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Broad Agency Announcement

**DARPA Mathematical Challenges**

Defense Sciences Office

DARPA-BAA 08-65

September 26, 2008

[**Part One: Overview Information** 3](#__RefHeading___Toc208657531)

[**Part Two: Full Text of Announcement**
4](#__RefHeading___Toc208657532)

[**I.** **Funding Opportunity Description**
4](#__RefHeading___Toc208657533)

[**II.** **Award Information** 6](#__RefHeading___Toc208657534)

[**III.** **Eligibility Information** 7](#__RefHeading___Toc208657535)

[**A.** **Eligible Applicants** 7](#__RefHeading___Toc208657536)

[**1.** **Procurement Integrity, Standards of Conduct, Ethical
Considerations, and Organizational Conflicts of Interest**
7](#__RefHeading___Toc208657537)

[**B.** **Cost Sharing/Matching** 8](#OLE_LINK12)

[**C.** **Other Eligibility Criteria** 8](#__RefHeading___Toc208657539)

[**1.** **Collaborative Efforts** 8](#__RefHeading___Toc208657540)

[**IV.** **Application and Submission Information**
9](#__RefHeading___Toc208657541)

[**A.** **Address to Request Application Package**
9](#__RefHeading___Toc208657542)

[**B.** **Content and Form of Application Submission**
9](#__RefHeading___Toc208657543)

[**1.** **White Paper and Proposal Information**
9](#__RefHeading___Toc208657544)

[**2.** **White Paper Format** 11](#__RefHeading___Toc208657545)

[**3.** **Full Proposal Format** 12](#__RefHeading___Toc208657546)

[**C.** **Submission Dates and Times** 19](#OLE_LINK7)

[**1.** **White Paper Date** 19](#__RefHeading___Toc208657548)

[**2.** **Full Proposal Date** 19](#__RefHeading___Toc208657549)

[**D.** **Intergovernmental Review** 19](#__RefHeading___Toc208657550)

[**E.** **Funding Restrictions** 19](#__RefHeading___Toc208657551)

[**F.** **Other Submission Requirements**
19](#__RefHeading___Toc208657552)

[**V.** **Application Review Information**
20](#__RefHeading___Toc208657553)

[**A.** **Evaluation Criteria** 20](#__RefHeading___Toc208657554)

[**B.** **Review and Selection Process**
21](#__RefHeading___Toc208657555)

[**VI.** **AWARD ADMINISTRATION INFORMATION**
22](#__RefHeading___Toc208657556)

[**A.** **Award Notices** 22](#__RefHeading___Toc208657557)

[**B.** **Administrative and National Policy Requirements**
22](#__RefHeading___Toc208657558)

[**1.** **Security** 22](#__RefHeading___Toc208657559)

[**2.** **Intellectual Property** 24](#__RefHeading___Toc208657560)

[**3.** **Meeting and Travel Requirements**
24](#__RefHeading___Toc208657561)

[**4.** **Human Use** 25](#__RefHeading___Toc208657562)

[**5.** **Animal Use** 25](#__RefHeading___Toc208657563)

[**6.** **Publication Approval** 26](#__RefHeading___Toc208657564)

[**7.** **Export Control** 26](#__RefHeading___Toc208657565)

[**8.** **Subcontracting** 27](#__RefHeading___Toc208657566)

[**C.** **Reporting** 27](#__RefHeading___Toc208657567)

[**D.** **Central Contractor Registration (CCR)**
27](#__RefHeading___Toc208657568)

[**E.** **Representations and Certifications**
28](#__RefHeading___Toc208657569)

[**F.** **Wide Area Work Flow (WAWF)** 28](#__RefHeading___Toc208657570)

[**VII.** **AGENCY CONTACTS** 28](#__RefHeading___Toc208657571)

[]{#__RefHeading___Toc208657531 .anchor}**Part One: Overview
Information**

-   **Federal Agency Name** -- Defense Advanced Research Projects Agency
    (DARPA), Defense Sciences Office (DSO)

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-   **Funding Opportunity Title --** DARPA Mathematical Challenges

-   **Announcement Type --** Initial announcement

-   **Funding Opportunity Number --** DARPA Broad Agency Announcement
    (BAA) 08-65

-   **Catalog of Federal Domestic Assistance Numbers (CFDA)** -- 12.910
    Research and Technology Development

-   **Dates**

    -   White papers may be submitted at any time up to 4:00PM ET,
        **7/25/2009**

    -   Full Proposals may be submitted at any time up to the Closing
        Date

    -   **Closing Date, 4:00PM ET, 9/25/2009**

-   **Description of the funding opportunity --** DARPA is soliciting
    innovative research proposals in the area of DARPA Mathematical
    Challenges, with the goal of dramatically revolutionizing
    mathematics and thereby strengthening the scientific and
    technological capabilities of DoD.

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-   Multiple awards are anticipated.

-   **Types of instruments that may be awarded** -- Procurement contract
    or grant.

-   **Agency contact**

    -   Points of Contact:

> The BAA Technical POC is Dr. Benjamin Mann, who can be reached at
> [BAA08-65@darpa.mil]{.underline}.
>
> The BAA Administrator for this effort can be reached at:
>
> Electronic mail: [BAA08-65@darpa.mil]{.underline}
>
> DARPA/DSO
>
> ATTN: DARPA-BAA08-65
>
> 3701 North Fairfax Drive
>
> Arlington, VA 22203-1714
>
> Phone: (571) 218-4565
>
> Solicitations can be viewed at:
>
> Web: <http://www.darpa.mil/dso/solicitations/solicit.htm>

[]{#__RefHeading___Toc208657532 .anchor}**Part Two: Full Text of
Announcement**

I.  []{#__RefHeading___Toc208657533 .anchor}**[Funding Opportunity
    Description]{.underline}**

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 FedBizOpps website,
<http://www.fedbizopps.gov/>, and Grants.gov website at
<http://www.grants.gov/>. The following information is for those wishing
to respond to the BAA.

DARPA is soliciting innovative research proposals in the area of DARPA
Mathematical Challenges, with the goal of dramatically revolutionizing
mathematics and thereby strengthening DoD's scientific and technological
capabilities. To do so, the agency has identified twenty-three
mathematical challenges, listed below, which were announced at DARPA
Tech 2007.

DARPA seeks innovative proposals addressing these Mathematical
Challenges. Proposals should offer high potential for major mathematical
breakthroughs associated to one or more of these challenges. Responses
to multiple challenges should be addressed in separate proposals.
Submissions that merely promise incremental improvements over the
existing state of practice will be deemed unresponsive.

Mathematical Challenge One: **The Mathematics of the Brain**

-   Develop a mathematical theory to build a functional model of the
    brain that is mathematically consistent and predictive rather than
    merely biologically inspired.

Mathematical Challenge Two: **The Dynamics of Networks**

-   Develop the high-dimensional mathematics needed to accurately model
    and predict behavior in large-scale distributed networks that evolve
    over time occurring in communication, biology and the social
    sciences.

Mathematical Challenge Three: **Capture and Harness Stochasticity in
Nature**

-   Address Mumford's call for new mathematics for the 21^st^ century.
    Develop methods that capture persistence in stochastic environments.

