DARPA-BAA-12-41.pdf

Broad Agency Announcement

Video Synthetic Aperture Radar (ViSAR)

STRATEGIC TECHNOLOGY OFFICE

DARPA-BAA-12-41

5/1/2012

DARPA-BAA-12-41 ViSAR

TABLE OF CONTENTS

Part One: Overview Information

Part Two: Full Text of Announcement

1. FUNDING OPPORTUNITY DESCRIPTION

1.1. PROGRAM OVERVIEW

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

4.7 FUNDING RESTRICTIONS Not Applicable

4.8 OTHER SUBMISSION REQUIREMENTS Not Applicable

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 Proposer’s Capabilities and/or Related Experience

5.1.4 Cost and Schedule Realism

5.2 REVIEW AND SELECTION PROCESS

6. AWARD ADMINISTRATION INFORMATION

6.1 SELECTION NOTICES

6.2 ADMINISTRATIVE AND NATIONAL POLICY REQUIREMENTS

6.2.1 MEETING AND TRAVEL REQUIREMENTS

6.2.2 HUMAN USE

6.2.3 ANIMAL USE

6.2.4 PUBLICATION APPROVAL

6.2.5 EXPORT CONTROL

6.2.6 SUBCONTRACTING

6.2.7 ELECTRONIC AND INFORMATION TECHNOLOGY

6.2.8 EMPLOYMENT ELIGIBILITY VERIFICATION

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

6.2.10 Reporting Executive Compensation and First-Tier Subcontract Awards

6.2.11 Updates of Information Regarding Responsibility Matters

6.2.12 Representation by Corporations Regarding Unpaid Delinquent Tax Liability or a Felony Conviction Under Any Federal Law

6.2.13 Cost Accounting Standards Notice and Certification (Deviation 2012-00003 (JAN 2012)

6.3 REPORTING

6.4 ELECTRONIC SYSTEMS

6.4.1 Representations and Certifications

6.4.2 Wide Area Work Flow (WAWF)

6.4.3 i-EDISON

6.5 AGENCY CONTACTS

7. OTHER INFORMATION

7.1 INTELLECTUAL PROPERTY

7.1.1 Procurement Contract Proposers

7.1.2 Non-Procurement Contract Proposers

8. APPENDIX 1: PROPOSAL SLIDE SUMMARY

9. APPENDIX 2: FOUO ADDENDUM AND SECURITY GUIDE REQUEST FORM

10. APPENDIX 3: Volume 1 COVER SHEET TEMPLATE

11. APPENDIX 4: Volume 2 COVER SHEET, CHECKLIST AND SAMPLE

TEMPLATES

Part One: Overview Information

1. Federal Agency Name – Defense Advanced Research Projects Agency (DARPA), Strategic

Technology Office

2. Funding Opportunity Title – Video Synthetic Aperture Radar Electronics and Advanced

Algorithms (ViSAR)

3. Announcement Type – Initial Announcement

4. Funding Opportunity Number – Broad Agency Announcement (BAA) DARPA-BAA-12-

5. Catalog of Federal Domestic Assistance Numbers (CFDA) - Not applicable

6. Dates

Posting Date: 5/1/2012 Proposer’s Day Date: 04/30/2012 Proposal Abstract Due Date: 05/10/2012 Proposal Due Date: 06/18/2012 BAA Closing Date: 10/24/2012

7. Concise description of the funding opportunity - DARPA is soliciting innovative research proposals in the area of compact flyable Extremely High Frequency (EFH) electronics, scene simulation software, and advanced algorithms for an EHF-band V Synthetic Aperture Radar.

8. Total amount of money to be awarded – N/A

9. Anticipated individual awards - Multiple awards are anticipated.

10. Types of instruments that may be awarded –Procurement Contract

11. Agency contact o Points of Contact

DARPA/STO

ATTN: DARPA-BAA-12-41

675 North Randolph Street Arlington, VA 22203-2114

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 proposals in the area of compact flyable Extremely High Frequency (EHF) electronics (including exciters, receivers and power amplifiers), SAR scene simulation software, and advanced algorithms for an EHF-band Video Synthetic Aperture Radar (SAR) to provide high resolution imagery at high frame rates while minimizing Size Weight and Power (SWAP). Proposed research should investigate innovative approaches that enable revolutionary advances in science, algorithms, components or systems. Specifically excluded is research that primarily results in evolutionary improvements to the existing state of practice.

