HR001117S0015-Amendment-05.pdf

Broad Agency Announcement Amendment 5

Strategic Technologies

STRATEGIC TECHNOLOGY OFFICE

HR001117S0015

February 19, 2019

Strategic Technologies

The purpose of this amendment is to make the following revision, which is highlighted in yellow on pages 5 and 29:

1. Update the BAA closing date/deadline to submit an executive summary, abstract, and/or proposal to March 1, 2019, 4:00PM Eastern. No other changes have been made to this

BAA.

TABLE OF CONTENTS

1. FUNDING OPPORTUNITY DESCRIPTION

1.1 PROGRAM OVERVIEW

1.1.1 Situation Understanding

1.1.2 Multi-Domain Maneuver

1.1.2.1 Planning and Control

1.1.2.2 Communications and Networking

1.1.2.3 Position, Navigation, and Time (PNT)

1.1.3 Hybrid Effects

1.1.4 System of Systems (SoS)

1.1.5 Maritime Systems

1.1.6 System of Systems-Enhanced Small Units (SESU)

1.1.7 Foundational Strategic Technologies and Systems

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 Organizational Conflicts of Interest

3.3 COST SHARING/MATCHING

3.4 OTHER ELIGIBILITY REQUIREMENTS

3.4.1 Collaborative Efforts

4. APPLICATION AND SUBMISSION INFORMATION

4.1 ADDRESS TO REQUEST APPLICATION PACKAGE

4.2 CONTENT AND FORM OF APPLICATION SUBMISSION

4.2.1 Security And Proprietary Issues

4.2.2 Executive Summary, Abstract, and Proposal Information

4.2.3 Restrictive Markings on Proposals

4.2.4 Disclosure of Information and Compliance with Safeguarding Covered

Defense Information Controls

4.3 FORMATTING CHARACTERISTICS

4.3.1 Executive Summary Format

4.3.2 Proposal Abstract Format

4.3.3 Proposal Format

4.4 SUBMISSION DATES AND TIMES

4.4.1 Executive Summary, Abstract, and 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 Cost Realism

5.2 REVIEW AND SELECTION PROCESS

6. AWARD ADMINISTRATION INFORMATION

6.1 SELECTION NOTICES and notifications

6.1.1 Executive Summaries

6.1.2 Abstracts

6.1.3 Proposals

6.2 ADMINISTRATIVE AND NATIONAL POLICY REQUIREMENTS

6.2.1 Meeting And Travel Requirements

6.2.2 FAR and DFARS Clauses

6.2.3 Human Research Subjects/Animal Use

6.2.4 Grant Abstract

6.2.5 Subcontracting

6.2.6 Electronic And Information Technology

6.2.7 System for Award Management (SAM) and Universal Identifier

Requirements

6.2.8 Controlled Unclassified Information (CUI) on Non-DoD Information

Systems

6.2.9 Terms and Conditions

6.2.10 Representations and Certifications

6.3 REPORTING

6.4 ELECTRONIC SYSTEMS

6.4.1 Wide Area Work Flow (WAWF)

6.4.2 i-EDISON

7. AGENCY CONTACTS

8. OTHER INFORMATION

8.1 INTELLECTUAL PROPERTY

8.1.1 Procurement Contract

8.1.2 Nonprocurement Contract

9. APPENDIX 1: PROPOSAL SLIDE SUMMARY

10. APPENDIX 2: VOLUME 1 COVER SHEET TEMPLATE

11. APPENDIX 3: 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 – Strategic Technologies Announcement Type –Initial announcement Funding Opportunity Number – HR001117S0015 Catalog of Federal Domestic Assistance Numbers (CFDA) - Not Applicable Dates o Posting Date: March 22, 2017 o BAA Closing Date: March 1, 2019

Anticipated individual awards - Multiple awards are anticipated.

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

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

HR001117S0015@darpa.mil

DARPA/STO

ATTN: HR001117S0015

675 North Randolph Street Arlington, VA 22203-2114 mailto:HR001117S0015@darpa.mil

PART II: FULL TEXT OF ANNOUNCEMENT

1. FUNDING OPPORTUNITY DESCRIPTION

This publication constitutes a Broad Agency Announcement (BAA) as contemplated in Federal Acquisition Regulation (FAR) 6.102(d)(2) and 35.016 and 2 CFR § 200.203. Any resultant award negotiations will follow all pertinent law and regulation, and any negotiations and/or awards for procurement contracts will use procedures under FAR 15.4, Contract Pricing, as specified in the BAA.

