HR001120S0036-Amendment-01.pdf

HR001120S0036 ATMOSENSE 1

Broad Agency Announcement Atmosphere as a Sensor (AtmoSense)

Defense Sciences Office

HR001120S0036

March 4, 2020

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Table of Contents I. Funding Opportunity Description

A. Introduction B. Background C. Program Description/Scope D. Program Structure E. Technical Area Descriptions F. Milestones G. Deliverables H. Government-furnished Property/Equipment/Information I. Other Program Objectives and Considerations

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 C. Submission Dates and Times D. Funding Restrictions E. Other Submission Requirements

V. Application Review Information A. Evaluation Criteria B. Review and Selection Process C. Federal Awardee Performance and Integrity Information (FAPIIS)

VI. Award Administration Information A. Selection Notices B. Administrative and National Policy Requirements C. Reporting

VII. Agency Contacts VIII. Other Information

A. Frequently Asked Questions (FAQs) B. Collaborative Efforts/Teaming C. Proposers Day

BAA Attachments:

Attachment A: ABSTRACT SUMMARY SLIDE TEMPLATE Attachment B: ABSTRACT TEMPLATE Attachment C: PROPOSAL SUMMARY SLIDE TEMPLATE Attachment D: PROPOSAL TEMPLATE VOLUME 1 TECHNICAL & MANAGEMENT VOLUME Attachment E: PROPOSAL TEMPLATE VOLUME 2 COST VOLUME Attachment F: PROPOSAL TEMPLATE VOLUME 2 COST SUMMARY SPREADSHEET Attachment G: PROPOSAL TEMPLATE VOLUME 3 ADMINISTRATIVE & NATIONAL POLICY VOLUME

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PART I: OVERVIEW INFORMATION

Federal Agency Name: Defense Advanced Research Projects Agency (DARPA), Defense Sciences Office (DSO)

Funding Opportunity Title: Atmosphere as a Sensor (AtmoSense)

Announcement Type: Initial Announcement

Funding Opportunity Number: HR001120S0036

Catalog of Federal Domestic Assistance (CFDA) Number(s): 12.910 Research and

Technology Development

Dates (All times listed herein are Eastern Time.)

o Posting Date: 03/03/2020 o Proposers Day: 02/14/2020. See Section VIII.C.

o Abstract Due Date: 03/12/2020, 4:00 p.m.

o FAQ Submission Deadline: 04/10/2020 04/22/2020, 4:00 p.m. See Section VIII.A.

o Full Proposal Due Date: 04/22/2020 05/06/2020, 4:00 p.m.

Types of Instruments that May be Awarded: Procurement contracts, grants, cooperative agreements or other transactions.

Agency contacts o Technical POC: Charlton David Lewis, II, Program Manager, DARPA/DSO o BAA Email: AtmoSense@darpa.mil o BAA Mailing Address:

DARPA/DSO

ATTN: HR001120S0036

675 North Randolph Street

Arlington, VA 22203-2114 o DARPA/DSO Opportunities Website: http://www.darpa.mil/work-with-us/opportunities

Teaming Information: See Section VIII.B for information on teaming opportunities.

Frequently Asked Questions (FAQ): FAQs for this solicitation may be viewed on the

DARPA/DSO Opportunities Website. See Section VIII.A for further information.

mailto:AtmoSense@darpa.mil http://www.darpa.mil/work-with-us/opportunities?tFilter=&oFilter=2&sort=name

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PART II: FULL TEXT OF ANNOUNCEMENT

I. Funding Opportunity Description

This Broad Agency Announcement (BAA) constitutes a public notice of a competitive funding opportunity as described in Federal Acquisition Regulation (FAR) 6.102(d)(2) and 35.016 as well as 2 CFR § 200.203. Any resultant negotiations and/or awards will follow all laws and regulations applicable to the specific award instrument(s) available under this BAA, e.g., FAR

15.4 for procurement contracts.

A. Introduction The Defense Sciences Office (DSO) at the Defense Advanced Research Projects Agency (DARPA) is soliciting innovative research proposals in the area of modeling, simulating, and experimentally observing transient disturbances (both mechanical and electromagnetic) in the Earth’s atmosphere (from the troposphere through the ionosphere) due to meteorological and geophysical sources. Proposed research should investigate innovative approaches that enable revolutionary advances in science, prediction, or devices. Specifically excluded is research that primarily results in evolutionary improvements to the existing state of practice.

