HR001120S0005-Amendment-03.pdf

Broad Agency Announcement

Providence

STRATEGIC TECHNOLOGY OFFICE

HR001120S0005

Amendment 03

January 07, 2019

The purpose of this amendment is to revise the proposal due date language in the following sections, which are highlighted in yellow throughout the document:

1) PART I: OVERVIEW INFORMATION; Proposal Due Date

2) IV. Application and Submission Information; B. Content and Form of Application

Submission; 3. Submission Information

All revised dates are applicable to the classified addendum as well.

TABLE OF CONTENTS

PART I: OVERVIEW INFORMATION

PART II: FULL TEXT OF ANNOUNCEMENT

I. Funding Opportunity Description

A. Program Overview

B. PROGRAM METRICS

II. Award Information

A. General Award Information

B. Fundamental Research

III. Eligibility Information

A. Eligible Applicants

B. Organizational Conflicts of Interest

C. Cost Sharing/Matching

IV. Application and Submission Information

A. Address to Request Application Package

B. Content and Form of Application Submission

V. Application Review Information

A. Evaluation Criteria

B. Review of Proposals

VI. Award Administration Information

A. Selection Notices and Notifications

B. Administrative and National Policy Requirements

C. Reporting

D. Electronic Systems

VII. Agency Contacts

VIII. Other Information

IX. APPENDIX 1: PROPOSAL SLIDE SUMMARY

X. APPENDIX 2: CLASSIFIED ADDENDUM REQUEST FORM

XI. APPENDIX 3: VOLUME 1 COVER SHEET TEMPLATE

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

TEMPLATES

PART I: OVERVIEW INFORMATION

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

Funding Opportunity Title – Providence

Announcement Type – Initial announcement

Funding Opportunity Number – HR001120S0005

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

Dates o Posting Date: October 9, 2019 o Deadline to Request Classified Documents: October 23, 2019 by 4:00 p.m., ET o Deadline to Notify Security of Intent to Submit Classified Proposal: December 12, 2019 by 4:00 p.m., ET o Proposers Day will be held on November 6, 2019 at 9:00 a.m., ET o Questions Due Date: November 12, 2019 by 4:00 p.m., ET o Proposal Due Date: January 8, 2020 by 4:00 p.m., ET

DARPA is soliciting innovative research proposals to develop novel Radio Frequency

(RF) sensing and signal processing. Please request the BAA Classified Addendum for additional information. This program, Providence, is a vital part of the Mosaic Warfare end-state vision.

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 can be reached at:

HR001120S0005@darpa.mil

DARPA/STO

ATTN: HR001120S0005

675 North Randolph Street

Arlington, VA 22203-2114

PART II: FULL TEXT OF ANNOUNCEMENT

I. 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: naval surface warfare, electronic warfare (EW), battlespace surveillance, machine learning, intelligent systems, and ultra-wideband receiving. 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.

The BAA Classified Addendum contains additional details. Please see page 15 of this BAA for instructions on how to request the Classified Addendum as well as the Security Classification

Guide for Providence.

A. Program Overview

Providence will be a 36-month, two-phase program consisting of an 18-month Phase 1 Base

Period with a Phase 2, 18-month Option Period. Proposers to this BAA should submit proposals that address one Technical Area and include both Phase 1 and 2 to cover the execution of the entire program. It is anticipated that Phase 1 will award multiple performer teams in both TA-1 and TA-2. Decisions for the Phase 2 Option Period will be based on Phase 1 performance and funding availability.

Additionally, individual proposals should address a single Technical Area that clearly delineates which tasks in the statement of work (SOW) and costing will be completed in the Phase 1 Base

Period versus the Phase 2 Option Period with an integrated demonstration. The Phase 2 Option

Period with an integrated demonstration should be included as a separately priced option.

Organizations may choose to submit to both Technical Areas but should provide separate proposals, to include SOW and costing, for each TA. See BAA Classified Addendum for additional details.

B. PROGRAM METRICS

See BAA Classified Addendum.

II. Award Information

A. 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.4., “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, 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 accordance with 10 U.S.C. § 2371b(f), the Government may award a follow-on production contract or Other Transaction (OT) for any OT awarded under this BAA if: (1) that participant in the OT, or a recognized successor in interest to the OT, successfully completed the entire prototype project provided for in the OT, as modified; and (2) the OT provides for the award of a follow-on production contract or OT to the participant, or a recognized successor in interest to the OT.

