HR001117S0044.pdf

Broad Agency Announcement All-Signal Tactical Realtime Analyser (ASTRAL)

STRATEGIC TECHNOLOGY OFFICE

HR001117S0044

July 20, 2017

ASTRAL

TABLE OF CONTENTS

PART I: OVERVIEW INFORMATION

PART II: FULL TEXT OF ANNOUNCEMENT

1. FUNDING OPPORTUNITY DESCRIPTION

1.1. PROGRAM OVERVIEW

1.2. PROGRAM METRICS

2. AWARD INFORMATION

2.1. GENERAL AWARD INFORMATION

2.2. 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: SECURITY CLASSIFICATION GUIDE REQUEST FORM

NOTE: CRITERIA TO RECEIVE DISTRIBUTION D PROPOSER’S DAY SLIDES/CG

FROM DARPA, SEND REQUEST THROUGH HR001117S0044@DARPA.MIL ONLY

DOD AND U.S. DOD CONTRACTORS ONLY; US COMPANIES THAT CAN

SAFEGUARD FOUO AND MUST HAVE A CLEARED FACILITY CLEARANCE TO

RECEIVE THROUGH AMRDEC SAFE ACCESS FILE EXCHANGE

11. APPENDIX 3: VOLUME 1 COVER SHEET TEMPLATE

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

TEMPLATES

13. APPENDIX 5: CONCEPTUAL DESIGN REVIEW CHECKLIST

14. APPENDIX 6: SYSTEM REQUIREMENT REVIEW (SRR) CHECKLIST

15. APPENDIX 7: PRELIMINARY DESIGN REVIEW CHECKLIST

16. APPENDIX 8: CRITICAL DESIGN REVIEW CHECKLIST

PART I: OVERVIEW INFORMATION

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

Funding Opportunity Title – All-Signal Tactical Realtime Analyser (ASTRAL) Announcement Type – Initial announcement Funding Opportunity Number – HR001117S0044 Catalog of Federal Domestic Assistance Numbers (CFDA) Not Applicable Dates o Posting Date: July 20, 2017 o Industry Day: July 18, 2017 o Questions Due Date: August 3, 2017 o Proposal Due Date: September 5, 2017 o BAA Closing Date: January 15, 2018

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:

HR001117S0044@darpa.mil.

DARPA/STO

ATTN: HR001117S0044

675 North Randolph Street Arlington, VA 22203-2114 mailto:HR001117S0044@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 following technical areas: (1) development and demonstration of a hybrid analog/digital photonic/electronic processor demonstrating real-time nonlinear cyclostationary and convolutional processing and low-probability-of-intercept (LPI) signal processing gain over input EM signals filling a bandwidth of 1 to 10 GHz, and (2) identification of architectures and algorithms for military applications that are well-suited to real-time wideband hybrid analog/digital photonic/electronic implementation. Proposed research should investigate innovative approaches that develop and demonstrate a system for radiofrequency and optical electromagnetic (EM) signal environment surveillance, situational awareness and understanding, providing a factor of at least 1000x improvement over current signal awareness speed and spectrum coverage and suitable for mobile tactical operations. Specifically excluded is research that primarily results in evolutionary improvements to the existing state of cyclostationary or convolutional processing practices and algorithms.

1.1. PROGRAM OVERVIEW

The Department of Defense (DoD) conducts air, land, maritime, space and cyberspace operations which increasingly depend on electromagnetic (EM) spectrum defense and full spectrum access.

The DoD recognizes there are critical gaps in the national capability to meet the demands of adversaries’ ever-increasing electronic attack and cyber technology threats. These gaps significantly reduce DoD’s ability to use electromagnetic spectrum resources in tactical and strategic military operations. The DARPA All-Signal Tactical Realtime Analyser (ASTRAL) program is interested in ensuring understanding of and access to the congested and contested EM environment of the battlefield, by exploiting innovative developments in hybrid analog/digital photonic/electronic processor technologies of wideband real-time signal processing in order to detect and exploit hidden EM signals in real time and accomplish high-value military signal intelligence, surveillance and reconnaissance (ISR) applications.

