HR001123S0054-Amendment-01.pdf

HR001123S0054 OPTIM TA2 1

Broad Agency Announcement

Optomechanical Thermal Imaging (OpTIm) Technical Area (TA) 2

Defense Sciences Office

HR001123S0054

Amendment 1

November 29, 2023

HR001123S0054 OPTIM TA2 2

Table of Contents I. Funding Opportunity Description

A. Introduction B. Background C. Program Description/Scope D. Program Structure E. Technical Area Description F. Schedule/Milestones G. Deliverables H. Other Program Objectives and Considerations

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 D. Ability to Support Classified Development

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

V. Application Review Information A. Evaluation Criteria B. Review and Selection Process C. Handling of Source Selection Information D. 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. Proposers Day B. Frequently Asked Questions (FAQs) C. Collaborative Efforts/Teaming

BAA Attachments:

• Attachment A: ABSTRACT SUMMARY SLIDE TEMPLATE

• Attachment B: ABSTRACT TEMPLATE

• Attachment C: PROPOSAL SUMMARY SLIDE TEMPLATE

• Attachment D: PROPOSAL TEMPLATE VOLUME 1: TECHNICAL & MANAGEMENT

• Attachment E: PROPOSAL TEMPLATE VOLUME 2: COST

• Attachment F: MS ExcelTM DARPA COST PROPOSAL SPREADSHEET

• Attachment G: PROPOSAL TEMPLATE VOLUME 3: ADMINISTRATIVE & NATIONAL POLICY REQUIREMENTS

• Attachment H: SECURITY CLASSIFICATION GUIDE AND CLASSIFIED ADDENDUM REQUEST FORM

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PART I: OVERVIEW INFORMATION

• Federal Agency Name: Defense Advanced Research Projects Agency (DARPA), Defense Sciences Office (DSO)

• Funding Opportunity Title: Optomechanical Thermal Imaging (OpTIm) Technical Area (TA) 2

• Announcement Type: Amendment

• Funding Opportunity Number: HR001123S0054

• Catalog of Federal Domestic Assistance (CFDA) Number(s): 12.910 Research and Technology Development

• Dates (All times listed herein are Eastern Time.)

o Posting Dates:

o Initial Announcement: September 13, 2023 o Amendment 1: November 29, 2023 o Proposers Day: September 15, 2023. See Section VIII.A.

o Request for Security Classification Guidance (SCG) and Classified Addendum: May be made immediately after BAA posting and must be made by September 18, 2023 at 4:00 p.m. See Section IV.B.5.a. Note that proposers should allow at least ten (10) business days for processing requests and delivery of the SCG and Classified Addendum.

o Abstract Due Date: October 6, 2023, 4:00 p.m.

o FAQ Submission Deadline: November 24, 2023, 4:00 p.m. See Section VIII.B.

o Full Proposal Due Date: December 11, 2023, 4:00 p.m.

• Anticipated Individual Awards: DARPA anticipates multiple awards.

• Types of Instruments that May be Awarded: Procurement contracts or Other Transaction agreements for Prototypes.

• Agency contacts o Technical POC: Mukund Vengalattore, Program Manager, DARPA/DSO o BAA Email: OpTIm@darpa.mil o BAA Mailing Address:

DARPA/DSO

ATTN: HR001123S0054

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

• Teaming Information: See Section VIII.C for information on teaming opportunities.

mailto:OpTIm@darpa.mil https://www.darpa.mil/work-with-us/opportunities?oFilter=DSO

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

• Security: OpTIm TA2 is a classified program operating at the SECRET level. See Section IV.B.4 for more details.

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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 Defense Sciences Office (DSO) at the Defense Advanced Research Projects Agency (DARPA) is soliciting innovative research proposals in the area of thermal imaging and infrared detection based on low-SWaP, room-temperature sensors. This solicitation is for Technical Area (TA) 2 of the Optomechanical Thermal Imaging (OpTIm) program. Proposed research should investigate innovative approaches that enable revolutionary science, devices, or systems’ advances. Specifically excluded is research that primarily results in evolutionary improvements to the existing state of practice. TA2 of the OpTIm program is a classified effort. In order to be considered for award, all primary contractors must have an existing facility clearance license (FCL) and personnel with existing or the ability to obtain a collateral secret security clearance.