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 http://www.darpa.mil/work-with-us/contract-management#OtherTransactions http://www.darpa.mil/work-with-us/contract-management#OtherTransactions program. For more information on publication restrictions, see the section below on Fundamental

Research.

B. Fundamental Research

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

‘Fundamental research’ means basic and applied research in science and engineering, the results of which ordinarily are published and shared broadly within the scientific community, as distinguished from proprietary research and from industrial development, 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 determine whether the proposed research shall be considered fundamental and to select the award instrument type. Appropriate language will be included in resultant awards for non-fundamental research to prescribe publication requirements and other restrictions, as appropriate. This language 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 to be performed by a potential awardee is non-fundamental research, its proposed subawardee’s effort may be fundamental research. It is also possible that the research performed by a potential awardee is fundamental research while its proposed subawardee’s effort may be non-fundamental research.

In all cases, it is the potential awardee’s responsibility to explain in its proposal which proposed efforts are fundamental research and why the proposed efforts should be considered fundamental research.

III. Eligibility Information

A. Eligible Applicants

All responsible United States Enterprises capable of satisfying the Government's needs may submit a proposal that shall be considered by DARPA. United States Enterprises to Include:

Industrial/commercial concerns including small businesses

Accredited degree granting colleges and universities http://www.darpa.mil/work-with-us/additional-baa

Non-profit and not-for-profit organizations

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

Government Entities

a) FFRDCs

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

b) Government Entities

Government Entities (e.g., Government/National laboratories, military educational institutions, etc.) are subject to applicable direct competition limitations. Government Entities must clearly demonstrate that the work is not otherwise available from the private sector and provide written documentation citing the specific statutory authority and contractual authority, if relevant, establishing their ability to propose to Government solicitations and compete with industry. This information is required for Government Entities proposing to be awardees or subawardees.

c) Authority and Eligibility

At the present time, DARPA does not consider 15 U.S.C. § 3710a to be sufficient legal authority to show eligibility. While 10 U.S.C.§ 2539b may be the appropriate statutory starting point for some entities, specific supporting regulatory guidance, together with evidence of agency approval, will still be required to fully establish eligibility. DARPA will consider FFRDC and

Government Entity eligibility submissions on a case-by-case basis; however, the burden to prove eligibility for all team members rests solely with the proposer.

(1) 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.

(2) When proposing to perform classified work, applicants will ensure all industrial, personnel, and information systems processing security requirements are in place 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 contract award. Additional information on these subjects can be found at http://www.dss.mil.

http://www.dss.mil/

B. Organizational Conflicts of Interest

FAR 9.5 Requirements

In accordance with FAR 9.5, proposers are required to identify and disclose all facts relevant to potential OCIs involving the proposer’s organization and any proposed team member

(subawardee, consultant). Under this Section, the proposer is responsible for providing this disclosure with each proposal submitted to the BAA. The disclosure must include the proposer’s, and as applicable, proposed team member’s OCI mitigation plan. The OCI mitigation plan must include a description of the actions the proposer has taken, or intends to take, to prevent the existence of conflicting roles that might bias the proposer’s judgment and to prevent the proposer from having unfair competitive advantage. The OCI mitigation plan will specifically discuss the disclosed OCI in the context of each of the OCI limitations outlined in FAR 9.505-1 through

FAR 9.505-4.

Agency Supplemental OCI Policy

In addition, DARPA has a supplemental OCI policy that prohibits contractors/performers from concurrently providing Scientific Engineering Technical Assistance (SETA), Advisory and

Assistance Services (A&AS) or similar support services and being a technical performer.

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

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

The name of the DARPA office receiving the support;

The prime contract number;

Identification of proposed team member (subawardee, consultant) providing the support; and

An OCI mitigation plan in accordance with FAR 9.5.

Government Procedures

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

The Government may require proposers to provide additional information to assist the

Government in evaluating the proposer’s OCI mitigation plan.

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

C. Cost Sharing/Matching

Cost sharing is not required; however, it will be carefully considered where there is an applicable statutory condition relating to the selected funding instrument. 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.

IV. Application and Submission Information

A. Address to Request Application Package

This announcement, any attachments, and any references to external websites herein constitute the total solicitation. If proposers cannot access the referenced material posted in the announcement found at www.darpa.mil, contact the administrative contact listed herein.

