ASTIR_BAA_14-53.pdf

Broad Agency Announcement

Advanced Scanning Technology for Imaging Radars

(ASTIR)

STRATEGIC TECHNOLOGY OFFICE

DARPA-BAA-14-53

August 4, 2014

DARPA-BAA-14-53, Advanced Scanning Technology for Imaging Radars (ASTIR)

TABLE OF CONTENTS

Part Two: Full Text of Announcement

1. FUNDING OPPORTUNITY DESCRIPTION

1.1. PROGRAM OVERVIEW

1.2 Technical Area 1 (TA1) Develop Electronic Sub-Reflector Approaches

1.2.1 Overview of the TA1 effort

1.2.2 TA1 Phase 1

1.2.3 TA1 Phase 2

1.3 Technical Area 2 (TA2) Sensor System Designs and Processing Algorithms

1.4 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. Organizations

3.1.3 Applicants Considering Classified Submissions

3.2 PROCUREMENT INTEGRITY, STANDARDS OF CONDUCT, ETHICAL

CONSIDERATIONS, AND ORGANIZATIONAL CONFLICTS OF INTEREST

3.3 COST SHARING/MATCHING

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 Restrictive Markings on Proposals

4.3 FORMATTING CHARACTERISTICS

4.3.1 Proposal Abstract Format

4.3.2Proposal 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

5. APPLICATION REVIEW INFORMATION

5.1 EVALUATION CRITERIA

5.1.1 Overall Scientific and Technical Merit

5.1.2 Proposer’s Capabilities and/or Related Experience

5.1.3 Cost and Schedule Realism

5.1.4 Potential Contribution and Relevance to the DARPA Mission

5.1.5 Plans and Capability to Accomplish Technology Transition

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-O0004)

6.2.12 Representation by Corporations Regarding an Unpaid Delinquent Tax Liability or a Felony Conviction under any Federal Law—Fiscal Year 2014 Appropriations (Deviation 2014-OO00009)

6.2.13 Cost Accounting Standards (CAS) Notice and Certification

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

6.2.15 Safeguarding of Unclassified Controlled Technical Information

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

8. APPENDIX 1: PROPOSAL SLIDE SUMMARY

9. APPENDIX 2: Volume 1 cover sheet template

10. APPENDIX 3: Volume 2 cover sheet, checklist and sample templates

Part One: Overview Information

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

Funding Opportunity Title – Advanced Scanning Technology for Imaging Radars

(ASTIR)

Announcement Type – Initial Announcement Funding Opportunity Number – DARPA-BAA-14-53 Catalog of Federal Domestic Assistance Numbers (CFDA) - Not applicable Dates o Posting Date : August 4, 2014 o Industry Day: August 18, 2014 o Proposal Abstract Due Date: August 26, 2014 o Final date to submit questions: September 26, 2014 o Proposal Due Date: October 10, 2014 o BAA Closing Date: January 2, 2015

Concise description of the funding opportunity - DARPA is soliciting innovative research approaches imaging radar architecture that use an electronic sub-reflector to produce a more readily available, cost effective sensor solution that does not require platform or target motion.

Anticipated individual awards - Multiple awards are anticipated.

Types of instruments that may be awarded - Procurement contract Agency contact o Points of Contact The BAA Coordinator for this effort may be reached at:

DARPA-BAA-14-53@darpa.mil.

DARPA/STO

ATTN: DARPA-BAA-14-53

675 North Randolph Street Arlington, VA 22203-2114

Part Two: Full Text of Announcement

1. FUNDING OPPORTUNITY DESCRIPTION

The Defense Advanced Research Projects Agency often selects its research efforts through the Broad Agency Announcement (BAA) process. 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 research proposals in the area of innovative imaging radar architectures that can provide high frame-rate, three dimensional imaging of objects through adverse obscurants (fog, smoke, heavy rain, etc.) without requiring target or platform motion. DARPA is interested in concepts that provide efficient beam steering and radar imaging using a single transmit/receive chain and innovative electronic sub-reflector designs. 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

The goal of the Advanced Scanning Technology for Imaging Radars (ASTIR) program is to demonstrate a new imaging radar architecture using an electronic sub-reflector to produce a more readily available, cost effective sensor solution that does not require platform or target motion as in SAR or ISAR. The ASTIR concept will minimize system complexity by using a compound antenna with an electronic sub-reflector and a single transmit/receive chain. The sub-reflector would work in concert with a large primary aperture that would define the angular resolution of the radar.

