DARPA-BAA-12-43.pdf

Broad Agency Announcement Local Control of Materials Synthesis (LoCo)

DSO

DARPA-BAA-12-43

May 3, 2012

I. FUNDING OPPORTUNITY DESCRIPTION

II. AWARD INFORMATION

III. ELIGIBILITY INFORMATION

A. ELIGIBLE APPLICANTS

B. PROCUREMENT INTEGRITY, STANDARDS OF CONDUCT, ETHICAL CONSIDERATIONS,

AND ORGANIZATIONAL CONFLICTS OF INTEREST

C. COST SHARING/MATCHING

IV. APPLICATION AND SUBMISSION INFORMATION

A. ADDRESS TO REQUEST APPLICATION PACKAGE

B. CONTENT AND FORM OF APPLICATION SUBMISSION

1. Security and Proprietary Issues

2. Abstract Submission Information

3. Proposal Submission Information

4. Abstract Format

5. Full Proposal Format

a. Volume I, Technical and Management Proposal

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

6. Submission Dates and Times

a. Proposal Abstract Date

b. Full Proposal Date

7. Intergovernmental Review

8. Funding Restrictions

V. APPLICATION REVIEW INFORMATION

A. EVALUATION CRITERIA

B. REVIEW AND SELECTION PROCESS

VI. AWARD ADMINISTRATION INFORMATION

A. SELECTION NOTICES

B. ADMINISTRATIVE AND NATIONAL POLICY REQUIREMENTS

1. Meeting and Travel Requirements

2. Human Use

3. Animal Use

4. Publication Approval

5. Export Control

6. Subcontracting

7. Electronic and Information Technology

8. Employment Eligibility Verification

9. Central Contractor Registration (CCR) and Universal Identifier Requirements

10. Reporting Executive Compensation and First-Tier Subcontract Awards

11. Updates of Information Regarding Responsibility Matters

12. Representation by Corporations Regarding Unpaid Delinquent Tax Liability or a Felony Conviction Under Any Federal Law

13. Cost Accounting Standards Notices and Certification

14. Controlled Unclassified Information on Non-DoD Information Systems

C. REPORTING

D. ELECTRONIC SYSTEMS

1. Representations and Certifications

2. Wide Area Work Flow (WAWF)

3. i-Edison

VII. AGENCY CONTACTS

VIII. OTHER INFORMATION

A. INTELLECTUAL PROPERTY PROCUREMENT CONTRACT PROPOSERS

1. Noncommercial Items (Technical Data and Computer Software)

2. Commercial Items (Technical Data and Computer Software)

B. NON-PROCUREMENT CONTRACT PROPOSERS – NONCOMMERCIAL AND

COMMERCIAL ITEMS (TECHNICAL DATA AND COMPUTER SOFTWARE)

C. ALL PROPOSERS – PATENTS

D. ALL PROPOSERS – INTELLECTUAL PROPERTY REPRESENTATIONS

APPENDIX A

APPENDIX B

Part I: Overview Information

• Federal Agency Name – Defense Advanced Research Projects Agency (DARPA), Defense Sciences Office

• Funding Opportunity Title – Local Control of Materials Synthesis (LoCo)

• Announcement Type – Initial announcement

• Funding Opportunity Number – Broad Agency Announcement (BAA)

DARPA-BAA-12-43

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

• Dates o Posting Date: May 3, 2012 o Proposal Abstract Due Date: June 7, 2012 o Proposal Due Date: July 26, 2012

• Concise description of the funding opportunity - The goal of the Local Control of Materials Synthesis (LoCo) program is to develop a low-temperature process for the deposition of thin films whose current minimum processing temperature exceeds the maximum temperature substrates of interest to the Department of Defense (DoD) can withstand (e.g., chemical vapor deposited diamond on polymers). To achieve this goal, DARPA is soliciting innovative research proposals that independently develop novel chemical and physical processes to meet the energetic/chemical requirements of thin film deposition (e.g., reactant flux, surface mobility, reaction energy, etc.), without reliance on broadband temperature input used in state-of-the-art chemical vapor deposition.

