DARPA-BAA-13-17.pdf

Broad Agency Announcement

Upward Falling Payloads (UFP)

STRATEGIC TECHNOLOGY OFFICE

DARPA-BAA-13-17

January 11, 2013

DARPA-BAA-13-17, Upward Falling Payloads (UFP)

TABLE OF CONTENTS

Part One: Overview Information

Part Two: Full Text of Announcement

1. FUNDING OPPORTUNITY DESCRIPTION

1.1.1 Program Phases

1.1.2 Phase 1

1.1.3 Phase 2

1.4.1 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 (If applicable)

4.4.2 Proposal Format

4.5 SUBMISSION DATES AND TIMES

4.5.1 Abstract and Proposal Submission Deadline

4.6 INTERGOVERNMENTAL REVIEW

Not Applicable

4.7 FUNDING RESTRICTIONS

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 Capabilites and/or Related Experience

5.1.4 Cost 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 Employement Elegibilty Verification

6.2.9 System for Award Management Registration and Universal Identifier Requirements

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

6.2.14 Controlled Unclassified Information on Non-DoD Information Systems

6.2.15 Providing Accelerated Payment to Small Business Subcontractors

(DEVIATION)

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

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: FOUO ADDENDUM AND SECURITY GUIDE REQUEST FORM AND

DD 254

10. APPENDIX 3: Volume 1 cover sheet template

11. APPENDIX 4: Volume 2 cover sheet, CHECKLIST AND SAMPLE templateS

12. APPENDIX 5: CONCEPTUAL DESIGN REVIEW

Part One: Overview Information

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

• Funding Opportunity Title – Upward Falling Payloads (UFP)

• Announcement Type – Initial announcement

• Funding Opportunity Number – Broad Agency Announcement (BAA) 13-17

• Catalog of Federal Domestic Assistance Numbers (CFDA) - “Not applicable.”

• Dates o Posting Date: January 11, 2013 o Proposal Abstract Due Date: February 5, 2013 o Proposal Due Date: March 12, 2013 o BAA Closing Date: July 12, 2013 o Proposers Day: January 25, 2013

Link to Proposers Day Announcement:

https://www.fbo.gov/index?s=opportunity&mode=form&id=1e555e8ec3787f793fa4d34810159a c8&tab=core&_cview=0

• Agency contact The BAA Coordinator for this effort may be reached by electronic mail: DARPA- BAA-13-17@darpa.mil.

DARPA/STO

ATTN: DARPA-BAA-13-17

675 North Randolph Street Arlington, VA 22203-2114 https://www.fbo.gov/index?s=opportunity&mode=form&id=1e555e8ec3787f793fa4d34810159ac8&tab=core&_cview=0 https://www.fbo.gov/index?s=opportunity&mode=form&id=1e555e8ec3787f793fa4d34810159ac8&tab=core&_cview=0 mailto:name@darpa.mil mailto:name@darpa.mil

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 distributed unmanned sensors and systems for maritime applications. Proposed research should investigate innovative approaches that enable revolutionary advances in science, devices, or systems. Specifically excluded is research that primarily results in evolutionary improvements to the existing state of practice.

1.1 PROGRAM OVERVIEW

Cost and complexity limit the number of ships and weapon systems the Navy can support in forward operating areas. This concentration of force structure is magnified as areas of contested environments grow. A natural response is to develop lower-cost unmanned and distributed systems that can deliver effects and situation awareness at a distance. However, power and logistics to deliver these systems over vast ocean areas limit their utility. The Upward Falling Payload (UFP) program intends to overcome these barriers.

UFP will realize a new approach to enable forward deployed unmanned distributed systems that can provide non-lethal effects or situation awareness over large maritime areas. However, the intended approach averts solutions to deploy technology from legacy platforms, or grow the complexity and reach of unmanned systems. Rather, the UFP approach centers on pre-deploying deep-ocean nodes years in advance in forward areas which can be commanded from standoff to launch to the surface. Nearly 50% of the world’s oceans are deeper than 4 km which provides a vast area for concealment and storage. As a consequence, the cost to retrieve UFP nodes is asymmetric with the likely cost to produce and distribute them on the seafloor. The concealment of the sea also provides opportunity to surprise maritime targets from below, while its vastness provides opportunity to simultaneously operate across great distances. Getting close to targets without warning, and instantiating distributed systems without delay, are key attributes of UFP capability.

