HR001119S0018-Amendment-04.pdf

HR001119S0018

Microsystems Technology Office Broad Agency Announcement (BAA)

Electronics Resurgence Initiative:

Defense Applications (ERI:DA)

HR001119S0018

January 29, 2019

Amendment 4 As amended on June 4, 2019

The purpose of Amendment 4 is to close the BAA for all submissions on Friday, June 14, 2019. Proposers should be warned that any new abstracts will no longer be encouraged for full proposal submission due to BAA closing.

Foreword

In June 2017, the Defense Advanced Research Projects Agency (DARPA) announced the Electronics Resurgence Initiative (ERI), a five-year, upwards of $1.5B investment in the future of domestic, U.S. Government (USG), and Department of Defense (DoD) electronic systems.

ERI recognizes and addresses long-foreseen obstacles to Moore’s Law – the transistor scaling trend that has allowed for 50 years of rapid progress in electronics. To address these issues, ERI kicked off a major investment that draws on the contributions of several ongoing DARPA programs and creates new, long-term technology investments. Through novel research and development (R&D) in semiconductor materials and integration, architectures, and designs, ERI programs will promote circuit specialization as a complement to transistor scaling. The success of these efforts will depend on constructively enmeshing the technology needs and capabilities of the defense enterprise with the commercial and manufacturing realities of the electronics industry.

The first annual ERI Summit, held in July 2018, featured four workshops designed to generate ideas for future ERI programs. Three key issues emerged from the workshop discussions: the need to support domestic manufacturing options and enable them to develop differentiated capabilities for diverse needs; a demand to invest in chip security; and a desire to create new connections between the various ERI programs and to demonstrate the resulting technologies in defense applications. ERI Phase II will build on the existing ERI programs to address these challenges, with the goal of supporting a domestic semiconductor manufacturing industry that can implement specialized circuits, demonstrate that those circuits can be trusted through the supply chain and are built with security in mind, and are ultimately available to both DoD and commercial sector users.

To create unique and differentiated domestic manufacturing capabilities, Phase II areas of exploration include the integration of photonics and radio frequency (RF) components directly into advanced circuits and semiconductor manufacturing processes. DARPA has announced the Photonics in the Package for Extreme Scalability (PIPES) and Technologies for Mixed-mode Ultra Scaled Integrated Circuits (T-MUSIC) programs within this area. To provide for trustable electronics components, potential Phase II areas of exploration include electronics that can enforce security and privacy protections as well as technologies to enable traceability for electronic components from design through to use. DARPA has announced the Guaranteed Architectures for Physical Security (GAPS) program within this area.

To explore emerging and future applications of ERI technologies in defense contexts, this ERI:

Defense Applications (ERI:DA) BAA will drive the development, demonstration, and application of ERI technologies for defense-specific systems. This BAA will further provide new opportunities to participate in ongoing ERI programs and increase the connections between the various ERI efforts, tying them to defense needs. Potential areas of exploration could include ERI applications in large-scale physical emulation, cognitive RF systems, next-generation satellites, cybersecurity, and beyond.

Together with the ongoing ERI programs, including the “ERI Page 3 Investments” announced in 2017, ERI Phase II is the next step in creating a more robust, secure, and heavily automated electronics industry. This industry will provide a foundational contribution both to U.S. national security and to the needs and ambitions of the commercial sector, with new capabilities emerging in the 2025 to 2030 timeframe. DARPA seeks to receive proposals from entities that can help to achieve this goal. For reference, an updated list of ERI programs, solicitations, and events is available via https://www.darpa.mil/work-with-us/electronics-resurgence-initiative.

https://www.darpa.mil/work-with-us/electronics-resurgence-initiative

Table of Contents

Foreword Table of Contents

PART I: OVERVIEW INFORMATION

PART II: FULL TEXT OF ANNOUNCEMENT

I. Funding Opportunity Description A. Background: The Electronic Resurgence Initiative B. ERI:DA Topic Areas and Structure C. Technical Area 1: Immediate Technology Development

