DARPA-BAA-14-01_(XS-1).pdf

DARPA-BAA-14-01

Broad Agency Announcement

Experimental Spaceplane (XS-1)

Tactical Technology Office (TTO)

November 12, 2013

Contents Part I: Overview Information Part II: Full Text of Announcement

I. Funding Opportunity Description II. Award Information III. Eligibility Information

A. Eligible Applicants B. Procurement Integrity, Standards of Conduct, Ethical Considerations, and Organizational Conflicts of Interest C. Cost Sharing/Matching D. Other Eligibility Criteria

IV. Application and Submission Information A. Address to Request Application Package B. Content and Form of Application Submission

V. Application Review Information A. Evaluation Criteria B. Review and Selection Process

VI. Award Administration Information A. Selection Notices B. Administrative and National Policy Requirements C. Reporting D. Electronic Systems

VII. Agency Contacts VIII. Other Information

A. Intellectual Property Procurement Contract Proposers B. Non-Procurement Contract Proposers – Noncommercial and Commercial Items (Technical Data and Computer Software) C. All Proposers – Patents D. All Proposers – Intellectual Property Representations

Part I: Overview Information

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

Funding Opportunity Title – Experimental Spaceplane (XS-1) Announcement Type – Initial Announcement Funding Opportunity Number – DARPA-BAA-14-01 Catalog of Federal Domestic Assistance Numbers (CFDA) – Not applicable Dates o Posting Date: 12 November 2013 o Questions Due Date: 22 November 2013 o Proposal Due Date: 16 January 2014

Concise description of the funding opportunity:

The objective of the Experimental Spaceplane (XS-1) program is to demonstrate a reusable first stage launch vehicle capable of carrying and deploying an upper stage that inserts 3,000 to 5,000 lb. payloads into Low Earth Orbit (LEO), designed for less than $5M per launch for an operational system. Technologies derived from the XS-1 program will enable routine space launch capabilities with aircraft-like cost, operability and reliability.

The long-term intent is for XS-1 technologies to be transitioned to support not only next-generation launch for Government and commercial customers, but also global reach hypersonic and space access aircraft.

Current space launch vehicles are very expensive, have no surge capability and must be contracted years in advance (i.e., long call up times). For example, the U.S. Air Force’s Evolved Expendable Launch Vehicle (EELV) and Minotaur IV launch vehicles have dramatically increased in cost since the inception of the programs. In an era of declining budgets and proliferating foreign threats to U.S. air and space assets the need for responsive, affordable access to space is increasingly critical. XS-1 will directly address the need for small payloads launched using low cost and operationally efficient concepts of employment (CONEMPs) based on a “clean pad” approach. Moreover, it will provide a foundation to build upon for larger launch systems in the future.

It is also envisioned that the XS-1 program will mature many of the key technologies and operational processes needed to enable future hypersonic aircraft and space access vehicles. Missions performed by such follow-on vehicles could include hypersonic technology maturation and routine global reach intelligence, surveillance and reconnaissance (ISR) as well as other military applications. The potential to transition XS-1 designs, technology and corresponding operating concepts to future aircraft is an important opportunity for the program.

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Total amount of money to be awarded: The planned budget available for performers is $14M in Phase I, and approximately $140M as a Phase II/III design-to-cost goal.

Anticipated individual awards: Multiple awards are anticipated in Phase I, in two types: 1) system design tasks, and 2) critical risk reduction tasks. Each Phase I system design task performer may be initially awarded up to $3.0M, with an option for up to an additional $1.0M. Each Phase I critical risk reduction task award will be for up to $1.0M per performer. Toward the end of Phase I, the Government will determine whether to proceed to Phases II/III.

If so, one system design performer will be selected to proceed into Phase II.

Awards are subject to the availability of funds.

Types of instruments that may be awarded: Procurement contract or other transaction.

Any cost sharing requirements: See Section III.C Agency contact:

Mr. Jess Sponable

DARPA/TTO

ATTN: BAA-14-01

675 North Randolph Street Arlington, VA 22203-2114 EMAIL: DARPA-BAA-14-01@darpa.mil

Part II: Full Text of Announcement

I. 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. Any negotiations and/or awards will use procedures under FAR 15.4, Contract Pricing, as specified in the BAA. 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/. The following information is for those wishing to respond to the BAA.

