HR001121S0013.pdf

HR001121S0013 ENHANCED NIGHT VISION IN EYEGLASS FORM FACTORS (ENVISION) 1

Broad Agency Announcement Enhanced Night Vision in eyeglass form factors (ENVision)

Defense Sciences Office

HR001121S0013

January 12, 2021

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Table of Contents I. Funding Opportunity Description

A. Introduction B. Background C. Program Description/Scope D. Program Structure E. Technical Area Descriptions F. Schedule/Metrics G. Deliverables H. Government-furnished Property/Equipment/Information I. Other Program Objectives and Considerations

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. Review and Selection Process C. Handling of Source Selection Information D. 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

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PART I: OVERVIEW INFORMATION

Federal Agency Name: Defense Advanced Research Projects Agency (DARPA), Defense Sciences Office (DSO) Funding Opportunity Title: Enhanced Night Vision in eyeglass form factors

(ENVision) Announcement Type: Initial Announcement Funding Opportunity Number: HR001121S0013 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: January 12, 2021 o Proposers Day: January 21, 2021. See Section VIII.B.

o Abstract Due Date: February 2, 2021, 4:00 p.m.

o FAQ Submission Deadline: March 9, 2021, 4:00 p.m. See Section VIII.A.

o Full Proposal Due Date: March 23, 2021, 4:00 p.m.

Anticipated Individual Awards: DARPA anticipates one or more awards for Technical Area 1 and one or more awards for Technical Area 2.

Types of Instruments that May be Awarded: Procurement contracts, 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: Dr. Rohith Chandrasekar, Program Manager, DARPA/DSO o BAA Email: ENVision@darpa.mil o BAA Mailing Address:

DARPA/DSO

ATTN: HR001121S0013

675 North Randolph Street Arlington, VA 22203-2114

DARPA/DSO Opportunities Website: https://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.

Security: The ENVision Program will be unclassified and will comprise one Controlled Unclassified Information (CUI) Technical Area (Controlled Technical Information (CTI), Export-Controlled), and one fundamental research Technical Area. Proposals are expected to be unclassified. For further details, please see sections IV.B.4 and IV.B.5.

mailto:ENVision@darpa.mil https://www.darpa.mil/work-with-us/opportunities?oFilter=DSO https://www.darpa.mil/work-with-us/opportunities?oFilter=DSO

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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 in the area of direct-view night vision (NV) systems in eyeglass form factors. Proposed research should investigate innovative approaches that enable revolutionary advances in science, devices, or systems. Specifically excluded is research that primarily results in evolutionary improvements to the existing state of practice.

B. Background Current night vision (NV) systems are bulky (> 10 cm length) and heavy (>1 kg), resulting in a large torque on the wearer’s neck. This torque greatly limits the wearer’s agility and often leads to chronic injury over prolonged use. Additionally, these systems provide the wearer with a narrow field of view (FOV) and generally have limited spectral access to the near-infrared (NIR), greatly limiting situational awareness. All of these limitations can be derived directly from the two technologies employed by the NV system, both of which have remained largely the same since their inception: refractive optics for imaging, and image intensifier (I2) tubes for image intensification.

The DARPA ENVision program will overcome these limitations to develop enhanced direct-view NV systems with the following capabilities:

lightweight systems in near-eyeglass form factors;

extended visual access beyond NIR to include short-wave (SWIR, 1.5-3 µm), mid-wave (MWIR, 3-5 µm), or long-wave infrared (LWIR, 8-12 µm) through a common aperture;

expanded FOV to near natural eyesight (100°).

NV systems have been developed in an attempt to overcome the challenges of limited situational awareness by expanding the FOV or adding the capability to see the LWIR. However, in order to achieve the desired improvements, these systems have included additional optical channels, each requiring its own set of refractive optics and detection schemes. Thus, these improvements in performance have necessarily come with a proportional increase in overall system size and weight, further exacerbating the issue of neck torque.

Recent advances in materials science and nanofabrication open up the possibility of replacing bulk refractive optics and I2 tubes with ultrathin planar optics and planar image intensifiers.

ENVision will leverage these advances to demonstrate a disruptive advancement in NV technology that eliminates the current tradeoff between performance and neck torque.

