DARPA-BAA-16-55.pdf

Broad Agency Announcement Aerial Dragnet

STRATEGIC TECHNOLOGY OFFICE

DARPA-BAA-16-55

September 13, 2016

DARPA-BAA-16-55, Aerial Dragnet

TABLE OF CONTENTS

PART I: OVERVIEW INFORMATION………………………………………………………4

PART II: FULL TEXT OF ANNOUCEMENT………………………………………………..5

PART I: Overview information………………………………………………………4

1. FUNDING OPPORTUNITY DESCRIPTION

1.1 PROGRAM OVERVIEW

2. AWARD INFORMATION

2.1 Fundamental Research

3. ELIGIBILITY INFORMATION

3.1 ELIGIBLE APPLICANTS

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

3.1.2 Non-U.S. Organizations

3.1.3 Applicants Considering Classified Submissions

3.2 Procurement Integrity, Standards of Conduct, Ethical Considerations, and Organizational Conflicts of Interest

3.3 COST SHARING/MATCHING

4. APPLICATION AND SUBMISSION INFORMATION

4.1 ADDRESS TO REQUEST APPLICATION PACKAGE

4.2 CONTENT AND FORM OF APPLICATION SUBMISSION

4.2.1 Security and Proprietary Issues

4.2.2 Proposal Abstract Information

4.2.3 Proposal Information

4.2.4 Restrictive Markings on Proposals

4.3 FORMATTING CHARACTERISTICS

4.3.1 Proposal Abstract Format

4.3.2 Proposal Format

4.4 IMPORTANT DATES AND TIMES

4.4.1 Proposer Day Conference

4.4.2 Proposal Abstract Submission Deadline

4.4.3 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 Proposed Schedule and Cost Realism

5.2 REVIEW AND SELECTION PROCESS

6. AWARD ADMINISTRATION INFORMATION

6.1 SELECTION NOTICES

6.2 ADMINISTRATIVE AND NATIONAL POLICY REQUIREMENTS

6.2.1 Meeting And Travel Requirements

6.2.2 Human Subjects Research

6.2.3 Animal Use

6.2.4 Export Control

6.2.5 Subcontracting

6.2.6 Electronic And Information Technology

6.2.7 Employment Eligibility Verification

6.2.8 System for Award Management (SAM) 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 Covered Defense Information and Cyber Incident Reporting

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: SECURITY CLASSIFICATION GUIDE 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 – Aerial Dragnet Announcement Type – Initial Announcement Funding Opportunity Number – DARPA-BAA-16-55 Catalog of Federal Domestic Assistance Numbers (CFDA) – Not applicable Dates o Posting Date: September 13, 2016 o Proposer Day Dates: September 26, 2016 o BAA Questions Due Date: September 30, 2016 o Proposal Abstract Due Date: October 11, 2016 o Proposal Due Date: November 12, 2016 o BAA Closing Date: February 28, 2017

Concise description of the funding opportunity – DARPA is soliciting innovative research proposals for persistent, wide-area surveillance of small unmanned aerial systems (UASs) in urban terrain on a city-wide scale. Proposals are solicited for a scalable network of sensors on aerial platforms performing threat-agnostic UAS detection, classification, and tracking by looking over and into complex terrain.

Anticipated individual awards – Multiple awards are anticipated.

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

Agency contact o Program Manager: Dr. Jeffrey Krolik, DARPA/STO o Points of Contact

Direct all inquiries regarding the BAA to the BAA Coordinator:

DARPA-BAA-16-55@darpa.mil

DARPA/STO

ATTN: DARPA-BAA-16-55

675 North Randolph Street Arlington, VA 22203-2114 mailto:DARPA-BAA-16-55@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 for wide area surveillance of small unmanned aerial systems (UASs) in urban terrain. Proposed research should investigate innovative approaches that enable revolutionary advances in systems for performing these tasks.

Specifically excluded is research and development that primarily results in evolutionary improvements to the existing state of practice. Please see Section 4.4 on information regarding the Proposer Day on September 26, 2016.

