DARPA-BAA-14-20_Amend1_Final_For_Posting_28Mar2014.pdf

Broad Agency Announcement Laser UV Sources for Tactical Efficient Raman (LUSTER)

Microsystems Technology Office

DARPA-BAA-14-20

March 13, 2014 (Amendment No. 01: As amended on March 28, 2014)

Table of Contents

Part I: Overview Information Part II: Full Text of Announcement

Sec. I: FUNDING OPPORTUNITY DESCRIPTION A. Background and Description B. Program Objective C. Technical Areas of Interest D. Program Organization and Metrics E. Deliverables

Sec II. AWARD INFORMATION Sec. III: ELIGIBILITY INFORMATION

A. Eligible Applicants B. Procurement Integrity, Standards of Conduct, Ethical Considerations, and Organizational Conflicts of Interest C. Cost Sharing/Matching

Sec. 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. Abstract Format

4. Proposal Submission Information

5. Full Proposal Format

6. Submission Dates and Times

7. Funding Restrictions

8. Other Submission Requirements

Sec. V: APPLICATION REVIEW INFORMATION A. Evaluation Criteria B. Review and Selection Process

Sec. VI: AWARD ADMINISTRATION INFORMATION A. Selection Notices B. Administrative and National Policy Requirements

1. Meeting and Travel Requirements

2. Human Subjects Research

3. Animal Use

4. Export Control

5. Subcontracting

6. Electronic and Information Technology

7. Employment Eligibility Verification

8. System for Award Management (SAM) Registration and Universal Identifier Requirements

9. Reporting Executive Compensation and First-Tier Subcontract Awards

10. Updates of Information Regarding Responsibility Matters

12. Cost Accounting Standards (CAS) Notices and Certification

13. Controlled Unclassified Information (CUI) on Non-DoD Information Systems ... 34

C. Reporting D. Electronic Systems

1. Representations and Certifications

2. Wide Area Work Flow (WAWF)

3. i-Edison

Sec. VII: AGENCY CONTACTS Sec. 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 E. Other Transactions (OTs):

Part I: Overview Information

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

• Funding Opportunity Title – Laser UV Sources for Tactical Efficient Raman

(LUSTER)

• Announcement Type – Initial Broad Agency Announcement (BAA)

• Funding Opportunity Number – DARPA-BAA-14-20

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

Technology Development.

• Dates o Posting Date: March 13, 2014 o Proposer’s Day Date: March 18, 2014 o Abstract Due Date: April 11, 2014 o Proposal Due Date: June 25, 2014 o Estimated period of performance start: October 25, 2014

• Concise description of the funding opportunity: DARPA is soliciting innovative research proposals in the field of UV laser technology that will enable enhanced detection and discrimination of specific biological and chemical compounds using Raman spectroscopy. The goal of the Laser UV Sources for Tactical Efficient Raman (LUSTER) program is to develop compact, efficient, high-power ultraviolet lasers capable of achieving output power >1 W, wall-plug efficiency >10%, linewidth < 0.01 nm and all at wavelengths between 220-240 nm. Various methods such as direct electrical injection, electron beam pumping, second harmonic generation or other alternatives will be considered as long as all of the metrics can be met or exceeded.

• Total amount of money to be awarded– It is anticipated that total funding will be in the range of $15-$20M.

• Expected duration– The project length is anticipated to be 36 months.

• Anticipated individual awards – Multiple awards are anticipated.

• Anticipated funding type - 6.2

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

• Any cost sharing requirements – None.

• Agency contact o Dr. Daniel Green, Program Manager BAA Coordinator: DARPA-BAA-14-20@darpa.mil

DARPA/MTO

mailto:name@darpa.mil

Part II: Full Text of Announcement

Sec. I: FUNDING OPPORTUNITY DESCRIPTION

The Defense Advanced Research Projects Agency often selects its research efforts through the Broad Agency Announcement (BAA) process. This BAA is being issued, and any resultant selection will be made, using procedures under Federal Acquisition Regulation (FAR) 35.016 and the Department of Defense Grant and Agreement Regulatory System (DoDGARS) Part 22 for Grants and Cooperative Agreements. Any negotiations and/or awards will use procedures under FAR 15.4, Contract Pricing, as specified in the BAA (including DoDGARS Part 22 for Grants and Cooperative Agreements). Proposals received as a result of this BAA shall be evaluated in accordance with evaluation criteria specified herein through a scientific review process.

