DARPA-BAA-16-13_Amendment_01.pdf

Broad Agency Announcement Modular Optical Aperture Building Blocks (MOABB)

Microsystems Technology Office

DARPA-BAA-16-13

16 December 2015

(Amendment No. 01: As amended through 30 December 2015)

Table of Contents

PART I: OVERVIEW INFORMATION

PART II: FULL TEXT OF ANNOUNCEMENT

I. Funding Opportunity Description A. Motivation and Overview B. Program Objective

1. Technical Area 1: Core Technologies

2. Technical Area 2: LIDAR Demonstrator System

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. Collaborative Efforts E. Associate Contractor Agreement Clause

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

1. Proprietary Information

2. Security 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. Additional Requirement and Responsibilities relating to Alleged Crimes by or against Contractor Personnel in Iraq and Afghanistan

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 for Prototypes

Attachment 1: Proposer Checklist Attachment 2: Proposal Summary Slide Template

PART I: OVERVIEW INFORMATION

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

Funding Opportunity Title – Modular Optical Aperture Building Blocks (MOABB) Announcement Type – Initial Announcement Funding Opportunity Number – DARPA-BAA-16-13 Catalog of Federal Domestic Assistance Numbers (CFDA) – 12.910 Research and

Technology Development Dates o Posting Date: 16 December 2015 o Proposal Due Date: 16 February 2016 o Estimated period of performance start: June 2016

Concise description of the funding opportunity: DARPA is soliciting innovative research proposals for integrated free-space optical systems. The MOABB program seeks to demonstrate a modular architecture that will co-integrate an optical aperture, non-mechanical beam steering and the associated optics and control electronics onto a planar semiconductor substrate. The capability of this technology will then be demonstrated in a packaged LIDAR system.

Anticipated individual awards – Multiple awards are anticipated.

Anticipated funding type - 6.2 Types of instruments that may be awarded – Procurement contract or other transaction for prototype Any cost sharing requirements – None Agency contact

Dr. Joshua Conway, Program Manager BAA Coordinator: DARPA-BAA-16-13@darpa.mil

DARPA/MTO

ATTN: DARPA-BAA-16-13

675 North Randolph Street Arlington, VA 22203-2114

E-mail: DARPA-BAA-16-13@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

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/, 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 Microsystems Technology Office at DARPA is soliciting innovative research proposals in the area of integrated photonics for free-space optical systems. Proposed research should investigate innovative approaches that enable revolutionary advances in science, devices and systems.

Specifically excluded is research that primarily results in evolutionary improvements to the existing state of practice.

A. Motivation and Overview

Free-space optical systems have tremendous potential for sensing, illumination and communications. The micron-scale wavelength allows for 0.001° angular resolution and antenna gain of more than 100 dB from a modest 10 cm aperture. The frequency in the hundreds of terahertz range and wide operating bandwidths allow for high-speed data-transmission and three-dimensional imaging with sub-millimeter range resolution. In addition to these fundamental properties of optical propagation, optical beams have wide windows of low atmospheric absorption, allowing for long-range propagation over terahertz of open bandwidth. The applications for these features span the space from three-dimensional mapping, foliage penetrating LIDAR and navigation to long-range communications.

While free-space optical systems offer compelling capabilities, their size, weight and cost severely limit use in many applications. Above a 10 cm aperture, the size and weight of a free-space system tends to be dominated by the telescope or imaging system. This is comprised of lenses, mirrors, stabilized mechanical components and a large volume of empty space necessary for image formation. At aperture sizes below 10 cm, the size and weight tend to be dominated by the mechanical gimbal used to steer the telescope and the back-end optics such as lasers and detectors.

In both cases, the cost is driven by precision bulk components.

The speed of mechanically moving a telescope or mirror also fundamentally limits the rate of beam-steering. It is difficult to rapidly steer a precision optical surface to a well-calibrated position.

Steering rates are on the order of 1 kHz for resonant mechanical structures and 100 Hz for spinning apertures. For arbitrary pointing, as required for laser communications and multi-target tracking, fast steering mirrors tend to have 100s Hz bandwidth for deflection more than a few degrees.

