BAA_HR0011-18-S-0013_Ocean_of_Things.pdf

Broad Agency Announcement Ocean of Things

STRATEGIC TECHNOLOGY OFFICE

HR001118S0013

December 19, 2017

HR0011180013

TABLE OF CONTENTS

PART I: OVERVIEW INFORMATION

PART II: FULL TEXT OF ANNOUNCEMENT

1. FUNDING OPPORTUNITY DESCRIPTION

1.1. PROGRAM OVERVIEW

1.2. SYSTEM DESCRIPTION

1.3. PROGRAM PHASING

1.4. 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: VOLUME 1 COVER SHEET TEMPLATE

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

TEMPLATES

PART I: OVERVIEW INFORMATION

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

• Funding Opportunity Title – Ocean of Things

• Announcement Type – Initial announcement

• Funding Opportunity Number – HR001118S0013

• Catalog of Federal Domestic Assistance Numbers (CFDA) – Not applicable

• Dates o Posting Date – December 19, 2017 o Proposers Day – January 4, 2018 o Questions Due Date and Time – January 25, 2018, 11:59 PM (Midnight), EST o Proposal Abstract Due Date and Time – January 26, 2018, 4:00 PM, EST o Proposal Due Date and Time – March 23, 2018 4:00 PM , EDT o BAA Closing Date – June 18, 2018

• Total Funds Expected for Award – $37,000,000 over two phases o Anticipate multiple awards for the design and production of float hardware.

o Anticipate multiple awards for the data analytics effort.

• Points of Contact Send questions and comments to the BAA Coordinator:

HR001118S0013@darpa.mil

DARPA/STO

ATTN: HR001118S0013

675 North Randolph Street Arlington, VA 22203-2114 mailto:HR001118S0013@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 for Phase 1 of a two-phase effort in the following technical areas:

1) Design, development, and manufacture of low-cost, persistent maritime floats that sense and report relevant data from the physical and operational environment;

2) Development of analytical techniques to process float data and produce mission products (i.e., vessel track reports) from float declarations.

Proposed research should investigate innovative approaches that enable revolutionary advances in science, devices, or systems and innovative approaches to apply existing technology not previously applied to the maritime domain. Specifically excluded is research that primarily results in evolutionary improvements to the existing state of practice.

1.1. PROGRAM OVERVIEW

The complexity of the ocean environment and operations therein has previously encouraged the use of exquisite systems to understand maritime dynamics and activity. The Ocean of Things program is an opportunity to provide affordable ocean sensing at large scales and high resolution. Improved maritime analysis provides detailed understanding of the ocean environment, informs regulatory commitments to protect natural resources, and enables the military to operate more effectively on the high seas.

Ocean of Things provides environmental sensing and operational surveillance missions by composing a distribution of heterogeneous floats. Each float characterizes the physical environment through periodic sampling of local ocean properties, while also reporting significant maritime events. A primary technical objective of the program is to develop edge-processing methods to identify and report the essential information from these “interesting” events within a float’s communication and energy constraints. Ocean of Things will also investigate the selection of sensors and sampling rates to maximize system performance. Additional hardware design efforts will seek to improve float persistence (i.e., motion control, biofouling reduction, and power control).

The stored reports must contain sufficient information for application of advanced processing techniques (e.g., filtering, clustering, and machine learning). Performers must utilize techniques to process this sparse data to develop vessel tracks, characterize vessel behaviors, and identify new signatures and signal associations in the collected data. Finally, Ocean of Things will research methods to visualize coverage, predict performance, and control individual floats to deliver resultant capabilities as a field comprised of thousands of floats.

Figure 1 Ocean of Things Program Construct

To achieve these research objectives, DARPA divides the program into two technical efforts executed in two phases depicted in Figure 1. Technical Area 1 (TA 1) includes the design and production of floats, and Technical Area 2 (TA 2) includes the development of advanced data analytics to generate mission products. Phase 1 consists of an initial design effort and proof-of-concept sea test while Phase 2 refines those designs and culminates with an operational sea test demonstration.