ENVision also seeks to explore the next technical leap in NV technologies by investigating the possibility of achieving direct vision of the infrared through photon upconversion. While current NV systems use a multi-step process, the physics to directly upconvert IR photons to visible

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(VIS) in a single step has been known since the invention of the laser in 1960. Direct photon upconversion involves the absorption of two or more photons and re-emission of a photon of higher energy. Currently, these processes are inefficient and are limited in the bandwidth of light that can be upconverted simultaneously. Recent advances in material systems such as polaritonic structures and sensitized core-shell nanoparticles have opened up new avenues in exploring photon upconversion. Photon upconversion-based night vision would eliminate the need for multiple components and could lead to even simpler, all-optical NV systems in the future, such as NV contact lenses.

C. Program Description/Scope The primary goals of ENVision are to:

1. Enable direct vision of multiple IR bands through a common aperture with wide FOV in an eyeglass form-factor

2. Investigate novel photon upconversion processes to enable future all-optical NV systems Enable direct vision of multiple IR bands through a common aperture with wide FOV.

Planar optics and planar image intensifiers could enable direct vision of multiple IR bands through a single common aperture. Structured materials such as diffractive optics and metamaterials allow one to embed optical functionalities far beyond those of traditional refractives into a single optical element. It has been demonstrated that wide FOV, broad bandwidth, and high imaging quality are all achievable individually; however, combining these traits in practice remains a challenge. In addition to planar optics, image intensification is needed in order to convert the often weak IR light into visible photons detectable by the naked eye.

Extremely-wide bandgaps in thin materials could lead to transduction across multiple IR bands.

However, combining these materials with a detection scheme that allows for wavelength discrimination remains a challenge. Novel low-noise photoamplification techniques could also replicate microchannel plate (MCP) function in monolithic devices, enabling low-light image intensification. ENVision seeks to address the aforementioned challenges in planar optics and broadband transduction in order to develop an eyeglass form-factor, direct-view NV system that leverages advances in planar optics and transduction materials and leads to revolutionary advances in NV technology.

Investigate novel photon upconversion processes to enable all-optical NV systems.

Several approaches exist for photon upconversion. Nonlinear optical processes can upconvert photons across broad spectral ranges but generally require high intensity laser light to activate such processes. The efficiency of such processes also depends on the interaction time between light and an upconverting medium, requiring either large-volume crystals or gases to achieve high efficiencies. Linear upconversion can achieve high efficiencies at much lower input intensities, due to the use of energy-cascading processes. However, linear upconversion has thus far been unable to achieve a broad spectral separation between incident and upconverted photons

– the photons are only upconverted by a small amount of energy. This is primarily a result of the relatively weak light-matter interactions at play. Despite the potential of photon upconversion methodologies to greatly simplify NV systems, these limitations in interaction strength and volume have thus far inhibited their adoption; a new paradigm in our approach to photon upconversion is needed. Structured materials, such as core-shell nanoparticles and metamaterials, can greatly enhance light-matter interactions in very small interaction volumes. Deeper understanding of upconversion processes and structured media to enhance their efficiencies and

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bandwidths could enable upconversion of ambient IR photons to VIS at intensities detectable by the human eye.

D. Program Structure The ENVision program is a 48-month research and development effort comprising two 24-month phases.

Figure 1 – High-Level Program Schedule

Proposers should address both phases and provide details for the Phase I (base) and Phase II (option) efforts as outlined in Section F below.

The ENVision Program will be executed in two phases and development efforts will be divided into three primary areas:

Technical Area 1 (TA 1): Prototypes o Performers in TA1 will develop prototypes of enhanced NV systems in eyeglass form-factors.

Technical Area 2 (TA 2): Upconversion o Performers in TA2 will investigate novel methods for broadband direct photon upconversion.

Government Test and Evaluation (T&E) and Independent Verification and Validation (IV&V) (not being solicited under this BAA) o Government T&E and IV&V efforts will provide an assessment of the prototype systems developed under TA1.

