darpa_baa_08_5_thz_electronics_final_for_posting_13jun08.pdf

Broad Agency Announcement Terahertz Electronics

Microsystems Technology Office

DARPA-BAA-08-51

06/13/2008

Table of Contents:

Part I: Overview Information…………………………………………..…3 Part II: Full Text of Announcement Sec. I: Funding Opportunity Description…………………………4 Sec. II: Award Information……………………………………….11 Sec. III: Eligibility Information……………………………….….11

A. Eligible Applicants B. Cost Sharing and Matching C. Other Eligibility Criteria

Sec. IV. Application and Submission Information………………13 A. Address to Request Application Package B. Content and Form of Application

Submission C. Submission Dates and Times D. Intergovernmental Review E. Funding Restrictions

Sec. V. Application Review Information………………………...21 A. Evaluation Criteria B. Review and Selection Process

Sec. VI. Award Administration Information…………………..…24 A. Award Notices B. Administrative and National Policy Requirements C. Reporting Requirements

Sec. VII. Agency Contacts…………………………………….…32

Part One: Overview Information

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

• Funding Opportunity Title – Terahertz Electronics

• Announcement Type – Initial Broad Agency Announcement (BAA)

• Funding Opportunity Number – DARPA-BAA-08-51

• Catalog of Federal Domestic Assistance Numbers (CFDA) – 12.910 Research and Technology Development

• Dates o Proposal Abstract Due Date – 4pm EDT 07-14-2008 o Proposal Due Date – 4pm EDT 08-29-2008

• Concise description of the funding opportunity - DARPA is soliciting innovative research proposals in Terahertz (THz) Electronics. Proposed research should investigate innovative approaches that enable revolutionary advances in electronic devices and integrated circuits achieving THz frequencies (at least 1.0 x 1012 cycles per second). Specifically excluded is research that primarily results in evolutionary improvements to the existing state of practice.

• Anticipated individual awards – Multiple awards are anticipated.

• Types of instruments that may be awarded -- Procurement contract, grant, cooperative agreement or other transaction.

• Agency contact o Mark Rosker DARPA/Office

ATTN: DARPA-BAA-08-51

3701 North Fairfax Drive Arlington, VA 22203-1714 Phone: (571) 218-4507 Fax: (703) 807-1796 Email: mark.rosker@darpa.mil

Part Two: Full Text of Announcement

I. FUNDING OPPORTUNITY DESCRIPTION

The Defense Advanced Research Projects Agency often selects its research efforts through the Broad Agency Announcement (BAA) process. The BAA will appear first on the FedBizOpps website, http://www.fedbizopps.gov/, and Grants.gov website at http://www.grants.gov/. The following information is for those wishing to respond to the

BAA.

DARPA is soliciting innovative research proposals for the development of Terahertz (THz) Electronics devices and integrated circuits. Proposed research should investigate innovative approaches that enable revolutionary advances in electronic devices and integrated circuits resulting in their ability to operate at THz frequencies (at least 1.0 x 1012 cycles per second). Specifically excluded is research that primarily results in evolutionary improvements to the existing state of practice.

A. Background and Description

The sub-millimeter wave (sub-MMW) frequency band between 0.3 to 3 THz has historically been extremely difficult to access due to a lack of effective means to generate, detect, process, and radiate radio-frequency (RF) signals. The range of potential applications associated with the sub-MMW band is nonetheless extensive, including imaging, radar, spectroscopy, and communications. Common to these and other applications is the critical need for greatly improved THz transmitter and receiver technologies. For transmitters, the primary need is the development of higher power sources and amplifiers with acceptable wall-plug efficiency, instantaneous bandwidth, and gain in order to enable practical military systems. For receivers, which have attracted markedly less attention (apart from cryogenic detectors), a tremendous opportunity exists to enable dramatic improvements in system performance including improved noise figure and phase noise characteristics. Relative to bolometers, Schottky diodes, and other conventional “direct” (rectifying) detector approaches, enormous signal-to-noise ratio improvements (70dB or more) could be realized through spectral filtering and phase coherent processing techniques such as those commonly used at RF and microwave frequencies. These include, but are not necessarily limited to, the use of coherent heterodyne processing in which the relative phases of transmit and receive signals are exploited.

Coherent heterodyne processing is facilitated at lower RF frequencies by the development of microwave monolithic integrated circuits (MMICs), in which all requisite circuit elements are integrated into a compact circuit. Such circuits are also amenable to integration into arrays including, for example, RF active electronic scanning arrays.

While MMICs may contain a variety of active (and on-chip passive) components, they generally use transistors as their active devices. Historically, the unity-current-gain frequency (ft) and maximum oscillation frequency (fmax) of transistor devices have been well below this sub-MMW band, precluding the use of transistor electronics for applications in this frequency range. Electronic approaches in this band have, therefore, been dominated by two-terminal devices, such as Schottky diodes, and by vacuum electronic approaches, such as backward wave oscillators, klystrons, and gyrotrons.