1. Eligible ERI Programs

2. Phases, Milestones, and Deliverables

3. Abstracts

D. Technical Area 2: Partnering and Technology Development

1. Eligible ERI Programs

2. Phases, Milestones, and Deliverables

3. Abstracts

E. Technical Area 3: Collaboration Infrastructure

1. Eligible ERI Programs

2. Phases, Milestones, and Deliverables

3. Abstracts

F. Contracting and Proposal Options for Partnerships

1. Procurement (FAR/DFARS-based) Contracts

2. Other Transaction Agreements (OT)

3. Associate Contractor Agreements (ACA)

G. Additional Proposal Information 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. 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

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

11. Patents

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

13. Funding Restrictions

C. Submission Information

1. Submission Dates and Times

2. Abstract Submission Information

3. Proposal 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

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

PART I: OVERVIEW INFORMATION

Federal Agency Name: Defense Advanced Research Projects Agency (DARPA), Microsystems Technology Office (MTO) Funding Opportunity Title: Electronics Resurgence Initiative: Defense Applications

(ERI:DA)

Announcement Type: Initial Announcement Funding Opportunity Number: HR001119S0018 Catalog of Federal Domestic Assistance Numbers (CFDA): None.

Dates: (All times listed herein are Eastern Time) o Posting Date: January 29, 2019 o Proposers Day: Materials available online.

o Abstract Due Date: February 15, 2019. Abstracts received after this date may not receive a response in advance of the April 5, 2019 deadline for Round 1 proposals. Additional abstracts may be received until 1:00 PM on June 14, 2019;

however, no new proposals will be encouraged through this BAA in response.

o FAQ Submission Deadline: March 14, 2019 o Proposal Due Date: April 5, 2019. Additional proposals may be received until

1:00 PM on June 14, 2019.

o Estimated period of performance start: Approximately 120 days after proposal submission.

Concise description of the funding opportunity: DARPA is soliciting innovative proposals to develop, demonstrate, and apply emerging technologies developed under the Electronics Resurgence Initiative. Proposals should establish partnerships between defense transition partners and the academic and commercial sectors, or establish the infrastructure required for cross-sector partnerships, leading to direct and revolutionary impacts on Department of Defense (DoD) or national security capabilities. Proposals that demonstrate an established path to impacting existing or emerging programs of record are strongly preferred. An updated list of ERI programs, along with information on each, is maintained online at https://www.darpa.mil/work-with-us/electronics-resurgence-initiative.

Anticipated Funding Available for Award: The total anticipated funds available for this BAA is between $25 million and $50 million.

Anticipated individual awards: Multiple awards are anticipated.

Anticipated funding type: 6.3 Types of instruments that may be awarded: Procurement contract or other transaction.

Agency contact:

o Mr. Richard-Duane Chambers, Special Assistant to the Director for the Electronics Resurgence Initiative BAA Coordinator: HR001119S0018@darpa.mil

DARPA/MTO

ATTN: HR001119S0018

675 North Randolph Street Arlington, VA 22203-2114 https://www.darpa.mil/attachments/ERI-DAProposersDay_ConsolidatedSlides.pdf https://www.darpa.mil/work-with-us/electronics-resurgence-initiative 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 is soliciting innovative proposals to develop, demonstrate, collaborate on, and apply emerging electronics technologies, specifically technologies developed under the Electronics Resurgence Initiative (ERI), to directly impact national security. Proposals should investigate innovative approaches that enable revolutionary advances in DoD operations, capabilities, and/or systems or establish the infrastructure required for cross-sector partnerships. Proposals that demonstrate an established path to impacting existing or emerging programs of record are strongly preferred. Technology development proposals that primarily result in evolutionary improvements to the existing state of practice are specifically excluded from consideration.

