DARPA-BAA-14-27.pdf

Broad Agency Announcement

Upward Falling Payloads Phase 2 and Phase 3

STRATEGIC TECHNOLOGY OFFICE

DARPA-BAA-14-27

March 25, 2014

DARPA-BAA-14-27, Upward Falling Payloads Phase 2 and Phase 3

TABLE OF CONTENTS

Part One: Overview Information

Part Two: Full Text of Announcement

1. FUNDING OPPORTUNITY DESCRIPTION

1.1 PROGRAM OVERVIEW

1.1.1 Technical Area A: Upward Falling Payload Nodes

1.1.2 Technical Area B: Upward Falling Payload Communications

1.1.3 Program Phases

1.1.3.1 Phase 2

1.1.3.2 Phase 3

1.2 PROGRAM METRICS

2. AWARD INFORMATION

2.1 FUNDAMENTAL RESEARCH

3. ELIGIBILITY INFORMATION

3.1 ELIGIBLE APPLICANTS

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

3.1.2 Non-U.S. Organization……………………………………………………………...13

3.1.3 Applicants Considering Classified Submissions…………………………………..13

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 CONTENT AND FORM OF APPLICATION SUBMISSION

4.2.1 Security And Proprietary Issues

4.2.2 Proposal Abstract Information

4.2.3 Proposal Information

4.2.4 Correspondence

4.2.5 Restrictive Markings

4.3 FORMATTING CHARACTERISTICS

4.3.1 Proposal Abstract Format

4.3.2 Proposal Format

4.4 SUBMISSION DATES AND TIMES

4.4.1 Proposal Abstract Submission Deadline

4.4.2 Full Proposal Submission Deadline

4.5 FUNDING RESTRICTIONS

4.6 OTHER SUBMISSION REQUIREMENTS…………………………………………...28

5. APPLICATION REVIEW INFORMATION

5.1 EVALUATION CRITERIA

5.1.1 Overall Scientific and Technical Merit

5.1.2 Potential Contribution and Relevance to the DARPA Mission

5.1.3 Proposer’s Capabilities and/or Related Experience

5.1.4 Cost 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 Subjects Research

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 System for Award Management (SAM) Registration and Universal Identifier Requirements

6.2.9 Reporting Executive Compensation and First-Tier Subcontract Awards

6.2.10 Updates of Information Regarding Responsibility Matters

6.2.11 Representations by Corporations Regarding an Unpaid Delinquent Tax Liability or a Felony Conviction Under Any Federal Law – Fiscal Year 2014 Appropriations (Deviation 2014- OO00009)

6.2.12 Cost Accounting Standards (CAS) Notice and Certification

6.2.13 Controlled Unclassified Information (CUI) on Non-DoD Information Systems 34

6.3 REPORTING

6.4 ELECTRONIC SYSTEMS

6.4.1 Representations and Certifications

6.4.2 Wide Area Work Flow (WAWF)

6.4.3 i-EDISON

7. AGENCY CONTACTS

8. OTHER INFORMATION

8.1 INTELLECTUAL PROPERTY

8.1.1 Procurement Contract Proposers

8.2 NONPROCUREMENT CONTRACT PROPOSERS - NONCOMMERCIAL AND

COMMERCIAL ITEMS (TECHNICAL DATA AND COMPUTER SOFTWARE)

8.3 ALL PROPOSERS – PATENTS

8.4 ALL PROPOSERS-INTELLECTUAL PROPERTY REPRESENTATIONS

9. APPENDIX 1: PROPOSAL SLIDE SUMMARY

10. APPENDIX 2: DARPA BAA-14-27 MISSION AND METRICS ADDENDUM,

SECURITY GUIDE, AND DD254 REQUEST FORM

11. APPENDIX 3: Volume 1 cover sheet template

12. APPENDIX 4: Volume 2 cover sheet, checklist and sample templates

Part One: Overview Information

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

• Funding Opportunity Title – Upward Falling Payloads Phase 2 and Phase 3

• Announcement Type – Initial Announcement.

