HR001121S0002.pdf

HR001121S0002

Broad Agency Announcement Quantum Apertures

Microsystems Technology Office

October 1, 2020

Table of Contents

PART I: OVERVIEW INFORMATION

PART II: FULL TEXT OF ANNOUNCEMENT

I. Funding Opportunity Description A. Background B. Program Description

1. Improving sensitivity while maintaining coherence and transmissivity

2. Achieving fast, broad, and continuous tuning of the receiver channel frequency

3. Demonstrating a sensor array and angle of arrival (AoA) detection

4. Receiving arbitrary waveforms

C. Program Structure D. Milestones E. Deliverables F. Government Furnished Equipment/Property/Information

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

III. Eligibility Information A. Eligible Applicants

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

Entities B. Organizational Conflicts of Interest C. Cost Sharing/Matching

1. Collaborative Efforts D. Associate Contractor Agreement Clause E. Other Eligibility Criteria

1. Ability to support Classified Development IV. Application and Submission Information

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

1. Abstract Format

2. Full Proposal Format

3. Proprietary Information

4. Security Information

a. Program Security Information

b. Both Classified and Unclassified Submissions

5. Disclosure of Information and Compliance with Safeguarding Covered Defense Information Controls

6. Human Subjects Research (HSR)/Animal Use

7. Approved Cost Accounting System Documentation

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

9. Small Business Subcontracting Plan

10. Intellectual Property

c. For Procurement Contracts

d. For All Non-Procurement Contracts

11. Patents

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

13. Funding Restrictions C. Submission Information

1. Submission Dates and Times

a. Abstract Due Date

b. Full Proposal Date

c. Frequently Asked Questions (FAQ)

2. Abstract Submission Information

3. Proposal Submission Information

a. For Proposers Requesting Technology Investment Agreements

b. For Proposers Requesting Contracts or Other Transaction Agreements

c. Classified Submission Information

4. Other Submission Requirements

V. Application Review Information A. Evaluation Criteria

1. Overall Scientific and Technical Merit

2. Potential Contribution and Relevance to the DARPA Mission

3. Cost Realism

B. Review and Selection Process

1. Review Process

2. Handling of Source Selection Information

3. Federal Awardee Performance and Integrity Information (FAPIIS)

VI. Award Administration Information A. Selection Notices

1. Abstracts

2. Proposals

B. Administrative and National Policy Requirements

1. Meeting and Travel Requirements

2. FAR and DFARS Clauses

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

4. Representations and Certifications

C. Reporting D. Electronic Systems

1. Wide Area Work Flow (WAWF)

2. i-Edison

3. TFIMS

VII. Agency Contacts VIII. Other Information

A. Proposers Day B. Protesting

ATTACHMENT 1: Cost Volume Proposer Checklist ATTACHMENT 2: Proposal Summary Slide Template ATTACHMENT 3: Security Classification Guide and Classified Addendum Request Form

PART I: OVERVIEW INFORMATION

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

Funding Opportunity Title: Quantum Apertures Announcement Type: Initial Announcement Funding Opportunity Number: HR001121S0002 Catalog of Federal Domestic Assistance Numbers (CFDA): Not applicable Dates: (All times listed herein are Eastern Time) o Posting Date: October 1, 2020 o Proposers Day: October 2, 2020 o Request for Classified BAA Addendum: Must be made by October 9, 2020 at

5:00pm (ET) o Abstract (TA1 only) Due Date: October 26, 2020 o FAQ Submission Deadline: December 1, 2020 o Proposal Due Date: December 8, 2020 o Estimated period of performance start: May 2021

Concise description of the funding opportunity: The Microsystems Technology Office at DARPA seeks innovative proposals in the area of quantum-based RF receivers. The program will demonstrate the potential to receive modulated RF signals over a very large spectral range using a single receiving element with state of the art sensitivity.

Anticipated Program Funding Available: $45M over four years.

Anticipated individual awards: Multiple awards are anticipated.