Program Overview

DARPA is soliciting innovative research proposals for the development and demonstration of responsive space launch capabilities with aircraft-like cost, operability and reliability. The XS-1 program vision is to: 1) break the cycle of escalating space system launch and high satellite costs, 2) mature the technology for affordable, routine space access and global reach aircraft, and 3) deliver a residual capability to rapidly launch, recover, and reconstitute a first stage launch vehicle capable of delivering 3,000 to 5,000 lb. payloads to Low Earth Orbit (LEO) at one tenth the cost of today’s launch systems. To accomplish these goals, the program will perform risk reduction and design, then, if approved to proceed to Phases II and III, fabricate and fly an experimental autonomous spaceplane. This reusable hypersonic X-Plane will demonstrate the potential for low cost and high operations tempo military flight systems that can operate in the strategic threat environments of the 21st century, both for next- generation space launch and global reach aircraft.

Program Goals

The goal of the program is to demonstrate the feasibility of a high-speed flight vehicle with an expendable upper stage. This reusable craft would enable capability for launch of small payloads and hypersonic testing, while demonstrating scalability and traceability to future global reach aircraft. XS-1 has the following demonstration goals:

fly ten times in ten days, fly to Mach 10 at least once, launch a representative payload to orbit at least once, and be designed to insert a payload of 3,000 to 5,000 pounds to LEO at less than $5M per launch (assuming greater than 10 flights per year). This is a design-to-cost program to meet the available Phase II/III anticipated funding. Performers are expected to prioritize the goals in service of both the overall program vision and design-to-cost requirements and identify suggested changes for Phases II and III.

Successful demonstration of these goals will provide a proof-of-concept for responsive space launch capabilities. Flying ten times in ten days will demonstrate aircraft-like operability and requires a “clean pad” model along with rapid recovery and reconsitituion, thus creating a new paradigm for routine space operations. The ability to launch a payload to orbit at less than $5M will represent approximately a 10X cost reduction compared to Minotaur IV capabilities, with potential for further reductions using scaled-up systems. Flying to Mach 10 or greater will reduce both the size and cost of the expendable upper stage and result in aero-thermal environments enabling the acquisition of much-needed data for future hypersonic development. Delivering a launch capability for responsive payloads will provide an immediate operational benefit to military, civil, and commercial stakeholders.

It should be noted that $5M per orbital launch is a target goal for an operational system.

This includes direct launch costs (fuel, labor), expendable upper stage(s) (not including the payload), and amortized indirect costs, all assuming at least 10 flights per year.

Phase I of the program will consist of two tasks:

1) System design, and

2) Critical risk reduction

A minimum of one award for system design is expected. Performers may submit proposals for critical risk reduction tasks irrespective of whether or not they intend to be prime performers for system design. DARPA intends for the technologies developed and demonstrated in the performance of critical risk reduction tasks to be integrated into system designs by the Preliminary Design Review (PDR). At the end of Phase I, system design performers will recommend to the Government what technologies and products from critical risk reduction tasks should be incorporated in their Phase II/III designs.

Separate awards for critical risk reduction are not planned for Phase II/III. It is incumbent on critical risk reduction performers to collaborate with system design performers to encourage the incorporation of their technologies, knowledge, and understanding in system design efforts. The Government may hold periodic collaboration meetings to facilitate these efforts.

DARPA seeks innovative proposals that assess alternative technical approaches from the perspectives of feasibility, performance, system design and development cost, operational cost, and suitability for transition to follow-on applications. At a minimum, the Government recommends the performers examine the following critical technical and business case trades with respect to their XS-1 design.

Transition Opportunities: The XS-1 flight demonstration will support near-term transition opportunities for launching small payloads per the program goals. Performers shall identify how they will structure the program to credibly support transitioning the technology to military, civil and commercial users. Performers shall also consider additional transition opportunities in developing their designs, including how the XS-1 demonstrator could support future hypersonic testing and a future space access aircraft.

Vehicle Design and Integration: Air vehicle design should be developed with a prudent mix of near-term and advanced technologies. The focus should be successful integration of the subsystems with credible design-to-cost goals.

Propulsion System: The use of off-the-shelf propulsion versus accepting some developmental risk needs to be fully assessed.

Materials, Structures and Thermal Protection: The use of advanced materials and arrangements for propellant tanks, airframe structure, and thermal protection systems can potentially reduce weight, but the specific choices need to be assessed against robustness, cost, and transition needs.

