HR001118S0012.pdf

Broad Agency Announcement Network Universal Persistence (Network UP)

STRATEGIC TECHNOLOGY OFFICE

HR001118S0012

January 5, 2018

Network UP

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 – NOT APPLICABLE

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: VOLUME 1 COVER SHEET TEMPLATE

VOLUME I, TECHNICAL AND MANAGEMENT PROPOSAL

11. APPENDIX 3: VOLUME 2 COVER SHEET, CHECKLIST AND SAMPLE

TEMPLATES

PART I: OVERVIEW INFORMATION

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

Funding Opportunity Title – Network Universal Persistence (Network UP) Announcement Type – Initial Announcement Funding Opportunity Number – HR001118S0012 Catalog of Federal Domestic Assistance Numbers (CFDA) – Not Applicable o Posting Date: January 5, 2018 o Proposers Day: January 5, 2018 o Proposal Abstract Due Date and Time: January 22, 2018 4:00PM Eastern o Questions Due Date and Time: January 22, 2018 4:00PM Eastern o Proposal Due Date and Time: March 2, 2018 4:00PM Eastern o BAA Closing Date: June 19, 2018 4:00PM Eastern

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:

HR001118S0012@darpa.mil.

DARPA/STO

ATTN: HR001118S0012

675 North Randolph Street Arlington, VA 22203-2114 mailto:HR001118S0012@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: radio architectures and technology and network architectures and technology that maintain network reliability through periods of data channel degradation.

Proposed research should investigate innovative approaches that enable revolutionary advances in science, devices, or systems. Specifically excluded is research that primarily results in evolutionary improvements to the existing state of practice.

1.1. PROGRAM OVERVIEW

The Network Universal Persistence (Network UP) program will develop and demonstrate radio technology that maintains network reliability through periods of frequent signal degradation that routinely occur during military operational environments. The key insight is that isolation of the critical control channel information in a separate, robust wireless link will allow creation of a protected control channel that can maintain network reliability even when the data channel is lost. A significant problem with many of today’s military wireless networks is that even brief wireless link outages create a loss of network connectivity that can take more than two minutes to recover once the wireless link is re-established. During these network outages, data transmission is not possible. Networks in dynamic wireless environments can end up mostly attempting to establish the network rather than sending data.

Current radios send the network control information and the data using the same wireless link.

This produces a common failure mode when that wireless link degrades. Wireless network designers understand the importance of the control data and have designed-in limited protection such as redundancy and error correction coding. These protection mechanisms provide on the order of 5 decibels (dB) of protection and cannot overcome the tens of dB degradation in typical wireless environments shown in Figure 1 (e.g., propagation through dense foliage and urban buildings, as well as in the presence of peer jamming). Network UP will address this issue by separating the control information and the data information across two different wireless links.

This approach allows developers to use the relatively low bit rate associated with the control information and match the control link frequency to the environment to create a robust control link that can withstand degradation of tens of dB. The premise of the program is that maintaining the network via a robust control channel maximizes data throughput since the network can immediately send data over the data link as soon as the link is available (see Figure 2).

Figure 1: Network UP will operate through degradation associated with various wireless environments

Figure 2: Network UP maximizes the data sent over an episodic wireless network

The Network UP program is soliciting proposals to develop technology and prototype radio and network components that enable military wireless networks to send data over dynamic, unstable wireless links. DARPA is looking for approaches that separate the control and data planes across different wireless links. In support of this, DARPA is interested in developing the necessary technology and prototyping key subsystems to evaluate performance.

DARPA has structured Network UP as a two-phase program covering 36 months. Each phase will be 18 months in duration. In Phase 1, there are two technical areas and proposers can submit proposals to one or both technical areas. If a proposer chooses to respond to both technical areas, they must submit separate proposals for each. At the end of Phase 1, DARPA intends to issue a separate full and open BAA for Phase 2, which will integrate the Network UP control channel subsystem with a legacy military radio (possibly as an appliqué) to demonstrate how Network UP solutions can improve performance of existing military wireless networks.

