HR001122S0030-Amendment-03.pdf

HR001122S0030

Microsystems Technology Office Office-wide

Broad Agency Announcement

HR001122S0030

March 16, 2022

Amendment 03 As amended May 9, 2024

The purpose of Amendment 03 is to update the closing date of HR001122S0030 to May 10, 2024 as it is being superseded by the new MTO Office-wide Broad Agency Announcement (BAA), HR001124S0028, which was released on May 9, 2024. Please refer to BAA HR001124S0028 for information regarding the submission of abstracts or proposals that fall within the MTO Mission and Thrust Areas and other topic areas of interest.

Table of Contents

PART I: OVERVIEW INFORMATION

PART II: FULL TEXT OF ANNOUNCEMENT

I. Funding Opportunity Description A. MTO Mission and Thrust Areas B. Topic Areas of Interest

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

III. Eligibility Information A. Eligible Applicants

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

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

1. Collaborative Efforts IV. Application and Submission Information

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

1. Abstract Format

2. Full Proposal Format

3. Proprietary Information

4. Security Information

a. Program Security Information

b. Controlled Unclassified Information (CUI)

i. CUI Proposal Markings

ii. CUI Submission Requirements

c. Unclassified Submissions

d. Both Classified and Unclassified Submissions

e. Classified Submissions

5. Disclosure of Information and Compliance with Safeguarding Covered Defense

Information Controls

6. Human Subjects Research (HSR)/Animal Use

7. Approved Cost Accounting System Documentation

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

9. Grant Abstract

10. Small Business Subcontracting Plan

11. Intellectual Property

a. For Procurement Contracts

b. For All Non-Procurement Contracts

12. Patents

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

14. Funding Restrictions

C. Submission Information

1. Submission Dates and Times

a. Abstract Due Date

b. Full Proposal Date

c. Frequently Asked Questions (FAQ)

2. Abstract Submission Information (optional)

3. Proposal Submission Information

a. For Proposers Requesting Grants or Cooperative Agreements:

b. For Proposers Requesting Technology Investment Agreements

c. For Proposers Requesting Contracts or Other Transaction Agreements

d. Classified Submission Information

4. Other Submission Requirements

V. Application Review Information A. Evaluation Criteria

1. Overall Scientific and Technical Merit

2. Potential Contribution and Relevance to the DARPA Mission

3. Cost Realism

B. Review and Selection Process

1. Review Process

2. Handling of Source Selection Information

3. Federal Awardee Performance and Integrity Information (FAPIIS)

4. Countering Foreign Influence Program (CFIP)

VI. Award Administration Information A. Selection Notices

1. Abstracts

2. Proposals

B. Administrative and National Policy Requirements

3. Meeting and Travel Requirements

4. Solicitation Provisions and Award Clauses, Terms and Conditions

5. Controlled Unclassified Information (CUI) and Controlled Technical Information

(CTI) on Non-DoD Information Systems

6. Representations and Certifications

7. Terms and Conditions (for grants and cooperative agreements only)

C. Reporting D. Electronic Systems

1. Wide Area Work Flow (WAWF)

2. i-Edison

3. Vault

VII. Agency Contacts VIII. Other Information

A. Protesting

ATTACHMENT 1: Cost Volume Proposer Checklist ATTACHMENT 2: Proposal Summary Slide Template ATTACHMENT 3: Other Transaction (OT) Certification Template ATTACHMENT 4: General MTO Controlled Unclassified Information Guide (CUIG) ATTACHMENT 5: Accelerated Contract Award Option Description ATTACHMENT 6: Accelerated Contract Award Option – Model Contract (Large Business) ATTACHMENT 7: Accelerated Contract Award Option – Model Contract (Small Business) ATTACHMENT 8: Accelerated Contract Award Option Election and Attestation Form

PART I: OVERVIEW INFORMATION

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

Funding Opportunity Title: Microsystems Technology Office (MTO) Office-wide Announcement Type: Amendment Funding Opportunity Number: HR001122S0030 Catalog of Federal Domestic Assistance Numbers (CFDA): 12.910 Research and

Technology Development Dates: (All times listed herein are Eastern Time) o Posting Date: March 16, 2022 o Abstract Due Date: Abstracts may be submitted on a rolling basis until 1:00PM on April 6, 2024 o Proposal Due Date: Proposals may be submitted on a rolling basis until 1:00PM on May 8, 2024 o Closing Date: May 8, 2024 o Estimated period of performance start: Approximately 120 calendar days after proposal submission Concise description of the funding opportunity: This announcement seeks revolutionary research ideas for topics not being addressed by ongoing MTO programs or other published solicitations.

