HR001123S0053.pdf

HR001123S0053 DSO OFFICE-WIDE BAA 1

Broad Agency Announcement Defense Sciences Office Office-wide

HR001123S0053

September 27, 2023

HR001123S0053 DSO OFFICE-WIDE BAA 2

Table of Contents I. Funding Opportunity Description

A. Introduction B. Technical Thrust Area Descriptions

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

III. Eligibility Information A. Eligible Applicants B. Organizational Conflicts of Interest C. Cost Sharing/Matching

IV. Application and Submission Information A. Address to Request Application Package B. Content and Form of Application Submission C. Submission Dates and Times D. Funding Restrictions E. Other Submission Requirements

V. Application Review Information A. Evaluation Criteria B. Review and Selection Process D. Countering Foreign Influence Program (CFIP) E. Federal Awardee Performance and Integrity Information (FAPIIS)

VI. Award Administration Information A. Selection Notices B. Administrative and National Policy Requirements C. Reporting

VII. Agency Contacts VIII. Other Information

A. Frequently Asked Questions (FAQs)

BAA Attachments:

Attachment A: EXECUTIVE SUMMARY TEMPLATE Attachment B: ABSTRACT SUMMARY SLIDE TEMPLATE Attachment C: ABSTRACT TEMPLATE Attachment D: PROPOSAL SUMMARY SLIDE TEMPLATE Attachment E: PROPOSAL TEMPLATE VOLUME 1: TECHNICAL & MANAGEMENT Attachment F: PROPOSAL TEMPLATE VOLUME 2: COST Attachment G: MS ExcelTM DARPA COST PROPOSAL SPREADSHEET Attachment H: PROPOSAL TEMPLATE VOLUME 3: ADMINISTRATIVE & NATIONAL

POLICY REQUIREMENTS

HR001123S0053 DSO OFFICE-WIDE BAA 3

PART I: OVERVIEW INFORMATION

Federal Agency Name: Defense Advanced Research Projects Agency (DARPA), Defense Sciences Office (DSO) Funding Opportunity Title: DSO Office-wide Broad Agency Announcement (BAA) Announcement Type: Initial Announcement Funding Opportunity Number: HR001123S0053 NAICS Code: Primary = 541715; Other Potential Codes = 541713, 541714, 541720 Assistance Listing Number: 12.910 Research and Technology Development Dates (All times listed herein are Eastern Time.)

o Posting Date: September 27, 2023 o Executive Summary Due Date and Time: Executive Summaries may be submitted on a rolling basis until September 26, 2024, at 4:00 p.m.

o Proposal Abstract Due Date and Time: Abstracts may be submitted on a rolling basis until September 26, 2024, at 4:00 p.m.

o FAQ Submission Deadline: September 12, 2024, 4:00 p.m. See Section VII.A.

o Full Proposal Due Date and Time: Proposals may be submitted on a rolling basis until

September 26, 2024, at 4:00 p.m.

o BAA Closing Date: September 26, 2024, at 4:00 p.m.

o Estimated period of performance start: Approximately 120 calendar days after proposal submission Anticipated Individual Awards: Multiple awards are anticipated. The level of funding for individual awards made under this solicitation has not been predetermined and will depend on the scope and quality of the proposals received, as well as the availability of funds. See Section II for further information.

Types of Instruments that May be Awarded: Procurement contracts, grants, cooperative agreements, Other Transactions (OT) for Prototype or OT for Research.

Award instruments will be limited to procurement contracts and Other Transactions for Proposers whose proposed solution includes Controlled Unclassified Information (CUI).

