define the technical tasks/subtasks to be performed, their durations, and dependencies among them. The SOW should be unclassified. For each task/subtask, provide:

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

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

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

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

A detailed description of the management approach for integrating concepts, results, and findings from members across the team, including anticipated coordination meetings and shared access to data and equipment.

UNCLASSIFIED 14

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

Identification of any dependencies between major tasks by task number within a Phase.

Approximate cost of each task.

Do not include any proprietary information in the SOW other than the approximate cost of each task.

Section VI: Additional Information {No more than 12 pages} A brief bibliography of relevant technical papers and research notes (published and unpublished) which document the technical ideas upon which the proposal is based. These papers or research notes will not be formally reviewed against the evaluation criteria, but should allow technical understanding of the claims made. Copies of not more than three (3) relevant papers can be included in the submission.

4.2.1.2 Volume II, Cost Proposal {No Page Limit}

All proposers, including FFRDCs, must submit the following:

A. Cover sheet to include:

1. BAA number (HR001122S0013);

2. Lead Organization submitting proposal;

3. Type of organization selected among the following categories: “LARGE BUSINESS”, “SMALL DISADVANTAGED BUSINESS”, “OTHER SMALL BUSINESS”, “HBCU”, “MI”, “OTHER EDUCATIONAL”, OR “OTHER NONPROFIT”;

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

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

6. Proposal title;

7. Technical point of contact to include: salutation, last name, first name, street address, city, state, zip code, telephone, fax (if available), electronic mail (if available);

8. Administrative point of contact to include: salutation, last name, first name, street address, city, state, zip code, telephone, fax (if available), and electronic mail (if available);

9. Award instrument requested: cost-plus-fixed-fee (CPFF), cost-contract—no fee, cost sharing contract – no fee, or other type of procurement contract (specify), or Other Transaction;

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

11. Total proposed cost separated by basic award and option(s) (if any);

12. Name, address, and telephone number of the proposer’s cognizant Defense Contract

Management Agency (DCMA) administration office (if known); \

13. Name, address, and telephone number of the proposer’s cognizant Defense Contract

Audit Agency (DCAA) audit office (if known);

14. Date proposal was prepared;

15. DUNS number;

UNCLASSIFIED 15

16. TIN number;

17. CAGE Code;

18. Sub-awardee Information; and

19. Proposal validity period.

B. Additional Cost Proposal Information

1. Supporting Cost and Pricing Data. The proposer should include supporting cost and pricing information in sufficient detail to substantiate the summary cost estimates and should include a description of the method used to estimate costs and supporting documentation.

2. Cost Breakdown Information and Format

Detailed cost breakdown to include:

Total program costs broken down by major cost items (direct labor, including labor categories; subcontracts; materials; other direct costs; overhead charges, etc.) and further broken down by task and phase;

Major program tasks by fiscal year;

An itemization of major subcontracts and equipment purchases;

Documentation supporting the reasonableness of the proposed equipment costs

(vendor quotes, past purchase orders/purchase history, detailed engineering estimates, etc.) shall be provided;

An itemization of any information technology (IT) purchase, as defined by FAR

2.101 – Documentation supporting the reasonableness of the proposed equipment costs (vendor quotes, past purchase orders/purchase history, detailed engineering estimates, etc.) shall be provided, including a letter stating why the proposer cannot provide the requested resources from its own funding for prime and all sub-awardees.

A summary of projected funding requirements by month;

The source, nature, and amount of any industry cost-sharing Identification of pricing assumptions of which may require incorporation into the resulting award instrument (e.g., use of Government Furnished Property/Facilities/Information, access to Government Subject Matter experts, etc.)

Tables included in the cost proposal should be in an editable (e.g. MS Excel) format with calculation formulas intact. NOTE: If PDF submissions differ from the Excel submission, the PDF will take precedence.

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

UNCLASSIFIED 16

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.

Per FAR 15.403-4, certified cost or pricing data shall be required if the proposer is seeking a procurement contract award per the referenced threshold, unless the proposer requests and is granted an exception from the requirement to submit cost or pricing data. Certified cost or pricing data are not required if the proposer proposes an award instrument other than a procurement contract (e.g., a grant, cooperative agreement, or other transaction.)

C. Sub-awardee Proposals The awardee is responsible for compiling and providing all sub-awardee proposals for the Procuring Contracting Officer (PCO)/Agreements Officer (AO), as applicable. Sub-awardee proposals should include Interdivisional Work Transfer Agreements (ITWA) or similar arrangements. Where the effort consists of multiple portions which could reasonable be partitioned for purposes of funding, these should be identified as options with separate cost estimates for each.

