DARPA-BAA-15-40.pdf

Broad Agency Announcement Innovative Vacuum Electronics Science and Technology

(INVEST)

Microsystems Technology Office

DARPA-BAA-15-40

August 11, 2015

Table of Contents

PART I: OVERVIEW INFORMATION

PART II: FULL TEXT OF ANNOUNCEMENT

I. Funding Opportunity Description A. Background and Description B. Program Objective C. C. Program Organization and Instructions for Proposers

II. Award Information III. Eligibility Information

A. Eligible Applicants B. Procurement Integrity, Standards of Conduct, Ethical Considerations, and

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

1. Collaborative Efforts IV. Application and Submission Information

A. Address to Request Application Package B. Content and Form of Application Submission

1. Security Information

2. Proprietary Information

3. Abstract Submission Information

4. Abstract Format

5. Proposal Submission Information

6. Full Proposal Format

7. Submission Dates and Times

8. Funding Restrictions

9. 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

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. Reserved

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

10. Reporting Executive Compensation and First-Tier Subcontract Awards

11. Updates of Information Regarding Responsibility Matters

12. Representations by Corporations Regarding an Unpaid Delinquent Tax Liability or a Felony Conviction under any Federal Law

13. Cost Accounting Standards (CAS) Notices and Certification

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

15. Safeguarding of Unclassified Controlled Technical Information

C. Reporting D. Electronic Systems

1. Representations and Certifications

2. Wide Area Work Flow (WAWF)

3. i-Edison

VII. Agency Contacts VIII. Other Information

A. Intellectual Property Procurement Contract Proposers

1. Noncommercial Items (Technical Data and Computer Software)

2. Commercial Items (Technical Data and Computer Software)

B. Non-Procurement Contract Proposers – Noncommercial and Commercial Items (Technical Data and Computer Software)

C. All Proposers – Patents D. All Proposers – Intellectual Property Representations E. Other Transactions (OTs):

PART I: OVERVIEW INFORMATION

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

Funding Opportunity Title – Innovative Vacuum Electronics Science and Technology

(INVEST)

Announcement Type – Initial Announcement Funding Opportunity Number – DARPA-BAA-15-40 Catalog of Federal Domestic Assistance Numbers (CFDA) – 12.910 Research and

Technology Development Dates o Posting Date: August 11, 2015 o Abstract Due Date: September 14, 2015 o Proposal Due Date: October 30, 2015 o Estimated period of performance start: March 2, 2016 o Closing Date, 1:00 p.m. (Eastern Time): February 5, 2016

Concise description of the funding opportunity: The DARPA Microsystems Technology Office is soliciting fundamental research proposals in the area of vacuum electronics science and technology. Proposed research should investigate innovative approaches to modeling, advanced manufacturing, theory and design of components, and other focus areas that enable revolutionary advances in vacuum electron devices at millimeter wave (mm-wave) frequencies above 75 GHz. Specifically excluded are efforts that primarily result in evolutionary improvements to the existing state of the practice.

Total amount of money available to be awarded: It is anticipated that approximately $10M of total funding will be awarded across all performers and program phases.

Anticipated individual awards – Multiple awards are anticipated.

Anticipated funding type - 6.1 Types of instruments that may be awarded – Procurement contract, grant, cooperative agreement or other transaction.

Any cost sharing requirements – None.

Agency contact o Dr. William Palmer, Program Manager BAA Coordinator: DARPA-BAA-15-40@darpa.mil

DARPA/MTO

ATTN: DARPA-BAA-15-40

675 North Randolph Street Arlington, VA 22203-2114

EMAIL: DARPA-BAA-15-40@darpa.mil

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.

mailto:DARPA-BAA-15-40@darpa.mil

THOSE INTENDING TO SUBMIT A PROPOSAL FOR AN ASSISTANCE INSTRUMENT

(GRANT OR COOPERATIVE AGREEMENT) ARE STRONGLY ENCOURAGED TO READ

THE INSTRUCTIONS PROVIDED AT SECTION IV(B)(4) REGARDING THE TIME

REQUIRED TO RECEIVE VALIDATION OF SUBMISSIONS MADE THROUGH

GRANTS.GOV. PROPOSALS THAT ARE VALIDATED AFTER THE PROPOSAL DUE

DATE/TIME WILL BE CONSIDERED LATE AND, AS SUCH, WILL NOT BE REVIEWED.