DARPA seeks innovative proposals in the following Technical Areas:

Technical Area One (TA-1): Developing Radio Architecture and Control Link Channel Multiple TA-1 performers will design, develop, and demonstrate a radio architecture and supporting technology that implement separate control and data channels. DARPA assumes that these channels will be in different radio frequency (RF) bands. The key feature of the design will be control channel operation through deep and periodic data channel degradation. The TA-1 performers will design the radio architecture (which consists of both the data channel and the control channel) and the control channel waveform. As part of the design effort, TA-1 performers will evaluate channel protection techniques and burst communications performance using existing data waveforms within the Network UP architecture. DARPA is also interested in evaluating legacy-fielded radios and assessing how to use the Network UP control channel with legacy radios as an “appliqué” to improve their performance in bursty or unreliable channels.

DARPA understands that integration with an existing military radio will likely require modification of the legacy radio, waveform, and network. Key challenges that TA-1 performers need to address include:

Developing a reliable and efficient means to determine data channel availability; and Designing and implementing a reliable control link waveform that can operate even when the data channel experiences significant signal degradation.

TA-1 performers will also address interconnection and coordination between the data channel and the control channel. This interconnection will need to take into account issues such as propagation performance of each channel, timing coordination, etc. The TA-1 performers will need to conduct technical interchanges with the TA-2 performers to ensure that Network UP control channel supports integration of the Network UP network technology and that the control channel has sufficient capacity to carry the required network data.

Technical Area Two (TA-2): Developing Bursty Link Network Multiple TA-2 performers will design, develop, and demonstrate network architectures and technologies that enable creation of a network with physically separated control and data links.

A key objective of the network technology design will be efficient exploitation of burst or transient links. Key challenges that TA-2 performers need to address include:

Designing a control plane that resides in a separate RF band from the data plane;

Minimizing the amount of network traffic that the control channel sends to maintain the network, since data rate is inversely proportional to the effort required to establish and maintain robust links; and

Designing the network and network maintenance strategy to be scalable.

As a secondary objective, TA-2 performers will evaluate the ability to use control channel capacity to send essential mission information when the data channel is not available. The TA-2 performers will need to conduct technical interchanges with the TA-1 performers to convey their processing requirements and network data exchange requirements.

1.1.1. Phase 1

Figure 3 below shows the phased approach for Network UP. Phase 1 will develop system architectures, technologies, and prototype subsystems that enable a wireless communications system to maintain network reliability through periods of frequent signal degradation that routinely occur in military operational environments. Phase 1 focuses on system design develops technology development. System performance simulation and prototype subsystem demonstration are part of the Phase 1 effort.

Figure 3: Network UP program schedule

The following paragraphs describe the specific objectives associated with each of the Network UP Phase 1 technical areas.

TA-1 performers will design and develop a radio architecture, control link technology and subsystem prototypes. Specific objectives include:

• Develop a reliable and efficient means to determine when the data channel is available and when it is not.

• Implement a reliable control link waveform that can operate even when the data channel experiences significant signal degradation.

• Address data and control channel interactions.

• Address selecting a control channel band that maximizes channel protection against both environmental and spectral degradation.

• Evaluate legacy-fielded radios and develop a design to assess how to use the Network UP control channel with legacy radios as an appliqué.

• TA1 performers may also address ways to repurpose existing radio systems and channels such as those used in P25 civil communication systems for use as a highly protected control link.

• Demonstrate performance with simulations and lab testing.

TA-2 performers will design and develop data transport and network techniques capable of operating over bursty links. Specific objectives include:

• Address separation of control and data functions while minimizing amount of network traffic over the control link and radio.

• Address methods for timely exploitation of bursty links.

• Develop the network control and data planes

• Minimize amount of control traffic the network needs as the number of nodes scales

• Conduct a lab demonstration.

By the end of Phase 1, each performer for both TAs will demonstrate a prototype of their design.

