HR001117S0028.pdf

Broad Agency Announcement Tactical Exploitation of the Acoustic Channel (TEAC)

STRATEGIC TECHNOLOGY OFFICE

HR001117S0028

May 28, 2017

TABLE OF CONTENTS

PART I: OVERVIEW INFORMATION

PART II: FULL TEXT OF ANNOUNCEMENT

1. FUNDING OPPORTUNITY DESCRIPTION

1.1. PROGRAM OVERVIEW

1.2. PROGRAM STRUCTURE

1.3. PROGRAM METRICS

2. AWARD INFORMATION

2.1. FUNDAMENTAL RESEARCH

3. ELIGIBILITY INFORMATION

3.1. ELIGIBLE APPLICANTS

3.2. ORGANIZATIONAL CONFLICTS OF INTEREST

3.3. COST SHARING/MATCHING

3.4. OTHER ELIGIBILITY CRITERIA

4. APPLICATION AND SUBMISSION INFORMATION

4.1. ADDRESS TO REQUEST APPLICATION PACKAGE

4.2. CONTENT AND FORM OF APPLICATION SUBMISSION

4.3. FORMATTING CHARACTERISTICS

4.4. SUBMISSION DATES AND TIMES

4.5. FUNDING RESTRICTIONS

4.6. OTHER SUBMISSION REQUIREMENTS

5. APPLICATION REVIEW INFORMATION

5.1. EVALUATION CRITERIA

5.2. REVIEW AND SELECTION PROCESS

6. AWARD ADMINISTRATION INFORMATION

6.1. SELECTION NOTICES AND NOTIFICATIONS

6.2. ADMINISTRATIVE AND NATIONAL POLICY REQUIREMENTS

6.3. REPORTING

6.4. ELECTRONIC SYSTEMS

7. AGENCY CONTACTS

8. OTHER INFORMATION

8.1. INTELLECTUAL PROPERTY

9. APPENDIX 1: PROPOSAL SLIDE SUMMARY

10. APPENDIX 2: SCG AND CLASSIFIED ADDENDUM REQUEST FORM

11. APPENDIX 3: VOLUME 1 COVER SHEET TEMPLATE

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

TEMPLATES

PART I: OVERVIEW INFORMATION

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

Funding Opportunity Title – Tactical Exploitation of the Acoustic Channel (TEAC) Announcement Type – Initial announcement Funding Opportunity Number – HR001117S0028 Catalog of Federal Domestic Assistance Numbers (CFDA) – Not applicable Dates o Posting Date: April 28, 2017 o Questions Due Date: May 15, 2017 o Proposal Due Date: June 26, 2017 o BAA Closing Date: October 24, 2017 o Proposer’s Day: May 5, 2017

Anticipated individual awards - Multiple awards are anticipated Types of instruments that may be awarded - Procurement contract or other transaction Agency contact o Points of Contact The BAA Coordinator for this effort may be reached at:

HR001117S0028@darpa.mil.

DARPA/STO

ATTN: HR001117S0028

675 North Randolph Street Arlington, VA 22203-2114 mailto:HR001117S0028@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.

The Defense Advanced Research Projects Agency (DARPA) is soliciting innovative proposals in the area of underwater acoustics. Proposed research should investigate innovative approaches that enable revolutionary advances in science, devices, or systems. Specifically excluded is research that primarily results in evolutionary improvements to the existing state of practice.

1.1. PROGRAM OVERVIEW

Phased array antennas are used for a variety of underwater applications, enabling multiple source emitters to preferentially direct energy toward a desired spatial direction. The beamforming algorithm aligns (phases) signals from individual radiators so that energy from the multiple radiating apertures coherently combines at the desired location with an increased signal level due to the array gain. This reduces power requirements for individual sources and minimizes the amount of energy produced in other directions. Within the underwater acoustic domain, phased arrays have traditionally consisted of a fixed set of physically connected transmitters, requiring cumbersome cabling, challenging deployment, and the inability to reconfigure the array aperture.

