DARPA-BAA-15-60.pdf

Broad Agency Announcement Virtual Acoustic Microphone System (VAMS)

STRATEGIC TECHNOLOGY OFFICE

DARPA-BAA-15-60

22 September 2015

DARPA-BAA-15-60, Virtual Acoustic Microphone System

TABLE OF CONTENTS

1. FUNDING OPPORTUNITY DESCRIPTION

1.1 PROGRAM OVERVIEW

1.1.1 Phase 1 Preliminary Design

1.1.2 Phase 2 Initial Demonstration System Development and Test

1.1.3 Phase 3 Full Capability System Development and Demonstration

1.2 PROGRAM METRICS

2. AWARD INFORMATION

2.1 Fundamental Research

3. ELIGIBILITY INFORMATION

3.1 ELIGIBLE APPLICANTS

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

3.1.2 Non-U.S. 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

3.4 OTHER ELIGIBILITY REQUIREMENTS

3.4.1 Collaborative Efforts

4. APPLICATION AND SUBMISSION INFORMATION

4.1 ADDRESS TO REQUEST APPLICATION PACKAGE

4.2 CONTENT AND FORM OF APPLICATION SUBMISSION

4.2.1 Security And Proprietary Issues

4.2.2 Proposal Abstract Information

4.2.3 Proposal Information

4.2.4 Restrictive Markings on Proposals

4.3 FORMATTING CHARACTERISTICS

4.3.1 Proposal Abstract Format

4.3.2 Proposal Format

4.4 SUBMISSION DATES AND TIMES

4.4.1 Proposal Abstract Submission Deadline

4.4.2 Full Proposal Submission Deadline

4.5 FUNDING RESTRICTIONS

4.6 OTHER SUBMISSION REQUIREMENTS

5. APPLICATION REVIEW INFORMATION

5.1 EVALUATION CRITERIA

5.1.1 Overall Scientific and Technical Merit

5.1.2 Potential Contribution and Relevance to the DARPA Mission

5.1.3 Proposer’s Capabilities and/or Related Experience

5.1.4 Cost and Schedule Realism

5.2 REVIEW AND SELECTION PROCESS

6. AWARD ADMINISTRATION INFORMATION

6.1 SELECTION NOTICES

6.2 ADMINISTRATIVE AND NATIONAL POLICY REQUIREMENTS

6.2.1 Meeting And Travel Requirements

6.2.2 Human Subjects Research

6.2.3 Animal Use

6.2.4 Export Control

6.2.5 Subcontracting

6.2.6 Electronic And Information Technology

6.2.7 Employment Eligibility Verification

6.2.8 System for Award Management (SAM) 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

6.2.12 Cost Accounting Standards (CAS) Notices and Certification

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

6.2.14 Safeguarding of Unclassified Controlled Technical Information

6.2.15 Prohibition on Contracting with Entities that Require Certain Internal Confidentiality Agreements

6.3 REPORTING

6.4 ELECTRONIC SYSTEMS

6.4.1 Representations and Certifications

6.4.2 Wide Area Work Flow (WAWF)

6.4.3 i-EDISON

7. AGENCY CONTACTS

8. OTHER INFORMATION

8.1 INTELLECTUAL PROPERTY

8.1.1 PROCUREMENT CONTRACT PROPOSERS

8.2 NONPROCUREMENT CONTRACT PROPOSERS – NONCOMMERCIAL AND

COMMERCIAL ITEMS (TECHNICAL DATA AND COMPUTER SOFTWARE)