Many layers of EM signals are leveraged for communication, command, control, intelligence, sensing and attack. The EM signal environment contains valuable information about the strategic and tactical order of battle of potential adversaries, their maneuvers and actions, and early indications of potential threats. The EM signal environment is crowded and cluttered, and DARPA anticipates it to grow exponentially more so as new technologies (e.g. 5G wireless, drones, autonomous vehicles, millimeter wave radar) enter service. U.S. forces gain a significant advantage when they know in real time exactly who is operating in the EM environment around them, what the adversaries are doing in it, what information adversaries are exchanging and what the adversaries are learning about U.S. forces. In order to have this superior knowledge and situational awareness, it is not sufficient to simply collect radio-frequency (RF) or optical signals—it is necessary to understand in near-real-time all the “externals” of the signals (waveform details, source type and class, signal format, geolocation, etc.) and much of the “internals” of them (the information carried on the signal, possibly encrypted or hidden).

By greatly increasing real-time signal speed and spectrum coverage by 1000x or more, the ASTRAL program will enable superior EM signal awareness at the tactical edge with new technology suitable for tactical mobile units. The program will also greatly improve the capability of current computing and communication resources applied to EM awareness.

ASTRAL technology will enable U.S. tactical forces, in both traditional military environments and nontraditional environments (e.g. urban and “hybrid” conflict), to understand what adversaries are doing around them, anticipate adversaries’ future actions, and recognize potential threats. ASTRAL will provide an asymmetric advantage, by making adversaries’ EM sensing and communications transparent at the tactical edge.

ASTRAL’s real-time wideband hybrid photonic/digital processing can advance all fronts of DoD’s Electromagnetic Maneuver Warfare (EMW) strategy, with applicability to a broad range of DoD Joint functions – movement and maneuver, fires, network defense, command and control, intelligence, protection, and sustainment. The successful demonstration of ASTRAL technology and the identification of ASTRAL application architectures can potentially advance current U.S. capabilities to the level of multi-domain theater scale real-time EMW tactical operations.

Many of the signals U.S. forces need to observe and understand are hidden—either intentionally transmitted below the noise or clutter floor, or unintentionally buried in the clutter and interference of other irrelevant signals (“needle in a haystack”). In order to have all-signal awareness of the EM environment, systems need the significant processing gain of high-order nonlinear algorithms. An algorithm of “Nth order” uses the signal waveform(s) x(t) raised to the Nth power or Nth product, e.g. x(t)N, or x(t)N-mx(t’)m. Fourier transformation x(t) X(f) is 1st order; correlation <x(t)x(t+t’)> X(f)Y*(f) is 2nd order. High order nonlinear algorithms can have large processing gain, but it comes at the cost of many steps of digital computation.

Current real-time high-gain signal processing is limited to an instantaneous input rate of ~ 1-10 MHz in a single digital electronic processing system (sometimes applied across larger bandwidths of raw data, at the cost of undersampling which discards data). The tactical EM environment contains many military systems operating over multi-GHz of RF bandwidth, interfering civilian systems can occupy up to 100 GHz of RF spectrum, and backhaul networks use many 1000’s of GHz of optical spectrum. Consequently, in order to apply the best EM “deep exploitation” analytical techniques to tactical operations, current processing systems’ real-time instantaneous input speed and bandwidth ideally would be increased by at least 1000x while applying the nonlinear algorithms with high processing gain.

ASTRAL’s approach to processing signals at 1000x higher data input speed and still achieve high processing gain is to combine new analog photonic technology with state-of-the-art digital electronics in a hybrid photonic/electronic processing system. The analog photonic elements take advantage of the strengths of photonics: wide optical bandwidth (> 100 GHz), wide optical dynamic range (>120 dB, shot noise limited), ease of massive parallelization (superposition of many non-interfering carriers), and ability to implement multiplications (N>2 processes) by square-law detection. The digital elements take advantage of the strengths of electronics: ability to implement general algorithms (e.g. transcendental functions, recursive transformations), low cost of commercially-driven processors, and programming flexibility. Analog photonic elements can create Nth-order signal products at the speed of light over the full optical bandwidth and filter for signals of interest. Digital elements can apply more general logical and nonlinear algorithms for specific applications such as emitter identification, geolocation, waveform classification, etc.

Application of analog photonics for high nonlinear processing gain is made possible by the recent development of very stable optical sources with very high coherence, and by the development of nonlinear fiber optics for mixing signals together. Optical frequency combs with hundreds or thousands of mutually-coherent “lines” propagating in an optical waveguide (e.g.

silica fiber, silicon photonic circuit) can channelize wideband optical and RF signals into thousands of parallel narrowband channels. For example, researchers have demonstrated channelization and analog Fourier transformation of 110 GHz of RF bandwidth, and demonstrated high cyclostationary (CS) processing gain on its output (digitally, in a narrow sub-band scanned over the 110 GHz in non-real time). Nonlinear optical transformations of these encoded combs in a waveguide can implement higher-order nonlinear algorithms, such as moment and cumulant analysis, at the speed of light. The waveguided photonics also enable compact and rugged systems for use in the field.