1. Classified Addendum

A formal request for the HR001120S0005 Security Classification Guide and Classified

Addendum may be submitted by filling out the Security Classification Guide and Classified

Addendum Request Form (found in APPENDIX 2 of this BAA) and emailing the Request Form to HR001120S0005@darpa.mil with subject line titled, “Request HR001120S0005 Security

Classification Guide and Classified Addendum.”

It is the proposer’s responsibility to ensure that they fully familiarize themselves with the

Providence Security Classification Guide prior to reading the Classified Addendum and preparing full proposals for submission.

Requests for the Classified Addendum should include, at a minimum, the company name, Technical POC name and phone number, Facility Security Officer (FSO) name and phone number, CAGE code, statement of facility clearance and safeguarding capability, and a valid

U.S. Postal Service address for receiving classified material at the SECRET level. DARPA will verify the facility clearance and the clearance of the recipient before e-mailing (via secure system) and/or mailing the classified material.

In order to ensure receipt of the Classified Addendums prior to Proposers Day, requests should be received by October 23, 2019 at 4:00 p.m., ET. Proposers should allow at least five (5) business days for processing requests for the Classified Addendums plus time for delivery.

Requests will be handled on a first in, first out basis. Incomplete or inaccurate forms will be returned to sender along with a notification of what needs to be corrected and the new request will be processed based on the date of when the revised request form is received.

B. Content and Form of Application Submission

All submissions, including proposals must be written in English with type equal to or larger than

12 point font. Smaller font may be used for figures, tables, and charts. Copies of all documents http://www.darpa.mil/work-with-us/contract-management#OtherTransactions http://www.darpa.mil/ mailto:HR001120S0005@darpa.mil submitted must be clearly labeled with the DARPA BAA number, proposer organization, and proposal title/proposal short title.

1. Proposals Format

Proposers to this BAA should submit proposals that address one Technical Area and include both

Phase 1 and 2 to cover the execution of the entire program. Proposers may choose to submit to both Technical Areas but should provide separate proposals, to include SOW and costing, for each TA. All proposals must be in the format given below. 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. Proposals shall consist of two volumes: 1)

Volume I, Technical and Management Proposal (composed of four parts), and 2) Volume II, Cost Proposal. Bracketed numbers before each element within a section denote recommended page limits for those specific elements, however, the total page limit for Section II is 23 pages and the total page limit for Section IV is 13 pages.

NOTE: Non-conforming submissions that do not follow the instructions within this document may be rejected without further review.

a) Volume I, Technical and Management Proposal

(1) Section I: Administrative

(a) Cover Sheet to Include

(1) BAA number (HR001120S0005)

(2) Technical area;

(3) Lead Organization submitting proposal;

(4) Type of organization, selected among the following categories: “LARGE BUSINESS”, “SMALL DISADVANTAGED BUSINESS”, “OTHER SMALL BUSINESS”, “HBCU”, “MI”, “OTHER EDUCATIONAL”, OR “OTHER NONPROFIT”;

(5) Proposer’s reference number (if any);

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

(7) Proposal title;

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

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

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

(11) Date proposal was submitted.

(b) Official transmittal letter

(2) Section II: Technical Proposal {23}

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

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

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

D. {2} Risks assessment and mitigation plan.

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

See also Section I.V.B.3.h. “Intellectual Property.”

F. {2} General discussion of other research in this area.

G. A three slide summary of the proposal in PowerPoint that quickly and succinctly indicates the concept overview, key innovations, expected impact, and other unique aspects of the proposal. The format for the summary slides is included as APPENDIX 1 to this BAA and does not count against the page limit.

(3) Section III: Statement of Work

A. {4} Statement of Work (SOW) - Clearly define the technical tasks/subtasks to be performed, their durations, and dependencies among them. The page length for the SOW will be dependent on the amount of the effort. For each task/subtask, provide:

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

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

Identification of the primary organization responsible for task execution (prime, sub, team member, by name, etc.);

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

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

Clearly identify any tasks/subtasks (to be performed by either an awardee or subawardee) that will be accomplished on-campus at a university, if applicable.

Note: It is recommended that the SOW should be developed so that each Phase of the program is separately defined.

Do not include any proprietary information in the SOW.