This unclassified BAA provides generalities for the OpTIm TA2 effort; program specifics are detailed in the Classified Addendum that will be made available to potential proposers after verifying eligibility. Performers will require collateral SECRET clearances and access to both an accredited facility and secure communications in order to support classified development OR proposers must team with an organization that has personnel with collateral SECRET clearances and access to both an accredited facility and secure communications in order to support classified development.

Please see Attachment H of this BAA for instructions on how to request the Classified Addendum as well as the Security Classification Guide (SCG) for the OpTIm TA2 effort.

B. Background

Quantum-limited and spectrally-resolved photodetection and imaging in the infrared spectrum can transform a wide range of applications of crucial importance to the Department of Defense (DoD). Although state-of-the-art (SoA) infrared (IR) photodetectors can attain quantum levels of sensitivity and offer superior performance compared to room-temperature microbolometers, the requirement of cryogenic cooling limits their widespread use. Current IR photodetection technologies are further limited by numerous technical issues including low material responsivity, lack of adequate spectral resolution, high levels of electronic noise, fabrication complexities, and limitations of readout integrated circuits (ROICs).

These numerous limitations, ranging from the fundamental to the technical, cumulatively lead to poor fabrication yields, low fidelity, poor performance, and high cost. The OpTIm TA2 effort will demonstrate new modalities of detection, readout, and tunability that can lead to quantum-limited performance while retaining low size, weight, power, and cost (SWaP-c) room temperature operability.

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C. Program Description/Scope

The OpTIm TA2 effort seeks to enable transformative advances and novel capabilities in infrared imaging systems by combining innovations in quantum metrology, nanophotonics, and functional materials engineering. Of particular interest are innovative concepts that enable beyond-SoA capabilities in IR sensitivity, acquisition speed, and dynamically adaptable thermal imaging in various regions of the infrared spectrum. Please see the OpTIm TA2 Classified Addendum for additional information.

Out-of-scope activities include efforts that primarily result in evolutionary improvements to the existing SoA in IR detection technology; efforts to improve upon current SoA in microbolometer technology via enhancements to ROICs; improvements to microbolometer material growth, fabrication, or other efforts primarily oriented towards increasing the responsivity of microbolometer materials; and efforts to obtain enhanced IR detection performance via cryogenic or other forms of cooling. Abstracts and proposals that focus on the above-mentioned topics may be determined to be non-conforming and may be removed from consideration.

D. Program Structure

TA2 of OpTIm is a 48-month effort broken into three phases. OpTIm TA2 will use a Phased Acquisition Approach. Proposers must provide a fully definitized cost proposal for the Phase I Base and a draft Statement of Work (SOW) and Rough Order of Magnitude (ROM) cost for Phases II and III. DARPA will request fully definitized proposals for Phase II from Phase I performers during Phase I and will request fully definitized proposals for Phase III from Phase II performers during Phase II. Phase II and III proposals will be evaluated using criteria consistent with the criteria in Section V of this BAA. TA2 is structured as follows:

• TA2 Phase I Base (18 months) will focus on the fabrication, integration, and characterization of the thermal imaging systems. Progress will be assessed against the overarching detector attributes of interest to the DoD, as outlined in the Classified Addendum. Program reviews will take place at months 8 and 15 to assess performer progress against Phase I metrics and to facilitate DARPA’s Phase II selection decisions.

Prior to the end of the TA2 Phase I Base period, DARPA may issue proposal instructions to Phase I performers, as required, for a potential follow-on TA2 Phase II. The additional proposal instructions will require both a cost and technical proposal to address the goals and objectives of TA2 Phase II. Selection for TA2 Phase II will be contingent on performance in TA2 Phase I, selectability of TA2 Phase II proposals, and availability of funds.

• TA2 Phase II Draft SOW and Rough Order of Magnitude (ROM) (18 months) will build upon Phase I efforts, focusing on application-specific development of the thermal imaging systems. Program reviews will take place during Phase I at months 22 and 33 to assess performer progress against Phase I metrics and to facilitate DARPA’s Phase II selection decisions. Prior to the end of the Phase II period, DARPA may issue proposal instructions to TA2 Phase II performers as required for a potential follow-on TA2 Phase III. The additional proposal instructions will require both a cost and technical proposal to address the goals and objectives of TA2 Phase III. Selection for Phase III will be

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contingent on performance in TA2 Phase II, selectability of TA2 Phase III proposals and availability of funds.

