DARPA-BAA-10-43 _revised 2-Mar-2010.pdf

Broad Agency Announcement ASW Continuous Trail Unmanned Vessel (ACTUV) Phase

DARPA TTO

DARPA-BAA-10-43

March 1, 2010

Table of Contents:

Part One: Overview Information Part Two: Full Text of Announcement

1.0 FUNDING OPPORTUNITY DESCRIPTION

1.1 Alternative White Paper Submission

1.2 Classified and Export Controlled Annexes

2.0 AWARD INFORMATION

3.0 ELIGIBILITY INFORMATION

3.1 Eligible Applicants

3.2 Cost Sharing/Matching

3.3 Other Eligibility Criteria

4.0 APPLICATION AND SUBMISSION INFORMATION

4.1 Address to Request Application Package

4.2 Content and Form of Application Submission

4.3 Submission Dates and Times

5.0 APPLICATION REVIEW INFORMATION

5.1 Evaluation Criteria

5.2 Review and Recommendation Process

6.0 AWARD ADMINISTRATION INFORMATION

6.1 Award Notices

6.2 Administrative and National Policy Requirements

6.3 Reporting

7.0 AGENCY CONTACTS

8.0 OTHER INFORMATION

8.1 Intellectual Property

8.2 Desired Rights in Software and Technical Data

8.3 Industry Day

Part One: Overview Information

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

• Funding Opportunity Title – ASW Continuous Trail Unmanned Vessel (ACTUV) Phase 1

• Announcement Type – Broad Agency Announcement – Initial Announcement

• Funding Opportunity Number – Broad Agency Announcement (BAA) 10-43

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

Technology Development.

• Dates o Posting Date: March 1, 2010 o Deadline for Questions: April 2, 2010 o Proposal Due Date: April 30, 2010

• Anticipated individual awards – Multiple awards are anticipated.

• Types of instruments that may be awarded – Procurement contract, cooperative agreement, or other transaction.

• Agency contact o Technical Point of Contact (POC) Mr. Rob McHenry, DARPA/TTO o Contractual Point of Contact (POC) Mr. Chris Glista, DARPA/CMO

DARPA/TTO

ATTN: BAA 10-43

3701 North Fairfax Drive Arlington, VA 22203-1714 Email: DARPA-BAA-10-43@darpa.mil

• Other – Annexes containing additional export controlled and classified information are available upon request as described in Section 1.2 of Part Two of this announcement.

Part Two: Full Text of Announcement

1.0 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 Grants.gov website at http://www.grants.gov/. The following information is for those wishing to respond to the BAA.

The Anti-Submarine Warfare (ASW) Continuous Trail Unmanned Vessel (ACTUV) program seeks to develop and demonstrate an independently deploying unmanned surface vessel optimized to provide continuous overt trail of threat submarines. The program is architected to achieve three primary objectives. The first program objective is to design, build, and demonstrate an X-ship based on clean sheet design approaches founded on the assumption that no person steps aboard at any point in its operating cycle, enabling beyond state-of-the-art platform performance characteristics. The second program objective is to demonstrate the technical viability of an independently deploying unmanned naval vessel under sparse remote supervisory control to enable a new class of maritime system. The third program objective is to leverage the unique platform performance and unmanned system characteristics of ACTUV, combined with a novel suite of sensors capable of robustly tracking quiet modern diesel electric submarines, to demonstrate a game changing ASW operational capability and to facilitate rapid transition of that capability to the Navy in response to critical operational demands.

Current unmanned surface vessel systems and concepts are operated as close-adjuncts to conventional manned ships – they are launched and recovered from manned ships, tele-operated from manned ships, and are limited to direct support of manned ship missions. The ACTUV system will be a first of its kind unmanned naval vessel that is designed and sized for theater or global independent deployment. It is envisioned that ACTUV will operate under a sparse remote supervisory command and control model, with a shore based supervisor providing high level mission objectives and monitoring autonomous performance through an intermittent beyond line of sight communications link. A key program focus will be on the ability of the system to demonstrate safe navigation at sea within the framework of maritime law and the International Regulations for Avoiding Collisions at Sea. Additionally, the system will need to autonomously employ its sensor suite consistent with situational awareness and mission objectives, and implement appropriate tactics in response to both target behaviors and external environmental factors. Finally, the ACTUV system will require robust internal state awareness and adaptation to generate the high levels of system reliability necessary to achieve months- long deployments with no underway human maintenance or repair opportunity.