Neither of these approaches is attractive for the realization of compact integrated circuits.

Significant progress has recently been made in increasing the maximum frequency of operation of transistor electronics. Several DARPA programs, including TFAST, SWIFT, and TEAM, have been instrumental in this development. For example, InP heterojunction bipolar transistors (HBT) have recently achieved room-temperature ft values approaching 0.8THz. Progress has also been made with high-speed field effect transistors, such as InP High Electron Mobility Transistors (HEMTs), including a reported value for fmax that exceeds 1.0THz. While these results are impressive, the theoretical limit of the speed of transistors, though incompletely understood, appears to be well beyond 1THz for the highest performance materials and device structures.

As an example, the limit of the speed of a HBT device is known to depend on the time required for a carrier to transit the base and collector regions as well as on the RC charging time. Aggressive scaling of device dimensions to reduce transit and charging times clearly offers a way to achieve higher cutoff frequencies and THz operation.

Because increasing the HBT frequency necessitates correspondingly increasing the current densities, such scaling is extremely challenging as each reduction of device dimensions demands commensurate reduction of parasitic impedances, particularly emitter resistivity. Additionally, since current densities of HBT devices scale inversely with device dimensions, thermal management and other design issues assume enormous importance.

As suggested above, a significant shortcoming of THz electronics has been the lack of high density integrated circuit technology. For instance, state-of-the-art cascaded frequency multiplier chains typically use single devices that are packaged into large, hand-machined blocks interconnected by waveguides using custom-fabricated transitions.

The size, weight, and cost of such structures prohibit their use in many applications.

Achieving the far higher level of integration needed to enable practical THz systems, such as arrays, will require innovative methods for integrating devices into compact circuits. Low-loss interconnects between circuit elements are essential for achieving acceptable performance from these systems. Sub-MMW integrated circuits have recently been demonstrated, but these circuits operate at frequencies well below 1.0THz.

Recently, compact, micromachined vacuum electronic devices have made it possible to produce compact and relatively high power sub-MMW sources. This technology offers one possible path to achieving efficient THz transmitters, but significant hurdles remain.

The most obvious such hurdle is the complex and difficult frequency scaling required for this technology to achieve 1.0THz operation. Moreover, phase-sensitive transmit / receive (TR) systems typically require high power amplifiers (HPAs), not free-running sources. At THz frequencies, integration of an HPA with a first-stage exciter in a relatively compact assembly represents a formidable challenge, but has enormous payoff.

B. Program Objective

The objective of the THz Electronics program will be to develop the critical device and integration technologies necessary to realize compact, high-performance electronic circuits that operate at center frequencies exceeding 1.0 THz. Accomplishment of this goal will be validated through the demonstration of specific Program Test Circuits (see “Deliverables” below).

C. Technical Areas of Interest

DARPA seeks innovative proposals in the following two Technical Areas of Interest. A single proposal may address only one Technical Area of Interest, but is required to address that Area in a comprehensive manner. Proposers wishing to address both Technical Areas of Interest should submit separate proposals for each Area. Proposals that address more than one Technical Area of Interest will be considered not responsive.

Technical Area I: Terahertz Transistor Electronics. This Area will develop and demonstrate technologies for transistor devices and integrated circuits operating at THz frequencies. These include:

1. THz Transistors. The proposer will demonstrate transistors with performance sufficient to meet the requirements of the Program’s Test Circuits, which are:

(a) a THz Exciter Circuit, (b) a THz Receiver Circuit Module, and (c) a Dynamic THz Frequency Divider. Proposers should identify the unity-current-gain frequency (ft) and maximum oscillation frequency (fmax) that these Test Circuits will require and should identify a path by which transistor performance can be scaled to achieve the required ft and fmax goals for each Program Phase. Proposers should describe a process (or processes) for realizing these active devices, including strategies for mitigation of parasitic impedances and addressing thermal management requirements. Approaches may include, but are not limited to, Heterojunction Bipolar Transistors (HBT) and High Electron Mobility Transistors (HEMT). The specific semiconductor material(s) in which these devices will be fabricated (e.g., InP, GaAs, GaN, Si, SiGe, or other semiconductor alloy) should be clearly stated. Models of the transistors that provide accurate values of all relevant performance parameters at the frequencies of interest should be developed and validated.

