DARPA-BA-13-29_Strategic_Technologies_FINAL.pdf

Broad Agency Announcement

Strategic Technologies

STRATEGIC TECHNOLOGY OFFICE

DARPA-BAA-13-29

June 19, 2013

DARPA-BAA-13-29, Strategic Technologies

TABLE OF CONTENTS

Part Two: Full Text of Announcement

1. FUNDING OPPORTUNITY DESCRIPTION

1.1. PROGRAM OVERVIEW

1.1.1 Battle Management, Command and Control (BMC2)

1.1.2 Communications and Networks

1.1.3 Electronic Warfare

1.1.4 Intelligence, Surveillance, and Reconnaissance (ISR)

1.1.5 Position, Navigation, and Timing (PNT)

1.1.6 Foundational Strategic Technologies and Systems

2. AWARD INFORMATION

2.1 Fundamental Research

3. ELIGIBILITY INFORMATION

3.1 ELIGIBLE APPLICANTS

3.1.1 Historically Black Colleges and Universities (HBCUs), Small Businesses, Small Disadvantaged Businesses and Minority Institutions (MIs)

3.1.2 Federally Funded Research and Development Centers (FFRDCs) and Government Entities

3.1.3 Non-U.S. Organizations

3.1.4 Applicants Considering Classified Submissions

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

3.3 COST SHARING/MATCHING

3.4 OTHER ELIGIBILITY REQUIREMENTS

3.4.1 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 Executive Summary, Abstract and Proposal Information

4.3.2 Restrictive Markings on Proposals

4.4 FORMATTING CHARACTERISTICS

4.4.1 Executive Summary Format

(see paragraph 4.4.2.) or a Proposal (see paragraph 4.4.3)

4.4.2 Proposal Abstract Format (If applicable)

4.4.3 Proposal Format

4.5 SUBMISSION DATES AND TIMES

4.5.1 Executive Summary, Abstract and Proposal Submission Deadline

4.6 INTERGOVERNMENTAL REVIEW

4.7 FUNDING RESTRICTIONS

4.8 OTHER SUBMISSION REQUIREMENTS

5. APPLICATION REVIEW INFORMATION

5.1 EVALUATION CRITERIA

5.1.1 Overall Scientific and Technical Merit

5.1.2 Potential Contribution and Relevance to the DARPA Mission

5.1.3 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 EXPORT CONTROL

6.2.5 SUBCONTRACTING

6.2.6 ELECTRONIC AND INFORMATION TECHNOLOGY

6.2.7 EMPLOYMENT ELIGIBILITY VERIFICATION

6.2.8 Additional Requirements and Responsibilities relating to Alleged Crimes by or against Contractor Personnel in Iraq and Afghanistan

6.2.9 System for Award Management (SAM) 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 – Fiscal Year 2013 Appropriations (Deviation 2013-O0010)

6.2.13 Cost Accounting Standards (CAS) Notice and Certification

6.2.14 Controlled Unclassified Information (CUI) on Non-DoD Information Systems ... 33

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 NonProcurement Contract Proposers

8. APPENDIX 1: PROPOSAL SLIDE SUMMARY

9. APPENDIX 2: Volume 1 COVER SHEET TEMPLATE

10. APPENDIX 3: Volume 2 COVER SHEET, CHECKLIST AND SAMPLE

TEMPLATES

Part One: Overview Information

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

• Funding Opportunity Title – Strategic Technologies

• Announcement Type – Initial announcement.

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

BAA-13-29

• Catalog of Federal Domestic Assistance Numbers (CFDA) - 12.910 Research and Technology Development

• Dates o Posting Date: June 19, 2013 o BAA Closing Date: June 18, 2014

• Anticipated individual awards - Multiple awards are anticipated.

• Types of instruments that may be awarded - Procurement contract, grant, coorperative agreement, or other transaction.

• Agency contact

The BAA Coordinator for this effort may be reached at electronic mail: DARPA- BAA-13-29@darpa.mil.