Anticipated funding type: 6.2 Types of instruments that may be awarded: Procurement contract or Other

Transaction.

Agency contact:

o Dr. John Burke, Program Manager BAA Coordinator: HR001121S0002@darpa.mil

DARPA/MTO

ATTN: HR001121S0002

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

PART II: FULL TEXT OF ANNOUNCEMENT

I. Funding Opportunity Description

The Defense Advanced Research Projects Agency (DARPA) often selects its research efforts through the Broad Agency Announcement (BAA) process. This BAA is being issued, and any resultant selection will be made, using the procedures under Federal Acquisition Regulation (FAR) 6.102(d)(2) and 35.016 and 2 C.F.R. § 200.203. Any negotiations and/or awards will use procedures under FAR 15.4, Contract Pricing. Proposals received as a result of this BAA shall be evaluated in accordance with evaluation criteria specified herein through a scientific review process.

DARPA BAAs are posted on the beta SAM website, under the Contract Opportunities (FBO) link, at https://beta.sam.gov/. The following information is for those wishing to respond to the

BAA.

The Microsystems Technology Office at DARPA seeks innovative proposals in the area of quantum-based “Rydberg” sensor-based RF receivers. Proposed research should investigate innovative approaches to enable revolutionary advances in science, devices, or systems.

Specifically excluded is research that primarily results in evolutionary improvements to the existing state of practice.

A. Background

The past few years have brought about great advances in quantum “Rydberg” sensors for the sensing of electric fields. These sensors use highly excited atomic states with a high principal quantum number, n, typically of order 100. These high-n “Rydberg” electronic states cause excited atoms to possess large electric dipole moments and are thus highly susceptible to RF-induced changes in the electronic state, which can be detected by a range of optical readout methods, such as Electromagnetically Induced Transparency (EIT).

There are several advantages of the Rydberg sensors relative to classic antenna-based receivers.

First, since traditional antennas detect RF fields via their interactions with charge currents in a conductor, their sensitivities are limited by thermal noise due to the thermal motion of conduction electrons. In contrast, the quantum Rydberg sensor is limited by quantum noise, which can be orders of magnitude less than thermal noise. Additionally, a classic antenna’s size and shape strongly affects its performance; they perform best when their effective electrical length is of the same order of magnitude as the wavelength of the signal to be detected. If the antenna size occupies too small of a volume, the well-known Chu limit will force poor performance. In contrast, the Rydberg sensor has no such size limitation with respect to the received RF frequency wavelength. This decoupling of the aperture shape and the RF frequency enables a single Rydberg sensor to be programmed over a large frequency range from MHz to THz. Furthermore, antennas tend to re-radiate incident electromagnetic energy, which constrains the RF power they can receive. Finally, the often complex coupling between incident waves and antennas creates complex directional sensitivity (antenna gain). Rydberg sensors, on the other hand, can have nearly isotropic directional sensitivity (an advantage or disadvantage depending on application) and tolerate high incident power.

Despite these advantages and the previous work that has been done, there are significant technical challenges that must be overcome to realize the Rydberg sensor advantages described above in relevant defense applications as described below.

B. Program Description

The Quantum Apertures program aims to demonstrate the utility of Rydberg sensors as part of a portable RF receiver system in the context of defense applications. The program will require quantum engineering and “traditional” electro-mechanical-systems engineering to overcome technical and application challenges that impede rapid adoption of a quantum aperture receiver by the defense industrial base. The program goal will be a system that can directionally receive low intensity, modulated RF signals and operate over a very large spectral range. The technical challenges are detailed below.

