DARPA-BAA-16-10_-_Amendment_2.pdf

Broad Agency Announcement

Mobile Offboard Clandestine Communications and Approach (MOCCA)

STRATEGIC TECHNOLOGY OFFICE

DARPA-BAA-16-10

Amendment 2 January 24, 2016

DARPA-BAA-16-10, Mobile Offboard Clandestine Communications and Approach (MOCCA)

TABLE OF CONTENTS

PART I: OVERVIEW INFORMATION

PART II: FULL TEXT OF ANNOUNCEMENT

1. FUNDING OPPORTUNITY DESCRIPTION

1.1 PROGRAM OVERVIEW

1.1.1 Technical Challenges

1.1.2 System Considerations

1.2 MOCCA PHASE 1 TECHNICAL AREAS

1.2.1 Technical Area 1 (TA-1) Active Sonar Systems

1.2.2 Technical Area 2 (TA-2) Clandestine Communications

1.3 MOCCA PHASE 1 PROGRAM EXECUTION PLAN

1.4 FUTURE PROGRAM PHASES

1.5 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

4.1.1 Classified Addendum

4.2 CONTENT AND FORM OF APPLICATION SUBMISSION

4.2.1 Security And Proprietary Issues

4.2.2 Proposal Information

4.2.3 Restrictive Markings on Proposals

4.3 FORMATTING CHARACTERISTICS

4.3.1 Proposal Format

4.4 SUBMISSION DATES AND TIMES

4.4.1 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 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 Employment Eligibility Verification

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

6.2.8 Reporting Executive Compensation and First-Tier Subcontract Awards

6.2.9 Updates of Information Regarding Responsibility Matters

6.2.10 Representations by Corporations Regarding an Unpaid Delinquent Tax Liability or a Felony Conviction under any Federal Law

6.2.11 Cost Accounting Standards (CAS) Notices and Certification

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

6.2.13 Safeguarding of Unclassified Controlled Technical Information

6.2.14 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

Funding Opportunity Title – Mobile Offboard Clandestine Communications and Approach (MOCCA)

Announcement Type – Initial Announcement Funding Opportunity Number – DARPA-BAA-16-10 Catalog of Federal Domestic Assistance Numbers (CFDA) - Not applicable Dates o Posting Date: 24 January 2016 o Proposal Due Date: 15 March 2016 o BAA Closing Date: 21 July 2016 o Proposers’ Day: 29 January 2016 o Deadline to Submit Questions: 16 February 2016 o Deadline to Request Copies of the Classified Addendum: 9 February 2016

Concise description of the funding opportunity: This solicitation is for the initial phase of the Mobile Offboard Clandestine Communications and Approach (MOCCA) program and seeks performers to develop compact active source, signal processing, and secure undersea communications technology options for an offboard mobile unmanned underwater vehicle (UUV) in direct support of submarine Anti-Submarine Warfare

(ASW).

Total amount of money to be awarded (Phase 1): Up to $12,000,000 Anticipated individual awards - Multiple awards are anticipated.

Types of instruments that may be awarded - Procurement contracts.

Any cost sharing requirements - None Agency contact o Points of Contact The BAA Coordinator for this effort may be reached at:

DARPA-BAA-16-10@darpa.mil.

DARPA/STO

ATTN: DARPA-BAA-16-10

675 North Randolph Street Arlington, VA 22203-2114

Other – A classified addendum containing program metrics is available upon request as described in Section 4.1.

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.

Proposed research should investigate innovative approaches that enable revolutionary advances in science, devices, or systems. Specifically excluded in this solicitation is research that primarily results in evolutionary improvements to the existing state of practice.

The Mobile Offboard Clandestine Communications and Approach (MOCCA) program seeks to develop and demonstrate new, non-traditional submarine sonar concepts and technologies.

The MOCCA program is envisioned as a three phase, 51-month program. This BAA is soliciting proposals for the execution of Phase 1 of the MOCCA program only. Phase 1 is a 15-month effort in which performers will develop preliminary designs for innovative sonar and communications concepts. In addition, sub-system prototypes will be developed and demonstrated to validate design approaches.

