DARPA-BAA-15-49.pdf

DARPA-BAA-15-49

Broad Agency Announcement

Radio Frequency Microsatellite Risk Reduction Technology

Tactical Technology Office (TTO)

July 13, 2015

Contents Part 1: Overview Information Part 2: Full Text of Announcement

2.I. Funding Opportunity Description 2.I.A. Program Goals 2.I.B. Program Plan 2.I.C. Program Metrics 2.I.D. Deliverables

2.II. Award Information 2.III. Eligibility Information

2.III.A. Eligible Applicants 2.III.B. Procurement Integrity, Standards of Conduct, Ethical Considerations, and Organizational Conflicts of Interest 2.III.C. Cost Sharing/Matching 2.III.D. Other Eligibility Criteria

2.IV. Application and Submission Information 2.IV.A. Address to Request Application Package 2.IV.B. Content and Form of Application Submission

2.V. Application Review Information 2.V.A. Evaluation Criteria 2.V.B. Review and Selection Process

2.VI. Award Administration Information 2.VI.A. Selection Notices 2.VI.B. Administrative and National Policy Requirements 2.VI.C. Reporting 2.VI.D. Electronic Systems

2.VII. Agency Contacts 2.VIII. Other Information

2.VIII.A. Intellectual Property Procurement Contract Proposers 2.VIII.B. Non-Procurement Contract Proposers – Noncommercial and Commercial Items (Technical Data and Computer Software) 2.VIII.C. All Proposers – Patents 2.VIII.D. All Proposers – Intellectual Property Representations

Part 1: Overview Information

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

Funding Opportunity Title – Radio Frequency Microsatellite Risk Reduction Technology

Announcement Type – Initial Announcement Funding Opportunity Number – DARPA-BAA-15-49 Catalog of Federal Domestic Assistance Numbers (CFDA) – Not

Applicable Dates o Posting Date: July 13, 2015 o Questions Due: 4:00 PM Eastern Time on August 3, 2015 o Proposal Due Date: 2:00 PM Eastern Time on August 28, 2015

Total amount of money to be awarded: Up to $4M in Phase 1A, and up to $8M in Phase 1B (option).

Anticipated individual awards – Multiple awards are anticipated.

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

Agency contact o Points of Contact The BAA Coordinator for this effort can be reached at:

DARPA-BAA-15-49@darpa.mil or:

DARPA/TTO

ATTN: DARPA-BAA-15-49

675 North Randolph Street Arlington, VA 22203-2114

Part 2: Full Text of Announcement

2.I. Funding Opportunity Description

The Defense Advanced Research Projects Agency often selects its research efforts through the Broad Agency Announcement (BAA) process. This BAA is being issued, and any resultant selection will be made, using procedures under Federal Acquisition Regulation (FAR) 35.016. Any negotiations and/or awards will use procedures under FAR 15.4, Contract Pricing, as specified in the BAA. Proposals received as a result of this BAA shall be evaluated in accordance with evaluation criteria specified herein through a scientific review process. DARPA BAAs are posted on the Federal Business Opportunities (FedBizOpps) website, http://www.fbo.gov/. The following information is for those wishing to respond to the BAA.

DARPA is soliciting innovative research proposals in the area of radio-frequency (RF) communications and sensing technologies for microsatellites. In this solicitation, “microsatellites” will be used to refer to the class of satellites with a mass of 10-100 kg.

Proposed research should investigate innovative approaches that enable revolutionary advances in performance for this class of satellite. Specifically excluded is research that primarily results in evolutionary improvements to the existing state of practice.

This BAA seeks technology demonstrations of concepts that enable high-performance RF communications and sensing on microsatellites. DARPA has identified two key technology areas of interest: lightweight deployable antennas and advanced RF processing, to be described in the subsequent sections in detail. DARPA envisions a rapid (21 month) technology demonstration for solutions in these technology areas.

Phase 1A (9 months) will include the detailed design verification and test of an antenna and/or RF processing unit to support a demonstration of that unit in a relevant environment. It is expected that antenna designs will support a space-based, deployable antenna demonstration. RF signal processing units may be demonstrated on a space-based, airborne or ground platform; however, space environmental testing is expected to be conducted regardless of the demonstration location. This work will confirm the ability of the unit to achieve the metrics for a demonstration or “pathfinder” system as defined in column 1 of Tables 1 and 2. In addition, Phase 1A will include a preliminary design effort to show that the pathfinder unit is scalable to a full, sub-system prototype on a microsatellite platform. Performance metrics for the prototype sub-systems are defined in column 2 of Table 1 and Table 2.