The objectives of the ASTRAL program are to (1) develop a hybrid analog/digital photonic/electronic processor demonstrating real-time nonlinear CS (4th order) and convolutional (2nd order) processing with high processing gain over input EM signals filling an instantaneous bandwidth of 1 to 10 GHz, and (2) identify architectures of wideband hybrid analog/digital photonic/electronic processors that are well-suited to implement high-value tactical military signal processing applications. Some of the strategic and tactical spectrum awareness applications of interest include (a) optical communication real-time internet protocol (IP) packet identification and exploitation for physical layer network defense, (b) city-wide wireless device geolocation, (c) X-Ku-Ka band low probability of intercept (LPI) radar warning, and (d) theater-wide spread-spectrum radio geolocation.

DARPA seeks innovative proposals in the following Areas of Interest:

Technical Area 1 (TA1): Real-Time Wideband Photonic/Electronic Processor.

In Technical Area 1, ASTRAL performers will develop a hybrid analog/digital photonic/electronic processor brassboard implementing the 4th order CS processing algorithm on wideband signal input approximately 1000x wider than current real-time all-digital processors.

The CS algorithm is generally applicable to all signals and it has high processing gain limited only by its frequency resolution and integration time. It is commonly applied (digitally, over a narrow bandwidth) to pull LPI signals uncooperatively out of noise and clutter. TA1 will conclude with the demonstration of a brassboard system running wideband signals through the

CS process at approximately 1000x higher real-time data input speed, detecting and recovering LPI signals of interest (hopping, intermittent, spread spectrum, etc.), passing these to further digital processing tailored to each signal, and demonstration of the brassboard running wideband signals through a general convolutional process. These demonstrations of ASTRAL-improved real-time EM signal awareness and EM-ISR are necessary milestones before proceeding to full development of military applications. The TA1 demonstrations also directly mirror several transitionable military applications including (1) X-Ku-Ka LPI threat radar detection and (2) spread-spectrum radio detection and geolocation.

Technical Area 2 (TA2): Flexible Photonic Processing Architectures and Algorithms.

In Technical Area 2, ASTRAL performers will design hybrid analog/digital photonic/electronic architectures matched to high-gain signal processing algorithms (beyond CS) addressing candidate military EM ISR applications. In a photonic processor, the architecture is the algorithm. Design trade studies will identify candidate architectures for future development of military applications. TA2 performers will focus on design of photonic architectures that implement specific high-gain and high-value algorithms of military applications, and that can potentially be packaged into small size, weight and power and cost (SWaP-C) tactical systems.

Potential DoD transition organizations will be invited to suggest critical EM ISR problems and applications, and to advise on the applicability and operability of ASTRAL architectures. TA2 will conclude with the recommendation of architectures for potential future development into prototype systems in follow-on DARPA programs.

Proposers may submit proposals to one or both Technical Areas, however, each proposal submission should address a single Technical Area only.

The Government anticipates multiple awards under each TA. The TA1 and TA2 teams will interact frequently with each other: the TA1 hybrid analog/digital photonic/electronic real-time processor hardware and laboratory demonstration will contribute to the TA2 real-time wideband hybrid analog/digital photonic/electronic architecture and algorithm implementation studies, and vice versa, the TA2 candidate architectures will influence the TA1 brassboard designs.

DARPA anticipates the ASTRAL program to have a single, 18 month phase.

1.1.1. ASTRAL Tasks

1.1.1.1. Technical Area 1: Real-Time Wideband Cyclostationary Processor

TA1 performers should develop a hybrid analog/digital photonic/electronic nonlinear processor brassboard implementing the 4th order cyclostationary (CS) processing algorithm on wideband signals, and should demonstrate real-time CS and general convolutional processing in a laboratory environment on simulated and representative analog signals. Metric objectives of the ASTRAL brassboard processor are detailed in Section 1.2.

