DARPA-BAA-15-50_Amendment_1_Final_for_Posting_16Oct2015.pdf

Broad Agency Announcement High power Amplifier using Vacuum electronics for

Overmatch Capability (HAVOC) Microsystems Technology Office

DARPA-BAA-15-50

September 21, 2015

(Amendment No. 01: As amended through 16 October 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. Program Organization and Instructions for Proposers D. Deliverables

II. Award Information III. Eligibility Information

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

Organizational Conflicts of Interest D. Cost Sharing/Matching

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. Proposal Submission Information

4. Full Proposal Format

5. Submission Dates and Times

6. Funding Restrictions

7. 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

16. Prohibition on Contracting with Entities that Require Certain Internal

Confidentiality Agreements 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):

ATTACHMENTS:

1. Proposer Checklist (available on FBO.gov)

2. Summary Slide (available on FBO.gov)

3. DD Form 254 (available on FBO.gov)

4. Classified Addendum (see section III.B for classified addendum request guidelines)

PART I: OVERVIEW INFORMATION

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

Funding Opportunity Title – High power Amplifier using Vacuum electronics for Overmatch Capability (HAVOC)

Announcement Type – Initial Announcement.

Funding Opportunity Number – DARPA-BAA-15-50 Catalog of Federal Domestic Assistance Numbers (CFDA) – 12.910 Research and

Technology Development Dates o Posting Date: September 22, 2015 o Classified Addendum Request Due Date: October 5, 2015 (see section III.B for classified addendum request guidelines) o Proposal Due Date: November 6, 2015 o Estimated Period of Performance Start: April, 2016

Concise description of the funding opportunity: DARPA is soliciting innovative research proposals in the area of vacuum electronics. Proposed research should investigate revolutionary approaches that result in the development and demonstration of a new class of compact, high power, and wide bandwidth millimeter wave vacuum electron devices capable of linear amplification. Program metrics appear in a classified addendum (see section III.B for classified addendum request guidelines). Specifically excluded is research that primarily results in incremental or evolutionary improvements to the existing state of practice.

Total amount of money available to be awarded: It is anticipated that approximately $30M of total funding will be awarded across all performers and program phases.

Anticipated individual awards – Multiple awards are anticipated.

Anticipated funding type - 6.2 and 6.3.

Types of instruments that may be awarded – Procurement contract or other transaction.

Any cost sharing requirements – None.

Agency contact

Dr. William Devereux Palmer, Program Manager BAA Coordinator: DARPA-BAA-15-50@darpa.mil

DARPA/MTO

ATTN: DARPA-BAA-15-50

675 North Randolph Street Arlington, VA 22203-2114

EMAIL: DARPA-BAA-15-50@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.

PART II: FULL TEXT OF ANNOUNCEMENT

I. Funding Opportunity Description

DARPA is soliciting innovative research proposals in the area of vacuum electronics. Proposed research should investigate revolutionary approaches that result in the development and demonstration of a new class of compact, high power, and wide bandwidth millimeter wave vacuum electron devices capable of linear amplification. Program metrics appear in a classified addendum (see section III.B for classified addendum request guidelines). Specifically excluded is research that primarily results in incremental or evolutionary improvements to the existing state of practice.

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. Any negotiations and/or awards will use procedures under FAR 15.4, Contract Pricing, as specified in the BAA. 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/. The following information is for those wishing to respond to the BAA.

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 vacuum electron devices 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.

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. The decreasing available device power in the mm-wave region is compounded by increasing atmospheric attenuation of electromagnetic waves, with peaks in absorption at the resonance frequencies of oxygen and water vapor. Maintaining the capabilities taken for granted at lower frequencies necessitates the use of devices with the highest output power available, making VEDs the best mm-wave option available, now and for the foreseeable future.

In VEDs, as in other active devices, a fundamental tradeoff exists between output power and instantaneous bandwidth. In VEDs this tradeoff is primarily related to the quality factor or Q of the beam-wave interaction structure. Cavity-based devices are capable of generating extremely high output power reaching gigawatt levels, but do so at the expense of narrow bandwidth.

Transmission line-based devices are capable of extremely wide instantaneous bandwidths exceeding three octaves, but output power is limited by the ability to generate, transport, and collect an intense electron beam. The goal of the HAVOC program is to develop and demonstrate a new class of VED amplifiers that breaks this tradeoff, pushing device performance through the current power-bandwidth barrier. HAVOC amplifiers will unlock access to less crowded regions of the spectrum, enabling new high data rate communications systems and high-resolution radar and imaging systems capable of all-weather operation at long range.

