HR001118S0053.pdf

HR001118S0053

Microsystems Technology Office Broad Agency Announcement

Atomic-Photonic Integration (A-PhI)

July 25, 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 and Schedule D. Technical Areas E. Program Metrics and Milestones F. Deliverables G. Government Furnished Property (GFP)

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. 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

b. Classified 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. Grant Abstract

10. Small Business Subcontracting Plan

11. Intellectual Property

a. For Procurement Contracts

b. For All Non-Procurement Contracts

12. Patents

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

14. 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 Grants or Cooperative Agreements:

b. For Proposers Requesting Contracts or Other Transaction Agreements

c. Classified Submission Information

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

5. Terms and Conditions

C. Reporting D. Electronic Systems

6. Wide Area Work Flow (WAWF)

7. 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

PART I: OVERVIEW INFORMATION

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

Funding Opportunity Title: Atomic-Photonic Integration (A-PhI) Announcement Type: Initial Announcement Funding Opportunity Number: HR001118S0053 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 25, 2018 o Proposers Day: August 1, 2018 o Abstract Due Date: August 16, 2018 o FAQ Submission Deadline: September 20, 2018 o Proposal Due Date: September 27, 2018 o Estimated period of performance start: March 2019

Concise description of the funding opportunity: The DARPA Microsystems Technology Office is soliciting research proposals for the development of a new class of atom-based systems utilizing integrated photonics and trapped atoms to enable high-performance, robust, portable clocks and gyroscopes.

Anticipated funding type: 6.1 and 6.2 Anticipated Funding Available for Award: No information will be provided to proposers.

Types of instruments that may be awarded: Procurement contract, grant, cooperative agreement or other transaction.

Agency contact:

o Dr. John Burke, Program Manager BAA Coordinator: HR001118S0053@darpa.mil

DARPA/MTO

ATTN: HR001118S0053

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/, 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 innovative proposals for: 1) the development of portable Photonic Integrated Circuits (PICs) to reduce the complexity of trapped-atom-based high-performance Position, Navigation, and Timing (PNT) devices; and 2) proving the feasibility and advancing the development of a trapped-atom gyroscope: a matter-wave analogue of the interferometric fiber-optic gyroscope. 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

Position, Navigation, and Timing (PNT) is a critical resource for all Department of Defense (DoD) missions, affecting areas such as communications, navigation, reconnaissance, and electronic warfare (EW). Typically, PNT needs are met using the Global Positioning System (GPS). However, GPS signals are vulnerable to a variety of disruption methodologies, and a backup to GPS is essential. Although in the absence of GPS, tactical-grade clocks and tactical-/navigation-grade Inertial Measurement Units (IMUs) can currently provide GPS-like accuracy for the short term, longer-term, GPS-independent strategies are required.

B. Program Description

The Atomic-Photonic Integration (A-PhI) program will develop trapped-atom based, high performance PNT devices and reduce the complexity of these atomic systems using PICs. These PICs will replace the optical assembly behind atomic physics devices, while still enabling the necessary trapping, cooling, manipulation, and interrogation of atoms.

Atomic systems are the basis for the most sensitive and accurate angle sensors1 and clocks demonstrated2,3,4. Among these atomic systems, those that use trapped atoms have the potential

1 Classical and Quantum Gravity 17 (12), 2385, 2000 http://www.fbo.gov/ http://www.grants.gov/ to be made portable while still maintaining their accuracy due to the atomic trap’s small size and the inherent isolation a trap offers an atomic system from the environment (especially from acceleration). Currently, these systems are large due to the complexity of the optical systems used to create the trap. Historical approaches to miniaturization of the hundreds to thousands of optical components present in these benchtop systems have relied on removing optical elements, miniaturizing the remaining elements, and then tightly integrating them in a small package.

Although this has led to more compact atomic clocks and gyroscopes, the resulting systems suffer from degraded performance and a heavy reliance on maintaining very tight optical alignment, causing both poor environmental robustness and poor tolerance to design errors. The current approach makes miniaturized atomic systems difficult to manufacture at a reasonable cost.

PICs have been the subject of many recent developments, demonstrating that they can replace optical systems with readily-manufacturable and low-cost chips that have none of the alignment sensitivity of conventional free-space optics. Such examples include on-chip optical frequency combs based on microresonators5, optical frequency synthesis6, novel and efficient on-/off- chip coupling7, wavelength demultiplexers8, and on-chip phased arrays for dynamic manipulation of light fields9.

