HR001123S0041-Amendment-04.pdf

HR001123S0041

Broad Agency Announcement Macaroni

Microsystems Technology Office

HR001123S0041

June 2, 2023

Amendment 04 As amended on July 24, 2023

Table of Contents

PART I: OVERVIEW INFORMATION

PART II: FULL TEXT OF ANNOUNCEMENT

I. Funding Opportunity Description A. Background B. Program Description C. Program Structure D. Schedule/Milestones E. Deliverables F. Government Furnished Equipment/Property/Information G. Intellectual Property

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. Ability to Support Classified Development

2. 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. Both Classified and Unclassified Submissions

d. 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. Small Business Subcontracting Plan

10. Intellectual Property

a. For Procurement Contracts

b. For All Non-Procurement Contracts

11. Patents

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

13. Funding Restriction

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

3. Proposal Submission Information

a. For Proposers Requesting Technology Investment Agreements

b. For Proposers Requesting Contracts or Other Transaction Agreements

c. 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

VI. Award Administration Information A. Selection Notices

1. Abstracts

2. Proposals

B. Administrative and National Policy Requirements

1. Meeting and Travel Requirements

2. Solicitation Provisions and Award Clauses, Terms and Conditions

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

(CTI) on Non-DoD Information Systems

4. Representations and Certifications

C. Reporting D. Electronic Systems

1. Wide Area Work Flow (WAWF)

2. i-Edison

3. Vault

4. DARPA Embedded Entrepreneurship Initiative (EEI)

VII. Agency Contacts VIII. Other Information

A. Proposers Day B. University Student and Researcher Funding

ATTACHMENT 1: Cost Volume Proposer Checklist ATTACHMENT 2: Proposal Summary Slide Template ATTACHMENT 3: General MTO Controlled Unclassified Information Guide (CUIG) ATTACHMENT 4: Other Transaction (OT) Certifications Template ATTACHMENT 5: DARPA Standard Cost Proposal Spreadsheet ATTACHMENT 6: SECRET Security Classification Guide and SECRET BAA Addendum Request Form

PART I: OVERVIEW INFORMATION

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

Funding Opportunity Title: Macaroni Announcement Type: Amendment Funding Opportunity Number: HR001123S0041 Catalog of Federal Domestic Assistance Numbers (CFDA): Not Applicable Dates: (All times listed herein are Eastern Time) o Posting Dates:

Initial Announcement: June 2, 2023 Amendment 1: June 27, 2023 Amendment 2: June 29, 2023 Amendment 3: July 21, 2023 Amendment 4: July 24, 2023 o Proposers Day: May 26, 2023 o Request for SCG and Classified Addendum: Must be made by August 1, 2023 at

4:00 pm (ET) Note: As stipulated in Attachment 6: Security Classification Guide and Classified Addendum Request Form, proposers should allow at least ten (10) business days for processing requests and delivery of the SCG and classified addendum.

o Abstract Due Date: August 8, 2023 o FAQ Submission Deadline: September 26, 2023 o Proposal Due Date: October 10, 2023 o Estimated period of performance start: February 2024

Concise description of the funding opportunity: The Macaroni program seeks to develop electrically small receivers and transmitters that significantly exceed the state of the art (SoA). Please request the BAA classified Addendum for additional information.

Anticipated individual awards: Multiple awards are anticipated.

Anticipated funding type: 6.2 Types of instruments that may be awarded: Procurement contract and other transaction.

Agency contact:

o Dr. Jonathan Hoffman, Program Manager BAA Coordinator: HR001123S0041@darpa.mil

DARPA/MTO

ATTN: HR001123S0041

675 North Randolph Street Arlington, VA 22203-2114 mailto:HR001123S0041@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 for FAR-based procurement contracts 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 System for Award Management (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 at DARPA seeks innovative proposals in the areas of electrically small receivers and transmitters that exceed the current state of the art (SoA). This solicitation includes a Collateral SECRET classified addendum that contains key technical details relevant to the Macaroni goals. 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.

Please see Attachment 6 of this BAA for instructions on how to request the Classified Addendum as well as the Security Classification Guide (SCG) for the Macaroni program.