Complementary, successful methods will then be integrated by DARPA to deposit a DoD-relevant thin film (e.g., optically clear diamond) on a DoD substrate of interest (e.g., zinc sulfide). Non-traditional performers outside of the materials research/thin film deposition communities in areas such as surface acoustic wave spectroscopy, plasma physics, photochemistry, etc. are highly encouraged to submit proposals to the LoCo program. To facilitate technology transfer, DARPA is also seeking input on DoD systems and parts that could benefit from success in the LoCo program.

• Anticipated individual awards – Multiple awards are anticipated.

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

• Agency contact

Points of Contact:

The BAA Technical POC is Dr. Brian Holloway, who can be reached at:

DARPA-BAA-12-43@darpa.mil

The BAA Administrator for this effort can be reached at:

E-mail: DARPA-BAA-12-43darpa.mil

DARPA/Defense Sciences Office mailto:DARPA-BAA-12-43@darpa.mil

ATTN: DARPA-BAA-12-43

675 North Randolph Street Arlington, VA 22203-2114

Solicitations can be viewed at:

http://www.darpa.mil/Opportunities/Solicitations/DSO_Solicitations.aspx

Part II: Full Text of Announcement

I. FUNDING OPPORTUNITY DESCRIPTION

The Defense Advanced Research Projects Agency (DARPA) 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 the Grants.gov website http://www.grants.gov/. The following information is for those wishing to respond to the

BAA.

The goal of the Local Control of Materials Synthesis (LoCo) program is to develop a low-temperature process for the deposition of thin films whose current minimum processing temperature exceeds the maximum temperature substrates of interest to the Department of Defense (DoD) can withstand (e.g., chemical vapor deposited diamond on polymers). DARPA anticipates that this goal will be achieved by the development of novel chemical and physical process components that meet the energetic/chemical requirements of thin film deposition (e.g., reactant flux, surface mobility, reaction energy, byproduct removal, etc.) without reliance on broadband temperature input used in state-of-the-art (SOA) chemical vapor deposition (CVD). During the initial stages of the LoCo program, performers will independently address one or more of the critical aspects of thin film deposition, while technical assessment studies of challenge thin film/substrate are done in parallel by industrial groups. Successful, complementary process components will be integrated by DARPA for deposition of a challenge thin film on a real DoD part (selected based on the technical assessment studies), at a surface temperature below 100°C.

Background/Vision

Motivation: Performance of materials, parts, and assemblies (e.g., tribological, optical, electronic, and/or thermal) are dictated by interactions between surfaces and the environment, affecting the cost, capability and readiness of DoD systems. A number of known thin film materials exist that could mitigate these performance limitations when deposited as coatings on substrates of interest to DoD (e.g., CVD crystalline diamond thin film). However, the high bulk deposition temperatures used in SOA CVD to meet the energetic and chemical requirements for processes such as flux of energetic reactants to the surface (reactant flux), mobility of reactive species across a surface to reactive sites (surface mobility), and overcoming activation energy barriers (reaction energy), are often higher than the maximum temperature many DoD-relevant substrates can withstand (i.e., due to property changes such as melting, grain growth, etc.). These synthetic constraints not only affect our ability to manipulate surfaces of existing DoD systems, but also restrict development of new technologies on emerging substrates (e.g., diamond on polymers for flexible electronics and on living cells for biotic/abiotic interfaces).

Example, diamond thin films: Because of its superior properties, as illustrated in Table 1, diamond has been long sought after as a coating to improve the erosion and thermal shock resistance of zinc sulfide (ZnS) long-wavelength infrared (LWIR) missile domes.

http://www.fedbizopps.gov/ http://www.grants.gov/

However, exploitation of CVD-deposited diamond on substrates like ZnS is currently prohibited by the high substrate temperature required for deposition (>900 ºC) which causes morphological degradation of ZnS, as well as adhesion issues due to thermal expansion mismatch.

