HR001120S0062.pdf

HR001120S0062 SAVANT 1

Broad Agency Announcement Science of Atomic Vapors for New Technologies (SAVaNT)

Defense Sciences Office

HR001120S0062

August 19, 2020

HR001120S0062 SAVANT 2

Table of Contents I. Funding Opportunity Description

A. Introduction B. Background C. Program Description/Scope D. Program Structure E. Technical Area (TA) Descriptions G. Deliverables

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

III. Eligibility Information A. Eligible Applicants B. Organizational Conflicts of Interest C. Cost Sharing/Matching

IV. Application and Submission Information A. Address to Request Application Package B. Content and Form of Application Submission C. Submission Dates and Times D. Funding Restrictions E. Other Submission Requirements

V. Application Review Information A. Evaluation Criteria B. Federal Awardee Performance and Integrity Information (FAPIIS)

VI. Award Administration Information A. Selection Notices B. Administrative and National Policy Requirements C. Reporting

VII. Agency Contacts VIII. Other Information

A. Frequently Asked Questions (FAQs) B. Proposers Day

BAA Attachments:

Attachment A: ABSTRACT SUMMARY SLIDE TEMPLATE Attachment B: ABSTRACT TEMPLATE Attachment C: PROPOSAL SUMMARY SLIDE TEMPLATE Attachment D: PROPOSAL TEMPLATE VOLUME 1: TECHNICAL & MANAGEMENT Attachment E: PROPOSAL TEMPLATE VOLUME 2: COST Attachment F: MS ExcelTM DARPA COST PROPOSAL SPREADSHEET Attachment G: PROPOSAL TEMPLATE VOLUME 3: ADMINISTRATIVE & NATIONAL POLICY REQUIREMENTS Attachment H: CONTROLLED UNCLASSIFIED INFORMATION (CUI) GUIDE

HR001120S0062 SAVANT 3

PART I: OVERVIEW INFORMATION

Federal Agency Name: Defense Advanced Research Projects Agency (DARPA), Defense Sciences Office (DSO)

Funding Opportunity Title: The Science of Atomic Vapors for New Technologies (SAVaNT)

Announcement Type: Initial Announcement

Funding Opportunity Number: HR001120S0062

Catalog of Federal Domestic Assistance (CFDA) Number(s): 12.910 Research and Technology Development

Dates (All times listed herein are Eastern Time.)

o Posting Date: August 21, 2020 o Proposers Day: September 3, 2020, See Section VIII.B.

o Abstract Due Date: September 11, 2020, 4:00 p.m.

o FAQ Submission Deadline: October 13, 2020, 4:00 p.m. See Section VIII.A.

o Full Proposal Due Date: October 27, 2020, 4:00 p.m.

Anticipated Individual Awards: DARPA anticipates multiple awards

Types of Instruments that May be Awarded: Procurement contracts, grants, cooperative agreements or Other Transactions. Award instruments will be limited to procurement contracts and Other Transactions for Proposers whose proposed solution includes Controlled Unclassified Information (CUI).

Agency contacts o Technical POC: Tatjana Curcic, Program Manager, DARPA/DSO o BAA Email: SAVaNT@darpa.mil o BAA Mailing Address:

DARPA/DSO

ATTN: HR001120S0062

675 North Randolph Street Arlington, VA 22203-2114 o DARPA/DSO Opportunities Website: http://www.darpa.mil/work-with-us/opportunities

Frequently Asked Questions (FAQ): FAQs for this solicitation may be viewed on the DARPA/DSO Opportunities Website. See Section VIII.A for further information.

mailto:SAVaNT@darpa.mil http://www.darpa.mil/work-with-us/opportunities?tFilter=&oFilter=2&sort=name

HR001120S0062 SAVANT 4

PART II: FULL TEXT OF ANNOUNCEMENT

I. Funding Opportunity Description This Broad Agency Announcement (BAA) constitutes a public notice of a competitive funding opportunity as described in Federal Acquisition Regulation (FAR) 6.102(d)(2) and 35.016 as well as 2 C.F.R. § 200.203. Any resultant negotiations and/or awards will follow all laws and regulations applicable to the specific award instrument(s) available under this BAA, e.g., FAR

15.4 for procurement contracts.

A. Introduction The Defense Sciences Office (DSO) at the Defense Advanced Research Projects Agency (DARPA) is soliciting innovative research proposals that significantly advance the performance of atomic vapors for electric field sensing and imaging, magnetic field sensing, and quantum information science (QIS). Proposed research should investigate innovative approaches that enable revolutionary advances in science, devices, systems, or novel applications of atomic vapors. Specifically excluded is research that primarily results in evolutionary improvements to the existing state of practice.

