DARPA-BAA-15-19.pdf

Broad Agency Announcement Materials for Transduction (MATRIX)

Defense Sciences Office

DARPA-BAA-15-19

January 23, 2015

DARPA-BAA-15-19 MATRIX 2

Table of Contents I. Funding Opportunity Description

A. Introduction B. Program Description and Scope C. Program Structure D. Program Schedule E. Integration of Efforts F. Intellectual Property G. Abstracts and Proposal Structure H. Meetings and Travel I. Deliverables

II. Award Information A. Awards B. Fundamental Research

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

IV. Application and Submission Information A. Address to Request Application Package B. Content and Form of Application Submission C. Submission Dates and Times D. Funding Restrictions E. Other Submission Requirements

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

VI. Award Administration Information A. Selection Notices B. Administrative and National Policy Requirements C. Reporting

VII. Agency Contacts VIII. Other Information

A. Frequently Asked Questions (FAQs) B. Collaborative Efforts/Teaming C. Proposers’ Day

ATTACHMENT 1: ABSTRACT EXECUTIVE SUMMARY SLIDE TEMPLATE

ATTACHMENT 2: PROPOSAL EXECUTIVE SUMMARY SLIDE TEMPLATES

ATTACHMENT 3: TA1 PROPOSAL GOALS & IMPACT SLIDE TEMPLATE

ATTACHMENT 4: TA2 PROPOSAL GOALS & IMPACT SLIDE TEMPLATE

ATTACHMENT 5: PROPOSAL SCHEDULE SLIDE TEMPLATE

ATTACHMENT 6: PROPOSAL COST SUMMARY SLIDE TEMPLATES

ATTACHMENT 7: PROPOSAL COST VOLUME CHECKLIST

ATTACHMENT 8: CONTRACT PROPOSAL COST ELEMENT SUMMARY TEMPLATE

ATTACHMENT 9: COOPERATIVE AGREEMENT PROPOSAL COST ELEMENT

SUMMARY TEMPLATE

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PART I: OVERVIEW INFORMATION

Federal Agency Name: Defense Advanced Research Projects Agency (DARPA), Defense Sciences Office (DSO)

Funding Opportunity Title: Materials for Transduction (MATRIX)

Announcement Type: Initial Announcement

Funding Opportunity Number: DARPA-BAA-15-19

Catalog of Federal Domestic Assistance (CFDA) Number(s): 12.910 Research and Technology Development

Dates (All times listed herein are Eastern Time.)

o Posting Date: January 23, 2015 o Proposers’ Day: January 23, 2015. See Section VIII.C.

o Abstract Due Date: February 19, 2015, 4:00 p.m.

o Full Proposal Due Date: April 2, 2015, 4:00 p.m.

Anticipated Individual Awards: Multiple awards are anticipated in both Technical Areas 1 and 2.

Types of Instruments that May be Awarded: Procurement contracts, cooperative agreements or other transactions.

Agency contacts o Technical POC: Dr. Jim Gimlett, Program Manager, DARPA/DSO o Solicitation Email: MATRIX@darpa.mil o Solicitation Mailing Address:

DARPA/DSO

ATTN: DARPA-BAA-15-19

675 North Randolph Street Arlington, VA 22203-2114 o DSO Solicitation Website:

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

Teaming Information: See Section VIII.B for further information

Frequently Asked Questions (FAQ): FAQs for this solicitation may be viewed on the DSO Solicitation Website. See Section VIII.A for further information.

mailto:MATRIX@darpa.mil http://www.darpa.mil/Opportunities/Solicitations/DSO_Solicitations.aspx

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PART II: FULL TEXT OF ANNOUNCEMENT

I. Funding Opportunity Description

The Defense Advanced Research Projects Agency (DARPA) is soliciting innovative research proposals that fulfill the goal of developing the next generation of transductional materials and devices.