Autonomous Operations: System development should identify and trade incorporation of autonomous operations processes, technologies, and approaches developed in the aviation and space sectors. Autonomy must be as pervasive as possible in order to expedite employment, recovery, and reconstitution.

Flight Operations: Participating in early trades to identify the preferred flight test range will facilitate the development of a safe and affordable flight test program. Future flight operations should be designed with a clear path from flight testing and development to minimal-manpower operational employment.

Program Plan

XS-1 will be a demonstration vehicle that will prove concept feasibility and demonstrate the critical enabling technologies and operations for next generation spaceplanes. The focus of the program is the overall system design, the reusable first stage vehicle, and the operations concepts that are integral to the spaceplane architecture.

The challenge is developing an X-Plane program that satisfies the program goals within the cost constraints by using near-term and advanced technology and operations.

In order to achieve the challenging objectives of the XS-1 program, performers are expected to conduct their program activities with capable, experienced, creative, and effective personnel teams. Lean management and systems engineering principles will be employed by DARPA and should be employed by performer teams. The goal is to empower personnel while minimizing management overhead associated with both Government and internal performer company processes. Performers’ personnel teams are expected to execute a flexible, adaptive, and streamlined program where decisions can be made expediently based on technical merit, programmatic merit, and up-to-date information without rigid and inflexible adherence to traditional top-down program management models.

The XS-1 program will be conducted in three phases. The system design from Phase I must support Phase II/III.

Phase I: Initial Design and Risk Reduction

Phase II: Final Design, Fabrication, and Integration Assembly and Test

Phase III: Flight Test Campaign

Phase I is intended to evaluate the technical feasibility and methods for approaching, achieving, or exceeding the objective performance goals. During the first phase, one or more proposals may be selected to 1) develop the XS-1 demonstration concept, 2) identify core component technologies, 3) conduct critical risk reduction, and

4) develop a technology maturation plan that allows flight demonstration and validation of system capabilities. Only those performers that receive Phase I prime contracts may be invited to submit updated proposals. Based on the results of Phase I and funding availability, if the Government pursues Phases II/III, then Phase I prime performers will be given updated proposal guidance at the end of month nine. Submission of proposals to Phases II/III is optional, and associated proposal preparation costs will not be reimbursed.

Each phase will progressively mature the design and the technologies required to achieve the performance goals described above. Figure 1 illustrates the technical approach and program timeline with anticipated major milestones highlighted. The following sections describe the specific technical objectives of each phase.

Figure 1. XS-1 Program Schedule

Phase I: Preliminary Design and Risk Reduction

Phase I will be a 13-month effort focused on developing the XS-1 demonstration concept, identifying core component technologies, conducting critical risk reduction, and developing a technology maturation plan that allows flight demonstration and validation of system capabilities. During Phase I, system design performers will be required to hold a mid-phase Conceptual Design and System Requirements Review. Performers must also deliver a Technology Maturation Plan (TMP), address airworthiness and safety certification (Government and/or commercial), and identify candidate upper stage vehicles and representative payloads to demonstrate the XS-1 program goals. System-level requirements will be defined and traced to the subsystems, risks will be identified with mitigation strategies planned, and the selection of mature subsystem technologies for risk reduction will be integrated into the preliminary design. Phase I will culminate in a tailored Preliminary Design Review (PDR) with a final TMP.

Each Phase I system design task performer may be initially awarded up to $3.0M, with an option for up to an additional $1.0M. Proposers seeking to obtain the $1M of optional system design funding in Phase I must indicate what tasks would be performed with this funding, how these tasks would contribute additional depth and/or breadth to the baseline Phase I deliverables, and how these tasks would enhance the outcome of subsequent phases. If proposed and included in the Phase 1 award, the Government, at its sole discretion, will determine whether or not to exercise the option for a given performer.

The success of the XS-1 program hinges upon robust, lightweight, and low-cost technologies that permit reusability in a high operations tempo environment with minimal recuperative downtime and component refurbishment or replacement. A non-exhaustive list of subsystem areas that may benefit from critical risk reduction includes:

Propulsion systems Thermal protection systems Composite structures and tanks Upper stages Clean pad/minimal infrastructure operations

Critical risk reduction tasks for the development of entirely new concepts and technologies will not be excluded; however, proposers should note that the program is focusing on being able to demonstrate an X-plane. Therefore, technologies that have undergone risk reduction should have sufficient maturity for integration into the Phase II/III vehicle.

