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Broad Agency Announcement

Improv
Defense Sciences Office
DARPA-BAA-16-22
March 11, 2016

Table of Contents
1.
1.1
1.2
1.3
2.
2.1.
3.
3.1.
3.2.
3.3.
3.4.
4.
4.1.
4.2.
4.3.
4.4.
4.5.
5.
6.
6.1.
6.2.
6.3.
7.
8.
8.1.
8.2.

Funding Opportunity Description ............................................................................................. 4


Introduction ................................................................................................................................. 4
Program Structure ...................................................................................................................... 4
Improv Abstract and Proposal Submissions ............................................................................ 7
Award Information ..................................................................................................................... 7
Individual Awards ...................................................................................................................... 7
Eligibility Information ................................................................................................................ 8
Eligible Applicants ...................................................................................................................... 8
Conflicts of Interest..................................................................................................................... 8
Cost Sharing/Matching ............................................................................................................... 8
Ability to Support Classified Development, if applicable........................................................ 9
Application and Submission Information ................................................................................. 9
Address to Request Application Package ................................................................................. 9
Content and Form of Application Submission ......................................................................... 9
Submission Dates and Times.................................................................................................... 11
Funding Restrictions ................................................................................................................. 11
Other Submission Requirements ............................................................................................. 12
Application Review Information ............................................................................................. 15
Award Administration Information ........................................................................................ 17
Selection Notices ........................................................................................................................ 17
Administrative and National Policy Requirements ............................................................... 17
Reporting ................................................................................................................................... 20
Agency Contacts ........................................................................................................................ 20
Other Information .................................................................................................................... 20
Frequently Asked Questions (FAQs)....................................................................................... 20
Proposers Day............................................................................................................................ 21

ATTACHMENTS Mandatory Proposal Templates


1.
2.
3.
4.
5.
6.

Technical and Management Volume


Cost Volume
Cost Summary Spreadsheet
Administrative and National Policy Requirements
Statement of Work
Purchase Order

DARPA-BAA-16-22 Improv

PART I: OVERVIEW INFORMATION

Federal Agency Name: Defense Advanced Research Projects Agency (DARPA),


Defense Sciences Office (DSO)

Funding Opportunity Title: Improv

Announcement Type: Initial Announcement

Funding Opportunity Number: DARPA-BAA-16-22

Catalog of Federal Domestic Assistance (CFDA) Number(s): Not Applicable

Dates (All times listed herein are Eastern Time.)


o Posting Date: March 11, 2016
o Proposers Day Webcast: March 29 and March 30, 2016. See Section 8.2.
o Abstract Due Date: April 13, 2016, 4:00 p.m.
o FAQ Submission Deadline: May 18, 2016, 4:00 p.m. See Section 8.1.
o Full Proposal Due Date: May 25, 2016, 4:00 p.m.

Anticipated Individual Awards: Multiple awards are expected.

Types of Instruments that May be Awarded: All awards will be made via purchase
order.

Agency contacts
o Technical POC: John Main, Program Manager, DARPA/DSO
o Solicitation Email (UNCLASSIFIED): Improv@darpa.mil
o Solicitation Mailing Address:
DARPA/DSO
ATTN: DARPA-BAA-16-22
675 North Randolph Street
Arlington, VA 22203-2114

DARPA/DSO Solicitation Website: http://www.darpa.mil/work-with-us/opportunities

Frequently Asked Questions (FAQ): FAQs for this solicitation may be viewed on the
DSO Solicitation Website. See Section 8.1 for further information.

DARPA-BAA-16-22 Improv

PART II: FULL TEXT OF ANNOUNCEMENT


1. Funding Opportunity Description
1.1

Introduction

The Defense Advanced Research Projects Agency (DARPA) Improv program is soliciting
innovative research proposals for prototype products and systems that have the potential to
threaten current military operations, equipment, or personnel and are assembled primarily from
commercially available technology.
The program definition of commercially available technology is largely unrestricted and
ranges from generic and widely available technology such as cell phones, to highly specialized,
domain-specific technology such as construction, salvage, or surveying equipment.
The technology scope of Improv is broad, and the program is structured to encourage
participation by a wide range of technical specialists, researchers, developers, and skilled
hobbyists. Proposers are free to reconfigure, repurpose, program, reprogram, modify, combine,
or recombine commercially available technology in any way within the bounds of local, state,
and federal laws and regulations. Use of components, products, and systems from non-military
technical specialties (e.g., transportation, construction, maritime, and communications) is of
particular interest.
The specific mechanisms for preserving the central role of commercially available technology in
the program are: (1) constrained budgets, and (2) short development periods between award and
prototype delivery. The purpose of these mechanisms is to keep the focus of each individual
project on the integration of easily procured technology rather than on developing completely
new technology. However, new technology development activity within the bounds of the
Improv program structure is acceptable and encouraged.
1.2

Program Structure

DARPAs intent for the Improv program is to fund a short feasibility study phase, during which
performers will compete for the opportunity to build their proposed prototype. Following the
prototype construction phase, some of the prototypes will be selected for evaluation. If
performance warrants, DARPA may then further the development of countermeasures or
capabilities of interest in separate follow-on programs.
The five sequential steps of the Improv program are illustrated in Figure 1 and further detailed
below. Note: the first two steps occur during the solicitation period (i.e., are pre-award).