1.1. PROGRAM OVERVIEW

The overall goal of this program is to develop Video Synthetic Aperture Radar (ViSAR) capable of engaging maneuvering targets through clouds, dust, and other obscurants. The objective is for the ViSAR system to provide the same targeting capabilities through clouds as current infrared targeting systems are able to provide in clear weather. This BAA is seeking proposals which will provide technology to support a system demonstration program which will be solicited in FY13.

To support engaging maneuvering targets, the ViSAR system must provide SAR resolution on the order of 0.2 m at frame rates of greater than 5 Hz over a field of regard (FOR) of 100m diameter. The ViSAR system must also be able to detect and track moving dismounts and vehicles and reposition their returns in the appropriate location in the image.

The selection of frequency is a tradeoff between frame rate and atmospheric losses. For SAR with a given resolution, the frame rate is proportional to the frequency, thus moving to a higher frequency provides a higher frame rate. Moving to a higher frequency also reduces the size of the antennas, which is beneficial. The disadvantage of increasing the frequency is that atmospheric effects become progressively more significant above 10 GHz. Trade studies indicate the ViSAR system must operate at a SAR frequency of at least 170 GHz to provide the same performance through clouds as existing IR systems provide through clear weather. The first radiolocation band above 170 GHz is 231.5-235 GHz, thus this is the band that the ViSAR must operate within.

The ViSAR system will be installed inside a gimbaled mount for use on a variety of platforms and thus there is a premium of keeping the electronics package small. The ViSAR system will include multiple antennas to provide the ability to detect movers and accurately reposition them in the imagery at the correct location. A point design uses one transmit antenna, three horizontal receive antennas and a fourth receive antenna which would be placed above (or below) the three horizontal antennas. The fourth receive antenna will provide the ability to measure elevation angle of arrival via interferometric processing. The size of the ViSAR antennas depends upon the applications with longer antennas required for applications that operate at longer ranges.

To support the development of ViSAR, DARPA seeks innovative proposals for the following four technical areas. Proposals should address technical areas individually. Multiple approaches addressing a single technical area may be contained in a single proposal, recognizing the page limitations.

1.1 Technical Area 1 (TA1) - Compact flyable EHF-band exciters and receivers

This effort will develop compact flyable exciters and receivers which operate in the 231.5-235 GHz band and with a SWAP consistent with installing the ViSAR on an Electro-Optical/Infrared (EO/IR) gimbal. The receiver must have a Noise Figure (NF) as delineated in the FOUO addendum and the exciter must have phase noise low enough so that moving objects can be accurately localized within the field of regard. The exciter must also provide an output signal suitable to drive the power amplifier defined in Technical Area 2. (power level defined in FOUO addendum). The local oscillators (LO) of the exciters and receivers must be phase referenced to an external lower frequency RF signal. The LOs and Intermediate Frequency (IF) signals should therefore permit operation anywhere over a broad band so that system designers can select the specific frequencies and use external filtering to reduce spurs. As an example, the LO could use an internal oscillator phase locked to an external Ku band signal using static dividers in a feedback loop. The design must ensure that harmonics of the LO do not contaminate the IF signals. These components must be designed to interface with readily available X-band systems which would provide all of the back end RF and digital processing. These components must include power conditioning and thermal management approaches appropriate for operating on aircraft electrical power systems and with installation in an EO/IR gimbal.

TA1 will have two phases. The first phase will be the demonstration of a receiver and an exciter meeting the performance requirements defined in the FOUO Addendum. With the demonstration of a design that meets the performance requirements, a second separately priced optional phase will be required to produce the required totals of 6 exciters and 20 receivers.

These phases are expected to total 18 months.

For TA1, DARPA intends to make a single award. Proposers should demonstrate that their approach meets the requirements by leveraging compelling design concepts or innovative technology. Proposers must identify key technologies that are critical to the success of their design concept and should propose a plan on how to retire technical risks through design, and as appropriate, fabrication and testing of prototypes. It is not anticipated that this effort will require development of new transistor or semiconductor processes to meet the stated requirements.