1. Improving sensitivity while maintaining coherence and transmissivity.

Currently a cm-sized Rydberg sensor has been demonstrated with a sensitivity of about -115 dBI/Hz1 (where dBI means decibel “Intensity,” not “isotropic” as in antenna gain. 0 dBI corresponds to 1 Watt/m2) 2 at 1 to 10 GHz. A corresponding classical antenna has an ideal sensitivity of -130 to -160 dBI/Hz in this frequency range, making antennas more sensitive than current Rydberg sensors. The quantum limit for a cubic centimeter interrogation volume of room temperature alkali atoms could be well below -200 dBI/Hz3; however, atom-atom interactions, Doppler shifts, non-ideal volume utilization, and other effects are limiting advancements4 in sensitivity. This program therefore seeks new approaches to greatly reduce the sensitivity limitations. Potential approaches could include, but are not limited to:

modifying the gas scattering properties within the cell through the use of buffer gases; adding new control fields (extra lasers or DC fields) to the cell; or modulating control fields, as in Ramsey spectroscopy. Any ideas pursued by the proposer to enhance sensitivity will be considered.

The goal of this program will be to realize a sensitivity of up to -165 dBI/Hz (depending on frequency, see Table 2 below), with 100 ns coherence time, and 99% transmission in a cubic

1 J. A. Gordon, et. al., “Weak electric-field detection with sub-1 Hz resolution at radio frequencies using a Rydberg atom-based mixer,” AIP Adv., v. 9, no. 045030 (2019) 2 0 dBI = 10 log10(1 W/m2 )= -10 dBm/cm2 ≈

2 ∗ 377 Ω(27

𝑉 𝑚)2

2 ∗ 377 Ω (0.27 𝑉 𝑐𝑚)2

-165 dBI = 10log10(3.2 x 10-17 W/m2 )= -175 dBm/cm2 ≈

2 ∗ 377 Ω(150 𝑛𝑉 𝑚 )2

2 ∗ 377 Ω (1.5 𝑛𝑉 𝑐𝑚)2

3 Fan, H. et. al. Atom based RF electric field sensing. J. Phys. B: At. Mol. Opt. Phys. v. 48 no. 202001 (2015).

4 D. H. Meyer, et. al., “Assessment of Rydberg atoms for wideband electric field sensing,” J. Phys. B At. Mol. Opt.

Phys., 53 034001 (2020);

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) centimeter (cm3) “element” containing an excited alkali vapor. This 1 cm3 element volume includes everything required for the element’s operation, other than cables (e.g., optical fiber, wire) and any electronics or lasers that can be connected via those cables. Transmission specifically refers to the RF transparency of the atomic gas enclosure or any other materials in the sensor element. Low transmission will reduce RF-field sensitivity, accuracy and, if absorptive, will reduce the maximum operational incident field intensity the element can tolerate.

2. Achieving fast, broad, and continuous tuning of the receiver channel frequency.

Although Rydberg sensors have demonstrated sensing from MHz to THz, they are inherently “quantized” and only achieve high sensitivity at specific discrete frequencies. These high sensitivity (resonant) channels ~10 MHz wide are spaced between 100 MHz to 1 GHz apart, with poor sensitivity (off-resonant) bands occupying the frequency intervals in between.

Furthermore, tuning the sensor between these channels is presently slow compared to agile spread spectrum waveforms commonly in use by the DoD, such as frequency hopping, which demand microsecond hopping speeds. The tuning time in a Rydberg receiver can be shortened with complex optical frequency control schemes, but this could increase cost and size. Adding a DC electric or magnetic field can tune the frequency of a high sensitivity channel, but they would have to be implemented in a manner that does not impact cell transmission, sensitivity, or the ability to create arrays of sensors.

Therefore, the second goal of this program will be to realize a sensor that can operate over a range from 10 MHz to 40 GHz (and preferably more), that can tune continuously with locally constant sensitivity (i.e. constant over several channel widths), and also sweep at 100 MHz per microsecond speeds, locally, and jump 10 quantum #’s (n) in one microsecond.

