HR001120S0014.pdf

Broad Agency Announcement

Atmospheric Water Extraction (AWE)

BIOLOGICAL TECHNOLOGIES OFFICE

HR001120S0014

December 31, 2019

HR001120S0014, AWE

TABLE OF CONTENTS

PART I: OVERVIEW INFORMATION

PART II: FULL TEXT OF ANNOUNCEMENT

1. Funding Opportunity Description

1.1. Program Overview

1.2. Technical Approach and PROGRAM Structure

1.3. Program Metrics

1.4. General Requirements

2. Award Information

2.1. General Award Information

2.2. Fundamental Research

3. Eligibility Information

3.1. Eligible Applicants

3.2. Organizational Conflicts of Interest

3.3. Cost Sharing/Matching

4. Application and Submission Information

4.1. Address to Request Application Package

4.2. Content and Form of Application Submission

Disclosure of Information and Compliance with Safeguarding Covered Defense Information Controls

4.3. Funding Restrictions

4.4. Other Submission Information

5. Application Review Information

5.1. Evaluation Criteria

5.2. Review of Proposals

6. Award Administration Information

6.1. Selection Notices

6.2. Administrative and National Policy Requirements

6.3. Reporting

6.4. Electronic Systems

7. Agency Contacts

8. Other Information

9. APPENDIX 1 – Volume II checklist

PART I: OVERVIEW INFORMATION

Federal Agency Name – Defense Advanced Research Projects Agency (DARPA), Biological Technologies Office (BTO)

Funding Opportunity Title – Atmospheric Water Extraction (AWE) Announcement Type – Initial Announcement Funding Opportunity Number – HR001120S0014 North American Industry Classification System (NAICS) – 541714 Catalog of Federal Domestic Assistance Numbers (CFDA) – 12.910 Research and

Technology Development Dates o Posting Date: December 31, 2019 o Proposal Abstract Due Date and Time: January 28, 2020, 4:00 PM ET o Full Proposal Due Date and Time: March 12, 2020, 4:00 PM ET o BAA Closing Date: March 13, 2020 o Proposers’ Day: January 7, 2020 https://beta.sam.gov

Concise description of the funding opportunity – The goal of the AWE program is to enable water extraction from the atmosphere to produce a small, low-powered, light-weight system with two form-factors: one capable of providing potable water for expeditionary forces (daily output sufficient for the individual warfighter), and another for stabilization missions (daily output to supply ~150 people).

Anticipated individual awards – Multiple awards are anticipated.

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

Agency contact

The BAA Coordinator for this effort may be reached at:

AWE@darpa.mil

DARPA/BTO

ATTN: HR001120S0014

675 North Randolph Street Arlington, VA 22203-2114 https://beta.sam.gov/ mailto:AWE@darpa.mil

PART II: FULL TEXT OF ANNOUNCEMENT

1. Funding Opportunity Description

This publication constitutes a Broad Agency Announcement (BAA) as contemplated in Federal Acquisition Regulation (FAR) 6.102(d)(2) and 35.016 and 2 CFR § 200.203. Any resultant award negotiations will follow all pertinent law and regulation, and any negotiations and/or awards for procurement contracts will use procedures under FAR 15.4, Contract Pricing, as specified in the BAA.

The Defense Advanced Research Projects Agency (DARPA) often selects its research efforts through the Broad Agency Announcement (BAA) process. The BAA will appear first on the beta.SAM.gov website, https://beta.sam.gov, and the Grants.gov website http://www.grants.gov/.

The following information is for those wishing to respond to the BAA.

DARPA is soliciting innovative proposals to address: (1) the development of novel sorbent materials, (2) materials synthesis and scale up, (3) component and systems modeling, and (4) complete integration and fabrication of the aforementioned elements into a device to extract potable water from the atmosphere. Proposed research should develop innovative approaches focused on: identifying sorbents with high water capacities, fast release kinetics, novel mechanisms of water desorption/release and component/system designs that optimize mass/heat transfer, utilize advanced manufacturing, and employ alternative power sources to meet the strict size, weight, and power (SWaP) objectives of the final deliverable. The final form factor should provide sufficient potable water for either: (1) an individual’s daily drinking requirements, or (2) the daily drinking requirements for up to 150 people. The system should operate under a range of atmospheric conditions (relative humidity [RH], 20-100%; 35-120 oF), produce water that is potable without further treatment, operate within the defined SWaP parameters, and demonstrate continued operability for an extended period (30 days). Specifically excluded from this research are incremental improvements to conventional sorbent- or condensation-based atmospheric water generation or strategies that rely on purification of an existing liquid water source.