PART II: FULL TEXT OF ANNOUNCEMENT

I. Funding Opportunity Description

The Defense Advanced Research Projects Agency (DARPA) often selects its research efforts through the Broad Agency Announcement (BAA) process. This BAA is being issued, and any resultant selection will be made, using procedures under Federal Acquisition Regulation (FAR)

35.016 and Chapter 1, Subchapter C of Title 32, Code of Federal Regulations, Part 22 - Department of Defense Grant and Agreement Regulations (DoDGARs), Award and Administration.

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.

The DARPA Microsystems Technology Office is soliciting fundamental research proposals in the area of vacuum electronics science and technology. Proposed research should investigate innovative approaches to modeling, advanced manufacturing, theory and design of components, and other focus areas that enable revolutionary advances in vacuum electron devices at millimeter wave (mm-wave) frequencies above 75 GHz. Specifically excluded are efforts that primarily result in evolutionary improvements to the existing state of practice.

A. Background and Description

Vacuum electron devices (VEDs) are critical components for DoD systems that require high power, wide bandwidth, and high efficiency. There are over 200,000 VEDs currently in service, and system support requirements extending beyond 2050. While most VEDs in common use today (traveling wave tubes (TWTs), klystrons, crossed-field amplifiers, magnetrons, gyrotrons, and others) were invented in the first half of the 20th century, ongoing, intense development efforts have produced dramatic advances in their performance and reliability. Space-qualified TWTs are used for nearly all satellite communications and are demonstrating in-orbit mean time to failure (MTTF) of over ten million hours with power efficiencies greater than 70 percent. VED amplifiers also can exhibit wide operating bandwidths of over three octaves, and high output power levels up to thousands of watts from a single device. These characteristics make vacuum electronics the technology of choice for numerous military, civilian, and commercial radio frequency (RF) and microwave systems.

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

The worldwide availability and proliferation of inexpensive, high power commercial amplifiers and sources has made the electromagnetic spectrum crowded and contested in the RF and microwave regions. The wealth of technical advantages offered by operating at higher frequencies, most notably the wide bandwidths available, are pushing both commercial and DoD solid-state and vacuum electron devices into the millimeter wave (mm-wave) region and beyond. However, operation at these higher frequencies poses significant challenges as the available power from both solid-state amplifiers and VEDs decreases roughly as the inverse of the square of the frequency due to unfavorable scaling physics.

For VEDs, the dimensions of the critical structures are related to the electromagnetic wavelength in the structure at the operating frequency. As operating frequencies increase, the dimensions decrease proportionally, which decreases the efficiency of the beam-wave interaction as the electron beam is constrained to pass through a smaller and smaller interaction structure. Thus, at the high mm-wave frequencies of interest to this program, the design and construction of VEDs is an intricate, labor-intensive process. Exquisite modeling tools, exotic materials, and expensive, high-precision machining are required, which significantly increases the cost and duration of the device design, build, and test cycle. The goal of the INVEST program is to advance the science and technology knowledge base and tool set for vacuum electronics to meet the requirements of future military, civilian, and commercial mm-wave systems above 75 GHz.

B. Program Objective

The INVEST program will advance the science and technology base for the next generation of vacuum electron devices through fundamental research on innovative approaches to modeling, advanced manufacturing, theory and design of components, and other focus areas, with an emphasis on devices operating at mm-wave frequencies above 75 GHz. Research across these focus areas will be judged successful when it produces significant advancement toward these new capabilities and improvements in power, bandwidth, reliability, efficiency, and manufacturability.

Research focus areas include but are not limited to the following:

Advanced modeling: High-fidelity, geometry-based, multi-physics, numerically efficient, end-to-end modeling and simulation techniques for analysis, synthesis, and optimization that lead to first-pass design success. Research in this focus area should result in new concepts for linking multiple three-dimensional physical models (Maxwell’s Equations for electromagnetic effects, Lorentzian forces on electrons, diffusion equations for thermal effects, etc.) to enable simultaneous simulation of the entire range of physical processes that take place in a vacuum electron device at mm-wave frequencies.

