DARPA BAA 11-14 All Source Positioning and Navigation

Broad Agency Announcement

ALL SOURCE POSITIONING AND NAVIGATION

(ASPN)

STRATEGIC TECHNOLOGY OFFICE

DARPA-BAA-11-14

November 2010

DARPA-BAA-11-14, ALL SOURCE POSITIONING AND NAVIGATION (ASPN)

TABLE OF CONTENTS

Part One: Overview Information

Part Two: Full Text of Announcement

1. FUNDING OPPORTUNITY DESCRIPTION

1.1. PROGRAM OVERVIEW

1.1.1. Phase 1

1.1.2. Phase 2

1.1.3. Phase 3

1.2 PROGRAM METRICS

2. AWARD INFORMATION

3. ELIGIBILITY INFORMATION

3.1 ELIGIBLE APPLICANTS

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

3.2 COST SHARING/MATCHING

3.3 OTHER ELIGIBILITY REQUIREMENTS

3.3.1 Collaborative Efforts

4. APPLICATION AND SUBMISSION INFORMATION

4.1 ADDRESS TO REQUEST APPLICATION PACKAGE

4.2 SECURITY AND PROPRIETARY ISSUES

4.3 CONTENT AND FORM OF APPLICATION SUBMISSION

4.3.1 Abstract and Proposal Information

4.3.2 Restrictive Markings on Proposals

4.4 FORMATTING CHARACTERISTICS

4.4.1 Proposal Abstract Format

4.4.2 Proposal Format

4.5 SUBMISSION DATES AND TIMES

4.5.1 Abstract and Proposal Submission Deadline

4.6 INTERGOVERNMENTAL REVIEW

4.7 FUNDING RESTRICTIONS

4.8 OTHER SUBMISSION REQUIREMENTS

5. APPLICATION REVIEW INFORMATION

5.1 EVALUATION CRITERIA

5.1.1 Overall Scientific and Technical Merit

5.1.2 Potential Contribution and Relevance to the DARPA Mission

5.1.3 Plans and Capability to Accomplish Technolgy Transition

5.1.4 Proposer’s Capabilities and Realated Experience……………………………… 24

5.1.5 Cost and Schedule Realism

5.2 REVIEW AND RECOMMENDATION PROCESS

6. AWARD ADMINISTRATION INFORMATION

6.1 AWARD NOTICES

6.2 MEETING AND TRAVEL REQUIREMENTS

6.3 HUMAN USE

6.4 ANIMAL USE

6.5 PUBLIC RELEASE OR DISSEMINATION OF INFORMATION

6.6 EXPORT CONTROL

6.7 SUBCONTRACTING

6.8 ELECTRONIC AND INFORMATION TECHNOLOGY

6.9 EMPLOYMENT ELIGIBILITY VERIFICATION

6.10 Central Contractor Registration (CCR) and Universal Identifier Requirements ... 31

6.11 Reporting Executive Compensation and First-Tier Subcontract Awards

6.12 REPORTING

6.12.1 Representations and Certifications

6.12.2 Wide Area Work Flow (WAWF)

6.12.3 T-FIMS (If applicable)

6.12.4 i-EDISON

6.13 Agency Contacts

7. OTHER INFORMATION

7.1 INTELLECTUAL PROPERTY

7.1.1 Procurement Contract Proposers

7.1.2 NonProcurement Contract Proposers

8. APPENDIX 1: PROPOSAL SLIDE SUMMARY

9. APPENDIX 2: POTENTIAL SOURCES AND MEASUREMENTS FOR ASPN

10. APPENDIX 3: Volume 1 cover sheet template

11. APPENDIX 2: Volume 2 cover sheet, CHECKLIST AND SAMPLE templates

Part One: Overview Information

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

• Funding Opportunity Title – All Source Positioning and Navigation (ASPN)

• Announcement Type – This is an initial Broad Agency Announcement

• Funding Opportunity Number – Broad Agency Announcement (BAA) 11-14

• Catalog of Federal Domestic Assistance Numbers (CFDA) – Not applicable.