1.1. PROGRAM OVERVIEW

“The world’s ultimate weapon runs on water; everything else runs on fuel.” The warfighter can survive three weeks without food but only three days without water. Water transport is, therefore, mission-critical but logistically challenging, requiring equipment, fuel, and personnel that limits tactical maneuver and decision space. Water distribution also leads to avoidable casualties. As the military moves towards more mobile, flexible, and self-sufficient operations, including the Expeditionary Advanced Base Operations (EABO, U.S. Marine Corps) and the Multi-Domain Operations (MDO, Army) concepts, reducing the water resupply requirements will have even more important tactical implications. Liberating the warfighter from the water supply chain will have a significant impact on the reduction of causalities and costs, as well as provide a marked tactical advantage, especially in forward operating environments.

Water is also a critical resource across Humanitarian and Disaster Relief (HADR) missions and stabilization activities ranging from conflict prevention to post-conflict restabilization operations.

http://www.grants.gov/

In addition, interstate water-driven conflicts have been documented in the Middle East, Africa, and Central Asia, and smaller-scale adversarial restriction to water or contamination of water sources has been used as a local destabilizing force. By providing a ubiquitous source of potable water, AWE will eliminate the ability of adversaries to use water as a tactical or destabilizing leverage point, thereby reducing the likelihood of interstate water conflicts.

Current operational strategies for water acquisition are generally limited to: (1) regional freshwater sources, (2) desalination, or (3) transported bottled water. Regional freshwater sources are not always available, limit operational flexibility, and generally must be treated before use (e.g., Reverse Osmosis Water Purification Unit, Tactical Water Purification System, etc.) due to either natural or deliberate contamination. These units can produce potable water at high rates (475-11,000 L/h) but have substantial power/fuel requirements (3-60 kW) and are cumbersome (900-17,000 kg). The same systems can be used with a diminished capacity for desalination. However, because water sources are not routinely located within a secure perimeter, water purification efforts using these systems invite a significant security risk. As a result, the military relies heavily on transported bottled water, which is distributed to forward operating areas by truck or aircraft, adding significant logistical costs, casualties, and waste streams. Other state-of-the-art water production technologies, such as dehumidifiers, are not currently utilized by the military because their performance is not satisfactory with respect to SWaP requirements. Furthermore, dehumidifiers are incapable of harvesting water directly from low humidity air (<40% RH; e.g., Kandahar, Afghanistan).

The goal of AWE is to provide potable water for a range of military needs by developing low-powered, distributable systems that can provide potable water anywhere, anytime, and without the need for any external liquid water source (e.g., groundwater, seawater, rivers, lakes, etc.).

AWE will harvest water from the global atmospheric reservoir by catalyzing two technical areas:

transformational sorbent materials development (Technical Area 1) and extractor modeling, engineering, and sorbent integration (Technical Area 2). AWE will addresses potable water needs in two program tracks: (1) expeditionary, a unit for individual warfighters in the field, and

(2) stabilization, which will provide the daily drinking requirements for up to 150 people (i.e., a company or humanitarian mission).

1.2. TECHNICAL APPROACH AND PROGRAM STRUCTURE

1.2.1. Technical Areas

The AWE program includes two technical areas (TAs) that will run concurrently for the duration of the program. Proposals that do not address both TAs as characterized within this section will be deemed non-responsive and not considered for review. The focus areas of each TA, broken out by program phase, are summarized in Table 1. These two technical areas are:

1. Technical Area 1 (TA1): Transformational Sorbent Materials Development.

Develop next-generation sorbent materials that can rapidly and efficiently extract water from ambient air and subsequently release it.

2. Technical Area 2 (TA2): Extractor Modeling, Engineering, and Sorbent Integration.

Design components and complete systems to leverage new sorbents to extract water from air within the SWaP parameters defined for the expeditionary or stabilization track.