Proposed research should investigate approaches that enable revolutionary advances in science, devices, or systems. DARPA anticipates funding a limited number of proposals under this BAA.

Specifically excluded are existing mature solutions and research that primarily results in evolutionary improvements to existing technologies.

1.1 PROGRAM OVERVIEW

DARPA is seeking innovative ideas and disruptive technologies that provide the U.S. military significant capability improvement to dominate across all scales of conflict intensity. These span highly contested force-on-force conflicts to ambiguous, complex “Gray Zone” conflicts1.

Technologies should support conflicts that may take place in a range of environments from austere, remote locations to dense megacities. The Strategic Technology Office (STO) focus areas within these broader objectives include: Situation Understanding, Multi-Domain Maneuver, Hybrid Effects, System of Systems (SoS), Maritime Systems, System of System- Enhanced Small Units (SESU), and Foundational Strategic Technologies and Systems.

Research supporting any of STO's broad mission objectives identified in the Funding Opportunity Description above may be submitted under this BAA. Topic areas of specific interest include, but are not limited to, the following:

1.1.1 Situation Understanding

Dominating future conflicts depends upon situation understanding, the ability of military intelligence experts to answer “who, what, where, when, and why” battlespace questions and to provide weapons-quality estimates of target information such as identity, position, velocity, and configuration. This same capability must extend to Gray Zone conflicts, in which adversaries’ identities and objectives are ambiguous. The situation becomes even more complex in a megacity environment, in which adversaries inter-mix with dense populations and the environment itself is highly complex.

The U.S. military has become accustomed to providing situation understanding by collecting large quantities of Intelligence, Surveillance, and Reconnaissance (ISR) data in permissive environments, such as recent operations in Iraq and Afghanistan, and in processing and exploiting this information with ground-based exploitation and Command and Control (C2)

1 American Strategy and the Six Phases of Grief, Paul Scharre, War on the Rocks, October 2016 centers. However, new approaches are needed to provide survivable, standoff ISR in contested environments that is difficult for adversaries to detect, deceive, and counter and to resolve the uncertainty and manage the complexity of Gray Zone and megacity environments.

DARPA is seeking new, innovative methods for finding difficult targets in contested environments that could include combining existing or new sensor modalities, novel in-sensor Automatic Target Recognition (ATR) techniques, new algorithms, and new system concepts and processing techniques. These capabilities may include sensing modalities and signal processing that help avoid or defeat adversary deception and countermeasures. DARPA is also interested in new approaches for the design of low-cost, adaptable sensors that leverage commercial technologies and processes to reduce development time and cost, and increase adaptability and technology refresh rate of sensor systems.

For Gray Zone and megacity environments, DARPA is seeking new, innovative methods to collect and manage sensing in dense, complex environments. Sensors may include capabilities that can be rapidly deployed by small units and may also include exploitation of indigenous sensing and information available in modern urban environments. Information management capability should enable assimilation of this sensor data into models that support detection and planning of Gray Zone activities as well as maneuver in all dimensions of a complex environment, physical, infrastructure and information, and cognitive.

1.1.2 Multi-Domain Maneuver

DARPA is interested in capabilities to enable the warfighter to maneuver successfully across a dynamic, complex, contested battlespace, requiring robust adaptive planning, system control, communications, and navigation capabilities. This capability will enable the U.S. warfighter to manage the complexity of these environments and impose it back against the adversary.

1.1.2.1 Planning and Control

Warfare is increasingly conducted by networks of platforms, weapons, sensors, and Electronic Warfare (EW) systems. The Battle Management Command & Control (BMC2) of such networks poses complex algorithmic and software challenges, particularly with intermittent connectivity, limited data rates, and robustness against network disruption from electronic and physical attack.

Of particular interest are BMC2 technologies and systems for mixtures of manned and unmanned systems. Efforts in this area should develop and incorporate realistic assumptions concerning allocation of functions between human operators and automated systems.