DARPA-BAA-16-22 Improv

Figure 1. Illustration of the Improv process.

1.2.1

Abstracts

Prior to submission of full proposals, proposers must submit a 2-page abstract that describes their
proposed product or system; a description of the threat it might pose to conventional military
operations, equipment, or personnel; the list of critical software and hardware components to be
acquired; and a short description of the integration tasks and process. Following abstract review,
DARPA will respond to proposers by either encouraging or discouraging preparation of a full
proposal.
1.2.2

Proposals

Proposed technical plans should provide an analysis (the more quantitative the better) of the
proposed system or product improvement, an integration plan, and a description of how the
system or product will operate or be operated. A revised version of the abstract, updated to be
congruent with the proposal, must be included with the proposal submission. (Note: while the
updated/edited abstract will not count against the proposal page limit, it must still comply with
the abstract content/format requirements outlined herein.) Proposals must include a Statement of
Work and costs covering all three independent and sequential project phases: Feasibility Study
(Phase 1); Prototype Construction (Phase 2); and Prototype Evaluation (Phase 3).
1.2.3

Feasibility Study (Phase 1)

The purpose of the Feasibility Study activity is to gain more clarity on the capability of the
proposed product or system and the level of effort required to realize it. This clarity could be
provided by a detailed engineering treatment of the product or system, but alternative approaches

DARPA-BAA-16-22 Improv

are not excluded as long as the proposer can: (1) quantitatively predict the performance of the
proposed product or system; and (2) demonstrate their ability to complete a functioning
prototype within the timing and funding constraints outlined herein.
For each proposal selected for award, DARPA anticipates issuing a purchase order within four
weeks of the proposal submission deadline stated herein. The period of performance (PoP) for
the Feasibility Study is 30 days from the issuance date of the purchase order. Upon conclusion
of the Feasibility Study PoP, a report must be delivered that describes (1) the results of the study,
and (2) what else can be learned by building the prototype. Based on the evaluation criteria
herein, the Government may or may not select a proposed product or system to proceed to the
Prototype Construction phase; the Feasibility Study report will provide the basis for the
Governments decision.
1.2.4

Prototype Construction (Phase 2)

The purpose of the Prototype Construction activity is to build a functional system that will
enable experimental evaluations of key aspects of system performance. It is not possible to
identify in advance what constitutes key performance criteria since the technology scope of
Improv is broad. Proposers must identify and justify the key performance parameters and
metrics of their respective products or systems in their proposals. These parameters/metrics will
be updated as necessary throughout the Phase 2 PoP.
For each effort selected to proceed to Prototype Construction, the proposer will receive a
purchase order for the Phase 2 PoP within two weeks of the submission of the Feasibility Study
final report. The PoP for the Prototype Construction phase is 75 days from the purchase order
issuance date. Upon conclusion of the Prototype Construction phase, a report must be delivered
that (1) describes in detail the design and operation of the prototype, and (2) what else can be
learned through a test range evaluation of the prototype. The report will provide the basis for the
Governments selection of products or systems that will proceed to the Prototype Evaluation
phase. While the Government may or may not select a prototype for evaluation, it should still be
prepared for shipment at the conclusion of Phase 2 in the eventuality that it is selected, using the
evaluation criteria set forth herein.
1.2.5

Prototype Evaluation (Phase 3)

The purpose of this phase is independent evaluation of performer prototypes. The Government
and/or Government contractors will perform these evaluations at a Government test facility.
Evaluation schedules will be established on a case-by-case basis and will depend upon the
availability of the appropriate test facility and personnel. Phase 3 performers will be expected to
support the Government evaluators by providing subject matter expertise for their prototype.
For each effort selected to proceed to the Prototype Evaluation phase, a purchase order will be
issued to provide support for proposer attendance at the prototype evaluation. Proposers will be
notified within three weeks of the submission of the Phase 2 report whether the Government
intends to issue a purchase order for Phase 3 participation; the actual purchase order will be
issued at an appropriate date prior to the prototype evaluation. Proposers may only include two
weeks salary for two participants, two weeks travel to the Washington DC area, per diem, and
appropriate G&A and overhead in their cost breakdowns. Following the evaluation, performers
DARPA-BAA-16-22 Improv