• TA2 Phase III Draft SOW and ROM (12 months) Phase III will include a dedicated effort to transition performer-developed technologies to interested U.S. Government or independent verification and validation (IV&V) partners. It is anticipated that certain capabilities that are desirable for transition will be identified during TA2 development.

Performers selected for Phase III of the OpTIm TA2 effort will be expected to fully document their methods to facilitate transition of applicable techniques, technologies, calibration methods, and fabrication protocols.

E. Technical Area Description

Efforts within OpTIm TA2 are anticipated to generate information subject to Controlled Unclassified Information (CUI) or Controlled Technical Information (CTI) controls. Potential award instruments for proposals containing CUI will be limited to contracts or Other Transactions. Proposers should review BAA Section VI.B.6 regarding DoD requirements related to protection of CUI and CTI. In addition, proposers should review Attachment H: Controlled Unclassified Information (CUI) Guide to assist in proposal preparation.

Please see the OpTIm TA2 Classified Addendum for additional information.

F. Schedule/Milestones

The OpTIm TA2 effort is structured to demonstrate, characterize, and benchmark a new class of room-temperature IR detectors relevant to applications of interest to the DoD. Note that this BAA solicits proposals for the 18-month base period of the TA2 effort. Proposers should specify the research and technology development schedule for the 18-month base period of performance.

The Statement of Work (SOW) should provide a detailed task breakdown, citing specific tasks and interim milestones and metrics, as applicable. Proposers should provide a technical and programmatic strategy that conforms to the TA2 Phase I schedule and presents an aggressive plan to fully address all program goals, metrics, milestones, and deliverables of Phase I of the TA2 effort. The task structure should be consistent across the proposed schedule, Statement of Work, and cost volume. Proposers must provide draft SOWs and ROM costs for TA2 Phases II and III.

Program Schedule

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A target start date of July 2024 may be assumed for planning purposes. Schedules will be synchronized across performers, as required, and monitored/revised as necessary throughout the program. It is anticipated that performers within TA2 of the OpTIm program may be required to attend program review meetings of the OpTIm TA1 effort. Please refer to the OpTIm TA1 BAA

(HR001122S0055)0F

1 for details of the TA1 schedule. Aside from attendance at TA1 review meetings, it is not anticipated that there will be programmatic or scheduling dependencies between TA1 and TA2 of the OpTIm program.

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

o To continue integration and development across the program, foster collaboration between teams, and disseminate program developments, a two-day Principal Investigator (PI) meeting will be held approximately every six months with locations split between the east and west coasts of the United States. For budgeting purposes, plan for nine two-day meetings over the course of 60 months: six meetings in the Washington, D.C., area and three meetings in the San Francisco, California, area.

o Regular teleconference meetings will be scheduled with the Government team for progress reporting as well as problem identification and mitigation. Proposers should anticipate at least one site visit per phase by the DARPA Program Manager, during which they will have the opportunity to demonstrate progress towards agreed-upon milestones.

Please see the OpTIm TA2 Classified Addendum for additional information.

G. Deliverables

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

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

• A phase completion report submitted within 30 days of the end of each phase, summarizing the research done.

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

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

• Reporting as outlined in Section VI.C.

Please see the OpTIm TA2 Classified Addendum for additional information.

1 https://sam.gov/opp/ad090fdd991d4478b72efd30f37d89d0/view https://sam.gov/opp/ad090fdd991d4478b72efd30f37d89d0/view)

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H. Other Program Objectives and Considerations

1. Collaboration

Throughout the course of the program, it is likely to be necessary for all performers—regardless of category—to share relevant information regarding their research and development to support the larger program goals. DARPA expects all program performers to work collaboratively with one another to realize the program objectives outlined herein, so proposers should carefully review the goals for the entire program in order to fully understand the context of each program objective, performer category, and TA within the overall program structure. All proposals should describe plans for ensuring transparency of their processes to enable interactions with other program performers. Proposals that fail to include these plans may be deemed non-conforming and removed from consideration.

2. Intellectual Property It is expected that the technical data developed under OpTIm TA2 will be provided to the Government with Government Purpose Rights at a minimum.

