HR001121S0017-Amendment-01.pdf

HR001121S0017

Broad Agency Announcement Waveform Agile RF Directed Energy (WARDEN)

Microsystems Technology Office

HR001121S0017

February 26, 2021

AMENDMENT 1

As amended March 17, 2021

The purpose of this amendment is to provide clarifying information regarding electrical size of enclosures.

Table of Contents

PART I: OVERVIEW INFORMATION

PART II: FULL TEXT OF ANNOUNCEMENT

I. Funding Opportunity Description A. Background B. Program Description C. Program Structure D. Schedule/Milestones E. Deliverables F. Government Furnished Equipment/Property/Information G. Intellectual Property

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

2. Other Applicants B. Organizational Conflicts of Interest C. Cost Sharing/Matching D. Associate Contractor Agreement Clause E. Other Eligibility Criteria

1. Collaborative Efforts

2. Classified Efforts

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

1. Full Proposal Format

2. Proprietary Information

3. Security Information

a. Program Security Information

b. Controlled Unclassified Information (CUI)

i. CUI Proposal Markings

ii. CUI Submission Requirements

c. Unclassified Submissions

d. Both Classified and Unclassified Submissions

e. Classified Submissions

4. Disclosure of Information and Compliance with Safeguarding Covered Defense

Information Controls

5. Human Subjects Research (HSR)/Animal Use

6. Approved Cost Accounting System Documentation

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

8. Grant Abstract

9. Small Business Subcontracting Plan

10. Intellectual Property

a. For Procurement Contracts

b. 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. Full Proposal Date

b. Frequently Asked Questions (FAQ)

2. Proposal Submission Information

a. For Proposers Requesting Grants or Cooperative Agreements:

b. For Proposers Requesting Technology Investment Agreements

c. For Proposers Requesting Contracts or Other Transaction Agreements

d. Classified Submission Information

3. 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 and Schedule 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. Proposals B. Administrative and National Policy Requirements

1. Meeting and Travel Requirements

2. Solicitation Provisions and Award Clauses, Terms and Conditions

3. Controlled Unclassified Information (CUI) and Controlled Technical Information

(CTI) on Non-DoD Information Systems

4. Representations and Certifications

5. Terms and Conditions

C. Reporting D. Electronic Systems

1. Wide Area Work Flow (WAWF)

2. i-Edison

3. TFIMS

4. DARPA Embedded Entrepreneur Initiative (EEI)

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 ATTACHMENT 4: WARDEN Controlled Unclassified Information (CUI) Guide

Additional Document Not Attached (See Attachment 3 for instructions):

Collateral Secret Addendum

PART I: OVERVIEW INFORMATION

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

Funding Opportunity Title: Waveform Agile RF Directed Energy (WARDEN) Announcement Type: Initial Announcement Funding Opportunity Number: HR001121S0017 Catalog of Federal Domestic Assistance Numbers (CFDA): 12.910 Research and

Technology Development Dates: (All times listed herein are Eastern Time) o Posting Date: February 26, 2021 o Proposers’ Day: March 5, 2021 o Requests for Security Classification Guide (SGC) and Classified WARDEN BAA

Addendum: Must be made by March 25, 2021 at 5:00 PM (ET) o FAQ Submission Deadline: April 07, 2021 o Deadline to Notify Security of Intent to Submit Classified Proposals: April 9, 2021 at 5:00 PM (ET) o Proposal Due Date: April 16, 2021 at 2:00 PM (ET) o Estimated period of performance start: October 2021

Concise description of the funding opportunity: DARPA is soliciting innovative research and development on extreme power, broadband amplifiers and agile waveform techniques that combine frequency, amplitude, and pulse-width modulations to improve electromagnetic coupling and disruptive effects on targeted electronics. The goal of the Waveform Agile Radio-frequency Directed Energy (WARDEN) program is to extend the range of high power microwave (HPM) back-door attack by a factor of 10 beyond the current state of the art.

Anticipated Funding Available for Award: Total awarded funding is expected to be $51M over four years.

Anticipated individual awards: Multiple awards are anticipated for each Technical Area Anticipated funding type: 6.2 Types of instruments that may be awarded: Procurement contract, grant, cooperative agreement, or other transaction.

Agency contact:

o Dr. David K. Abe, Program Manager BAA Coordinator: HR001121S0017@darpa.mil

DARPA/MTO

ATTN: HR001121S0017

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/, and, as applicable, the grants.gov website at http://www.grants.gov/. The following information is for those wishing to respond to the BAA.