[]{.mark}

Mathematical Challenge Four: **21st Century Fluids**

-   Classical fluid dynamics and the Navier-Stokes Equation were
    extraordinarily successful in obtaining quantitative understanding
    of shock waves, turbulence and solitons, but new methods are needed
    to tackle complex fluids such as foams, suspensions, gels and liquid
    crystals.

Mathematical Challenge Five: **Biological Quantum Field Theory**

-   Quantum and statistical methods have had great success modeling
    virus evolution. Can such techniques be used to model more complex
    systems such as bacteria? Can these techniques be used to control
    pathogen evolution?

Mathematical Challenge Six: **Computational Duality**

-   Duality in mathematics has been a profound tool for theoretical
    understanding. Can it be extended to develop principled
    computational techniques where duality and geometry are the basis
    for novel algorithms?

Mathematical Challenge Seven: **Occam's Razor in Many Dimensions**

-   As data collection increases can we "do more with less" by finding
    lower bounds for sensing complexity in systems? This is related to
    questions about entropy maximization algorithms.

Mathematical Challenge Eight: **Beyond Convex Optimization**

-   Can linear algebra be replaced by algebraic geometry in a systematic
    way?

Mathematical Challenge Nine: **What are the Physical Consequences of
Perelman's Proof of Thurston's Geometrization Theorem?**

-   Can profound theoretical advances in understanding three dimensions
    be applied to construct and manipulate structures across scales to
    fabricate novel materials?

Mathematical Challenge Ten: **Algorithmic Origami and Biology**

-   Build a stronger mathematical theory for isometric and rigid
    embedding that can give insight into protein folding.

Mathematical Challenge Eleven: **Optimal Nanostructures**

-   Develop new mathematics for constructing optimal globally symmetric
    structures by following simple local rules via the process of
    nanoscale self-assembly.

Mathematical Challenge Twelve: **The Mathematics of Quantum Computing,
Algorithms, and Entanglement**

-   In the last century we learned how quantum phenomena shape our
    world. In the coming century we need to develop the mathematics
    required to control the quantum world.

Mathematical Challenge Thirteen: **Creating a Game Theory that Scales**

-   What new scalable mathematics is needed to replace the traditional
    Partial Differential Equations (PDE) approach to differential games?

Mathematical Challenge Fourteen: **An Information Theory for Virus
Evolution**

-   Can Shannon's theory shed light on this fundamental area of biology?

Mathematical Challenge Fifteen: **The Geometry of Genome Space**

-   What notion of distance is needed to incorporate biological utility?

Mathematical Challenge Sixteen: **What are the Symmetries and Action
Principles for Biology?**

-   Extend our understanding of symmetries and action principles in
    biology along the lines of classical thermodynamics, to include
    important biological concepts such as robustness, modularity,
    evolvability and variability.

Mathematical Challenge Seventeen: **Geometric Langlands and Quantum
Physics**

-   How does the Langlands program, which originated in number theory
    and representation theory, explain the fundamental symmetries of
    physics? And vice versa?

Mathematical Challenge Eighteen: **Arithmetic Langlands, Topology, and
Geometry**

-   What is the role of homotopy theory in the classical, geometric, and
    quantum Langlands programs?

Mathematical Challenge Nineteen: **Settle the Riemann Hypothesis**

-   The Holy Grail of number theory.

Mathematical Challenge Twenty: **Computation at Scale**

-   How can we develop asymptotics for a world with massively many
    degrees of freedom?

Mathematical Challenge Twenty-one: **Settle the Hodge Conjecture**

-   This conjecture in algebraic geometry is a metaphor for transforming
    transcendental computations into algebraic ones.

Mathematical Challenge Twenty-two: **Settle the Smooth Poincare
Conjecture in Dimension 4**

-   What are the implications for space-time and cosmology? And might
    the answer unlock the secret of "dark energy"?

Mathematical Challenge Twenty-three: **What are the Fundamental Laws of
Biology?**

-   This question will remain front and center for the next 100 years.
    DARPA places this challenge last as finding these laws will
    undoubtedly require the mathematics developed in answering several
    of the questions listed above.

II. []{#__RefHeading___Toc208657534 .anchor}**[Award
    Information]{.underline}**

Multiple awards are anticipated. The amount of resources made available
to this BAA will depend on the quality of the proposals received and the
availability of funds. Proposals identified for funding may result in a
procurement contract or grant depending upon the nature of the work
proposed, the required degree of interaction between parties, and other
factors. Proposers should note that the required degree of interaction
between parties will be to the maximum extent possible as allowed by the
contractual vehicle.

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 the Source Selection
Authority later determines them to be necessary. If warranted, portions
of resulting awards may be segregated into pre-priced options.
Additionally, DARPA reserves the right to accept proposals in their
entirety or to select only portions of proposals for award. In the event
that DARPA desires to award only portions of a proposal, negotiations
may be opened with that proposer. If the proposed effort is inherently
divisible and nothing is gained from the aggregation, proposers should
consider submitting it as multiple independent efforts. The Government
reserves the right to 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 Sec. V., "Application Review
Information") and to provide overall value to the Government.

III. []{#__RefHeading___Toc208657535 .anchor}**[Eligibility
     Information]{.underline}**

     A.  []{#__RefHeading___Toc208657536 .anchor}**Eligible Applicants**

All responsible sources capable of satisfying the Government\'s needs
may submit a proposal that shall be considered by DARPA. Historically
Black Colleges and Universities (HBCUs), Small Businesses, Small
Disadvantaged Businesses and Minority Institutions (MIs) are encouraged
to submit proposals and join others in submitting proposals; however, no
portion of this BAA will be set aside for these organizations'
participation due to the impracticality of reserving discrete or
severable areas of this research for exclusive competition among these
entities. Independent proposals from Government/National laboratories
may be subject to applicable direct competition limitations, though
certain Federally Funded Research and Development Centers are excepted
per P.L. 103-337§ 217 and P.L 105-261 § 3136. Proposers from
Government/National Laboratories must provide documentation to DARPA to
establish that they are eligible to propose and have unique capabilities
not otherwise available in private industry. If documentation is
unavailable at the time of submission, Government/National Laboratories
should remove all references to the BAA title and number, as they will
be submitting non-competitively.

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

1.  []{#__RefHeading___Toc208657537 .anchor}**Procurement Integrity,
    Standards of Conduct, Ethical Considerations, and Organizational
    Conflicts of Interest**

[]{#OLE_LINK12 .anchor}Current federal employees are prohibited from
participating in particular matters involving conflicting financial,
employment, and representational interests (18 USC 203, 205, and 208.).
The DARPA Program Manager for this BAA is Dr. Benjamin Mann. As of the
date of first publication of the BAA, the Government has not identified
any potential conflicts of interest involving this program manager. Once
the proposals have been received, and 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 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.) The Program
Manager is required to review and evaluate all proposals received under
this BAA and to manage all selected efforts. Proposers should carefully
consider the composition of their performer team before submitting a
proposal to this BAA.