2. THz Monolithic Integrated Circuits. The proposer will develop a process to construct THz monolithic integrated circuits (TMICs) that meet the performance and yield metrics of the program. This will include a strategy for producing on-chip RF interconnects, with requisite low-loss propagation characteristics, compatible with integration into a monolithic process. The performance characteristics (e.g., insertion loss) of these interconnects will be measured and modeled. The proposer will develop a process to link THz active devices with passive components using low loss THz interconnects to form high-performance monolithic subcircuits. This approach must be appropriate for use with batch fabrication methods that provide a reasonable manufacturing yield. The specific TMICs to be demonstrated (e.g., low noise amplifiers, mixers) will be specified by the proposer, but will include the subcircuit elements required to realize the Program’s Test Circuits.

Performance models of the TMIC circuits at the frequencies of interest should be developed and validated.

3. THz Inter-Element Interconnects. The proposer will develop an approach to achieve low-loss, high-frequency interconnections between TMIC elements compatible with integration into microelectronic circuit modules. Such an approach might involve (but is not limited to) the use of micromachined waveguides and transition elements. The performance characteristics (e.g., insertion loss) of these interconnects will be measured and modeled.

4. THz Circuit Integration. The proposer will develop a process to combine

THz active devices, passive components, TMICs, and THz inter-element interconnects to form high-performance microelectronic circuit modules. The approach may be monolithic, an assembly, or any combination of these, but must be compatible with batch fabrication methods. As necessary, methods that insure precise alignment and interconnect tolerances should be developed.

The approach developed must be capable of achieving, with reasonable manufacturing yield, the level of complexity required to realize the Program Test Circuits.

5. THz Test Circuit. The proposer will develop approaches for realizing the required Program Test Circuits that have performance consistent with meeting the program’s metrics (see section D below). For the THz Exciter, the circuit approach should provide a mechanism for low-loss integration of the exciter with a high power amplifier. For the THz Receiver Circuit, the module should include an antenna that enables THz signals to be efficiently coupled from free space. The selected integration approach should be compatible with the development of receiver arrays whose elements are separated by distances on the order of the carrier frequency.

6. THz Metrology. The proposer will develop methods for testing transistor devices and circuits at THz frequencies as required and, in particular, will develop and implement a test plan to validate performance of Program Test Circuits relative to program goals. The approach proposed should describe the selected strategy for producing low-loss fixtures and transitions that allow testing of devices and circuits at frequencies to ~1.0THz. Innovative means must be developed to overcome the lack of automated THz test equipment and to minimize turnaround time.

Technical Area II: Terahertz High Power Amplifier (HPA) Modules. This Area will address technologies for high power amplification of a THz signal in compact modules.

These include:

1. THz Power Amplifiers. The proposer will demonstrate a power amplifier device capable of amplifying radiation at THz frequencies. Approaches may include, but are not limited to, vacuum electronic devices (such as travelling wave tubes and extended interaction klystrons) or photonic amplifiers, but must be compact and amenable to integration with solid-state exciters. Device performance characteristics will be consistent with the program metrics (see section D below) taking into account predicted losses when the devices are integrated into an assembly. Note that high-power sources (as opposed to amplifiers) are not responsive to this BAA.

2. Compact THz HPA Module. The proposer will develop approaches for realizing the Program Test Circuit that has performance consistent with the program metrics (see section D below). The module will include an antenna that facilitates efficient coupling of THz signals to free space. The module should be designed for integration with a solid-state exciter such as that described in Technical Area I.

3. THz Metrology. The proposer will develop means of testing power amplifiers at THz frequencies to validate their performance relative to program goals.

The proposed approach should describe the plan for implementing low-loss fixtures and transitions that allow testing of devices and circuits at up to 1.0THz. Innovative means will be developed to overcome the lack of automated THz test equipment and to minimize turnaround time.

D. Program Organization and Metrics

The program will be conducted in three Phases, each having definite, measurable metrics, the most critical of which are designated as Go/No-Go (GNG) Metrics.

Programmatically, the principal difference between Phases is the center operating frequency of the key deliverables described in Section E below. The center operating frequencies for these test circuits will be 0.67, 0.85, and 1.03 THz for Phases I, II, and III, respectively.

Each Phase will culminate in specified demonstration(s), which will serve to validate that the goals of that Phase have been achieved and that the performer has met the GNG metrics. Proposers should describe, in detail, within their proposal how they plan to evaluate the demonstration circuits so that they can validate that they have met the GNG requirements. Performers are expected to meet or exceed all GNG Metrics shown in Table 1 by the conclusion of each Phase. Proposers may, at their option, propose more ambitious values for any of the GNG Metrics than those indicated in Table 1. In general, proposals committing to the most aggressive GNG Metrics in each Phase will be preferred, provided that the risk in delivering the stated metrics, as described in the proposal, is considered reasonable by the reviewers.

In addition to GNG Metrics, bidders are requested to propose additional metrics (“Proposer-Defined Metrics”). Several representative examples are provided in Table 1.