Beyond simply being an unmanned system, the ACTUV program will define new platform performance potential by re-envisioning surface craft design to fully exploit opportunities created by eliminating all crew support requirements. Conventional naval architecture tenants should be examined in this unmanned system context, which in addition to recouping first order crew support overhead, may offer second order benefits such as relaxed reserve buoyancy margins, dynamic stability limits, and even new platform orientation assumptions. The objective is to demonstrate disproportionate platform capabilities in terms of speed, endurance, sea keeping, and maneuverability. The program will also maintain a strong focus on exploiting novel system architectures and internal arrangements enabled by being unmanned to explore new construction methods and maintenance approaches to achieve disproportionately low system procurement cost and efficient inter-deployment maintenance.

The ability to achieve robust propulsive overmatch in a low cost, unmanned platform creates a disruptive change in ASW operational risk calculus, opening the door to unconventional missions, tactics, and sensor employment. ACTUV system design activity will be underpinned by a set of real world operational objectives to deliver propulsive overmatch against threat submarines and to support tracking over the entire duration of a target submarine’s deployment.

It is not intended as an ASW search capability. ACTUV relies on conventional force structure to provide a target cue, but then prevents those search assets from being tied up in intensive trail operations. The system design activity will include identification and development of novel sensor modalities and employment methods that can take advantage of the unique unmanned platform configurations and characteristics to achieve robust performance against the most challenging quiet submarine targets.

While the ACTUV concept was first explored under a DARPA study titled “Unmanned Naval Vessel (UNV),” the results of which will be provided in an annex to this BAA (see Section 1.2, “Classified and Export Controlled Annexes”), there is no intent to constrain the ACTUV solution space to this initial concept configuration. Proposers are encouraged to independently explore and validate operational requirements for the intended mission and define their own optimal system concepts. However, the UNV Study does offer insight into potential approaches to achieve program objectives, identification of key system parameters, and examples of relevant system performance assessment. Preliminary key system characteristics include:

Overall System

• Clean sheet design based on no person stepping aboard at any point in its operating cycle

• Innovative application of unmanned platform performance and operational risk tolerance to achieve mission objectives

• Operations from a shore base

• High system reliability for long duration missions in the harsh maritime environment without opportunity for underway human maintenance or repair

• Architected to support low unit production cost, such as functional modularity, and non-traditional fabrication methods and facilities

• Architected to support efficient inter-deployment turnaround and low lifecycle cost

• Capable of near-term transition to operational employment

• Adaptable system architecture capable of responding to future threats and missions.

Platform Performance

• Size optimized for mission requirements with disproportionate performance for displacement relative to conventional surface platforms

• Sufficient range for independent theater or global deployment

• Extended loiter endurance to support forward operational prepositioning

• Speed, maneuverability, and endurance advantage over target set

• Seakeeping sufficient to maintain mission effectiveness through high sea states

• Advantaged sensor support

Autonomy

• Independently deployable unmanned system

• Sparse shore-based remote supervisory command and control model

• Capable of autonomous risk-based mission continuation through command and control interruptions

• Adaptive constraint set based on strategic context, mission phase, internal state, and external conditions

• Compliance with the Convention on the International Regulations for Preventing

Collisions at Sea (COLREGS) and maritime law

• High fidelity surface navigation and situational awareness sensors

• High fidelity internal state awareness and dynamic performance assessment

Mission Requirements

• Optimized for quiet diesel electric submarine track and trail; not a wide area ASW search system

• Ability to close datum quickly to target cue location in order to minimize area of uncertainty growth

• Ability to localize target within area of uncertainty of handoff cue

• Ability to track target through its entire operating envelope in adverse environmental conditions

• Ability to maintain target trail over submarine operational deployment length

• Ability to provide continuous target location and activity reporting

• Resilience to foreseeable countermeasures and countertactics

• Leveraging of platform and sensor performance to safely maneuver within surface traffic while maintaining target track

• Minimized exploitable signatures

While the program will be conducted in four phases, responses to this BAA are for Phase 1 only.

Proposers selected for Phase 1 concept exploration do not need to have capability to execute follow-on phases, and performance during Phase 1 is not required to be selected for follow-on phase awards. Follow-on phases will be competed under a separate solicitation following the conclusion of Phase 1.