B. Background Atoms are constants of nature: they are not subject to manufacturing variabilities, defects, impurities, or aging, making them ideal for precision measurements. This is most evident in atomic clocks that are accurate to a fraction of a second over the age of the universe. However, such high-precision quantum devices typically require laser-cooled and trapped atoms that are kept at microKelvin temperatures to mitigate thermal noise effects, necessitating laboratory-scale expansive setups.

Vapor-based technologies1, on the other hand, operate at or near room temperature (RT) without complex laser cooling and trapping, but still offer the advantages derived from the pristine nature of atoms. Our ability to manipulate atoms with light has advanced tremendously over the past couple of decades, including powerful quantum methods, such as Electromagnetically Induced Transparency (EIT) and Spin Exchange Relaxation Free (SERF) magnetometry. Such techniques are enhanced with a bigger and richer toolbox, including more stable and more compact lasers and advanced vapor cell technologies. These combined scientific and technology developments have enabled novel uses of atomic vapors, from Rydberg electrometry and SERF magnetometry to novel components for quantum information systems. Recent advances in strategies for addressing the performance limitations of current methods and novel theoretical ideas on the uses for atomic vapors indicate the possibility for significant breakthroughs in vapor-based devices.

The principal performance limitations of atomic vapors are directly related to their RT operation and decoherence due to thermal and other effects. Typically, a measurement procedure has three steps: (1) state preparation of the atoms in the vapor, (2) field-sensor interaction, and (3) readout.

The sensitivity of the measurement directly depends on the coherence time of the prepared state.

Coherence time is limited by various thermal effects: atom-atom collisions and collisions of

1 In recent years, several companies have developed commercial vapor-based products primarily for applications in timing and magnetometry.

HR001120S0062 SAVANT 5

atoms with vapor-cell walls, Doppler shift of the atomic frequency due to the atom motion relative to the laser probe, and transit time broadening caused by the limited interaction time of atoms with probe fields due to their motion in-and-out of the field. These and other effects have prevented atomic vapor based technologies from reaching their full performance potential. The Science of Atomic Vapors for New Technologies (SAVaNT) program aims to develop techniques to mitigate main decoherence mechanisms in order to realize the full potential of the atomic vapor based technologies.

C. Program Description/Scope SAVaNT will advance the performance of the versatile atomic vapor platform with metrics informed by limitations of the current state of the art (SOA). The program has three Technical Areas (TAs) based on the application domains where atomic vapors are expected to have the biggest impact: Rydberg Electrometry (TA1), Vector Magnetometry (TA2), and Vapor Quantum Electrodynamics (vQED) (TA3). SAVaNT advances will lay the foundations for new technologies that address important DoD needs, including applications that require low size, weight and power (SWaP), high sensitivity electric and magnetic field measurements as well as application that require scalable room-temperature quantum memories and interfaces.

The common scientific challenge across the program will be to improve atomic coherence in vapors. The associated technical challenges will depend on the specifics of the most dominant decoherence mechanisms in each approach.

D. Program Structure SAVaNT is a 48-month program broken into two phases and three Technical Areas (TAs).

Proposers seeking awards for multiple TAs must submit stand-alone proposals for each.

SAVaNT is structured with a Phase 1 base period and a Phase 2 option:

Phase 1 (24 months) will focus on demonstration of the physics aimed at addressing the technical challenges as described in the TA descriptions of Section E. Performers’ progress during Phase 1 will be measured against the 12 month and 24 month metrics shown in Table 1 below. Program reviews will take place at months 12 and 22 to assess performer progress against Phase 1 metrics and inform DARPA’s Phase 2 selection decisions. Performers who are successful in Phase 1 may be selected to move on to Phase 2.

Phase 2 (24 months) is conditional on success in Phase 1 and will demonstrate an integrated benchtop physics package and characterize the performance trade space and meet the metrics specified in Table 1. The trade space will be specific to the targeted application and finalized in Phase 1 through discussion between the performer and

DARPA.

E. Technical Area (TA) Descriptions The SAVaNT program has three TAs, each with its own set of technical risks and challenges.

Each proposal may only respond to one TA. As of the date of publication of this BAA, it is anticipated that TAs 1 and 2 may generate information subject to Controlled Unclassified Information (CUI) or Controlled Technical Information (CTI) controls. Potential award instruments for proposals containing CUI will be limited to contracts or Other Transactions.

Proposers should review BAA Section VI.B.6 regarding DoD requirements related to protection

HR001120S0062 SAVANT 6

of CUI and CTI. In addition, proposers should review Attachment H: CONTROLLED UNCLASSIFIED INFORMATION (CUI) GUIDE to assist in proposal preparation.

