SPAR_BAA_Amendment_03.pdf

DARPA-BAA-16-20

Broad Agency Announcement Signal Processing at RF (SPAR) Microsystems Technology Office

February 19, 2016

(Amendment No. 03: As amended through 28 March 2016) (Amendment No. 03 updates the Attachment 1 Proposer Checklist only)

Table of Contents

PART I: OVERVIEW INFORMATION

PART II: FULL TEXT OF ANNOUNCEMENT

I. Funding Opportunity Description A. Background B. Program Description C. Technical Areas

1. Technical Area 1 – RF Correlation Processing

2. Technical Area 1 Option (TA1O) – Other RF signal processors (Optional Phase III add-on, not to exceed $500K)

3. Technical Area 2 – Chip-Scale Circulators and Nonreciprocal Components

4. Technical Area 2 Option (TA2O) – Other non-reciprocal devices and circuits

(Optional Phase III add-on, not to exceed $500K)

5. Technical Area 3 – Technology Demonstration (Phase III Only)

D. Schedule/Milestones E. Deliverables

1. TA1 and TA2 Deliverables

2. TA3 Deliverables

F. Government Furnished Equipment/Property/Information G. Intellectual Property

II. Award Information III. Eligibility Information

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

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

1. Collaborative Efforts IV. Application and Submission Information

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

1. Proprietary Information

2. Security Information

3. Abstract Format

4. Full Proposal Format

5. Submission Information

a. Abstract Submission Information

b. Proposal Submission Information

6. Submission Dates and Times

7. Funding Restrictions

8. 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. Employment Eligibility Verification

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

8. Reporting Executive Compensation and First-Tier Subcontract Awards

9. Updates of Information Regarding Responsibility Matters

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

11. Cost Accounting Standards (CAS) Notices and Certification

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

13. Safeguarding of Covered Defense Information and Cyber Incident Reporting

14. 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):

ATTACHMENT 1: Proposer Checklist ATTACHMENT 2: Proposal Summary Slide Template ATTACHMENT 3: Budget Spreadsheet Template

PART I: OVERVIEW INFORMATION

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

Funding Opportunity Title – Signal Processing at RF (SPAR) Announcement Type – Initial Announcement Funding Opportunity Number – DARPA-BAA-16-20 Catalog of Federal Domestic Assistance Numbers (CFDA) – 12.910 Research and

Technology Development Dates (All times listed herein are Eastern Time) o Posting Date: 19 February 2016 o Abstract Due Date: 11 March 2016, 1:00PM o FAQ Submission Deadline: 29 April 2016, 1:00PM o Proposal Due Date: 12 May 2016, 1:00PM o Estimated period of performance start: October 1, 2016.

Concise description of the funding opportunity: DARPA seeks to transform radio frequency (RF) systems by developing RF analog signal processing and nonreciprocal technologies that perform unprecedented levels of in-band interference suppression. The Signal Processing at RF (SPAR) technology aims to mitigate both self and externally generated interfering signals of known and unknown characteristics. The goal of SPAR is to demonstrate novel in-band signal interference mitigation technologies using analog signal processing techniques as well as novel chip-scale circulator approaches.

Anticipated Funding Available for Award: It is anticipated that $30M of total funding will be awarded across all technical areas approximately partitioned as follows:

o $ 17M for Technical Area 1 (TA1) o $ 8M for Technical Area 2 (TA2) o $ 5M for Technical Area 3 (TA3)

Anticipated individual awards – Multiple awards are anticipated in all Technical Areas.

Anticipated funding type - 6.1, 6.2 Types of instruments that may be awarded – Procurement contract, grant, cooperative agreement or other transaction.

Agency contact

Dr. Troy Olsson

DARPA/MTO

ATTN: DARPA-BAA-16-20

675 North Randolph Street Arlington, VA 22203-2114 BAA Coordinator: DARPA-BAA-16-20@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.

THOSE INTENDING TO SUBMIT A PROPOSAL FOR AN ASSISTANCE INSTRUMENT

(GRANT OR COOPERATIVE AGREEMENT) ARE STRONGLY ENCOURAGED TO READ

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

REQUIRED TO RECEIVE VALIDATION OF SUBMISSIONS MADE THROUGH

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

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

PART II: FULL TEXT OF ANNOUNCEMENT

I. Funding Opportunity Description

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

35.016 and Chapter 1, Subchapter C of Title 32, Code of Federal Regulations, Part 22 - Department of Defense Grant and Agreement Regulations (DoDGARs), Award and Administration. Any negotiations and/or awards will use procedures under FAR 15.4, Contract Pricing, as specified in the BAA (including DoDGARS Part 22 for Grants and Cooperative Agreements). Proposals received as a result of this BAA shall be evaluated in accordance with evaluation criteria specified herein through a scientific review process.