As discussed above, a conventional imaging system consists of bulk optics, such as lenses and mirrors, separated by large volumes of empty space. This empty space is required for image formation and can dominate the total volume of the telescope. This classical imaging system architecture continues to be the best choice for a camera system or telescope collecting incoherent ambient illumination. For applications such as LIDAR, laser communications and laser illumination, however, the illumination is controlled and can consist of a small number of optical modes. In these cases there is a compelling opportunity to replace the empty space and bulk components with a planar, integrated system.

Recent developments in integrated photonics suggest a means to revolutionize the conventional bulk-component architecture of free-space systems. Optical apertures have been demonstrated with high-speed, non-mechanical beam-steering. Most importantly, these arrays have been fabricated with element spacing on the order of the wavelength, allowing an unambiguous scanning range of more than 51°. This recent result has demonstrated scanning over an operationally relevant range and offers a proof-of-concept for planar optical apertures.

Heterogeneous integration of III-V materials on silicon now enables a toolbox of passive and active components. Efficient sources, detectors, amplifiers and low-loss waveguides can be fabricated on a single planar platform. Through the scalability of silicon photonics and distributed amplification, the opportunity has arisen for high-power, large scale apertures.

B. Program Objective

The Modular Optical Aperture Building Blocks (MOABB) program seeks to develop the technologies necessary to demonstrate an integrated photonic device capable of generating, amplifying, transmitting and receiving free-space optical radiation over a wide angle. To this end, MOABB seeks to construct planar, millimeter-scale transmit/receive unit cells with a high fill-factor aperture, non-mechanical beam steering and integrated amplification. The driving design goal is to tile the unit cells, assembling a larger, coherent higher-power aperture. The program ultimately seeks to fabricate a coherent ten centimeter transmit/receive array with distributed gain that is manufactured using wafer-scale processing. Successful proposals will co-integrate the optical source, detector and control electronics into the system. The program also seeks to demonstrate the coherent array technology through the construction and test of a packaged LIDAR system capable of three-dimensional imaging at 100 m range. Proposals suggesting device architectures not amenable to wafer-scale processing are discouraged unless a low-cost technique for die-level integration is developed. Proposals that employ mechanical components or bulk optics, such as mirrors and lenses, are also discouraged. At its essence, the MOABB program is driving towards free-space optical systems with ultra-low size, weight and cost with beam-scanning speeds much greater than the state of the art.

DARPA seeks innovative proposals in the following two Technical Areas (TA):

Technical Area One: Develop the fundamental technologies for a tileable optical array element for operation in the short-wave infrared band. This millimeter-scale unit cell will include optical gain, non-mechanical beam-steering, a high fill-factor out-coupler, control electronics and integrated diagnostics. Technology development should be compatible with planar, semiconductor processing. The results of this Technical Area will culminate in the synthesis of a coherent 10 cm aperture with rapid, wide-angle beam-steering.

Technical Area Two: Design, demonstrate and test a packaged LIDAR system using the Technical Area One technology. The objective performance parameters include a range of more than 100 m, power consumption below 40 W and multiple simultaneous beams. On-board processing shall enable outputs including range, direction and velocity of the LIDAR return.

Individual proposals may address more than one Technical Area. Successful execution of Technical Area Two will require output from Technical Area One as Government Furnished Equipment (GFE) early in Phases 2 and 3. Coordination is strongly encouraged between Technical Areas. Proposals that address both Technical Areas must fulfill all the requirements defined for each and the tasks associated with each Technical Area should be clearly delineated.

All proposals should describe a clear path to the final objectives. The operation in a realistic environment should be a key focus of the proposal for both Technical Areas. Proposals should describe the thermal and mechanical constraints and potential uses for their architecture. Prototype devices and systems are expected to meet the performance objectives listed in Tables 1 and 2 for their respective Technical Areas. If objectives are proposed that are less aggressive than those defined herein, they will be considered only with justification and a sound path to meeting the final objectives, and if an appropriate risk mitigation plan is offered.

The government may request that experimental results be independently verified at any time by testing at an approved government facility, at government expense. Performance data will be provided to the government prior to submitting the test article for evaluation at a Department of Defense (DoD) test lab.