This solicitation is being issued, and any resultant selection will be made, using procedures under Federal Acquisition Regulation (FAR) 35.016. Any negotiations and/or awards will use procedures under FAR 15.4 (or 32 CFR 22 for cooperative agreements). Proposals received as a result of this solicitation shall be evaluated in accordance with evaluation criteria specified herein through a scientific review process.

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

A. Introduction The Materials for Transduction (MATRIX) program in DARPA’s Defense Sciences Office (DSO) is seeking innovative ideas and novel approaches to achieve revolutionary transductional devices and capabilities using materials with energy conversion capabilities and/or strongly correlated properties.

Materials for transduction convert energy between different forms or domains, e.g., thermal to electrical energy (thermoelectrics), or electric field to magnetic field (multiferroics). Devices fabricated from these materials have multiple applications, including:

• Energy harvesting, thermal management, and refrigeration (thermoelectric devices);

• Sensing, actuation, micro-power generation, tunable RF and microwave field engineering (multiferroic devices); and

• Fast switching and sensing (devices based on phase change materials).

The engineering of transductional materials and devices typically applies multi-scale structures to achieve desired combinations of properties not generally found in the constituent bulk materials. While prior efforts have made significant progress in improving transductional material performance for certain applications, gains at the materials level have not always translated into new devices and Department of Defense (DoD) capabilities. In part, this is due to the need to balance disparate materials for the range of performance parameters and environmental conditions required by a given application. The MATRIX program aims to extend advances in both engineered materials and materials understanding to the device and systems level to enable higher conversion efficiencies and other performance attributes such as lower loss; lower noise; higher sensitivity; and smaller size, weight, and power (SWaP) that will be broadly applicable across the DoD. Extending the gains made at the materials level to the device level will require integrating diverse modeling, design, and fabrication communities in a unified research and development effort addressing applications that bridge across the material and http://www.fbo.gov/ http://www.grants.gov/

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device domains. To further accelerate the adoption of MATRIX technology into DoD platforms, MATRIX aims to develop a suite of multiscale, multimodal design and engineering tools that apply to a broad spectrum of transductional materials, devices, and applications.

B. Program Description and Scope The MATRIX program is soliciting novel ideas in transductional materials and device modeling, design, engineering, and fabrication that address DoD needs, enable new applications, and offer transformative new capability. Achieving these goals within the timescale of the program will require the parallel development of modeling, fabrication, measurement and other materials and component technologies, as well as the integration and optimization of these components within prototype devices. Devices of interest may cover a broad range of energy transduction modes and capabilities and may be guided by, but are not limited to, the following examples:

New high-temperature-differential thermoelectric coolers for cooling of temperature-sensitive sensors; high-heat-flux thermoelectric coolers for stabilizing high-power-density electronics; new power generation and waste heat harvesting technologies;

Ultrasensitive room temperature sensors, micromotors and actuators, RF and optical spectral control (e.g., tunable components and antennas), and new switching and logic devices based on multiferroic or phase change materials; and

Other devices that leverage thermoelectric, multiferroic, or phase change materials, either singly or in combination.

In each case, the proposed materials and device technology should significantly advance the state of the art and enable new applications or capabilities not addressed by present day technologies.

It is expected that achieving these goals will, in general, require the application of multiple structural degrees of freedom across scale and across materials and device boundaries. Possible degrees of freedom include, but are not limited to, new crystal compositions and structures;

nano-composites; laminates; novel superlattice structures; materials with nanostructures and patterns; nanocrystals; meta-flakes; and quantum surfaces, wires and dots.

The design of these devices is envisioned to require multiscale predictive modeling tools leveraging modern computational resources. For example, achieving optimal device performance may require a deeper understanding of carrier transport properties for complex materials and device structures. DARPA expects that it may be necessary to advance the state of the art in many-body and ab initio modeling to address strong correlations and complex engineered structures used in transductional materials. Additionally, new modeling and simulation tools that integrate across scale and across modalities may need to be developed in order to engineer the desired properties of dynamic real world devices. Approaches might also involve semi-empirical models that rely upon a tight coupling with experimental measurements in order to achieve computational efficiencies, elucidate parametric dependencies, and accelerate the design-fabrication-validation cycle.