A. Background

Measurement and control of the electromagnetic spectrum is a key area of research for the Department of Defense (DoD). Spectrum dominance requires quick and efficient control of electromagnetic radiation from DC to the X-ray regime. DARPA has a long history of investing in and progressing these technologies. A major challenge arises when the receiver or transmitter size is much smaller than the wavelength of the electromagnetic radiation.

In classical antenna theory, the sensitivity-bandwidth product is fundamentally limited by the shape and size of the antenna. This performance degrades significantly as the antenna size becomes much smaller than the electromagnetic wavelength of operation. For a passive, linear, time-invariant antenna system the performance is described by the Wheeler-Chu limit. Size-, weight-, and power- (SWaP) constrained applications motivate efforts to move beyond the constraints imposed by the Chu limit. Despite nearly 100 years of effort, achieving efficient, electrically small antennas (ESAs) still presents a challenge.

Prior efforts by the U.S. Government for research in the fundamental limits of the performance of electromagnetic receivers/sensors include the DARPA SAVaNT, Quantum Apertures, AMBIIENT programs, and IARPA EQuAL-P program. Recent advances in quantum sensors, https://www.darpa.mil/news-events/2021-09-03 https://www.darpa.mil/program/quantum-apertures https://www.darpa.mil/program/atomic-magnetometer-for-biological-imaging-in-earths-native-terrain https://www.iarpa.gov/research-programs/equal-p materials science, electromagnetic shielding, laser technology, resonators, cryogenic systems, and vacuum components have pushed the SoA in sensing technologies. As these enabling technologies improve, a wider variety of protocols and methodologies become possible and previous notions of the performance limits require validation.

For transmitters, new insights in active antenna technology, control schemes, methods of impedance matching, and strategies for volume filling also present new opportunities.

Furthermore, recent efforts in piezoelectrics, magnetoelectrics, high-index materials, and multiferroic materials may be leveraged to improve the efficiency trade space for ESAs.

B. Program Description

Macaroni seeks to develop electrically small receivers and transmitters that exceed the current SoA. DARPA is interested in any technology that can achieve performance beyond the Chu limit. This includes both transmit and receive and can incorporate both electric and magnetic technologies. Solutions that minimize the antenna size relative to the operating wavelength are preferred.

Successful Macaroni proposals will leverage teaming arrangements within and among organizations that have the relevant expertise, research facilities, and capabilities for executing research and development in electrically small receivers and transmitters. DARPA anticipates proposals from multi-disciplinary teams will be necessary to achieve the Macaroni goals. Broad set of disciplines spanning physics, electrical engineering, mechanical engineering, materials science, computer modelling, and systems engineering are anticipated.

Further information about program metrics is provided in the Collateral SECRET classified addendum. Please fill out Attachment 6 for more information on the classified addendum.

C. Program Structure

The Macaroni program is a 45-month, three-phase program with an 18-month Phase 1 (base), 18-month Phase 2 (option), and nine-month Phase 3 (option). The Macaroni program has two Technical Areas (TA): Technical Area 1 (TA1) addresses receivers and Technical Area 2 (TA2) addresses transmitters.

For TA1, Phase 1 will focus on proof-of-concept receive sensitivity, Phase 2 will focus on link closure, and Phase 3 will focus on system integration.

For TA2, Phase 1 will focus on proof-of-concept transmitter strength, Phase 2 will focus on a full demonstration of the transmitter system, and Phase 3 will focus on system ruggedization.

The number of funded performers is expected to decrease at the conclusion of each phase.

Performers will continue into subsequent Option phases at the Government’s sole discretion based on technical progress against the metrics and milestones defined in this BAA and based on funding availability.

A single proposal may respond to either TA1 or TA2, but not both. A proposer wishing to propose to both TAs must submit separate proposals, one for TA1 and the other for TA2.

Proposals addressing both TAs together will be deemed non-conforming.

A Collateral SECRET addendum and Security Classification Guide (SCG) have been created to provide additional details for the Macaroni program. Please fill out Attachment 6 for more information.

D. Schedule/Milestones

The Macaroni program is a 45-month, three-phase program with an 18-month Phase 1, an 18-month Phase 2 Option Period, and a nine-month Phase 3 Option Period with an anticipated Phase 1 start date of February 2024.