3. Demonstrating a sensor array and angle of arrival (AoA) detection.

Currently Rydberg sensors have no inherent directivity. To achieve this capability, an array of phase sensitive sensors would be required. Although there have been reports of phase measurements, these systems require additional control elements around the vapor cell that complicate reception and would cause cross talk between array elements. Regarding array fabrication, individual sensors could be assembled into an array, but ideally, for lower cost, a phased array would be created monolithically from bonded, patterned wafers. However, this will be a challenge, especially with high yield. These arrays may require high dielectric materials that will create cross element interference. In order to meet the angle of arrival sensitivity challenge, proposers will need a phase reference scheme compatible with atomic readout, and mitigate cross element interference, all preferably integrated into a monolithic array. Furthermore, it will be important that array elements are individually addressable such that the array can be programmed to improve sensitivity, instantaneous frequency coverage, or data-rate.

The third goal of the program will be to build an independently addressable 100 element array capable of sensing 1 degree AoA sensitivity and 100 times improved sensitivity or bandwidth.

4. Receiving arbitrary waveforms.

Though there are reports of Rydberg receivers capable of sensing waveforms with simple modulation schemes,5 significant work remains to receive and process arbitrary waveforms with multiple frequencies and large dynamic range. When a Rydberg receiver is illuminated with wideband background clutter in combination with multiple large amplitude signals, multiple atomic state excitations and decay processes become important for predicting the optical output spectrum. The optical output spectrum will be challenging to process and therefore will impede the ability of the user to interpret the spectral environment.

The final goal of this program will be to demonstrate the ability to detect, and process some commonly used waveforms (GPS, Digital Television, and a frequency hopping waveform) and develop novel waveforms that can maximally take advantage of the unique RF sensing characteristics of Rydberg receivers for future defense applications. Modeling and simulation of the Rydberg receiver design will be essential to success of the Quantum Apertures program.

C. Program Structure

The Quantum Apertures program will be a 48-month with four 12 month phases. Notably, this BAA (BAA1) only solicits proposals for the first two phases, over a total of 24 months. A second BAA (BAA2) is planned to be released during the middle of Phase 2 soliciting proposals for Phases 3 and 4. BAA2 will only be available to awardees of BAA1. Options may be exercised, at the Government’s sole discretion, based on technical progress made by the performers as measured against the metrics and milestones defined in this BAA1 and on funding availability.

This BAA (BAA1) has two Technical Areas. Technical Area One (TA1) focuses on developing the quantum engineering of the sensor, addressing Challenges 1 and 2 as described in Section B above. TA1 will also demonstrate the reception of presently used waveforms, thereby partially addressing Challenge 4. Technical Area Two (TA2) will focus on developing applications and novel waveforms addressing Challenge 4. In BAA2, performers will address Challenge 3, developing arrays, as well as building the TA2 applications developed as in this BAA.

A single proposal to BAA1 may respond to either TA1 or TA2, but not both. A proposer wishing to propose to both TAs must submit separate proposals, one for TA1 and the other for TA2.

The systems developed in this BAA are expected to be amenable to further development under BAA2 and proposals should outline the plan for this further development. Target metrics for BAA2 shown in Table 2 are given as a reference to aid in the development of the plan, but they may change when BAA2 is issued.

As sensor design and sensor applications are strongly linked, the success of the program requires that the TAs work collaboratively. To ensure this close collaboration across the TAs, proposers to TA1 should expect to enter into Associate Contractor Agreements (ACAs) between each TA2

5 D. A. Anderson, R. E. Sapiro and G. Raithel, "Rydberg Atoms for Radio-Frequency Communications and Sensing:

Atomic Receivers for Pulsed RF Field and Phase Detection," in IEEE Aerospace and Electronic Systems Magazine 35, 48 (2020).

performer; similarly, TA2 proposers should expect to enter such agreements with each TA1 performer. Proposers who submit both TA1 and TA2 proposals should include in their offering a plan to provide a data firewall between these TAs so as to prevent leakage of proprietary information provided by competing performers working in the same technical area.

A SECRET//SPECIAL ACCESS REQUIRED addendum and Security Classification Guide (SCG) has been created to provide additional details on TA2 for the Quantum Apertures program. Please see BAA Attachment 3 “Security Classification Guide and Classified Addendum Request Form” for instructions on receiving these additional documents. Note, TA1 is expected to remain unclassified.