1.2. SYSTEM DESCRIPTION

Ocean of Things consists of a large number of persistent, low-cost floats; satellite communications linked to a cloud data storage system; and advanced data analytics. TA 1 performers will develop the float hardware and TA 2 performers will develop data processing techniques. Floats will sense both the physical and operational environment utilizing existing commercial hardware. Small, low-cost floats are necessary to deploy large numbers economically over wide areas at resolutions required to meet program goals, where 50,000 floats can cover approximately one million square kilometers.

Floats characterize the environment by employing a common set of sensors and a single mission sensor across various sensing modalities to detect physical characteristics and activity. A variety of float types – based on the selected mission sensor – comprise an Ocean of Things field with its composite sensor reports, resulting in a large heterogeneous dataset suitable for analysis and generation of relevant mission products.

Figure 2 - Graphical System Concept

Each technical area is a separate and distinct effort; however, performers must take a holistic system view and appreciate how decisions in one technical area affect the other. TA 1 proposers must maximize the information collected from the environment through application of a sensor suite within cost and persistence constraints. TA 2 proposers must include how they will apply data analytic techniques to accomplish relevant missions and produce appropriate products in their proposals.

At a minimum, system performance must satisfy both physical and operational environment characterization. Multiple missions within these categories or additional missions supplementary to these two categories are of interest to DARPA. Examples of physical environment characterization include, but are not limited to, sea surface/air temperature, acoustic ambient noise, wind speed, wave dynamics, and float motion. Examples of activity characterization include the generation of vessel tracks, multi-spectral vessel signatures, and vessel behavior.

1.2.1. Technical Area One (TA 1) – Float Development:

Performers will design and produce floats capable of characterizing the physical environment and activity over wide areas while constraining unit cost for large-scale employment. The value of a float is dependent on providing relevant sensing modalities within cost and persistence requirements. Floats must periodically report environmental data (e.g., ocean temperature, sea state, location) and provide timely reports of operational activity. These reports support cloud-based track generation algorithms and data discovery objectives in TA 2. Floats will communicate to the cloud (and receive commands) via Iridium short burst data protocol. The government will fund all Iridium connectivity costs.

Successful TA1 proposals will detail approaches that:

• Design an effective float (see attributes listed below),

• Collaborate with TA 2 performers on sensing methods and signal processing,

• Manufacture 1,500 floats,

• Deliver floats to the government team prior to sea testing,

• Refine float firmware for over the air reprogramming.

Attributes of an effective float:

• Sensors:

o Physical measurement: Every float contains a common suite of sensors (“hotel”-sensors) that are primarily, but not exclusively, intended for physical environment measurement. Potential hotel sensors measure position, motion, temperature, wind speed, salinity, humidity, and solar intensity.

o Activity measurement: Every float uses a mission sensor used primarily to collect operational activity. Examples of potential mission sensors include acoustic, magnetic, electro-optical, and RF devices. Effective sensing and reporting support operational missions such as vessel detection, track generation, and signature discrimination. Heterogeneity is important and DARPA expects to deploy a system of floats with different mission sensor types – e.g., 1000 mission sensor A, 1000 mission sensor B, etc.

• Firmware:

o Signal processing: on-board signal processing that balances the energy constraints of the float with the need to maximize viability of data reported over low-bandwidth communications, while containing sufficient information for advanced TA 2 analysis (e.g., triggering, segmentation, compression, and/or data featurization schemes), o Over-the-air reprogrammable,

• Hardware:

o Float components remain unclassified and non-ITAR restricted, o One-man deployable float design, compatible with automated deployment methods

(not part of this program), o Maritime environment hardening and power conservation strategies achieving float persistence of 12 months, o Unit costs < $500 in large-scale production (50,000 units) maximizing use of commercially-available components, o Architecture flexibility to accommodate various float sensors and payloads with minimal redesign, o Bi-directional communications via Iridium SBD,

• Environmental:

o Compliance with Executive Order 12114, Endangered Species Act, and Marine

Mammal Protection Act. DARPA will conduct Environmental Assessments for all floats. Any proposed solution requiring an Environmental Impact Statement is discouraged without mitigation plan. (i.e., marine mammal entanglement risk), o Automated and directed scuttling outside of environmentally sensitive areas, marine protected areas and coastal areas (preventing floats from washing up on shore), o Use of materials minimizing impact to the marine environment. Minimize use of hazardous or toxic materials and coatings. Use biodegradable packing materials/floats and negatively buoyant components to extent possible.

