Darpa-baa-10-83 Final 08 September 2010[1]

8/8/2019 Darpa-baa-10-83 Final 08 September 2010[1]

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DARPA-BAA-10-83, Strategic Technologies

Strategic Technology Office (STO) Broad Agency

Announcement (BAA)

DARPA-BAA-10-83

Strategic Technologies

8 September 2010

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TABLE OF CONTENTS

Part One: Overview Information .................................................................................................4 Part Two: Full Text of Announcement ........................................................................................5 1. Funding Opportunity Description ........................................................................................5

1.1. PROGRAM OVERVIEW ................................................................................................. 5 2. Award Information ..............................................................................................................10 3. Eligibility Information .........................................................................................................10

3.1 ELIGIBLE APPLICANTS .............................................................................................. 11 3.1.1 Procurement Integrity, Standards of Conduct, Ethical Considerations, and

Organizational Conflicts of Interest .................................................................................. 11 3.2 COST SHARING/MATCHING ...................................................................................... 12

4. Application and Submission Information ..........................................................................12 4.1 ADDRESS TO REQUEST APPLICATION PACKAGE ............................................. 12 4.2 SECURITY AND PROPRIETARY ISSUES ................................................................. 12 4.3 CONTENT AND FORM OF APPLICATION SUBMISSION .................................... 14

4.3.1 Submission Guidelines ............................................................................................... 14 4.3.2 Restrictive Markings on Proposals........................................................................... 16 4.3.3 Executive Summary Information ............................................................................. 16 4.3.4 Executive Summary Format ..................................................................................... 17 4.3.5 Proposal Abstract and Discussion with a DARPA/STO PM ................................. 17 4.3.6 Proposal Abstract Format ......................................................................................... 18 4.3.7 Proposal Format......................................................................................................... 18

5. Application Review Information ........................................................................................24 5.1 EVALUATION CRITERIA ............................................................................................ 24

5.1.1 Overall Scientific and Technical Merit .................................................................... 24 5.1.2 Potential Contribution and Relevance to the DARPA Mission ............................. 24 5.1.3 Proposer’s Capabilities and/or Related Experience ............................................... 24 5.1.4 Cost and Schedule Realism ....................................................................................... 25 5.1.5 Plans and Capability to Accomplish Technology Transition ................................. 25

5.2 REVIEW AND SELECTION PROCESS ...................................................................... 25 6. Award Administration Information ...................................................................................26

6.1 AWARD NOTICES .......................................................................................................... 26 6.2 ADMINISTRATIVE AND NATIONAL POLICY REQUIREMENTS ...................... 26

6.2.1 Meeting and Travel Requirements ........................................................................... 26 6.2.2 Human Use ................................................................................................................. 27 6.2.3 Animal Use .................................................................................................................. 27 6.2.4 Publication Approval ................................................................................................. 28 6.2.5 Export Control ........................................................................................................... 29 6.2.6 Subcontracting ........................................................................................................... 30 6.2.7 Electronic and Information Technology .................................................................. 31






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Part One: Overview Information

• Federal Agency Name – Defense Advanced Research Projects Agency (DARPA),Strategic Technology Office

• Funding Opportunity Title – Strategic Technologies

• Announcement Type – Initial announcement• Funding Opportunity Number – Broad Agency Announcement (BAA) DARPA-BAA-

10-83

• Catalog of Federal Domestic Assistance Numbers (CFDA) – 12.910 Research andTechnology Development

• Dates

o BAA Posting Date: 8 September 2010

o BAA Closing Date: 7 September 2011

• Anticipated individual awards – Multiple awards are anticipated.

• Types of instruments that may be awarded -- Procurement contract, grant, cooperativeagreement or other transaction.

• Agency contact--

The BAA Coordinator for this effort can be reached at [email protected].

DARPA/STO

ATTN: DARPA-BAA 10-83

3701 North Fairfax Drive

Arlington, VA 22203-1714




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Part Two: Full Text of Announcement

1. FUNDING OPPORTUNITY DESCRIPTION

The Defense Advanced Research Projects Agency often selects its research efforts through the

Broad Agency Announcement (BAA) process. The BAA will appear first on the FedBizOppswebsite, http://www.fedbizopps.gov/, and/or Grants.gov website at http://www.grants.gov/. Thefollowing information is for those wishing to respond to the BAA.

The Defense Advanced Research Projects Agency’s (DARPA) Strategic Technology Office(STO) is soliciting innovative proposals under this BAA for the performance of research,development, design, and testing that directly supports Strategic Technology Office (STO). Thisincludes Communications, Networks and Electronic Warfare; Cyber; Energy and Self-SufficientOperations; Finding Difficult Targets; Recapturing Surprise; and Core Strategic Technologies.Proposed research should investigate innovative approaches that enable revolutionary advancesin science, devices, or systems. Specifically excluded is research that primarily results in

evolutionary improvements to the existing state of practice.

1.1. PROGRAM OVERVIEW

Research supporting any of STO's broad mission objectives identified in the FundingOpportunity Description above may be submitted under this BAA. Topic areas of specificinterest include, but are not limited to, the following:

I. Communications, Networks and Electronic Warfarea. Applications, architecture, control and management, and hardware systems for multi-

terabit, fiber-optic core, edge and mobile-platform networks;

b. Approaches to inter-connect wave-division multiplexed backbone communicationsinfrastructures with IP-based metropolitan networks (may include routediscovery/distribution and new addressing schemes);

c. Miniature, low power sensors and networks;d. Network centric warfare, including novel approaches to the development,

implementation, and control of networked weapons systems;e. Network storage and caching protocols for reducing long-haul communications loads;f. New approaches to self-forming, wireless, mesh networks of over 10,000 devices

with high throughput (at least 50 Mbps across the network between two end-points);This may include work on multiple frequencies, graph partitioning, and sub-netallocations;

g.

Novel approaches for the development, implementation and control of heterogeneousnetworks of human decision makers and human-operated or autonomous sensors andweapons;

h. Novel approaches to effect collaboration among human decision makers inheterogeneous, coalition environments;

i. Novel approaches to monitor, visualize and recommend alternative courses-of-actionin the management and defense of massive, heterogeneous wide-area networks (5million nodes);




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j. Size-weight-power reduced soldier electronics and communications devices;k. Sensing and communication applications in high multipath urban environments;l. Unmanned systems - Heterogeneous networks of vehicles and sensors;m. Distributed multi-static sensor networks;n. Improved communications across rugged terrain among assets, and for exfiltration

uplinks;o. Novel communications for distributed sensors and platforms over expansive maritimeoperating areas;

p. Communication protocols for wireless distributed computing;q. Novel cognitive techniques for improving the performance of cognitive radios and

cognitive networks;r. Cognitive techniques to recognize emergent behaviors of complex networks, and

respond appropriately to those emergent behaviors;s. Breakthrough techniques for visualization or human understanding of properties of

many or all layers of protocol in communication waveforms;t. Smart antenna technologies;

u.

Multimission software defined communication architectures;v. Advanced nonlinear signal processing techniques for communication waveformdesign, synthesis, modulation, acquisition or demodulation;

w. Processor architectures leading to dramatic power savings in communication radio or sensor implementation;

x. Sensor information compression by extracting and source coding actionableintelligence;

y. Autonomous situational awareness and adaption of electronic systems;z. Generation and detection of high frequency gravitational waves;aa. Novel approaches to derive confidence of identity of remote information, users,

processes, and devices in dynamic, untrusted, networked environments; bb. Novel approaches to measure, compare, and assess alternative information

operations tools and effects;cc. Trustworthy computing in mobile environments;dd. Methods to protect against network disruption;ee. Identification of influence propagated across disparate networks;ff. Software tools for communication waveform development and deployment;gg. Electrically small antennae;hh. Simultaneously receive and transmit technologies;ii. Distributed electronic warfare concepts.

II. Cyber

a. Novel approaches to quantify information assurance security; b. Novel methods to deter cyber adversaries;c. Novel microprocessor/computing architectures to support secure computing;d. Novel technologies to revolutionize cyber security testing and evaluation;e. Autonomous protection or reconstitution of large network environments from cyber

attacks;f. Computer forensic and software protection technologies;g. Non-standard approaches to reverse engineer computer binary images;




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h. Methods for inference of intent for applications, systems, or communications;i. Security analysis of embedded systems; j. Ways to dynamically extend capabilities and functionality of existing applications

and systems;k. Identification of insider threats within local area networks;

l.

Code, application, and network styleometry;m. System identification from novel observations and events;n. Identification of interrelationships or dependences across all areas of computer and

network operations;o. Economics and game theory models within computer security.

III. Energy and Self-Sufficient Operationsa. Novel low weight/high efficiency power generator technologies; b. Power harvesting technologies and devices;c. Energy-related power systems and portable power technologies;d. Geothermal energy systems;

e. High power density air independent propulsion;f. Power harvesting technologies and devices from earth's electro-magnetic or magneto-

telluric fields;g. Large scale efficient energy storage;h. Large scale efficient hydrogen storage;i. High efficiency electrolyzers; j. Regenerative or reverse solid oxide fuel cells;k. Fuel flexible generator;l. Technologies for operating with thermal vents: extracting energy, discovering, and

surveying;m. Air independent energy storage and generation systems.