D. Milestones

In both phases of this BAA, all of the metrics described in Table 1 must be met by a single TA1 system. All proposals in response to this BAA must address Phase 1 and Phase 2. Partial submissions will be considered nonconforming and will not be evaluated. The systems developed in this BAA are expected to be amenable to further development under BAA2. The metrics for BAA2 shown in Table 3 are given as a reference to aid proposal development to this BAA. Figure 1 shows the milestone for this program by phase and technical area.

Table 1. TA1 Metrics Technical Challenge

(TC)

Metric Unit Phase 1

BAA-1

Phase 2

BAA-1

Sensitivity dBI/Hz -145 [1] [see Table 2]

Coherence Time [2] ns >100 >100

Transparency [3] % 99

Max Intensity dBI 50

TC1

Element Size [4] cm3 1 1

Continuous Frequency Coverage

GHz 1.7 to 2.2 0.01 to 40

Channel Switching Speed [5] μs 1000 10

Channel Switching Span [5] GHz or # 1 10

TC2

Scan Speed MHz/μs 1 [6] 100

Signal Receive Demonstrations Analyzer Scan [8]

GPS, DTV, FHSS

[9]TC4

Data Rate [7] Mbit/s 1 10

[1] For phase 1, the sensitivity is taken to be over 1.7 to 2.2 GHz.

[2] The coherence time listed is expected to be required in order achieve the sensitivity metric and will be important for narrow band applications, especially at low carrier frequency, however;

proposers are free to identify an alternative parameter set to meet the sensitivity goal if they can justify it in the context of balancing narrow and broad band applications.

[3] Transparency refers to the RF amplitude measured by the atoms relative to the RF amplitude incident on the sensing element.

[4] Element Size is the volume of the sensor, including all supporting components excepting components connected via optical fiber or electrical wire.

[5] Channel Switching Speed is the time required to switch from receiving data at one initial center frequency and then receiving data at another center frequency. Channels Switching Span is the difference between these two center frequencies. Span # refers to quantum number. The metric should be taken to be 10 GHz or 10 principal quantum number, whichever is greater. For example, suppose one started the demonstration with rubidium and the n = 60 S state which is resonantly sensitive to approximately 15 GHz due to the n = 59 P state. A switch to the 70 S state, which is sensitive to 9 GHz, represents a switching span of 10 quanta and 6 GHz, which would not meet the metric. A switch from 60 S to the 50 S state with sensitivity at 5 GHz represents a switching span of 10 quanta and 10 GHz, which would meet the metric.

[6] Scan Speed for Phase 1 is taken to be between 1.7 and 2.2 GHz.

[7] Sensitivity and Data-rate should be simultaneously achieved after normalizing for bandwidth.

[8] A simple spectrum analyzer sweep over the 1.7 to 2.2 GHz frequencies.

[9] For GPS, some processing gain will be required to pick up the signal as the GPS ground intensity spectral density is too low. If this processing gain will require substantial development effort relative to the rest of the phase, proposers can suggest alternative signals that demonstrate phase shift keyed receive. The Government may also provide GPS specific signal processing electronics as GFE.

Digital Television using ATSC should be readily available near most urban and sub-urban locations. If a proposer is in a rural location with poor DTV access, they should suggest an alternative amplitude modulated demonstration.

The frequency hop spread spectrum (FHSS) will be conducted near 1 GHz with 240 MHz of total span over 80, 3 MHz channels with a hopping rate of 100 kilo-hops per second. A shielded environment may be required to conform to FCC regulations on transmissions. The sequence should follow this reference6.

Table 2. TA1 Sensitivity Goals

Frequency Sensitivity [dBI/Hz]

40 GHz -150

10 GHz -165

1 GHz -165

100 MHz -145

10 MHz -115

Technical Area Two (TA2) will have milestones with deliverables at 12 and 23 months. These deliverables are summarized in Table 4. At the first milestone, proposers are expected to deliver at least 2 application studies, one which uses the single element quantum apertures developed by TA1 in this BAA, and one using a phased array system which will be developed under BAA2.