All proprietary sub-awardee proposal documentation, prepared at the same level of detail as that required of the awardee’s proposal and which cannot be uploaded with the proposed awardee’s proposal, shall be provided to the Government either by the awardee or by the sub-awardee organization when the proposal is submitted. Sub-awardee proposals submitted to the Government by the proposed awardee should be submitted in a sealed envelope that the proposed awardee will not be allowed to view. The sub-awardee must provide the same number of copies to the PCO/GO/AO as is required of the awardee. See Section IV.B.5.b. of this BAA for proposal submission information.

D. Other Transaction Requests All proposers requesting an OT must include a detailed list of milestones. Each milestone must include the following:

milestone description;

completion criteria;

due date; and payment/funding schedule (to include, if cost share is proposed, awardee and

Government share amounts).

It is noted that, at a minimum, milestones should relate directly to accomplishment of program technical metrics as defined in the BAA and/or the proposer’s proposal. Agreement type, expenditure, or fixed-price based will be subject to negotiation by the Agreements Officer. Do not include proprietary data.

4.2.2 Additional Proposal Information

UNCLASSIFIED 17

4.2.2.1 Proprietary Markings

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

4.2.2.2 Security Information

A. Program Security Information

Proposers should include with their proposal any proposed solution(s) to program security requirements unique to this program. Common program security requirements include but are not limited to: operational security (OPSEC) contracting/sub-contracting plans; foreign participation or materials utilization plans; program protection plans (which may entail the following) manufacturing and integration plans; range utilization and support plans (air, sea, land, space, and cyber); data dissemination plans; asset transportation plans; classified test activity plans; disaster recovery plans; classified material / asset disposition plans and public affairs / communications plans.

B. Controlled Unclassified Information (CUI) For unclassified proposals containing controlled unclassified information (CUI), applicants will ensure personnel and information systems processing CUI security requirements are in place.

1. CUI Proposal Markings If an unclassified submission contains CUI or the suspicion of such, as defined by Executive Order 13556 and 32 CFR Part 2002, the information must be appropriately and conspicuously marked CUI in accordance with DoDI 5200.48. Identification of what is CUI about this DARPA program will be detailed in a DARPA CUI Guide and will be provided with this BAA.

2. CUI Submission Requirements Unclassified submissions containing CUI may be submitted via DARPA’s BAA Website (https://baa.darpa.mil) in accordance with Part II Section VIII of this BAA. Proposers submitting proposals involving the pursuit and protection of DARPA information designated as CUI must have, or be able to acquire prior to contract award, an information system authorized to process CUI information IAW NIST SP 800-171 and DoDI 8582.01.

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

https://baa.darpa.mil/ https://www.dcsa.mil/

UNCLASSIFIED 18

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 the BAA mailbox requesting submission instructions from the STO Program Security Officer (PSO).

If a determination is made that the award instrument may result in access to classified information, a Security Classification Guide (SCG) and/or DD Form 254 will be issued by DARPA and attached as part of the award.

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

“CLASSIFICATION DETERMINATION PENDING. Protect as though classified____________________________(insert the recommended classification level, e.g., Top Secret, Secret, or Confidential)”

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

Submissions containing both classified information and CUI must be appropriately and conspicuously marked with the proposed classification level as well as ensuring CUI is marked in accordance with DoDI 5200.48.

4.2.2.3 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.

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

UNCLASSIFIED 19

4.2.2.4 Representations and Certifications

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

In addition, all proposers are required to submit for all award instrument types supplementary DARPA-specific representations and certifications at the time of proposal submission. See http://www.darpa.mil/work-with-us/reps-certs for further information on required representation and certification depending on your requested award instrument.

4.2.2.5 Human Subjects Research (HSR)/Animal Use

Proposers that anticipate involving human subjects or animals in the proposed research must comply with the approval procedures detailed at http://www.darpa.mil/work-with-us/additional-baa, to include providing the information specified therein as required for proposal submission.

4.2.2.6 Approved Cost Accounting System Documentation

Proposers that do not have a Cost Accounting Standards (CAS) compliant accounting system considered adequate for determining accurate costs that are negotiating a cost-type procurement contract must complete an SF 1408. For more information on CAS compliance, see http://www.dcaa.mil. To facilitate this process, proposers should complete the SF 1408 found at http://www.gsa.gov/portal/forms/download/115778 and submit the completed form with the proposal.