DARPA/STO

ATTN: DARPA-BAA 13-29

675 North Randolph Street Arlington, VA 22203-2114 mailto:DARPA-BAA-13-29@darpa.mil mailto:DARPA-BAA-13-29@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. This BAA is being issued, and any resultant selection will be made, using procedures under Federal Acquisition Regulation (FAR) 35.016 and the Department of Defense Grant and Agreement Regulatory System (DoDGARS) Part 22 for Grants and Cooperative Agreements. Any negotiations and/or awards will use procedures under FAR 15.4, Contract Pricing, as specified in the BAA (including DoDGARS Part 22 for Grants and Cooperative Agreements). Proposals received as a result of this BAA shall be evaluated in accordance with evaluation criteria specified herein through a scientific review process.

DARPA BAAs are posted on the Federal Business Opportunities (FedBizOpps) website, http://www.fbo.gov/, and, as applicable, the Grants.gov website at http://www.grants.gov/. The following information is for those wishing to respond to the BAA.

DARPA is seeking innovative ideas and disruptive technologies that offer the potential for significant capability improvement across the Strategic Technology Office focus areas. This includes technology development related to Battle Management, Command and Control (BMC2), Communications and Networks, Electronic Warfare, Intelligence, Surveillance, and Reconnaissance (ISR), Position, Navigation, and Timing (PNT) and Foundational Strategic Technologies and Systems.

Proposed research should investigate innovative approaches that enable revolutionary advances in science, devices, or systems. DARPA anticipates funding a limited number of proposals under this BAA. Specifically excluded are existing mature solutions and research that results in evolutionary improvements to existing technologies.

1.1. PROGRAM OVERVIEW

DARPA is seeking innovative ideas and disruptive technologies that offer the potential for significant capability improvement across the Strategic Technology Office (STO) focus areas.

This includes system and technology development related to Battle Management (BM), Command and Control (C2), Communications, Intelligence, Surveillance, and Reconnaissance (ISR), Electronic Warfare (EW), and Positioning, Navigation and Timing (PNT). Technologies of particular interest would address challenges of operating in contested, denied, and/or austere environments.

Research supporting any of STO's broad mission objectives identified in the Funding Opportunity Description above may be submitted under this BAA. Topic areas of specific interest include, but are not limited to, the following:

1.1.1 Battle Management, Command and Control (BMC2)

Warfare is increasingly conducted by networks of platforms, weapons, sensors, and EW systems.

The BMC2 of such networks poses complex algorithmic and software challenges, particularly with intermittent connectivity, limited data rates, and robustness against network disruption from http://www.fbo.gov/ http://www.grants.gov/ electronic and physical attack. Of particular interest are BMC2 technologies and systems for mixtures of manned and unmanned systems. Efforts in this area should develop and incorporate realistic assumptions concerning allocation of functions between human operators and automated systems.

1.1.2 Communications and Networks

The success of military operations depends on assured, secure, communications at every military echelon, from the continental U.S. to the forward-deployed warfighter. DARPA seeks system concepts and enabling technology that will provide assured high-bandwidth mobile wireless capabilities, with or without access to infrastructure. The goal is to deliver relevant and timely information to the warfighter anytime and anywhere, providing effective communications to U.S.

forces while denying the same capabilities to our adversaries. Approaches to this goal could include developing new system concepts and technologies that improve network availability, increasing network capacity and scaling, enhancing spectrum efficiency in congested spectrum, tolerating network degradation, mitigating of man-made and natural electromagnetic interference, defeating network reconnaissance and surveillance, and countering denial of service. Approaches that can potentially mitigate emerging threats exploiting commercially-leveraged technologies are also relevant to this topic area. DARPA is also interested in approaches that leverage commercial infrastructure when it is available and leverage the capabilities and cost-efficiencies of commercial devices, components, processes and applications are of interest. These approaches will need to consider the reliability, robustness, and security of commercial infrastructure, devices, and applications in a military environment. Also of interest are approaches and technologies for preventing or disrupting the adversary’s capability for assured communications.