• Funding Opportunity Number – DARPA-BAA-14-27

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

• Dates o Posting Date: March 25, 2014 o Proposers’ Day: March 31, 2014 o Request for 14-27 UFP Data Package: April 4, 2014 o Questions Due Date: April 7, 2014 o Proposal Abstract Due Date: April 14, 2014 o Proposal Due Date: May 21, 2014 o BAA Closing Date: September 19, 2014 o Types of Instruments that may be awarded - Procurement contract or other transaction

• Agency contact The BAA Coordinator for this effort may be reached at:

DARPA-BAA-14-27@darpa.mil.

DARPA/STO

ATTN: DARPA-BAA-14-27

675 North Randolph Street Arlington, VA 22203-2114 mailto:DARPA-BAA-14-27@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.

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, https://www.fbo.gov/.The following information is for those wishing to respond to the BAA.

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

1.1 PROGRAM OVERVIEW

In 2013, DARPA initiated a Phase 1 effort for the Upward Falling Payloads (UFP) Program.

This BAA seeks proposals to support Phase 2 development and Phase 3 integration and demonstration of UFP systems.

As for the Phase 1 effort, the motivations for the program remain the same. Specifically, cost and complexity limit the number of ships and weapon systems the Navy can support in forward operating areas. This concentration of force structure is magnified as areas of contested environments grow. A natural response is to develop lower-cost unmanned and distributed systems that can deliver effects and situation awareness at a distance. However, power and logistics to deliver these systems over vast ocean areas limit their utility. The UFP approach averts solutions to deploy technology from legacy platforms or to grow the complexity and reach of unmanned systems. Instead, the approach centers on pre-deploying deep-ocean nodes years in advance in forward areas which can be commanded from standoff to deliver a wide range of unmanned and distributed systems to the sub-surface, surface, and air.

Nearly 50% of the world's oceans are between 4-6 kilometers (km) deep, which provides a vast area for concealment and storage. As a consequence, the cost to an adversary to retrieve a properly designed UFP node is asymmetric with the cost to produce and distribute them on the seafloor. The concealment of the sea also provides opportunity to surprise maritime targets from below.

For Phase 1, the UFP system was described as consisting of three key subsystems: the ‘payload’, which executes waterborne or airborne applications after being deployed to the surface; the UFP ‘riser’, which provides pressure tolerant encapsulation and launch of the payload; and the UFP communications, which triggers the UFP riser to launch. Phase 1 awards were made across all three technology areas with the view that these subsystems could be decoupled and separately developed. Phase 1 findings determined that decoupling the riser and payload limited the ability to achieve more tailored solutions.

This BAA solicits proposals for two Technical Areas. For Technical Area A, proposals are sought for the development of an integrated UFP node where a node consists of the riser and its payload. For Technical Area B, proposals are sought for the development of UFP communications.

Abstract submissions are encouraged prior to submission of full proposals. (More information about abstract submission can be found in Section 4.3).

For proposals to be considered, eligible proposers (primes) must have the capability to conduct research at the DoD Secret level. More information about this requirement is found in Section

4.2 and Section 5.1.3.

1.1.1 Technical Area A: Upward Falling Payload Nodes

Proposals for Technical Area A should describe designs and development plans for UFP nodes that combine riser and payload technology. The main design metrics for the UFP node are the following: the node must survive at greater than 6 km of depth, last up to 5 years, and operate in less than two hours after commanded to launch from the seafloor. Unlike in Phase 1, UFP nodes should have the capability to provide health status when commanded to do so and as frequently as needed when considering the design proposed.

Metrics for coverage and endurance are mission dependent. Proposals should specify the mission, clarify the key capability metrics, and trace the metrics to the technical objectives of the hardware. The proposal should provide a technology development plan to achieve the technical metrics and should define key milestones that show progress toward achieving the capability metrics. System cost analysis that shows affordability relative to legacy or future alternative approaches is helpful in justifying the usefulness of a UFP system concept. Further consideration for UFP missions, conditions, coverage, and endurance are provided in the limited distribution Mission and Metrics Addendum which should be reviewed before submitting a proposal.

