DARPA-BAA-09-45.doc

Broad Agency Announcement

Low-Cost Lightweight Portable Photovoltaics (PoP)

Defense Sciences Office

DARPA-BAA-09-45

April 22, 2009

4I.

Funding Opportunity Description

9II.

Award Information

10III.

Eligibility Information

10A.

Eligible Applicants

111.

Procurement Integrity, Standards of Conduct, Ethical Considerations, and Organizational Conflicts of Interest

11B.

Cost Sharing/Matching

12C.

Other Eligibility Criteria (optional)

121.

Collaborative Efforts

12IV.

Application and Submission Information

12A.

Address to Request Application Package

12B.

Content and Form of Application Submission

121.

Security and Proprietary Issues

14C.

Abstract and Proposal Information

161.

Proposal Abstract Format

172.

Full Proposal Format

24D.

Submission Dates and Times

241.

Proposal Abstract Date

242.

Full Proposal Date

24E.

Intergovernmental Review

24F.

Funding Restrictions

24G.

Other Submission Requirements

25V.

Application Review Information

25A.

Evaluation Criteria

27B.

Review and Recommendation Process

28VI.

AWARD ADMINISTRATION INFORMATION

28A.

Award Notices

28B.

Administrative and National Policy Requirements

281.

Meeting and Travel Requirements

282.

Human Use

293.

Animal Use

294.

Publication Approval

315.

Export Control

316.

Subcontracting

31C.

Reporting

32D.

Electronic Systems

321.

Central Contractor Registration (CCR)

322.

Representations and Certifications

323.

Wide Area Work Flow (WAWF)

324.

i-Edison

32VII.

AGENCY CONTACTS

33VIII.

OTHER INFORMATION

33A.

Intellectual Property – Procurement Contract Proposers

34B.

Intellectual Property – Non-Procurement Contract Proposers

34C.

All Proposers – Patents

34D.

All Proposers – Intellectual Property Representations

Part One: Overview Information

· Federal Agency Name – Defense Advanced Research Projects Agency (DARPA), DSO

· Funding Opportunity Title – Low-Cost Lightweight Portable Photovoltaics (PoP)

· Announcement Type – Initial Announcement

· Funding Opportunity Number – Broad Agency Announcement (BAA) DARPA-BAA-09-45

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

· Dates

· Posting Date: April 22, 2009

· Proposers’ Day: April 29, 2009

· Proposal abstracts are due by 4:00PM ET, June 8, 2009

· Initial Full Proposals are due by 4:00PM ET, August 24, 2009

· Closing Date, 4:00PM ET, April 21, 2010

· Description of the Funding Opportunity – DARPA is soliciting innovative research proposals in the area of photovoltaic power sources that excel in efficiency, portability, flexibility, durability, and ease of manufacture.

· Multiple awards are anticipated.

· Types of instruments that may be awarded – Procurement contract, cooperative agreement, or other transaction.

· Agency contact

· Points of Contact:

The BAA Technical POC is Dr. Cindy Daniell, who can be reached at DARPA-BAA-09-45@darpa.mil The BAA Administrator for this effort can be reached at:

Electronic mail: DARPA-BAA-09-45@darpa.mil

DARPA/DSO

ATTN: DARPA-BAA-09-45

3701 North Fairfax Drive

Arlington, VA 22203-1714

Phone: (571) 218-4565

Solicitations can be viewed at:

Web: http://www.darpa.mil/dso/solicitations/solicit.htm 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/. The following information is for those wishing to respond to the BAA.

DARPA is soliciting innovative research proposals to develop revolutionary technologies that greatly reduce the mass and cost of portable photovoltaic devices while at the same time supporting high power conversion efficiency. Specifically, DARPA seeks new integrated photovoltaic technologies that have at least 20% power conversion efficiency (under AM1.5 illumination at one sun) in a form factor amenable to low cost production on flexible substrates. The proposals must support truly durable, portable devices with high flexibility and low total device density. To meet this challenge, technologies that incorporate thin-film semiconductors, microcrystalline semiconductors, or materials with similar properties will be considered. Proposed research should investigate innovative approaches that enable revolutionary advances in science, devices, and/or systems. Specifically excluded is research that primarily results in evolutionary improvements to the existing state of practice.