Agency contacts o Technical Point of Contact (POC): Bartlett A. H. Russell, Ph.D., Deputy Director, DARPA/DSO o BAA Email: HR001123S0053@darpa.mil o BAA Mailing Address:

DARPA/DSO

ATTN: HR001123S0053 Office-wide 675 North Randolph Street Arlington, VA 22203-2114 o DARPA/DSO Opportunities Website: http://www.darpa.mil/work-with-us/opportunities

Frequently Asked Questions (FAQ): FAQs for this solicitation may be viewed on the DARPA/DSO Opportunities Website. See Section VII.A for further information.

mailto:HR001123S0053@darpa.mil http://www.darpa.mil/work-with-us/opportunities?tFilter=&oFilter=2&sort=name http://www.darpa.mil/work-with-us/opportunities?tFilter=&oFilter=2&sort=name

HR001123S0053 DSO OFFICE-WIDE BAA 4

PART II: FULL TEXT OF ANNOUNCEMENT

I. Funding Opportunity Description

This Broad Agency Announcement (BAA) constitutes a public notice of a competitive funding opportunity as described in Federal Acquisition Regulation (FAR) 6.102(d)(2) and 35.016 as well as 2 C.F.R. § 200.203. Any resultant negotiations and/or awards will follow all laws and regulations applicable to the specific award instrument(s) available under this BAA, e.g., FAR

15.4 for procurement contracts.

A. Introduction The mission of the Defense Advanced Research Projects Agency (DARPA) Defense Sciences Office (DSO) is to identify and create the next generation of scientific discovery to fuel innovation throughout the Agency and beyond. DSO serves as “DARPA’s DARPA” by developing and executing an aggressive and forward leaning portfolio that expands the art of the possible across a broad set of technical areas. DSO aims to create strategic surprise advantage for the DoD by pushing science towards its fundamental limits. We look to prevent technological surprise by understanding the path commercial research and development (R&D) is taking, anticipating that our adversaries will exploit available technology to develop new capabilities in the coming decades. In addition, the office looks for changes at the global scale and the impact such changes may have on our nation.

In support of this mission, the DSO Office-wide BAA invites proposers to submit innovative basic or applied research concepts or studies and analysis proposals that address one or more of the following technical thrust areas: (1) Novel Materials & Structures, (2) Sensing & Measurement, (3) Computation & Processing, (4) Enabling Operations, (5) Collective Intelligence, and (6) Emerging Threats. Each of these thrust areas is described below and includes a list of example research topics that highlight several (but not all) potential areas of interest. Proposals must investigate innovative approaches that enable revolutionary advances.

DSO is explicitly not interested in approaches or technologies that primarily result in evolutionary improvements to the existing state of practice.

B. Technical Thrust Area Descriptions To support its mission, DSO is interested in engaging with the R&D community to tackle complex challenges and develop impactful capabilities. DSO frames its office according to the thrust areas described further below, but encourages any fundamental research concept, idea, or effort that addresses DARPA’s mission to make pivotal investments in breakthrough technologies for national security.

Novel Materials & Structures: This thrust includes, but is not limited to, science and technology in quantum devices, atomic scale systems, and functional and structural materials.

Sensing & Measurement: This thrust includes, but is not limited to, science and technology in quantum sensing and metrology, seeing (sensing) the unseen, and novel light sources.

Computation & Processing: This thrust includes, but is not limited to, science and technology of quantum computing, cryptography, and modeling of complex systems.

Enabling Operations: This thrust includes, but is not limited to, technologies to support space-

HR001123S0053 DSO OFFICE-WIDE BAA 5

based operations, tactically remote environments, and resource assurance.

Collective Intelligence: This thrust includes, but is not limited to, exploration of complex social systems, adaptable Artificial Intelligence (AI), and AI-accelerated learning.

Emerging Threats: This thrust includes, but is not limited to, national security concerns related to global issues associated with raw material availability, environmental catastrophes, and digital societies.

II. Award Information A. General Award Information

DARPA anticipates multiple awards. The level of funding for individual awards made under this BAA will depend on the quality of the proposals received and the availability of funds. Awards will be made to proposers1 whose proposals are determined to be the most advantageous to the Government, all evaluation factors considered. See Section V for further information.