Water potability is a necessary feature of the final prototype device.

Table 1. Program Focus Areas by TA and Phase Technical Areas Phase I (24 Month) Phase II (24 Month)

TA 1:

Transformational

Sorbent Materials

Development

Sorbent Development New materials synthesized and characterized

Sorbent Selection Best material(s) optimized and integrated into prototype device

Sorbent Optimization Iterative optimization of sorbent properties in integrated device

Production at Scale Sorbent synthesis scaled for multiple prototypes

TA 2:

Extractor Modeling, Engineering, and Sorbent

Integration

System Modeling Component and system model developed and optimized

Component Development Prototypes of all components designed and manufactured

System Prototyping Complete prototype constructed for

Capability Demonstration

Component and System Optimization

Iterative optimization of components and system with sorbent through design-build-test-learn cycle

Final Device Development Demonstration of final program objectives and delivery of devices to Independent Verification and

Validation (IV&V) provider or performer

TA1. Transformational Sorbent Materials Development

TA1 will develop next-generation sorbent materials for the rapid and efficient extraction of water from ambient air (35-120 oF, ~4-49 oC, 20-100% RH). The goal of TA1 is to produce novel sorbents that display properties optimized for atmospheric water extraction. TA1 consists of three core elements: sorbent material selection and optimization, materials characterization, and scaled synthesis of sorbent materials, and will include an in operando assessment of materials in a performer-defined test platform.

Sorbent Selection. Sorbent materials for TA1 may include, but are not limited to: metal-organic frameworks (MOFs), covalent-organic frameworks (COFs), conjugated microporous polymers (CMPs), biologically-templated carbon nanofibers (BioCNFs), and super moisture-adsorbent gels (SMAGs). Blends or composites of sorbent materials are also suitable for investigation in TA1. The use of flexible or switchable materials with novel, low energy mechanisms for water desorption are highly encouraged. TA1 is agnostic with respect to choice of material; however, conventional desiccants (e.g., Li salts) are discouraged, as the selected material must have some precedence suggesting the ability to overcome the limitations of prior approaches and meet the rigorous SWaP metrics desired for the AWE program. The use of theoretical methods to understand, predict, and improve materials properties is encouraged. Ultimately, sorbent materials will likely require a combination of key characteristics that may include, but are not limited to:

High water capacity Efficient vapor capture at low RH Rapid water adsorption/desorption kinetics Optimal sorption profiles Low heats of adsorption Switchable/smart mechanisms for water release Chemical and mechanical cycling stability

Materials Characterization. Proposers may target a variety of materials or composite materials (e.g., MOFs, COFs, SMAGs, etc.); however, it is recommended that performers explicitly specify target properties for their materials that reflect those best suited to the designated program track (i.e., expeditionary vs. stabilization) and initial design proposal.

Selection of materials should be justified based on the aforementioned properties, and proposers should plan to report progress against their defined target metrics throughout the course of the program. Typical materials characterization techniques may include, but are not limited to: structural methods (e.g., X-ray diffraction, nuclear magnetic resonance, etc.), water adsorption/desorption isotherms, (Diffuse Reflectance Infrared Fourier Transform) spectroscopy (e.g., DRIFTS), and experiments demonstrating chemical and mechanical stability after multiple adsorption/desorption cycles.

Performers should demonstrate that the candidate material(s) are ontrack to meet the desired characteristics for the end-use device in a Sorbent Metrics Report in Month 12 of the program. The material demonstrated at Month 12 should be used in the first prototype of the device (i.e., in the Capability Demonstration at Month 22). Between Month 12 and Month 36 of the program, performers may optimize their material as part of the design-build-test-learn cycle in conjunction with refinement of the water extraction device. A final Sorbent Metrics Report at Month 36 of the program also marks the end of anticipated materials development and refinement.

Scalability. In Phase II, performers should also plan to demonstrate reproducible and scalable synthesis of the optimized sorbent(s). Target metrics for scalable production should be specified in the proposal and may include, but are not limited to: batch size, synthesis time, purity/reproducibility, and cost.