1.2.1.1. TA 1 Events

Program Milestones Phase Venue Months After Contract Award

Kick Off 1 DARPA 1 TIM 1 1 SSC, San Diego 2

PDR & QPR 1 Performer Location 3

TIM 2 1 DARPA 5

QPR 1 Performer Location 6 CDR 1 SSC, San Diego 7

Production Option Exercised 1 - 7 Delivery of floats 1 Naval Base Point Loma 9

QPR 1 Performer Location 9 3-month at-sea test 1 SSC, San Diego 9-12 Commence Phase 2 2 - 14

TIM 3 2 SSC, San Diego 16

Delta CDR 2 DARPA 17 Production Option Exercised 2 - 18

Delivery of floats 2 - 21 8-month at-sea test 2 SSC, San Diego 21-29

1.2.1.2. TA 1 Deliverables

Deliverables Phase Format Months After Contract Award

Preliminary Design 1 Slide presentation, annotated

Critical/Final Design 1 Slide presentation, annotated

Floats 1 Hardware/Firmware 9 Final Report 1 Document 12 Monthly Status Report All Document Monthly Quarterly Progress Review

All Slide Presentation, annotated

Quarterly

Final Design 2 Slide presentation, annotated

Floats 2 Hardware/Firmware 21 Final Report 2 Document 29

1.2.2. Technical Area Two (TA 2) – Data Analytics:

The data analytics performers will develop cloud-based mission products and devise analytic techniques to process float data. Three focus areas subdivide TA 2:

1. Field Performance & Command and Control (C2): Visualization of float location, health, and field capability. Predict field performance resulting from anticipated float movement.

Provide commands to floats as needed (e.g., scuttle, activate/deactivate sensors, etc.),

2. Track Generation: Automation to associate float declarations, initiate a track report, and discriminate between multiple targets using multi-mode detections,

3. Data Discovery: Identification of novel signatures, new associations in data and new mission products available from the Ocean of Things data set.

TA 2 proposals may address any or all of the three focus areas.

During Phase 1, the data analytics teams will determine the required data density for effective Ocean of Things system performance, which is critical to designing Phase 2 deployment plans.

The below summarizes TA 2 objectives:

• Display float locations, health, and performance by capability and mission,

• Process environmental data for oceanographic and meteorological models,

• Analyze float motion in comparison to existing models to forecast float positions,

• Develop automatic target detection and classification methods for vessel tracks,

• Generate tracks of vessels sensed in the Ocean of Things area of regard,

• Discover new target signatures and new missions capable from Ocean of Things data

• Satisfy other mission requirements as proposed.

The government will provide the cloud-computing architecture consisting of micro-services, containers, and virtual machine technologies. Proposers to TA 2 should plan to operate in a continuous integration environment.

1.2.2.1. TA 2 Events

Program Milestones Phase Venue Months After Contract Award

Kick Off 1 DARPA 1 TIM 1 1 SSC, San Diego 2

PDR & QPR 1 Performer Location 3

TIM 2 1 DARPA 5

QPR 1 Performer Location 6 CDR 1 SSC, San Diego 7 QPR 1 Performer Location 9

3-month at-sea test 1 SSC, San Diego 9-12 Data Exploitation 1 - 9-21

QPRs 1 Performer Location 12, 18 TIM 3 and QPR 1 SSC, San Diego 16

Delta CDR 1 DARPA 17 Final Phase 1 Report 1 DARPA 21 Commence Phase 2 2 - 21 8-month at-sea test 2 SSC, San Diego 21-29

1.2.2.2. TA 2 Deliverables

Deliverables Phase Format Months After Contract Award

List of missions, preliminary design & agile sprint story 1 Slide presentation, annotated 3

List of missions, critical/final design & software architecture 1 Slide presentation, annotated 7

Final Report, software and user document 1 Document, source code, & executables 21

Biweekly Sprint Status All Phone Con Biweekly Monthly status report All Document Monthly

Quarterly progress review All Slide Presentation, annotated Quarterly

Final design & agile sprint story 2 Slide presentation, annotated 17

Final Report, software and user document 2 Document, source code, & executables 31

1.3. PROGRAM PHASING

The Ocean of Things program includes two phases. Phase 1 consists of an initial design effort and proof-of-concept sea test while Phase 2 refines those designs and culminates with an operational sea test demonstration, as depicted in Figure 1 above. Phase 1 proposals must include a ROM for Phase 2; Phase 1 performers will receive guidance on submitting Phase 2 proposals at the end of Phase 1.

