HR001117S0032.pdf

Broad Agency Announcement Warfighter Analytics using Smartphones for Health (WASH)

HR001117S0032

May 8, 2017

Defense Advanced Research Projects Agency Information Innovation Office 675 North Randolph Street Arlington, VA 22203-2114

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Table of Contents

PART I: OVERVIEW INFORMATION

PART II: FULL TEXT OF ANNOUNCEMENT

I. Funding Opportunity Description

A. Background

B. Program Scope

C. Program Structure

D. Technical Areas

E. Program Metrics

F. Schedule and Milestones

G. Deliverables

H. Government-Furnished Property/Equipment/Information

I. Intellectual Property

J. Security Clearance Requirements

II. Award Information

A. Awards

B. Fundamental Research

C. Disclosure of Information and Compliance with Safeguarding Covered Defense Information Controls

III. Eligibility Information

A. Eligible Applicants

B. Organizational Conflicts of Interest

C. Cost Sharing/Matching

D. Other Eligibility Requirements

IV. Application and Submission Information

A. Address to Request Application Package

B. Content and Form of Application Submission

C. Submission Date and Time

D. Funding Restrictions

E. Other Submission Requirements

V. Application Review Information

A. Evaluation Criteria

B. Review and Selection Process

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VI. Award Administration Information

A. Selection Notices

B. Administrative and National Policy Requirements

C. Reporting

VII. Agency Contacts

VIII. Other Information

A. Frequently Asked Questions (FAQs)

B. Proposers Day

C. Submission Checklist

D. Associate Contractor Agreement Clause (ACA)

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PART I: OVERVIEW INFORMATION

Federal Agency Name: Defense Advanced Research Projects Agency (DARPA), Information Innovation Office (I2O)

Funding Opportunity Title: Warfighter Analytics using Smartphones for Health

(WASH)

Announcement Type: Initial Announcement

Funding Opportunity Number: HR001117S0032

Catalog of Federal Domestic Assistance Numbers (CFDA): Not Applicable

Dates o Posting Date: May 8, 2017 o Proposers Day: May 16, 2017 o Proposal Due Date: June 23, 2017, 12:00 noon (ET) o BAA Closing Date: June 23, 2017, 12:00 noon (ET)

Anticipated Individual Awards: There are two technical areas (TAs) for this solicitation. Currently, DARPA anticipates one or more awards in TA1; and multiple awards in TA2. DARPA anticipates the work done in this program to be fundamental research.

Types of Instruments that May be Awarded: Procurement contracts

Agency Contacts o Technical POC: Dr. Angelos D. Keromytis, Program Manager, DARPA/I2O o BAA Email: WASH@darpa.mil o BAA Mailing Address:

DARPA/I2O

ATTN: HR001117S0032

675 North Randolph Street Arlington, VA 22203-2114 o I2O Solicitation Website: http://www.darpa.mil/work-with-us/opportunities mailto:WASH@darpa.mil http://www.darpa.mil/work-with-us/opportunities

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PART II: FULL TEXT OF ANNOUNCEMENT

I. Funding Opportunity Description

DARPA is soliciting innovative research proposals in the area of mobile health analytics for determining warfighter health condition and combat/mission readiness. The goal of the Warfighter Analytics using Smartphones for Health (WASH) program is to develop algorithms that enable continuous and real-time assessment of the warfighter by leveraging data that is passively and unobtrusively captured from any and all cellphone sensors. WASH will assess combat/mission readiness by passively linking the warfighter’s behavior to their physiological and cognitive state. 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, research that focuses on active interaction of the user with the cellphone, or research that requires the use of additional or other devices beyond the cellphone.

This Broad Agency Announcement (BAA) is being issued, and any resultant selection will be made, using procedures under Federal Acquisition Regulation (FAR) 6.102(d)(2) and 35.016.

Any negotiations and/or awards will use procedures under FAR 15.4. Proposals received as a result of this BAA shall be evaluated in accordance with evaluation criteria specified herein through a scientific review process.

DARPA BAAs are posted on the Federal Business Opportunities (FBO) website (https://www.fbo.gov/)

The following information is for those wishing to respond to this BAA.