IV. Finding Difficult Targetsa. Close-in and standoff sensor concepts; b. Determining structural layout or locations of specific vulnerabilities;c. Development and demonstration of technologies to find unknown facilities, on both

strategic and tactical timelines;d. Identification of facility function;e. Monitoring pace of activity;f. Enhancing post-attack bomb damage assessment (BDA);g. Exploitation of novel observables or substantially improved methods of

detecting/analyzing observables, including active source methods;h. Improved deployable ground and airborne sensors;i. New methods for characterizing activities associated with tunnels and caves, to

include small and unimproved sites, in both urban and rural areas; j. New methods for sensor and system modeling;k. Large geophysical inversions of multi-source data;l. Global tailored tactical surveillance;




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m. Novel systems and enabling technologies for high-resolution, deep sub-canopyimaging;

n. Wide-area urban tracking architectures;o. Low cost stand-off concealed weapons detection; p. Miniature, low power sensors and networks;

q.

Non-acoustic bullet detection and tracking technology;r. Non-cooperative LPD building interior imaging systems;s. Novel laser remote sensing, laser radar, LADAR and LIDAR systems concepts,

techniques and enabling technologies;t. Novel methods for tracking, localization, and identification;u. Novel miniature, low cost RADAR system concepts;v. Novel precision navigation and real-time targeting systems concepts and

technologies;w. Novel systems and enabling technologies for high-resolution, deep sub-canopy

imaging;x. Positive detection of urban threats;

y.

Wide-area urban tracking architectures / methods for rapid cueing of wide-areasurveillance systems;z. Novel technologies and systems to identify threats prior to building entry;aa. Sensor systems for determining building layouts and personnel within buildings; bb. Maritime surveillance systems and technologies;cc. Unique concepts for tagging, tracking, and locating;dd. Non-traditional approaches for active low-power sonar;ee. Solutions for rapid deployment of multiple small-scale sensors;ff. Novel submarine signature exploitation for detection and classification;gg. Advanced 3D image processing, analysis and feature extraction approaches;hh. Lensless and computational imaging;ii. Enabling active electro-optical sensing technology and system concepts for advanced

sensing and countermeasures; jj. Ultra-sensitive R.F. receivers;kk. Remote detection of concealed explosives;ll. Long-range laser radar systems;mm. High-resolution 3-D imaging systems;nn. Innovative urban sensing systems and networked architectures;oo. Innovative thermal inertia imaging technologies and concepts; pp. Novel synergistic EW/ISR approaches;qq. Remote optical sensing technologies;rr. Miniature, low power underwater (water column and bottom mounted) sensors and

networks;ss. Deep Ocean surveillance sensing technology for monitoring: submarines, critical

infrastructure, surface activity, and shore activity;tt. Novel non-acoustic ASW sensing technology that exploits extended or secondary

signatures;uu. Remote detection of acoustic signals on the ocean surface from aircraft;vv. Efficient, high energy per pulse, high PRF blue laser transmitter, with a narrow

bandwidth receiver filter and high quantum efficiency receiver.




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V. Recapturing Surprisea. Chemical, biological, radiological, nuclear, and environmental sensors; b. Sensing approaches for material identification;c. Proximate sensing using cellular automata;d. Long-range sensing of WMD development and deployment; countermeasures;e. Advanced sighting systems for tactical operations;f. Direction finding capabilities for urban applications;g. Novel approaches for the development and implementation of irregular warfare;h. Novel technologies to enable tactical, operational, and strategic level distributed

operations;i. Signature reduction (low probability of detection/intercept); j. Tactical lighting and imaging devices and technologies (including both visible and IR

spectrum);k. Tactical optical systems that aid and enhance the ability of the warfighter;l. Novel approaches to significantly reduce the cost of undersea warfare without

compromising capability;m. Breathalyzer for rapid and sensitive determination of human health;n. Shock mitigation for high speed maritime platforms;o. GPS-free guidance and navigation; p. Revolutionary drag reduction technologies;q. Novel materials and fabrication methods for gradient index optical lenses;r. Plug-and-play architectures for navigation systems;s. Novel underwater high-maneuverability propulsion system;t. Unmanned long-duration, high-speed underwater vehicles;u. Arctic indications and warnings technologies and systems;v. Novel under-ice technology for Arctic access, measurement, situation awareness’,

and submarine operations;w. Deep Ocean (>5 km) operations technology: sensors, platforms, energy, and

communication;x. Additive fabrication for custom 3D manufacturing of mixed material optics;y. Novel approaches to low cost sensor and system integration;z. Novel sensor and system concepts enabled by 3D gradient index optics;aa. Novel surface coatings for extreme environments; bb. Remote standoff detection of magnetic fields in the ocean;cc. Anti-tamper technologies.

VI. Core Strategic Technologiesa. High-power pulsed lasers; b. Materials and composites with spatially tunable elastic properties;c. Applied quantum mechanics;d. Advanced electronic vision and situation-awareness devices, algorithms, and systems;e. Innovative methods to visualize complex, self-organizing systems;f. Novel three-dimensional data visualization and projection methods;




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g. Exploitation of human visual psychophysics for efficiently conveying or hidinginformation;

h. Advanced battlefield forensic techniques to track highly mobile insurgent forces;i. Non-mechanical laser beam steering and zooming; j. Compact laser weapon system approaches for tactical platforms.

2. AWARD INFORMATION

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

The Government reserves the right to select for negotiation all, some, one, or none of the proposals received in response to this solicitation, and to make awards without discussions with proposers. The Government also reserves the right to conduct discussions if it is later determinedto be necessary. If warranted, portions of resulting awards may be segregated into pre-pricedoptions. Additionally, DARPA reserves the right to accept proposals in their entirety or to select

only portions of proposals for award. In the event that DARPA desires to award only portions of a proposal, negotiations may be opened with that proposer. The Government reserves the rightto fund proposals in phases with options for continued work at the end of one or more of the phases.

Awards under this BAA will be made to proposers on the basis of the evaluation criteria listed below (see section labeled “Application Review Information,” Section 5), and program balanceto provide overall value to the Government. Proposals identified for negotiation may result in a procurement contract, grant, cooperative agreement, or other transaction depending upon thenature of the work proposed, the required degree of interaction between parties, and other factors. The Government reserves the right to request any additional, necessary documentationonce it makes the award instrument determination. Such additional information may include butis not limited to Representations and Certifications. The Government reserves the rights toremove proposers from award consideration should the parties fail to reach agreement on awardterms, conditions and cost/price within a reasonable time or the proposer fails to timely providerequired additional information.

As of the date of publication of this BAA, DARPA cannot identify whether or not the work under this BAA may be considered 'fundamental research,' i.e., basic and applied research inscience and engineering, the results of which ordinarily are published and shared broadly withinthe scientific community, as distinguished from proprietary research and from industrialdevelopment, design, production, and product utilization the results of which ordinarily arerestricted for proprietary or national security reasons. Notwithstanding this statement of expectation, DARPA is not prohibited from considering and selecting research proposals that,while perhaps not qualifying as 'fundamental research' under the foregoing definition, still meetthe BAA criteria for submissions. In all cases, the contracting officer shall have sole discretionto select award instrument type and to negotiate all instrument provisions with selectees.

3. ELIGIBILITY INFORMATION




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3.1 ELIGIBLE APPLICANTS

All responsible sources capable of satisfying the Government's needs may submit a proposal thatshall be considered by DARPA. Historically Black Colleges and Universities (HBCUs), SmallBusinesses, Small Disadvantaged Businesses and Minority Institutions (MIs) are encouraged to

submit proposals and join others in submitting proposals; however, no portion of thisannouncement 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 theseentities.

Federally Funded Research and Development Centers (FFRDCs) and Government entities(Government/National laboratories, military educational institutions, etc.) are subject toapplicable direct competition limitations and cannot propose to this BAA in any capacity unlessthey meet the following conditions. FRRDCs must clearly demonstrate that the work is nototherwise available from the private sector AND they also provide a letter on letterhead fromtheir sponsoring organization citing the specific authority establishing their eligibility to propose

to government solicitations and compete with industry, and compliance with the associatedFFRDC sponsor agreement and terms and conditions. This information is required for FFRDCs proposing to be prime or subcontractors. Government entities must clearly demonstrate that thework is not otherwise available from the private sector and provide written documentation citingthe specific statutory authority (as well as, where relevant, contractual authority) establishingtheir ability to propose to Government solicitations. At the present time, DARPA does notconsider 15 U.S.C. 3710a to be sufficient legal authority to show eligibility. While 10 U.S.C.2539b may be the appropriate statutory starting point for some entities, specific supportingregulatory guidance, together with evidence of agency approval, will still be required to fullyestablish eligibility. DARPA will consider eligibility submissions on a case-by-case basis;however, the burden to prove eligibility for all team members rests solely with the Proposer.

Foreign participants and/or individuals may participate to the extent that such participantscomply with any necessary Non-Disclosure Agreements, Security Regulations, Export ControlLaws, and other governing statutes applicable under the circumstances.