DARPA is also seeking innovative technology to support Gray Zone operational planning. This may include technology that will let operators develop and evaluate multi-domain courses of action (COAs) that employ a wide range of physical, infrastructure, electro-magnetic, cyber, and cognitive domain effects. Of particular interest are novel concepts merging cognitive science and big data analytics to provide planners quantitative tests of their intuition.

1.1.2.2 Communications and Networking

The success of military operations depends on assured, secure communications at every military echelon, from the continental U.S. to the forward-deployed warfighter. DARPA seeks system concepts and enabling technologies that will provide assured high-capacity mobile communication capabilities in space, air, ground, sea surface, and underwater environments. This will include systems with and without access to infrastructure. The goal is delivering relevant and timely information to the warfighter anytime and anywhere while denying the same capabilities to our adversaries. Approaches to this goal include developing new system concepts and technologies that improve network availability; increase network capacity and scaling;

enable tolerance to network degradation; mitigate extremely high levels of man-made and natural electromagnetic interference; defeat network and RF exploitation techniques; and counter denial of service techniques. Performance and reliability should extend into megacity environments that are characterized by severely degraded propagation lines-of-sight and a very dense, complex spectrum environment with many intentional and unintentional interferers.

Approaches that can potentially mitigate emerging threats exploiting commercially-leveraged technologies are also desired. DARPA is interested in approaches that leverage commercial infrastructure when it is available as well as and those that leverage the capabilities and cost efficiencies of commercial devices, components, processes and applications. These commercial leveraging approaches will need to consider the reliability, robustness, and security of commercial infrastructure, devices, and applications in a military environment. Also of interest are approaches and technologies for preventing or disrupting the adversary’s capability for assured communications.

Communication capabilities are of interest for interoperability with coalition partners and other allies. These communications should provide the greatest amount of adaptability and ease of configuration, while protecting operations and the integrity of U.S. networks.

Of special technical interest are approaches for greater spectrum efficiency in complex RF environments; new spectrum use technologies such as dynamic use of space/time, as well as access to new modalities, such as high frequency Radio Frequency (RF) and optical polarization;

intra- and cross-modality (radar, communications, and sensing) spectrum access techniques;

spatial reuse through higher frequency operations; interference avoidance and tolerance; and large-scale testing of complex RF environments.

1.1.2.3 Position, Navigation, and Time (PNT)

The U.S. military has become increasingly dependent on the Global Positioning System (GPS) for accurate and precise position, navigation, and timing in a wide variety of operational environments. However, as U.S. military operations are increasingly being carried out in areas where GPS is denied, unreliable, or not accessible, military use of GPS has evolved from strategic advantage to vulnerability. GPS access can now be readily blocked by jamming or environmental conditions. Many environments in which our military operates (under heavy foliage, underground, underwater, in buildings, and in cities) have limited or no access to GPS.

In addition, evolving mission requirements for EW, communications, and cooperative effects are challenging the limits of state-of-the-art clocks used in military systems. Current system solutions for providing accurate and precise position, navigation and timing in GPS denied environments are costly, inflexible, and often need an external fix that requires intermittent access to GPS.

DARPA is seeking new technology and systems solutions to provide the U.S. military with accurate and precise PNT independent of GPS. Of particular interest are systems that provide long duration precision and accuracy in position and timing for global synchronization, secure communications, and cooperative effects. Technologies of interest include architectures for ad hoc PNT networks of disparate nodes; sensors and signal processing to enable PNT in adverse environments, including in cities and underground; and new architectures that enable other domains, such as communications, Electronic Warfare, and ISR systems, to support PNT systems. In addition, technologies that enable affordable, compact, and flexible system solutions that can quickly and easily be reconfigured to meet the PNT needs for a broad range of military missions and platforms continue to be of interest.

1.1.3 Hybrid Effects

Dominating in all levels of conflict depends on the ability to deliver precise effects in impact and time. In a highly contested environment, lethal munitions must be delivered precisely against mobile targets from standoff ranges. Doing so also requires the ability to defend U.S. forces and weapon systems from sophisticated adversaries enhanced with highly capable EW solutions.