6 S.V. Marić et. al., “A Class of Frequency Hop Codes with Nearly Ideal Characteristics for Use in Multiple-Access Spread-Spectrum Communications and Radar and Sonar Systems,” IEEE Trans. on Communications, Vol. 40, No. 9, Sept 1992.

In addition, the ACAs between the TA2 teams and the TA1 teams will need to be in place prior to the 12-month milestone and preferably, by 6 months into the program.

At the second milestone, there will be a Preliminary Design Review (PDR) for a system design that addresses a single sensor application studied in Phase 1. In addition, at the second milestone, TA2 will deliver a novel waveforms and signal structure that the TA1 teams might use in their future work under BAA2. The novel waveforms that will be developed by TA2 should demonstrate a clear, defined DoD benefit.

In Phase 2, TA2 teams will need to simulate novel waveforms and determine the quantum aperture output signal structure and signal processing requirements to “invert” the output spectrum to understand the RF spectrum incident on the quantum aperture. To facilitate this simulation, the government will provide a generalized forward model of a quantum aperture in the presence of arbitrary intensity spectral density in both frequency span and power (see GFI section).

Successful TA2 proposals will:

1. Describe an application to study and why a quantum aperture as built by TA1 would lead to an innovative and impactful outcome for that application.

2. Define key metrics for the application’s success (e.g. aperture geometry), identify the state of the art for these metrics, and propose feasible improvements that will be studied.

3. Identify challenges and/or unknowns in realizing the application that will be studied.

4. Describe how they will design a receiver to incorporate the Quantum Aperture element that will lead to a successful preliminary design review in the Phase 2 option

5. Conform to the metrics in the classified appendix.

For reference only – Not to be proposed As part of BAA2, performers will build quantum aperture systems inspired by the applications developed in TA2. Therefore, any application-specific metrics for BAA2 could change. The target metrics for the second BAA’s Phases 3 and 4 are provided below in Table 3 for reference only. In BAA1, proposers should address how their proposed approach in Phases 1 and 2 could be extended in Phases 3 and 4 to arrays meeting such performance, but no work should be proposed to this BAA.

Table 3. Target metrics for potential future BAA (BAA2)

Metric Unit Phase 3 / BAA2 Phase 4 / BAA2

Angle of Arrival degree 1 1

TC

# of independent elements 4 100

Signal Agility GPS, DTV, FHSS, TA2 waveform at same time

TC

Data rate Mbit/s 40 1000

Controller size Liter 30

Controller power Watt 300

Figure 1. Program Timeline

E. Deliverables

Program deliverables are summarized in Table 4. Reporting requirements are covered in another section.

Table 4. Deliverables

Phase 1 / BAA-1 Phase 2 / BAA-1

Information Agreements with TA2 System meeting metrics in Table 1 and 2TA 1

Training for Test & Evaluation Personnel

Single Element Application Study Preliminary Design Review for Single Element Application

TA 2

Phased Array Application Study Application Specific Signal Structure

Information Agreements with TA1

System Requirements Review (SRR)

For Phase 1, the Systems Requirements Review (SRR), will trace the application requirements to the various systems components in an operational environment. Along with the requirements definition, at the SRR DARPA expects:

1. Metrics traceability analysis

2. Simulation capability analysis for Phase 2

3. Details of systems engineering process and additional analysis

4. Link budget

5. Identification of technical risks and mitigation plans

For Phase 2, the Preliminary Design Review (PDR) will include delivery of the following:

1. Requirements and technical specification verification

2. TA1 interface control document

3. Updated single element design

4. Updated technical risks and mitigation plans

5. Any lab testing and analysis results

F. Government Furnished Equipment/Property/Information

The government, in consultation with the performers, expects to develop a generalized physics model of a quantum aperture in the presence of arbitrary input frequency spread and amplitude.