(4) Section IV: Management Proposal {13}

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

B. {3} Deliverables associated with the proposed research and the plans and capability to accomplish technology transition and commercialization. Include in this section all proprietary claims to the results, prototypes, intellectual property, or systems supporting and/or necessary for the use of the research, results, and/or prototype. If there are no proprietary claims, this should be stated. For forms to be completed regarding intellectual property, see Section IV.B.3.h of this BAA. There will be no page limit for the listed forms.

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

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

E. {1} Description of the facilities that would be used for the proposed effort. This section should address how safeguarding of materials will be handled at each facility to include classified materials when applicable. See APPENDIX 5 in the BAA Classified Addendum for additional templates required to be completed describing the proposer’s security approach. APPENDIX 5 information does not count against the proposer’s technical volume page count.

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

b) Volume II, Cost Proposal

All proposers, including FFRDCs, must submit the following:

(1) Cover sheet to include:

(1) BAA number (HR001120S0005);

(2) Technical area;

(3) Lead Organization submitting proposal;

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

“LARGE BUSINESS”, “SMALL DISADVANTAGED

BUSINESS”, “OTHER SMALL BUSINESS”, “HBCU”, “MI”,

“OTHER EDUCATIONAL”, OR “OTHER NONPROFIT”;

(5) Proposer’s reference number (if any);

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

(7) Proposal title;

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

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

(if available), and electronic mail (if available);

(10) Award instrument requested: cost-plus-fixed-fee (CPFF), cost-contract—no fee, cost sharing contract – no fee, or other type of procurement contract (specify) or Other Transaction;

(11) Place(s) and period(s) of performance;

(12) Total proposed cost separated by basic award and option(s) (if any);

(13) Name, address, and telephone number of the proposer’s cognizant Defense Contract Management Agency (DCMA) administration office (if known);

(14) Name, address, and telephone number of the proposer’s cognizant Defense Contract Audit Agency (DCAA) audit office (if known);

(15) Date proposal was prepared;

(16) DUNS number;

(17) TIN number;

(18) CAGE Code;

(19) Subawardee Information; and,

(20) Proposal validity period.

(2) Additional Cost Proposal Information

(a) Supporting Cost and Pricing Data

The proposer should include supporting cost and pricing information in sufficient detail to substantiate the summary cost estimates, and should include a description of the method used to estimate costs and supporting documentation.

(b) Cost Breakdown Information and Format

Detailed cost breakdown to include:

Total program costs broken down by major cost items (direct labor, including labor categories; subcontracts; materials; other direct costs; overhead charges, etc.) and further broken down by task and phase

Major program tasks by fiscal year

An itemization of major subcontracts and equipment purchases

Documentation supporting the reasonableness of the proposed equipment costs

(vendor quotes, past purchase orders/purchase history, detailed engineering estimates, etc.) shall be provided

An itemization of any information technology (IT) purchase, as defined by FAR

2.101 -- Documentation supporting the reasonableness of the proposed equipment costs (vendor quotes, past purchase orders/purchase history, detailed engineering estimates, etc.) shall be provided, including a letter stating why the proposer cannot provide the requested resources from its own funding for prime and all sub-awardees.

A summary of projected funding requirements by month

The source, nature, and amount of any industry cost-sharing

Identification of pricing assumptions of which may require incorporation into the resulting award instrument (e.g., use of Government Furnished

Property/Facilities/Information, access to Government Subject Matter experts, etc.)

Tables included in the cost proposal in editable (e.g. MS Excel) format with calculation formulas intact. NOTE: If PDF submissions differ from the MS Excel submission, the PDF will take precedence.

Per FAR 15.403-4, certified cost or pricing data shall be required if the proposer is seeking a procurement contract award per the referenced threshold, unless the proposer requests and is granted an exception from the requirement to submit cost or pricing data.

Certified cost or pricing data” are not required if the proposer proposes an award instrument other than a Procurement Contract (e.g., grant, cooperative agreement, or

Other Transaction.).

(c) Subawardee Proposals

The awardee is responsible for compiling and providing all subawardee proposals for the

Procuring Contracting Officer (PCO)/Grants Officer (GO)/Agreement Officer (AO) as applicable. Subawardee proposals should include Interdivisional Work Transfer Agreements

(ITWA) or similar arrangements. Where the effort consists of multiple portions, which could reasonably be partitioned for purposes of funding, these should be identified as options with separate cost estimates for each.