TA1 - Rydberg Electrometry:

Rydberg electrometry is a relatively new technique that utilizes atoms to sense electric fields.

Although the method still has much room for improvement, it has notable advantages over antennas, including extremely large operational bandwidth (MHz-THz) accessible with a single device, potential for high sensitivity, and SI-traceability that enables self-calibration. In addition, for some EMC and communications applications, the combination of high sensitivity and narrow instantaneous bandwidth is a major advantage. In the Rydberg sensor, atoms are optically prepared in a state that is particularly sensitive to an incident electric field. The readout is performed optically as well.2,3 Rydberg sensor sensitivity can, in principle, be orders of magnitude better than what is possible with conductive methods that are limited by Johnson noise. Its sensitivity is limited by the atom coherence time, with the fundamental limit determined by the quantum projection noise. Current Rydberg electric field sensors are generally less sensitive than antennas due to various thermal effects such as atom collisions, Doppler broadening, and black-body effects as well as laser shot noise, among others. The instantaneous bandwidth of Rydberg electrometry can be very narrow and is fundamentally limited by the atomic linewidth allowing, in principle, for ultranarrow fractional bandwidth.4 The primary focus in this TA is on improving sensitivity and instantaneous bandwidth of Rydberg electrometry with the metrics and goals as specified in Table 1. Proposers are expected to meet both the sensitivity and instantaneous bandwidth metrics. In Phase 2, those should be demonstrated in an integrated physics package. Of particular interest is the 10-100 GHz part of the spectrum. Proposers should state the frequency or frequency range that they will target. The sensitivities in Table 1 below should be used as a guide to provide sensitivity metrics for the chosen proposal frequency or frequency range. Proposers should clearly delineate approaches and justification for meeting the goals. Dominant noise and decoherence effects should be addressed in detail and proposed strategies for mitigating those effects should be clearly described.

TA2 - Vector Magnetometry:

Vapor magnetometers have already demonstrated one of the highest scalar magnetic field sensitivities of any device. However, achieving this high sensitivity comes with hefty requirements, such as expansive magnetic shielding and/or complex active cancellation of ambient magnetic fields. Furthermore, for some important applications such as magnetic anomaly detection, the full vector field information at DC is desired. While methods to achieve

2 Kübler, H. Shaffer, J.P. et. al., "Atom-based sensing of microwave electric fields using highly excited atoms:

mechanisms affecting sensitivity," Proc. SPIE 10934, Optical, Opto-Atomic, and Entanglement-Enhanced Precision Metrology, 1093406 (2019) 3 Fan, H. et al. Atom based RF electric field sensing. J. Phys. B At. Mol. Opt. Phys. 48, 202001 (2015).

4 Beterov, I. I., Ryabtsev, I. I., Tretyakov, D. B. & Entin, V. M. Quasiclassical calculations of blackbody-radiation-induced depopulation rates and effective lifetimes of Rydberg nS, nP, and nD alkali-metal atoms with n≤80. Phys.

Rev. A - At. Mol. Opt. Phys. 79, 1–11 (2009).

HR001120S0062 SAVANT 7

vector modality with vapors have been demonstrated using the mature and widely used optically pumped magnetometers (OPMs),5 the resulting vector sensitivity is orders of magnitude worse than SOA commercial three-axis fluxgate magnetometers. Recently, a novel promising approach to realizing vector modality with a single sensor was demonstrated using cold atoms.6

This TA is focused on achieving vapor-based vector magnetometry of quasi-DC fields (1 mHz – 100 Hz) with high sensitivity and accuracy, in a small physics package, that can surpass the current SOA fluxgates, as specified in Table 1. All three metrics should be met and demonstrated in an integrated physics package in Phase 2. Proposers should provide clear and detailed descriptions of approaches and justifications for meeting the metrics, e.g., strategies for reducing sensitivity to noise in the applied fields and methods for reducing heading errors.

TA3 - Vapor Quantum Electrodynamics (vQED):

The underlying architecture of many quantum information systems implements a cavity quantum electrodynamics system (CQED), which exploits the strong interaction between light confined in a cavity and atoms to generate coherent superposition states of atoms and light. CQED allows quantum information to be transferred between atoms (matter qubits) and photons, which can carry quantum information across large distances, thus enabling quantum networks. CQED typically requires cryogenics, as in various solid-state realizations, or laser cooling and trapping which poses scaling limitations for quantum information systems.

A recent study proposed that CQED might be possible with warm atomic vapors combined with high-Q nanophotonic cavities (vQED).7 In contrast to typical CQED, vQED utilizes room temperature, strongly interacting atomic vapor–light systems that do not require cryogenics or complex optical systems and are, thus, much more scalable. While the atom-light coupling demonstrated in vapors is currently very small,8 the recent study suggests that an improvement by several orders of magnitude is feasible.