Specific outcomes of Phase 1 will include:

TA-1: Develop radio architecture and control link o Design of Network UP radio technology that supports separate control and data channels and can reliably and efficiently determine data channel availability.

o Trade study identifying trades and justifications that drive the control channel waveform design, to include recommendations for target frequency band(s).

o Assessment of frequency management approaches and impacts on control channel waveform.

o Quantification of the time required to recognize when the data channel degradation drops by 10 dB or more.

o Quantify the power required by the control radio.

o Demonstration of ability of control channel to mitigate degradation of at least 40 dB (via simulation and lab demos).

o Initial analysis of what would be required to integrate the control channel with a legacy radio(s) (e.g., Wideband Networking Waveform (WNW)).

TA-2: Develop bursty link network o Design of two-band network architecture where control information is on its own separate highly-protected band.

o Design of network technology that exploits bursty links to provide at least 60% of theoretical data rate for link outages of up to 50%.

o Design the interface with application(s).

o Assessment of the impact of network metrics on control channel requirements such as latency and bandwidth.

o Quantify the network convergence time as the number of nodes scales.

o Lab demonstration for a network that consists of at least ten nodes (low cost, off-the-shelf radios are acceptable for this demonstration) that shows performance against program metrics.

Phase 1 performers will be responsible for planning and conducting their tests and demonstrations. The Government test team will maintain review authority for test and demonstration planning and will provide oversight during execution and analysis of results.

1.1.2. Phase 2

Phase 2 will be the subject of a separate full and open BAA that leverages the Phase 1 developments of both TA-1 and TA-2 performers. Six months into Phase 2, there will be a design review and lab demonstration. The Government will choose to move forward with some, all, or none of the performers following the design review based on design progress and successful demonstration of key risk mitigation.

The objectives of Phase 2 are:

• Build integrated Network UP radio nodes that connect the Network UP control radio with a legacy radio as the data radio.

• Conduct a wireless demonstration with multiple mobile nodes.

• Evaluate performance in diverse scenarios (e.g., urban, dense foliage, jamming).

By the end of Phase 2, the performer(s) will have built and integrated their Network UP control radio applique with a legacy radio. The concluding demo will establish that a significant performance improvement in data delivery is achievable by separating the control channel from the data channel. Further, the program will have demonstrated at least one plausible approach for applying Network UP architecture and technology to currently fielded military radios and networks. At this time, specific metrics for Phase 2 include:

Hardware demonstration showing the ability of control channel to mitigate degradation of at least 70 dB.

Over-the-air demonstration with mobile nodes in a network that consists of at least 40 nodes (the network can be a combination of real and emulated radios: threshold is 5 real radios, goal is 20 real radios)

Demonstration that integrated Network UP radio (legacy radio with Network UP applique) can deliver at least 70% of theoretical data rate for link outages of up to 80%.

Phase 2 performers will be responsible for planning and conducting their tests and demonstrations. The Government test team will participate in test and demonstration planning and will help coordinate coordination of test facilities if needed. In addition, the Government test team will provide oversight during execution and analysis of results.

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 Phase’s program metric measurement.

Phase Months After

Contract Award Program Metrics

1 (TA-1) To Be Specified by Performer

Ability of control channel to mitigate degradation of at least 40 dB (via simulation and lab demos) and maintain a 10-6 probability of bit error in the control channel

1 (TA-2) To Be Specified by Performer

Provide at least 60% of theoretical maximum data rate for link outages of up to 50% and maintain a 10-6 probability of bit error in the data channel.

Degradation is a generalized metric that encompasses, but is not limited to, interference, blockage/attenuation, and the effects of mobility.

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 VI.B.2., “Representations and Certifications”). The Government reserves the right to remove proposers from award consideration should the parties fail to reach agreement on award terms, conditions, and/or cost/price within a reasonable time, and the proposer fails to timely provide requested additional information. Proposals identified for negotiation may result in a procurement contract or other transaction, depending upon the nature of the work proposed, the required degree of interaction between parties, whether or not the research is classified as Fundamental Research, and other factors.

