DARPA-BAA-10-19.doc

Broad Agency Announcement

Information in a Photon Defense Sciences Office

DARPA-BAA-10-19

December 16, 2009 5I.

Funding Opportunity Description

9II.

Award Information

10III.

Eligibility Information

10A.

Eligible Applicants

111.

Procurement Integrity, Standards of Conduct, Ethical Considerations, and Organizational Conflicts of Interest

12B.

Cost Sharing/Matching

12C.

Other Eligibility Criteria

121.

Collaborative Efforts

13IV.

Application and Submission Information

13A.

Address to Request Application Package

13B.

Content and Form of Application Submission

131.

Security and Proprietary Issues

15C.

Abstract and Proposal Information

181.

Proposal Abstract Format

192.

Full Proposal Format

25D.

Submission Dates and Times

251.

Proposal Abstract Date

262.

Full Proposal Date

26E.

Intergovernmental Review

26F.

Funding Restrictions

27G.

Other Submission Requirements

27V.

Application Review Information

27A.

Evaluation Criteria

28B.

Review and Recommendation Process

29VI.

AWARD ADMINISTRATION INFORMATION

29A.

Award Notices

30B.

Administrative and National Policy Requirements

301.

Meeting and Travel Requirements

302.

Human Use

313.

Animal Use

314.

Publication Approval

335.

Export Control

336.

Subcontracting

347.

Electronic and Information Technology

348.

Employment Eligibility Verification

34C.

Reporting

34D.

Electronic Systems

341.

Central Contractor Registration (CCR)

342.

Representations and Certifications

353.

Wide Area Work Flow (WAWF)

354.

i-Edison

35VII.

AGENCY CONTACTS

35VIII.

OTHER INFORMATION

35A.

Intellectual Property – Procurement Contract Proposers

37B.

Intellectual Property – Non-Procurement Contract Proposers

37C.

All Proposers – Patents

37D.

All Proposers – Intellectual Property Representations

Part One: Overview Information

· Federal Agency Name – Defense Advanced Research Projects Agency (DARPA), DSO

· Funding Opportunity Title – Information in a Photon (InPho)

· Announcement Type – Initial Announcement

· Funding Opportunity Number – Broad Agency Announcement (BAA) DARPA-BAA-10-19

· Catalog of Federal Domestic Assistance Numbers (CFDA) – 12.910 Research and Technology Development

· Dates

· Posting Date: December 16, 2009

· Proposal abstracts are due by 4:00PM ET, January 28, 2010

· Full Proposals are due by 4:00PM ET, March 15, 2010

· Closing Date, 4:00PM ET, June 11, 2010

· Description of the Funding Opportunity – The Information in a Photon Broad Agency Announcement seeks proposals addressing the basic science and the associated unifying physical and mathematical principles that govern the information capacity of optical photons, exploiting all relevant physical degrees of freedom.

· Multiple awards are anticipated.

· Teaming Website – http://www.sainc.com/InPho

· Types of instruments that may be awarded – Procurement contract, grant, cooperative agreement or other transaction for research.

· Agency contact

· Points of Contact:

The BAA Technical POC is Dr. Mark A. Neifeld, who can be reached at DARPA-BAA-10-19@darpa.mil.

The BAA Administrator for this effort can be reached at:

Electronic mail: DARPA-BAA-10-19@darpa.mil

DARPA/DSO

ATTN: DARPA-BAA-10-19

3701 North Fairfax Drive

Arlington, VA 22203-1714

Solicitations can be viewed at:

Web: http://www.darpa.mil/dso/solicitations/solicit.htm Part Two: Full Text of Announcement I. Funding Opportunity Description

The Defense Advanced Research Projects Agency often selects its research efforts through the Broad Agency Announcement (BAA) process. The BAA will appear first on the FedBizOpps website, http://www.fedbizopps.gov/, and the Grants.gov website http://www.grants.gov/. The following information is for those wishing to respond to the BAA.

