DARPA-BAA-14-31_Amendment3_Final_For_Posting_10June2014.pdf

Broad Agency Announcement Direct On-chip Digital Optical Synthesizer (DODOS)

Microsystems Technology Office

DARPA-BAA-14-31

April 17, 2014 (Amendment No. 03: As amended through 10 June 2014)

Table of Contents

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

Sec. I: FUNDING OPPORTUNITY DESCRIPTION Background and Description

A. Technical Areas of Interest B. Program Organization and Metrics C. Deliverables

Sec II: AWARD INFORMATION A. Awards B. Fundamental Research

Sec. III: ELIGIBILITY INFORMATION A. Eligible Applicants B. Procurement Integrity, Standards of Conduct, Ethical Considerations, and

Organizational Conflicts of Interest C. Cost Sharing/Matching D. Other Eligibility Criteria

1. Collaborative Efforts 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

11. Representation by Corporations Regarding an Unpaid Delinquent Tax

Liability or a Felony Conviction under any Federal Law—Fiscal Year 2014 Appropriations (Deviation 2014-OO00009)

12. Cost Accounting Standards (CAS) Notices and Certification

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

Systems

14. Safeguarding of Unclassified Controlled Technical Information

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 – Direct On-chip Digital Optical Synthesizer (DODOS)

• Announcement Type – Initial Broad Agency Announcement (BAA)

• Funding Opportunity Number – DARPA-BAA-14-31

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

Technology Development

• Dates o Posting Date: April 17, 2014 o Proposers’ Day: April 28, 2014 o Abstract Due Date: May 16, 2014 o Proposal Due Date: July 8, 2014 o Estimated period of performance start: November 24, 2014

• Concise description of the funding opportunity: DARPA is soliciting innovative research proposals in the area of chip-scale optical frequency synthesis, providing a pure-tone optical output with a precise and accurate frequency relationship to a reference radio-frequency input. The program seeks to address challenges associated with realizing an integrated optical frequency synthesizer with unprecedented reductions in cost, size, weight, and power (CSWaP). Of specific interest is the development of a compact low-power Direct On-chip Digital Optical Synthesizer (DODOS) that converts RF to optical frequency with programmable frequency resolution of one part in 1014, volume of < 1 cm3, and power consumption of < 1Watt. The main objective of the DODOS program is the development of the necessary component technologies and integration into a robust, compact, low-SWaP device.

• Anticipated individual awards – Multiple awards are anticipated.

• Anticipated funding type - 6.1 and/or 6.2

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

• Anticipated Amount of Program Funding Available for Awards: ~$30M - $35M

• Any cost sharing requirements – None.

• Agency contact o Dr. Robert Lutwak, Program Manager BAA Coordinator: DARPA-BAA-14-31@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 area of microscale integrated high-resolution optical frequency synthesis. Proposed research should investigate innovative approaches that enable revolutionary advances in relevant science, manufacturing, devices, or systems. Specifically excluded is research that primarily results in evolutionary improvements to the existing state of practice.

The Direct On-chip Digital Optical Synthesizer (DODOS) program seeks to realize an integrated optical frequency synthesizer with tuning resolution of 1 part in 1014, Allan deviation instability of σy(τ) < 10-13/τ, volume < 1 cm3, and power consumption of < 1 Watt. A high-precision, low-size, weight, and power (SWaP) optical synthesizer has a wide range of potentially disruptive applications in numerous areas of DoD interest, including (but not limited to) standoff facilities effluent characterization, high-bandwidth and secure communications, optical spectroscopy, gas sensing, LiDAR, optical-carrier atomic clocks, and atomic and optomechanical inertial sensors.

Background and Description The advent of precise microwave frequency synthesis in the 1940’s enabled a disruptive revolution in the capabilities enabled by microwave technology, including wireless and wireline communications, RADAR, electronic warfare, and atomic sensors and timing technology. It is envisioned that the DODOS program will advance a similar transformative revolution based on ubiquitous optical frequency synthesis technology.