B. Program Objective

The HAVOC program will develop and demonstrate a new class of compact, high power, and wide bandwidth millimeter wave vacuum electron devices capable of linear amplification, in a form factor compatible with mobile and airborne platforms.

Progress toward the HAVOC program objective will be measured through the successful demonstration of a fully-integrated VED amplifier simultaneously meeting all of the program metrics at the end of each phase. The program metrics table appears in a classified addendum to the BAA (see section III.B for classified addendum request guidelines). Proposers may at their discretion propose additional relevant metrics not specifically listed in the classified addendum.

These proposer-specified metrics must be consistent with the program metrics appearing in the classified addendum.

To meet the aggressive program metrics, novel approaches to the design and fabrication of the amplifier electron gun, beam transport mechanism, beam-wave interaction structure, collector, vacuum windows, and thermal management will be required. The development effort will focus on the fully-integrated VED amplifier itself; the power supply, radiating antenna, external waveguides, exciter/driver and any test and measurement equipment should make use of existing components to the extent possible. Solutions that use VEDs which are not capable of linear amplification, or that include power combining or frequency banding of existing VEDs, will be considered non-responsive.

C. Program Organization and Instructions for Proposers

The HAVOC 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. Multiple awards are anticipated. Proposers must propose to all three phases and all program metrics, to include program metrics appearing in the classified addendum to the

BAA (see section III.B for classified addendum request guidelines) and any proposer-specified metrics.

The multidisciplinary nature of vacuum electronics suggests that teams may benefit from a collaborative approach. DARPA encourages such teaming from responders where appropriate, but it is not required.

All proposers must define a realistic schedule and budget that meets the program metrics and deliverable requirements for all program phases. The proposed period of performance for each phase and a schedule will be included within the technical proposals and will be factors considered as part of the source selection process. Solutions that use VEDs that are not capable of linear amplification, or that include power combining or frequency banding of existing VEDs, will be considered non-responsive.

D. Deliverables

The primary deliverable for the HAVOC program is one fully-integrated prototype VED amplifier at the end of each phase, with design and test data to quantify device performance relative to the program phase metrics. Upon completion of the program, performers will deliver the prototype devices or copies thereof, along with a complete description of the required test equipment and test procedures that are necessary to enable the government to test and evaluate the amplifiers.

Programmatic deliverables include intermediate technical and financial reports at quarterly intervals and a final technical report.

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 should the proposer fail to timely provide requested additional information. Proposals identified for negotiation may result in a procurement contract 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 regardless of the instrument type proposed, 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 either cannot be met by proposers intending to perform fundamental research or the proposed research is anticipated to present a high likelihood of disclosing performance characteristics of military systems or manufacturing technologies that are unique and critical to defense. Therefore, the Government anticipates restrictions on the resultant research that will require the contractor to seek DARPA permission before publishing any information or results relative to the program.

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 fundamental research. In those cases, it is the prime contractor’s responsibility to explain in its proposal why its subawardee’s effort is 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 Fundamental Research, papers resulting from unclassified 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 public_release_center@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’s 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 and Government entity 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. Classified Addendum

To participate in this solicitation, proposing organizations must have personnel and facility clearance at the collateral SECRET level. The program metrics table appears in a classified addendum to the BAA. Proposers must request the classified addendum by emailing the BAA coordinator at DARPA-BAA-15-50@darpa.mil no later than 1:00 PM Eastern Time on October 5, 2015. No classified information should be sent to this email address.

Upon receipt of the request, DARPA Security will verify that the requesting organization has personnel and facility clearance at the collateral SECRET level. Upon verification of appropriate clearance, the classified addendum and program security classification guide will be transmitted by registered mail or by secure electronic means as available.

C. Procurement Integrity, Standards of Conduct, Ethical Considerations, and Organizational Conflicts of Interest

Current federal employees are prohibited from participating in particular matters involving conflicting financial, employment, and representational interests (18 U.S.C. §§ 203, 205, and 208). Once the proposals have been received, and prior to the start of proposal evaluations, the Government will assess potential conflicts of interest and will promptly notify the proposer if any appear to exist. The Government assessment does NOT affect, offset, or mitigate the proposer’s responsibility to give full notice and planned mitigation for all potential organizational conflicts, as discussed below.