Introduction

The photon, the indivisible unit of electromagnetic energy, is a fundamental carrier of information. Numerous degrees of freedom are available for the conveyance of information on a photon including frequency, phase, arrival time, polarization, orbital angular momentum, linear momentum, superposition states, correlation, entanglement, etc. Because optical photons ( = 0.5m) are approximately 106 times more costly (i.e., energetic) than their RF (f = 1GHz) counterparts, optical photons represent a critical resource within a wide variety of military applications ranging from fiber and free-space optical communications systems to various visible (VIS) and infrared (IR) sensing platforms. Motivated by both the high cost and application-centrality of optical photons we seek to extract maximum benefit from this valuable resource.

The primary goal of the Information in a Photon (InPho) program is to pursue the basic science and the associated unifying physical and mathematical principles that govern the information capacity of optical photons, exploiting all relevant physical degrees of freedom. Important outcomes of the InPho program will include (a) the rigorous quantification of photon information content for communications and imaging applications in both the classical and quantum domains, (b) novel methodologies to maximize the scene information that can be extracted from received photons in next-generation imaging/sensing platforms, and (c) novel methodologies to maximize the information content of transmitted/received photons in next-generation communication systems. Additional applications expected to benefit from a deeper understanding of photon information content include, but are not limited to, chemical/biological sensors, laser designators, navigation systems, photogrammetric applications and/or various forms of spectroscopy.

Program Description The goal of the Information in a Photon (InPho) program is to pursue the fundamental physics governing the information content of optical photons. The success of this program will result in our ability to quantify the fundamental information content of a photon and exploit this information capacity for imaging/sensing and communications applications of importance to DoD. The InPho program will consist of three thrust areas: Scientific Foundations, Imaging, and Communications. The objective of the Scientific Foundations Thrust will be to rigorously quantify photon information content for communications and imaging applications in both the classical and quantum domains. The result of this thrust will be to establish the basic scientific principles and associated mathematical formalisms that will facilitate efficient pursuit of the remaining two thrust areas.

Basic research in the Imaging Thrust will be directed toward extracting maximum scene information from minimum photon count. Conventional wisdom suggests that an image requires more than 1000 photons per pixel in order to be useful. This traditional rule-of-thumb, when combined with a desire for ever-increasing pixel-counts, can result in large apertures and/or long integration times which in turn increase both complexity (e.g., the need for stabilization) and/or size, weight and power (SWaP) costs (e.g., large glass mass). It is apparent that current imaging systems under-utilize photon information capacity. Consider a natural scene that is imaged using an 8 bit per pixel focal plane. With a requirement to collect 1000 photons per pixel we see that such a system achieves a photon efficiency of 125 photons per bit or 8e-3 bits per photon (bpp). Because of the redundancy that is characteristic of natural imagery, it is not uncommon for such a scene to be visually indistinguishable after compression by 10x, suggesting an even lower photon information efficiency of 8e-4 bpp. Drastically increasing this photon efficiency will provide revolutionary capabilities for DoD VIS/IR imaging platforms.

Basic research in the Communications Thrust will be directed toward maximizing the information content of every transmitted/received photon in a free-space optical (FSO) communication system. Recent progress on the information capacity of optical communications has largely focused on novel spectrally dense modulation techniques for increasing the spectral information efficiency of these channels. Recent demonstrations approaching 10 bits/sec/Hz in fiber suggest that similar techniques may also be successfully employed for FSO applications. Unfortunately, these spectrally efficient solutions are generally photon inefficient, often achieving < 1e-3 bpp. Conversely, photon-efficient modulation such as pulse position modulation (PPM) has been used to demonstrate 2 bpp with only a modest spectral efficiency of 0.25 bits/sec/Hz. The Shannon limit for FSO channels that employ multiple photon degrees of freedom can be several orders of magnitude higher than any of these recent hero experiments. Approaching the Shannon limit therefore will drastically increase photon efficiency and will provide revolutionary capabilities for optical communications systems within a wide array of DoD applications. It is expected that such efficiency gains will also positively impact fiber-based communications systems.