Table 1: Properties of ZnS and CVD diamond thin film.1

Property ZnS CVD Diamond

LWIR Transmission (8-14 μm) ~70% ~70% Hardness (kgf/mm2) 160-250 9000 Toughness (MPa∙m1/2) 0.8 10 Thermal conductivity (W/m·K) 19-27 2300 Thermal shock figure of merit (103 W/m) 3 380

Experimental and computational research on the diamond thin film growth mechanism over the last several decades2 has provided insights into how process components such as flux of methyl radicals and atomic hydrogen, mobility of carbon species on the surface, and activation energy barriers for particular chemical steps (see Table 2 for typical SOA values) affect the growth rate and quality (i.e., the macroscopic properties listed in Table

1) of diamond thin films deposited by SOA CVD at ~900 ºC.

Table 2: Example flux, mobility, reactivity values for SOA CVD diamond thin film growth.

Reactant flux •CH3:1019 cm-2s-1; H: 1022 cm-2s-1

Surface mobility DCHx ~10-8 cm2s-1

Reaction energy Ea ~50 kJ/mol

With this understanding of the diamond CVD growth process, it is possible to think about addressing all process components independently (e.g., reactant flux, surface mobility, reaction energy, etc.), without broadband temperature traditionally used in CVD. Indeed, recent advances in areas such as plasma physics, solid-state acoustic physics, and photochemistry have provided evidence that there are non-thermal approaches that may be used to directly meet one or more energetic/chemical requirements (i.e., process components) for depositing thin films.

Considering diamond thin film as an example LoCo challenge material, the general scheme would be to: 1) mimic the SOA process components listed in Table 2 by breaking down the overall process to develop discrete, non-thermal process components which, 1D. Harris. Review of Navy Program to Develop Optical Quality Diamond Windows and Domes, Naval Air Systems Command, China Lake, CA, 2002.

2See for example: J.E. Butler, et. al. J. Phys.: Condens. Matter, 2009, 21, 364201; A. Cheesman, et. al. J.

Phys. Chem. A, 2008, 112, 11436.

collectively, meet all the needs for thin film growth; 2) demonstrate appropriate spatial and temporal control of each process component; and 3) merge process components to create a complete deposition system. Specifically, requirements for a LoCo program with a diamond thin film challenge material would be to:

1. Validate that the individual process component can achieve the desired outcome (e.g., demonstrate mobility of critical species on a surface without addition of bulk temperature).

2. Demonstrate that the individual process component can meet SOA deposition metrics (e.g., quantify surface mobility of critical species equivalent to that measured at 900 °C).

3. Plan and quantify approaches for spatial and temporal control of the developed process component.

4. Work with other performers to integrate multiple process components together in order to form a complete deposition process (e.g., merge mobility component with flux and reaction energy components).

5. Deposit diamond thin films, validate thin film properties, and finish the program by depositing a diamond thin film with the properties listed in Table 1 on a ZnS missile dome.

LoCo vision: CVD diamond thin films are presented as an exemplar because of their desirable properties for multiple DoD applications (e.g., tribological, thermal, optical and electronic) and the well-studied reaction mechanism. To be clear, the LoCo program goal is development of a new deposition processes which are applicable to multiple thin film materials currently unusable due to their high deposition temperature (i.e., LoCo is not a diamond or single material deposition program, but a program designed to create new thin film deposition methodologies). It is highly unlikely that a single approach can be proposed to address all process components needed to deposit a large variety of high-temperature CVD thin films. Rather, the LoCo approach is to separate the overall process into components and meet each need individually in a merged low-temperature deposition process.

Performers are encouraged to focus on one or more of the process components (see, for example, Table 2 for process component that may be needed for diamond). Performers need not address all process components in order to be competitive (i.e., a complete solution is not required from an individual performer). As part of the DARPA oversight and management of LoCo, performers will be integrated later in the program from expertise developed on the individual process components (e.g., flux, mobility, reactivity, etc.) to create a complete deposition process.

Program Objectives, Structure and Milestones

Overview: The LoCo program is broken into two independent, but intellectually connected thrusts. Proposals must clearly state the thrust to which they are applying.

Performers may propose to both thrusts, but proposals must be contractually and intellectually independent. Performers may propose more than one process component in response to Thrust 1, but proposals should be contractually and intellectually independent.