A-PhI aims to demonstrate that compact PICs can replace the optical bench of conventional free space optics for high-performance trapped-atom gyroscopes and trapped-atom clocks without degrading the performance of the underlying physics package. A-PhI will also demonstrate proof-of-concept trapped atom gyroscopes, a matter-wave analogue of the interferometric fiber-optic gyroscope10. This will not only lead to an unprecedented reduction in system size, but will also generate an order of magnitude improvement in angular sensitivity and dynamic range over its free-space based predecessor. The optical bench of these gyroscopes must be amenable to being replaced with a PIC device in subsequent research.

A-PhI will demonstrate the most significant technical hurdle in the development of portable, high-performance, navigation-and-timing systems: the miniaturization of the optics of atomic systems without a decrease in performance. Subsequent work will be required to incorporate the necessary compact-and-robust lasers and electronics to achieve a high-performance, portable PNT system.

C. Program Structure and Schedule

A-PhI is a two phase (base 18 months, option 18 months), three year program, which includes both proof of concept and physics integration. Quantitative and progressive measurements, 2 Phys. Rev. Lett. 113, 260801, 2014.

3 Science 358 (6359), 90, 2017 4 Phys. Rev. A 89, 050501(R), 2014 5 Optics Letters 43(7), 1527, 2018 6 Nature 557, 81, 2018 7 Scientific Reports 7, 2019, 2017 8 ACS Photonics, 5, 301, 2018 9 Opt. Lett. 39, 4575, 2014; Opt. Lett. 42, 21, 2017; Optics Express 25, 2511, 2017 10 New J. Phys. 17 092002 2015; Phys. Rev. Lett. 99, 173201, 2007; Rev. Sci. Instrum. 88, 013102 2017; J Phys. B., 50, 6, 2017 milestones, and deliverables in each phase will assess progress towards achieving the final program objectives.

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

Technical Area One: Development of a photonic integrated clock prototype. Phase 1 will focus on the demonstration of PIC-based atom cooling and trapping, and the development of a low-phase-noise local oscillator. Phase 2 will focus on integration of the components (not including electronics and laser sources) and demonstration of robust clock performance.

Technical Area Two: Development of a trapped-atom gyroscope based on a Sagnac interferometer architecture. Phase 1 will focus on the development of the trapped-atom gyroscope architecture.

Phase 2 will focus on scaling the trapped-atom physics architecture to a larger enclosed area with greater contrast. A follow-on BAA is expected to be issued during Phase 2, which will focus on the translation of the developed trap architectures into a PIC format. The optical bench developed in Phase 2 must, therefore, be amenable to replacement with a PIC device.

DARPA expects to fund investigation of a variety of approaches in Phase 1 of the A-PhI program, and will continue funding the most promising candidate technologies in Phase 2. While entities may submit proposals to both TA1 and TA2, individual proposals may address either TA1 or TA2, but not both Technical Areas.

D. Technical Areas

Technical Area 1: Clock

This technical area will focus on translating known trap physics to a PIC-based architecture. This will require a PIC that delivers the cooling, trapping, and clock light (as well as any re-pump light, if required). This, in turn, requires advances in larger-area on-/off-chip couplers, as well as on-chip polarization control, to allow for proper trapping, manipulation, and interrogation of atomic states. In addition, a narrow-linewidth, on-chip oscillator at the clock frequency will need to be developed.

Phase 1: Base Period (18 months) Phase 1 will demonstrate PIC-based laser cooling and atom trapping in a configuration consistent with the clock operation proposed for Phase 2. The photonic interface’s characteristics (polarization, beam spatial mode, wavelengths, orientation, etc.) should be compatible with achieving the Phase 2 metrics. A critical development in Phase 1 will be the demonstration of an on-chip oscillator (clock laser) with very low phase-noise characteristics in the optical regime.

This includes the development of all the necessary components used to generate an accurate microwave output from the clock laser, which includes a fully-stabilized frequency comb.

Phase 1 requires demonstration of the following components of the physics package, but not necessarily together in a single package:

a. Laser cooling, trapping, and all necessary optical manipulation of the proposed clock, utilizing a photonic interface.

b. A clock laser oscillator.

c. Components necessary to generate stable microwaves from the above clock laser.