All proprietary subawardee proposal documentation, prepared at the same level of detail as is required of the awardee’s proposal, and which cannot be uploaded with the proposed awardee’s proposal, shall be provided to the Government either by the awardee or by the subawardee organization when the proposal is submitted. Subawardee proposals submitted to the

Government by the proposed awardee should be submitted in a sealed envelope that the proposed awardee will not be allowed to view. The subawardee must provide the same number of copies to the PCO/GO/AO as is required of the awardee. See Section IV.B.3. of this BAA for proposal submission information.

(d) Other Transaction Requests

All proposers requesting an OT must include a detailed list of milestones. Each milestone must include the following:

milestone description, completion criteria, due date, and payment/funding schedule (to include, if cost share is proposed, awardee and

Government share amounts).

It is noted that, at a minimum, milestones should relate directly to accomplishment of program technical metrics as defined in the BAA and/or the proposer’s proposal. Agreement type, expenditure, or fixed-price based, will be subject to negotiation by the Agreements Officer. Do not include proprietary data.

2. Additional Proposal Information

a) Proprietary Markings

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

(1) Program Security Information

(a) Program Security

Proposers should include with their proposal any proposed solution(s) to program security requirements unique to this program; this information should be explained in detail in the

Program Protection (P2) appendix contained in APPENDIX 5 of the BAA Classified Addendum, which does not count against the proposals page count. Common program security requirements include but are not limited to: operational security (OPSEC) contracting/sub-contracting plans;

foreign participation or materials utilization plans; program protection plans (which may entail the following) manufacturing and integration plans; range utilization and support plans (air, sea, land, space, and cyber); data dissemination plans; asset transportation plans; classified test activity plans; disaster recovery plans; classified material / asset disposition plans, and public affairs / communications plans. Successful proposers should plan for, and include cost estimation for, Program Protection Implementation Plans (PPIPs) to be provided to the Government as a data deliverable within 60 days of contract award.

(2) Classified Submissions

(a) Classified Proposal Markings

At this time, DARPA anticipates that proposals submitted in response to this BAA will be classified. Classified submissions shall be transmitted and marked in accordance with the following guidance. Security classification guidance via a Security Classification Guide (SCG) and/or DARPA DD Form 254, “DoD Contract Security Classification Specification,” will be provided as an attachment to the BAA Classified Addendum. The SCG and BAA Classified

Addendum are classified collateral SECRET; as such, they can only be mailed to the requester’s classified mailing address, which must be provided to the Technical Office Program Security

Officer or their staff.

If a submission contains Classified National Security Information or the suspicion of such, as defined by Executive Order 13526, the information 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.

(b) Classified Submission Requirements and

Procedures

Proposers submitting classified information must have cognizant security agency approved facilities, information systems, and appropriately cleared/eligible personnel at the classification level of the proposal. 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).

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

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.

The effort being solicited by this BAA is classified or otherwise involves access to, or generation of, classified information. Security classification guidance via a Security Classification Guide

(SCG) and DD Form 254, “DoD Contract Security Classification Specification,” will be provided as an attachment to the BAA Classified Addendum. The SCG and BAA Classified

Addendum are classified collateral SECRET; as such, they can only be mailed to the requester’s classified mailing address, which must be provided to the Technical Office Program Security

Officer or their staff.

A formal request for the HR001120S0005 BAA Classified Addendum and Security

Classification Guide may be submitted by filling out the Classified Documents Request Form

(found in APPENDIX 2 to this BAA) and emailing the Request Form to

HR001120S0005@darpa.mil with subject line titled “Request for HR001120S0005

Classified Documents.” Proposers should submit requests no later than October 23, 2019 by 4:00 p.m., ET to allow adequate time to have classified material release to them in support of

HR001120S0005 and prior to Proposers Day. The HR001120S0005 Classified Documents

Request Form is the only method of request that will be accepted.

Confidential, Secret, and Top Secret Information

Use transmission, classification, handling, and marking guidance provided by previously issued

SCGs, the DoD Information Security Manual (DoDM 5200.01, Volumes 1 - 4), and the National

Industrial Security Program Operating Manual, including the Supplement Revision 1, (DoD http://www.dss.mil/

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 to the mailing address listed in the contact information in Part I of this BAA:

Hand-carried by an appropriately cleared and authorized courier to the DARPA

Classified Document Registry (CDR). At least five (5) business days prior to traveling, and in accordance with the advance notification required as outlined in Part I of this

BAA, the courier shall contact the DARPA CDR at 703-526-4052 to coordinate arrival and delivery. The courier shall also contact the DARPA Program Security Representative

(PSR), Mr. Herb Hinch, at 571-218-4376, herbert.hinch.ctr@darpa.mil.