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C. Program Structure

1. Technical Areas – Introduction, Motivation and Expectations

The MATRIX program includes two Technical Areas (TAs), each running concurrently over a three-year period and described in detail below. Proposers may address either or both TA1 or TA2; proposers choosing to submit to both TAs must provide separate submissions for each TA.

TA1: Theory and Multi-scale Modeling of MATRIX Materials and Devices The objective of this technical area is to advance the foundational understanding of transductional materials, exploiting both many-body techniques and ab initio modeling of carrier transport (phononic, charge, spin, and photonic) in complex engineered structures where current theory and modeling techniques fall short. Current state of the art models often pass static parameters between functional domains to analyze coupling between electric (charge), magnetic (spin), acoustic (phonon), and optical (photon) modes. However, in transductional devices, different domains are dynamically coupled and require dynamic multimodal models spanning many spatial and temporal scales. The MATRIX program aims to incorporate recent advances in modeling techniques, including dynamic mean field theory and modal analysis, to the quantitative prediction of energy carrier transport properties across increasingly complex multiscale structures of relevance to the community.

In addition, MATRIX seeks to leverage new metrology techniques (such as femtosecond probing) for rapid validation of modeling predictions and accelerate the development of predictive engineering tools used by device and materials communities. Proposers to TA1 may address a standalone theory and modeling effort, or may additionally include an experimental validation effort.

Expected outputs of TA1 efforts include new foundational models, and new design and engineering tools that both inform TA2 materials and device design efforts and, ultimately, impact a broad community of transductional engineers across multiple transductional domains.

An objective of the MATRIX program is to facilitate strong interactions between TA1 and TA2 teams. Proposed research is encouraged to investigate new theory and modeling approaches that significantly advance both the science, and the engineering and optimization of transductional materials. Specifically excluded is research that primarily results in evolutionary improvements to the existing state of art.

TA2: Application-specific Transductional Materials and Devices TA2 is divided into two sub-TAs. TA2a and TA2b are applications-focused technical areas for thermoelectrics (TA2a) and multiferroics, phase change, and other transductional materials (TA2b) that aim to demonstrate, by the end of the program, device prototypes at the Technological Readiness Level (TRL)1 of 4 to 5. Importantly, proposers to TA2 must specify

1 Technological Readiness Levels (TRLs) are a set of nine graded definitions/descriptions of stages of technological maturity ranging from “basic principles observed and reported” (TRL 1) to “actual system proved through successful mission operations” (TRL 9). TRL 4 is defined as “component and/or breadboard validation in

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a particular device that meets a specific application need as the end result of their effort. In order to meet TA2 program goals, it is expected that vertically integrated teams would be required, consisting of partners specializing in theory and modeling, materials, and devices together with an applications partner with systems-level expertise and applications knowledge.

Expected outputs of TA2 efforts include devices that demonstrate:

(1) at least an order of magnitude improvement over the current state of the art in one or (preferably) more of the following metrics: SWaP, noise, and sensitivity; and/or

(2) at least a factor of two improvement in efficiency or coefficient of performance without severely compromising other relevant performance criteria.

Applications relevance and capability advancement, as well as merit of the scientific and technological approach and expertise of the proposed team, are of paramount importance to TA2. (See also Section V.) Proposed research should investigate approaches that enable significant advances in both the science and the devices. Specifically excluded is research that primarily results in evolutionary improvements to the existing state of art.

Proposers to TA2 may address TA2a, which specifically calls for materials and devices that transduce energy between thermal and electric domains, and/or TA2b, which is applicable to multiferroics, phase change and other transductional materials and devices.