Anticipated individual awards: Multiple awards are anticipated.

Anticipated funding type: 6.1, 6.2, and/or 6.3 Types of instruments that may be awarded: Procurement contract, grant, cooperative agreement or other transaction.

Agency contact:

o Dr. Whitney Mason Director, Microsystems Technology Office BAA Coordinator: HR001122S0030@darpa.mil

DARPA/MTO

ATTN: HR001122S0030

675 North Randolph Street Arlington, VA 22203-2114

THOSE INTENDING TO SUBMIT A PROPOSAL FOR AN ASSISTANCE INSTRUMENT

(GRANT OR COOPERATIVE AGREEMENT) ARE STRONGLY ENCOURAGED TO READ

THE INSTRUCTIONS PROVIDED AT SECTION IV.C.3.a REGARDING THE TIME

REQUIRED TO RECEIVE VALIDATION OF SUBMISSIONS MADE THROUGH

GRANTS.GOV. PROPOSALS THAT ARE VALIDATED AFTER THE PROPOSAL DUE

DATE/TIME WILL BE CONSIDERED LATE AND, AS SUCH, WILL NOT BE REVIEWED.

mailto:name@darpa.mil

PART II: FULL TEXT OF ANNOUNCEMENT

I. Funding Opportunity Description

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

DARPA BAAs are posted on the SAM website, under the Contract Opportunities link, at https://sam.gov/, and, as applicable, the grants.gov website at http://www.grants.gov/. The following information is for those wishing to respond to the BAA.

The Microsystems Technology Office (MTO) at DARPA regularly publishes BAAs requesting responses to specific program topics. This announcement seeks revolutionary research ideas for topics not addressed by ongoing MTO programs or other published BAA solicitations.

To avoid proposals that duplicate existing activities or are responsive to other published MTO solicitations, potential bidders are highly encouraged to review current MTO programs and solicitations, respectively listed at http://www.darpa.mil/about-us/offices/mto and http://www.darpa.mil/work-with-us/opportunities. Contacting MTO program managers to discuss their research interests is also encouraged. A current list of program managers is available at http://www.darpa.mil/about-us/people.

A. MTO Mission and Thrust Areas

Since its inception in 1991, MTO has helped create and prevent strategic surprise through investments in compact microelectronic components such as microprocessors, microelectromechanical systems (MEMS), and photonic devices. MTO’s revolutionary work applying advanced capabilities in areas such as wide-band gap materials, phased array radars, high-energy lasers, and infrared imaging have helped the United States establish and maintain technological superiority for more than two decades.

MTO seeks to develop high-risk, high-reward technologies that continue DARPA’s mission of creating and preventing strategic surprise, help to secure the Department of Defense’s (DoD) technological superiority, and address the complex threats facing U.S. national security.

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.

As MTO evolves to address future microsystems-related challenges, the office focuses on three major thrusts, each addressing key challenges in order to meet its mission:

https://sam.gov/ http://www.grants.gov/ http://www.darpa.mil/about-us/offices/mto http://www.darpa.mil/work-with-us/opportunities http://www.darpa.mil/about-us/people

1. Disruptive Microsystems create microsystems for specific national security applications. Activities under this thrust will hasten the transition of advanced microsystem technologies into systems of record for future DoD systems. Top-level strategies include: (1) Focusing on microsystems integration as a driver for performance gains. Traditionally, MTO has sought to improve microsystem performance principally through device optimization. But today, we find new opportunities in microsystems integration, when advanced microelectronics are intelligently integrated into systems. (2) Identifying new devices that expand the design space. Novel, high-performance devices can lead to revolutionary new capabilities. Specific sub-thrusts include:

SEE: Gaining an advantage in sensing the physical world. The competition for superior situational awareness on the battlefield is key to the success of the warfighter. MTO is developing advanced active and passive sensor systems that will integrate efficient processing with exquisite detection to result in intelligence, surveillance, and reconnaissance (ISR) advantages for our forces.