Advanced manufacturing: Advanced manufacturing techniques for beam-wave interaction circuits and other mm-wave tube components. Research in this focus area should result in new applications of emerging technologies, such as Selective Laser Sintering (SLS) and other additive manufacturing techniques, that enable direct-from-CAD manufacturing of mm-wave VED components in appropriate materials, without the high-precision assembly and alignment requirements that are a significant component of the manufacturing cost for current vacuum electron devices.

Innovative beam-wave interaction structures: Innovative beam-wave interaction structures with wide bandwidth and high peak and average power handling capacity that are designed for manufacturability at mm-wave frequencies above 75 GHz. Research in this area should focus on configurations outside of those in common use. New ideas for increasing bandwidth and peak and average power capacity are of particular interest. Design for manufacturability is highly desirable, in particular new geometries that can take advantage of batch fabrication or advanced manufacturing techniques.

Cathode science and technology: Experimental science leading to a more complete fundamental understanding of electron emission enabling the a priori design of low-temperature (<800 °C), high current density (>20 A/cm2), long-life (>10,000 hours) cathodes. Research in this area should focus on advancing the fundamental understanding of how material properties and processes correlate with cathode performance. This understanding, coupled with experimental science for verification and validation, will lead to the capability for a priori design of cathodes with specific performance for specific applications. Of particular interest are cathodes operating at low temperature and high current density with extended lifetime.

INVEST will be a three-phase program. Progress in each focus area toward the program objective through the three program phases will be measured by meeting program success criteria and deliverables as described in the examples below.

Example Success Criteria

Focus Area Phase 1 Phase 2 Phase 3

Advanced modeling

Develop a software architecture capable of linking large signal, existing 3-D electromagnetic, and particle-in-cell codes to form a single modeling and simulation environment

Develop a simulation environment and assess compatibility with current engineering techniques and advanced manufacturing technologies

Demonstrate code analysis, synthesis, and optimization performance on a canonical VE device such as a simple helix TWT

Advanced manufacturing

Identify advanced manufacturing techniques with materials and manufacturing precision appropriate for mm-wave vacuum electronics

Demonstrate that these techniques can produce a sample part that matches the dimensions of the CAD model

Measure relevant mm-wave performance-related properties, including surface roughness, conductivity, and thermal and high vacuum compatibility, of one or more sample parts produced using the advanced manufacturing technique identified in Phase

Cold test a completed sample part or parts produced using the advanced manufacturing technique, such as an input/output coupler, beam-wave interaction structure, or multi-stage collector, to verify predicted performance and manufacturability

Innovative beam-wave interaction structures

Create new concepts for broadband, high power beam-wave interaction structures with an emphasis on manufacturability

Assess the operational stability of these structures using existing modeling and simulation codes

Fabricate sample beam-wave interaction structures using conventional vacuum electronics manufacturing techniques

Measure the electrical performance of a sample beam-wave interaction structure in a laboratory setting to verify performance predicted using modeling and simulation

Cathode science and technology

Develop a theoretical, fundamental understanding of electron emission mechanisms and their relationship to cathode materials and materials processing

Measure the elemental composition across the surface of a sample cathode and correlate with cathode performance using the new fundamental understanding

Design, fabricate, and measure multiple cathodes to verify and validate the advanced performance enabled by the new fundamental understanding

Additional deliverables may include but are not limited to: demonstrations and delivery of modeling codes and simulation results, sample parts fabricated using advanced manufacturing techniques, or sample cathodes. Reporting requirements will include quarterly technical and financial reports and a final technical report.

C. C. Program Organization and Instructions for Proposers

The INVEST program will consist of an 18-month base period (Phase 1), an 18-month option period (Phase 2), and a 12-month final option period (Phase 3), for a total of 48 months subject to availability of funds, with multiple performers working in fundamental research focus areas related to vacuum electronics science and technology. Due to the multidisciplinary nature of vacuum electronics, certain focus areas may benefit from a collaborative approach. DARPA encourages such teaming from responders, but it is not required.

Proposers are required to specify the focus area or areas they plan to address, provide a detailed description of the research effort along with a description of its impact on device performance, design, reliability/lifetime, manufacturing and/or cost. Self-defined program success criteria and/or specific goals relevant to the focus area and any testing or prototype demonstrations for each of the three phases must be included. These self-defined criteria and goals should show that the research effort will clearly advance the technology above and beyond the current state of the art, and will be used to evaluate the success of the effort. Proposals failing to specify focus area, success criteria, and deliverables are not responsive to this BAA.