Thrust 1, the main effort of the LoCo program, is arranged in a progression of discrete tasks that rapidly move from fundamental research to deposition of a thin film on a DoD part for testing and evaluation. Performers will address one or more of the process components for thin film growth (e.g., flux, mobility, reactivity, etc.) during the first nine months of the program. After further risk reduction through demonstration of sufficient component process control by month 15, successful and compatible process components will then be merged to demonstrate thin film deposition after 24 months. At 36 months, the collective effort will deposit the selected thin film and demonstrate targeted properties on a real DoD part for evaluation and testing.

In parallel, under Thrust 2, industrial performer team(s) will carry out technical analyses on a proposed DoD part that could benefit from a LoCo coating. At month four, DARPA, using the outcome from the Thrust 2 studies, will make a final determination of a challenge thin film and identify the DoD part of interest for the final program deliverable.

The goal of the LoCo program is to develop a deposition process applicable to a large variety of thin film materials. However, to guide proposal development, initial areas of interest for LoCo thin films include synthesis of covalent thin films with long-range order that require high deposition temperatures (>700 °C) for insertion points in tribological, thermal management, optical and electronic applications (e.g., crystalline diamond thin films). As discussed in more detail below, the initial efforts under the LoCo program will focus on validation of the fundamental approach so that exact matching of individual performer’s chemistries, challenge materials, etc. at the proposal stage is not needed. The exact insertion plan will be finalized at month 4 based on the results of Thrust 2, detailed below.

Thrust 1: Thin Film Deposition through Local Control of Chemistry

Because LoCo is focused on developing a new deposition process applicable to a large number of thin film/substrate combinations, competitive proposals to Thrust 1—in addition to adequately describing the scientific approach, technical underpinnings, and outlining supporting evidence and preliminary data—must also:

• Describe classes of thin films that should be applicable. For example, will this approach work with metallic, covalent, and ionic thin films? Will it work with binary, ternary, and quaternary thin films? Superlattices?

• Based on the fundamental approach being proposed, address compatibility requirements/restrictions for an integrated deposition system (e.g., need for conductive substrate, vacuum environment, optical access for laser-generated reactants, etc.).

• Describe criteria that will need to be met by partner challenge area projects (e.g., anticipated requirements for surface diffusion rates, other reactants needed, etc.).

• Discuss applicability of the proposed approach with respect to other deposition approaches (e.g., compatibility with multiple feedstocks, tunability for different molecular systems) that may be of interest to DoD.

Part of the purpose of this requirement is to allow DARPA to begin, as well as possible, the matching process of different approaches at the proposal review stage. Unclear, non-specific, or overly optimistic answers to these questions will be considered as a lack of expertise in the area. There is no expectation that performers address more than one challenge. Performers that choose to address more than one challenge area through two different approaches must submit one proposal for each challenge. A single approach that addresses more than one challenge area may be submitted in a single proposal.

DARPA does not anticipate that one organization will have the capabilities to develop all components of a LoCo process; proposals that propose a complete solution to the deposition must include strong evidence on how fundamental constraints of deposition will be overcome. In addition, although LoCo will focus on a challenge material on a particular DoD part for demonstration, it is a process development program, not a materials synthesis program. Therefore, proposals that simply propose a method to deposit a given material at a substrate temperature <100 °C will be considered nonresponsive. Approaches that offer the flexibility to a variety of thin film systems other than those addressed during LoCo are encouraged.

For the purposes of this BAA, tools and techniques that focus on post-nucleation growth will be considered satisfactory, but proposals presenting new strategies for nucleation are also of explicit interest.

Computational modeling or theoretical efforts, including independent efforts separate from experimental teams, will be considered under this BAA. DARPA anticipates that the modeling will focus on guiding development of successful approaches and verifying hypotheses.

Details of Thrust 1 are described below and in Table 3.

Thrust 1 Base Period – Process Component Validation (Month 1-9):

In months 1-5, DARPA anticipates performers will address one or more process component(s) —reactant flux, surface mobility, reaction energy, etc.—demonstrating the ability to create, mobilize, or initiate reactions of growth species. The exit criteria from this task will be the validation of the fundamental approach as well as explicit compatibility with the deposition of the challenge thin film on the selected DoD part, which will occur at Month 4 as part of Thrust 2.

