Protean

Abbreviated Tech Volume

Abbreviated Technical Volume Instructions and Template

Use of this template is mandatory for all abbreviated technical volume (Gate 2) submissions to this RA. This document must include all components described herein and must be submitted in PDF or Microsoft Word formats. All submissions must be written in English, and all pages shall be formatted for printing on 8-1/2 by 11-inch paper with 1-inch margins and font size no smaller than 12-point. Font sizes of 8 or 10-point may be used for figures, tables, and charts.

Abstracts shall not exceed a maximum of 5 pages. Submissions should be at the UNCLASSIFIED or Controlled Unclassified Information (CUI) level. All proprietary data and information should be appropriately marked.

Proposers are required to submit an abbreviated technical volume before submitting a full proposal. DARPA will respond to submissions with a statement as to whether DARPA:

• requests the proposer submit a full proposal or,

• declines submission of further materials.

Proposers should note that a favorable response to an abbreviated technical volume is not a guarantee that a proposal will ultimately be selected for award. Official responses will be sent via email to the Technical POC and/or Administrative POC identified on the coversheet.

Abbreviated technical volumes must be submitted per the instructions outlined herein and received by DARPA no later than the due date and time listed in the Overview Information section in the RA. Technical volumes received after this time and date will not be reviewed. Please visit Proposer Instructions and General Terms and Conditions for instructions on how to submit your technical volume through DARPA’s Broad Agency Announcement Tool (BAAT).

COVER SHEET

[PRIME ORGANIZATION LOGO]

# Executive Summary (1 Page limit)

[The executive summary is intended to introduce the proposal to each government participant on the scientific review board. This section is to include each of the following items: i) Primary goal of the proposal, ii) Relation of proposed strategy to current state-of-the-art, iii) DoD Impact/ National Security Relevance, and iv) Innovation. The length of each subsection is up to the proposer but should ultimately attempt to best summarize the value of the proposal to a reviewer.

# Technical Approach (2.5 to 3 Pages)

[Provide answers to the following questions:

• What is the proposed work attempting to accomplish or do?

• How will the work be performed and how does each subsection contribute to achieving program goals?

• What is new in your approach, and why do you think it will be successful?

• How will risk be mitigated?]

# Technical Ability (0.5 to 1 page):

[Provide a brief summary of the expertise of the team, including subawardees/consultants and key personnel. Include relevant past experience, organizational capabilities or anything else that demonstrates competence in designing and executing the Protean Program. While teaming arrangements do not need to be finalized at the time of submission, mention of potential teaming/collaboration arrangements is highly encouraged. Identify a principal investigator for the project and include a description of the team’s organization, including roles and responsibilities.]

# Tasking and Cost (0.5 to 1 Page)

[Provide a cost estimate for resources (e.g. labor, materials) and any subawardees over the entire program (base + options), broken down by Contractor Fiscal Year.
List major technical tasks that will be completed throughout the period performance in bulleted or numeric form. “E.g. Task 1.; Task 1.1.; Task 2.”]

# Organizational Conflict of Interest Affirmations and Disclosure

[In accordance with the requirements of the BAA, provide the following information.]

• Are any of the proposed individual team members or their respective organizations (whether prime or subawardee or consultant) currently providing SETA, A&AS or similar support to DARPA? ¨ No ¨ Yes

• Did any of the proposed individual team members or their respective organizations (whether prime or subawardee or consultant) provide SETA, A&AS or similar support to DARPA within one calendar year of this proposal submission? ¨ No ¨ Yes

[If you answered “Yes” to 6.a OR 6.b, provide the following information for each applicable team member:

• 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.]

• Are there any other potential Organizational Conflicts of Interest involving any of the proposed individual team members or their respective organizations (whether prime or subawardee or consultant)? ¨ No ¨ Yes

• [If yes, provide the following information for each applicable team member:

• Identification of applicable team member; and

• An OCI mitigation plan in accordance with FAR 9.5.]

# Novelty of Proposed Work

Has the proposed work been submitted to any other Government solicitation?

¨ No ¨ Yes [If yes, provide the following information:

Solicitation number ________________________

Agency _________________________

Proposed work has already received funding or a positive funding decision.

¨ No ¨ Yes ¨ Decision pending]

# Representations and Certifications

• For proposers requesting Other Transactions, please download, complete, and submit within this volume “2-SAMPLE OT certifications” available at the following link: DARPA Representations and Certifications

• For proposers requesting Cooperative Agreements, please download, complete, and submit within this volume “Cooperative Agreement Grants - Certifications” available at the following link: Proposer Instructions: Grants/Cooperative Agreements

# Intellectual Property (IP)

Please provide the following information, as applicable. Note: The Government will assume unlimited rights to all IP not explicitly identified as restricted in the proposal.