1.1 PROGRAM OVERVIEW

Aerial Dragnet seeks to perform persistent wide-area surveillance of multiple small unmanned aerial systems (UASs) in urban terrain on a city-wide scale. Small UASs are rapidly becoming low-cost aerial platforms for hostile reconnaissance, targeting, and weapon delivery. Unlike traditional air targets, small UASs: 1) fly at low altitudes (e.g., < 400 ft) which make them easily hidden by complex terrain, 2) move at slow speeds (e.g., < 90 kts) which make them difficult to differentiate from other movers, and 3) are small in size (e.g., < 55 lbs.) making them difficult to sense. In future urban battlegrounds, U.S. forces will be placed at risk by small UAS which use buildings and naturally-occurring motion of the clutter to make surveillance impractical using current approaches. The rapid proliferation of commercial UAS with increasing endurance and payload capacity drives the need for a future urban aerial surveillance system that can detect, track, and classify many different UAS types at longer ranges in urban terrain.

Current counter-UAS approaches either: 1) require line-of-sight (LOS) target viewing geometries not possible in urban terrain, or 2) exploit fragile vulnerabilities of commercial UASs obsoleted by rapid adaption. This program seeks to develop systems for threat-agnostic non-line-of-sight (NLOS) surveillance which exploit and adapt to the fundamental physics of the threat and the urban environment. To achieve wide-area performance, proposals are solicited for a scalable network of surveillance nodes, each consisting of sensors mounted on a persistent unmanned aerial platform that can sense over and into complex terrain. The resulting system will produce real-time situational awareness of the airspace in urban areas below altitudes covered by conventional air surveillance systems.

1.1.1 CONCEPTUAL APPROACH

The Aerial Dragnet concept for surveillance of an urban area is illustrated in Figure 1. The system requires a network of surveillance nodes, each providing coverage of a neighborhood-https://www.fbo.gov/ sized urban area, mounted on tethered and/or long-endurance UASs. The Aerial Dragnet system will provide a continually updated common operational picture (COP) of the low altitude airspace (i.e., below 1000 ft). The COP will consist of geographically-referenced tracks of all small UASs, labeled as friends or foes, within the coverage area. Dissemination of the COP will be made to accredited users upon demand by interfacing with existing secure commercial and/or military data links. Networking of the surveillance nodes will provide scalability to a larger network for city-wide coverage as well as providing surge capability and resilience to node outages. Commercial off-the-shelf (COTS) or previously developed components together with software-defined signal processing should be used so that systems are low cost and can be rapidly upgraded as component technologies evolve. To ensure an asymmetric cost advantage over commercially-driven threats, the total expected cost of a notional system providing neighborhood coverage of a 20 km2 area with a single aerial platform and sensor payload should be less than $10,000. This would lead to a networked system of 9 nodes providing city-wide coverage of a 180 km2 at a cost under $90,000. For clarity, the following sections will reference systems with this notional ratio of node-density-to-coverage area, however, proposed alternatives that achieve program goals and which exceed this performance-to-price ratio are also encouraged.

Figure 1: Aerial Dragnet concept

For purposes of this BAA, a small UAS is defined to be any manufactured flying platform, regardless of propulsion, power type or control mechanism that has a total weight (both platform and payload) between 2 and 55 lbs. This includes fixed wing and multi-rotor craft, electric, fuel or other powered, autonomous or remote command controlled, which may or may not have intentional emissions. Note that the design and development of the aerial sensor platform is not part of this program. Rather, proposers are encouraged to base their designs on existing platforms which can be refreshed as their technologies evolve.

1.1.2 PROGRAM STRUCTURE

In order to meet program goals, Aerial Dragnet requires the development and integration of three key system components: 1) signal processing algorithms for NLOS detection, tracking, and classification of small UASs, 2) sensor sub-systems using low size, weight, and power (SWaP) commodity components suitable for mounting on airborne platforms, and 3) a networked multi-platform system for autonomously generating and disseminating a COP to ground forces in the coverage area. The focus will be on the use of modular, software-driven components that can be easily reconfigured and upgraded as necessary. Some components, such as electro-optical (EO) systems, gimbals, and air-to-ground data links are readily available today for small UASs. Other components, such as signal processing for NLOS detection, radar-quality radio frequency (RF) subsystems, and sensor-driven autonomous behaviors which adapt to urban environments, are not currently available. To maximize the ability for threat-agnostic surveillance in a variety of urban environments, proposers are strongly encouraged to consider combinations of multiple sensor modalities, both active and passive, together with associated algorithms.