An alternate approach is to form a distributed source network that is capable of cohering the output from each source to a desired location. This has been explored in other domains such as radar surveillance, radio frequency (RF) communications, and sound localization. A similar concept for underwater acoustics would provide significant advantages relative to current array capabilities.

DARPA is soliciting proposals for the Tactical Exploitation of the Acoustic Channel (TEAC) program to develop and demonstrate a phased array formed from a semi-autonomous, distributed network of sources on multiple undersea platforms. DARPA envisions a system with a modest number of independent distributed acoustic transmitters achieving coherent signal addition at a receiver to increase the signal-to-noise ratio (SNR) and focus the acoustic energy. The program seeks to harness advances in undersea vehicles and acoustic source technologies to enable long-duration source payloads on smaller, more affordable platforms.

The ability to cohere multiple, moving sources underwater is very challenging. It requires knowledge or estimation of the relative source positions at resolutions comparable to a wavelength to introduce the appropriate time delay or complex phase. Furthermore, channel mitigation and motion mitigation might also be necessary, depending on the diversity of the underwater propagation and the relative source motion. Inter-source communications may be used for localization and coordination, but potential communication delays must also be addressed.

If successful, the TEAC program will provide a flexible and scalable source network. The ability to dynamically configure and semi-autonomously cohere multiple sources would have a transformative impact on a number of compelling undersea applications, including active sonar, acoustic surveillance, and underwater communications.

DARPA requires that all performers on the TEAC program obey all applicable laws and regulations protecting marine life, including Executive Order 12114, Endangered Species Act, and Marine Mammal Protection Act. DARPA intends to bear the cost and conduct Environmental Assessments/Overseas Environmental Assessments for each of the performers for each phase. Proposed solutions with a high probability of requiring an Environmental Impact Statement are discouraged. Additional information related to Program Overview is located in the Classified Addendum.

1.2. PROGRAM STRUCTURE

To address the goals set forth in the TEAC program, DARPA seeks innovative proposals covering all tasks in Phase I and Phase II of the program. Proposers are expected to form integrated multi-disciplinary teams with the appropriate expertise in acoustic propagation, source technology, undersea platforms, and signal processing in order to meet program objectives. It is anticipated that there will be multiple awards.

The program is divided into three phases as shown in Figure 1, with each phase having detailed technical objectives and culminating in at-sea testing. This solicitation is only for proposals for Phases I and II. It is anticipated that Phase III would be the subject of a future, separate solicitation.

Figure 1. TEAC Program Timeline

Proposed TEAC testing must demonstrate that the end-of-phase system meets the metrics described in section 1.3 below. DARPA envisions that the tests will involve platforms outfitted with appropriate acoustic sources, communications, and supporting sensor suites. In the initial phase, these platforms will be stationary (i.e., bottom-mounted, tethered, or ship-deployed) but in later phases they will be capable of platform motion to achieve capabilities such as deployment transit, dynamic positioning, and obstacle avoidance. Data collections at a Government-designated fixed receiving array will form the basis for the evaluation at the end of each phase.

The following describes the three program phases in terms of technical progress. Tables 1 and 2 summarize the corresponding technical elements and program metrics, respectively.

Phase I (18 months). The goal of Phase I is to demonstrate multi-source coherence by a network of fixed sources as measured on a seabed receiver. The sources are required to generate the coherent combination of energy in a narrow frequency band from a moderate distance (5 km).

This will require demonstration of the ability to dynamically align (e.g., phase or time delay) multiple (fixed) sources to produce a coherent focus in a specified direction.

Phase II (12 months). The technical focus in Phase II is to demonstrate a network of moving, coherent sources measured on a fixed seabed receiver. The demonstration payload will be integrated onto a platform capable of motion for depth diversity and source positioning; the system concept should consider size, weight, power and cost (SWAP-C) consideration. These sources will emit multiple narrow band waveforms from moderate distances (5-20 km) to produce a focus in multiple directions (i.e., bearing angles). The demonstration requires multi-source cohering with channel mitigation and dynamic source position compensation. In addition, the network will need to demonstrate initial Command and Control (C2) capabilities for initialization, coordination and positioning of the network independent of a secondary command vessel.