• Technical Data and Computer Software

Are you asserting any IP restrictions on any technical data or non-commercial computer software that will be delivered to the Government? ¨ No ¨ Yes

[If yes, list all proprietary claims to results, prototypes, deliverables or systems supporting and/or necessary for the use of the proposed research, results, prototypes and/or deliverables. Provide a short summary for each item asserted with less than unlimited rights that describes the nature of the restriction and the intended use of the intellectual property in the conduct of the proposed research. Use the following format for these lists.]

Are you proposing any commercial software that will be delivered to the Government? ¨ No ¨ Yes [If yes, please provide licensing terms.]

• Patents

# Does the proposed effort involve using patented inventions that are owned by or assigned to the proposing organization or individual? ¨ No ¨ Yes [If yes, provide documentation proving ownership or possession of appropriate licensing rights to all patented inventions to be used for the proposed project. If a patent application has been filed for an invention, but it includes proprietary information and is not publicly available, provide documentation that includes: the patent number, inventor name(s), assignee names (if any), filing date, filing date of any related provisional application, and summary of the patent title, with either: (1) a representation of invention ownership; or (2) proof of possession of appropriate licensing rights in the invention (i.e., an agreement from the owner of the patent granting license to the proposer).]

# Relevant References (Optional)

[A brief (no more than 1 page) bibliography maybe be provided with links to relevant papers, references, reports, etc.]

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> Download PDF file: Attachment_4_-_Protean_CUI_Guide.pdf

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> Download PDF file: DARPARA2601.pdf

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S&T PIP Template

S&T Protection Implementation Plan

Technology Office

Program Name

Contractor Program Name

Signature Signature

Program Manager Contractor Program Manager

Date Date

Signature Signature

Program Security Officer Contractor Program Security Officer

Date Date

Classified By:

Derived From:

Declassify On:

(U) FOREWORD

(CUI at minimum) This S&T PIP outlines [insert performer name] implementation of P2 strategies to protect critical technologies associated with [insert DARPA Tech Office and Project Name]. [DARPA Project Name] is a [insert CUI, Collateral, SAP, SCI, or combination] project.

(U) This document will be updated periodically and reviewed by the CPSO and CPM at least annually and at key program milestones to ensure it continues to capture the current program mission and objectives as well as the threat level and vulnerabilities to critical program information. This will allow the team to adjust needed countermeasures to protect this information.

(CUI at minimum)It is important to note that this outline is expected to be tailored to the program. Sections that are not used/needed will be marked “Not Applicable” so that they are available for future consideration as the program evolves and periodic updates are made to the [insert performer name][DARPA Project Name] S&T PIP.

(U) References

(U) DoD Instruction 5200.39, Critical Program Information (CPI) Identification and Protection within Research, Development, Test, and Evaluation (RDT&E), Change 2 dated 15 Oct 2018

(U) DoD Instruction 5000.48, Controlled Unclassified Information (CUI), March 6, 2020

(U) DoD Instruction 5000.83, Technology and Program Protection to Maintain Technological Advantage, dated 20 Jul 2020

(U) DARPA CG-XXXX, “Name”, Month, day, year

(U) DARPA CUI Guide, “Name”, month, day, year

# (U) Executive Summary and Assumptions

(U) The prime contractor will outline their protection strategy and assumptions in the Executive Summary section. This should be 1-2 paragraphs that give the Program Manager (PM), Program Security Officer (PSO) or Special Access Program Central Office (SAPCO) a snapshot of the plan, intended outcomes, measures of success, and key assumptions.

# 2.0 (U) S&T Protection Critical Events

2.1 (U) Schedule: (This is the Integrated Master Schedule that shows S&T Protection Milestones such as S&T Protection Working Group, key POCs etc…)

# 3.0 (U) Critical Program Information (CPI) and Critical Components

3.1 (U) CPI and Critical Components: List CPI and Critical Components here; components that are considered under a CUI category should be reviewed for inclusion

3.2. (U) Protected Item table:

3.3 (U) Protected Item Location and Explanation of Mitigations: The prime contractor will list the team members who will work on Program XX, what their responsibilities are, and where the Program XX CPI and Critical Components will be located throughout the life of the program. This should include a matrixed table or descriptive paragraph that explains how each identified risk is mitigated at the team locations.

# 4.0 (U) S&T Protection Risks: Ensure that all elements listed in section 3 “P2 Challenges” of the S&T Protection Plan provide by DARPA are addressed below or a note indicating where they are addressed elsewhere in your protection plan is included.