A. Background

To determine the readiness and “health” of equipment, military or otherwise, manufacturers and operators employ extensive sensors and data analytics on device diagnostic data. Combined with real-time telemetry, this approach allows for the quick and early identification of weaknesses and possible failures, and eases the forensic analysis in case of equipment failure. As a result, maintenance costs are lowered, failure rates are reduced, and subtle but possibly widespread problems can be identified and corrected before they impact missions.

No such approach to understanding the condition and mission readiness of the human warfighter is employed, even though the impact of a single warfighter’s non-readiness can affect the unit as a whole and its mission, especially through conditions such as infectious disease. Currently, understanding and assessing the readiness of the warfighter is complex, intrusive, done relatively infrequently, and relies heavily on self-reporting. Readiness is determined through medical intervention with the help of advanced equipment, such as electrocardiographs (EKGs) and other specialized medical devices, that are too expensive and cumbersome to employ continuously or without supervision in non-controlled environments. On the other hand, currently 92% of adults in the United States own a cell phone, which could be used as the basis for continuous, passive health and readiness assessment.

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B. Program Scope

The Warfighter Analytics using Smartphones for Health (WASH) program will use data collected from cellphone sensors to enable novel algorithms that conduct passive, continuous, real-time assessment of the warfighter. Abstractly, WASH will extract physiological signals, which may be weak and noisy, that are embedded in the data obtained through existing mobile device sensors (e.g., accelerometer, screen, microphone). Such extraction and analysis, done on a continuous basis, will be used to determine current health status and identify latent or developing health disorders. WASH will develop algorithms and techniques for identifying both known indicators of physiological problems (such as disease, illness, and/or injury) and deviations from the warfighter’s micro-behaviors that could indicate such problems. It is also expected that additional “digital biomarkers”1 of physiological problems will be identified during the research through the combination of big data analytics and medical ground truth provided to TA2 performers by TA1 performers.

A prerequisite for the extraction and interpretation of the raw sensor data and any identified digital biomarkers is determining the context of such data collection and analysis, as this will affect the relevance of any given sensor and will permit “denoising,” or elimination of irrelevant or misleading readings. For example, relying on cellphone accelerometer data while the warfighter is in a moving vehicle will likely negatively impact the utility of such data for WASH-type analysis unless the auxiliary motion is identified and cancelled. Thus, a key component and the focus of the first phase of the program will be on the extraction of the signal context and the identification of complicated actions and environmental variables. During the second phase of the program, this ambient context extraction of user state will be overlaid to symptoms of illness conditions, with the goal of identifying potential illnesses and conditions before conventional symptomatic display. It is the union of personal behavior/characteristics, smartphone sensor collection, context of smartphone use, and disease biomarkers that defines the preclinical health determination of the WASH program (Figure 1).

(See next page for Figure 1.)

1 Digital biomarkers are consumer-generated physiological and behavioral measures collected through connected digital tools, in this case a smartphone.

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Figure 1: WASH program concept

The program goal is to enable the creation of a mobile application that passively assesses a warfighter’s readiness immediately and over time. This application seeks to provide:

clinicians with plausible health conditions supported by the analysis, determination, and fusion of digital biomarkers for disease correlation against ground truth;

commanders with unit readiness information, both at the current time and in the near future; and users of the device with information about their current status and early indicators of medical conditions.

C. Program Structure

The program will develop basic technologies that will demonstrate the passive continuous collection of reliable physiological data from a smartphone; data analysis for identifying reliable digital biomarkers from such data; and the fusion of such digital biomarkers for achieving disease identification, recognition of precursors, and warfighter readiness assessment. The technical approach draws from the fields of data analysis (with an expected emphasis in signal analysis and machine learning), behavioral biometrics, and epidemiology to a lesser degree.

Proposers may only submit one proposal as lead institution to the WASH program. Each proposal may cover multiple technical areas. Proposers may include additional pages for each technical area addressed in the technical approach (See Section IV.B.a).

The WASH program is structured as two technical areas (TAs) that will proceed in parallel, starting at program kickoff and spanning 48 months. The two technical areas are:

TA1: Infrastructure (Sensor Collection, Data Management, and User/Cohort Management)

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TA2: Context Extraction and Symptom/User State Association (Data Analysis)

Further detail regarding these technical areas is provided below.