The following information should be included in the proposal and, where applicable, in the Specific Program Plan (Attachment 4) to address TA1 challenges:

Target sorbent material(s), materials class, or composites to be studied and proposed mechanism of water adsorption and desorption;

Anticipated material characteristics, including interim milestones for obtaining the proposer-defined target characteristics within the project timeline;

Proposed methods for materials characterization to measure relevant properties, including water sorption and desorption characteristics;

Integration of the material into component design (TA2) and prototype;

Material scalability plan, including interim milestones for scaling synthesis, verifying reproducibility/quality, and projected/target cost for production of material at scale;

Experimental design for standardized, in operando evaluation and comparison of candidate sorbent materials.

Deliverables for TA1 and TA2 will be assessed together through a Sorbent Metrics Report at Month 12 and Month 36 and integrated material/system Capability Demonstrations at Month 22 and Month 48 of the program (see Sections 1.2.4 and 1.3).

TA2. Extractor Modeling, Engineering, and Sorbent Integration

Atmospheric water generation efforts to date have focused largely on power-intensive dehumidification systems that have been modified through the use of more efficient components and incrementally improved designs. The objective of the AWE program is not to build a better dehumidifier, but rather a game-changing water extraction device with substantially increased water yields and dramatically reduced SWaP parameters than current systems. To meet the stringent end-user SWaP requirements that will make these devices fieldable in resource-limited, far-forward settings, proposers will need to outline creative engineering approaches rather than be derivative of past paradigms.

TA2 will integrate sorbents into engineered systems that fully leverage the properties of the sorbent materials synthesized in TA1. TA2 consists of three fundamental elements: modeling, component design, and system integration. These areas will require technical innovation as part of a design-build-test-learn cycle that will iterate on an initial foundation established in the early stages of the program (i.e., the model should feed into component design, which will inform system integration).

Modeling. Systematic and complete analyses of water harvesting devices to identify theoretical efficiency limits and major energy losses are not presently available. These models will be needed to engineer an optimized system. Modeling efforts should be included early in the program to define initial component-level requirements for systems and provide a framework for how the proposed device is intended to operate. As part of this, a process flow diagram and/or prototype schematic should be included as part of the proposal. Revisions to the design are expected as system modeling progresses, and refinement of the model through the duration of the program may prove useful in the design-build-test-learn cycle to optimize the components, system, and sorbent properties. Proposers will be expected to develop component and integrated system models that consider factors such as the following:

Airflow optimization Temperature control Mass transfer Heat transfer

Sorbent materials integration

Component Design. Performers will need to design and develop individual components of the system that will maximize performance of the selected sorbents. For instance, support substrates for the sorbents will need to be tuned to maximize heat and mass transfer through the material. Design of heat exchanger and condenser components may leverage advances in additive manufacturing. Although initial component design is envisioned to conclude in Phase I of the program, refinement and optimization of these components is expected to continue in Phase II as part of a design-build-test-learn cycle. Key components may include, but are not limited to:

Support substrates for sorbents Heat exchangers Condensers Process control systems In-line water purification (if needed)

System Integration. A holistic, co-design approach that integrates and iterates the materials, components, and system modeling in a design-build-test-learn cycle will be needed to achieve a device with optimized water output and minimized SWaP parameters. Approaches such as topology optimization may be used to unify all of the necessary design elements. An integrated system prototype utilizing the sorbent described in the Month 12 Sorbent Metrics Report is expected by Month 22 of the program and a final prototype system using the sorbent described in the Month 36 Sorbent Metrics Report is expected at the end of Month

48. These mid-term and final Capability Demonstrations will allow performers to show progress towards the end-of-program objectives (Section 1.3). The system prototype should be suitable for Independent Verification and Validation (IV&V) testing by independent experts.

The following information should be included in the proposal to address TA2 challenges:

Approach for component- and systems-level modeling;

Process flow and/or prototype schematic detailing starting point(s) for device development and iteration;

Proposed strategies for sorbent support materials and design to maximize water adsorption characteristics and minimize water desorption energetics;

Fabrication and prototyping proficiencies, including additive manufacturing and topology optimization capabilities (as needed); and Description of design-build-test-learn cycle to be used for device optimization, particularly with respect to water output and SWaP characteristics.