To avoid proposals that duplicate existing activities or are responsive to other published MTO solicitations, potential bidders are highly encouraged to review current MTO programs and solicitations, respectively listed at http://www.darpa.mil/about-us/offices/mto and http://www.darpa.mil/work-with-us/opportunities. Contacting MTO program managers to discuss their research interests is also encouraged. A current list of program managers is available at http://www.darpa.mil/about-us/people.

http://www.darpa.mil/about-us/offices/mto http://www.darpa.mil/work-with-us/opportunities http://www.darpa.mil/about-us/people

A. Background: The Electronic Resurgence Initiative

In his seminal 1965 paper, Gordon Moore, one of the pioneers of the ongoing microelectronics revolution, famously predicted a trajectory of progress in which the transistor count of integrated circuits would double every two years while the cost per transistor would decrease1. This projection became known as Moore’s Law. It set the electronics industry on a quest for continued scaling for more than 50 years; those who mastered the technology enjoyed the greatest commercial benefits and the greatest gains in defense capabilities. However, it is clear that the design work and fabrication now required to keep pace is becoming increasingly difficult and expensive. The current trajectory of scaling has strained both the commercial and defense sectors, as much for economic as for technical reasons.

From a national security perspective, the dynamics that resulted from Moore’s observations and analysis have become increasingly challenging. The cost of system development has impacted DoD’s continued ability to ride the wave of technical progress in electronics and to create exceptionally high-performance systems. The rate of development of novel and unique electronics, based on advances in fundamental science and engineering research, has dwindled within DoD. The number of leading-edge manufacturing sites considered a part of the national security enterprise is diminishing, and the fundamental tie between national security and the health of the electronics industry is strained. Further, to manage the dynamics and economics of scaling, all major electronics entities have shifted their focus towards large-volume global supply chains. This has made it more difficult for DoD to leverage industry capabilities for the small-volume, high-performance technology that the defense sector needs.

To address these challenges, DARPA launched ERI with the goal of embracing the changes in Moore’s Law and more constructively enmeshing the technology needs and capabilities of the defense enterprise with commercial and manufacturing realities. ERI focuses on three thrusts:

The Materials and Integration Thrust asks whether the integration of unconventional materials can enhance conventional silicon circuits and continue the progress traditionally associated with scaling

The Architectures Thrust asks whether the electronics community can enjoy the benefits of specialized circuitry while still relying on general programming constructs through the proper software/hardware co-design

The Designs Thrust asks whether the electronics community can dramatically lower the barriers to modern system-on-chip design and unleash a new era of circuit and system specialization and innovation

As of December 2018, ERI consists of seventeen programs ranging from basic research into the foundations of microelectronics to advanced technology development and prototyping.

Information on each ERI program is maintained online at https://www.darpa.mil/work-with-us/electronics-resurgence-initiative. These programs create and strengthen indispensable

1 G. E. Moore, "Cramming more components onto integrated circuits, Reprinted from Electronics, volume 38, number 8, April 19, 1965, pp.114," in Proceedings of the IEEE, vol. 86, no. 1, pp. 82-85, Jan. 1998.

doi: 10.1109/JPROC.1998.658762 <https://doi.org/10.1109/JPROC.1998.658762> https://www.darpa.mil/work-with-us/electronics-resurgence-initiative partnerships between academia, the commercial sector, and the defense sector, aligning a wide range of performers to address the ERI thrusts and to deliver technologies with broad utility for both commercial and defense applications. There remain additional opportunities, however, to create connections between ERI programs and the defense sector, leading to revolutionary DoD applications and strengthening the necessary tie between the electronics industry and national security.

B. ERI:DA Topic Areas and Structure

DARPA programs are created with national security applications in mind. To accelerate the delivery of ERI-derived innovations to national security needs, ERI:DA will seek to demonstrate and apply emerging electronics technologies developed under a subset of eligible ERI Programs, as defined below. Proposed technology development or technology demonstration efforts should have the potential to dramatically alter and improve national defense operations, providing revolutionary capabilities for – rather than incremental improvements in – existing or proposed defense systems. Proposals that demonstrate an established path to impacting existing or emerging programs of record are strongly preferred. Areas of interest include, but are not limited to, the application of advanced electronics to autonomy/artificial intelligence, large-scale emulation, cybersecurity, space applications, cognitive electronic warfare, and other DoD modernization priorities.