E. Technical Area Descriptions The ENVision Program is divided into two TAs.

TA 1 is anticipated to generate information subject to Controlled Unclassified Information (CUI) controls. Proposers should review BAA Section IV.B.4 regarding DoD requirements related to

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

1. TA 1 – Prototypes TA 1 will focus on prototype development of low-torque NV systems that provide visual access to multiple infrared bands. The explicit goal of TA 1 is to develop prototype wide-FOV, multi-band, analog-based direct-view NV systems that induce far less torque than our current NV systems. In Phase I, Performers will analyze the planar optics and transduction tradespaces and identify devices that can meet the individual component metrics. They will then integrate these devices and co-optimize them to demonstrate an initial brassboard prototype. In Phase II, Performers will then refine prototypes and improve their performance. Successful systems will provide visual access to NIR and one IR band through a single common aperture and optical chain. In parallel during Phase II, a Government IV&V prototyping team will develop a wearable prototype based on selected Phase I designs.

TA 1 will comprise two main thrusts: optics and image intensification. These thrusts serve to facilitate the co-design of a device/system that can replace refractive optics and I2 tubes, while simultaneously granting increased visual access to the infrared through a single common aperture. TA1 proposals must address both of these thrusts and present a detailed technical approach towards realizing the aforementioned, explicit TA1 goal.

Thrust 1: Optics Optical assemblies of NV systems account for approximately 40% of the total weight of the system. Recent breakthroughs in planar optics have resulted in demonstrations of extreme optical functionalities in planar form factors. Through the use of wavelength- and subwavelength-scale structuring, light-matter interactions can be significantly enhanced, leading to stronger optical responses and unprecedented control of light propagation and behavior in both meta- and diffractive optics. Additionally, the use of layered or tiered structures allows for the control of multiple properties of light (e.g., polarization, wavelength, etc.) using a single component.

However, there still exists a significant challenge in demonstrating large aperture (cm-scale), achromatic, wide-FOV planar lenses. While independent examples of each of these attributes has been demonstrated,1,2,3 they are typically at odds with one another – a positive change in one generally results in a corresponding negative change in another. Understanding the tradespace between these three attributes for planar optics is key to achieving the ENVision program goals.

Proposers should provide an initial assessment of this tradespace in their proposal and outline an approach to developing designs that can meet the ENVision program goals and metrics.

Research in this thrust may consider any planar optics approach that addresses the aforementioned tradespace and meets the TA 1 metrics listed in Section F. This includes metalenses, diffractive optics, microlenses, and other planar approaches not previously considered. Hybrid optics (i.e., a refractive or GRIN optic combined with a structured meta- or diffractive layer) are also acceptable, provided that they can meet the TA 1 program metrics

1 Optics Express 2018, 26, 2, 1573-1585 2 Nano Lett. 2020, 20, 10, 7429-7437 3 arXiv:2001.03684v1 [physics.optics]

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listed in Table 1 below. Explicitly not of interest to TA 1 are approaches that utilize multiple apertures in order to achieve broad bandwidths and increased FOVs.

Thrust 2: Image Intensification In order to achieve wide-FOV with multi-band imaging, image intensification is needed due to the low ambient IR illumination from moonlight and starlight. Intensification is currently achieved using a photocathode that converts photons to electrons that are then significantly amplified using a microchannel plate, followed by a phosphor screen that converts electrons back into photons. This process requires a significant physical length and, therefore, strongly drives the torque of the full NV system. Furthermore, these processes require high vacuum and high voltage to ensure optimal operation.

Recent advances in materials science have led to novel materials that can convert thermal energy into electrons over broad bandwidths and with low signal-to-noise ratios (SNRs) in extremely compact form factors4,5,6. Many of these materials are two-dimensional (2D), so-called Van der Waals materials, that may enable high optical input bandwidths capable of sufficiently-high frame rates – a critical characteristic for capturing real-time motion. Additionally, new insights have also allowed for the creation of tunable material absorption bands that may enable one to capture multiple IR bands through switchability that is synchronized in time. Achieving this at kilohertz (kHz) frame rates could allow an NV system to provide full-motion imagery. To date, however, these novel material approaches have not been implemented for multi-band transduction, let alone into a full detector format. As such, the materials and integration approaches required to do so remain an open challenge.

Research in this thrust may consider approaches to achieving multi-band image intensification in planar form-factors. These approaches should be able to detect low-intensity NIR signals and efficiently convert them to a visible signal viewable to the human eye. Research in this thrust should focus on low-power, analog-based approaches compatible with direct-vision NV system architectures, and should strive for frame rates approaching 60 Hz to enable full-motion imagery.