In months 5-9, performers will be expected to quantify the output of their process component with respect to the chemical vapor deposition process needed for the challenge thin film. Exit criteria will be demonstration of the process component at less than 100 ºC compatible with SOA growth rates in a merged system.

Thrust 1 Options – Process Component Merging and Thin Film Synthesis (Month 10-36):

While performers will initially address their approach to the process components independently as outlined above, work during the remainder of the program will be through an intellectually, but not necessarily contractually, integrated effort to deposit a thin film on a DoD part.

During months 9-12, performers with compatible approaches that met the exit criteria of the initial effort will form intellectual teams to plan, then quantify the required species lifetime and timing of process components for a merged system. Performers must demonstrate the ability to meet the projected temporal requirements for their individual process component as the exit criteria for this stage. Intellectual property agreements must be in place by Month 12.

During months 12-15, the intellectual teams will begin to integrate the separate process components, beginning with development of a coordination scheme/predictive process model to validate the feasibility of component integration.

Work during the remainder of the program will be done by full process teams that must demonstrate successful integration to deposit the selected challenge thin film on a coupon of the target substrate below 100 °C (Month 24), followed by optimization of material properties to meet the target application and deposition on the target DoD part (Month 36).

Thrust 1 Structure and Budget:

Proposals must include a detailed statement of work for the base period. Proposals should include a detailed budget for the base period, which must include travel for program reviews to be held every other month to facilitate integration of complementary, compatible individual efforts for the Thrust 1 option periods. DARPA anticipates that many proposers will leverage existing equipment during the initial stages of the program.

The effort for months 10-36 is broken into three contractually independent options. The performers shall prepare and deliver to the Contracting Officer only, updated cost and technical proposals for the options ninety (90) days prior to the completion of the Base Period for the Government's consideration. The full proposal will follow the guidelines as stated in the BAA and address costs associated with merging individual performer process component into an integrated system, including moving equipment to a DARPA-selected location (for purposes of budgeting, assume this location is physically separate from the location of the initial work), and travel for collaboration with successful, compatible technologies. These proposals should assume separate contractual efforts for partnered approaches and follow the guidelines set forth below in Section IV.5.

Proposals should provide quantitative milestones for the specific approach. Vague, conditional and/or unrealistic milestones will be considered lack of scheduling realism and/or lack of rigor within the scientific approach.

Table 3: Thrust 1 timeline, program milestones and performer milestones. For clarification, an exemplar of exit criteria for diamond thin films for missile dome applications is provided.

Thrust 1: Thin Film Deposition through Local Control of Chemistry

Timeline Program Milestones Performer Milestones Exit criteria:

Example material: diamond coating for missile domes*

Month 5 (Base)

Proof-of-concept demonstrations to create, mobilize, and initiate reactions of molecules and radicals of interest for CVD processes.

Individual performers validate their approach to address process components (reactant flux, surface mobility, reaction energy, etc.).

Proof-of-concept demonstration of process component capable of meeting at least one SOA metric for a generic CVD process at T<100 °C.

Month 9 (Base)

Justify the ability to meet SOA deposition of the challenge thin film identified in Thrust 2 based on quantification of the individual process components.

Individual performers quantify the output of their process component for the chemistry required to deposit the challenge thin film identified in Thrust 2.

Demonstrate a process component capable of meeting at least one SOA metric for PECVD diamond deposition at T<100 °C:

• Flux: •CH3: 1019 cm-2s-1;

H: 1022 cm-2s-1.

• Mobility: DCHx: ~10-8 cm2s-1.

• Reaction energy: Ea ~ 50 kJ/mol.

• Etc.

Month 12 (Option 1)

Individual teams begin to intellectually integrate into virtual performer teams.

Quantify species lifetime and timing of process components (flux, mobility, reactivity, etc.).

Finalize IP agreements.

Quantify all critical parameters to define stability, controllability, repeatability, and range of process components.

Month 15 (Option 1)

Develop coordination scheme/predictive process model that validates thin film synthesis by combination of the process components.

Individual performers finalize intellectual collaboration to integrate process components into one complete system.

Demonstrate measured flux, mobility and temporal and spatial stability of reactive species at T<100 °C is compatible with growth needs.