Applicants considering classified submissions (or requiring access to classified informationduring the life-cycle of the program) shall ensure all industrial, personnel, and informationsystem processing security requirements are in place and at the appropriate level (e.g., FacilityClearance (FCL), Personnel Security Clearance (PCL), certification and accreditation (C&A))and any Foreign Ownership Control and Influence (FOCI) issues are mitigated prior to suchsubmission or access. Additional information on these subjects can be found at: www.dss.mil.

3.1.1 Procurement Integrity, Standards of Conduct, Ethical Considerations, and

Organizational Conflicts of Interest

Current federal employees are prohibited from participating in particular matters involvingconflicting financial, employment, and representational interests (18 USC 203, 205, and 208). Prior to the start of proposal evaluations, the Government will assess potential conflicts of interest and will promptly notify the proposer if any appear to exist. (Please note the Government




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assessment does NOT affect, offset, or mitigate the proposer’s own duty to give full notice and planned mitigation for all potential organizational conflicts, as discussed below.)

All Proposers and proposed subcontractors must affirm whether they are providing scientific,engineering, and technical assistance (SETA) or similar support to any DARPA technical

office(s) through an active contract or subcontract. All affirmations must state which office(s)the Proposer supports and identify the prime contract numbers. Affirmations shall be furnishedat the time of proposal submission. All facts relevant to the existence or potential existence of organizational conflicts of interest (FAR 9.5) must be disclosed. The disclosure shall include adescription of the action the Proposer has taken or proposes to take to avoid, neutralize, or mitigate such conflict. In accordance with FAR 9.503 and without prior approval or a waiver from the DARPA Director, a Contractor cannot simultaneously be a SETA and Performer.Proposals that fail to fully disclose potential conflicts of interests and/or do not have plans tomitigate this conflict will be rejected without technical evaluation and withdrawn from further consideration for award.

If a prospective Proposer believes that any conflict of interest exists or may exist (whether organizational or otherwise), the Proposer should promptly raise the issue with DARPA bysending Proposer’s contact information and a summary of the potential conflict by email to themailbox address for this BAA at [email protected], before time and effort are expended in preparing a proposal and mitigation plan. If, in the sole opinion of the Government after fullconsideration for the circumstances, any conflict situation cannot be effectively mitigated, the proposal may be returned without technical evaluation and withdrawn from further considerationfor award under this BAA.

3.2 COST SHARING/MATCHING

Cost sharing is not required for this particular program; however, cost sharing will be carefullyconsidered where there is an applicable statutory condition relating to the selected fundinginstrument (e.g., for any Other Transactions under the authority of 10 U.S.C. § 2371). Costsharing is encouraged where there is a reasonable probability of a potential commercialapplication related to the proposed research and development effort.

4. APPLICATION AND SUBMISSION INFORMATION

4.1 ADDRESS TO REQUEST APPLICATION PACKAGE

This solicitation contains all information required to submit a proposal. No additional forms,

kits, or other materials are needed. This notice constitutes the total BAA. No additionalinformation is available, nor will a formal Request for Proposal (RFP) or additional solicitationregarding this announcement be issued. Requests for same will be disregarded.

4.2 SECURITY AND PROPRIETARY ISSUES

NOTE: If proposals are classified, the proposals must indicate the classification level of not

only the proposal itself, but also the anticipated award document classification level.




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The Government anticipates proposals submitted under this BAA will be unclassified. However,if a proposal is submitted as “Classified National Security Information” as defined by ExecutiveOrder 13526 as amended, then the information must be marked and protected as thoughclassified at the appropriate classification level and then submitted to DARPA for a final

classification determination.

Proposers choosing to submit a classified proposal from other classified sources must firstreceive permission from the respective Original Classification Authority in order to use their information in replying to this BAA. Applicable classification guide(s) should also be submittedto ensure the proposal is protected at the appropriate classification level.

Classified submissions shall be appropriately and conspicuously marked with the proposedclassification level and declassification date. Submissions requiring DARPA to make a finalclassification determination shall be marked as follows:

CLASSIFICATION DETERMINATION PENDING. Protect as though classified (insert therecommended classification level: (e.g., Top Secret, Secret or Confidential).

Classified submissions shall be in accordance with the following guidance:

Confidential and Secret Collateral Information: Use classification and marking guidance provided by previously issued security classification guides, the Information SecurityRegulation (DoD 5200.1-R), and the National Industrial Security Program Operating Manual(DoD 5220.22-M) when marking and transmitting information previously classified by another Original Classification Authority. Classified information at the Confidential and Secret levelmay be mailed via appropriate U.S. Postal Service methods (e.g., USPS) Registered Mail or USPS Express 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 theassigned classification and addresses of both sender and addressee. The inner envelope shall beaddressed to:

Defense Advanced Research Projects AgencyATTN: STOReference: DARPA-BAA-10-833701 North Fairfax DriveArlington, VA 22203-1714

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

Defense Advanced Research Projects AgencySecurity & Intelligence Directorate, Attn: CDR 3701 North Fairfax DriveArlington, VA 22203-1714




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All Top Secret materials: Top Secret information should be hand carried by an appropriatelycleared and authorized courier to the DARPA CDR. Prior to traveling, the courier shallcontact the DARPA CDR at 571 218-4842 to coordinate arrival and delivery.

Special Access Program (SAP) Information: SAP information must be transmitted via

approved methods. Prior to transmitting SAP information, contact the DARPA SAPCO at703-526-4052 for instructions.

Sensitive Compartmented Information (SCI) Data: SCI must be transmitted via approvedmethods. Prior to transmitting SCI, contact the DARPA Special Security Office (SSO) at 703-248-7213 for instructions.

Proprietary Data: All proposals containing proprietary data should have the cover page andeach page containing proprietary data clearly marked as containing proprietary data. It is theProposer’s responsibility to clearly define to the Government what is considered proprietarydata.

Security classification guidance via a DD Form 254, “DoD Contract Security ClassificationSpecification” will not be provided at this time since DARPA is soliciting ideas only. After reviewing the incoming proposals, if a determination is made that the award instrument mayresult in access to classified information a DD Form 254 will be issued and attached as part of the award.

Proposers must have existing and in-place prior to execution of an award, approved capabilities(personnel and facilities) to perform research and development at the classification level they propose.

It is the policy of DARPA to treat all proposals as competitive information, and to disclosetheir contents only for the purpose of evaluation. Proposals will not be returned. The originalof each proposal received will be retained at DARPA and all other non-required copiesdestroyed. A certification of destruction may be requested, provided that the formal request isreceived at this office within 5 days after unsuccessful notification.

4.3 CONTENT AND FORM OF APPLICATION SUBMISSION

4.3.1 Submission Guidelines

For all responses to this BAA, the responder must clearly identify the technical topic area(s) the proposed effort seeks to address.

In order to reduce the administrative burden on proposers and the Government and in an attemptto mitigate unnecessary costs associated with the generation of proposals that are not of interestto DARPA/STO, described herein is the Government’s process for submittal of information for evaluation. Any responsible proposer is encouraged to respond.




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Executive summaries, proposal abstracts and/or full proposals that are submitted electronically inresponse to DARPA-BAA-10-83 must be submitted through DARPA’s T-FIMS BAASubmission System (T-FIMS). (NOTE: Grant or cooperative agreement submissions may bemade via www.Grants.gov by using the “Apply for Grants” function.) Instructions on how tosubmit proposal abstracts and/or proposals via T-FIMS can be found at the following link:

https://www.tfims.darpa.mil/baa/baalist.asp. A thorough read of these instructions guaranteessuccessful submission to T-FIMS and explains all the necessary steps to submitting proposalsthrough T-FIMS. Proposers using T-FIMS may encounter heavy traffic on the web server, andT-FIMS requires a registration and certificate installation for all proposers, proposers should notwait until the day the proposal is due to create an account in T-FIMS and submit the proposal.

All items submitted electronically via the T-FIMS BAA Submission System must be encryptedusing WinZip or PKZip with 256-bit AES encryption. Only one zipped/encrypted file will beaccepted per proposal and proposals not zipped/encrypted will be rejected by DARPA. Anencryption password form must be completed and emailed to [email protected] at the timeof proposal submission. See https://www.tfims.darpa.mil/baa/ for the encryption password form.

Note the word “PASSWORD” must appear in the subject line of the above email and there areminimum security requirements for establishing the encryption password. Failure to provide theencryption password may result in the proposal not being evaluated. For further information andinstructions on how to zip and encrypt proposal files, see https://www.tfims.darpa.mil/baa/.

Grant or cooperative agreement proposals may only be submitted to DARPA through Grants.govor in hard-copy. Grant or cooperative agreement proposals may not be submitted through anyother means (including T-FIMS and other comparable systems). If proposers intend to useGrants.gov as their means of submission, then they must submit their entire proposal throughGrants.gov; applications cannot be submitted in part to Grants.gov and in part as a hard-copy.

Proposers may elect to use the Grants.gov APPLY function if the applicant is seeking a grant or cooperative agreement. The APPLY function replaces the proposal submission process thatother proposers follow. The APPLY function does not affect the proposal content or format.The APPLY function is electronic; proposers do not submit paper proposals in addition to theGrants.gov APPLY electronic submission.