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

The Microsystems Technology Office at DARPA seeks to transform radio frequency (RF) systems by developing RF analog signal processing and nonreciprocal technologies that perform unprecedented levels of in-band interference suppression. The Signal Processing at RF (SPAR) technology aims to mitigate both self and externally generated interfering signals of known and unknown characteristics. The goal of SPAR is to demonstrate novel in-band signal interference mitigation technologies using analog signal processing techniques as well as novel chip-scale circulator approaches. Specifically excluded is research that primarily results in evolutionary improvements to the existing state of practice.

A. Background

Electromagnetic spectrum is a scarce resource, in which a variety of friendly, unfriendly, and neutral entities contend for available spectrum at any given time, location, and frequency. DoD RF systems, such as communication networks and radar, encounter an increasingly congested and contested electromagnetic spectrum. This is in contrast with commercial wireless applications where the interference within pre-allocated spectral bands is carefully controlled through regulation, standardization, and pre-planned, pre-deployed infrastructure. As a result, a typical commercial receiver requires very modest radio frequency (RF) dynamic range and the signals are isolated from in-band interferers by applying matched filtering in the digital domain. In a typical DoD application, on the other hand, the EM environment is unpredictable and the uncooperative RF interference encountered is strong due to high power, close proximity jammers. In these cases, the in-band jammer can overwhelm the receiver’s analog front-end well before mitigation can take effect in the digital domain, limiting the interference tolerance of the receiver while also limiting the number of users who can occupy the same spectrum. To effectively alleviate the impact of in-band interference military RF systems desire an analog matched filtering capability to provide additional protection of the front-end receiver components. Such capability is not currently available to the DoD systems.

To address these needs, the Signal Processing at RF (SPAR) program will develop the underlying technologies to suppress in-band interference directly at the antenna and prior to the receiver electronics. The goal of the SPAR program is to design, build and demonstrate RF signal processing components that can remove in-band interferers from the desired receive signal prior to the receiver electronics. The components developed under the SPAR program must not only achieve the desired levels of signal isolation, but must also have the low noise and high linearity required of components operating directly at the RF front-end. Furthermore, these components must be reconfigurable to support the large number of matched filter codes associated with a high number of friendly spectrum users. SPAR will significantly improve interferer resistance while augmenting spectrum efficiency, which will allow radio and radar operation in increasingly congested and contested RF environments. Furthermore, SPAR will enable RF systems to simultaneously transmit and receive at the same frequency (STAR), doubling spectrum efficiency.

Throughout this BAA a distinction is made between self and externally generated interference.

Self-interference is a known, predictable and in some cases controllable interfering waveform.

Self-interference can arise from the transmitter in the same radio, other transmitters in the network, or transmitters from other RF systems located on the same platform. It is anticipated that higher levels of interference suppression can be achieved when the waveform properties of the interferer are well known, predictable and controllable. In contrast, externally generated interference is assumed to be uncooperative, where the waveform properties are not known in advance, can dynamically change, and are in many cases designed to defeat common anti-jamming strategies.

B. Program Description

The program vision is illustrated at the highest level in Figure 1, where it is contrasted with a typical transceiver architecture used today. In current transceiver implementations, out-of-band interference is addressed by band-pass filtering and self-interference from the transmitter is addressed through Transmit/Receive (T/R) switching. Other signal processing functions are typically addressed by the Digital Signal Processor (DSP) after signal digitization. Variants of Figure 1 include the use of tunable or frequency-selective notch filters, where reception of both desired and interfering signals is inhibited within the notch bandwidth. Such approaches, while perhaps providing incremental improvement in the suppression of in-band interference, do not provide a comprehensive solution to all such interference and can suffer from noise, nonlinearity, signal loss, complex control, latency and other drawbacks.

Figure 1. Typical transceiver today (left) versus a SPAR transceiver (right, with new capabilities highlighted in orange). T/R = Transmit/Receive; Tx = Transmitter; Rx = Receiver; COTS = Commercial-off-the-Shelf;

SP = Signal Processing; DSP = Digital Signal Processing; RF = Radio Frequency.

Because there is no mechanism to isolate a signal of interest from the in-band interferers reaching the receiver, the receiver chain must withstand the highest interfering power levels while maintaining the required linearity and sensitivity. The need for maintaining high levels of linearity and sensitivity in noisy RF environments challenges DoD operations. Such challenges have resulted in military electronics systems of higher complexity, higher power consumption and elevated costs. Severe difficulties in spectrum planning and restricted usage (number of users, data throughput) also result, along with a complete inability to simultaneously use co-located assets and capabilities within the same frequency bands. In contrast, SPAR will develop component technologies to employ significant levels of signal processing prior to the receiver that achieve both rejection of self-interference as well as suppression of external in-band interference.