ERI:DA pursues its objective via three technical areas (TAs), each of which should develop partnerships between the defense sector and the academic and commercial sectors:

Technical Area 1 will support the immediate development or demonstration of ERI technologies, for the purpose of enabling defense capabilities, via a partnership between one or more current ERI program performers and an organization with a demonstrated ability to deliver technologies to the U.S. national security community (hereafter a “defense transition partner”). TA1 proposals must identify the Eligible ERI Program, all partners, and a clearly defined path for implementation in a current or planned military system. Only a subset of ERI programs are eligible for consideration in this technical area.

Technical Area 2 will support efforts where the proposing defense transition partner has not yet established a relationship with a current ERI performer on an Eligible ERI Program. Efforts should lead to the future development or demonstration of ERI technologies via a partnership between defense transition partners and an ERI program performer. Phase 1 of TA2 will focus on identifying partnership relationships and developing a detailed plan to leverage ERI technology. Phase 2 of TA2 will focus on the development and demonstration of identified technologies. TA2 proposals must identify the Eligible ERI Program, technical approach, and a clearly defined defense capability.

Technical Area 3 will support the provision of infrastructure, to include facilities and personnel, for the purpose of enabling collaboration between defense transition partners, Government organizations, existing ERI performers, and other relevant science and technology organizations.

C. Technical Area 1: Immediate Technology Development

Technical Area 1 (TA1) aims to establish and enable partnerships between one or more current DARPA ERI program performers and an organization with a demonstrated capability to deliver technologies to DoD. The proposed partnership must advance demonstration or application, for national defense contexts, of technologies under development within an Eligible ERI Program.

Risk reduction activities that would allow for the ERI technology to be further developed for defense applications are eligible for funding under TA1. Incremental advances in defense capabilities are not of interest, nor are proposals to duplicate the research objectives of current ERI programs. Proposals should be submitted by the defense transition partner.

Proposals to TA1 must:

Identify an existing or planned ERI technology;

Identify a specific, revolutionary defense application that would benefit from the development and transition of the ERI technology and quantify its impact in an operational context;

Include a detailed proposal for the further development, demonstration, and transition of the technology to support an existing, emerging, or proposed DoD system or capability;

Verify an existing or planned relationship between the defense transition partner and the current ERI performer

1. Eligible ERI Programs

TA1 proposals should emphasize connections with performers in one or more of the subset of Eligible ERI Programs, described below. Information on current performers is available on the ERI website. ERI Phase II programs are explicitly ineligible for consideration.

Materials and Integration Thrust

The Compact Heterogeneous Integration and IP Reuse Strategies (CHIPS) program is an applied research effort to develop an ecosystem of discrete modular, reusable IP blocks that can be assembled into a system using existing and emerging integration technologies. The CHIPS program will develop the design tools and integration standards required to demonstrate modular integrated circuit designs that leverage the best of DoD and commercial designs and technologies. Applications of particular interest would enhance or leverage the CHIPS ecosystem for the development of defense-relevant electronic articles.

The Three-Dimensional Monolithic System on a Chip (3DSoC) program is a basic and applied research effort to develop the monolithic 3D technology required to build logic, memory, and I/O on a single die using a legacy lithography node while improving the performance by greater than 50X when compared with leading edge technology nodes.

The 3DSoC program will not only develop 3DSoC fabrication technology, but also develop the design flows required to take advantage of the capabilities of 3DSoC fabrication technology. The technology will enable dramatic improvement in the computational capability of the microelectronics driving key military capabilities.

Defense applications of particular interest include electronic warfare, image processing and tracking, and low-power electronics for memory-intensive applications such as machine learning.

The Foundations Required for Novel Compute (FRANC) program is a basic research effort to establish the proof of principle and demonstrate the benefits of beyond von Neumann compute architectures. Von Neumann architectures, which have helped pave a path for rapid progress in computing over the past seven decades, have become performance-constrained due to the time and power required to move data between the memory components that store data and the processors that act on data. Defense transition opportunities of interest include but are not limited to: image and signal processing; image and object recognition using machine learning and AI; radar tracking and backprojection algorithms in size, weight, and power (SWaP)-restricted mobile platforms; graph processing; and fault-tolerant stochastic computing.

