HR001118S0048_Amendment1_Final_for_Posting_13AUG2018.pdf

HR001118S0048

Microsystems Technology Office Broad Agency Announcement

SHort-Range Independent Microrobotic Platforms (SHRIMP)

HR001118S0048

July 13, 2018

AMENDMENT 1

As amended on August 13, 2018

Table of Contents

PART I: OVERVIEW INFORMATION

PART II: FULL TEXT OF ANNOUNCEMENT

I. Funding Opportunity Description A. Background B. Program Description C. Program Structure D. Technical Areas E. Schedule/Milestones F. Deliverables G. Intellectual Property

II. Award Information A. General Award Information B. Fundamental Research

III. Eligibility Information A. Eligible Applicants

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

B. Organizational Conflicts of Interest C. Cost Sharing/Matching D. Associate Contractor Agreement Clause E. Other Eligibility Criteria

1. Collaborative Efforts IV. Application and Submission Information

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

1. Abstract Format

2. Full Proposal Format

3. Proprietary Information

4. Security Information

a. Unclassified Submissions

5. Disclosure of Information and Compliance with Safeguarding Covered Defense

Information Controls

6. Human Research Subjects/Animal Use

7. Approved Cost Accounting System Documentation

8. Section 508 of the Rehabilitation Act (29 U.S.C. § 749d)/FAR 39.2

9. Small Business Subcontracting Plan

10. Intellectual Property

a. For Procurement Contracts

b. For All Non-Procurement Contracts

11. Patents

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

13. Funding Restrictions

C. Submission Information

1. Submission Dates and Times

a. Abstract Due Date

b. Full Proposal Date

c. Frequently Asked Questions (FAQ)

2. Abstract Submission Information

3. Proposal Submission Information

a. For Proposers Requesting Contracts or Other Transaction Agreements

4. Other Submission Requirements

V. Application Review Information A. Evaluation Criteria

1. Overall Scientific and Technical Merit

2. Potential Contribution and Relevance to the DARPA Mission

3. Cost Realism

B. Review and Selection Process

1. Review Process

2. Handling of Source Selection Information

3. Federal Awardee Performance and Integrity Information (FAPIIS)

VI. Award Administration Information A. Selection Notices

1. Abstracts

2. Proposals

B. Administrative and National Policy Requirements

1. Meeting and Travel Requirements

2. FAR and DFARS Clauses

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

4. Representations and Certifications

C. Reporting D. Electronic Systems

1. Wide Area Work Flow (WAWF)

2. i-Edison

VII. Agency Contacts VIII. Other Information

A. Proposers Day B. Protesting

ATTACHMENT 1: Cost Volume Proposer Checklist ATTACHMENT 2: Proposal Summary Slide Template ATTACHMENT 3: Controlled Unclassified Information Guide

PART I: OVERVIEW INFORMATION

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

Funding Opportunity Title: SHort-Range Independent Microrobotic Platforms

(SHRIMP)

Announcement Type: Initial Announcement Funding Opportunity Number: HR001118S0048 Catalog of Federal Domestic Assistance Numbers (CFDA): 12.910 Research and

Technology Development Dates: (All times listed herein are Eastern Time) o Posting Date: July 13, 2018 o Proposers Day: July 17, 2018 o Abstract Due Date : Aug 10, 2018 o FAQ Submission Deadline: Sep 12, 2018 o Proposal Due Date: Sep 26, 2018 o Estimated period of performance start: March 2019

Concise description of the funding opportunity: DARPA/MTO seeks innovative proposals for the development of micro-to-milli (insect scale) robotic technologies.

SHRIMP will develop and demonstrate, through a series of Olympic-themed competitions, multi-functional mm-to-cm scale robotic platforms with a focus on untethered mobility, maneuverability, and dexterity. To achieve this goal, SHRIMP will also provide foundational research in the area of micro-actuator materials and energy efficient power systems for extremely SWaP-constrained microrobotic systems. It is expected that such advances will be enabling for applications including search and rescue, disaster relief, hazardous environment inspection, in-flight control of aerodynamic platforms, steerable optics, and prosthetics.

Anticipated Funding Available for Award: DARPA anticipates $32M of total funding will be awarded across all technical areas, approximately partitioned as follows:

o $9-$12M for Technical Area 1 (TA1), three phases, 36 months, 6.1 funding;

o $4-$6M for Technical Area 2 (TA2), three phases, 36 months, 6.1 funding;

o $10-$14M for Technical Area 3 (TA 3), three phases, 36 months, 6.2 funding.

Anticipated individual awards: DARPA anticipates multiple awards within each technical area.

Types of instruments that may be awarded: Procurement contract or other transaction Agency contact:

o Dr. Ronald Polcawich, Program Manager BAA Coordinator: HR001118S0048@darpa.mil

DARPA/MTO

ATTN: HR001118S0048

675 North Randolph Street Arlington, VA 22203-2114 mailto:name@darpa.mil

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 the procedures under Federal Acquisition Regulation (FAR) 6.102(d)(2) and 35.016 and 2 C.F.R. § 200.203. Any negotiations and/or awards will use procedures under FAR 15.4, Contract Pricing. Proposals received as a result of this BAA shall be evaluated in accordance with evaluation criteria specified herein through a scientific review process.