The principal goal of this TA is a demonstration of a room temperature, vapor-based quantum electrodynamics platform in the strong-coupling regime. The figure of merit is cooperativity C=g2/κ·γ where g is the atom-photon coupling, κ is the decoherence rate of the atoms, and γ is the decoherence rate of the cavity photons. Table 1 specifies the cooperativity goals in the program. Proposers should provide clear and detailed descriptions of approaches and justifications for reaching these goals, e.g., methods for combating decoherence caused by thermal effects, such as inhomogeneous and transit time broadening, as well as mitigating other parasitic factors, such as the modification of the atomic properties due to the atom’s proximity to a dielectric surface.7

F. Schedule/Milestones SAVaNT is structured to provide proof of principle demonstration of significant improvements in vapor-based technologies relevant to applications of interest to the DoD. Proposers should

5 O. Gravrand, J. M. Léger, A. Khokhlov, A. Khokhlov, and J. L. Le Mouël, “On the calibration of a vectorial 4 He pumped magnetometer,” Earth, Planets Sp., vol. 53, no. 10, pp. 949–958, 2001.

6Thiele, T., Lin, Y., Brown, M. O. & Regal, C. A. Self-Calibrating Vector Atomic Magnetometry through Microwave Polarization Reconstruction. Phys. Rev. Lett. 121, 153202 (2018).

7 Alaeian, H., Ritter, R., Basic, M., Löw, R. & Pfau, T. Cavity QED based on room temperature atoms interacting with a photonic crystal cavity: a feasibility study. Appl. Phys. B 126, 25 (2020).

8 Ritter, R. et al. Coupling thermal atomic vapor to an integrated ring resonator. New J. Phys. 18, (2016).

HR001120S0062 SAVANT 8

specify the research and technology development schedule for the full period of performance, split between Phase 1 and Phase 2. The Statement of Work (SOW) must provide a detailed task breakdown, citing specific tasks and their connection to interim milestones and metrics, as applicable. Proposers should provide a technical and programmatic strategy that conforms to the entire program schedule and presents an aggressive plan to fully address all program goals, metrics, milestones, and deliverables. The task structure must be consistent across the proposed schedule, SOW, and cost volume.

Schedules will be synchronized across performers, as required, and monitored/revised as necessary throughout the program. A target start date of April 2021 may be assumed for planning purposes.

The following metrics will serve as evaluation points during the course of the program, along with any additional metrics included in the proposal; proposers should incorporate these into their SOW. Performers’ progress during Phase 1 will be measured against the 12 month and 24 month metrics shown in Table 1 below. Program reviews will take place at months 12 and 22 to assess performer progress against Phase 1 metrics and inform DARPA’s Phase 2 selection decisions. Performers who are successful in Phase 1 may be selected to move on to Phase 2.

Table 1. SAVaNT program metrics by Phase and Technical Area

Meetings and Travel To foster collaboration between teams and disseminate program developments, a two-day Principal Investigator (PI) meeting will be held approximately every six months with locations split between the East and West Coasts of the United States.

For budgeting purposes, plan for eight two-day meetings over the course of 48 months: five meetings in the Washington, D.C. area and three meetings in the San Francisco, CA area.

All proposals must also include the following meetings in the proposed schedule and costs: Regular teleconference meetings will be scheduled with the Government team for progress reporting as well as problem identification and mitigation.

Proposers should anticipate at least one site visit per phase by the DARPA Program Manager during which they will have the opportunity to demonstrate progress towards agreed-upon milestones.

HR001120S0062 SAVANT 9

G. Deliverables Performers will be expected to provide at a minimum the following deliverables:

Comprehensive quarterly technical reports due within ten days of the end of the given quarter, describing progress made on the specific milestones as laid out in the SOW.

A phase completion report submitted within 30 days of the end of each phase, summarizing the research done.

Other negotiated deliverables specific to the objectives of the individual efforts. These may include registered reports; experimental protocols; publications; data management plan; intermediate and final versions of software libraries, code, and APIs, including documentation and user manuals; and/or a comprehensive assemblage of design documents, models, modeling data and results, and model validation data.

Reporting as outlined in Section VI.C.

II. Award Information

A. General Award Information DARPA anticipates multiple awards. The level of funding for individual awards made under this BAA will depend on the quality of the proposals received and the availability of funds. Awards will be made to proposers9 whose proposals are determined to be the most advantageous to the Government, all evaluation factors considered. See Section V for further information.