[]{.mark}

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 furnished at 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 a description 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 to mitigate this conflict will be returned
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 by sending Proposer\'s contact
information and a summary of the potential conflict by email to the
mailbox address for this BAA at
[BAA08-65@darpa.mil](mailto:BAA#%23-%23%23@darpa.mil), before time and
effort are expended in preparing a proposal and mitigation plan. If, in
the sole opinion of the Government after full consideration of the
circumstances, any conflict situation cannot be effectively mitigated,
the proposal may be returned without technical evaluation and withdrawn
from further consideration for award under this BAA.

B.  **Cost Sharing/Matching**

Cost sharing is not required for any particular program; however, cost
sharing will be carefully considered where there is an applicable
statutory condition relating to the selected funding instrument (e.g.,
for any other transactions under the authority of 10 U.S.C. § 2371).
Cost sharing is encouraged where there is a reasonable probability of a
potential commercial application related to the proposed research and
development effort.

C.  []{#__RefHeading___Toc208657539 .anchor}**Other Eligibility
    Criteria**

    1.  []{#__RefHeading___Toc208657540 .anchor}**Collaborative
        Efforts**

Collaborative efforts/teaming are encouraged, especially when
interdisciplinary approaches to a problem are required.

IV. []{#__RefHeading___Toc208657541 .anchor}**[Application and
    Submission Information]{.underline}**

    A.  []{#__RefHeading___Toc208657542 .anchor}**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 additional information is
available, nor will a formal Request for Proposal (RFP) or additional
solicitation regarding this announcement be issued. Requests for same
will be disregarded.

B.  []{#__RefHeading___Toc208657543 .anchor}**Content and Form of
    Application Submission**

    1.  []{#__RefHeading___Toc208657544 .anchor}**White Paper and
        Proposal Information**

Proposers are [strongly encouraged]{.underline} to submit a white paper
in advance of a full proposal. This procedure is intended to minimize
unnecessary effort in proposal preparation and review. The time and date
for submission of white papers is specified in C (Submission Dates and
Times). DARPA will acknowledge receipt of the submission and confirm the
control number assigned during the online submission process. This
control number should be used in all further correspondence regarding
the white paper.

White papers will be reviewed as they are received until the deadline.
Early submissions of white papers and full proposals are strongly
encouraged because selections may be made at any time during the
one-year period in which this BAA remains open. **White Papers may be
submitted at any time up to 4:00pm ET, 7/25/2009**. After 7/25/2009,
submitted white papers will be reviewed as quickly as possible, but may
not allow for sufficient time to meet the full proposal submission
deadline, if a proposal is recommended. DARPA will respond to white
papers with a statement as to whether DARPA is interested in the idea.

Regardless of DARPA's response to a white paper, proposers may submit a
full proposal. DARPA will review all full proposals submitted using the
published evaluation criteria and without regard to any comments
resulting from the review of a white paper. **Proposers who choose not
to submit white papers are still required to submit full proposals by
4:00pm ET, 9/25/2009 in order to be considered.** This BAA shall remain
open for one (1) year from the date of publication on
[[www.fbo.gov]{.underline}](../www.fbo.gov). Proposers may submit a full
proposal at any time up to the BAA closing date and the Government may
select proposals for award at any time. **In order to be considered,
full proposals must be submitted to DARPA/DSO via
[[http://www.sainc.com/dsobaa/]{.underline}](http://www.sainc.com/dsobaa/)
(Attn.: DARPA-BAA08-65) on or before 4:00PM ET, 9/25/2009.**

*White papers and full proposals may not be submitted by fax or e-mail;
any so sent will be disregarded.*

The typical proposal should express a consolidated effort in support of
all technical areas of interest to achieve an integrated functional
desalination system. Disjointed efforts should not be included into a
single proposal.

Restrictive notices notwithstanding, proposals may be handled, for
administrative purposes only, by a support contractor. This support
contractor is prohibited from competition in DARPA technical research
and is bound by appropriate nondisclosure requirements.

Proposals not meeting the format described in the BAA may not be
reviewed and will be rejected back to the proposer.

**General Submissions (For Proposers Submitting to DSO's Electronic
Business Application):**

All proposals submitted electronically by means of an Electronic
Business Application Tool or proposal submission web site (not including
Grants.gov) must be encrypted using WinZip or PKZip with 256-bit AES
encryption.  Only one zipped/encrypted file will be accepted per
proposal and proposals not zipped/encrypted will be rejected by DARPA. 
An encryption password form must be completed and emailed to
<BAA08-65@darpa.mil> at the time of 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 are minimum security requirements for establishing the
encryption password.  Failure to provide the encryption password may
result in the proposal not being evaluated.  For further information and
instructions on how to zip and encrypt proposal files, see
<https://www.tfims.darpa.mil/baa/>.

Note that the TFIMS website listed above
(<https://www.tfims.darpa.mil/baa/>) does **NOT** host DSO
solicitations. **For responses to DSO solicitations a website,
<http://www.sainc.com/dsobaa/>, has been established to facilitate the
submission of white papers and full proposals electronically.** This
site will allow submission of contact information and the upload of a
single document in either Word or PDF format, up to 25 MB. As noted
above, all BAA submissions must be zipped and encrypted using WinZip or
PKZip with 256-bit AES encryption. Again, only one compressed/encrypted
file, containing a single proposal document, will be accepted per
submission and those submissions that are not compressed/encrypted will
be rejected by DARPA/DSO. The aforementioned password form and detailed
encryption instructions are available for download at
<http://www.sainc.com/dsobaa/>.

**Grants.Gov Applications (Non-profits, Universities, etc.):**

Proposers may use the Grants.gov APPLY function if seeking a grant.
However, please note that due to the new DARPA security policies,
proposers still need to visit <http://www.sainc.com/dsobaa/> to register
their organization concurrently and are required to send in a password
form via email to ensure the DSO BAA office can verify the security of
their submission.

**For All:**

Any administrative questions or issues regarding this solicitation
should be directed to the administrative address below; e-mail is
preferred:

[BAA08-65@darpa.mil](mailto:BAA#%23-%23%23@darpa.mil)

BAA Administrator, Phone: (571) 218-4565

DARPA/DSO

ATTN: DARPA-BAA08-65

3701 North Fairfax Drive

Arlington, VA 22203-1714

Upon review, DARPA/DSO will use facsimile transmission and standard post
mail for correspondence regarding DARPA-BAA08-65 evaluation results.
DARPA encourages use of the Internet
(<http://www.darpa.mil/dso/solicitations/solicit.htm>) for retrieving
the BAA and any other related information that may subsequently be
provided.

  []{#__RefHeading___Toc208657545 .anchor}**2. White Paper Format**

It is STRONGLY ENCOURAGED that a white paper be submitted to determine
the acceptability of the proposed concept to the BAA. This allows for
comments to the proposer prior to full proposal submission.

White papers should be concise and limited to 8 pages in length; shorter
white papers that can cover the content above are highly encouraged. All
pages shall be printable on single-spaced, 8-1/2 by 11 inch paper with
type not smaller than 12 point font. Smaller font may be used for
figures, tables and charts. The page limitation for white papers
includes all figures, tables, and charts. No formal transmittal letter
is required. The white paper should contain the following sections:

-   Cover Sheet (must be clearly marked \"White Paper\"): Should include
    the Technical Point of Contact's information (name, address, phone,
    fax, email, lead organization and business type), the title of the
    proposed work, the estimated cost, and the duration of the proposed
    work. (Note: cover sheet does not count toward page limit.)