In coordination with TA2 performers, TA1 performers will create a mobile application that passively captures all relevant user-sensing data to a data repository shared across the life of the program (48 months). TA1 performers will also manage the user base by enlisting existing or new medical cohorts, managing interactions with the cohort coordinators, and ensuring compliance with security and privacy requirements of said cohorts. DARPA anticipates that TA1 performers will act as managers of the smartphone sensor data collected from participating cohort members, making said data available under appropriate protections to TA2 performers.

TA2 performers will develop the data analytics for extracting context from TA1-provided data, identifying useful digital biomarkers that are predictive or indicative of physiological conditions, and demonstrating the correct anticipation and identification of said conditions.

TA1 performers will be required to collaborate with other TA1 performers as applicable. TA2 performers will be required to collaborate with all TA1 performers; additionally, TA2 performers will be encouraged (but not required) to collaborate with other TA2 performers. The Government may determine that Associate Contractor Agreements (ACA) are necessary to help facilitate an open exchange of information and ensure complete compatibility between software components, the system architecture, equipment, data and other program elements to prevent unnecessary duplication of effort, and to maximize commonality to guarantee appropriate coordination and integration of work. If the Government determines that ACAs are necessary, all selected performers will be required to have their ACAs in place prior to the program kick-off meeting.

D. Technical Areas

TA1: Infrastructure (Sensor Collection, Data Management, and User/Cohort Management)

TA1 performers will act as the program interface to data sources (medical cohorts), create a mobile application to passively capture all relevant user-sensing data that will be shared across the life of the program, and coordinate access to that data for the TA2 performers.

The TA1 performers will provide a central location of data captured for scientific research providing access to user base ground truth. The various sources of the user bases will be provided by partnerships with medical study cohorts such as the Framingham Cohort (general population), Millennium Cohort (DoD-specific), Military Recruitment Protocol (active and recently retired DoD personnel) for traumatic brain injury, and additional cohorts as applicable.

User consent will be established through cohort Institutional Review Boards (IRBs). TA1 performers will be required to manage the user base(s) through partnerships they establish with the cohorts.

Competitive TA1 proposals should include the plan, level of effort, assumptions, and risks for one, some, or all of the following three main topics:

a. Cellphone Sensor Collection

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1. List of sensors collected on Android and iOS operating systems, as informed by experience with efforts comparable to the DARPA Active Authentication program.

2. Overhead management of the collection application inclusive of power, storage management, data transfer bandwidth/timing, and scalability.

3. Application management for periodic updates and modifications (bug fixes, new features).

4. Server-based database development for data collection, storage requirements, and protection.

b. Data Management

1. Infrastructure specifications, including access latency, storage capacity, and scalability in terms of number of users, number of TA2 performers, and computational analytics supported.

2. Data protection and privacy (in accordance with cohort IRB requirements)

3. Accommodations for public, private, and hybrid cloud environments (see Defense

Federal Acquisition Regulation Supplement 252.239-7010 for more information on cloud requirements, as well as http://www.darpa.mil/work-with-us/additional-baa).

4. Component and data failure recovery strategy.

c. User/Cohort Management

1. Identify and sign up medical cohorts to participate at data providers.

2. Coordinate with, monitor, and manage diverse cohorts (DoD and private).

3. Communication plan with cohort management, cohort participants, and TA2 performers.

4. Issue resolution plan.

Proposals for TA1 must be structured as a Phase 1, 18-month base effort with a Phase 2, 30-month option. Furthermore, in each Phase, TA1 proposers are requested to separate human subject research (HSR) tasks from those that do not require human-use within their Statement of Work. The intention is for awards to be structured in each Phase with a base task comprised of non-HSR work followed by an option that will award the HSR affected tasks.