1. Technical Area 1: Core Technologies

Technical Area 1 (TA1) will develop the core technology for the modular optical apertures. Central to this effort are the millimeter-scale transmit and receive unit cells. These are to be fabricated with integrated amplification, beam-steering and high fill-factor apertures. They must also be designed with the goal of cohering with adjacent unit cells to create a much larger, higher power effective aperture. Phase 1 will demonstrate the unit cell while Phases 2 and 3 will demonstrate the coherence of unit cells across 1 cm2 and 100 cm2 apertures respectively. It is expected that the quality of the output optical beam will closely approach a diffraction-limited collimated beam at each aperture size. The performance objectives by phase are listed in Table 1. These objective metrics are extremely challenging and proposers are encouraged to also include threshold performance values by phase.

The optical source is a critical component of the aggregate system, although it is physically removed from the unit cell. For many planar aperture architectures, achieving the two-dimensional goals for scan angle will require coordination with the optical source. The overarching goal is for low-cost manufacturing of a light-weight system, thus the integrated fabrication of the proposed optical source should be compatible with the greater system. Proposers should provide a description of the optical source. It is stressed that the MOABB program aims to achieve a universal capability for long-distance sensing and communications. In that light, the device should operate in the low-loss eye-safe regime of the short-wave infrared spectrum to maximize range and directivity.

As can be derived from Table 1, the Phase 3 objective transmitter will output approximately 100W of optical power. This is a critical metric for long-range applications. Air-cooling, large area and efficient sub-systems will be critical for a low size and weight device. To achieve these goals, a dissipated power density below 50 W/cm2 is strongly preferred. This will require efficient phase shifting, amplification and out-coupling.

For applications such as LIDAR mapping and collision avoidance, it is desirable to employ many optical beams interrogating multiple directions simultaneously. The objective of the MOABB program is to employ 16 simultaneous beams. While it is preferred that these beams be independently steered, this is not a requirement.

Table 1. Technical Area 1 Performance Objectives

Core Aperture Metrics Phase 1

Objective Phase 2

Objective Phase 3

Objective

T x/

R x

Aperture Size 1 x 1 mm 1 x 1 cm

10 x10 cm

Point-to-Point Sweep Time 40 s 10 s 1 s

Field of Regard 70° x 12° 100° x 14° 110° x 16°

Aperture Fill Factor* 50% 70% 95%

Number of Simultaneous Beams 1 16 16

RF Bandwidth 3 GHz 8 GHz 8 GHz

T x

Wall-Plug Efficiency** 1% 2% 5%

Radiated Power Density 500 mW/cm 500 mW/cm

1,000 mW/cm

Fraction of Optical Power in Formed Beam(s)

50% 80% 95%

R x Noise Figure*** 15 dB 8 dB 5 dB

* Aperture Fill Factor is defined as the total area of the radiating surface divided by the aperture size. Non-radiating devices can be arrayed around the aperture area and not contribute to fill factor.

** Wall-plug efficiency includes the optical source, amplification, beam-steering and all control electronics, with the optical power in the central beam as the relevant output quantity.

*** This is to include all optical losses and additive noise as well as the noise of the photodetector.

Table 1 lists the performance objectives in terms of transmit (Tx) and receive (Rx) functions.

Employing the same physical aperture for both functions is preferred. If this cannot be achieved in the proposed architecture, describe the diagnostics and controls that will be employed to align the transmit and receive apertures in an anticipated terrestrial environment including mechanical disturbances and thermal gradients.

The Phase 1 objective for aperture size is listed as 1 mm2 for a single unit cell. This was chosen as a compromise between design complexity, manufacturing capabilities and robust performance over temperature and mechanical disturbances. If the proposed architecture is able to develop a unit cell larger than 1 mm2 that would reduce the design complexity, this is encouraged but not required.

Proposals should address the following critical questions:

1) How will thermal gradients affect the performance of the proposed design?

It is not uncommon for conventional microprocessors to operate with thermal gradients exceeding 10°C across the face of the die. The proposed architecture must be able to sense and maintain beam quality across and within unit cells in the presence of thermal gradients generated both internally and externally to the system.

2) How will the proposed design sense and compensate for thermal and mechanical perturbations?

A modern LIDAR system is exquisitely calibrated for pointing direction with open-loop control. What diagnostic and calibration tools will be integrated to react to changes in ambient temperature and mechanical disturbances?

3) How will the proposed design and simulation tools address complexity?