DARPA is soliciting innovative research proposals focusing on maximizing the information content of optical photons within the context of imaging and communication applications. All proposed research must fully address the Scientific Foundation thrust and its corresponding end-of-program goal. In addition to describing research within the Scientific Foundation Thrust, all proposals must also choose one of the four technical areas of interest outlined below (i.e. classical imaging, quantum imaging, classical communications, or quantum communications) and only address the corresponding end-of program goals listed in Table 1. Although proposals received under this BAA will focus on a single Technical Area, we anticipate that individual researchers may participate in multiple teams when their expertise is clearly relevant to more than one Technical Area.

Proposed research should investigate innovative approaches that enable revolutionary advances in science, devices, or systems aimed at maximizing the information capacity of optical photons. Specifically excluded is research that primarily results in evolutionary improvements to the existing state of practice. DARPA seeks innovative proposals in the following four Technical Areas of Interests:

Imaging Thrust:

Technical Area One: Classical Imaging New insights from the Classical Imaging community suggest that photon efficiencies approaching 1 bpp may be achievable. For example, it has recently been shown that compressive imaging techniques may be used to measure in a non-redundant (i.e., non-pixel) basis and thus may offer the potential for substantially increased photon efficiency. Computational imaging systems that provide improved image fidelity as compared with a conventional camera further support the notion of improved photon efficiency. Extensions of this work to include information-theoretic analysis of compressive imaging provide additional evidence that photon efficiency can be drastically improved for task-specific measurement. Activities of interest within the Classical Imaging Technical Area therefore include, but are not limited to (a) imaging in extremely low-light environments, (b) compressive imaging, (c) novel image coding and priors, (d) information content of imagery, (e) image information carried by novel degrees of freedom, (f) 3D image information, (g) resource-constrained bounds on performance, etc. The end-of-program goal for the Classical Imaging technical area is to demonstrate VIS/IR imaging reconstruction† with average photon efficiencies ≥ 1 bpp OR task-specific performance‡ ≥ 5 bpp. (See Table 1 for †, ‡ references) Technical Area Two: Quantum Imaging

Recent demonstrations of novel Quantum Imaging techniques provide additional evidence for drastically increasing the information efficiency of individual photons. For example, ghost imaging experiments employing entangled photons enable the conveyance of image information within the correlation among multiple particles. The information capacity of these methods is currently unknown; however, multi-dimensional entanglement and/or incorporation of the compressive measurement paradigm are expected to enhance performance as well as photon information efficiency. Other quantum imaging systems are also of interest. Single photon target detection/classification has been recently demonstrated and represents a task-specific measurement apparatus in which >1 bpp has been achieved. Activities of interest within the Quantum Imaging Technical Area therefore include, but are not limited to (a) novel entanglement for ghost imaging, (b) compressive ghost imaging, (c) single photon and entangled photon sources, (d) photon counting detector arrays, (e) single photon task-specific implementations, (f) quantum photonic memories, etc. The end-of-program goal for the Quantum Imaging technical area is to demonstrate VIS/IR imaging reconstruction† with average photon efficiencies ≥ 1 bpp OR task-specific performance‡ ≥ 5 bpp. (See Table 1 for †, ‡ references) Communications Thrust:

Technical Area Three: Classical Communications

New insights from the Classical Communication community also suggest that very high photon efficiencies may be achievable. For example, hybrid modulation formats such as PPM, quadrature phase shift keying (QPSK), quadrature amplitude modulation (QAM), and dense wavelength division multiplexing (DWDM) employing multiple photon degrees of freedom may be used to simultaneously increase both photon efficiency and spectral efficiency. Recent studies of orbital angular momentum (OAM) represent a case in point. This novel degree of freedom has been analyzed for both modulation and for multiplexing. Predicted FSO capacity enhancements of 10x appear to be realistic even in the presence of moderate atmospheric turbulence. Activities of interest within the Classical Communication Technical Area therefore include, but are not limited to (a) Shannon limits of FSO channels incorporating multiple optical degrees of freedom, (b) encoding and decoding methods/limits for novel degrees of freedom such as OAM, (c) physical limits to information capacity of turbulent channels, (d) extensions to fiber channels, etc. The end-of-program goal for the Classical Communications technical area is to demonstrate optical communication that simultaneously provides photon efficiencies of 10 bpp and spectral efficiencies of 5 bits/sec/Hz.