In the Phase 1B option (12 months), performers will build and demonstrate the pathfinder sub-system(s) (antenna and/or processing unit) in a relevant environment, as described above. Phase 1B includes analyses of the antenna and/or RF signal processing unit performance relative to the pathfinder metrics defined in Tables 1 and/or 2 during the demonstration. Finally, performers will complete a design effort through a critical design review (CDR) to show the scalability of the antenna or RF processing demonstration unit to a full sub-system prototype on a microsatellite – which may differ in available size, power, or processing capacity from the demonstration system. Parameters defining the objective prototype sub-system are listed in the second column of Table 1 and Table 2.

Performers will be expected to support Government subject matter experts to complete subsystem performance modeling associated with specific mission scenarios and provide performance estimates of their prototype design in these scenarios. The Government retains the right to select all, some, one, none or portions of Phase 1B option proposals to support promising further technology developments or support transition of technology developed in Phase 1.

2.I.A. Program Goals

Constellations of microsatellite systems are increasingly posed as solutions to a number of earth science and remote sensing applications. Several constellations are currently being deployed for optical remote sensing applications (e.g., Planet Labs and Skybox Imaging). The ability to economically launch microsatellites on an expanding number of current and future launch vehicles promises advantages in rapid technology refresh, responsive space operations, and resilient (i.e., redundant) systems. However, high-bandwidth RF communications systems have not translated well to smaller satellite sizes due to their relatively large antenna sizes and high power requirements. For example, the Iridium constellation employs satellites with a mass of over 600 kg, while the Inmarsat constellation utilizes systems that are an order of magnitude larger still.

The goal of this program is to demonstrate RF communications and sensing technologies that enable performance equivalent to existing systems, but on an order of magnitude smaller platform. Performance metrics for each technical area are described in Section 2.I.C, Tables 1 and 2. In particular; DARPA seeks innovative proposals in the following areas of interest:

2.I.A.1. Technical Area One (TA-1): Deployable Antenna

High-bandwidth RF systems that can operate at ranges consistent with low-earth orbit (LEO) altitudes (100-2000 km) generally require antenna apertures greater than 1 m in size, yet typical microsatellite buses are less than 1m across. Compact, extremely lightweight, deployable RF antennas are key to enabling state-of-the-art RF communications and sensing on a microsatellite platform. Deploying a highly-compacted, electronically functioning antenna to the required rigidity, size, and pointing accuracy is an extremely challenging problem. Though considerable effort has been invested in the development of deployable structures and antennas, no fully functional demonstration of a deployable antenna compatible with microsatellite platforms has been completed in a representative environment.

In this program, proposers will design and test a proof-of-concept antenna, and, if selected for Phase 1B, demonstrate and analyze a space-qualified pathfinder antenna system, as well as complete a CDR to show scalability of the pathfinder antenna—to include power, thermal requirements, etc.—to a full sub-system prototype on a microsatellite. (Specific performance parameters for the pathfinder and prototype systems are defined in Table 1).

Proposed antenna concepts should be complete subsystems with well-defined electrical interfaces. The proof-of-concept antenna and the pathfinder demonstration system should be fully functional to transmit and receive RF signals when provided an appropriate power supply and RF input/output interface. Arbitrary RF waveforms that are modulated in amplitude and/or phase should be supported, as long as they are within the bandwidth of the antenna design. The proposer is expected to experimentally demonstrate the design performance (including transmit functionality) and qualify critical components for space flight in Phase 1B.

It is conceivable that a particular design may be optimized for performance in either transmit or receive mode. Though a single design that meets all the performance metrics is preferred, it is acceptable to propose two antenna variants in a single architecture. However, if such an asymmetrically optimized design is proposed, the proposer should clearly describe the design tradeoffs in transmit and receive performance, and the advantage(s) over a single antenna design that performs both functions.