In Phase 1 the clock components are not required to be integrated and therefore the physics package can consist of all separated components that are representative of those to be integrated in subsequent phases. Power conditioning, control electronics, and laser systems are not included in the physics package. If the laser requires frequency narrowing external to the laser cavity, then the components required for the narrowing should be considered part of the A-PhI physics package. Although the development of a compact atomic clock is not a part of this solicitation, the goal of the program is to enable a system where all of the components are miniaturized.

Therefore the amenability of the proposed laser component to future miniaturization will be considered when evaluating the proposed solutions. Proposals should identify the lasers that will be used. At the conclusion of Phase 1: the contractor will present a detailed analysis, based on simulation and modeling, as well as Phase 1 test data, demonstrating that the technology is capable of achieving the Phase 2 program objectives. The analysis will detail the required laser intensity and frequency for each laser beam, as a function of time sequencing through the clock measurement cycle, and this should match the demonstrations on the components. The contractor will also measure the sensitivity of their oscillator with respect to acceleration, temperature, and vibration frequency.

Phase 2: Option (18 months) Phase 2 will develop a PIC-based trapped-atom clock with both atom cooling and trapping integrated with the optical oscillators on a PIC. The final demonstration will be of an integrated physics package that meets the Phase 2 program metrics. The physics package will be tested for performance and environmental stability at a government testing facility to be determined at a future date.

The Phase 2 physics package is composed of vacuum components (pumps, atomic sources, and vapor pressure control), magnetic shielding, electric and magnetic field sources for manipulating and trapping atoms or ions, temperature sensors and actuators, all frequency references including external cavities or length standards, frequency combs (TA1), non-linear photonics (e.g. second harmonic generation), detectors, optics (to be minimized), PICs to laser cool, trap and interrogate atoms, and the optical oscillator (clock laser).

The physics package does not include rack-mounted electronics, laser sources for cooling and trapping atoms, or controls for laser modulation. It is anticipated that the PIC will be connected to the rest of the components required for clock operation via a minimum of optical fibers and electrical connections.

Technical Area 2: Gyroscope

The focus of this technical area will be to develop the appropriate trapped-atom physics for a gyroscope. This will require the creation of an atom trapping architecture that enables a confined atomic Sagnac interferometer, an atomic analog to interferometric fiber-optic gyroscope. Success will require the advancement of atom trapping techniques and the study of detrimental loss sources and interactions. Once the atomic Sagnac interferometers are developed, the trapping architecture will be reproduced with PICs. The development of PICs to trap and interrogate atoms for gyroscope may be the subject of a future BAA and should not be proposed in response to the current solicitation

Phase 1: Base Period (18 months) Phase 1 will develop and demonstrate a trapped-atom interferometer capable of being scaled to the final program goals. It is expected that the proposers will characterize and improve the atom trap properties, such as atom lifetime, matter-wave coherence time, atom-trap orientation sensitivity, as well as both the size and power required to operate the trap. Successful transition into the option period will be contingent upon meeting the metrics of Phase 1 and showing a feasible path to achieving Phase 2 metrics, especially the scaling of the area enclosed and trap operation compatible with a PIC-architecture.

Phase 2: Option 1 (18 months) Phase 2 will develop and demonstrate trapped-atom interferometers that are consistent with a high-performance gyroscope. The enclosed area and atom trap properties will need to be improved.

Phase 3: For reference only – Not to be proposed It is anticipated that there will be a new solicitation published during Phase 2 to translate the gyroscope trap’s optical train into a PIC format. A proposer’s day will be held during which the performers who have advanced into TA2 Phase 2 will present their trap requirements to the research community for incorporation into proposals submitted to the new solicitation.

Phase 3 will develop and demonstrate an integrated physics package, comprising a PIC based atom-trap gyroscope, vacuum, components for thermal control, and any magnetic shielding. The physics package’s performance and environmental stability will be tested at a government testing facility to be determined at a future date. The Phase 3 metrics shown in Table 2 are intended as a guide for performance metrics during Phase 1 and 2 of TA2.

E. Program Metrics and Milestones

A-PhI program metrics are presented in Tables 1 and 2 for TA1 and TA2, respectively.

Additional notes below the tables provide detail describing the metrics. All proposals should provide compelling justification for their ability to meet each metric in the proposed technical area and describe, explicitly, how these metrics will be measured.