Such metrics may be specific to the particular approach and should provide insight into some of the secondary performance goals, particularly device goals, expected to be met by the end of each Phase consistent with achieving the program GNG Metrics.

Metric Unit Phase I Phase II Phase III GNG Metrics

Center Operating Frequency GHz 670 (1) 850 (1) 1030 (1) Exciter Pout dBm 4 2 0 Exciter Phase Noise (2) dBc/Hz –33 –30 –27 Exciter Modulation Bandwidth GHz 15 15 15 Exciter Slew Rate GHz/ms 15 15 15 Receiver NF dB 12 12 12 Receiver Instantaneous Bandwidth (3) GHz 15 15 15

A rea I:

E xciter/R eceiver

RF Yield (4) % 50 50 50 Pout (5) dBm 18 14 10 Power Added Efficiency % 0.75 0.5 0.2 Instantaneous Bandwidth (3) GHz 15 15 15

A rea II:

H

PA

Gain dB 20 18 16 Proposer-Defined Metrics (Representative Examples)

Transistor Ft THz 0.9 1.1 1.35 Transistor Fmax THz 1.2 1.5 1.8 LNA gain dB 20 20 20 Mixer Conversion Loss dB 12 12 12 Waveguide Loss dB/mm 0.2 0.2 0.2

A rea I:

E xciter/R eceiver Receiver Module Volume mm3 5 3.5 2 THz Power Module Volume mm3 Antenna Insertion Loss dB 1 1 1

II:

H

PA

IP3 dB

(1) All metrics in a given Phase must be met at this frequency

(2) At 100Hz offset

(3) Values shown are minimum; bidders are encouraged to propose greater values

(4) RF Yield determined by fraction of test circuits across a test wafer meeting pass criteria. Test circuit: dynamic frequency divider circuit operating at the specified frequency for that Phase, with a divide ratio of at least 2:1 and with an input power not to exceed 80% of the proposed Exciter Pout. Pass criteria: (a) measured clock frequency at least 80% of specified target; and (b) measured bandwidth (clock frequency range) at least equal to the proposed Exciter Modulation Bandwidth.

(5) At least 50% duty cycle

Proposers must define a realistic schedule and budget that meets the metric and deliverable requirements. The proposed period of performance for each of these Phases and metric schedule will be included by Proposers within their technical proposals and will be factors considered as part of the source selection process (see below). In general, shorter Phases are preferable, but each Phase should clearly be adequate in duration to meet its objectives, assuming reasonable risks and at a reasonable cost. Proposals should discuss plans for managing these factors. Program plans should include Proposer-Defined Metrics every six months.

E. Deliverables

The primary deliverables for each Phase of the THz Electronics program will be the experimental demonstrations at the center frequency required for that Phase as described above, including:

Technical Area I: Terahertz Transistor Electronics

• THz Exciter Circuit capable of producing a THz RF output by frequency upconverting local oscillator (LO) and intermediate frequency (IF) inputs. The performer will specify a scheme by which this frequency conversion will occur (which could involve any specified combination of, for example, frequency multipliers, mixers, amplifiers, etc.). The RF output of the Exciter Circuit will have a frequency determined by the LO and IF input frequencies and modulation characteristics (phase, frequency, or amplitude) of the IF input. IF and LO inputs may be produced off-chip, but should not exceed a frequency of 120 GHz.

• THz Receiver Circuit Module containing an antenna integrated and circuit elements necessary to collect and downconvert a modulated THz RF signal into an IF output (at a frequency no higher than 120 GHz), given an input LO signal equivalent to that used in the THz Exciter. While the receiver circuit need only be a single element, the proposers should show how the approach is consistent with integration into multi-element receiver arrays with antenna spacing of order of the center frequency wavelength.

• Dynamic Frequency Divider Circuit operating with its fundamental input at the THz RF frequency, with a divide ratio of at least 2:1.

Technical Area II: Terahertz High Power Amplifiers (HPAs)

• Compact THz HPA Module containing a broadband and efficient amplifier, meeting or exceeding the GNG metrics in Section D, with input coupled to a suitable THz RF input port, and output coupled to an integrated compact antenna to efficiently radiate the THz RF output signal.

The performer should deliver the demonstration devices (or copies thereof) along with a description of the test equipment and test procedures necessary to enable the government to conduct independent test and evaluation.

In addition to these items, deliverables should include intermediate reports at quarterly intervals and a final technical report, which will include the transition plan.

II. 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 the Source Selection Authority later determines them 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. If the proposed effort is inherently divisible and nothing is gained from the aggregation, proposers should consider submitting it as multiple independent efforts. The Government reserves the right to fund proposals in phases with options for continued work at the end of one or more of the phases. Further, DARPA reserves the right to select all, some, one or none of the proposals received in either or both Technical Areas.