Upon completion of Phase II, DARPA anticipates issuing a new solicitation for Phase III (18 months) to integrate and demonstrate the final semi-autonomous integrated system.

Phase III (18 months). Please see the Classified Addendum.

1.2.1. Technical Elements

The TEAC program’s technical approach comprises three main development areas: signal processing, system architecture, and command and control. These three technical elements, elaborated on below, must be addressed in detail for both Phase I and Phase II. Table 1 provides a description of expected progress in each phase for these elements.

1.2.1.1. Signal Processing

Cohering energy from distributed sources requires the ability to determine relative source positioning and timing in the absence of GPS as well as correcting for acoustic channel propagation and multi-path. Possible signal processing approaches include utilizing network transmissions and/or sources of opportunity to determine relative positioning and estimate the channel propagation, deploying adjunct sources as calibration beacons, or using high-fidelity modeling and acoustic tomography.

1.2.1.2. System Architecture

The TEAC program will evaluate power, platform mobility, acoustic source requirements, and cost tradeoffs needed to cohere acoustic energy over the frequency bandwidths and durations described in Table 2. Cost reduction and system performance will be achieved through the use of existing vehicles (buoys, wavegliders, underwater autonomous vehicles) or make a strong case that suitable technology does not exist. Proposals should identify technology candidates (including batteries, sources, vehicles, etc.) and details of any integration activity. Proposals should include the procurement of vehicles, sources, and equipment. If the proposer requires the use of Government Furnished Equipment (GFE), it should be addressed and detailed in the proposal. Please note that GFE requests cannot be guaranteed, and if unavailable may impact funding decisions. Proposed systems should be robust in operationally relevant environments and initial system deployment strategies should be addressed. Proposals should also demonstrate that an adequate number of sources are present to properly ensonify the receiver.

1.2.1.3. Command and Control

The TEAC program will emphasize strategies that increase the probability of source survivability (for example, avoidance of vessel collisions and/or fishing net entanglement). The command and control (C2) technical work will address inter-source communications as well as the semi-automated initiation of the distributed source network. The performers should conduct a modeling effort to examine deployment scenarios and use those scenarios to develop the overall network coordination and automation. Proposals should address anticipated C2 requirements and a development path to achieve those.

Technical Elements Phase I Phase II Phase III

Signal Processing

Coherently combine sources onto a fixed seabed receiver

Propagation paths are known or measured

Source positions are fixed

Coherently combine moving sources onto a fixed seabed receiver

Propagation paths are estimated or measured

Moving sources with known positioning

Coherently combine sources onto the receiver

Propagation paths are unknown

Dynamic (unknown a priori) source motion

System Architecture

Initial system design SWaP analysis for source, payload, platform

Initial vehicle mobility analysis

Initial system integration

Payload and vehicle prototypes demonstrated

Final system integration and demonstration

Command & Control

Define operational concepts

Identify intra-source communications

Define sensor configurations

Demonstrate semi-automated network concepts

Finalize semi-autonomous operations including initialization, cessation, and re-tasking

Table 1. Technical Element Phase Progression

1.3. PROGRAM METRICS

In order for the Government to evaluate the effectiveness of a proposed solution in achieving the stated program objectives, proposers should note the program metrics below and in the classified addendum that will serve as the basis for determining whether satisfactory technical progress is being made to warrant continued funding of the program. Proposers should note that the Government has identified these metrics with the intention of bounding the scope of effort, while affording the maximum flexibility, creativity, and innovation in proposing solutions to the stated problem.

Table 2 lists the program metrics for each phase. As per the table, the TEAC system should be capable of focusing energy in a single direction within a specified 5 degree sector at the end of the first phase, and capable of multiple (2 or more) focus points with a 25 degree sector at the end of Phase II. The geometry is shown pictorially Figure 2 below.