• Dates o Posting Date: 11/4/2010 o Proposal Abstract Due Date: 4:00 p.m. ET, 11/19/2010 o Proposal Due Date: 4:00 p.m. ET, 1/21/2011 o BAA Closing Date: 5/1/2011 o Web-Based Industry Day: 11/12/2010

• Anticipated individual awards – Multiple awards are anticipated.

• Types of instruments that may be awarded -- Procurement contract and/or other transaction.

• Agency contact o Points of Contact The BAA Coordinator for this effort may be reached by electronic mail: DARPA-BAA-11-14@darpa.mil

DARPA/STO

ATTN: DARPA-BAA 11-14

3701 North Fairfax Drive Arlington, VA 22203-1714

Part Two: Full Text of Announcement

1. FUNDING OPPORTUNITY DESCRIPTION

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

BAA.

DARPA is soliciting innovative research and development (R&D) proposals in the area of rapid (near real time) reconfiguration of navigation systems as well as rapid system integration for new navigation sensors. Proposed research should investigate innovative approaches that enable revolutionary advances in science, devices, or systems related to navigation filtering or fusion algorithms, communication and processing architectures, and abstraction of the interfaces between navigation filters and measurement sensors. Specifically excluded is research that primarily results in evolutionary improvements to the existing state of practice.

1.1. PROGRAM OVERVIEW

The All Source Positioning and Navigation (ASPN) program seeks to enable low cost, robust, and seamless navigation solutions for military users on any operational platform and in any environment, with or without GPS. In particular, ASPN will develop the architectures, abstraction method, and navigation filtering algorithms needed for rapid integration and reconfiguration of any combination of sensors. This will enable rapid adaptation to evolving missions as well as reduce the system integration costs and time-to-market for navigation solutions in general.

Most current navigation systems rely on a combination of the Global Positioning System (GPS) and an Inertial Measurement Unit (IMU), and often one or more additional purpose-built aiding sensors, to provide accurate positioning and navigation information. However, these systems are optimized for their specific sensors and measurement sources which leads to point solutions that are inflexible to new capabilities and cannot adapt to new threat or mission challenges.

Both the quality and robustness of the navigation solution can be significantly enhanced through the use of information extracted from different combinations of aiding sensors, such as LiDARs, laser rangers, cameras, and magnetometers. Signals of opportunity (SoOPs) from the existing RF background infrastructure and natural phenomena have also proven useful, and new measurement sources are being explored constantly. The ASPN program objectives are to develop new navigation filtering (i.e., fusion) algorithms, abstraction methods, and an overall navigation system architecture, to accommodate any combination of a large and rapidly expanding array of sensors and measurements as they become available or as the mission dictates.

More specifically, this program will develop and demonstrate open navigation software architectures and algorithms that support plug-and-play integration and configuration of sensors as well as IMU devices on a navigation system with and without GPS. The proposed plug-and-play solution should address the time required to adapt existing or new sensors into the ASPN architecture, as well as to add (i.e., plug in) an already adapted sensor on the fly. The goal of rapid configuration and rapid integration is not only the ability to respond quickly to new environments, missions and challenges, but to reduce the cost of bringing new sensors and new capabilities to the warfighter. The resulting navigation software architecture and algorithms should accommodate a variety of underlying hardware components and databases to enable operation across multiple environments and platforms, regardless of the type and quality of sensor devices present. Example sensors (or other inputs to the navigation system), environments, and platforms are provided in Appendix 2.

Although adaptability is the main goal of ASPN, the possibility of ASPN accuracy being substantially better than current state of art should be considered; given (1) accommodation by ASPN of larger and more diverse sensor suites, (2) ease of optimizing ASPN to immediate applications, and (3) specific synergistic benefits of an open architecture.