Awards under this BAA will be made to proposers on the basis of the evaluation criteria listed below (see section labeled “Application Review Information”, Sec. V.), and program balance to provide overall value to the Government. Proposals identified for negotiation may result in a procurement contract, grant, cooperative agreement, or other transaction depending upon the nature of the work proposed, the required degree of interaction between parties, and other factors. Award of such instruments is contingent on availability of funding.

III. ELIGIBILITY INFORMATION

A. Eligible Applicants

All responsible sources capable of satisfying the Government's needs may submit a proposal that shall be considered by DARPA. Historically Black Colleges and Universities (HBCUs), Small Businesses, Small Disadvantaged Businesses and Minority Institutions (MIs) are encouraged to submit proposals and join others in submitting proposals; however, no portion of this announcement will be set aside for these organizations’ participation due to the impracticality of reserving discrete or severable areas of this research for exclusive competition among these entities. Independent proposals from Government/National laboratories may be subject to applicable direct competition limitations, though certain Federally Funded Research and Development Centers are excepted per P.L. 103-337§ 217 and P.L 105-261 § 3136. Proposers from Government/ National Laboratories must provide documentation to DARPA to establish that they are eligible to propose and have unique capabilities not otherwise available in private industry.

Foreign participants and/or individuals may participate to the extent that such participants comply with any necessary Non-Disclosure Agreements, Security Regulations, Export Control Laws, and other governing statutes applicable under the circumstances.

1. Procurement Integrity, Standards of Conduct, Ethical

Considerations, and Organizational Conflicts of Interest

Current federal employees are prohibited from participating in particular matters involving conflicting financial, employment, and representational interests (18 USC 203, 205, and 208.). The DARPA Program Manager for this BAA is Mark Rosker. As of the date of first publication of the BAA, the Government has not identified any potential conflicts of interest involving this program manager. Once the proposals have been received, and prior to the start of proposal evaluations, the Government will assess potential conflicts of interest and will promptly notify the proposer if any appear to exist.

(Please note the Government assessment does NOT affect, offset, or mitigate the proposer’s own duty to give full notice and planned mitigation for all potential organizational conflicts, as discussed below.) The Program Manager is required to review and evaluate all proposals received under this BAA and to manage all selected efforts. Proposers should carefully consider the composition of their performer team before submitting a proposal to this BAA.

All Proposers and proposed subcontractors must affirm whether they are providing scientific, engineering, and technical assistance (SETA) or similar support to any DARPA technical office(s) through an active contract or subcontract. All affirmations must state which office(s) the Proposer supports and identify the prime contract numbers. Affirmations shall be furnished at the time of proposal submission. All facts relevant to the existence or potential existence of organizational conflicts of interest (FAR 9.5) must be disclosed. The disclosure shall include a description of the action the Proposer has taken or proposes to take to avoid, neutralize, or mitigate such conflict. In accordance with FAR 9.503 and without prior approval or a waiver from the DARPA Director, a Contractor cannot simultaneously be a SETA and Performer. Proposals that fail to fully disclose potential conflicts of interests and/or do not have plans to mitigate this conflict will be returned without technical evaluation and withdrawn from further consideration for award.

If a prospective Proposer believes that any conflict of interest exists or may exist (whether organizational or otherwise), the Proposer should promptly raise the issue with DARPA by sending Proposer's contact information and a summary of the potential conflict by email to the mailbox address for this BAA at BAA08-51@darpa.mil, before time and effort are expended in preparing a proposal and mitigation plan. If, in the sole opinion of the Government after full consideration of the circumstances, any conflict situation cannot be effectively mitigated, the proposal may be returned without technical evaluation and withdrawn from further consideration for award under this BAA.

B. Cost Sharing/Matching

Cost sharing is not required for this particular program; however, cost sharing will be carefully considered where there is an applicable statutory condition relating to the selected funding instrument (e.g., for any Other Transactions under the authority of 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.

C. Other Eligibility Criteria (optional)

1. Collaborative Efforts

Collaborative efforts/teaming are encouraged. A website, (www.davincinetbook.com/teams), has been established to facilitate formation of teaming arrangements between interested parties. Specific content, communications, networking, and team formation are the sole responsibility of the participants. Neither DARPA nor the Department of Defense (DoD) endorses the destination web site or the information and organizations contained therein, nor does DARPA or the DoD exercise any responsibility at the destination. This website is provided consistent with the stated purpose of this BAA.

IV. APPLICATION AND SUBMISSION INFORMATION

A. Address to Request Application Package

This solicitation contains all information required to submit a proposal. No additional forms, kits, or other materials are needed. This notice constitutes the total BAA. No additional information is available, nor will a formal Request for Proposal (RFP) or additional solicitation regarding this announcement be issued. Requests for same will be disregarded.