All responders must define a realistic schedule and budget that meet the program goals and deliverable requirements. The proposed period of performance for each phase and a schedule must be included within the technical proposal and will be factors considered as part of the source selection process.

II. Award Information

Multiple awards are anticipated. The amount of resources made available under this BAA will depend on the quality of the proposals received and the availability of funds.

The Government reserves the right to select for negotiation all, some, one, or none of the proposals received in response to this solicitation, and to make awards without discussions with proposers. The Government also reserves the right to conduct discussions if it is later determined to be necessary. If warranted, portions of resulting awards may be segregated into pre-priced options. Additionally, DARPA reserves the right to accept proposals in their entirety or to select only portions of proposals for award. In the event that DARPA desires to award only portions of a proposal, negotiations may be opened with that proposer. The Government reserves the right to fund proposals in phases with options for continued work at the end of one or more of the phases.

Awards under this BAA will be made to proposers on the basis of the evaluation criteria listed below (see section labeled “Application Review Information”, Sec. V.), and program balance to provide overall value to the Government. 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.

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 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/work-with-us/contract-management/public-release.”

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 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.

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 mailto:prc@darpa.mil

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 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., 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.

IV. Application and Submission Information

A. Address to Request Application Package This solicitation contains all information required to submit a proposal. No additional forms, kits, or other materials are needed. This notice constitutes the total BAA 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

DARPA policy is to treat all submissions as source selection information (see FAR 2.101 and 3.104), and to disclose their contents only for the purpose of evaluation. Restrictive notices notwithstanding, during the evaluation process, submissions may be handled by support contractors for administrative purposes and/or to assist with technical evaluation. All DARPA support contractors performing this role are expressly prohibited from performing DARPA-sponsored technical research and are bound by appropriate nondisclosure agreements.

Submissions will not be returned. The original of each submission received will be retained at DARPA and all other non-required copies destroyed. A certification of destruction may be requested, provided the formal request is received at this office within 5 days after unsuccessful notification.

1. Security Information

Classified submissions shall be transmitted in accordance with the following guidance.

Additional information on the subjects discussed in this section may be found at http://www.dss.mil/.

If a submission contains Classified National Security Information as defined by Executive Order 13526, the information must be appropriately and conspicuously marked with the proposed classification level and declassification date. Similarly, when the classification of a submission is in question, the submission must be appropriately and conspicuously marked with the proposed classification level and declassification date. Submissions requiring DARPA to make a final classification determination shall be marked as follows:

“CLASSIFICATION DETERMINATION PENDING. Protect as though classified____________________________(insert the recommended classification level, e.g., Top Secret, Secret or Confidential)”

NOTE: Classified submissions must indicate the classification level of not only the submitted materials, but also the classification level of the anticipated award.

Proposers submitting classified information must have, or be able to obtain prior to contract award, cognizant security agency approved facilities, information systems, and appropriately cleared/eligible personnel to perform at the classification level proposed. All proposer personnel performing Information Assurance (IA)/Cybersecurity related duties on classified Information Systems shall meet the requirements set forth in DoD Manual 8570.01-M (Information Assurance Workforce Improvement Program).

http://www.dss.mil/

Proposers choosing to submit classified information from other collateral classified sources (i.e., sources other than DARPA) must ensure (1) they have permission from an authorized individual at the cognizant Government agency (e.g., Contracting Officer, Program Manager); (2) the proposal is marked in accordance with the source Security Classification Guide (SCG) from which the material is derived; and (3) the source SCG is submitted along with the proposal.

DARPA anticipates that submissions received under this BAA will be unclassified. However, should a proposer wish to submit classified information, an unclassified email must be sent to the BAA mailbox requesting submission instructions from the Technical Office PSO.

Security classification guidance and direction via a Security Classification Guide (SCG) and/or DD Form 254, “DoD Contract Security Classification Specification,” will not be provided at this time, since DARPA is soliciting ideas only. If a determination is made that the award instrument may result in access to classified information, a SCG and/or DD Form 254 will be issued by DARPA and attached as part of the award.