Technical Area Four: Quantum Communications Research in novel Quantum Communication techniques provide further evidence for drastically increasing the information efficiency of individual photons while simultaneously providing quantum mechanical guarantees on security. For example, recent progress on multi-photon and/or multi-dimensional (e.g., OAM) entanglement has recently demonstrated increased secure data rates arising from the increased dimensionality of the underlying Hilbert space. These high-dimensional systems have also been proposed to offer increased noise tolerance. For example, hybrid entanglement on continuous variables (e.g., energy/time or position/linear momentum) has been used to simultaneously demonstrate a large secure alphabet (e.g., 4 bits per photon) without sacrificing the fundamental security of the entangled channel. Activities of interest within the Quantum Communication Technical Area therefore include, but are not limited to (a) multi-photon and multi-dimensional entanglement, (b) hybrid entanglement on multiple photon degrees of freedom, (c) information optimization in the trade space defined by capacity and security, (d) entanglement preservation for turbulent propagation, (e) high-efficiency quantum state sorters, etc. The end-of-program goal for the Quantum Communication technical area is to demonstrate optical communication that simultaneously provides photon efficiencies of 10 bpp and secure data rates of > 1 Gbps.

This program requires the formation of unprecedented multi-disciplinary teams that bring together expertise from traditionally disparate disciplines including information sciences and optical physics, in addition to domain expertise such as communications and imaging. The program is conceived in three phases of no more than 12 months each (base period, option 1, option 2), with the thrusts, technical areas, and end-of-program goals given in Table 1 below.

As stated earlier, all proposals must fully address the Scientific Foundation thrust and its corresponding end of program goal. In addition to addressing the Scientific Foundation thrust, proposals must choose one of the four technical areas previously described (i.e. classical imaging, quantum imaging, classical communications, or quantum communications) and only address the corresponding end-of program goals listed in Table 1. Although proposals received under this BAA will focus on a single Technical Area, we anticipate that individual researchers may participate in multiple teams when their expertise is clearly relevant to more than one Technical Area.

Table 1: Program Thrusts, Technical Areas and Goals

Scientific Foundation Objective: Rigorously quantify the photon information content for communications and imaging applications in both the classical and quantum domains.

Establish unified information theoretic formalism encompassing both classical and quantum photon information.

Imaging Objective: Develop novel methodologies to maximize the information content of transmitted / received photons in future communication systems.

Classical: Demonstrate VIS/IR imaging reconstruction† with average photon efficiencies ≥ 1 bpp OR task-specific performance‡ ≥ 5 bpp.

Quantum: Demonstrate VIS/IR imaging reconstruction† with average photon efficiencies ≥ 1 bpp OR task-specific performance‡ ≥ 5 bpp.

Communications Objective: Develop novel methodologies to maximize the scene information that can be extracted from received photons in future imaging / sensing platforms.

Classical: Demonstrate optical communication that simultaneously provides photon efficiencies of 10 bpp and spectral efficiencies of 5 bits/sec/Hz.

Quantum: Demonstrate optical communication that simultaneously provides photon efficiencies of 10 bpp and secure data rates of > 1 Gbps.

† Reconstruction must be visually satisfying and demonstrate a root mean square error (RMSE) ≤ 1% of the pixel dynamic range.

‡ Task-specific performance must be reliable with a probability of error ≤ 10-3. Candidate tasks include Automated Target Recognition (ATR), tracking, Ground Moving Target Indication (GMTI), etc.