The Microsystems Technology Office at DARPA seeks innovative proposals in the following areas of interest: High power microwave (HPM) amplifiers that use electromagnetic (EM) radiation to disrupt, disable, or damage targeted electronic components and circuits; theory and computational models to describe the coupling of electromagnetic radiation into complex enclosures via unintentional paths such as seams, apertures, and cable entry points (i.e., “back door coupling”); and agile waveform techniques capable of producing disruptive effects on electronic components, devices, and sub-systems. In the Waveform Agile RF Directed Energy (WARDEN) program context, “agile waveforms” are time-dependent signals that combine frequency, amplitude, and/or pulse-width modulations to maximize coupling into a complex enclosure and are optimized to produce disruptive effects on internal electronic components and sub-systems.

The WARDEN program is composed of three technical areas (TAs): TA1 HPM Traveling-wave Amplifier; TA2 Rapid Assessment & Numerical Generation of Electromagnetic Response (RANGER); and TA3 Agile Waveform Development. TA1 and TA3 are expected to address DoD application-specific information and will be classified at the collateral SECRET level. TA2 RANGER is expected to be fundamental research and will be UNCLASSIFIED. A single proposal to the BAA may respond to either TA1, TA2, or TA3 but not to multiple TAs within a single proposal. In other words, a proposer wishing to propose to multiple TAs must submit a separate proposal for each TA. This BAA will provide an overview of all three technical areas.

In order to propose to TA1 or TA3, proposers must follow the instructions detailed in BAA Attachment 3 “Security Classification Guide and Classified Addendum Request Form” and receive these additional documents. Note that only proposers who meet the personnel security requirements and the facility clearance status/level (DCSA Certified & Accredited Facility) along with possessing a background in high-power vacuum amplifiers (TA1) or electromagnetic effects on electronics and waveform techniques (TA3), may request the SCG and Classified BAA Addendum. If you do not meet the security requirements, it is suggested you look into teaming with other proposers who meet the requirements.

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.

A. Background

High power microwave (HPM) systems are a class of radio-frequency directed energy weapons (RF DEWs) that use electromagnetic (EM) radiation to disrupt, disable, or damage targeted electronic components and circuits. Electromagnetic radiation can couple into targets in-band via intentional ports such as antennas (“front door”) or via unintentional coupling paths such as seams, apertures, and cable entry points (“back door”). The advantages of HPM systems include non-kinetic, wide area effects at large stand-off distances; deep magazines; operation in adverse environmental conditions; and speed-of-light engagement.

In general, current HPM systems use oscillators as their RF source. These systems operate at a fixed frequency, are not readily tunable, and lack the phase coherence necessary for power combining. Front-door systems have the longest range, but their effectiveness is limited to the specific classes of targets for which they were designed. Back-door systems are effective against a wider variety of targets, but their range is limited by EM coupling inefficiencies arising from their lack of frequency tunability. Agile waveforms, combined with broadband high-power amplifiers, can reduce the threshold of the susceptibility of targeted systems to back-door attacks and significantly extend the range and effectiveness of the HPM weapon system. The technology to create effects at tactically useful ranges faces three principal challenges which are outlined in the program description (Section B) below. Figure 1 provides a generalized illustration of the HPM concept and interactions. Note: the cruise missile depicted in the graphic is an example of just one class of target; WARDEN seeks to develop flexible technology that can be useful against a wide variety of target types.

Figure 1: HPM radiation incident upon a target can couple into the target via front door and back door pathways and cause effects on internal electronics within the target structure.

WARDEN will address three key technical challenges.

Technical Challenge #1: Stable, High Power RF Amplification with Broad Bandwidth

To maximize coupling and effects, WARDEN seeks to develop high peak power amplifiers as the technology of choice for back-door HPM attack systems. In contrast to oscillators, a broadband amplifier has the frequency agility necessary to maximize EM coupling into targeted electronics.

Laboratory measurements have shown that even with modest frequency tuning, coupling efficiencies can be significantly improved. In addition, amplifiers support waveform modulations which can reduce the susceptibility thresholds of internal electronics to disruption by EM radiation.

Combined, these effects can increase the range of back-door HPM DEWs. A further advantage of amplifiers is that they possess the phase coherence necessary for power combining.