This Government Furnished Information (GFI) model will enable integration of quantum aperture control approaches to be developed by the performers. The model will not associate control approaches with particular proposal teams, however proposals can request control approach concept details to be excluded from the GFI model with appropriate intellectual property justification. The model will be delivered in at least two versions starting at the end of Phase 1.

II. Award Information

A. General Award Information

Multiple awards are anticipated. The amount of resources made available under this BAA will depend on the quality of the proposals received and the availability of funds.

The Government reserves the right to select for negotiation all, some, one, or none of the proposals received in response to this solicitation, and to make awards without discussions with proposers. The Government also reserves the right to conduct discussions if it is later determined to be necessary. If warranted, portions of resulting awards may be segregated into pre-priced options. Additionally, DARPA reserves the right to accept proposals in their entirety or to select only portions of proposals for award. In the event that DARPA desires to award only portions of a proposal, negotiations may be opened with that proposer. The Government reserves the right to fund proposals in phases with options for continued work at the end of one or more of the phases, as applicable.

Awards under this BAA will be made to proposers on the basis of the evaluation criteria listed below (see section labeled “Application Review Information,” Sec. V.), and program balance to provide overall value to the Government. The Government reserves the right to request any additional, necessary documentation once it makes the award instrument determination. Such additional information may include but is not limited to Representations and Certifications (see Section VI.B.4., “Representations and Certifications”). The Government reserves the right to remove proposers from award consideration should the parties fail to reach agreement on award terms, conditions and cost/price within a reasonable time or the proposer fails to timely provide requested additional information. Proposals identified for negotiation may result in a procurement contract or other transaction, depending upon the nature of the work proposed, the required degree of interaction between parties, whether or not the research is classified as Fundamental Research, and other factors.

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

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

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

‘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.

III. Eligibility Information

A. Eligible Applicants

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

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

a) FFRDCs

FFRDCs are subject to applicable direct competition limitations and cannot propose to this BAA in any capacity unless they meet the following conditions. (1) FFRDCs must clearly demonstrate that the proposed work is not otherwise available from the private sector. (2) FFRDCs must http://www.darpa.mil/work-with-us/additional-baa 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.

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

(2) For classified proposals, applicants will ensure all industrial, personnel, and information systems processing security requirements are in place and at the appropriate level (e.g., Facility Clearance Level (FCL), Automated Information Security (AIS), Certification and Accreditation (C&A), and any Foreign Ownership Control and Influence (FOCI) issues are mitigated prior to submission. Additional information on these subjects can be found at http://www.dss.mil.

B. Organizational Conflicts of Interest

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

FAR 9.505-4.

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

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

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

The name of the DARPA office receiving the support;

The prime contract number;

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

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

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

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

C. 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.

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

http://www.darpa.mil/work-with-us/contract-management https://acquisitioninnovation.darpa.mil/

1. Collaborative Efforts

Collaborative efforts/teaming are encouraged.

D. Associate Contractor Agreement Clause

This same or similar clause will be included in all TA1 and TA2 awards against

HR001121S0002:

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

b) Work under this contract may involve access to proprietary or confidential data from an Associate Contractor. To the extent that such data is received by the Contractor from any Associate Contractor for the performance of this contract, the Contractor hereby agrees that any proprietary information received shall remain the property of the Associate Contractor and shall be used solely for the purpose of the Quantum Apertures research effort. Only that information which is received from another contractor in writing and which is clearly identified as proprietary or confidential shall be protected in accordance with this provision.

The obligation to retain such information in confidence will be satisfied if the Contractor receiving such information utilizes the same controls as it employs to avoid disclosure, publication, or dissemination of its own proprietary information. The receiving Contractor agrees to hold such information in confidence as provided herein so long as such information is of a proprietary/confidential or limited rights nature.