Table 1: A-PhI Technical Area 1 Program Metrics

TA1 Phase 1 Proof of Concept

Phase 2 Integrated Physics Notes

Demonstrations Photonics, source, oscillator Clock system

Volume ½ liter Sum of components

½ liter Physics package (1)

Max free-space optics 3 1 (2)

Power 10 W (sum of component inputs)

10 W (heat load in ½ liter) (3)

Frequency Instability σy(τ) < 1x10-14

0.01 s < τ < 10 s σy(τ) < 1x10-14/τ½

1 s < τ < 100,000 s (4)

Phase Noise (100 Hz offset from carrier)

L(f) < -20 dBc/Hz (optical carrier)

L(f) < -120 dBc/Hz (10 GHz carrier) (5)

Phase Noise (10 kHz offset from carrier)

L(f) < -60 dBc/Hz (optical carrier)

L(f) < -150 dBc/Hz (10 GHz carrier) (5)

Frequency Drift N/A < 10-16/month Single-Frequency Output - 10 MHz - 10 GHz (6)

Operating temperature

0 - 50 °C Oscillator measurement

0 - 50 °C <1x10-16 stability over 10 °C

(7)

Acceleration invariance

Measure oscillator performance under

1 g (3 tests: 0, 90, 180 degrees)

< 1x10-16

1 g (3 tests: 0, 90, 180 degrees)

(8)

Vibration

0.01 g2/Hz (10 Hz to 1000 Hz)

Measure induced phase noise of oscillator with vibration

<1x10-16

0.01 g2/Hz (10 Hz to 1000 Hz)

Magnetic Stability - < 1x10-16 /gauss

Table 2: A-PhI Technical Area 2 Program Metrics

Notes:

1) For TA1 Phase 1 and TA2 Phase 2, volume is the sum of the separated components, representative of those to be integrated in subsequent phases, in a laboratory (optical table) configuration. The TA1 Phase 2 and TA2 Phase 3 volume is a parallelepiped contains the entire integrated physics package. The integrated physics package includes vacuum components and vacuum controllers, atomic source vapor pressure control, detectors, frequency combs, the oscillator (clock laser), laser frequency narrowing cavities, the PIC interface for cooling and trapping atoms, thermal control, and shielding.

This does not include rack-mounted electronics, the laser sources for cooling and trapping atoms, or the laser modulation controls.

2) The ultimate vision of the program is a fully-planar and fabricatable atomic system. As such, free-space optics are defined as:

TA2 Phase 1 Proof-of-concept

Phase 2 Gyro Scaling

Phase 3 Integrated Gyro Notes

Demonstrations Atom Interferometer Gyro Operation A-PhI Gyro

System Volume - ½ liter (sum of components) ½ liter (1)

Max free-space optics - - 1 (2)

Power 10 W

(trap and laser power)

10 W (sum of components)

10 W (heat load in ½ Liter) (3)

Sagnac Area 10 mm2

@ 10 % contrast 100 mm2

@ 80 % contrast - (9)

Bias Stability - - <1 µdeg/hr Allan Deviation, 𝛔, of phase, 𝜑, or rate, 𝛺 𝛔𝜑 <100 mrad*s½ for 1-3600 s 𝛔𝜑 < 30 mrad*s½ for 1-3600 s 𝛔𝛺 <1 µdeg/hr½ for 1-3600 s (10)

Scale Factor (SFS) or Phase repeatability

100 mrads 2/24/2 hr on/off/on

10 mrads 2/24/2 hr on/off/on 1 ppb (SFS) (10,11)

Range of Operation - - 10 deg/s any orientation

Acceleration invariance 10° tip over test

1 mrad (3 tests: 0°, 90°, 180°)

<1 µdeg/hr 1 g any direction (8,12)

Temperature Stability - 10 ppb/°C of interferometer area 0 - 50 °C

<1 µdeg/hr over 10 °C (13)

Mechanical Vibration -measurement

0.01 g2/Hz (10 Hz to 1000 Hz)

0.01 g2/Hz (10 Hz to 1000 Hz)

Magnetic field stability - - <1 µdeg/hr for 1 gauss

a. Discrete optical elements, which convert an unguided, free-propagating spatial mode of light to another free-propagating spatial mode;

i. Examples include, but are not limited to: lenses, mirrors, prisms, and polarizers.

b. Thin, planar-fabricated optics (e.g. meta-material lenses, micro-lens arrays, and gratings) may be excluded if they are easily integrable and significantly lower both the cost and complexity of the design.