2.I.A.2. Technical Area Two (TA-2): Signal Processing

Satellite communications systems are often rigidly defined in terms of waveform modulation protocols, modulation rates, and data format. In contrast, software defined radios are becoming commonplace in terrestrial systems, enabling communications between different systems, rapid incorporation of new protocols, and adaptive use of multiple data formats or waveforms depending on dynamic channel characteristics. This technical area focuses on making similar capabilities available on microsatellite platforms.

In this program, proposers will design, build and test a proof-of-concept RF processing unit. The signal processing system pathfinder shall be demonstrated in a representative environment; this demonstration may be completed on a space-based, airborne, or ground platform. Regardless of the demonstration location, space environmental testing should be conducted, particularly for radiation and thermal exposure during system operation. Proposers will also complete a CDR to show scalability of the demonstration pathfinder RF processing unit—to include computational capability, thermal requirements, etc.—for use as a full, sub-system prototype on a microsatellite. (Specific performance parameters for the pathfinder and prototype systems are defined in Table 2).

The RF processing unit should include a software defined radio (SDR), real-time data storage, and high-bandwidth analog-to-digital (A/D) and digital-to-analog (D/A) operations in a compact package suitable for use on a microsatellite platform, as defined in Table 2. The system must also be capable of scalable operation, including a full speed mode (maximum performance), a maximum efficiency mode, and a standby mode with minimal power consumption.

The software defined radio shall demonstrate the ability to generate and demodulate arbitrary waveforms utilizing frequency, phase or pulse width/position modulation. Any mix of standardized or proprietary waveforms may be used to demonstrate these capabilities. As a demonstration of transition capability and potential military utility, the radio waveforms implemented shall include standard military SATCOM waveforms, as specified in MIL-STD-188-181C, 182B, and 183B. The SDR should also include capability to compensate for Doppler frequency shifts due to the differential velocity between a satellite and a stationary point on the earth’s surface.

The system shall also demonstrate general purpose computational capacity for onboard signal processing, encryption, compression, and other functions. Examples of signal processing functions include, but are not limited to, time-series correlation operations, spectral analysis, and digital filtering operations. The signal processing unit shall include a programmable capability to perform common signal processing operations on the waveforms transmitted, received, or stored in memory. A target capability is capacity to perform roughly 100 operations per digital sample in real time. The proposer is free to propose representative functions related to RF communications and sensing to demonstrate the signal processing capability. Some possible functions could include: a time-series correlator (e.g., for Code Division Multiple Access channel discrimination), a Fast Fourier Transform (FFT) spectrum analyzer, a narrowband frequency discriminator, and space-time adaptive processing.

Though real-time waveform processing is highly desired, the capability is not always necessary, particularly in low-power operation. Additionally, store-and-forward operations may be required in some situations. Therefore, the signal processing system shall include data storage to buffer data in non-volatile memory for subsequent processing at a lower rate, or retransmission at a later time. Finally, the data processing system shall include the capability to generate outgoing waveforms and digitize incoming waveforms. The dynamic range of the input/output hardware proposed should be consistent with modern, high-bandwidth modulation schemes, such as 64-QAM.

2.I.B. Program Plan

This BAA is for a rapid development effort that concludes with a technology demonstration and performance analyses in a representative environment, and a CDR showing how the demonstration pathfinder unit scales to performance parameters of a full, sub-system prototype on a microsatellite. The envisioned program schedule spans 21 months, 9 months for Phase 1A and 12 months for Phase 1B, as shown in Figure 1.

Proposers may submit proposals to address TA-1 and/or TA-2; however, separate proposals that can be independently evaluated on the individual proposal content must be submitted for each Technical Area. Proposals submitted by the same organization for TA-1 and TA-2 will be evaluated independently.

Figure 1: Notional Program Schedule

The Phase 1A objective of this effort will be to complete the design of a technology pathfinder that meets the performance metrics of Section 2.I.C. Phase 1A will also include an experiment design that will verify the antenna and/or RF processing unit performance in a representative environment, as described above. Phase 1A additionally includes the preliminary design of a prototype antenna subsystem compatible with a microsatellite platform that meets all the BAA performance metrics.

In Phase 1B, proposers will build and demonstrate the pathfinder subsystem.