Meetings and Travel:

All proposals should include the following meetings and travel in the proposed schedule and costs:

A two-day Principal Investigator (PI) meeting will be held approximately every six months with locations split between the East and West Coasts of the United States. For budgeting purposes, plan for eight two-day meetings over the course of 45 months: four meetings in the Washington, D.C. area and four meetings in the San Francisco, CA area.

Regular teleconference meetings will be scheduled with the Government team for progress reporting as well as problem identification and mitigation.

Proposers should anticipate at least two site visits per year by the DARPA Program Manager, during which the proposers will have the opportunity to demonstrate progress towards agreed-upon milestones.

Proposers should anticipate travel to demonstration locations as defined in the technical milestones

See the Macaroni Classified Addendum for additional information.

E. Deliverables

Performers will be expected to provide, at minimum, the following deliverables:

Comprehensive quarterly technical reports due within ten days of the end of the given quarter, describing progress made on the specific milestones as laid out in the SOW.

Monthly financial reports.

Monthly teleconferences with the government team, including presentations utilizing a government-provided template.

A phase-completion report submitted within 30 days of the end of each phase, summarizing the research done. This report will include:

o Description of the technical developments and achievements toward the metrics.

o Tables and explanations of how the experimental results meet, or exceed the program metrics.

o Plans and projections for the subsequent phase with an updated risk assessment in each of the critical program areas.

Other negotiated deliverables specific to the objectives of the individual efforts.

These may include registered reports; experimental protocols; publications; data management plan; intermediate and final versions of software libraries, code, and APIs, including documentation and user manuals; and/or a comprehensive assemblage of design documents, models, modeling data and results, and model validation data.

Reporting as outlined in Section VI.C. of the BAA.

See the Macaroni Classified Addendum for additional information.

F. Government Furnished Equipment/Property/Information

No Government Furnished Equipment, Property, or Information will be provided for the effort solicited in this BAA.

G. Intellectual Property

It is expected that the technology developed under Macaroni will be provided to the Government with Government Purpose Rights at a minimum.

Any proposed use of intellectual property (patents, proprietary information, etc.) should be clearly identified in the proposal. Identify all intellectual property claims to future results, prototypes, and deliverables. Explain how these claims may limit the Government use of the technology developed under the Macaroni program or development of derivative technologies.

See Section IV.B.10, “Intellectual Property,” and Section IV.B.2, “Section III, “Other Transaction Request,” if applicable. If there are no Intellectual Property claims, this should be stated.

II. Award Information

A. 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 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. § 4022(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.

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

In all cases, the Government contracting officer shall have sole discretion to select award instrument type, regardless of instrument type proposed, and to negotiate all instrument terms and conditions with selectees. DARPA will apply publication or other restrictions, as necessary, if it determines that the research resulting from the proposed effort will present a high likelihood of disclosing performance characteristics of military systems or manufacturing technologies that are unique and critical to defense. Any award resulting from such a determination will include a requirement for DARPA permission before publishing any information or results on the program. For more information on publication restrictions, see the section below on Fundamental Research

B. Fundamental Research

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

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

As of the date of publication of this solicitation, the Government expects that program goals as described herein may be met by proposed efforts for fundamental research and non-fundamental research. Some proposed research may present a high likelihood of disclosing performance characteristics of military systems or manufacturing technologies that are unique and critical to defense. Based on the anticipated type of proposer (e.g., university or industry) and the nature of the solicited work, the Government expects that some awards will include 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.

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.

http://www.darpa.mil/work-with-us/additional-baa

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. Historically Black Colleges and Universities, Small Businesses, Small Disadvantaged Businesses and Minority Institutions are encouraged to submit proposals and join others in submitting proposals; however, no portion of this announcement will be set aside for these organizations’ participation due to the impracticality of reserving discrete or severable areas of this research for exclusive competition among these entities.

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

a) FFRDCs

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

b) Government Entities

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

c) Authority and Eligibility

At the present time, DARPA does not consider 15 U.S.C. § 3710a to be sufficient legal authority to show eligibility. While 10 U.S.C.§ 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 Eligibility Criteria

1. Ability to Support Classified Development

Performers will require collateral SECRET clearances and access to both an accredited facility and secure communications in order to support classified development OR proposers must team with an organization that has personnel with collateral SECRET clearances and access to both an accredited facility and secure communications in order to support classified development. Please reference BAA Attachment 6 “ SECRET Security Classification Guide and Classified Addendum Request Form” for additional information.