Gray Zone conflict requires delivery of effects that are not only precise in their impact but also do not lead to undesirable escalation. Here, the target may be as much cognitive in terms of gaining influence, as it is physical. Achieving these goals requires a range of hybrid effects that span from kinetic to non-kinetic to information.

Creating specific kinetic effects in contested environments requires the ability to control the electromagnetic spectrum. The proliferation of highly capable RF technology has created a new emphasis on positive control of the electromagnetic (EM) spectrum. Many adversaries are increasing their reliance on RF sensing and communications in order to provide significant improvements to their offensive and defensive systems. This includes short-range tactical communications, long-range C2 communications networks, networked defensive systems, and RF seekers. DARPA is looking for system approaches for active and passive EW techniques in order to counter these advanced networked and agile systems using technologies such as distributed systems, coherent systems, disposable systems providing asymmetric capabilities, and close-in remote sensing coupled with advanced jamming and spoofing.

The EW capabilities that the U.S. military will encounter are also becoming much more sophisticated. Many advanced capabilities that were only available for use by the U.S. military are now available to be used against U.S. military systems. The commercial investments in RF materials, components, and subsystems are immense and the cost threshold to deploy high power, agile systems continues to drop. DARPA is seeking systems concepts and advanced technologies that provide the US military fundamental asymmetries to address these new capabilities. These can include concepts using physical and network solutions, distributed systems, as well as exploitation of precise spectral, time, and position information.

DARPA is also seeking technologies that combine cyber, EM, and EW capabilities. These capabilities may be especially important in a megacity environment to attack or defend infrastructure and to influence the mood and allegiances of a population. Of particular interest are modeling tools that enable tailoring of precise non-kinetic effects, even when target knowledge is highly uncertain.

1.1.4 System of Systems (SoS)

DARPA is interested in technologies to enable U.S. forces to acquire separate targeting, maneuver, and strike capabilities, and then rapidly integrate them into bespoke teams of manned and unmanned platforms. By imposing complexity on the enemy, and exploiting smaller signatures of unmanned platforms, SoS teams will increase the lethality and survivability of penetrating U.S. forces. They will also reduce life cycle system costs. Sensing, strike, and mission systems integrated into today’s monolithic platforms will spread across more affordable unmanned platforms; and the cost to upgrade stand-alone systems will be far less than tightly integrated systems.

DARPA seeks innovative integration technologies that enable rapid distributed, heterogeneous force composition, including tools to analyze candidate SoS architectures and recommend force packages for specific missions. Novel technology is also of interest that yields interoperable systems without the need for costly, inflexible open standards. These technologies should enable force integration by rapid, automated generation interfaces between systems. These technologies should also minimize the threat from an expanded cyber attack surface and may incorporate deliberate cyber defense capability.

As also discussed above, a SoS cannot practically be fielded without decentralized control, likely with a high degree of autonomy, and agile communications. Technology that supports these capabilities is of interest. Offerings may also include new technology to accelerate validation and verification of a new SoS, potentially to extend as far as real-time, in situ software performance monitoring technology that bypass the need for traditional software testing and enable new degrees of autonomy.

Rapid SoS composition should not be limited only to software integration and message interoperability. Offerings may include concepts for rapid integration, re-configuration, and custom design and fabrication of new hardware systems. Technology to support SoS logistics is also of interest. Interests here include sensing and information technology to aid in the movement, storage, and maintenance of distributed, heterogeneous systems and supporting training technology.

DARPA is also seeking innovative technology to compress the time scale for system integration and SoS composition down to operationally relevant times (weeks to months), ideally enabling force composition at the operational campaign planning level. Technologies of this nature may eventually enable a commander to lay out a battle plan, the output of which is a completely new mission capability.

1.1.5 Maritime Systems

While all of the technology interest areas discussed above may apply to the maritime domain, the size of the ocean and the environmental challenges of the surface-subsurface boundary pose unique challenges. DARPA is interested in innovative ideas for maritime networked operations in contested environments. Maritime networked systems must provide cost leverage and a high degree of adaptability to address new threats or missions. Ubiquitous, survivable communications and networking concepts that are extendable throughout the subsurface, surface, and air domains are of interest. Innovative ideas in ubiquitous communications and networking for the undersea domain are especially important to the integration of operations.