B. Background AtmoSense seeks to develop the scientific understanding to exploit signatures for geolocation of natural sources that disturb the Earth’s atmosphere, which are fundamentally different than those relied upon by direct observation approaches.

It has been observed that various natural processes such as earthquakes1, hurricanes2, and tornadoes3 measurably impact the ionosphere. In 2013, a bolide event generated a trail of ionospheric disturbances that spanned the entire North American continent4. It also has recently been discovered that bombing in continental Europe during WWII was accompanied by measurable changes in the ionosphere over Great Britain5. In fact, examination of the literature reveals a rich history of observing ionospheric disturbances due to a multitude of sources. Figure 1 is one particular way to depict how ionospheric perturbations (measured in total electron content units (TECUs)) correlate with the energetic magnitude (shown as approximate TNT equivalents) of various event sources.

1 https://doi.org/10.5047/eps.2011.06.035 2 https://doi.org/10.1134/S000143381109012X 3 https://doi.org/10.1002/2013GL057963 4 https://doi.org/10.1002/2013RS005344 5 https://doi.org/10.5194/angeo-36-1243-2018

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In almost all of these cases, the ionospheric disturbances are thought to be due to acoustic and/or gravity waves that are produced by the interaction between the source and the atmosphere. The qualitative physical explanation for how this occurs is fairly straightforward. Ground based sources of disturbance such as mining operations or storm cells can launch mechanical waves spanning from the infrasonic to the ultrasonic. As these transient disturbances travel radially outward from the source, those wave components that propagate low in altitude along the surface of the Earth are dampened by the troposphere. However, those wave components that travel along the Earth’s radial direction (i.e. higher in altitude) experience less dampening as the mean free path between atmospheric constituents increases due to decreasing air density. As this energy propagates, it can evolve into phenomena such as acoustic waves, gravity waves, or acoustic-gravity waves, as well as any non-linearly triggered transformations. Passing from the troposphere, through the stratosphere, and into the mesosphere, this energy eventually strikes the ionosphere. Because the electrons in the ionosphere must follow the Earth’s magnetic field lines, compression occurs, and the ionosphere responds by launching traveling disturbances. These disturbances are what are captured in Figure 1.

With this mechanistic picture in mind, the neutral atmosphere-ionosphere system can be thought

Figure 1: A plot of observed ionospheric disturbances measured in TECU vs. the approximate TNT equivalent energy of the source that disturbed the atmosphere. Also listed, where described in the literature, is the time of flight from the generation of the atmospheric disturbance to when it was observed to impact the ionosphere. Note that the way the transient energy disturbance interacts with the ionosphere can vary greatly. Some sources produce shockwave-like disturbances. Others emanate prolonged atmospheric mechanical and electromagnetic waves. Still others interact directly with the ionosphere. Sometimes the disturbance is a combination of any or all of these sources.

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of as a dynamic information reservoir that contains characteristics (e.g., size, duration, location) of the event source disturbance. Understanding the physics of how disturbances translate into information that can be measured in the atmosphere forms the basis for this program.

C. Program Description/Scope Program Approach

AtmoSense will attempt to understand the fundamentals of energy propagation from the ground to the ionosphere in order to determine if the atmosphere can be used as a sensor. This entails developing new modeling and simulation capabilities as well as new sensing modalities that can be combined to answer a set of fundamental questions that will help determine the feasibility of the AtmoSense concept. Among these basic science questions to be answered are:

1. What is the nature of transmitted signals?

2. What mode structure (mechanical and electromagnetic) can the mesosphere and lower ionosphere support?

3. What dynamic variables are best measured and at what altitude to capture source disturbed information?

The AtmoSense approach will consist of three technical areas (TAs) designed to answer these general basic science questions in order to demonstrate the viability of the AtmoSense concept.