The final 10 cm aperture has the potential to be the most complex electronic-photonic circuit ever constructed. It will likely employ heterogeneous integration of Silicon Photonics and III-V materials, as well as other materials for low-power beam-steering.

The final system will also include digital, radio frequency (RF) or mixed signal electronics. Success will require simulation and electronic design tools beyond the standard scope of integrated photonics. Describe how this risk will be mitigated.

4) What are the major yield issues and how will they be mitigated?

As a part of the risk tracking and mitigation plan, the proposal should identify the yield risks and track them throughout the MOABB program. The proposal should provide technical approaches such as, but not limited to, enhancing the fabrication yield, using known-good-die, redundant components or innovative aperture architectures. “Yield” should not be treated as a manufacturing issue and only be addressed after the process becomes mature. Instead, it should be viewed as the key enabler for technology adoption and application development.

Program Structure, Milestones, and Deliverables TA1 will have a 21-month base period of performance (Phase 1) followed by an 18-month and a 21-month option period (Phases 2 and 3, respectively), subject to availability of funds. Proposals must adequately provide measurable, quantitative milestones at the conclusion of each phase. The following guidelines are provided as a template, but are not required for program compliance, due to the variation of expected proposals. All proposals should provide a technical rationale for the proposed program milestones and a clear trajectory to achieving program goals.

Phase 1: Base Period (21 months) Phase 1 will address the modular transmit and receive unit cells. These devices will be fabricated and tested with co-integrated optical sources and detectors. The design will be guided by the goal of coherently assembling the unit cells into a larger array. Thus the unit cell should have the ability to measure and compensate for phase shifts and thermal gradients between cells. Models and analysis should be developed to understand the performance of the unit cell in the larger array. It is expected that devices will be fabricated and tested in multiple iterations throughout the phase.

Additional demonstrations that reduce risks towards meeting the Phase 2 and 3 objectives are encouraged, including the demonstration of controlled coherence between multiple co-integrated unit cells during Phase 1. Another guiding principle of Phase 1 will be the development of efficient and low-loss components, such as out-couplers and modulators to meet the overall system efficiency goals. Technical Area 1 performers will also work closely with the Technical Area 2 performers to insure that the fundamental device design will meet the integrated LIDAR metrics.

Cost models should be developed for the system at various aperture sizes, including anticipated yield numbers.

Phase 2: Option 1 (18 months) Phase 2 will include continued development of the unit cell efficiency and fill-factor. Materials, device physics and system design tools will continue refinement. This phase will culminate in the demonstration of a 1 cm2 transmit and receive aperture composed of coherently arrayed unit cells.

If these apertures are not capable of simultaneous transmit and receive, the demonstration will include dynamic alignment between the 1 cm2 apertures. Open-loop pointing control will be demonstrated and tested. Phase 2 will also include the integration of beam-control and calibration electronics. Cost models will continue to be developed. Prototype devices will be delivered early in this phase, in coordination with Technical Area 2.

Phase 3: Option 2 (21 months) Phase 3 will demonstrate 100 cm2 transmit and receive apertures, composed of coherently arrayed unit cells, in accordance with the objectives in Table 1. This system will be fully integrated with the optical source, detector, distributed optical gain and control electronics. While the critical goal of Phase 3 is the large coherent aperture, performers are encouraged to develop devices and sub-systems beyond the LIDAR application, such as the ability to rapidly scan and acquire a beacon for long-range, mobile laser communications. Prototype devices will be delivered early in this phase, in coordination with Technical Area 2.

All Technical Area 1 performers shall be required to provide the following deliverables:

• Technical Reports – Technical reports will be submitted as annotated slide presentations. Reports shall be submitted within two weeks after the Technical Area 1 kick-off meeting and two working days prior to each subsequent program event including program reviews, PI meetings and technical interchange meetings. Technical interchange meetings will be held quarterly. Program reviews amongst all performers will be held semi-annually and can replace the technical interchange meeting.

• Monthly Financial Reports – The financial report shall describe resources expended, resources available, any deviation from planned expenditures and any potential issues requiring the attention of the Government team. This report shall be provided within 10 days from the end of each month.

• Technical and Management Work Plan – This document is a project schedule including milestones and updated as required.