Despite their potential beneficial impact on HPM systems, high-power, broadband amplifiers have proven extremely difficult to realize. A central challenge for amplifiers is the suppression of instabilities, as their gain and frequency capabilities provide increased opportunities for perturbations and unwanted modes to produce growing waves that can lead to oscillation. In addition to beam-wave interaction circuit topologies optimized to avoid oscillation, electromagnetic reflections at interfaces such as input/output couplers and high-power vacuum windows are design concerns.

Technical Challenge #2: Fast, Predictive Capabilities for EM Coupling into Complex Enclosures

Given an instantaneously tunable transmitter technology, understanding the physics of EM wave coupling into a complex enclosure and the subsequent interaction with internal electronics is critical to improving the effectiveness of back-door HPM attacks. Computationally-efficient, time-domain models capable of simulating EM wave interaction with large structures containing features of widely-varying sizes and material properties present the principal technical challenges.

At present, such models do not exist. Current deterministic methods based on finite-element and finite-difference discretization are accurate and capable of fine spatial resolution. However, dense meshing requirements make these methods computationally intensive, resulting in long runtimes for problems of even moderate complexity; the techniques are impractical for the multiple runs necessary for engagement analyses and waveform optimization. In addition, they require precise knowledge of the target geometry and EM illumination characteristics.

Technical Challenge #3: Agile Waveform Techniques for Operational HPM Use

The principal technical challenges are: (a) the development of physics-based computational tools to predict HPM effects on electronics; and (b) the creation of specific agile waveform techniques to produce maximally disruptive effects. Low-power laboratory experiments with frequency, amplitude, and pulse-width modulated waveforms have demonstrated reductions in the threshold of electronic components and system susceptibilities to EM disruption. However, because of the lack of the existence of amplifiers with sufficient power, bandwidth, and linearity to exploit these waveforms, there has been sparse R&D investment in agile waveforms for operational HPM use.

In the absence of a fast, accurate modeling capability, codes such as the Joint RF Effectiveness Model (JREM) – the principal DoD tool used to predict HPM effects on targets – are based on empirical vulnerability data. The challenge is to develop physics-based models and to further improve the DoD’s predictive capabilities.

B. Program Description

The objective of the WARDEN program is to develop hardware, theory, and computational models to extend the range and effectiveness of HPM systems for back-door attacks. WARDEN’s three technical areas address the principal challenges to enhancing the range and effectiveness of HPM back-door attack: stable, high power, broadband amplification; theory and computational tools to predict EM coupling into complex enclosures; and predictive tools and agile waveform techniques enabling the identification and exploitation of electronic system vulnerabilities. The three technical areas will provide the enabling technologies for HPM back-door attack with agile waveforms that will extend the range by up to a factor of ten beyond the current state-of-the-art.

TA1 and TA3 will be classified collateral SECRET; TA2 will be UNCLASSIFIED. This BAA presents an overview of all technical areas to provide a clear understanding of the overall program scope and objectives. In order to propose to TA1 or TA3, proposers must follow the instructions detailed in BAA Attachment 3 “Security Classification Guide and Classified Addendum Request Form” and receive these additional documents. Note that only proposers who meet the personnel security requirements and the facility clearance status/level (DCSA Certified & Accredited Facility) along with possessing a background in high-power vacuum amplifiers (TA1) or electromagnetic effects on electronics and waveform techniques (TA3), may request the SCG and Classified BAA Addendum. If you do not meet the security requirements, it is suggested you look into teaming with other proposers who meet the requirements.

A single proposal to the BAA may respond to either TA1, TA2, or TA3 but not to multiple TAs within a single proposal. In other words, a proposer wishing to propose to multiple TAs must submit a separate proposal for each TA.

C. Program Structure

WARDEN will be a 48-month, three-phase program. Each Technical Area will consist of a 12-month Phase 1 (base), 24-month Phase 2 (option), and 12-month Phase 3 (option). In Phase 1, multiple awards in each Technical Area are anticipated. It is expected that fewer performers will be funded to participate in Phase 2 and Phase 3 of the program. Options may be exercised, at the Government’s sole discretion, based on technical progress measured against the metrics and milestones defined in the BAA and funding availability.

Technical Area #1 (TA1): HPM Traveling-wave Amplifier

To address Technical Challenge #1, WARDEN TA1 will develop and demonstrate the first broadband HPM amplifier. The amplifier performance goals and metrics are specified in the classified addendum. In this BAA and its classified addendum, “bandwidth” refers to instantaneous bandwidth and “fractional bandwidth” refers to the ratio of the center frequency divided by the amplifier’s half-power (3-dB) bandwidth, fc / f3dB, where f3dB = (fmax,3dB – fmin,3dB) and fc = (fmax,3dB + fmin,3dB)/2. The bandwidth metric specified in the classified addendum is intended to provide a broad, instantaneously scannable range of frequencies to maximize EM coupling and effects. While the frequency content of individual waveform techniques may not occupy the full bandwidth of the amplifier, the broad overall range enables the flexibility to select carrier frequencies for optimal coupling into complex volumes.