TA2a: Thermoelectric Materials and Devices The objective of this technical area is the development of new devices that transform thermal energy to electrical energy and/or vice-versa. At the device level, effective thermoelectric figure of merit ZT has remained below unity despite recent development of ZT > 2 materials.

Optimized thermoelectric devices require balancing ZT, electron transport, and thermal conductivity across operational temperature gradients for both n- and p-type materials. In addition, thermal and electrical contacts must be designed for minimal parasitic losses.

Thermoelectrics are typically used for a variety of thermal management applications, for power generation, waste heat recovery, cooling, and refrigeration. MATRIX is seeking significant technology advances in thermoelectric materials and devices that enable new and transformative applications.

TA2b: Multiferroics, Phase Change and other Transductional Materials and Devices The objective of this technical area is to develop new devices that enable efficient energy transduction across a variety of functional domains, including magnetic, electric, acoustic/mechanical, and optical. Transductional materials and devices under TA2b may include, but are not limited to, the following: (1) multiferroics, which transduce energy between magnetic and electric domains, sometimes coupling through a resonant acoustic transduction layer; and (2) phase change materials (mostly oxides), which typically invoke laboratory environment.” In TRL 4, basic technological components are integrated to establish that they will work together. This is relatively “low fidelity” compared to the eventual system. TRL 5 is defined as “component and/or breadboard validation in a relevant environment.” In TRL 5, fidelity of breadboard technology increases significantly. The basic technological components are integrated with reasonably realistic supporting elements so they can be tested in a simulated environment.

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strongly correlated carrier interactions where macroscopic properties may be dramatically modulated by small changes in controllable parameters (e.g., temperature, electromagnetic fields, strain). Multiferroic structures can be used for highly-sensitive magnetic field sensors, micromotors and transducers, tunable radio frequency (RF) components including antennas, and other DoD applications. Phase change materials have unique properties such that, at ambient temperature, they are stable in two or more phases but switch reversibly between the two phases when the right thermal, electrical, magnetic, or optical profile is applied.

Applications of such materials include tunable optics (shutters, mirrors and lenses), sensors, and RF absorbers.

2. Additional Program Discussion Proposers to TA1 should outline their theoretical and modeling approach and describe the types of transductional materials and device structures that this approach may address. TA1 proposals should identify project goals and milestones and clearly state the expected outcomes and deliverables if the project is successful. Outcomes may range from theoretical advances that facilitate predictive optimization of new structures of engineered materials, to new algorithms, models and software tools that can be made available to a community of transductional engineers to help bridge the gap between scientific understanding and predictive engineering. Modeling and simulation efforts and tools should focus on one or more specific problems in transductional materials design relating materials properties to materials structures, with the objective of creating a predictive capability that can be experimentally verified, either by the proposing team or by a third party.2 An example might be modeling the role of interfaces in superlattice structures that impact carrier transport and, ultimately, device losses and device efficiencies.

TA1 teams that include an experimental measurement component to validate their modeling efforts are encouraged but not required; theorists and modelers without an experimental verification capability may propose stand-alone projects to TA1, but should nevertheless address in their proposal how their predictive models and tools might be validated by others.

Materials and device development efforts proposed in TA2 must be structured around DoD-relevant applications. TA2 proposal narrative should clearly explain the research and development required across modeling, materials, and device development domains; the technical barriers to be overcome; the proposed innovative technical approach; and how the proposed effort will advance the state of the art in terms of both the fundamental science, and its application to device development and new systems capability. Rather than constrain program efforts to a specific subset of applications, DARPA is seeking input from the community on applications that are beyond the capability of current technologies but may be addressed by new transductional materials and devices. TA2 proposals are required to identify a challenge problem and outline a technology approach which, by program completion, will enable new capability significantly beyond current state of the art. Proposers to TA2 must clearly define the DoD utility of their device and application, quantify the enabling new capability offered, and propose metrics and figures of merit that can be used during the course of the effort to enable a technical assessment of progress against current state of the art. In addition,TA2 proposers must technically justify the device architecture, clearly specify the required metrics for device and materials components, describe how these components will be tested and provide a credible plan

2 A variety of new diagnostic tools (e.g., femtosecond optical and x-ray probing technologies) now enable the measurement and validation of such properties in materials.