-   Executive Summary: An executive summary, including the Mathematical
    Challenge being addressed and a clear statement of the novelty and
    uniqueness of the proposed idea.

-   Proposed Approach: A concise description of the technical approach
    to the Mathematical Challenge and discussion of project milestones.
    Clearly outline any technical challenges inherent in the approach
    and possible solutions for overcoming potential problems.

-   Supporting Technical Analysis: Address how the proposed technical
    approach is revolutionary and how it rises above the current state
    of practice.

-   Research Plan: Brief outline of the research plans, including
    timeline, relevance to achieving program goals, initial research to
    be conducted, and how progress toward these goals will be assessed.

-   Cost Estimates: A cost estimate for resources over the proposed
    timeline. This cost estimate should include both labor and materials
    costs.

-   Team Expertise: A brief summary of expertise of the key personnel on
    the project relevant to the program goals. If the team is
    multi-organizational, a proposed management structure should also be
    included.

-   Brief list of relevant references.

    []{#__RefHeading___Toc208657546 .anchor}**3. Full Proposal Format**

All full proposals must be in the format given below. Nonconforming
proposals may be rejected without review. Proposals shall consist of two
volumes, combined into one document prior to submission. All pages shall
be printable on single-spaced, 8-1/2 by 11 inch paper with type not
smaller than 12 point font. Smaller font may be used for figures, tables
and charts. The page limitation for full 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 and approach upon which the proposal is based. Intellectual
Property/Patents Requirements and the bibliography are not included in
the page counts. The submission of other supporting materials along with
the proposals is strongly discouraged and will not be considered for
review. Except for the attached bibliography and Section I, Volume I
shall not exceed **33** pages. Maximum page lengths for each section are
shown in braces { } below.

**Volume I, Technical and Management Proposal**

> [Section I. Administrative]{.underline}
>
> A. Cover sheet to include:
>
> \(1\) BAA Number
>
> \(2\) Technical Area
>
> \(3\) Lead Organization Submitting Proposal
>
> \(4\) Type of Business, selected among the following categories:
> \"LARGE BUSINESS\", \"SMALL BUSINESS\", \"SMALL DISADVANTAGED
> BUSINESS\", \"8A\", \"OTHER SMALL BUSINESS\", \"EMERGING SMALL
> BUSINESS\", \"VETERAN-OWNED SMALL BUSINESS\", \"SERVICE-DISABLED
> VETERAN OWNED\", \"OTHER VETERAN\", \"WOMAN-OWNED BUSINESS\",
> \"HUBZONE\", \"JWOD PARTICIPATING NONPROFIT AGENCY\", \"OTHER
> NONPROFIT\", \"HOSPITAL\", \"FOREIGN CONCERN OR ENTITY\", \"DOMESTIC
> FIRM PERFORMING OUTSIDE U.S.\", \"HISTORICALLY BLACK COLLEGE OR
> UNIVERSITY (HBCU)\", \"MINORITY INSTITUTION (MI)\", \"OTHER
> EDUCATIONAL\", \"FFRDC (Including DOE Laboratories)\", \"DoD
> Component\", \"Other Government\", \"Other\"
>
> \(5\) Contractor's Reference Number (if any)
>
> \(6\) Other Team Members (if applicable) and Type of Business for Each
>
> \(7\) Proposal Title
>
> \(8\) Technical Point of Contact to include: Salutation, Last Name,
> First Name, Street Address, City, State, Nine-Digit Zip Code,
> Telephone, Fax (if available), Electronic Mail (if available)
>
> \(9\) Administrative Point of Contact to include: Salutation, Last
> Name, First Name, Street Address, City, State, Nine-Digit Zip Code,
> Telephone, Fax (if available), Electronic Mail (if available),
>
> \(10\) Date proposal was prepared
>
> \(11\) Total Funds requested from DARPA
>
> \(12\) Duration (in months) of Proposed Work

B.  Official Signed Transmittal Letter.

[Section II. Detailed Proposal Information]{.underline}

> This section provides the detailed discussion of the proposed work
> necessary to enable an in-depth review of the specific technical and
> managerial issues. Specific attention must be given to addressing both
> risk and payoff of the proposed work that make it desirable to DARPA.

A.  {2} Executive summary, including the Mathematical Challenge being
    addressed and a clear statement of the novelty and uniqueness of the
    proposed idea.

B.  {15} Detailed description of the technical approach to the
    Mathematical Challenge and discussion of project milestones. Clearly
    outline any technical challenges inherent in the approach and
    possible solutions for overcoming potential problems.

C.  {2} Address how the proposed technical approach is revolutionary and
    how it rises above the current state of practice.

D.  {8} A Statement of Work (SOW), describing in detail the research and
    tasks to be performed and their relevance and importance to the
    Mathematical Challenge. The SOW should include a timeline and how
    progress toward success will be assessed.

E.  {2} Time-phased schedule milestone chart. These milestones should
    enable and support a go/no go decision for the next phase of the
    effort.

F.  {2} Any deliverables associated with the proposed research and the
    plans and capability to accomplish technology transition and
    commercialization. (See Section III below for guidance on
    Proprietary Claims and Intellectual Property.)

G.  {2} Discussion of key personnel's previous accomplishments and work
    in closely related research areas. If the team is
    multi-organizational, a proposed management structure should also be
    included.

> [Section III. Other Required Information]{.underline} (Does Not Count
> Toward Volume I Page Limitation)
>
> A. Intellectual Property -- Procurement Contract Proposers

*Noncommercial Items (Technical Data and Computer Software)*

> Proposers responding to this BAA requesting a procurement contract to
> be issued under the FAR/DFARS shall identify all noncommercial
> technical data and noncommercial computer software that it plans to
> generate, develop, and/or deliver under any proposed award instrument
> in 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 Government will
> assume that it automatically has "unlimited rights" to all
> noncommercial technical data and noncommercial computer software
> generated, developed, and/or delivered under any award instrument,
> unless it is substantiated that development of the noncommercial
> technical data and noncommercial computer software occurred with mixed
> funding. If mixed funding is anticipated in the development of
> noncommercial technical data and noncommercial computer software
> generated, developed, and/or delivered under any award instrument,
> then proposers should identify the data and software in question, as
> subject to Government Purpose Rights (GPR). In accordance with DFARS
> 252.227-7013 Rights in Technical Data - Noncommercial Items, and DFARS
> 252.227-7014 Rights in Noncommercial Computer Software and
> Noncommercial Computer Software Documentation, the Government will
> automatically assume that any such GPR restriction is limited to a
> period of five (5) years in accordance with the applicable DFARS
> clauses, at which time the Government will acquire "unlimited rights"
> unless the parties agree otherwise. Proposers are admonished that the
> Government will use the list during the source selection evaluation
> process to evaluate the impact 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, then the proposer should state "NONE."
>
> A sample list for complying with this request is as follows:

  ----------------- -------------- -------------- -----------------------
  NONCOMMERCIAL                                   

  Technical Data    Basis for      Asserted       Name of Person
  Computer Software Assertion      Rights         Asserting Restrictions
  To be Furnished                  Category       
  With Restrictions                               