Of special interest are: approaches for efficient spectrum utilization and performance in the presence of interference; new spectrum use technologies such as dynamic use of space/time, as well as access to new modalities, such as high frequency Radio Frequency (RF) and optical polarization; intra- and cross-modality (radar, communications, and sensing) spectrum access techniques; spatial reuse through higher frequency operations; interference avoidance and tolerance; and large-scale testing of complex RF environments.

1.1.3 Electronic Warfare

The proliferation of highly capable RF technology has created a new emphasis on positive control of the electromagnetic (EM) spectrum. Many adversaries are increasing their reliance on RF sensing and communications in order to provide significant improvements to their offensive and defensive systems. This includes short-range tactical communications, long-range C2 communications networks, networked defensive systems, and RF seekers. DARPA is looking for system approaches for active and passive EW techniques in order to counter these advanced networked and agile systems using technologies such as distributed systems, coherent systems, disposable systems providing asymmetric capabilities, and close-in remote sensing coupled with advanced jamming and spoofing.

The EW capabilities that the U.S. military will encounter are also becoming much more sophisticated. Many advanced capabilities that were only available for use by the U.S. military are now available to be used against U.S. military systems. The commercial investments in RF materials, components, and subsystems are immense and the cost threshold to deploy high power, agile systems continues to drop. DARPA is seeking systems concepts and advanced technologies that provide the US military fundamental asymmetries to address these new capabilities. These can include concepts using physical and network solutions, distributed systems, as well as exploitation of precise spectral, time, and position information.

1.1.4 Intelligence, Surveillance, and Reconnaissance (ISR)

The U.S. military has become accustomed to collecting large quantities of ISR data in permissive environments, such as recent operations in Iraq and Afghanistan, and in processing and exploiting this information with ground-based exploitation and C2 centers. However, in contested environments, new approaches are needed to provide survivable, standoff sensing that is difficult for adversaries to detect, exploit and counter.

DARPA is seeking new, innovative methods for finding difficult targets in contested environments that could include combining existing or new sensor modalities, novel in-sensor Automatic Target Recognition (ATR) techniques, new algorithms, and new system concepts and processing techniques. DARPA is also interested in new approaches for the design of low-cost, adaptable sensors that leverage commercial technologies and processes to reduce development time and cost, and increase adaptability and technology refresh rate of sensor systems.

As other nations develop and acquire increasingly sophisticated ISR and counter ISR capabilities, new approaches and technology will be required to protect and preserve a superior U.S. ISR capability in all strategic environments. DARPA is interested in innovative technology and approaches that can potentially provide U.S. warfighters with superior ISR and situational awareness while denying the same capability to our adversaries.

1.1.5 Position, Navigation, and Timing (PNT)

The U.S. military has become increasingly dependent on the Global Positioning System (GPS) for accurate and precise position, navigation, and timing in a wide variety of operational environments. However, as U.S. military operations are increasingly being carried out in areas where GPS is denied, unreliable, or not accessible, military use of GPS has evolved from strategic advantage to vulnerability. GPS access can now be readily blocked by jamming or environmental conditions. Many environments in which our military operates (under heavy foliage, underground, underwater, in buildings, and in cities) have limited or even no access to GPS. In addition, evolving mission requirements for EW, communications, and cooperative effects are challenging the limits of state-of-the-art clocks used in military systems. Current system solutions for providing accurate and precise position, navigation and timing in GPS denied environments are costly, inflexible, and often need an external fix that requires intermittent access to GPS.

DARPA is seeking new technology and systems solutions to provide the U.S. military with accurate and precise PNT independent of GPS. Of particular interest are systems that provide long duration precision and accuracy in position and timing for global synchronization, secure communications, and cooperative effects. Technologies of interest include architectures for ad hoc PNT networks of disparate nodes; sensors and signal processing to enable PNT in adverse environments; and new architectures that enable other domains, such as communications, EW, and ISR systems, to inherently support PNT systems. In addition, technologies that enable affordable, compact, and flexible system solutions that can quickly and easily be reconfigured to meet the PNT needs for a broad range of military missions and platforms continue to be of interest.