In Phase 1, performers will conduct concept exploration, system architecture studies, system concept design, and preliminary performance evaluations. Multiple phase 1 awards are anticipated to broadly explore the ACTUV concept space with a goal of developing highly innovative approaches and capabilities. Award values are expected to range from $500,000 for limited architecture or concept studies, to $2,000,000 for full system concept design and operations analysis. The Phase 1 period of performance is expected to be six (6) months. Within Phase 1, activities may include concept exploration and design, unmanned system architecture development, enabling technology surveys, wargaming, concept of operations development, concept performance simulation and assessment (including concept adaptability), system risk assessment, technology development planning, and system construction planning. A key deliverable from each performer in Phase 1 will be a preliminary performance specification. The Government strongly desires to receive this performance specification a risk mitigation plan associated with transitioning intellectual property for future U.S. military applications. In addition, performers who complete system concept designs will be expected to develop a construction plan for their concept with an emphasis on innovative approaches and architectures to achieve low prototype and production costs. The Government will assess and integrate Phase 1 work product across performers to establish the best of breed concepts, architectures, and approaches for execution within the remainder of the program.

This BAA solicits proposals for Phase 1 only. Proposals for future phases are not solicited by this BAA. However, the following notional programmatic information, subject to future modification at the Government’s discretion, is provided to assist proposers in developing their Phase 1 proposals:

Phase 2 will fund one award through Critical Design Review. Phase 2 is expected to have a duration of 18 months. During Phase 2, the performer will conduct system preliminary design, critical technology and construction process development, risk reduction demonstrations, detail design, and a high fidelity operational performance assessment (including design adaptability).

In addition to subsystem development and risk reduction testing, the performer should also conduct integrated hardware-in-the-loop (HWIL) testing capable of supporting in-water data collection. Phase 2 will culminate in a Critical Design Review.

Phase 3 will fund construction of an integrated prototype vessel and initial sea trials. Phase 3 is expected to have a duration of 18 months. Awards for Phase 3 will be made via exercise of Firm-Fixed-Price (FFP) options proposed under the Phase 2 solicitation, with the intent that this price constraint be a significant design driver in the preliminary and detail designs. Upon award the performer will begin construction of the prototype ACTUV including fabrication of the hull, subsystem integration, and initial in-water tests. Innovative architectures and fabrication approaches to achieve a disproportionately low unit cost will be a significant factor in performer selection. The result of Phase 3 should be a prototype vehicle capable of further mission-oriented testing in Phase 4.

During Phase 4 the performer is expected to conduct mission-oriented sea trials and experiments to support Navy military utility assessment. The duration of DARPA funding for Phase 4 is expected to be six (6) months, followed by full transition of subsequent test and acquisition activity to the Navy.

1.1 Alternative White Paper Submission

While DARPA is seeking full proposals under this BAA, parties who have innovative ideas relevant to the ACTUV program objectives but who are unable, or choose not to, submit a full proposal are encouraged to submit a technical white paper. DARPA encourages white papers in any technical area related to ACTUV and from all sources, including foreign entities and others not eligible to submit a proposal for award under this BAA (see Section 3.0, “Eligibilty

Information”). White papers should be limited to fifteen (15) pages in length and printed on 8- 1/2 by 11 inch paper with type not smaller than 12 point. Smaller font may be used for figures, tables, and charts. No formal transmittal letter is required and white papers are not subject to the proposal submission deadline described in Section 4.3 “Submission Dates and Times,” however, DARPA cannot guarantee any formal comment on any white paper submission nor guarantee any funding opportunities will result.

White papers can be submitted by mail to:

Attn: DARPA-BAA-10-43 3701 North Fairfax Drive

1.2 Classified and Export Controlled Annexes

Annexes with classified information at the secret level and export controlled information containing supporting information and can be requested via email to DARPA-BAA-10-43@darpa.mil. Requests for the classified annex, which will include the export controlled annex on a separate disk, should include, at a minimum, the company name, technical POC name and phone number, Facility Security Officer (FSO) name and phone number, CAGE code, statement of facility clearance and safeguarding capability, and a valid address for receiving classified material at the secret level. DARPA will verify the facility clearance and the clearance of the recipient before mailing the classified material.

Proposers authorized to receive export controlled information, but lacking a facility clearance, may request the export controlled annex via email to DARPA-BAA-10-43@darpa.mil. Requests for the export controlled annex alone should include, at a minimum, the company name, technical POC name and phone number, statement acknowledging eligibility to receive export controlled information, address, and proof of citizenship or permanent residency from one of the following: U.S. passport; certified birth certificate issued by the city, county, or state of birth;

consular report of birth (of U.S. citizen) abroad or certification of birth; naturalization certificate;

certificate of citizenship; or permanent resident card (for permanent residents, also known as a “green card”).