Proposers will also complete a prototype design through CDR that is compatible with a microsatellite platform with performance parameters listed in Table 1 and Table 2. For response to this BAA, proposers may assume a representative satellite platform of their choice to host the TA-1 or TA-2 subsystem within the parameters listed. It is expected that standard microsatellite platforms may not meet all of the power supply or thermal management requirements to host these subsystems. Proposers may assume customization to address these incompatibilities will be accomplished outside the scope of this program. However, the proposal option should clearly describe these interface assumptions and critical requirements of the host platform to support the prototype(s).

The Government reserves the right to specify a different, but equivalent, satellite bus interface at the initiation of Phase 1B.

Included as a separate task within Phase 1B is the development and operation of an associated antenna or RF processing subsystem simulation module. In this task, proposers will work with Government subject matter experts to complete subsystem performance modeling associated with specific mission scenarios and provide performance estimates of their prototype design in these scenarios. This work may include, but is not limited to, the simulation of specific waveforms, processing algorithms, structured or white noise, and other signal details appropriate for high-fidelity simulation. The subsystem simulation module shall be a deliverable software module with defined software Input/Output (I/O) interfaces. It is anticipated that this task may involve mission specific information that is classified up to the Secret/Special Access Required level. Proposers should include in their response a description of facilities, computing resources, and personnel that could support classified performance modeling.

If no capability to support classified activities exists within the proposer’s organization, it is desirable for proposers to describe a plan (and include associated costs) to develop this

FY16 FY17

Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4

Kickoff Prototype PDR, Pathfinder CDR

Phase IB Option Selection

Prototype CDR

Pathfinder Flight Qual.

Simulation Module

Pathfinder Lab/ground test

Pathfinder PDR capability. Though it is highly desirable that the proposer be able to perform classified work in Phase 1B for this task, it is not required.

2.I.C. Program Metrics

Enumerated in this section are a set of program performance metrics, which establish the system architecture constraints and performance metrics. It is expected that meeting top-level performance metrics will require the establishment of a number of derived subsystem and component metrics and that a robust risk reduction strategy will require intermediate subsystem performance tests and milestones prior to the final demonstration. Proposers should therefore provide a detailed description of their technical approach that includes critical component performance metrics and intermediate development milestones.

Table 1: Program Metrics for Technical Area 1 Performance Metric

Pathfinder Performance Goal

Prototype Performance Goal

Additional Information

Antenna Area 4 m2 10 m2 Mass 20 kg 15 kg Mass shall include any and all amplifiers needed to energize the antenna

Areal Compaction Ratio

50X 100X Deployed vs. stowed cross-sectional area

Beam Quality <4X diffraction limited

<2X diffraction limited

Peak intensity in the primary beam lobe1

Antenna Efficiency (transmit or receive)

>33% >50% Ratio of the power in the primary beam lobe1 to total RF power input/output to the antenna.

Peak Power >50 W >100 W Power in the primary beam lobe1

Carrier Frequency (Ghz)

>2 Ghz >4 Ghz

Bandwidth ≥100 Mhz >200 Mhz -3 dB modulation bandwidth

Noise Figure <5 dB <4 dB 1 The primary beam lobe extent is defined as the full width at half maximum intensity

Table 2: Program Metrics for Technical Area 2 Performance Metric

Pathfinder Performance Goal

Prototype Performance Goal

Additional Information

Maximum operating power dissipation

100 W 50 W In maximum power mode: all I/O, memory and processor functions in use

Maximum standby power dissipation

200 mW 100 mW In standby mode

Computing efficiency

≥2.5 GOps/W ≥10 GOps/W In maximum efficiency mode

Mass 7 kg 5 kg Not including prime power supply

Waveform bandwidth

≥100 Mhz ≥200 Mhz

Modulation/Demodu lation

Arbitrary waveform generation:

Frequency, phase and amplitude

Arbitrary waveform generation:

Frequency, phase and amplitude

It is also anticipated that a proposer’s specific approach and the rapid demonstration schedule desired may force tradeoffs in the pathfinder demonstration performance objectives. If proposers believe that one or more of the pathfinder performance metrics may be traded without significantly increasing the risk of achieving the prototype performance goals, they are permitted and encouraged to do so. Any traded metrics should be clearly identified in the proposal, and sufficient analysis provided to assure the Government that the affected subsystem’s performance will still enable the prototype performance metrics to be satisfied. Among the admissible design tradeoffs is the possibility that these subsystems do not need to operate at maximum performance continuously. A fractional duty cycle may be acceptable, and would in fact be encouraged if such an assumption enables significant performance advantages in the figures of merit listed here.