Program Scope

DARPA seeks innovative proposals in the Topics of Interest listed below, which will ideally lead to system solutions that are: 1) adaptable in selecting the optimal set of measurements based on the statistics associated with available navigation inputs, 2) flexible to accommodate both synchronous and asynchronous data streams based on available measurements associated with the breadth of possible navigation platforms, 3) extensible to accommodate distributed and/or collaborative navigation processing solutions, and 4) adaptable to support low size, weight and power (SWaP) implementations.

Proposals may address Topic 1 or Topic 2 or a combination of both. Appendix 2 provides a list of sensors or other aiding information sources, environments, and platforms, that should be considered in proposals for either topic.

Topic One: Navigation Algorithms. This topic focuses on the derivation and development of new navigation filtering (e.g., fusion) algorithms for positioning and navigation solutions. Most navigation filters today force a choice between completeness and efficiency. The shift to all-source and adaptable navigation systems requires new filtering approaches that can readily accommodate, for example, both Gaussian and non-Gaussian statistics or linear and non-linear measurement models, while still operating in a real time environment. The navigation algorithms should be able to handle a state space that is time-varying in platform motion and measurement availability, adjusting to the underlying statistics associated with all possible navigation measurements. As a result, these algorithms should provide navigation solutions that are accurate and reliable as sensors and measurements come and go during a mission. Of particular interest are approaches based on adaptable state solutions (as opposed to, for example, fixed state Extended Kalman Filter solutions). Recent advances in fields such as algebraic topology, ensemble and non-standard filtering, or simultaneous localization and mapping (SLAM) may inform solution strategies, however other approaches will also be considered.

Topic Two: Navigation Software Architecture. This topic addresses the development of novel processing approaches and/or architectures that support plug-and-play reconfiguration of both sensors and IMU devices on a navigation system. Although multi-sensor navigation systems exist today, extensive customization is generally required to accommodate multiple sensors, so that the resulting systems are inflexible to new requirements and new capabilities. Plug-and-play processing architectures are required to support ASPN goals; these architectures are anticipated to require new abstraction models to accommodate the kinds of measurement sources and databases listed in Appendix 2 (as well as some yet to be developed), and may also require context-specific processing schemes to accommodate different environments and platforms.

Architectures should be able to address challenges related to simultaneous use of, or real time transition between, (1) multiple combinations of sensors and databases, (2) multiple coordinate systems, and (3) relative and absolute measurements in both time and space. An ideal architecture would allow the navigation system to be environmentally aware and adapt accordingly.

Architectures that rely on proprietary sensor protocols (which substantially limits the number of sensors eligible for plug-and-play integration) are discouraged.

Program Structure

This BAA is soliciting proposals for the ASPN program, which consists of three phases.

Compliant submissions require a full technical proposal for one or more of the topics described above and a full cost proposal for Phase 1 and a program plan and rough order-of-magnitude (ROM) cost proposal for Phase 2 and Phase 3. Phase 2 and 3 program plans and ROM cost information are requested for planning purposes only and will not be formally evaluated.

Full proposals for Phases 2 and 3 will be requested at a later date. The government reserves the right to limit Phase 2 competition to Phase 1 performers.

The phase durations are Government estimates; proposers should propose a period of performance commensurate with the work proposed.

1.1.1. Phase 1 (Base)

Phase 1 will be a 12-month effort focused on software design and development. Phase 1 objectives are to develop the algorithms and the processing approaches and software architectures for plug-and-play functionality. The algorithms and architectures must address, at a minimum, 10 of the sensor types provided in Appendix 2. Performance testing will be accomplished in a testbed that uses both measured and simulated data. Although Phase 1 is focused on algorithms and architectures, the proposal should clearly describe the extensibility of Phase 1 architecture and scalability of the Phase 1 algorithms to various processing hardware systems.