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

The Microsystems Technology Office at DARPA seeks innovative proposals in the following areas of interest: actuator materials and actuator mechanism development; integrated multi-mode power solutions for both storage and high voltage conversion; and untethered, multifunctional micro-to-milli robotic platforms. Proposed research should investigate innovative approaches that enable revolutionary advances in science, devices, or systems. Specifically excluded is research that primarily results in evolutionary improvements to the existing state of practice.

A. Background

Micro-to-milli (i.e. insect scale) robotic research has benefited tremendously from prior technological advances in microelectromechanical systems (MEMS) and specific technologies for building small robots, such as additive manufacturing, piezoelectric actuators, and low power sensors. However, as yet, there are no complete micro- or milli-robotic systems with the ability to perform complex tasks proficiently. Moreover, the vast majority of micro- and milli-robots today rely on tethers (physical, optical, magnetic, or RF) to supply power, control, and processing which limits their usability in real-world applications.

SHRIMP aims to develop and demonstrate, through a series of Olympic-themed competitions, multi-functional mm-to-cm scale robotic platforms. To achieve this goal, SHRIMP will also develop fundamental actuator and power components to facilitate advances in these platforms. The objective is to realize short range micro-to-milli robotic platforms capable of performing complex tasks for disaster and emergency relief activities, as well as inspection of hazardous environments that are inaccessible to larger robotic platforms. As a guide to drive the innovations in these platforms, aspects of the National Institute of Standards and Technology (NIST) first responder robotics test facility1 have been adapted for micro-to-milli robots. The key drivers are mobility, manipulation, improvements of actuator materials and mechanisms, power storage/endurance and

1 https://www.nist.gov/programs-projects/emergency-response-robots https://www.nist.gov/laboratories/tools-instruments/robotics-test-facility https://www.youtube.com/watch?v=iyEWJszoqZU&feature=youtu.be http://www.fbo.gov/ https://www.nist.gov/programs-projects/emergency-response-robots https://www.nist.gov/laboratories/tools-instruments/robotics-test-facility https://www.youtube.com/watch?v=iyEWJszoqZU&feature=youtu.be conversion circuitry, and platform engineering for extreme size, weight, and power (SWaP) minimization.

Actuator technologies for micro-to-milli-robotics must prioritize force generation, efficiency, strength-to-weight ratio, and maximum work density. Strength-to-weight ratio of the actuator is important to influence both the load-bearing capability of a micro-robotic platform as well as its endurance. In such a platform, the design of actuator materials and mechanisms must balance strength-to-weight ratio with actuation force, displacement capability, power conversion efficiency, and actuator bandwidth (DC up to maximum operating frequency) among other design constraints. Dexterity and the accurate control of actuator mechanisms is paramount to an eventual micro-to-milli-robotic platform’s ability to perform complex tasks in the field. In the design of an actuator material and mechanism, dexterity and acute positioning are required to finely control the amount of force and actuation stroke over a wide range of possible tasks. Maximum work density is an actuator mechanism metric that describes a mechanism’s capacity to do work relative to its physical volume. Such a metric directly characterizes the capability of an actuator mechanism to perform high intensity tasks and/or operate over a desired mission duration. This program will seek to go beyond recent research to enable state-of-the-art actuator materials and mechanisms.

Advancements in power storage devices and power conversion circuitry are essential for enabling micro-to-milli-robotic platforms that can perform complex operations. The SHRIMP program seeks to enable independent micro-to-milli-robotic platforms without power, control, or processing supplied by a tether, so compact power sources are a key element for a successful program. Power conversion circuitry is a vital program need for high-voltage actuation mechanisms. Voltages in the range 0.05 to 3 kV are required to enable the mobility and maneuverability of micro-to-milli robots using current approaches such as electrostatics, piezoelectrics, and electroactive polymers.

For maximum capability and mission duration of SHRIMPs, the power converters supplying these voltages must be able to operate at frequencies of 10’s Hz with exceptional efficiency. Higher frequency operation will enable rapid, repetitive movements for tasks such as ambulation, while high efficiency will reduce battery drain for such tasks. The operational bandwidth for the high voltage conversion must be properly matched with the bandwidth of the actuator technology.

Additionally, the small size of the envisioned platforms requires advances in high energy density and high specific energy battery technologies to coincide with the power conversion tasks. Pushing both energy density and specific energy to higher performance in very compact form factors will enable a robotic platform to perform complex tasks over a desired mission duration.