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

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

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

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

3. ELIGIBILITY INFORMATION

3.1. ELIGIBLE APPLICANTS

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

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

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

3.1.1.1. FFRDCs

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

3.1.1.2. Government Entities

Government Entities (e.g., Government/National laboratories, military educational institutions, etc.) are subject to applicable direct competition limitations. Government entities must clearly demonstrate that the work is not otherwise available from the private sector and provide written documentation citing the specific statutory authority and contractual authority, if relevant, establishing their ability to propose to Government solicitations.

3.1.1.3. Authority and Eligibility

At the present time, DARPA does not consider 15 U.S.C. § 3710a to be sufficient legal authority to show eligibility. While 10 U.S.C.§ 2539b may be the appropriate statutory starting point for some entities, specific supporting regulatory guidance, together with evidence of agency approval, will still be required to fully establish eligibility. DARPA will consider FFRDC and Government entity eligibility submissions on a case-by-case basis; however, the burden to prove eligibility for all team members rests solely with the proposer.

3.1.2. Non-U.S. Organizations

Non-U.S. organizations and/or individuals may participate to the extent that such participants comply with any necessary nondisclosure agreements, security regulations, export control laws, and other governing statutes applicable under the circumstances.

3.1.3. Applicants Considering Classified Submissions

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

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 acceptable but not required.

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 http://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 proposed classification level and declassification date. Submissions requiring DARPA to make a final classification determination shall be marked as follows:

http://www.darpa.mil/work-with-us/contract-management%23OtherTransactions http://www.darpa.mil/ http://www.dss.mil/

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

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

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

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

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

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

Confidential, 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.

NOTE: prior to drafting the submission, if use of SAP Information Systems is to be proposed, proposers must first obtain an Authorization-to-Operate from the DARPA Technical Office PSO (or other applicable DARPA Authorization Official) using the Risk Management Framework (RMF) process outlined in the Joint Special Access Program (SAP) Implementation Guide (JSIG), Revision 3, dated October 9, 2013 (or successor document).

4.2.2. Proposal Abstract Information

Proposers are strongly encouraged to submit a proposal abstract in advance of a proposal. This procedure is intended to minimize unnecessary effort in proposal preparation and review. The time and date for submission of proposal abstracts is specified in Section 4.5.1 below. DARPA will acknowledge receipt of the submission and assign a control number that should be used in all further correspondence regarding the proposal abstract. DARPA will attempt to reply to abstracts in writing within 14 calendar days of receipt.

Unclassified abstracts sent in response to HR001118S0012 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 abstract. Proposers using the DARPA BAA Website may encounter heavy traffic on the submission deadline date; proposers should start this process as early as possible.

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.

4.2.3. 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 and/or proposed abstracts may not be submitted by fax or e-mail; any so sent will be disregarded.

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

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

Unclassified full proposals sent in response to HR001118S0012 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 in size. Only one zip file will be accepted per submission, and submissions not uploaded as zip files will be rejected by DARPA.

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

Technical support for DARPA's BAA Website may be reached at BAAT_Support@darpa.mil, and is typically available during regular business hours, 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 HR001118S0012@darpa.mil as notification that there is https://baa.darpa.mil/ https://baa/darpa.mil https://baa/darpa.mil mailto:BAAT_Support@darpa.mil a classified portion to the proposal. When sending the classified portion via mail according to the instructions outlined in the “Security Information” section above, proposers should submit six

(6) 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 Adobe PDF file. Please ensure that all CDs are well-marked. Each copy of the classified portion must be clearly labeled with HR001118S0012, 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: HR001118S0012@darpa.mil

DARPA/STO

ATTN: HR001118S0012

675 North Randolph Street Arlington, VA 22203-2114 Office Website: http://www.darpa.mil/about-us/offices/sto Opportunities Page: http://www.darpa.mil/work-with-us/opportunities

DARPA intends to use electronic mail for correspondence regarding HR001118S0012. Proposals and proposal abstracts may not be submitted by fax or e-mail; any so sent will be disregarded.