The development of an EM radiating aperture is beyond the scope of the WARDEN program. The RF output of the WARDEN amplifier will not be radiated into free space but rather dissipated in a dummy load.

In addition to a single high-power amplifier, WARDEN is open to design concepts that employ multiple amplifiers in a conventional phased array or a sparse, widely-separated array. Recent advances in multi-static radar illustrate the applicability of such solutions. If multiple amplifiers are proposed, the system, in aggregate, must be capable of producing the same minimum effective radiated power (ERP) as specified for single amplifiers in the classified addendum.

WARDEN TA1 performers should expect to interact with TA3 performers through Associate Contractor Agreements (ACAs) to receive waveforms developed within TA3 in a common non-proprietary format for use with the amplifiers developed in TA1.

Phase 1 of TA1 is the design phase and will last 12 months. In addition to the performance metrics specified in the classified addendum, successful Phase 1 designs must demonstrate – through simulation – absolute stability at maximum peak RF output power and pulse duration over the entire operating band. For vacuum electronic devices, stability analyses must include large-signal and 3D electromagnetic particle code simulations that include the impact of thermal electron beams and non-ideal matches at interfaces such as input/output couplers and vacuum windows. To aid in the analyses, codes such as the Naval Research Laboratory’s large signal code TESLA1,2 and 3D particle-in-cell code NEPTUNE3,4 will be made available as government furnished property (GFP) along with training and technical support to aid in initial model setup. The use of these specific codes is not mandatory; other comparable, experimentally-validated particle and computational electromagnetics codes may be used for design and stability analyses.

While there is not a specific metric for amplifier linearity, the device must be capable of amplifying a complex waveform without introducing distortion products that could degrade the effectiveness of the waveform's disruptive effect on electronics. ACAs with TA3 performers can provide access to exemplar agile waveforms to serve as input for time-domain simulations to optimize amplifier design.

1 I.A. Chernyavskiy, et al., “Large-signal 2-D Modeling of Folded-waveguide Traveling Wave Tubes,” IEEE Trans.

on Electron Devices, 63(6), pp. 2531-2537, June 2016.

2 I.A. Chernyavskiy, et al., “Modeling Vacuum Electronic Devices Using Generalized Impedance Matrices,” IEEE Trans. on Electron Devices, 64(2), pp. 536-542, Feb. 2017.

3 S.J. Cooke, et al., “GPU-Accelerated 3D Large-Signal Device Simulation Using the Particle-in-Cell Code 'Neptune,” 13th IEEE Int. Vacuum Electronics Conf./ 9th IEEE Int. Vacuum Electron Sources Conf., Portola Hotel, Monterey, CA, April 24-26, 2012.

4 S.J. Cooke, et al., “Vacuum Electronic Device Design Using 3D EM-PIC,” 15th Int. Vacuum Electronics Conf., Monterey, CA, 22-24 April 2014.

In addition to the performance metrics and stability, key design and programmatic issues to be addressed in Phase 1 include:

High peak and average power handling Broadband input and output coupler design Broadband vacuum window design Thermal management Overall experimental design including power supply/modulator, RF driver amplifier, and diagnostics Plan for Phase 2 fabrication and testing, including cost, schedule, risk assessments, and risk mitigation strategies

Proposals with multiple amplifier approaches must address additional issues that include:

Phase stability and phase similarity objectives between individual amplifiers System synchronization System cost and fabrication challenges at the scale necessary to meet minimum ERP goals

Phase 1 will culminate in a Preliminary Design Review (PDR). The goals of the PDR are to:

Assess the viability of candidate approaches as per the criteria described above Determine whether the amplifier design, fabrication, and testing approaches have a reasonable expectation of satisfying the performance metrics within the proposed budget and schedule

It is anticipated that the Phase 2 option will be exercised based on performance against program metrics and available funding.