2. Proprietary Information Proposers are responsible for clearly identifying proprietary information. Submissions containing proprietary information must have the cover page and each page containing such information clearly marked with a label such as “Proprietary” or “Company Proprietary.” Note, “Confidential” is a classification marking used to control the dissemination of U.S. Government National Security Information as dictated in Executive Order 13526 and should not be used to identify proprietary business information.

3. Abstract Submission Information Proposers are strongly encouraged to submit an abstract in advance of a full proposal in order to provide potential proposers with a rapid response and 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.

Abstracts sent in response to DARPA-BAA-15-40 shall be submitted via DARPA's BAA Website (https://baa.darpa.mil). Visit the website to complete the two-step registration process.

Submitters will need to register for an Extranet account (via the form at the URL listed above) and wait for two separate e-mails containing a username and temporary password. After accessing the Extranet, submitters may then create an account for the DARPA BAA website (via the "Register your Organization" link along the left side of the homepage), view submission instructions, and upload/finalize the abstract. Proposers using the DARPA BAA Website may encounter heavy traffic on the submission deadline date; it is highly advised that submission process be started as early as possible.

All abstracts submitted electronically through the DARPA BAA Submission website must be uploaded as zip files (.zip or .zipx extension). The final zip file should only contain the document(s) requested herein and must not exceed 50 MB in size. Only one zip file will be accepted per abstract; abstracts not uploaded as zip files will be rejected by DARPA.

NOTE: YOU MUST CLICK THE ‘FINALIZE PROPOSAL ABSTRACT’ BUTTON AT THE

BOTTOM OF THE CREATE PROPOSAL ABSTRACT PAGE. FAILURE TO DO SO WILL

RESULT IN YOUR ABSTRACT NOT BEING OFFICIALLY SUBMITTED TO THIS BAA

AND THEREFORE NOT BEING REVIEWED.

Technical support for DARPA's BAA Website may be reached at action@darpa.mil, and is typically available during regular business hours, (9:00 AM- 5:00 PM EST Monday - Friday).

Abstracts may not be submitted by fax or e-mail; any so sent will be disregarded.

DO NOT SUBMIT ABSTRACTS TO GRANTS.GOV.

4. Abstract Format Abstracts should follow the format described below in this section. The cover sheet should be clearly marked “ABSTRACT” and the total length should not exceed 10 pages, excluding cover page. All pages shall be printed on 8-1/2 by 11 inch paper with type not smaller than 12 point.

Smaller font may be used for figures, tables and charts. The page limitation for abstracts includes all figures, tables, and charts. No formal transmittal letter is required. All abstracts must be written in English.

DARPA will respond to abstracts with a statement as to whether DARPA is interested in the idea. DARPA will attempt to reply to abstracts via 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.

Section I. Administrative

A. Cover sheet to include:

(1) BAA number (DARPA-BAA-15-40);

(2) Technical area(s);

(3) Lead Organization submitting proposal abstract;

(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 (+4), telephone, fax (if available), electronic mail;

(9) Administrative point of contact to include: salutation, last name, first name, street address, city, state, zip code (+4), 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.

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

Section II. Abstract Details

A. Technical rationale, technical approach, and constructive plan for accomplishment of technical goals in support of innovative claims and deliverable production. This section should specify the focus areas that will be addressed and provide a detailed description of the self-defined program success criteria and/or specific goals for each of the three phases. This section is the centerpiece of the proposal and should summarize the innovative claims for this proposed research and potential impact to vacuum electronic device technology, as well as succinctly describe the uniqueness and benefits of the proposed approach relative to the current state-of-art alternate approaches. (In the full proposal, this section should be supplemented by a more detailed plan in Section II.)

B. Proposer-defined deliverables (reporting, data, reports, software, simulations, prototype components, etc.) and program metrics associated with the research effort. Include in this section all proprietary claims to the results, prototypes, intellectual property, or systems supporting and/or necessary for the use of the research, results, and/or prototype. If there are no proprietary claims, this should be stated. For forms to be completed regarding intellectual property, see Section VIII. There will be no page limit for the listed forms.

C. General discussion of other research in the proposed focus area.

D. 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.

E. Single page (PowerPoint or Adobe PDF) summary chart of the proposed research. See Attachment 2 for summary chart template.

5. Proposal Submission Information

The typical proposal should express a consolidated effort in support of one or more related focus areas, with a clear description of the dependence of research in one focus area on that in the other(s).