  (LIST)            (LIST)         (LIST)         (LIST)
  ----------------- -------------- -------------- -----------------------

> *Commercial Items (Technical Data and Computer Software)*
>
> Proposers responding to this BAA requesting a procurement contract to
> be issued under the FAR/DFARS shall identify all commercial technical
> data and commercial computer software that may be embedded in any
> noncommercial deliverables contemplated under the research effort,
> along with any applicable restrictions on the Government's use of such
> commercial technical data and/or commercial computer software. In the
> event that proposers do not submit the 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 additional information from the proposer,
> as may be necessary, to evaluate the proposer's assertions. If no
> restrictions are intended, then the proposer should state "NONE."
>
> A sample list for complying with this request is as follows:

  ----------------- -------------- -------------- -----------------------
  COMMERCIAL                                      

  Technical Data    Basis for      Asserted       Name of Person
  Computer Software Assertion      Rights         Asserting Restrictions
  To be Furnished                  Category       
  With Restrictions                               

  (LIST)            (LIST)         (LIST)         (LIST)
  ----------------- -------------- -------------- -----------------------

B.  Intellectual Property -- Non-Procurement Contract Proposers

> *Noncommercial and Commercial Items (Technical Data and Computer
> Software)*
>
> Proposers responding to this BAA requesting another transaction shall
> follow the applicable rules and regulations governing these various
> award instruments, but in all cases should appropriately identify any
> potential restrictions on the Government's use of any Intellectual
> Property contemplated under those award instruments in question. This
> includes both Noncommercial Items and Commercial Items. Although not
> required, proposers may use a format similar to that described in
> paragraph A. above. The Government may use the list during the source
> selection evaluation process to evaluate the impact 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, then the proposer should state
> "NONE."

C.  All Proposers -- Patents

> Proposers shall include documentation proving their ownership of, or
> possession of, appropriate licensing rights to all patented inventions
> (or inventions for which a patent application has been filed) that
> will be utilized under their proposal for the DARPA program. If a
> patent application has been filed for an invention that the proposal
> utilizes, but the application has not yet been made publicly available
> and contains proprietary information, the proposer may provide only
> the patent number, inventor name(s), assignee names (if any), filing
> date, filing date of any related provisional application, and a
> summary of the patent title, together with either: 1) a representation
> that they own the invention, or 2) proof of possession of appropriate
> licensing rights in the invention.

D.  All Proposers -- Intellectual Property Representations

> Proposers shall provide a good faith representation that they either
> own or possess appropriate licensing rights to all other intellectual
> property that will be utilized under their proposal for the DARPA
> program. Additionally, proposers shall provide a short summary for
> each item asserted with less than unlimited rights that describes the
> nature of the restriction and the intended use of the intellectual
> property in the conduct of the proposed research.
>
> [Section IV. Additional Information]{.underline}
>
> A 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 than three (3)
> relevant papers can be included in the submission.
>
> []{#OLE_LINK7 .anchor}**Volume II, Cost Proposal -- {No Page Limit}**

**[COVER SHEET TO INCLUDE:]{.underline}**

A. (1) BAA number;

\(2\) Technical area;

\(3\) Lead organization submitting proposal;

\(4\) Type of business, selected among the following categories: "LARGE
BUSINESS", "SMALL DISADVANTAGED BUSINESS", "OTHER SMALL BUSINESS",
"HBCU", "MI", "OTHER EDUCATIONAL", OR "OTHER NONPROFIT";

\(5\) Contractor's reference number (if any);

\(6\) Other team members (if applicable) and type of business for each;

\(7\) Proposal title;

> \(8\) Technical point of contact to include: salutation, last name,
> first name, street address, city, state, zip code, telephone, fax (if
> available), electronic mail (if available);
>
> \(9\) Administrative point of contact to include: salutation, last
> name, first name, street address, city, state, zip code, telephone,
> fax (if available), and electronic mail (if available);
>
> \(10\) Award instrument requested: cost-plus-fixed-free (CPFF),
> cost-contract---no fee, cost sharing contract -- no fee, or other type
> of procurement contract (specify), grant, cooperative agreement, or
> other transaction;

\(11\) Place(s) and period(s) of performance;

\(12\) Total proposed cost separated by basic award and option(s) (if
any);

> \(13\) Name, address, and telephone number of the proposer's cognizant
> Defense Contract Management Agency (DCMA) administration office (if
> known);
>
> \(14\) Name, address, and telephone number of the proposer's cognizant
> Defense Contract Audit Agency (DCAA) audit office (if known);

\(15\) Date proposal was prepared;

\(16\) DUNS number;

\(17\) TIN number; and

\(18\) Cage Code;

\(19\) Subcontractor Information;

\(20\) Proposal validity period.

> \(21\) Any Forward Pricing Rate Agreement, other such approved rate
> information, or such documentation that may assist in expediting
> negotiations (if available).

B. Detailed cost breakdown to include:

> \(1\) Total program cost broken down by major cost items:

a.  Direct labor, including individual labor categories with associated
    labor hours and direct labor rates and further broken down by
    Government Fiscal Year (GFY = Oct 1 -- 30 Sep);

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

c.  Indirect costs including Fringe Benefits, Overhead, General and
    Administrative Expense, Cost of Money, Fee, etc (must show base
    amount and rate);

d.  Travel -- Number of trips, number of days per trip, departure and
    arrival destinations, number of people, etc.;

e.  Other Direct Costs -- Itemized with costs. Back-up documentation is
    to be submitted to support proposed costs;

f.  Equipment Purchases -- Itemization with costs; Back-up documentation
    is to be submitted to support proposed costs ( (NOTE: For equipment
    purchases, include a letter stating why the proposer cannot provide
    the requested resources from its own funding);

g.  Materials - Itemization with costs; Back-up documentation is to be
    submitted to support proposed costs;

h.  Subcontractor -- List each subcontractor and associated cost.

> \(2\) Major program tasks by GFY;

\(3\) An itemization of any information technology (IT[^1]) purchases
for each computer hardware cost, computer software cost, and other
related costs such as computer maintenance fees or support services
costs (NOTE: For IT purchases, include a letter stating why the proposer
cannot provide the requested resources from its own funding);

\(4\) An itemization of Subcontracts. All subcontractor cost proposal
documentation must be prepared at the same level of detail as that
required of the prime, shall be included, either by the proposer or by
the subcontractor organization. Subcontractor proposals should include
Interdivisional Work Transfer Agreements (ITWA) or similar arrangements;

> \(5\) A summary of projected funding requirements by month;
>
> \(6\) 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, these should 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 Property/Facilities/Information, access to
> Government Subject Matter Expert(s), etc.)

**The Prime Contractor is responsible for compiling and providing all
subcontractor proposals for the Procuring Contracting Officer (PCO).**

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

NOTE: The FY2008 Defense Appropriations Act caps indirect cost rates for
any procurement contract, grant or agreement using 6.1 Basic Research
FY08 Funding at 35% of the total cost (all bottom line costs) of the
award. Indirect costs for educational institutions are all Facilities
and Administrations costs of a prime award, as stated in Title 2 CFR
Part 220 Section G. Indirect costs for non-profit organizations are
defined under Title 2 CFR Part 230 Section C; for all other proposers
indirect costs are defined under Title 2 CFR Part 225 Section F or 48
CFR Part 32 refers to indirect costs under the Federal Acquisition
Regulation (FAR).