Proposers should describe a concept of operation for surveillance nodes which allows them to be deployed individually or as a network. In order to cover a neighborhood-sized area with a minimum number of platforms, a notional single surveillance node design would provide coverage and support dissemination of a COP to a small number of users over a 20 km2 area.

Likewise, a networked city-wide configuration should provide coverage and support dissemination of the COP to a large number of units over a 180 km2 area. The logistic requirements for persistent operation of the system should be minimized so as to make it appropriate for issue to lower-echelon military units (i.e., platoon-level and above). Proposers should give specific examples of aerial platforms appropriate for hosting their sensor subsystems. Their concept of operation should address how these platforms will be used to achieve the persistence metrics defined in Section 1.2. To be responsive to this BAA, proposals must address each of the following tasks when describing their surveillance system design:

Task 1: Surveillance Algorithms This task concerns the development of signal processing solutions for detection, tracking, and classification of small UASs in urban terrain. The required system must perform threat-agnostic detection, track initiation, NLOS tracking, and classification of multiple small UASs flying at altitudes between 10 and 1000 feet. Proposers should describe algorithms which provide NLOS detection and tracking and which are able to disambiguate multipath signals in urban terrain.

Descriptions should include an analysis of the minimum detectable velocity (MDV) for a small UAS in an urban environment. Proposal should also describe classification methods which exploit physical characteristics unique to UAS platforms. The micro-Doppler signature of UAS propeller motion is one such physics-based feature for radar. Descriptions should address classifier training methods, including methods to acquire training data, and their ability to classify a large variety of small UASs. Target tracks should be initiated and classified in less than 10 seconds once targets are within detection range. Proposals should quantify expected localization accuracy and ability to resolve multiple UAS targets.

Proposers are required to provide a preliminary system design, including a functional block diagram of their detection, classification, and tracking components. Proposals should justify the ability to achieve real-time operation in terms of the computational and data flow requirements of the system. The expected allocation of signal processing tasks to aerial and/or ground computational assets should be discussed including implications on data rates between different system components. Key program deliverables include complete mathematical descriptions of all algorithms, commented source code (preferably in the Matlab language), as well as documented real-time software modules. The software should be easily portable to a variety of computational engines. Surrogate platforms and brass-board systems for data collection may be proposed to develop algorithms and inform the design of UAS-deployable sensor subsystems.

Task 2: Sensor Subsystems This task describes sensor subsystems to be developed and hosted on commercial-grade unmanned aerial vehicles. Due to their low cost and wide availability, sensor subsystems with COTS parts that have dual-use in mass market applications are of particular interest. In a notional system, a single sensor should be capable of detecting a variety of UASs over a 3 km radius coverage area. Proposers should include link budget calculations and/or measured data to support their detection range claims for both LOS and NLOS propagation paths. Sensor agility in both frequency and modality is strongly encouraged to counter threat jamming. For example, the ability to switch between active and passive modes would allow a software-defined RF system the flexibility to both detect targets and localize jammers. Proposers should develop modular payload designs that enable the integration of multiple complementary sensors. For example, small radar and optical systems typically have complementary strengths in terms of their range versus cross-range resolution, respectively. To ensure compatibility with a wide variety of platforms, the sensor subsystems will be constrained in size, weight, and power (see Section 1.2). Proposals should address approaches for mitigating possible self-interference from the host platform. Modular sensor subsystem hardware, which can easily integrated with contractor-specified UASs, are required deliverables under this task.

Task 3: Networked System This task involves networking individual surveillance nodes to achieve coverage of a 180 km2 urban area. Proposals should describe interfaces for disseminating a dynamic COP to accredited users employing existing commercial and/or military data links and information systems.