TA1 - Modeling and Simulation will develop the model and simulation (M&S) and analytical approximations to connect near-field disturbances to far-field mechanical and electromagnetic perturbations. TA2 - Characterization of the Background will experimentally characterize the background and mode structure of the mesosphere and lower ionosphere. TA3 - Sensing Modalities will develop new sensing modalities, use old sensing modalities in new ways, and/or exploit natural/non-natural emitters to detect mechanical and electromagnetic variations of the atmosphere. Note that while there appears to be overlap between TA2 and TA3, TA2 is primarily focused on measuring the background or noise of the atmosphere, whereas TA3 is focused on measuring the transient signal through the noise background. Thus, there will be stricter requirements in TA3 regarding required sensitivities as well as a focus on developing innovative measurement techniques that are “noise resistant.”

In addition to the three technical areas, an Independent Verification and Validation (IV&V) team will evaluate the research products of each performer and provide expert analysis of the capabilities developed for potential application spaces. The findings of the IV&V team will help inform the Government’s decision regarding continuation of research into Phase 2. The IV&V team is not being solicited at this time.

Out of Scope DARPA considers approaches that are based upon direct active sensing of disturbance sources to be inappropriate for AtmoSense, and these will be deemed non-responsive. Sources of interest under the AtmoSense BAA are limited to geological and/or meteorological disturbances.

D. Program Structure DARPA intends to use a phased acquisition approach for the AtmoSense program. The AtmoSense program consists of two phases: Phase 1 (a 27-month base period) and Phase 2 (a 12-

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month period). Proposers are strongly encouraged to form teams capable of proposing to all three TAs described in Section I.C., Program Approach, above. However, proposals with a strongly unique approach to an individual TA will be considered solely for Phase 1.

Proposals from integrated teams should address both phases and provide details for Phase 1, as outlined in Section E below, and a rough order of magnitude (ROM) for Phase 2, including ROM costs, a draft statement of work (SOW), and any additional information on anticipated program plans. Proposals responding to all three TAs that do not address these Phase 2 goals may be deemed nonconforming.

Section I.F. of this BAA, “Phase 2 (12 months): Proof of Principle Field Testing,” notionally describes a test campaign consisting of three field tests spaced 3 months apart. For purposes of costing, the ROM should describe the nature of the tests to be performed and the cost per test.

Potential field tests include mining operations, storm cells in the US, earthquakes in active Pacific Rim areas, or breaking mountain waves in North or South America. Notional costs for each field test should include, but are not limited to, optimized model and simulation of the testing scenario(s), the number of tests, deployment and operation of sensing modalities, personnel costs, field test logistics, and post-test activities and analysis.

Prior to the completion of Phase 1 (at approximately Month 24), DARPA intends to request updated technical and cost proposals for Phase 2 per specifications/guidance provided by DARPA. Only Phase 1 integrated teams will be eligible to receive an invitation to submit an updated Phase 2 proposal; however, integrated teams may invite successful individual TA Phase 1 performers to join their teams as part of their Phase 2 proposals.

Evaluation of Phase 2 proposals will be based on criteria to be specified in the Phase 2 proposal requests. The Phase 2 evaluation criteria will be consistent with the evaluation criteria in this solicitation, but may be tailored to the Phase 2 requests for updated proposals. Phase 2 proposal evaluations will be conducted through a scientific and technical review process in accordance with Section V.B. The Government reserves the right to issue a new solicitation for Phase 2 with a new award instrument if programmatic circumstances dictate.

Participation in Phase 1 does not guarantee funding in Phase 2; progression to the next phase will be contingent on evaluation of Phase 2 proposals and availability of funds. See Section I.E below for specific milestones and a required timeline.

E. Technical Area Descriptions

Phase 1

Phase 1 includes the following three Technical Areas (TAs):

Technical Area 1: Modeling and Simulation

The goal of TA1 is to develop the M&S and analytical approximations to connect near-field disturbances to far-field mechanical and electromagnetic perturbations. This supports the first technical question posed above - What is the nature of transmitted signals? The technical

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challenge is to understand how to model, simulate, and predict the evolution of energy propagation from the near-field source that caused the mechanical and/or electromagnetic disturbance to far-field atmospheric perturbations. This challenge involves developing creative ways to evolve assumptions in each regime over multiple scales.