Any proposed use of intellectual property (patents, proprietary information, etc.) should be clearly identified in the proposal. Identify all intellectual property claims to future results, prototypes, and deliverables. Explain how these claims may limit the Government use of the technology developed under the OpTIm TA2 program or development of derivative technologies. See Section VI.B.4 for more information related to intellectual property. If there are no Intellectual Property claims, this should be stated.

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 proposers1F

2 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;

2 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 or Other Transactions. “Subawardee” refers to anyone who might receive a subaward from a prime awardee (e.g., subawardee, consultant, etc.).

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

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

• 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 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.

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

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design, production, and product utilization, the results of which ordinarily are restricted for proprietary or national security reasons.

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

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

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 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

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

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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 participating in the OpTIm TA2 program or 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 to discuss eligibility.

3. 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 participating in the OpTIm TA2 effort or 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 to discuss eligibility.

4. 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.

5. Other Applicants

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

B. Organizational Conflicts of Interest

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

Agency Supplemental OCI Policy

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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 G: VOLUME 3:

ADMINISTRATIVE & NATIONAL POLICY REQUIREMENTS.

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). Cost sharing is encouraged where there is a reasonable probability of a potential commercial application related to the proposed research and development effort.

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

D. Ability to Support Classified Development

OpTIm TA2 is a classified program operating at the collateral SECRET level. Primary contractors are authorized to grant access to personnel with existing personnel clearances (PCLs) and a substantiatied need-to-know to execute their scope. Primary contractors are responsible for the security structure within their OpTIm TA2 effort and shouldsubmit a proposed security plan as part of their Abstract submissions. Full Proposal submissions must include a security plan as part of their Attachment G: PROPOSAL TEMPLATE VOLUME 3: ADMINISTRATIVE & NATIONAL POLICY REQUIREMENTS (note – proposed security plan will not count against

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the Abstract or Full proposal page limitations). Full proposals that do not include a security plan may be deemed non-conforming and excluded from competition. Should primary contractors want or need to use uncleared subcontractors for TA2, they must detail how critical program information and classified information will be protected in their security plans.

IV. Application and Submission Information

Prior to submitting a full proposal, proposers are strongly encouraged to first submit an abstract as described below. This process allows a proposer to ascertain whether the proposed concept is (1) applicable to the OpTIm TA2 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).

Abstracts and full proposals that are not found to be applicable to the OpTIm TA2 BAA as defined above may be deemed non-conforming2F

3 and removed from consideration. All 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. 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, in conjunction with the SCG and Classified Addendum, 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/), or referenced herein.

B. Content and Form of Application Submission

1. 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 A: ABSTRACT SUMMARY SLIDE TEMPLATE and Attachment B: ABSTRACT TEMPLATE provided with this solicitation on

3 "Conforming" is defined as having been submitted in accordance with the requirements outlined herein https://sam.gov/

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https://sam.gov/. Attachment A: 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

• A proposed security plan outlining the security and management measures to support classified development (not included in total Abstract page count)

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.

2. 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 must use the following attachments in each volume:

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

MANAGEMENT

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• Volume 23F o Attachment E: PROPOSAL TEMPLATE VOLUME 2: COST o Attachment F: MS ExcelTM DARPA COST PROPOSAL SPREADSHEET

• Volume 3 o Attachment G: PROPOSAL TEMPLATE VOLUME 3: ADMINISTRATIVE &

NATIONAL POLICY REQUIREMENTS

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/. Full Proposals that do not include the appropriate attachments as detailed here may be deemed non-conforming and may not be evaluated.

3. 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. Government National Security Information as dictated in Executive Order 13526 and should not be used to identify proprietary business information.

4. Controlled Unclassified Information (CUI) and Controlled Technical Information (CTI) on Non-DoD Information Systems

Proposers and awardees are subject to the DoD requirements related to protection of CUI and CTI IAW Executive Order 13556, Controlled Unclassified Information, DFARS 252.204-7000, Disclosure of Information, DFARS 252.204-7012, Safeguarding Covered Defense Information and Cyber Incident Reporting, DoD Instruction 5200.48, Controlled Unclassified Information, DoD Instruction 8582.01, Security of Non-DoD Information Systems Processing Unclassified Nonpublic DoD Information. See http://www.darpa.mil/work-with-us/additional-baa for

4 All costs included in Volume 2 Attachments E and F must be expressed in US Dollars (USD).

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

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additional guidance on protecting CUI on Non-DoD Information Systems.