The current state of insect scale robotics has focused primarily on mobility, with limited additional functionality due to constraints imposed by energy-inefficient actuation and limited energy storage at this scale. Thus, such robots tend to be simple, possess limited intelligence, and lack the power, navigation, actuation, and control to accomplish tasks beyond moving. Insect scale robots’ structural design is constrained or enabled by the actuator system, the materials, and the fabrication methods used to build the robot. While a number of new manufacturing methods are now available (e.g. shape deposition manufacturing, smart composite microstructures, etc.) that enable new designs that traditional machining and nuts-and-bolts assembly could not produce, engineering for extreme SWAP minimization is a diverse task that must take into account the actuator and power areas described above along with mechanical, electrical, and thermal considerations required of designing a highly-functional microsystem. Furthermore, adding functions to these platforms to extend their usability is of utmost importance in order to bring the field beyond science and closer to value-add applications. Tasks associated with maneuverability, dexterity, manipulation, and other tasks highlighted by the NIST first responder test facility are important as indicators of what may be possible with insect scale platforms. The SHRIMP program intends to expand on these earlier efforts to usher in the next generation of highly-competent micro-to-milli robots.

B. Program Description

SHRIMP will be divided into three separate Technical Areas (TAs). TA1 focuses on actuator materials and mechanism foundational research and development to increase actuation force and transduction efficiency. Approaches should develop underpinning actuator technologies to enable highly mobile and maneuverable micro-to-milli robots and be extendable to reconfigurable surfaces, steerable optics, and embedded mechanical gimbals. Topics of interest include advances in high force materials, high transduction efficiency materials, and innovative actuator mechanisms. TA1 actuator developments should be traceable to combination with a TA2 power source for untethered demonstration of actuator systems by the end of the combined TA1 and TA2 Phase 3.

TA2 focuses on foundational research and development to extend the range of voltages and total amount of energy available to micro-to-milli actuators. Approaches should develop underpinning technologies that enable sustained mission power for actuators in highly mobile and maneuverable micro-to-milli robots and be extendable to reconfigurable surfaces, steerable optics, and embedded mechanical gimbals. Topics of interest include approaches to compact high voltage power converters, battery types and materials, and novel battery packaging techniques all at the micro-to-millimeter scale. TA2 power converter and storage developments should be traceable to combination with a TA1 actuator mechanism for untethered demonstration of actuator systems by the end of the combined TA1 and TA2 Phase 3.

It is intended that the entirety of TA1 and TA2 will be open, fundamental research. However, combination of TA1 and TA2 technologies in Phase 3 of the program could produce platforms that will be considered Controlled Unclassified Information (CUI) if certain combinations of capabilities are realized. For further information about aspects of the SHRIMP program that will be considered CUI, please see Attachment 3 to this BAA titled “Controlled Unclassified Information Guide.” This document will also be included in all awards against HR001118S0048.

TA3 will demonstrate multi-functional micro-to-milli scale robotic platforms with a focus on untethered mobility, maneuverability, and dexterity. Efforts within TA3 will progress from tethered platforms to untethered platforms with pre-programmed functionality at end of the Phase

3. TA3 may include Controlled Unclassified Information (CUI) or more specifically Controlled Technical Information (CTI) or may be deemed as export-controlled. Access would be restricted to TA3 technologies that could have military or space application (per DFARS 252.204-7012).

Proper measures to handle, store, process, and transmit CUI may be required. It may become necessary to protect the final design of a full system or a breakthrough technological advance leading up to a full system. The entirety of the design of the fully functioning system is not information approved to be in the open domain. Further details are presented in Attachment 3

“Controlled Unclassified Information Guide.” This document will also be included in all awards against HR001118S0048.

The proposal of technologies that are not traceable to untethered, integrated operation at micro-to-milli scale by the end of the program, as well as hybrid robotic systems (e.g. insect-machine hybrids and biological platforms), will be considered non-responsive to this BAA.

C. Program Structure

All technical areas will have a 12-month base period of performance (Phase 1) followed by two 12-month option periods (Phases 2 and 3, respectively), subject to availability of funds (see graphic below). Teams executing work in Technical Area 1 during Phases 1 and 2 of the program will be paired with teams executing work in Technical Area 2 during Phases 1 and 2 of the program through Associate Contractor Agreements (ACAs). Final team pairing will be provided by DARPA and initiated after the mid-point review of the Phase 2 effort. However, if partnerships that show a high probability of Phase 3 success occur naturally, DARPA will take them into consideration. The combined teams will work together to create integrated entries with actuator mechanisms and power systems to compete in the open micro Olympic-themed competitions.

Performance of more than one competition per entry is encouraged, but teams will be allowed to build separate entries for each competition. Preference will be given to those individual entries capable of competing in more than one competition. Judging of the competitions will be performed by DARPA. First, entries will be checked to ensure that volume and weight metrics are satisfied.

Next, individual competitions will be judged and scored. Entries will be ranked according to their results with non-monetary award certificates given to the top three entries (e.g. gold, silver, bronze) within each competition. An overall non-monetary award certificate will be also be presented to the team with the best cumulative performance across all competitions. Target program milestones and Olympic-themed competition metrics are detailed in Section I.D below. Teams participating within TA1 and TA2 are highly encouraged to engage with TA3 performers so as to facilitate the transition of those technologies that may enhance performance of the TA3 platforms. These relationships will be facilitated through ACAs.