TA2: Context Extraction and Symptom/User State Association (Data Analysis)

TA2 performers will develop the data analytics for extracting context from the TA1-provided data, identifying useful digital biomarkers that are predictive or indicative of medical conditions, and demonstrating the correct prediction and identification of said medical conditions. It is anticipated that TA2 performers will use: (1) a model-based approach that leverages the existing medical literature to identify promising digital biomarkers, convert them to equivalent digital biomarkers, and validate them using TA1-provided data; and (2) a “data exploration” approach that leverages medical ground truth provided by the cohorts to do retroactive digital biomarker identification.

The period of performance for TA2 is divided in two phases:

Phase 1 (Determine Context for Extracting Relevant Data): In the first phase of the program, WASH performers will use sensors to determine what the user is doing and where (ambient conditions such as travel in a car, user activity such as exercise, etc.).

This will allow a determination to be made with respect to the usability of the data for http://www.darpa.mil/work-with-us/additional-baa

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assessment prediction, as well as establish sensing limits. It is expected that TA2 performers will closely work with TA1 performers during this phase. It is also anticipated that TA2 performers will conduct experiments under controlled conditions to establish baselines during this phase (i.e., will not solely rely on TA1/cohort-derived data).

Phase 2 (Associating Symptoms with the User State and Ambient Context): The goal in the second phase is to associate symptoms with the user state and ambient context. Due to the impact on warfighter readiness, the focus will be primarily on traumatic brain injury and infectious disease. Other illnesses and diseases may also be addressed within the scope of warfighter readiness, especially as part of the data exploration approach.

Competitive TA2 proposals should address the following topics:

1. How to establish context from the data gathered;

2. Method of extraction of a weak signal over varying ambient conditions;

3. Deconfliction of multiple hypotheses for different medical conditions;

4. Level of confidence in sensing limits and data granularity; and

5. The ability to acquire data with ground truth.

Proposals for TA2 must be structured as a Phase 1, 18-month base effort with a Phase 2, 30-month option. Furthermore, in each Phase, TA2 proposers are requested to separate HSR tasks from those that do not require HSR within their Statement of Work. The intention is for awards to be structured in each Phase with a base task comprised of non-HSR work followed by an option that will award the HSR affected tasks.

E. Program Metrics

The goal of the program at the end of Phase 2 (see Table 1) will be to demonstrate the utility of the complete WASH workflow, which includes passive collection, analysis, determination, and fusion of digital biomarkers for detection of physiological problems from the data provided by a mobile application that passively collects all relevant user-sensing information.

In Phase 1:

For TA1 performers, the mobile application must incur less than 5% power consumption overhead, with the data storage and analytics backend scalable to at least 100K users.

For TA2 performers, the goal is to develop activity-recognition models that accurately determine the user context in which to extract Phase 2-relevant data. Using TA2 performer-collected data (e.g., in a lab setting) for which ground truth is known, the target is an accuracy of 80% in terms of identifying the activity performed by the user, for at least 25 different activities representative of real world situations (e.g., walking, running, traveling in a car, talking on the phone, interacting with the phone). TA2 performers will then apply these activity-recognition models to TA1-provided data, to determine the coverage achieved by their models.

In Phase 2:

For TA1 performers, the mobile application must incur less than 5% power consumption

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overhead, with the data storage and analytics backend scalable to at least 1 million users.

For TA2 performers, the goal is to associate symptoms with the user state and ambient context. Metrics will include the number of digital biomarkers identified. Ground truth sources must be identified in the TA1-provided data. The goal is to achieve a True Positive (TP) rate of 70% for identification of condition family (e.g., Traumatic Brain Injury, Infectious Disease, or other identified illness/disease) relative to ground truth at .3t where t=Time of Emergence of Symptoms, where Emergence of Symptoms is defined as the clinical observation of indicators associated with the condition family. An additional goal for the TA2 analysis is to achieve a TP rate of 80% for identification of condition family relative to ground truth at .8t where t=Time of Emergence of Symptoms.

Additional target goals for the analysis include a false positive (FP) rate of 10% or less on a monthly basis, and a false negative (FN) rate of 20% per known incident in the TA1 data.

The Government will assess performer progress using informal technology evaluations throughout the duration of the program. If necessary, the Government will engage with an external partner to independently evaluate the technologies under development.