Innovation will be required to provide for the high level of integration required for these electronics to satisfy the requirements for highly stable up conversion and down conversion from G-Band to X-Band.

1.2 Technical Area 2 (TA2 )- Compact flyable EHF-band medium-power amplifier

This effort will develop an EHF-band medium power amplifier for the near-term systems integration and initial flight testing of ViSAR. This amplifier will provide a continuous wave (CW) power as described in the FOUO addendum over 231.5-235 GHz in a form factor suitable for integrating into a flyable antenna subsystem. The medium power amplifier will be used in system integration testing and initial fight tests and may also serve as a driver for a higher power amplifier which would require achieving appropriate levels of performance in most weather conditions. This amplifier must be developed to interoperate with the exciter developed in TA1 and must be highly integrated to ensure it will fit within the design constraints established in the system design effort. The amplifier phase noise must be low enough so that moving objects can be accurately localized within the field of regard.

The amplifier design must include power conditioning and thermal management approaches appropriate for operating on aircraft electrical power systems and with installation in an EO/IR gimbal.

There are several competing technologies being investigated in the electronics community which could be applicable to this task. It is not anticipated that this effort will require development of new transistor or semiconductor processes to meet the stated requirements. Innovation will be required to provide for the high level of integration required for these electronics to satisfy the requirements for highly stable amplification of signals from exciters developed in TA1.

TA2 will have two phases. The first phase will be the demonstration of a fully functional medium power amplifier meeting the performance requirements defined in the FOUO Addendum. It is anticipated that this phase will not exceed 15 months. For Phase 1, DARPA intends to make multiple awards to developers that offer compelling design concepts enabled through innovative technology. Proposers must identify key technologies that are critical to the success of their approach and should propose a plan on how to retire technical risks through design, and as appropriate, fabrication and testing of prototypes. With the demonstration of a design that meets the performance requirements, a second separately priced optional phase lasting 3 months will be required to produce the required totals of 6 medium power amplifiers.

DARPA intends to select one design for this second phase.

DARPA intends to continue at least one developer into Phase 2.

1.3 Technical Area 3 (TA3)- EHF-band scene simulation

This effort will develop a synthetic scene model which can generate synthetic raw data sets that simulate realistic EHF-band radar data sets. These raw data sets will be used by the system developer to test image formation, autofocus, detection, and geolocation algorithms. The scene simulation will include the appropriate phenomenology of radar backscatter in the EHF band as well as realistic atmospheric attenuation, backscatter and aircraft dynamics. The scene simulator must also be able to model the signatures of moving targets, both vehicles and dismounts at the appropriate level of fidelity to support algorithm developers.

The scene simulation capability should be comprised of three elements. The first element will develop representations of the interaction of the EHF radiation with the defined scenarios The second element will represent the operation of a SAR system with multiple receive apertures which can collect multiple frames of data to correct for in-scene target motion. The third element will be a representation of a processor with image formation algorithms. The three elements in combination will result in simulated SAR imagery. The rational for this three element structure is that it will permit system designers to change the SAR architecture, processing, and algorithms independently and evaluate the impact of the changes. It is expected that the intermediate product between the SAR representation and the processor representation would be synthetic phase history data. The synthetic phase history data from this effort will be used to develop and assess image formation and autofocus algorithms as well as moving target detection and classification algorithms. Because of the need to change the model SAR and processors, the computer code used must be sufficiently modular to permit modification in a well-structured manner.

Because this program seeks to develop a replacement for IR targeting systems, it is important that the scene simulation capability also provide simulated IR imagery of the same scenarios as the EHF simulation in time synchrony for comparison by operators. This effort will culminate with the delivery of a scene simulator software package that can create realistic EHF-band SAR radar data sets for stationary backgrounds, moving vehicles, and moving dismounts.

DARPA intends to make a single award for TA3. TA3 will have a single phase. It is anticipated that this effort will take 15 months. Proposers should demonstrate that their approach meets the requirements by leveraging innovative approaches for scene simulation for EHF-band radars.

Proposals should demonstrate they can model aspects of the scene and/or targets that are unique to the EHF operation.

Since the outputs from this synthetic scene simulation will be used by system developers, those granted a contract for this technical area will not be considered for competition for the system development and demonstration.