2. Collaborative Efforts

Collaborative efforts/teaming are encouraged.

IV. Application and Submission Information

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.

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.

B. Content and Form of Application Submission

All submissions, including abstracts and proposals 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.

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

1. Abstract Format

Proposers are strongly encouraged to submit an abstract in advance of a full proposal. 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 5 pages. Abstracts are expected to be submitted as two separate submissions; an unclassified abstract and a classified addendum.

Proposers should not submit to more than one Technical Area in a single abstract.

Proposers who wish to submit to more than one Technical Area must submit a separate abstract for each individual Technical Area.

Section I. Administrative

A. Cover sheet to include:

(1) BAA number (HR001123S0041);

(2) Technical area;

(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) Proposal 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 proposal abstract was submitted.

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

Section II. Abstract Details

This section provides an overview of the proposed work as well as an introduction to the associated technical and management issues.

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. 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.

2. Full Proposal Format

All full proposals 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. Section II of Volume I, Technical and Management Proposal, shall not exceed 20 pages. The page limitation for full proposals includes all figures, tables, and charts. There is no page limit for Volume II, Cost Proposal. Proposals are expected to be submitted as two separate submissions; an unclassified proposal and a classified addendum.

Proposers should not propose to more than one Technical Area in a single proposal.

Proposers who wish to propose to more than one Technical Area must submit a separate full proposal for each individual Technical Area.

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.

a. Volume I, Technical and Management Proposal

Section I. Administrative

A. Cover sheet to include:

(1) BAA number (HR001123S0041);

(2) Technical area;

(3) Lead Organization submitting proposal;

(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) Proposal 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 proposal was submitted.

B. Official transmittal letter.

The transmittal letter should identify the BAA number, the proposal by name, and the proposal reference number (if any), and should be signed by an individual who is authorized to submit proposals to the Government.

Section II. Detailed Proposal Information

A. Executive Summary Summarize the technical approach, anticipated performance, and expected outcomes of the proposed effort. The executive summary should be concise and to the point. Tables, graphs, and diagrams can be used as supplemental material along with narrative to convey the information.

B. Technical Approach This section is the centerpiece of the proposal and should succinctly summarize the innovative claims for the proposed research and clearly describe the proposed approach without using any jargon. This section should demonstrate that the proposer has a clear understanding of the state-of-the-art and should provide sufficient justification for the feasibility of the proposed approach(es). This section should include a detailed technical rationale, technical approach, and constructive plan for accomplishment of technical goals in support of innovative claims and deliverable creation.

C. Statement of Work (SOW) In plain English, clearly define the technical tasks/subtasks to be performed, their durations, and dependencies among them. The page length for the SOW will be dependent on the amount of the effort. The SOW must not include proprietary information. For each task/subtask, provide:

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

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

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

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

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

6. Clearly identify any tasks/subtasks (prime or subcontracted) that will be accomplished on-campus at a university, if applicable.

Note: Each phase of the program must be separately defined in the SOW. Include a SOW for each subcontractor and/or consultant in the Cost Proposal Volume. Do not include any proprietary information in the SOW(s).

D. Schedules and measurable milestones Schedules and measurable milestones for the proposed research. (Note: Measurable milestones should capture key development points in tasks and should be clearly articulated and defined in time relative to start of effort.) Where the effort consists of multiple portions which could reasonably be partitioned for purposes of funding, these should be identified as options. 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.

E. Results and Technology Transfer Description of the results, products, transferable technology, and expected technology transfer. 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 IV.B.10, “Intellectual Property.” If there are no proprietary claims, this should be stated.

F. Risk Analysis and Mitigation Plan Identify the major technical and programmatic risks in the program. Include a risk matrix.

For each risk, assign a probability of occurrence on a scale of 1-10, where 10 indicates a high likelihood that the risk will impact program success, as well as an assessment of impact, also on a scale of 1-10, where 10 indicates that this risk would maximally limit the program from delivering prototypes on schedule or meeting performance objectives. For each item with total risk (likelihood × impact) exceeding 40, include a plan for mitigating the risk and assessing risk reduction.

G. Ongoing Research Comparison with other ongoing research indicating advantages and disadvantages of the proposed effort.