DARPA is interested in developing SoS methodologies to help maintain and enhance U.S.

maritime superiority using distributed and disaggregated systems as force multipliers for scarce capital assets and potentially to project power from the undersea. This includes simulation tools to assess feasibility and conduct system trades in a mission context. Feasibility and affordability of these systems requires efficient and survivable delivery methods for off-board assets – network elements, sensors and effects packages - and novel delivery approaches are of interest.

DARPA is interested in the use of autonomy at the end nodes and management tools at the network level to reduce the operator burden for these systems.

1.1.6 System of Systems-Enhanced Small Units (SESU)

Future U.S. land forces are increasingly likely to face an adversary force that is overwhelmingly superior in size and armament. DARPA is interested in system and SoS capabilities that could enable a small unit (~200 soldiers, corresponding materiel footprint, and limited rear-echelon support) to defeat or at least deter and delay this overwhelming adversary.

DARPA is seeking force composition and integration technologies for land-based SESU manned and unmanned forces, with particular focus on integrating communications and navigation technologies for coordinated use on SoS platforms. Interests also include technology that enables manned/unmanned multi-mission operations.

To support more efficient manned/unmanned operations, as well as SESU operations in complex environments, DARPA is interested in new human-interface technologies that let operators simultaneously control an unmanned platform while carrying and using a weapon. New technologies will give SESU forces the ability to make cyber strikes or call for indirect cyber and information “fires,” attack more sophisticated EM targets, and employ kinetic and non-kinetic weapons that yield hybrid effects.

Innovative technologies are also sought to enable highly coordinated interoperability with host nation forces. Partner forces may range from formal host nation military partners to informal paramilitary militias to other partners who can provide delaying or information-gathering support. Technology should include both safe, secure, reliable communications, as well as the planning tools to integrate these various partners into coordinated operations, including aids to span cultural and language differences.

1.1.7 Foundational Strategic Technologies and Systems

DARPA is seeking innovative ideas for systems and SoS incorporating disruptive technologies that offer significant potential capability improvement across multiple STO focus areas as described above. This could include technologies that would enable dramatic reduction in size, weight, power, or cost of systems, technologies that allow for adaptability and/or rapid refresh, technologies that offer the potential for significant advances in system level performance, and approaches to demonstrating the military utility of these systems and technologies. This can include aperture, components, hardware, firmware, software, or power mechanisms to reduce size, weight, power, cost, enable multiple modes, and simplify porting of signal processing waveforms and capabilities amongst multiple platforms with varying constraints, means to manage and control modes of operation, and/or means to collect performance information from multiple networks.

2. AWARD INFORMATION

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

The Government reserves the right to select for negotiation all, some, one, or none of the proposals received in response to this solicitation, and to make awards without discussions with proposers. The Government also reserves the right to conduct discussions if it is later determined to be necessary. If warranted, portions of resulting awards may be segregated into pre-priced options. Additionally, DARPA reserves the right to accept proposals in their entirety or to select only portions of proposals for award. In the event that DARPA desires to award only portions of a proposal, negotiations may be opened with that proposer. The Government reserves the right to fund proposals in phases with options for continued work, as applicable. 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 (see Section 6.2.8., “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, and the proposer fails to timely provide requested additional information. Proposals identified for negotiation may result in a procurement contract, grant, cooperative agreement, 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.

Proposers looking for innovative, commercial-like contractual arrangements are encouraged to consider requesting Other Transactions. To understand the flexibility and options associated with Other Transactions, consult http://www.darpa.mil/work-with-us/contract-management#OtherTransactions.

In all cases, the Government contracting officer shall have sole discretion to select award instrument type, regardless of instrument type proposed, and to negotiate all instrument terms http://www.darpa.mil/work-with-us/contract-management#OtherTransactions http://www.darpa.mil/work-with-us/contract-management#OtherTransactions and conditions with selectees. DARPA will apply publication or other restrictions, as necessary, if it determines that the research resulting from the proposed effort will present a high likelihood of disclosing performance characteristics of military systems or manufacturing technologies that are unique and critical to defense. Any award resulting from such a determination will include a requirement for DARPA permission before publishing any information or results on the program. For more information on publication restrictions, see the section below on Fundamental Research.

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 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 cannot identify whether the work under this BAA may be considered fundamental research and may award both fundamental and non-fundamental research.