2.I.D. Deliverables

In addition to the hardware and software deliverables described in the preceding sections, a number of review and reporting deliverables shall be included. These include monthly technical and financial status reports, quarterly program reviews, and a final report. The program deliverables are summarized in the table below:

Table 3: Phase 1A Deliverables Deliverable Due Date(s) Location Notes Kickoff meeting < 2 weeks After

Receipt of Order

(ARO)

Contractor site

Monthly Status Reports

Monthly N/A

Quarterly Review 3 months ARO DARPA Annotated presentations due two weeks after review

Pathfinder Preliminary Design Review (PDR)

6 months ARO DARPA See Appendix A

Prototype PDR 9 months ARO Contractor site See Appendix A Pathfinder CDR 9 months ARO Contractor site See Appendix B Final Report End of Phase 1A N/A

Table 4: Phase 1B Deliverables Deliverable Due Date(s) Location Notes Kickoff meeting < 2 weeks after option award

DARPA

Monthly Status Reports

Monthly N/A

Quarterly Reviews 3,9 months ARO DARPA Annotated presentations due two weeks after review

Prototype Interim Design Review

6 months ARO Contractor Site

Simulation Module 6 months after option award

N/A

Pathfinder Performance Demonstration

10 months after option award

Contractor test site

Prototype CDR 12 months after option award

Contractor site See Appendix B

Final Report End of Phase 1B N/A

2.II. Award Information

A. Awards

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

The Government reserves the right to select for negotiation all, some, one, or none of the proposals received in response to this solicitation, and to make awards without discussions with proposers. The Government also reserves the right to conduct discussions if it is later determined to be necessary. If warranted, portions of resulting awards may be segregated into pre-priced options. Additionally, DARPA reserves the right to accept proposals in their entirety or to select only portions of proposals for award.

In the event that DARPA desires to award only portions of a proposal, negotiations may be opened with that proposer. The Government reserves the right to fund proposals in phases with options for continued work at the end of one or more of the phases.

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

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.

B. Fundamental Research

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

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

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

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

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

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

There shall be no dissemination or publication, except within and between the contractor and any subcontractors, of information developed under this contract or contained in the reports to be furnished pursuant to this contract without prior written approval of DARPA’s Public Release Center (DARPA/PRC). All technical reports will be given proper review by appropriate authority to determine which Distribution Statement is to be applied prior to the initial distribution of these reports by the contractor. With regard to subcontractor proposals for Contracted Fundamental Research, papers resulting from unclassified contracted fundamental research are exempt from prepublication controls and this review requirement, pursuant to DoD Instruction 5230.27 dated October 6, 1987.

When submitting material for written approval for open publication, the contractor/awardee must submit a request for public release to the PRC and include the following information: (1) Document Information: document title, document author, short plain-language description of technology discussed in the material (approx. 30 words), number of pages (or minutes of video) and document type (e.g., briefing, report, abstract, article, or paper); (2) Event Information: event type (conference, principal investigator meeting, article or paper), event date, desired date for DARPA's approval; (3) DARPA Sponsor: DARPA Program Manager, DARPA office, and contract number; and

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

http://www.darpa.mil/work-with-us/contract-management/public-release.

2.III. Eligibility Information

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

2.III.A. Eligible Applicants

1. Federally Funded Research and Development Centers (FFRDCs) and

Government entities (e.g., Government/National laboratories, military educational institutions, etc.) are subject to applicable direct competition limitations and cannot propose to this BAA in any capacity unless they meet the following conditions: (1) FFRDCs must clearly demonstrate that the proposed work is not otherwise available from the private sector.

(2) FFRDCs must provide a letter on official letterhead from their sponsoring organization citing the specific authority establishing their eligibility to propose to Government solicitations and compete with industry, and their compliance with the associated FFRDC sponsor agreement and terms and conditions. This information is required for FFRDCs proposing to be prime contractors or subcontractors.