A. Top level objectives for Phase I include:

1) System Design Tasks

1. Conduct detailed technology trade studies in areas such as propulsion, first and second stage vehicle sizing, lightweight structures and subsystems, advanced TPS, and streamlined clean pad ground operations.

2. Develop a conceptual design for the XS-1 demonstration system including detailed structural analysis and mass properties.

3. Identify and/or trade designs of candidate upper stages.

4. Conduct a mid-phase Conceptual Design and Systems Requirements

Review.

5. Develop a Technology Maturation Plan.

6. Identify an approach to support airworthiness and safety certification for the flight demonstration with a clear path to an operational capability.

7. Conduct a Preliminary Design Review tailored for commercial practices.

2) Critical Risk Reduction Tasks

1. Develop, model, analyze, test, and document technologies and processes in order to reduce the risk associated with their incorporation into the system design.

2. Conduct a Mid-phase Risk Reduction Review.

3. Conduct a Final Risk Reduction Review.

B. Key Milestone Description for Phase I:

Mid-phase Conceptual Design and System Requirements Review will be used to focus and tailor requirements on the performer’s design. The type of propulsion system and general vehicle parameters, such as weight and size limits, should be defined. Key subsystems should be defined to the extent of determining availability of technology and impact on weight and payload requirements. System Requirements should be identified along with scalability and traceability to transition opportunities. System design, reliability, maintainability, and operability to meet program goals will be reviewed.

Technology Maturation Plan will define the team’s overall approach to mitigating risk and maturing their XS-1 design. The TMP should define the risk reduction, technology, process development, and system operations activities that must be conducted to validate the performer’s XS-1 design. The plan will also address rough order of magnitude (ROM) cost and schedule for these activities, as well as identify any external government research and development (R&D) activities that are critical to maturing the XS-1 vehicle.

The TMP will explicitly address the following:

Risk management process Risk assessment results

̶ Critical technologies and system attributes identified Risk reduction activities

̶ Major risk reduction events and activities defined, including success metrics Phase II/III program plan

̶ Integrated Master Schedule (IMS) and Rough Order of Magnitude cost for Phase II/III

The TMP will provide an integrated basis for all risk reduction activities that will be performed during Phases II and III, culminating in system flight test during Phase III. The TMP will: 1) identify and assess critical technologies and system attributes that constitute the major technical and system integration risks on the program; 2) identify major risk reduction tests and demonstrations required to validate the ability to achieve the XS-1 performance goals, culminating with an XS-1 demonstration in Phase III; and 3) define credible intermediate performance objectives (success criteria) associated with each of these critical tests and demonstrations.

Preliminary Design Review will be a tailored formal review which will ensure that the performer’s design is ready to proceed into detailed design. The design will be evaluated to determine if stated performance requirements can be met within program cost, schedule, risk, and other system constraints. The intent is to enable a detailed program plan and costing for the remaining phases and provide guidance for the detailed design effort with few significant changes. The PDR will look at two types of products:

technical and programmatic.

Phase I Final Report will be a full report that details all of the Phase I activities and captures the top-level results of all technology trade studies, design performance analyses, and the design evolution of the first stage concepts.

Mid-phase Risk Reduction Review will be used to focus and tailor the performer’s risk reduction efforts.

Final Risk Reduction Review will be a tailored formal review that details all the risk reduction activities performed, and provides a plan for incorporation of the technologies into subsequent phases of the program.

C. Phase I Schedule and Deliverables:

The Government plans for quarterly Program Management Reviews and monthly Technical Interchange Meetings (TIMs) as required. In general, the TIMs will be conducted via teleconferences unless specific subjects require face-to-face meetings. The contractor shall propose a tailored review process that gives the Government adequate insight while enabling a streamlined fast track management process. Based on the results of Phase I and funding availability, if the Government pursues Phases II/III, then Phase I prime performers will be given updated proposal guidance at the end of month nine.

Submission of proposals to Phases II/III is optional, and associated proposal preparation costs will not be reimbursed. If requested, such proposals will be due 30 days prior to the end of Phase I. The following section recommends a potential schedule and deliverables.

Phase I Schedule: Program Meetings/Deliverables:

Month 0 Contract Award / Kickoff

Month 6 Mid-phase Conceptual Design and System Requirements Review for system design task performers.

Month 6 Mid-phase Risk Reduction Review for risk reduction task performers.