If DARPA anticipates using 6.1 funding for this effort, the Proposer
must be made aware that total negotiated indirect cost rates may not
exceed 35% of the total cost of the award; the cost limitations do not
flow down to subcontractors. If the Proposer currently has an approved
Government rate it should be used in lieu of the 35% cap. The original
text of the Act can be found at Department of Defense Appropriations Act
of 2008, Pub. L. No. 110-116, §8115:
<http://frwebgate.access.gpo.gov/cgibin/getdoc.cgi?dbname=110_cong_public_laws&docid=f:publ116.110>.

C.  **Submission Dates and Times**

    1.  []{#__RefHeading___Toc208657548 .anchor}**White Paper Date**

White papers may be submitted and received at any time until the white
paper deadline. **WHITE PAPERS ARE DUE ON OR BEFORE 4:00PM ET,
7/25/2009.** White papers received after this time and date may not be
reviewed.

2.  []{#__RefHeading___Toc208657549 .anchor}**Full Proposal Date**

To receive consideration under this BAA, **FULL PROPOSALS MUST BE
RECEIVED ON OR BEFORE 4:00 PM ET, on 9/25/2009** in order to be
considered.

DARPA will acknowledge receipt of complete submissions via email and
confirm control numbers that should be used in all further
correspondence regarding proposals. If no confirmation is received
within 2 business days, please contact the BAA Administrator at
[BAA08-65@darpa.mil](mailto:BAA#%23-%23%23@darpa.mil) to ensure the
proposal was submitted properly.

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

*Unclassified Addresses for Submission*

UNCLASSIFIED White papers and full proposals should be submitted online
via the following website:

> <http://www.sainc.com/dsobaa/> or
>
> [http://www.grants.gov](http://www.grants.gov/)

The Government anticipates that white papers and full proposals
submitted under this BAA will be UNCLASSIFIED.

D.  []{#__RefHeading___Toc208657550 .anchor}**Intergovernmental Review**

This section is not applicable to this BAA.

E.  []{#__RefHeading___Toc208657551 .anchor}**Funding Restrictions**

This section is not applicable to this BAA.

F.  []{#__RefHeading___Toc208657552 .anchor}**Other Submission
    Requirements**

All proposals should clearly indicate limitations on the disclosure of
their contents. Proposers who 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 evaluate this proposal. If, however, a
> contract is awarded to this proposer as a result of, or in connection
> with, the submission of this data, the Government shall have the right
> to duplicate, use, or disclose the data to the extent provided in the
> resulting contract. This restriction 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 are contained in sheets \[*insert numbers or other
> identification of sheets*\]; and
>
> \(2\) Mark each sheet of data they wish to restrict with the following
> legend: Use or disclosure of data contained on this sheet is subject
> to the restriction on the title page of this proposal.

Markings such as \"Company Confidential\" or other phrases that may be
confused with national security classifications shall be avoided. The
proposer may be required to remove such markings before the proposal
will be accepted. "Proprietary" or "Company Proprietary" are acceptable
notations.

V.  []{#__RefHeading___Toc208657553 .anchor}**[Application Review
    Information]{.underline}**

    A.  []{#__RefHeading___Toc208657554 .anchor}**Evaluation Criteria**

Evaluation of proposals will be accomplished through a technical review
of each proposal using the following criteria, which are listed in
descending order of relative importance: (1) Scientific and Technical
Merit; (2) Long Term Value to Defense; (3) Capabilities of the Personnel
and Facilities to Perform the Proposed Effort; and (4) Cost Realism.
Proposals will not be evaluated against each other since they are not
submitted in accordance with 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. The
following are descriptions of the above listed criteria:

(1) *Scientific and Technical Merit*

> Proposers must demonstrate that their proposal is innovative and
> unique, that the technical approach is sound, that they have an
> understanding of critical technical issues and risk, and that they
> have a plan for mitigation of those risks. Successful proposals must
> offer high potential for major mathematical breakthroughs associated
> to one or more of these challenges. Submissions that merely promise
> incremental improvements over the existing state of practice will be
> deemed unresponsive. A significant improvement in capability or
> understanding above the state of practice must be demonstrated. All
> milestones must be clearly and quantitatively described.

(2) *Long Term Value to Defense*

> Proposers must demonstrate the long-term potential of successful
> research to radically change military capability or improve national
> security with a clear statement of the goals of their program, and a
> quantitative comparison with existing technology as appropriate.

(3) *Capability of the Personnel and Facilities to Perform the Proposed
    Effort*

> Proposers must demonstrate that their team has the necessary
> background and experience to perform this project. The technical
> capabilities of the team must be properly balanced to match those
> required in the program plan. The relevant experience of key personnel
> must be sufficient to provide confidence that the proposers can
> accomplish their objectives. Proposers must demonstrate that the
> combined facilities of the team are sufficient to accomplish the
> objectives of the proposal.

(4) *Cost Realism*

> Costs of the proposal must be realistic and provide a high value to
> the Government.

After selection and before award the contracting officer will negotiate
cost/price reasonableness.

Award(s) will be made to proposers whose proposals are determined to be
the most advantageous to the Government, all factors considered,
including the potential contributions of the proposed work to the
overall research program and the availability of funding for the effort.
Award(s) may be made to any proposer(s) whose proposal(s) is determined
selectable regardless of its overall rating.

NOTE: PROPOSERS ARE CAUTIONED THAT EVALUATION RATINGS MAY BE

LOWERED AND/OR PROPOSALS REJECTED IF SUBMITTAL INSTRUCTIONS ARE NOT
FOLLOWED.

A.  []{#__RefHeading___Toc208657555 .anchor}**Review and Selection
    Process**

It is the policy of DARPA to ensure impartial, equitable, and
comprehensive proposal evaluations and to select the source (or sources)
whose offer meets the Government\'s technical, policy, and programmatic
goals. 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 accordance with 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 two-volume single document
described in the Full Proposal Format section above.

All proprietary information should be marked on the full proposal. It is
the policy of DARPA to treat all proposals as competitive information
and to disclose their contents only for the purpose of evaluation.
Restrictive notices notwithstanding, proposals may be handled, for
administrative purposes only, by a support contractor. This support
contractor is prohibited from competition in DARPA technical research
and is bound by appropriate nondisclosure requirements.

Inputs on technical aspects of the proposals may be solicited by DARPA
from non-Government consultants/experts who are bound by appropriate
non-disclosure requirements. Non-Government technical
consultants/experts will not have access to proposals that are labeled
by their proposers as \"Government Only.\"

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, one copy of proposals that are not selected for
funding will be retained in DSO files for one year after the signing of
the last instrument resulting from this BAA.

VI. []{#__RefHeading___Toc208657556 .anchor}**[AWARD ADMINISTRATION
    INFORMATION]{.underline}**

    A.  []{#__RefHeading___Toc208657557 .anchor}**Award Notices**

Proposals will be evaluated against the criteria set forth in this
solicitation. Upon completion of the proposal evaluation, the proposer
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 facsimile and/or post mail
to the Technical POC identified on the proposal coversheet.