Proposers must complete the following steps before submitting proposals on Grants.gov (thesesteps are also detailed at www.grants.gov/applicants/get_registered.jsp):

• Proposers must obtain a DUNS number

• Proposers must register their organization in the Central Contractor Registration (CCR)

(https://www.bpn.gov/CCRSearch/Search.aspx)• Proposers must obtain a user name and password with an E-Authentication provider

• Proposers must register the Authorized Organization Representative (AOR) in Grants.gov

• Proposers must have the organization’s E-BIZ point of contact authorize the AOR tosubmit applications.

Proposers electing to submit grant or cooperative agreement proposals as hard copies mustcomplete the SF 424 R&R form (Application for Federal Assistance, Research and Related)




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available on the Grants.gov websitehttp://www.grants.gov/agencies/aapproved_standard_forms.jsp#2.

All administrative correspondence and questions on this solicitation, including requests for information on how to submit an executive summary, proposal abstract or proposal to this BAA,

should be directed to [email protected]. DARPA intends to use electronic mail and fax for correspondence regarding DARPA-BAA-10-83. Executive summaries, proposals and proposalabstracts may not be submitted by fax or e-mail; any so sent will be disregarded. DARPAencourages use of the Internet for retrieving the BAA and any other related information that maysubsequently be provided.

4.3.2 Restrictive Markings on Proposals

All proposals should clearly indicate limitations on the disclosure of their contents. Proposerswho include in their proposals data that they do not want disclosed to the public for any purpose,or used by the Government except for evaluation purposes, shall-

(1) Mark the title page with the following legend:

This proposal includes data that shall not be disclosed outside the Government and shall not be duplicated, used, or disclosed-in whole or in part-for any purpose other than to evaluatethis proposal. If, however, a contract is awarded to this proposer as a result of, or inconnection with, the submission of this data, the Government shall have the right toduplicate, use, or disclose the data to the extent provided in the resulting contract. Thisrestriction does not limit the Government's right to use information contained in this data if it is obtained from another source without restriction. The data subject to this restriction arecontained in sheets [insert numbers or other identification of sheets]; and

(2) Mark each sheet of data it wishes to restrict with the following legend:

Use or disclosure of data contained on this sheet is subject to the restriction on the title pageof this proposal.

Markings like "Company Confidential" or other phrases that may be confused with nationalsecurity classifications shall be avoided. See Section 4.2 for additional information.

4.3.3 Executive Summary Information

Proposers are strongly encouraged to submit an executive summary in advance of a proposal.This procedure is intended to minimize unnecessary effort in proposal preparation and review.Executive summaries will be reviewed as they are received. DARPA will acknowledge receiptof the submission and assign a control number that should be used in all further correspondenceregarding the executive summary.

DARPA will attempt to review executive summaries within thirty (30) calendar days after receipt. If DARPA/STO does not have interest in your Executive Summary you will be notified




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by a formal letter. If DARPA/STO is interested in receiving more information on your submission, you will be notified, by a formal letter, of DARPA’s interest in receiving either a proposal abstract or full proposal. Proposers should then expect to develop a Proposal Abstract (see paragraph 4.3.7.) or a Proposal (see paragraph 4.3.8).

4.3.4 Executive Summary Format

All submissions must be in the following format – nonconforming submissions may be rejectedwithout further review. The executive summary should be clearly marked "EXECUTIVESUMMARY" and the total length shall not exceed one (1) page. A page is defined as being nolarger than 8.5” by 11.0”. (Accordion-style foldouts will be counted as multiple pagesequivalent to the expanded size.) Proposals must be written in English, and with 1-inch margins(left, right, top, and bottom) on each page and contain no smaller than 12-point font type.

The page limitation for executive summaries includes all point of contact information, figures,tables, and charts. Do not submit additional copies of the same executive summary for different

technical topic areas. If an executive summary applies to more than one area, simply indicatethat fact.

Proposers must submit their one-page executive summary via the web-based TFIMS

application at http://www.tfims.darpa.mil/baa. (NOTE: Grant or cooperative agreementsubmissions may be made via www.grants.gov by using the “Apply for Grants” function.) Theexecutive summary must be in PDF or an MS Word readable application. No facsimile or hardcopy submissions will be accepted.

DARPA/STO will endeavor to respond to executive summaries in an expeditious and timelymanner. If DARPA/STO does not have interest in your Executive Summary you will be notified by a formal letter. If DARPA/STO is interested in receiving more information on your submission, you will be notified, by a formal letter, of DARPA’s interest in receiving either a proposal abstract or full proposal. Proposers should then expect to develop a Proposal Abstract (see paragraph 4.3.7.) or a Proposal (see paragraph 4.3.8).

4.3.5 Proposal Abstract and Discussion with a DARPA/STO PM

Proposal abstracts are encouraged in advance of proposals in order to provide potential proposerswith a rapid response to minimize unnecessary effort. Discussions at this step with theDARPA/STO Program Manager are intended to further explore the concepts, ideas, and other areas of interest presented in the Executive Summary. Proposers may be able to further discussthe technical merits of their concept with a DARPA/STO PM. The purpose of the ProposalAbstract is to permit the submitter to present a more detailed explanation of the idea/concept, itstechnical merit and military relevance. The submitter should articulate the innovative conceptand technology development needed with respect to demonstrable metrics. The submission of the Proposal Abstract should be used by the proposer to avoid unnecessary expense in proposalgeneration for ideas that may not be selected within this BAA. Proposers should explain in theProposal Abstract the feasibility of idea/concept transition to the military, other governmentagencies or organizations, or other interested users, as applicable. Additionally, proposers




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should clearly specify the intended demonstrable improvements over current systems, explaintransition paths, specify tentative schedules, and provide a rough estimate of cost. DARPA/STOwill endeavor to respond to proposal abstracts in an expeditious and timely manner.

DARPA will respond to proposal abstracts with a statement regarding DARPA’s interest in the

idea. DARPA will attempt to reply to proposal abstracts via letter within thirty (30) calendar days of receipt. Should a proposer be discouraged from submitting a full proposal, the letter willcontain feedback for the proposer regarding the rationale for the decision not to recommend afull proposal be submitted.Proposal abstracts will be reviewed in the order they are received.Regardless of DARPA’s response to a proposal abstract, proposers may submit a full proposal.DARPA will review all full proposals submitted using the published evaluation criteria andwithout regard to any comments resulting from the review of a proposal abstract.

4.3.6 Proposal Abstract Format

Proposal abstracts should follow the same general format as described for Volume I under

PROPOSAL FORMAT (see below), but include ONLY Sections I and II. The cover sheetshould follow the template found in APPENDIX 1 (Volume 1 Cover Sheet Template) to thissolicitation, clearly label the submission “proposal abstract,” and the total length should notexceed 6 pages, excluding cover page and official transmittal letter. All pages shall be printed on8-1/2 by 11 inch paper with type not smaller than 12 point. Smaller font may be used for figures,tables and charts. The page limitation for proposal abstracts includes all figures, tables, andcharts. No formal transmittal letter is required. All proposal abstracts must be written inEnglish.

Proposers must submit their proposal abstracts via the web-based TFIMS application athttp://www.tfims.darpa.mil/baa. (NOTE: Grant or cooperative agreement submissions may bemade via www.grants.gov by using the “Apply for Grants” function.) The submission shallinclude one (1) electronic copy of the proposal abstract. Electronic copies must be in PDF or anMS Word readable application.

4.3.7 Proposal Format

The typical proposal should express a consolidated effort in support of one or more relatedtechnical concepts or ideas. Disjointed efforts should not be included into a single proposal.

Regardless of the recommendation during the executive summary or proposal abstract phases,the decision to propose is the responsibility of the proposer. All submitted proposals will befully reviewed regardless of the disposition of the executive summary or proposal abstract.

Restrictive notices notwithstanding, proposals may be handled, for administrative purposes only, by a support contractor. This support contractor is prohibited from competition in DARPAtechnical research and is bound by appropriate nondisclosure requirements. Executivesummaries, proposal abstracts and full proposals may not be submitted by fax or e-mail; any sosent will be disregarded.




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All proposals must be in the format given below. Nonconforming proposals may be rejectedwithout review. Proposals shall consist of two volumes. All pages shall be printed on 8-1/2 by11 inch paper with type not smaller than 12 point. Smaller font may be used for figures, tablesand charts. The page limitation for proposals includes all figures, tables, and charts. Volume I,Technical and Management Proposal, may include an attached bibliography of relevant technical

papers or research notes (published and unpublished) which document the technical ideas andapproach upon which the proposal is based. Copies of not more than three (3) relevant paperscan be included with the submission. The bibliography and attached papers are not included inthe page counts given below. The submission of other supporting materials along with the proposals is strongly discouraged and will not be considered for review. The total length of Volume I shall not exceed 50 pages. All proposals must be written in English.

Proposers must submit their full proposal via the web-based TFIMS application athttp://www.tfims.darpa.mil/baa. (NOTE: Grant or cooperative agreement proposals may only besubmitted to DARPA via www.Grants.gov or in hard-copy.) The submission shall include one(1) electronic copy of the proposal abstract. Electronic copies must be in PDF or an MS Word

readable application.