DARPA requests proposals for the full scope of development (i.e., an end-to-end portable photovoltaic device) designed by a team of multidisciplinary research organizations including a Principal Investigator for scientific and programmatic continuity. To span the requisite technical breadth necessary for the effort, appropriate teaming may be a critical element in responding to the DARPA PoP solicitation. A teaming website, http://www.sainc.com/PoPTeaming, will facilitate the formation of teams with the necessary expertise. DARPA will not be funding component technologies that address only a subset of the technologies listed in this solicitation. Please note that proposals addressing only individual component-level technologies may be considered noncompliant to this BAA.

To be considered for funding, proposers must address all aspects of portable photovoltaic devices: light acquisition, energy capture, carrier extraction, robust and durable portability, and flexibility. Proposers must provide technical rationale for all of these areas and prototype integration, and demonstrate a complete path to achieving the Program Metrics (presented below in Section I.B., Program Go/No-Go Metrics) in a single device for each of the three Phases. Responders must quantitatively and analytically express how their solutions will meet the Program Metrics and provide previous experimental evidence, if applicable.

DARPA seeks innovative proposals that incorporate all the following Areas of Interest:

Technical Area One: Light Acquisition and Energy Capture. Efficient photovoltaic devices will be active across a broad absorbance spectrum, and will lose minimal photons to reflection, scattering, and related processes. Additionally, on-board optical techniques may boost photovoltaic efficiency and/or lower system mass by improving the capture of incoming photons (via waveguide effects, etc.) in thin devices. Proposers should quantitatively assess the maximum performance of their systems with respect to AM1.5 illumination at both 90° and 45°.

Technical Area Two: Carrier Extraction. Absorbed photons must be efficiently converted to electrical power output, with steps taken to minimize electron-hole recombination, resistive losses, etc. If the initial light absorption event is followed by intermediate steps (downconversion, etc.), the impact of these steps on the overall power conversion efficiency should be quantitatively assessed and included in power conversion efficiency calculations.

Technical Area Three: Robust and Durable Portability. Devices must be engineered with eventual technology transition to the Department of Defense in mind. Many current technologies lose function if they are exposed to extreme environments, punctured, or otherwise handled roughly. Proposed technologies must also exhibit optical durability, defined by the percentage of original output retained after one year’s equivalent of outdoor exposure, tested with AM1.5 illumination at one sun intensity. Form factors with very large length/width aspect ratios are discouraged.

Technical Area Four: Flexibility. To withstand the rigors of field use, aid in transport, and enable a variety of useful form factors (backpacks, tents, etc.), the ideal system would be flexible across any and all axes of curvature. Flexibility is defined according to the proposed system’s minimum radius of curvature, and systems with multi-axis flexibility will be given higher consideration.

A. Program Phases

The PoP program is articulated into three phases. The goal of Phase I is to rapidly demonstrate a portable photovoltaic device which achieves low cost, low mass, high flexibility, and useful durability with a power conversion efficiency comparable to many (non-portable) commercial photovoltaic panels. The goal of Phase II is to extend that technology to a versatile prototype with the form factor and performance characteristics needed to revolutionize the generation of electricity in the field for the Department of Defense. The goal of Phase III is to engineer devices to meet the rigorous durability demands imposed by the Department of Defense’s mission, and to do so on a large scale, thus preparing a system for technology transition.

Each phase should not exceed 18 months in duration. Proposers should plan for the test and evaluation of their components and device within each phase length.