(See next page for Table 1)

Table 1: Program Metrics

F. Schedule and Milestones

WASH is a 4-year (48 month) program. The period of performance is divided in two phases:

Phase 1 (18 months) and Phase 2 (30 months). Option Phase 2 will be initiated only if sufficient

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progress is experimentally demonstrated in Phase 1.

There will be quarterly technical reviews, including biannual PI meetings, during which the program management team will assess progress towards a solution via performer briefings, technical exchange meetings, and evaluations. Program evaluation will be conducted by the Government team informally and organically throughout program execution, leveraging access to ground truth data from cohort partners to the maximum extent possible. Performers that have not made progress towards the program goal at the end of Phase 1 may not be funded during Phase 2.

PI meetings will focus on open technical exchange that includes discussion of difficulties encountered and possible solutions. The goals of the PI meetings will be to: (a) review and share innovations/accomplishments of the program; (b) review and discuss plans and options for technology demonstrations and prototypes; (c) review and discuss results from meetings and events conducted prior to the tests and evaluations; (d) demonstrate prototypes; and (e) plan for the next six‐month period.

The Government will specify the locations for the technical interchanges, PI meetings, and other events. For budgeting purposes, assume the locations of the two PI meetings held each year will be in the Washington, D.C. metro area. Actual locations will be determined based on performer locations and relative cost to the Government. In addition to site visits, regular meetings are encouraged to enhance communications and collaborations, as required, among the all performers. Should important issues arise between program reviews, the Government team will be available to support informal interim meetings.

Proposers should propose a detailed schedule that is consistent with the maturity of their approaches and the risk reduction required for their concepts, and their program plan. These schedules will be synchronized across performers, as required, and monitored and revised as necessary, throughout the program’s period of performance. A start date of November 1, 2017, should be assumed for budgeting purposes. Subject to the availability of funding and TA2 performer meeting Phase 1 goals, the program is intended to last for 48 months.

G. Deliverables

All performers are responsible for providing the following deliverables, as applicable:

Slide Presentations – Annotated slide presentations will be submitted within two weeks after program kick‐off meeting and after each review.

Monthly Coordination Reports – A monthly technical coordination report describing progress made, resources expended, and any issues requiring the attention of the Government team will be provided within 10 days after the end of each month. Monthly expenditure reports and uploading of required deliverables to the new DARPA reporting system (Contracting Execution Reporting Services), which is required by all program performers.

Algorithm Development Plan (TA2 performers only) – The Algorithmic Development Plan will incorporate any new math or sciences developed, different scaling/accuracy properties, as well as the variables and event handlers. Each event handler needs to be identified and defined.

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Software – All computer software developed or delivered under the program shall be delivered as source (including entire version control history) and as object (executable) code. Include the source listings and source code for the target computer systems.

Delivered software under this effort is to be completely maintainable and modifiable with no reliance on any non‐delivered computer programs or documentation.

Software Documentation – Software documentation shall be provided within one month after the end of each phase documenting source code, compilation steps, hardware description language specifications, system diagrams, part numbers and other data necessary to maintain and to produce copies of the software.

Hardware – At the conclusion of Phase 2, hardware procured or developed under the program shall be delivered at the discretion of DARPA. The delivery is to include sufficient documentation so as to be completely operable, maintainable and modifiable with no reliance on any non‐delivered hardware or hardware documentation developed or procured under the program.

Final Technical Report – The final report, due at contract completion, will concisely summarize the effort conducted and provide any lessons learned during the development of the technology. Formatting must follow the AFRL Final Technical Report Guidelines, which may be found at the FedBizOpps website.

H. Government-Furnished Property/Equipment/Information

Proposals should clearly state any assumptions regarding the use of proposed Government test facilities and capabilities, as well as any proposed Government-Furnished Equipment used as part of their development, test, and evaluation approach. Proposers should not make any assumptions as to what the Government will provide in regards to equipment.

I. Intellectual Property

The program will emphasize creating and leveraging open source technology and architecture.

Intellectual property rights asserted by proposers are strongly encouraged to be aligned with open source regimes.