must submit a final report describing the evaluation and providing feedback.
1.3

Improv Abstract and Proposal Submissions

As stated above, all proposers must first submit an abstract prior to submitting a full proposal.
This process allows a proposer to ascertain whether the proposed concept is both applicable to
the Improv BAA and currently of interest without incurring the cost of preparing a full proposal.
If, in the sole opinion of the Government after full consideration of the circumstances, an
abstract or full proposal is found to be not applicable to the Improv program as defined in this
document, then it may be deemed non-conforming and removed from consideration.
Conforming is defined as having been submitted in accordance with all of the requirements
outlined in this Improv BAA. All abstracts and full proposals must provide sufficient
information to assess the validity/feasibility of their claims as well as comply with the
requirements outlined herein for submission formatting, content, and transmission to DARPA.
Proposers will be notified of non-conforming determinations via letter.
Each abstract or proposal may only address a single prototype system or product; however,
proposers may submit multiple abstracts and proposals.
Abstracts and proposals may be either unclassified or classified. See Section 4 for detailed
instructions for each type of submission related to content, format, templates, and transmission to
DARPA.
Proposers may receive multiple awards.
2. Award Information
Awards under this solicitation will be made to proposers whose proposals are determined to be
the most advantageous and provide best value to the Government.
The Government reserves the right to:
select for negotiation all, some, one, or none of the proposals received in response to this
solicitation;
fund proposals in increments with options for continued work at the end of one or more
phases;
request additional documentation once the award instrument has been determined (e.g.,
representations and certifications); and
remove proposers from award consideration should the parties fail to reach agreement on
award terms within a reasonable time, or the proposer fails to provide requested
additional information in a timely manner.
2.1.

Individual Awards

Multiple awards are anticipated in each phase of the program. DARPA intends to issue purchase
orders to fund all phases of this program. The anticipated levels of funding for each phase are as
follows:
Feasibility Study (Phase 1): up to $40,000 per individual award

DARPA-BAA-16-22 Improv

Prototype Construction (Phase 2): up to $70,000 per individual award


Prototype Evaluation (Phase 3): up to $20,000 per individual award

3. Eligibility Information
Eligibility determinations are at the sole discretion of DARPA and are made on a case-by-case
basis. The burden to prove the eligibility of all team members to DARPAs satisfaction rests
solely with the proposer. Therefore, all proposals must include the information requested in
Sections 1, 2, and 3 of the Administrative and National Policy Requirements document
(Attachment 4 to the BAA). If a team member is deemed ineligible after full deliberation of the
circumstances, the proposal may be removed from consideration.
Any prospective proposers who are unsure whether they meet the eligibility requirements for this
BAA should email a summary of the issue(s) to Improv@darpa.mil before time and effort are
expended in preparing a proposal.
3.1.

Eligible Applicants

Any responsible source (including individuals) capable of meeting all eligibility requirements
and satisfying the Government's needs may submit a proposal for DARPA consideration.
3.1.1.

Foreign Participation

Non-U.S. organizations and/or individuals may participate to the extent that such participants
comply with any necessary and applicable nondisclosure agreements, security regulations, export
control laws, and other governing statutes.
3.2.

Conflicts of Interest

Current Federal employees are prohibited from participating in particular matters involving
conflicting financial, employment, and representational interests (18 U.S.C. 203, 205, and
208). Furthermore, without prior approval or a waiver from the DARPA Director, in accordance
with FAR 9.503, a contractor cannot simultaneously provide scientific, engineering, technical
assistance (SETA) or similar support and also be a technical performer. Therefore, all proposers
are responsible for disclosing all facts relevant to the existence or potential existence of
organizational conflicts of interest (FAR 9.5).
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. The Government
assessment does not affect, offset, or mitigate the proposers responsibility to give full notice and
planned mitigation for all potential organizational conflicts (see Attachment 4 to the BAA). If in
the sole opinion of the Government after full deliberation of the circumstances, a proposal fails
to fully disclose potential conflicts of interest and/or any identified conflict situation cannot be
effectively mitigated, the proposal will be withdrawn from consideration.
3.3.

Cost Sharing/Matching

Cost sharing is not required.

DARPA-BAA-16-22 Improv

3.4.

Ability to Support Classified Development, if applicable

Both classified and unclassified submissions are acceptable under the Improv BAA.
Proposers intending to submit classified abstracts and proposals must be capable of supporting
classified design and development work. Such proposers must have either current cleared
personnel and facilities approved for receiving, processing, and storing export-controlled and
classified information or have recently held facility clearances (i.e., facility decertification
occurred within the last 12 months).
Proposers submitting classified information must have cognizant security agency approved
facilities, information systems, and appropriately cleared/eligible personnel to perform at the
classification level proposed. This includes meeting the requirements set forth in DoD Manual
8570.01-M (Information Assurance Workforce Improvement Program) for all proposer
personnel performing Information Assurance (IA)/Cybersecurity related duties on classified
Information Systems.
For questions on security or classification issues, send an UNCLASSIFIED email request
to Improv@darpa.mil. Also see Sections 4.5.2-4.5.3.
4. Application and Submission Information
DARPA policy is to treat all submissions as source selection information (see FAR 2.101 and
3.104), and to disclose their contents only for the purpose of evaluation. Restrictive notices
notwithstanding, during the evaluation process submissions may be handled by support
contractors for administrative purposes and/or to assist with technical evaluation. All DARPA
support contractors performing this role are expressly prohibited from performing DARPAsponsored technical research and are bound by appropriate nondisclosure agreements.
Submissions will not be returned. The original of each submission received will be retained at
DARPA and all other non-required copies destroyed. A certification of destruction may be
requested, provided the formal request is received at this office within 5 days after
unsuccessful notification.
4.1.