TA3 will also operate in 3 phases of 12-months per phase culminating in a Controlled Unclassified Information (CUI) Olympic-themed competition at which access will be controlled. Performance of more than one competition per entry is encouraged, but teams will be allowed to build separate entries for each competition. Preference will be given to those entries capable of competing in more than one competition. Prior to Phase 2, traceability to performance of Olympic-style competition will be emphasized. As part of Phase 2 of this TA, teams will be evaluated on their progress towards the Phase 3 Olympic-style competition through the requirement to perform at least one competition in at least a tethered configuration. The CUI Olympic-style competitions will be scored in a similar manner to the open Olympic-style competitions, and multi-competition participation for each entry will be prioritized. Teams participating within TA3 are highly encouraged to monitor and evaluate the maturity of the technologies being developed in TA1 and

TA2 so as to take advantage of those technologies that may enhance performance of the platforms.

These relationships will be facilitated through ACAs.

For phase transitions between Phase 1 and option Phase 2 and from option Phase 2 to option Phase 3, all teams should plan for phase transition information to be required at the 10.5 month mark of the given phase. Program reviews will be scheduled accordingly to facilitate transfer of information to inform the transition decision process and execute extensions in a timely manner.

D. Technical Areas

Technical Area 1: Actuator Materials and Actuator Mechanism Development The goal of SHRIMP’s TA1 is to develop advanced actuator materials and actuator mechanisms that are able to realize maximum work densities (work output capability per unit volume) of 1 J/cm3 or greater at the system level with traceability to Phase 3 untethered performance using a power source of similar volume and mass. As a comparison, human muscle is able to produce peak work densities of 0.04 J/cm3. Material advancements in piezoelectrics, dielectric elastomers, and conducting actuators have resulted in peak work densities of up to ~1 J/cm3 at the material level.

The phased milestones for TA1 are listed below and progress from material metrics (Phase 1) to actuator mechanisms (Phase 2) and finally to an integrated actuator system (Phase 3). Within Phase 1 of the program, advances in materials are expected to result in significant improvements in the force displacement characteristics that can be evaluated with fairly simple structures (e.g.

cantilevers). DARPA anticipates approaches that enable higher levels of materials integration (e.g.

techniques that mimic the hierarchical characteristics of human muscle) may be desirable to result in improvements in the force displacement characteristics. As teams progress from Phase 1 to Phase 2, the focus will shift to actuator mechanisms that will ultimately enable the objectives in the combined TA1/TA2 Olympic-themed competitions. The proposed mechanism description should include specific details of the overall approach (e.g. the use of joints, gearing, etc.) and how it will result in successful performance in Phase 3. For the envisioned Olympic-style competitions in Phase 3, positional control of the mechanism can be extremely important. As such, both static and dynamic displacements along with positional accuracy should be provided. A proposed approach that relies on any sort of mechanical transmission to convert force and displacement and/or velocity/frequencies must clearly describe how the mechanism will interface with the actuator and external loads/structures. Approaches that capture and store energy that may be released in an impulse event are allowable. However, to ensure that the frequency of operation is relevant to the power solutions of TA2, actuator frequencies should be able to operate at frequencies greater than 20 Hz. Furthermore, the electrical properties (namely impedance) for the proposed actuator technology should be provided so as to ensure proper matching with the appropriate power system from TA2. Teams are required to provide in their proposal a user defined actuator mechanism metric(s) to go along with the program defined metrics. These user defined metrics should provide a comprehensive and quantitative description of the approach and the end goal within a given phase. For example, if a motor actuator is chosen, then values of torque generated and power conversion efficiency should be added as metrics. Proposals must describe in detail the technical approach at every level necessary to get from the materials related efforts in Phase 1 through the mechanism development in Phase 2 and to the competitions in Phase 3. These actuator mechanisms should be able to withstand high and low temperatures, high and low humidity, and dust/dirt/mud to avoid fouling during operation.

DARPA SHRIMP TA1 Metric Table Metric Phase 1 – Actuator Materials Phase 2 – Actuator Mechanism

Volume 1 cm3 * 2 cm3 ** Weight 2 g * 1 g **

Largest dimension N/A < 2 cm Operating frequency N/A < 500 kHz

Performance Force-displacement > 10-7 Nm * Work density > 1 J/cm3 ** User Defined

Actuator Mechanism Metric

N/A User defined

TA1 will be combined with TA2 for Phase 3. Phase 3 has separate, combined metrics.

* Demonstrated using actuator material system only ** Demonstrated using actuator material plus mechanism

For teams participating in TA1, input energy for actuation must be accounted for so that an integrated TA1 and TA2 solution is viable within Phase 3 of the program. In general a low voltage actuation solution would be preferred as it lessens the burden for the TA2 components resulting in higher performance in the combined Phase 3 of the program. Furthermore, tethers are allowed within Phases 1 and 2 of TA1 so technologies that require extremely high voltages, bulk magnets, and optical/wireless power transfer may prove to be successful within these early phases. However, these solutions would require a description of a viable path for untethered operation within the joint TA1 and TA2 Phase 3 of the program.