Phase 2 of TA1 will last 24 months and will focus on fabrication, procurement, laboratory preparation, and initial amplifier testing. A Critical Design Review (CDR) will be held early in Phase 2 to verify that the final amplifier design is ready to proceed to fabrication. The goals of the CDR are to:

Determine that the detailed design of the amplifier satisfies schedule and performance goals and metrics

Assess the detail design compatibility with other equipment, facilities, and diagnostics Assess risk areas (on a technical, cost, and schedule basis) Determine the acceptability of the experimental characterization plan

Intermediate Phase 2 milestones include cold tests of amplifier components, followed by installation and demonstration of sub-systems (i.e., RF driver, high voltage power supply, etc.).

Phase 2 will culminate in the final assembly and integration of the amplifier, RF driver system, and diagnostics, followed by initial testing and demonstration of the amplifier system at low duty.

It is anticipated that the Phase 3 option will be exercised based on performance against program metrics and available funding.

Phase 3 of TA1 will last 12 months and demonstrate that the amplifier meets all of the performance metrics specified in the classified addendum. In addition, amplifier linearity will be evaluated using representative agile waveforms supplied either by the government team or TA3 performers.

Waveform distortion due to amplifier nonlinearities will be analyzed and feedback provided to TA3 performers for further assessment.

Technical Area #2 (TA2): Rapid Assessment & Numerical Generation of EM Response (RANGER)

To address Technical Challenge #2, WARDEN TA2 will develop physics-based models to enable the rapid prediction of agile EM waveforms coupling into complex enclosures and the spatial distribution of the internal electric fields. To support the analyses of engagements using agile waveforms, key elements to be addressed include but are not limited to the ability to simulate waveforms in the time domain; the ability to simulate environments with multiple length scales and with multiple components; the ability to simulate engagements without requiring an exact knowledge of the internal composition and layout of the structure being engaged; and the ability to predict voltages and electric fields at locations inside and outside of the structure. Providing these capabilities may require a combination of modeling approaches that include first-principles, reduced, and statistical representations. For example, methods such as the Random Coupling Model5 can provide a framework where statistical and deterministic descriptions of the critical elements of EM environments can be integrated into a hybrid approach to predict the statistical distribution of fields resulting from an EM engagement. To validate developmental models, the government team will define the parameters for a set of test enclosures of varying complexity. The parameters will be provided as Government Furnished Information (GFI) at program kick-off (see Section F “Government Furnished Equipment/Property/Information” for additional information).

Model predictions of EM coupling efficiency and the spatial distribution of fields within the enclosures will be compared with performer-measured data and validated by the government team.

The WARDEN program metrics for TA2 are shown in Table 1. For back-door coupling, interference effects have been found to be much more prominent at low frequencies (e.g. 1-4 GHz) compared with higher frequencies.6 At these frequencies, typical enclosure sizes of interest run from on the order of a free-space wavelength to hundreds of wavelengths.

Table 1: WARDEN Technical Area 2 program metrics Metric Phase 1

(12 months) Phase 2

(24 months) Phase 3

(12 months) Model agreement [%] (with simulated or measured data) >50 >80 >80

T A

Code runtime [minutes, non-HPC] --- <60 <30

5 G. Gradoni et al., "Predicting the statistics of wave transport through chaotic cavities by the random coupling model: A review and recent progress," Wave Motion 51, 2014.

6 M.G. Backstrom et al., “Susceptibility of electronic systems to high-power microwaves: Summary of test experience,” IEEE Trans. on Electromagnetic Compatibility 46(3), Aug. 2004.

Models developed in TA2 are encouraged to be shared with TA3 performers to inform and improve the waveform development task.

Phase 1 of TA2 will last 12 months and will focus on the initial development of time-domain theory and establish the framework for hybrid model development. Early models will be verified with existing codes and experimentally validated by comparison with measured data. Phase 1 will culminate in a review of the time-domain theory, initial model development, and hybrid model framework, along with a proposed Phase 2 development plan. It is anticipated that the Phase 2 option will be exercised based on performance against program metrics and available funding.

Phase 2 of TA2 will last 24 months and will continue the development of the various modeling approaches. Models will be validated by comparison with measured data from increasingly complex test enclosures as specified by GFI provided at program kick-off (see Section F “Government Furnished Equipment/Property/Information” for additional information). Phase 2 will culminate in the initial demonstration of the models integrated into a hybrid framework. It is anticipated that the Phase 3 option will be exercised based on performance against program metrics and available funding.

Phase 3 of TA2 will last 12 months and will complete the integration and validation of the hybrid simulation framework. Phase 3 will culminate in a demonstration of the predictive capabilities of the models and codes.

