HR001123S0045.pdf

Broad Agency Announcement Biological Technologies

BIOLOGICAL TECHNOLOGIES OFFICE

HR001123S0045

June 22, 2023

HR001123S0045, Biological Technologies

TABLE OF CONTENTS

PART I: OVERVIEW INFORMATION

PART II: FULL TEXT OF ANNOUNCEMENT

1. Funding Opportunity Description

2. Award Information

2.1. General Award Information

2.2. Fundamental Research

3. Eligibility Information

3.1. Eligible Applicants

3.2. Organizational Conflicts of Interest

3.3. Cost Sharing/Matching

4. Application and Submission Information

4.1. Address to Request Application Package

4.2. Content and Form of Application Submission

4.3. Funding Restrictions

4.4. Other Submission Information

5. Application Review Information

5.1. Evaluation Criteria

5.2. Review of Proposals

5.2.4. Countering Foreign Influence Program (CFIP)

6. Award Administration Information

6.1. Submission Status Notifications

6.2. Administrative and National Policy Requirements

6.3. Reporting

6.4. Electronic Systems

7. Agency Contacts

8. Other Information

8.1. University Funding

9. APPENDIX 1 – Volume II checklist

PART I: OVERVIEW INFORMATION

Federal Agency Name – Defense Advanced Research Projects Agency (DARPA), Biological Technologies Office (BTO)

Funding Opportunity Title – Biological Technologies Announcement Type – Initial Announcement Funding Opportunity Number – HR001123S0045 North American Industry Classification System (NAICS) – 541714 Assistance Listing Number (ALN) – 12.910 Research and Technology

Development Dates o Posting Date: June 22, 2023 o Proposal Abstract Due Date and Time: Abstracts may be submitted on a rolling basis until June 20, 2024, at 4:00 PM ET.

o Full Proposal Due Date and Time: Proposals may be submitted on a rolling basis until June 20, 2024, at 4:00 PM ET.

o BAA Closing Date: June 20, 2024

Concise description of the funding opportunity – This announcement seeks revolutionary research ideas for topics not being addressed by ongoing BTO programs or other published solicitations.

Anticipated individual awards – Multiple awards are anticipated.

Types of instruments that may be awarded – Procurement Contract, Grant, Cooperative Agreement, Other Transaction for Prototypes, or Other Transaction for Research

Agency contact o E-Mail: BTOBAA2023@darpa.mil o Mailing Address:

DARPA/BTO

ATTN: HR001123S0045

675 North Randolph Street Arlington, VA 22203-2114 mailto:BTOBAA2023@darpa.mil

PART II: FULL TEXT OF ANNOUNCEMENT

1. Funding Opportunity Description

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

BTO's mission is to develop capabilities that leverage the unique properties of biology -adaption, replication, resilience and complexity, to revolutionize how the United States defends the homeland and prepares and protects its Warfighters. Research in BTO creates biotechnological capabilities that provide tactical care and restore function to injured warfighters, increase operational resilience, develop novel functional materials, and detect and protect against threats to maintain force readiness.

BTO is interested in submissions related to the following topic areas:

General Topic:

Biological technology topic areas that fit the national security scope of BTO’s mission.

Human Performance:

Understanding and improving treatment of and resilience in neurological health, transformative neural processing, fatigue, cognition, and optimized human performance and teaming, including in extreme conditions.

Discovering interventions that utilize biotechnology, biochemistry, molecular biology, microbiology, neuroscience, psychology, cognitive science, social and behavioral science, and related disciplines to advance and optimize human performance and teaming, including in extreme conditions.

Developing and leveraging technologies to advance continuous or near-continuous monitoring of physiology to elucidate mechanisms of human readiness and resilience.

Understanding and improving interfaces between the biological and physical world to enable seamless biohybrid systems and devices.

Developing approaches to enhance physiological resilience and performance in extreme conditions (e.g., cold weather climates) or to reduce musculoskeletal injuries via interventions that do not require genomic modifications.