Technical Area 2: Integrated Multi-Mode Power Solutions Integrated micro power systems are a critical component for powering untethered micro-to-milli scale robots. Certain types of actuators require drive voltages between 0.05-3 kV, and platforms utilizing these devices have been limited by the efficiency of high-voltage up-conversion in compact form factors commensurate with the actuator volumes. A second challenge domain is enabling stable, long duration operation of the actuator systems with power systems capable of delivering 100’s of mW for times in excess of one hour, all within a volume commensurate with the volume of the actuator and actuator mechanisms. Therefore, Technical Area 2 will have two tracks: Track A will investigate integrated power systems capable of delivering high voltages to actuators, and Track B will investigate small, high-energy-density batteries that will provide multi-hour mission capabilities:

Track A: Integrated Power Systems - Current investigations into micro-actuators have been limited by the power converters’ ability to generate high voltages (e.g. 0.05 to 3kV) in a compact form factor commensurate with the actuator volumes. Both efficiency and high-voltage breakdown limit the performance of such power converters. Solutions are warranted for compact, energy efficient power converters. Current converter efficiency ranges from 30~60% as defined by ½CoVo

2f/ViIi (where Co is output capacitance, Vo is the output voltage, f is the operating frequency, Vi is the input voltage, and Ii is the input current). Track A aims at developing high voltage power sources (0.05 to 3kV) to drive micro-to-milli scale actuators such as MEMS electrostatic actuators, piezoelectric actuators, and dielectric elastomer actuators (DEA). It is a significant challenge to generate the necessary high actuation voltage for each of these types of actuators for micro-to-milli scale applications powered by low voltage micro batteries. In addition to the up conversion voltage, the efficiency of the conversion is important especially when considering approaches that may rely on thermal time constant, joule heating and convective heat transfer. To ensure the frequency of operation is relevant to the envisioned actuators of TA1, the high voltage converter should be able to operate at relevant frequencies and with an appropriate bandwidth (DC to operating frequency) for small scale robotics. Note, in the case of resonant transformers, the resonance frequency of the transformer does not have to match the operational frequency of the high voltage output.

Track B: Batteries - To enable stable, long duration operation of the actuator systems, micro power systems are required to deliver 100s of mW for times in excess of an hour within a volume commensurate with the volume of the actuator mechanisms from TA1. With charging options expected to be at a minimum, it is anticipated that the focus of this track will be on high power and high energy battery solutions with voltage outputs ranging from 1.2 to 3.7V. Higher voltage output is desirable as long as the battery is capable of meeting the rest of the program metrics.

Rechargeable battery chemistries are not excluded as long as they can meet the power and energy densities in the TA2 metric table. Current lithium ion battery (LiB) and lithium polymer (LiPo) technologies at mm scale have high power density but limited energy density. On the other hand, commercial Zn-Air batteries have higher energy densities but have a limited power density or discharge rate primarily limited by slow oxygen diffusion. The main challenges are the sluggish rates of the oxygen‐reduction reaction (ORR) which govern the discharging processes of the battery. These may be improved by using oxygen electrocatalysts. Balancing the challenges within each type of battery will be crucial to meeting the desired program metrics.

The reliability of the desired micro power sources will be affected by packaging, thermal cycling, depth of discharge, and variable load profiles. Innovative packaging that enables high energy density while meeting the mission life is desired. Standalone power sources are allowed to have minimum packaging in achieving the specified high energy densities. Additionally, the batteries should demonstrate the ability to achieve 1 year or longer shelf-life at the end of Phase 2, and this can be done with the battery stored inside hermetic packaging. The micro power sources could be achieved by directly printing onto the actuator mechanism or integrating into 3D MEMS structures or platforms. For these types of structural or integrated battery approaches, the energy density numbers can be based on the active electrodes only and must be able to demonstrate that the structural architecture (seal plus active materials) can meet the specified mission life. Proposers must demonstrate the capability to reliably fabricate the battery on complex surfaces and shapes after the fabrication of the structural member.

The TA2 metric table shown below lists the Phase 1 and Phase 2 goals. The dimensions of the power source (batteries) are a critical design feature i.e., a very thin (less than 5 mm) power source is desirable from a platform/system architecture viewpoint. Proposers should discuss achievable peak instantaneous power with an emphasis on achieving up to 600mW. These micro power sources should be able to operate across the range of at least room temperature to 60°C, high and low humidity, dust/dirt/mud, etc. during the limited mission life as shown in the TA2 metric table below. Furthermore, details should be provided as to the intended or optimal load impedance for the power systems. This information can be described as performance over a range of electrical loads. For batteries, the cells can be activated once the hermetic packaging is opened.