A key goal of the program is to establish an open, standards-based, multi-source, plug-and-play architecture that allows for interoperability and integration. This includes the ability to easily add, remove, substitute, and modify software and hardware components. This will facilitate rapid innovation by providing a base for future users or developers of program technologies and deliverables. Therefore, it is desired that all noncommercial software (including source code), software documentation, hardware designs and documentation, and technical data generated by the program be provided as deliverables to the Government, with a minimum of Government Purpose Rights (GPR), as lesser rights may adversely impact the lifecycle costs of affected items, components, or processes. See Section VI.B.1 for more details on intellectual property.

J. Security Clearance Requirements

See Section III.D.

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II. Award Information

A. Awards

Multiple awards are anticipated. The level of funding for individual awards made under this solicitation has not been predetermined and will depend on the quality of the proposals received and the availability of funds. Awards will be made to proposers whose proposals are determined to be the most advantageous and provide the best value to the Government, all factors considered, including the potential contributions of the proposed work, overall funding strategy, and availability of funding. See Section V for further information.

The Government reserves the right to:

select for negotiation all, some, one, or none of the proposals received in response to this solicitation;

make awards without discussions with proposers;

conduct discussions with proposers if it is later determined to be necessary;

segregate portions of resulting awards into pre-priced options;

accept proposals in their entirety or to select only portions of proposals for award;

fund proposals in increments and/or with options for continued work at the end of one or more phases;

request additional documentation once the award instrument has been determined (e.g., representations and certifications); and remove proposers from award consideration should the parties fail to reach agreement on award terms within a reasonable time or the proposer fails to provide requested additional information in a timely manner.

Proposals selected for award negotiation may result in a procurement contract, depending upon the nature of the work proposed, the required degree of interaction between parties, and other factors.

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.

B. 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, HR001117S0032 WARFIGHTER ANALYTICS USING SMARTPHONES FOR HEALTH (WASH) 15 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 may be met by proposers intending to perform fundamental research and proposers not intending to perform fundamental research or the proposed research may present a high likelihood of disclosing performance characteristics of military systems or manufacturing technologies that are unique and critical to defense. Based on the nature of the performer and the nature of the work, the Government anticipates that some awards will include restrictions on the resultant research that will require the awardee 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

C. 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 requirements specified by National Institute of Standards and Technology (NIST) Special Publication (SP) 800-171, “Protecting Controlled Unclassified Information in Nonfederal Information Systems and Organizations” (see https://doi.org/10.6028/NIST.SP.800-171r1) that are in effect at the time the BAA is issued, or as authorized by the Contracting Officer, not later than December 31, 2017.

http://www.darpa.mil/work-with-us/additional-baa http://www.darpa.mil/work-with-us/additional-baa#NPRPAC https://doi.org/10.6028/NIST.SP.800-171r1

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III. Eligibility Information

A. Eligible Applicants

DARPA welcomes engagement from all responsible sources capable of satisfying the Government's needs, including academia (colleges and universities); businesses (large, small, small disadvantaged, etc.); other organizations (including non-profit); entities (foreign, domestic, and government); FFRDCs; minority institutions; and others.

DARPA welcomes engagement from non-traditional sources in addition to current DARPA performers.

1. Federally Funded Research and Development Centers (FFRDCs) and Government Entities

a. 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.

b. 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.

c. 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.

2. Foreign Participation 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.

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B. 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.

HR001117S0032 WARFIGHTER ANALYTICS USING SMARTPHONES FOR HEALTH (WASH) 18

C. Cost Sharing/Matching

Cost sharing is not required; however, it will be carefully considered where there is an applicable statutory condition relating to the selected funding instrument (e.g., OTs under the authority of 10 U.S.C. § 2371).

D. Other Eligibility Requirements

1. Ability to Receive Awards in Multiple Technical Areas Proposers may submit proposals for either (or both) of the two technical areas, and proposers can be selected for potential contract award under both TAs.

2. Ability to Support Classified Development Proposers to TA1 are not required to hold or obtain security clearances; however, TA1 proposers who wish to have access to classified data and evaluation results for their applications must have personnel and access to facilities with a minimum classification level of SECRET at the time of award, and must provide their CAGE code and security point(s) of contact in their proposals. Proposers to TA2 are not required to hold or obtain security clearances.