B. Content and Form of Application Submission

1. Abstract and Proposal Information

Proposers who choose to use abstracts are strongly encouraged to submit a proposal abstract in advance of a full proposal. This procedure is intended to minimize unnecessary effort in proposal preparation and review. The time and date for submission of proposal abstracts is specified in Section C below. DARPA will acknowledge receipt of the submission and assign a control number that should be used in all further correspondence regarding the proposal abstract.

DARPA will respond to proposal abstracts with a statement as to whether DARPA is interested in the idea. DARPA will attempt to reply to proposal abstracts within thirty

(30) calendar days of receipt. Proposal abstracts will be reviewed in the order they are received. Early submissions of proposal abstracts and full proposals are strongly encouraged because selections may be made at any time during the period of solicitation.

Regardless of DARPA’s response to a proposal abstract, proposers may submit a full proposal. DARPA will review all full proposals submitted using the published evaluation criteria and without regard to any comments resulting from the review of a proposal abstract.

Proposers are required to submit full proposals by the time and date specified in the BAA in order to be considered during the initial round of selections. DARPA may evaluate proposals received after this date for a period up to one year from date of posting on FedBizOpps and Grants.gov. Evaluation outcome notwithstanding, consideration and/or selection remains contingent on availability of funds.

A single proposal may address only one Technical Area of Interest, but is required to address that Area in a comprehensive manner. Proposers wishing to address both Areas of Interest should submit separate proposals for each Area. Proposals that address more than one Technical Area of Interest will be considered not responsive.

Restrictive notices notwithstanding, proposals may be handled, for administrative purposes only, by a support contractor. This support contractor is prohibited from competition in DARPA technical research and is bound by appropriate nondisclosure requirements.

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

For Proposers Posting to Grants.Gov:

Proposers may elect to use the Grants.gov APPLY function if the applicant is seeking a grant or cooperative agreement. The APPLY function replaces the proposal submission process that other proposers follow. The APPLY function does not affect the proposal content or format. The APPLY function is electronic; proposers do not submit paper proposals in addition to the Grants.gov APPLY electronic submission.

For All:

All administrative correspondence and questions on this solicitation, including requests for information on how to submit a proposal abstract or full proposal to this BAA, should be directed to BAA08-51@darpa.mil. DARPA intends to use electronic mail for correspondence regarding BAA 08-51. Proposals and proposal abstracts may not be submitted by fax or e-mail; any so sent will be disregarded. DARPA encourages use of the Internet for retrieving the BAA and any other related information that may subsequently be provided.

For Proposers Submitting proposals through T-FIMS:

Proposals sent in response to DARPA-BAA-08-51 must be submitted through T-FIMS.

Attached to this BAA is a document entitled “T-FIMS Instructions for Proposers” (see

Attachment 1). A thorough read of this section guarantees successful submission to T- FIMS and explains all the necessary steps to submitting proposals through T-FIMS.

Because proposers using T-FIMS may encounter heavy traffic on the web server, and T- FIMS requires a registration and certificate installation for all proposers, proposers should not wait until the day the proposal is due to create an account in T-FIMS and submit the proposal. All proposers using T-FIMS must also encrypt the proposal, as per the instructions below.

All proposals submitted electronically by means of T-FIMS must be encrypted using Winzip or PKZip with 256-bit AES encryption. Only one zipped/encrypted file will be accepted per proposal and proposals not zipped/encrypted will be rejected by DARPA.

An encryption password form must be completed and emailed to BAA08-51@darpa.mil at the time of proposal submission. See https://www.tfims.darpa.mil/baa/ for the encryption password form.

Note the word “PASSWORD” must appear in the subject line of the above email and there are minimum security requirements for establishing the encryption password.

Failure to provide the encryption password may result in the proposal not being evaluated. For further information and instructions on how to zip and encrypt proposal files, see https://www.tfims.darpa.mil/baa/.

2. Proposal Abstract Format

Proposal abstracts are encouraged in advance of full proposals in order to provide potential offerors with a rapid response and to minimize unnecessary effort. Proposal abstracts should follow the same general structure described for Volume I (see section II & III), but are expected to provide a concise summary rather than extensive detail. The proposal abstract should provide schedule and cost information. The maximum page lengths for each section shown in braces { } below can be neglected; however, the total length excluding the cover sheet shall not exceed ten (10) pages. The cover sheet should be clearly marked "PROPOSAL ABSTRACT." All pages shall be formatted to 8- 1/2 by 11 inch paper with type not smaller than 12 point. The page limitation for proposal abstracts includes all figures, tables, and charts. No formal transmittal letter is required.

All proposal abstracts must be written in English.