Laboratory-scale optical frequency synthesis was successfully realized in 1999 with the invention of self-referenced optical frequency combs based on femto-second pulse-length mode-locked laser sources. This has led to optical synthesizers with frequency accuracy better than 10-

19 and demonstration of optical clocks with stability floor below 2 x 10-18. However, such systems are large, costly, and thereby confined to laboratory use. Recent development of Kerr combs generated in microresonators, as well as chip-scale mode-locked lasers, enable the development of a microscale self-referenced optical frequency comb with performance rivaling that of laboratory-scale systems. Combined with recent progress in on-chip photonic waveguides and photonic crystals, widely-tunable laser sources, and optical modulators, along with advances http://www.fbo.gov/ http://www.grants.gov/ in on-chip optical-CMOS heterogeneous integration, it is now possible to develop a robust and deployable single-chip integrated optical frequency synthesizer. It is expected that the DODOS program will enable low-cost and low-SWaP optical frequency control with the ubiquity of microwave synthesis, and thereby wide deployment across DoD systems.

A. Technical Areas of Interest Technical Area 1: DODOS Technology Development The principal objective of the DODOS program is the development of a miniature integrated optical frequency synthesizer producing a pure tone optical output whose frequency is accurately synthesized from a pure tone radio-frequency reference input, with relative tuning accuracy of one part in 1014.

The DODOS technical objectives are summarized by phase in Table 1, below.

Table 1: DODOS Program Objectives

Metric Phase I Phase II Phase III Units

Volume - < 1 < 1 cm3

Power Consumption < 1 < 1 < 1 Watt Tuning Resolution < 100 < 10 < 1 Hz Relative Stability < 10-11/τ < 10-12/τ < 10-13/τ for 1 sec < τ < 105 sec Output Center Wavelength 1550 1550 1550 nm Output tuning range +/- 25 +/- 25 +/- 25 nm Input reference frequency 10.0 10.0 10.0 MHz Frequency switching/settling time

100 10 1 µs

Control Interface - - SPI Contractor-determined format

Deliverables 1 prototype 10 prototypes

Notes Photonic components only

Integrated electro-optical system

Complete integrated synthesizer

The final DODOS program SWaP objectives include all control and signal recovery electronics in addition to optical systems and packaging.

All specifications in Table 1 to be met over an ambient temperature range of 0 to 50°C.

Technical Area 2: Advanced Studies A limited number of highly innovative proposals for advanced studies may be considered for exploration of alternative or supporting micro-scale optical frequency synthesis technologies. In this case, the proposal must address relevance of the proposed research to the DODOS program objectives and provide a SOW and program plan that demonstrates proof of concept in Phase I of the proposed effort.

B. Program Organization and Metrics DODOS Technical Area 1 (TA1): DODOS Technology Development is expected to have an overall duration of 42 months.

The following milestones are based on the metrics outlined in Table 1:

Phase I (18 months)

Successful demonstration of optical frequency synthesis in a laboratory setup, using low-SWaP optical components consistent with subsequent co-integration in the Phase III DODOS implementation. Optical and electronic integration are not expected to be attempted in this phase.

Power consumption will include all power dissipated in optoelectronic components.

Phase II (12 months)

Demonstrated functionality of a co-integrated DODOS electro-optical component, meeting the size, power, and performance goals of Table 1 with a clear path toward achieving the final phase performance and SWaP metrics. Electronic control and algorithms demonstrations are expected;

however, electronic integration efforts are not expected in this phase.

Phase III (12 months)

Successful demonstration of co-integrated optical frequency synthesizer and control electronics, meeting all Phase-III performance and SWaP metrics of Table 1.

It is expected that achieving this level of performance and SWaP will require a high degree of on-chip integration of optical components, interconnects, and control electronics. To meet program requirements, multidisciplinary teams comprising experts in micro and nanofabrication, optics and photonics, and heterogeneous integration are anticipated.

Achieving the ubiquity objective will necessarily compel solutions that are compatible with large-scale batch manufacturing. The example below is provided for clarification and should not be interpreted as constraints or requirements for technical solutions proposed in response to this BAA. One notional architecture consists of a micro-comb, based on either a Kerr microresonator or a chip-scale mode-locked laser and possibly including an on-chip non-linear photonic crystal for spectrum broadening, with a comb repetition rate consistent with low-power electronics, e.g.