Address to Request Application Package

This document contains all information required to submit a response to this solicitation. No
additional materials or information regarding this opportunity will be issued except as referenced
herein.
4.2.

Content and Form of Application Submission

All pages of all submissions shall be formatted for printing on 8-1/2 by 11 inch paper with 1inch margins and font size not smaller than 11 point. Font sizes of 8 or 10 point may be used
for figures, tables, and charts. Document files must be in .pdf, .ppt, .pptx, .odx, .doc, .docx,
.xls, or .xlsx formats. Submissions must be written in English.

DARPA-BAA-16-22 Improv

Proposers are solely responsible for clearly identifying proprietary information. Submissions
containing proprietary information must have the cover page and each page containing such
information clearly marked only with the label Company Proprietary. Do not use the
markings Confidential or Secret to identify company proprietary material.
4.2.1. Abstract Information
As stated above, all proposers are required to submit an abstract in advance of a full
proposal. DARPA will respond to abstracts with a statement as to whether DARPA is
interested in the idea. If submission of a full proposal is not recommended, DARPAs
response will include feedback regarding the rationale for this decision. Regardless of
DARPAs response to an abstract, proposers may submit a full proposal. DARPA will
review all conforming full proposals using the published evaluation criteria and without
regard to any comments resulting from the review of an abstract. Likewise, a favorable
response to an abstract is not a guarantee that a proposal based on the abstract will ultimately
be selected for award negotiation. Proposers may anticipate a response within approximately
two weeks from the abstract submission deadline.
4.2.1.1. Abstract Format
Abstracts shall not exceed a maximum of two pages. The cover sheet does not count against the
page limit. Abstracts must include the following components:
I. Cover Sheet: Provide the following information:
(1) Label: Abstract
(2) BAA number (DARPA-BAA-16-22)
(3) Abstract title
(4) Lead organization name
(5) Technical point of contact (POC) including name, mailing address, telephone
number, and email address
(6) Administrative POC including name, mailing address, telephone number, and email
address
(7) Security POC including name, mailing address, telephone number, and email address
(8) Commercial and Government Entity (CAGE) code
(9) Primary subcontractors (if known/applicable)
(10) Identify any other solicitation(s) to which this concept has been proposed
II. Goals and Impact: Describe the purpose of the prototype system or product. Identify
the military capability that would be threatened if the new system or product were to be
fully realized.
III. Technical Plan: Provide a detailed list of the major components to be acquired
(including source, model #, etc.) and a discussion of the major integration tasks and
processes.
IV. Capabilities/Management Plan: Provide a brief summary of expertise of the team,
including subcontractors and key personnel. Identify a principal investigator for the project

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and include a description of the teams organization including roles and responsibilities.
4.2.2. Full Proposal Information
All proposals must include the following seven parts. Templates containing content
descriptions and instructions for parts 1 through 6 have been provided as attachments to the
BAA posted at http://www.fbo.gov/. Use of these templates is mandatory for all proposal
submissions to this BAA. Part 7 must comply with the abstract content and format
requirements outlined herein.
1.
2.
3.
4.
5.
6.
7.
4.3.

Technical and Management Volume


Cost Volume
Cost Summary Spreadsheet
Administrative and National Policy Requirements
Statement of Work
Purchase Order
Updated Abstract
Submission Dates and Times

All times listed herein are in Eastern Time. Proposers are warned that submission deadlines as
outlined herein are strictly enforced. When planning their response to this solicitation, proposers
should take into account that some parts of the submission process may take from one business
day to one month to complete (e.g., registering for a DUNS number or TIN).
DARPA will acknowledge receipt of complete submissions via UNCLASSIFIED email and
assign identifying numbers that should be used in all further correspondence regarding those
submissions. If no confirmation is received within two business days, please contact the BAA
Administrator at Improv@darpa.mil to verify receipt.
Failure to comply with the submission procedures outlined herein may result in the submission
not being evaluated.
4.3.1. Abstract Submission Deadline
Abstracts must be submitted per the instructions outlined herein and received by DARPA no later
than 4:00 p.m. on April 13, 2016. Abstracts received after this time and date may not be
reviewed.
4.3.2. Full Proposal Submission Deadline
The full proposal package, including all applicable attachments and any proprietary
subcontractor cost proposals, must be submitted per the instructions outlined herein and received
by DARPA no later than 4:00 p.m. on May 25, 2016. Proposals received after this time and date
may not be reviewed.
4.4.