For Phase 1, design work was done to show the viability of riser technologies capable of encapsulating payloads within a range of dimensions (diameters from 7-17 inches; lengths typically from 0-48 inches). These risers supported payloads with a range of weights (typically 10-200 lbs). Basic riser designs were made of metal, ceramic, or fiber composite material, and served to provide 1-atmosphere encapsulation. Some risers were multi-launch systems whereas others were single-launch units. This information serves as a reference only and suggests a natural trend in designs. Proposed solutions need not be constrained to conform to these design envelopes or approaches. For Phase 1, the cost estimates for the riser designs varied, but acceptable costs depended on the number of UFP nodes needed, which, in turn, depended on the payloads and their mission. Proposals will need to describe designs that marry the appropriate riser technology and payload for the intended mission.

Payloads should be justified in terms of their relevance to achieve UFP advantages of deep-water pre-deployment and rapid response at an affordable price point. While achieving the overall UFP system carries significant challenges, payload subsystems which carry little technical risk are acceptable when such technology provides compelling military capability uniquely realized by the UFP concept. Furthermore, carefully tailored and integrated UFP nodes incompatible for retrofitting future unforeseen subsystems are less attractive but acceptable when necessary to achieving an intended and compelling mission.

1.1.2 Technical Area B: Upward Falling Payload Communications

Proposals for Technical Area B should describe designs and development plans for UFP communications. The goals for UFP communications remain intact from Phase 1 with a few exceptions. UFP communications are still required to wake and trigger UFP nodes from standoff.

However, based on findings in Phase 1, the coverage metric for the communications subsystem is relaxed to provide flexibility to a broader range of missions. While communication to any point over a large basin-scale area is desirable, fixed communication paths to specific points within a coverage area are acceptable. This presumes that such paths provide communications to strategic positions of interest and offset the need for legacy platforms to command a UFP node from close range. Phase 1 studies also revealed that health status reporting methods were tightly coupled to the UFP node designs. Therefore, the communications subsystem is no longer required to communicate the health status of a UFP node, but it should be able to query a UFP node to provide health status.

Hardware for receivers and transmitters must be designed and developed as part of the complete solution. Goals for size, weight, power, and cost of an eventual system should be identified and should be minimized for eventual transition. Overt communications that operate in close proximity to the UFP node or that are vulnerably exposed are acceptable but less attractive than methods that permit greater standoff and have a low-probability of intercept.

Proposals should establish an operating point for true and false trigger probability, communications latency, and bandwidth. Proposals should describe strategies for achieving this operating point, as well as a development plan with milestones that retire key risks in a logical manner. The Mission and Metrics Addendum provides specific thresholds for communications latency and the number of nodes to command.

Design data in the form of interface documentation must be provided throughout the program so that developers of UFP nodes can incorporate the necessary hardware and software. Proposals should include a description of the design data to be provided. The minimum documentation required is a detailed Interface Control Document. This document is expected to be updated as the program progresses, so a delivery schedule for this data must be proposed.

1.1.3 Program Phases

Proposers should bid separable, sequential efforts referred to as Phase 2 and Phase 3. Phase 3 should be proposed as an Option. Full cost proposals are sought for both Phases. Proposers should bid both Phases.

1.1.3.1 Phase 2

Phase 2 should be completed by 2QFY16 with awards expected to occur before September 2014.

Phase 2 will serve to develop UFP subsystems capable of meeting intermediate metrics found in Section 1.2 and found in the limited distribution Mission and Metrics Addendum. For Technical Area A, Phase 2 should lead to the demonstration of a UFP node capable of launching a working payload from full depth (> 6km) using surrogate or simulated communications. For Technical Area B, Phase 2 should lead to the demonstration of UFP communications capable of triggering a UFP node (surrogate) at full depth (> 6km). UFP subsystems should achieve technology readiness levels (TRL) of 4-5.