As an example, consider the challenges in modeling the atmospheric disturbances created by a bolide event. High fidelity computational fluid dynamics (CFD) can be used to understand the flow of air near the body. Statistical mechanics can take this atmospheric heating and determine thermodynamically when the bolide is about to break up or explode sending out shocks. The computational domain used for these calculations does not extend more than a few 10s of body lengths (~decameters) in each direction, assumes a steady atmosphere, and assumes a constant gravitational field. However, as implied in Figure 1, transient disturbances due to meteorological or geophysical sources can propagate distances on the order of 10-100 kilometers into the far-field where the assumptions used in CFD break down.

A foundational question of what assumptions should be considered over spatial temporal scales to predict how near-field strong waves and shocks evolve to far-field weak, linear, and non-linear waves will need to be answered to understand if the atmosphere can be used as a sensor.

Performers will utilize and develop high-fidelity M&S capabilities that can seamlessly connect meteorological or geophysical sources (such as thunderstorms, tornadoes, bolides, earthquakes, mining operations, etc.) to resultant kilometer-scale atmospheric disturbances and large-scale general circulation models. These modeling capabilities will have to span multiple physics domains including, for example, fluid dynamics, atmospheric turbulence, electromagnetics, and multi-fluid magnetohydrodynamics.

Proposers should describe what types of models will be used for disturbance sources, models for the various atmospheric and ionospheric constituents, and how these models will be represented for computation. In terms of simulation, proposers are expected to explain how spatial and temporal solvers will be implemented, especially with respect to various time scales (e.g. fast modes and slow modes). As for prediction, proposals should describe what dynamic variables can be predicted with current capability and propose new variables (or combinations thereof) that might inform new ways of sensing the atmosphere.

Proposers should describe the computational platform(s) needed to simulate these models such as high-performance computers, graphics processing units, tensor processing units, etc. Proposers should provide an estimate of how much computing power and resources are needed for their approach and account for these in the proposal. Proposers should not assume that DARPA will provide additional computational resources not included in the proposal.

Technical Area 2: Characterization of the Background

The goal of TA2 is to experimentally characterize the background and mode structure of the mesosphere and lower ionosphere. This supports the second question posed above - What mode structure (mechanical and electromagnetic) can the mesosphere and lower ionosphere support?

The technical challenge is to understand what modes of energy propagation can the atmosphere

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support, and how does the atmospheric background, particularly the mesosphere, destroy that information? In technical terms, what frequency components propagate through the upper atmosphere, what passband or noise band structures exist, and how do dispersion relationships evolve as a function of, for example, altitude?

As the transient disturbances propagate through the troposphere, stratosphere, mesosphere, and into the ionosphere, several background dynamic variables such as pressure, temperature, neutral mass species density, ion species density, etc. drastically change. It is well known that the troposphere acts as a low pass filter allowing infrasound energy to propagate easily while higher frequencies are dampened. Does this same trend follow in the stratosphere and more so in the mesosphere? At what point does the well mixed atmosphere assumption break down and affect energy propagation? Additionally, once ionization becomes a factor, which occurs in the mesosphere and the ionosphere, then new modes are available that involve electromagnetic energy. Not only can the atmosphere itself dictate what modes are allowable, the nominal background serves as a reservoir of entropy that can destroy the information contained within.

Researching these challenges is vital to understanding whether the atmosphere can be used as a sensor.

Performers will devise observational techniques and conduct experiments to understand and observe the nominal background characteristics of the atmosphere from approximately 30 km to 90 km and determine what modes of propagation this region can support.

Proposers should describe what type of observation platforms will be used, the types of systems that might be used for direct measurements and/or remote measurements of the atmosphere, what altitudes of the atmosphere will be the focus of the selected observational campaign, and how long or how many experiments will take place over Phase 1.

Due to the nature of TA2, every TA2 performer will be required to share the raw data collected from their experimental observation campaigns with all of the other performers in this program.

Technical Area 3: Sensing Modalities

The goal of TA3 is to develop new sensing modalities, use old sensing modalities in new ways, and/or exploit natural/non-natural emitters to detect mechanical and electromagnetic variations of the atmosphere. This TA supports the last technical question - What dynamic variables are best measured and at what altitude to capture source disturbed information? The technical challenge is to understand what sensing modalities are best suited to measure atmospheric and ionospheric dynamic variables, either directly or remotely, and at what altitude those variable are best measured.