10 GHz. On-chip doubling and detection would be implemented in order to facilitate simultaneous stabilization of both the comb repetition rate and the carrier-envelope offset. The finely tunable pure-tone optical output would be provided by an integrated widely-tunable slave laser, phase-locked to the comb with a synthesized frequency offset. In this architecture, phase-noise stability, from 1 Hz to 1 GHz off carrier, would be determined by the stability of the comb, while long-term stability, from 1 second to 105 seconds, would be determined by the RF reference input, thus avoiding multiplication of the RF phase noise to the optical domain for offsets greater than 1 Hz. It may be necessary to implement a second comb generator, at an incommensurate repetition rate, and/or a reference cavity, in order to unambiguously determine turn-on frequency and/or to provide additional comb stabilization. To meet SWaP requirements, all necessary optical interconnects, thermal isolation and control, signal recovery and microprocessor control for the comb, slave laser, and offset lock would be co-integrated with optical components. In this example, anticipated efforts in realizing a fully-stabilized microcomb are expected to include, at least, the development of high-efficiency low-threshold octave-spanning microcombs, high-efficiency on-chip comb pump lasers, broadly tunable slave lasers, and high-efficiency on-chip doubling and low-noise photodetection, as well as thermal and electronic stabilization. Additional efforts, beyond comb stabilization, will likely include development of low-noise widely-tunable slave lasers, high-efficiency on-chip optical modulators, on-chip optical isolators, electronics development, offset-locking techniques and algorithms, and heterogeneous fabrication and assembly processes.

Beyond meeting the baseline objectives of Table 1, additional features may be proposed for inclusion in the DODOS prototype in order to facilitate development and/or support future application demonstrations. For example, additional DODOS features may include (but are not limited to) the ability to alternatively lock the comb to an externally-provided optical reference input, provision of a low-phase-noise microwave output at the comb repetition rate, and/or optical output of the comb itself. Optional control features might include frequency-shift keying (FSK) and/or internal sweep and frequency modulation capability.

Advanced Studies (TA2): Advanced studies for novel component technologies should last a maximum of 24 months and may consist of up to 2 phases, each no longer than 12 months.

Proposed efforts must identify measurable quantitative milestones throughout the program duration. These milestones must define a credible trajectory towards achieving the individual phase objectives as well as the final program goals outlined above.

Performance will be continually evaluated based on the likelihood that progress will lead to achievement of the final program goals. DARPA does not guarantee continued funding in the event that intermediate milestones are not accomplished or if it should be determined that substantial progress is unlikely.

DARPA is not currently soliciting proposals for DODOS-enabled application demonstrations.

Pending the success of DODOS technology development, application demonstrations may be the subject of a future DARPA BAA.

C. Deliverables A minimum of one prototype with brassboard control electronics will be delivered toward the end of Phase II for government evaluation. The results will be provided to performers and will also play a role in determining Phase III funding. A minimum of ten (10) fully integrated prototypes will be delivered toward the end of Phase III for government evaluation and to support application demonstrations.

Sec II: AWARD INFORMATION

A. Awards 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 mailto:prc@darpa.mil http://www.darpa.mil/NewsEvents/Public_Release_Center/Public_Release_Center.aspx 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.

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 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 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-14-31@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.

D. Other Eligibility Criteria

1. Collaborative Efforts Collaborative efforts/teaming are encouraged.

Sec. IV: APPLICATION AND SUBMISSION INFORMATION

PLEASE NOTE, PROPOSERS ARE CAUTIONED THAT EVALUATION RATINGS MAY

BE LOWERED AND/OR PROPOSALS REJECTED IF PROPOSAL PREPARATION

(PROPOSAL FORMAT, CONTENT, ETC.) AND/OR SUBMITTAL INSTRUCTIONS ARE

NOT FOLLOWED.

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 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 The Government anticipates proposals submitted under this BAA will be unclassified.

No classified proposals will be accepted.

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.

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 mailto:DARPA-BAA-14-31@darpa.mil 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.

All proposal abstracts sent in response to DARPA-BAA-14-31 shall be submitted through T- FIMS. Proposals abstracts may not be submitted by fax, e-mail, Grants.gov or as hardcopies;

any so sent will be disregarded. 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.