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. This clause can be found at http://www.darpa.mil/work-with-us/additional-baa.

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

3. ELIGIBILITY INFORMATION

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

http://www.darpa.mil/work-with-us/additional-baa

3.1 ELIGIBLE APPLICANTS

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

3.1.1.1 FFRDCs

FFRDCs are subject to applicable direct competition limitations and cannot propose to this BAA in any capacity unless they meet the following conditions: (1) FFRDCs must clearly demonstrate that the proposed work is not otherwise available from the private sector. (2) FFRDCs must provide a letter on official letterhead from their sponsoring organization citing the specific authority establishing their eligibility to propose to Government solicitations and compete with industry, and their compliance with the associated FFRDC sponsor agreement’s terms and conditions. This information is required for FFRDCs proposing to be awardees or subawardees.

3.1.1.2 Government Entities

Government Entities (e.g., Government/National laboratories, military educational institutions, etc.) are subject to applicable direct competition limitations. 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.

3.1.1.3 Authority and Eligibility

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.

3.1.3 Applicants Considering Classified Submissions

For classified proposals, applicants will ensure all industrial, personnel, and information systems processing security requirements are in place and at the appropriate level (e.g., Facility Clearance Level (FCL), Automated Information Security (AIS), Certification and Accreditation (C&A), and any Foreign Ownership Control and Influence (FOCI) issues are mitigated prior to submission. Additional information on these subjects can be found at http://www.dss.mil.

http://www.dss.mil/

3.2 ORGANIZATIONAL CONFLICTS OF INTEREST

FAR 9.5 Requirements In accordance with FAR 9.5, proposers are required to identify and disclose all facts relevant to potential OCIs involving the proposer’s organization and any proposed team member (subawardee, consultant). Under this Section, the proposer is responsible for providing this disclosure with each proposal submitted to the BAA. The disclosure must include the proposer’s, and as applicable, proposed team member’s OCI mitigation plan. The OCI mitigation plan must include a description of the actions the proposer has taken, or intends to take, to prevent the existence of conflicting roles that might bias the proposer’s judgment and to prevent the proposer from having unfair competitive advantage. The OCI mitigation plan will specifically discuss the disclosed OCI in the context of each of the OCI limitations outlined in FAR 9.505-1 through FAR 9.505-4.

Agency Supplemental OCI Policy In addition, DARPA has a supplemental OCI policy that prohibits contractors/performers from concurrently providing Scientific Engineering Technical Assistance (SETA), Advisory and Assistance Services (A&AS) or similar support services and being a technical performer.

Therefore, as part of the FAR 9.5 disclosure requirement above, a proposer must affirm whether the proposer or any proposed team member (subawardee, consultant) is providing SETA, A&AS, or similar support to any DARPA office(s) under: (a) a current award or subaward; or (b) a past award or subaward that ended within one calendar year prior to the proposal’s submission date.

If SETA, A&AS, or similar support is being or was provided to any DARPA office(s), the proposal must include:

The name of the DARPA office receiving the support;

The prime contract number;

Identification of proposed team member (subawardee, consultant) providing the support; and An OCI mitigation plan in accordance with FAR 9.5.

Government Procedures In accordance with FAR 9.503, 9.504 and 9.506, the Government will evaluate OCI mitigation plans to avoid, neutralize or mitigate potential OCI issues before award and to determine whether it is in the Government’s interest to grant a waiver. The Government will only evaluate OCI mitigation plans for proposals that are determined selectable under the BAA evaluation criteria and funding availability.

The Government may require proposers to provide additional information to assist the Government in evaluating the proposer’s OCI mitigation plan.

If the Government determines that a proposer failed to fully disclose an OCI; or failed to provide the affirmation of DARPA support as described above; or failed to reasonably provide additional information requested by the Government to assist in evaluating the proposer’s OCI mitigation plan, the Government may reject the proposal and withdraw it from consideration for award.

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. Cost sharing is encouraged where there is a reasonable probability of a potential commercial application related to the proposed research and development effort.

For more information on potential cost sharing requirements for Other Transactions for Prototype, see http://www.darpa.mil/work-with-us/contract-management#OtherTransactions.