Funding Restrictions

Not Applicable

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4.5.

Other Submission Requirements

Proposers must transmit all parts of their abstract or proposal package in accordance with the
instructions outlined herein. Duplicate submissions must not be sent via multiple methods.
Complete submission packages are defined as follows:
Abstracts: The single document file as described in Sections 4.2 and 4.2.1.1 above. This
file may be classified or unclassified.

Proposals: The seven document files (described in Section 4.2.2), and any proprietary
subcontractor cost proposals that may be submitted separately as outlined in Attachment
2 to the BAA. Proposals may be classified or unclassified. Note: if any of the proposal
files contain classified information, the overall proposal is considered classified.

4.5.1. Transmission Instructions for UNCLASSIFIED Abstracts and Proposals


Unclassified abstracts and proposals may be either mailed or hand-carried to DARPA.
Submissions sent via email or fax will not be accepted (with the exception of proprietary
subcontractor cost proposals as described in Attachment 2 to the BAA). Proposers must provide
two copies of every complete submission packageone paper copy and one copy on CD or
DVD. Disks must be labeled with the submission title, the proposers name and organization,
and either Abstract or Proposal, as applicable.
Submissions must be addressed to:
Defense Advanced Research Projects Agency
ATTN: DARPA/DSO BAA Office
Reference: DARPA-BAA-16-22
675 North Randolph Street
Arlington, VA 22203-2114
4.5.2. Transmission Instructions for CLASSIFIED Abstracts and Proposals
Proposers who do not have the capability to support classified work (see Section 3.4) or
transmit classified information may skip to Section 5 below.
Classified submissions shall be transmitted by the specifically approved methods outlined
herein.
Classified abstracts: Proposers must provide two copies of every complete submission
packageone paper copy and one copy on CD or DVD. Disks must be labeled with
Abstract, the submission title, and the proposers name and organization. The paper copy and
the disk (and all files contained therein) must include applicable security markings as directed
below.
Classified proposals: Complete submission packages will contain both classified and

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unclassified components as outlined below.


Classified Components: Technical and Management Volume (Attachment 1) and, if
applicable, the Statement of Work (Attachment 5) and updated abstract. Proposers must
provide one paper copy and one copy on CD or DVD (all components should be on the
same disk). Disks must be labeled with Proposal Part 1, the submission title, and the
proposers name and organization. The paper copy and the disk (and all files contained
therein) must include applicable security markings as directed below.
Unclassified Components: Cost Volume (Attachment 2), Cost Summary Spreadsheet
(Attachment 3), Administrative and National Policy Requirements (Attachment 4),
Purchase Order (Attachment 6). Proposers must provide one paper copy and one copy
on CD or DVD (all components should be on the same disk). Disks must be labeled
with Proposal Part 2, the submission title, and the proposers name and organization.
The unclassified paper copy and disk (and all files contained therein) must be marked as
UNCLASSIFIED.
4.5.2.1. Confidential and Secret Information
Confidential and Secret classified information may be submitted via ONE of the two following
methods:

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


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

Mailed via U.S. Postal Service (USPS) Registered Mail or USPS Express Mail. All
classified information will be enclosed in opaque inner and outer covers and doublewrapped. The inner envelope shall be sealed and plainly marked with the assigned
classification and addresses of both sender and addressee. The inner envelope shall be
addressed to:
Defense Advanced Research Projects Agency
ATTN: DARPA/DSO BAA Office
Reference: DARPA-BAA-16-22
675 North Randolph Street
Arlington, VA 22203-2114
The outer envelope shall be sealed with no identification as to the classification of its
contents and addressed to:
Defense Advanced Research Projects Agency
Security & Intelligence Directorate, Attn: CDR
675 North Randolph Street
Arlington, VA 22203-2114

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4.5.2.2. Top Secret Information


Top Secret information must be hand-carried by an appropriately cleared and authorized
courier to the DARPA CDR. Prior to traveling, the courier shall contact the DARPA CDR at
703-526-4052 to coordinate arrival and delivery.
4.5.2.3. Sensitive Compartmented Information (SCI) and Special Access Program (SAP)
Information
Proposers intending to submit SCI or SAP information must contact the DARPA/DSO
Program Security Officer for specific transmission instructions. Requests for instructions must
be sent via UNCLASSIFIED email to Improv@darpa.mil.
4.5.3. Other Security Information
DARPA anticipates both classified and unclassified submissions to this BAA. Security
classification guidance via a Security Classification Guide (SCG) and/or DD Form 254, DoD
Contract Security Classification Specification, may be provided at a later date. Note: If the DD
Form 254 or SCG is classified Confidential, Secret, Confidential/SAP, or Secret/SAP, it can only
be mailed to the requesters classified mailing address which must be provided to the
DARPA/DSO Program Security Officer. A DD Form 254 or SCG that is classified as Sensitive
Compartmented Information (SCI), Top Secret, or Top Secret/SAP must be hand-carried back to
proposer locations via appropriately cleared and authorized couriers. Additional SAP security
requirements regarding facility accreditations, information security, personnel security, physical
security, operations security, test security, classified transportation plans, and program protection
planning may be specified in the DD Form 254.
Proposers whose submissions contain Classified National Security Information (as defined by
Executive Order 13526) shall use classification, handling and marking guidance as outlined
below:

