HR001121S0004-Amendment-03.pdf

DARPA TTO Broad Agency Announcement Robotic Autonomy in Complex Environments with Resiliency (RACER)

HR001121S0004

Questions and Answers 2 December 4, 2020

IN THE EVENT OF ANY INCONSISTENCY BETWEEN THE ANSWERS PROVIDED

HEREIN AND THE SOLICITATION, THE SOLICITATION SHALL TAKE PRECEDENCE

Questions and Answers 2:

Note: The following Q&A is based on RACER BAA Amendment 02 which revises Section IV.B.2.a.III.G, Security Management Architecture and/or Approach. The changes include altering the timing of the requirement for the capability to perform work at the SECRET level from Phase 2 to the start of Phase 1. Please refer to RACER BAA Amendment 02 for the revised BAA language.

Q111 On pages 16 and 34 of the RACER BAA, it is suggested that proposals which constitute fundamental research will not be subject to some of the more restrictive information security requirements. However, based on the Security Classification Guide (SCG) there is a possibility of work going classified even in Phase 1. And there is no mention of any fundamental research exemptions. Can you give us any clarification on how the SCG requirements can be met between the prime and subawardees?

A111: Answer: Proposers may always segregate their efforts into portions that are identified as fundamental research and portions that are not. The first paragraph on page 17 of the RACER BAA (copied below) further notes that this segregation can be made between the awardee and subawardee in either direction. In the limit, it is possible that every organization on the team could have a portion of their scope that is fundamental research and a portion that is not.

For certain research projects, it may be possible that although the research to be performed by a potential awardee is non-fundamental research, its proposed subawardee’s effort may be fundamental research. It is also possible that the research performed by a potential awardee is fundamental research while its proposed subawardee’s effort may be nonfundamental research. In all cases, it is the potential awardee’s responsibility to explain in its proposal which proposed efforts are fundamental research and why the proposed efforts should be considered fundamental research. – RACER BAA, p17

Proposers that identify portions as fundamental research, have an additional responsibility to clearly designate those portions that are fundamental research in the SOW, provide justification for why that portion should be considered fundamental research, and segregate costs for those portions. A convenient place to provide this justification is in the SOW.

Multiple portions can be designated as fundamental research. These can be covered by a single justification or there can be multiple justifications.

Portions that are designated as fundamental research must fall into the SCG topics which are unclassified and without remarks in the table in RACER SCG Section 3, Specific Classification Guidance.

Regarding clarification on how the SCG requirements can be met between the prime and subawardees. The prime will need to flow down the security requirements tosubawardees using the DD254 Contractor Security Specification Document, authorizing access to classified information as part of the RACER contract. Thus, the prime must have a facility clearance at or above the classification requirement for the program and, if a subawardee is to perform classified work, it must also have a facility clearance at or above the classification requirement for the program.

Q112 Regarding the table in the RACER Security Classification Guide (SCG) Section 3, Specific Classification Guidance, I am worried that Topic 3.3.b will make it difficult for my academic institution to participate in the program. Can you help provide any clarity on this point?

A112: Academic institutions are encouraged to participate in the RACER program. DARPA seeks the innovations that frequently come from academic institutions as part of the RACER program.

A portion of the work under this RACER BAA will be classified at the SECRET level in accordance with the Security Classification Guide.

Proposers must specify whether or not their team currently has the capability to perform work in the following three categories at the start of Phase 1: 1) unclassified fundamental research open to non-US persons, 2) Controlled Unclassified Information restricted to US persons, and 3) SECRET. If a proposer does not currently have the capability to perform work in all three categories, they must include a description of how they would meet a requirement to perform work in all three categories at the start of Phase 1.

Upon review, the wording of Security Classification Guide Topic 3.3.b has been determined to be overly vague. A revised SCG will be provided to those who have received the SCG and to future SCG recipients.

Q113: Given the potential security requirements, do you envision that universities would be eligible to be prime? if so, what are the minimum security requirements?

A113: Yes, we envision and desire that universities would be prime contractors; therefore the prime contractor must have a facility clearance at the SECRET level at the start of the program and be able to provide a security area, which may require investment and lead time if not already available. Please refer the Security Classification Guide for the program security requirements

Q114: Should we expect it to be executed at collateral secret?

A114: The highest security classification for a portion of the work on this program is SECRET.

Please refer to the Security Classification Guide for the program security requirements and to Q111 & Q112 above.

Q115: Please confirm that software can be developed and delivered in unclassified setting.

A115: Yes, the software can be developed and delivered in an unclassified setting. However, a portion of the work will be classified at the SECRET level. Please refer to the Security Classification Guide for the program security requirements.

Q116: The BAA indicates that proposers should indicate whether they believe the scope of their research is fundamental or not (p. 34). Paragraph 1.6 and Section 3 of the SCG indicate that there is probably not much room for fundamental research in this program. Do you or the PM believe that meaningful awards could be made that would have significant fundamental research carve outs? Along the same lines, item 3.3.b of the SCG indicates that there is some possibility the program could go classified even in Phase 1, especially since that line seems to be a main aim of the program. With this in mind, do you expect that awarded contracts will need a DD 254 and that prime awardees will be required to have the capability to handle classified material and computing in Phase 1?

A116: Yes, we believe that meaningful awards could be made that would have significant fundamental research carve outs. Because a portion of the work will be at the SECRET level, we do expect that contracts will need a DD254 and that prime awardees will be required to have the capability to handled classified material at the start of Phase 1.

Q117: The RACER BAA states that non-U.S. organizations and/or individuals are encouraged to 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." If so, and assuming all required trade compliance mechanisms are in place, will all of the appropriate development tools and software architecture information be releasable to the foreign company? Lastly, is this information releasable to foreign persons without trade compliance mechanisms?

A117: Yes, assuming all required trade compliance mechanisms are in place and assuming compliance with any necessary nondisclosure agreements, security regulations, export control laws, and other governing statutes applicable under the circumstances., the appropriate development tools and software architecture information should be releasable to the foreign company. Note that DARPA cannot promise or guarantee that any required trade compliance mechanisms will be in place. Foreign nationals and foreign companies may work on portions that are fundamental research. See RACER BAA Section IV.B.2.a.III.G, Proposal Format - Security Management Architecture and/or Approach. Please refer to the Security Classification Guide for program security requirements.