Without prior approval or a waiver from the DARPA Director, in accordance with FAR 9.503, a contractor cannot simultaneously provide scientific, engineering, technical assistance (SETA) or similar support and also be a technical performer. As part of the proposal submission, all members of the proposed team (prime proposers, proposed 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.

D. 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.

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, 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 notification that a proposal was not selected.

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 Secret” (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).

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.

The effort being solicited by this BAA involves access to, or generation of, classified information. DD Form 254, “DoD Contract Security Classification Specification,” is provided as an attachment to the BAA and the Security Classification Guide (SCG) will be provided at the time of the classified addendum request upon verification of appropriate clearance. The SCG, classified as SECRET, will be mailed to the requester’s classified mailing address which must be provided to the Technical Office Program Security Officer or their staff.

Confidential and Secret Information Use transmission, classification, handling, and marking guidance provided by previously issued SCGs, the DoD Information Security Manual (DoDM 5200.01, Volumes 1 - 4), and the National Industrial Security Program Operating Manual, including the Supplement Revision 1, (DoD 5220.22-M and DoD 5200.22-M Sup. 1) when submitting Confidential and/or Secret classified information.

Confidential and Secret classified information may be submitted via ONE of the two following methods:

Hand-carried by an appropriately cleared and authorized courier to the DARPA CDR.

Prior to traveling, the courier shall contact the DARPA Classified Document Registry (CDR) at 703-526-4052 to coordinate arrival and delivery.

OR

Mailed via U.S. Postal Service (USPS) Registered Mail or USPS Express Mail. All classified information will be enclosed in opaque inner and outer covers and double-wrapped. The inner envelope shall be sealed and plainly marked with the assigned classification and addresses of both sender and addressee.

The inner envelope shall be addressed to:

Defense Advanced Research Projects Agency ATTN: Microsystems Technology Office, Matthew Schwaninger Reference: DARPA-BAA-15-50 675 North Randolph Street

The outer envelope shall be sealed with no identification as to the classification of its contents and addressed to:

Defense Advanced Research Projects Agency Security & Intelligence Directorate, Attn: CDR 675 North Randolph Street

Top Secret Information Use classification, handling, and marking guidance provided by previously issued SCGs, the DoD Information Security Manual (DoDM 5200.01, Volumes 1 - 4), and the National Industrial Security Program Operating Manual, including the Supplement Revision 1, (DoD 5220.22-M and DoD 5200.22-M Sup. 1). Top Secret information must be hand-carried by an appropriately cleared and authorized courier to the DARPA CDR. Prior to traveling, the courier shall contact the DARPA CDR at 703-526-4052 to coordinate arrival and delivery.

Sensitive Compartmented Information (SCI) SCI must be marked, managed and transmitted in accordance with DoDM 5105.21 Volumes 1

- 3. Questions regarding the transmission of SCI may be sent to the DARPA Technical Office PSO via the BAA mailbox or by contacting the DARPA Special Security Officer (SSO) at 703- 812-1970.

Successful proposers may be sponsored by DARPA for access to SCI. Sponsorship must be aligned to an existing DD Form 254 where SCI has been authorized. Questions regarding SCI sponsorship should be directed to the DARPA Personnel Security Office at 703-526-4543.

Special Access Program (SAP) Information SAP information must be marked in accordance with DoDM 5205.07 Volume 4 and transmitted by specifically approved methods which will be provided by the Technical Office PSO or their staff.

Proposers choosing to submit SAP information from an agency other than DARPA are required to provide the DARPA Technical Office Program Security Officer (PSO) written permission from the source material’s cognizant Special Access Program Control Officer (SAPCO) or designated representative. For clarification regarding this process, contact the DARPA Technical Office PSO via the BAA mailbox or the DARPA SAPCO at 703-526-4102.

Additional SAP security requirements regarding facility accreditations, information security, personnel security, physical security, operations security, test security, classified transportation plans, and program protection planning may be specified in the DD Form 254.

NOTE: prior to drafting the submission, if use of SAP Information Systems is to be proposed, proposers must first obtain an Authorization-to-Operate from the DARPA Technical Office PSO (or other applicable DARPA Authorization Official) using the Risk Management Framework (RMF) process outlined in the Joint Special Access Program (SAP) Implementation Guide (JSIG), Revision 3, dated October 9, 2013 (or successor document).