Government entities must clearly demonstrate that the work is not otherwise available from the private sector and provide written documentation citing the specific statutory authority and contractual authority, if relevant, establishing their ability to propose to Government solicitations. At the present time, DARPA does not consider 15 U.S.C. § 3710a to be sufficient legal authority to show eligibility. While 10 U.S.C.§ 2539b may be the appropriate statutory starting point for some entities, specific supporting regulatory guidance, together with evidence of agency approval, will still be required to fully establish eligibility.

DARPA will consider FFRDC eligibility submissions on a case-by-case basis; however, the burden to prove eligibility for all team members rests solely with the proposer.

All proposers are expected to address transition (see Section 2.IV.B, Technical Proposal, Section II.G for proposal format); transition is part of the evaluation criteria in section 2.V.A. However, given their special status, FFRDCs should describe how and when a proposed technology/system will transition to which Non-FFRDC organization(s).

2. 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.

2.III.B. Procurement Integrity, Standards of Conduct, Ethical Considerations, and Organizational Conflicts of Interest

Current federal employees are prohibited from participating in particular matters involving conflicting financial, employment, and representational interests (18 U.S.C. §§ 203, 205, and 208). Once the proposals have been received, and prior to the start of proposal evaluations, the Government will assess potential conflicts of interest and will promptly notify the proposer if any appear to exist. The Government assessment does NOT affect, offset, or mitigate the proposer’s responsibility to give full notice and planned mitigation for all potential organizational conflicts, as discussed below.

Without prior approval or a waiver from the DARPA Director, in accordance with FAR 9.503, a contractor cannot simultaneously provide scientific, engineering, technical assistance (SETA) or similar support and also be a technical performer. As part of the proposal submission, all members of the proposed team (prime proposers, proposed subcontractors, and consultants) must affirm whether they (their organizations and individual team members) are providing SETA or similar support to any DARPA technical office(s) through an active contract or subcontract. All affirmations must state which office(s) the proposer, subcontractor, consultant, or individual supports and identify the prime contract number(s). All facts relevant to the existence or potential existence of organizational conflicts of interest (FAR 9.5) must be disclosed. The disclosure must include a description of the action the proposer has taken or proposes to take to avoid, neutralize, or mitigate such conflict. If in the sole opinion of the Government after full consideration of the circumstances, a proposal fails to fully disclose potential conflicts of interest and/or any identified conflict situation cannot be effectively mitigated, the proposal will be rejected without technical evaluation and withdrawn from further consideration for award.

If a prospective proposer believes a conflict of interest exists or may exist (whether organizational or otherwise) or has questions on what constitutes a conflict of interest, the proposer should send his/her contact information and a summary of the potential conflict to DARPA-BAA-15-49@darpa.mil before time and effort are expended in preparing a proposal and mitigation plan.

2.III.C. Cost Sharing/Matching

Cost sharing is not required; however, it will be carefully considered where there is an applicable statutory condition relating to the selected funding instrument (e.g., for any Other Transactions under the authority of 10 U.S.C. §2371). Cost sharing is encouraged where there is a reasonable probability of a potential commercial application related to the proposed research and development effort.

2.III.D. Other Eligibility Criteria

Collaborative efforts/teaming are encouraged.

2.IV. Application and Submission Information

2.IV.A. Address to Request Application Package

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

2.IV.B. Content and Form of Application Submission

1. Proprietary and Security Information

DARPA policy is to treat all submissions as source selection information (see FAR 2.101 and 3.104), and to disclose their contents only for the purpose of evaluation.

Restrictive notices notwithstanding, during the evaluation process, submissions may be handled by support contractors for administrative purposes and/or to assist with technical evaluation. All DARPA support contractors performing this role are expressly prohibited from performing DARPA-sponsored technical research and are bound by appropriate nondisclosure agreements.

Submissions will not be returned. An electronic copy of each submission received will be retained at DARPA and all other non-required copies destroyed. A certification of destruction may be requested, provided the formal request is received at this office within 5 days after notification that a proposal was not selected.

a. Proprietary Information Proposers are responsible for clearly identifying proprietary information.