1.1.2. Phase 2 (Notional)

Phase 2 will be an 18-month effort addressing system integration and testing with the goal of demonstrating a path to near-real time solutions. Phase 2 objectives are to demonstrate and evaluate adaptable navigation systems, incorporating the new algorithms and architecture developed in Phase 1. For this phase, the software architecture will address hardware abstraction in addition to sensor abstraction. System evaluation will involve testbed and field testing of different combinations of sensors. Phase 2 will also emphasize the means of incorporating new sensors types and show rapid configuration and integration of GOTS components. Resulting solutions should not sacrifice accuracy for plug-and-play functionality; therefore, this phase will also focus on verifying potential system limitations relative to this issue.

1.1.3 Phase 3 (Notional)

Phase 3 will be a 12-month effort focused on Demonstration and Validation. The goal for the final phase is to develop a near-real time production version of the new navigation system architecture. System porting to man-wearable solutions as well as vehicles and aircraft should be addressed. Those solutions from the previous phases that show demonstrated results towards achieving the stated goal of a robust plug-and-play navigation system will be selected for this phase.

1.2 PROGRAM METRICS

In order for the Government to evaluate the effectiveness of a proposed solution in achieving the stated program objectives, proposers should note that the Government hereby promulgates the following program metrics that may serve as the basis for determining whether satisfactory progress is being made to warrant continued funding of the program. Although the following program metrics are specified, proposers should note that the government has identified these goals with the intention of bounding the scope of effort, while affording the maximum flexibility, creativity, and innovation in proposing solutions to the stated problem.

Proposals should cite the quantitative and qualitative success criteria that the proposed effort will achieve by the time of each Phase’s program metric measurement.

Algorithms and architectures will be evaluated relative to government-provided optimized navigation solutions for a given set of sensor and IMU inputs for multiple scenarios. Testing will include demonstrating transition capability from 1) one type of IMU to another (e.g., fiber optic gyroscope to a MEMS gyroscope), 2) one aiding sensor type to another that provides similar information (e.g., stereo camera to a video camera), and 3) the addition of new and/or removal of existing sensors. The government will provide the test bed for algorithm evaluation.

Performers will be given the specifics of the test sensors and IMUs 1 month prior to testing.

Accuracy (3D rms) Evaluated in Phase 1 and 2

Accuracy to within 10% of government-provided optimized navigation solutions for the same sensor and IMU suite

Cost of integration Evaluated in Phase 3

~10x decrease in recurring and non-recurring engineering costs over traditional integration

Flexibility and stability

Evaluated in Phase 1 and 2

Any combination of sensors; <5 seconds downtime due to physical or logical addition/subtraction of sensor

Power/performance tradeoff

Evaluated in Phase 2

Self optimization for desired navigation accuracy with fewest sensors necessary for a given environment and platform

Table 1: Program Metrics

2. AWARD INFORMATION

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

The Government reserves the right to select for negotiation all, some, one, or none of the proposals received in response to this solicitation, and to make awards without discussions with proposers. The Government also reserves the right to conduct discussions if it is later 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.

Awards under this BAA will be made to proposers on the basis of the evaluation criteria listed below (see section labeled “Application Review Information”, Sec. 5.), and program balance to provide overall value to the Government. Proposals identified for negotiation may result in a procurement contract 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.

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.

3. 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 address the following conditions. FFRDCs must clearly demonstrate that the proposed work is not otherwise available from the private sector AND 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, 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.

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. See Section 4.2 “Security and Proprietary Issues” regarding the proposers capabilities to perform research and development at the classification level they propose.

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: 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 Dr. Stefanie Tompkins. 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.)

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. All Proposers, proposed subcontractors, and consultants must therefore 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.

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. Proposals that fail to fully disclose potential conflicts of interests (including those of their subcontractors and consultants) and/or do not include in their proposal plans to mitigate this conflict may be rejected without technical evaluation and withdrawn from further consideration for award.

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 REQUIREMENTS

3.3.1 Collaborative Efforts

Collaborative efforts/teaming are encouraged. A website (http://www.schafertmd.com/aspn/) has been established to facilitate formation of teaming arrangements between interested parties.

Specific content, communications, networking, and team formation are the sole responsibility of the participants. Neither DARPA nor the Department of Defense (DoD) endorses the destination web site 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 this BAA.