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

a. Maintenance of a close liaison and working relationship;

b. Maintenance of a free and open information network with all Government identified

Associate Contractors;

c. Delineation of detailed interface responsibilities;

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

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

d) In the event that the Contractor and the Associate Contractor are unable to agree upon any such interface matter of substance, the technical data identified is not provided as scheduled, the Contractor shall promptly notify the DARPA Quantum Apertures Program Manager. The

Government will determine the appropriate corrective action and will issue guidance to the affected Contractor.

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

f) Associate Contractors for this Quantum Apertures research effort include:

Performer ACA With

Each TA1 performer Each TA2 performer

Each TA2 performer Each TA1 performer

Note: It is intended that ACAs be established preferably by 6 months into the program and no later than the 12-month milestone between each TA1 performer and each TA2 performer.

E. Other Eligibility Criteria

1. Ability to support Classified Development

Proposals to TA2 of QA are expected to be classified at SECRET//SPECIAL ACCESS REQUIRED. Therefore, performers will require collateral SECRET clearances and access to both an accredited Special Access Program Facility (SAPF) and secure communications in order to support classified development. Please reference BAA Attachment 3 “Security Classification Guide and Classified Addendum Request Form” for additional information.

Proposers must also be able to handle Controlled Unclassified Information. All award instruments will include a CUI clause or article. See BAA Part II. Section IV.C.5. “Disclosure of Information and Compliance with Safeguarding Covered Defense Information Controls.”

IV. Application and Submission Information

PROPOSERS ARE CAUTIONED THAT EVALUATION RATINGS MAY BE LOWERED

AND/OR PROPOSALS REJECTED IF PROPOSAL PREPARATION (PROPOSAL FORMAT,

CONTENT, ETC.) AND/OR SUBMITTAL INSTRUCTIONS ARE NOT FOLLOWED.

A. Address to Request Application Package

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

B. Content and Form of Application Submission http://www.darpa.mil/

All submissions, including abstracts and proposals must be written in English with type not smaller than 12 point font. Smaller font may be used for figures, tables, and charts. Copies of all documents submitted must be clearly labeled with the DARPA BAA number, proposer organization, and proposal title/proposal short title.

1. Abstract Format

Proposers are strongly encouraged to submit an abstract for TA1 in advance of a full proposal.

Quantum Apertures is not accepting abstract submissions for TA2. Abstracts should follow the format described below in this section. The cover sheet should be clearly marked “ABSTRACT” and the total length of Section II should not exceed 7 pages.

Section I. Administrative

A. Cover sheet to include:

(1) BAA number (HR001121S0002);

(2) Lead Organization submitting abstract;

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

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

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

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

(6) Proposal title;

(7) Technical point of contact to include:

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

(8) Administrative point of contact to include:

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

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

(10) Date proposal abstract was submitted.

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

Section II. Abstract Details

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

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

C. Deliverables

Deliverables associated with the proposed research and the plans and capability to accomplish technology transition and commercialization.

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

2. Full Proposal Format

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

Volume I – Technical and Management Proposal (3 sections), and Volume II – Cost Proposal (4 sections). The submission of other supporting materials along with the proposals is strongly discouraged and will not be considered for review. Section II of Volume I, Technical and Management Proposal, shall not exceed 35 pages for TA1 and 20 pages for TA2. Proposers submitting to both TA1 and TA2 must submit separate proposals for each individual TA. The page limitation for full proposals includes all figures, tables, and charts. There is no page limit for Volume II, Cost Proposal.

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

a. Volume I, Technical and Management Proposal

Section I. Administrative

A. Cover sheet to include:

(1) BAA number (HR001121S0002);

(2) Lead Organization submitting proposal;

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

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

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

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

(6) Proposal title;

(7) Technical point of contact to include:

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

(8) Administrative point of contact to include:

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

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

(10) Date proposal was submitted.

B. Official transmittal letter.

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

Section II. Detailed Proposal Information

A. Executive Summary Summarize the technical approach, anticipated performance, and expected outcomes of the proposed effort. The executive summary should be concise and to the point.