3. Full Proposal Format

All full proposals must be in the format given below. Nonconforming proposals may be rejected without review. Proposals shall consist of two volumes. All pages shall be formatted for 8-1/2 by 11 inch paper with type not smaller than 12 point. Smaller font may be used for figures, tables and charts. The page limitation for full proposals includes all figures, tables, and charts. Volume I, Technical and Management Proposal, may include an attached bibliography of relevant technical papers or research notes (published and unpublished) which document the technical ideas and approach upon which the proposal is based. Copies of not more than three (3) relevant papers can be included with the submission. The bibliography and attached papers are not included in the page counts given below. The submission of other supporting materials along with the proposals is strongly discouraged and will not be considered for review. Except for the attached bibliography and Section I, Volume I shall not exceed fifty-five (55) pages. Maximum page lengths for each section are shown in braces { } below. All full proposals must be written in English.

4. Volume I, Technical and Management Proposal

Section I. Administrative A. Cover sheet to include:

(1) BAA number (BAA 08-51)

(2) Technical area

(3) Lead Organization Submitting proposal

(4) Type of business, selected among the following categories: “LARGE

BUSINESS”, “SMALL DISADVANTAGED BUSINESS”, “OTHER SMALL

BUSINESS”, “HBCU”, “MI”, “OTHER EDUCATIONAL”, OR “OTHER

NONPROFIT”

(5) Contractor’s reference number (if any)

(6) Other team members (if applicable) and type of business 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), total funds requested from DARPA, and the amount of cost share (if any) and

(10) Date abstract/proposal was submitted.

B. Official transmittal letter.

Section II. Executive Summary

{3} This section should provide a clear and concise summary of the following:

• Identification of key technical challenges

• A description of the unique technical solutions and approaches being proposed

• Innovative claims for the proposed programs

• Comparison with current state-of-the-art and to alternate approaches

• Quantitative, end-of-program performance goals and the Proposer-Defined

Metrics and GNG Metrics associated with the development effort (table)

• Technology transfer path.

• Contractor capabilities, experience and past achievements that support the contention that the contractor can meet the program’s goals

• Budget summary by task and calendar year (table)

Section III. Detailed Proposal Information

This section provides the detailed discussion of the proposed work necessary to enable an in-depth review of the specific technical and managerial issues. Specific attention must be given to addressing both risk and payoff of the proposed work that make it desirable to

DARPA.

A. {20} Technical Approach & Rationale. This section should: (1) identify the key technical challenges to realizing the goals of the THz Electronics program, (2) present a description of the innovative technical solutions and approaches being proposed, and (3) provide a clear rationale as to what makes the selected approach advantageous. This section should demonstrate that the proposer has a clear and comprehensive understanding of the state-of-the-art of relevant electronic devices, circuits, integration approaches, simulation and design, and test. It should provide sufficient technical detail to permit full evaluation of the feasibility of the proposed technical approach.

B. {9} Program Plan & Risk Assessment. A narrative explaining the explicit timelines and quantitative metrics by which progress toward the proposed goals can be evaluated. Metrics (including both Proposer-Defined Metrics and GNG Metrics) should be presented in a tabular form. The narrative plan should include a specific test plan detailing how all metrics will be accurately measured. The proposed period of performance of the overall program should be clearly stated.

Performance metrics must be associated with demonstrable, quantitative measures of performance, and should be summarized in a single table. Periodic, Proposer- Defined Metrics should be stated for each six month period beginning six months after the start of the effort. This section should also include a description of the major technical risk elements specific to the proposed approach, an estimate of the risk magnitude for each such element, and specific plans to mitigate each risk. Proposers should clearly define all deliverables associated with the proposed research; all proprietary assertions to intellectual property of all types, including any background inventions, should be set forth in detail. (See VI.B.2, Intellectual Property.)

C. {3} Teaming & Management Plan. A management plan that describes how the different members of the team will collaborate to demonstrate viable solutions to the program challenges, including formal teaming agreements which are required to execute this program.

D. {3} Technology Transfer Path. Description of the results, products, transferable technology, and expected technology transfer path. The discussion should highlight the specific classes of systems expected to benefit from the technology developments and the advantages that will be afforded from their use. See also VI (C)(2) “Intellectual Property.”

E. {4} Capabilities and Accomplishments. A section describing relevant prior work, the background, qualifications and relevant experience of key individuals to be assigned to the program and the facilities and equipment to be utilized. This section should provide clear evidence that the contractor has the experience, personnel and capabilities required to meet the program’s goals. Please do not attach supporting material (CDs, movies, etc.) to the proposal, except as noted in Section IV below.

F. {1} Cost Summary. Cost schedules for the proposed research, including estimates of cost for each task in each year of the effort delineated by the primes and major subcontractors, total cost, and any company cost share. 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.

G. {7} Statement of Work (SOW). In plain English, 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. The SOW must not include proprietary information. 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 facilities and key personnel that will be assigned to accomplish each defined task

• The exit 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.