Improvements from SPAR will yield simpler RF architectures, lower power consumption, and improved system dynamic range capabilities. SPAR-developed component technologies will enable for the first time single-frequency, single antenna, simultaneous transmit and receive (STAR) at RF frequencies with relevant power levels.

Interference to communications networks is one of many potential areas of impact for the DoD.

As such, this BAA will also call for demonstration of a prototype communications link that will show the capabilities and the value of the technologies developed under SPAR. DARPA will likewise consider additional application demonstrations that highlight new capabilities enabled by SPAR components.

C. Technical Areas

The SPAR program is organized into three Technical Areas (TAs). The goal of SPAR TA1 is to develop analog signal processing elements operating at the RF front-ends of both the transmitter and receiver, enabling cancelation of self-interference and a 100-fold suppression of uncooperative in-band interference. Here correlators function as matched filters that pass waveforms of specific characteristics (e.g., modulation type and frequency) while otherwise rejecting any other signal.

The goal of SPAR TA2 is to develop miniature nonreciprocal components, such as circulators, for directional routing of RF signals to achieve an additional 25 dB of transmitter suppression at the receiver. The goal of SPAR TA3 is to demonstrate TA1 and TA2 component technologies, with system performance relevant to communications systems with STAR capability.

To achieve the SPAR program objectives, DARPA seeks innovative proposals in the following Technical Areas of interest:

Technical Area 1 (TA1) – RF Correlation Processing (Phase I – 15 months, Phase II – 12 months, Phase III – 12 months)

The goal of TA1 is to develop analog matched filters (correlators) operating at the RF front-ends of both the transmitter and receiver, allowing for 50dB cancelation of self-interference through orthogonal encoding, and a 100-fold suppression of external uncooperative interference. As shown in Figure 2, TA1 creates signal processing elements for the RF front end. One signal processing element is placed before the low-noise amplifier (LNA) in the RX chain and another element after the PA in the TX chain. The net result of this pair of signal processing elements is to provide significant processing gain of the desired receive signals with respect to the interferers and background noise. It is well understood that a filter performing matched filtering (equivalently correlation/decorrelation processing) is able to provide the required processing gain.

Therefore, in the description and metrics for TA1, this BAA will refer to such processing elements as correlators.

Technical Area 1 Option (TA1O). In addition to the main technology development track, performers in TA1 are also permitted to propose an Option (TA1O) to enable a) higher performance components with lower noise figure and/or higher power handling, significantly exceeding the TA1 metrics and therefore enabling new RF capabilities for DoD systems, b) other types of RF signal processing (aside from correlation) that can be achieved using the SPAR-developed technology, or c) application-specific correlator demonstrations driven by a specific DoD application, with well-defined metrics that are significantly different than those specified for TA1 in this BAA. TA1O is a Phase III-only Option for TA1 performers and will run concurrent with Phase III.

Figure 2. The breakdown of SPAR Technical Areas.

Technical Area 2 (TA2) – Chip-Scale Circulators and Nonreciprocal Components (Phase I – 15 months, Phase II – 12 months, Phase III – 12 months)

The goal of TA2 is to develop miniature nonreciprocal components for directional routing of RF signals, such as circulators, to achieve an additional 25 dB of transmitter suppression at the receiver (see Figure 2). TA2 aims to develop chip-scale devices that can isolate the TX and RX chains sufficiently to enable STAR communications when combined with the additional TX suppression provided by the TA1 correlators.

Furthermore, chip-scale circulators developed within TA2 must add a minimal amount of insertion loss, noise, and nonlinearity from the TX to the antenna and the antenna to the RX. While bulk circulators based on ferromagnetics are readily available, DARPA seeks innovation in developing highly miniaturized circulators compatible with a lithographic fabrication process that preferably can be integrated with other RF signal processing circuits.

Technical Area 2 Option (TA2O). In addition to the main technology development track, performers in TA2 are also allowed to propose an Option (TA2O) to enable a) higher performance components with lower insertion loss and/or higher power handling, significantly exceeding the TA2 metrics, b) exploration of other types of RF signal processing (besides transmit / receive isolation) that can be achieved using the SPAR nonreciprocal component technology, or c) application-specific signal isolation demonstrations driven by a specific DoD application, with well-defined metrics that are significantly different than those specified for TA2 in this BAA. TA2O is a Phase III-only Option for TA2 performers and will run concurrent with Phase III.