Developing technologies for rapid assessment of psychophysiological status.

Materials, Sensors, Processing:

Designing novel materials, sensors, or processes that mimic or are inspired by biological systems.

Developing technologies to leverage biological systems and enhance the acquisition and maintenance of critical and strategic organic and inorganic materials.

Developing sustainable and controllable technologies that integrate biological systems into the built environments.

Creating tools to understand the underlying rules defining biomolecular and biomaterial structure/function properties in order to predict desired outcomes for novel material development.

Understanding and leveraging complex biological systems into underlying functional rules and processes to provide models that govern interactions of biological systems from biofilms to organs or ecosystems.

Developing new computational and experimental tools and predictive capabilities for engineering of biological systems, such as cells, tissues, organs, organisms, and complex communities, to both develop new products and functional systems, as well as to gain new insights into underlying mechanisms.

Developing new platform technologies that integrate, automate, and miniaturize the collection, processing, and analysis of biological and chemical samples.

Developing hybrid biological/engineered systems that integrate biological organisms, components, biologically-encoded circuitry, biogenic materials, or exploit biological phenomena to surpass capabilities of abiotic equivalents.

Ecosystem and Environmental:

Testing and validating new theories, methods and computational models that identify and quantify factors and principles underlying collective and interactive behaviors of biological organisms at all scales, from individual cells, to complex ecosystems.

Developing technologies that leverage synthetic biology, living cellular systems, ecological diversity, or properties of biology to support operations in extreme environments and experimental methodologies to evaluate potential benefits of such innovations.

Understanding the dynamics of population and ecosystem behavior to preserve equilibrium, provide strategic opportunity, mitigate impacts, or avoid catastrophe.

Developing and leveraging new technologies for ecosystem restoration and the stabilization of agricultural production and post-disaster recovery.

Understanding emerging threats to global food and water supplies and developing countermeasures that could be implemented on regional or global scales.

Developing and leveraging new insights into non-human biology across and between populations, e.g., microbes, insects, plants, marine life, and how they interact with their environment.

Leveraging biology to provide new tactical and strategic operational advantages, concealment and camouflage approaches, and bio-inorganic capabilities.

Developing approaches using biology, biogeochemistry or materials science to mitigate or sequester anthropogenic carbon dioxide in terrestrial, marine, and post-disaster environments.

Biosecurity and Biosafety:

Developing new technologies and approaches that ensure biosafety and biosecurity of biological hardware and data, as well as the safety and security of artificial intelligence (AI) technologies that can accelerate the biological research and development process.

Developing innovative technologies that characterize novel, engineered, and/or natural emerging pathogens to prevent their spread or understand their origin.

Developing new technologies to treat, prevent, forecast, and detect the emergence and spread of infectious diseases that have the potential to cause significant health, economic, and social burden.

Biomedical and Biodefense:

Understanding causal relationships that underlie acute and chronic disease states to support warfighter health.

Developing new technologies for the rapid, automated, and resilient manufacturing, delivery, and distribution of critical molecules for applications in therapeutics, chemical and biological defense.

Developing new technologies to support next-generation cellular therapeutic applications.

Developing new platform technologies for targeted, effective, spatiotemporally controlled delivery of large and small molecules and biologics.

Leveraging biotechnology to create new platform solutions that combat antimicrobial resistance, generate novel drug and cell-based therapeutics, and treat warfighter injury and illness.

Developing novel diagnostic, prophylactic, and therapeutic approaches for warfighter injury that can be provided even in austere settings and extreme conditions.

In conjunction with this announcement, BTO intends to publish Special Notices (SNs) in support of targeted studies associated with the above listed topic areas. Proposal Abstracts and Full Proposals submitted in response to these SNs will be evaluated and selected in accordance with Section 5 of this solicitation.