TALK: Securing communications. The demand and competition for secure, available communications is increasing exponentially with commercial investments in wireless networks. MTO is investing in technologies for advanced arrays that will contain efficient data processing and sufficient link capacity while operating securely between multiple platforms.

ACT: Increasing the effectiveness of radiation on target. The emergence of advanced threats including agile EW, hypersonics, unmanned aerial vehicle (UAV) swarms, and missiles, challenges the ability of both offensive and defensive legacy and state-of-the-art systems. In response, MTO is developing adaptive EW technologies with embedded machine learning and cognitive behaviors that are then incorporated into EW systems. MTO is also developing the underlying technologies for high power countermeasures including ultra-efficient, compact high power laser diodes and arrays for high energy laser (HEL) weapons systems and intelligent RF amplifiers for high power microwave (HPM) systems.

NAVIGATE: Embedding accurate positioning and timing. The commercial world generally presumes the availability of global positioning system (GPS), but the DoD must be prepared to operate in environments where access to GPS is intermittent, denied, or untrusted. In such cases, embedded microsystems can deliver GPS-quality PNT information over mission-relevant timescales. MTO is developing technologies that take advantage of advancements in physics, micro-electromechanical systems, and integrated photonics to deliver position, navigation, and timing information in a low size, weight, power, and cost (SWaP- C) package.

2. Edge Processing is fundamentally altering the future battlespace by creating the capability to assess and make more and better decisions at the tactical edge. Top-level strategies include: (1) Exploiting non-traditional processing methodologies, including non-traditional architectures, platforms, and co-processors, utilizing analog, photonic, neuromorphic, and even quantum-inspired approaches. (2) Delivering AI hardware customized for DoD applications at the edge. While the importance of artificial intelligence/machine learning (AI/ML) is widely appreciated, MTO is focused on AI/ML-specific processors that enable its use on the edge. Specific sub-thrusts include:

COMPUTE: Increasing information processing density and efficiency at the edge. Current processors cannot be scaled to meet the computational performance needed to address emerging threats, such as UAV swarms. To achieve this capability, MTO will develop new compute strategies to allow greater processing capability in a limited SWaP-C environment.

DECIDE: Accelerating innovation in AI hardware. Addressing threats, such as autonomous UAVs and hypersonic weapons systems, requires computational performance that cannot be achieved by scaling conventional processing algorithms and incrementally improving their associated platforms. MTO is rethinking and reformulating algorithms and methods for real-time learning to support decisions made at the edge and developing hardware optimized to make decisions quickly, at low power, and autonomously. This will enable microsystems that sense the environment, assess threats, select the response, and rapidly execute it.

3. Microsystems Manufacture is the critical area driving the emerging revolution in 3DHI.

Key elements of our strategy include: (1) Achieving leadership in the imminent disruption in microelectronics manufacturing. This will demand new methods to design, fabricate, package, and test complex 3D assemblies. A further need specific to certain DoD applications is for these complex assemblies to be used in extreme radiation, temperature, and voltage / current environments. (2) Leverage domestic domination in design to mitigate security threats. The U.S. leadership position in electronic design automation is a major asset in efforts to keep microsystems secure. Specific sub-thrusts include:

BUILD: Realizing heterogeneous 3D electronics. Traditional two-dimensional interconnects and architectures limit the throughput, functionality, miniaturization, and efficiency of digital, analog, and mixed-signal electronics.

MTO is overcoming these limitations through new 3D architectures by integrating on-chip photonics; by developing compact, high-bandwidth vertical interconnects;

by employing improved materials in processing architectures; and by adapting silicon electronic fabrication and advanced packaging techniques to heterogeneous 3D systems-on-chips (SoCs) that combine compound semiconductors, silicon complementary metal-oxide semiconductors (Si CMOS), and other device types. MTO is developing technologies to produce these technologies rapidly, reliably, and cost-effectively through advanced manufacturing R&D, most notably in the NGMM program, which is establishing a national capability in 3DHI microelectronics manufacturing.