The Government reserves the right to:

select for negotiation all, some, one, or none of the proposals received in response to this solicitation;

make awards without discussions with proposers;

conduct discussions with proposers if it is later determined to be necessary;

segregate portions of resulting awards into pre-priced options;

accept proposals in their entirety or select only portions of proposals for award;

fund awards in increments with options for continued work at the end of one or more phases;

request additional documentation once the award instrument has been determined

(e.g., representations and certifications); and remove proposers from award consideration should the parties fail to reach agreement on award terms within a reasonable time or the proposer fails to provide requested additional information in a timely manner.

Proposals identified for negotiation may result in a procurement contract, grant, cooperative agreement, or Other Transaction, depending upon the nature of the work proposed, the required degree of interaction between parties, and other factors.

9 As used throughout this BAA, “proposer” refers to the lead organization on a submission to this BAA. The proposer is responsible for ensuring that all information required by a BAA--from all team members--is submitted in accordance with the BAA. “Awardee” refers to anyone who might receive a prime award from the Government, including recipients of procurement contracts, grants, cooperative agreements, or Other Transactions. “Subawardee” refers to anyone who might receive a subaward from a prime awardee (e.g., subawardee, consultant, etc.).

HR001120S0062 SAVANT 10

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.

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.

http://www.darpa.mil/work-with-us/contract-management#OtherTransactions http://www.darpa.mil/work-with-us/contract-management#OtherTransactions http://www.darpa.mil/work-with-us/additional-baa

HR001120S0062 SAVANT 11

III. Eligibility Information A. Eligible Applicants

All responsible sources capable of satisfying the Government's needs may submit a proposal DARPA’s consideration.

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

a. FFRDCs FFRDCs are subject to applicable direct competition limitations and cannot propose to this BAA in any capacity unless they meet the following conditions. (1) FFRDCs must clearly demonstrate that the proposed work is not otherwise available from the private sector. (2) FFRDCs must provide a letter, on official letterhead from their sponsoring organization, 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.

b. Government Entities Government Entities (e.g., Government/National laboratories, military educational institutions, etc.) are subject to applicable direct competition limitations. Government Entities must clearly demonstrate that the work is not otherwise available from the private sector and provide written documentation citing the specific statutory authority and contractual authority, if relevant, establishing their ability to propose to Government solicitations and compete with industry. This information is required for Government Entities proposing to be awardees or subawardees.

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

2. Foreign Entity Participation 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. For classified submissions, this includes mitigating any Foreign Ownership Control and Influence (FOCI) issues prior to transmitting the submission to DARPA. Additional information on these subjects can be found at https://www.dcsa.mil/mc/ctp/foci/.

B. Organizational Conflicts of Interest FAR 9.5 Requirements In accordance with FAR 9.5, proposers are required to identify and disclose all facts relevant to potential OCIs involving the proposer’s organization and any proposed team member (subawardee, consultant). Under this Section, the proposer is responsible for providing this https://www.dcsa.mil/mc/ctp/foci/

HR001120S0062 SAVANT 12

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.

Include any OCIs affirmations and disclosures in Volume 3: Attachment G: PROPOSAL

TEMPLATE VOLUME 3: ADMINISTRATIVE & NATIONAL POLICY REQUIREMENTS.

C. 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 (e.g., OTs under the authority of 10 U.S.C. § 2371). Cost sharing is encouraged where there is a reasonable probability of a

HR001120S0062 SAVANT 13

potential commercial application related to the proposed research and development effort.

For more information on potential cost sharing requirements for Other Transactions for Prototype, see http://www.darpa.mil/work-with-us/contract-management#OtherTransactions.

IV. Application and Submission Information Prior to submitting a full proposal, proposers are strongly encouraged to first submit an abstract as described below. This process allows a proposer to ascertain whether the proposed concept is: (1) applicable to the SAVaNT BAA and (2) currently of interest. For the purposes of this BAA, applicability is defined as follows:

The proposed concept is applicable to the technical areas described herein.

The proposed concept is important to DSO’s current investment portfolio.

The proposed concept investigates an innovative approach that enables revolutionary advances, i.e., will not primarily result in evolutionary improvements to the existing state of practice.

The proposed work has not already been completed (i.e., the research element is complete but manufacturing/fabrication funds are required).

The proposer has not already received funding or a positive funding decision for the proposed concept (whether from DARPA or another Government agency).

Abstracts and full proposals that are not found to be applicable to the SAVaNT BAA as defined above may be deemed non-conforming10 and removed from consideration. All abstracts and full proposals must provide sufficient information to assess the validity/feasibility of their claims as well as comply with the requirements outlined herein for submission formatting, content and transmission to DARPA. Abstracts and full proposals that fail to do so may be deemed non-conforming and removed from consideration. Proposers will be notified of non-conforming determinations via letter.