Figure 2. Azimuthal Extent

Proposals should trace the proposed work to the metrics and provide justification for the tasks as part of an incremental effort to achieve the required results. Note that proposers have the option of proposing work that addresses the low frequency band, the high frequency band, or both, with the appropriate supporting tasks, risk mitigation, and cost structure. Proposers that submit proposals for both frequency bands are highly desirable.

Phase I (18 Months)

Phase II (12 Months)

Phase III (18 Months)

Metric Threshold Goal Threshold Goal Minimum Number of Focus Directions (as measured at receive array)

Single fixed beam 2 Movable beams

See Classified Addendum.

Total Azimuthal Extent to Steer Focus

1o 5 o 10 o 25 o

Waveforms N/A Single NB waveform

Single NB waveform and BB over 20% of the band

Multiple NB waveforms and BB over 20% of the band

50 < f < 100 Hz 10 < f < 100 Hz 50 < f < 100 Hz 10 < f < 100 HzFrequency 1 < f < 2 kHz 0.5 < f < 3 kHz 1 < f < 2 kHz 0.5 < f < 3 kHz Standoff Range N/A 5 km > 5 km 20 km Receive Level (re Pa/Hz) 90 dB 90 dB 80 dB 100 dB

Duration N/A N/A N/A 7 days (50% duty) System Demonstration sources Demonstration payload

Table 2. TEAC Metrics

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 VI.B.2., “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/or 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 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 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

http://www.darpa.mil/work-with-us/contract-management#OtherTransactions http://www.darpa.mil/work-with-us/contract-management#OtherTransactions

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 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 awardee1 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. This clause can be found at 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.

1 As used throughout this BAA, awardee refers to anyone who might receive a prime award from the Government, including recipients of procurement contracts, grants, cooperative agreements, Other Transactions, or any type of award. Subawardee refers to anyone who might receive a subaward from a prime awardee.

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 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 CRITERIA

3.4.1. Collaborative Efforts

Collaborative efforts/teaming are encouraged.

4. APPLICATION AND SUBMISSION INFORMATION

4.1. ADDRESS TO REQUEST APPLICATION PACKAGE

This announcement, the classified addendum, 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.

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 http://www.darpa.mil/

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.

Proposals submitted under this BAA may be unclassified. However, parts of the effort being solicited by this BAA is classified or otherwise involves access to, or generation of, classified information. Proposers may submit a classified proposal based on DARPA-CG-937. A formal request for the Security classification guidance via a Security Classification Guide (SCG) and Classified Addendum via a DD Form 254, “DoD Contract Security Classification Specification,” is provided as an attachment to the BAA. A request may be submitted by filling out the Security Classification Guide and Classified Addendum request form (found in Appendix 2 to this BAA) http://www.dss.mil/ and emailing the request form to HR001117S0028@darpa.mil with subject line “Request for the TEAC Security Classification Guide and Classified Addendum.”

The SCG is classified SECRET and can only be mailed to the requester’s classified mailing address which must be provided to the Technical Office Program Security Officer or their staff, via the Request for the Security Classification Guide and Classified Addendum.

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: (Name of the Technical Office and Technical Office POC) Reference: (BAA Number) 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 Information

The typical proposal should express a consolidated effort in support of one or more related technical concepts or ideas. Disjointed efforts should not be included into a single proposal.

Restrictive notices notwithstanding, proposals may be handled, for administrative purposes only, by a support contractor. This support contractor is prohibited from competition in DARPA technical research and is bound by appropriate nondisclosure requirements. Proposals may not be submitted by fax or e-mail; any so sent will be disregarded.

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

Unclassified full proposals and subcontractor proposals sent in response to this BAA may be submitted via DARPA's BAA Website (https://baa.darpa.mil). Proposals may not be submitted by fax or email; any so sent will be disregarded. Note: If an account has already been created for the DARPA BAA Website, this account may be reused. If no account currently exists for the DARPA BAA Website, visit the website to complete the two-step registration process.

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

All unclassified concepts submitted electronically through DARPA’s BAA Website must be uploaded as zip files (.zip or .zipx extension). The final zip file should be no greater than 50 MB in size. Only one zip file will be accepted per submission, and submissions not uploaded as zip files will be rejected by DARPA

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

Technical support for DARPA's BAA Website may be reached at BAAT_Support@darpa.mil, and is typically available during regular business hours, (9:00 AM- 5:00 PM EST Monday - Friday).