A successful proposal will thoroughly discuss all details for meeting all of the Go/No-Go metrics set forth for Phase I, Phase II, and Phase III. At the end of each phase, performance will be evaluated based on achievement of the stated metrics. Successful completion of a given Phase does not guarantee selection to proceed to a subsequent Phase. Proposals that do not address all three Phases of the Program are not compliant with this BAA and will not be reviewed.

The Government recognizes that cost proposals for Phases II and III must be approximate because the core technologies that are to be scaled to the Program Metrics of these Phases may remain uncertain until the end of Phase I. Although a comprehensive cost proposal for the first (base) phase is required, cost proposals for the two options may be rough order of magnitude (ROM) estimates. These ROM estimates will be refined into detailed technical and cost proposals sixty days prior to completion of the base effort to facilitate a smooth transition into the second and third phases.

B. Program Go/No-Go Metrics

Table 1A: Program Metrics

Table 1B: Additional Program Metrics

In Phases I and II, cost is defined only according to the materials and energy (e.g., the cost of highly-demanding manufacturing processes (heating to 1000K, etc.) and other expensive processes must be included) used in construction, excluding labor. In Phase III, cost is defined as including all costs of producing the system at the required scale.

Power conversion efficiency should assume AM1.5 illumination at an angle normal to the device’s surface, and an intensity of one sun. Higher consideration will be given to proposals for systems which also perform well at angles other than normal to the device.

Power conversion efficiency is the ratio of the power produced by the device divided by the power directed at the device.

Density is defined to be inclusive of the system’s full mass, divided by the same surface area used in calculating its power conversion efficiency.

* Number of 2mm punctures and percentage of original power retained after puncturing.

Environmental Testing Metrics

In the following tests, function is defined such that the device produces at least 80% of its specified electrical output during or after the conditions described. Operational is defined such that the device is connected to an output and producing electricity, as opposed to being in a state suitable for storage. Function may be required by the Government during a test, or after a test. Illumination will be based on standard National Renewable Energy Laboratory (NREL) testing conditions (see http://www.nrel.gov/pv/testing_evaluation.html) for AM1.5 illumination at one sun intensity.

Proposers are also encouraged to refer to the current (10/31/08) version of MIL-STD-810G “Department of Defense Test Method Standard- Environmental Engineering Considerations and Laboratory Tests”, available for download from http://www.dtc.army.mil/publications/milstd.aspx, for examples of Department of Defense protocols for environmental testing. Some or all of the following tests will be based on these protocols, as well as NREL procedures.

Phase I:

· Standard NREL lifetime testing to cover both high temperatures (normal ambient temperature, but full sunlight equivalent for extended exposures) and photodamage.

· Additional tests to verify that the item can handle being stored under cold (0 °C) conditions, or high (95+% relative) humidity.

Phase II:

· NREL testing at elevated temperatures (up to 43 °C ambient, with storage up to 63 °C).

· Device must retain flexibility at low temperature.

· Device must function after 30 minutes of storage under simulated rain.

· Device must function during high humidity.

· Device must function after exposure to a dust chamber.

Phase III:

· NREL testing at very hot temperatures (up to 49 °C ambient, with storage up to 71 °C).

· Device must retain function after being stored at very cold (-21 °C) conditions, and function at low (0 °C) temperature, simulating a sunny winter day.

· Device must function after 30 minutes of use during simulated rain. No power output is required under the simulated rain and wind (to avoid complications from diffraction, etc.), but the device must be operational during the exposure.

· Device must function in fluctuating hot/humid conditions.

· Device must function after exposure to a simulated sandstorm.

· Device must function after being submerged and allowed to dry.

C. Technical Content Guidelines

Each proposal abstract and/or full proposal must have a clearly defined research team and management approach. The research team must incorporate expertise in all technical areas and the proposal abstract or full proposal must clearly define how the team will work together to achieve the program goals. One of the team members must be designated the Principal Investigator. The Principal Investigator will be responsible for coordinating the team and demonstrating the project milestones. Proposal abstracts or full proposals that do not describe an integrated system or fail to identify the Principal Investigator and management approach will not be considered for funding. Quantitative or analytic arguments and/or experimental data must establish that the proposed approaches will meet the program metrics.