Submissions containing proprietary information must have the cover page and each page containing such information clearly marked with a label such as “Proprietary” or “Company Proprietary.” Note, “Confidential” is a classification marking used to control the dissemination of U.S. Government National Security Information as dictated in Executive Order 13526 and should not be used to identify proprietary business information.

b. Security Information

Classified submissions shall be transmitted in accordance with the following guidance. Additional information on the subjects discussed in this section may be found at http://www.dss.mil/.

If a submission contains Classified National Security Information as defined by Executive Order 13526, the information must be appropriately and conspicuously marked with the proposed classification level and declassification date. Similarly, when the classification of a submission is in question, the submission must 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)”

NOTE: Classified submissions must indicate the classification level of not only the submitted materials, but also the classification level of the anticipated award.

Proposers submitting classified information must have, or be able to obtain prior to contract award, cognizant security agency approved facilities, information systems, and appropriately cleared/eligible personnel to perform at the classification level proposed. All proposer personnel performing Information Assurance (IA)/Cybersecurity related duties on classified Information Systems shall meet the requirements set forth in DoD Manual 8570.01-M (Information Assurance Workforce Improvement Program).

Proposers choosing to submit classified information from other collateral classified sources (i.e., sources other than DARPA) must ensure (1) they have permission from an authorized individual at the cognizant Government agency (e.g., Contracting Officer, Program Manager); (2) the proposal is marked in accordance with the source Security Classification Guide (SCG) from which the material is derived; and (3) the source SCG is submitted along with the proposal.

DARPA anticipates that submissions received under this BAA will be unclassified. However, should a proposer wish to submit classified information, an unclassified e-mail must be sent to the BAA mailbox requesting submission instructions from the Technical Office PSO.

Security classification guidance and direction via a Security Classification Guide (SCG) and/or DD Form 254, “DoD Contract Security Classification Specification,” will not be provided at this time, since DARPA is soliciting ideas only. If a determination is made that the award instrument may result in access to classified information, a SCG and/or DD Form 254 will be issued by DARPA and attached as part of the award.

Confidential and Secret Information Use transmission, classification, handling, and marking guidance provided by previously issued SCGs, the DoD Information Security Manual (DoDM 5200.01, Volumes 1 - 4), and the National Industrial Security Program Operating Manual, including the Supplement Revision 1, (DoD 5220.22-M and DoD 5200.22-M Sup. 1) when submitting Confidential and/or Secret classified information.

Confidential and Secret classified information may be submitted via ONE of the two following methods:

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

OR

Mailed via U.S. Postal Service (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: DARPA/TTO

Reference: DARPA-BAA-15-49

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

Top Secret Information Use classification, handling, and marking guidance provided by previously issued SCGs, the DoD Information Security Manual (DoDM 5200.01, Volumes 1 - 4), and the National Industrial Security Program Operating Manual, including the Supplement Revision 1, (DoD 5220.22-M and DoD 5200.22-M Sup. 1). Top Secret information must 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.

Sensitive Compartmented Information (SCI) SCI must be marked, managed and transmitted in accordance with DoDM

5105.21 Volumes 1 - 3. Questions regarding the transmission of SCI may be sent to the DARPA Technical Office PSO via the BAA mailbox or by contacting the DARPA Special Security Officer (SSO) at 703-812-1970.

Successful proposers may be sponsored by DARPA for access to SCI.

Sponsorship must be aligned to an existing DD Form 254 where SCI has been authorized. Questions regarding SCI sponsorship should be directed to the DARPA Personnel Security Office at 703-526-4543.

Special Access Program (SAP) Information SAP information must be marked in accordance with DoDM 5205.07 Volume 4 and transmitted by specifically approved methods which will be provided by the Technical Office PSO or their staff.

Proposers choosing to submit SAP information from an agency other than DARPA are required to provide the DARPA Technical Office Program Security Officer (PSO) written permission from the source material’s cognizant Special Access Program Control Officer (SAPCO) or designated representative. For clarification regarding this process, contact the DARPA Technical Office PSO via the BAA mailbox or the DARPA SAPCO at 703-526-4102.

Additional SAP security requirements regarding facility accreditations, information security, personnel security, physical security, operations security, test security, classified transportation plans, and program protection planning may be specified in the DD Form 254.