A. Address to Request Application Package This document contains all information required to submit a response to this solicitation. No additional forms, kits, or other materials are needed except as referenced herein. No request for proposal or additional solicitation regarding this opportunity will be issued, nor is additional information available except as provided at the beta.SAM.gov website (https://beta.sam.gov/), the Grants.gov website (http://www.grants.gov/), or referenced herein.

B. Content and Form of Application Submission

1. Abstract Information and Formatting

As stated above, proposers are strongly encouraged to submit an abstract in advance of a full proposal to minimize effort and reduce the potential expense of preparing an out of scope proposal. All proposers are required to use Attachment A: ABSTRACT SUMMARY SLIDE TEMPLATE and Attachment B: ABSTRACT TEMPLATE provided with this solicitation on https://beta.sam.gov/ and http://www.grants.gov. Attachment A: ABSTRACT SUMMARY SLIDE TEMPLATE described herein must be in .ppt or .pptx format and should be attached as a separate file to this document.

10 “Conforming” is defined as having been submitted in accordance with the requirements outlined herein.

http://www.darpa.mil/work-with-us/contract-management#OtherTransactions https://beta.sam.gov/ http://www.grants.gov/ https://beta.sam.gov/ http://www.grants.gov/

HR001120S0062 SAVANT 14

The abstract provides a synopsis of the proposed project by briefly answering the following questions:

What is the proposed work attempting to accomplish or do?

How is it done today, and what are the limitations?

Who will care, and what will the impact be if the work is successful?

How much will it cost, and how long will it take?

Proposers should note that a favorable response to an abstract is not a guarantee that a proposal based on the abstract will ultimately be selected for award negotiation.

While it is DARPA policy to attempt to reply to abstracts within thirty calendar days, proposers to this solicitation may anticipate a response within approximately three weeks. These official notifications will be sent via email to the Technical POC and/or Administrative POC identified on the abstract coversheet.

2. Full Proposal Information and Formatting

a. Proposal Volumes

Full proposals must consist of all 3 volumes described below. To assist in proposal development, templates for these volumes are posted as attachments to this solicitation on https://beta.sam.gov/. The templates are specific to each volume, as outlined below.

Full proposals requesting a procurement contract or Other Transaction must use the following attachments in each volume:

Volume 1 o Attachment C: PROPOSAL SUMMARY SLIDE TEMPLATE o Attachment D: PROPOSAL TEMPLATE VOLUME 1: TECHNICAL &

MANAGEMENT

Volume 2 o Attachment E: PROPOSAL TEMPLATE VOLUME 2: COST o Attachment F: MS ExcelTM DARPA COST PROPOSAL SPREADSHEET

Volume 3 o Attachment G: PROPOSAL TEMPLATE VOLUME 3: ADMINISTRATIVE &

NATIONAL POLICY REQUIREMENTS

Full proposals requesting a grant or cooperative agreement must use the following attachments in addition to the Grants.gov application package:

Volume 1 o Attachment C: PROPOSAL SUMMARY SLIDE TEMPLATE o Attachment D: PROPOSAL TEMPLATE VOLUME 1: TECHNICAL &

MANAGEMENT

Volume 2 o Attachment F: MS ExcelTM DARPA COST PROPOSAL SPREADSHEET

HR001120S0062 SAVANT 15

Volume 3 o Attachment G: PROPOSAL TEMPLATE VOLUME 3: ADMINISTRATIVE &

NATIONAL POLICY REQUIREMENTS

Full proposals requesting a grant or cooperative agreement do not need to include Attachment E.

Instead, Budget Justification should be provided as Section L of the SF 424 Research & Related Budget form provided via http://www.grants.gov (see section IV.E.1.c for additional details).

The Budget Justification should include the following information for the recipient and all subawardees:

Direct Labor (sections A and B) - Detail the total number of persons and their level of commitment for each position listed as well as which specific tasks (as described in the SOW) they will support.

Equipment (section C) - Provide an explanation for listed requested equipment exceeding $5,000, properly justifying why it is required to meet the objectives of the program.

Travel (section D) - Provide the purpose of the trip, number of trips, number of days per trip, departure and arrival destinations, number of people, etc.

Other Direct Costs (section F) - Provide a justification for the items requested and an explanation of how the estimates were obtained.

Participant/Trainee Support Costs section E - Provide details on Tuition/ Fees/ Health Insurance, Stipends, Travel and Subsistence costs.