In addition to the guidelines above, the technical section of the full proposal must contain the following information:

1. Concept Definition: This section will clearly describe the technical approach in support of the innovative claims. All technical challenges inherent in the approach must be outlined and addressed, and possible solutions for overcoming potential problems (including risk mitigations) must be included. Proposals will clearly describe the proposed components for PoP: light acquisition and energy capture, carrier extraction, robust and durable portability, flexibility, integration of proposed technologies into a functional prototype, and ability to achieve the desired end-result form factor using the proposed technologies. Proposals MUST provide several specific, quantitative milestones at intermediate stages of the program to assess program progress towards the milestones in each of the three Phases, as well as a constructive plan for accomplishment of the interim milestones.

2. Supporting Technical Analysis: This section will address how the proposed technical approach is revolutionary, and how it significantly rises above the current state of the art. In addition, a detailed analysis of the technical rationale must support the proposed concept, including system performance estimates. Responders must quantitatively and analytically express how their solutions will meet the program metrics and provide previous experimental evidence, if applicable.

3. Research Plan: Proposals MUST provide several specific, quantitative milestones at intermediate stages of the program to assess program progress towards the Phase I, II and III milestones. Proposers must provide a detailed research plan, including a timeline, which describes the methods for achieving these intermediate milestones and a clear explanation of how progress toward these goals will be assessed.

4. Team Expertise and Management Plan: A brief summary of the key personnel’s expertise on the project relevant to the program goals must be included in the proposal. A Principal Investigator for the project must be identified. That person will assume all responsibilities for the conduct of the program. Proposers will provide a detailed plan for coordination of the effort, including explicit roles and interactions for each collaborator/subcontractor. Risk management approaches should be included. The proposer team must have demonstrated expertise in ALL pertinent technical areas.

II. Award Information

Multiple awards are anticipated. The amount of resources made available to 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.

Awards under this BAA will be made to proposers on the basis of the evaluation criteria listed below (see Sec. V., “Application Review Information”) and to provide overall value to the Government. Proposals identified for negotiation may result in a procurement contract or other transaction depending upon the nature of the work proposed, the required degree of interaction between parties, and other factors. Proposers should note that the required degree of interaction between parties will be to the maximum extent possible as allowed by the contractual vehicle. The Government reserves the right to request any additional necessary documentation once it makes the award instrument determination. Such additional information may include but is not limited to Representations and Certifications. The Government reserves the right to remove proposers from award consideration should the parties fail to reach agreement on award terms, conditions, and cost/price within a reasonable time or the proposer fails to timely provide requested additional information.

As of the date of publication of this BAA, DARPA expects that program goals for this BAA may be met by proposers intending to perform 'fundamental research,' i.e., basic and applied research in science and engineering, the results of which ordinarily are published and shared broadly within the scientific community, as distinguished from proprietary research and from industrial development, design, production, and product utilization the results of which ordinarily are restricted for proprietary or national security reasons. Notwithstanding this statement of expectation, DARPA 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. In all cases, the contracting officer shall have sole discretion to select award instrument type and to negotiate all instrument provisions with selectees.

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.

Federally Funded Research and Development Centers (FFRDCs) and Government entities (Government/National laboratories, military educational institutions, etc.) are subject to applicable direct competition limitations and cannot propose to this BAA in any capacity unless they meet the following conditions. FFRDCS must clearly demonstrate that the work is not otherwise available from the private sector AND they must also provide a letter on letterhead from their sponsoring organization citing the specific authority establishing their eligibility to propose to government solicitations and compete with industry in compliance with the associated FFRDC sponsor agreement terms and conditions. This information is required for FFRDCs proposing to be prime or subcontractors. 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 (as well as, where relevant, contractual authority) establishing their ability to propose to Government solicitations. 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 eligibility submissions on a case-by-case basis; however, the burden to prove eligibility for all team members rests solely with the Proposer.