Possible approaches to achieve imaging/beam-steering with the sub-reflector include (but are not limited to):

Replacing an electro-mechanically displaced mirror, as currently used in some imaging radars, with a planar electronically reflecting surface to do beam steering.

Using phase-shifters on the sub-reflector to steer a small spot across the main reflector.

This small spot is sequentially scanned across the entire main reflector, and synthetic aperture radar (SAR) processing techniques are used to create a fully focused three dimensional image.

Digitally modulating each element on the sub-reflector with an orthogonal phase code.

After the signal is received, digital code-division processing is applied to create digital channels, and then SAR techniques are used to create a fully focused three dimensional image.

For a specific application, the selection of frequency is a tradeoff between frame rate, atmospheric losses, and distance requirements. This program focuses on the technology applicable over the frequency space from 70-700 GHz.

Key program goals:

Provide high resolution three-dimensional imaging for enhanced identification and targeting, independent of platform or target motion

Produce video frame rates (>10 Hz) to provide well-focused images even when there is platform or target motion

Imaging/beam-steering with a single transmit/receive chain to reduce system complexity

The overall ASTIR program has three elements, of which this BAA is one.

BAA-14-53. Under this BAA, DARPA will develop and characterize innovative approaches that can provide cost-effective means of creating an electronic sub-reflector which can be used with a larger aperture to generate three dimensional images of stationary and moving objects.

Mission Application Study. In parallel with BAA-14-53, a Government team will conduct mission studies to identify potential military applications of this technology and define sensor requirements needed to address those applications.

System Build and Demonstration. Based on the results of BAA 14-53 and the outcome of the Mission Application Study, DARPA intends to issue a second BAA for a System Build and Demonstration. That effort will design, develop and demonstrate one or more prototype imaging radar system(s) that utilize the technologies developed under this program to address a specific military application. This second BAA is anticipated to occur in FY16.

There are two technical areas of this BAA. Proposals should address each technical area individually. Proposers are free to submit proposals for one technical area or for both technical areas. If proposers submit proposals for both technical areas, then these should be submitted as two distinct proposals, one for the first technical area and one for the second technical area.

1.2 Technical Area 1 (TA1) Develop Electronic Sub-Reflector Approaches

1.2.1 Overview of the TA1 effort

The Technical Area 1 (TA1) effort will develop and characterize innovative approaches for creating an electronic sub-reflector which can be used for beam steering or imaging while minimizing overall system cost and complexity. The TA1 effort will culminate with a laboratory test demonstrating that the approach can provide the required performance.

This technical area constitutes the primary revolutionary element of this program. Numerous techniques for beam steering, ranging from varactor tuned array elements, integrated phase shifter, and laser induced diffraction patterns have been investigated. This BAA is not interested in any specific technical approach. Rather it is interested in any technology that can be applied over a broad frequency range to control the signal reflected from a sub-reflector which is an integral element in a compound antenna system. The proposer should present their concept for an innovative electronic sub-reflector and describe how they will design, fabricate, integrate and test a prototype system. The proposer should propose a system goal that their system should be able to achieve, and then discuss how they will verify those goals via analysis, simulation and/or measurements. At a minimum, the system goals will include the parameters below (example values provided for clarity only):

• Frequency range over which technology is applicable. Example: 70-340 GHz

• Manufacturable Area. Example value: ≥ 0.2 m x 0.2m (0.04 square meters)

• Instantaneous bandwidth. Example: at least 5%

• Scan angle. Example: ± 45 degrees

• Switching speed. Example: < 1microsecond

• Power handling. Example: > 100mW/cm^2.

• RF Loss. Example: < 2 dB one-way

The cost, complexity, and technical risk associated with the electronic sub reflector approach should also be assessed.

This effort will conclude with a Principal Investigator (PI) review to establish potential sensor capabilities and explore opportunities for military applications.

Proposals should describe the deliverables (and deliverables schedule) for each phase. At a minimum the deliverables will include the items in the table below:

Phase 1 Phase 2 Monthly Status Reports (technical and financial) Monthly Status Reports (technical and financial) Electronic Sub-Reflector Trade Study Prototype Test Plan

System Integration and Test Plan Prototype Test Report All software developed in Phase 1 Prototype Hardware and software

Final Report for Phase 1 Final Report for Phase 2

Proposers should identify any intellectual property claims associated with their approach and any restrictions on deliverables, as noted in Section 8 of this BAA. The Final Report and other reporting deliverables should have a main body that does not include any restrictions. If there are materials with data rights restrictions these materials should be included in annexes.