DARPA SHRIMP TA2 Metric Table Metric Phase 1 Phase 2

Volume <0.333 cm

<0.188 cm

Length 1 cm 0.7 cmB ot h tra ck s

Weight 1 g 0.5 g Delivered Average

Power 100 mW 100 mW

Voltage 0.05 - 3 kV 0.05 - 3 kV Frequency > 20 Hz > 40 Hz Duty Cycle 50% 50%Tr ac k

A : I nt

Po w er S ys te m

Duration of Power > 60 s > 300 s

Height < 10 mm < 5 mm

Delivered Power 200 mW 200 mW

Duration of Power > 2.5 hr > 1.5 hr Specific Energy

Density 500 W-hr/kg 600 W-hr/kg

Volumetric Energy Density 1500 W-hr/L 1600 W-hr/L

Tr ac k B

B at te ry

Operating Temp Room Temp 60°C TA2 will be combined with TA1 for Phase 3. Phase 3 has separate, combined metrics.

Note that TA2 proposers can choose to propose to either Track A: Integrated Power Systems, Track B: Battery, or both. For teams participating in TA2, the coupling between Tracks A and B should be considered. For example, the battery efforts of TA2 should be able to provide the necessary power for the high voltage up conversion within Track A.

TA1 and TA2 Phase 3: Olympic-Themed Competitions TA1 and TA2 performers will need to form teams and produce combined, untethered actuator-power systems to compete in the Phase 3 Olympic-themed competitions. Note that in this phase, magnetic, optical, or wireless tethers are not allowed unless they are counted against the weight/size limitations (i.e. the submitted systems must be self-contained). Multiple actuator-power system configurations from a single team can be in different competitions, though higher rankings will be given to actuator-power systems that are able to compete in multiple competitions.

Detailed descriptions of each Olympic-themed competition will be disseminated at the end of Phase 2; however, for planning purposes notional competition descriptions are as follows:

High Jump: The microrobotic actuator-power system must propel itself vertically from a stationary starting position, with distance measured only in the vertical direction and survivability as the judging criteria. The average of three jumps will be used, though up to five attempts can be made. The power system can be recharged between jumps.

Long Jump: The microrobotic actuator-power system must propel itself horizontally from a stationary starting position, with the distance measured only in the horizontal direction and survivability as the judging criteria. The average of three jumps will be used, though up to five attempts can be made. The power system can be recharged between jumps.

Weightlifting: The microrobotic actuator-power system must lift a mass, with progressively larger masses until the actuator system fails to lift the weight. Vertical lift distance will be considered in the judging criteria. Time duration of the lift (target > 300s) will also be considered in the judging criteria as a means of measuring endurance of the combined actuator system. The power system can be recharged between lifts.

Shotput: The microrobotic actuator-power system must propel a mass horizontally, with the distance measured only in the horizontal direction as the judging criteria. Both 1-gram and 5-gram masses must be attempted. The average of three attempts will be used, though up to five attempts can be made. The power system can be recharged between attempts.

Tug of War: The microrobotic actuator-power system will be connected to a load cell to measure the blocking force of the actuator mechanism. Time duration of the tug (target > 300s) will also be considered in the judging criteria. The average of three attempts will be used, though up to five attempts can be made. The power system can be recharged between attempts.

DARPA SHRIMP COMBINED TA1 and TA2 Phase 3 Open Micro-Olympics Metric Table

Metric/Olympic Competition Phase 3

Volume 1 cm3 ‡ Weight 1 g ‡

High Jump > 5 cm Long Jump > 5 cm

Weightlifting > 10 g 1 g @ 10 cm

Shotput 5 g @ 2 cm

Tug of War > 25 mN ‡ Combined TA1 actuator and TA2 power source

Note: A remote signal will be allowed to initiate motion for the competitions and will not be considered a tether.

A remote signal is not required to initiate motion if another method is preferable.

Technical Area 3: Untethered Mobility Platforms (CUI) Technical Area 3 will develop and demonstrate, through a series of Olympic-themed competitions, multi-functional mm-to-cm scale robotic platforms. To date, these demonstrations have focused primarily on mobility, with limited additional functionality due to constraints imposed by energy-inefficient actuation and limited energy storage at this scale. One measure of the efficiency of mobility in robotic platforms is the cost of transport (COT), defined as: , where 𝐶𝑂𝑇 =

𝐸 𝑚𝑔𝑑 =

𝑃 𝑚𝑔𝑣

E is the energy input to the system, m is the mass of the system, d is the traversed distance, g is standard gravity, and v is constant velocity of motion. As an example, the COT of a cockroach is 16 at a velocity of 10 cm/s whereas micro-to-milli robots will have values ranging from single digits (tethered) to over 100 (untethered). Improvements to high efficiency actuator technologies, compact energy-efficient power systems, and high energy density storage for tetherless motion, control, and state estimation will all result in a lower COT for micro-to-milli robotic platforms.

The goal in the SHRIMP program is demonstration of an untethered microrobot with COT < 50, as well as actuator and power technologies that will enable further reductions. Proposers should include user defined metrics to assess individual component(s) performance and how these trace to the overall COT for the system. These user defined metrics should provide a comprehensive and quantitative description of the approach and the end goals within a given phase. These advances will make more resources available for mobility, maneuverability, and dexterity, and ultimately lead to greater capabilities in DoD systems.