H. Proposer Accomplishments Discussion of proposer’s previous accomplishments and work in closely related research areas.

I. National Security Impact Statement To reduce the potential for unintended foreign access to critical U.S. national security technologies developed under this effort, proposals shall describe:

How the proposed work contributes to U.S. national security and U.S. technological capabilities. The proposer may also summarize previous work that contributed to U.S.

national security and U.S. technological capabilities.

Plans and capabilities to transition technologies developed under this effort to U.S.

national security applications and/or to U.S. industry. The proposer may also discuss previous technology transitions to the benefit of U.S. interests.

Any plans to transition technologies developed under this effort to foreign governments or to companies that are foreign owned, controlled or influenced. The proposer may also discuss previous technology transition to these groups.

How the proposer will assist its employees and agents performing work under this effort to be eligible to participate in the U.S. national security environment.

J. Facilities and Equipment Description of the facilities and equipment that would be used for the proposed effort and how they will support meeting program metrics.

K. Teaming Describe the formal teaming arrangements which will be used to execute this effort. Describe the programmatic relationship between investigators and the rationale for choosing this teaming strategy. Present a coherent 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; (5) the principal investigator (PI), co-PI, and program manager (if applicable) for each team member to include subcontractor’s PI, co-PI, and program manager; and (6) the key personnel along with the amount of effort to be expended by each person during each year.

L. Security Management Describe security management architecture and/or approach for the proposed effort. Detail unique additional security requirements information system certification expertise for controlled unclassified information (CUI) or classified processing, OPSEC, program protection planning, test planning, transportation plans, work being performed at different classification levels, and/or utilizing test equipment not approved at appropriate classification level (may not be applicable for fundamental research).

Section III. Additional Information

Information in this section may include a brief bibliography of relevant technical papers and research notes (published and unpublished) which document the technical ideas upon which the proposal is based. Copies of not more than three (3) relevant prior papers may be included in the submission.

b. Volume II, Cost Proposal – {No Page Limit}

All proposers, including FFRDCs, must submit the following:

Section I. Administrative

Cover sheet to include:

(1) BAA number (HR001123S0041);

(2) Technical area;

(3) Lead Organization submitting proposal;

(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) Proposal 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 (if available);

(9) Administrative point of contact to include:

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

(10) 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;

(11) Place(s) and period(s) of performance;

(12) Total proposed cost separated by basic award and option(s), if any, by calendar year and by government fiscal year;

(13) Name, address, and telephone number of the proposer’s cognizant Defense Contract Management Agency (DCMA) administration office (if known);

(14) Name, address, and telephone number of the proposer’s cognizant Defense Contract Audit Agency (DCAA) audit office (if known);

(15) Date proposal was prepared;

(16) Unique Entity ID (UEI) number;

(17) TIN number;

(18) CAGE Code;

(19) Subcontractor Information;

(20) Proposal validity period (120 days is recommended); AND

(21) Any Forward Pricing Rate Agreement, other such approved rate information, or such documentation that may assist in expediting negotiations (if available).

Attachment 1, the Cost Volume Proposer Checklist, must be included with the coversheet of the Cost Proposal.

Section II. Detailed Cost Information (Prime and Subcontractors)

The proposers’, to include eligible FFRDCs’, cost volume shall provide cost and pricing information (See Note 1), or other than cost or pricing information if the total price is under the referenced threshold, in sufficient detail to substantiate the program price proposed (e.g., realism and reasonableness). In doing so, the proposer shall provide, for both the prime and each subcontractor, a “Summary Cost Breakdown” by phase and performer fiscal year, and a “Detailed Cost Breakdown” by phase, technical task/sub-task, and month. The breakdown/s shall include, at a minimum, the following major cost items along with associated backup documentation:

Total program cost broken down by major cost items:

A. Direct Labor A breakout clearly identifying the individual labor categories with associated labor hours and direct labor rates, as well as a detailed Basis-of-Estimate (BOE) narrative description of the methods used to estimate labor costs;

B. Indirect Costs Including Fringe Benefits, Overhead, General and Administrative Expense, Cost of Money, Fee, etc. (must show base amount and rate);

C. Travel Provide the purpose of the trip, number of trips, number of days per trip, departure and arrival destinations, number of people, etc.;

D. Other Direct Costs Itemized with costs; back-up documentation is to be submitted to support proposed costs;

E. Material/Equipment

(i) 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.