The following are considered acceptable exceptions:

c. Optics used exclusively for diagnostic purposes and that are not required to meet the program metrics.

3) The power is the sum of all optical and electrical power (current times voltage) input to the physics package to enable clock or gyroscope operation.

4) The frequency instability in Phase 1 is that of the oscillator: the oscillator should support clock operation consistent with the Phase 2 metrics and, therefore, the performance should be consistent with the loop time of the atom in the proposed clock configuration.

The Phase 2 frequency instability is the output of the integrated physics clock.

5) The phase-noise spectrum of the oscillator should be consistent with the required Allan deviation of the clock. The Phase 1 metric is at an optical carrier, consistent with clock operation. The Phase 2 phase noise is measured at a down-converted 10 GHz carrier.

6) Single-frequency output is to be within the range given here. It is not expected to be tunable.

7) The operating temperature is specific to the oscillator in Phase 1 and includes the physics package in Phase 2. It is expected that the oscillator performance will be measured over the specified temperature range and an oscillator temperature coefficient (tempco) will be determined.

8) One test is in typical orientation with a vertical axis pointing along the gravity vector.

The second test would have the previously vertical axis, now pointing horizontally (90 degrees), and the third test would have the first vertical axis pointing upside down (180 degrees from the vertical). For TA1 Phase 1, the measurement is only on the oscillator.

9) The area enclosed is the effective area of the interferometer, not necessarily the physical area, in which multiple traversals of the trap or high-momentum beam splitting may be used to attain the metric. For example: an interferometric fiber-optic gyroscope may use multiple turns of fiber to increase the effective area enclosed, or a ring laser gyro may use a high-finesse cavity to increase the effective area enclosed.

10) Performers are expected to deliver an Allan deviation of the interferometer’s phase in Phases 1 and 2. In Phase 3 performers will be expected to deliver an Allan deviation of the angle change.

11) For Phase 1 and 2, performers are expected to measure the phase repeatability, or phase retrace, of the atom interferometer while operating the system for 2 hours, then turning all systems off for 24 hours, followed by operation of all systems for another 2 hours.

12) Tip over test is measured as the deflection from a gravity-aligned vertical axis, and the measurement should detail and explain the interferometer response.

13) In Phase 1 the temperature coefficient for the interferometer area needs to be measured, while in Phase 2 the temperature coefficient needs to meet the metric listed.

F. Deliverables

All performers shall deliver monthly financial and technical reports. All performers shall prepare and submit briefing materials and participate in monthly technical reviews, either via telecon or at the contractor’s site at the discretion of DARPA. Note: items provided to the Government for independent testing will be returned to the performer if requested. All performers shall travel to, and support, semi-annual program-wide reviews at locations TBD in the continental U.S.

G. Government Furnished Property (GFP)

No GFP is explicitly offered as part of the BAA. If GFP is requested, it should be identified in the proposal, along with source description and need-by date.

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, 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.

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 OT to the participant, or a recognized successor in interest to the OT.

In all cases, the Government contracting officer shall have sole discretion to select award instrument type, regardless of instrument type proposed, and to negotiate all instrument terms and conditions with selectees. 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.

B. 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 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 and proposers not intending to perform fundamental research or the proposed research may present a high likelihood of disclosing performance characteristics of military systems or manufacturing technologies that are unique and critical to defense. Based on the nature of the performer and the nature of the work, the Government anticipates that some awards will include restrictions on the resultant research that will require the awardee to seek DARPA permission before publishing any information or results relative to the program.

Proposers should indicate in their proposal whether they believe the scope of the research included in their proposal is fundamental or not. While proposers should clearly explain the intended results of their research, the Government shall have sole discretion to select award instrument type and to negotiate all instrument terms and conditions with selectees. Appropriate http://www.darpa.mil/work-with-us/contract-management#OtherTransactions http://www.darpa.mil/work-with-us/contract-management#OtherTransactions clauses will be included in resultant awards for non-fundamental research to prescribe publication requirements and other restrictions, as appropriate. This clause can be found at http://www.darpa.mil/work-with-us/additional-baa.