Technical Area 3 (TA3) – STAR Technology Demonstration (Phase III – 12 months)

The goal of TA3 is to demonstrate the component technologies developed under SPAR in a DoD-relevant application. SPAR performers that have successfully completed Phase II in both TA1 and TA2, will be given the opportunity to demonstrate the performance of their components in a communications system. A communications system demonstration is both very challenging in its stringent technical requirements and is of great value to the DoD. The TA3 demonstration will showcase expanded capabilities of DoD wireless networks to support a greater number of simultaneous users, with reduced frequency planning overhead, greater resiliency against interference, as well as greatly enhanced jammer suppression. Moreover, an entirely new capability of same frequency STAR will be demonstrated.

The SPAR components will not only be required to demonstrate low noise performance, but also must handle the high transmit power levels of 1W or better that are relevant to DoD communications and radar systems. Figure 3 shows the desired suppression levels by SPAR components by the end of the program. The RX correlator paired with the TX correlator should suppress TX self-interference by a minimum 50 dB (Figure 3-a). The same RX correlator should suppress external (uncooperative) interference by a minimum 20 dB (Figure 3-b). The SPAR circulator should provide an additional 25 dB of TX/RX isolation (Figure 3-a), for a total 75 dB of TX isolation at the receiver. The additional processing in the digital domain needed for further TX suppression is not a subject of this program.

Acceptable ways to combine Technical Areas in a single proposal:

(a) only Technical Area 1

(b) only Technical Area 2

(c) Technical Areas 1 and 2

(d) Technical Areas 1, 2, and 3

Proposers are required to clearly specify the Technical Area(s), Technical Area(s) Options, and Phases addressed in their proposal.

1. Proposals with tasks other than the combinations described above in a single proposal will be considered non-conforming to this BAA and will not be evaluated.

Technical Area

A single proposal can address

a) b) c) d)

TA1 X X X

TA2 X X X

TA3 X

Figure 3. SPAR program illustration of suppression of self- and external- in-band interference.

2. Proposals to TA1 and/or TA2 must address all three phases with Phases II and III proposed as government options. Proposals not proposing to Phases I, II and III of TA1 or TA2 will be considered non-conforming to this BAA and will not be evaluated.

3. Proposals to TA3 and not proposing to both TA1 and TA2 will be considered non-conforming to this BAA and will not be evaluated.

4. In Phase III only, proposers are allowed to put forward an Option with work significantly extending their TA1 or TA2 efforts. Only a single option (either TA1 or TA2) is allowed in a proposal.

Technical Areas Description and Metrics:

1. Technical Area 1 – RF Correlation Processing

Figure 4. Notional transceiver highlighting area of interest for TA1 in orange.

The primary goal of TA1 is to provide processing gain between the antenna and the LNA to mitigate the effect of in-band interferers (such as self-interference from a STAR TX, intentional or unintentional jammers, co-site interference, etc.). Figure 4 depicts a notional transceiver block diagram and indicates the location for such processing gain improvement. SPAR TA1 signal processing elements, operating at the RF front-ends of both the transmitter and receiver, perform a 50dB cancelation of self-interference and a 100-fold (20dB) suppression of uncooperative external interference prior to the usual receiver components, which have limited dynamic range and linearity.

Matched filtering implemented by correlators enable efficient processing of known signals.

Placing a correlator with a specific encoding scheme at the front end of a receiver can pass to the receiver a signal having a waveform of desired characteristics while rejecting all other signals.

Furthermore, known orthogonal coding schemes can facilitate optimal rejection of signals traversing shared communications paths.

Components operating at the RF front end must possess low noise performance and be capable of handling the high power levels associated with jammers and the STAR transmitter. These correlators must therefore support strenuous dynamic range requirements that are orders of magnitude more linear than the receiver electronics they are designed to protect. In addition, in any practical system implementation the template correlator codes need to be freely programmable to support multi-user operations and/or to be able to quickly adapt to a changing RF environment.

Correlators simultaneously meeting all of these requirements are not currently available.

One example technology that can support the required RF power levels and dynamic range are acoustic signal processors (ASPs). ASPs operate by transducing electromagnetic (EM) signals into acoustic waves, where the signals are processed acoustically before transducing them back to the EM domain. The EM and acoustic domains are coupled via electrode patterns printed or etched onto a piezoelectric acoustic substrate. The shape, location and spacing of these patterns define a matched filter template to allow properly coded RF signals to pass, while rejecting all other signals not matching the template. ASPs are small due to the short wavelength (< 10 µm @ 1 GHz) of acoustic waves, which travel at a much smaller velocity than RF electromagnetic waves. ASPs also support well-established frequency-shift keying (FSK) and phase shift keying, binary phased shift keying (BPSK) and quadrature-shift phase keying (QPSK), as well as other coding techniques.