CUI is defined as unclassified information that requires safeguarding or dissemination controls, pursuant to and consistent with applicable law, regulations, and Government-wide policies.

Controlled Technical Information (CTI) is defined as technical information with military or space application that is subject to controls on its access, use, reproduction, modification, performance, display, release, disclosure, or dissemination. The term CTI does not include information that is lawfully publicly available without restrictions.

DoD considers “technical information” to be technical data or computer software, as those terms are defined in Defense Federal Acquisition Regulation Supplement clause 252.227-7013, "Rights in Technical Data - Noncommercial Items" (48 CFR 252.227-7013). Examples of technical information include research and engineering data; engineering drawings and associated lists;

specifications, standards, process sheets, manuals, technical reports, technical orders, catalog-item identifications, data sets, studies and analyses and related information; and computer software code. Note that such technical information may or may not be controlled (i.e., CTI), depending on whether it has military or space application.

As part of Attachment D: PROPOSAL TEMPLATE VOLUME 1: TECHNICAL & MANAGEMENT, the proposer should include a statement of work with a breakdown of all research tasks and subtasks and indicate the proposed classification for each. For all tasks and subtasks proposed to be unclassified, proposers should distinguish between work proposed to be Fundamental Research versus work proposed to be CUI. Proposers will provide a short explanation for why each subtask should be categorized as Fundamental Research or CUI.

If CUI tasks are proposed in the statement of work, proposers must provide a plan for protecting Controlled Unclassified Information as part of Attachment G: PROPOSAL TEMPLATE VOLUME 3: ADMINISTRATIVE & NATIONAL POLICY REQUIREMENTS, Section 8.

CTI is to be marked “DISTRIBUTION C. Distribution authorized to U.S. Government agencies and their contractors; Critical Technology; [current date]. Other requests for this document shall be referred to DARPA, DSO” in accordance with Department of Defense Instruction 5203.24, “Distribution of Statements on Technical Documents.”

5. Security Information

Generating abstracts and proposals for the effort being solicited by this BAA will require access to classified information. Contractual instruments resulting from these proposals may require access to, or generation of, classified information. It is anticipated that proposals submitted to this solicitation may be classified at up to the SECRET level. Security classification guidance via a Security Classification Guide (SCG) and/or DD Form 254, “DoD Contract Security Classification Specification,” can be requested along with the Classified Addendum per the instructions in Section IV.B.5.a.

Proposers will ensure all industrial, personnel, and information systems processing security requirements are in place and at the appropriate level (e.g., Facility Clearance Level (FCL), Automated Information Security (AIS), Certification and Accreditation (C&A), and any Foreign Ownership Control and Influence (FOCI) issues are mitigated prior to submission. Additional

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information on these subjects can be found at http://www.dss.mil.

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

a. Requesting the Security Classification Guide and Classified Addendum

A formal request for the Security Classification Guide (DARPA-CG-1200) and Classified Addendum may be submitted by filling out Attachment H SECURITY CLASSIFICATION GUIDE AND CLASSIFIED ADDENDUM REQUEST FORM and emailing the Request Form to OpTIm@darpa.mil with subject line titled, “Request HR001123S0054 Security Classification Guide and Classified Addendum.”

The HR001123S0054 Attachment H SECURITY CLASSIFICATION GUIDE AND CLASSIFIED ADDENDUM REQUEST FORM is the only method of request that will be accepted. Security classification guidance via a Security Classification Guide and a DD Form 254, "DoD Contract Security Classification Specification," will be provided with the Classified Addendum.

It is the proposer’s responsibility to ensure that they fully familiarize themselves with the Security Classification Guide prior to reading the Classified Addendum and preparing abstracts and/or proposals for submission.

Requests for the Classified Addendum should include, at a minimum, the company name, Technical POC name and phone number, Facility Security Officer (FSO) name and phone number, CAGE code, statement of facility clearance and safeguarding capability, and a valid U.S. Postal Service address for receiving classified material at the SECRET level. If requesting receipt via classified email, include the network (i.e. DSWAN / SIPRNET / DSN / JWICS / SAVANNAH) and a valid email address. DARPA will verify the facility clearance and the clearance of the recipient before e-mailing via secure system or mailing the classified material.