Designs Thrust

The Circuit Realization at Faster Timescales (CRAFT) program is a basic and applied research effort to shorten the design cycle for custom integrated circuits to months rather than years; devise design frameworks that can be readily recast when next-generation fabrication plants come on line; and create a repository of innovations so that methods, documentation, and intellectual property can be repurposed, rather than reinvented, with each design and fabrication cycle. Proposals to leverage the CRAFT design framework to meet national security needs are welcome.

The Intelligent Design of Electronic Assets (IDEA) program is a basic and applied research effort to create a “no human in the loop” layout generator that enables users with no electronic design expertise to complete the physical design of electronic hardware within 24 hours. Defense transition opportunities of interest include a broad range of defense applications potentially enabled by the design of super-specialized generated ASICs that are not practical with humans in the design and layout loop. Proposals to use a repository of IDEA data to improve defense-specific circuit designs, potentially by leveraging machine learning, are also welcome.

The Posh Open Source Hardware (POSH) program is an applied research effort to create an open source design and verification ecosystem for the cost-effective design of ultra-complex SoCs, to include hardware assurance technology required for signoff-quality validation. Defense transition opportunities of interest include the creation of complete open source System-On-Chips for embedded computing that can be formally verified to be secure. Proposals to leverage POSH verification tools for vulnerability analysis and patching of existing or planned defense systems are also welcome.

Architectures Thrust

The Software Defined Hardware (SDH) program is a basic and applied research effort to build runtime-reconfigurable hardware and software that enables near application-specific integrated circuit (ASIC) performance without sacrificing programmability or requiring an application specific implementation for data-intensive algorithms. If successful, SDH will result in the ability to develop and run data-intensive, data-exploitation algorithms at very low cost. Defense transition opportunities of interest include the pervasive use of big-data solutions for a wide range of DoD applications from embedded platform and sensor data processing to large-scale data analytics, including information, surveillance, and reconnaissance (ISR); predictive logistics; and decision support.

The Domain-Specific System on Chip (DSSoC) program is an applied research effort to develop a heterogeneous SoC that mixes general-purpose processors, special-purpose processors, hardware accelerators, memory, and input/output (I/O), enabling rapid development of multi-application systems through a single programmable device. DSSoC aims to produce mobile (< 5W) and portable (< 25W) SoCs for use in sensor systems where high computation is needed. Applications of interest include better signal processing for tactical radios, increased bandwidth support for advanced phased-array radars, highly responsive adaptive beamforming for electronic protection of phased arrays, and image and video processing of large image sensors for improved object identification and tracking.

Foundational Research

The Joint University Microelectronics Program (JUMP) is a basic research effort in collaboration with eleven major semiconductor companies and the Semiconductor Research Corporation (SRC) to catalyze innovations for increasing the performance, efficiency, and overall capabilities of broad classes of electronics systems for both commercial and military applications. Research is executed by six university-based research centers that are described in detail online (https://www.src.org/program/jump/). The goal of the program is to develop pathfinding ideas that can be utilized by the defense industrial base to provide revolutionary defense capabilities. Defense applications of particular interest include:

communication, sensing, and system collaboration; artificial intelligence; and autonomy and swarming capabilities.

2. Phases, Milestones, and Deliverables

This BAA does not prescribe required phases, milestones, or deliverables for TA1. Instead, proposers should enumerate phases, measurable metrics, and milestones appropriate to the https://www.src.org/program/jump/ relevant Eligible ERI Program. Detailed descriptions of ERI program structures are available in the BAA solicitation materials. The total proposed period of performance, however, should not exceed or extend the period of performance of the ERI performer(s) by more than 12 months.

D. Technical Area 2: Partnering and Technology Development

DARPA recognizes that some potential defense transition partners may not have sufficient insight into the technical details of developing ERI technologies to develop a detailed plan for their application to a defense need. Further, it may not be clear which current ERI teams would be the most suitable to the proposed application. To address these needs, the ERI:DA Technical Area 2 (TA2) enables efforts where the proposing defense transition partner has not yet established a relationship with a current ERI performer on an Eligible ERI program. TA2 funding would therefore support the development of the required partnership, leading to the demonstration or application of ERI technologies for a national defense context. Risk reduction activities that would allow for the ERI technology to be further developed for defense applications are eligible for funding under TA2. Incremental advances in defense capabilities are not of interest.