To date, two weaknesses have prevented large scale adoption of acoustic correlator technologies.

First, the large insertion loss of acoustic correlators arising from the weak electroacoustic coupling between the EM and acoustic waves precludes operation directly at the RF front-end. Second, prior acoustic correlators used fixed electrode patterns that lock the device to a fixed RF code to be detected (receive) and encoded (transmit). The lack of in-field code programmability inhibits acoustic device adoption in communications systems and is incredibly limiting for modern radar signal processing.

The achievable electroacoustic coupling can now be increased tenfold, thanks to recent work focused on improvements in materials and advanced fabrication techniques resulting in a 20 dB reduction in insertion loss that will enable for the first time low noise operation of acoustic correlators directly at the RF front-end. Likewise, recent advances in homogeneously and heterogeneously integrated switching technology make it possible to reprogram the code of an acoustic correlator by switching the electrical connections to the electrodes. Such switching can be applied to configure the device coding prior to use, or the switching can be applied dynamically to change the codes on the fly (e.g., through a cycling of codes).

While acoustically-enabled analog processors are one example approach, the program will be open to alternative solutions. Each proposed approach must demonstrate the ability to implement RF-level orthogonal coding/decoding of the transmitted and received signals while maintaining the required noise and linearity performance. Furthermore, SPAR correlators must enable lightweight, miniature, and low power solutions that support dynamically programmable codes.

Table 1 lists the specifications and performance metrics that must be met in TA1 Phases I, II, and III. Descriptions of the scalability of proposed approaches or methods to exceed these metrics are welcome.

Proposers may use any modulation scheme, code type or code length desired. Since SPAR-enabled systems are intended for over-the-air RF applications, the correlator must work under reasonable and justified channel conditions. Therefore, proposers must describe what channel models are used in the proposal. The channel models must account for multipath conditions consistent with the intended usage scenario. Example channel models are, but not limited to:

COST 207 Bad Urban, GSM Typical Hilly Terrain, and 3GPP Rural Area. Proposers may also design and justify the use of their own channel models. Proposers must provide channel models in an appropriate form factor that can be easily understood by the proposal evaluators (such as assumptions made in terms of multipath amplitude and time distribution, bandwidth of flat fading, etc.). TA1 proposals should carefully describe the coding approach and how this approach relates to the channel models. The Government is specifically interested in coding approaches that enable long range operation in excess of a km in realistic multipath environments and much longer ranges in line of sight conditions. Any compensation approaches for reducing the impacts of multi-path, fading and changing channel conditions should be carefully addressed in the proposal as should any environmental (e.g. temperature, velocity) compensation techniques.

Table 1. Technical Area 1 Metrics

Common RF Correlator Metrics (Phase) 1 2 3

Center Frequency (GHz) Performer defined within the range of 0.9 GHz – 1.1 GHz

Minimum Bandwidth at the Antenna (MHz) 10 20 30 Minimum RF Processing Gain (dB)

^ 10 15 20 Minimum Rejection of TX (dB)

+ 20 35 50 Reconfigurable Codes (#) 4 16 64 Code Reconfiguration Time (µs) Performer Defined Range in Specific Channel Models (km) Performer Defined Maximum Power Consumption (mW) 100 Temperature Range (

C) 20 to 30 0 to 70 0 to 70

Receive Correlator Metrics (Phase) 1 2 3 Noise Figure (dB)

6 4 3

Linearity: In-Band IIP3 (dBm) 15 22 25

Transmit Correlator Metrics (Phase) 1 2 3 Insertion Loss (dB) 5 3 2

Output P1dB (dBm) 28 35 38

Difference in dB between the signal-to-interferer ratio (S/I) coming out of the correlator and the S/I going into the correlator for noise or tone based interferers.

Rejection of signal and noise output from the Tx correlator at the output of the Rx correlator.

When followed by a receiver with 1 dB noise figure, includes Tx noise.

2. Technical Area 1 Option (TA1O) – Other RF signal processors (Optional Phase III add-on, not to exceed $500K)

It is anticipated that the design approaches developed for the RF correlators in TA1 can be generalized for high-power, high dynamic range analog devices with additional functionality (other than correlation processing), and therefore can be expanded to other RF front-end signal processing applicable to DoD systems. Furthermore, some applications that could take advantage of the RF correlation processing in TA1 may require specifications substantively different than those defined for the base program. Examples include lower noise figure and higher processing gain for GPS receivers and higher power handling for radar. The goal of TA1O is to explore other types of signal processors (e.g., adaptive filters) that can be created for RF front ends based on the technology advancements made in TA1. This option will also consider application-specific correlator demonstrations, with well-defined metrics driven by a specific DoD applications (e.g., GPS, satcom, radar), that are significantly different than those specified for the base TA1 effort.