2. Award Information

2.1. GENERAL AWARD INFORMATION

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

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

The Government reserves the right to request any additional, necessary documentation once it makes the award instrument determination. Such additional information may include but is not limited to Representations and Certifications (see Section 6.2.3, “Representations and Certifications”). The Government reserves the right to remove proposers from award consideration should the parties fail to reach agreement on award terms, conditions, and/or cost/price within a reasonable time, and the proposer fails to timely provide requested additional information. Proposals identified for negotiation may result in a procurement contract, 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 http://www.darpa.mil/work-with-us/contract-management#OtherTransactions http://www.darpa.mil/work-with-us/contract-management#OtherTransactions entire prototype project provided for in the OT, as modified; and (2) the OT provides for the award of a follow-on production contract or OT to the participant, or a recognized successor in interest to the OT.

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

2.2. FUNDAMENTAL RESEARCH

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

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

As of the date of publication of this solicitation, the Government 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.

i. The above described information will be provided to the Government as part of the proposal response to the solicitation and will be reviewed and assessed prior to award. Generally, this information will be included in the Research and Related

Senior/Key Personnel Profile (Expanded) form (SF-424) required as part the proposer’s submission through Grants.gov.

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

ii. In accordance with USD(R&E) direction to mitigate undue foreign influence in DoD-funded science and technology, DARPA will assess all Senior/Key Personnel proposed to support DARPA grants and cooperative agreements for potential undue foreign influence risk factors 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

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

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

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

2. The U.S. Department of Education’s College Foreign Gift and Contract Report: College Foreign Gift Reporting (ed.gov)

3. The U.S. Department of Commerce, Bureau of Industry and Security, List of Parties of Concern: https://www.bis.doc.gov/index.php/policy-guidance/lists-of-parties-of-concern

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

https://chinatalenttracker.cset.tech

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

6. Various Defense Counterintelligence and Security Agency (DCSA) products regarding targeting of US technologies, adversary targeting of academia, and the exploitation of academic experts: https://www.dcsa.mil/ https://www.darpa.mil/attachments/092021DARPACFIPRubric.pdf https://www.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/

(b) 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.

(c) 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.

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

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

i. If, at any time, during performance of this research award, the academic or non-profit research performer or recipient should learn that it, its Senior/Key Research Personnel, or applicable team members or subtier performers on this award are or are believed to be participants in a Foreign Government Talent Program or have Foreign Components with a strategic competitor or country with a history of targeting U.S. technology for unauthorized transfer , the performer or recipient will notify the Government Contracting Officer or Agreements Officer within 5 business days.

1. This disclosure must include specific information as to the personnel involved and the nature of the situation and relationship. The Government will have 30 business days to review this information and conduct any necessary fact-finding or discussion with the performer or recipient.

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

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

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

(e) Definitions

i. Senior/Key Research Personnel

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

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

ii. Foreign Associations/Affiliations

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

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

iii. Foreign Government Talent Recruitment Programs

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

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

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

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

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

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

iv. Conflict of Interest

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

v. Conflict of Commitment

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

2. Common conflicts of commitment involve conflicting commitments of time and effort, including obligations to dedicate time in excess of institutional or funding agency policies or commitments. Other types of conflicting obligations, including obligations to improperly share information with, or withhold information from, an employer or funding agency, can also threaten research security and integrity and are an element of a broader concept of conflicts of commitment.

vi. Foreign Component

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

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

a. Involvement of human subjects or animals;

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

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

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

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

f. Any activity of the University that may have an impact on U.S.

foreign policy through involvement in the affairs or environment of a foreign country.

3. Foreign travel is not considered a Foreign Component.

vii. Strategic Competitor

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

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.

3. Eligibility Information

3.1. ELIGIBLE APPLICANTS

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

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

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

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.

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.

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.

3.1.2. Non-U.S. Organizations

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

3.2. ORGANIZATIONAL CONFLICTS OF INTEREST

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

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

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

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

The name of the DARPA office receiving the support;

The prime contract number;

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

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

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

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

3.3. COST SHARING/MATCHING

Cost sharing 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.