Requests for the Classified Addendum should be received by no later than the due date and time specified in Part I: “Overview Information” to allow adequate time to have classified material provided to them in support of HR001123S0054. Proposers should allow at least five (5) business days for processing requests for the Classified Addendum plus time for delivery.

Requests will be handled on a first in, first out basis. Incomplete or inaccurate forms will be returned to sender along with a notification of what needs to be corrected. Any new request will be processed based on the date of when the revised request form is received.

Proposers choosing to submit classified information from other collateral classified sources (i.e., sources other than DARPA) must ensure: (1) they have permission from an authorized individual at the cognizant Government agency (e.g., Contracting Officer, Program Manager); (2) the submission is marked in accordance with the source Security Classification Guide (SCG) from which the material is derived; and (3) the source SCG is provided along with the submission.

Proposers submitting classified information must have, or be able to obtain prior to award, cognizant security agency approved facilities, information systems, and appropriately cleared/eligible personnel to perform at the classification level proposed. This includes ensuring all industrial, personnel, and information systems processing security requirements are in place http://www.dss.mil/ mailto:OpTIm@darpa.mil

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and at the appropriate level (e.g., Facility Clearance Level, Automated Information Security, Assessment and Authorization). Furthermore, all proposed personnel who will be performing Information Assurance (IA)/Cybersecurity related duties on classified Information Systems shall meet the requirements set forth in DoD Manual 8570.01-M (Information Assurance Workforce Improvement Program).

Additional information on the subjects discussed in this section may be found at https://www.dcsa.mil/.

b. Classified Submission Requirements and Procedures

Classified submissions, to include classified Abstracts and Full Proposals, shall be marked and transmitted in accordance with the guidance outlined herein. Submissions containing Classified National Security Information (as defined by Executive Order 13526) must be conspicuously marked with the appropriate classification level and declassification date of both the submitted materials and that of the anticipated award.

i. Undetermined Classification Level

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

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

Such submissions shall be transmitted in accordance with the appropriate instructions below applicable to the proposed classification level.

ii. Confidential and Secret Information

Use transmission, classification, handling, and marking guidance provided by previously issued SCGs, the DoD Information Security Manual (DoDM 5200.01, Volumes 1 - 3), and the National Industrial Security Program Operating Manual, including the Supplement Revision 1, (DoD 5220.22-M and DoD 5200.22-M Sup. 1) when submitting Confidential and/or Secret classified information.

Confidential and Secret classified information may be submitted via ONE of the following methods:

• Electronic submittal via DSWAN, SIPRNET, DSN, JWICS or SAVANNAH.

Please contact the DARPA Program Security Representative (PSR), Filagot Taye at 571-218-4482, Filagot.taye@darpa.mil for instructions.

• Hand-carried by an appropriately cleared and authorized courier to the

DARPA Classified Document Registry (CDR). Prior to traveling, the courier shall contact the DARPA CDR at 703-526-4052 to coordinate arrival and delivery.

• Mailed via U.S. Postal Service (USPS) Registered Mail or USPS Express https://www.dcsa.mil/ mailto:571-218-4482 mailto:Filagot.taye@darpa.mil

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Mail. All classified information will be enclosed in opaque inner and outer covers and double-wrapped. The inner envelope shall be sealed and plainly marked with the assigned classification and addresses of both sender and addressee.

The inner envelope shall be addressed to:

Defense Advanced Research Projects Agency ATTN: DARPA/DSO BAA Office Reference: HR001123S0054 675 North Randolph Street Arlington, VA 22203-2114

The outer envelope shall be sealed with no identification as to the classification of its contents and addressed to:

Defense Advanced Research Projects Agency Security & Intelligence Directorate, Attn: CDR 675 North Randolph Street Arlington, VA 22203-2114

iii. Top Secret Information

Use classification, handling, and marking guidance provided by previously issued SCGs, the DoD Information Security Manual (DoDM 5200.01, Volumes 1 - 3), and the National Industrial Security Program Operating Manual, including the Supplement Revision 1, (DoD 5220.22-M and DoD 5200.22-M Sup. 1). Top Secret information must be hand-carried by an appropriately cleared and authorized courier to the DARPA CDR. Prior to traveling, the courier shall contact the DARPA CDR at 703-526-4052 to coordinate arrival and delivery.

iv. Sensitive Compartmented Information (SCI)

SCI must be marked, managed and transmitted in accordance with DoDM…