Specifically not of interest to ENVision are approaches that integrate existing detector technologies and augmented reality/virtual reality technologies to achieve enhanced night vision.

Based on the scopes defined in the above two thrust descriptions, TA 1 proposals might consider the following fundamental questions related to planar optics and planar, multi-band image intensifiers. These questions are provided solely to further contextualize TA 1; proposals need not address them explicitly.

What is the limit of bandwidth, FOV, and aperture size for a planar imaging lens, and how will this trade space be addressed?

Can planar optics be integrated with the detection/transduction materials into a cohesive design prototype?

4 Appl. Phys. Lett. 2017, 111, 101104.

5 Nature 2017, 544, 340–343.

6 Nature 2020, 578, 75–81.

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What are the fundamental limits to bandwidth of transduction in a single layer? Is it possible to differentiate between bands without significant loss in spatial or temporal resolution?

Can broadband optical detection, transduction, photoamplification, and visible-photon emission be integrated into monolithic structures, while retaining information about the incident photon wavelength?

Summary of TA 1 Progression

In Phase I, TA 1 will analyze the planar optics and transduction tradespaces and identify devices that can meet the individual component metrics. Performers will then quickly progress to the integration and co-optimization of these devices to demonstrate an initial brassboard prototype that meets the metrics listed in Table 1. In Phase II, performers will further refine prototypes and improve their performance pursuant to the Phase II metrics listed in Table 1. In parallel in Phase II, a Government prototyping team will work with selected TA 1 Performers to demonstrate a wearable prototype based on their Phase I design.

Government T&E and IV&V of TA 1

Government efforts in Phase I and II will (1) assess the torque of developed NV systems using computer aided design tools and (2) characterize the optical and electronic performance of NV system prototypes in simulated low-light environments. At the end of Phase I, the Government prototyping team will assist DARPA in chosing Phase I designs for prototyping into a full NV prototype in Phase II.

2. TA 2 – Upconversion TA 2 will be a fundamental research activity aimed at better understanding the physics and fundamental limits of all-optical photon upconversion. The goal of this TA is to develop novel upconversion methodologies capable of taking low-intensity, broadband IR radiation and converting it into a single visible wavelength, without the need for electronic amplification. Key to this technical area will be understanding the limits of upconversion bandwidth and efficiency of low-intensity infrared signals to a single visible wavelength. If successful, these new upconversion techniques will enable future NV systems that do not require any image intensifiers or (potentially) optics.

Recent work in enhanced light-matter interactions7 has shown that direct upconversion from NIR to VIS can be achieved at low input intensities (~10 mW/cm2) and efficiencies of ~20%.

However, given the low irradiance of nightglow in low-light environments (~µW/cm2), such processes would need to be amplified significantly to provide any visual access to the IR. TA 2 will investigate new methods to increase the efficiency and bandwidth of such upconversion processes, including novel light-matter interactions that could allow for direct upconversion from LWIR to VIS. Additionally, TA 2 proposers are expected to propose a model framework to determine the fundamental limits of direct photon upconversion bandwidth and efficiency within the context of their approach. If successful, these new upconversion modalities will enable direct upconversion NV systems without the need for additional optics.

7 Nature Communications 2018, 9, 2415.

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TA 2 is interested in both linear and nonlinear upconversion modalities. It is expected that external pumping requirements will increase with input wavelength; hence, efforts focused on NIR and SWIR bands should aim to operate without the need for external optical pumping.

Methods for upconversion exploiting electrical biasing are of interest provided that a route to low-power systems exists. TA 2 is only interested in approaches that are able to convert a low-intensity, broadband IR spectrum to a single wavelength in the visible. Here, the visible spectrum is defined by a wavelength range of 400 nm – 700 nm. The choices of visible wavelength and IR band are left to the proposer. Approaches that convert a single IR wavelength to a single visible wavelength are explicitly discouraged.

In order to achieve the ENVision program goals, TA 2 proposals might consider the following fundamental questions related to photon upconversion. These questions are provided solely to further contextualize TA 2; proposals need not address them explicitly.