1.2.2. Program Tracks

AWE will address atmospheric water extraction needs in two tracks: (1) expeditionary and (2) stabilization. The expeditionary unit will provide sufficient drinking water for an individual warfighter, with SWaP parameters restricted by the need for portability and operation in austere environments. The stabilization device will provide the daily drinking needs for up to 150 people (i.e., a company or humanitarian mission), with SWaP requirements tailored to resources typically available to missions of that scale.

While the technical areas described in Section 1.2.1 are identical in either track, the end-of-program objective metrics differ significantly between the two tracks (Section 1.3.1) and the sorbent, engineering, and device design will vary between tracks.

Proposers may propose to one or both tracks. Separate proposals should be submitted for those proposing to both tracks.

1.2.3. Program Structure

AWE is divided into two sequential phases: Phase I (Base) for 24 months and Phase II (Option) for 24 months (Figure 1). Proposers must present a plan for no more than 4 years that includes a comprehensive approach for meeting all program metrics in either the expeditionary or stabilization track (Section 1.2.2). Progression from Phase I to Phase II is dependent on successful completion of Phase-specific goals in the mid-term Capability Demonstration described below (Section 1.2.4).

Phase I (Base, 24 months) During the 24-month Phase I, performers will synthesize and characterize new sorbent materials and optimize the best materials for atmospheric water extraction (TA1). Performers will develop component- and system-level models of an atmospheric water extraction device, and design and prototype components, as well as the integrated system (TA2). Performers should show progress in their material development through a Sorbent Metrics Report at Month 12. An integrated material/system Capability Demonstration near the end of Phase I (Month 22) will demonstrate progress towards the end-of-program objectives (Sections 1.2.4 and 1.3.2).

Phase II (Option, 24 months) A 24-month Phase II will focus on a design-build-test-learn cycle to iteratively improve on the materials, components, and system designed in Phase I. Phase II requirements include optimization of the sorbent properties to the device and production of the sorbent at scales suitable for multiple prototype development (TA1), as well as component and system optimization and development and delivery of a prototype device that meets all program metrics (TA2). A final Capability Demonstration (Month 48) will demonstrate that performers have met the end-of-program objectives (Section 1.2.4 and 1.3.1).

Figure 1. Program Schedule and General Overview

1.2.4. Sorbent Metric Reports and Capability Demonstrations

A Sorbent Metrics Report at Month 12 of the program will validate that performers are on track in the development of their sorbent material. Performers will be expected to detail progress toward predetermined metrics and properties that can be quantitatively measured through established characterization techniques.

The material described in the Sorbent Metrics Report at Month 12 should be used in the subsequent Capability Demonstration at Month 22 (Demo 1, Figure 1). A second Sorbent Metrics Report will be expected in Month 36 of the program. The material described in the Month 36 Sorbent Metrics Report should be employed in the device for the end-of-program demonstration (Demo 2, Figure 1).

A Capability Demonstration at Month 22 will validate that the performers are making adequate progress towards the end-of-program objectives, with the ability to meet water output and potability objectives under a defined set of SWaP parameters in the appropriate track (Section 1.3.2). At the end of the program, a similar Capability Demonstration will be required to verify that the device has met the end-of-program objectives (Section 1.3.1).

Both Capability Demonstrations will be coupled with Independent Verification and Validation (IV&V, Section 1.2.5) provided by independent experts to verify the reported water output, water quality, and SWaP metrics for the prototype device. The first set of IV&V will take place after the Capability Demonstration at Month 22 of the program and will inform the Phase I – Phase II transition. More extensive IV&V will take place in the last quarter of the program (starting at Month 45), that will evaluate water output, SWaP parameters, and may also include field testing.

1.2.5. Independent Verification and Validation

Sorbent materials and systems developed throughout the program will undergo IV&V using a team established by DARPA that will help test and validate progress. The IV&V team will consist of subject matter experts from Government organizations, Federally Funded Research and Development Centers (FFRDCs), and/or other relevant domains. IV&V may include verification of sorbent material characteristics, as well as water output, water quality, and SWaP metrics for the prototype device.

To avoid potential conflicts of interest, AWE performers will not be allowed to compete for the IV&V contract. DARPA is not soliciting proposals for IV&V under HR001120S0014.