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

While proposals may include a range of developmental testing, for planning purposes the government expects to support two major demonstration sea tests in the Western Pacific for Phase 2. Opportunities for at-sea testing in the Western Pacific are estimated to occur during 2QFY15 and 1QFY16. These tests will include one research vessel shared by multiple performers, and should be assumed as GFS. While Western Pacific testing is a likely venue, demonstrations in the Atlantic, off of Hawaii, or other areas may be adequate for some applications and may be more cost effective for the government. Performers should indicate and rationalize alternative testing venues for consideration if applicable.

Proposals should describe UFP subsystem design, mission (payloads), capability metrics, and technical metrics. Proposals should describe the technical approach and plan to achieve the Phase 2 goals. The proposed effort should include a critical design effort, hardware development, testing, and systems analysis supportive of the design and projected capability and cost.

Proposals should include planning to support government reviews. Section 6.2.1 provides more information. Reporting should include monthly financial and technical status, as well as inputs into test planning. Final reporting for the Phase 2 effort must include: Critical designs of Phase 2 UFP subsystems, updated Phase 3 UFP subsystem designs (if any), updated Phase 3 plans for development, and a summary of Phase 2 testing results and lessons learned. In addition to the reports detailed above, UFP communications performers under Technical Area B must provide an Interface Control Document.

1.1.3.2 Phase 3

Phase 3 (Option) should be completed by 3QFY17 and should serve to integrate all key subsystems. Phase 3 will serve to integrate UFP communications and UFP nodes capable of meeting final metrics found in Section 1.2 and found in the limited distribution Mission and Metrics Addendum. This integrated system should remotely command multiple UFP nodes to launch working payloads from full depth. Performers for Technical Area A will need to demonstrate greater endurance at full depth (>6 km) and will need to show the use of multiple spaced nodes. Performers from Technical Area B will need to reliably command multiple UFP nodes to launch while holding the communications latency from Phase 2 constant. Phase 3 UFP subsystems should achieve TRL 6.

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

While proposals may include a range of developmental testing, for estimation purposes the government expects to support at least one major sea test in the Western Pacific for Phase 3 in 2QFY17. While Western Pacific testing is a likely venue, demonstrations in the Atlantic, off of Hawaii, or other areas may be adequate for some applications. Performers should indicate and rationalize alternative testing venues for consideration if applicable.

Proposals should describe the technical approach and plan to achieve the Phase 3 goals. The technical approach for Phase 3 should include latitude to account for minor refinements based on Phase 2 progress. Design effort and analysis should address integration into warfighting systems and should address projections of future production costs relevant to the transition of the program.

Proposals should include planning to support government reviews. Section 6.2.1 provides more information. Reporting should include monthly financial and technical status, as well as inputs into test planning. At the completion of Phase 3, all hardware and software should be delivered to the government, and all final reports should provide detailed documentation for the government to assess capability and replicate the system technology. Documented source code should be included as part of the final delivery. The Evaluation Criteria in Section 5 highlights the merits of unlimited government rights to software, which is further addressed in Section 7.

1.2 PROGRAM METRICS

In order for the Government to evaluate the effectiveness of a proposed solution in achieving the stated program objectives, proposers should note that the Government hereby promulgates the following program metrics that may serve as the basis for determining whether satisfactory progress is being made to warrant continued funding of the program. Although the program metrics are identified in Appendix 2, proposers should note that the government has identified these goals with the intention of bounding the scope of effort, while affording the maximum flexibility, creativity, and innovation in proposing solutions to the stated problem.

Successful completion of the program will realize the ability to command UFP nodes stored in the deep ocean (> 6km) for extended duration (> 5 years; demonstration durations shorter) and rapid deployment (< 2 hours). Further description of UFP coverage and endurance leading to the scalability of the system is addressed in the limited distribution Mission and Metrics Addendum.

The Addendum also clarifies intermediate metrics and methods for demonstrating success.