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.

Applicants considering classified submissions (or requiring access to classified information during the life-cycle of the program) shall ensure all industrial, personnel, and information system processing security requirements are in place and at the appropriate level (e.g., Facility Clearance (FCL), Personnel Security Clearance (PCL), certification and accreditation (C&A) and any Foreign Ownership Control and Influence (FOCI) issues are mitigated prior to such submission or access). Additional information on these subjects can be found at: http://www.dss.mil.

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 Dr. Cindy Daniell. 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 a performer. Proposals that fail to fully disclose potential conflicts of interests and/or do not have plans to mitigate this conflict will be rejected 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 DARPA-BAA-09-45@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 rejected without technical evaluation and withdrawn from further consideration for award under this BAA.

B. Cost Sharing/Matching

Cost sharing is not required for any 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 teaming website, http://www.sainc.com/PoPTeaming, will facilitate the formation of teams with the necessary expertise. 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 website 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. Additionally, a Proposers’ Day will be held on April 29, 2009, to facilitate technical exchange between interested entities. Full details are available at Special Notice SN09-28, available for download from http://www.darpa.mil/dso/solicitations/solicit.htm, as well as the PoP Proposers’ Day website at http://www.eventmakeronline.com/schafer/View/ViewLogin.asp?meetingid=8. (If prompted for a password, enter ‘Solar’. Note that the password is case-sensitive.)

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. Security and Proprietary Issues

NOTE: If proposals are classified, the proposals must indicate the classification level of not only the proposal itself, but also the anticipated award document classification level.

The Government anticipates proposals submitted under this BAA will be unclassified. However, if a proposal is submitted as “Classified National Security Information” as defined by Executive Order 12958 as amended, then the information must be marked and protected as though classified at the appropriate classification level and then submitted to DARPA for a final classification determination.

Proposers choosing to submit a classified proposal from other classified sources must first receive permission from the respective Original Classification Authority in order to use their information in replying to this BAA. Applicable classification guide(s) should also be submitted to ensure the proposal is protected at the appropriate classification level.

Classified submissions shall be appropriately and conspicuously marked with the proposed classification level and declassification date. Submissions requiring DARPA to make a final classification determination shall be marked as follows:

CLASSIFICATION DETERMINATION PENDING. Protect as though classified (insert the recommended classification level: [e.g., Top Secret, Secret or Confidential])

Classified submissions shall be in accordance with the following guidance:

Confidential and Secret Collateral Information: Use classification and marking guidance provided by previously issued security classification guides, the Information Security Regulation (DoD 5200.1-R), and the National Industrial Security Program Operating Manual (DoD 5220.22-M) when marking and transmitting information previously classified by another Original Classification Authority. Classified information at the Confidential and Secret level may be mailed via appropriate U.S. Postal Service methods (e.g., (USPS) Registered Mail or USPS Express Mail). All classified information will be enclosed in opaque inner and outer covers and double wrapped. The inner envelope shall be sealed and plainly marked with the assigned classification and addresses of both sender and addressee. The inner envelope shall be addressed to:

Defense Advanced Research Projects Agency

ATTN: Defense Sciences Office (DSO)

Reference: DARPA-BAA-09-45

3701 North Fairfax Drive

Arlington, VA 22203-1714

The outer envelope shall be sealed with no identification as to the classification of its contents and addressed to:

Defense Advanced Research Projects Agency

Security & Intelligence Directorate, Attn: CDR

3701 North Fairfax Drive

Arlington, VA 22203-1714

All Top Secret materials: Top Secret information should be hand carried by an appropriately cleared and authorized courier to the DARPA CDR. Prior to traveling, the courier shall contact the DARPA CDR at (571) 218-4842 to coordinate arrival and delivery.

Special Access Program (SAP) Information: SAP information must be transmitted via approved methods. Prior to transmitting SAP information, contact the DARPA SAPCO at 703-526-4052 for instructions.