Proposals to TA2 must:

Identify an existing or planned ERI technology Identify a specific, revolutionary defense application that would benefit from the development and transition of the ERI technology and quantify its impact in an operational context;

For Phase 2, include a detailed initial plan – with assumptions clearly stated – for the further development, demonstration, and transition of the technology to support an existing, emerging, or proposed DoD system or capability

1. Eligible ERI Programs

All ERI Foundational and Page 3 programs are eligible for consideration under TA2, with the exception of the System Security Integrated Through Hardware and Firmware (SSITH) program.

ERI Phase II programs are explicitly ineligible for consideration. A full list of ERI programs is available at https://www.darpa.mil/work-with-us/electronics-resurgence-initiative.

2. Phases, Milestones, and Deliverables

TA2 will occur in two phases. To facilitate the development of partnerships, TA2 Phase 1 will support preliminary activities required to understand and influence technology development and to identify and establish contractual relationships with potential partners. Phase 1 activities should include participation in relevant program events, the development of a detailed final Phase 2 plan, and the completion of any necessary agreements between the proposer and a current ERI performer on an Eligible ERI Program. Phase 1 should last no longer than 12 months and not exceed $750k.

TA2 Phase 2 will emphasize the development and demonstration of electronics technologies in a national defense context. Phase 2 will commence once agreements between partners are finalized and continue for a period as determined by relevant program and the individual technology development requirements. The Phase 2 period of performance end date should not exceed or extend the period of performance of the ERI performer(s) by more than 12 months. Detailed descriptions of ERI program structures are available via the ERI website.

This BAA does not prescribe required milestones or deliverables for TA2. Instead, proposers should enumerate phases, measurable metrics, and milestones appropriate to the relevant Eligible ERI Program.

E. Technical Area 3: Collaboration Infrastructure

ERI:DA Technical Area 3 (TA3) will explore models for enabling collaborative research engagements between ERI performers, defense transition partners, Government agencies, and other groups (e.g. venture capital, non-profit, and industry organizations). These models should support the application of ERI technologies to the national defense by providing access to Government-held information, academic or commercial sector technical expertise, and defense industry experience.

In contrast to TA1 and TA2, TA3 proposals are not required to define the partners in any specific collaboration. Rather, proposals may include concepts for:

Enabling the sharing of research data, concepts, and results Facilitating the dissemination of common design practices and benchmarks Providing compute and physical infrastructure Handling Unclassified, Secret, and TS/SCI information, as appropriate Enabling collaboration among multiple groups in different physical locations Providing other facilities and support personnel, as needed to manage multiple simultaneous partnerships

Proposers should demonstrate a track record of creating or facilitating partnerships between the relevant sectors and the expertise needed to synthesize information from multiple stakeholders.

1. Eligible ERI Programs

Successful proposals should demonstrate an ability to enable collaboration between defense transition partners and performers on MTO electronics programs, to include ERI programs listed online at https://www.darpa.mil/work-with-us/electronics-resurgence-initiative.

2. Phases, Milestones, and Deliverables

Proposers should enumerate phases, milestones, and deliverables as appropriate to enabling collaboration between existing ERI programs and partners within the defense sector. Proposers should also define clear practices for enabling collaboration and for ensuring the integration of emerging technologies into defense systems, as well as metrics to evaluate progress and success.

Deliverables may include:

A mechanism for encouraging partnerships and defining agreements between parties A mechanism for creating and holding security clearances for ERI researchers and personnel from industry and academia

The proposal should be submitted with up to three phases, each one year or less in length, with Phases 2 and 3 as optional pending DARPA renewal of the contract.

F. Contracting and Proposal Options for Partnerships

ERI:DA requires establishing partnerships between defense transition partners and current ERI performers on Eligible ERI Programs. Partnership agreements should define the requirements for collaboration, to include information sharing and the provision of equipment and personnel.