Qualified bidders should request the Addendum by following instructions in Section 4.1 and should review prior to submitting an abstract or proposal.

2. AWARD INFORMATION

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

For Phase 2 of this BAA, DARPA expects, but is not bound, to award $21M to multiple contracts. For Phase 3 of this BAA, DARPA expects, but is not bound, to award $17M to multiple contracts by means of a contract modification to exercise the Option on the contract.

DARPA expects, but is not bound, to award approximately two to four awards for Technical Area A, and approximately one to two awards for Technical Area B. These funding estimates do not include funds for GFE and GFS testing which is separately budgeted for the program.

Proposals are not constrained to the limits of expected funds, and should not constrain ambitious and compelling proposals. However, additional burden is on the proposer to make the case for exceeding these expectations. Technical and cost proposals should organize planned effort into separable tasks to maximize flexibility in awarding contracts while identifying any synergistic cost savings resulting from an award of more than one technical area.

The Government reserves the right to select for negotiation all, some, one, or none of the proposals received in response to this solicitation, and to make awards without discussions with proposers. The Government reserves the right to award the Option for Phase 3 work on all, some, one, or none of the contracts awarded under this solicitation. 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 in Section 5 of this BAA, entitled “Application Review Information” 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.

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 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 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-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

3.1 ELIGIBLE APPLICANTS

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

3.1.1 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 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 mailto:prc@darpa.mil 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.

3.1.2 Non-U.S. Organizations

Non-U.S. organizations are/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.

3.1.3 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). 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 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 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-14-27@darpa.mil 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 notice, along with the limited distribution Mission and Metrics addendum, industry day material, and security classification guide 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.

A formal request for the limited distribution material and classified material from industry day may be submitted using the Data Request Form (found in APPENDIX 2 to this BAA) and emailing the Request Form to DARPA-BAA-14-27@darpa.mil with subject line titled “Request DARPA-BAA-14-27 UFP Data Package. Proposers are encouraged to submit this request no later than April 4, 2014 to allow for adequate time for delivery of classified material. The DARPA-BAA-14-27 Data Request Form is the only method of request that will be accepted. All requestors will receive a confirmation email with a delivery tracking number. Prior to receipt of any classified information, proof of facility clearance level (FCL) must be validated by the Program Security POC before any classified documentation on the BAA is sent to the performer.

4.2 CONTENT AND FORM OF APPLICATION SUBMISSION

4.2.1 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.

mailto:DARPA-BAA-14-27@darpa.mil

The effort being solicited by this BAA is classified or otherwise involves access to or generation of classified information. Security classification guidance via a DD Form 254, “DoD Contract Security Classification Specification,” is provided as an attachment to the BAA. While unclassified proposals may be submitted, proposers should review the security classification guide before submitting their proposal. All awarded contracts will require a Form DD254 to permit access classified information.

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

Performers shall certify all industrial, personnel, and information system processing requirements are in place to enable storage, processing, discussion, and personnel clearances at the SECRET level IAW DoD 5220.22M (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 submission responding to this BAA or certify these requirements can be met prior to government fiscal year 2015. Evaluation criteria related to this requirement is provided in Section 5.1.3.

The effort being solicited by this BAA is classified SECRET or otherwise involves access to or generation of classified information. A formal request for the DARPA-14-27 Security Classification Guide may be submitted by filling out the Data Request Form (found in APPENDIX 2 to this BAA) as instructed above.

Please specify on APPENDIX 2 if you need the entire packet in paper form only. Otherwise, all packets will be sent as a CD. Proposers must demonstrate ability to receive and access DoD Collateral Secret material to receive secret material. Unclassified limited distribution data will only be sent to qualifying recipients as well. All appropriate security safeguards must exist prior to receiving classified data. No extension of the proposal due date will be granted based on inability to acquire security accreditations in a reasonable timeframe.

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 Reference: DARPA-BAA-14-27 675 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 unsuccessful notification.