4. APPLICATION AND SUBMISSION INFORMATION

4.1 ADDRESS TO REQUEST APPLICATION PACKAGE

This solicitation contains all information required to submit a proposal. No additional forms, kits, or other materials are needed. This notice constitutes the total BAA. No 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 SECURITY AND PROPRIETARY ISSUES

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 13526 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.

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 address to:

Defense Advanced Research Projects Agency

ATTN: STO

Reference: BAA 11-14

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.

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, “DoD Contract Security Classification Specification, “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.

4.3 CONTENT AND FORM OF APPLICATION SUBMISSION

4.3.1 Abstract and Proposal Information

Proposers are strongly encouraged to submit a proposal abstract in advance of a 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 4.5.1 below. 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 regarding DARPA’s interest in the idea. DARPA will attempt to reply to proposal abstracts within thirty (30) calendar days of receipt. 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 during the initial round of selections. DARPA may evaluate proposals received after this date for a period up to 180 days from date of posting on FedBizOpps.

Selection 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 included into a single proposal.

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

Proposal abstracts and proposals that are submitted electronically in response to DARPA-BAA 11-14 must be submitted through DARPA’s T-FIMS BAA Submission System (T-FIMS).

Instructions on how to submit proposal abstracts and proposals via T-FIMS can be found at the following link: https://www.tfims.darpa.mil/baa/baalist.asp. A thorough read of these instructions guarantees successful submission to T-FIMS and explains all the necessary steps to submitting proposals through T-FIMS. Proposers using T-FIMS may encounter heavy traffic on the web server, and T-FIMS requires a registration and certificate installation for all proposers, proposers should not wait until the day the proposal is due to create an account in T-FIMS and submit the proposal.

All items submitted electronically via the T-FIMS BAA Submission System must be encrypted using Winzip or PKZip with 256-bit AES encryption. Only one zipped/encrypted file will be accepted per proposal and proposals not zipped/encrypted will be rejected by DARPA. An encryption password form must be completed and emailed to DARPA-BAA-11-14@darpa.mil at the time of proposal submission. See https://www.tfims.darpa.mil/baa/ for the encryption password form.

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

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

DARPA/STO

ATTN: DARPA-BAA-11-14

3701 North Fairfax Drive Arlington, VA 22203-1714 Email: DARPA-BAA-11-14@darpa.mil Office Website: http://www.darpa.mil/sto/

DARPA intends to use electronic mail for correspondence regarding DARPA-BAA11-14.

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.

4.3.2 Restrictive Markings on Proposals

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

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

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

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

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

Markings like "Company Confidential" or other phrases that may be confused with national security classifications shall be avoided. See Section 6.0, for additional information.

4.4 FORMATTING CHARACTERISTICS

4.4.1 Proposal Abstract Format

Proposal abstracts are encouraged in advance of proposals in order to provide potential proposers with a rapid response to minimize unnecessary effort. Proposal abstracts should follow the same general format as described for Volume I under PROPOSAL FORMAT (see below), but include ONLY Sections I and II. The cover sheet should be clearly marked “PROPOSAL ABSTRACT” and the total length should not exceed {10} number of pages, excluding cover page and official transmittal letter. 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. The page limitation for proposal abstracts includes all figures, tables, and charts. No formal transmittal letter is required.

All proposal abstracts must be written in English.

4.4.1.1. {1} Cover sheet to include:

1. BAA number

2. Technical area (see Sec 1.1)

3. Lead Organization Submitting proposal

4. Type of business, selected among the following categories: "LARGE BUSINESS,"

"SMALL DISADVANTAGED BUSINESS," "OTHER SMALL BUSINESS,"

"HBCU," "MI," "OTHER EDUCATIONAL,” or "OTHER NONPROFIT"

5. Contractor’s reference number (if any)

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

7. Abstract title

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

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

10. Funds requested from DARPA for each phase proposed and the total proposed cost;

and the amount of cost share (if any)

11. Date abstract was prepared.

4.4.1.2 {1} Executive Summary:

Includes a title and an abstract that provides a concise statement of work and basic approaches to be used. This should be on a separate page and in a form suitable for release under the Freedom of Information Act, 5 U.S.C. 552, as amended.