• Prototype Devices for Technical Area 2 – In coordination with the Technical Area 2 performers, a prototype device will be delivered to the government team within the first 4 months of Phases 2 and 3.

• Device Demonstration – A demonstration of device operation for the government team at least three weeks prior to the conclusion of each phase.

• Final Report – After the end of each phase the report shall summarize the effort in a comprehensive text document.

2. Technical Area 2: LIDAR Demonstrator System

Technical Area 2 will design and demonstrate a fully packaged, eye-safe LIDAR system. Each phase will employ the output optical system from the previous phase of Technical Area 1 to deliver a LIDAR system with progressively longer range and increased number of beams. The role of the Technical Area 2 performer is to package and operationalize the Technical Area 1 technology.

This Technical Area will also develop the embedded software and input/output specifications. Co-packaged data-processing will also be required to map the optical LIDAR return to target range and velocity. The performance objectives are listed in Table 2. These objective metrics are extremely challenging and proposers are encouraged to also include threshold performance values by phase.

The final demonstrator system has an objective of 16 simultaneous beams. If not completely independent, these beams should enable dialable spacing to allow for a rapidly tunable gap between beams. The objective is a generalized scanning system able to rapidly observe the entire field of regard.

Table 2. Technical Area 2 Performance Objectives

LIDAR Parameter Phase 2 Phase 3

Operational Range* 10 m 100 m

Field of Regard 70° x 12° 100° x 14°

Scan Rate 100 Hz 100 Hz

Range Resolution 5 cm 2 cm

Weight 0.005 lbs 0.01 lbs

Size 0.5 cm3 0.85 cm3

Power Consumption 8 W 40 W

Number of Simultaneous Beams 1 16

* Operational Range is defined against an 80% Lambertian reflector

Proposals should address the following critical questions:

1) How will the LIDAR system mitigate the effects of side-lobes?

Optical arrays will likely have larger side-lobes than conventional telescopes. What design and processing techniques will be used to reduce the number of false targets?

What is the expected impact of this effect?

2) How will you work with Technical Area 1 performers to ensure a successful system demonstration?

Performance in Technical Area 2 is reliant on the Technical Area 1 success. How will you manage this risk?

3) How will the receiver aperture be implemented to optimize the LIDAR return?

A planar aperture will likely be limited to one polarization and optical mode.

Atmospheric seeing effects can severely limit detection into a single optical mode.

Describe how the proposed design will mitigate the risk this constraint presents for large apertures in realistic terrestrial environments.

Program Structure, Milestones, and Deliverables TA2 will have a 21-month base period of performance (Phase 1) followed by an 18-month and a 21-month option period (Phases 2 and 3, respectively), subject to availability of funds. Proposals must adequately provide measurable, quantitative milestones at the conclusion of each phase. The following guidelines are provided as a template, but are not required for program compliance, due to the variation of expected proposals. All proposals should provide a technical rationale for the proposed program milestones and a clear trajectory to achieving program goals.

Phase 1: Base Period (21 months) Phase 1 will undertake an architecture and application study of the planar optical aperture for LIDAR at short and long range. In close coordination with the Technical Area 1 performers, specifications for the aperture and interfaces will be developed. Data-processing algorithms and the back-end processing architecture will be designed. Ruggedized packaging will be prototyped.

Phase 1 will culminate in a Preliminary Design Review of the LIDAR system.

Phase 2: Option 1 (18 months) Phase 2 will fabricate and test a fully-operational LIDAR system employing the Technical Area 1 technology as Government Furnished Equipment delivered within the first 4 months of the phase.

The inputs to the system will include regulated DC power and direction while the outputs will include target range and target velocity. This phase will culminate in an operational demonstration of the LIDAR system with 10 m range. The demonstrator system should be ruggedized for indoor navigation, mapping and collision avoidance.

Phase 3: Option 2 (21 months) Phase 3 will demonstrate the fully packaged LIDAR system with 100 m operational range and 16 simultaneous beams. This system will employ the Technical Area 1 technology as Government Furnished Equipment delivered within the first 4 months of the phase. Like the system demonstrated in Phase 2, the packaging will be suitable for outdoor terrestrial environments. This demonstrator system should be immediately transitionable to applications including autonomous vehicles and perimeter detection.