Traditional and operational tropospheric methodologies typically rely on using active systems such as LIDAR or radar; however, due to power challenges these systems nominally have altitude limitations of ceilings around 15-30 km. Traditional and operational ionospheric methods typically utilize electromagnetic energy through GPS TEC measurements or bottomside high frequency (HF) soundings. What is not routinely measured is the region roughly between 30 and 90 km, which is sometimes referred to in the literature as the “ignorosphere.” AtmoSense

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seeks to exploit sensing modalities that can mutually observe propagating energy through the troposphere, stratosphere, mesosphere, and the ionosphere with enough sensitivity in space and time to extract information about the disturbance source. Performers will develop and test novel approaches to measuring the disturbed atmospheric and ionospheric environment. Performers may develop new realizations of existing modalities (e.g. lower SWaP to utilize new platforms) or may propose new measurements that can be used to realize AtmoSense goals. Proposers are discouraged from pursuing measurements on satellite-based platforms unless sufficient capability can be provided at a cost that is demonstrably competitive with ground- or atmospheric-based sensors and can be manifested and launched within the timeframe of the AtmoSense program

Proposers should describe how they will use TA1 and TA2 results to drive what sensitivities need to be measured and experimentally determine what can realistically be measured, as well as how they plan to arrive at recommendations for which sensing modalities are best suited for Phase 2 field testing.

Phase 2: Proof of Principle Field Testing

Note: Phase 2 does not include TAs.

DARPA may elect to enter into Phase 2 proof of principle field testing with a single or multiple Phase 1 integrated team performers that meet the Phase 1 program metrics. The location and type of field tests will be determined based on what type of disturbance will be tracked. In general these disturbances fall into two categories: static and dynamic. An example of a static test would be to geolocate the epicenter of an earthquake or mining operation based on its atmospheric perturbations to the same or better degree than seismometry. An example of a dynamic test would be to find and fix a thunderstorm cell to the same or better degree than Doppler radar.

F. Milestones Below is a projected timeline of major milestones that proposers should include in their schedule.

Note: IV&V testing will be conducted by third-party organizations, to be identified and retained by DARPA. These third party IV&V organizations will be responsible for establishing and executing the testing procedures in accordance with the metrics outlined below, with supervision from DARPA.

Phase 1 (24 months): Concept Viability Technical Area 1: Modeling and Simulation (M&S)

12-month milestone: Reproduce in M&S ionospheric meteorological and/or geophysical TEC signatures that have been observed and reported in literature.

o Metrics: 1) IV&V verification of M&S ability to replicate ionospheric TEC signatures within the threshold metrics as shown in Table 1 below and 2) a path to achieving the goal replication metrics by month 24 of the Phase 1 program

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Comparison Metrics to all Observed Slant dTEC Single Rx Sites All Rx Sites dTECu = 0

Time of Flight/Onset of Disturbance (Time)

Duration of Disturbance (Time)

Max/Min Amplitude of Disturbance (dTECu)

Temporal Track (dTECu)

Duration of Total Disturbance (Time)

Threshold +/- 15% (absolute)

+/- 15% (absolute)

+/- 25% (relative)

+/- 70% (relative)

+/- 20% (absolute)

Goal +/- 5% (absolute)

+/- 3% (absolute)

+/- 10% (relative)

+/- 20% (relative)

+/- 10% (absolute)

Table 1: 12-Month TA1 Metrics

24-month milestone: Refine and expand 12-month M&S with background spectrum.

o Metric: IV&V verification of M&S ability to incorporate background spectrum based on TA2 measurements and achieve goal replication metrics Technical Area 2: Characterization of the Background

Quarterly milestones: Report of atmospheric and background measurement campaign results shared with TA1, TA3 and IV&V performers at technical interchange meetings.

o Metric: IV&V verification that quality of data is meeting program needs

Technical Area 3: Sensing Modalities

12-month milestone: Present and technically justify the measured/projected performance and value of atmospheric sensing techniques and modalities for the purpose of the assessment by DARPA and the IV&V Team. These may include traditional sensor modalities used in new ways; newly developed, innovative atmospheric noise resistant techniques; or unique platforms developed to measure never-before observed atmospheric altitudes.