8.3 ALL PROPOSERS – PATENTS

8.4 ALL PROPOSERS-INTELLECTUAL PROPERTY REPRESENTATIONS

9. APPENDIX 1: PROPOSAL SLIDE SUMMARY

10. APPENDIX 2: CLASSIFIED ADDENDUM REQUEST FORM

11. APPENDIX 3: VOLUME 1 COVER SHEET TEMPLATE

12. APPENDIX 4: VOLUME 2 COVER SHEET, CHECKLIST AND SAMPLE

TEMPLATES

PART I: OVERVIEW INFORMATION

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

Funding Opportunity Title – Virtual Acoustic Microphone System (VAMS) Announcement Type – Initial Announcement Funding Opportunity Number – DARPA-BAA-15-60 Catalog of Federal Domestic Assistance Numbers (CFDA) - Not applicable

12.910 Research and Technology Development

Dates o Posting Date – 22 September 2015 o Proposal Abstract Due Date – 6 October 2015 o Proposal Due Date – 12 November 2015 o BAA Closing Date - 31 December 2015 o Proposer’s Day – 22 September 2015

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 may be reached at electronic mail: DARPA- BAA-15-60@darpa.mil.

DARPA/STO

ATTN: DARPA-BAA-15-60

675 North Randolph Street Arlington, VA 22203-2114 mailto:DARPA-BAA-15-60@darpa.mil mailto:DARPA-BAA-15-60@darpa.mil

PART II: FULL TEXT OF ANNOUNCEMENT

1. FUNDING OPPORTUNITY DESCRIPTION

The Defense Advanced Research Projects Agency often selects its research efforts through the Broad Agency Announcement (BAA) process. This BAA is being issued, and any resultant selection will be made, using procedures under Federal Acquisition Regulation (FAR) 35.016.

Any negotiations and/or awards will use procedures under FAR 15.4, Contract Pricing, as specified in the BAA. Proposals received as a result of this BAA shall be evaluated in accordance with evaluation criteria specified herein through a scientific review process.

DARPA BAAs are posted on the Federal Business Opportunities (FedBizOpps) website, https://www.fbo.gov/. The following information is for those wishing to respond to the BAA.

DARPA is soliciting innovative research proposals in the area of underwater laser-projected virtual acoustic arrays in support of maritime operations. 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 Virtual Acoustic Microphone System (VAMS) program is to develop a new underwater acoustic sensor capability. The approach will be to utilize lasers to project a virtual underwater acoustic array. The program will combine reconfigurable laser transmitters with novel signal extraction algorithms and exploit new and emerging high-speed sensor and processor capabilities.

Unlike the existing fixed or towed acoustic arrays, the VAMS approach will allow the array to be adaptively reconfigured, enabling capabilities that are not currently possible with existing technology. This includes the ability to form a large array baseline. The VAMS program is a multiyear effort and has the potential to impact multiple applications.

The approach of the VAMS program will be to initially focus on core capability and phenomenology measurements along with modeling of different acoustic array configurations.

This will then influence the design and development of an Initial Demonstration System. The results of the Initial Demonstration System performance testing will then be employed towards the design, development and demonstration of a Full Capability System. This system will demonstrate performance in underwater environments of interest. This approach has been mapped into a three phase program. The first phase will focus on the phenomenology measurements and preliminary design of the Initial Demonstration System. The second phase will focus on the development of the Initial Demonstration System, leading to underwater tests.

The third phase will focus on the development and testing of the Full Capability System. The timeline for this effort is shown in Figure 1. This BAA will only address the first phase of the program.

https://www.fbo.gov/

Figure 1. Timeline for the VAMS program.

1.1.1 Phase 1 Preliminary Design

Phase 1 of the VAMS program consists of design studies leading to a Preliminary Design Review (PDR) level design for an Initial Demonstration System. The period of performance for the Phase 1 effort is 12 months. The program metrics for the Initial Demonstration System are detailed in the classified addendum (see Appendix 2: CLASSIFIED ADDENDUM REQUEST FORM for requesting the classified addendum). The design studies will also generate a concept design for a Full Capability System.

The deliverables for the Phase 1 effort include:

PDR level design for the Initial Demonstration System, including documentation that describes architecture, design and subsystems that meets or exceeds the program goals and metrics. The PDR level design should also include sufficient modeling and simulation to support the design choices.