DARPA BAAs are posted on the Federal Business Opportunities (FedBizOpps) website, http://www.fbo.gov/, and, as applicable, the Grants.gov website at http://www.grants.gov/. The following information is for those wishing to respond to the BAA.

DARPA is soliciting innovative research proposals in the field of UV laser technology that will enable enhanced detection and discrimination of specific biological and chemical compounds using Raman spectroscopy. The goal of the Laser UV Sources for Tactical Efficient Raman (LUSTER) program is to develop compact, efficient, high-power ultraviolet lasers capable of achieving output power >1 W, wall-plug efficiency >10%, linewidth < 0.01 nm and all at wavelengths between 220-240 nm. Various methods such as direct electrical injection, electron beam pumping, second harmonic generation or other alternatives will be considered as long as all of the metrics can be met or exceeded.

A. Background and Description

Presently, there exists a gap in compact UV laser source availability for a wide range of DoD system applications. The Laser UV Sources for Tactical Efficient Raman (LUSTER) program will develop compact, efficient, high-power ultraviolet lasers operating at wavelengths between 220-240 nm to address this technology gap. Prior DARPA investment in the Compact Mid- Ultraviolet Technology program developed high quality AlN substrates that enabled some of the shortest wavelengths, highest powers, and highest efficiencies from semiconductor optical sources. The LUSTER program will build on these earlier successes as well as explore novel concepts to develop a high beam quality compact laser capable of achieving power >1 W, wall-plug efficiency >10%, linewidth < 0.01 nm and capable of operating between 220-240 nm.

These metrics offer a leap-ahead performance relative to various state-of-the-art UV sources in several aspects. Existing sources for UV light include light emitting diodes (LEDs), fluorescent lamps, or large form-factor lasers such as solid-state or Excimer lasers. While LEDs are small, inexpensive, and have demonstrated continuous wave (CW) power levels around 70 mW at 270 nm, they lack the coherency of true laser sources that exhibit narrow linewidth, high beam quality and high power density. Similarly, fluorescent lamps are good for broad UV illumination but do not have the linewidth necessary for high-resolution spectroscopy. UV laser systems such http://www.fbo.gov/ http://www.grants.gov/ as gas and solid-state lasers can operate below 250 nm and can reach high powers with narrow linewidths. However, these systems are larger than a typical desktop computer, prohibitively expensive, demonstrate limited reliability and have wall-plug efficiencies <<1%. A UV source that is compact and inexpensive like an LED but with the beam characteristics of a laser represents a large advancement over SoA.

A compact, efficient, and high-power UV laser will enable a wide range of applications including: remote detection of biological and chemical compounds; compact atomic clocks for precise timing and navigation; and point-of-need diagnostics. For example, in Raman spectroscopy specific compounds can be identified with higher precision when exposed to a UV laser compared to an infrared laser because the scattering cross-section is 103 times larger at UV wavelengths, increasing the Raman signal. Additionally, biological compounds typically fluoresce at wavelengths above 260 nm when interrogated with a laser. By developing a laser that operates between 220-240 nm the Raman signal can then be easily decoupled from this background fluorescence signal, thus reducing noise. The wavelength separation between source and background fluorescence noise is needed to account for the backscattered Raman signal which is red-shifted (to longer wavelengths) relative to the input wavelength. The improvement of signal-to-noise in Raman spectroscopy through this combination of effects illustrates the benefits of the targeted UV laser wavelengths.

The LUSTER solution will enhance a number of applications through its combination of challenging device characteristics. For instance, remote detection lasers require excellent beam quality, defined as M2, because it determines the range at which objects can be interrogated.

Alternately, in micromachining applications, the beam quality affects the smallest feature size that can be cut or drilled. Thus the aggressive program target for the beam quality metric of M2 < 2, will encourage broad adoption. Additionally, a >10-fold improvement in wall-plug efficiency will greatly reduce the size of supporting power and thermal management systems, resulting in a large reduction in system size, weight, and power (SWaP), expanding the number of platforms that could support its use.