The Government requires that proposers use the provided Attachment F: MS ExcelTM DARPA COST PROPOSAL SPREADSHEET in the development of their cost proposals. All tabs and tables in the cost proposal spreadsheet should be developed in an editable format with calculation formulas intact to allow traceability of the cost proposal. This cost proposal spreadsheet should be used by the prime organization and all subcontractors. In addition to using the cost proposal spreadsheet, the cost proposal still must include all other items required in this announcement that are not covered by the editable spreadsheet. Subcontractor cost proposal spreadsheets may be submitted directly to the Government by the proposed subcontractor via e-mail to the address in Part I of this solicitation. Using the provided cost proposal spreadsheet will assist the Government in a rapid analysis of your proposed costs and, if your proposal is selected for award, speed up the negotiation and award execution process.

All proposers are required to use the appropriate templates based on the type of award requested.

Templates are provided as attachments to this solicitation on https://beta.sam.gov/ and http://www.grants.gov. Full Proposals that do not include the appropriate attachments as detailed here may be deemed non-conforming and may not be evaluated.

b. DARPA Embedded Entrepreneur Initiative (EEI) (DARPA EEI is an optional sub-section that does not count toward page count.) To catalyze the conversion of scientific discovery to impact, the Defense Sciences Office offers applicants the opportunity for additional funding and transition assistance through participation in EEI. EEI may provide additional funding, up to $250,000, to employ one entrepreneur-in residence or one corporate business development lead. The entrepreneurial lead's ultimate goal is to develop a http://www.grants.gov/ http://www.grants.gov/

HR001120S0062 SAVANT 16

robust Go-to-Market strategy for entering into defense and commercial markets.

All commercialization and transition activities will be timed to suit the performer's stage of maturity. Often, the EEI work is most useful in year two or three of an effort. Activities conducted can include, but are not limited to; cost modeling, end user engagement, market analysis and mapping, competitive analysis, techno-economic analysis, manufacturing and scale-up strategy, IP securement strategy, and financial plan creation.

EEI participants will work closely with DARPA's Commercial Strategy team and their extensive network of U.S. investors, strategic partners, and mentors.

Proposers wishing to participate in EEI must include the following information:

In Volume 1 (not included in page count), Attachment D: PROPOSAL TEMPLATE VOLUME 1: TECHNICAL & MANAGEMENT include an initial hypothesis describing how the proposed technology will transition from its current state to future integration into a product or capability.

In Volume 2 include a separately costed option in Attachment F: MS ExcelTM DARPA COST PROPOSAL SPREADSHEET not to exceed $250,000 that includes tasks describing plans to build and refine a viable Go-to-Market Strategy over the course of the effort. Tasks contributing to the build of a robust Go-to-Market Strategy can include, but are not limited to, cost modeling, end user engagement, market analysis and mapping, competitive analysis, techno-economic analysis, manufacturing and scale-up strategy, IP securement strategy, and financial plan creation.

Selection for award does not imply selection for participation in EEI. The DARPA EEI option will be exercised at the discretion of the Government based on a performer’s technical accomplishments and progress towards development of a technology with transition and commercialization potential and subject to the availability of funding.

Participation in the Embedded Entrepreneur Initiative is voluntary. Participants are not expected to form a new company or leave their current research positions to pursue transition but are expected to, throughout the lifecycle of the proposed effort, identify appropriate partners for enabling transition. EEI funding requests should be consistent with the proposed work scope and proposed timeline, but are anticipated to be in the range of $250,000 per performer.

3. Proprietary Information Proposers are responsible for clearly identifying proprietary information. Submissions containing proprietary information must have the cover page and each page containing such information clearly marked with a label such as “Proprietary” or “Company Proprietary.” NOTE:

“Confidential” is a classification marking used to control the dissemination of U.S. Government National Security Information as dictated in Executive Order 13526 and should not be used to identify proprietary business information. See Section IV.E.1.e for additional information.

4. Security Information DARPA anticipates that submissions received under this BAA will be unclassified. However, should a proposer wish to submit classified information, an unclassified email must be sent to the BAA mailbox requesting submission instructions from the DARPA/DSO Program Security Officer (PSO).

HR001120S0062 SAVANT 17

Security classification guidance and direction via a Security Classification Guard (SCG) and/or DD Form 254, “DoD Contract Security Classification Specification,” will not be provided at this time, since DARPA is soliciting ideas only. If a determination is made that the award instrument may result in access to classified information, a SCG and/or DD Form 254 will be issued by DARPA and attached as part of the award.

C. Submission Dates and Times Proposers are warned that submission deadlines as outlined herein are in Eastern Time and will be strictly enforced. When planning a response to this solicitation, proposers should take into account that some parts of the submission process may take from one business day to one month to complete (e.g., registering for a Data Universal Numbering System (DUNS) number or Taxpayer Identification Number (TIN)).