1.1 PROGRAM OVERVIEW

The MOCCA program seeks active sonar solutions that will mitigate the limits of passive submarine sonar sensors. The objective is to achieve significant standoff detection and tracking range through the use of an active sonar projector deployed offboard a submarine and onboard an Unmanned Underwater Vehicle (UUV). The submarine will need the ability to coordinate the operational functions of the supporting UUV. Thus, the program must also demonstrate the ability to achieve reliable clandestine communications between the host submarine and supporting UUV without sacrificing submarine stealth.

Phase 1 will focus on the sonar and communications technical challenges associated with the MOCCA program.

1.1.1 Technical Challenges

The MOCCA program has two key technical challenges:

1) Development of an active sonar system, which includes a small form factor active sonar projector suitable for UUV operations and bi-static active sonar processing

A small UUV is disadvantaged as a host for an active sonar projector. The volume available for the projector is highly constrained which makes high-output transducer materials a necessity. At the same time, the UUV is energy-limited, so the projector must be as energy-efficient as possible. Relatively long-range ensonification is required, so the ability to focus the projected acoustic signal in a direction of interest is needed to provide additional effective source level at the cost of a requirement to scan the sonar to produce the needed coverage.

The goal is to produce practical and flexible designs for the projector that can be scaled for multiple vehicles and deployment options.

Bi-static sonar processing advancements are needed in the area of reverberation and clutter rejection as well as precision localization capability. The system will be operated in bottom-limited acoustic environments. Sound that is projected will be scattered, producing reverberation and signal loss. Scattered sound may inadvertently illuminate the host submarine and possibly compromise stealth. For this reason, detailed and accurate predictions of the acoustic environment are important to manage the sonar and potential exposures.

2) Design and implementation of a secure and reliable communications link to provide positive control of a UUV operating at a significant distance from its host submarine

The communications link between the host submarine and the UUV will be used to control the UUV and its sonar payload, and to communicate information generated on the UUV back to the host platform. The MOCCA system will be used during an engagement, so proper control of the UUV is critical. Link throughput, delay, and reliability trades should consider the need for reliable operation during combat. An ideal link would have a low probability of intercept and of exploitation and provide high link reliability. The MOCCA communications link cannot degrade submarine stealth.

1.1.2 System Considerations

MOCCA technologies must be compatible with US Navy submarines and submarine-delivered UUVs for future development and demonstration efforts. The MOCCA program will not develop a UUV, but MOCCA sonar and communications payloads should be designed for integration into submarine-launched UUVs with a maximum diameter of 21 inches.

MOCCA sonar and communications data transmission, collection, and processing cannot impact existing submarine operations – the MOCCA submarine processor and display will be adjunct equipment approved for on-board submarine operation and interface with submarine systems.

Digital sonar signal data will be available for MOCCA sonar processing at the output of submarine sensor signal conditioning and analog-to-digital conversion processing.

1.2 MOCCA PHASE 1 TECHNICAL AREAS

The MOCCA program is organized into two technical areas (TA), one for the active sonar subsystem and one for the clandestine communications link.

1.2.1 Technical Area 1 (TA-1) Active Sonar Systems

The goals of TA-1 are the development of compact and efficient acoustic projectors and novel sonar receiver processing to maximize sonar detection range, reverberation and clutter rejection, and target discrimination and tracking.

In the MOCCA system concept, acoustic transducers will be integrated into a mobile UUV platform and operated at a significant distance from the sonar receiver onboard the submarine.

Innovative sonar transducer concepts and designs should consider high-drive materials, efficient power-amplifiers, and compact array projector configurations that will optimize sound output in a UUV volume-and-energy constrained package. The largest diameter UUV considered useful in the MOCCA system concept is 21 inches. However, more compact projector designs are highly desirable if they are able to achieve reasonable sound output in smaller UUV diameters.