DARPA encourages use of the Internet for retrieving the BAA and any other related information that may subsequently be provided.

4.2.4. Restrictive Markings on Proposals

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

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

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

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

http://www.darpa.mil/about-us/offices/sto http://www.darpa.mil/work-with-us/opportunities

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

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

4.3. FORMATTING CHARACTERISTICS

4.3.1. Proposal Abstract Format (If applicable)

Proposal abstracts are encouraged in advance of proposals in order to provide potential proposers with a rapid response to minimize unnecessary effort. Proposal abstracts should follow the format provided below. The cover sheet should be clearly marked “PROPOSAL ABSTRACT” and the total length should not exceed three {3} number of pages, excluding cover page and official transmittal letter. All pages shall be printed on 8-1/2 by 11 inch paper with type not smaller than 12 point. Smaller font may be used for figures, tables and charts. The page limitation for proposal abstracts includes all figures, tables, and charts. No formal transmittal letter is required. All proposal abstracts must be written in English.

4.3.1.1. {1} Cover sheet to include:

1. BAA number

2. Technical area (see Sec 1.1)

3. Lead Organization Submitting proposal

4. Type of organization, selected among the following categories: "LARGE

BUSINESS," "SMALL DISADVANTAGED BUSINESS," "OTHER SMALL

BUSINESS," "HBCU," "MI," "OTHER EDUCATIONAL,” or "OTHER

NONPROFIT"

5. Proposer’s reference number (if any)

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

7. Abstract title

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

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

10. Estimated funds requested from DARPA for each phase proposed and the total estimated proposed cost; and the amount of cost share (if any)

11. Date abstract was prepared.

Abstracts may be structured as you wish. Here is one example of an abstract structure. You may wish to only accept the technical portions and eliminate the teaming/org chart, funding information, and discussion of other research off. The proposer may choose any combination of suggested portions listed below; however, the total length must not exceed 3 pages.

4.3.1.2 {1} Executive Summary:

Includes a title and an abstract that provides a concise summary of work to be performed and basic approaches to be used.

4.3.1.3 {1} Summary of Innovative Claims for the Proposed Research:

Succinctly describe the uniqueness and benefits of the proposed approach relative to the current state-of-art and alternative approaches.

4.3.1.4 {6} Summary of Technical Approach:

The technical rationale, technical approach, and constructive plan for accomplishments of technical goals in support of innovative claims and deliverable production should be summarized.

4.3.1.5 {2} Organization and Teaming Chart:

A clearly defined organization chart for the program team that includes, as applicable:

1. programmatic relationship of team members;

2. unique capabilities of team members;

3. task responsibilities of team members;

4. teaming strategy among the team members;

5. key personnel along with the amount of effort to be expended by each person during each year.

4.3.1.6 {1} Summary of Deliverables and Approach to Intellectual Property:

Deliverables associated with the proposed research and the plans and capability to accomplish technology transition and commercialization. Include in this section all proprietary claims to results, prototypes, intellectual property, or systems supporting and/or necessary for the use of the research, results, and/or prototype. If there are no proprietary claims, this should be stated.

This section should list all technical data, computer software, or computer software documentation to be provided with other than unlimited rights in accordance with DFARS Clause 252.227-7017 IDENTIFICATION AND ASSERTION OF USE, RELEASE, OR

DISCLOSURE RESTRICTIONS (JUNE 1995).

4.3.1.7 {1} Summary of Estimated Cost, Schedule, and Milestones:

Summarize, in table form, estimated cost, schedule, and milestones for the proposed research.

4.3.1.8 {1} Discussion of Other Research:

Compare the proposed effort with other ongoing research in this area. Describe the advantages and disadvantages of the proposed effort in comparison with other relevant research.

4.3.2. Proposal Format

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