Concept design for the Full Capability System, including performance calculations.

Technology maturation plan for Phases 2 and 3 of the VAMS effort.

Test plan approach for both the Initial Demonstration and the Full Capability Systems.

The Government will conduct a separate sensor phenomenology measurements campaign and a separate acoustic array modeling effort. These efforts are not covered in this BAA. However, the Government will make the results of these efforts available to all the performers on the VAMS program, with an initial update within the first 90 days of the contract date. The Government anticipates that the results of these efforts will help to inform the design approaches for the Initial Demonstration and Full Capability Systems.

The period of performance for the Phase 1 effort will be 12 months with quarterly program reviews to assess the progress.

The VAMS program has nominally allocated $1M for each of the PDR design efforts.

Depending on the quality of proposals received under this BAA, DARPA expects to fund multiple Phase 1 performers.

1.1.2 Phase 2 Initial Demonstration System Development and Test This BAA only covers Phase 1 of the VAMS program. For planning purposes, the following information is provided regarding Phases 2 and 3. Phase 2 will develop the VAMS Initial Demonstration system and culminate in underwater measurements. In this phase, the VAMS program will solicit for the development of the Initial Demonstration System. It is anticipated that two performer teams will be selected to develop the Initial Demonstration System designs to the Critical Design Review (CDR) stage and subsequently develop the hardware and associated data processing algorithms, leading to underwater tests at the end of the phase.

1.1.3 Phase 3 Full Capability System Development and Demonstration In Phase 3, a single performer team will have an option exercised for the development of a Full Capability System. This system will leverage both the design and hardware of the Initial Demonstration System, leading to a series of underwater tests and a final demonstration in a realistic environment.

1.2 PROGRAM METRICS

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

Proposals should cite the quantitative and qualitative success criteria that the proposed effort will achieve by the time of each Phase’s program metric measurement.

The program metrics are detailed in the classified addendum. See Appendix 2: CLASSIFIED ADDENDUM REQUEST FORM for requesting the classified addendum.

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 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 regardless of the instrument type proposed, 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 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 subawardee may be conducting fundamental research. In those cases, it is the prime contractor’s responsibility to explain in its proposal why its subawardee’s effort is 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 subawardees, 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 subawardee proposals for Fundamental Research, papers resulting from unclassified 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 DARPA/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, email 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 via email to public_release_center@darpa.mil or by mail at 675 North Randolph Street, Arlington VA 22203-2114, telephone (571) 218-4235. Refer to the following for mailto:public_release_center@darpa.mil link for information about DARPA’s public release process: http://www.darpa.mil/work-with-us/contract-management/public-release.”

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

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; and (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’s terms and conditions. This information is required for FFRDCs proposing to be prime contractors or subawardees.

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 and Government entity 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 “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 subawardees, 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, subawardees, 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 via email to the BAA email address before time and effort are expended in preparing a proposal and mitigation plan.

3.3 COST SHARING/MATCHING

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

http://www.dss.mil/

3.4 OTHER ELIGIBILITY REQUIREMENTS

3.4.1 Collaborative Efforts

Collaborative efforts/teaming are encouraged.

4. APPLICATION AND SUBMISSION INFORMATION

4.1 ADDRESS TO REQUEST APPLICATION PACKAGE

This solicitation contains all information required to submit a proposal. Except for the classified addendum, no additional forms, kits, or other materials are needed. This notice, with the classified addendum, 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.

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. The original 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/.

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.

The effort being solicited by this BAA is classified SECRET and involves access to, or generation of, classified information. A formal request for the DARPA-BAA-15-60 Classified Addendum may be submitted by filling out the Classified Addendum Request Form (found in APPENDIX 2 to this BAA) and emailing the Request Form to DARPA-BAA-15-60@darpa.mil with subject line titled “Request DARPA-BAA-15-60 Classified Addendum and Security Classification Guide.” Security classification guidance via a Security Classification Guide (SCG) and a DD Form 254, “DoD Contract Security Classification Specification,” will be provided along with the classified addendum.