Confidential, Secret or Top Secret Information: Previously issued SCGs, the DoD
Information Security Manual (DoDM 5200.01, Volumes 1 - 4), and the National
Industrial Security Program Operating Manual (NISPOM), including the Supplement
Revision 1, (DoD 5220.22-M and DoD 5200.22-M Sup. 1).

Sensitive Compartmented Information (SCI): DoDM 5105.21 Volumes 1 - 3.

Special Access Program (SAP) Information: DoDM 5205.07 Volume 4.


Notes:
(1) Prior to drafting the submission, if use of SAP Information Systems is to be
proposed, proposers must first obtain an Authorization-to-Operate from the
DARPA/DSO Program Security Officer (or other applicable DARPA Authorization
Official) using the Risk Management Framework (RMF) process outlined in the Joint
Special Access Program (SAP) Implementation Guide (JSIG), Revision 3, dated
October 9, 2013 (or successor document).

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(2) Proposers choosing to submit SAP information from an agency other than DARPA
are required to provide the DARPA/DSO Program Security Officer written permission
from the source materials cognizant Special Access Program Control Officer
(SAPCO) or designated representative. For clarification regarding this process, send
an UNCLASSIFIED email to Improv@darpa.mil and request contact by the
DARPA/DSO Program Security Officer.

When the classification of a submission is in question, the submission must be


appropriately and conspicuously marked with the proposed classification level and
declassification date.

Submissions requiring DARPA to make a final classification determination shall be


marked as follows:
CLASSIFICATION DETERMINATION PENDING. Protect as though
classified____________________________[insert the recommended
classification level, e.g., Top Secret, Secret or Confidential]

Classified submissions must indicate the classification level of not only the submitted materials,
but also the classification level of the anticipated award.
Proposers choosing to submit classified information from other classified sources (i.e., sources
other than DARPA) must ensure: (1) they have permission from an authorized individual at the
cognizant Government agency (e.g., Contracting Officer, Program Manager); (2) the proposal is
marked in accordance with the source Security Classification Guide (SCG) from which the
material is derived; and (3) the source SCG is submitted along with the proposal.
Additional information on the subjects discussed in this section may be found
at http://www.dss.mil/.
5. Application Review Information
DARPA policy is to treat all submissions as source selection information (see FAR 2.101 and
3.104), and to only disclose their contents to authorized personnel. During the evaluation
process, submissions may be handled by support contractors for administrative purposes and/or
to assist with technical evaluation. All DARPA support contractors performing this role are
expressly prohibited from performing DARPA-sponsored technical research and are bound by
appropriate nondisclosure agreements.
Submissions will not be returned. The original of each submission received will be retained at
DARPA and all other non-required copies destroyed.
5.1. Evaluation Criteria
Proposals will be evaluated using the following criteria listed in descending order of
importance: Overall Scientific and Technical Merit; Potential Contribution and Relevance to
the DARPA Mission; and Cost Realism.

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Overall Scientific and Technical Merit


The proposed technical approach is feasible, achievable, complete and supported by a
proposed technical team that has the expertise and experience to accomplish the proposed
tasks. The task descriptions and associated technical elements provided are complete and
in a logical sequence with all proposed deliverables clearly defined such that a final
outcome that achieves the goal can be expected as a result of award.
The proposed technical approach has a reasonable probability of delivering a product or
system at the end of Phase 2 that demonstrates the potential to threaten some aspect of
military operations.

Potential Contribution and Relevance to the DARPA Mission


The potential contributions of the proposed effort are relevant to the national technology
base. Specifically, DARPAs mission is to maintain the technological superiority of the
U.S. military and prevent technological surprise from harming national security by
sponsoring revolutionary, high-payoff research that bridges the gap between fundamental
discoveries and their application.
The proposed product or system is novel and nonobvious. When something is novel or
nonobvious, it frequently means that very few people recognize that it is possible. If the
proposed product or system may be found largely complete in a catalog or on the internet,
it is probably neither novel nor nonobvious.

Cost Realism
The proposed costs are realistic for the technical and management approach and accurately
reflect the technical goals and objectives of the solicitation. The proposed costs are
consistent with the proposer's Statement of Work and reflect a sufficient understanding of
the costs and level of effort needed to successfully accomplish the proposed technical
approach.