4.3.8.1 Volume I, Technical and Management Proposal

Section I. AdministrativeA. Cover sheet. Format to be followed using the template provided as APPENDIX 1 (Volume 1Cover Sheet Template) to this announcement.B. Official transmittal letter.

Section II. Summary of Proposal

A. Innovative claims for the proposed research. This section is the centerpiece of the proposaland should succinctly describe the uniqueness and benefits of the proposed approach relativeto the current state-of-art alternate approaches.

B. Deliverables associated with the proposed research and the plans and capability toaccomplish technology transition and commercialization. Include in this section all proprietary claims to the results, prototypes, intellectual property, or systems supportingand/or necessary for the use of the research, results, and/or prototype. If there are not proprietary claims, this should be stated.

C. Cost, schedule and measurable milestones for the proposed research, including estimates of cost for each task in each year of the effort delineated by the prime and major subcontractors,total cost and company cost share, if applicable. Note: Measurable milestones should

capture key development points in tasks and should be clearly articulated and defined

in time relative to start of effort. These milestones should enable and support a decisionfor the next part of the effort.

D. Technical rationale, technical approach, and constructive plan for accomplishment of technical goals in support of innovative claims and deliverable production. (In the proposal,this section should be supplemented by a more detailed plan in Section III.)

E. General discussion of other research in this area.




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F. A clearly defined organization chart for the program team which includes, as applicable: (1)the programmatic relationship of team member; (2) the unique capabilities of team members;(3) the task of responsibilities of team members; (4) the teaming strategy among the teammembers; and (5) the key personnel along with the amount of effort to be expended by each person during each year.

G.

A one slide summary of the proposal in PowerPoint that quickly and succinctly indicates theconcept overview, key innovations, expected impact, and other unique aspects of the proposal.

Section III. Detailed Proposal Information

A. Statement of Work (SOW) - In plain English, clearly define the technical tasks/subtasks to be performed, their durations, and dependencies among them. The page length for the SOWwill be dependent on the amount of the effort. For each task/subtask, provide:

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

• A detailed description of the approach to be taken to accomplish each defined

task/activity;• Identification of the primary organization responsible for task execution

(prime, sub, team member, by name, etc.);

• The completion criteria for each task/activity - a product, event or milestonethat defines its completion;

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

Note: It is recommended that the SOW be developed so that each Phase of the program is

separately defined. Do not include any proprietary information in the SOW.

B. Description of the results, products, transferable technology, and expected technologytransfer path enhancing that of Section II. B. This should also address mitigation of life-cycle and sustainment risks associated with transitioning intellectual property for U.S.military applications, if applicable. See also Section 7.1 “Intellectual Property.”

C. Detailed technical approach enhancing and completing that of Section II.D. Comparison with other ongoing research indicating advantages and disadvantages of the

proposed effort.E. Discussion of proposer’s previous accomplishments and work in closely related research

areas.F. Description of the facilities that would be used for the proposed effort. This section

should address how safeguarding of materials will be handled at each facility to include

classified materials when applicable.G. Detail support enhancing that of Section II, including formal teaming agreements which

are required to execute this program.H. Cost schedules and measurable milestones for the proposed research, including estimates

of cost for each task in each year of the effort delineated by the primes and major subcontractors, total cost, and any company cost share. Note: Measurable milestones

should capture key development points in tasks and should be clearly articulated

and defined in time relative to start of effort. These milestones should enable and




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support a decision for the next part of the effort. Additional interim non-criticalmanagement milestones are also highly encouraged at regular intervals. Where the effortconsists of multiple portions which could reasonably be partitioned for purposes of funding, these should be identified as options with separate cost estimates for each .

Additionally, proposals should clearly explain the technical approach(es) that will be

employed to meet or exceed each program metric and provide ample justification as towhy the approach(es) is/are feasible.

Section IV. Additional InformationA brief bibliography of relevant technical papers and research notes (published and unpublished)which document the technical ideas upon which the proposal is based. Copies of not more thanthree (3) relevant papers can be included in the submission.

4.3.8.2 Volume II, Cost Proposal – {No Page Limit}Cover sheet. Format to be followed using the template provided as APPENDIX 2(Volume 2 Cover Sheet, Checklist and Sample Templates) to this solicitation.

Checklist. Format to be followed using the template provided as APPENDIX 2 (Volume2 Cover Sheet, Checklist and Sample Templates) to this solicitation.

Detailed cost breakdown to include:(1) total program cost broken down by major cost items to include:

i. Direct labor, including individual labor categories or persons, with associated labor hours and numbered direct labor rates.

ii. If consultants are to be used, proposer must provide consultant agreement or other document which verifies the proposed loaded daily/hourly rate.

iii. Indirect costs including Fringe Benefits, Overhead, General and AdministrativeExpense, Cost of Money, etc. (Must show base amount and rate)

iv. Travel – Number of trips, number of days per trip, departure and arrival destinations,number of people, etc.

v. Other Direct Costs – Should be itemized with costs or estimated costs. Backupdocumentation should be submitted to support proposed costs.

(2) major program tasks by fiscal year;(3) an itemization of major subcontracts and equipment purchases, to include: a cost proposal as

detailed as the Proposer’s cost proposal; the subcontractor’s cost proposal can be provided ina sealed envelope with the Proposer’s cost proposal. Materials should be specificallyitemized with costs or estimated costs. An explanation of any estimating factors, includingtheir derivation and application, shall be provided. Please include a brief description of theProposers’ procurement method to be used;

(4) an itemization of any information technology (IT)1 purchase including subcontractor cost(NOTE: For IT equipment purchases, include a letter stating why the proposer cannot provide the requested resources from its own funding);

1 IT is defined as “any equipment, or interconnected system(s) or subsystem(s) of equipment that is used in theautomatic acquisition, storage, manipulation, management, movement, control, display, switching, interchange,transmission, or reception of data or information by the agency. (a) For purposes of this definition, equipment isused by an agency if the equipment is used by the agency directly or is used by a contractor under a contract with theagency which – (1) Requires the use of such equipment; or (2) Requires the use, to a significant extent, or such




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(5) a summary of projected funding requirements by month; and(6) the source, nature, and amount of any industry cost-sharing. Where the effort consists of

multiple portions which could reasonably be partitioned for purposes of funding, theseshould be identified as options with separate cost estimates for each; and

(7) identification of pricing assumptions of which may require incorporation into the resulting

award instrument (e.g., use of Government Furnished / Facilities / Information, access toGovernment Subject Matter Expert/s, etc.)(8) the prime contractor is responsible for compiling and providing all subcontractor proposalsfor the Procuring Contracting Officer (PCO). Subcontractor proposals should includeInterdivisional Work Transfer Agreements (ITWA) or similar arrangements.

The Government requests and recommends that tables included in the cost proposal also be provided in MS Excel™ format with calculations formulae intact to allow traceability of the cost proposal numbers across the prime and subcontractors. If the PDF submission differs from theExcel submission, the PDF will take precedence. Each copy must be clearly labeled with theDARPA BAA number, proposer organization, and proposal title (short title recommended).

The Government also requests that the Cost Proposal include MS Excel™ file(s) that providetraceability between the Bases of Estimate (BOEs) and the proposed costs across all elementsand phases. This includes the calculations and adjustments that are utilized to generate theSummary Costs from the source labor hours, labor costs, material costs, etc. input data. It isrequested that the costs and Subcontractor proposals be readily traceable to the Prime CostProposal in the provided MS Excel file(s). The Government prefers receiving cost data as Excelfiles; however, this is not a requirement.

The Defense Appropriations Act caps indirect cost rates for any procurement contract, grant or agreement using 6.1 Basic Research Funding at 35% of the total cost of the award. Total costsinclude all bottom line costs. For grants/agreement awardees subject to cost principles in 2 CFR part 220 (Educational Institutions), indirect costs are all costs of a prime award that are Facilitiesand Administration costs. For grant/agreement awardees subject to the cost principles in 2 CFR part 225 (State, Local, and Indian Tribal Governments), 2 CFR part 230 (Non-profitOrganizations) or 48 CFR part 23 (Federal Acquisition Regulation), indirect costs refer to anycost not directly identified with a single final cost objective, but identified with two or more finalcost objectives or with at least one intermediate cost objective. The cost limitations do not flowdown to subcontractors.

Supporting cost and pricing information in sufficient detail to substantiate the summary costestimates in B. above. Include a description of the method used to estimate costs and supporting

equipment in the performance of a service or the furnishing of a product. (b) The term “information technology”includes computers, ancillary, software, firmware and similar procedures, services (including support services), andrelated resources. (c) The term “information technology” does not include – (1) Any equipment that is acquired bya contractor incidental to a contract; or (2) Any equipment that contains imbedded information technology that isused as an integral part of the product, but the principal function of which is not the acquisition, storage,manipulation, management, movement, control, display, switching, interchange, transmission, or reception of dataor information. For example, HVAC (heating, ventilation, and air conditioning) equipment such as thermostats or temperature control devices, and medical equipment where information technology is integral to its operation, arenot information technology.”




