HR001121S0022-Amendment-01.pdf

HR001121S0022

Broad Agency Announcement Generating RF with Photonic Oscillators for Low Noise

(GRYPHON)

Microsystems Technology Office

HR001121S0022

March 30, 2021

AMENDMENT 1

As amended June 17, 2021

The purpose of this amendment is to delay the GRYPHON full proposal deadline to June 21, 2021 due to the recently announced federal holiday.

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. Technical Areas E. Schedule/Milestones F. Deliverables G. Government Furnished Equipment/Property/Information H. 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. Other Eligibility Criteria

1. Collaborative efforts IV. Application and Submission Information

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

1. Abstract Format

2. Full Proposal Format

3. Proprietary Information

4. Security Information

a. Program Security Information

b. Controlled Unclassified Information

i. CUI Proposal Markings

ii. CUI Submission Requirements

c. Unclassified Submissions

d. Both Classified and Unclassified Submissions

e. Classified Submissions

5. Disclosure of Information and Compliance with Safeguarding Covered Defense

Information Controls

6. Human Subjects Research (HSR)/Animal Use

7. Approved Cost Accounting System Documentation

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

9. Small Business Subcontracting Plan

10. Intellectual Property

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. Abstract Due Date

b. Full Proposal Date

c. Frequently Asked Questions (FAQ)

2. Abstract Submission Information

3. Proposal Submission Information

a. For Proposers Requesting Cooperative Agreements:

b. For Proposers Requesting Technology Investment Agreements

c. For Proposers Requesting Contracts or Other Transaction Agreements

d. Classified Submission Information

4. Other Submission Requirements

V. Application Review Information A. Evaluation Criteria

1. Overall Scientific and Technical Merit

2. Potential Contribution and Relevance to the DARPA Mission

3. Cost Realism

B. Review and Selection Process

1. Review Process

2. Handling of Source Selection Information

3. Federal Awardee Performance and Integrity Information (FAPIIS)

VI. Award Administration Information A. Selection Notices

1. Abstracts

2. Proposals

B. Administrative and National Policy Requirements

1. Meeting and Travel Requirements

2. 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 (for cooperative agreements only)

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: GRYPHON Controlled Unclassified Information (CUI) Guide

PART I: OVERVIEW INFORMATION

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

Funding Opportunity Title: Generating RF with Photonic Oscillators for Low Noise

(GRYPHON)

Announcement Type: Initial Announcement Funding Opportunity Number: HR001121S0022 Catalog of Federal Domestic Assistance Numbers (CFDA): 12.910 Research and

Technology Development Dates: (All times listed herein are Eastern Time) o Posting Date: March 30, 2021 o Proposers Day: April 8, 2021 o Abstract Due Date: May 5, 2021 at 5:00 PM o FAQ Submission Deadline: June 4, 2021 at 5:00 PM o Proposal Due Date: June 21, 2021 at 5:00 PM o Estimated period of performance start: November 1, 2021

Concise description of the funding opportunity: The DARPA Microsystems Technology Office is soliciting innovative research proposals to develop compact, low-noise microwave frequency synthesizers to enable advanced sensing and communication applications.

Anticipated Funding Available for Award: Approximately $45M of total funding is anticipated for awards made against this BAA, with a distribution of:

o $40M in Technical Area 1 (TA1) o $5M in Technical Area 2 (TA2)

Anticipated individual awards: Multiple awards are anticipated in each Technical Area.

Anticipated funding type: 6.2 Types of instruments that may be awarded: Procurement contract, cooperative agreement, or other transaction.

Agency contact:

o Dr. Gordon Keeler, Program Manager BAA Coordinator: HR001121S0022@darpa.mil

DARPA/MTO

ATTN: HR001121S0022

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 DARPA Microsystems Technology Office seeks innovative proposals to develop compact, low-noise microwave frequency synthesizers to enable advanced sensing and communication applications. Specifically excluded is research that primarily results in evolutionary improvements to the existing state of practice.