4. Application and Submission Information

4.1. ADDRESS TO REQUEST APPLICATION PACKAGE

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

4.2. CONTENT AND FORM OF APPLICATION SUBMISSION

http://www.darpa.mil/

All submissions, including abstracts and proposals, must be written in English with type no smaller than 12-point font. Smaller font may be used for figures, tables, and charts. The page limitation includes all figures, tables, and charts. All pages shall be formatted for printing on 8- 1/2 by 11-inch paper. Margins must be 1-inch on all sides. Copies of all documents submitted must be clearly labeled with the DARPA BAA number, proposer organization, and proposal title/proposal short title.

4.2.1. Proposal Abstract Format

Proposers are strongly encouraged to submit an abstract in advance of a proposal to minimize effort and reduce the potential expense of preparing an out of scope proposal. DARPA will respond to abstracts providing feedback and indicating whether, after preliminary review, there is interest within BTO for the proposed work. DARPA will attempt to reply within 14 calendar days of receipt. Proposals may be submitted irrespective of comments or feedback received in response to the abstract. Proposals are reviewed without regard to feedback given as a result of abstract review. The time and date for submission of proposal abstracts are specified in Part I above.

The abstract is a concise version of the proposal comprising a maximum of 2 pages, including all figures, tables, and charts. All submissions must be written in English with type no smaller than 12-point font. Smaller font may be used for figures, tables, and charts. All pages shall be formatted for printing on 8-1/2 by 11-inch paper. Margins must be 1-inch on all sides. Copies of all documents submitted must be clearly labeled with the DARPA BAA number, proposer organization, and proposal abstract title.

The page limit does NOT include:

Official transmittal letter (optional);

Cover sheet;

Resumes (optional); and Bibliography (optional).

Abstracts must include the following components:

A. Cover Sheet (does not count towards page limit): Include the administrative and technical points of contact (name, address, phone, fax, e-mail, lead organization). Also include the BAA number, title of the proposed project, primary subcontractors, estimated cost, duration of the project, and the label “ABSTRACT.”

B. Goals and Impact: Clearly describe what is being proposed and what difference it will make (qualitatively and quantitatively), including brief answers to the following questions:

1. What is the proposed work attempting to accomplish or do?

2. How is it done today? And what are the limitations?

3. What is innovative in your approach, and how does it compare to the current state-of-the-art (SOA)?

4. What are the key technical challenges in your approach, and how do you plan to overcome these?

5. Who will care, and what will the impact be if you are successful?

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

C. Technical Plan: Outline and address all technical challenges inherent in the approach and possible solutions for overcoming potential problems. This section should provide appropriate specific milestones (quantitative, if possible) at intermediate stages of the project to demonstrate progress, and a brief plan for accomplishment of the milestones provided.

D. Management and Capabilities: Provide a brief summary of expertise of the team, including subcontractors and key personnel. A principal investigator for the project must be identified. Include a description of the team’s organization, including roles and responsibilities. Describe the organizational experience in this area, existing intellectual property required to complete the project, and any specialized facilities to be used as part of the project. List Government-furnished materials or data assumed to be available.

E. Cost and Schedule: Provide a cost estimate for resources over the proposed timeline of the project, broken down by phase and major cost items (e.g., labor, materials, etc.). Include cost estimates for each potential subcontractor (may be a rough order of magnitude).

F. Biosketches/Curriculum Vitae/Resumes (Optional, does not count towards page limit): Include CVs of no more than two (2) key team members, one of which must be from/for the Principal Investigator (PI). There is no prescribed format.

G. Bibliography/References (Optional, does not count towards page limit): If desired, include a brief list of references cited in the abstract with links to relevant papers and reports. The references list should not exceed two (2) pages.