II. Award Information

Multiple awards are anticipated. Depending on the quality of proposals received under this BAA, funding of approximately $25,000,000 will be available with the anticipation of approximately one or two awards for multi-disciplinary research teams in each of the four technical areas of interest listed above.

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 determined 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.

Awards under this BAA will be made to proposers on the basis of the evaluation criteria listed below, and to provide overall value to the Government. Proposals identified for negotiation may result in a procurement contract, grant, cooperative agreement or other transaction 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 request any additional necessary documentation once it makes the award instrument determination. The Government reserves the right to remove proposers from award consideration should the parties fail to reach agreement on award terms, conditions, and cost/price within a reasonable time or the proposer fails to timely provide requested additional information.

As of the date of publication of this BAA, DARPA expects that program goals for this BAA may be met by proposers intending to perform 'fundamental research,' i.e., basic and applied research in science and engineering, the results of which ordinarily are published and shared broadly within the scientific community, as distinguished from proprietary research and from industrial development, design, production, and product utilization the results of which ordinarily are restricted for proprietary or national security reasons. Notwithstanding this statement of expectation, DARPA is not prohibited from considering and selecting research proposals that, while perhaps not qualifying as 'fundamental research' under the foregoing definition, still meet the BAA criteria for submissions. In all cases, the contracting officer shall have sole discretion to select award instrument type and to negotiate all instrument provisions with selectees.

III. Eligibility Information A. Eligible Applicants

All responsible sources capable of satisfying the Government's needs may submit a proposal that shall be considered by DARPA. Historically Black Colleges and Universities (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 announcement will be set aside for these organizations’ participation due to the impracticality of reserving discrete or severable areas of this research for exclusive competition among these entities.

Federally Funded Research and Development Centers (FFRDCs) and Government entities (Government/National laboratories, military educational institutions, etc.) are subject to applicable direct competition limitations and cannot propose to this BAA in any capacity unless they meet the following conditions. FFRDCs must clearly demonstrate that the work is not otherwise available from the private sector AND they must also provide a letter on letterhead from their sponsoring organization citing the specific authority establishing their eligibility to propose to government solicitations and compete with industry in compliance with the associated FFRDC sponsor agreement terms and conditions. This information is required for FFRDCs proposing to be prime or subcontractors. Government entities must clearly demonstrate that the work is not otherwise available from the private sector and provide written documentation citing the specific statutory authority (as well as, where relevant, contractual authority) establishing their ability to propose to Government solicitations. At the present time, DARPA does not consider 15 U.S.C. 3710a to be sufficient legal authority to show eligibility. While 10 U.S.C. 2539b may be the appropriate statutory starting point for some entities, specific supporting regulatory guidance, together with evidence of agency approval, will still be required to fully establish eligibility. DARPA will consider eligibility submissions on a case-by-case basis; however, the burden to prove eligibility for all team members rests solely with the Proposer.

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

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

1. Procurement Integrity, Standards of Conduct, Ethical Considerations, and Organizational Conflicts of Interest

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. Mark A. Neifeld. 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.)

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 rejected without technical evaluation and withdrawn from further consideration for award.

If a prospective Proposer believes that any conflict of interest exists or may exist (whether organizational or otherwise), the Proposer should promptly raise the issue with DARPA by sending Proposer's contact information and a summary of the potential conflict by email to the mailbox address for this BAA at DARPA-BAA-10-19@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 rejected 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. Other Eligibility Criteria

1. Collaborative Efforts

Collaborative efforts/teaming are strongly encouraged. It is anticipated that this program will require an unprecedented multi-disciplinary team that brings together expertise from traditionally disparate disciplines including information sciences and optical physics, in addition to domain expertise such as communications and imaging.

A teaming website, http://www.sainc.com/InPho, will facilitate the formation of teams with the necessary expertise. Specific content, communications, networking, and team formation are the sole responsibility of the participants. Neither DARPA nor the Department of Defense (DoD) endorse the destination website or the information and organizations contained therein, nor does DARPA or the DoD exercise any responsibility at the destination. This website is provided consistent with the stated purpose of the BAA.