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documentation. Note: “cost or pricing data” as defined in FAR Subpart 15.4 shall be required if the proposer is seeking a procurement contract award of $650,000 or greater unless the proposer requests an exception from the requirement to submit cost or pricing data. “Cost or pricing data”are not required if the proposer proposes an award instrument other than a procurement contract(e.g., a grant, cooperative agreement, or other transaction.) All proprietary subcontractor

proposal documentation, prepared at the same level of detail as that required of the prime (add if submitted through T-FIMS: of which cannot be uploaded to T-FIMS) shall be provided to theGovernment either by the prime contractor or by the subcontractor organization when the proposal is submitted. Subcontractor proposals submitted to the Government by the primecontractor should be submitted in a sealed envelope that the prime contractor will not be allowedto view. The subcontractor must provide the same number of hard copies and/or electronic proposals as is required of the prime contractor.

NOTE: PROPOSERS ARE CAUTIONED THAT EVALUATION RATINGS MAY BELOWERED AND/OR PROPOSALS REJECTED IF SUBMITTAL INSTRUCTIONS ARE NOT FOLLOWED.

For information on 845 Other Transaction Authority for Prototypes (OTA) agreements, refer tohttp://www.darpa.mil/cmo/other_trans.html. All proposers requesting an 845 Other TransactionAuthority for Prototypes (OTA) agreement must include a detailed list of milestones. Each suchmilestone must include the following: milestone description, completion criteria, due date, payment/funding schedule (to include, if cost share is proposed, contractor and Governmentshare amounts). It is noted that, at a minimum, such milestones should relate directly toaccomplishment of program technical metrics as defined in the BAA and/or the proposer’s proposal. Agreement type, fixed price or expenditure based, will be subject to negotiation by theAgreements Officer; however, it is noted that the Government prefers use of fixed pricemilestones with a payment/funding schedule to the maximum extent possible. Do not include proprietary data. If the proposer requests award of an 845 OTA agreement as a nontraditionaldefense contractor, as so defined in the OSD guide entitled “Other Transactions (OT) Guide For Prototype Projects” dated January 2001 (as amended)(http://www.acq.osd.mil/dpap/Docs/otguide.doc), information must be included in the cost proposal to support the claim. Additionally, if the proposer plans requests award of an 845 OTAagreement, without the required one-third (1/3) cost share, information must be included in thecost proposal supporting that there is at least one non-traditional defense contractor participatingto a significant extent in the proposed prototype project.

4.4 SUBMISSION DATES AND TIMES

This BAA shall be open from date of publication through 4:00 p.m. local time Arlington,Virginia, 7 September 2011. Executive summaries, proposal abstracts, and full proposals will bereviewed as they are received.

DARPA will acknowledge receipt of complete submissions via email and assign control numbersthat should be used in all further correspondence regarding proposals.




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Failure to comply with the submission procedures may result in the submission not beingevaluated.

5. APPLICATION REVIEW INFORMATION

5.1 EVALUATION CRITERIA

Evaluation of proposals will be accomplished through a scientific/technical review of each proposal using the following criteria: (a) Overall Scientific and Technical Merit; (b) PotentialContribution and Relevance to the DARPA Mission; (c) Proposer’s Capabilities and/or RelatedExperience; (d) Cost and Schedule Realism; and (e) Plans and Capability to AccomplishTechnology Transition. Proposals will not be evaluated against each other since they are notsubmitted in accordance with a common work statement. DARPA’s intent is to review proposalsas soon as possible after they arrive; however, proposals may be reviewed periodically for administrative reasons. The following are descriptions of the evaluation criteria in descendingorder of importance:

5.1.1 Overall Scientific and Technical Merit

The proposed technical approach is feasible, achievable, complete and supported by a proposedtechnical team that has the expertise and experience to lead and to accomplish the proposedtasks. Task descriptions and associated technical elements provided are complete and in alogical sequence with all proposed deliverables clearly defined such that a final product thatachieves the goal can be expected as a result of award. The proposal clearly identifies major technical risks and clearly defines feasible planned mitigation strategies and efforts to addressthose risks. The proposal clearly explains the technical approach(es) that will be employed tomeet or exceed each program goal and system metric and provides ample justification as to why

the approach(es) is / are feasible. Other factors to be considered will include the structure, clarity,and responsiveness of the statement of work; the quality of proposed deliverables; and thelinkage of the statement of work, technical approach(es), risk mitigation plans, costs, anddeliverables of the prime contractor and all subcontractors through a logical, well structured, andtraceable technical plan.

5.1.2 Potential Contribution and Relevance to the DARPA Mission

The potential unique contributions of the proposed effort to the national technology base will beevaluated. Specifically, relevance to DARPA’s mission to maintain the technological superiorityof the U.S. military and prevent technological surprise from harming our national security bysponsoring revolutionary, high-payoff research that bridges the gap between fundamentaldiscoveries and their application. As such, proposers must address mitigation of life-cycle andsustainment risks associated with transitioning intellectual property for U.S. militaryapplications.

5.1.3 Proposer’s Capabilities and/or Related Experience




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The proposer's prior experience in similar efforts must clearly demonstrate an ability to deliver products that meet the proposed technical performance within the proposed budget and schedule.The proposed team has the expertise to manage the cost and schedule. Similar effortscompleted/ongoing by the proposer and by key members of the proposed team in this area arefully described including identification of other Government sponsors. Further, on any cited

similar efforts, the proposer shall provide the Government an assessment of performance,including the team’s ability to control technical, cost, and schedule against what was originally proposed.

5.1.4 Cost and Schedule Realism

The objective of this criterion is to establish that the proposed costs and schedule are realistic for the technical and management approach offered, as well as to determine the proposer’s practicalunderstanding of the effort. The proposal will be reviewed to determine if the costs and schedule proposed are based on realistic assumptions, reflect a sufficient understanding of the technicalgoals and objectives of the BAA, and are consistent with the proposer’s technical approach (to

include the proposed Statement of Work). At a minimum, this will involve review, at the primeand subcontract level, of the type and number of labor-hours proposed per task as well as thetypes and kinds of materials, equipment and fabrication costs proposed. It is expected that theeffort will leverage all available relevant prior research in order to obtain the maximum benefitfrom the available funding. Company commitment to the success of the proposed program,including management involvement, commitment of key personnel and other non-monetarycompany resources, risk sharing and for efforts with a likelihood of commercial application,appropriate direct cost sharing may be a positive factor in the evaluation. This evaluationcriterion recognizes that undue emphasis on cost may motivate proposers to offer low-risk ideaswith minimum uncertainty and to staff the effort with junior personnel in order to be in a morecompetitive posture. DARPA discourages such cost strategies. The proposer’s abilities toaggressively pursue performance metrics in the shortest timeframe and to accurately substantiatethat timeframe will be evaluated, as well as proposer’s ability to understand, identify, andmitigate any potential risk in cost or schedule.

5.1.5 Plans and Capability to Accomplish Technology Transition

The objective of this criterion is to establish that the capability and plans to transition or toexpedite the transition of the technologies and products resulting from this program to the program(s) of record or to the operational military community is reasonable and achievable for the technology(ies) being developed. In addition, the evaluation will take into consideration theextent to which the proposed intellectual property (IP) rights and proposed technical deliverableswill potentially impact the Government’s ability to transition technology.

5.2 REVIEW AND SELECTION PROCESS

Award(s) will be made to proposers whose proposals are determined to be the mostadvantageous to the Government, all factors considered, including the potential contributionsof the proposed work to the overall research program and the availability of funding for theeffort. Award(s) may be made to any proposer(s) whose proposal(s) is determined selectable




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regardless of its overall rating. DARPA’s intent is to review proposals as soon as possible after they arrive; however, proposals may be reviewed periodically for administrative reasons.

It is the policy of DARPA to ensure impartial, equitable, comprehensive proposal evaluationsand to select the source (or sources) whose offer meets the Government's technical, policy, and

programmatic goals. Pursuant to FAR 35.016, the primary basis for selecting proposals for acceptance shall be technical, importance to agency programs, and fund availability. In order to provide the desired evaluation, qualified Government personnel will conduct reviews and (if necessary) convene panels of experts in the appropriate areas.

Proposals will not be evaluated against each other since they are not submitted in accordancewith a common work statement. DARPA's intent is to review proposals as soon as possible after they arrive; however, proposals may be reviewed periodically for administrative reasons. For evaluation purposes, a proposal is the document described in “Proposal Format,” Section 4.3.8.Other supporting or background materials submitted with the proposal will be considered for thereviewer's convenience only and not considered as part of the proposal.

Restrictive notices notwithstanding, proposals may be handled for administrative purposes bysupport contractors. These support contractors are prohibited from competition in DARPAtechnical research and are bound by appropriate non-disclosure requirements.

Subject to the restrictions set forth in FAR 37.203(d), input on technical aspects of the proposalsmay be solicited by DARPA from non-Government consultants/experts who are strictly bound by the appropriate non-disclosure requirements.

It is the policy of DARPA to treat all proposals as competitive information and to disclose their contents only for the purpose of evaluation. No proposals will be returned. Upon completion of the source selection process, the original of each proposal received will be retained at DARPAand all other copies will be destroyed.