The Government reserves the right to:

select for negotiation all, some, one, or none of the proposals received in response to this solicitation;

make awards without discussions with proposers;

conduct discussions with proposers if it is later determined to be necessary;

If warranted, segregate portions of resulting awards into pre-priced options;

accept proposals in their entirety or select only portions of proposals for award;

In the event that DARPA desires to award only portions of a proposal, open negotiations with that proposer;

fund awards in increments with options for continued work at the end of one or more phases;

request additional documentation once the award instrument has been determined (e.g., representations and certifications); and remove proposers from award consideration should the parties fail to reach agreement on award terms within a reasonable time or the proposer fails to provide requested additional information in a timely manner.

Proposals identified for negotiation may result in a procurement contract, grant, cooperative agreement, or Other Transaction (OT), depending upon the nature of the work proposed, the required degree of interaction between parties, 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.

1 As used throughout this BAA, “proposer” refers to the lead organization on a submission to this BAA. The proposer is responsible for ensuring that all information required by a BAA--from all team members--is submitted in accordance with the BAA. “Awardee” refers to anyone who might receive a prime award from the Government, including recipients of procurement contracts, grants, cooperative agreements, or Other Transactions. “Subawardee” refers to anyone who might receive a subaward from a prime awardee (e.g., subawardee, consultant, etc.).

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

HR001123S0053 DSO OFFICE-WIDE BAA 6

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.

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

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

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

As of the date of publication of this solicitation, the Government cannot identify whether the work under this solicitation may be considered fundamental research and may award both fundamental and non-fundamental research.

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.

HR001123S0053 DSO OFFICE-WIDE BAA 7

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) 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

HR001123S0053 DSO OFFICE-WIDE BAA 8

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/

(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.

https://www.dcsa.mil/

HR001123S0053 DSO OFFICE-WIDE BAA 9

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

HR001123S0053 DSO OFFICE-WIDE BAA 10

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

HR001123S0053 DSO OFFICE-WIDE BAA 11

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.

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

HR001123S0053 DSO OFFICE-WIDE BAA 12

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 with specific details that the proposed work, expertise, and facilities are 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. FFRDC proposals that do not include these elements may be deemed non-conforming and removed from consideration.

FFRDCs interested in proposing to this BAA should first contact the Technical Point of Contact (POC) listed in Part I prior to the Abstract due date listed in Part I.

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.

Government Entities interested in proposing to this BAA should first contact the Technical Point of Contact (POC) listed in Part I prior to the Abstract due date listed in Part I.

2. 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. 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

HR001123S0053 DSO OFFICE-WIDE BAA 13

(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.

Include any OCIs affirmations and disclosures in Attachment H: PROPOSAL TEMPLATE

VOLUME 3: ADMINISTRATIVE & NATIONAL POLICY REQUIREMENTS, SECTION 3.

C. Cost Sharing/Matching Cost sharing is not required; however, it will be carefully considered where there is an applicable statutory condition relating to the selected funding instrument (e.g., OTs under the authority of 10 U.S.C. § 4021 & 4022). Cost sharing is encouraged where there is a reasonable probability of a potential commercial application related to the proposed research and development effort.

IV. Application and Submission Information Prior to submitting a full proposal, proposers are strongly encouraged to first submit an executive summary and/or abstract as described below. This process allows a proposer to

HR001123S0053 DSO OFFICE-WIDE BAA 14

ascertain whether the proposed concept is (1) applicable to the DSO Office-wide BAA and (2) currently of interest. For the purposes of this BAA, applicability is defined as follows:

The proposed concept is applicable to the technical areas described herein.

The proposed concept is important to DSO’s current investment portfolio.

The proposed concept investigates an innovative approach that enables revolutionary advances, i.e., will not primarily result in evolutionary improvements to the existing state of practice.

The proposed work has not already been completed (i.e., the research element is complete but manufacturing/fabrication funds are required).

The proposer has not already received funding or a positive funding decision for the proposed concept (whether from DARPA or another Government agency).