TA1O only takes place during TA1 Phase III and requires that Phase I, II, and III goals as described above are met. Performance goals of the signal processing components to be pursued in TA1O must be clearly specified in the submitted proposal and represent DoD-relevant specifications that truly enable new capabilities for US military electronics systems. Devices with incremental deviations from the base TA1 capabilities are not of interest to TA1O.

3. Technical Area 2 – Chip-Scale Circulators and Nonreciprocal Components

Figure 5. Notional transceiver highlighting in orange area of interest for Technical Area 2.

Technical Area 2 focuses on chip-scale circulators or devices that perform a multi-port function by isolating and connecting selected ports. For instance, in the notional diagram in Figure 5, the circulator provides high isolation between the TX and RX ports, while the insertion loss between the TX and antenna ports and between the antenna and RX ports remains low.

Circulators are well-known RF components that utilize nonreciprocal (i.e. unidirectional) electromagnetic (EM) wave propagation to isolate transmit and receive paths in a wireless system.

The directional EM wave propagation is most commonly achieved using the electro-optic effect in a ferrite material biased by an external magnet. Ferrite circulators have several well-known limitations, most notably their size, weight and inability to integrate with miniature or monolithic RF circuits. The minimum dimension of a ferrite circulator is fundamentally limited to approximately one quarter of the EM wavelength, which is on the order of several centimeters at common radio frequencies. In addition, they require bulky and heavy biasing magnets. The large size of ferrite circulators precludes their use in many handheld and small communications nodes and makes it challenging to fit ferrite circulators at every element within the lattice spacing of a phased array antenna.

An alternative of ferrite circulators pursued recently are active circulators using transistor-based amplifiers to isolate transmitters and receivers. While much smaller than ferrites, active circulators unfortunately have linearity performances that are orders of magnitude lower than that required for DoD communications and radar systems. Therefore, chip-scale, high-performance circulators that do not rely on amplifier designs are highly desirable in military applications.

Several fundamentally new methods for achieving nonreciprocal propagation of RF signals in a small size have recently been demonstrated. While not yet achieving the linearity and bandwidth required for DoD systems, there are no underlying limitations precluding these approaches from realizing the needed performance.

SPAR’s TA2 effort will investigate these and other emerging methods for creating chip-scale three-port circulators demonstrating DoD performance, while achieving orders of magnitude smaller size than conventional approaches. The specific SPAR TA2 goals are listed below in Table

2. DARPA seeks innovation in developing circulators with chip scale dimensions that are compatible with the lithographic fabrication processes used to manufacture RF integrated circuits.

Although Table 2 provides targeted metrics, a description of the scalability of proposed approaches is welcome.

Table 2. Technical Area 2 Metrics

Metric (Phase) 1 2 3

Center Frequency (GHz) Proposer defined within the range of 0.9 GHz –

1.1 GHz

Minimum Bandwidth (MHz) 10 20 30

Insertion Loss (dB) 4 3 2

Minimum TX RX Isolation (dB) 15 20 25

Return Loss into Antenna (dB) 15 20 25

Maximum Noise Figure (dB)

5 4 3

Output P1dB at Antenna Port (dBm) 23 29 36

IIP3 Measured at Rx Port for Tx Input* 32 40 47

IIP3 Measured at Rx Port for Antenna Input* 17 24 27

Maximum Power Consumption (mW) 100

Temperature Range ( C) 20 to 30 0 to 70 0 to 70

Maximum Dimension (mm) 10 6 3 * Specification must be met across the entire bandwidth.

^ When followed by a receiver with 1 dB noise figure, includes Tx noise.

4. Technical Area 2 Option (TA2O) – Other non-reciprocal devices and circuits (Optional Phase III add-on, not to exceed $500K)

Non-reciprocal devices have broad applicability to DoD-focused RF systems. However, many non-reciprocal devices, such as gyrators, while useful in a theoretical discussion, are largely unrealized as practical devices for RF systems. It is anticipated that the design approaches developed in TA2 can be generalized for non-reciprocal devices with additional functionality (other than transmit/receive isolation). The goal of TA2O is therefore to develop chip-scale non-reciprocal devices and circuits based on the technology advancements made in TA2 that implement new functions beyond transmit/receive isolation. This option will also consider application-specific signal isolation demonstrations with well-defined metrics that are driven by a specific DoD application, and with goals that are significantly different than those specified for TA2 in the BAA. Of particular interest are circulators with insertion losses less than 1 dB and with power handling capabilities approaching 10 W. Proposers must define and justify the proposed device operation and specify relevant metrics associated with that type of functionality. TA2O is an optional task that can be selected by the Government during Phase III. Performance goals of the nonreciprocal component design pursued in TA2O must be submitted in the proposal. Devices with incremental deviations from the base TA2 capabilities are not of interest to TA2O.