Can upconversion from a broad IR band to a single wavelength in the VIS exploit natural illumination, much like an I2 tube?

What is the potential of integrating electronic biases to enhance the upconversion process (note: specifically not image intensification as defined in TA 1, but using an electrical signal as a “pump” source to seed the upconversion process, for example)?

Can symmetries be used to drive selection rules to guide upconversion from multiple IR bands into the visible?

Can low-threshold nonlinear optical processes enable broadband upconversion under low-light illumination?

Are there avalanche processes that can be exploited to enhance the efficiency and bandwidth of direct photon upconversion from the infrared to visible?

The following approaches are explicitly not of interest to TA 2:

Upconversion platforms requiring a transduction step

Upconversion of a single infrared wavelength into the visible band Summary of TA 2 Progression

TA 2 performers will explore novel light-matter interactions that amplify upconversion processes from IR to VIS under ambient IR illumination. DARPA is interested in approaches for upconversion from any single IR band to VIS, with greater interest in approaches that could enable upconversion from multiple bands. In Phase I, teams will explore new upconversion processes and materials that can generate VIS intensities as given in the metrics in Table 2. In Phase II, teams will further enhance upconversion methods to meet Phase II metrics under ambient IR illumination.

3. Proposing to Multiple TAs

Proposers wishing to propose to both TA 1 and TA 2 must submit separate technical and cost proposals for each. DARPA may deem single proposals that address both TAs non-conforming and remove them from consideration. Proposers should strive to provide a clear understanding of the cost, risk, and organizational expertise to be used within each proposed effort.

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F. Schedule/Metrics Performers progress will be evaluated using a number of metrics as enumerated below.

Attainment of the prescribed metrics for a given phase does not guarantee transition into the next phase of the program. Individual efforts will be judged on their expected ability to have a transformative impact on DoD and DARPA priorities.

TA 1 and TA 2 Metrics

TA 1

In order to meet the goals of the ENVision Program, TA 1 Performers must meet the following metrics for an NV system:

TA 1 Metric State of the Art Phase I Phase II

Torque 1.1 N-m 0.4 N-m(8)

(NTE 6 cm length, 0.4 kg)

0.15 N-m

(NTE 3 cm length, 0.1 kg) Bandwidth 0.75-0.9 µm Full NIR band(9) NIR + 1 IR band

FOV 40° 60° 100°

Resolution >64 lp/mm 30 lp/mm (10) >64 lp/mm (11)

Note: NTE = Not To Exceed Table 1: TA 1 metrics by Phase.

Note that all resolution metrics have an accompanying illumination (lux) value corresponding to typical moonlight/starlight illumination levels. Proposals must address these corresponding illumination levels in their approach. Exact IR nightglow spectra will be provided at the start of the program as Government Furnished Information (GFI) as described below in Section H.

Specific definitions of each IR band are also given in the footnotes below. TA 1 proposals should present a clear path towards achieving each of these metrics within the timeframe of the ENVision program.

The Government T&E team will provide modeling and benchtop testing capabilities to assess the torque of NV systems based on Phase I and II designs. The Government team will also test and evaluate imaging capabilities of Phase I and II designs under low-light illumination, including the bandwidth of operating, FOV, and the resolution in line pairs/millimeter (lp/mm) using Air Force targets.

TA 2

In order to meet the goals of the ENVision Program, TA 2 performers will develop upconversion methodologies capable of all-optical upconversion from at least one IR band into a single visible wavelength. Input IR intensities must be comparable or equal to IR ambient nightglow intensities, which are typically on the order of µW/cm2 across the IR. Exact infrared nightglow

8 Systems should achieve these torque metrics without any counterbalancing. Not to exceed (NTE) length and weight correspond with NV systems that meet Phase I and II torque metrics.

9 NIR = 0.75-1.55 µm, SWIR = 1.55-3 µm, MWIR = 3-5 µm, LWIR = 8-12 µm 10 Resolution will be assessed at 0.01 lux illumination level, which corresponds with quarter moon illumination.

11 Resolution will be assessed at 0.002 lux illumination level, which corresponds with clear sky starlight illumination.

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spectra will be provided at the start of the program as Government Furnished Information (GFI) as described below in Section H. The target intensity metrics for the upconverted visible light are as follows:

TA 2 Metric State of the Art Phase I Phase II Intensity of single-λ VIS light generated via upconversion with ambient IR input N/A 0.1 nW/cm2 10 nW/cm2

Table 2: TA 2 metrics by Phase.