Executive summaries, abstracts and full proposals that are not found to be applicable to the DSO Office-wide BAA as defined above may be deemed non-conforming2 and removed from consideration. All executive summaries, abstracts, and full proposals must provide sufficient information to assess the validity/feasibility of their claims as well as comply with the requirements outlined herein for submission formatting, content, and transmission to DARPA.

Executive summaries, abstracts, and full proposals that fail to do so may be deemed non-conforming and removed from consideration. Proposers will be notified of non-conforming determinations via letter.

A. Address to Request Application Package This document contains all information required to submit a response to this solicitation. No additional forms, kits, or other materials are needed except as referenced herein. No request for proposal or additional solicitation regarding this opportunity will be issued, nor is additional information available except as provided at the SAM.gov website (https://sam.gov/), the Grants.gov website (http://www.grants.gov/), or referenced herein.

B. Content and Form of Application Submission

1. Executive Summary Information and Formatting

The executive summary provides a synopsis of the proposed project by concisely answering the following questions (Note: these questions are a subset of the Heilmeier Catechism. Please view http://www.darpa.mil/work-with-us/heilmeier-catechism for more information.):

What is the proposed work attempting to accomplish or do?

How is the work performed today (what is the state of the art or practice), and what are the limitations?

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

What is new in your approach, and why do you think it will be successful?

DARPA will respond to executive summaries with a brief statement either encouraging or discouraging submission of a follow-on abstract or full proposal. In keeping with the intent of the executive summary, these responses will generally be limited to a statement of interest (or lack thereof), rather than providing detailed feedback. DARPA will attempt to reply to executive

2 "Conforming" is defined as having been submitted in accordance with the requirements outlined herein.

https://sam.gov/ http://www.grants.gov/ http://www.darpa.mil/work-with-us/heilmeier-catechism

HR001123S0053 DSO OFFICE-WIDE BAA 15

summaries via e-mail within thirty calendar days of receipt. Regardless of DARPA’s response to an executive summary, proposers may submit an abstract or full proposal.

All proposers are required to use Attachment A: EXECUTIVE SUMMARY TEMPLATE provided as an attachment to the solicitation on https://sam.gov and http://www.grants.gov.

2. Abstract Information and Formatting As stated above, proposers are strongly encouraged to submit an abstract in advance of a full proposal to minimize effort and reduce the potential expense of preparing an out of scope proposal. All proposers are required to use Attachment B: ABSTRACT SUMMARY SLIDE TEMPLATE and Attachment C: ABSTRACT TEMPLATE provided with this solicitation on https://sam.gov/ and http://www.grants.gov. Attachment B: ABSTRACT SUMMARY SLIDE TEMPLATE described herein must be in .ppt, .pptx or .pdf format and should be attached as a separate file to this document.

The abstract provides a synopsis of the proposed project by including the following information:

The proposed technical approach The technical rationale supporting the ability to achieve the metrics The technical and programmatic risks The makeup of the technical team (including the facilities and any proposed subcontractors) High level cost and schedule Availability of proposed staff

DARPA will respond to abstracts with a statement as to whether DARPA is interested in the idea. If DARPA does not recommend the proposer submit a full proposal, DARPA will provide feedback to the proposer regarding the rationale for this decision. Regardless of DARPA’s response to an abstract, proposers may submit a full proposal. DARPA will review all conforming full proposals using the published evaluation criteria and without regard to any comments resulting from the review of an abstract.

Proposers should note that a favorable response to an abstract is not a guarantee that a proposal based on the abstract will ultimately be selected for award negotiation.

While it is DARPA policy to attempt to reply to abstracts within thirty calendar days, proposers to this solicitation may anticipate a response within approximately three weeks. These official notifications will be sent via email to the Technical POC and/or Administrative POC identified on the abstract coversheet.

3. Full Proposal Information and Formatting

a. Proposal Volumes

Full proposals must consist of all 3 volumes described below. To assist in proposal development, templates for these volumes are posted as attachments to this solicitation on https://sam.gov/. The templates are specific to each volume, as outlined below.