TA3 is focused on developing untethered robotics platforms with volume less than 1 cm3 and a longest dimension less than 1 cm. These platforms must consist of a micro power source, power converters, actuation mechanism and mechanical transmission and structural elements, computational control, sensors for stability and control, and any necessary sensors and actuators required to improve the maneuverability and dexterity of the platforms. TA3 teams are encouraged to take advantage of existing developments in low power sensor developments along with advanced CMOS ASIC capabilities and focus on integrating advancements in actuation and energy efficient power systems to create robotic platforms demonstrating key functions such as obstacle avoidance, maneuverability, and dexterity in a series of CUI level Olympic-themed competitions.

TA3 execution risks are dominated by the current limitations of actuators and power systems. To limit the burden of computation and control, pre-programmed operation of SHRIMPs will be encouraged where less complex PID-style control loops can be utilized for maneuverability and SHRIMP operation. For example, the course layout and obstacle locations will be given to each team prior to the competition so that they can pre-program the robot’s course of action over the intended course.

TA3 teams will be evaluated on their progress towards Phase 3 Olympic-style competition capability in Phase 2 through the requirement to perform in at least one competition in an untethered configuration. Multiple competitions and untethered operation is preferred. Phase 1 will focus the teams on size reduction (~2x for a ground mobile platform over current state-of-the-art), component integration, and basic mobility of their platforms. With mobility a focus early within TA3, the positional accuracy of the of the actuator mechanisms is important. Teams are encouraged to provide details on their approach to yield high resolution (10’s μm), accuracy, and repeatability.

Tethering will be allowed in Phase 1 and as a result COT will be computed for both the as tethered platform and the projected untethered performance. Prior to Phase 2, traceability to performance of Olympic-style competitions will be emphasized. Phase 2 will push the teams to an untethered demonstration of one of the Phase 3 CUI level Olympic-style competitions. At the conclusion of Phase 3, the teams will compete in the Olympic-themed competitions, and they will be scored similarly to the open TA1/TA2 competitions.

Teams may use a single microrobot to compete in all competitions and/or separate robots for each competition. However, preference will be given to those robots that are capable of competing in more than one competition. Detailed descriptions of each CUI level Olympic-themed competition will be disseminated at the end of Phase 2; however, for planning purposes notional CUI level competition descriptions are as follows:

Rock Piling: For each attempt, the microrobot must travel to, lift, and stack weights (varying from 0.5 to 2.0 g) in a minimum of two layers without human interaction or recharge between lifts. The total number of weights stacked is the judging criteria. Up to three attempts can be made for a given set of weights and the microrobot can be recharged between attempts.

Steeplechase: Competing teams will be given precise locations and types of obstacles (e.g.

hurdle, gap, step, etc.) relative to the starting location. For each attempt, the microrobot must traverse the course without human interaction or recharge between each obstacle. The number of cleared obstacles and total distance will be used as the judging criteria. Up to three attempts can be made and the microrobot can be recharged between attempts.

Biathlon: Competing teams will be given the choice between three beacon types (temperature, light, or sound) or they may choose to use all 3 types of beacons. For each attempt, the microrobot must traverse to a series of beacon waypoints to create an open circuit without human interaction or recharge between each waypoint. The number of cleared waypoints and total distance will be used as the judging criteria. Up to three attempts can be made and the microrobot can be recharged between attempts.

Vertical Ascent: Microrobots will traverse up two surfaces, one with a shallow incline (10º) and the other with a sharp incline (80º). The total vertical distance traveled will be the judging criteria. Up to three attempts can be made and the microrobot can be recharged between attempts.

Note for all competitions, all attempts will begin atop a smooth (e.g. tabletop) surface.

After successful completion of a competition on the smooth surface, platforms will be given an opportunity to compete further in the same competition where the surface roughness has changed significantly. For planning purposes, proposers shall assume that the surface will progress in appreciable surface roughness (e.g. roofing shingle, tree bark, stuccoed siding, etc.) after successful completion of a competition with a specified surface roughness type.

DARPA SHRIMP TA3 Metric Table Metric Phase 1 Phase 2 Phase 3

Largest dimension 2 cm † 1 cm †† 1 cm ††† Weight 2 g † 1 g †† 1 g †††

Duration of Mobility 300 s † 180 s †† 180 s †††

Cost of Transport < 100 † < 50 †† < 50 ††† Number of

Competitions

- 1 †† 4 †††

User Defined System Metric(s)

User defined User defined User defined

† Tethered demonstration †† Untethered demonstration ††† Pre-programmed demonstration

DARPA SHRIMP TA3 Phase 3 ITAR/EAR Micro-Olympic-Themed Metrics Table Olympic-Themed

Competition Objective

Rock Piling 2 g, 2 layers Steeplechase 2 obstacles, 5m

Biathlon 2 sensors, 80% POD*, 5m Vertical Ascent 10 m @ 10°, 1 m @ 80° POD = Probability of Detection Note: A remote signal will be allowed to initiate motion for the competitions and will not be considered a tether. A remote signal is not required to initiate motion if another method is preferable.