The LUSTER program addresses the critical need for a compact, high-power and efficient UV laser for a wide range of applications such as enhanced discrimination of chemical and biological agents, high precision material processing and real-time medical diagnostics. At these wavelengths, Raman signals are not only several orders of magnitude higher than that of lasers in the near infrared range, but are also free from background fluorescence noise. Raman spectroscopy is an important application as it enables a level of discrimination that is superior to other optical measurement techniques such as laser induced fluorescence (LIF). Success in this program has the potential to impact several existing transition opportunities such as the Joint Biological Point Detection System (JBPDS), Joint Biological Standoff Detection System (JBSDS), and Tactical Biological (TAC-BIO) detectors. Additionally, the LUSTER program is expected to be broadly useful and to transition to applications beyond chem/bio detection.

B. Program Objective

The objective of LUSTER is to develop a compact, high power and efficient UV laser, operating between 220-240 nm. A variety of techniques exist that could provide a path towards achieving the program goals. Each of these will have advantages and disadvantages. The aim of this program is to fully explore possible solutions and determine the underlying tradespace. It is expected that several proposals will be selected to participate in an effort to identify methods that have the most promise. Throughout the program, material and devices will be subject to independent testing at a government facility to assess their performance.

C. Technical Areas of Interest

DARPA seeks innovative proposals to develop a compact UV laser that meets or exceeds the program metrics outlined in section I.D. Multiple methods may exist and proposers are encouraged to select the method that they think is best to achieve the program goals by the end of the program. DARPA has identified three technical areas (TA) of interest which can potentially be employed to achieve the program’s goals. Proposers are required to select a technical area that best fits with their approach. Only one technical area may be addressed in each proposal. Both technical and cost proposals should be structured so that individual tasks within technical areas may be selected independently of one another. Proposers are also encouraged to discuss any external systems, such as cooling, that will be required for operation.

The program technical areas are listed below:

I. Generation of UV photons by direct electrical injection such as through the use of wide-bandgap semiconductors, through spatial combination of multiple low power lasers or direct electrical stimulation of an active medium (e.g. gas).

II. Pump carrier injection where carriers are injected into an active region using a pump such as an electron beam or high-energy laser for direct UV generation.

III. Frequency multiplication using nonlinear optics.

IV. Generation of UV laser source using methods not captured in TA I-III.

Technical Area I

In the direct electrical injection approach, electrons and holes are typically injected into the optical gain region of a semiconductor by providing current through electrical contacts. Although near-infrared lasers have achieved remarkable performance in extremely small footprints using this method, efficient electrical injection in wide bandgap semiconductors is very difficult. For example poor ohmic contacts, high free-carrier absorption and high defect densities can lead to large electrical and optical inefficiencies. Recent advances in material growth have demonstrated some control over the propagation of dislocations and new laser designs can be utilized to mitigate unwanted absorption.

Direct electrical injection semiconductor lasers also have the advantage of easy scalability where multiple low power emitters can be spatially combined to create a single high-power output. A laser’s peak efficiency point is generally at a lower input current than the peak power current due to thermal or resistive effects. This might be overcome, however, by operating each emitter at peak efficiency and scaling the number of emitters needed for high power. Although scaling can help with improving power, challenges such as material quality, high optical absorption and poor ohmic contacts will still need to be addressed. Additionally, challenges from the packaging, fabrication and thermal management of multiple emitters must also be considered. In this case, the beam quality of the final combined output will need to meet or exceed the final program M2 requirement.

Technical Area II

Carrier injection through a pumping scheme to generate UV photons, such as using an electron beam gun or high-energy pump laser, is another possible method. For instance, by injecting electrons into the active region using an electron source, E-beam pumping has the advantage of circumventing the challenges associated with developing good ohmic contacts. This also leads to the added benefit of allowing the material to be undoped, which greatly cuts down on free-carrier absorption. One major challenge with this method is in improving the low electron generation efficiency of E-beam sources. Achieving the program’s wall-plug efficiency metric will require investigating new techniques to advance electron source performance. Attention will also need to be paid to achieving enough gain for efficient lasing such as through epitaxial designs that enhance carrier confinement and high-Q cavities.