Proposers should submit a proposal that covers both Phase 1 and Phase 2 of TA1. This should be structured as a base effort for Phase 1 and a separately priced option for Phase 2.

1.2.2 TA1 Phase 1

The TA1 Phase 1 effort will develop the design for an electronic sub-reflector for a compound antenna with a single transmit/receive chain. The Phase 1 effort will conduct trade studies to develop approaches that maximize system performance and minimize overall system complexity and technical risk. As part of the Phase 1 tradeoffs, the performers should identify key technologies that are critical to the success of their approach and present their plan on how to retire technical risks during the effort. As discussed above, the proposer shall define the system goals for their concept and shall conduct analyses and simulations to demonstrate how the proposed system will meet those goals.

The Phase 1 effort will develop a sub-reflector system integration and test plan describing the approach that will be used in Phase 2 to develop and test a prototype hardware system to verify the approach and address areas of technical risk. The sub-reflector system integration and test plan should describe how the key components will be designed, developed, fabricated and/or acquired, and how the components will be integrated into the prototype system. This plan should also specify the RF performance requirements for each component of the system. The sub-reflector system integration and test plan should describe the unit level and system level testing that will be done in Phase 2 to demonstrate the approach. It will also describe the algorithms and the approach used for developing the software and firmware for the system.

Phase 1 will conclude with a Principal investigator (PI) review to determine the best design concepts to continue into Phase 2. Proposers should identify any restrictions that they will have on briefing the Phase 1 results at the Phase 1 PI review.

It is anticipated that the TA1 Phase 1 effort will last six months. For Phase 1, DARPA intends to make multiple awards.

1.2.3 TA1 Phase 2

Phase 2 of TA1 will be a separately priced option to develop and test the prototype electronic sub-reflector system designed in Phase 1. Based on the system integration and test plan (developed in Phase 1) the Phase 2 effort will develop the prototype sub-reflector system. The performer will design, develop, fabricate and/or acquire the components, and integrate these into the prototype sub-reflector system. This effort will include developing and testing all software and firmware required to operate the sub-reflector system and process the data. The performer will conduct unit level and system level testing to characterize performance and validate the design work as predicted.

This phase will conclude with a second PI review to establish potential sensor capabilities and opportunities for a military applicable system for the anticipated ASTIR System Build and Demonstration BAA in FY16.

The TA1 Phase 2 effort will last 18 months.

1.3 Technical Area 2 (TA2) Sensor System Designs and Processing Algorithms

Technical Area 2 (TA2) will develop sensor system designs and processing algorithms for imaging radar systems based on an electronic sub-reflector.

This effort will develop new processing algorithms that can process the data to steer the beam and generate focused three-dimensional images at high frame rates. The technical challenges include efficient processing for steering and shaping the beam, wide-band beam steering algorithms to correctly focus the beam across the entire band, and advanced calibration approaches to compensate for non-ideal element patterns and non-ideal reflector shape. Motion compensation and autofocus techniques based on Synthetic Aperture Radar (SAR) and Inverse Synthetic Aperture Radar (ISAR) SAR and ISAR algorithms will be needed to compensate for platform/array motion and target motion when present.

This effort will also develop system designs for an end-to-end radar system that uses an ASTIR-type electronic sub-reflector for beam steering and imaging. The proposer should propose system performance goals that their system concept can provide and shall conduct analyses and/or simulation to demonstrate that their approach can meet those goals.

There is only one phase for the TA2 effort.

It is anticipated the TA2 effort will last 12 months. DARPA intends to make multiple awards to developers that offer compelling design concepts enabled through innovative approaches.

This effort will conclude with a Principal Investigator (PI) review to establish potential sensor capabilities and explore opportunities for military applications.

Proposals should describe the deliverables (and deliverables schedule). At a minimum the deliverables will include the items below:

-Monthly Status Reports (technical and financial) -Processing Algorithm Trade Study (to include descriptions of the algorithms) -Software/MATLAB implementing the algorithms -System Design and Performance Predictions -Final Report

Proposers should identify any intellectual property claims associated with their approach and any restrictions on deliverables in accordance with Section 8 of this BAA. The Final Report and other reporting deliverables should have a main body that does not include any restrictions. If there are materials with data rights restrictions, these materials should be included in annexes.

1.4 PROGRAM METRICS

The proposer should propose system goals that their system should be able to achieve and then discuss how they will verify those goals via analysis, simulation and/or measurements.

Proposals should cite the quantitative and qualitative success criteria that the proposed effort will achieve by the end of each phase of the effort.