Proposers are encouraged to submit this request no later than 25 September 2015 to allow for adequate time for delivery of the classified material. The DARPA-BAA-15-60 Classified Addendum Request Form is the only method of request that will be accepted. All requestors will receive a confirmation email with a delivery tracking number. Prior to receipt of any classified information, proof of facility clearance level (FCL) must be validated by the Program Security POC before any classified documentation on the BAA is sent to the performer.

The full DARPA-BAA-15-60 Classified Addendum consists of an FOUO CD, which includes this BAA (DARPA-BAA-15-60), a DD Form 254 and the Security Classification Guide as well as a paper copy of the Classified Addendum.

mailto:DARPA-BAA-15-xx@darpa.mil

Please specify on APPENDIX 2 if you need the entire packet in paper form only; all other packets will be sent as a FOUO CD with a paper copy classified addendum. Proposers must demonstrate ability to receive and access DoD Collateral Secret material. All appropriate security safeguards must exist prior to receiving the classified addendum. No extension of the proposal due date will be granted based on inability to acquire security accreditations in a reasonable timeframe.

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: Dr. Richard Heinrichs/STO Reference: DARPA-BAA-15-60 675 North Randolph Street Arlington, VA 22203-2114

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

Defense Advanced Research Projects Agency Security & Intelligence Directorate, Attn: CDR 675 North Randolph Street Arlington, VA 22203-2114

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).

4.2.2 Proposal Abstract Information

Proposers are strongly encouraged to submit a proposal abstract in advance of a proposal. This procedure is intended to minimize unnecessary effort in proposal preparation and review. The time and date for submission of proposal abstracts is specified in Section 4.4.1 below. 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. If DARPA does not recommend the proposer submit a full proposal, DARPA will provide detailed feedback to the proposer regarding the rationale for this decision. Regardless of DARPA’s response to an abstract, proposers may submit a full proposal. 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.

DARPA will attempt to reply to abstracts in writing within seven (7) calendar days of receipt.

An original and three (3) copies of the proposal abstract and two (2) electronic copies of the abstract in PDF (preferred) on a CD-ROM shall be submitted.

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 proposal 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.

Proposers submitting hard copy full proposals must submit an original and three (3) copies of the proposal and two (2) electronic copies of the proposal in PDF (preferred) on a CD-ROM. Each CD-ROM must be clearly labeled with DARPA-BAA-15-60, proposer organization, proposal title (short title recommended), and Copy _ of 2.

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-15-60@darpa.mil

DARPA/STO

ATTN: DARPA-BAA-15-60

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 http://www.darpa.mil/Our_Work/STO/ http://www.darpa.mil/Opportunities/Solicitations/STO_Solicitations.aspx

DARPA intends to use electronic mail for correspondence regarding DARPA-BAA-15-60.

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 eleven (11) pages, excluding cover page and official transmittal letter. All pages shall be printed on 8-1/2 by 11 inch paper with type not smaller than 12 point. Smaller font may be used for figures, tables and charts. The page limitation for proposal abstracts includes all figures, tables, and charts. No formal transmittal letter is required.

All proposal abstracts must be written in English.

4.3.1.1. {1} Cover sheet to include:

1. BAA number

2. Lead Organization Submitting proposal

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

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

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

NONPROFIT"

4. Contractor’s reference number (if any)

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

6. Abstract title

7. 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)

8. 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)

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

10. 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 eleven (11) pages.

4.3.1.2 {1} Executive Summary and Summary of Innovative Claims for the Proposed Research:

Includes a title and an abstract that provides a concise summary of work to be performed and basic approaches to be used. Succinctly describe the uniqueness and benefits of the proposed approach relative to the current state-of-art and alternative approaches.

4.3.1.3 {5} 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.