Technical Area III

Conventional UV generation using frequency multiplication often involves passing a high power laser in the infrared range through multiple stages of nonlinear crystals which convert the long wavelengths to shorter UV wavelengths. Because of large inefficiencies at each stage of the frequency multiplication process, realizing high output powers will require input powers that are orders of magnitude higher. New methods for improving these inefficiencies or shortening this process could have a large impact. For example, strong demand in consumer electronics, such as Blu-ray, has greatly boosted the performance of blue laser diodes over the years. Currently it is possible to get laser diodes operating at 450 nm that can generate over a watt of optical power and with efficiencies around 27%. These lasers can potentially be used to optically pump material in the 475-500 nm range which can then be frequency doubled to UV wavelengths between 220-240 nm, thus removing an entire frequency doubling step.

Technical Area IV

Proposers also are encouraged to explore alternative approaches not outlined in technical areas I- III that they believe have the potential of achieving the program final goals.

D. Program Organization and Metrics

The program will be comprised of two phases. The first phase (base) will be 24 months and the second phase (option) will be 12 months in duration. Since significantly different technical paths are expected, each proposer will determine a set of intermediate goals/metrics and establish a schedule of deliverables consistent with the goals outlined in Table I.

Performance will be continually evaluated based on technical progress toward the proposer-defined intermediate goals/metrics and the likelihood that progress will lead to achievement of the final goals. Those that show progress towards the proposed intermediate and Phase I goals may be allowed to continue on to Phase II (e.g, their Phase II Option will be exercised). Should it be determined that adequate progress is unlikely, DARPA may decide not to exercise the Phase II option. The Phase I and final program goals are listed in Table I. Consequently, DARPA does not guarantee continued funding.

Table I: Goals for all Technical Areas Program Metrics Phase I Goals Final Goals

Wavelength 220-240 nm 220-240 nm Output Power (CW) 1,2 ≥0.1 W ≥1 W Wall-plug Efficiency3 ≥4% ≥10%

Laser linewidth4 <0.1 nm <0.01 nm Beam quality5 M2 < 2

Volume6 <33 cm3 (2 in3)

The required laser unit does not include the power source; however proposals must include the power conditioning and/or driver electronics, all components of their pumping/injection scheme and thermal management solution. Proposals should assume a tunable 0-50V power source capable of supplying up to 2A of current. A diagram of the laser unit is shown in figure 1.

Figure 1 Laser system diagram

1 The output power is defined as power through an aperture after the necessary collimating and focusing optics.

2 The final laser output should be continuous wave (CW), but intermediate goals may be pulsed.

3 The wall-plug efficiency is the UV output power meeting wavelength, spectral and beam quality requirements divided by the input electrical power to the laser system.

4 The linewidth is defined in terms of its full-width at half-maximum (FWHM) value.

5 For laser array approaches, the M2 requirement is for each emitter.

6 The laser volume metric requires that all optical components and pump sources (such as pump diodes and field emission tips) fit within a single 2 in3 package. Systems with fiber-coupled components can be distributed over two packages (connected by a fiber umbilical) with a total volume of 2 in3.

E. Deliverables

Each proposal shall include a schedule of deliverables for independent assessment by the Government throughout the program. Proposers are especially encouraged to define test articles and deliverables that provide important benchmarks and indicate progress against the highest risk elements of their approach. The proposed deliverables should be consistent with government evaluation of the proposed goals. Lasers must be delivered at the end of phase I and at the end of the program for testing against the performance objectives and goals. Lasers must also operate within the appropriate program goals after 5 min of CW operation. Delivered lasers will be clamped onto a cold plate maintained at room temperature. No additives or thermal grease will be used in the mounting process.

Sec II. AWARD INFORMATION

A. 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. 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. 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, whether or not the research is classified as Fundamental Research, and other factors.

In all cases, the Government contracting officer shall have sole discretion to select award instrument type and to negotiate all instrument terms and conditions with selectees. Proposers are advised that if they propose grants or cooperative agreements, DARPA may select other award instruments, as it deems appropriate. DARPA will apply publication or other restrictions, as necessary, if it determines that the research resulting from the proposed effort will present a high likelihood of disclosing performance characteristics of military systems or manufacturing technologies that are unique and critical to defense. Any award resulting from such a determination will include a requirement for DARPA permission before publishing any information or results on the program. For more information on publication restrictions, see the section below on Fundamental Research.

B. Fundamental Research

It is DoD policy that the publication of products of fundamental research will remain unrestricted to the maximum extent possible. National Security Decision Directive (NSDD) 189 established the national policy for controlling the flow of scientific, technical, and engineering information produced in federally funded fundamental research at colleges, universities, and laboratories. The Directive defines fundamental research as follows:

'''Fundamental research' means basic and applied research in science and engineering, the results of which ordinarily are published and shared broadly within the scientific community, as distinguished from proprietary research and from industrial development, design, production, and product utilization, the results of which ordinarily are restricted for proprietary or national security reasons."