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to demonstrate the potential for a high-performance, fieldable device based on an aggressive and well-defined schedule of development milestones and validations. DoD applications and systems-level specifications will be expected to drive architectures and designs at both the device and materials level, from nanoscale to mesoscale. Examples of such specifications include efficiency, coefficient of performance, sensitivity, noise, loss, dynamic range, frequency range, tunability, Q, input and output impedances, thermal and electrical loads, operating currents and voltages, and stability as a function of environmental variables as well as size, weight, power and cost.

All proposals should discuss the risks in the proposed effort (ordered from highest to lowest), the proposed research and development path to address these risks, as well as mitigation strategies that reduce the risks early in the program. Proposers must also clearly describe how any prior and ongoing efforts will be leveraged for the proposed work.

All proposers should identify modeling and design tools that may be made available to the MATRIX community, for example as open-source software libraries and toolkits. (See Sections I.F and VII.B.1 for information on intellectual property.) Proposers to TA2 should identify relevant DoD platforms and applications for the MATRIX devices and provide a feasible plan for technology transfer and commercialization.

D. Program Schedule A generalized timeline of the MATRIX program is shown in Figure 2. The program spans a three year effort (for both technical areas) which is divided into two phases as described below:

Phase I (24 months): The Phase I effort spans the first two years of the program and includes initial systems definition and architecture, successive advances in theory/modeling, materials engineering, and device engineering. Intermediate milestones and end-of-year goals and metrics for Year 1 and Year 2 must be clearly articulated for all efforts and will be used to gauge program progress. To meet these metrics, multiple iterations of device design, fabrication, and characterization are expected, with new optimized materials feeding successive generations of devices. In this manner, materials and device efforts run in parallel while remaining tightly integrated. MATRIX devices from TA2 will be tested and demonstrated in a tabletop proof-of-principle experiment at the end of Phase I and should show significant advancement over existing state of the art that potentially enables new capability, even if not all of the final device and application requirements have been realized.

Phase II (12 months): Phase II runs in Year 3 of the program and allows for additional optimizations, refinements, and integration informed by Phase I progress and the predictive modeling tools developed in the program, culminating in the demonstration of end-of-program performance metrics at a TRL level of 4/5 or higher.

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Figure 1. MATRIX program timeline

E. Integration of Efforts The MATRIX program seeks to build a close, synergistic coupling between the TA1 theorists/modelers and the TA2 integration teams. TA1 is expected to extend transductional theory and modeling capability beyond current state of the art to address more advanced materials and device structures, and TA1 theorists and modelers may offer capabilities that complement and extend the modeling capability already existing within the TA2 teams. The MATRIX Program Manager may encourage TA2 teams to pose specific modeling challenges to the TA1 community that map well to the expertise offered by that community. TA2 efforts may also offer TA1 theorists and modelers who lack experimental validation capability the opportunity to validate their ideas and predictions, so both communities may benefit by close interaction and collaboration. Therefore, all proposals should discuss not only initial partnerships and teaming arrangements but discuss mechanisms and structures (e.g., Associate Contractor Agreements or other mechanisms for formally sharing information, data, technical knowledge, expertise and other resources) to facilitate collaboration. Proposers should also discuss intellectual property arrangements, and any potential barriers to collaboration. Proposals should clearly indicate whether software tools being developed can be made available to other MATRIX performers and/or to the community at large, and provide an expected timeline for technology transfer of this sort.