Sensitive Compartmented Information (SCI): SCI must be transmitted via approved methods. Prior to transmitting SCI, contact the DARPA Special Security Office (SSO) at 703-248-7213 for instructions.

Proprietary Data: All proposals containing proprietary data should have the cover page and each page containing proprietary data clearly marked as containing proprietary data. It is the proposer’s responsibility to clearly define to the Government what is considered proprietary data.

Security classification guidance via a DD Form 254 will not be provided at this time since DARPA is soliciting ideas only. After reviewing the incoming proposals, if a determination is made that the award instrument may result in access to classified information, a DD Form 254 will be issued and attached as part of the award.

Proposers must have existing and in-place prior to execution of an award, approved capabilities (personnel and facilities) to perform research and development at the classification level they propose. It is the policy of DARPA to treat all proposals as competitive information, and to disclose their contents only for the purpose of evaluation. Proposals will not be returned. The original of each proposal received will be retained at DARPA and all other non-required copies destroyed. A certification of destruction may be requested, provided the formal request is received at this office within 5 days after unsuccessful notification.

C. Abstract and Proposal Information

Proposers 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. Proposal abstracts are due on or before 4:00 PM EST, June 8, 2009. 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 recommendation to propose or not propose. DARPA will attempt to reply to proposal abstracts via email/fax 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 recommendations or selections may be made at any time during the period of solicitation. After June 8, 2009, submitted proposal abstracts will be reviewed as quickly as possible, but may not allow for sufficient time to meet the initial full proposal submission deadline, if a proposal is recommended. Regardless of the recommendation, the decision to propose is the responsibility of the proposer. 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 via https://www.dsobaa.sainc.com (Attn: DARPA-BAA-09-45) on or before 4:00 PM EST, August 24, 2009 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 (https://www.fbo.gov/). Ability to review late submissions remains contingent on availability of funds.

The proposal should express a consolidated effort for the full scope of development of a portable PV device, and support one or more related technical concepts or ideas. Disjointed efforts should not be included into a single proposal.

Restrictive notices notwithstanding, proposals may be handled, for administrative purposes only, by a support contractor. This support contractor is prohibited from competition in DARPA technical research and is bound by appropriate non-disclosure requirements. Proposals and proposed abstracts may not be submitted by fax or e-mail; any so sent will be disregarded.

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

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 the administrative addresses below; e-mail is preferred:

BAA Administrator

Phone: (571) 218-4565

E-mail: DARPA-BAA-09-45@darpa.mil

DARPA/DSO

ATTN: DARPA-BAA-09-45

3701 North Fairfax Drive

Arlington, VA 22203-1714 http://www.darpa.mil/dso/solicitations/solicit.htm

DARPA intends to use electronic mail and fax for correspondence regarding DARPA-BAA-09-45. 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.

All proposals must be submitted electronically through a website established for this purpose at https://www.dsobaa.sainc.com, and 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 DARPA-BAA-09-45@darpa.mil at the time of proposal submission. See https://www.dsobaa.sainc.com 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.dsobaa.sainc.com.

1. Proposal Abstract Format

It is STRONGLY ENCOURAGED that a proposal abstract be submitted to determine the acceptability of the proposed concept to the BAA. This procedure is intended to minimize unnecessary effort in proposal preparation and review.

Proposal abstracts should be concise and limited to 8 pages in length; shorter proposal abstracts that can cover the content above are highly encouraged. All pages shall be printable on single-spaced, 8-1/2 by 11 inch paper with type not smaller than 12 point font. Smaller font may be used for figures, tables and charts. The page limitation for proposal abstracts includes all figures, tables, and charts. No formal transmittal letter is required. The proposal abstract should contain the following sections:

· Cover Sheet (must be clearly marked "Proposal Abstract"): Should include the Technical Point of Contact’s information (name, address, phone, fax, email, lead organization and business type), the title of the proposed work, the estimated cost, and the duration of the proposed work. (Note that the cover sheet does not count toward the page limit.)