To succeed, the UFP program must be able to demonstrate a system that can: (a) Survive for years under extreme pressure, (b) Reliably be triggered from standoff commands, and (c) Rapidly rise through the water column and deploy a non-lethal payload. Section 1.2, and the limited distribution Metrics Addendum, quantify capability metrics. A multi-phase program is envisioned to design, develop, and demonstrate UFP nodes that overcome these hurdles.

The UFP system is envisioned to consist of three key subsystems: The ‘payload’ which executes waterborne or airborne applications after begin deployed to the surface; the UFP ‘riser’ which provides pressure tolerant encapsulation and launch of the payload; and the UFP http://www.fbo.gov/ communications which triggers the UFP riser to launch. Ideally, these subsystems can be decoupled and separately developed. As such, while the program will need to integrate all three subsystems before completion, the BAA is structured to accept proposals to design and develop single subsystems. Proposals that limit flexibility to integrate subsystems will need clear justification to merit favorable consideration.

For proposals to be considered, eligible proposers (primes) must have evidence of the capability to conduct secret level research at the date of issue for this BAA.

1.1.1 Program Phases

Proposers should bid separable efforts: a base effort referred to as Phase 1, and notional efforts referred to as Phase 2 and Phase 3. Abstract submissions are encouraged prior to submission of full proposals. (More information about Abstracts is found in Section 4.3).

Phase 1 should lead to conceptual designs (see Appendix 5) and feasibility assessments supported through trade studies, analysis, and experimental measurements as needed. The feasibility to achieve UFP communications will be key in deciding to continue with the program.

Phase 2 will serve to develop the major UFP subsystems capable of meeting intermediate metrics based on insights and conceptual designs from Phase 1. This phase should lead to the demonstration of a UFP riser with a payload (referred to as a UFP ‘node’) launched from an intermediate depth using surrogate or simulated communications. Separately, Phase 2 should demonstrate UFP communications capable of achieving intermediate coverage requirements using full depth receivers. Phase 2 subsystems should achieve technology readiness levels (TRL) of 4-5.

Phase 3 will serve to integrate the UFP communications and UFP nodes demonstrated in Phase

2. This integrated system should achieve full depth and communications capability. Performers will need to replicate a sufficient number of UFP nodes to demonstrate a distributed capability scalable to the coverage and endurance requirements of the program. Phase 3 UFP systems should achieve TRL 6.

Detailed cost proposals are required for Phase 1 in accordance with Section 4.4.2.2. Phase 1 should also include technical approaches for the notional Phase 2 and Phase 3 efforts.

“Notional” implies that DARPA does not expect to initiate contractual options for Phase 2 and Phase 3 efforts in conjunction with Phase 1 awards. However, the technical approach for the follow-on effort will provide important context, and will be evaluated to ascertain the merits of the trajectory of the Phase 1 effort. Only a rough order of magnitude (ROM) cost proposal is required for notional Phase 2 and Phase 3 efforts.

1.1.2 Phase 1

For Phase 1, DARPA intends to make multiple awards. The expected period of performance is 9- 12 months with expected awards anticipated to occur before June 30, 2013. Proposals should describe approaches for trade analysis, technology assessment, and measurements that will show feasibility to justify follow-on development, and which will culminate in a conceptual design (see Appendix 5). Proposals are sought in three technical areas where each area maps to each of the three subsystems:

Technical Area 1: UFP Communications. Proposals should identify approach(es) for UFP communications, and plans to develop conceptual designs and performance expectations.

This can be done with modeling, simulation, and measurements (archival or new) that serve to validate assumptions in link budgets. Given that the cost of a false trigger to launch a UFP may be high, proposals and subsequent studies should establish an operating point for true and false trigger probability. Proposals should describe the strategies and risks for achieving this operating point, and how the Phase 1 analysis will permit assessing the feasibility to retire these risks in Phase 2. Error rates will depend on the number of nodes and years of listening. Implicit in the UFP coverage requirement is the need to wake and trigger any node contained in the area. Overt communications that operate within the coverage area, and which are vulnerably exposed are acceptable but less attractive than methods that permit standoff from outside of the coverage area, or which have a low-probability of intercept.

Approaches that are multi-modal, which allow for more than one method for commanding UFP nodes, and which are interoperable with a range of legacy systems are favored.

However, such robustness should be balanced against growth in SWaP and cost. Conceptual designs should include key technology such as transmitters, UPF receivers, and methods for health monitoring.