1.3.1. Phase 1

Phase 1 performers will develop the initial designs for float sensing capabilities (both float hardware and firmware) and the data analytic software approaches to complete battlespace-sensing missions. Phase 1 will include two TIMs and a preliminary and critical design review.

CDR will occur seven months after contract award.

While separate tasks, TA 1 and TA 2 will work closely together during the design portion of Phase 1. TA 1 teams are solely responsible for sensor selection and sensor signal processing.

Successful TA 1 teams will design sensor and signal processing techniques that allow for detailed environment sensing within the cost and SWAP design constraints of the floats. TA 2 teams will be solely responsible for the software/algorithm design and associated missions and products extracted from the TA 1 float reports.

Each TA 1 team will manufacture 1,500 floats on a fixed price option and deliver to the test team for at sea demonstration. TA 1 proposals should indicate anticipated manufacturing rates achievable in each phase. For proposal purposes, include shipping costs to Naval Base Point Loma, San Diego CA. TA 1 performers will end Phase 1 at the conclusion of the 3-month sea test.

Prior to the sea-test, TA 2 teams will refine algorithmic approaches using simulated or archived data. Proposers must specify any data desired as GFI in proposals. TA 2 performers will validate algorithmic approaches with at-sea data and perform analysis on the data set to determine system performance limitations and Phase 2 demonstration parameters.

1.3.2. Phase 2

TA 1: Phase 2 float development (TA 1) will be open only to Phase 1 performers; however, DARPA reserves the right to issue a new BAA.

TA 2: The government will issue a BAA for Phase 2 proposals in TA 2 near the end of Phase 1 work (approximately 15 months ACA). Close cooperation between TA 1 and TA 2 continues as both teams discover improved sensing and data analytic techniques.

Phase 2 will commence with a refined design phase, including a fixed price option for the total production of 15,000 floats across all performers and culminates with an at sea demonstration at operational spacing as determined in Phase 1.

1.4. PROGRAM METRICS

In order for the Government to evaluate the achievement of program objectives, proposers should consider the following program metrics. These metrics may serve as the basis for determining the adequacy of progress made to warrant continued funding of the program.

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.

1.4.1. Technical Area 1 Performance Metrics

Performance Metrics TA 1 (Float Development)

Phase 1 Phase 2 Metric Threshold Goal Threshold Goal Mission sensor types ≥ 3 ≥ 5 ≥ 4 ≥ 7

Sensor signal processing

Compress collected data

Extract relevant features from data

Compress relevant target data

Extract relevant features from target data

Collect sufficient data for track generation

Optimize data collection for track generation

Collect sufficient data to classify behaviors

Optimize data collection to classify behaviors

Deployment Reliability

≥ 80% 24 hours after launch

≥ 95% 24 hours after launch

≥ 75% 2 weeks after launch

≥ 90% 2 weeks after launch

Float C2 Over-the-air float firmware updates Command of effects payloads

Form factor One-man deployable (<22kg)

≤ 672 cu. In ≤ 672 cu. In < “A/2”-size

(Vol of "A" size) (Vol of "A" size) (4-7/8” x 18” cylinder)

Unit cost < $1,000 < $500 < $750 < $500 Operating life 3 months 6 months 6 months 12 months

Survival ≥ 50% reach operating life

≥ 70% reach operating life

≥ 50% reach operating life

≥ 70% reach operating life

Manufacturing rate ≥ 35 floats / day ≥ 50 floats / day ≥ 150 floats / day ≥ 200 floats / day

Float modularity Support variety of sensors Support variety of sensors and effectors