5.2. Proposal Review and Selection Process


DARPA will conduct a scientific/technical review of each conforming proposal. Proposals will
not be evaluated against each other since they are not submitted in accordance with a common
work statement. DARPA policy is to ensure impartial, equitable, comprehensive proposal
evaluations and to select proposals that meet DARPA technical, policy, and programmatic goals.
The review process identifies proposals that meet the evaluation criteria described above and
are, therefore, selectable for negotiation of awards by the Government. Proposals that are
determined selectable will not necessarily receive awards. Selections may be made at any time
during the period of solicitation. For evaluation purposes, a proposal is defined to be the
documents described in Section 4.2.2.

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6. Award Administration Information


6.1. Selection Notices
After proposal evaluations are complete, proposers will be notified as to whether their proposal
is selected for award as a result of the review process. Notification will be sent by email to the
Technical and Administrative POCs identified on the proposal cover sheet. If a proposal has
been selected for award, the Government will initiate the purchase order process following the
notification.
6.2. Administrative and National Policy Requirements
6.2.1. System for Award Management (SAM) Registration and Universal Identifier
Requirements
Unless exempt from this requirement as per FAR 4.1102, all proposers must be registered in the
System for Award Management (SAM) and have a valid Data Universal Numbering System
(DUNS) number prior to receiving an award. All proposals must include the proposers DUNS
number. Information on SAM registration is available at
https://www.sam.gov/portal/public/SAM/. Note: new registrations can take an average of 7-10
business days to process in SAM. SAM registration requires the following information:
DUNS number
TIN
CAGE Code. If a proposer does not already have a CAGE code, one will be assigned
during SAM registration.
Electronic Funds Transfer information (e.g., proposers bank account number, routing
number, and bank phone or fax number).
6.2.2. Intellectual Property
Proposers should note that the Government does not own the intellectual property or technical
data/computer software developed under Government awards. The Government acquires the
right to use the technical data/computer software. Regardless of the scope of the Governments
rights, performers may freely use their same data/software for their own commercial purposes
(unless restricted by U.S. export control laws or security classification). Therefore, technical
data and computer software developed under this solicitation will remain the property of the
performers, though DARPA will have, at a minimum, Government Purpose Rights (GPR) to
technical data and computer software developed through DARPA sponsorship.
All references to "Unlimited Rights" or "Government Purpose Rights" are intended to refer to the
definitions of those terms as set forth in the Defense Federal Acquisition Regulation Supplement
(DFARS) 227.
6.2.2.1. Intellectual Property Representations
In order to appropriately identify any potential restrictions on the Governments use of a
proposers intellectual property contemplated under the award, all proposers using proprietary
computer software or technical data or both in their proposed effort, in whole or in part, must
clearly identify such software/data and its proposed particular use(s) in Section 5 of the
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Administrative and National Policy Requirements document (Attachment 4 to the BAA). This
includes both noncommercial items and commercial items. The Government may request
additional information from the proposer to evaluate the proposers assertions. Failure to
provide full information may result in a determination that the proposal is non-conforming.
6.2.2.2. Patents
All proposers using patented inventions in the proposed project which are owned by or assigned
to the proposing organization or individual must provide the information requested in Section 5
of the Administrative and National Policy Requirements document (Attachment 4 to the BAA).
6.2.3. Human Subjects Research and Animal Use
No research involving human subjects or animals may be proposed under this BAA. For
information on these topics, see http://www.darpa.mil/work-with-us/for-smallbusinesses/human-animal-research.
6.2.4. Export Control
Per DFARS 225.7901-4 and as deemed appropriate, all awards resultant from this BAA will
include the DFARS Export Control clause (252.225-7048).
6.2.5. Employment Eligibility Verification
Per FAR 22.1802, all award recipients under this BAA must enroll as Federal contractors in Everify and use the system to verify employment eligibility of all employees assigned to the
award. All awards resultant from this solicitation will include FAR 52.222-54, Employment
Eligibility Verification.
6.2.6. Representations by Corporations Regarding an Unpaid Delinquent Tax Liability or
a Felony Conviction under any Federal Law
In accordance with the Continuing Appropriations Act, 2016 (Pub. L. 114-53) and any applicable
subsequent FY 2016 appropriations act, all awards will include a representation that none of the
funds made available by this or any other Act may be used to enter into a contract with any
corporation that (1) has any unpaid Federal tax liability that has been assessed, for which all
judicial and administrative remedies have been exhausted or have lapsed, and that is not being
paid in a timely manner pursuant to an agreement with the authority responsible for collecting
the tax liability, where the awarding agency is aware of the unpaid tax liability, unless the agency
has considered suspension or debarment of the corporation and made a determination that this
further action is not necessary to protect the interests of the Government; or (2) was convicted of
a felony criminal violation under any Federal law within the preceding 24 months, where the
awarding agency is aware of the conviction, unless the agency has considered suspension or
debarment of the corporation and made a determination that this action is not necessary to
protect the interests of the Government.
Proposers must provide the information requested in Section 4 of the Administrative and
National Policy Requirements document (Attachment 4 to the BAA) to comply with this
requirement.