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

Proposers should indicate in their proposal whether they believe the scope of the research included in their proposal is fundamental or not. While proposers should clearly explain the intended results of their research, the Government shall have sole discretion to select award instrument type and to negotiate all instrument terms and conditions with selectees. Appropriate clauses will be included in resultant awards for non-fundamental research to prescribe publication requirements and other restrictions, as appropriate.

For certain research projects, it may be possible that although the research being performed by the prime contractor is restricted research, a subcontractor may be conducting contracted fundamental research. In those cases, it is the prime contractor’s responsibility to explain in their proposal why its subcontractor’s effort is contracted fundamental research.

The following statement or similar provision will be incorporated into any resultant non-fundamental research procurement contract or other transaction:

There shall be no dissemination or publication, except within and between the contractor and any subcontractors, of information developed under this contract or contained in the reports to be furnished pursuant to this contract without prior written approval of DARPA’s Public Release Center (DARPA/PRC). All technical reports will be given proper review by appropriate authority to determine which Distribution Statement is to be applied prior to the initial distribution of these reports by the contractor. With regard to subcontractor proposals for Contracted Fundamental Research, papers resulting from unclassified contracted fundamental research are exempt from prepublication controls and this review requirement, pursuant to DoD Instruction 5230.27 dated October 6, 1987.

When submitting material for written approval for open publication, the contractor/awardee must submit a request for public release to the PRC and include the following information: (1) Document Information: document title, document author, short plain-language description of technology discussed in the material (approx. 30 words), number of pages (or minutes of video) and document type (e.g., briefing, report, abstract, article, or paper); (2) Event Information: event type (conference, principal investigator meeting, article or paper), event date, desired date for DARPA's approval;

(3) DARPA Sponsor: DARPA Program Manager, DARPA office, and contract number;

and (4) Contractor/Awardee's Information: POC name, e-mail and phone. Allow four weeks for processing; due dates under four weeks require a justification. Unusual electronic file formats may require additional processing time. Requests may be sent either by-mail to prc@darpa.mil or via 675 North Randolph Street, Arlington VA 22203- 2114, telephone (571) 218-4235. Refer to the following for link for information about DARPA’s public release process: http://www.darpa.mil/NewsEvents/Public_Release _Center/Public_Release_Center.aspx.

Sec. III: ELIGIBILITY INFORMATION

All responsible sources capable of satisfying the Government's needs may submit a proposal that shall be considered by DARPA.

A. Eligible Applicants

1. Federally Funded Research and Development Centers (FFRDCs) and Government entities (e.g., 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: (1) FFRDCs must clearly demonstrate that the proposed work is not otherwise available from the private sector. (2) FFRDCs must provide a letter on official letterhead from their sponsoring organization citing the specific authority establishing their eligibility to propose to Government solicitations and compete with industry, and their compliance with the associated FFRDC sponsor agreement and terms and conditions. This information is required for FFRDCs proposing to be prime contractors 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 and contractual authority, if relevant, 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 FFRDC eligibility submissions on a case-by-case basis;

however, the burden to prove eligibility for all team members rests solely with the proposer.

2. Non-U.S. organizations and/or individuals may participate to the extent that such participants comply with any necessary nondisclosure agreements, security regulations, export control laws, and other governing statutes applicable under the circumstances.

mailto:prc@darpa.mil

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). 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. The Government assessment does NOT affect, offset, or mitigate the proposer’s responsibility 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. As part of the proposal submission, all members of the proposed team (prime proposers, 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). 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 has taken 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 a conflict of interest exists or may exist (whether organizational or otherwise) or has questions on what constitutes a conflict of interest, the proposer should send his/her contact information and a summary of the potential conflict to the DARPA-BAA-14-20@darpa.mil before time and effort are expended in preparing a proposal and mitigation plan.

C. Cost Sharing/Matching

Cost sharing is not required; however, it will be carefully considered where there is an applicable statutory condition relating to the selected funding instrument (e.g., 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.