1.1.6 Foundational Strategic Technologies and Systems

DARPA is seeking innovative ideas for systems incorporating disruptive technologies that offer significant potential capability improvement across multiple Strategic Technology Office focus areas as described above. This could include technologies that would enable dramatic reduction in size, weight, power, or cost of systems, technologies that allow for adaptability and/or rapid refresh, technologies that offer the potential for significant advances in system level performance, and approaches to demonstrating the military utility of these systems and technologies. This can include aperture, components, hardware, firmware, software or power mechanisms to reduce size, weight, power, cost, enable multiple modes, simplify porting of signal processing waveforms and capabilities amongst multiple platforms with varying constraints, means to manage and control modes of operation, and or means to collect performance information from multiple networks.

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. The Government reserves the right to fund proposals in phases with options for continued work at the end of one or more of the phases.

Awards under this BAA will be made to proposers on the basis of the evaluation criteria listed below (see section labeled “Application Review Information”, Sec. 5.), and program balance to provide overall value to the Government. 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. Proposals identified for negotiation may result in a procurement contract, grant, cooperative agreement, or other transaction depending upon the nature of the work proposed, the required degree of interaction between parties, whether or not the research is classified as Fundamental Research, and other factors.

In all cases, the Government contracting officer shall have sole discretion to select award instrument type and to negotiate all instrument terms and conditions with selectees. Proposers are advised that if they propose grants or cooperative agreements, DARPA may select other award instruments, as it deems appropriate. DARPA will apply publication or other restrictions, as necessary, if it determines that the research resulting from the proposed effort will present a high likelihood of disclosing performance characteristics of military systems or manufacturing technologies that are unique and critical to defense. Any award resulting from such a determination will include a requirement for DARPA permission before publishing any information or results on the program. For more information on publication restrictions, see the section below on Fundamental Research.

2.1 Fundamental Research

It is DoD policy that the publication of products of fundamental research will remain unrestricted to the maximum extent possible. National Security Decision Directive (NSDD) 189 established the national policy for controlling the flow of scientific, technical, and engineering information produced in federally funded fundamental research at colleges, universities, and laboratories. The Directive defines fundamental research as follows:

“Fundamental research means basic or 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.”

As of the date of publication of this BAA, the Government cannot identify whether or not the work under this BAA may be considered fundamental research and may award both fundamental and non-fundamental.

Proposers should indicate in their proposal whether they believe the scope of the research included in their proposal is fundamental or not. While proposers should clearly explain the intended results of their research, the Government shall have sole discretion to select award instrument type and to negotiate all instrument terms and conditions with selectees. Appropriate clauses will be included in resultant awards for non-fundamental research to prescribe publication requirements and other restrictions, as appropriate.

For certain research projects, it may be possible that although the research being performed by the prime contractor is restricted research, a subcontractor may be conducting contracted fundamental research. In those cases, it is the prime contractor’s responsibility to explain in their proposal why its subcontractor’s effort is contracted fundamental research.

The following statement or similar provision will be incorporated into any resultant non-fundamental research procurement contract or other transaction:

There shall be no dissemination or publication, except within and between the contractor and any subcontractors, of information developed under this contract or contained in the reports to be furnished pursuant to this contract without prior written approval of

DARPA’s Public Release Center (DARPA/PRC). All technical reports will be given proper review by appropriate authority to determine which Distribution Statement is to be applied prior to the initial distribution of these reports by the contractor. With regard to subcontractor proposals for Contracted Fundamental Research, papers resulting from unclassified contracted fundamental research are exempt from prepublication controls and this review requirement, pursuant to DoD Instruction 5230.27 dated October 6, 1987.

When submitting material for written approval for open publication, the contractor/awardee must submit a request for public release to the PRC and include the following information: (1) Document Information: document title, document author, short plain-language description of technology discussed in the material (approx. 30 words), number of pages (or minutes of video) and document type (e.g., briefing, report, abstract, article, or paper); (2) Event Information: event type (conference, principal investigator meeting, article or paper), event date, desired date for DARPA's approval;

(3) DARPA Sponsor: DARPA Program Manager, DARPA office, and contract number;

and (4) Contractor/Awardee's Information: POC name, e-mail and phone. Allow four weeks for processing; due dates under four weeks require a justification. Unusual electronic file formats may require additional processing time. Requests may be sent either by-mail to prc@darpa.mil or via 675 North Randolph Street, Arlington VA 22203- 2114, telephone (571) 218-4235. Refer to the following for link for information about DARPA’s public release process:

http://www.darpa.mil/NewsEvents/Public_Release_Center/Public_Release_Center.aspx.