The acoustic projector should be dynamically steerable to focus acoustic output in directions of interest. This feature will maximize detection performance and minimize the counter-detection risk to the operating host submarine. MOCCA sonar projector frequency bands must be compatible with current US Navy submarine sensors.

Active sonar receiver processing is also of critical importance to the MOCCA system concept.

Advancements in active sonar processing operating concepts, methods, and algorithms are sought in the area of reverberation and clutter rejection and in precision localization capability in littoral, reverberation-limited ocean environments.

1.2.2 Technical Area 2 (TA-2) Clandestine Communications

The goal of TA-2 is the development of an innovative communications link that provides secure and reliable control of an offboard UUV operating a significant distance from its host submarine.

The MOCCA communication system designs may include acoustic, optical, and relayed Radio Frequency (RF) signaling modalities that are compatible with existing submarine systems and tactical operations. The fundamental attributes of this link are:

(1) Significant communications range

(2) Secure and reliable UUV control

(3) Ability to preserve the host submarine stealth

MOCCA communications will be evaluated for Low Probability of Intercept and Low Probability of Exploitation (LPI/LPE) characteristics on a continuing basis.

1.3 MOCCA PHASE 1 PROGRAM EXECUTION PLAN

Phase 1 will advance MOCCA technologies from conceptual design through preliminary sub-system design. TA activities should include requirements analysis, design studies, prototype development, risk analysis and a demonstration of critical design technologies providing evidence of design viability. Performers will provide technical rationale that highlights design variants considered and describes key performance parameters and metrics that are traceable to the overall system metrics found in the classified addendum.

MOCCA sub-system prototyping and experimentation are encouraged; however, it should be limited to address key risks that impact the proposed design concepts. The proposer should demonstrate that their Phase 1 technology solutions have the potential for being compatible with UUV volume and energy storage constraints, as well as current and near-future submarine sonar and communication systems. Testing may be conducted at Government test facilities. For example, performers may choose to conduct limited testing at a Government facility, such as NUWC Seneca Lake Sonar Test Facility, NSWC Carderock Acoustic Research Detachment, or other test ranges. Use of these facilities should be identified in the proposal along with realistic costs and schedule estimates for use of these facilities. Prior to testing, performers will develop engineering test plans, methods, goals and performance expectations. Post-test performance analysis will be presented providing evidence of design viability and a measure of developmental risk.

At the completion of Phase 1, performers will develop a Technology Maturation Plan that describes the approach to continued development and platform integration into UUV and submarine systems.

A kick-off meeting will be conducted approximately two (2) weeks After Contract Award (ACA). Additionally, four (4) Technical Interchange Meetings (TIM) will be scheduled to review development progress, incremental results and future plans with the Government and other performers. Performers will not be required to share proprietary and budgeting information, but DARPA expects the exchange of classified information (up to the classification limits of program security classification guides) during each interaction. For cost estimation purposes, proposals should assume Phase 1 TIM meetings will be held at DARPA.

During the execution of the Phase 1 program, each TA performer will participate in the following TIMs:

TIM-1: TA-1 and TA-2 Conceptual Design Studies, Risk Assessment and Development Plan (four (4) months ACA)

TIM-2: TA-1 and TA-2 Design Alternatives Trade-off Studies, Parameters Sensitivity Analysis, and Design Performance Predictions (eight (8) months ACA)

TIM-3: TA-1 and TA-2 Preliminary Design with detailed analytical analysis that justifies the design approach and estimates of expected performance. Presentations shall also address Technical Area Critical Technology Demonstration and Analysis Plans (twelve

(12) months ACA)

TIM-4: TA-1 and TA-2 Critical Technology In-Water Performance Validation Test Results and Technology Maturation Plan (fifteen (15) months ACA)

Final reporting for Phase 1 shall include: (1) a Preliminary Design document with supporting analysis, expected performance, and prototype test results; and, (2) a Technology Maturation Plan identifying continued development strategy, tasks, technical milestones, and risks for follow-on program phases. These reports will document sonar and communication design requirements and interfaces to ensure successful integration into UUV and submarine systems in future program phases and are due at the end of Phase 1 (15 months ACA).