5. Technical Area 3 – Technology Demonstration (Phase III Only)

Figure 6. Notional transceiver highlighting in orange area of interest for Technical Area 3

Technical Area 3 focuses on demonstrating a transceiver that can implement a STAR communications link with DoD relevant performance utilizing TA1 and TA2 devices (see Figure 6). While TA1 and TA2 will develop the RF technologies for the front-end of the STAR transceiver, it is expected that additional components will be required to realize a complete radio.

These additional components can make use of commercial off-the-shelf (COTS) components, systems, and parts of systems, preferably using existing radio systems that are augmented at the RF front-end with SPAR components to enable STAR capability. The end result will be a demonstration of the interference resistance of SPAR-enabled radios and a STAR link that doubles the amount of data communicated across a finite band of RF spectrum.

The TA3 proposal must be a part of a comprehensive proposal addressing all Technical Areas (TA1, TA2, and TA3) and their goals. Proposals must describe:

1) The operation of the STAR transceiver, and the characteristics of the over-the-air link between two STAR transceivers required for the TA3 demonstration.

2) The operating conditions and any applicable assumptions about the RF environment and the in-band and out-of-band interference expected.

3) Specific details, with justification, of the encoding scheme selected for the correlator/matched filter pair.

4) Assumed channel fading (frequency selective fading, multipath, Doppler effects) as appropriate to the selected operating environment (urban, short range versus line of sight, long range). This description must include an explanation of the resilience of the link to fading and the impact of range and signal obstructions for line of sight (LOS) and non-line of sight (NLOS) operations.

By the end of TA3 performers are required to attend a Government hosted testing event. The event will test the transceiver under real-world conditions. The test range will allow for rural and urban environments. Each system must adhere to the specifications listed below in Table 3. While proposers are encouraged to exceed the minimum goals specified in this table, approaches that trade one parameter for an outstanding improvement of one or more other parameters will be considered. Given that TA3 will not be addressed until Phase III of SPAR, it is acceptable to base the TA3 solution on Phase II results from TA1 and TA2 (although any use of the Phase III results from TA1 and TA2 are encouraged).

Table 3. Technical Area 3 Metrics

Metrics Phase III Minimum

Bidirectional Bit Rate (kbps in each direction) > 200

Transmitter Power (dBm) > 20

LOS Distance Between Transceiver Antennas (km) > 1

Range Under Additional NLOS Channel Environments Proposer Defined

Bit Error Rate* Proposer Defined

Sensitivity at Antenna Proposer Defined

D. Schedule/Milestones

Figure 7. SPAR schedule and milestones.

Specify if Error Correction is to be employed. Give rationale and description of the Error Correction model and specific implementation. If no Error Correction is intended, please state in the proposal.

The SPAR program contains three phases lasting a total of 39 months including the Phase III option for TA1 and TA2, as illustrated above in Figure 7. In addition to the explicit milestones listed in the above schedule, there will be:

technical reports and teleconferences every quarter, monthly financial reports, occasional interactions during the Phases, including possible site visits by Government staff, one kickoff meeting at the beginning of Phase I, one PI review at the end of every phase, and a field test opportunity at the end of Phase III for TA-3 performers.

E. Deliverables

Performers must provide all deliverables based upon the pursued TA and corresponding program phases. Proposers wishing to participate in more than one TA must fulfill all deliverable requirements for each TA.

1. TA1 and TA2 Deliverables

All performers for TA1 and/or TA2, including options to these TAs, must provide to the US Government upon the completion of each phase:

Reports covering, a) component lab test results, b) a description of the principles of operation of the SPAR component, and c) charts and explanations of how well the component meets, exceeds, or falls short of specified program goals (as described in this BAA and as established by the performer).

Upon request, delivery of CAD files of the components, including RTL, netlists, simulation files (e.g., MATLAB, ADS, SPICE, etc.), layout files, and mechanical drawings of the SPAR components.

Operational specifications and performance charts / tables of the SPAR components, including interface specifications and performance specifications as a function of nominal operating ranges (e.g., applied temperature, applied bias voltages, etc.).