Government teams interested in participating in IV&V should not respond to this BAA but should rather indicate their interest in the AWE program by reaching out directly to the DARPA Program Manager.

1.3. PROGRAM METRICS

For the Government to evaluate how effectively a proposed solution will achieve the stated program objectives, the Government hereby promulgates the following program metrics that may serve as the basis for determination of satisfactory progress to warrant continued funding.

Although the desired program metrics are specified (Section 1.3.1-2, Tables 2-3), proposers should note that the Government has identified these goals with the intention of bounding the scope of effort while affording the maximum flexibility, creativity, and innovation to proposed solutions to the stated problem. Proposals should cite the quantitative and qualitative success criteria that the effort will achieve by each Phase’s program milestone and intermediary metric measurement. The criteria put forward by proposers should outline the metrics that their strategy will attain, not simply reflect the aspirational objectives set forward below.

1.3.1. End-of-Program Objectives

Proposers should plan to design and optimize their atmospheric water extraction systems against the end-of-program objectives and derived metrics laid out below and summarized in Table 2.

These metrics aggressively target an increase in water output as compared to current state-of-the-art atmospheric water generation systems while significantly reducing SWaP requirements. The metrics outlined in Tables 2 and 3 represent the ideal outcome of the program.

In order to assist proposers in responding to the areas of greatest importance for the program, the metrics are split into two categories: objectives and derived metrics. For the purposes of this solicitation, objectives should be considered fixed targets. Derived metrics will be measured and considered over the course of the program, and these metrics should be clearly defined by proposers and re-evaluated after the first prototype of the device (end of Phase I). Both the objectives and derived metrics are prioritized and further detailed below. Proposers should clearly indicate their own set of anticipated target metrics in their proposal and in the Specific Program Plan (Attachment 4), achievement of which will be assessed in a Capability Demonstration at the end of the program and will be validated by external IV&V partners.

Metric Prioritization for Expeditionary Track

Table 2. Expeditionary Track End-of-Program Summary Objectives and Derived Metrics Objectives

Output ≥5.5 L/day @40 oF (~4 oC), 50% RH ≥5.5 L/day @80 oF (~27 oC), 10% RH ≥7.5 L/day @110 oF (~43 oC), 60% RH

Weight ≤2.5 kg (dry weight), including power source for 24 hour run-time

Potability Long-term potability military field standards, as defined in TB-Med-577

Derived Metrics

Size Device volume not to exceed 1.5 liters (not including reservoir)

Power On-board power limited by size/weight requirements

Operational Lifetime

Meet above metrics during continuous operation for ≥30 days

The objectives and derived metrics defined for the Expeditionary Track are driven by the needs of the end-user. As such, those parameters that make the device useful for field deployment (i.e., sufficiently beneficial to the warfighter to justify the added weight of carrying the device) are those that should be prioritized. Devices that rely principally on current battery technology for power will likely be too cumbersome, especially when the additional weight required for multi-day operation is considered. Therefore, a successful expeditionary device will likely require creative solutions that maximize the use of passive or alternative energy sources.

1. Objective: The system must provide sufficient water output to supply or substantively augment the potable water needs of an individual warfighter.

2. Derived metric: The device should be designed with an eye towards minimizing power requirements and, where external power is necessary, employing readily-accessible power sources that are compatible with use in austere environments. The weight of a proposed device should be reported, including the weight of any external power source (assume 24-hour run time for end-of-program metrics).

Readily available, disposable power supplies for the warfighter include AA alkaline batteries, 123 Li batteries, and BA5590 batteries.

PV solar cells may present a burden in the field, and their inclusion should be weighed against tactical considerations, portability, and functionality with respect to warfighter mobility.

3. Objective: The weight of the device should be minimized for portability in the field.

4. Derived metric: the size of the device should be minimized for portability in the field.

5. Objective: Water should be potable without further treatment.

6. Derived metric: The device should be continuously operable with minimal or no maintenance for ≥30 days.

Additional considerations:

The device need not include a reservoir for water collection but should be adaptable to common systems (e.g., Camelback bladder, MSR bladder, Nalgene bottle).

Proposers should plan to deliver at least 5 units to DARPA, IV&V partners, and DoD stakeholders for testing at the end of the program.