1.4 FUTURE PROGRAM PHASES

A follow-on BAA is possible if Phase 1 of the MOCCA program is successful. In this event, prior to the end of Phase 1, DARPA may release a solicitation for Phase 2, which may include an option for Phase 3. Phase 2 would be an 18-month effort that would focus on the system-level development of MOCCA system solutions and would integrate Phase 1 sonar and communication solutions into test UUV platforms. Phase 2 would culminate in at-sea system-level demonstrations to evaluate MOCCA system performance. The 18-month Phase 3 option effort would complete development of a MOCCA system with submarine platform integration and conduct an operationally realistic at-sea demonstration of an end-to-end system.

1.5 PROGRAM METRICS

Metrics are established in order for the Government to evaluate the effectiveness of a proposed solution in achieving the stated program objectives and are described in the Classified Addendum.

Qualified proposers should request the classified addendum by following instructions in Section

4.1 and review prior to submitting a proposal. The classified addendum describes the program metrics by which overall program progress will be measured. In addition to describing how these metrics will be addressed throughout the program, performers should describe additional metrics (derivative) that are specific to the proposed technology and/or design. As with the program metrics, performers should cite the quantitative and qualitative success criteria that the proposed effort will achieve during the in-water performance validation demonstrations.

Although 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.

2. AWARD INFORMATION

Multiple awards are expected. The amount of resources made available under this BAA will depend on the quality of the proposals received and the availability of funds. Proposers may submit multiple proposals addressing TA-1, TA-2, or both TA-1 and TA-2. If a proposer submits a single proposal that addresses both TA-1 and TA-2, the proposal must be in the format required under section 4.3 FORMATTING CHARACTERISTICS, following the proposal page limitations and providing a single statement of work and cost proposal.

This BAA does not solicit proposals for Phase 2 and Phase 3. In the event that DARPA elects to proceed with these phases, a new solicitation will be released soliciting proposals from teams capable of developing, integrating, and fielding technologies addressed in Phase 1.

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 contractor 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 link for information about DARPA’s public release process: http://www.darpa.mil/work-with-us/contract-management/public-release.”

3. ELIGIBILITY INFORMATION

Due to security requirements associated with this BAA, only organizations that are capable of receiving, processing, and storing export controlled and classified information associated with this effort are eligible for awards.

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 4.2.1 “Security and Proprietary Issues” regarding the proposers capabilities to perform research and development at the classification level they propose.

3.1.3 Applicants Considering Classified Submissions

Applicants considering classified submissions (or requiring access to classified information during the life-cycle of the program) shall ensure all industrial, personnel, and information system processing security requirements are in place and at the appropriate level (e.g., Facility Clearance (FCL), Personnel Security Clearance (PCL), certification and accreditation (C&A)) and any Foreign Ownership Control and Influence (FOCI) issues are mitigated prior to such submission or access. Additional information on these subjects can be found at: www.dss.mil.

3.2 PROCUREMENT INTEGRITY, STANDARDS OF CONDUCT, ETHICAL

CONSIDERATIONS, AND ORGANIZATIONAL CONFLICTS OF INTEREST

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

Without prior approval or a waiver from the DARPA Director, in accordance with FAR 9.503, a contractor cannot simultaneously provide scientific, engineering, technical assistance (SETA) or similar support and also be a technical performer. As part of the proposal submission, all members of the proposed team (prime proposers, proposed 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.

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. 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.

4.1.1 Classified Addendum

A formal request for DARPA-BAA-16-10 Classified Addendum and the Security Classification Guide 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-16-10@darpa.mil with subject line titled “Request DARPA-BAA-16-10 Classified Addendum and Security Classification Guide.”