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 12 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 in writing 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.

Section I. Administrative

Cover sheet clearly marked "PROPOSAL ABSTRACT" to include:

A. {1} Cover sheet to include:

(1) BAA number (DARPA-BAA-14-31);

(2) Technical area;

(3) Lead Organization submitting proposal abstract;

(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);

https://baat.darpa.mil/

(6) Other team members (if applicable) and type of business for each;

(7) Proposal abstract 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 abstract was submitted.

Section II. Proposal Abstract Details {12 pages}

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

B. 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.

C. This section is the centerpiece of the proposal abstract and should succinctly describe the technical rationale, technical approach, and constructive plan for accomplishment of technical goals in support of innovative claims and deliverable production.

D. General discussion of other research in this area.

E. 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.

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.

4. Proposal Submission Information

For Proposers Requesting a Grant or Cooperative Agreement:

Proposers requesting grants or cooperative agreements may submit proposals through one of the following methods: (1) hard copy mailed directly to DARPA; or (2) electronic upload per the instructions at http://www.grants.gov/applicants/apply-for-grants.html. 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/documents/19/18243/OrganizationRegChecklist.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://www.grants.gov/web/grants/applicants/apply-for-grants.html.

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 “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-14-31, proposer organization, proposal title (short title recommended), and Copy _ of 2.

For Proposers Requesting a Contract or Other Transaction Agreement:

http://www.grants.gov/web/grants/applicants/apply-for-grants.html http://apply07.grants.gov/apply/forms/sample/RR_SF424_2_0-V2.0.pdf mailto:support@grants.gov?subject=Support

Proposals sent in response to DARPA-BAA-14-31 must be submitted through T-FIMS.

Proposals may not be submitted by fax, e-mail, Grants.gov or in hardcopy; any so sent will be disregarded. 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-14-31@darpa.mil. DARPA intends to use electronic mail for correspondence regarding DARPA-BAA-14-31. 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 and written in English. 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 typical proposal should express a consolidated effort in support of one or more related technical concepts or ideas. Disjointed efforts should not be included into a single proposal.

Proposals shall respond to only one Technical Area (e.g., either Technical Area 1 or Technical Area 2). Proposers may submit multiple proposals. Section II of Volume I, Technical and Management Proposal, shall not exceed 35 pages for Technical Area 1 proposals - including all figures, tables, and charts. Section II of Volume I, Technical and Management Proposal, shall not exceed 20 pages for Technical Area 2 proposals - including all figures, tables, and charts.

There is no page limit to Section III of Volume I, Technical and Management Proposal. Section III 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 submission of other supporting materials along with the proposals is strongly discouraged and will not be considered for review.

Section IV of Volume I, Technical and Management Proposal consists of a single PowerPoint (or equivalent) slide summarizing the program objectives, innovative claims, and technical risks.

Download and use the template provided in Attachment 2 posted with the subject BAA. Submit the PowerPoint (or equivalent) file in addition to Volume I and Volume II of your full proposal.

There is no page limit to Volume II, Cost Proposal.

a. Volume I, Technical and Management Proposal Section I. Administrative https://baat.darpa.mil/

A. Cover sheet to include:

1) BAA number (DARPA-BAA-14-31);

2) Technical area;

3) Lead Organization submitting proposal;

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

ORGANIZATION”, “SMALL DISADVANTAGED ORGANIZATION”, “OTHER

SMALL ORGANIZATION”, “HBCU”, “MI”, “OTHER EDUCATIONAL”, OR

“OTHER NONPROFIT”;

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

6) Other team members (if applicable) and type of organization for each;

7) Proposal title;

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

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

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

11) Date proposal was submitted.

B. Official transmittal letter. (Note: An official transmittal letter is not required when submitting a Proposal Abstract.)

Section II. Detailed Proposal Information

A. Statement of Work (SOW)

In plain English, clearly define the technical tasks/subtasks to be performed, their durations, and dependencies among them. The page length for the SOW will be dependent on the amount of the effort. The SOW must not include proprietary information. For each task/subtask, provide:

• A general description of the task/subtask objective;

• A detailed description of the approach to be taken to accomplish each objective;

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

• The completion criteria for each task/activity - a product, event or milestone that defines its completion;

• Define all deliverables (reporting, data, reports, software, etc.) to be provided to the

Government in support of the proposed research tasks/activities; and

• Clearly identify any tasks/subtasks (prime or subcontracted) that will be accomplished on-campus at a university.