Technical Area 2: UFP risers. Proposals should describe an approach leading to a conceptual design for payload encapsulation and efficient ascent (speed and slant) through the water column that is reliable after years of dormancy. Conceptual designs should strive to minimize integration needs by providing pressure-tolerant containment of 1-atm payloads.

Payloads are expected to be self-contained units that fit in sizes from: A-size, <17” sphere, or other volumes and shapes. The overall UFP riser is expected to be larger than the payload size*. UFP risers should be designed to balance the flexibly of hosting a range of possible payloads against the UFP riser cost, ease of deployment, and capability to ascend. UFP risers are not required to provide power to the payloads or mechanisms for their further placement after delivery to the surface. Also, UFP risers need only include simple but well defined interfaces for wake up and health reporting. to a communications receiver subsystem (Technology Area 1). As UFP risers are part of a distributed system, the proposal should address strategies to trade cost, size, weight, and power (SWaP) to arrive at the conceptual design. Cost will constrain the number of UFPs affordably distributed to achieve the desired coverage. Size and weight will affect methods of launch to the surface and insertion to the seafloor.

Technical Area 3: UFP Payload. Proposals should identify a UFP payload with compelling military or humanitarian utility in forward maritime environments. Examples include waterborne or airborne cameras, sensors, decoys, network nodes, beacons, jammers, obscurants, or other useful technology possibly hosted by mobile, drifting, station-keeping, or fixed platforms. The proposal should outline planned trade analysis and assessment culminating in a conceptual design with estimated expected performance. Payloads are expected to include, and be encapsulated, in a container of size: A-size, <17” sphere, or other dimension but need not be pressure tolerant*. They are also expected to reliably launch or operate after being released to the water surface after years of dormancy. As UFP payloads are part of a distributed system, the proposal should address trades in cost, size, weight, and power (SWaP), and number of payloads required to affordably achieve the desired coverage.

Proposals should highlight expected performance and cost advantages of the payload application relative to current approaches (or technically feasible future variants).

Applications that highlight the benefits of surprise, rapid distribution, or the ability to gain target proximity will be favored over those that do not since these applications uniquely benefit from the UFP approach. Payload applications and target details may vary widely, and proposals may draw upon classified data from a full range of classified sources. As such, proposals should cite sources of classification guidance used but not covered in the UFP security classification guide.

Proposals may include more than one technical area, but the technical and cost proposal should organized the effort into distinct and separable tasks. Any synergistic cost savings resulting from an award of more than one technical area should be sumarized.

Proposals should describe any requirements for government-furnished data needed to conduct analysis, and the impact if not provided. The cost and ease by which the government can acquire the data will be a factor for evaluating the practicality of the proposed study.

Proposals should include planning to support a kickoff, mid-term, and final “principal investigator” (PI) meeting to share progress and plans with the government and other performers.

Performers will not be required to share proprietary and budgeting information, but DARPA expects the exchange of classified information (secret) during such interactions. For estimation purposes, proposals should assume Phase 1 PI meetings will be held at DARPA.

Final reporting for Phase 1 must include: (1) A conceptual UFP conceptual subsystem(s) design document with supporting analysis and expected performance, (2) Interface and design requirements imposed across subsystems for integration, and (3) plans and requirements for future Phase 2 and Phase 3 development that address findings in Phase 1. The reporting may fall under one or multiple technical areas. Regardless of the scope of reporting, specific assumptions about critical dependencies between the major subsystems should be addressed.

Prior to the end of Phase 1, DARPA intends to issue an open BAA for Technical Area 3. For Technical Area 1 and 2, the intent is to solicit follow-on proposals for Phase 2 and 3 from the Phase 1 Technical Area 1 and 2 performers. However, the Government reserves the right to issue an open solicitation for follow-on effort in these technical areas if deemed in the best interest of the program. Phase 2 and Phase 3 proposals should not be proposed as a Phase 1 deliverable.

*Sizes are defined as follows:

1. “A-size” is a cylinder of inner diameter of 4 7/8” and length 36”.

1.1.3 Phase 2

The notional Phase 2 effort must be completed by Q2FY16. Proposals to this BAA for Technical Area 1 and Area 2 must describe the approach for designing and developing the conceptual designs realized in Phase 1. The proposed approach should include latitude to account for refinements based on findings from the Phase 1 effort.