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6.2.7. Controlled Unclassified Information (CUI) on Non-DoD Information Systems


DARPA may deem some or all information related to projects funded under this BAA to be
Controlled Unclassified Information (CUI). CUI refers to unclassified information that does
not meet the standards for National Security Classification but still requires safeguarding or
dissemination controls. Compliance with applicable law, regulations, and Government-wide
policies requires organizations to execute due diligence with regard to information security.
Therefore, all awardees are expected to adhere to the following procedural safeguards, in
addition to any other relevant Federal or DoD-specific procedures when dealing with DARPA
CUI on non-DoD information systems:
Do not process DARPA CUI on publicly available computers or post DARPA CUI to
publicly available websites that have access limited only by domain or Internet
protocol restriction.
Ensure that all DARPA CUI is protected by a physical or electronic barrier when not
under direct individual control of an authorized user and limit the transfer of DARPA
CUI to subcontractors or teaming partners with a need to know and commitment to
this level of protection.
Ensure that DARPA CUI on mobile computing devices is identified and encrypted.
Ensure that all communications regarding DARPA CUI on mobile devices or through
wireless connections are protected and encrypted.
Overwrite media that has been used to process DARPA CUI before external release
or disposal.
6.2.8. Prohibition on Contracting with Entities that Require Certain Internal
Confidentiality Agreements
(a) In accordance with section 101(a) of the Continuing Appropriations Act, 2016 (Pub. L. 11453) and any subsequent FY 2016 appropriations act that extends to FY 2016 funds the same
restrictions as are contained in section 743 of division E, title VII, of the Consolidated and
Further Continuing Appropriations Act, 2015 (Pub. L. 113-235), none of the funds appropriated
(or otherwise made available) by this or any other Act may be used for a contract with an entity
that requires employees or subcontractors of such entity seeking to report fraud, waste, or abuse
to sign internal confidentiality agreements or statements prohibiting or otherwise restricting such
employees or contactors from lawfully reporting such waste, fraud, or abuse to a designated
investigative or law enforcement representative of a Federal department or agency authorized to
receive such information.
(b) The prohibition in paragraph (a) of this provision does not contravene requirements
applicable to Standard Form 312, Form 4414, or any other form issued by a Federal department
or agency governing the nondisclosure of classified information.
(c) Representation. By submission of its offer, the Offeror represents that it does not require
employees or subcontractors of such entity seeking to report fraud, waste, or abuse to sign or
comply with internal confidentiality agreements or statements prohibiting or otherwise restricting
such employees or contactors from lawfully reporting such waste, fraud, or abuse to a designated
investigative or law enforcement representative of a Federal department or agency authorized to
receive such information.

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6.3. Reporting
6.3.1. Technical and Financial Reports
The number and types of technical and financial reports required under the award will be
specified in the purchase order(s).
6.3.2. Representations and Certifications
In accordance with FAR 4.1201, prospective proposers shall complete electronic annual
representations and certifications at http://www.sam.gov.
6.3.3. Wide Area Work Flow (WAWF)
Unless using another means of invoicing, performers will be required to submit invoices for
payment directly at https://wawf.eb.mil. If applicable, WAWF registration is required prior to
award under this solicitation.
6.3.4. i-Edison
Award documents will contain a requirement for patent reports and notifications to be submitted
electronically through the i-Edison Federal patent reporting system at
https://public.era.nih.gov/iedison.
7. Agency Contacts
DARPA will use email for all technical and administrative correspondence regarding this
solicitation.

Technical POC: John Main, Program Manager, DARPA/DSO

Solicitation Email (UNCLASSIFIED): Improv@darpa.mil

Solicitation Mailing Address:


DARPA/DSO
ATTN: DARPA-BAA-16-22
675 North Randolph Street
Arlington, VA 22203-2114

DSO Solicitation Website: http://www.darpa.mil/work-with-us/opportunities

8. Other Information
8.1. Frequently Asked Questions (FAQs)
Administrative, technical, and contractual questions should be sent via UNCLASSIFIED email
to Improv@darpa.mil. Proposers who have classified questions should send an
UNCLASSIFIED email to Improv@darpa.mil and request contact.

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All questions must be in English and must include the name, email address, and the telephone
number of a point of contact.
DARPA will attempt to answer questions in a timely manner; however, questions submitted
within 7 days of the proposal due date may not be answered. DARPA will post an FAQ list at:
http://www.darpa.mil/work-with-us/opportunities. The list will be updated on an ongoing
basis until the BAA expiration date as stated in Part I.
8.2. Proposers Day
The Improv Proposers Day will be webcast on March 29 and March 30, 2016. Advance
registration is mandatory for every individual intending to view the webcast either alone or as
part of a group. Only confirmed registrants may access and view the webcast. Recording of the
webcast is not permitted. Viewing the webcast is voluntary and is not required to propose to this
solicitation. See DARPA-SN-16-26 posted at www.fbo.gov for all details.

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