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. Senders should mail to the mailing address listed in the contact information herein. Prior to mailing, and in accordance with the advanced notification required as outlined in Part I of this BAA, proposers shall contact the DARPA PSR, Mr. Herb Hinch, at 571-218-4376, herbert.hinch.ctr@darpa.mil to coordinate submission.

The inner envelope shall be addressed to Defense Advanced Research Projects Agency, ATTN:

Strategic Technology Office, Mr. Herb Hinch, with a reference to the BAA number.

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. Pre-coordination must be provided no later than

December 12, 2019 by 4:00 p.m., ET, to the DARPA PSR, Mr. Herb Hinch, at 571-218-4376, herbert.hinch.ctr@darpa.mil.

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

Program Security Officer (PSO) via the BAA mailbox or by contacting the DARPA PSR, Mr.

Herb Hinch, at 571-218-4376, herbert.hinch.ctr@darpa.mil. Pre-coordination with the DARPA

PSR must be provided no later than December 12, 2019 by 4:00 p.m., ET, when submitting classified information at the SCI level.

mailto:herbert.hinch.ctr@darpa.mil mailto:herbert.hinch.ctr@darpa.mil mailto:herbert.hinch.ctr@darpa.mil mailto:herbert.hinch.ctr@darpa.mil

Successful proposers may be sponsored by DARPA for access to SCI. Sponsorship must be aligned to an existing DD Form 254 where SCI has been authorized. Questions regarding SCI sponsorship should be directed to the DARPA Personnel Security Office at 703-526-4543.

Special Access Program (SAP) Information

SAP information must be marked in accordance with DoDM 5205.07 Volume 4 and transmitted by specifically approved methods, which will be provided by the Technical Office PSO or their staff.

Proposers choosing to submit SAP information from an agency other than DARPA are required to provide the DARPA Technical Office PSO written permission from the source material’s cognizant Special Access Program Control Officer (SAPCO) or designated representative via approved channels by December 12, 2019 by 4:00 p.m., ET. For clarification regarding this process, contact the DARPA Technical Office PSO, Mr. Jason Potter, at 703-526-2687 or

Jason.potter@darpa.mil, or the DARPA PSR, Mr. Herb Hinch, at 571-218-4376, herbert.hinch.ctr@darpa.mil.

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.

c) Disclosure of Information and Compliance with Safeguarding

Covered Defense Information Controls

The following provisions and clause apply to all solicitations and contracts; however, the definition of “controlled technical information” clearly exempts work considered fundamental research and therefore, even though included in the contract, will not apply if the work is fundamental research.

DFARS 252.204-7000, “Disclosure of Information”

DFARS 252.204-7008, “Compliance with Safeguarding Covered Defense Information Controls”

DFARS 252.204-7012, “Safeguarding Covered Defense Information and Cyber Incident

Reporting”

The full text of the above solicitation provision and contract clauses can be found at http://www.darpa.mil/work-with-us/additional-baa#NPRPAC.

Compliance with the above requirements includes the mandate for proposers to implement the security requirements specified by National Institute of Standards and Technology (NIST)

Special Publication (SP) 800-171, “Protecting Controlled Unclassified Information in Nonfederal

Information Systems and Organizations” (see https://doi.org/10.6028/NIST.SP.800-171r1) that are in effect at the time the BAA is issued.

For awards where the work is considered fundamental research, the contractor will not have to implement the aforementioned requirements and safeguards. However, should the nature of the mailto:Jason.potter@darpa.mil mailto:herbert.hinch.ctr@darpa.mil http://www.darpa.mil/work-with-us/additional-baa#NPRPAC https://doi.org/10.6028/NIST.SP.800-171r1 work change during performance of the award, work not considered fundamental research will be subject to these requirements.

d) Human Subjects Research (HSR)/Animal Use

Proposers that anticipate involving human subjects or animals in the proposed research must comply with the approval procedures detailed at http://www.darpa.mil/work-with-us/additional-baa, to include providing the information specified therein as required for proposal submission.

e) Approved Cost Accounting System Documentation

Proposers that do not have a Cost Accounting Standards (CAS) compliant accounting system considered adequate for determining accurate costs that are negotiating a cost- type procurement contract must complete an SF 1408. For more information on CAS compliance, see http://www.dcaa.mil. To facilitate this process, proposers should complete the SF 1408 found at http://www.gsa.gov/portal/forms/download/115778 and submit the completed form with the proposal.