Proposers should allow at least five (5) business days for processing requests for the classified or export controlled annexes plus time for delivery.

2.0 AWARD INFORMATION

Multiple awards are anticipated. The amount of resources made available under this BAA will depend on the quality of the proposals received and the availability of funds. Individual award values ranging from $500,000 to $2,000,000 are expected.

The Government reserves the right to select for negotiation all, some, one, or none of the proposals received in response to this solicitation, and to make awards without discussions with proposers. The Government also reserves the right to conduct discussions if it is later 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. 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 Section 5.0, “Application Review Information”), and program balance to provide overall value to the Government. Proposals identified for negotiation may result in a procurement contract, cooperative agreement, or other transaction depending upon the nature of the work proposed, the required degree of interaction between parties, and other factors. The Government reserves the right to request any additional, necessary documentation once it makes the award instrument determination. Such additional information may include but is not limited to Representations and Certifications. 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 cannot identify whether or not the work under this BAA may be considered '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. 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.

3.0 ELIGIBILITY INFORMATION

3.1 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 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, and compliance with the associated FFRDC sponsor agreement and 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.

Due to security requirements associated with submarine targets and specific sensor performance, only U.S. contractors who are capable of receiving, processing, and storing export controlled and classified information associated with this effort are eligible for awards that cover the full scope of the solicitation. Foreign participants and/or individuals may participate as subcontractors or consultants to the extent that such participants comply with any necessary non-disclosure agreements, security regulations, export control laws, ITAR regulations, and other governing statutes applicable under the circumstances. Since DARPA does not intend to directly provide classified or export controlled data to any international participants, proposers are reminded that implementation of applicable agreements and licenses is the responsibility of the proposer.

Entities who are not capable of receiving, processing, and storing export controlled and classified information associated with this effort, including foreign entities, may still propose limited scope efforts associated with innovative unmanned system architectures, platform concept design, autonomy, and low cost production methods. It is not envisioned that efforts proposed by such entities can include submarine sensor subsystems, concept of operations development, and operations analysis on system effectiveness without access to classified information.

Proposers considering classified submissions (or requiring access to classified information during the life-cycle of the program, including the classified annex to this BAA) 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.

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

Current federal employees are prohibited from participating in particular matters involving conflicting financial, employment, and representational interests (18 USC 203, 205, and 208.).

The DARPA Program Manager for this BAA is Robert McHenry. 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 the proposer's contact information and a summary of the potential conflict by email to the mailbox address for this BAA at DARPA-BAA-10-43@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.

3.2 Cost Sharing/Matching

Cost sharing is not required for this 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.

3.3 Other Eligibility Criteria

3.3.1 Collaborative Efforts

Collaborative efforts and teaming are encouraged. Specific content, communications, networking, and team formation are the sole responsibility of the participants, however proposers are encouraged to use the Interested Vendors List associated with this solicitation on http://www.fedbizopps.gov/.

4.0 APPLICATION AND SUBMISSION INFORMATION

4.1 Address to Request Application Package

This solicitation contains all information required to submit a proposal. No additional forms, kits, or other materials are needed. Additional supporting information is available in the form of classified and export controlled annexes to this BAA (see Section 1.2, “Classified and Export Controlled Annexes,” for instructions on requesting the classified and/or export controlled annex). 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.

4.2 Content and Form of Application Submission

4.2.1 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.

Although the Government anticipates proposals submitted under this BAA will be unclassified, classified submissions at all levels can be accommodated. 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: Tactical Technology Office Reference: BAA 10-43

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

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.

Except for recipients of the classified annex (see Section 1.2, “Classified and Export Controlled Annex”), 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.

Recipients of the classified annex will be provided a DD Form 254 in conjunction with the annex.

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.

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.

4.2.2 Proposal Information

Proposers are required to submit full proposals by the time and date specified in this BAA in order to be considered during the initial round of selections. DARPA may evaluate proposals received after this date for a period up to one year from date of posting on FedBizOpps. Ability to review late submissions remains contingent on availability of funds.

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

Proposers must submit an original and four (4) copies of the full proposal and one (1) electronic copy of the proposal (preferred in Microsoft Office compatible formats) on a CD-ROM. Each copy must be clearly labeled with DARPA-BAA-10-43, proposer organization, proposal title (short title recommended), and Copy _ of 5. Proposals not meeting the format described in the BAA may not be reviewed.

Proposers may elect to use the Grants.gov APPLY function if the applicant is seeking a 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 cooperative agreement proposals should submit a hard-copy proposal and 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.