For TA2, DARPA expects strong collaboration will be required to achieve TRL 4-5 devices within the program timeframe. Vertically integrated teams with theory, modeling, design, fabrication, characterization, engineering, development, integration and test expertise, and applications understanding are encouraged in order to address disparate design tradeoffs and meet applications-level challenges in a unified effort. TA2 proposers must have sufficient

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measurement expertise to fully characterize their materials and devices and assess progress towards meeting proposed metrics and specifications. Applications expertise is encouraged in order to drive device specification and facilitate technology transition.

F. Intellectual Property A key goal of the program is to advance both the theoretical foundations and modeling and engineering tools for a wide range of transductional materials. DARPA is therefore interested in mechanisms to best disseminate these new capabilities to the community, including the use of open, standards-based, plug and play software architectures that allow for interoperability and integration. It is desired that noncommercial software, documentation, designs and technical data generated by the program be provided as deliverables to the Government, with a minimum of Government Purpose Rights (GPR). See Section VI.B.1 for more details on intellectual property.

G. Abstracts and Proposal Structure Abstracts An abstract submission to DARPA is strongly encouraged prior to submission of a full proposal.

Abstracts may address either TA1 or TA2 (a and/or b). Proposers interested in both TA1 and TA2 (a or b) must submit separate abstracts for each proposed Technical Area. Abstracts should discuss proposed teaming arrangements and collaborations. See Section IV.B.1 for specific information on abstract content.

Proposals Proposals may address either TA1 or TA2 (TA2a and/or TA2b). Proposers interested in both TA1 and TA2 (a and/or b) must submit separate proposals for each proposed Technical Area.

Statements of Work (SOWs) and Cost Proposals should be detailed and broken down by specific tasks e.g., theory, design, fabrication, characterization, test and validation. The SOW must provide a detailed task breakdown and correspond closely to the costs detailed in the cost proposal. The SOW must also cite specific tasks and their connection to the interim milestones and metrics, as applicable. Each phase of the program should be separately defined. To the extent practical, the SOW should be organized by the work required to achieve a particular technical objective.

As stated above, the program is intended to run 36 months over the course of two phases.

Proposals should include a base period for the first phase plus an option for the second phase. A target start date of September 1, 2015 may be assumed for proposal budgeting purposes.

Proposals should include a detailed schedule that incorporates specific deliverables and how they feed into the program milestones. These schedules will be synchronized across performers, as required, and monitored/revised as necessary throughout the MATRIX program. See Section IV.B.2 for specific information on proposal content.

H. Meetings and Travel All proposals must include budgets for the following meetings and travel:

A two-day Principal Investigator (PI) meeting will be held approximately every six

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months, with locations split between the East and West Coasts of the United States. For budgeting purposes, please plan for seven two-day meetings over the course of 36 months: four meetings in the Washington, D.C. area and three meetings in the San Francisco, CA area.

At least once per phase, a two-day supplementary workshop will be held at or near a selected performer’s site, to continue integration and development between TAs, foster collaboration between teams, and disseminate MATRIX developments.

Regular teleconference meetings will be scheduled with the Government team for progress reporting as well as problems identification and mitigation. Proposers should also anticipate at least one site visit per phase by the MATRIX Program Manager during which they will have the opportunity to demonstrate progress towards agreed-upon milestones.

I. Deliverables All performers will be required to provide, at a minimum, the following deliverables:

Comprehensive quarterly technical reports due within ten days of the end of the given quarter, describing progress made on the specific milestones as laid out in the SOW.

Brief monthly reports from the lead PI in the form of an email indicating progress or problems, including PDFs of preprints of technical reports or papers produced during the month. This report will be due on the last day of each month of a given phase.

A final report submitted within 30 days of the end of each phase, summarizing the research done.

Demonstration of device prototypes (TA2 only) at the end of each phase.

Other negotiated deliverables specific to the objectives of the individual TAs. These may include intermediate and final versions of software libraries, code, APIs, and prototypes, including documentation and user manuals (TA1 and/or TA2), and/or a comprehensive assemblage of design documents, modeling data and results, model validation data, and materials and device characterization data (TA2).