IV. Application and Submission Information

A. 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. Content and Form of Application Submission

1. Security and Proprietary Issues

NOTE: If proposals are classified, the proposals must indicate the classification level of not only the proposal itself, but also the anticipated award document classification level.

The Government anticipates proposals submitted under this BAA will be unclassified. However, if a proposal is submitted as “Classified National Security Information” as defined by Executive Order 12958 as amended, then the information must be marked and protected as though classified at the appropriate classification level and then submitted to DARPA for a final classification determination.

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

Classified submissions shall 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 shall be in accordance with the following guidance:

Confidential and Secret Collateral Information: Use classification and marking guidance provided by previously issued security classification guides, the Information 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 be mailed via appropriate U.S. Postal Service methods (e.g., (USPS) Registered Mail or USPS Express Mail). All classified information will be enclosed in opaque inner and outer covers and double wrapped. The inner envelope shall be sealed and plainly marked with the assigned classification and addresses of both sender and addressee. The inner envelope shall be addressed to:

Defense Advanced Research Projects Agency

ATTN: Defense Science Office

Reference: DARPA-BAA-10-19

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: Top Secret information should 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 (571) 218-4842 to coordinate arrival and delivery.

Special Access Program (SAP) Information: SAP information must be transmitted via approved methods. Prior to transmitting SAP information, contact the DARPA SAPCO at 703-526-4052 for instructions.

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

Proprietary Data: All proposals containing proprietary data should have the cover page 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.

Security classification guidance via 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 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 the formal request is received at this office within 5 days after unsuccessful notification.

C. Abstract and Proposal Information

Proposers are strongly encouraged to submit a proposal abstract 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 proposal abstracts is specified in Section IV. D. 1. Proposal Abstract Date. DARPA will acknowledge receipt of the submission and assign a control number that should be used in all further correspondence regarding the proposal abstract.

DARPA will respond to proposal abstracts with a statement as to whether DARPA is interested in the idea. DARPA will attempt to reply to proposal abstracts via letter within thirty (30) calendar days of receipt. Should a proposer be discouraged from submitting a full proposal, the letter must contain feedback for the proposer regarding the rationale for the decision not to recommend that a full proposal be submitted. Proposal abstracts will be reviewed in the order they are received. Early submissions of proposal abstracts and full proposals are strongly encouraged because selections may be made at any time during the period of solicitation. Regardless of DARPA’s response to a proposal abstract, proposers may submit a full proposal. DARPA will review all full proposals submitted using the published evaluation criteria and without regard to any comments resulting from the review of a proposal abstract.

Proposers are required to submit full proposals by the time and date specified in the BAA in order to be considered for selection. DARPA may evaluate proposals received after this date until the final closing date, 4:00PM ET, June 11, 2010. Ability to review late submissions remains contingent on availability of funds.

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 non-disclosure requirements. Proposals and proposal abstracts may not be submitted by fax or e-mail; any so sent will be disregarded.

Proposals not meeting the format described in the BAA may not be reviewed.

For Proposers Submitting Proposals through DSO’s BAA Submission Portal:

Proposals sent in response to DARPA-BAA-10-19 may be submitted via DSO’s BAA Website (https://dsobaa.sainc.com). Visit the website to register for an account (via the “Create Login” link along the left side of the homepage), view submission instructions, and upload/finalize proposals. All submissions must be compressed and encrypted as described below. Proposers using the DSO BAA Website may encounter heavy traffic on the submission deadline date, it is highly advised that submission process be started as early as possible.