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

H. {5} Slide Summary. PowerPoint-type slides (i.e., landscape formatted for presentation) that succinctly highlight the major aspects of the proposal in a manner suitable for presentation to DARPA management. These must include an overview slide highlighting all the important aspects of the chosen approach, system-level benefits resulting from them, device challenges and the approach to meeting these challenges. Other slides should provide information such as, but not limited to, planned demonstrations, highlights of device concepts, integration approaches, and highlights of system-level benefits. The notes section of slides may contain a concise discussion of each slide.

Section IV. Additional Information

5. Volume II, Cost Proposal – {No Page Limit}

Cover sheet to include:

(1) BAA number;

(2) Technical area;

(3) Lead Organization Submitting proposal;

(4) Type of business, selected among the following categories: “LARGE

BUSINESS”, “SMALL DISADVANTAGED BUSINESS”, “OTHER SMALL

BUSINESS”, “HBCU”, “MI”, “OTHER EDUCATIONAL”, OR “OTHER

NONPROFIT”;

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

(6) Other team members (if applicable) and type of business 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-free (CPFF), cost-contract—no fee, cost sharing contract – no fee, or other type of procurement contract (specify), grant, cooperative agreement, 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; and

(18) Cage Code;

(19) Subcontractor Information; and

(20) Proposal validity period.

Detailed cost breakdown to include: (1) total program cost broken down by major cost items (direct labor, including labor categories; subcontracts; materials; other direct costs, overhead charges, etc.) and further broken down task and phase; (2) major program tasks by calendar year; (3) an itemization of major subcontracts and equipment purchases; (4) an itemization of any information technology (IT) purchase1; (5) a summary of projected funding requirements by month; and (6) the source, nature, and amount of any industry cost-sharing; and (7) identification of pricing assumptions of which may require

• 1 IT is defined as “any equipment, or interconnected system(s) or subsystem(s) of equipment that is used in the automatic acquisition, storage, manipulation, management, movement, control, display, switching, interchange, transmission, or reception of data or information by the agency. (a) For purposes of this definition, equipment is used by an agency if the equipment is used by the agency directly or is used by a contractor under a contract with the agency which – (1) Requires the use of such equipment; or (2) Requires the use, to a significant extent, or such equipment in the performance of a service or the furnishing of a product. (b) The term “information technology” includes computers, ancillary, software, firmware and similar procedures, services (including support services), and related resources. (c) The term “information technology” does not include – (1) Any equipment that is acquired by a contractor incidental to a contract; or (2) Any equipment that contains imbedded information technology that is used as an integral part of the product, but the principal function of which is not the acquisition, storage, manipulation, management, movement, control, display, switching, interchange, transmission, or reception of data or information. For example, HVAC (heating, ventilation, and air conditioning) equipment such as thermostats or temperature control devices, and medical equipment where information technology is integral to its operation, are not information technology.”

incorporation into the resulting award instrument (e.g., use of Government Furnished Property/Facilities/Information, access to Government Subject Matter Expert/s, etc.).

The prime contractor is responsible for compiling and providing all subcontractor proposals for the Procuring Contracting Officer (PCO). Subcontractor proposals include Interdivisional Work Transfer Agreements (ITWA) or similar arrangements. If seeking a procurement contract, the prime contractor shall provide a cost reasonableness analysis of proposed subcontractor prices. Such analysis shall indicate the extent to which the prime contractor has negotiated subcontract prices. 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. NOTE: for IT and equipment purchases, include a letter stating why the proposer cannot provide the requested resources from its own funding.

NOTE: The FY2008 Defense Appropriations Act caps indirect cost rates for any procurement contract, grant or agreement using 6.1 Basic Research FY08 Funding at 35% of the total cost of the award. Total costs include all bottom line costs. Indirect costs are all costs of a prime award that are Facilities and Administration costs (for awardees subject to the cost principles in 2 CFR part 220) or indirect costs (for awardees subject to the cost principles in 2 CFR part 225 or 230 or 48 CFR part 32). If DARPA anticipates using 6.1 funding for this effort, the Contractor must be made aware that total negotiated indirect cost rates may not exceed 35% of the total cost of the award. The cost limitations do not flow down to subcontractors. The original text of the Act can be found at Department of Defense Appropriations Act of 2008, Pub. L. No. 110-116, §8115, http://frwebgate.access.gpo.gov/cgi-bin/getdoc.cgi?dbname=110_cong_public_laws&docid=f:publ116.110.

Supporting cost and pricing information in sufficient detail to substantiate the summary cost estimates in B. above. Include a description of the method used to estimate costs and supporting documentation. Note: “cost or pricing data” as defined in FAR Subpart 15.4 shall be required if the proposer is seeking a procurement contract award of $650,000 or greater unless the proposer requests an exception from the requirement to submit cost or pricing data.