4.4.1.3 {1} Summary of Innovative Claims for the Proposed Research:

Succinctly describe the uniqueness and benefits of the proposed approach relative to the current state-of-art and alternative approaches.

4.4.1.4 {3} Summary of Technical Approach:

The technical rationale, technical approach, and constructive plan for accomplishments of technical goals in support of innovative claims and deliverable production should be summarized.

4.4.1.5 {2} Organization and Teaming Chart:

A clearly defined organization chart for the program team that includes, as applicable:

1. programmatic relationship of team members;

2. unique capabilities of team members;

3. task responsibilities of team members;

4. teaming strategy among the team members;

5. key personnel along with the amount of effort to be expended by each person during each year.

4.4.1.6 {1} Summary of Deliverables and Approach to Intellectual Property:

Deliverables associated with the proposed research and the plans and capability to accomplish technology transition and commercialization. Include in this section all proprietary claims to results, prototypes, intellectual property, or systems supporting and/or necessary for the use of the research, results, and/or prototype. If there are no proprietary claims, this should be stated.

This section should list all technical data, computer software, or computer software documentation to be provided with other than unlimited rights in accordance with DFARS

Clause 252.227-7017 IDENTIFICATION AND ASSERTION OF USE, RELEASE, OR DISCLOSURE RESTRICTIONS (JUNE 1995). Reference section 6.10. A sample list for complying with this request is as follows:

4.4.1.7 {1} Summary of Cost, Schedule, and Milestones:

Summarize, in table form, cost, schedule, and milestones for the proposed research, including estimates of cost for each deliverable and total cost.

4.4.1.8 {1} Discussion of Other Research:

Compare the proposed effort with other ongoing research in this area. Describe the advantages and disadvantages of the proposed effort in comparison with other relevant research.

4.4.2 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. The page limitation for proposals includes all figures, tables, and charts. Volume I, Technical and Management Proposal, may include an attached bibliography of relevant technical papers or research notes (published and unpublished) which document the technical ideas and approach upon which the proposal is based. Copies of not more than three (3) relevant papers can be included with the submission. The bibliography and attached papers are not included in the page counts given below. The submission of other supporting materials along with the proposals is strongly discouraged and will not be considered for review. Maximum page lengths for each section are shown in braces { } below. All proposals must be written in English.

4.4.2.1 Volume I, Technical and Management Proposal

Section I. Administrative {No more than 2 pages} 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”, “OTHER EDUCATIONAL”, OR “OTHER NONPROFIT”

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

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

(7) Proposal title

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

(9) Administrative point of contact to include: salutation, last name, first name, street address, city, state, zip code, telephone, fax (if available), electronic mail (if available), total funds requested from DARPA, and the amount of cost share (if any) and

(10) Date proposal was submitted.

B. Official transmittal letter.

Section II. Summary of Proposal A. {2} Innovative claims for the proposed research. This section is the centerpiece of the proposal and should succinctly describe the uniqueness and benefits of the proposed approach relative to the current state-of-art alternate approaches.

B. {1} Deliverables associated with the proposed research and the plans and capability to accomplish technology transition and commercialization. Include in this section 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.

C. {1} Cost, schedule and measurable milestones for the proposed research, including estimates of cost for each task in each year of the effort delineated by the prime and major subcontractors, total cost and company cost share, if applicable. Note: Measurable milestones should capture key development points in tasks and should be clearly articulated and defined in time relative to start of effort. These milestones should enable and support a decision for the next part of the effort. Additional interim non-critical management milestones are also highly encouraged at a regular interval.

D. {3} Technical rationale, technical approach, and constructive plan for accomplishment of technical goals in support of innovative claims and deliverable production. (In the proposal, this section should be supplemented by a more detailed plan in Section III.)