All Technical Area 2 performers shall be required to provide the following deliverables:

• Technical Reports – Technical reports will be submitted as annotated slide presentations. Reports shall be submitted within two weeks after the Technical Area 2 kick-off meeting and two working days prior to each subsequent program event including program reviews, PI meetings and technical interchange meetings. Technical interchange meetings will be held quarterly. Program reviews amongst all performers will be held semi-annually and can replace the technical interchange meeting.

• Monthly Financial Reports – The financial report shall describe resources expended, resources available, any deviation from planned expenditures and any potential issues requiring the attention of the Government team. This report shall be provided within 10 days from the end of each month.

• Technical and Management Work Plan – This document is a project schedule including milestones and updated as required.

• LIDAR System Demonstration – A demonstration of system operation for the government team at least three weeks prior to the conclusion of Phases 2 and 3.

• LIDAR Hardware – At the conclusion of Phases 2 and 3 the LIDAR hardware will be delivered to the government team.

• Final Report – After the end of each phase the final report shall summarize the effort in a comprehensive text document.

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 or other transaction for prototype, 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 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 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. 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.

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 for Prototypes under the authority of 10 U.S.C. § 2371(b)). Cost sharing is encouraged where there is a reasonable probability of a potential commercial application related to the proposed research and development effort.

D. Collaborative Efforts

Collaborative efforts and teaming are encouraged between technical areas. Successful completion of the overall program will depend on open communications between the performers. While the government will structure reviews to encourage communication, the effort will be best served by collaboration from the outset.

E. Associate Contractor Agreement Clause

This same or similar clause will be included in all awards against DARPA-BAA-16-13:

(a) It is recognized that success of the MOABB research effort depends in part upon the open exchange of information between the various Associate Contractors involved in the effort. This clause is intended to insure that there will be appropriate coordination and integration of work by the Associate Contractors to achieve complete compatibility and to prevent unnecessary duplication of effort. By executing this contract, the Contractor assumes the responsibilities of an Associate Contractor. For the purpose of this clause, the term Contractor includes subsidiaries, affiliates, and organizations under the control of the contractor (e.g.

subcontractors).

(b) Work under this contract may involve access to proprietary or confidential data from an Associate Contractor. To the extent that such data is received by the Contractor from any Associate Contractor for the performance of this contract, the Contractor hereby agrees that any proprietary information received shall remain the property of the Associate Contractor and shall be used solely for the purpose of the MOABB research effort. Only that information which is received from another contractor in writing and which is clearly identified as proprietary or confidential shall be protected in accordance with this provision. The obligation to retain such information in confidence will be satisfied if the Contractor receiving such information utilizes the same controls as it employs to avoid disclosure, publication, or dissemination of its own proprietary information. The receiving Contractor agrees to hold such information in confidence as provided herein so long as such information is of a proprietary/confidential or limited rights nature.

(c) The Contractor hereby agrees to closely cooperate as an Associate Contractor with the other Associate Contractors on this research effort. This involves as a minimum:

(1) Maintenance of a close liaison and working relationship;

(2) Maintenance of a free and open information network with all Government-identified Associate Contractors;

(3) Delineation of detailed interface responsibilities;

(4) Entering into a written agreement with the other Associate Contractors setting forth the substance and procedures relating to the foregoing, and promptly providing the Agreements Officer/Procuring Contracting Officer with a copy of same; and,

(5) Receipt of proprietary information from the Associate Contractor and transmittal of Contractor proprietary information to the Associate Contractors subject to any applicable proprietary information exchange agreements between associate contractors when, in either case, those actions are necessary for the performance of either.

(d) In the event that the Contractor and the Associate Contractor are unable to agree upon any such interface matter of substance, or if the technical data identified is not provided as scheduled, the Contractor shall promptly notify the DARPA MOABB Program Manager.

The Government will determine the appropriate corrective action and will issue guidance to the affected Contractor.

(e) The Contractor agrees to insert in all subcontracts hereunder which require access to proprietary information belonging to the Associate Contractor, a provision which shall conform substantially to the language of this clause, including this paragraph (e).

(f) Associate Contractors for this MOABB research effort include:

Contractor Area

Note: It is intended that ACA’s be established, after selections and prior to contract award, between each TA1 and TA2 performer.

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 notification that a proposal was not selected.

1. 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.

2. 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.