· Executive Summary: An executive summary, including the key technical challenges, concise review of the technologies proposed to overcome these challenges and achieve the program goal, and a clear statement of the novelty and uniqueness of the proposed idea.

· Proposed Approach: Clearly describe the technical approach in support of the innovative claims. Outline and address all technical challenges inherent in the approach and possible solutions for overcoming potential problems. Proposal abstracts MUST provide several specific, quantitative milestones at intermediate stages of the program to assess program progress towards each Phase’s Program Metrics, as well as a constructive plan for accomplishment of the interim milestones.

· Supporting Technical Analysis: Address how the proposed technical approach is revolutionary and how it significantly rises above the current state of the art. Responders must quantitatively and analytically express how their solutions will meet the Program Metrics and provide experimental evidence where applicable.

· Research Plan: Proposal abstracts MUST provide several specific, quantitative milestones at intermediate stages of the program to assess program progress towards each Phase’s Program Metrics. The milestones should not be separated by more than 9 months.

· Team Expertise and Management Plan: A brief summary of expertise of the key personnel on the project relevant to the program goals. A Principal Investigator for the project must be identified. That person will assume all responsibilities for the conduct of the effort. The proposer team must have demonstrated expertise in ALL pertinent technical areas.

· Cost Estimates for Phase I, Phase II, and Phase III: A cost estimate for resources, including both labor and materials, over the proposed timeline. The cost estimates can be a rough order of magnitude for the purpose of the proposal abstract. A separate cost estimate for each Phase is required.

· Brief list of relevant references.

2. 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, combined into one document prior to submission. All pages shall be printable on single-spaced, 8-1/2 by 11 inch paper with type not smaller than 12 point font. 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 not more than three (3) relevant technical papers or research notes (published and unpublished) which document the technical ideas and approach upon which the proposal is based. Intellectual Property/Patents Requirements and the bibliography are not included in the page counts. 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 31 pages. Maximum page lengths for each section are shown in braces { } below.

Volume I, Technical and Management Proposal

Section I. Administrative A.

Cover sheet to include:

(1) BAA Number (DARPA-BAA-09-45);

(2) Technical Area;

(3) Lead Organization Submitting Proposal;

(4) Type of Business, selected among the following categories: "LARGE BUSINESS," "SMALL BUSINESS," "SMALL DISADVANTAGED BUSINESS," "8A," "OTHER SMALL BUSINESS," "EMERGING SMALL BUSINESS," "VETERAN-OWNED SMALL BUSINESS," "SERVICE-DISABLED VETERAN OWNED," "OTHER VETERAN," "WOMAN-OWNED BUSINESS," "HUBZONE," "JWOD PARTICIPATING NONPROFIT AGENCY," "OTHER NONPROFIT," "HOSPITAL," "FOREIGN CONCERN OR ENTITY," "DOMESTIC FIRM PERFORMING OUTSIDE U.S.," "HISTORICALLY BLACK COLLEGE OR UNIVERSITY (HBCU)," "MINORITY INSTITUTION (MI)," "OTHER EDUCATIONAL," "FFRDC (Including DOE Laboratories)," "DoD Component," "Other Government," "Other";

(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, Nine-Digit 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, Nine-Digit Zip Code, Telephone, Fax (if available), Electronic Mail (if available);

(10) Date proposal was prepared;

(11) Total Funds requested from DARPA;

(12) Duration (in months) of Proposed Work

B. Official Signed Transmittal Letter.

Section II. 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. {1} Executive Summary, including the key technical challenges, concise review of the technologies proposed to overcome these challenges and achieve the program goal, and a clear statement of the novelty and uniqueness of the proposed idea.