Proposers can submit to one or more Technical Areas. Note, it is expected that TA3 will have access restrictions, so proposers to TA3 must be able to operate and be compliant with any CUI (i.e. export control) requirements for the duration of the SHRIMP program.

E. Schedule/Milestones

All technical areas will have a 12-month base period of performance (Phase 1) followed by two 12-month option periods (Phases 2 and 3, respectively), subject to availability of funds. At the end of Phase 2, TA1 and TA2 performers will be teamed together to produce demonstration prototypes capable of competing in the Phase 3 Olympic-themed competitions. All teams should plan for phase transition information to be required at the 10.5 month mark of the given phase (Phase 1 and Phase 2). Program reviews will be scheduled accordingly to facilitate transfer of information to inform the transition decision process so as to execute transition extensions in a timely manner.

Proposals must adequately provide measurable, quantitative milestones at the conclusion of each phase. All proposals should provide a technical rationale for the proposed program milestones and a clear trajectory to achieving overall program goals stated below.

Scheduled program milestones:

Phase 1 (NTE 12 months) Phase 2 (NTE 12 months) Phase 3 (NTE 12 months)

TA1

Successful demonstration of actuator materials achieving the metrics set forth in the TA1 metric table in Section I.D.

No CUI restrictions

Successful demonstration of actuator mechanisms achieving the metrics set forth in the TA1 metric table in Section I.D.

No CUI restrictions

Using an Olympic-themed competition with competitions listed in the combined TA1 and TA2 metric table in Section I.D, teams will compete to showcase the capabilities of actuator systems using combinations of actuator

TA2

track

A

Successful demonstration of a compact, high voltage converter achieving the metrics set forth in the TA2 metric table in Section I.D.

No CUI restrictions

Successful demonstration of a compact, high voltage converter achieving the metrics set forth in the TA2 metric table in Section I.D.

No CUI restrictions

TA2

track B

Successful demonstration of a compact power source achieving the metrics set forth in and TA2 metric table in Section I.D.

No CUI restrictions

Successful demonstration of a compact power source achieving the metrics set forth in and TA2 metric table in Section I.D.

No CUI restrictions mechanisms and compact power sources.

It is envisioned that no CUI restrictions will be applicable to Phase 3 of TA1 and TA2. However, delivery of certain capabilities will trigger CUI restrictions. Please refer to the CUI guide attached to this BAA.

TA3

Successful demonstration of a tethered microrobotic platform achieving the metrics set forth in the TA3 metric table in Section I.D.

CUI restrictions apply

Successful demonstration of an untethered microrobotic platform achieving the metrics set forth in the TA3 metric table in Section I.D

CUI restrictions apply

Using an Olympic-themed competition with competitions listed in the TA3 Phase 3 metric table in Section I.D, teams will compete to showcase the capabilities of untethered, pre-programmed microrobotic platforms.

CUI restrictions apply

F. Deliverables

For TA1 and TA2, deliverables will include quarterly technical and financial reporting. Technical reports should include details on material processing, fabrication, component/mechanism design, and device data. The Phase 2 deliverables for both TA1 and TA2 will include functional prototypes for independent government evaluation. The combined TA1/TA2 Phase 3 will require delivery at the completion of Phase 3 of functional prototype actuator system(s), specifications, and operating instructions for each system competing in the Olympic-themed competitions. Technical reports should capture integration approach, specifications, and power/weight/efficiency/cost breakdown for each of the entries into the Phase 3 competitions. Final program reports should capture all key aspects of the program and include all pertinent material, design, simulation, and experimental data.

For TA3, deliverables will include quarterly technical and financial reporting. All reports should capture key elements for the platforms including but not limited to mass (m), power output (P), and efficiency (). For Phase 1 and Phase 2, the technical reports will include detailed robot configuration and specifications. For Phase 3, deliverables will include quarterly technical and financial reports and include, at the completion of Phase 3, a functional prototype, specifications, operating instructions, and power/weight/cost breakdown for each platform competing in the Olympic-themed competitions.

G. Intellectual Property

Proposers should provide a good faith representation that they either own or possess appropriate licensing rights to all other intellectual property that will be utilized under their proposal for the DARPA program. Additionally, proposers shall provide a short summary for each item asserted with less than unlimited rights that describes the nature of the restriction and the intended use of the intellectual property in the conduct of the proposed research. See also Section IV.B.10, “Intellectual Property.”

II. Award Information

A. General 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, as applicable.

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 (see Section VI.B.4., “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, 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.

Proposers looking for innovative, commercial-like contractual arrangements are encouraged to consider requesting Other Transactions. To understand the flexibility and options associated with Other Transactions, consult http://www.darpa.mil/work-with-us/contract-management#OtherTransactions.

In accordance with 10 U.S.C. § 2371b(f), the Government may award a follow-on production contract or Other Transaction (OT) for any OT awarded under this BAA if: (1) that participant in the OT, or a recognized successor in interest to the OT, successfully completed the entire prototype project provided for in the OT, as modified; and (2) the OT provides for the award of a follow-on production contract or…