Month 24 (Option 2)

Integrate successful process components into one system to demonstrate ability to deposit challenge material.

Demonstrate successful integration of process components by deposition LoCo thin films.

Demonstrate diamond synthesis at T<100 °C on a 4 cm2 ZnS coupon.

Month 36 (Option 3)

Optimize deposition process to demonstrate desired thin film properties and validate utility by coating a DoD part.

Fully integrated team extends success on coupon to coat real DoD part.

Demonstrate diamond thin film deposited at T<100 °C on a ZnS missile dome with the following material properties:

• LWIR transmission: >60%.

• Hardness: 9000 kgf/mm2.

• Toughness: 10 MPa·m1/2.

• Thermal cond.: 2300 W/m·K.

• Thermal shock: 380 x 103 W/m.

*The examples are illustrative only and should not be considered DARPA-defined program metrics.

Thrust 2 - Industrial Technical Analyses:

As an effort distinctly separate from, but in support of, the main LoCo synthesis effort (Thrust 1), DARPA requests proposals for the technical analysis of a DoD part or system that could benefit from a LoCo coating (i.e., one that is not currently feasible because of the temperature mismatch between thin film deposition temperature and substrate thermal budget). Proposals must address an application area of interest (i.e., a part from a system currently used by, or of distinct interest to, DoD), including conditions of use, current material properties and limitations, and a material or class of materials that may be beneficial as a coating.

Details of Thrust 2 are described below and in Table 4.

Thrust 2 Base Period and Option 1 – Detailed Technical Analysis (Month 1-9):

During the four month base period, performers must quantify the required material properties for a specific part to overcome current limitations/demonstrate enhanced capability, provide information on the complexity of the part and coating, define parameters that might restrict Thrust 1 approaches (e.g., line of sight, pressure, thermal budget, chemical reactivity), and quantify value (cost and capability) to the DoD.

DARPA anticipates ~0.20 FTE level of effort for the initial four-month study.

Thrust 2 Options – Process Component Merging and Thin Film Synthesis (Month 10-36):

Ninety (90) days prior to the completion of Option 1 described above, the performer shall prepare and deliver to the Contracting Officer only, updated cost and technical proposals for Government consideration. Continued involvement in the LoCo program through the end of the program as an industrial collaborator at whatever FTE level the performer thinks is appropriate; an additional option to provide parts for coating under the LoCo program is also required. While not required, an option for performer testing of the parts coated by the LoCo program is also encouraged. Performers proposing to Thrust 2 are not barred from also proposing to Thrust 1. However, all proposals to Thrust 2 should be contractually and intellectually independent of Thrust 1 proposals and follow the guidelines set forth below in Section IV.5.

Thrust 2 Structure and Budget: Proposals should include a detailed budget for the initial work (four month detailed technical analysis) and Option 1. DARPA anticipates ~0.20 FTE level of effort for the initial four-month study; follow-on levels of effort should be at appropriate FTE levels to support the proposed statement of work. Budgets for Thrust 2 proposals should provide breakdown of labor by key personnel, include estimated travel for program reviews to be held every other month during the first nine months and quarterly thereafter, and be broken out by base period and option(s) as an industrial collaborator.

Thrust 2 abstracts and full proposals should follow the format described in Section IV below. Note that the page limitations are not to be exceeded, but do not have to be met to be responsive to the LoCo BAA.

Table 4: Thrust 2 timeline, program milestones and performer milestones. For clarification, an exemplar of exit criteria for diamond thin films for missile dome applications is provided.

Thrust 2: Industrial Technical Analysis

Timeline Program Milestones Performer Milestones

Exit criteria:

Example material: diamond coating for missile domes*

Month 4 (Base)

Quantify the required properties, complexity, restrictions, and value of a proposed DoD part for LoCo coating.

Individual performer teams carry out technical assessment in parallel with process component work.

Demonstrate DoD need for a superior material coating on ZnS missile domes, including desired properties, temperature requirements, value to DoD missile systems (cost and capability), and compatibility with flux, mobility, reactivity approaches.

Month 9 (Option 1)

Validate opportunity matchup between DoD part and experimental data from Thrust 1 performers.

Provide detailed quantitative feedback to Thrust 1performers.