o Metric: IV&V assessment that sensor modalities are likely to achieve the sensitivity (based on IV&V analysis) needed to exploit atmospheric and ionospheric phenomena

24-month milestone: Further refine promising sensing modalities, including incorporation of background characterization and results of TA1. Present and technically justify recommendations of atmospheric and ionospheric sensing techniques to DARPA and the IV&V Team for Phase 2 field testing.

o Metric: IV&V assessment that sensing modalities are suitable for field testing Phase 2 (12 months): Proof of Principle Field Testing Successful completion of the 24-month program review will initiate requests to select performers to submit revised plans for an optional Phase 2 effort that will evaluate an integrated approach to demonstrating proof of principle for identifying and geolocating both static (e.g. earthquake or mining operations) and dynamic (e.g. thunderstorm) near earth disturbances. Potential field tests include mining operations, storm cells in the US, earthquakes in active Pacific Rim areas, or

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breaking mountain waves in North or South America. Notionally, a test campaign consisting of three field tests spaced 3 months apart is projected. This is subject to change based on the nature of the source tested against.

The disturbances that will be tested fall into two general categories: static and dynamic. An example of a static test would be to geolocate the epicenter of an earthquake or mining operation based on its atmospheric perturbations to the same or better degree than seismometry. An example of a dynamic test would be to find and fix a thunderstorm cell to the same or better degree as Doppler radar. DARPA with support from the IV&V team will shape the metrics of the field tests based on analysis of Phase 1 results.

G. Deliverables Performers will be expected to provide at a minimum the following deliverables:

Negotiated deliverables specific to the objectives of the performer’s efforts. These may include registered reports; computational protocols; publications; intermediate and final versions of software libraries; code; APIs, including documentation; user manuals and/or a comprehensive assemblage of design documents, models, modeling data, and results;

and any validation data

Comprehensive quarterly technical reports due within ten days of the end of each quarter to update the DARPA PM on progress made on specific milestones as laid out in the

SOW

A phase completion report submitted within 30 days of the end of each phase, summarizing accomplishments

Reporting as outlined in Section VI.C.

H. Government-furnished Property/Equipment/Information

It is anticipated that as the AtmoSense program matures, government furnished information in the form of space environmental data sets and data streams could be provided to help the development of TAs 1 and 2. The government may also furnish data and information for capability evaluation and testing during Phase 1 and may, contingent upon demonstrated need and value to the program, arrange for the use of sensors to provide operational benchmarking during field tests.

I. Other Program Objectives and Considerations

1. Collaboration

It is strongly suggested that proposals address all three TAs in order to develop a coherent approach for determining the ability to use the atmosphere as a sensor. Proposals with a unique approach to address a single TA may be selected for Phase 1 funding only. Such proposals will not be eligible for stand-alone Phase 2 funding, but may be incorporated into successful Phase 1 integrated efforts for the purpose of executing Phase 2.

2. Intellectual Property It is desired that all noncommercial software (including source code), software documentation, hardware designs and documentation, and technical data generated by the program be provided as deliverables to the Government, with a minimum of Government Purpose Rights (GPR), as lesser rights may adversely impact the lifecycle costs of affected items, components, or

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processes.

3. Security Clearance Requirements

Technical Areas 1-3 are expected to involve only unclassified work and will not require clearances.

4. General Proposal Guidance Proposals should include the following:

A technical and programmatic strategy that conforms to the entire program schedule and presents an aggressive plan to fully address all program goals, metrics, milestones, and deliverables

A task structure that is consistent across the proposed schedule, Statement of Work (SOW), and cost volume

A target start date of November 2020 for planning purposes The following meetings and travel in the proposed schedule and costs:

o A two-day Principal Investigator (PI) meeting held approximately every six months with locations split between the East and West Coasts of the United States. For budgeting purposes, plan for seven two-day meetings over the course of 36 months: four meetings in the Washington, D.C. area and three meetings in the San Francisco, CA area.

o Regular teleconference meetings will be scheduled with the Government team for progress reporting as well as problem identification and mitigation. Proposers should also anticipate at least three site visits per phase by the DARPA Program Manager during which they will have the opportunity to demonstrate progress towards agreed-upon milestones.