Technical Area #3 (TA3): Agile Waveform Development

While TA2 addresses the coupling of EM radiation from an external source into a complex volume, TA3 addresses EM interactions with electronics contained within the volume and the effects on system operation. Recent research on HPM effects on computers has provided an improved understanding of the physical processes of EM interaction with electronics and their relationship to the underlying engineering design rules for electronic systems. To address Technical Challenge #3, WARDEN TA3 will leverage recent test methodologies and modeling approaches and extend them to broader classes of target systems to create a physics-based computational framework for the prediction of HPM effects. The government team will specify representative classes of electronic sub-systems, printed circuit boards, and electronic components as key targets for model validation. The predictive capabilities of developmental models will be evaluated by comparison with performer-measured data and validated by the government team. In addition, TA3 will create and experimentally validate agile waveform techniques that combine multi-frequency content with amplitude and pulse-width modulations to produce maximally disruptive effects on electronics.

The overall effectiveness of the waveform techniques will be experimentally validated with anechoic chamber measurements on specified electronic targets. Key metrics of effectiveness are provided in the classified addendum.

Proposals must address how they will execute technical exchange between relevant TAs while maintaining appropriate levels of security. WARDEN TA3 performers should expect to interact with TA1 performers through ACAs to provide waveforms developed within TA3 in a common non-proprietary format for use with the amplifiers developed in TA1.

Phase 1 of TA3 will last 12 months and focus on initial model development and the demonstration of agile waveforms optimized for effects on basic electronics. Initial model development with model verification and validation will occur in Phase 1. Phase 1 will culminate in an assessment of progress in relation to the metrics described in the classified addendum. It is anticipated that the Phase 2 option will be exercised based on performance against program metrics and available funding.

Phase 2 of TA3 will last 24 months and will continue the development of the predictive modeling approaches and waveform techniques for an expanded set of integrated electronics. Models and waveforms will be validated by comparison with measured data. Phase 2 will culminate in the demonstration of agile waveforms optimized to produce effects in integrated electronics with measures of success as defined in the classified addendum. It is anticipated that the Phase 3 option will be exercised based on performance against program metrics and available funding.

Phase 3 of TA3 will last 12 months and will use the results of the previous phases to demonstrate an integrated approach to waveform generation. Phase 3 will culminate in the demonstration of the predictive capabilities of the models and the experimental validation of the model-constructed agile waveforms against integrated electronics. Model verification and validation will be conducted with measures of success as defined in the classified addendum. Selected agile waveforms will be provided to TA1 performers for evaluation with HPM amplifiers. Amplified waveforms may contain distortion products and will be re-evaluated for effectiveness against electronics. A goal for TA3 is to compile waveform techniques and effects data into a searchable database for future use and development.

D. Schedule/Milestones

The total period of performance is 48 months. A high-level schedule is shown in Figure 2. Program kickoff and periodic review sessions are mandatory and represent an opportunity to interact with the Government on planned work, specifics of the technical approach, and any technical or programmatic items of concern. Regular technical and financial reporting is required by all performers.

General guidance for all proposals:

All teams should plan for phase transition information to be required approximately 1.5 months prior to the end of a given phase (i.e., Phase 1 and Phase 2). Program reviews will be scheduled accordingly to facilitate the transfer of information to inform the transition decision process.

A target start of October 2021 may be assumed for planning and budgeting purposes.

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

Proposals should budget for four two-day meetings over the course of the 48 month period of performance - one meeting in the Washington, D.C. area in Phase 1; one meeting in the San Francisco, CA area and one meeting in the Washington, D.C. area in Phase 2; and one meeting in the San Francisco, CA area in Phase 3. Depending on the circumstances, virtual meetings may replace in-person gatherings.

Regular monthly teleconferences will be scheduled with the Government team for progress reporting and the identification and mitigation of performance and schedule issues.

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.

Budget for attending and presenting results at appropriate technical conferences is acceptable (one per 12-month period, at conferences consistent with the information being disseminated); beyond this level of conference, attendance will need substantial justification.

Figure 2: Overall program schedule and primary milestones

1. Technical Area 1: Schedule and Milestones

Table 2 summarizes the milestones for TA1.