2. TA3 Deliverables

The performers will provide for the US Government a full demonstration of their STAR communications system at a designated US Government facility. Specific test plans and the necessary equipment to carry out such tests will be determined jointly between the US Government and performers during the course of TA3. Deliverables will be those listed in TA1 and TA2 above, plus:

A description of the principles of operation of the STAR system, and the intended CONOPS in which the STAR system would be used.

A description of the channel models applied and performance data resulting from operation of the system over a variety of signal propagation scenarios that represent intended

CONOPS.

A listing of all SPAR and COTS components making up the STAR system including CAD drawings showing how the components of TA1 and TA2 are integrated into the STAR system.

Reports on performer lab tests of the STAR system, including performance of the system over a range of operating conditions (temperature, applied bias voltages, etc.).

Performers may, but will not be required, to deliver working hardware that is developed under

TA3.

F. Government Furnished Equipment/Property/Information

Not applicable.

G. Intellectual Property

Any use of proposer-defined intellectual property (patents, proprietary information, etc.) should be clearly marked as such within the proposal. Include all proprietary claims to the results, prototypes, intellectual property, or systems supporting and/or necessary for the use of the research, results, and/or prototype. If there are no proprietary claims, this should be stated. For forms to be completed regarding intellectual property, see Section VIII.

II. Award Information

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

The Government reserves the right to select for negotiation all, some, one, or none of the proposals received in response to this solicitation, and to make awards without discussions with proposers.

The Government also reserves the right to conduct discussions if it is later determined to be necessary. If warranted, portions of resulting awards may be segregated into pre-priced options.

Additionally, DARPA reserves the right to accept proposals in their entirety or to select only portions of proposals for award. In the event that DARPA desires to award only portions of a proposal, negotiations may be opened with that proposer. The Government reserves the right to fund proposals in phases with options for continued work at the end of one or more of the phases.

Awards under this BAA will be made to proposers on the basis of the evaluation criteria listed below (see section labeled “Application Review Information,” Sec. V.), and program balance to provide overall value to the Government. The Government reserves the right to request any additional, necessary documentation once it makes the award instrument determination. Such additional information may include but is not limited to Representations and Certifications. The Government reserves the right to remove proposers from award consideration should the parties fail to reach agreement on award terms, conditions and cost/price within a reasonable time or the proposer fails to timely provide requested additional information. Proposals identified for negotiation may result in a procurement contract, grant, cooperative agreement, or other transaction, depending upon the nature of the work proposed, the required degree of interaction between parties, whether or not the research is classified as Fundamental Research, and other factors.

In all cases, the Government contracting officer shall have sole discretion to select award instrument type and to negotiate all instrument terms and conditions with selectees. Proposers are advised that if they propose grants or cooperative agreements, DARPA may select other award instruments, as it deems appropriate. DARPA will apply publication or other restrictions, as necessary, if it determines that the research resulting from the proposed effort will present a high likelihood of disclosing performance characteristics of military systems or manufacturing technologies that are unique and critical to defense. Any award resulting from such a determination will include a requirement for DARPA permission before publishing any information or results on the program. For more information on publication restrictions, see the section below on Fundamental Research.

Fundamental Research

It is DoD policy that the publication of products of fundamental research will remain unrestricted to the maximum extent possible. National Security Decision Directive (NSDD) 189 established the national policy for controlling the flow of scientific, technical, and engineering information produced in federally funded fundamental research at colleges, universities, and laboratories. The Directive defines fundamental research as follows:

'Fundamental research' means basic and applied research in science and engineering, the results of which ordinarily are published and shared broadly within the scientific community, as distinguished from proprietary research and from industrial development, design, production, and product utilization, the results of which ordinarily are restricted for proprietary or national security reasons.

As of the date of publication of this BAA, the Government expects that program goals as described herein may be met by proposers intending to perform fundamental research. The Government does not anticipate applying publication restrictions of any kind to individual awards for fundamental research that may result from this BAA. Notwithstanding this statement of expectation, the Government is not prohibited from considering and selecting research proposals that, while perhaps not qualifying as fundamental research under the foregoing definition, still meet the BAA criteria for submissions. If proposals are selected for award that offer other than a fundamental research solution, the Government will either work with the proposer to modify the proposed statement of work to bring the research back into line with fundamental research or else the proposer will agree to restrictions in order to receive an award.

Proposers should indicate in their proposal whether they believe the scope of the research included in their proposal is fundamental or not. While proposers should clearly explain the intended results of their research, the Government shall have sole discretion to select award instrument type and to negotiate all instrument terms and conditions with selectees. Appropriate clauses will be included in resultant awards for non-fundamental research to prescribe publication requirements and other restrictions, as appropriate.

For certain research projects, it may be possible that although the research being performed by the prime contractor is restricted research, a subawardee may be conducting 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…