Biofouling Resistant to biofouling Improvement on Phase 1 performance Operational persistence

Reduce drifting motion

Control drifting motion Improvement on Phase 1 performance

1.4.2. Technical Area 2 Performance Metrics

Performance Metrics TA 2 (Data Analytics)

Phase 1 Phase 2 Metric Threshold Goal Threshold Goal

Field performance prediction

Now-cast 24-hour forecast 72-hour forecast 120-hour forecast

Multi-target discrimination

2 targets on orthogonal tracks

2 targets on ~60o divergent tracks

Clustered targets Clustered targets

2 or more 4 or more

Track initiation:

≤ 8 geo-separated1 reports ≤ 5 geo-separated reports ≤ 4 geo-separated reports ≤ 3 geo-separated reports Single sensor ≥ 2 sensor types ≥ 2 sensor types ≥ 3 sensor types

Track continuity ≥ 30% avg. float hold time

≥ 60% avg. float hold time

≥ 50% avg. float hold time

≥ 85% avg. float hold time

Track association:

75% if same sensor modality

75% if same sensor modality

75% if same sensor modality

90% if same sensor modality

- 25% if different sensor modality

25% if different sensor modality

50% if different sensor modality

Data discovery Automatic recognition of known phenomena Recognition of new phenomena Additional Missions Technical performance measures for additional missions shall be detailed in proposals2

2. AWARD INFORMATION

2.1. GENERAL AWARD INFORMATION

DARPA anticipates multiple awards. 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 discussion 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

1 Note: Geo-separate means two or more floats that are not co-located and provide ≥ 20o bearing difference to target.

2 Note: DARPA strongly desires innovation in additional mission capabilities beyond track generation and target behavior characterization. Proposals must detail mission specifications and technical performance measures for each additional mission proposed.

cost/price within a reasonable time, and the proposer fails to timely provide requested additional information. Proposals identified for negotiation may result in a procurement contract, grant, cooperative agreement, or other transaction, depending upon the nature of the work proposed, the required degree of interaction between parties, whether or not the research is classified as Fundamental Research, and other factors.

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

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

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

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 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 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 http://www.darpa.mil/work-with-us/contract-management%23OtherTransactions http://www.darpa.mil/ http://www.dss.mil/ classification level and declassification date. Similarly, when the classification of a submission is in question, the submission must be appropriately and conspicuously marked with the proposed classification level and declassification date. Submissions requiring DARPA to make a final classification determination shall be marked as follows:

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

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

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

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

DARPA anticipates that all submissions received under this BAA will be unclassified.

However, should a proposer wish to submit classified information in support of a TA 2 submission, that proposer must submit an unclassified email 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 be provided at that time.

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: Strategic Technology Office, Ms. Jacqueline Croat, STO PSR Reference: HR0011180013

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

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 that 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

Separate proposals for TA 1 and TA 2 are required. Organizations may propose to both technical areas, but only via separate proposals. 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 4.4.1 below. DARPA will acknowledge receipt of the submission and assign a control number that should be used in all further correspondence regarding the proposal abstract.

Unclassified abstracts sent in response to HR001118S0013 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

Separate proposals for TA 1 and TA 2 are required. Organizations may propose to both technical areas, but only via separate proposals. 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 https://baa.darpa.mil/ mailto:BAAT_Support@darpa.mil 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.

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

Unclassified full proposals sent in response to HR001118S0013 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.

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

When a proposal includes a classified portion, and when able according to security guidelines, we ask that proposers send an e-mail to HR001118S0013@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 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 HR001118S0013, proposer organization, proposal title, 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: HR001118S0013@darpa.mil

DARPA/STO

ATTN: HR001118S0013

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 HR001118S0013. 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:

mailto:HR001118S0013@darpa.mil mailto:HR001118S0013@darpa.mil 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.

4.3. FORMATTING CHARACTERISTICS

4.3.1. Proposal Abstract Format

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 3 pages (exception: TA 2 abstract limit is increased to 4 pages if abstract encompasses all three focus areas), 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. {Does not count toward page count} Cover sheet to include:

1. BAA number

2. Technical area (see…