Note: It is recommended that the SOW should be developed so that each Phase of the program is separately defined.

B. Innovative Claims of the Proposed Research

Describe the uniqueness and benefits of the proposed approach which differentiate it from current state-of-the-art alternative approaches.

C. Technical Rationale and Approach

This is the heart of the proposal and should describe the architecture and details of the proposed approach with sufficient technical detail so as to permit complete evaluation of the feasibility and risk of the proposal.

This section should include (at least):

a. Analysis of anticipated DODOS device performance addressing each Program

Objective of Table 1. Proposals should clearly explain the technical approach(es) that will be employed to meet or exceed each program metric in each Phase and provide ample justification as to why the approach(es) is/are feasible. Include a complete power budget for the DODOS, by component and by phase.

b. Description of component performance requirements and approach to development and evaluation of components.

c. Description of fabrication, assembly, and integration processes.

d. Where applicable, technical approach should reference discussion of risks and risk mitigation in Section D.

e. Test methodology for evaluation of component and system performance, compared to metrics, in each Phase.

D. Technical Risk Assessment

Identify the principal technical risks in the proposed approach and programmatic risk mitigation strategies for each. Include a table summarizing each technical risk in terms of likelihood of occurrence and impact to program success, each on a scale of 1-10. For any risk with a multiplicative weight (likelihood * impact) greater than 25 describe the risk mitigation strategy to be employed to address and reduce this risk in Phase-I of the program.

A sample risk table is as follows:

Risk Description Likelihood Impact Weight

Risk 1 (NARRATIVE) 1-10 1-10 1-100 Risk 2 (NARRATIVE) 1-10 1-10 1-100 etc.

E. Teaming and Management Plan

Proposals should include a clearly defined organization chart for the program team which includes the programmatic relationship and a summary of each member's roles and responsibilities. Additionally, a narrative discussing (1) the proposers teaming strategy/rationale; (2) the specific roles and responsibilities of the team members; (3) the unique capabilities of the team members; (4) the proposers team management approach; and

(5) the key personnel along with the amount of effort to be expended by each person during each Phase. This section shall also include any formal teaming agreements which are required to execute this program.

F. Cost, Schedules and Measurable Milestones

Include cost estimates for each task in each year of the effort delineated by the primes and major subcontractors, total cost, and any company cost share. Where the effort consists of multiple portions which could reasonably be partitioned for purposes of funding, these should be identified as options with separate cost estimates for each.

Provide a graphical depiction of schedule and measurable milestones for the proposed research. (Note: Measurable milestones should capture key development points in tasks and should be clearly articulated and defined in time relative to start of effort.) The milestones must not include proprietary information.

Submitted proposals should include: (1) a detailed plan for completion of all milestone-oriented tests within each proposed phase, (2) a detailed budget for each proposed phase by Federal Government Fiscal Year, and (3) a set of proposed internal milestones for measuring progress.

G. Capabilities

Describe relevant prior work, background, qualifications, and relevant experience of team member organizations and key individuals to be assigned to the program. Describe the facilities and equipment that would be utilized for the proposed effort.

H. Technology Transition

Describe the results, products, transferable technology, and expected technology transfer path. This should also address mitigation of life-cycle and sustainment risks associated with transitioning intellectual property for U.S. military applications, if applicable. See also Section VIII. “Intellectual Property.”

Section III. Additional Information

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

Section IV. Summary Slide

Provide a single slide summarizing the program & effort in PowerPoint or equivalent format.

Download and use the template provided in Attachment 2 posted with the subject BAA. Submit the file in addition to Volume I and Volume II of your full proposal.

b. Volume II, Cost Proposal

Cover sheet to include:

1) BAA number (DARPA-BAA-14-31);

2) Technical area;

3) Lead Organization submitting proposal;

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

ORGANIZATION”, “SMALL DISADVANTAGED ORGANIZATION”, “OTHER

SMALL…