4.2.2.7 Small Business Subcontracting Plan

Pursuant to Section 8(d) of the Small Business Act (15 U.S.C. § 637(d)) and FAR 19.702(a)(1), each proposer who submits a contract proposal and includes subcontractors might be required to submit a subcontracting plan with their proposal. The plan format is outlined in FAR 19.704.

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

All electronic and information technology acquired or created through this BAA must satisfy the accessibility requirements of Section 508 of the Rehabilitation Act (29 U.S.C. § 749d)/FAR 39.2.

4.2.2.9 Intellectual Property

All proposers must provide a good faith representation that the proposer either owns or possesses the appropriate licensing rights to all intellectual property that will be utilized under the proposed effort.

(1) For Procurement Contracts

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

https://www.sam.gov/ http://www.darpa.mil/work-with-us/reps-certs http://www.darpa.mil/work-with-us/additional-baa http://www.darpa.mil/work-with-us/additional-baa http://www.dcaa.mil/ http://www.gsa.gov/portal/forms/download/115778 http://www.darpa.mil/work-with-us/additional-baa

UNCLASSIFIED 20

Table 1 – Procurement Contract Requested Information. Table 4 is unclassified.

Technical Data

Computer Software To be Furnished With

Restrictions

Summary of Intended Use in the Conduct of the Research

Basis for Assertion

Asserted Rights Category

Name of Person Asserting

Restrictions

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

(2) For All Non-Procurement Contracts

Proposers responding to this BAA requesting an Other Transaction for Prototypes shall follow the applicable rules and regulations governing these various award instruments, but, in all cases, should appropriately identify any potential restrictions on the Government’s use of any Intellectual Property contemplated under the award instrument in question. This includes both Noncommercial Items and Commercial Items. Proposers are encouraged use a format similar to that described in Paragraph (1) above. If no restrictions are intended, then the proposer should state “NONE.”

4.2.2.10 System for Award Management (SAM) and Universal Identifier Requirements

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

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

https://www.fsd.gov/sys_attachment.do?sys_id=c08b64ab1b4434109ac5ddb6bc4bcbb8.

4.2.3 Submission Information

DARPA will acknowledge receipt of all submissions and assign an identifying control number that should be used in all further correspondence regarding the submission. DARPA intends to use electronic mail correspondence regarding HR001122S0013. Submissions may not be submitted by fax or e-mail; any so sent will be disregarded.

Submissions will not be returned. An electronic copy of each submission received will be retained at DARPA and all other non-required copies destroyed. A certification of destruction may be requested, provided the formal request is received by DARPA within 5 days after notification that a proposal was not selected.

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

The proposal must be received at DARPA/STO, 675 North Randolph Street, Arlington, VA 22203-2114 (Attn.: HR001122S0013) on or before, March 11, 2022, 4:00PM (EDT), in order to be considered during the initial round of selections; however, proposals received after this deadline may be received and evaluated up to six months (180 days) from date of posting on the System for Award Management, Contract Opportunities (https://SAM.gov). Proposals submitted http://www.darpa.mil/work-with-us/additional-baa http://www.darpa.mil/work-with-us/additional-baa https://www.fsd.gov/sys_attachment.do?sys_id=c08b64ab1b4434109ac5ddb6bc4bcbb8 https://sam.gov/

UNCLASSIFIED 21

after the due date specified in the BAA or due date otherwise specified by DARPA may be selected. Proposers are warned that the likelihood of available funding is greatly reduced for proposals submitted after the initial closing date deadline.

4.2.3.1 Proposal Submission

Refer to Section 6.1.1. for how DARPA will notify proposers as to whether or not their proposal has been selected for potential award.

(1) For Proposers Requesting Procurement Contracts or OTs and Submitting to a DARPA-approved Proposal Submissions Website

Unclassified full proposals sent in response to this BAA may be submitted via DARPA's BAA Website (https://baa.darpa.mil). Note: If an account has already been created for the DARPA BAA Website, this account may be reused. If no account currently exists for the DARPA BAA Website, visit the website to complete the two-step registration process. Submitters will need to register for an Extranet account (via the form at the URL listed above) and wait for two separate e-mails containing a username and temporary password. After accessing the Extranet, submitters may then create an account for the DARPA BAA website (via the "Register your Organization" link along the left side of the homepage), view submission instructions, and upload/finalize the proposal.