COMPOSE: Optimizing design and test for complex circuits and prototypes. As circuit architectures continue to become increasingly complex and push into 3D, design costs and yield risks become prohibitive for both commercial and DoD industries, discouraging innovation and limiting accessibility. MTO is developing the tools needed to support specialized multi-physics simulation and advanced verification for circuit and packaging design, addressing the need for built-in test of these complex circuits, and creating the technology for virtual prototypes of these 3DHI modules.

SECURE: Overcoming security threats across the entire hardware lifecycle.

Electronics face emerging challenges across the entire supply chain, from initial design through deployment, but the threats are particularly acute for the national security domain. To address this, MTO is developing technologies to address key vulnerabilities in the hardware lifecycle, including security architectures and emulation to uncover vulnerabilities during operation.

HARDEN: Developing electronics for extreme environments. DoD systems are required to perform reliably across a wide range of environmental and operating conditions including low and high temperature, exposure to the most stressing levels of radiation, and high voltage and current. MTO is developing technologies that not only survive in these environments, but are specifically engineered to thrive under these challenging conditions.

B. Topic Areas of Interest

Research areas of current interest to MTO include, but are not limited to, the following topics:

Advanced RF and EO/IR filters and related front-end components Advanced imaging architectures and systems Advanced photonic & electronic interconnects Atomic physics Chip-scale sensors Cold-atom microsystem component technologies Cognitive and other advanced EW technologies Compound semiconductor-based electronics and other emerging device technologies Computational architectures and algorithms for next generation artificial intelligence (AI) Directed energy component technologies, physics of effects, and protection techniques Electro-optical/infrared (EO/IR) technologies Electronics and micro sensors for harsh environments Energy-efficient computing and advanced signal processing

Hardware assurance, reliability & validation Heterogeneous integration/assembly technologies (2D, 2.5D, and 3D) High energy lasers High power microwave technologies Low power electronics Low temperature electronics Low volume microsystems manufacturing and assembly Materials to enable next-generation microelectronics Metrology and manufacturing tools for multi-chip, multi-technology packaging Microelectromechanical system technology Microsystem design & CAD Microsystems for position, navigation & timing Microsystems for RF/optical transceivers Mixed-signal electronics Multi-domain, integrated tools for virtual prototyping Novel photonic devices Processing techniques for imaging and spectral recognition Quantum devices Signal processing algorithms and techniques to reduce hardware requirements Thermal management of microsystems Other microsystems technology topic areas

II. Award Information

A. General Award Information

This BAA is primarily, but not solely, intended for early stage research (studies) that may lead to larger, focused, MTO programs in the future. Studies are defined as single phase efforts of short duration (< 12 months) costing less than $1,000,000. Whereas proposers are strongly encouraged to submit studies to this BAA, multi-phase efforts will also be considered. Multi-phase efforts are defined as efforts with more than one phase that may span longer than 12 months and that may cost more than $1,000,000. Multi-phase efforts must also cover clearly identifiable research topic areas with quantitative technical metrics. Proposals for studies that are 12 months or less in duration, cost $500,000 or less, and for which the performer is seeking an assistance instrument (grant or cooperative agreement) are provided a streamlined proposal preparation process (see Section IV.B.2, “Full Proposal Format”).

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 at the end of one or more of the phases, as applicable.

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

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

In accordance with 10 U.S.C. § 4003(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

For the effort solicited under this BAA, OT agreements are encouraged for non-traditional teams and those proposing research with potential commercial application. As a resource, the Model OT Agreement for ERI programs has been provided on the DARPA Acquisition Innovation website, under the title “Microsystems Technology Office (MTO) Electronics Resurgence Initiative (ERI)” (see https://acquisitioninnovation.darpa.mil/samples-and-resources/darpa-ot-programs) http://www.darpa.mil/work-with-us/contract-management#OtherTransactions http://www.darpa.mil/work-with-us/contract-management#OtherTransactions https://acquisitioninnovation.darpa.mil/samples-and-resources/darpa-ot-programs https://acquisitioninnovation.darpa.mil/samples-and-resources/darpa-ot-programs

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.