4.2.2 Proposal Abstract Information

Proposers are strongly encouraged to submit a proposal abstract in advance of a proposal. This procedure is intended to minimize unnecessary effort in proposal preparation and review. The time and date for submission of proposal abstracts is specified in Section 4.4.1 below. Late abstracts will not be reviewed. DARPA will acknowledge receipt of the submission and assign a control number that should be used in all further correspondence regarding the proposal abstract.

DARPA will respond to abstracts with a statement as to whether DARPA is interested in the idea. DARPA will attempt to reply to abstracts in writing within fifteen (15) calendar days of receipt. DARPA will provide feedback to the proposer regarding the rationale for the recommendation. 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.

For Proposers Submitting Proposal Abstracts as Hard Copies/On CD-ROM (if applicable):

A hardcopy original of the proposal abstract and one (1) electronic copy of the abstract [in PDF (preferred)] on a CD-ROM shall be submitted.

For Proposers Submitting Proposal Abstracts through STO’s BAA Submission Portal:

Abstracts sent in response to DARPA-BAA-14-27 may 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. All submissions must be compressed and encrypted as described below. Hard copy abstract and proposal submission is the least preferred method of submission.

All proposals submitted electronically through a DARPA-approved proposal submission website must be encrypted using WinZip ‘compatible’ 256-bit-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-14- 27@darpa.mil) at the time of proposal submission. See https://stobaa.darpa.mil for the encryption password form (via the “Password Form” link along the left side of the homepage).

https://stobaa.darpa.mil/

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 submissions, 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.

4.2.3 Proposal 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 in a single proposal.

Restrictive notices notwithstanding, proposals may be handled, for administrative purposes only, by a support contractor. This support contractor is prohibited from competition in DARPA technical research and is bound by appropriate nondisclosure requirements. Proposals and/or proposed abstracts may not be submitted by fax or e-mail; any so sent will be disregarded.

Proposals not meeting the format described in the BAA may not be reviewed.

For Proposers Submitting Full Proposals as Hard Copies/On CD-ROM ONLY:

Proposers submitting hard copy full proposals must submit a hardcopy original of the proposal and two (2) electronic copies of the proposal [in PDF (preferred)] on a CD-ROM. Each CD- ROM must be clearly labeled with DARPA-BAA-14-27, proposer organization, proposal title (short title recommended), and Copy _ of 2.

For Proposals Being Submitted through STO’s BAA Submission Portal:

Proposers may submit proposals in response to DARPA-BAA-14-27 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. All submissions must be compressed and encrypted as described below. Hard copy abstract and proposal submission is the least preferred method of submission.

All proposals submitted electronically through a DARPA-approved proposal submission website must be encrypted using WinZip ‘compatible’ 256-bit-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-14- 27@darpa.mil) at the time of proposal submission. 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 https://stobaa.darpa.mil/ 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.

4.2.4 Correspondence

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

Questions should be submitted by April 7, 2014. Questions submitted after this date may not be answered.

BAA Administrator E-mail: DARPA-BAA-14-27@darpa.mil

DARPA/STO

ATTN: DARPA-BAA-14-27

675 North Randolph Street Arlington, VA 22203-2114 Office Website: http://www.darpa.mil/Our_Work/STO/ Solicitations Page: http://www.darpa.mil/Opportunities/Solicitations/STO_Solicitations.aspx

DARPA intends to use electronic mail for correspondence regarding DARPA-BAA-14-27.

Proposals and proposal abstracts may not be submitted by fax or e-mail; any so sent will be disregarded. DARPA encourages use of the Internet for retrieving the BAA and any other related information that may subsequently be provided.

4.2.5 Restrictive Markings

All proposals and abstracts should clearly indicate limitations on the disclosure of their contents.

Proposers who include in their proposals data that they do not want disclosed to the public for any purpose, or used by the Government except for evaluation purposes, shall-

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

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

(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.

4.3 FORMATTING CHARACTERISTICS

4.3.1 Proposal Abstract Format

Proposal abstracts are encouraged in advance…