Sec. IV: APPLICATION AND SUBMISSION INFORMATION

A. Address to Request Application Package mailto:name@darpa.mil

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 solicitation. No additional information is available, except as provided at FBO.gov or Grants.gov, nor will a formal Request for Proposal (RFP) or additional solicitation regarding this announcement be issued. Requests for the 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: Microsystems Technology Office

Reference: (DARPA-BAA-14-20) 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 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 IV.B.6 (Submission Dates and Times) below. DARPA will acknowledge receipt of the submission and assign a control number that should be used in all further correspondence regarding the abstract.

Proposal abstracts sent in response to DARPA-BAA-14-20 shall be submitted through T-FIMS.

DO NOT SUBMIT PROPOSAL ABSTRACTS TO GRANTS.GOV. See https://baat.darpa.mil for more information on how to request an account, upload proposal abstracts, and use the T- FIMS tool. Because proposers using T-FIMS may encounter heavy traffic on the web server, and T-FIMS requires a registration and certificate installation for all proposers, proposers should not wait until the day the proposal abstract is due to create an account in T-FIMS and submit the proposal.

3. Abstract Format

Abstracts are encouraged in advance of full proposals in order to provide potential proposers with a rapid response to minimize unnecessary effort. Abstracts should follow the format described below in this section. The cover sheet should be clearly marked “ABSTRACT” and the total length of Section II should not exceed 10 pages. All pages shall be printed on 8-1/2 by 11 inch paper with type not smaller than 12 point. Smaller font may be used for figures, tables and charts. The page limitation for abstracts includes all figures, tables, and charts. No formal transmittal letter is required. All abstracts must be written in English.

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 letter within thirty (30) calendar days of receipt. If DARPA does not recommend the proposer submit a full proposal, DARPA will provide detailed feedback to the proposer regarding the rationale for this decision. Regardless of DARPA’s response to an abstract, proposers may submit a full proposal. DARPA will review all full proposals submitted using the published evaluation criteria and without regard to any comments resulting from the review of an abstract.

https://baat.darpa.mil/

Section I. Administrative

A. {1} Cover sheet to include:

(1) BAA number (DARPA-BAA-14-20);

(2) Technical area(s);

(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) Proposer’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;

(9) Administrative point of contact to include: salutation, last name, first name, street address, city, state, zip code, telephone, fax (if available), electronic mail;

(10) Total funds requested from DARPA, and the amount of cost share (if any); AND

(11) Date proposal was submitted.

Section II. Summary of Proposal

A. {2} Summary of innovative claims for the proposed research. This section is the centerpiece of the proposal and should succinctly describe the uniqueness and benefits of the proposed approach relative to the current state-of-art alternate approaches.

B. {1} Deliverables associated with the proposed research and the plans and capability to accomplish technology transition and commercialization. Include in this section all proprietary claims to the results, prototypes, intellectual property, or systems supporting and/or necessary for the use of the research, results, and/or prototype. If there are no proprietary claims, this should be stated. For forms to be completed regarding intellectual property, see Section VIII. There will be no page limit for the listed forms.

C. {5} Technical rationale, technical approach, and constructive plan for accomplishment of technical goals in support of innovative claims and deliverable production. (In the full proposal, this section should be supplemented by a more detailed plan in Section III.)

D. {1} General discussion of other research in this area.

E. {1} A clearly defined organization chart for the program team which includes, as applicable:

(1) the programmatic relationship of team member; (2) the unique capabilities of team members; (3) the task of responsibilities of team members; (4) the teaming strategy among the team members; and (5) the key personnel along with the amount of effort to be expended by each person during each year.

4. Proposal Submission Information

The typical proposal should express a consolidated effort in support of one technical concepts or ideas. Disjointed efforts should not be included into a single proposal. Separate proposals should be submitted for each technical area.

Proposals and abstracts may not be submitted by mail, fax or e-mail; any so sent will be disregarded.

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

For Proposers Requesting Grants or Cooperative Agreements:

Proposers requesting grants or cooperative agreements may only submit proposals through electronic upload per the instructions at http://www.grants.gov/applicants/apply_for_grants.jsp or in hard-copy. Grant or cooperative agreement proposals may not be submitted through any other means. If proposers intend to use Grants.gov as their means of submission, then they must submit their entire proposal through Grants.gov; applications cannot be submitted in part to Grants.gov and in part as a hard-copy. Proposers using the Grants.gov APPLY do not submit paper proposals in addition to the Grants.gov APPLY electronic submission.