6. AWARD ADMINISTRATION INFORMATION

6.1 AWARD NOTICES

As soon as the evaluation of a proposal is complete, the proposers will be notified that 1) the proposal has been selected for funding pending contract negotiations, or 2) the proposal has not been selected. These official notifications will be sent via US Mail to the Technical POCidentified on the proposal coversheet.

6.2 ADMINISTRATIVE AND NATIONAL POLICY REQUIREMENTS

6.2.1 Meeting and Travel Requirements

Proposers shall include within the content of their proposal details and costs of any travel or meetings they deem to be necessary throughout the course of the effort, to include periodic statusreviews by the government.






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Any Recipient performing research, experimentation, or testing involving the use of animalsshall comply with the rules on animal acquisition, transport, care, handling, and use in: (i) 9 CFR parts 1-4, Department of Agriculture rules that implement the Laboratory Animal Welfare Act of 1966, as amended, (7 U.S.C. 2131-2159); and (ii) the guidelines described in National Institutesof Health Publication No. 86-23, "Guide for the Care and Use of Laboratory Animals.”

For submissions containing animal use, proposals should briefly describe plans for InstitutionalAnimal Care and Use Committee (IACUC) review and approval. Animal studies in the programwill be expected to comply with the PHS Policy on Humane Care and Use of LaboratoryAnimals, available at http://grants.nih.gov/grants/olaw/olaw.htm.

All Recipients must receive approval by a DoD certified veterinarian, in addition to an IACUCapproval. No animal studies may be conducted using DoD/DARPA funding until theUSAMRMC Animal Care and Use Review Office (ACURO) or other appropriate DoDveterinary office(s) grant approval. As a part of this secondary review process, the Recipientwill be required to complete and submit an ACURO Animal Use Appendix, which may be found

at https://mrmc-www.army.mil/index.cfm?pageid=Research_Protections.acuro&rn=1.

6.2.4 Publication Approval

It is the policy of the Department of Defense that the publication of products of fundamentalresearch will remain unrestricted to the maximum extent possible. The definition of ContractedFundamental Research is:

“Contracted Fundamental Research includes [research performed under] grants andcontracts that are (a) funded by budget category 6.1 (Basic Research), whether performed by universities or industry or (b) funded by budget category 6.2 (Applied Research) and performed on-campus at a university. The research shall not be considered fundamentalin those rare and exceptional circumstances where the applied research effort presents ahigh likelihood of disclosing performance characteristics of military systems or manufacturing technologies that are unique and critical to defense, and where agreementon restrictions have been recorded in the contract or grant.” Such research is referred to by DARPA as “Restricted Research.”

Pursuant to DoD policy, research performed under grants and contracts that are (a) funded by budget category 6.2 (Applied Research) and NOT performed on-campus at a university or (b)funded by budget category 6.3 (Advanced Research) does not meet the definition of fundamentalresearch. Publication restrictions will be placed on all such research.

It is anticipated that awards for both Fundamental and Restricted Research may be made as aresult of this BAA. Appropriate clauses will be included in resultant awards for RestrictedResearch to prescribe publication requirements and other restrictions, as appropriate. DARPAdoes not anticipate applying publication restrictions of any kind to Fundamental Research toeach individual award that may result from this BAA.






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(a) Definition. “Export-controlled items,” as used in this clause, means items subject to theExport Administration Regulations (EAR) (15 CFR Parts 730-774) or the International Traffic inArms Regulations (ITAR) (22 CFR Parts 120-130). The term includes:

1) “Defense items,” defined in the Arms Export Control Act, 22 U.S.C. 2778(j)(4)(A), as

defense articles, defense services, and related technical data, and further defined in the ITAR, 22CFR Part 120.

2) “Items,” defined in the EAR as “commodities”, “software”, and “technology,” termsthat are also defined in the EAR, 15 CFR 772.1.

(b) The Contractor shall comply with all applicable laws and regulations regarding export-controlled items, including, but not limited to, the requirement for contractors to register with theDepartment of State in accordance with the ITAR. The Contractor shall consult with theDepartment of State regarding any questions relating to compliance with the ITAR and shallconsult with the Department of Commerce regarding any questions relating to compliance with

the EAR.

(c) The Contractor's responsibility to comply with all applicable laws and regulations regardingexport-controlled items exists independent of, and is not established or limited by, theinformation provided by this clause.

(d) Nothing in the terms of this contract adds, changes, supersedes, or waives any of therequirements of applicable Federal laws, Executive orders, and regulations, including but notlimited to—

(1) The Export Administration Act of 1979, as amended (50 U.S.C. App. 2401, et seq.);

(2) The Arms Export Control Act (22 U.S.C. 2751, et seq.);

(3) The International Emergency Economic Powers Act (50 U.S.C. 1701, et seq.);

(4) The Export Administration Regulations (15 CFR Parts 730-774);

(5) The International Traffic in Arms Regulations (22 CFR Parts 120-130); and

(6) Executive Order 13222, as extended;

(e) The Contractor shall include the substance of this clause, including this paragraph (e), in allsubcontracts.

6.2.6 Subcontracting

Pursuant to Section 8(d) of the Small Business Act (15 U.S.C. 637(d)), it is the policy of theGovernment to enable small business and small disadvantaged business concerns to beconsidered fairly as subcontractors to contractors performing work or rendering services as prime






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6.3.3 Wide Area Work Flow (WAWF)

Unless using another approved electronic invoicing system, performers will be required tosubmit invoices for payment directly via the Internet/WAWF at http://wawf.eb.mil. Registrationto WAWF will be required prior to any award under this BAA.

7. AGENCY CONTACTS

Administrative, technical or contractual questions should be sent via e-mail to [email protected]. If e-mail is not available, fax questions to 703-807-1770, Attention: DARPA-BAA-10-83. All requests must include the name, email address, and phone number of a point of contact.

STO BAA Coordinator Fax: 703-807-1770Electronic mail: [email protected]

8.

OTHER INFORMATION

8.1 INTELLECTUAL PROPERTY

8.1.1 PROCUREMENT CONTRACT PROPOSERS

8.1.1.1 Noncommercial Items (Technical Data and Computer Software)

Proposers responding to this BAA requesting a procurement contract to be issued under theFAR/DFARS, shall identify all noncommercial technical data, and noncommercial computer software that it plans to generate, develop, and/or deliver under any proposed award instrumentin which the Government will acquire less than unlimited rights, and to assert specific

restrictions on those deliverables. Proposers shall follow the format under DFARS 252.227-7017 for this stated purpose. In the event that proposers do not submit the list, the Governmentwill assume that it automatically has “unlimited rights” to all noncommercial technical data and noncommercial computer software generated, developed, and/or delivered under any awardinstrument. If mixed funding is anticipated in the development of noncommercial technical data,and noncommercial computer software generated, developed, and/or delivered under any awardinstrument, then proposers should identify the data and software in question, as subject toGovernment Purpose Rights (GPR). In accordance with DFARS 252.227-7013 Rights inTechnical Data - Noncommercial Items, and DFARS 252.227-7014 Rights in NoncommercialComputer Software and Noncommercial Computer Software Documentation, the Governmentwill automatically assume that any such GPR restriction is limited to a period of five (5) years inaccordance with the applicable DFARS clauses, at which time the Government will acquire“unlimited rights” unless the parties agree otherwise. Proposers are admonished that theGovernment will use the list during the source selection evaluation process to evaluate theimpact of any identified restrictions, and may request additional information from the proposer,as may be necessary, to evaluate the proposer’s assertions. If no restrictions are intended, thenthe proposer should state “NONE.” It is noted an assertion of “NONE” indicates that theGovernment has “unlimited rights” to all noncommercial technical data and noncommercialcomputer software delivered under the award instrument, in accordance with the DFARS




33

provisions cited above. Failure to provide full information may result in a determination that the proposal is not compliant with the BAA – resulting in nonselectability of the proposal.

A sample list for complying with this request is as follows:

NONCOMMERCIALTechnical Data

Computer Software To be Furnished With

Restrictions

Summary of Intended Use in the

Conduct of theResearch

Basis for Assertion

Asserted RightsCategory

Name of Person AssertinRestrictions

(LIST) (NARRATIVE) (LIST) (LIST) (LIST)

8.1.1.2 Commercial Items (Technical Data and Computer Software)

Proposers responding to this BAA requesting a procurement contract to be issued under theFAR/DFARS, shall identify all commercial technical data, and commercial computer softwarethat may be embedded in any noncommercial deliverables contemplated under the research

effort, along with any applicable restrictions on the Government’s use of such commercialtechnical data and/or commercial computer software. In the event that proposers do not submitthe list, the Government will assume that there are no restrictions on the Government’s use of such commercial items. The Government may use the list during the source selection evaluation process to evaluate the impact of any identified restrictions, and may request additionalinformation from the proposer, as may be necessary, to evaluate the proposer’s assertions. If norestrictions are intended, then the proposer should state “NONE.” Failure to provide fullinformation may result in a determination that the proposal is not compliant with the BAA – resulting in nonselectability of the proposal.