Metric Prioritization for Stabilization Track

Table 3. Stabilization Track End-of-Program Summary Objectives and Derived Metrics Objective

Power ≤42 Wh/L H2O @40 oF (~4 oC), 50% RH ≤42 Wh/L H2O @80 oF (~27 oC), 10% RH ≤42 Wh/L H2O @110 oF (~43 oC), 60% RH

Potability Long-term potability military field standards, as defined in TB-Med-577

Derived Metrics

Size Max footprint of 0.75 m2, contained on a standard military palette (40’×48'', ~1 m×1.2 m)

Weight ≤138 kg (dry weight, military 4-man lift weight, 305 lbs)

Output ≥1150 L/day @40 oF (~4 oC), 50% RH ≥1150 L/day @80 oF (~27 oC), 10% RH ≥1150 L/day @110 oF (~43 oC), 60% RH

Operational Lifetime

Meet above metrics during continuous operation for ≥30 days

The metrics for the Stabilization Track are derived from: (1) DoD requirements to attain a satisfactory fuel (or power) consumption to water output ratio, and (2) end-user input. Attaining this energy metric is critical to enabling adoption of the technology by the DoD and is a core program objective, whereas the latter guides a broad set of use cases where the device could be deployed and forms the derived metrics of the program.

1. Objective: The device should minimize the power requirement per liter of water generated. Extracting seven liters of water per liter of fuel (or equivalent water/power ratio) is the minimum threshold required to be of utility to the DoD, and significant improvements over that ratio are expected for this program.

2. Derived metrics: Size and weight of the device should be minimized to allow for facile (e.g., vehicular) transport of the device.

3. Derived metric: Water output of the device should be maximized. A target output for a device serving 150 people is ≥1150 L/day. However, a device serving a smaller number of people and operating on a reduced power source (e.g., a vehicle alternator instead of a generator) will be given equal consideration. A threshold output of ≥120 L/day is strongly recommended.

4. Objective: Water should be potable without further treatment.

5. Derived metric: The device should be continuously operable with minimal or no maintenance for ≥30 days.

Additional considerations:

The device need not include a reservoir but should include a means of filling one.

Proposers should plan to deliver one unit to DARPA, IV&V partners, and DoD stakeholders for testing at the end of the program.

1.3.2 Mid-Program Capability Demonstration

To assess progress towards the end-of-program objectives (Section 1.3.1), proposers should prepare for a Capability Demonstration at Month 22 of the program. Objectives for this demonstration are summarized in Table 4. Proposers should also consider derived metrics (as defined above for each track) and may include target-derived metrics in the Specific Program Plan (Attachment 4). The ability to meet the track-specific objectives primarily, as well as derived metrics secondarily, will inform whether performers progress to Phase II of the program (i.e., from base to option).

Table 4. Month 22 Capability Demonstration Objectives Expeditionary Track Objectives

Output ≥1 liter/day under test conditions*

Size Device volume not to exceed 6 liters (not including reservoir)

Weight ≤7 kg (dry weight), including power source for 24-hour run-time

Stabilization Track Objective Power ≤420 Wh/L H2O under test conditions*

*The three test conditions are as follows (1) 40 oF (~4 oC), 50% RH, (2) 80 oF (~27 oC), 10% RH, and

(3) 110 oF (~43 oC), 60% RH

1.4. GENERAL REQUIREMENTS

1.4.1. Proposing Teams

It is expected that proposals will involve multidisciplinary teams with expertise from multiple complementary disciplines (e.g., chemistry, materials science, engineering, etc.). Specific content, communications, networking, and team formation are the sole responsibility of the proposer teams. Proposer teams must submit a single, integrated proposal led by a single Principal Investigator under a single prime contractor that addresses all program technical areas and phases, as applicable. Proposer teams (from the same or different institutions) should be assembled as a single research entity, and report as such. Proposer teams should include a Project Manager for administrative, financial, and management oversight of the proposed program.

DARPA will hold a Proposers Day (see Section 8, Other Information) to facilitate the formation of proposer teams with the expertise necessary to meet the goals of the program and will share information among interested proposers through the DARPA Opportunities Page.