Quantified feedback to Thrust 1 performers on potential limitations, problems, opportunities, etc. based on Thrust 1 results to date.

Month 16 (Option 2)

Technical analysis of Thrust 1 process for deposition of LoCo coating on DoD part.

Quantitative analysis of the compatibility with Thrust 1 path forward and use of the DoD part of interest.

Detailed report that validates performance, cost and utility of a ZnS missile dome coated with a LoCo diamond coating based on progress under Thrust 1.

Month 24 (Option 3)

Prepare for deposition of LoCo coating on DoD part of interest.

Delivery of DoD parts of interest for coating by Thrust 1performers.

Delivery of ZnS missile domes.

*The examples are illustrative only and should not be considered DARPA-defined program metrics.

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 it is later determined to be necessary. If warranted, portions of resulting awards may be segregated into pre-priced options. Additionally, DARPA reserves the right to accept proposals in their entirety or to select only portions of proposals for award.

In the event that DARPA desires to award only portions of a proposal, negotiations may be opened with that proposer. The Government reserves the right to fund proposals in phases with options for continued work 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 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. 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 Thrust 1 Base Period of this BAA may be met by proposers intending to perform 'fundamental research,' i.e., basic or applied research performed on campus 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. If proposals are selected for award that offer a solution means other than fundamental research, then DARPA will either work with the proposer to modify the proposed statement of work to bring the research back into line with fundamental research or else the proposer will agree to restrictions in order to receive an award. See Section VI.B.4 for further information on fundamental, non-fundamental and restricted research. In all cases, the DARPA contracting officer shall have sole discretion to select award instrument type and to negotiate all instrument provisions with selectees.

As of the date of publication of this BAA, DARPA expects that program goals for Thrust 1 Options and Thrust 2 cannot 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. Therefore, DARPA anticipates restrictions on the resultant research. Notwithstanding this statement of expectation, DARPA recognizes that proposed research solutions could be of either a fundamental or restricted nature. Proposers should indicate in their proposal whether they believe the nature of the research included in their proposal is fundamental or restricted, with the understanding that in all cases, the DARPA contracting officer shall have sole discretion to select award instrument type and to negotiate all instrument provisions with selectees. See Section VI.B.4 for further information on fundamental, non-fundamental and restricted research.

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 address the following conditions. FFRDCs must clearly demonstrate that the proposed work is not otherwise available from the private sector AND 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, and compliance with the associated FFRDC sponsor agreement and 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.

B. 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 U.S.C. §§ 203, 205, and 208). The DARPA Program Manager for this BAA is Dr. Brian Holloway.

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.)

Without prior approval or a waiver from the DARPA Director, in accordance with FAR 9.503, a Contractor cannot simultaneously provide scientific, engineering, technical assistance (SETA) or similar support and also be a technical performer. Therefore, all proposers as well as proposed subcontractors and consultants must affirm whether they (their organizations and individual team members) are providing 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, subcontractor, consultant, or individual supports and identify the prime contract number(s). 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 must include a description of the action the Proposer has taken or proposes to take to avoid, neutralize, or mitigate such conflict. If in the sole opinion of the Government after full consideration of the circumstances, a proposal fails to fully disclose potential conflicts of interest and/or any identified conflict situation cannot be effectively mitigated, the proposal 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) or has questions on what constitutes a conflict of interest, the proposer should promptly raise the issue with DARPA by sending his/her contact information and a summary of the potential conflict to the BAA mailbox before time and effort are expended in preparing a proposal and mitigation plan.

C. 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.

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 13526, 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.

Security classification guidance via a DD Form 254, “DoD Contract Security Classification Specification,” 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 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 DoD Information Security Manual (DoDM 5200.01, Volumes 1 - 4), 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 submitted via ONE of the two following methods:

1. Hand-carried by an appropriately cleared and authorized courier to the DARPA CDR. Prior to traveling, the courier shall contact the DARPA CDR at 703-526-4052 to coordinate arrival and delivery.

OR

2. 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

Reference: DARPA-BAA-12-43 675 North Randolph Street Arlington, VA 22203-2114

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

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 703-526-4052 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 703-526-4052 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.