Schedules will be synchronized across performers, as required, and monitored/revised as necessary throughout the program.

II. Award Information

A. General Award Information DARPA anticipates multiple awards.

The level of funding for individual awards made under this BAA will depend on the quality of the proposals received and the availability of funds. Awards will be made to proposers6 whose proposals are determined to be the most advantageous to the Government, all evaluation factors considered. See Section V for further information.

The Government reserves the right to:

6 As used throughout this BAA, “proposer” refers to the lead organization on a submission to this BAA. The proposer is responsible for ensuring that all information required by a BAA--from all team members--is submitted in accordance with the BAA. “Awardee” refers to anyone who might receive a prime award from the Government, including recipients of procurement contracts, grants, cooperative agreements, or Other Transactions.

“Subawardee” refers to anyone who might receive a subaward from a prime awardee (e.g., subawardee, consultant, etc.).

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

make awards without discussions with proposers;

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

segregate portions of resulting awards into pre-priced options;

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

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

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

Proposals identified for negotiation may result in a procurement contract, grant, cooperative agreement, or other transaction (OT), depending upon the nature of the work proposed, the required degree of interaction between parties, 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 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, http://www.darpa.mil/work-with-us/contract-management#OtherTransactions http://www.darpa.mil/work-with-us/contract-management#OtherTransactions

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design, production, and product utilization, the results of which ordinarily are restricted for proprietary or national security reasons.

As of the date of publication of this BAA, the Government expects that program goals as described herein may be met by proposers intending to perform fundamental research and does not anticipate applying publication restrictions of any kind to individual awards for fundamental research that may result from this BAA. Notwithstanding this statement of expectation, the Government is not prohibited from considering and selecting research proposals that, while perhaps not qualifying as fundamental research under the foregoing definition, still meet the BAA criteria for submissions. If proposals are selected for award that offer other than a fundamental research solution, the Government will either work with the proposer to modify the proposed statement of work to bring the research back into line with fundamental research or else the proposer will agree to restrictions in order to receive an award.

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 will have sole discretion to determine whether the proposed research will be considered fundamental. 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 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 sources capable of satisfying the Government's needs may submit a proposal for DARPA’s consideration.

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

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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. 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.

2. Foreign Participation Non-U.S. organizations and/or individuals may participate to the extent that such participants comply with any necessary nondisclosure agreements, security regulations, export control laws, and other governing statutes applicable under the circumstances. For classified submissions, this includes mitigating any Foreign Ownership Control and Influence (FOCI) issues prior to transmitting the submission to DARPA. Additional information on these subjects can be found at https://www.dcsa.mil/mc/ctp/foci/.

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

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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.

Include any OCIs affirmations and disclosures in Attachment G Proposal Template Vol. 3- Admin and National Policy Requirements.

C. Cost Sharing/Matching

Cost sharing is not required; however, it will be carefully considered where there is an applicable statutory condition relating to the selected funding instrument (e.g., OTs under the authority of 10 U.S.C. § 2371). 10 U.S.C. § 2371). 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 Prior to submitting a full proposal, proposers are strongly encouraged to first submit an abstract as described below. This process allows a proposer to ascertain whether the proposed concept is: (1) applicable to the AtmoSense BAA and (2) currently of interest. For the purposes of this BAA, applicability is defined as follows:

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The proposed concept is applicable to the technical areas described herein.

The proposed concept is important to DSO’s current investment portfolio.

The proposed concept investigates an innovative approach that enables revolutionary advances, i.e., will not primarily result in evolutionary improvements to the existing state of practice.

The proposed work has not already been completed (i.e., the research element is complete but manufacturing/fabrication funds are required).

The proposer has not already received funding or a positive funding decision for the proposed concept (whether from DARPA or another Government agency).

Abstracts and full proposals that are not found to be applicable to the AtmoSense BAA as defined above may be deemed non-conforming7 and removed from consideration. All abstracts and full proposals must provide sufficient information to assess the validity/feasibility of their claims as well as comply with the requirements outlined herein for submission formatting, content and transmission to DARPA. Abstracts and full proposals that fail to do so may be deemed non-conforming and removed from consideration. Proposers will be notified of non-conforming determinations via letter.