For certain research projects, it may be possible that although the research being performed by the awardee is restricted research, a subawardee may be conducting fundamental research. In those cases, it is the awardee’s responsibility to explain in their proposal why its subawardee’s effort is fundamental research

III. Eligibility Information

A. Eligible Applicants

All responsible sources capable of satisfying the Government's needs may submit a proposal that shall be considered by DARPA.

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

a) FFRDCs

FFRDCs are subject to applicable direct competition limitations and cannot propose to this BAA in any capacity unless they meet the following conditions: (1) FFRDCs must clearly demonstrate that the proposed work is not otherwise available from the private sector. (2) FFRDCs must provide a letter on official letterhead from their sponsoring organization citing the specific authority establishing their eligibility to propose to Government solicitations and compete with industry, and their compliance with the associated FFRDC sponsor agreement’s terms and conditions. This information is required for FFRDCs proposing to be awardees or subawardees.

b) Government Entities

Government Entities (e.g., Government/National laboratories, military educational institutions, etc.) are subject to applicable direct competition limitations. Government entities must clearly demonstrate that the work is not otherwise available from the private sector and provide written documentation citing the specific statutory authority and contractual authority, if relevant, establishing their ability to propose to Government solicitations.

c) Authority and Eligibility

At the present time, DARPA does not consider 15 U.S.C. § 3710a to be sufficient legal authority to show eligibility. While 10 U.S.C.§ 2539b may be the appropriate statutory starting point for some entities, specific supporting regulatory guidance, together with evidence of agency approval, will still be required to fully establish eligibility. DARPA will consider FFRDC and Government entity eligibility submissions on a case-by-case basis; however, the burden to prove eligibility for all team members rests solely with the proposer.

http://www.darpa.mil/work-with-us/additional-baa

(1) Non-U.S. organizations and/or individuals may participate to the extent that such participants comply with any necessary nondisclosure agreements, security regulations, export control laws, and other governing statutes applicable under the circumstances.

B. Organizational Conflicts of Interest

FAR 9.5 Requirements In accordance with FAR 9.5, proposers are required to identify and disclose all facts relevant to potential OCIs involving the proposer’s organization and any proposed team member (subawardee, consultant). Under this Section, the proposer is responsible for providing this disclosure with each proposal submitted to the BAA. The disclosure must include the proposer’s, and as applicable, proposed team member’s OCI mitigation plan. The OCI mitigation plan must include a description of the actions the proposer has taken, or intends to take, to prevent the existence of conflicting roles that might bias the proposer’s judgment and to prevent the proposer from having unfair competitive advantage. The OCI mitigation plan will specifically discuss the disclosed OCI in the context of each of the OCI limitations outlined in FAR 9.505-1 through FAR 9.505-4.

Agency Supplemental OCI Policy In addition, DARPA has a supplemental OCI policy that prohibits contractors/performers from concurrently providing Scientific Engineering Technical Assistance (SETA), Advisory and Assistance Services (A&AS) or similar support services and being a technical performer.

Therefore, as part of the FAR 9.5 disclosure requirement above, a proposer must affirm whether the proposer or any proposed team member (subawardee, consultant) is providing SETA, A&AS, or similar support to any DARPA office(s) under: (a) a current award or subaward; or (b) a past award or subaward that ended within one calendar year prior to the proposal’s submission date.

If SETA, A&AS, or similar support is being or was provided to any DARPA office(s), the proposal must include:

The name of the DARPA office receiving the support;

The prime contract number;

Identification of proposed team member (subawardee, consultant) providing the support; and An OCI mitigation plan in accordance with FAR 9.5.

Government Procedures In accordance with FAR 9.503, 9.504 and 9.506, the Government will evaluate OCI mitigation plans to avoid, neutralize or mitigate potential OCI issues before award and to determine whether it is in the Government’s interest to grant a waiver. The Government will only evaluate OCI mitigation plans for proposals that are determined selectable under the BAA evaluation criteria and funding availability.

The Government may require proposers to provide additional information to assist the Government in evaluating the proposer’s OCI mitigation plan.

If the Government determines that a proposer failed to fully disclose an OCI; or failed to provide the affirmation of DARPA support as described above; or failed to reasonably provide additional information requested by the Government to assist in evaluating the proposer’s OCI mitigation plan, the Government may reject the proposal and withdraw it from consideration for award.

C. Other Eligibility Criteria

1. Collaborative Efforts

Collaborative efforts/teaming are encouraged.

IV. Application and Submission Information

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.