Contract vehicles will differ based on the TA proposed to, defense transition partner, and contractual relationship between DARPA and the current ERI performer, as detailed in Figure 1.

Options available to establish such partnerships will include: 1) prime-subcontractor relationships whereby the defense transition partner and the ERI performer operate under the same award instrument, and 2) use of an Associate Contractor Agreement (ACA) whereby the defense transition partner and the ERI performer operate under separate award instruments and the ERI performer’s new tasks will be added to their existing ERI award instrument via modification.

The table below depicts the available contracting/partnership options:

Existing Award Instrument Type

(between DARPA and Existing ERI Performer)

(ERI Performer) or

Funding/Research Type

Proposed Award Instrument Type

(between DARPA and Defense Transition Partner)

(DA Prime)

Funding/Research Type

Partnership Option (between Defense Transition Partner and

Current ERI Performer)

6.1 or 6.2 Funding (Fundamental Research)

6.3 Funding

(Restricted Research)

Only Option: Associate Contractor Agreement.

Modifications to existing ERI Performer’s award instrument will be required.

Option 1: Prime-Subcontractor Relationship.

No modifications to existing ERI Performer’s award instrument will be permitted.Assistance Instrument (Cooperative Agreement)

Procurement Contract or

Other Transaction Agreement

Option 2: Associate Contractor Agreement.

Modifications to existing ERI Performer’s award instrument will be required.

Other Transaction Procurement Contract Only Option: Associate Contractor Agreement.

Agreement Modifications to existing ERI Performer’s award instrument will be required.

Other Transaction Agreement

Other Transaction Agreement

Only Option: Prime-Subcontractor Relationship.

No modifications to existing ERI Performer’s award instrument will be permitted.

Procurement Contract Procurement Contract Only Option: Prime-Subcontractor Relationship.

No modifications to existing ERI Performer’s award instrument will be permitted.

Option 1: Prime-Subcontractor Relationship.

No modifications to existing ERI Performer’s award instrument will be permitted.Procurement Contract Other Transaction Agreement Option 2: Associate Contractor Agreement.

Modifications to existing ERI Performer’s award instrument will be required.

All proposals must include a recommendation for the type of award instrument to be established between DARPA and the proposer (either Procurement Contract or Other Transaction Agreement). TA1 proposals must also either detail a partnership option – being either a prime-subcontractor relationship or an ACA relationship between the collaborating parties (Defense Transition Partner and Existing ERI Performer). TA2 proposers must define and execute similar contractual relationships during Phase 1. Successful TA3 proposals must define a plan for creating contractual relationships between collaborating parties, if required. Regardless of the contract type, all TA1 proposers (whether for a Prime-Subcontractor relationship or an ACA relationship) must meet the proposal requirements of this BAA, as defined in Section IV.B.2, regarding submission of a fully compliant technical/cost proposal, inclusive of the prime contractor, subcontractor/s, and/or ERI Performer/s as applicable.

For all TA2 proposals, the technical proposal and cost proposal per Part II Section IV.B.2 need not include ERI Performer task activity or associated costing if the ERI Performer is not known at the time of proposal submission.

1. Procurement (FAR/DFARS-based) Contracts.

A procurement contract may be used to establish relationships between DARPA and the defense transition partner. Procurement contracts are governed by the Federal Acquisition Regulation (FAR) and the DoD FAR Supplement (DFARS); these awards include standard FAR and DFARS clauses and are subject to the FAR cost accounting standards.

2. Other Transaction Agreements (OT).

Although OTs are generally reserved for companies and organizations that do not often do business with the Government, defense transition partners may benefit from the use of OTs as an award vehicle under a limited set of circumstances. The two most common types of OTs are Technology Investment Agreements (TIAs) and Other Transactions for Prototypes (OTs for Prototypes). TIAs are typically used when the primary goal of the agreement is to perform a research effort, even if items are required to be created to test the credibility of the research, commonly referred to as dual-use research. OTs for Prototypes are used when the main focus of the agreement is to create a prototype. The choice of instrument type is made by the Contracting Officer during negotiations based on the unique situation at hand. Additional information on OTs may be found at https://www.darpa.mil/work-with-us/contract-management#OtherTransactions.