Proposers are encouraged to provide specific examples of how collaborative, sensor-driven autonomous behaviors within individual and across aerial platforms will be used to improve wide-area urban surveillance. Proposers should strongly consider the use of autonomy software middleware, such as the open-source Robotic Operating System (ROS) software package, to ensure platform and sensor agnostic operation. Proposers should describe the trade-offs involved and their approach for resolving competing demands for sensor resources both within individual platforms and across aerial platforms. Proposers are encouraged to provide an example of how the networked system would operate to provide early and sustained detection, tracking, and classification of a 20 UAS attack over a city-wide area of 180km2 during a continuous 24 hour period. The example should serve to illustrate the optimization criteria, sample messages exchanged, the time line, and commands to UAS auto-pilots generated to defend against a UAS attack in urban terrain. The example should also illustrate how UAS detections by different nodes will be correctly associated with the same or different targets over the duration of an event. Deliverables under this task include behaviors written for the selected robotics middleware package. Proposals must describe a path to achieving a production cost of not more than $10,000 per node (sensor plus aerial platform) for a notional nine node system to provide coverage of a 180 km2 area (or an alternative with comparable performance-to-price ratio). This can be achieved by including in the proposal a bill of materials cost with commercially-sourced components together with a candidate UAS platform. The key program deliverable will be a distributed, networked, surveillance system implemented using performer-selected but commonly available data links and information systems.

Government-led Experimentation:

In parallel with performer efforts, the Government will conduct periodic tests and evaluations to inform the Aerial Dragnet concept. The short detection timeline and complex urban sensing requirements motivate the need for a hardware-in-the-loop (HIL) simulation testbed which can be used to evaluate system-level effectiveness over a large set of scenarios. Simulation testing over many urban realizations will provide a statistical characterization of performance, including probability of detection versus false alarm, track continuity, and classification error probabilities.

During each phase, performers should provide a schedule indicating how and what specific software and hardware components they will provide to the Government team to enable HIL simulations. Throughout each phase, performers should also plan to conduct field experiments using their systems at a Government-provided test range. A Government “Red Team” will coordinate field testing and specify a variety of candidate threat UASs to exercise the performers’ systems. During Government-specified tests at the end of each phase, performers will be required to demonstrate that their systems achieve the metrics defined in Section 1.2.

1.1.3 PROGRAM PHASES

The Aerial Dragnet program will span a three and a half year period. Performers are required to bid all three task areas with a base effort in Phase 1 and priced options for Phases 2 and 3. A notional program plan outline is given in Figure 2 indicating the expected after-contract-award (ACA) timeline. Note that a spiral development process is anticipated with updates to both the sensor subsystem hardware and aerial platforms in each phase. Proposers are required to provide a statement of work and work breakdown structure (WBS) for the following efforts and expected outcomes in each phase and task area.

Phase 1 (15 months) Proposers will develop a neighborhood (20 km2 coverage area) surveillance system consisting of one or more sensors mounted on a single aerial platform. The system will include algorithms for detecting, tracking, and classifying small UASs in urban terrain. The real-time compute engine may be located on the aircraft or on the ground connected to the platform by a high data rate link.

Performers must deploy their surveillance system on a persistent aerial platform of their choosing at a height not to exceed 1000 ft. Performance will be assessed using Group 1 (< 20 lbs.) UAS target trajectories of varying speeds (< 30 m/s) and durations (> 30 seconds) within a 20 km2 area of urban terrain. The Phase 1 system will detect, classify, and track up to three simultaneous small UAS threats of similar type over a 20 km2 area urban area in both scripted and unscripted attacks initiated NLOS from a stationary friendly asset. Detection, classification, and track initiation will occur no more than 10 seconds from the time a small UAS enters the aerial platform coverage area. Tracks initiated on the detected UASs should be held for at least

90% of the subsequent target flight duration. Trials will be conducted in the presence of multiple non-UAS movers. The goal will be to demonstrate performance commensurate with a target detection probability > 95% and false target rate of < 1 per 24 hour period.