Reporting as outlined in Section VI.C.

II. Award Information A. Awards

Multiple awards are anticipated in both TA1 and TA2. The level of funding for awards made under this solicitation has not been predetermined and will depend on the quality of the proposals received and the availability of funds. Awards under this solicitation will be made to proposers whose proposals are determined to be the most advantageous and provide best value to the Government, all factors considered, including the potential contributions of the proposed work, overall funding strategy, and availability of funding. See Section V for further information.

The Government reserves the right to:

select for negotiation all, some, one, or none of the proposals received in response to this solicitation;

make awards without discussions with proposers;

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conduct discussions with proposers if it is later determined to be necessary;

segregate portions of resulting awards into pre-priced options;

accept proposals in their entirety or to select only portions of proposals for award;

fund proposals in increments with options for continued work at the end of one or more phases;

request additional documentation once the award instrument has been determined (e.g., representations and certifications); and remove proposers from award consideration should the parties fail to reach agreement on award terms within a reasonable time or the proposer fails to provide requested additional information in a timely manner.

Proposals identified for negotiation may result in a procurement contract, cooperative agreement, or other transaction (OT), depending upon the nature of the work proposed, the required degree of interaction between parties, 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 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

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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 subawardee may be conducting contracted fundamental research. In those cases, it is the prime contractor’s responsibility to explain in its proposal why its subawardee’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 subawardees, 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 subawardee 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 DARPA/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, email 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 via email to prc@darpa.mil or by mail at 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.”

mailto:prc@darpa.mil

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III. Eligibility Information A. Eligible Applicants

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

1. Federally Funded Research and Development Centers (FFRDCs) and Government Entities

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; and (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 subawardees. 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. Foreign Participation 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.

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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 subawardees, 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, subawardees, 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 via email to the BAA email address 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., OTs under the authority of 10 U.S.C. § 2371).

IV. Application and Submission Information A. Address to Request Application Package

This document contains all information required to submit a response to this solicitation. No additional forms, kits, or other materials are needed except as referenced herein. No request for proposal or additional solicitation regarding this opportunity will be issued, nor is additional information available except as provided at the Federal Business Opportunities website (http://www.fbo.gov), the Grants.gov website (http://www.grants.gov/), or referenced herein.

B. Content and Form of Application Submission

1. Abstract Information

Proposers are strongly encouraged to submit an abstract in advance of a full proposal to minimize effort and reduce the potential expense of preparing an out of scope proposal. The abstract provides a synopsis of the proposed project, including brief answers to the following questions:

What is the proposed work attempting to accomplish or do?

http://www.fbo.gov/ http://www.grants.gov/

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How is it done today, and what are the limitations?

Who will care and what will the impact be if the work is successful?

How much will it cost, and how long will it take?

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 email 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. Abstracts will be reviewed in the order they are received. 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.

While it is DARPA policy to attempt to reply to abstracts within thirty calendar days, proposers to this solicitation may anticipate a response within approximately two weeks.

Abstracts must not be submitted to DARPA via email. See Section IV. E.1 for abstract submission instructions.

a. Abstract Format All pages shall be formatted for printing on 8-1/2 by 11 inch paper with 1-inch margins and font size not smaller than 12 point. Font sizes of 8 or 10 point may be used for figures, tables, and charts. Document files must be in .pdf, .ppt, .pptx, .odx, .doc, .docx, .xls, or .xlsx formats. Submissions must be written in English.

Abstracts shall not exceed a maximum of 8 pages. As stated above, separate abstracts must be submitted for each Technical Area proposed.

Page limit includes: Page limit does NOT include:

All figures Official transmittal letter (optional) All tables Cover Sheet All charts Executive summary slide Resumes. Do not include more than two resumes as part of the abstract.