3. ELIGIBILITY INFORMATION

All responsible sources capable of satisfying the Government's needs may submit a proposal that shall be considered by DARPA.

3.1 ELIGIBLE APPLICANTS

3.1.1 Historically Black Colleges and Universities (HBCUs), Small Businesses, Small Disadvantaged Businesses and Minority Institutions (MIs) HBCUs, Small Businesses, Small Disadvantaged Businesses and 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.

3.1.2 Federally Funded Research and Development Centers (FFRDCs) and Government Entities FFRDCs and Government entities (e.g.,Government/National laboratories, military educational institutions, etc.) are subject to applicable direct competition limitations and cannot propose to this BAA in any capacity unless they meet the following conditions: (1) FFRDCs must clearly demonstrate that the proposed work is not otherwise available from the private sector (2) FFRDCs must provide a letter on official letterhead from their sponsoring organization citing the specific authority establishing their eligibility to propose to Government solicitations and compete with industry, and their compliance with the associated FFRDC sponsor agreement and terms and conditions. This information is required for FFRDCs proposing to be prime mailto:prc@darpa.mil contractors 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 and contractual authority, if relevant, 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 FFRDC eligibility submissions on a case-by-case basis; however, the burden to prove eligibility for all team members rests solely with the proposer.

3.1.3 Non-U.S. Organizations

Non-U.S. organizations and/or individuals may participate to the extent that such participants comply with any necessary nondisclosure 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.

3.1.4 Applicants Considering Classified Submissions

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.

3.2 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 U.S.C.§ 203, 205, and 208). Prior to the start of proposal evaluation, the Government will assess potential conflicts of interest and will promptly notify the proposer if any appear to exist. The Government assessment does NOT affect, offset, or mitigate the proposer’s responsibility 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. As part of the proposal submission, all members of the proposed team (prime proposers, 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). 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 http://www.dss.mil/ 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 a conflict of interest (COI) exists or may exist (whether organizational or otherwise) or has questions on what constitutes a conflict of interest, the Proposer should send his/her contact information and a summary of the potential conflict to the DARPA BAA mailbox before time and effort are expended in preparing a proposal and mitigation plan.

3.3 COST SHARING/MATCHING

Cost sharing is not required; however, it 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.

3.4 OTHER ELIGIBILITY REQUIREMENTS

3.4.1 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. No additional forms, kits, or other materials are needed. This notice constitutes the total Solicitation. No additional information is available, except as provided at FBO.gov or Grants.gov, nor will a formal Request for Proposal (RFP) or additional solicitation regarding this announcement be issued. Requests for the 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 Government anticipates proposals submitted under this BAA will be unclassified. However, if a proposal is submitted as “Classified National Security Information” as defined by Executive Order 13526, then the information must be marked and protected as though classified at the appropriate classification level and then submitted to DARPA for a final classification determination.

Security classification guidance via a DD Form 254, “DoD Contract Security Classification Specification,” will not be provided at this time, since DARPA is soliciting ideas only. After reviewing the incoming proposals, if a determination is made that the award instrument may result in access to classified information, a DD Form 254 will be issued and attached as part of the award.

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

Classified submissions shall be appropriately and conspicuously marked with the proposed classification level and declassification date. Submissions requiring DARPA to make a final classification determination shall be marked as follows:

CLASSIFICATION DETERMINATION PENDING. Protect as though classified (insert the recommended classification level: (e.g., Top Secret, Secret or Confidential)

Classified submissions shall be in accordance with the following guidance:

Confidential and Secret Collateral Information: Use classification and marking guidance provided by previously issued security classification guides, the 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: BAA 13-29 675 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 Executive Summary, Abstract and Proposal Information

For all responses to this BAA, the responder must clearly identify the technical topic area(s) the proposed effort seeks to address.