Grants.gov requires proposers to complete a one-time registration process before a proposal can be electronically submitted. If proposers have not previously registered, this process can take between three business days and four weeks. See the Grants.gov registration checklist at http://www.grants.gov/assets/organizationregcheck_092112.pdf for registration requirements and instructions.

Once Grants.gov has received a proposal submission, Grants.gov will send two email messages to advise proposers as to whether or not their proposals have been validated or rejected by the system; IT MAY TAKE UP TO TWO DAYS TO RECEIVE THESE EMAILS. The first email will confirm receipt of the proposal by the Grants.gov system; this email only confirms receipt, not acceptance, of the proposal. 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 is validated, then the proposer has successfully submitted their proposal. If the proposal is rejected, the proposed must be corrected and resubmitted before DARPA can retrieve it. If the solicitation is no longer open, the rejected proposal cannot be resubmitted. Once the proposal is retrieved by DARPA, the proposer will receive a third email from Grants.gov. To avoid missing deadlines, proposers should submit their proposals in advance of the final proposal due date with sufficient time to receive confirmations and correct any errors in the submission process through Grants.gov. For more information on submitting proposals 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 proposals 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://apply07.grants.gov/apply/forms/sample/RR_SF424_2_0-V2.0.pdf. Please use the Attachments Form and upload as two separate documents, Volume I, Technical and Management Proposal and Volume II, Cost Proposal, as well as any other documents required by the BAA (i.e., subcontract proposals). No other Grants.gov forms are required. Please note that Grants.gov does not accept zipped or encrypted documents uploaded as attachments. Please follow the document made available on Grants.gov as part of the solicitation entitled http://www.grants.gov/applicants/apply_for_grants.jsp http://grants.gov/applicants/apply_for_grants.jsp http://apply07.grants.gov/apply/forms/sample/RR_SF424_2_0-V2.0.pdf

“Instructions for Using Grants.gov to Apply for a Grant or Agreement from DARPA (Short Form),” dated 20 October 2011, for more information.

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

If submitting the fully proposal in hard-copy, an original and four (4) copies and two (2) electronic copies on a CD-ROM shall be submitted. Each copy must be clearly labeled with DARPA-BAA-14-20, proposer organization, proposal title (short title recommended), and Copy _ of 2.

For Proposers Requesting a Contract or Other Transaction Agreement (OTA):

Proposals sent in response to DARPA-BAA-14-20 should be submitted through T-FIMS;

classified submissions and proposals requesting assistance instruments (grants or cooperative agreements) should not be submitted through T-FIMS. See https://baat.darpa.mil for more information on how to request an account, upload proposals, and use the T-FIMS tool. Because proposers using T-FIMS may encounter heavy traffic on the web server, and T-FIMS requires a registration and certificate installation for all proposers, proposers should not wait until the day the proposal is due to create an account in T-FIMS and submit the proposal.

For All:

All administrative correspondence and questions on this solicitation, including requests for information on how to submit an abstract or full proposal to this BAA should be directed to DARPA-BAA-14-20@darpa.mil. DARPA intends to use electronic mail for correspondence regarding DARPA-BAA-14-20. Proposals and 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.

5. Full Proposal Format

All full proposals must be in the format given below. Nonconforming proposals may be rejected without review. Proposals shall consist of two volumes. All pages shall be printed on 8-1/2 by 11 inch paper with type not smaller than 12 point. Smaller font may be used for figures, tables and charts. The page limitation for full proposals includes all figures, tables, and charts.

Volume I, Technical and Management Proposal, may include an attached bibliography of relevant technical papers or research notes (published and unpublished) which document the technical ideas and approach upon which the proposal is based. Copies of not more than three

(3) relevant papers may be included with the submission. The bibliography and attached papers are not included in the page counts given below. The submission of other supporting materials along with the proposals is strongly discouraged and will not be considered for review. Volume I shall not exceed 50 pages excluding the cover sheet, transmittal letter and summary slide. All full proposals must be written in English.

mailto:support@grants.gov?subject=Support

a. Volume I, Technical and Management Proposal

Section I. Administrative

A. Cover sheet to include:

(1) BAA number (DARPA-BAA-##-##);

(2) Technical area(s);

(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) Proposer’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),…