Month 9 Technology Interchange Meeting, Deliver draft Technology Maturation Plan

Month 12 Final Risk Reduction Review for task performers.

Month 12 PDR for system design performers.

Month 13 Phase I Final Report and Technology Maturation Plan.

Phase II: Final Design, Fabrication, and Integration Assembly and Test (IA&T)

Phase II is notionally a 30-month effort focused on refining the XS-1 demonstration concept through the Critical Design Review (CDR), performing adequate risk reduction through component ground testing, proceeding into fabrication, performing integration, assembly, and test of the first stage, and completing the Test Readiness Review. Periodic Technology Transition Meetings with industry are expected in Phases II and III.

A. Top level objectives for Phase II include:

1. Develop a detailed design for the XS-1 demonstration system.

2. Develop a tailored Master Test Plan for Phase III.

3. Develop an Airworthiness Certification Plan.

4. Conduct risk reduction activities.

5. Conduct a Critical Design Review.

6. Fabricate the XS-1 Vehicle.

7. Upper stage integration.

8. Conduct Integration Assembly and Test.

9. Conduct a Flight Readiness Review (FRR).

B. Key Milestone Description for Phase II:

Critical Design Review is a tailored multi-disciplined technical review to ensure that the demonstration system is ready for fabrication, integration, assembly, and test. The design will be evaluated to determine if stated performance requirements can be met within program cost, schedule, risk, and other system constraints. Subsystem milestone definition will be the responsibility of the performer. The CDR will also consist of reviewing the design documentation that is involved with the tailored airworthiness plan.

Test Readiness Review is a multi-disciplined technical review conducted to ensure the system is ready to proceed into the formal flight testing phase.

Phase II Final Report and Engineering Data includes a full report that details all of the Phase II activities, capturing the top-level results of all technology trade studies, design performance analyses, and the design evolution of the first stage, upper stage, and component technologies. Engineering data consists of data files, in the performer’s preferred formats, that are necessary to understand and model the vehicle system.

C. Phase II Schedule and Deliverables:

Phase II Schedule: Program Meeting/Deliverables:

Month 25 CDR and progression into Fabrication

Month 25 Upper stage selection complete

Month 37 Start of first stage IA&T

Month 43 Final Flight Readiness Review, Final Report, and Engineering Data

Phase III: System Testing, Flight Testing and Demonstration of the XS-1 System

Phase III is notionally a 9-month effort focused on system testing and successful demonstration of the XS-1 system.

A. Top level objectives for Phase III include:

1. Obtain airworthiness approval.

2. Conduct Test Readiness Reviews as needed.

3. Conduct pre-flight tests.

4. Conduct First Flight.

5. Perform envelope expansion testing.

6. Perform rapid flight operation testing (10 flights in 10 days).

7. Fly to at least Mach 10.

8. Orbital Launch.

B. Key Milestone Description for Phase III:

First Flight is the successful functional checkout flight of the XS-1 system.

Rapid Flight Ops Testing is the successful demonstration of the XS-1 system flying 10 times within 10 consecutive days. There are no specific Mach number or trajectory requirements for rapid flight ops testing.

Mach 10 Flight is the successful demonstration of the XS-1 system flying to a speed equal to or greater than Mach 10.

Orbital Launch is the successful launch (upper stage payload is TBD) of a payload into Low Earth Orbit (LEO).

Final XS-1 Program Report and Test and Engineering Data details the activities performed in all phases of the program. Details regarding Phase III activities will include: top-level results of all testing; changes required to the vehicle’s design and operational processes as well as lessons learned over the course of the test program; and a comparison of actual performance to projected performance, with explanations regarding any significant discrepancies between projected and actual performance. Test and Engineering Data consists of flight test data files and any updated data files (in performer’s preferred formats) necessary to understand and model the vehicle system.

C. Phase III Schedule and Deliverables:

Flight Readiness Reviews are expected to be conducted prior to the execution of every major section of the flight test program (First Flight, Envelope Expansion, Rapid Operation, Orbital Launch, and Mach 10 Flight). Additionally, the flight test team is expected to perform daily pre- and post-flight test ops meetings. All flight tests are to be included within the Phase II/III design-to-cost goal.

Phase III Schedule: Program Meeting/Deliverables:

Month 44 First Flight

Month 48 Rapid Operations Test (10 flights in 10 days)

Month 50 Mach 10 Flight

Month 51 Orbital Launch Flight

Month 52 Final XS-1 Program Report and Test and Engineering Data

II. Award Information

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

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. V.), 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 provide requested additional information in a timely fashion. Proposals identified for negotiation may result in a procurement contract or other transaction, depending upon the nature of the work proposed, the required degree of interaction between parties, 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. 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.