DARPA will acknowledge receipt of the unclassified submission and assign a control number that should be used in all further correspondence regarding the submission.

For a proposal that includes both classified and unclassified information, the proposal may be separated into an unclassified portion and a classified portion. The proposal should use the unclassified portion to the maximum extent reasonable. The unclassified portion can be submitted through the DARPA BAA Website, per the instructions above. The classified portion must be mailed separately, according to the instructions outlined in the “Security Information” section above. If a classified proposal may not be partitioned into classified and unclassified portions, then submit according to the instructions outlined in the “Security Information” section above.

When a proposal includes a classified portion, and when able according to security guidelines, we ask that proposers send an e-mail to HR001117S0028@darpa.mil as notification that there is https://baa.darpa.mil/ https://baa.darpa.mil/ https://baa.darpa.mil/ mailto:BAAT_Support@darpa.mil a classified portion to the proposal. When sending the classified portion via mail according to the instructions outlined in the “Security Information” section above, proposers should submit one

(1) hard copy of the classified portion of their proposal and one (1) CD-ROM containing the classified portion of the proposal as a single searchable Adobe PDF file. Please ensure that all CDs are well-marked. Each copy of the classified portion must be clearly labeled with HR001117S0028, proposer organization, and proposal title (short title recommended).

All administrative correspondence and questions on this solicitation, including requests for information on how to submit a proposal to this BAA, should be directed to one of the administrative addresses below; e-mail is preferred.

BAA Administrator E-mail: HR001117S0028@darpa.mil

DARPA/STO

ATTN: HR001117S0028

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

DARPA intends to use electronic mail for correspondence regarding HR001117S0028. Proposals may not be submitted by fax or e-mail; any so sent will be disregarded. DARPA encourages use of the Internet for retrieving the BAA and any other related information that may subsequently be provided.

4.2.3. Restrictive Markings on Proposals

All proposals should clearly indicate limitations on the disclosure of their contents. Proposers who include in their proposals data that they do not want disclosed to the public for any purpose, or used by the Government except for evaluation purposes, shall-

(1) Mark the title page with the following legend:

This proposal includes data that shall not be disclosed outside the Government and shall not be duplicated, used, or disclosed-in whole or in part-for any purpose other than to evaluate this proposal. If, however, a contract is awarded to this proposer as a result of, or in connection with, the submission of this data, the Government shall have the right to duplicate, use, or disclose the data to the extent provided in the resulting contract. This restriction does not limit the Government's right to use information contained in this data if it is obtained from another source without restriction. The data subject to this restriction are contained in sheets [insert numbers or other identification of sheets]; and

(2) Mark each sheet of data it wishes to restrict with the following legend:

Use or disclosure of data contained on this sheet is subject to the restriction on the title page of this proposal.

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

Markings like "Company Confidential" or other phrases that may be confused with national security classifications shall be avoided. See Section 6.0, for additional information.

4.3. FORMATTING CHARACTERISTICS

4.3.1. Proposal Format

All proposals must be in the format given below. Nonconforming proposals may be rejected without review. Proposals shall consist of two volumes. All pages shall be printed on 8-1/2 by 11 inch paper with type not smaller than 12 point. Smaller font may be used for figures, tables and charts. The page limitation for proposals includes all figures, tables, and charts. Volume I, Technical and Management Proposal, may include an attached bibliography of relevant technical papers or research notes (published and unpublished) which document the technical ideas and approach upon which the proposal is based. These papers or research notes will not be formally reviewed against the evaluation criteria, but should allow technical understanding of the claims made. Copies of not more than three (3) relevant papers may be included with the submission.

The bibliography and attached papers are not included in the page counts given below. The submission of other supporting materials along with the proposals is strongly discouraged and will not be considered for review. Maximum page lengths for each section are shown in braces { } below. While overall page limits for Sections I, II, III and IV must be followed, the page limits for the subsections within each are suggestions and may be altered, All proposals must be written in English.