2. AWARD INFORMATION

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

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

Awards under this BAA will be made to proposers on the basis of the evaluation criteria listed below (see section labeled “Application Review Information”, Sec. 5.), and program balance to provide overall value to the Government. The Government reserves the right to request any additional, necessary documentation once it makes the award instrument determination. Such additional information may include but is not limited to Representations and Certifications. The Government reserves the right to remove proposers from award consideration should the parties fail to reach agreement on award terms, conditions and cost/price within a reasonable time or the proposer fails to timely provide requested additional information. Proposals identified for negotiation may result in a procurement contract, grant, cooperative agreement, or other transaction depending upon the nature of the work proposed, the required degree of interaction between parties, whether or not the research is classified as Fundamental Research, and other factors.

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

2.1 Fundamental Research

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

“Fundamental research means basic or applied research in science and engineering, the results of which ordinarily are published and shared broadly within the scientific community, as distinguished from proprietary research and from industrial development, design, production, and product utilization the results of which ordinarily are restricted for proprietary or national security reasons.

As of the date of publication of this BAA, the Government 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

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

3.1 ELIGIBLE APPLICANTS

3.1.1 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 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 and/or individuals may participate to the extent that such participants comply with any necessary nondisclosure agreements, security regulations, export control laws, and other governing statutes applicable under the circumstances. See Section 4.2.1 “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 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-14-53@darpa.mil before time and effort are expended in preparing a proposal and mitigation plan.

3.3 COST SHARING/MATCHING

Cost sharing is not required for this program; 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.

4. APPLICATION AND SUBMISSION INFORMATION

4.1 ADDRESS TO REQUEST APPLICATION PACKAGE

This solicitation contains all information required to submit a proposal. No additional forms, kits, or other materials are needed. This notice constitutes the total solicitation. No additional information is available, except as provided at FBO.gov, nor will a formal Request for Proposal (RFP) or additional solicitation regarding this announcement be issued. Requests for the same will be disregarded.

4.2 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.

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. After contract award, DARPA will, at intervals, review progress to determine when or if thresholds are crossed or advances made that might warrant classification, at which time a Security Classification Guide would be prepared and issued.

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

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

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

Classified submissions shall be in accordance with the following guidance:

Confidential and Secret Collateral Information: Use classification and marking guidance provided by previously issued security classification guides, the DoD Information Security Manual (DoDM 5200.01, Volumes 1 - 4), and the National Industrial Security Program Operating Manual (DoD 5220.22-M) when marking and transmitting information previously classified by another Original Classification Authority. Classified information at the Confidential and Secret level may be submitted via ONE of the two following methods:

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

OR

2. Mailed via appropriate U.S. Postal Service methods (e.g., (USPS)

Registered Mail or USPS Express Mail). All classified information will be enclosed in opaque inner and outer covers and double wrapped. The inner envelope shall be sealed and plainly marked with the assigned classification and addresses of both sender and addressee.

The inner envelope shall be addressed to:

Defense Advanced Research Projects Agency ATTN: Strategic Technology Office Reference: DARPA-BAA-14-53

The outer envelope shall be sealed with no identification as to the classification of its contents and addressed to:

Defense Advanced Research Projects Agency Security & Intelligence Directorate, Attn: CDR

All Top Secret materials: Top Secret information should be hand carried by an appropriately cleared and authorized courier to the DARPA CDR. Prior to traveling, the courier shall contact the DARPA CDR at 703-526-4052 to coordinate arrival and delivery.

Special Access Program (SAP) Information: SAP information must be transmitted via approved methods. Prior to transmitting SAP information, contact the DARPA SAPCO at 703-526-4052 for instructions.

Sensitive Compartmented Information (SCI): SCI must be transmitted via approved methods. Prior to transmitting SCI, contact the DARPA Special Security Office (SSO) at 703- 526-4052 for instructions.

Proprietary Data: All proposals containing proprietary data should have the cover page and each page containing proprietary data clearly marked as containing proprietary data. It is the proposer’s responsibility to clearly define to the Government what is considered proprietary data.

Proposers must have existing and in-place prior to execution of an award, approved capabilities (personnel and facilities) to perform research and development at the classification level they propose. It is the policy of DARPA to treat all proposals as competitive information, and to disclose their contents only for the purpose of evaluation. Proposals will not be returned. The original of each proposal received will be retained at DARPA and all other non-required copies destroyed. A certification of destruction may be requested, provided the formal request is received at this office within 5 days after unsuccessful notification.