Phase 2 (15 months) Proposers will develop a networked system of three surveillance nodes capable of surveilling a 60 km2 urban region. The networked system will demonstrate the ability to detect, classify, and track multiple unscripted launches of 10 simultaneous UAS threats over a one hour period against an expanded set of threats of varying type (both Group 1 and Group 2), including both fixed and rotary wing UASs. The nodes in this system should meet the same metrics as those developed in Phase 1 but with additional networking components and upgrades in sensor, platform, and/or software as required to handle the more challenging scenarios. Demonstration of autonomous behaviors which adapt to threat dynamics and the urban environment will be expected. The Phase 2 system must demonstrate the ability to autonomously associate tracks that traverse the coverage area spanned by the three surveillance nodes.

Phase 3 (15 months) The Phase 2 system will demonstrate the ability to scale the coverage and persistence of multiple networked surveillance nodes over a 180 km2 area against multiple attacks of 20 UASs over a 24 hour period.

Figure 2: Notional Aerial Dragnet program plan

1.2 PROGRAM METRICS

In order for the Government to determine the effectiveness of a proposed solution in achieving the stated program objectives, proposers should note that the Government hereby promulgates the following program metrics that may serve as the basis for determining whether satisfactory progress is being made to warrant continued funding of the program. Although the following 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.

Phase Program Metrics 1 NLOS detection & classification: > 20 km2 coverage area, > 10 ft height, < 30 m/s speed Time to detect, classify, and initiate track (once within range): < 10 sec Percent of track held during target trajectory: > 90% Probability of detection (Pd): > 0.95 Probability of correct classification: (Pcc): > 0.98 False target rate: < 1 per 24 hours Payload SWaP: < 1 ft3, < 15 lbs, < 100 W Cost-to-area-coverage ratio: < $10K per 20 km2

2 All previous metrics from Phase 1 Networked multi-platform surveillance system with 60 km2 coverage and 1 hour persistence against an attack of 10 UASs

3 All previous metrics from Phase 2 Networked multi-platform surveillance system with 180 km2 coverage and 24 hour persistence against an attack of 20 UASs

Small UAS threat parameters:

Weight: 2-55 lbs Altitude: 10-1000 ft Speed: < 90kts

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 personnel, in consultation with the Government contracting officer, may select other award instruments, as they deem 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.”

mailto:public_release_center@darpa.mil

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

Due to security requirements associated with the Aerial Dragnet program, only organizations that are capable of receiving, processing, and storing export controlled and classified information associated with this effort are eligible for awards. Non-U.S. organizations and/or individuals may therefore not participate in this effort as a prime contractors. Non-U.S. organizations and/or individuals may act as subcontractors to the extent that the prime contractor can ensure such participants comply with any necessary nondisclosure agreements, security regulations, export control laws, and other governing statutes applicable under the circumstances. Non-U.S.

organizations or individuals acting as subcontractors will perform solely at the unclassified level.

Since DARPA does not intend to provide classified or export controlled data to any international participants, proposers are reminded that implementation of applicable agreements and licenses is the responsibility of the proposer. 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.

4. APPLICATION AND SUBMISSION INFORMATION

4.1 ADDRESS TO REQUEST APPLICATION PACKAGE

This solicitation contains all information required to submit a proposal. No additional forms, kits, or other materials are needed. This notice constitutes the total solicitation. No additional http://www.dss.mil/ 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/.

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)” http://www.dss.mil/

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

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

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

DARPA anticipates that submissions received under this BAA will be unclassified. However, should a proposer wish to submit classified information, an unclassified email must be sent to the BAA mailbox requesting submission instructions from the Technical Office Program Security Officer (PSO). A formal request for the DARPA-BAA-16-55 Security Classification Guide may be submitted by filling out the Security Classification Guide Request Form (found in APPENDIX 2 to this BAA) and emailing the Request Form to DARPA-BAA-16-55@darpa.mil with subject line titled “Request DARPA-BAA-16-55 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.

Proposers are encouraged to submit this request no later than 3 October 2016 to allow for adequate time for delivery of the material. The DARPA-BAA-16-55 Security Classification Guide Request Form is the only method of request that will be accepted.

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: Strategic Technology Office (STO) Reference: DARPA-BAA-16-55 675 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 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 15 calendar days of receipt.

Abstracts sent in response to DARPA-BAA-16-55 may be submitted via DARPA's BAA Website (https://baa.darpa.mil). Visit the website to complete the two-step registration process.

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

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).

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.