Disjointed efforts should not be included into a single proposal. Proposals may not be submitted by fax or e-mail; any so sent will be disregarded.

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-15-40@darpa.mil. DARPA intends to use electronic mail for correspondence regarding DARPA-BAA-15-40. DARPA encourages use of the Internet for retrieving the BAA and any other related information that may subsequently be provided.

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-15-40@darpa.mil. DARPA intends to use electronic mail for correspondence regarding DARPA-BAA-15-40. DARPA encourages use of the Internet for retrieving the BAA and any other related information that may subsequently be provided.

For Proposers Requesting Grants or Cooperative Agreements:

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.jsp. 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://www.grants.gov/documents/19/18243/OrganizationRegChecklist.pdf 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. Technical support for Grants.gov submissions may be reached at 1-800-518-4726 or support@grants.gov.

For Proposers Requesting Contracts or Other Transaction Agreements

Proposers requesting contracts or other transaction agreements must submit proposals via DARPA's BAA Website (https://baa.darpa.mil). Visit the website to complete the two-step registration process. Submitters will need to register for an Extranet account (via the form at the URL listed above) and wait for two separate e-mails containing a username and temporary password. After accessing the Extranet, submitters may then create an account for the DARPA BAA website (via the "Register your Organization" link along the left side of the homepage), view submission instructions, and upload/finalize the proposal. Proposers using the DARPA BAA Website may encounter heavy traffic on the submission deadline date; it is highly advised that submission process be started as early as possible. Classified submissions and proposals requesting assistance instruments (grants or cooperative agreements) should NOT be submitted through DARPA's BAA Website (https://baa.darpa.mil), though proposers will likely still need to visit https://baa.darpa.mil to register their organization (or verify an existing registration) to ensure the BAA office can verify and finalize their submission.

All full proposals submitted electronically through the DARPA BAA Submission website must be uploaded as zip files (.zip or .zipx extension). The final zip file should only contain the document(s) requested herein and must not exceed 50 MB in size. Only one zip file will be accepted per full proposal and full proposals not uploaded as zip files will be rejected by

DARPA.

Technical support for DARPA's BAA Website may be reached at action@darpa.mil, and is typically available during regular business hours (9:00 AM - 5:00 PM EST, Monday - Friday).

NOTE: YOU MUST CLICK THE ‘FINALIZE FULL PROPOSAL’ BUTTON AT THE

BOTTOM OF THE CREATE FULL PROPOSAL PAGE. FAILURE TO DO SO WILL

RESULT IN YOUR PROPOSAL NOT BEING OFFICIALLY SUBMITTED TO THIS BAA

AND THEREFORE NOT BEING REVIEWED.

6. Full Proposal Format

All full proposals must be in the format given below. Proposals shall consist of two volumes:

Volume I – Technical and Management Proposal, and Volume II – Cost Proposal. All pages shall be printed on 8-1/2 by 11 inch paper with type not smaller than 12 point. Smaller font may be used for figures, tables and charts. The page limitation for full proposals includes all figures, tables, and charts. Volume I, Technical and Management Proposal, may include an attached bibliography of relevant technical papers or research notes (published and unpublished) which document the technical ideas and approach upon which the proposal is based. Copies of not more than three (3) relevant papers may be included with the submission. The bibliography and attached papers are not included in the page counts given below. The submission of other supporting materials along with the proposals is strongly discouraged and will not be considered for review.

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

Full proposals, (consisting of Section II of Volume I, Technical and Management Proposal), shall not exceed 25 pages. All full proposals must be written in English.

a. Volume I, Technical and Management Proposal

Section I. Administrative

A. Cover sheet to include:

(1) BAA number (DARPA-BAA-15-40);

(2) Technical area(s);

(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 (+4), telephone, fax (if available), electronic mail;

(9) Administrative point of contact to include: salutation, last name, first name, street address, city, state, zip code (+4), telephone, fax (if available), electronic mail;

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

(11) Date proposal was submitted.

B. Official transmittal letter.

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:

1. A general description of the objective (for each defined task/activity) and potential impact the effort will have on vacuum electron device technology;

2. A detailed description of the approach to be taken to accomplish each defined task/activity;

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

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

5. Define all deliverables (reporting, data, reports, software, simulations, prototype components, etc) to be provided to the Government in support of the proposed…