f) Small Business Subcontracting Plan

Pursuant to Section 8(d) of the Small Business Act (15 U.S.C. § 637(d)) and FAR 19.702(a)(1), each proposer who submits a contract proposal and includes subcontractors might be required to submit a subcontracting plan with their proposal. The plan format is outlined in FAR 19.704.

g) Section 508 of the Rehabilitation Act (29 U.S.C. § 749d)/FAR 39.2

All electronic and information technology acquired or created through this BAA must satisfy the accessibility requirements of Section 508 of the Rehabilitation Act (29 U.S.C. § 749d)/FAR 39.2.

h) Intellectual Property

All proposers must provide a good faith representation that the proposer either owns or possesses the appropriate licensing rights to all intellectual property that will be utilized under the proposed effort.

(1) For Procurement Contracts

Proposers responding to this BAA requesting procurement contracts will need to complete the certifications at DFARS 252.227-7017. See http://www.darpa.mil/work-with-us/additional-baa for further information. If no restrictions are intended, the proposer should state “none.” The table below captures the requested information:

Technical Data

Computer

Software To be

Furnished With

Restrictions

Summary of

Intended Use in the Conduct of the Research

Basis for

Assertion

Asserted Rights

Category

Name of Person

Asserting

Restrictions

(LIST) (NARRATIVE) (LIST) (LIST) (LIST)

http://www.darpa.mil/work-with-us/additional-baa http://www.darpa.mil/work-with-us/additional-baa http://www.dcaa.mil/ http://www.gsa.gov/portal/forms/download/115778

(2) For All Non-Procurement Contracts

Proposers responding to this BAA requesting a Grant, Cooperative Agreement, Technology

Investment Agreement, or Other Transaction for Prototypes shall follow the applicable rules and regulations governing these various award instruments, but, in all cases, should appropriately identify any potential restrictions on the Government’s use of any Intellectual Property contemplated under the award instrument in question. This includes both Noncommercial Items and Commercial Items. Proposers are encouraged use a format similar to that described in

Paragraph (1) above. If no restrictions are intended, then the proposer should state “NONE.”

i) System for Award Management (SAM) and Universal Identifier

Requirements

All proposers must be registered in SAM unless exempt per FAR 4.1102. FAR 52.204-7, “System for Award Management” and FAR 52.204-13, “System for Award Management

Maintenance” are incorporated into this BAA. See http://www.darpa.mil/work-with-us/additional-baa for further information.

International entities can register in SAM by following the instructions in this link:

https://www.fsd.gov/fsd-gov/answer.do?sysparm_kbid=dbf8053adb119344d71272131f961946&sysparm_search=KB001

3221.

3. Submission Information

DARPA will acknowledge receipt of all submissions and assign an identifying control number that should be used in all further correspondence regarding the submission. DARPA intends to use electronic mail correspondence regarding HR001120S0005. Submissions may not be submitted by fax or e-mail; any so sent will be disregarded.

Submissions will not be returned. An electronic copy 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 by DARPA within five (5) days after notification that a proposal was not selected.

The proposal must be received at DARPA/ Strategic Technology Office, 675 North Randolph

Street, Arlington, VA 22203-2114 (Attn.: HR001120S0005) on or before, January 8, 2020 by

4:00 p.m., ET, in order to be considered during the initial round of selections; however, proposals received after this deadline may be received and evaluated up to six months (180 days) from date of posting.

Proposals submitted after the due date specified in the BAA or due date otherwise specified by

DARPA may be selected. Proposers are warned that the likelihood of available funding is greatly reduced for proposals submitted after the initial closing date deadline.

https://www.fsd.gov/fsd-gov/answer.do?sysparm_kbid=dbf8053adb119344d71272131f961946&sysparm_search=KB0013221 https://www.fsd.gov/fsd-gov/answer.do?sysparm_kbid=dbf8053adb119344d71272131f961946&sysparm_search=KB0013221 https://www.fsd.gov/fsd-gov/answer.do?sysparm_kbid=dbf8053adb119344d71272131f961946&sysparm_search=KB0013221

a) Proposal Submission

Refer to Section VI.A.1. for how DARPA will notify proposers as to whether or not their proposal has been selected for potential award.

Classified submissions 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,…