All administrative correspondence and questions on this solicitation, including requests for information on how to submit a proposal to this BAA, should be directed to the administrative addresses below; e-mail is preferred.

Attn: BAA 10-43 3701 North Fairfax Drive

Email: DARPA-BAA-10-43@darpa.mil

DARPA intends to use electronic mail for correspondence regarding DARPA-BAA-10-43. Any correspondence sent by fax will be disregarded (with the exception of prearranged classified fax transmissions). Proposals 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 unclassified information that may subsequently be provided.

4.2.3 Proposal Format

All proposals must be in the format given below. Nonconforming proposals may be rejected without review. Proposals shall consist of two volumes. All pages shall be printed on 8-1/2 by 11 inch paper with type not smaller than 12 point. Smaller font may be used for figures, tables and charts. Volume I, Technical, Management, and Resourcing 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. Copies of not more than three (3) relevant papers can be included with the submission. The submission of other supporting materials along with the proposals is strongly discouraged and will not be considered for review. All proposals must be written in English.

4.2.4 Volume I, Technical, Management, and Resourcing Proposal

Section I. Administrative A. Cover sheet to include:

(1) BAA number

(2) Lead Organization submitting proposal

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

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

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

(6) Proposal title

(7) 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)

(8) Administrative 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) Total funds requested from DARPA, and the amount of cost share (if any)

(10) Date proposal was submitted.

B. Official transmittal letter.

Section II. Summary of Proposal

This section should provide an overview of the system concept, proposed work plan, and team capabilities. This section is limited to 15 pages, including all figures, tables, and charts. Further elaboration should be provided in Section III.

A. Concept description and innovative claims. This section should include descriptions and depictions of the proposer’s preliminary system concept, including identification of unique benefits and advantages relative to state of the art technologies and other potential system approaches.

B. Overview of Phase 1 study plan. This section should include descriptions of the general study approach, tasks, and interim milestone products. Supporting information should include a schedule summary, list of deliverables by date, and cost summary (cost for each top-level task in each year of the effort delineated by the prime and major subcontractors, total cost, and company cost share, if applicable).

C. Overview of follow-on program execution. This section should include a description of the approach and execution plan for subsequent program phases, including system design and risk reduction, construction, demonstration, and transition. It is recommended that particular attention be given to defining and supporting the construction plan for innovative and efficient integrated system fabrication. If proposed Phase 1 scope is limited to concept exploration only with no intent to execute follow-on phases, this section should be dedicated to describing how the proposed scope and deliverables could be leveraged and integrated to support subsequent system design, construction, and demonstration activity.

D. Corporate, team, and personnel resources and expertise. This section should provide descriptions and depictions of the project team, including support for the expertise, experience, facilities, and other resources that will be leveraged to ensure project success.

There should be 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 task of responsibilities of team members; (4) the teaming strategy among the team members; and (5) the key personnel along with the amount of effort to be expended by each person during each year. Formal teaming agreements should be included in Volume II if applicable.

E. Proprietary claims. This section should include all proprietary claims to the results, prototypes, intellectual property, or systems supporting and/or necessary for the use of the research, results, and/or prototype. If there are not proprietary claims, this should be stated.

For forms to be completed regarding intellectual property, see Section 8.1, “Intellectual Property.” There will be no page limit for the required forms.

Section III. Detailed Proposal Information

This section provides the detailed discussion of the proposed work necessary to enable an in-depth review of the specific technical, managerial, and resourcing issues. There is no page limit for this section.

A. Work Breakdown Structure (WBS). This section should include a logical and complete

WBS tailored to the proposed deliverables. WBS detail to level 4 or greater should be included.

B. Integrated Statement of Work (SOW), technical support, and Basis of Estimate (BOE). This section is the heart of the proposal and should provide all necessary detail to define the proposed effort and deliverables, support the proposed effort with relevant technical details, and list planned resource allocation based on BOE build-ups. The following sections should be repeated for each WBS element (to level 3 or greater), and should encompass the full proposed scope of work and proposed cost.

i. SOW Element. The specific SOW element should be fully defined, describing the scope to be performed under the proposed effort to include objectives, task descriptions, and completion criteria.

ii. Deliverables. All deliverables associated with the specific SOW element should be defined, including descriptions of contents, anticipated formats, and delivery dates (days after contract award).

iii. Technical Rationale. Detailed technical rationale and supporting information that directly underpin the approach and execution for the specific SOW element should be provided. Only details that support activity that is explicitly included within the proposed scope and BOE shall be included. Information regarding subjects that are not explicitly included in the proposed scope and BOE should be limited to Section II only.