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 announcement, any attachments, and any references to external websites herein constitute the total solicitation. If proposers cannot access the referenced material posted in the announcement found at www.darpa.mil, contact the administrative contact listed herein.

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.

Prior to sending any classified submissions, performers must provide advance notification to the BAA Coordinator via HR001117S0015@darpa.mil.

For instructions on how to provide advanced notification at an unclassified level, refer to Section 4.2.2.

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.

http://www.darpa.mil/

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”. NOTE: “Confidential” is a classification marking used to control the dissemination of U.S. Government National Security Information as dictated in Executive Order 13526 and should not be used to identify proprietary business information.

b. Security Information Classified submissions shall be transmitted in accordance with the following guidance.

Additional information on the subjects discussed in this section may be found at http://www.dss.mil/.

If a submission contains Classified National Security Information as defined by Executive Order 13526, the information must be appropriately and conspicuously marked with the proposed classification level and declassification date. Similarly, when the classification of a submission is in question, the submission must be appropriately and conspicuously marked with the proposed classification level and declassification date. Submissions requiring DARPA to make a final classification determination shall be marked as follows:

“CLASSIFICATION DETERMINATION PENDING. Protect as though classified____________________________(insert the recommended classification level, e.g., Top Secret, Secret or Confidential)”

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

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

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

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

http://www.dss.mil/

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

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

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

Hand-carried by an appropriately cleared and authorized courier to the DARPA CDR.

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

OR

Mailed via U.S. Postal Service (USPS) Registered Mail or USPS Express Mail. All classified information will be enclosed in opaque inner and outer covers and double-wrapped. The inner envelope shall be sealed and plainly marked with the assigned classification and addresses of both sender and addressee.

The inner envelope shall be addressed to:

Defense Advanced Research Projects Agency ATTN: Strategic Technology Office Reference: HR00117S0015 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 Executive Summary, Abstract, and Proposal Information

For all responses to this BAA, the responder must clearly identify the technical topic area(s) the proposed effort seeks to address.

In order to reduce the administrative burden on proposers and the Government and in an attempt to mitigate unnecessary costs associated with the generation of proposals that are not of interest to DARPA/STO, described herein is the Government’s process for submittal of information for evaluation. Any responsible proposer is encouraged to respond.

Proposers are strongly encouraged to submit an executive summary prior to proposal abstracts or full proposals. The recommended order of submissions is executive summary, abstract, proposal. Please note it is not mandatory to submit an executive summary and/or abstract before submitting a full proposal. This procedure is intended to minimize unnecessary effort in proposal preparation and review. The time and date for submissions 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 submission.

Proposers requesting grants or cooperative agreements may submit proposals through one of the following methods: (1) hard copy mailed directly to DARPA; or (2) electronic upload per the instructions at http://www.grants.gov/applicants/apply-for-grants.html. Grant or cooperative agreement proposals may not be submitted through any other means. If proposers intend to use Grants.gov as their means of submission, then they must submit their entire proposal through Grants.gov; applications cannot be submitted in part to Grants.gov and in part as a hard-copy.

Proposers using the Grants.gov do not submit paper proposals in addition to the Grants.gov electronic submission.

Unclassified executive summaries, abstracts, and proposals sent in response to HR00117S0015 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.

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).

Classified submissions and proposals requesting assistance instruments (grants or cooperative agreements) 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 http://www.grants.gov/applicants/apply-for-grants.html https://baa.darpa.mil/ https://baa.darpa.mil/

(or verify an existing registration) to ensure the BAA office can verify and finalize their submission.

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. See Section 6.0, for additional information.

4.2.4 Disclosure of Information and Compliance with Safeguarding Covered Defense Information Controls

Unless a proposer is performing strictly fundamental research, all proposers receiving FAR-based Procurement Contracts under this BAA shall be compliant with the following:

DFARS 252.204-7000, “Disclosure of Information” DFARS 252.204-7008, “Compliance with Safeguarding Covered Defense Information Controls” DFARS 252.204-7012, “Safeguarding Covered Defense Information and Cyber Incident Reporting”

The full text of the above solicitation provision and contract clauses can be found at http://www.darpa.mil/work-with-us/additional-baa#NPRPAC.

Compliance with the above requirements includes the mandate for proposers to implement the security…