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.

2. Abstract Submission Information

Proposers who choose to use abstracts are strongly encouraged to submit an 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 abstracts is specified in Section 6.a below. DARPA will acknowledge receipt of the submission and assign a control number that should be used in all further correspondence regarding the abstract.

DARPA will respond to abstracts with a statement as to whether DARPA is interested in the idea. DARPA will attempt to reply to abstracts via e-mail within thirty (30) calendar days of receipt. Early submissions of 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 an 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 an abstract.

For Abstracts Being Submitted as Hard Copies/On CD-ROM:

Proposers must submit an original hardcopy and one (1) electronic copy of the proposal abstract in PDF (preferred) on a CD-ROM to the mailing address listed in Part I. Each copy must be clearly labeled with DARPA-BAA-12-43, proposer organization, technical point of contact, and proposal title (short title recommended).

For Proposers Posting Abstracts to Grants.Gov:

If proposers intend to use Grants.gov as their means of submission, then they must submit their entire proposal abstract through Grants.gov; applications cannot be submitted in part to Grants.gov and in part as a hard-copy. Proposers using Grants.gov do not submit hardcopy proposal abstracts in addition to the Grants.gov electronic submission.

Proposers must complete the following steps in the order listed below before submitting proposal abstracts on Grants.gov (these steps are also detailed at http://www.grants.gov/applicants/get_registered.jsp):

• Proposers must obtain a DUNS number;

• Proposers must register their organization in the Central Contractor Registration

(CCR) https://www.bpn.gov/ccr/default.aspx);

• Proposers must register the Authorized Organization Representative (AOR) in

Grants.gov; and

• Proposers must have the organization’s E-BIZ point of contact authorize the AOR to submit applications.

Once Grants.gov has received a proposal abstract submission, Grants.gov will send two e-mail messages to advise proposers as to whether or not their proposal abstracts have been validated or rejected by the system; IT MAY TAKE UP TO TWO DAYS TO RECEIVE THESE E-MAILS. The first e-mail will confirm receipt of the proposal abstract by the Grants.gov system; this e-mail only confirms receipt, not acceptance, of the proposal abstract. The second will indicate that the application has been successfully validated by the system prior to transmission to the grantor agency or has been rejected due to errors. If the proposal abstract is validated, then the proposer has successfully submitted their proposal abstract. If the proposal abstract is rejected, the proposer will have to resubmit their proposal abstract. Once the proposal abstract is retrieved by DARPA, the proposer will receive a third e-mail from Grants.gov. To avoid missing deadlines, proposers should submit their proposal abstract in advance of the due date with sufficient time to receive confirmations and correct any errors in the submission process through Grants.gov. For more information on submitting proposal abstract to Grants.gov, visit the Grants.gov submissions page at:

http://grants.gov/applicants/apply_for_grants.jsp.

Proposers electing to submit grant or cooperative agreement proposal abstracts as hard copies must complete the SF 424 R&R form (Application for Federal Assistance, Research and Related) available on the Grants.gov website http://www.grants.gov/agencies/aapproved_standard_forms.jsp#2.

Technical support for Grants.gov submissions may be reached at 1-800-518-4726 or support@grants.gov.

Please note that due to the new DARPA security policies, submitters to Grants.gov will still need to visit https://dsobaa.sainc.com to register their organization concurrently and are also required to send in a password form via e-mail to the address listed in Part I ensure the DSO BAA Office can verify the security of their submission.

http://www.grants.gov/applicants/get_registered.jsp https://www.bpn.gov/ccr/default.aspx http://grants.gov/applicants/apply_for_grants.jsp http://www.grants.gov/agencies/aapproved_standard_forms.jsp#2.

mailto:support@grants.gov https://dsobaa.sainc.com/

For Proposers Submitting to an Electronic Business Application (Not Submitting Hard Copies/CD-ROM):

Proposal abstracts sent in response to DARPA-BAA-12-43 may be submitted via DSO’s BAA website (https://dsobaa.sainc.com). Visit the website to register for an account (via the “Register your Organization” link along the left side of the homepage), view submission instructions, and upload/finalize the proposal abstract. All submissions must be compressed and encrypted as described below.