Full proposals requesting a procurement contract or Other Transaction (OT) must use the following attachments in each volume:

Volume 1 https://sam.gov/ http://www.grants.gov/ https://sam.gov/ https://sam.gov/

HR001123S0053 DSO OFFICE-WIDE BAA 16

o Attachment D: PROPOSAL SUMMARY SLIDE TEMPLATE o Attachment E: PROPOSAL TEMPLATE VOLUME 1: TECHNICAL &

MANAGEMENT

Volume 2 o Attachment F: PROPOSAL TEMPLATE VOLUME 2: COST o Attachment G: MS ExcelTM DARPA COST PROPOSAL SPREADSHEET

Volume 3 o Attachment H: PROPOSAL TEMPLATE VOLUME 3: ADMINISTRATIVE &

NATIONAL POLICY REQUIREMENTS

Full proposals requesting a grant or cooperative agreement must use the following attachments in addition to the Grants.gov application package:

Volume 1 o Attachment D: PROPOSAL SUMMARY SLIDE TEMPLATE o Attachment E: PROPOSAL TEMPLATE VOLUME 1: TECHNICAL &

MANAGEMENT

Volume 2* o Attachment G: MS ExcelTM DARPA COST PROPOSAL SPREADSHEET

Volume 3 o Attachment H: PROPOSAL TEMPLATE VOLUME 3: ADMINISTRATIVE &

NATIONAL POLICY REQUIREMENTS

* Full proposals requesting a grant or cooperative agreement do not need to include Attachment F. Instead, Budget Justification should be provided as Section L of the SF-424 Research & Related Budget form provided via http://www.grants.gov (see Section IV.E.1.d for additional details). The Budget Justification should include the following information for the recipient and all subawardees:

Direct Labor (sections A and B) - Detail the total number of persons and their level of commitment for each position listed as well as which specific tasks (as described in the SOW) they will support.

Equipment (section C) - Provide an explanation for listed requested equipment exceeding $5,000, properly justifying why it is required to meet the objectives of the program.

Travel (section D) - Provide the purpose of the trip, number of trips, number of days per trip, departure and arrival destinations, number of people, etc. Only travel required to achieve the program goals and metrics will be allowed.

Participant/Trainee Support Costs (section E) - Provide details on Tuition, Fees, Health Insurance, Stipends, Travel, and Subsistence costs.

Other Direct Costs (section F) - Provide a justification for the items requested and an

HR001123S0053 DSO OFFICE-WIDE BAA 17

explanation of how the estimates were obtained.

The Government requires that proposers use the provided MS ExcelTM DARPA Standard Cost Proposal Spreadsheet in the development of their cost proposals. A customized cost proposal spreadsheet may be an attachment to this solicitation. If not, the spreadsheet can be found on the DARPA website at http://www.darpa.mil/work-with-us/contract-management (under “Resources” on the right-hand side of the webpage). All tabs and tables in the cost proposal spreadsheet should be developed in an editable format with calculation formulas intact to allow traceability of the cost proposal. This cost proposal spreadsheet should be used by the prime organization and all subcontractors. In addition to using the cost proposal spreadsheet, the cost proposal still must include all other items required in this announcement that are not covered by the editable spreadsheet. Subcontractor cost proposal spreadsheets may be submitted directly to the Government by the proposed subcontractor via e-mail to the address in Part I of this solicitation. Using the provided cost proposal spreadsheet will assist the Government in a rapid analysis of your proposed costs and, if your proposal is selected for a potential award, speed up the negotiation and award execution process.

All proposers are required to use the appropriate templates based on the type of award requested.

Templates are provided as attachments to this solicitation on https://sam.gov/ and http://www.grants.gov. Full Proposals that do not include the appropriate attachments as detailed here may be deemed non-conforming and may not be evaluated.

a. Other Transaction for Prototype The OT for Prototypes are governed by 10 U.S.C. § 4022 This authority allows DARPA to use OTs for prototype projects directly relevant to enhancing the mission effectiveness of military personnel and the supporting platforms, systems, components, or materials proposed to be acquired or developed by the Department of Defense, or to improvement of platforms, systems, components, or materials proposed to be acquired or developed by the Department of Defense, or to improvement of platforms, systems, components, or materials in used by the Armed Forces.