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. Proposal Submission Information

The typical proposal should express a consolidated effort in support of one or more related technical concepts or ideas. Disjointed efforts should not be included into a single proposal.

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

For All:

All administrative correspondence and questions on this solicitation, including requests for information on how to submit a full proposal to this BAA should be directed to DARPA-BAA-15-50@darpa.mil. (No classified information is to be included in any correspondence sent to this email address). DARPA intends to use electronic mail for correspondence regarding DARPA-BAA-15-50. DARPA encourages use of the Internet for retrieving the BAA and any other related information that may subsequently be provided.

All unclassified proposals must be submitted via DARPA's BAA Website (https://baa.darpa.mil).

Note: If an account has already been created for the DARPA BAA Website, this account may be reused. If no account currently exists for the DARPA BAA Website, 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 should NOT be submitted through DARPA's BAA Website (https://baa.darpa.mil).

All unclassified full proposals submitted electronically through the DARPA BAA website must be uploaded as zip files (.zip or .zipx extension). The final zip file should not exceed 50 MB in size. Only one zip file will be accepted per submission and submissions 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 Eastern Time 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.

For a proposal that includes both classified and unclassified information, the proposal may be separated into an unclassified portion and a classified portion. The proposal should use the unclassified portion to the maximum extent reasonable. The unclassified portion can be submitted through the DARPA BAA Website, per the instructions above. The classified portion must be mailed separately, according to the instructions outlined in the “Security Information” section above. If a classified proposal may not be partitioned into classified and unclassified portions, then submit according to the instructions outlined in the “Security Information” section above.

When a proposal includes a classified portion, and when able according to security guidelines, we ask that proposers send an e-mail to DARPA-BAA-15-50@darpa.mil as notification that there is a classified portion to the proposal. When sending the classified portion via mail according to the instructions outlined in the “Security Information” section above, proposers should submit six (6) hard copies of the classified portion of their proposal and two (2) CD- ROMs containing the classified portion of the proposal as a single searchable Adobe PDF file.

Please ensure that all CDs are well-marked. Each copy of the classified portion must be clearly labeled with DARPA-BAA-15-50, proposer organization, proposal title (short title recommended), and Copy _ of _.

4. 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. Full proposals, (consisting of Section II of Volume I, Technical and Management Proposal), shall not exceed 50 pages. All full proposals must be written in English.

One PowerPoint slide summarizing the proposed effort should be submitted with the proposal. A template slide is provided on the FBO website (Attachment 2). Submit this PowerPoint file in addition to Volumes I and II of your full proposal. This summary slide does not count towards the total page count.

a. Volume I, Technical and Management Proposal

Section I. Administrative

A. Cover sheet to include:

(1) BAA number (DARPA-BAA-15-50);

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

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

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

(11) Date proposal was submitted.

B. Official transmittal letter.

Section II. Detailed Proposal Information

A. Executive Summary

A one page summary describing the proposed research effort. The executive summary should contain the following:

1. The objective of the research effort.

2. A clear and concise description of the technical approach and tasks proposed.

3. How the approach will meet the program objective, program metrics, and the optional proposer defined metrics.

4. The risks involved with the proposed approach and how they will be addressed.

B. Technical Approach A detailed description of the proposed technical approach and an analysis of how the approach will lead to fully integrated VED amplifiers that meet or exceed the program objectives, program metrics, and the optional proposer defined metrics. This section is the centerpiece of the proposal and should clearly convey the approach, its uniqueness and benefits. Proposers may suggest metrics in addition to those listed in the program metrics table that is provided in the addendum. A section discussing the potential impact of a successful effort on DoD systems should also be included.

C. Risk Mitigation Plan List the envisioned highest risk elements of the proposed approach and the steps taken to mitigate or respond to these risks. The impact of each risk on the program goal and program metrics should be addressed.

D. State of the Art Briefly compare the proposed effort to state of the art high power and wide bandwidth VED amplifiers highlighting the key differences and indicating advantages and disadvantages.

E. Performer Background and Teaming Detailed information about the proposer’s previous accomplishments in the area of vacuum electronics and closely related areas, prior DoD-funded development efforts, and teaming organizations, if applicable. Formal teaming agreements which are required to execute this program can be added to the end of this section titled “Teaming Appendix” and will not count in the total number of pages for the proposal.