1.4 Technical Area 4 (TA4) - Advanced Algorithms for EHF-band operation

The combination of high frame rate and fine resolution provided by EHF SAR creates new opportunities for efficient processing and target classification. This effort will develop and characterize new algorithms that may be enabled by the development of EHF-band SAR which have the potential to provide new sensor capabilities or enable more efficient processing.

TA4 will have a single phase. It is anticipated that this effort will take 9 months.

This effort will culminate in an assessment of the new capabilities provided by the new algorithm, as well as a preliminary assessment of processing requirements to implement this algorithm in real-time. A final report will be required that spells out the concept of the algorithm and the basis for its implementation. The outcomes of this Technical Area will be made available to those proposing against the ViSAR system development effort in FY13. DARPA anticipates unlimited or government purpose rights to all work performed in this Technical Area to enable us to conduct the ViSAR system development effort.

DARPA intends to make multiple individual awards. Proposers should demonstrate that their approach provides a significant improvement in processing efficiency or provides a new sensor capability. Proposers must identify how their approach exploits the high frame rates and fine resolution provided by EHF-band SAR.

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 metrics in the FOUO addendum that may serve as the basis for determining whether satisfactory progress is being made to warrant continued funding of the program. Although the 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.

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. 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 expects that program goals for this BAA cannot be met by proposers intending to perform 'fundamental research,' i.e., basic and applied research in science and engineering, the results of which ordinarily are published and shared broadly within the scientific community, as distinguished from proprietary research and from industrial development, design, production, and product utilization the results of which ordinarily are restricted for proprietary or national security reasons. Therefore, DARPA anticipates restrictions on the resultant research. Notwithstanding this statement of expectation, DARPA recognizes that proposed research solutions could be of either a fundamental or restricted nature.

Proposers should indicate in their proposal whether they believe the nature of the research included in their proposal is fundamental or restricted, with the understanding that in all cases, the DARPA contracting officer shall have sole discretion to select award instrument type and to negotiate all instrument provisions with selectees. See Section 6.2.4 for further information on fundamental, non-fundamental and restricted research.

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 H. Bruce Wallace. 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.)

Without prior approval or a waiver from the DARPA Director, in accordance with FAR 9.503, a Contractor cannot simultaneously provide scientific, engineering, technical assistance (SETA) or similar support and also be a technical performer. Therefore, all Proposers as well as proposed subcontractors and consultants must affirm whether they (their organizations and individual team members) are providing 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, subcontractor, consultant, or individual supports and identify the prime contract number(s).

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 must 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, a proposal fails to fully disclose potential conflicts of interest and/or any identified conflict situation cannot be effectively mitigated, the proposal 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) or has questions on what constitutes a conflict of interest, the Proposer should promptly raise the issue with DARPA by sending his/her contact information and a summary of the potential conflict to the BAA mailbox before time and effort are expended in preparing a proposal and mitigation plan.

3.2 COST SHARING/MATCHING

Cost sharing is not required for this particular program.

3.3 OTHER ELIGIBILITY REQUIREMENTS

3.3.1 Collaborative Efforts

Collaborative efforts/teaming are encouraged.

4. APPLICATION AND SUBMISSION INFORMATION

4.1 ADDRESS TO REQUEST APPLICATION PACKAGE

This solicitation contains all information required to submit a proposal. Except for the FOUO addendum, no additional forms, kits, or other materials are needed. This notice, with the FOUO addendum, 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

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

The Government anticipates proposals submitted by this BAA may be classified or otherwise involve access to or generation of classified information. However, if a proposal is submitted as “Classified National Security Information” as defined by Executive Order 13526, then the information must be marked and protected as through classified at the appropriate classification level and then submitted to DARPA for final classification determination.

Security classification guidance via a DD Form 254, “DoD Contract Security Classification Specification,” will be provided upon request by filling out the Addendum Request Form (found in APPENDIX 2). 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.

A formal request for the Security Classification Guide, FOUO addendum, and a DD254 may be submitted by filling out the FOUO Addendum Request Form (found in APPENDIX 2 to this BAA) and emailing the Request Form to DARPA-BAA-12-41@darpa.mil with subject line titled “Request DARPA-BAA-12-41 FOUO Addendum, Security Classification Guide, and DD254.”