Unlike the basic OT authority, OTs for Prototypes have unique additional requirements.

Specifically, OTs for Prototypes require that there be at least one nontraditional defense contractor involved, or all significant participants in the transaction must be small businesses or nontraditional defense contractors. A non-traditional defense contractor is defined as an entity that is not currently performing or has not performed in the last one-year period any contract for the Department of Defense that is subject to full Cost Accounting Standards (CAS) coverage. If the proposing team is not composed of the required entities listed above, the team will be required to provide at least 1/3 cost share from their own funds, unless a case can be made for a waiver. Waivers are not common and will require significant justification. Notwithstanding these requirements, OTs for Prototypes offer significant flexibility that would allow for open negotiation of many agreement terms and conditions. DARPA is not required to include the traditional FAR and DFARS clauses in these arrangements but is free to negotiate provisions that are mutually agreeable to both the Government and the entity entering into the agreement.

b. Other Transaction for Research (OT-R) Proposers requesting an Other Transaction for Research (OT-R) awarded under 10 U.S.C.§ 4021 must include the completed form indicated below.

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

HR001123S0053 DSO OFFICE-WIDE BAA 18

The National Defense Authorization Act (NDAA) for FY 2019, Section 1286, directs the Secretary of Defense to protect intellectual property, controlled information, key personnel, and information about critical technologies relevant to national security and limit undue influence, including foreign talent programs by countries that desire to exploit United States’ technology within the DoD research, science and technology, and innovation enterprise. This requirement is necessary for all research and research-related educational activities. The DoD is using the form below to collect the necessary information to satisfy these requirements.

The Research and Related Senior/Key Person Profile (Expanded) form, available on the Grants.gov website at https://apply07.grants.gov/apply/forms/sample/RR_KeyPersonExpanded_3_0-V3.0.pdf, will be used to collect the following information for all senior/key personnel, including Project Director/Principal Investigator and Co-Project Director/Co-Principal Investigator, whether or not the individuals' efforts under the project are funded by the DoD. The form includes 3 parts: the main form administrative information, including the Project Role, Degree Type and Degree Year; the biographical sketch; and the current and pending support. The biographical sketch and current and pending support are to be provided as attachments:

Biographical Sketch: Mandatory for Project Directors (PD) and Principal Investigators (PI), optional, but desired, for all other Senior/Key Personnel. The biographical sketch should include information pertaining to the researchers:

Education and Training.

Research and Professional Experience.

Collaborations and Affiliations (for conflict of interest).

Publications and Synergistic Activities.

Current and Pending Support: Mandatory for all Senior/Key Personnel including the PD/PI. This attachment should include the following information:

A list of all current projects the individual is working on, in addition to any future support the individual has applied to receive, regardless of the source.

Title and objectives of the other research projects.

The percentage per year to be devoted to the other projects.

The total amount of support the individual is receiving in connection to each of the other research projects or will receive if other proposals are awarded.

Name and address of the agencies and/or other parties supporting the other research projects

Period of performance for the other research projects.

Additional senior/key persons can be added by selecting the “Next Person” button at the bottom of the form. Note that, although applications without this information completed may pass Grants.gov edit checks, if DARPA receives an application without the required information, DARPA may determine that the application is incomplete and may cause your submission to be rejected and eliminated from further review and consideration https://apply07.grants.gov/apply/forms/sample/RR_KeyPersonExpanded_3_0-V3.0.pdf

HR001123S0053 DSO OFFICE-WIDE BAA 19

under the solicitation. DARPA reserves the right to request further details from the applicant before making a final determination on funding the effort.

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

“Confidential” is a classification marking used to control the dissemination of U.S.