NOTE: prior to drafting the submission, if use of SAP Information Systems is to be proposed, proposers must first obtain an Authorization-to-Operate from the DARPA Technical Office PSO (or other applicable DARPA Authorization Official) using the Risk Management Framework (RMF) process outlined in the Joint Special Access Program (SAP) Implementation Guide (JSIG), Revision 3, dated October 9, 2013 (or successor document).

2. Proposal Submission Information

The typical proposal should express a consolidated effort in support of one or more related technical concepts or ideas. Disjointed efforts should not be included into a single proposal. Proposers may submit proposals to address TA-1 and/or TA-2; however, separate proposals that can be independently evaluated on the individual proposal content must be submitted for each Technical Area. Proposals submitted by the same organization for TA-1 and TA-2 will be evaluated independently.

Proposals may not be submitted by fax or e-mail; any so sent will be disregarded.

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

Unclassified proposals sent in response to DARPA-BAA-15-49 should be submitted using DARPA’s BAA Website (https://baa.darpa.mil). Proposals may not be submitted by fax or e-mail; any so sent will be disregarded. Note: If an account has already been created for the DARPA BAA Website, it may be reused. If no account currently exists for the DARPA BAA Website, 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 submission.

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.

All unclassified concepts submitted electronically through DARPA’s BAA website must be uploaded as zip files (.zip or .zipx extension). The final zip file should contain only one file (the final submission) and be no greater than 50 MB in size. Only one zip file will be accepted per submission and submissions not uploaded as zip files will be rejected by DARPA. Please do not password protect the zip file submission.

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). Please ensure to Courtesy Copy (CC) the DARPA-BAA-15-49 mailbox at DARPA-BAA-15-49@darpa.mil.

DARPA will acknowledge receipt of the unclassified submission and assign a control number that should be used in all further correspondence regarding the submission.

For proposals that include classified information, the proposal must be separated into an unclassified portion and a classified portion. Proposals should use the unclassified portion to the maximum extent reasonable. The unclassified portion can be submitted through the DARPA BAA Website, per the instructions above. The classified portion must be mailed separately, according to the instructions outlined in the “Security Information” section above.

When a proposal includes a classified portion, we ask that proposers send an e-mail to DARPA-BAA-15-49@darpa.mil as notification that there is a classified portion to the proposal. When sending the classified portion via mail according to the instructions outlined in the “Security Information” section above, proposers should submit two (2) hard copies of the classified portion of their proposal and two (2) CD-ROMs containing the classified portion of the proposal as a single searchable Adobe PDF file.

Please ensure that all CDs are well-marked. Each copy of the classified portion must be clearly labeled with DARPA-BAA-15-49, proposer organization, proposal title (short title recommended), and Copy _ of _.

All administrative correspondence and questions on this solicitation, including requests for information on how to submit an abstract or proposal to this BAA, should be directed to DARPA-BAA-15-49@darpa.mil. DARPA intends to use electronic mail and fax for correspondence regarding DARPA-BAA-15-49. Proposals and 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.

3. Proposal Format

All proposals must be in the format given below. Nonconforming proposals may be rejected without review. Proposals shall consist of two volumes. All pages shall be printed on 8-1/2 by 11 inch paper with type not smaller than 12 point. Smaller font may be used for figures, tables and charts. The page limitation for proposals includes all figures, tables, and charts. 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. Section II of Volume I, Technical and Management Proposal, shall not exceed 20 pages. Recommended page counts for individual elements of the proposal are shown in braces { } below. The proposer may reallocate page counts within Section II, not exceeding the total. All proposals must be written in English.

Ensure that each section provides the detailed discussion of the proposed work necessary to enable an in-depth review of the specific technical and managerial issues according to the evaluation criteria of Section 2.V.A. Specific attention must be given to addressing both risk and payoff of the proposed work that make it desirable to DARPA.

a. Volume I, Technical and Management Proposal

Section I. Administrative

A. Cover sheet; to include: {no page limit}

(1) BAA number (DARPA-BAA-15-49);

(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) Proposer’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);

(10) Summary of the costs of the proposed research, including total base cost, estimates of base cost in each year of the effort, estimates of itemized options in each year of the effort, and cost sharing if relevant;

(11) Date proposal was submitted.

B. Table of Contents {no page limit}

C. Organizational Conflict of Interest Affirmations and Disclosure {no page limit}

Per the instructions in Section…