Government furnished information, equipment, or facilities required for completion of the SOW element should also be included here.

iv. BOE. Cost summary and BOE calculations associated with the specific SOW element should be detailed. Costs should represent total cost to the government for the specific SOW element, showing detailed build up from lowest level labor hour and material estimates in a consistent cost basis methodology, including cost of labor, materials, overhead, and other direct charges. Subcontractor costs should be annotated and added to prime contractor costs to show a comprehensive and integrated BOE for the specific SOW element. Any cost share should be noted.

C. Integrated Master Schedule. This section should include a depiction of the time phased relationships and dependencies between all activities associated with the execution of the WBS elements (to level 3 or greater). Deliverables should be clearly indicated, as well as need dates for any external information or resources.

Section IV. Additional Information

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.

4.2.5 Volume II, Cost Proposal

Cover sheet to include:

(1) BAA number;

(2) Lead Organization submitting proposal;

(3) Type of business, selected among the following categories: “LARGE BUSINESS”, “SMALL DISADVANTAGED BUSINESS”, “OTHER SMALL BUSINESS”, “HBCU”, “MI”, “OTHER EDUCATIONAL”, OR “OTHER NONPROFIT”;

(4) Contractor’s reference number (if any);

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

(6) Proposal title;

(7) 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);

(8) 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);

(9) Award instrument requested: firm fixed price (FFP), cost-plus-fixed-free (CPFF), cost-contract—no fee, cost sharing contract – no fee, other type of procurement contract (specify), cooperative agreement, or other transaction;

(10) Place(s) and period(s) of performance;

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

(12) Name, address, and telephone number of the proposer’s cognizant Defense Contract

Management Agency (DCMA) administration office (if known);

(13) Name, address, and telephone number of the proposer’s cognizant Defense Contract

Audit Agency (DCAA) audit office (if known);

(14) Date proposal was prepared;

(15) DUNS number;

(16) TIN number; and

(17) Cage Code;

(18) Subcontractor Information; and

(19) Proposal validity period.

The cost volume has no page limit and should include the following information:

A WBS identical to the WBS provided in Volume I.

A consolidated SOW that is identical to the SOW definition in Volume 1, Section III.B.i and III.B.ii, but without supporting technical and cost information. This consolidated SOW should not include proprietary information.

A detailed cost breakdown to include: (1) total program cost broken down by major cost items (direct labor, including labor categories and direct labor rates; subcontracts; materials; other direct costs, overhead charges and rates, etc.) and further broken down by task and phase; (2) major program tasks by fiscal year; (3) an itemization of major subcontracts and equipment purchases; (4) an itemization of any information technology (IT) purchase1; (5) a summary of projected funding requirements by month; and (6) the source, nature, and amount of any industry cost-sharing; 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). Subcontractor proposals should include Interdivisional Work Transfer Agreements (ITWA) or similar arrangements. 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. NOTE: for IT and equipment purchases, include a letter stating why the proposer cannot provide the requested resources from its own funding.

The Defense Appropriations Act caps indirect cost rates for any procurement contract or cooperative agreement using 6.1 Basic Research Funding at 35% of the total cost of the award.

Total costs include all bottom line costs. For agreement awardees subject to cost principles in 2 CFR part 220 (Educational Institutions), indirect costs are all costs of a prime award that are Facilities and Administration costs. For agreement awardees subject to the cost principles in 2 CFR part 225 (State, Local, and Indian Tribal Governments), 2 CFR part 230 (Non-profit Organizations) or 48 CFR part 23 (Federal Acquisition Regulation), indirect costs refer to any cost not directly identified with a single final cost objective, but identified with two or more final cost objectives or with at least one intermediate cost objective. The cost limitations do not flow down to subcontractors.

Supporting cost and pricing information beyond that provided in Volume I to substantiate the summary cost estimates 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 or pricing data. “Cost or pricing data” are not required if the proposer proposes an award instrument other than a procurement contract (e.g., a cooperative agreement, or other transaction.) All proprietary

• 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, or 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.”

subcontractor proposal documentation, prepared at the same level of detail as that required of the prime shall be provided to the Government either by the prime contractor or by the subcontractor organization when the proposal is submitted. Subcontractor proposals submitted to the Government by the prime contractor should be submitted in a sealed envelope that the prime contractor will not be allowed to view.