4.3.1.4 {1} 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.

4.3.1.5 {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).

4.3.1.6 {1} Summary of Estimated Cost, Schedule, and Milestones:

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

4.3.1.7 {1} Discussion of Other Research:

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

4.3.2 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. 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) Lead Organization Submitting proposal

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

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

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

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

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

(6) Proposal title

(7) 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)

(8) 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)

(9) Date proposal was submitted

(10) Total funds requested from DARPA, and the amount of cost share (if any)

B. Official transmittal letter

Section II. Technical Approach {No more than 20 pages} A. {1} Executive summary. Succinctly describe the technical approach and the major innovations that set it apart from other efforts.

B. {2} Innovative claims for the proposed research. Succinctly describe the uniqueness and benefits of the proposed approach relative to the current state-of-art alternate approaches.

C. {12} Detailed technical approach. Technical rationale, technical approach, and constructive plan for accomplishment of technical goals in support of innovative claims and deliverable production.

D. {3} Comparison with other ongoing research indicating advantages and disadvantages of the proposed effort.

E. {2} Discussion of proposer’s previous accomplishments and work in closely related research areas.

Section III. Supporting Information {No more than 18 pages} A. A three slide summary of the proposal in PowerPoint that quickly and succinctly indicates the concept overview, key innovations, expected impact, and other unique aspects of the proposal. The format for the summary slides is included as APPENDIX 1 to this BAA and does not count against the page limit.

B. {2} A clearly defined organization chart for the program team which includes, as applicable:

(1) the programmatic relationship of team member; (2) the unique capabilities of team members; (3) the task of responsibilities of team members; (4) the teaming strategy among the team members; and (5) the key personnel along with the amount of effort to be expended by each person during each year.

C. {4} 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 the results, prototypes, intellectual property, or systems supporting and/or necessary for the use of the research, results, and/or prototype. If there are not proprietary claims, this should be stated. This should also address mitigation of life-cycle and sustainment risks associated with transitioning intellectual property for U.S. military applications, if applicable. See also Section 8.1 “Intellectual Property.”

D. {5} Statement of Work (SOW) - In plain English, clearly define the technical tasks/subtasks to be performed, their durations, and dependencies among them. The page length for the SOW will be dependent on the amount of the effort. For each task/subtask, provide:

A general description of the objective (for each defined task/activity);

A detailed description of the approach to be taken to accomplish each defined task/activity);

Identification of the primary organization responsible for task execution

(prime, sub, team member, by name, etc.);

The completion criteria for each task/activity - a product, event or milestone that defines its completion.

Define all deliverables (reporting, data, reports, software, etc.) to be provided to the Government in support of the proposed research tasks/activities.

Reporting Deliverables

Item Date/Frequency

(LIST) (LIST)

Tech Deliverables

Item Deliverable Date Deliverable Location

(LIST) (LIST) (LIST)

IP Claims (LIST)

Data Restrictions (LIST)

Note: It is recommended that the SOW be developed so that each Phase of the program is separately defined. Do not include any proprietary information in the SOW.

E. {3} A clearly defined organization chart for the program team which includes, as applicable:

(1) the programmatic relationship of team member; (2) the unique capabilities of team members; (3) the task of responsibilities of team members; (4) the teaming strategy among the team members; and (5) the key personnel along with the amount of effort to be expended by each person during each year. Include formal teaming agreements which are required to execute this program.

F. {2} Cost schedules and measurable milestones for the proposed research, including estimates of cost for each task in each year of the effort delineated by the primes and major subcontractors, total cost, and any company cost share. Note: Measurable milestones should capture key development points in tasks and should be clearly articulated and defined in time relative to start of effort. These milestones should enable and support a decision for the next part of the effort. Additional interim non-critical management milestones are also highly encouraged at regular intervals. Where the effort consists of multiple portions which could reasonably be partitioned for purposes of funding, these should be identified as options with separate cost estimates for each.