B. 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 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."

As of the date of publication of this BAA, the Government expects that program goals as described herein either cannot be met by proposers intending to perform fundamental research or the proposed research is anticipated to present a high likelihood of disclosing performance characteristics of military systems or manufacturing technologies that are unique and critical to defense. Therefore, the Government anticipates restrictions on the resultant research that will require the contractor to seek DARPA permission before publishing any information or results relative to the program.

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 e-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_Cente r.aspx.

III. Eligibility Information

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

A. Eligible Applicants

1. 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.

2. Federally Funded Research and Development Centers (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 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.

All proposers are expected to address transition (see section of BAA of proposal format under IV.B); transition is part of the evaluation criteria in section V.A. However, given their special status, FFRDCs should describe how and when a proposed technology/system will transition to which Non-FFRDC organization(s).

3. Due to security requirements associated with XS-1, only U.S.

entities who are capable of receiving, processing, and storing export-controlled information associated with this effort are eligible for award. Foreign participants and/or individuals may participate as subcontractors or consultants to the extent that such participants comply with necessary security regulations, export control laws, International Traffic in Arms Regulations (ITAR), and other governing statutes applicable under the circumstances.

Since DARPA does not intend to provide export controlled data to any international participants, proposers are reminded that implementation of applicable agreements and licenses is the responsibility of the proposer.

B. 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). 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. 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 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 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 DARPA-BAA-14-01@darpa.mil before time and effort are expended in preparing a proposal and mitigation plan.

C. 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.

D. Other Eligibility Criteria

1. Collaborative Efforts

Collaborative efforts/teaming are encouraged. Specific content, communications, networking, and team formation are the sole responsibility of the participants.

IV. Application and Submission Information

A. 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, nor will a formal Request for Proposal (RFP) or additional solicitation regarding this announcement be issued. Requests for the same will be disregarded.

B. Content and Form of Application Submission

1. Security and Proprietary Issues

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

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 Classified Document Registry (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: TTO

Reference: DARPA-BAA-14-01 675 North Randolph Street

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

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 notification that a proposal was not selected.

2. Proposal Submission Information

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.

Proposals 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.

Proposers must submit an original and four (4) additional copies of the proposal, as well as two (2) electronic copies of the proposal in PDF on CD/DVD, with each

CD/DVD considered a single electronic copy. No additional copies should be sent. Each copy must be clearly labeled with DARPA-BAA-14-01, proposer organization, proposal title (short title recommended), and Copy X of X.

All administrative correspondence and questions on this solicitation, including requests for information on how to submit a proposal to this BAA, should be directed to DARPA-BAA-14-01@darpa.mil. DARPA intends to use electronic mail for correspondence regarding DARPA-BAA-14-01. 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.

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. The page limitation for proposals includes all figures, tables, and charts. It is suggested that Volume I, Technical and Management Proposal, 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. Should such a bibliography be provided, the references should be cited in the proposal text where appropriate. Electronic copies of all unpublished papers and notes cited must be included within a subdirectory of the submitted CDs/DVDs. When not otherwise prohibited by copyright restrictions, electronic copies of cited publications that are fifty (50) pages or fewer should also be provided within a subdirectory of the submitted CDs/DVDs. The bibliography and included papers are not included in the page counts given below.

An executive summary brief in PowerPoint format that reflects the content and claims in the proposal shall be provided on the two submitted CD/DVDs, as well as in the four hard copies of the proposal. A template for the brief has been provided as an addendum to this BAA. The Government strongly encourages that figures utilized in the proposal be provided as high-quality images, in their original formats when possible, and included separately within a subdirectory of the CD/DVDs. The submission of other supporting materials along with the proposals is strongly discouraged and will not be considered for review. Section II of Volume I, Technical and Management Proposal, shall not exceed 25 pages total. Section III of Volume I shall not exceed 35 pages total, excluding the Proposer’s Statement of Work (SOW) and Integrated Master Schedule (IMS). All pages that exceed the maximum page limit specified will be removed and will not be reviewed or considered in the evaluation. Recapitulation of Volume I, Section II material in Volume I, Section III should be minimal. The Cost Proposal (Volume II) does not have a page limit.