4.2.2. Proposal Format

All full proposals must be in the format given below. Proposals shall consist of two volumes: 1) Volume I, Technical and Management Proposal, and 2) Volume II, Cost Proposal. All submissions must be written in English with type no smaller than 12-point font. A smaller font may be used for figures, tables, and charts. The page limitation includes all figures, tables, and charts. All pages shall be formatted for printing on 8-1/2 by 11- inch paper. Margins must be 1-inch on all sides. Copies of all documents submitted must be clearly labeled with the DARPA BAA number, proposer organization, and proposal title/proposal short title. Volume I, Technical and Management Proposal, may include an attached bibliography of relevant technical papers or research notes (published and unpublished) which document the technical ideas and approach upon which the proposal is based. Copies of not more than three (3) relevant papers may be included with the submission. The bibliography and attached papers are not included in the page counts given below. The submission of other supporting materials along with the proposals is strongly discouraged and will not be considered for review. The maximum page count for

Volume 1 is 25 pages. The official transmittal letter is not included in the page count. Volume I should include the following components:

a. Volume I, Technical and Management Proposal

Section I. Administrative

A. Cover Sheet (LABELED “PROPOSAL: VOLUME I”):

1. BAA number (HR001123S0045);

2. Lead organization submitting proposal (prime contractor);

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

BUSINESS,” “SMALL DISADVANTAGED BUSINESS,” “8A,” “VETERAN-

OWNED SMALL BUSINESS,” “WOMAN-OWNED BUSINESS,” “OTHER SMALL

BUSINESS,” “HBCU,” “MI,” “OTHER EDUCATIONAL,” “HOSPITAL,” “OTHER

NONPROFIT,” OR “FOREIGN CONCERN OR ENTITY”;

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

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

6. Proposal title;

7. Technical point of contact (Program Manager or Principal Investigator) to include:

salutation, last name, first name, street address, city, state, zip code, telephone, fax, e-mail;

8. Administrative point of contact (Contracting Officer or Award Officer) to include:

salutation, last name, first name, street address, city, state, zip code, telephone, fax, e-mail;

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

10. Place(s) of performance, including all subcontractors and consultants;

11. Period of performance;

12. Total funds requested from DARPA, total funds requested per phase and the amount of any cost share (if any);

13. Proposal validity period; AND

14. Date proposal was submitted.

Information on award instruments is available at http://www.darpa.mil/work-with-us/contract-management.

B. Official Transmittal Letter.

Section II. Detailed Proposal Information http://www.darpa.mil/work-with-us/contract-management

A. Executive Summary: Provide a synopsis of the proposed project, including answers to the following questions:

What is the proposed work attempting to accomplish or do?

How is it done today, and what are the limitations?

What is innovative in your approach?

What are the key technical challenges in your approach, and how do you plan to overcome these?

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

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

B. Goals and Impact: Clearly describe what the team is trying to achieve and the difference it will make (qualitatively and quantitatively) if successful. Describe the innovative aspects of the project in the context of existing capabilities and approaches, clearly delineating the uniqueness and benefits of this project in the context of the state of the art, alternative approaches, and other projects from the past and present. Describe how the proposed project is revolutionary and how it significantly rises above the current state-of-the-art. Describe the deliverables associated with the proposed project and any plans to commercialize the technology, transition it to a customer, or further the work.

C. Technical Plan: Outline and address technical challenges inherent in the approach and possible solutions for overcoming potential problems. This section should provide appropriate measurable milestones (quantitative if possible) at intermediate stages of the proposed research to demonstrate progress, and a plan for achieving the milestones.

The technical plan should demonstrate a deep understanding of the technical challenges and present a credible (even if risky) plan to achieve the proposal’s stated goal. Discuss mitigation of technical risk.