B. {1} A one-slide ‘penta chart’ summary of the proposal that follows the format given on http://www.sainc.com/PoPTeaming. The purpose of the slide is to visually and succinctly indicate the new insights motivating the proposed effort, the main objective, the underlying technical mechanisms, fundamental assumptions and limitations, key innovations, expected impact, and other unique aspects of the proposal.

C. {15} Detailed technical approach in support of the innovative claims. Address how the proposed approach is revolutionary and how it rises above the current state of practice. Include a description of the results, products, transferable technology addressing intellectual property rights, and expected technology transfer path. See also Section VIII “Intellectual Property.” In addition, provide a detailed analysis of the technical rationale that supports the proposed concept, including system performance estimates. Responders must quantitatively and analytically express how their solutions will meet the program metrics and provide previous experimental evidence, if applicable. Proposals MUST provide several specific, quantitative milestones at intermediate stages of the program to assess program progress towards the Program Metrics, as well as a constructive plan for accomplishment of the interim milestones and a clear explanation of how progress toward these goals will be assessed. The Program Metrics are given above, in section I.B. of this document.

D. {3} Statement of Work (SOW) written in plain English, citing specific tasks to be performed and their connection to the interim milestones and program metrics. The SOW must not include proprietary information. For each task/subtask, provide:

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

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

· The exit criteria for each task/activity - products, events or milestones 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: Each Phase of the program must be separately defined.

E. {2} Time-phased schedule and milestones chart. Each Phase will be a research effort not exceeding 18 months. Note: Measurable critical milestones should occur every nine (9) months after start of effort. These milestones should enable and support a go/no-go decision for the next Phase of the effort. Do not include proprietary information with the milestones. Additional interim non-critical milestones are also highly encouraged at regular intervals. 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. The schedule should clearly outline when each Program Metric will be met, and what tasks must be complete for that to happen.

F. {2} Deliverables associated with the proposed research and the plans and capability to accomplish technology transition and commercialization. (See Section VIII below for guidance on Proprietary Claims and Intellectual Property.)

G. {5} Organization and Management: A clearly defined organization chart for the program team which includes, as applicable: (1) the programmatic relationship of team members; (2) the unique capabilities of team members; (3) the team members’ responsibilities; (4) the teaming strategy among the team members; (5) the key personnel along with the amount of effort to be expended by each person during each year. A Principal Investigator for the project must be identified and demonstrate expertise in ALL pertinent technical areas. That person will assume all responsibilities for the conduct of the effort. Provide a detailed plan for coordination including explicit rules for each collaborator/subcontractor of the proposed effort, and a description of the facilities that would be used for the proposed effort. Risk management approaches should be included. In addition, also include details of any formal teaming agreements which are required to execute this program. The proposer’s team must have demonstrated expertise in ALL pertinent technical areas H. {1} Comparison with other ongoing research indicating advantages and disadvantages of the proposed effort. Clearly describe how the proposed technical approach is revolutionary and how it significantly rises above the current state of practice.

I. {1} Brief discussion of proposer’s previous accomplishments and work in closely related research areas.

Section III. Additional Information A brief bibliography of relevant technical papers and research notes (published and unpublished) which document the technical ideas upon which the proposal is based. Copies of not more than three (3) relevant papers can be included in the submission.

Volume II, Cost Proposal – {No Page Limit}

A.

Cover Sheet to include:

(1) BAA number (DARPA-BAA-09-45);

(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), or other transaction;

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

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

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

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

(15) Date proposal was prepared;

(16) DUNS number;

(17) TIN number;

(18) Cage Code;

(19) Subcontractor Information;

(20) Proposal validity period;

(21) Any Forward Pricing Rate Agreement, other such approved rate information, or such documentation that may assist in expediting negotiations (if available).

B.

Detailed cost breakdown to include:

(1) Total program cost broken down by major cost items:

a. Direct Labor – To include individual labor categories with associated labor hours and direct labor rates and further broken down by Government Fiscal Year (GFY = 1 Oct – 30 Sep);

b. Consultants – If consultants are to be used,…