3. Associate Contractor Agreements (ACA).

ACAs can provide for information sharing and cooperation between multiple contractors outside of a prime-subcontractor relationship. TA1 proposals that depend on establishing an ACA between a defense transition partner and a current ERI performer must provide a detailed task list and cost estimate for both partners, including a detailed list of any required modifications to the current ERI performer’s existing award instrument. The proposal should also include a letter of support from the current ERI performer, which will serve as verification of a planned relationship between the industry partner and the current ERI performer. TA1 proposals that lack this information will be considered incomplete and will not be considered. Parties that are unable to negotiate an ACA within 90 days of proposal selection may become ineligible for award under this BAA. DARPA will not award a final contract/agreement until all required ACAs are complete.

Selected TA2 performers must negotiate ACAs (or other agreements) during Phase 1. Parties to the agreement may be required to provide detailed technical and cost data to DARPA, including any required changes to existing contracts, as a condition of continuation to Phase 2.

In those situations where the relationship between the defense transition partner and the existing ERI performer will be established via an ACA, this same or a similar clause will be included in all TA1 and TA2 awards as well as the associated ERI performer’s existing award instrument:

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

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

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

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

(2) Maintenance of a free and open information network with all

Government identified Associate Contractors;

(3) Delineation of detailed interface responsibilities;

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

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

(d) In the event that the Contractor and the Associate Contractor are unable to agree upon any such interface matter of substance, or if the technical data identified is not provided as scheduled, the Contractor shall promptly notify the DARPA ERI:DA Program Manager. The Government will determine the appropriate corrective action and will issue guidance to the affected Contractor.

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

(f) Associate Contractors for this ERI:DA research effort include:

Contractor Technical Area

TA1: It is intended that ACAs be established, after selections and prior to contract award, between:

Performer ACA With TA1 Defense Transition Partner

Existing ERI Performer(s) as proposed

TA2: It is intended that ACAs be established, after selections and prior to the conclusion of Phase 1, between:

Performer ACA With

TA2 Defense Transition Partner

Existing ERI Performer(s) as identified in Phase 1

G. Additional Proposal Information

All TA1 and TA2 proposals must identify a specific national security issue or revolutionary capability to be addressed. Proposals must similarly identify a set of deliverables to demonstrate the impact of the work on the national security issue or revolutionary capability. Each proposal must clearly and quantitatively explain how emerging electronics technologies impact the national security issue or revolutionary capability described.

All proposals should clearly outline a technical plan and schedule that is commensurate with the objectives of the proposal. TA1 and TA2 proposals are expected to vary considerably, in terms of their schedules and milestones, based on the proposed work and the execution timeline of the Eligible ERI Program. Proposers should carefully consider the program schedule of the current ERI program partners and anticipate a schedule for Government-furnished property appropriately. Proposers should also consider the need for regular interaction and information sharing with existing performer teams, both via in-person engagements at a government or contractor site or through the use of online resources (e.g. cloud applications).

All proposals must define specific, clearly measurable technical metrics that are relevant to the application being addressed. During the course of the work, proposals must include measurable milestones on a periodic basis of no longer than 12 months, and preferably more frequently.

Proposals should be submitted at the appropriate classification level.

II. Award Information

A. General Award Information

This BAA is primarily intended to support advanced technology development efforts that complement existing Eligible ERI Programs and accelerate transition to national security capabilities. Proposal evaluation will heavily consider the impact of the proposed work on DoD capabilities.

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 V, “Application Review Information,”), 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.

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 either cannot be met by proposers intending to perform fundamental research or the proposed research is anticipated to present a high likelihood of disclosing performance characteristics of military systems or manufacturing technologies that are unique and critical to defense. Therefore, the Government anticipates restrictions on the resultant research that will http://www.darpa.mil/work-with-us/contract-management#OtherTransactions 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.