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.

a. 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.

b. 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 relating to professional and financial activities. 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 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 professional and financial 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/092021DARPACFIPRubric.pdf

c. 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/

DARPA’s analysis and assessment of affiliations and associations 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.

d. 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 https://www.darpa.mil/attachments/092021DARPACFIPRubric.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.dcsa.mil/ 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.

a. 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 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.

b. 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

a. 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.

b. 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.

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.

c. 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 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 includes 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.

d. 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.

e. 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 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.

f. 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.

g. 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.

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

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

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

III. Eligibility Information

A. Eligible Applicants

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

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

a) FFRDCs

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

b) Government Entities http://www.darpa.mil/work-with-us/additional-baa

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.§ 4892 may be the appropriate statutory starting point for some entities, specific supporting regulatory guidance, together with evidence of agency approval, will still be required to fully establish eligibility. DARPA will consider FFRDC and Government Entity eligibility submissions on a case-by-case basis; however, the burden to prove eligibility for all team members rests solely with the proposer.

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

B. Organizational Conflicts of Interest

FAR 9.5 Requirements In accordance with FAR 9.5, proposers are required to identify and disclose all facts relevant to potential OCIs involving the proposer’s organization and any proposed team member (subawardee, consultant). Under this Section, the proposer is responsible for providing this disclosure with each proposal submitted to the solicitation. The disclosure must include the proposer’s, and as applicable, proposed team member’s OCI mitigation plan. The OCI mitigation plan must include a description of the actions the proposer has taken, or intends to take, to prevent the existence of conflicting roles that might bias the proposer’s judgment and to prevent the proposer from having unfair competitive advantage. The OCI mitigation plan will specifically discuss the disclosed OCI in the context of each of the OCI limitations outlined in FAR 9.505-1 through FAR 9.505-4.

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

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

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

The name of the DARPA office receiving the support;

The prime contract number;

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

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

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

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

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. 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 and https://acquisitioninnovation.darpa.mil.

D. Other non Criteria

1. Collaborative Efforts

Collaborative efforts/teaming are encouraged.

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 www.darpa.mil, contact the administrative contact listed herein.

PROPOSERS ARE CAUTIONED THAT EVALUATION RATINGS MAY BE LOWERED

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

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

B. Content and Form of Application Submission http://www.darpa.mil/work-with-us/contract-management https://acquisitioninnovation.darpa.mil/ http://www.darpa.mil/

1. Abstract Format

Abstracts should follow the format described below in this section. The cover sheet should be clearly marked “ABSTRACT” and the total length of Section II should not exceed 6 pages, which includes all figures, tables, and charts. All pages shall be printed on 8-1/2 by 11 inch paper with type not smaller than 12 point. Smaller font may be used for figures, tables and charts. No formal transmittal letter is required. All abstracts must be written in English. All monetary references in the proposal shall be in U.S. Dollars.

Section I. Administrative

A. Cover sheet to include:

(1) BAA number (HR001122S0030);

(2) MTO Topic(s) of Interest (see Section I.B.);

(3) Lead Organization submitting abstract;

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

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

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

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

(7) Abstract title;

(8) Technical point of contact to include:

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

(9) Administrative point of contact to include:

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

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

(11) Date abstract was submitted.

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

Section II. Abstract Details

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

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

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

D. Other Research General discussion of other research in this area.

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

F. Capabilities/Management Plan 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.

2. Full Proposal Format

All full proposals, including those for which the proposer has agreed to the accelerated award option (see Attachments 5-8), must be in the format given below. Proposals shall consist of two volumes: Volume I – Technical and Management Proposal (3 sections), and Volume II – Cost Proposal (4 sections). The submission of other supporting materials along with the proposals is strongly discouraged and will not be considered for review. All pages shall be printed on 8-1/2 by 11 inch paper with type not smaller than 12 point. Smaller font may be used for figures, tables and charts.

Section II of Volume I, Technical and Management Proposal, shall not exceed: 1) 15 pages for studies proposals that are less than 12 months in duration, cost less than $500,000, and are seeking an assistance instrument (grant or cooperative agreement); and 2) 26 pages for all other proposals. The page limitation for full proposals includes all figures, tables, and charts. There is no page limit for Volume II, Cost Proposal. All full proposals must be written in English.

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