TA1 proposal submissions may include processor designs that are hybrid analog/digital, all analog, or all digital, and hybrid photonic/electronic or all-photonic. The Government will not accept all-electronic processor designs for TA1. TA1 proposers may consider deviation from the core ASTRAL hybrid analog/digital photonic/electronic concept, so long as it meets the ASTRAL performance objectives in Section 1.2. TA1 has no SWaP-C objectives, as discussed in Section 1.2, because it will demonstrate laboratory brassboard. Since DARPA hopes to transition successful ASTRAL systems to tactical applications, the approach and technology used in TA1 should be repackageable (in possible future programs) into small SWaP systems suitable for mobile platforms such as dismounted troops, small surface vehicles and unmanned air vehicles (UAVs).

TA1 performers should accomplish the following Tasks:

(1) Design the brassboard real-time nonlinear processor, including Conceptual Design, Preliminary Design and Critical Design, and conduct processor trade-off studies, analysis, modeling, and processor performance simulation to support and validate the design. See appendices 5-8 of this BAA for descriptions of what is required in a Preliminary Design and a Critical Design.

(2) Integrate the brassboard processor.

(3) Simulate the LPI signal and noise environment expected on airborne and/or naval platforms, with varying levels of noise floor and various waveforms and modulation formats.

(4) Demonstrate that the brassboard processor meets the performance objectives of Section

1.2. Brassboard testing should include laboratory demonstrations of ASTRAL objectives with simulated or with real broadband LPI signals.

(5) Provide to TA2 performers, quarterly, the design details and data necessary for them to evaluate the compatibility of TA2 flexible processing architectures and algorithms running real-time military signal processing applications, with the TA1 brassboard technologies.

(6) Demonstrate the brassboard processor runs algorithms developed or identified in ASTRAL TA2, if such algorithms are compatible with TA1 brassboard operation.

The TA1 performer should simulate LPI signals and noise (in Task 3 above). If the TA1 proposer deems outdoor measurement of real LPI signals to be necessary, the proposer may include outdoor LPI signal and noise collection events in their submission. The TA1 proposer should include, as part of its laboratory simulation and/or outdoor signal collection measurement, all necessary sources, receivers, diagnostic systems and data recording.

Milestones, reporting requirements and deliverables of TA1 are summarized in Table 1.1.1.1-1.

Information expected in design reviews is summarized in Appendices 5, 6, 7 and 8 of this BAA.

TA1 proposers must include a detailed schedule consistent with Table 1.1.1.1-1.

Table 1.1.1.1-1: TA1 Milestones & Deliverables TA1 Milestone TA1 Required Deliverable Time After

Contract Start Kickoff (KO) Meeting Within 1 month

Technical and Financial Status Report

Monthly

Quarterly Progress Reviews (QPRs) Approximately every 3 months

Real-time Wideband Photonic Nonlinear Processor Conceptual Design Review (CoDR) and System Requirements Review (SRR)

System Requirements Document (SRD) 3 months

Preliminary Design Review (PDR) PDR Data 6 months Critical Design Review (CDR) CDR Data 9 months Brassboard Processor Experiments Begin

Brassboard Processor Experiment Plan

NLT 15 months

Brassboard Processor Experiment Report

NLT 18 months

Final Review 18 months Final Report 21 months

1.1.1.2. Technical Area 2: Flexible Photonic Processing Architectures and Algorithms

TA2 performers should develop hybrid analog/digital photonic/electronic architectures matched to other real-time processing algorithms (beyond CS) addressing candidate tactical military EM awareness problems and applications. The processor architectures implementing the algorithms should be compatible with processor technologies selected by the TA1 performers in their brassboards. The Government strongly encourages the TA2 performer to develop and design flexible photonic processor architectures capable of running many different high-value tactical military signal processing algorithms, as these have wider application than single-purpose or single-mission designs. Metric objectives of the flexible photonic processing application architectures and algorithms are in Section 1.2.

TA2 performers should accomplish the following Tasks:

(1) Design or identify real-time hybrid photonic/electronic architectures, suitable for running algorithms in real-time for processing of wideband RF and optical signals in candidate high-value tactical military applications.

(2) Conduct design trade studies, analysis, modeling, simulation, experimentation and performance prediction of processors supporting and validating these architectures.

(3) Recommend specific tactical military applications for ASTRAL processors, and recommend specific architectures and algorithms. Viable processor architectures should be evolved to Preliminary Designs of prototype processors for those applications.

(4) Recommend a plan of ASTRAL processor development for the recommended tactical military applications, identifying key risks and risk mitigation approaches.

(5) Provide to TA1 performers, quarterly, the architecture details and data necessary for them to evaluate the compatibility of TA1 brassboard technologies with TA2 emerging architectures for tactical military signal processing applications.