Table 2: TA1 Milestone Schedule TA Phase 1 (12 months) Phase 2 (24 months) Phase 3 (12 months)

TA1

HPM amplifier design meeting the specifications provided in the classified addendum

Stability analyses using state-of-the-art 3D particle-in-cell codes

Preliminary Design Review (PDR) to be held

Critical Design Review (CDR) to be held in the first quarter of Phase 2 that addresses the key design and programmatic issues described in Section I.C

Cold tests of amplifier components

HPM amplifier demonstration meeting all of the specifications provided in the classified addendum

Demonstration with TA3 agile waveforms and analysis of potential distortion products approximately 10.5 months after program kickoff that addresses the key design and programmatic issues described in Section I.C

Installation and demonstration of sub-systems (i.e., RF driver, high voltage power supply)

Final integration of the amplifier, RF driver system, and diagnostics

Initial demonstration of the HPM amplifier at low duty

Technical Area 2: Schedule and Milestones

Table 3 summarizes the milestones for TA2.

Table 3: TA2 Milestone Schedule TA Phase 1 (12 months) Phase 2 (24 months) Phase 3 (12 months)

TA2

Initial time-domain theory development

Hybrid model framework formulation

Model verification and validation

Model performance meeting the metrics of Table 1

Experimental characterization of test enclosures

Model verification and validation

Initial model integration and demonstration in the hybrid framework

Model performance meeting the metrics of Table 1

Model verification and validation

Model performance meeting the metrics of Table 1

Finalize model integration into the hybrid framework

Demonstration of code/model predictive capabilities

2. Technical Area 3: Schedule and Milestones

Table 4 summarizes the milestones for TA3.

Table 4: TA3 Milestone Schedule TA Phase 1 (12 months) Phase 2 (24 months) Phase 3 (12 months)

TA3

Development and demonstration of waveform techniques on basic electronics

Initial model development Model verification and validation Model(s) meet the metrics specified in the classified addendum

Development and demonstration of waveform techniques on integrated electronics

Model verification and validation

Model(s) meet the metrics specified in the classified addendum

Model verification and validation

Model(s) meet the metrics specified in the classified addendum

Demonstration of model-driven waveform techniques

Demonstration of the predictive capabilities of the model(s)

Selected waveforms provided to TA1 performers and subsequent re-evaluation of the effectiveness of amplified waveforms containing distortion products

E. Deliverables

All performers shall deliver detailed spend plans at program kickoff and execution of subsequent option awards, quarterly technical reports, and monthly financial reports, including updated expenditures. Performers shall prepare and submit briefing materials and participate in quarterly progress reviews, either via telecon or at the performer’s site at the discretion of DARPA. All performers shall travel to and support annual program-wide reviews scheduled at the Program Manager’s discretion (reviews may alternatively be held virtually, depending on the circumstances).

Quarterly technical reports are due within ten business days of the end of the given quarter, describing progress made on the specific milestones as laid out in the SOW (outlined in Section VI.C.)

Monthly financial reports are due within ten business days of the end of each month (outlined in Section VI.C.)

A Phase Completion report shall be submitted within 30 days after the end of each phase, summarizing the research done that includes:

o A description of the technical development and achievements in each area o Component and system test results, if applicable o Charts and explanations of how well the system meets, exceeds, or falls short of specified program goals (as described in this BAA and its classified addendum) o Plans and projections for the following program phase with an updated risk assessment in each of the critical program areas

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.

1. Technical Area 1: Deliverables

Table 5: TA1 Deliverables TA Phase 1 (12 months) Phase 2 (24 months) Phase 3 (12 months)

TA1

Report documenting the HPM amplifier design and stability analyses that show the feasibility of meeting or exceeding the metrics specified in the classified addendum

Report documenting the overall experiment design concept, risks and risk mitigation strategies, and Phase 2 fabrication and testing schedules

Report documenting the findings, resolution of issues, and schedules arising from the CDR

Laboratory test data from interim cold test measurements and sub-system characterizations

Laboratory test data validating the HPM amplifier’s ability to meet or exceed the metrics specified in the classified addendum (at low duty)

Laboratory test data validating the HPM amplifier’s ability to meet or exceed all of the metrics specified in the classified addendum

Laboratory test data showing the amplification results using TA3-provided agile waveforms

Electronic copies of the amplified TA3 waveforms and a report documenting potential waveform distortion due to amplifier nonlinearities

Report detailing a plan for follow-on development

2. Technical Area 2: Deliverables

Table 6: TA2 Deliverables TA Phase 1 (12 months) Phase 2 (24 months) Phase 3 (12 months)

TA2

Report documenting time-domain model development

Modeling data and results Laboratory test data from enclosure characterization* Report documenting overall theory and model development plans, code framework approaches, and Phase 2 strategies and schedules

Modeling data and results Laboratory test data from enclosure characterization* Intermediate versions of software libraries, executables, source code, and APIs, including documentation and user manuals

Modeling data and results Laboratory test data from enclosure characterization* Final versions of software libraries, executables, source code, and APIs, including documentation and user manuals

Report detailing a path for follow-on development

*Test data shall be provided with adequate documentation regarding test conditions, measurement techniques, etc. to enable government teams to independently verify and validate results.