A sample list for complying with this request is as follows:

COMMERCIAL

Technical DataComputer Software To

be Furnished WithRestrictions

Basis for Assertion

Asserted RightsCategory

Name of Person AssertingRestrictions

(LIST) (LIST) (LIST) (LIST)

8.2 NONPROCUREMENT CONTRACT PROPOSERS - Noncommercial and Commercial

Items (Technical Data and Computer Software)

Proposers responding to this BAA requesting an Other Transaction for Prototype shall follow theapplicable rules and regulations governing that instrument, but in all cases should appropriatelyidentify any potential restrictions on the Government’s use of any Intellectual Propertycontemplated under that award instrument. This includes both Noncommercial Items andCommercial Items. Although not required, proposers may use a format similar to that describedin Paragraphs 1.a and 1.b above. The Government may use the list during the source selectionevaluation process to evaluate the impact of any identified restrictions, and may requestadditional information from the proposer, as may be necessary, to evaluate the proposer’s




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assertions. If no restrictions are intended, then the proposer should state “NONE.” Failure to provide full information may result in a determination that the proposal is not compliant with theBAA – resulting in nonselectability of the proposal.

8.3 ALL PROPOSERS – PATENTS

Include documentation proving your ownership of or possession of appropriate licensing rightsto all patented inventions (or inventions for which a patent application has been filed) that will beutilized under your proposal for the DARPA program. If a patent application has been filed for an invention that your proposal utilizes, but the application has not yet been made publiclyavailable and contains proprietary information, you may provide only the patent number,inventor name(s), assignee names (if any), filing date, filing date of any related provisionalapplication, and a summary of the patent title, together with either: 1) a representation that youown the invention, or 2) proof of possession of appropriate licensing rights in the invention.

8.3.1 All Proposers-Intellectual Property Representations

Provide a good faith representation that you either own or possess appropriate licensing rights to

all other intellectual property that will be utilized under your proposal for the DARPA program.Additionally, proposers shall provide a short summary for each item asserted with less thanunlimited rights that describes the nature of the restriction and the intended use of the intellectual property in the conduct of the proposed research.




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9. APPENDIX 1: VOLUME 1 COVER SHEET TEMPLATE




36

Volume I, Technical and Management Proposal

Cover Sheet

(1) Lead Organization Submitting Proposal:____________________________________

(2) Type of Business, selected among the following categories: “LARGE BUSINESS”,“SMALL DISADVANTAGED BUSNIESS”, “OTHER SMALL BUSNIESS, “HBCU”, “MI”,“OTHER EDUCATIONAL”, OR “OTHER NONPROFIT”

(3) Other team members (if applicable) and type of business for each:Company 1 (Other Small Business)Company 2 (Large Business)Company 3 (Large Business)University (Other Educational)

(4) Contractor’s reference number (if any):________________________________________

(5) Proposal Title: ___________________________________________________________

Proposal directed to the attention of (if applicable):_______________________________

(6) Technical point of contact to include:Salutation, last name first nameStreet AddressStreet Address 2City, State, Zip CodeTelephone, Fax (if available)Electronic mail (if available)

(7) Administrative point of contact to include:Salutation, last name first nameStreet AddressStreet Address 2City, State, Zip CodeTelephone, Fax (if available)Electronic mail (if available)

(8) Date proposal submitted: ___________________




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10. APPENDIX 2: VOLUME 2 COVER SHEET, CHECKLIST AND SAMPLE

TEMPLATES




38

Volume II, Cost Proposal

Cover Sheet

(1) Lead Organization Submitting Proposal: ____________________________________

(2) Type of Business, selected among the following categories: “LARGE BUSINESS”,“SMALL DISADVANTAGED BUSNIESS”, “OTHER SMALL BUSNIESS, “HBCU”, “MI”,“OTHER EDUCATIONAL”, OR “OTHER NONPROFIT”

(3) Other team members (if applicable) and type of business for each:Company 1 (Other Small Business)Company 2 (Large Business)Company 3 (Large Business)University (Other Educational)

(4) Contractor’s reference number (if any):________________________________________

(5) Proposal Title: ___________________________________________________________

Proposal directed to the attention of (if applicable):_______________________________

(6) Technical point of contact to include: (7) Administrative point of contact to include:Salutation, last name first name Salutation, last name first nameStreet Address Street AddressStreet Address 2 Street Address 2City, State, Zip Code City, State, Zip CodeTelephone, Fax (if available) Telephone, Fax (if available)Electronic mail (if available) Electronic mail (if available)

(8) Award Instrument Requested: cost-plus-fixed-fee (CPFF), cost-contract – no fee, costsharing contract – no fee, or other type of procurement contract (specify), or other transaction

(9) Place and period of performance: ___________________________________

(10) Proposer’s Cognizant Defense Contract Management Agency (DCMA), Defense ContractAudit Agency (DCAA) Information:

DCMA Administration Office (if known): DCAA Audit Office (if known):Salutation, last name first name Salutation, last name first nameStreet Address Street AddressStreet Address 2 Street Address 2City, State, Zip Code City, State, Zip CodeTelephone, Fax (if available) Telephone, Fax (if available)

(11) DUNS number: __________________

(12) TIN (Tax Information Number):___________________




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(13) Cage Code: ___________________

(14) Proposal Validity Period: ____________________

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

(16) Date proposal submitted: ___________________




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Volume II, Cost Proposal

Checklist and Sample Templates

The following checklist and sample templates are provided to assist the proposer in

developing a complete and responsive cost volume. Full instructions appear in Section

4.3 beginning on Page 14 of DARPA-BAA-10-83. This worksheet must be included withthe coversheet of the Cost Proposal.

1. Are all items from Section 4.3.8.2 (Volume II, Cost Proposal) of DARPA-BAA-10-83 included onyour Cost Proposal cover sheet?

○ YES ○ NO Appears on Page(s) [Type text]

If reply is “No”, please explain:

2. Does your Cost Proposal include (1) a summary cost buildup by Phase, (2) a summary cost buildup by Year, and (3) a detailed cost buildup of for each Phase that breaks out each task and shows the cost per month?



3. Does your cost proposal (detailed cost buildup #3 above in item 2) show a breakdown of the major cost items listed below:

Direct Labor (Labor Categories, Hours, Rates)


Indirect Costs/Rates (i.e., overhead charges, fringe benefits, G&A)


Materials and/or Equipment○ YES ○ NO Appears on Page(s) [Type text]

Subcontracts/Consultants


Other Direct Costs


Travel

○

YES○

NO Appears on Page(s) [Type text]


4. Have you provided documentation for proposed costs related to travel, to include purpose of trips,departure and arrival destinations and sample airfare?







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13. Have all team members (prime and subcontractors) who are considered a Federally FundedResearch & Development Center (FFRDC), included documentation that clearly demonstrates work is not otherwise available from the private sector AND provided a letter on letterhead from thesponsoring organization citing the specific authority establishing their eligibility to propose togovernment solicitations and compete with industry, and compliance with the associated FFRDCsponsor agreement and terms and conditions.



14. Does your proposal include a response regarding Organizational Conflicts of Interest?○ YES ○ NO Appears on Page(s) [Type text]


15. Does your proposal include a completed Data Rights Assertions table/certification?○ YES ○ NO Appears on Page(s) [Type text]





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SAMPLE – SUMMARY PROPOSAL BUDGET (One per Phase)

SAMPLE: COST ELEMENT SUMMARY

Phase 1 Phase 2 Option

COST ELEMENT BASE RATE AMOUNT BASE RATE AMOUNT

TOTAL

PROPOSED

AMOUNT

DIRECT LABOR (List each direct labor categoryseparately)

Hours

$ $

Hours

$ $

TOTAL DIRECT LABOR $ $

FRINGE BENEFITS $ % $ $ % $

TOTAL LABOR OVERHEAD $ % $ $ % $ SUBCONTRACTOR(S),CONSULTANT(S) (List Each

Separately) $ $ MATERIALS & EQUIPMENT $ $

MATERIAL OVERHEAD $ % $ $ % $

TRAVEL $ $

OTHER DIRECT COSTS (ODC) $ $

General and Administrative (G&A) $ % $ $ % $ Independent Research andDevelopment (IR&D)/Bid andProposal (B&P) $ % $ $ % $

SUBTOTAL COSTS $ $

COST OF MONEY (See DD Form

1861) $ $ TOTAL COST $ $

PROFIT/FEE $ % $ $ % $

TOTAL PRICE/COST $ $

GOVERNMENT SHARE $ $ RECIPIENT SHARE (if applicable) $ $




SAMPLE: SUBCONTRACTORS & CONSULTANTS PRICE SUMMARY

A B C D E F

Subcontractor

or Consultant Name

SOW

Tasks to be performed* Type of Award

Subcontractor of

ConsultantQuoted Price

Cost Proposed

by Prime for theSubcontractor or Consultant

Difference(Column D -

Column E)IFAPPLICABLE

TOTALS

* Identify Statement of Work, Milestone or Work Breakdown Structure paragraph or provide a narrativeexplanation as an addendum to this Table that describes the effort to be performed.

Documents

Darpa-baa-10-83 Final 08 September 2010[1]