F. Statement of Work (SOW) In plain English, clearly define the technical tasks and subtasks to be performed, their durations, and dependencies among them. The SOW must not include proprietary information. For each task and subtask, provide:

1. A general description of the objective;

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. Definition of all deliverables (prototype hardware, testing instructions, required testing equipment, test data, and reports) to be provided to the Government in support of the proposed research tasks/activities.

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

G. Facilities

A description of the facilities and equipment that would be used for the proposed effort to achieve the program deliverables. The facilities and procedures for the handling of classified information should be addressed in this section.

H. Schedule and Milestones Schedule and measurable milestones for the proposed research. (Note: Measurable milestones should capture key development points in tasks and should be clearly articulated and defined in time relative to start of effort.) Where the effort consists of multiple portions which could reasonably be partitioned for purposes of funding, these should be identified as options. Additionally, proposals should clearly explain the technical approach(es) that will be employed to meet or exceed each program milestone and provide ample justification as to why the approach(es) is/are feasible. The proposer defined milestones must not include proprietary information.

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

Section III. Additional Information

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

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

Cover sheet to include:

(1) BAA number (DARPA-BAA-15-50);

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

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

(10) Award instrument requested: cost-plus-fixed fee (CPFF), cost-contract—no fee, cost sharing contract—no fee, or other transaction;

(11) Place(s) and period(s) of performance;

(12) Total proposed cost separated by basic award and option(s) (if any) broken down by calendar year and by government fiscal year;

(13) Name, address, and telephone number of the proposer’s cognizant Defense Contract Management Agency (DCMA) administration office (if known);

(14) Name, address, and telephone number of the proposer’s cognizant Defense Contract Audit Agency (DCAA) audit office (if known);

(15) Date proposal was prepared;

(16) DUNS number;

(17) TIN number;

(18) CAGE Code;

(19) Subcontractor Information;

(20) Proposal validity period; and

(21) Any Forward Pricing Rate Agreement, other such approved rate information, or such documentation that may assist in expediting negotiations (if available).

Attachment 1, the Cost Volume Proposer Checklist, must be included with the coversheet of the Cost Proposal.

Proposers, other than universities, without an accounting system considered adequate for determining accurate costs must complete an SF 1408 if a cost type contract is to be negotiated.

To facilitate this process, proposers should complete the SF 1408 found at http://www.gsa.gov/portal/forms/download/115778 and submit the completed form with the proposal. To complete the form, check the boxes on the second page, then provide a narrative explanation of your accounting system to supplement the checklist on page one. For more information, please see http://www.dcaa.mil/preaward_accounting_system_adequacy_checklist.html.

The proposers’, to include eligible FFRDCs’, cost volume shall provide cost and pricing information (See Note 1), or other than cost or pricing information if the total price is under $700,000, in sufficient detail to substantiate the program price proposed (e.g., realism and reasonableness). In doing so, the proposer shall provide a summary cost breakdown, and a detailed cost breakdown by phase (if multiple phases are proposed), technical task/sub-task, and month for each technical area proposed to. The breakdown/s shall include, at a minimum, the following major cost item along with associated backup documentation:

Total program cost broken down by major cost items:

a. Direct Labor – a breakout clearly identifying the individual labor categories with associated labor hours and direct labor rates, as well as a detailed Basis-of- Estimate (BOE) narrative description of the methods used to estimate labor costs;

b. Indirect Costs – Including Fringe Benefits, Overhead, General and Administrative Expense, Cost of Money, Fee, etc. (must show base amount and rate);

c. Travel – Provide the purpose of the trip, number of trips, number of days per trip, departure and arrival destinations, number of people, etc.;

d. Other Direct Costs – Itemized with costs; Back-up documentation is to be submitted to support proposed costs;

e. Material/Equipment –

(i) A priced Bill-of-Material (BOM) clearly identifying, for each item proposed, the quantity, unit price, the source of the unit price (i.e., vendor quote, engineering estimate, etc.), the type of property (i.e., material, equipment, special test equipment, information technology, etc.), and a cross-reference to the Statement of Work (SOW) task/s that require the item/s. At time of proposal submission, any item that exceeds $1,000 must be supported with basis-of-estimate (BOE) documentation such as a copy of catalog price lists, vendor quotes or a written engineering estimate (additional documentation may be required during negotiations, if selected).

(ii) If seeking a procurement contract and items of Contractor Acquired Property are proposed, exclusive of material, the proposer shall clearly demonstrate that the inclusion of such items as Government Property is in keeping with the requirements of FAR Part 45.102.