Milestones, reporting requirements and deliverables of TA2 are summarized in Table 1.1.1.2-1.

TA2 proposers must include a detailed schedule consistent with Table 1.1.1.2-1.

Table 1.1.1.2-1: TA2 Milestones and Deliverables TA2 Milestone TA2 Required Deliverable Time After

Contract Start Kickoff (KO) Meeting Within 1 month

Technical and Financial Status Report

Monthly

Quarterly Progress Reviews (QPRs) Approximately every 3 months

Architecture & Algorithm CoDR and Requirements Review (ARR)

Architecture Requirements Document (ARD)

6 months

Application Processors Architecture & Algorithm Selection

Preliminary Selection Data NLT 9 months

Application Processors Simulations & Experiments Begin

Application Processor Simulation & Experiment Plan

NLT 12 months

Simulation & Experiment Report NLT 18 months Application Processors Final Selection & PDR

PDR Data NLT 18 months

Processor Development & Risk Mitigation Plan

NLT 18 months

Application Concepts of Operation Document

NLT 18 months

Final Review 18 months Final Report 21 months

1.2. PROGRAM METRICS

In order for the Government to evaluate the effectiveness of a proposed solution in achieving the stated program objectives, proposers should note that the Government hereby promulgates the following program metrics that may serve as the basis for determining whether satisfactory progress is being made to warrant continued funding of the program. Although the following program metrics are specified, proposers should note that the government has identified these goals with the intention of bounding the scope of effort, while affording the maximum flexibility, creativity, and innovation in proposing solutions to the stated problem.

Proposals should cite the quantitative and qualitative success criteria that the proposed effort will achieve by the time of each TA’s program metric measurement.

Key metrics of the ASTRAL hybrid analog/digital photonic/electronic processor and nonlinear algorithms are: input instantaneous data speed, spectral resolution, bit precision, dynamic range, noise floor, input format, processing order, photonic process type and digital process type. The objective metrics are summarized in Table 1.2-1 below.

Table 1.2-1: ASTRAL Objective Metrics TA Objective Threshold Goal

Input Instantaneous Bandwidth (IBW) for Real-Time Processing

1 GHz 10 GHz

Input IBW Adjustability Down to 100 MHz 10 MHz Input Signal Source RF & Optical I&Q Input Signal Dynamic Range 110 dB 120 dB Output Spectral Resolution 10-3 of Input 10-4 of Input Processing Update Rate (no integration time)

Spectral Resolution-Limited

Output Bit Precision 12 16 Output Integration Time Up to 1 sec CS Processing Gain 27 dB 40 dB

Cyclostationary Convolution & Correlation of 2 Signal

InputsAlgorithms Convolution & Correlation of 1 Signal

Input with a Signal Database

Output Noise Floor (no integration time)

Shot Noise + 3 dB Shot Noise

SWaP-C Laboratory Scale Input Signal Sources RF & Optical I&Q Processor Single Algorithm Performance Metrics

Same as TA1

Polyphase Filters Wavelet Decomposition

Learning Networks Cyclostationary Analysis

Candidate Algorithms

Convolution & Correlation

Other

Time to Switch Between Algorithms 100 microseconds 1 microseconds Signal Identification

Specific Emitter Identification Emitter Geolocation Data Compression

Packet Identification Radar Warning

Candidate Applications

Network Attack Warning

Other

UAV

UUV

Platform SWaP Compatibility Ground Vehicle

Man-Portable

2. AWARD INFORMATION

2.1. GENERAL AWARD INFORMATION

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

The Government reserves the right to select for negotiation all, some, one, or none of the proposals received in response to this solicitation and to make awards without discussions with proposers. The Government also reserves the right to conduct discussions if it is later determined to be necessary. If warranted, portions of resulting awards may be segregated into pre-priced options. Additionally, DARPA reserves the right to accept proposals in their entirety or to select only portions of proposals for award. In the event that DARPA desires to award only portions of a proposal, negotiations may be opened with that proposer. The Government reserves the right to fund proposals in phases with options for continued work, as applicable.

The Government reserves the right to request any additional, necessary documentation once it makes the award instrument determination. Such additional information may include but is not limited to Representations and Certifications (see Section 6.2.10., “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 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.