4.1 (U) Threat to the Technology: The Prime Contractor should leverage available DCSA and/or FBI threat assessments and reports to identify location-specific threats as well as threats relevant to program technology thrust(s). This data is useful to capture threats in order to ensure mitigation and containment strategies are properly aligned to reduce risk

4.2 (U) Observables Identification and Containment: The Prime Contractor will describe their process for integration of OPSEC and other program-related observables into the S&T Protection Process, and provide mitigation strategies for these observables.

4.3 (U) Description of Work being performed at lower classification levels: The Prime Contractor will describe their process protecting program information when leveraging unclassified or lower classified work in support of the DARPA XX program. Include unclassified subcontractor or vendor relationships/work and the associated risk in support of the DARPA XX program.

4.4 (U) Program Risk Management: The Prime Contractor will describe how S&T Protection risks (cost, schedule, technical) will be integrated with the overall program risk management.

# 5.0 (U) Program Financial / Procurement Requirements:

(CUI) The prime contractor will identify key program financial and procurement observables specific to this program, and identify containment strategies to prevent these issues from compromising the S&T protection strategy and revealing a capability critical to national security.

# 6.0 (U) Foreign Involvement

# 6.1. (U) Treaty Compliance: The prime contractor will outline applicable treaty compliance plans and whether or not any organizations on their team receive foreign visitor and how that will impact the program’s risk of exposure

# 6.2. (U) Foreign Personnel or Foreign Subcontractors: The prime contractor will outline any foreign personnel planned or expected to participate in this program and describe how that impacts the program protection posture.

# 7.0 (U) Processes for Management and Implementation of the S&T PIP (The contractor should describe the continuous monitoring process of the S&T PIP)

7.1 (U) Audits/Inspections

7.2 (U) Engineering/Technical Reviews

7.3 (U) Verification and Validations

7.4 (U) Sustainment

# 8.0 (U) Monitoring and Reporting Unauthorized Disclosure or Compromise

(CUI) The prime contractor will detail their monitoring strategy for program observables, and identify how they will prevent unauthorized disclosure or compromise through protection planning strategies to support their entire team (to include subcontractors and vendors).

# 9.0 (U) Program Material Disposition Requirements:

9.1. (CUI) Material Disposition: The prime contractor will articulate disposition of material X in accordance with federal and state safety guidelines to include any coordination with the Defense Contracts Management Agency (DCMA).

9.2. (CUI) Material Archival: The prime contractor will describe procedures to ensure that if not required by the transition partners, the operational prototype will be kept for program disposition until the end of contract and shipped/couriered to DARPA IAW with PSO guidance.

9.3. (CUI) Information System Disposition: The prime contractor will articulate disposition of information systems in accordance with guidance outlined in the applicable contract DD Form 254.

# 10.0 (U) Definitions

(U) Countermeasures: The employment of devices or techniques that impair the operational effectiveness of enemy activity. Countermeasures may include anything that effectively negates an adversary’s ability to exploit vulnerabilities.

(U) Critical Component: A subsystem, assembly, or component of a system that itself delivers mission-critical functionality to the system, or that may, by virtue of system design, expose vulnerability in the mission-critical functions of other components within the system.

(U) Critical Program Information (CPI): CPI are U.S. capability elements that contribute to the warfighters’ technical advantage, which if compromised, undermines U.S. military preeminence. U.S. capability elements may include, but are not limited to, software algorithms and specific hardware residing on the system, its training equipment, or maintenance support equipment.

(U) Inherited CPI: CPI that is owned and generated by one RDT&E program, subsystem, or project, and is incorporated into, and used by, another RDT&E program.

(U) Organic CPI: Unique CPI that is owned and generated by an RDT&E program.

(U) Risk: A future event or condition that may have a negative effect on achieving program objectives for cost, schedule, or performance. Risk are defined by (1) the probability of an undesired event or condition, and (2) the consequences, impact, or severity of the undesired event if it were to occur.

(U) Risk Management: The process of identifying, assessing, and controlling risks by making decisions that balance risk costs with mission benefits. Costs may be measured in financial cost, loss of asset, loss of information, or loss of reputation.

(U) Technical Decomposition: Method of analysis that breaks down a complex process or system by means of its functions in a hierarchal manner to identify critical components potentially requiring enhanced protection.

(U) Threat: An assessment of foreign adversary interest and skill in obtaining CPI.

(U) Unauthorized Disclosure: A communication or physical transfer of non-public information, controlled unclassified, or classified information to an unauthorized recipient.

(U) Vulnerability: A condition enabling an adversary to collect, analyze, and react to critical information or indicators.

# 11.0 (U) Other Addenda as Required

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> Download Attachment_1_-_PROPOSAL_TEMPLATE_-_VIDEO_ABSTRACTS.pptx (31,282 KB): grants.gov

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> Download PPTX file: Attachment_1_-_PROPOSAL_TEMPLATE_-_VIDEO_ABSTRACTS__REVISED_.pptx