The culmination of Phase 2 will lead to the demonstration of: (1) a communication subsystem capable of waking up UFP nodes from standoff, and (2) a UFP node launched from the seafloor.

Intermediate Phase 2 requirements are found in the limited distribution Metrics Addendum. For planning purposes, proposals for Technical Area 2 (riser) should presume that DARPA will provide a payload (or equivalent surrogate) to be integrated into the UFP riser which should be demonstrated in Q3FY15 and in Q2FY16. No integration is planned between the UFP node and UFP communications subsystems during Phase 2. (Proposal for communication methods that are depth-independent may propose plans to command shallower-depth UFP nodes in Phase 2).

Phase 2 will involve at-sea testing for development and demonstration. Proposals must include descriptions of expected government-furnished equipment and services (GFE and GFS) needed to conduct any at-sea testing as well as ROM estimates for the government to procure such GFE and GFS. Performers must provide ships and procure or develop as much test equipment as needed where clear cost advantages do not exist for the government to procure such items separately.

While proposals may include a range of developmental testing, for planning purposes the government expects to support two major demonstration sea tests in the Western Pacific for Phase 2. Opportunities for at-sea testing in the Western Pacific are estimated to occur during Q3FY15 and Q2FY16. These tests will include one research vessel shared by multiple performers, and should be assumed as GFS. While Western Pacific testing is a likely venue, demonstrations in the Atlantic, off of Hawaii, or other areas may be adequate for some applications and more cost effective for the government. Performers should indicate and rationalize alternative testing venues for consideration if applicable.

Final reporting for the Phase 2 effort must include: Updated Phase 3 subsystem designs if any, updated Phase 3 plans for development, integration and demonstration, and a summary of Phase 2 testing results and lessons learned.

1.4.1 Phase 3

The notional Phase 3 effort should be completed by Q3FY17 and should serve to integrate all key subsystems. The technical approach should include latitude to account for refinements based on Phase 2 progress.

For Phase 3 effort, UFP nodes will need to operate at full depth, and communications will need to achieve the full coverage requirements. After integrating systems, the program will need to replicate UFP nodes to demonstrate a distributed capability. Proposals must clarify the ease with which integration is feasible without undue burden on the government. Proposals should describe the proposer’s capability to perform technology integration, and should highlight risks associated with dependencies between relevant subsystems.

Phase 3 will involve at-sea testing for development and demonstration. Proposals must include descriptions of government-furnished equipment and services (GFE and GFS) needed to conduct any at-sea testing. Performers must provide ships and procure or develop as much test equipment as needed where clear cost advantages do not exist for the government to procure such items separately.

While proposals may include a range of developmental testing, for estimation purposes the government expects to support at least one major sea test in the Western Pacific for Phase 3 in Q3FY17. While Western Pacific testing is a likely venue, demonstrations in the Atlantic, off of Hawaii, or other areas may be adequate for some applications. Performers should indicate and rationalize alternative testing venues for consideration if applicable.

At the completion of Phase 3, all hardware should be delivered to the government, and all final reports should provide detailed documentation for the government to assess capability and replicate the system technology.

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.

Successful completion of the program will realize the ability to command UFP nodes stored in the deep ocean (> 6km) to deploy and create non-lethal effects, sensing, or other compelling functions of military or humanitarian utility to any point over a large coverage area supportive of regional operations with low latency (hours), and without notice, over an enduring system lifetime (years). A limited distribution Metrics Addendum to this BAA provides specific metrics.

Qualified bidders should request the addendum by following instructions in Section 4.2 and review prior to submitting an abstract or proposal.

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. Anticipated awards for Phase 1 are expected to be between $500,000-$1,000,000 for Technical Area 1, less than $500,000 for Technical Area 2, and less than $250,000 for Technical Area 3.

For Phase 2, DARPA expects, but is not bound, to award $27M across all awards. For Phase 3, DARPA expects, but is not bound, to award $20M across all awards. These estimates include awards across all three technical areas. Proposals are not constrained to the limits of expected funds, and should not constrain ambitious and compelling proposals. However, additional burden is on the proposer to make the case for exceeding these expectations. Technical and cost proposals should organize planned effort into separable tasks to maximize flexibility in awarding contracts while identifing any synergistic cost savings resulting from an award of more than one technical area.