(ii) A priced Bill-of-Material (BOM) clearly identifying, for each item proposed, the quantity, unit price, the source of the unit price (i.e., vendor quote, engineering estimate, etc.), the type of property (i.e., material, equipment, special test equipment, information technology, etc.), and a cross-reference to the Statement of Work (SOW) task/s that require the item/s. At time of proposal submission, any item that exceeds $2,000 must be supported with basis-of-estimate (BOE) documentation such as a copy of catalog price lists, vendor quotes or a written engineering estimate (additional documentation may be required during negotiations, if selected).

(iii) If seeking a procurement contract and items of Contractor Acquired Property are proposed, exclusive of material, the proposer shall clearly demonstrate that the inclusion of such items as Government Property is in keeping with the requirements of FAR Part 45.102.

In accordance with FAR 35.014, “Government property and title,” it is the Government’s intent that title to all equipment purchased with funds available for research under any resulting contract will vest in the acquiring nonprofit institution (e.g., Nonprofit Institutions of Higher Education and Nonprofit Organizations whose primary purpose is the conduct of scientific research) upon acquisition without further obligation to the Government. Any such equipment shall be used for the conduct of basic and applied scientific research. The above transfer of title to all equipment purchased with funds available for research under any resulting contract is not allowable when the acquiring entity is a for-profit organization;

however, such organizations can, in accordance with FAR 52.245-1(j), be given priority to acquire such property at its full acquisition cost.

F. Consultants If consultants are to be used, proposer must provide a copy of the consultant’s proposed SOW as well as a signed consultant agreement or other document which verifies the proposed loaded daily / hourly rate and any other proposed consultant costs (e.g. travel);

G. Subcontracts Itemization of all subcontracts. Additionally, the prime contractor is responsible for compiling and providing, as part of its proposal submission to the Government, subcontractor proposals prepared at the same level of detail as that required by the prime. Subcontractor proposals include Interdivisional Work Transfer Agreements (ITWA) or similar arrangements. If seeking a procurement contract, the prime contractor shall provide a cost reasonableness analysis of all proposed subcontractor costs/prices. Such analysis shall indicate the extent to which the prime contractor has negotiated subcontract costs/prices and whether any such subcontracts are to be placed on a sole-source basis.

All proprietary subcontractor proposal documentation, prepared at the same level of detail as that required of the prime, which cannot be uploaded to the DARPA BAA website (https://baa.darpa.mil, BAAT) or Grants.gov as part of the proposer’s submission, shall be made immediately available to the Government, upon request, under separate cover (i.e., mail, electronic/email, etc.), either by the proposer or by the subcontractor organization. This does not relieve the proposer from the requirement to include, as part of their submission (via BAAT or Grants.gov, as applicable), subcontract proposals that do not include proprietary pricing information (rates, factors, etc.).

A Rough Order of Magnitude (ROM), or similar budgetary estimate, is not considered a fully qualified subcontract cost proposal submission. Inclusion of a ROM, or similar budgetary estimate, may result in the full proposal being deemed non-conforming or evaluation ratings may be lowered;

H. Cost-Sharing The amount of any industry cost-sharing (the source and nature of any proposed cost-sharing should be discussed in the narrative portion of the cost volume).

I. Fundamental Research Written justification required per Section II.B, “Fundamental Research,” pertaining to prime and/or subcontracted effort being considered Contracted Fundamental Research.

Note 1:

(a) “Cost or Pricing Data” as defined in FAR 15.403-4 shall be required if the proposer is seeking a procurement contract per the referenced threshold, but please see the exceptions in (c) and (d) below. Further, please note that adequate price competition is not considered to exist under this https://baa.darpa.mil/

BAA, as all proposers are proposing unique solutions that are not in accordance with a common work statement.

(b) Per DFARS 215.408(5), DFARS 252.215-7009, Proposal Adequacy Checklist, applies to all proposers/proposals seeking a FAR-based award (contract).

(c) In accordance with DFARS 215.403-1(4)(D), DoD has waived cost or pricing data requirements for nonprofit organizations (including educational institutions) on cost-reimbursement-no-fee contracts.