HR001117S0032 WARFIGHTER ANALYTICS USING SMARTPHONES FOR HEALTH (WASH) 19

IV. Application and Submission Information

A. Address to Request Application Package

This document contains all information required to submit a response to this solicitation. No additional forms, kits, or other materials are needed except as referenced herein. No request for proposal (RFP) or additional solicitation regarding this opportunity will be issued, nor is additional information available except as provided at the Federal Business Opportunities website (https://www.fbo.gov), or referenced herein.

B. Content and Form of Application Submission

Proposals Proposals consist of Volume 1: Technical and Management Proposal (including mandatory Appendix A and optional Appendix B); Volume 2: Cost Proposal; the Level of Effort Summary by Task Excel™ spreadsheet; and the PowerPoint™ summary slide.

All pages shall be formatted for printing on 8-1/2 by 11-inch paper with 1-inch margins, single-line spacing, and a font size not smaller than 12 point. Font sizes of 8 or 10 point may be used for figures, tables, and charts. Document files must be in .pdf, .odx, .doc, .docx, .xls, or .xlsx formats. Submissions must be written in English.

A summary slide of the proposed effort, in PowerPoint™ format, should be submitted with the proposal. A template slide is provided as an attachment to the BAA. Submit this PowerPoint™ file in addition to Volumes 1 and 2 of your full proposal, and the Level of Effort Summary by Task Excel™ spreadsheet. This summary slide does not count towards the total page count.

Proposers may only submit one proposal as lead institution to the WASH program. Each proposal may cover one or more technical areas.

Proposals not meeting the format prescribed herein may not be reviewed.

a. Volume 1: Technical and Management Proposal If addressing a single TA, the maximum page count for Volume 1 is 30 pages, including all figures, tables and charts but not including the cover sheet, table of contents or appendices.

A submission letter is optional and is not included in the page count. If addressing both TAs, the maximum page count for Volume 1 is 40 pages, including all figures, tables and charts but not including the cover sheet, table of contents or appendices. A submission letter is optional and is not included in the page count. Appendix A does not count against the page limit and is mandatory. Appendix B does not count against the page limit and is optional. Additional information not explicitly called for here must not be submitted with the proposal, but may be included in the bibliography in Appendix B. Such materials will be considered for the reviewers’ convenience only and not evaluated as part of the proposal.

Volume 1 must include the following components:

i. Cover Sheet: Include the following information.

https://www.fbo.gov/

HR001117S0032 WARFIGHTER ANALYTICS USING SMARTPHONES FOR HEALTH (WASH) 20

Label: “Proposal: Volume 1” BAA number (HR001117S0032) Technical Area Proposal title Lead organization (prime contractor) name Type of organization, selected from the following categories: Large

Business, Small Disadvantaged Business, Other Small Business, HBCU, MI, Other Educational, or Other Nonprofit

Technical point of contact (POC) including name, mailing address, telephone, and email

Administrative POC including name, mailing address, telephone number, and email address

Award instrument requested: procurement contract2 Total amount of the proposed effort Place(s) and period(s) of performance Other team member (subcontractors and consultants) information (for each, include Technical POC name, organization, type of organization, mailing address, telephone number, and email address)

Proposal validity period (minimum 120 days) Data Universal Numbering System (DUNS) number3 Taxpayer identification number4 Commercial and Government Entity (CAGE) code5 Proposer’s reference number (if any)

ii. Table of Contents

iii. Executive Summary: Provide a synopsis of the proposed project, including answers to the following questions:

What is the proposed work attempting to accomplish or do?

How is it done today, and what are the limitations?

Who or what will be affected and what will be the impact if the work is successful?

How much will it cost, and how long will it take?

The executive summary should include a description of the key technical challenges, a concise review of the technologies proposed to overcome these challenges and achieve the project’s goal, and a clear statement of the novelty and uniqueness of the proposed work.

2 Information on award instruments can be found at http://www.darpa.mil/work-with-us/contract-management.

3 The DUNS number is used as the Government's contractor identification code for all procurement-related activities. Go to http://fedgov.dnb.com/webform/index.jsp to request a DUNS number (may take at least one business day). For further information regarding this subject, please see www.darpa.mil/work-with-us/additional-baa for further information.