DARPA will acknowledge receipt of complete submissions via email and assign identifying numbers that should be used in all further correspondence regarding those submissions. If no confirmation is received within two business days, please contact the BAA Administrator at SAVaNT@darpa.mil to verify receipt.

1. Abstracts Abstracts must be submitted per the instructions outlined herein and received by DARPA no later than the due date and time listed in Part One: Overview Information. Abstracts received after this time and date may not be reviewed.

2. Full Proposals Full proposal packages as detailed in Section IV.B.2 above, and, as applicable, proprietary subawardee cost proposals and classified appendices to unclassified proposals, must be submitted per the instructions outlined herein and received by DARPA no later than the due date and time listed in Part One: Overview Information. Proposals received after this time and date may not be reviewed.

D. Funding Restrictions Not applicable.

E. Other Submission Requirements

1. Unclassified Submission Instructions

Proposers must submit all parts of their submission package using the same method; submissions cannot be sent in part by one method and in part by another method nor should duplicate submissions be sent by multiple methods. Email submissions will not be accepted. Failure to comply with the submission procedures outlined herein may result in the submission being deemed non-conforming and withdrawn from consideration.

a. Abstracts DARPA/DSO will employ an electronic upload submission system (https://baa.darpa.mil/) for all UNCLASSIFIED abstracts sent in response to this solicitation. Abstracts must not be submitted via Grants.gov.

First time users of the DARPA BAA Submission website must complete a two-step account mailto:SAVaNT@darpa.mil https://baa.darpa.mil/

HR001120S0062 SAVANT 18

creation process. The first step consists of registering for an extranet account by going to the URL listed above and selecting the “Account Request” link. Upon completion of the online form, proposers will receive two separate emails; one will contain a user name and the second will provide a temporary password. Once both emails have been received, the second step requires proposers to go back to the submission website and log in using that user name and password. After accessing the extranet, proposers may then create a user account for the DARPA BAA Submission website by selecting the “Register your Organization” link at the top of the page. Once the user account is created, proposers will be able to see a list of solicitations open for submissions, view submission instructions, and upload/finalize their abstract.

Proposers who already have an account on the DARPA BAA Submission website may simply log in at https://baa.darpa.mil/, select this solicitation from the list of open DARPA solicitations and proceed with their abstract submission. NOTE: Proposers who have created a DARPA BAA Submission website account to submit to another DARPA Technical Office’s solicitations do not need to create a new account to submit to this solicitation.

All abstracts submitted electronically through the DARPA BAA Submission website must meet the following requirements: (1) uploaded as a zip file (.zip or .zipx extension); (2) only contain the document(s) requested herein; (3) only contain unclassified information; and (4) must not exceed 100 MB in size. Only one zip file will be accepted per abstract and abstracts not uploaded as zip files will be rejected by DARPA.

Technical support for the DARPA BAA Submission website is available during regular business hours, Monday – Friday, 9:00 a.m. – 5:00 p.m. Requests for technical support must be emailed to BAAT_Support@darpa.mil with a copy to SAVaNT@darpa.mil. Questions regarding submission contents, format, deadlines, etc. should be emailed to SAVaNT@darpa.mil.

Questions/requests for support sent to any other email address may result in delayed/no response.

Since proposers may encounter heavy traffic on the web server, DARPA discourages waiting until the day abstracts are due to request an account and/or upload the submission.

NOTE: Proposers submitting an abstract via the DARPA BAA Submission site MUST (1) click the “Finalize” button in order for the submission to upload AND (2) do so with sufficient time for the upload to complete prior to the deadline. Failure to do so will result in a late submission.

b. Proposals Requesting a Procurement Contract or Other Transaction Proposers requesting procurement contracts or Other Transactions may submit full proposals through ONE of the following methods: (1) electronic upload (DARPA-preferred); or (2) direct mail/hand-carry.

i. Electronic Upload DARPA/DSO encourages proposers to submit UNCLASSIFIED proposals via the DARPA BAA Submission website at https://baa.darpa.mil.

First time users of the DARPA BAA Submission website must complete a two-step account creation process. The first step consists of registering for an extranet account by going to the URL listed above and selecting the “Account Request” link. Upon completion of the online form, proposers will receive two separate emails; one will contain a user name and the second will provide a temporary password. Once both emails have been received, the second step requires proposers to go back to the submission website and log in using that user name and password. After accessing the extranet, proposers may then create a user account for the DARPA https://baa.darpa.mil/ mailto:BAAT_Support@darpa.mil mailto:SAVaNT@darpa.mil mailto:SAVaNT@darpa.mil https://baa.darpa.mil/

HR001120S0062 SAVANT 19

BAA…