In order to reduce the administrative burden on proposers and the Government and in an attempt to mitigate unnecessary costs associated with the generation of proposals that are not of interest to DARPA/STO, described herein is the Government’s process for submittal of information for evaluation. Any responsible proposer is encouraged to respond.

Proposers are strongly encouraged to submit an executive summary prior to proposal abstracts or full proposals. The recommended order of submissions is executive summary, abstract, proposal. Please note it is not mandatory to submit an executive summary and/or abstract before submitting a full proposal. This procedure is intended to minimize unnecessary effort in proposal preparation and review. The time and date for submissions 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 submission.

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.

Executive summaries, abstracts and/or proposals sent in response to DARPA-BAA-13-29 must be submitted via STO’s BAA Website (https://stobaa.darpa.mil/). 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 abstracts and full proposals. All submissions must be compressed and encrypted as described below. Hard copy proposal submission is the least preferred method of submission.

All proposals submitted electronically through a DARPA-approved proposal submission website (not including Grants.gov) must be encrypted using WinZip ‘compatible’ 256-nit-key AES ZIP format. Only one zipped/encrypted file will be accepted per proposal and proposals not zipped/encrypted will be rejected by DARPA.

An encryption password form must be completed and emailed to DARPA-BAA-13- 29@darpa.mil . See https://stobaa.darpa.mil 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 email and there are minimum security requirements for establishing the encryption password. Failure to provide the encryption password will result in the proposal not being evaluated. For further information and instructions on how to zip and encrypt proposal files, see https://stobaa.darpa.mil.

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.

Proposers requesting grants or cooperative agreements may submit proposals through one of the following methods: (1) hard copy mailed directly to DARPA/STO, 675 North Randolph Street, Arlington, VA 22203-2114 (Attn.: BAA-13-29 or (2) electronic upload per the instructions at http://www.grants.gov/applicants/apply_for_grants.jsp. Grant or cooperative agreement proposals may not be submitted through any other means. If proposers intend to use Grants.gov as their means of submission, then they must submit their entire proposal through Grants.gov;

applications can not be submitted in part to Grants.gov and in part as a hard-copy to DARPA.

Proposers using the Grants.gov APPLY do not submit paper proposals in addition to the Grants.gov APPLY electronic submission.

Grants.gov requires proposers to complete a one-time registration process before a proposal can be electronically submitted. If proposers have not previously registered, this process can take mailto:DARPA-BAA-13-29@darpa.mil mailto:DARPA-BAA-13-29@darpa.mil https://stobaa.darpa.mil/ http://www.grants.gov/applicants/apply_for_grants.jsp between three business days and four weeks. See the Grants.gov registration checklist at http://www.grants.gov/assets/organizationregcheck_092112.pdf for registration requirements and instructions.

Once Grants.gov has received a proposal submission, Grants.gov will send two email messages to advise proposers as to whether or not their proposals have been validated or rejected by the system; IT MAY TAKE UP TO TWO DAYS TO RECEIVE THESE EMAILS. The first email will confirm receipt of the proposal by the Grants.gov system; this email only confirms receipt, not acceptance, of the proposal. The second will indicate that the application has been successfully validated by the system prior to transmission to the grantor agency or has been rejected due to errors. If the proposal is validated, then the proposer has successfully submitted their proposal. If the proposal is rejected, the proposer will have to resubmit their proposal. If the proposal is rejected, the proposed must be corrected and resubmitted before DARPA can retrieve it. If the solicitation is no longer open, the rejected proposal cannot be resubmitted.

Once the proposal is retrieved by DARPA, the proposer will receive a third email from Grants.gov. To avoid missing deadlines, proposers should submit their proposals in advance of the final proposal due date with sufficient time to receive confirmations and correct any errors in the submission process through Grants.gov. For more information on submitting proposals to Grants.gov, visit the Grants.gov submissions page at:

http://grants.gov/applicants/apply_for_grants.jsp.