The Government reserves the right to select for negotiation all, some, one, or none of the proposals received in response to this solicitation, and to make awards without discussions with proposers. The Government also reserves the right to conduct discussions if it is later determined to be necessary. If warranted, portions of resulting awards may be segregated into pre-priced options. Additionally, DARPA reserves the right to accept proposals in their entirety or to select only portions of proposals for award. In the event that DARPA desires to award only portions of a proposal, negotiations may be opened with that proposer. The Government reserves the right to fund proposals in phases with options for continual work at the end of one or more phases.

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 depending upon the nature of the work proposed, the required degree of interaction between parties, and other factors. The Government reserves the right to request any additional, necessary documentation once it makes the award instrument determination. Such additional information may include but is not limited to Representations and Certifications. The Government reserves the right to remove proposers from award consideration should the parties fail to reach agreement on award terms, conditions and cost/price within a reasonable time or the proposer fails to timely provide requested additional information.

As of the date of publication of this BAA, DARPA 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.

http://www.dss.mil/

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

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

The DARPA Program Manager for this BAA is Andrew Coon. 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; 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.

4. APPLICATION AND SUBMISSION INFORMATION

4.1 ADDRESS TO REQUEST APPLICATION PACKAGE

This solicitation contains all information required to submit a proposal. Except 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

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

The effort being solicited by this BAA involves access to or generation of classified information.

Security classification guidance via a DD Form 254, “DoD Contract Security Classification Specification,” is provided as an attachment to the BAA for the benefit of supporting classified proposal submissions. While unclassified proposals may be submitted, proposers should review the security classification guide before submitting their proposal. All awarded contracts will require a Form DD254 to permit access classified information.

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 13-17 Security Classification Guide (SCG) may be submitted by filling out the SCG and Classified Data Request Form (found in APPENDIX 2 to this BAA) and emailing the request form to DARPA-BAA-13-17@darpa.mil with subject line titled “Request DARPA- BAA-13-17 SCG and Classified Data.”

Proposers are encouraged to submit this request no later than February 15, 2013, to allow for adequate time for delivery of the classified material. The DARPA-BAA-13-17 SCG and Classified Data 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.

No classified addendum exists with this BAA. Classified information prepared for industry day, and subsequent question and answer feedback which is classified, will be distributed via the SCG and Data Request Form.

Please specify on APPENDIX 2 if you need the entire packet in paper form only, all other packets will be sent as a FOUO CD with a classified addendum. Proposers must demonstrate mailto:DARPA-BAA-13-17@darpa.mil ability to receive and access DoD Collateral Secret material. All appropriate security safeguards must exist prior to receiving the classified addendum. For proposals to be considered, eligible proposers must have at least a secret facility clearance at the date of issue for this BAA, and evidence of the capability to conduct secret level research.

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 (DoDM 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 (STO) Reference: DARPA-BAA-13-17 675 North Randolph Street Arlington, VA 22203-2114

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 675 North Randolph Street

Arlington, VA 22203-2114

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. Late abstracts will not be reviewed. 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 fifteen (15) 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 180 days 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 Proposal Abstracts Being Submitted as Hard Copies/On CD-ROM (if applicable):

An original and number of copies requested, but no more than nine (9) copies of the proposal abstract and two (2) electronic copies of the abstract [in PDF (preferred)] on a CD-ROM shall be submitted.

Upon review, DARPA will provide written feedback on the likelihood of a proposal being selected.

For Proposals (Not Abstracts) Being Submitted as Hard Copies/On CD-ROM ONLY:

Proposers not submitting proposal abstracts must submit an original and one copy of the proposal and two (2) electronic copy of the proposal [in PDF (preferred)] on a CD-ROM. Each CD-ROM must be clearly labeled with DARPA-BAA-13-17, proposer organization, proposal title (short title recommended), and Copy _ of 2.

Address PPT slides as separate file on the CD, hard copy of slides included with proposal submission

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 the administrative address, DARPA-BAA-13-17@darpa.mil. DARPA intends to use electronic mail and fax for correspondence regarding DARPA-BAA-13-17. Proposals may not be submitted by fax or e-mail; any so sent will be disregarded. DARPA encourages use of the Internet for retrieving the BAA and any other related 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 (If applicable)

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 3 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 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 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 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 Organization and Teaming Chart:

A clearly defined organization chartfor 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 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).

4.4.1.7 Summary of Cost, Schedule, and Milestones: Summarize, in table form, ROM cost, schedule, and milestones for the proposed 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…