3. Technical Area 3: Deliverables

Table 7: TA3 Deliverables TA Phase 1 (12 months) Phase 2 (24 months) Phase 3 (12 months)

TA3

Waveforms and laboratory test data documenting effects on electronics*

Modeling data and results Report documenting overall test strategy, model development and code framework approaches, and Phase 2 strategies and schedules

Waveforms and laboratory test data documenting effects on electronics*

Intermediate versions of software libraries, executables, source code, and APIs, including documentation and user manuals

Waveforms and laboratory test data documenting effects on electronics*

Selected agile waveforms provided to TA-1 performers for assessment with HPM amplifiers

Final versions of software libraries, executables, source code, and APIs, including documentation and user manuals

Waveform techniques and effects data compiled in searchable databases for future use and development

Report detailing a path for follow-on development

*Test data shall be provided with adequate documentation regarding test conditions, measurement techniques, etc. to enable government teams to independently verify and validate results.

F. Government Furnished Equipment/Property/Information

Technical Area 1: The government will provide access to and support for DoD-developed codes for TA1 performers to support the design and development of the WARDEN amplifier. These DoD-developed codes support the design of electron beam generation and transport systems, beam-wave interaction circuits, and electron collectors. In addition, they can provide insights into instabilities that can arise from the dispersive characteristics of the circuits and mismatches at interfaces. These codes can rapidly identify potential sources of instabilities and evaluate mitigation approaches, minimizing the need for time- and cost-intensive hardware prototyping.

These codes will be provided at the program kick-off. Information about the codes can be found in 1,2,3,4 to support proposal responses. Use of these codes is not mandatory.

Technical Area 2: The government will provide specifications to TA2 performers for enclosures and configurations that will be used by the government as surrogates for verification and validation of theory and computational models developed in the WARDEN program. These specifications will be provided at the program kick-off. TA2 performers are encouraged to align their own internal test and evaluation conditions to those provided by the government.

Technical Area 3: The government will provide specifications to TA3 performers for electronic components, integrated electronics, and sub-system configurations that will be used by the government as surrogates for verification and validation of waveforms and computational models developed in the WARDEN program. These specifications will be provided at the program kick-off. TA3 performers are encouraged to align their own internal test and evaluation conditions to those provided by the government.

G. Intellectual Property

The evaluation criteria will include the ability to transition developed technology to government applications. To assist with this assessment, proposers shall identify in their proposal any pre-existing technical data or commercial/non-commercial software that they will deliver to the Government with less than unlimited rights. See Section IV.B.10. for more information related to intellectual property.

It is desired that all non-commercial software (including source code), software documentation, hardware designs and documentation, waveform techniques, and technical data generated by the program be provided as deliverables to the Government, with a minimum of Government Purpose Rights (GPR), as lesser rights may adversely impact the lifecycle costs of affected items, components, or processes.

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, grant, cooperative agreement, or other transaction, depending upon the nature of the work proposed, the required degree of interaction between parties, whether or not the research is classified as Fundamental Research, and other factors.

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

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

In all cases, the Government contracting officer shall have sole discretion to select award instrument type, regardless of instrument type proposed, and to negotiate all instrument terms and conditions with selectees. DARPA will apply publication or other restrictions, as necessary, if it determines that the research resulting from the proposed effort will present a high likelihood of disclosing performance characteristics of military systems or manufacturing technologies that are unique and critical to defense. Any award resulting from such a determination will include a requirement for DARPA permission before publishing any information or results on the program. For more information on publication restrictions, see the section below on Fundamental Research.

B. Fundamental Research

It is DoD policy that the publication of products of fundamental research will remain unrestricted to the maximum extent possible. National Security Decision Directive (NSDD) 189 defines fundamental research as follows:

‘Fundamental research’ means basic and applied research in science and engineering, the results of which ordinarily are published and shared broadly within the scientific community, as distinguished from proprietary research and from industrial development, design, production, and product utilization, the results of which ordinarily are restricted for proprietary or national security reasons.

As of the date of publication of this solicitation, 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 http://www.darpa.mil/work-with-us/contract-management#OtherTransactions http://www.darpa.mil/work-with-us/contract-management#OtherTransactions 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.

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