D. Management Plan: Provide a summary of expertise of the team, including any subcontractors, and key personnel who will be doing the work. A Principal Investigator (PI) for the project must be identified, along with a clear description of the team’s organization, including an organization chart that includes, as applicable: the programmatic relationship of team members; the unique capabilities of team members;

the task responsibilities of team members, the teaming strategy among the team members; and key personnel with the amount of effort to be expended by each person during each year. Provide a detailed plan for coordination, including explicit guidelines for interaction among collaborators/subcontractors of the proposed effort. Include risk management approaches. Describe any formal teaming agreements that are required to execute the proposed research.

E. Capabilities: Describe organizational experience in relevant subject area(s), existing intellectual property, specialized facilities, and any Government-furnished materials or information. Discuss any work in closely related research areas and previous accomplishments.

F. Statement of Work (SOW): The SOW should provide a detailed task breakdown, citing specific tasks for each Technical Area, and their connection to the milestones and program metrics. If applicable, each phase of the proposed research should be separately defined. The SOW must not include proprietary information.

For each task/subtask, provide:

A detailed description of the approach to be taken to accomplish each defined task/subtask.

Identification of the primary organization responsible for task execution (prime contractor, subcontractor(s), consultant(s), by name).

A measurable milestone, i.e., a deliverable, demonstration, or other event/activity that marks task completion. Include completion dates for all milestones. Include quantitative metrics.

A definition of all deliverables (e.g., data, reports, software) to be provided to the Government in support of the proposed tasks/subtasks.

G. Schedule and Milestones: Provide a detailed schedule showing tasks (task name, duration, work breakdown structure element as applicable, performing organization), milestones, and the interrelationships among tasks. The task structure must be consistent with that in the SOW. Measurable milestones should be clearly articulated and defined in time relative to the start of the project.

Section III. Additional Information

Provide a list of technical references cited in Section II of the proposal that document the technical ideas upon which the proposal is based. Copies of not more than three (3) papers germane to the technical proposal and important for documenting the feasibility of proposed approach may be included in the submission.

b. Volume II, Cost Management Proposal

Cover Sheet (LABELED “PROPOSAL: VOLUME II”):

1. BAA Number (HR001123S0045);

2. Lead Organization Submitting proposal;

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

“SMALL DISADVANTAGED BUSINESS,” “8A,” “VETERAN-OWNED SMALL

BUSINESS,” “WOMAN-OWNED BUSINESS,” “OTHER SMALL BUSINESS,”

“HBCU,” “MI,” “OTHER EDUCATIONAL,” “HOSPITAL,” “OTHER

NONPROFIT,” OR “FOREIGN CONCERN OR ENTITY”;

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

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

6. Proposal title;

7. Technical point of contact (Program Manager or Principal Investigator) to include:

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

8. Administrative point of contact (Contracting Officer or Award Officer) to include:

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

9. Award instrument requested: cost-plus-fixed-free (CPFF), cost-contract—no fee, cost sharing contract – no fee, or other type of procurement contract (specify), GRANT, cooperative agreement, or other transaction;

10. Place(s) of performance, including all subcontractors and consultants;

11. Period of performance;

12. Total funds requested from DARPA, total funds requested per phase (as defined in

Table 1), and the amount of any cost share (if any);

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 (https://sam.gov/content/duns-uei);

17. Taxpayer ID number (https://www.irs.gov/Individuals/International-

Taxpayers/Taxpayer-Identification-Numbers-TIN);

18. Commercial and Government Entity (CAGE) code

(https://cage.dla.mil/Home/UsageAgree);

19. Proposal validity period

The Government requires that proposers* use the provided MS ExcelTM DARPA Standard Cost Proposal Spreadsheet in the development of their cost proposals. A customized cost proposal spreadsheet may be an attachment to this solicitation. If not, the spreadsheet can be found on the DARPA website at http://www.darpa.mil/work-with-us/contract-management (under “Resources” on the right-hand side of the webpage). All tabs and tables in the cost proposal spreadsheet should be developed in an editable format with calculation formulas intact to allow traceability of the cost proposal. This cost proposal spreadsheet should be used by the prime organization and all subcontractors.