4 See http://www.irs.gov/businesses/small/international/article/0,,id=96696,00.html for information on requesting a TIN. Note, requests may take from 1 business day to 1 month depending on the method (online, fax, mail).

5 A CAGE Code identifies companies doing or wishing to do business with the Federal Government. For further information regarding this subject, please see www.darpa.mil/work-with-us/additional-baa.

http://www.darpa.mil/work-with-us/contract-management http://fedgov.dnb.com/webform/index.jsp http://www.darpa.mil/work-with-us/additional-baa http://www.darpa.mil/work-with-us/additional-baa http://www.irs.gov/businesses/small/international/article/0,,id=96696,00.html

HR001117S0032 WARFIGHTER ANALYTICS USING SMARTPHONES FOR HEALTH (WASH) 21

iv. Innovative Claims and Deliverables: Describe the innovative aspects of the project in the context of existing capabilities and approaches, clearly delineating the uniqueness and benefits of this project in the context of the state of the art, alternative approaches, and other projects from the past and present. Describe how the proposed project is revolutionary and how it significantly rises above the current state of the art.

Describe the deliverables associated with the proposed project and any plans to commercialize the technology, transition it to a customer, or further the work. Discuss the mitigation of any issues related to sustainment of the technology over its entire lifecycle, assuming the technology transition plan is successful.

v. Technical Plan: Outline and address technical challenges inherent in the approach and possible solutions for overcoming potential problems. Demonstrate a deep understanding of the technical challenges and present a credible (even if risky) plan to achieve the project’s goal. Discuss mitigation of technical risk. Provide appropriate measurable milestones (quantitative if possible) at intermediate stages of the project to demonstrate progress, and a plan for achieving the milestones.

vi. Management Plan: Provide a summary of expertise of the proposed team, including any subcontractors/consultants and key personnel who will be executing the work.

Resumes count against the proposal page limit so proposers may wish to include them in Appendix B below. Identify a principal investigator (PI) for the project. Provide a clear description of the team’s organization including an organization chart that includes, as applicable, the relationship of team members; unique capabilities of team members; task responsibilities of team members; teaming strategy among the team members; and key personnel with the amount of effort to be expended by each person during the project.

Provide a detailed plan for coordination including explicit guidelines for interaction among collaborators/subcontractors of the proposed project. Include risk management approaches. Describe any formal teaming agreements that are required to execute this project. List Government-furnished materials or data assumed to be available.

vii. Personnel, Qualifications, and Commitments: List key personnel (no more than one page per person), showing a concise summary of their qualifications, discussion of previous accomplishments, and work in this or closely related research areas. Indicate the level of effort in terms of hours to be expended by each person during each contract year and other (current and proposed) major sources of support for them and/or commitments of their efforts. DARPA expects all key personnel associated with a proposal to make a substantial time commitment to the proposed activity and the proposal will be evaluated accordingly. It is DARPA’s intention to put key personnel conditions into the awards, so proposers should not propose personnel that are not anticipated to execute the award.

Include a table of key individual time commitments as follows:

HR001117S0032 WARFIGHTER ANALYTICS USING SMARTPHONES FOR HEALTH (WASH) 22

Hours on Project Key

Individual Project

Status (Current, Pending, Proposed) Phase 1 Phase 2 Phase 3 WASH Proposed x x x

Project Name 1 Current x x n/aName 1 Project Name 2 Pending n/a x x

WASH Proposed x x x Name 2

Project Name 3 Proposed x x x

viii. Capabilities: Describe organizational experience in relevant subject area(s), existing intellectual property, or specialized facilities. Discuss any work in closely related research areas and previous accomplishments.

ix. Statement of Work (SOW): The SOW must provide a detailed task breakdown, citing specific tasks and their connection to the interim milestones and metrics, as applicable. Each year of the project should be separately defined. The SOW must not include proprietary information. For each defined task/subtask, provide:

A general description of the objective.

A detailed description of the approach to be taken to accomplish each defined task/subtask.

Identification of the primary organization responsible for task execution

(prime contractor, subcontractor(s),…