Proposers are encouraged to submit this request no later than 10 May 2012 to allow for adequate time for delivery of the material. The DARPA-BAA-12-41 FOUO Addendum Request Form is the only method of request that will be accepted. All requestors will receive a confirmation email with a delivery tracking number. Prior to receipt of any classified information, proof of facility clearance level (FCL) must be validated by the Program Security POC before any classified documentation on the BAA is sent to the performer.

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 DoD Information Security Manual (DoD M 5200.01, Volumes 1 - 4), 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 submitted via ONE of the two following methods:

1. Hand-carried by an appropriately cleared and authorized courier to the DARPA CDR. Prior to traveling, the courier shall contact the DARPA CDR at 703-526-4052 to coordinate arrival and delivery.

OR

2. 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: Strategic Technology Office Reference: BAA-12-41

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 703-526-4052 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- 526-4052 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.

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 abstracts with a statement as to whether DARPA is interested in the idea. DARPA will attempt to reply to abstracts via letter within thirty (30) calendar days of receipt. Should a proposer be discouraged from submitting a full proposal, the letter must contain feedback for the proposer regarding the rationale for the decision not to recommend a full proposal be submitted. Abstracts will be reviewed in the order they are received. Early submissions of 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 an 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 an abstract.

Proposers are required to submit 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 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 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/or 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.

For Proposers Submitting proposal abstracts and full proposal through STO’s BAA Submission Portal:

Proposal abstracts and full proposals sent in response to DARPA-BAA-12-41 may be submitted via STO’s BAA Website (https://stobaa.sainc.com). Visit the website to register for an account (via the “Register your Organization” link along the left side of the homepage), view submission instructions, and upload/finalize proposal abstracts and full proposals. All submissions must be compressed and encrypted as described below.

All proposal abstracts and proposals submitted electronically by means of an Electronic Business Application Tool or proposal submission website must be encrypted using WinZip or PKZip with 256-bit AES encryption. Please submit full proposals as two separate documents, Volume I (Technical and Management Proposal) and Volume II (Cost Proposal), uploaded as one single encrypted .zip file. Proposal abstracts and full proposals not zipped/encrypted will be rejected by DARPA. An encryption password form must be completed and e-mailed to DARPA-BAA-12- 41@darpa.mil at the time of submission. See https://stobaa.sainc.com for the encryption password form (via the “Password Form” link along the left side of the homepage).

Note the word “PASSWORD” must appear in the subject line of the above e-mail and there are minimum security requirements for establishing the encryption password. Failure to provide the encryption password may result in the abstract/proposal not being evaluated. For further information and instructions on how to zip and encrypt abstract/proposal files, see https://stobaa.sainc.com.

Proposers using the STO BAA Website may encounter heavy traffic on the submission deadline date; it is highly advised that submission process be started as early as possible.

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

BAA Administrator E-mail: DARPA-BAA-12-41@darpa.mil

DARPA/STO

http://www.darpa.mil/sto/solicitations/solicit.htm

DARPA intends to use electronic mail for correspondence regarding DARPA-BAA-12-41.

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 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.

Abstracts may be structured as you wish. Here is one example of an abstract structure.

You may wish to only accept the technical portions and eliminate the teaming/org chart, funding information, and discussion of other research off.

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 {4} 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 {1} 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). A sample list for complying with this request is represented in Section 4.4.2 below

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.

Proposals are not required to consume all available pages.

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 {No more than 13 pages} This section provides an overview of the proposed work as well as an introduction to the associated technical and management issues. Further elaboration will be provided in Section III.

A. {4} 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. {2} Deliverables associated with the proposed research and the plans and capability to accomplish technology transition. 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. {2} General discussion of other research in this area.

F. {1} 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 three 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 {No more than 37 pages} This section provides the detailed discussion of the proposed work necessary to enable an in-depth review of the specific technical and managerial issues. Specific attention must be given to addressing both risk and payoff of the proposed work that make it desirable to

DARPA.

A. {3} 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. {3} 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. {10} Detailed technical approach enhancing and completing that of Section II.

E. {4} Comparison with other ongoing research indicating advantages and disadvantages of the proposed effort.

F. {4} Discussion of proposer’s previous accomplishments…