4.2.2 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 4.5.1 below. DARPA will acknowledge receipt of the submission and assign a control number that should be used in all further correspondence regarding the proposal abstract.

DARPA will respond to abstracts with a statement as to whether DARPA is interested in the idea. DARPA will attempt to reply to abstracts in writing within thirty (30) calendar days of receipt. If DARPA does not recommend the proposer submit a full proposal, DARPA will provide feedback to the proposer regarding the rationale for this decision. Regardless of DARPA’s response to an abstract, proposers may submit a full proposal. Abstracts will be reviewed in the order they are received. DARPA will review all full proposals submitted using the published evaluation criteria and without regard to any comments resulting from the review of an abstract.

Abstracts sent in response to DARPA-BAA-14-53 may be submitted via DARPA's BAA Website (https://baa.darpa.mil). Visit the website to complete the two-step registration process.

Submitters will need to register for an Extranet account (via the form at the URL listed above) and wait for two separate e-mails containing a username and temporary password. After accessing the Extranet, submitters may then create an account for the DARPA BAA website (via the "Register your Organization" link along the left side of the homepage), view submission instructions, and upload/finalize the abstract. Proposers using the DARPA BAA Website may encounter heavy traffic on the submission deadline date; it is highly advised that submission process be started as early as possible.

Technical support for BAA Website may be reached at action@darpa.mil, and is typically available during regular business hours, (9:00 AM- 5:00 PM EST Monday - Friday).

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 into a single proposal.

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

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

The preferred method of proposal submission is through DARPA’s BAA website.

Full proposals sent in response to DARPA-BAA-14-53 may be submitted via DARPA's BAA Website (https://baa.darpa.mil). Visit the website to complete the two-step registration process.

Submitters will need to register for an Extranet account (via the form at the URL listed above) and wait for two separate e-mails containing a username and temporary password. After accessing the Extranet, submitters may then create an account for the DARPA BAA website (via the "Register your Organization" link along the left side of the homepage), view submission instructions, and upload/finalize the proposal. Proposers using the DARPA BAA Website may encounter heavy traffic on the submission deadline date; it is highly advised that submission process be started as early as possible. Classified submissions and proposals requesting assistance instruments (grants or cooperative agreements) should NOT be submitted through DARPA's BAA Website (https://baa.darpa.mil), though proposers will likely still need to visit https://baa.darpa.mil to register their organization (or verify an existing registration) to ensure the BAA office can verify and finalize their submission.

Technical support for DARPA's BAA Website may be reached at action@darpa.mil, and is typically available during regular business hours, (9:00 AM- 5:00 PM EST Monday - Friday).

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 one of the administrative addresses below; e-mail is preferred.

BAA Administrator E-mail: DARPA-BAA-14-53@darpa.mil

DARPA/STO

ATTN: DARPA-BAA-14-53

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-14-53.

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.

4.2.4 Restrictive Markings on Proposals

All proposals should clearly indicate limitations on the disclosure of their contents. Proposers who include in their proposals data that they do not want disclosed to the public for any purpose, or used by the Government except for evaluation purposes, shall-

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

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

(2) Mark each sheet of data it wishes to restrict with the following legend:

Use or disclosure of data contained on this sheet is subject to the restriction on the title page of this proposal.

Markings like "Company Confidential" or other phrases that may be confused with national security classifications shall be avoided. See Section 6.0, for additional information.

4.3 FORMATTING CHARACTERISTICS

4.3.1 Proposal Abstract Format

Proposal abstracts are encouraged in advance of proposals in order to provide potential proposers with a rapid response to minimize unnecessary effort. Proposal abstracts should follow the format provided below. The cover sheet should be clearly marked “PROPOSAL ABSTRACT” and the total length should not exceed 10 pages, excluding cover page and official transmittal letter. All pages shall be printed on 8-1/2 by 11 inch paper with type not smaller than 12 point.

Figures, tables, and charts. The page limitation for proposal abstracts includes all figures, tables, and charts. No formal transmittal letter is required. Maximum page lengths for each section are shown in braces { } below. All proposal abstracts must be written in English.