All proposals submitted electronically by means of an Electronic Business Application Tool or proposal submission website (not including Grants.gov) must be encrypted using Winzip or PKZip with 256-bit AES encryption. Please submit the proposal as two separate zipped/encrypted files, Volume I (Technical and Management Proposal) and Volume II (Cost Proposal). Proposals not zipped/encrypted will be rejected by DARPA. An encryption password form must be completed and emailed to DARPA-BAA-10-19@darpa.mil at the time of proposal submission. See https://dsobaa.sainc.com 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://dsobaa.sainc.com.

For Proposers Posting to Grants.Gov:

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

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

· Proposers must obtain a DUNS number

· Proposers must register their organization in the Central Contractor Registration (CCR) (https://www.bpn.gov/CCRSearch/Search.aspx)

· Proposers must obtain a user name and password with an E-Authentication provider

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

· Proposers must have the organization’s E-BIZ point of contact authorize the AOR to submit applications.

Proposers electing to submit grant or cooperative agreement proposals as hard copies must complete the SF 424 R&R form (Application for Federal Assistance, Research and Related) available on the Grants.gov website http://www.grants.gov/agencies/aapproved_standard_forms.jsp#2. Attach the abstract/proposal (if submitting a full proposal please upload two separate documents, Volume I, Technical and Management Proposal and Volume II, the Cost Proposal) as attachments to the application package. No other Grants.gov forms are required. Please note that Grants.gov does not accept zipped or encrypted proposals. More detailed instructions for using Grants.gov can be found on the Grants.gov website.

Grant or cooperative agreement proposals may be submitted to DARPA through Grants.gov, through the DSO Electronic Business Application BAA Tool (https://dsobaa.sainc.com), or in hard-copy. If proposers intend to use Grants.gov as their means of submission, then they must submit their entire proposal through Grants.gov; applications can not be submitted in part to Grants.gov and in part as a hard-copy.

Please note that due to the new DARPA security policies, submitters to grants.gov will still need to visit https://dsobaa.sainc.com/ to register their organization concurrently and are also required to send in a password form via email to ensure the DSO BAA office can verify the security of their submission.

For Proposers Submitting Hard Copies/on CD-ROM:

Proposers who wish to submit their proposal on a CD-ROM or in hard copy format (one copy of either format is acceptable) may do so. Please save the proposal as two separate files, Volume I (Technical and Management Proposal) and Volume II (Cost Proposal). The original hard copy and/or one CD-ROM must be clearly labeled with DARPA-BAA-10-19, the proposer’s organization, and the proposal title (short title recommended). The mailing address can be found in Section VIII (Agency Contacts).

Please note that due to the new DARPA security policies, submitters still need to visit https://dsobaa.sainc.com/ 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.

All administrative correspondence and questions on this solicitation, including requests for information on how to submit a proposal abstract or full proposal to this BAA, should be directed to the administrative addresses below:

BAA Administrator E-mail: DARPA-BAA-10-19@darpa.mil

DARPA/DSO

ATTN: DARPA-BAA-10-19

3701 North Fairfax Drive

Arlington, VA 22203-1714 http://www.darpa.mil/dso/solicitations/solicit.htm

DARPA intends to use electronic mail and fax for correspondence regarding DARPA-BAA-10-19. Proposals and proposal abstracts may not be submitted by fax or e-mail; any so sent will be disregarded. DARPA encourages use of the Internet for retrieving the BAA and any other related information that may subsequently be provided.

1. Proposal Abstract Format

It is STRONGLY ENCOURAGED that a proposal abstract 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.

Proposal abstracts should be concise and limited to 8 pages in length; shorter proposal abstracts that can cover the content below 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 proposal abstracts includes all figures, tables, and charts. No formal transmittal letter is required. The proposal abstract should contain the following sections:

· Cover Sheet (must be clearly marked "Proposal Abstract"): 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 key technical challenges, concise review of the scientific foundations, mathematical formalisms and novel technologies proposed to overcome these challenges and achieve the program goal, and a clear statement of the novelty and uniqueness of the proposed idea.