E. {1} General discussion of other research in this area.

F. {2} A clearly defined organization chart for the program team which includes, as applicable:

(1) the programmatic relationship of team member; (2) the unique capabilities of team members; (3) the task of responsibilities of team members; (4) the teaming strategy among the team members; and (5) the key personnel along with the amount of effort to be expended by each person during each year.

G. A four slide summary of the proposal in PowerPoint that quickly and succinctly indicates the concept overview, key innovations, expected impact, and other unique aspects of the proposal. The format for the summary slides is included as APPENDIX 1 to this BAA and does not count against the page limit.

Section III. Detailed Proposal Information A. {4} Statement of Work (SOW) - In plain English, clearly define the technical tasks/subtasks to be performed, their durations, and dependencies among them. The page length for the SOW will be dependent on the amount of the effort. For each task/subtask, provide:

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

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

• Identification of the primary organization responsible for task execution

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

• The completion criteria for each task/activity - a product, event or 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.

Reporting Deliverables

Item Date/Frequency

(LIST) (LIST)

Tech Deliverables

Item Deliverable Date Deliverable Location

(LIST) (LIST) (LIST)

IP Claims (LIST)

Data Restrictions (LIST)

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

B. {4} Description of the results, products, transferable technology, and expected technology transfer path enhancing that of Section II. B. . This should also address mitigation of life-cycle and sustainment risks associated with transitioning intellectual property for U.S. military applications, if applicable. See also Section 7.1 “Intellectual Property.”

C. {4} Detailed technical rationale enhancing that of Section II.

D. {14} Detailed technical approach enhancing and completing that of Section II.

E. {2} Comparison with other ongoing research indicating advantages and disadvantages of the proposed effort.

F. {2} Discussion of proposer’s previous accomplishments and work in closely related research areas.

G. {1} Description of the facilities that would be used for the proposed effort. This section should address how safeguarding of materials will be handled at each facility to include classified materials when applicable.

H. {3} Detail support enhancing that of Section II, including formal teaming agreements which are required to execute this program.

I. {5} Cost schedules and measurable milestones for the proposed research, including estimates of cost for each task in each year of the effort delineated by the primes and major subcontractors, total cost, and any company cost share. Note: Measurable milestones should capture key development points in tasks and should be clearly articulated and defined in time relative to start of effort. These milestones should enable and support a decision for the next part of the effort. Additional interim non-critical management 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. Additionally, proposals should clearly explain the technical approach (es) that will be employed to meet or exceed each program metric and provide ample justification as to why the approach (es) is/are feasible.

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.

4.4.2.2 Volume II, Cost Proposal – {No Page Limit}

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”, “OTHER EDUCATIONAL”, OR “OTHER NONPROFIT”;

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

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

(7) Proposal title;

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

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

(10) Award instrument requested: cost-plus-fixed-free (CPFF), cost-contract—no fee, cost sharing contract – no fee, or other type of procurement contract (specify), or other transaction;

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

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

(13) Name, address, and telephone number of the proposer’s cognizant Defense Contract Management Agency (DCMA) administration office (if known);

(14) Name, address, and telephone number of the proposer’s cognizant Defense Contract Audit Agency (DCAA) audit office (if known);

(15) Date proposal was prepared;

(16) DUNS number;

(17) TIN number; and

(18) Cage Code;

(19) Subcontractor Information; and

(20) Proposal validity period

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

Detailed cost breakdown to include:

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

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

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

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

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

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

(2) major program tasks by fiscal year

(3) an itemization of major subcontracts and equipment purchases, to include: a cost proposal as detailed as the Proposer’s cost proposal; the subcontractor’s cost proposal can be provided in a sealed envelope with the Proposer’s cost proposal. Materials should be specifically itemized with costs or estimated costs. An explanation of any estimating factors, including their derivation and application, shall be provided. Please include a brief description of the Proposers’ procurement method to be used;

(4) An itemization of any information technology…