1.4.2. Commercialization Plan

Proposers are encouraged to present a plan for commercialization of the technologies developed during the program or for transition to commercial entities. It is critical that the prototype units funded by the AWE program be designed in a manner that position them for further development and deployment by the end of the program.

1.4.3. Deliverables

All products, material and otherwise, to be provided to the Government as outcomes from conducted research should be defined in the proposal. Performers need to allot time and budget to fulfill obligations for travel to review meetings and the transmission of report documentation.

Monthly financial reports: Performers are required to provide financial status updates. The prime Performer shall include information for itself and all subawardees/subcontractors. These reports should be in the form of an editable Microsoft (MS) ExcelTM file, and should provide financial data including, but not limited to:

Program spend plan by phase and task Incurred program expenditures to date by phase and task Invoiced program expenditures to date by phase and task

Monthly technical progress reports: Performers are required to provide monthly research updates in the form of a standardized slide presentation given to DARPA and discussed with the program management team via teleconference. Length and detail level is at the discretion of the Program Manager.

Semi-annual program reviews: Leadership from each performer team (with additional key personnel at the discretion of the Principal Investigator [PI]) will be required to present research progress in person at program review meetings. The purpose of these reviews is to ensure adequate engagement with the DARPA team to discuss details that might otherwise fall outside the scope of a routine technical brief, and provide opportunities to discuss progress towards milestones and scientific goals, any ongoing technical or programmatic challenges that must be overcome to achieve the overarching goals of the program.

End of Phase report: Three months prior to the end of Phase I (i.e., at Month 21), performers must draft and present to DARPA a written report of all research activities and metrics satisfied.

This report should contain as much supporting data as possible.

Final Program Report: When the final funding phase closes out, performer teams must provide a final report summarizing all research activities, outcomes, and materials discovered during the program; publications, research presentations, patent applications that result from the research pursued; and any additional deliverables requested by the DARPA contracting agent for this program.

2. Award Information

2.1. GENERAL AWARD INFORMATION

Multiple awards are possible. 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, as applicable.

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.2., “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/or cost/price within a reasonable time, and the proposer fails to timely provide requested additional information. Proposals identified for negotiation may result in a procurement contract, 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 http://www.darpa.mil/work-with-us/contract-management#OtherTransactions http://www.darpa.mil/work-with-us/contract-management#OtherTransactions program. For more information on publication restrictions, see the section below on Fundamental Research.

2.2. 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 proposed efforts for fundamental research and non-fundamental research. Some 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 anticipated type of proposer (e.g., university or industry) and the nature of the solicited work, the Government expects 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 determine whether the proposed research shall be considered fundamental and to select the award instrument type. Appropriate language will be included in resultant awards for non-fundamental research to prescribe publication requirements and other restrictions, as appropriate. This language 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 to be performed by a potential awardee is non-fundamental research, its proposed subawardee’s effort may be fundamental research. It is also possible that the research performed by a potential awardee is fundamental research while its proposed subawardee’s effort may be non-fundamental research.

In all cases, it is the potential awardee’s responsibility to explain in its proposal which proposed efforts are fundamental research and why the proposed efforts should be considered fundamental research.

3. Eligibility Information

3.1. ELIGIBLE APPLICANTS

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

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

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

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, that (a) cites the specific authority establishing their eligibility to propose to Government solicitations and compete with industry, and (b) certifies the FFRDC’s compliance with the associated FFRDC sponsor agreement’s terms and conditions. These conditions are a requirement for FFRDCs proposing to be awardees or subawardees.

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 and compete with industry. This information is required for Government Entities proposing to be awardees or subawardees.

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.

3.1.2. Non-U.S. Organizations

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.

3.2. 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.

3.3. COST SHARING/MATCHING

Cost sharing is not required; however, it will be carefully considered where there is an applicable statutory condition relating to the selected funding instrument. Cost sharing is encouraged where there is a reasonable probability of a potential commercial application related to the proposed research and development effort.

4. Application and Submission Information

4.1. 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 http://www.darpa.mil, contact the administrative contact listed herein.

http://www.darpa.mil/

4.2. CONTENT AND FORM OF APPLICATION SUBMISSION

All submissions, including abstracts and proposals, must be written in English with type no smaller than 12-point font.