· Proposed Approach: Clearly describe the technical approach in support of the innovative claims. Outline and address all technical challenges inherent in the approach and possible solutions for overcoming potential problems. Proposal abstracts MUST provide several specific, quantitative measurable program milestones every 12 months after start of effort to assess program progress towards the end-of-program goals, as well as a constructive plan for accomplishment of the interim progress milestones.

· Team Expertise and Management Plan: A clearly defined organization chart for the program team which includes, as applicable: (1) the programmatic relationship of team members; (2) the unique capabilities of team members relevant to the program goals; (3) the team members’ responsibilities; (4) the teaming strategy among the team members; (5) the key personnel along with the amount of effort to be expended by each person during each year. A Principal Investigator for the project must be identified. That person will assume all responsibilities for the conduct of the effort. The proposer team must have demonstrated expertise in ALL pertinent technical areas.

· Cost Estimates for Phase I, Phase II and Phase III: A cost estimate for resources, including both labor and materials, over the proposed timeline. The cost estimates can be a rough order of magnitude for the purpose of the proposal abstract. A separate cost estimate for each phase is required.

· Brief list of relevant references.

2. 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 separate files, Volume I (Technical and Management Proposal) and Volume II (Cost Proposal). 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 only in the Technical Volume. 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 35 pages. Maximum page lengths for each section are shown in braces { } below.

Volume I, Technical and Management Proposal

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 DISADVANTAGED BUSINESS,” “OTHER SMALL BUSINESS,” “HBCU,” “MI,” “EDUCATIONAL,” “NONPROFIT” OR NOT-FOR-PROFIT;

(5) Contractor’s reference number (if any)

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

(7) Proposal title

(8) Proposal Date

(9) Technical point of contact to include: salutation, last name, first name, street address, city, state, zip code, telephone, fax, electronic mail

(10) Administrative point of contact to include: salutation, last name, first name, street address, city, state, zip code, telephone, fax, electronic mail

(11) Total proposed cost separated by basic award and option(s) (if any)

(12) Duration (in months) of Proposed Work.

B. Official Signed Transmittal Letter.

Section II. Detailed Proposal Information 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 key technical challenges, concise review of the scientific foundations, mathematical formalisms and novel technologies proposed to overcome these challenges and achieve the program goal, and a clear statement of the novelty and uniqueness of the proposed idea.

B. {4} Statement of Work (SOW) written in plain English, citing specific tasks to be performed and their connection to the interim progress milestones and end-of-program goals. The SOW must not include proprietary information. For each task/subtask, provide:

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

· A detailed description of the approach to be taken to accomplish each defined task/activity;

· Identification of the primary organization responsible for task execution (prime, sub, team member, by name, etc.);

· The completion criteria for each task/activity - a product, event or milestone that defines its completion.

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

Note: It is recommended that the SOW should be developed so that each Phase of the program is separately defined. Do not include any proprietary information in the SOW.

C. {3} Cost, schedule and measurable milestones for the proposed research, including estimates of cost for each task in each year of the effort delineated by the prime and major subcontractors, total cost and company cost share, if applicable. (Note: Measurable milestones should capture key development points in tasks and should be clearly articulated and defined in time relative to start of effort.) Note: Measurable program milestones should occur every 12 months after start of effort. These milestones should enable and support a continuing funding decision for the next part of the effort. Do not include proprietary information with the milestones. Additional interim progress milestones are also highly encouraged at regular intervals. 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.

D. {15} Detailed technical approach in support of the innovative claims. Address how the proposed approach is revolutionary and how it rises above the current state of practice. Include a description of the results, products, transferable technology addressing intellectual property rights, and expected technology transfer path. See also Section VIII “Intellectual Property.” Proposal MUST provide several specific, quantitative measurable program milestones every 12 months after start of effort to assess program progress towards the end-of-program goals, as well as a constructive plan for accomplishment of the interim progress milestones. See Section I “Funding Opportunity Description” for a description of the program goals.

E. {1} Deliverables associated with the proposed research (See Section VIII for guidance on Proprietary Claims and Intellectual Property.)

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