Multiple awards are anticipated. The Government reserves the right to
fund all, some or none of the proposals under this solicitation,
including those that do not strictly adhere to the division of technical
and cost sections. Additionally, the Government reserves the right to
fund the entire proposal, or selected portions thereof. The Government
also reserves the right to fund proposals in phases with options for
continued work at the end of one or more of the phases. Proposals
identified for funding may result in a procurement contract or another
transaction for research, depending upon the nature of the work
proposed, the required degree of interaction between parties, and other
factors. Proposers may elect to have their proposal withdrawn from
consideration at any time during the evaluation process. If a formal
request is not made, DARPA will assume that continued evaluation is
desired.

B.  []{#__RefHeading___Toc208657558 .anchor}**Administrative and
    National Policy Requirements**

    1.  []{#__RefHeading___Toc208657559 .anchor}**Security**

The Government anticipates that proposals submitted under this BAA will
be unclassified. In the event that a proposer chooses to submit a
classified proposal or submit any documentation that may be classified,
the following information is applicable.

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.

Proposals may contain classified information or data (up to the level of
Top Secret/SCI). HOWEVER, DO NOT SEND CLASSIFIED FULL PROPOSALS BY EMAIL
OR VIA ONLINE SUBMISSION SYSTEMS.\
\
Proposers that intend to include classified information or data in their
proposals should contact DARPA security at (571) 218-4842 (or
alternatively, the point-of-contact for this BAA) for guidance and
direction in advance of proposal preparation. Proposers must have
existing approved capabilities (personnel and facilities) to perform
research and development at the classification level they propose.\
\
Security classification guidance on a DD Form 254 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
may result in access to classified information, a DD Form 254 will be
issued and attached as part of the award. Proposers choosing to submit a
classified proposal must first receive permission from the Original
Classification Authority to use their information in replying to this
BAA. Applicable classification guide(s) should be submitted to ensure
that the proposal is protected appropriately.

For instructions on submitting Classified Full Proposals, contact
Security & Intelligence Directorate (SID) Classification Management at
(571) 218-4842.

Classified submissions shall be in accordance with the following
guidance:

**[Collateral Classified Information:]{.underline}** Use classification
and marking guidance provided by previously issued security
classification guides, the Information Security Regulation (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 level may only be mailed via
U.S. Postal Service (USPS) Registered Mail or U.S. Postal Service
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 the assigned classification and addresses
of both sender and addressee. The inner envelope shall be addressed to:

> Defense Advanced Research Projects Agency
>
> ATTN: DSO
>
> Reference: DARPA-BAA08-65
>
> 3701 North Fairfax Drive
>
> Arlington, VA 22203-1714

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
>
> 3701 North Fairfax Drive
>
> Arlington, VA 22203-1714

All Top Secret materials should be hand carried via an authorized,
two-person courier team to the DARPA CDR.

**[Special Access Program (SAP) Information]{.underline}**: Contact the
DARPA Special Access Program Central Office (SAPCO) 703-526-4052 for
further guidance and instructions prior to transmitting SAP information
to DARPA. Top Secret SAP must be transmitted via approved methods for
such material. Consult the DoD Overprint to the National Industrial
Security Program Operating Manual for further guidance. *Prior to
transmitting SAP material*, it is strongly recommended that you
coordinate your submission with the DARPA SAPCO.

**[Sensitive Compartmented Information (SCI) Data]{.underline}**:
Contact the DARPA Special Security Office (SSO) at 703-812-1994/1984 for
the correct SCI courier address and instructions. All SCI should be
transmitted through your servicing Special Security Officer (SSO). SCI
data must be transmitted through SCI channels only (i.e., approved SCI
Facility to SCI facility via secure fax).

Proprietary Data: All proposals containing proprietary data should have
the cover page and each page containing proprietary data clearly marked
as containing proprietary data. It is the Proposer's responsibility to
clearly define to the Government what is considered proprietary data.

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 disclose their contents only for the purpose of evaluation.
Proposals will not be returned. The original of each proposal received
will be retained at DARPA and all other non-required copies destroyed. A
certification of destruction may be requested, provided that the formal
request is received at this office within 5 days after unsuccessful
notification.

2.  []{#__RefHeading___Toc208657560 .anchor}**Intellectual Property**

Please refer to Section IV.B.3 "Full Proposal Format," specifically the
"Other Required Information" section (Section IV).

3.  []{#__RefHeading___Toc208657561 .anchor}**Meeting and Travel
    Requirements**

This section is not applicable to this BAA.

4.  []{#__RefHeading___Toc208657562 .anchor}**Human Use**

All research involving human subjects, to include use of human
biological specimens and human data, selected for funding must comply
with the federal regulations for human subject protection. Further,
research involving human subjects that is conducted or supported by the
DoD must comply with 32 CFR 219, *Protection of Human Subjects*
([http://www.dtic.mil/biosys/downloads/32cfr219.pdf](http://www.darpa.gov/leaving.asp?url=http://www.dtic.mil/biosys/downloads/32cfr219.pdf)),
and DoD Directive 3216.02, *Protection of Human Subjects and Adherence
to Ethical Standards in DoD-Supported Research*
([http://www.dtic.mil/whs/directives/corres/html2/d32162x.htm](http://www.darpa.gov/leaving.asp?url=http://www.dtic.mil/whs/directives/corres/html2/d32162x.htm)).

Institutions awarded funding for research involving human subjects must
provide documentation of a current Assurance of Compliance with Federal
regulations for human subject protection, for example a Department of
Health and Human Services, Office of Human Research Protection Federal
Wide Assurance ([http://www.hhs.gov/ohrp](http://www.hhs.gov/ohrp/)).
All institutions engaged in human subject research, to include
subcontractors, must also have a valid Assurance. In addition, personnel
involved in human subjects research must provide documentation of
completing appropriate training for the protection of human subjects.

For all proposed research that will involve [human subjects in the first
year or phase of the project]{.underline}, the institution must provide
evidence of or a plan for review by an Institutional Review Board (IRB)
upon final proposal submission to DARPA. The IRB conducting the review
must be the IRB identified on the institution's Assurance. The protocol,
separate from the proposal, must include a detailed description of the
research plan, study population, risks and benefits of study
participation, recruitment and consent process, data collection, and
data analysis. Consult the designated IRB for guidance on writing the
protocol. The informed consent document must comply with federal
regulations (32 CFR 219.116). A valid Assurance along with evidence of
appropriate training all investigators should all accompany the protocol
for review by the IRB.

In addition to a local IRB approval, a headquarters-level human subjects
regulatory review and approval is required for all research conducted or
supported by the DoD. The Army, Navy, or Air Force office responsible
for managing the award can provide guidance and information about their
component's headquarters-level review process. Note that confirmation of
a current Assurance and appropriate human subjects protection training
[is required]{.underline} before headquarters-level approval can be
issued.

The amount of time required to complete the IRB review/approval process
may vary depending on the complexity of the research and/or the level of
risk to study participants. Ample time should be allotted to complete
the approval process. The IRB approval process can last between one to
three months, followed by a DoD review that could last between three to
six months. No DoD/DARPA funding can be used towards human subjects
research until ALL approvals are granted.