Requests for the Classified Addendum should include, at a minimum, the company name, technical POC name and phone number, Facility Security Officer (FSO) name and phone number, CAGE code, statement of facility clearance and safeguarding capability, and a valid U.S. Postal Service address for receiving classified material at the Secret level. DARPA will verify the facility clearance and the clearance of the recipient before e-mailing (via secure system) and/or mailing the classified material.

Proposers should allow at least five (5) business days for processing requests for the classified addendums plus time for delivery. Requests for this information will not be accepted after 9 February 2016.

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/.

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 or otherwise involves access to, or generation of, classified information. Security classification guidance via a Security Classification Guide (SCG) and DD Form 254, “DoD Contract Security Classification Specification,” will be provided to those who complete the Request Form in Appendix 2 and email it to DARPA-BAA- 16-10@darpa.mil for processing.

The DD Form 254 for the solicitation is Unclassified and the SCG is Unclassified For Official Use Only (FOUO) and can only be mailed to the requester’s classified mailing address, which must be provided to the Strategic Technology Office (STO) Program Security Officer (PSO) or their staff. If a proposer requires a DD Form 254 or SCG that is classified Confidential, Secret, Confidential/Special Access Program (SAP), or Secret/SAP, they can only be mailed to the requester’s classified mailing address which must be provided to the Technical Office Program Security Officer or their staff. A DD Form 254 or SCG that is classified as Sensitive

Compartmented Information (SCI), collateral Top Secret, or Top Secret/SAP must be hand-carried back to proposer locations via appropriately cleared and authorized couriers.

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 Classified Document Registry (CDR). Prior to traveling, the courier shall contact the DARPA CDR at 703-526-4052 to coordinate arrival and delivery.

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: Strategic Technology Office Reference: DARPA-BAA-16-10 675 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 STO PSO or their staff.

Proposers choosing to submit SAP information from an agency other than DARPA are required to provide the DARPA STO 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 STO 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 STO 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 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 may not be submitted by fax or e-mail; any so sent will be disregarded.

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

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

Proposers submitting hard copy full proposals must submit an original and two (2) electronic copies of the proposal [in PDF (preferred)] on CD-ROM. The three (3) PowerPoint slides listed in Appendix 1: Proposal Slide Summary should be submitted as separate files on each CD-ROM.

Each CD-ROM must be clearly labeled with DARPA-BAA-16-10, proposer organization, proposal title (short title recommended), and Copy _ of 2.

For Proposers Submitting through DARPA’s BAA Submission Portal (Not Submitting Hard Copies/CD-ROM):

Unclassified full proposals sent in response to this BAA may be submitted via DARPA's BAA Website (https://baa.darpa.mil). Proposals may not be submitted by fax or email; any so sent will be disregarded. Note: If an account has already been created for the DARPA BAA Website, this account 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 proposal. Proposers using the DARPA BAA Website may encounter heavy traffic on the submission deadline date; it is highly advised that submission process be started as early as possible.

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 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.

Classified submissions should NOT be submitted through DARPA's BAA Website (https://baa.darpa.mil), though proposers will likely still need to visit https://baa.darpa.mil to register their organization (or verify an existing registration) to ensure the BAA office can verify and finalize their submission.

Technical support for DARPA's BAA Website may be reached at BAAT_Support@darpa.mil, and is typically available during regular business hours, (9:00 AM- 5:00 PM EST Monday - Friday). 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 a proposal that includes both classified and unclassified information, the proposal may be separated into an unclassified portion and a classified portion. The proposal 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. If a classified proposal may not be partitioned into classified and unclassified portions, then submit according to the instructions outlined in the “Security Information” section above.

When a proposal includes a classified portion, and when able according to security guidelines, we ask that proposers send an e-mail to DARPA-BAA-16-10@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 one (1) hard copy 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-16-10, 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-16-10@darpa.mil

DARPA/STO

ATTN: DARPA-BAA-16-10

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

DARPA intends to use electronic mail for correspondence regarding DARPA-BAA-16-10.

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

4.2.3 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.

4.3 FORMATTING CHARACTERISTICS

4.3.1 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.