Proposers electing to submit grant or cooperative agreement proposals as hard copies must complete the SF 424 R&R form (Application for Federal Assistance, Research and Related) available on the Grants.gov website http://www07.grants.gov/agencies/forms_instruction_information.jsp

Technical support for Grants.gov submissions may be reached at 1-800-518-4726 or support@grants.gov.

All administrative correspondence and questions on this solicitation, including requests for information on how to submit an executive summary, proposal abstract or proposal to this BAA, should be directed to one of the administrative addresses in Section 6.5; e-mail or fax is preferred. DARPA intends to use electronic mail and fax for correspondence regarding DARPA- BAA-13-29. Executive Summaries, Proposal Abstracts, and Full 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-http://www.grants.gov/assets/organizationregcheck_092112.pdf http://www07.grants.gov/agencies/forms_instruction_information.jsp mailto:support@grants.gov?subject=Support

(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 Executive Summary Format

All submissions must be in the following format – nonconforming submissions may be rejected without further review. The executive summary should be clearly marked "EXECUTIVE SUMMARY" and the total length shall not exceed one (1) page. A page is defined as being no larger than 8.5” by 11.0”. (Accordion-style foldouts will be counted as multiple pages equivalent to the expanded size.) Proposals must be written in English, and with 1” margins (left, right, top, and bottom) on each page and contain no smaller than 12-point font type.

The page limitation for executive summaries includes all point of contact information, figures, tables, and charts. Do not submit additional copies of the same executive summary for different technical topic areas. If an executive summary applies to more than one area, simply indicate that fact.

Proposers must submit their one-page executive summary via DARPA’s STO’s BAA Website (https://stobaa.darpa.mil/) (NOTE: Grant or cooperative agreement submissions may be made via www.grants.gov by using the “Apply for Grants” function.) The executive summary must be in PDF or an MS Word readable application. No facsimile submissions will be accepted.

DARPA will attempt to reply to executive summaries in writing within thirty (30) calendar days of receipt. If DARPA/STO does not have interest in your Executive Summary you will be notified by a formal letter. If DARPA/STO is interested in receiving more information on your submission, you will be notified, by a formal letter, of DARPA’s interest in receiving either a proposal abstract or full proposal. Proposers should then expect to develop a Proposal Abstract (see paragraph 4.4.2.) or a Proposal (see paragraph 4.4.3).

4.4.2 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 format provided below. The cover sheet should be clearly marked “PROPOSAL ABSTRACT” and the total length should not exceed 6 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.

4.4.2.1. {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. Proposer’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. Estimated funds requested from DARPA for each phase proposed and the total estimated proposed cost; and the amount of cost share (if any); AND

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. The proposer may choose any combination of suggested portions listed below; however, the total length must not exceed 6 pages.

4.4.2.2 {1} Executive Summary:

Includes a title and an abstract that provides a concise summary of work to be performed and basic approaches to be used.

4.4.2.3 {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.

4.4.2.4 {6} 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.

4.4.2.5 {2} Organization and Teaming Chart:

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

1. programmatic relationship of team members;

2. unique capabilities of team members;

3. task responsibilities of team members;

4. teaming strategy among the team members;

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

4.4.2.6 {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).

4.4.2.7 {1} Summary of Estimated Cost, Schedule, and Milestones:

Summarize, in table form, estimated cost, schedule, and milestones for the proposed research.

4.4.2.8 {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.

DARPA will respond to abstracts with a statement as to whether DARPA is interested in the idea. DARPA will attempt to reply to abstracts in writing within thirty (30) calendar days of receipt. If DARPA does not recommend the proposer submit a full proposal, DARPA will provide detailed feedback to the proposer regarding the rationale for this decision. Regardless of DARPA’s response to an abstract, proposers may submit a full proposal. Abstracts will be reviewed in the order they are received. 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.

4.4.3 Proposal Format

All proposals must be in the format given below. Nonconforming proposals may be rejected without review. Proposals shall consist of two volumes. All pages shall be printed on 8-1/2 by 11 inch paper with type not smaller than 12 point. Smaller font may be used for figures, tables and charts.