Bibliography (optional). While not included in the overall page limit, the bibliography should not exceed 2 pages.

Abstracts must include the following components:

i. Cover Sheet: Provide the following information.

(1) Label: “Abstract”

(2) BAA number (DARPA-BAA-15-19)

(3) Technical Area

(4) Abstract title

(5) Lead organization name

(6) Technical point of contact (POC) including name, mailing address, telephone, and

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email address

(7) Administrative POC including name, mailing address, telephone number, and email address

(8) Estimated total cost

(9) Estimated period of performance

(10) Primary subcontractors

(11) Data Universal Numbering System (DUNS) number3

(12) Taxpayer identification number (TIN)4

(13) Commercial and Government Entity (CAGE) code5

ii. Executive Summary Slide: Provide a summary in PowerPoint that effectively and succinctly conveys the main objective, key innovations, expected impact, and other unique aspects of the proposed project. Proposers should use the slide template provided as Attachment 1 to the BAA posted at www.fbo.gov.

iii. Goals and Impact: Describe what is being proposed and what difference it will make (qualitatively and quantitatively) if successful. Describe the innovative aspects of the project in the context of existing capabilities and approaches, clearly delineating the relationship of this work to any other prior and ongoing projects.

TA 1 Proposers: Describe the new types of transductional materials and device structures that the theoretical and modeling approach will address. Clearly state the expected outcomes and deliverables if the project is successful, including expected advances in scientific understanding and predictive capability, and new algorithms, models and software tools that will be made available to a community of transductional engineers.

TA2 Proposers: Describe the selected challenge problem, list key metrics and performance specifications of the materials and devices to be developed, and clearly define the application and defense utility. Describe how proposed effort will advance the state of the art and enable new capability.

iv. Technical Plan: Outline and address major technical challenges inherent in the approach, and proposed technical approach and solutions to address these challenges .

v. Capabilities/Management Plan: Provide a brief summary of expertise of the team, including subcontractors and key personnel. Identify a principal investigator for the project and include a description of the team’s organization including roles and responsibilities. Describe the organizational experience in this area, existing intellectual property required to complete the project, and any specialized facilities to be used as part

3 The DUNS number is used as the Government's contractor identification code for all procurement-related activities. Go to http://fedgov.dnb.com/webform/index.jsp to request a DUNS number (may take at least one business day). See Section VI.B.7. for further information.

4 See http://www.irs.gov/businesses/small/international/article/0,,id=96696,00.html for information on requesting a TIN. Note, requests may take from 1 business day to 1 month depending on the method (online, fax, mail).

5 A CAGE Code identifies companies doing or wishing to do business with the Federal Government. See Section VI.B.7 for further information.

file:///C:/Users/emitchell/Downloads/www.fbo.gov http://fedgov.dnb.com/webform/index.jsp http://www.irs.gov/businesses/small/international/article/0,,id=96696,00.html

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of the project. List Government-furnished materials or data assumed to be available. If providing resumes, note that resumes count against the page limit and no more than two resumes may be included in the abstract.

vi. Cost and Schedule: Provide a cost estimate for resources over the proposed timeline of the project, broken down by year. Include labor, materials, a list of deliverables and delivery schedule. Provide cost estimates for each subcontractor (may be a rough order of magnitude).

vii. Bibliography (Optional): If desired, include a brief bibliography with links to relevant papers and reports.

2. Full Proposal Information Proposals consist of Volume 1: Technical and Management Proposal (including mandatory subsection xiii: Administrative and National Policy Requirements) and the optional bibliography (subsection xiv) and Volume 2: Cost Proposal.

Proposers are encouraged to submit concise, but descriptive, proposals. Specific examples of problems, approaches, or goals are preferred to qualitative generalities. The Government will not consider pages in excess of the page limits, as described herein. Proposals with fewer than the maximum number of pages will not be penalized. Information incorporated into Volume 2:

Cost Proposal which is not related to cost will not be considered.