4.3.1.1 Volume I, Technical and Management Proposal

Section I. Administrative {No more than 2 pages} A. Cover sheet to include:

(1) BAA number

(2) Technical area

(3) Lead Organization Submitting proposal

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

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

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

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

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

(7) Proposal title

(8) Technical point of contact to include: salutation, last name, first name, street address, city, state, zip code, telephone, fax (if available), electronic mail (if available)

(9) Administrative point of contact to include: salutation, last name, first name, street address, city, state, zip code, telephone, fax (if available), electronic mail (if available)

(10) Date proposal was submitted

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

B. Official transmittal letter

Section II. Technical Proposal {No more than 23 pages}

This section provides the detailed discussion of the proposed work necessary to enable an in-depth review of the specific technical issues. Specific attention must be given to addressing both risk and payoff of the proposed work that make it desirable to DARPA.

A. {4} Innovative claims for the proposed research. This section is the centerpiece of the proposal and should succinctly describe the uniqueness and benefits of the proposed approach relative to the current state-of-art alternate approaches.

B. {3} Technical rationale in support of innovative claims.

C. {9} Technical approach in support of innovative claims.

D. {2} Risks assessment and mitigation plan E. {3} Description of the results, products, transferable technology, and expected technology transfer path. This should also address mitigation of life-cycle and sustainment risks associated with transitioning intellectual property for U.S. military applications, if applicable.

See also Section 7.1 “Intellectual Property.”

F. {2} General discussion of other research in this area and other areas that may be applicable.

Clearly identify results, technology, or concepts from other research that will be utilized in the proposed effort.

Section III. Management Proposal {No more than 19 pages} This section provides the detailed discussion of the proposed work necessary to enable an in-depth review of the specific managerial issues.

A. {4} Program schedule and measurable milestones for the proposed research delineated by the primes and major subcontractors. Note: Measurable milestones should capture key development points in tasks and should be clearly articulated and defined in time relative to start of effort. These milestones should enable and support a decision for the next part of the effort. Additional interim non-critical management milestones are also highly encouraged at regular intervals. If the proposed effort consists of multiple portions that could reasonably be partitioned for purposes of funding, these should be identified as options with separate milestones for each. Additionally, proposals should clearly explain the technical approach(es) that will be employed to meet or exceed each program metric and provide ample justification as to why the approach(es) is/are feasible. The milestones must not include proprietary information.

B. {3} Statement of Work (SOW) - Clearly define the technical tasks/subtasks to be performed, their durations, and dependencies among them, clearly delineating between the base and option tasks The page length for the SOW will be dependent on the amount of the effort.

For each task/subtask, provide:

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

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

Identification of the primary organization responsible for task execution

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

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

A detailed description of the management approach for integrating concepts, results, and findings from members across the team, including anticipated coordination meetings and shared access to data and equipment.

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

Reporting Deliverables Item Date/Frequency

(LIST) (LIST)

Tech Deliverables Item Deliverable Date Deliverable Location

(LIST) (LIST) (LIST)

IP Claims (LIST)

Data Restrictions (LIST)

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

C. {3} Deliverables associated with the proposed research and the plans and capability to accomplish technology transition and commercialization. Include in this section all proprietary claims to the results, prototypes, intellectual property, or systems supporting and/or necessary for the use of the research, results, and/or prototype. If there are not proprietary claims, this should be stated.

D. {2} A clearly defined organization chart for the program team which includes, as applicable: (1) the programmatic relationship of team member; (2) the unique capabilities of team members; (3) the task of responsibilities of team members; (4) the teaming strategy among the team members; and (5) the key personnel along with the amount of effort to be expended by each person during each year.

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

F. {1} Description of the facilities that would be used for the proposed effort. This section should address how safeguarding of materials will be handled at each facility to include classified materials when applicable.

G. {1} Any agreements, including formal teaming agreements, government furnished equipment (GFE) or government furnished information (GFI) that are required to execute this…