A. Address to Request Application Package This document contains all information required to submit a response to this solicitation. No additional forms, kits, or other materials are needed except as referenced herein. No request for proposal or additional solicitation regarding this opportunity will be issued, nor is additional information available except as provided at the beta.sam.gov website (http://beta.sam.gov), the Grants.gov website (http://www.grants.gov/), or referenced herein.

B. Content and Form of Application Submission

1. Abstract Information

As stated above, proposers are strongly encouraged to submit an abstract in advance of a full proposal to minimize effort and reduce the potential expense of preparing an out of scope proposal. The abstract provides a synopsis of the proposed project by briefly answering the following questions:

What is the proposed work attempting to accomplish or do?

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

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

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

DARPA will respond to abstracts with a statement as to whether DARPA is interested in the idea. If DARPA does not recommend the proposer submit a full proposal, DARPA will provide feedback to the proposer regarding the rationale for this decision. Regardless of DARPA’s response to an abstract, proposers may submit a full proposal. DARPA will review all

7 “Conforming” is defined as having been submitted in accordance with the requirements outlined herein.

http://beta.sam.gov/ http://www.grants.gov/

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conforming full proposals using the published evaluation criteria and without regard to any comments resulting from the review of an abstract.

Proposers should note that a favorable response to an abstract is not a guarantee that a proposal based on the abstract will ultimately be selected for award negotiation.

While it is DARPA policy to attempt to reply to abstracts within thirty calendar days, proposers to this solicitation may anticipate a response within approximately three weeks. These official notifications will be sent via email to the Technical POC and/or Administrative POC identified on the abstract coversheet.

a. Abstract Format All proposers are required to use Attachment A: Abstract Summary Slide Template and Attachment B: Abstract Template provided to this solicitation on http://beta.sam.gov and http://www.grants.gov. Attachment A Abstract Summary Slide Template described herein must be in .ppt or .pptx format and should be attached as a separate file to this document.

2. Full Proposal Information Proposals consist of Volume 1: Technical and Management Volume, Volume 2: Cost Volume, and Volume 3: Administrative and National Policy Requirements Volume.

To assist in proposal development, various attachments have been provided along with the BAA posted on http://beta.sam.gov (Attachment C: Proposal Summary Slide Template, Attachment D:

Proposal Template Volume 1 Technical & Management Volume, Attachment E: Proposal Template Volume 2 Cost Volume, Attachment F: Proposal Template Volume 2 Cost Summary Spreadsheet, and Attachment G: Proposal Template Volume 3 Administrative & National Policy Requirements Volume).

Full proposals requesting a procurement contract or other transaction (OT) must use the following attachments:

Attachment C Attachment D Attachment E Attachment F Attachment G

Full proposals requesting a grant or cooperative agreement must use the following attachments in addition to the Grants.gov application package:

Attachment C Attachment D Attachment F Attachment G *Note – Budget Justification should be provided as Section L of the SF 424 Research & Related Budget form provided via Grants.gov. The Budget Justification should include the following information for the recipient and all subawardees: (1) Direct http://beta.sam.gov/ http://beta.sam.gov/

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Labor: Detail the total number of persons and their level of commitment for each position listed (in sections A and B), as well as which specific tasks (as described in the SOW) they will support.(2) Equipment (section C) Provide an explanation for listed requested equipment exceeding $5,000, properly justifying their need to meet the objectives of the program. (3) Travel (section D) Provide the purpose of the trip, number of trips, number of days per trip, departure and arrival destinations, number of people, etc. (4) Other Direct Costs (section F). Provide a justification for the items requested and an explanation of how the estimates were obtained.

DARPA Embedded Entrepreneur Initiative (optional sub-section; does not count toward page count): To catalyze the conversion of scientific discovery to impact, the Defense Sciences Office offers applicants the opportunity for additional funding and transition assistance through participation in the Embedded Entrepreneur Initiative. The DARPA Embedded Entrepreneur Initiative will provide additional funding, up to $250,000, to employ one entrepreneur-in residence or one corporate business development lead. The entrepreneurial lead's ultimate goal is to develop a robust go to market strategy for entering into defense and commercial markets.

All commercialization and…