A. Address to Request Application Package

This announcement, any attachments, and any references to external websites herein constitute the total solicitation. If proposers cannot access the referenced material posted in the announcement found at www.darpa.mil, contact the administrative contact listed herein.

B. Content and Form of Application Submission

1. Abstract Format

Abstracts should follow the format described below in this section. The cover sheet should be clearly marked “ABSTRACT” and the total length of Section II should not exceed 8 pages. All pages shall be printed on 8-1/2 by 11 inch paper with type not smaller than 12 point. Smaller font may be used for figures, tables and charts. The page limitation for abstracts includes all figures, tables, and charts. No formal transmittal letter is required. All abstracts must be written in English.

Section I. Administrative

A. Cover sheet to include:

(1) BAA number (HR001118S0053);

(2) Technical area(s);

(3) Lead Organization submitting abstract;

(4) Type of organization, selected among the following categories:

Large Organization, Small Disadvantaged Organization, Other Small Organization, HBCU, MI, Other Educational, Other Nonprofit;

(5) Proposer’s internal reference number (if any);

(6) Other team members (if applicable) and type of organization for each;

http://www.darpa.mil/

(7) Proposal title;

(8) Technical point of contact to include:

Salutation, last name, first name, street address, city, state, zip code (+4), telephone, fax (if available), electronic mail;

(9) Administrative point of contact to include:

Salutation, last name, first name, street address, city, state, zip code (+4), telephone, fax (if available), electronic mail;

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

(11) Date proposal abstract was submitted.

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

Section II. Abstract Details

A. Innovative Claims Summary of innovative claims for the proposed research. This section is the centerpiece of the abstract and should succinctly describe the uniqueness and benefits of the proposed approach relative to the current state-of-art alternate approaches.

B. Technical Approach Technical rationale, technical approach, and constructive plan for accomplishment of technical goals in support of innovative claims and deliverable production.

C. Deliverables Deliverables associated with the proposed research and the plans and capability to accomplish technology transition and commercialization. Include in this section all proprietary claims to the results, prototypes, intellectual property, or systems supporting and/or necessary for the use of the research, results, and/or prototype. If there are no proprietary claims, this should be stated. For forms to be completed regarding intellectual property, see Section IV.B.11. There will be no page limit for the listed forms.

D. Other Research General discussion of other research in this area.

E. Cost and Schedule Provide a cost estimate for resources (e.g. labor, materials) and any subcontractors over the proposed timeline of the project, broken down by Government fiscal year.

F. Capabilities/Management Plan A clearly defined organization chart for the program team which includes, as applicable: (1) the programmatic relationship of team member; (2) the unique capabilities of team members;

(3) the task of responsibilities of team members; (4) the teaming strategy among the team members; and (5) the key personnel along with the amount of effort to be expended by each person during each year.

2. Full Proposal Format

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

Volume I – Technical and Management Proposal (3 sections), and Volume II – Cost Proposal (4 sections). The submission of other supporting materials along with the proposals is strongly discouraged and will not be considered for review. All pages shall be printed on 8-1/2 by 11 inch paper with type not smaller than 12 point. Smaller font may be used for figures, tables and charts. The page limitation for full proposals includes all figures, tables, and charts. Section II of Volume I, Technical and Management Proposal, shall not exceed 35 pages. There is no page limit for Volume II, Cost Proposal. All full proposals must be written in English. Separate proposals must be submitted for each TA proposed.

A summary slide of the proposed effort, in PowerPoint format, should be submitted with the proposal. A template slide is provided as Attachment 2 to the BAA. Submit this PowerPoint file in addition to Volumes I and II of your full proposal. This summary slide does not count towards the total page count.

a. Volume I, Technical and Management Proposal

Section I. Administrative

A. Cover sheet to include:

(1) BAA number (HR001118S0053);

(2) Technical area(s);

(3) Lead Organization submitting proposal;

(4) Type of organization, selected among the following categories:

Large Organization, Small Disadvantaged Organization, Other Small Organization, HBCU, MI, Other Educational, Other Nonprofit;

(5) Proposer’s internal reference number (if any);

(6) Other team members (if applicable) and type of organization for each;

(7) Proposal title;

(8) Technical point of contact to include:

Salutation, last name, first name, street address, city, state, zip code (+4), telephone, fax (if available), electronic mail;

(9) Administrative point of contact to include:

Salutation, last name, first name, street address, city, state, zip code (+4), telephone, fax (if available), electronic mail;

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

(11) Date proposal was submitted.