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

2.2. FUNDAMENTAL RESEARCH

It is DoD policy that the publication of products of fundamental research will remain unrestricted to the maximum extent possible. National Security Decision Directive (NSDD) 189 defines fundamental research as follows:

‘Fundamental research’ means basic and applied research in science and engineering, the results of which ordinarily are published and shared broadly within the scientific community, as distinguished from proprietary research and from industrial development, design, production, and product utilization, the results of which ordinarily are restricted for proprietary or national security reasons.

As of the date of publication of this BAA, the Government 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

3.1. ELIGIBLE APPLICANTS

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

3.1.1. 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 not participate as a prime awardee. Non-U.S.

organizations and/or individuals may act as subawardees to the extent that the prime awardee can ensure that such participants comply with any necessary nondisclosure agreements, security regulations, export control laws, and other governing statutes applicable under the circumstances.

3.1.3. Applicants Considering Classified Submissions

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

http://www.dss.mil/

3.2. ORGANIZATIONAL CONFLICTS OF INTEREST

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

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

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

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

The name of the DARPA office receiving the support;

The prime contract number;

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

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

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

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

3.3. COST SHARING/MATCHING

Cost sharing is not required; however, it will be carefully considered where there is an applicable statutory condition relating to the selected funding instrument. Cost sharing is encouraged where there is a reasonable probability of a potential commercial application related to the proposed research and development effort.

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

3.4. OTHER ELIGIBILITY 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, 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.

a. Proprietary Information Proposers are responsible for clearly identifying proprietary information. Submissions containing proprietary information must have the cover page and each page containing such information clearly marked with a label such as “Proprietary”. NOTE: “Confidential” is a classification marking used to control the dissemination of U.S. Government National Security Information as dictated in Executive Order 13526 and should not be used to identify proprietary business information.

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

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

If a submission contains Classified National Security Information as defined by Executive Order 13526, the information must be appropriately and conspicuously marked with the proposed classification level and declassification date. Similarly, when the classification of a submission is in question, the submission must be appropriately and conspicuously marked with the http://www.darpa.mil/work-with-us/contract-management%23OtherTransactions http://www.darpa.mil/ http://www.dss.mil/ 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.

At this time, DARPA anticipates that proposals submitted in response to this BAA may generate or involve access to classified information. Security classification guidance via a Security Classification Guide (SCG) and/or DD Form 254, “DoD Contract Security Classification Specification,” must be formally requested using the instructions listed below.

A formal request for the DARPA-HR001117S0044 Security Classification Guide may be submitted by filling out the Classified Documents Request Form (found in APPENDIX 2 to this BAA) and emailing the Request Form to HR001117S0044@darpa.mil with subject line titled “Request DARPA- HR001117S0044 Security Classification Guide.”

Proposers are encouraged to submit this request no later than 27 July 2017 to allow for adequate time for delivery of the material. The DARPA-HR001117S0044 Security Classification Guide Request Form is the only method of request that will be accepted.

Confidential, Secret and Top 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, Secret, and/or Top Secret classified information.

Confidential and Secret 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 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 Program Security Officer (PSO) or their staff.

Proposers choosing to submit SAP information from an agency other than DARPA are required to provide the DARPA Technical Office 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.

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.

Proposers submitting hard copy full proposals must submit an original and five (5) copies of the proposal and two (2) electronic copies of the proposal [in Adobe PDF and in Microsoft Word™] on a CD-ROM. Each CD-ROM must be clearly labeled with HR001117S0044, proposer organization, proposal title (short title recommended), and Copy _ of 2. The CD-ROM must also contain all the original graphics in the proposal [in Microsoft PowerPoint™].

Unclassified full proposals sent in response to HR001117S0044 may be submitted via DARPA's BAA Website (https://baa.darpa.mil). 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; proposers should start this process 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 https://baa.darpa.mil/ in size. Only one zip file will be accepted per submission, and submissions not uploaded as zip files will be rejected by DARPA. Proposals submitted through DARPA’s BAA Website must include the same electronic files as required for hard copy proposals (above).

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, Eastern Time.

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

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.

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 HR001117S0044@darpa.mil as notification that there is 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 five

(5) hard copies of the classified portion of their proposal and two (2) CD-ROMs containing the classified portion of the proposal as a single searchable Microsoft Word™ file and 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 HR001117S0044, proposer organization, proposal title (short title recommended), and Copy _ of _.

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: HR001117S0044@darpa.mil https://baa/darpa.mil https://baa/darpa.mil mailto:BAAT_Support@darpa.mil

DARPA/STO

ATTN: HR001117S0044

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…