The human eye is able to detect visible intensities around 0.2 nW/cm2. Hence, the Phase I metric and goal is to demonstrate upconversion with ambient IR illumination that generates sufficient intensity that is barely detectable by the human eye. Phase II goal is to further enhance upconversion to intensities that could enable direct vision of the infrared. Performers are expected to propose approaches capable of meeting the above metrics within the specified phase of the program. Approaches requiring optical pumping or electrical biasing should strive to minimize power requirements.

Other Proposal Properties

Proposers should provide a technical and programmatic strategy that addresses the entire program schedule and presents an aggressive plan to fully address all TA 2 goals, metrics, milestones, and deliverables.

The task structure must be consistent across the proposed schedule, Statement of Work, and cost volume.

A target start date of September 15, 2021 may be assumed for planning purposes.

All proposals must include the following meetings and travel in the proposed schedule and costs:

o To continue integration and development between TAs, foster collaboration between teams, and disseminate program developments, multiple two-day Principal Investigator (PI) meetings will be held in each phase, with locations split between the East and West Coasts of the United States. For budgeting purposes, plan for four (4) two-day meetings over the course of Phase I and Phase II: two (2) meetings in the Washington, D.C. area and two (2) meetings in the San Francisco, CA area. The kickoff meetings should be budgeted for the Washington, D.C. area.

o Regular teleconference meetings will be scheduled with the Government Team for progress reporting as well as problem identification and mitigation. Proposers should also 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.

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.

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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.

Final CUI Protection Plan due within 60 days of contract award and updated annually.

Reporting as outlined in Section VI.C.

Any Controlled Unclassified Information (CUI) or Controlled Technical Information (CTI) must be marked as described in Section IV.B.4.

H. Government-furnished Property/Equipment/Information To support research and development in both TAs, DARPA will supply performer(s) with measured nightglow intensities across the NIR. These values will be provided at the start of the program and should be used to inform design of TA 1 systems and TA 2 upconversion methodologies.

I. Other Program Objectives and Considerations

1. Collaboration

Throughout the course of the program, it is likely to be necessary for all performers—regardless of category (academic, industry, government and service labs)—to share relevant information regarding their research and development to support the larger program goals. DARPA expects all program performers to work collaboratively with one another to realize the program objectives outlined herein, so proposers should carefully review the goals for the entire program in order to fully understand the context of each program objective, performer category, and TA within the overall program structure. All proposals should describe plans for ensuring transparency of their processes to enable interactions with other program performers. Proposals that fail to include these plans may be deemed non-conforming and removed from consideration.

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 proposers12 whose proposals are determined to be the most advantageous to the Government, all evaluation factors considered. See Section V for further information.

12 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, cooperative agreements, or Other Transactions. “Subawardee” refers to anyone who might receive a subaward from a prime awardee (e.g., subawardee, consultant, etc.).

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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 to 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, cooperative agreement, or Other Transaction (OT), depending upon the nature of the work proposed, the required degree of interaction between parties, 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

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‘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 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.

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

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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. Other Applicants 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 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.

https://www.dcsa.mil/mc/ctp/foci/

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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 Attachment G: PROPOSAL TEMPLATE VOLUME 3: ADMINISTRATIVE & NATIONAL POLICY REQUIREMENTS, Section 3.

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 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 ENVision 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

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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 ENVision BAA as defined above may be deemed non-conforming13 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 to 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.

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?

DARPA will respond to abstracts with a statement as to whether DARPA is interested in the idea. If DARPA does not recommend the proposer submit a full proposal, DARPA will provide feedback to the proposer regarding the rationale for this decision. Regardless of DARPA’s response to an abstract, proposers may submit a full proposal. DARPA will review all conforming full proposals using the published evaluation criteria and without regard to any comments resulting from the review of an abstract.

Proposers should note that a favorable response to an abstract is not a guarantee that a proposal

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

https://beta.sam.gov/ http://www.grants.gov/ https://beta.sam.gov/ http://www.grants.gov/

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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…