4.3.1.1. {1} Cover sheet to include:

1. BAA number

2. Technical area (see Sec 1.1)

3. Lead Organization Submitting proposal

4. Type of organization, selected among the following categories: "LARGE

BUSINESS," "SMALL DISADVANTAGED BUSINESS," "OTHER SMALL

BUSINESS," "HBCU," "MI," "OTHER EDUCATIONAL,” or "OTHER

NONPROFIT"

5. Contractor’s reference number (if any)

6. Other team members (if applicable) and type of organization for each

7. Abstract title

8. Technical point of contact to include: salutation, last name, first name, street address, city, state, zip code, telephone, fax (if available), electronic mail (if available)

9. Administrative point of contact to include: salutation, last name, first name, street address, city, state, zip code, telephone, fax (if available), electronic mail (if available)

10. Estimated funds requested from DARPA for each phase proposed and the total estimated proposed cost; and the amount of cost share (if any)

11. Date abstract was prepared.

Abstracts may be structured as you wish. Here is one example of an abstract structure. You may wish to only accept the technical portions and eliminate the teaming/org chart, funding information, and discussion of other research off. The proposer may choose any combination of suggested portions listed below; however, the total length must not exceed the page limit listed in Section 4.3.1.

4.3.1.2 {1} Executive Summary:

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

4.3.1.3 {0.5} Summary of Innovative Claims for the Proposed Research:

Succinctly describe the uniqueness and benefits of the proposed approach relative to the current state-of-art and alternative approaches.

4.3.1.4 {4} Summary of Technical Approach:

The technical rationale, technical approach, and constructive plan for accomplishments of technical goals in support of innovative claims and deliverable production should be summarized.

4.3.1.5 {2} Organization and Teaming Chart:

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

1. programmatic relationship of team members;

2. unique capabilities of team members;

3. task responsibilities of team members;

4. teaming strategy among the team members;

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

4.3.1.6 {1} Summary of Deliverables and Approach to Intellectual Property:

Deliverables associated with the proposed research and the plans and capability to accomplish technology transition and commercialization. Include in this section all proprietary claims to results, prototypes, intellectual property, or systems supporting and/or necessary for the use of the research, results, and/or prototype. If there are no proprietary claims, this should be stated.

This section should list all technical data, computer software, or computer software documentation to be provided with other than unlimited rights in accordance with DFARS Clause 252.227-7017 IDENTIFICATION AND ASSERTION OF USE, RELEASE, OR

DISCLOSURE RESTRICTIONS (JUNE 1995).

4.3.1.7 {1} Summary of Estimated Cost, Schedule, and Milestones:

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

4.3.1.8 {0.5} Discussion of Other Research:

Compare the proposed effort with other ongoing research in this area. Describe the advantages and disadvantages of the proposed effort in comparison with other relevant research.

4.3.2Proposal Format

All proposals must be in the format given below. Nonconforming proposals may be rejected without review. Proposals shall consist of two volumes. All pages shall be printed on 8-1/2 by 11 inch paper with type not smaller than 12 point. Smaller font may be used for figures, tables and charts. The page limitation for proposals includes all figures, tables, and charts. Volume I, Technical and Management Proposal, may include an attached bibliography of relevant technical papers or research notes (published and unpublished) which document the technical ideas and approach upon which the proposal is based. Copies of not more than three (3) relevant papers may be included with the submission. The bibliography and attached papers are not included in the page counts given below. The submission of other supporting materials along with the proposals is strongly discouraged and will not be considered for review. Maximum page lengths for each section are shown in braces { } below. All proposals must be written in English.

4.3.2.1 Volume I, Technical and Management Proposal

Section I. Administrative {No more than 2 pages} A. Cover sheet to include:

(1) BAA number

(2) Technical area

(3) Lead Organization Submitting proposal

(4) Type of organization, selected among the following categories: “LARGE

BUSINESS”, “SMALL DISADVANTAGED BUSINESS”, “OTHER SMALL BUSINESS”,

“HBCU”, “MI”, “OTHER EDUCATIONAL”, OR “OTHER NONPROFIT”

(5) Contractor’s reference number (if any)

(6) Other team members (if applicable) and type of organization for each

(7) Proposal title

(8) Technical point of contact to include: salutation, last name, first name, street address, city, state, zip code, telephone, fax (if available), electronic mail (if available)

(9) Administrative point of contact to include: salutation, last name, first name, street address, city, state, zip code, telephone, fax (if available), electronic mail (if available), total funds requested from DARPA, and the amount of cost share (if any) and

(10) Date proposal was submitted.

(11) total funds requested from DARPA, and the amount of cost share (if any);.

B. Official transmittal letter.

Section II. Summary of Proposal {No more than 10 pages} This section provides an overview of the proposed work as well as an introduction to the associated technical and management issues. Further elaboration will be provided in Section III.

A. {3} Innovative claims for the proposed research.