B. Official transmittal letter.

The transmittal letter should identify the BAA number, the proposal by name, and the proposal reference number (if any), and should be signed by an individual who is authorized to submit proposals to the Government.

Section II. Detailed Proposal Information

A. Statement of Work (SOW) In plain English, clearly define the technical tasks/subtasks to be performed, their durations, and dependencies among them. The page length for the SOW will be dependent on the amount of the effort. The SOW must not include proprietary information. For each task/subtask, provide:

1. A general description of the objective (for each defined task/activity);

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

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

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

5. Define all deliverables (reporting, data, reports, software, etc.) to be provided to the Government in support of the proposed research tasks/activities; AND

6. Clearly identify any tasks/subtasks (prime or subcontracted) that will be accomplished on-campus at a university, if applicable.

Note: Each Phase of the program must be separately defined in the SOW. Include a SOW for each subcontractor and/or consultant in the Cost Proposal Volume. Do not include any proprietary information in the SOW(s).

B. Results and Technology Transfer Description of the results, products, transferable technology, and expected technology transfer. This should also address mitigation of life-cycle and sustainment risks associated with transitioning intellectual property for U.S. military applications, if applicable. See also Section IV.B.11, “Intellectual Property.”

C. Technical Approach This section is the centerpiece of the proposal and should succinctly summarize the innovative claims for the proposed research and clearly describe the proposed approach without using any jargon. This section should demonstrate that the proposer has a clear understanding of the state-of-the-art and should provide sufficient justification for the feasibility of the proposed approach(es). This section should include a detailed technical rationale, technical approach, and constructive plan for accomplishment of technical goals in support of innovative claims and deliverable creation. For example: proposed laser systems must be amenable to replacement with a PIC device.

D. Risk Analysis and Mitigation Plan Identify the major technical and programmatic risks in the program. Include a risk matrix.

For each risk, assign a probability of occurrence on a scale of 1-10, where 10 indicates a high likelihood that the risk will impact program success, as well as an assessment of impact, also on a scale of 1-10, where 10 indicates that this risk would maximally limit the program from delivering prototypes on schedule or meeting performance objectives. For each item with total risk (likelihood × impact) exceeding 40, include a plan for mitigating the risk and assessing risk reduction.

E. Ongoing Research Comparison with other ongoing research indicating advantages and disadvantages of the proposed effort.

F. Proposer Accomplishments Discussion of proposer’s previous accomplishments and work in closely related research areas. The proposal should describe relevant experience and cite evidence such as publications, patents, and/or products/systems.

G. Facilities Description of the facilities that would be used for the proposed effort.

H. Teaming Description of the formal teaming agreements, which are required to execute this program.

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

J. Management and Key Personnel A management plan providing detailed information regarding how the team will be formed and managed in order to execute the proposed program plan. An organization chart for the proposed effort shall be included. Identify and provide brief biographies for key personnel who will contribute to the proposed effort and the level of effort for each.

Section III. Additional Information

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

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

All proposers, including FFRDCs, must submit the following:

Section I. Administrative

Cover sheet to include:

(1) BAA number (HR001118S0053);

(2) Technical area(s);

(3) Lead Organization submitting proposal;

(4) Type of organization, selected among the following categories:

Large Organization, Small Disadvantaged Organization, Other Small Organization, HBCU, MI, Other Educational, Other Nonprofit;

(5) Proposer’s internal reference number (if any);

(6) Other team members (if applicable) and type of organization for each;

(7) Proposal title;

(8) Technical point of contact to include:

Salutation, last name, first name, street address, city, state, zip code (+4), telephone, fax (if available), electronic mail (if available);

(9) Administrative point of contact to include:

Salutation, last name, first name, street address, city, state, zip code (+4), telephone, fax (if available), and electronic mail (if available);

(10) Award instrument requested:

Cost-Plus-Fixed Fee (CPFF), Cost-contract—no fee, cost sharing contract—no fee, or other type of procurement contract (specify), Grant, Cooperative Agreement, or Other Transaction;

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

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

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

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

(15) Date proposal was prepared;

(16) DUNS number;

(17) TIN number;

(18) CAGE Code;

(19) Subcontractor Information;

(20) Proposal validity period (120 days is recommended); AND

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

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