5.  []{#__RefHeading___Toc208657563 .anchor}**Animal Use**

Any recipient performing research, experimentation, or testing involving
the use of animals shall 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); (ii) the guidelines described in
National Institutes of Health Publication No. 86-23, "Guide for the Care
and Use of Laboratory Animals"; and (iii) DoD Directive 3216.01, "Use of
Laboratory Animals in DoD Program."

For submissions containing animal use, proposals should briefly describe
plans for Institutional Animal Care and Use Committee (IACUC) review and
approval. Animal studies in the program will be expected to comply with
the PHS Policy on Humane Care and Use of Laboratory Animals, available
at
[[http://grants.nih.gov/grants/olaw/olaw.htm]{.underline}](http://grants.nih.gov/grants/olaw/olaw.htm).

All proposers must receive approval by a DoD certified veterinarian, in
addition to an IACUC approval. No animal studies may be conducted using
DoD/DARPA funding until the USAMRMC Animal Care and Use Review Office
(ACURO) or other appropriate DoD veterinary office(s) grants approval.
As a part of this secondary review process, the Recipient will be
required to complete and submit an ACURO Animal Use Appendix, which may
be found at <https://mrmc.amedd.army.mil/AnimalAppendix.asp>.

6.  []{#__RefHeading___Toc208657564 .anchor}**Publication Approval**

DARPA may elect to implement a contract or other award instrument. If
DARPA determines that the research resulting from the proposed program
will present a high likelihood of disclosing performance characteristics
of military systems or manufacturing technologies that are unique and
critical to defense, DARPA review is required before publishing any
information or results of the program. This requirement includes a
provisional statement in the contract outlining the process for
receiving DARPA's Public Release office approval before publishing:

> When submitting material for written approval for open publication as
> described in subparagraph (a) above, the contractor/awardee
> must submit a request for public release to the DARPA TIO and include
> the following information:  1) Document Information:  document title,
> document author, short plain-language description of technology
> discussed in the material (approx. 30 words), number of pages (or
> minutes of video) and document type (briefing, report, proposal
> abstract, article, or paper); 2) Event Information:  event type
> (conference, principal investigator meeting, article or paper), event
> date, desired date for DARPA\'s approval; 3) DARPA Sponsor:  DARPA
> Program Manager, DARPA office, and contract number; and 4)
> contractor/awardee\'s Information: POC name, e-mail and phone. Allow
> four weeks for processing; due dates under four weeks require a
> justification. Unusual electronic file formats may require additional
> processing time. Requests can be sent either via e-mail to
> [[tio@darpa.mil]{.underline}](mailto:tio@darpa.mil) or via post to
> 3701 North Fairfax Drive, Arlington VA 22203-1714; telephone: (571)
> 218-4235. Refer to
> [[www.darpa.mil/tio]{.underline}](http://www.darpa.mil/tio) for
> information about DARPA\'s public release process.

7.  []{#__RefHeading___Toc208657565 .anchor}**Export Control**

While DARPA expects this program is most likely to entail only
fundamental research, should this project develop beyond fundamental
research (basic and applied research ordinarily published and shared
broadly within the scientific community) with military or dual-use
applications, the following apply:

\(1\) The contractor shall comply with all U.S. export control laws and
regulations, including the International Traffic in Arms Regulations
(ITAR), 22 CFR Parts 120 through 130, and the Export Administration
Regulations (EAR), 15 CFR Parts 730 through 799, in the performance of
this contract. In the absence of available license
exemptions/exceptions, the contractor shall be responsible for obtaining
the appropriate licenses or other approvals, if required, for exports of
(including deemed exports) hardware, technical data, and software, or
for the provision of technical assistance.

\(2\) The contractor shall be responsible for obtaining export licenses,
if required, before utilizing foreign persons in the performance of this
contract, including instances where the work is to be performed on-site
at any Government installation (whether in or outside the United
States), where the foreign person will have access to export-controlled
technologies, including technical data or software.

\(3\) The contractor shall be responsible for all regulatory record
keeping requirements associated with the use of licenses and license
exemptions/exceptions.

\(4\) The contractor shall be responsible for ensuring that the
provisions of this clause apply to its subcontractors**.**

8.  []{#__RefHeading___Toc208657566 .anchor}**Subcontracting**

Pursuant to Section 8(d) of the Small Business Act (15 U.S.C. 637(d)),
it is the policy of the Government to enable small business and small
disadvantaged business concerns to be considered fairly as
subcontractors to contractors performing work or rendering services as
prime contractors or subcontractors under Government contracts, and to
assure that prime contractors and subcontractors carry out this policy.
Each proposer who submits a contract proposal and includes
subcontractors is required to submit a subcontracting plan in accordance
with FAR 19.702(a) (1) and (2) should do so with their proposal. The
plan format is outlined in FAR 19.704.

C.  []{#__RefHeading___Toc208657567 .anchor}**Reporting**

The number and types of reports will be specified in the award document,
but will include as a minimum quarterly financial status reports. The
reports shall be prepared and submitted in accordance with the
procedures contained in the award document and mutually agreed on before
award. Reports and briefing material will also be required as
appropriate to document progress in accomplishing program metrics. A
Final Report that summarizes the project and tasks will be required at
the conclusion of the performance period for the award, notwithstanding
the fact that the research may be continued under a follow-on vehicle.

D.  []{#__RefHeading___Toc208657568 .anchor}**Central Contractor
    Registration (CCR)**

Selected proposers not already registered in the Central Contractor
Registry (CCR) will be required to register in CCR prior to any award
under this BAA. Information on CCR registration is available at
[[http://www.ccr.gov]{.underline}](http://www.ccr.gov/).

[]{#__RefHeading___Toc208657569 .anchor}**E. Representations and
Certifications**

In accordance with FAR 4.1201, prospective proposers shall complete
electronic annual representations and certifications at
[[http://orca.bpn.gov]{.underline}](http://orca.bpn.gov/).

[]{#__RefHeading___Toc208657570 .anchor}**F. Wide Area Work Flow
(WAWF)**

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

VII. []{#__RefHeading___Toc208657571 .anchor}**[AGENCY
     CONTACTS]{.underline}**

Points of Contact

The Technical POC for this effort is Dr. Benjamin Mann.

E-mail: <benjamin.mann@darpa.mil>

DARPA/DSO

ATTN: DARPA-BAA08-65

3701 North Fairfax Drive

Arlington, VA 22203-1714

Phone: (571) 218-4565

Email: [BAA08-65@darpa.mil](mailto:BAA#%23-%23%23@darpa.mil)

[^1]: IT is defined as "any equipment, or interconnected system(s) or
    subsystem(s) of equipment that is used in the automatic 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 is used by an agency if the equipment is used by the
    agency directly or is used by a contractor under a contract with the
    agency which -- (1) Requires the use of such equipment; or (2)
    Requires the use, to a significant extent, of such 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), and related resources. (c) The term "information
    technology" does not include -- (1) Any equipment that is acquired
    by a contractor incidental to a contract; or (2) Any equipment that
    contains imbedded information technology that is used 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 data
    or 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, are not information technology."