A. Background

Electronic oscillators lie at the heart of virtually all microelectronic systems, generating the periodic clock signals used in digital electronics and the precise frequencies that enable radar and radio frequency (RF) communications. While an ideal oscillator provides a perfect signal at a single frequency, component imperfections and coupling to the environment degrade the spectral purity of real-world sources. These impairments, broadly quantified as phase noise, ultimately limit the performance of many military and commercial RF systems. In the context of pulsed Doppler radar, close-to-carrier phase noise is a primary factor preventing the detection of small or slow-moving targets, while in RF communications, timing jitter dictates the sampling precision of receivers and limits signaling bandwidth.

Today’s best microwave oscillators can achieve extraordinarily low phase noise, but the highest-performing solutions sacrifice other important attributes in pursuit of high spectral purity. Such trade-offs are problematic because module size, cost, tunability, and environmental sensitivity are also critical factors that determine the applicability of microwave sources to commercial and military systems.

A survey of existing microwave oscillators shows that performance is strongly correlated with size: large resonators (e.g., sapphire loaded cavities) have the highest quality factors (Q) and can produce very low noise at a fixed frequency. Small resonators with lower Q present high phase noise, but are tunable over larger fractional bandwidths. Generating low noise at microwave rates is especially challenging because many low-noise technologies (e.g., microelectromechanical systems (MEMS), surface-acoustic wave (SAW), and quartz crystal oscillators (XO)) generate signals at tens of megahertz that must be multiplied by N ~ 100 to 1,000 to microwave https://beta.sam.gov/ http://www.grants.gov/ frequencies; this approach imparts an N2 increase in phase noise plus additive noise in mixers and other components. Such considerations manifest at the application level, where premier systems such as large phased array radar installations can afford to use an ultra-low-noise master oscillator. However, most applications have cost, size, weight, and power (C-SWaP) constraints, and hand-held radios, 5G base stations, and small unmanned aerial systems (sUAS) must employ compact technologies that are comparatively noisy. In addition, the acceleration sensitivity of most oscillators causes vibration-induced phase noise degradation, which further limits performance when mobility is required.

Recent advances in optical frequency division techniques to produce low-noise microwaves show great promise in circumventing the aforementioned parameter trades. Since optical frequency division allows a down-conversion of signals from terahertz frequencies to the microwave regime, the N2 phase noise scaling factor, in this case, drastically improves spectral purity. In the past few years, benchtop demonstrations of microwave generation with optical techniques have exceeded the performance of fixed-frequency sapphire-cavity oscillators to set world records in phase noise performance around 10 GHz.

At the same time, the miniaturization and integration of precision photonic components through lithographic microelectronic fabrication have established a new paradigm in optical microsystem capability, cost, performance, and manufacturability. Further, the vast bandwidth residing in the optical domain presents compelling opportunities to create arbitrary microwave frequencies in multiple spectral bands, a marked departure from the challenging engineering required to synthesize low-noise microwaves using phase-locked loop (PLL) or other electronic architectures.

B. Program Description

The GRYPHON program seeks to leverage the advantages of photonic microwave generation to develop integrated sources with phase noise performance that meets or exceeds that of the best discrete oscillator modules (e.g., oven-controlled crystal oscillators (OCXO), oven-controlled SAW oscillators, and dielectric resonator oscillators (DRO)), yet occupy a compact volume typical of far noisier chip-scale voltage controlled oscillators (VCO) (e.g., monolithic microwave integrated circuits (MMIC), Yttrium Iron Garnet (YIG), and uncompensated XOs). Moreover, by program end, GRYPHON microwave sources will operate as synthesizers with the ability to tune to any frequency from 1 – 40+ GHz during operation. This combination of features is unprecedented in today’s state of the art, and will establish a new regime of source technology that is expected to transform the types and capabilities of military and commercial microwave systems.

GRYPHON will pursue advanced prototype development as well as research studies into novel microwave generation techniques and components. In addition to the primary focus on performance and integration, later program phases will harden GRYPHON prototypes to basic environmental stresses sufficient to validate the technology for application-specific maturation after the conclusion of the program. DARPA expects that partnerships between the defense industrial base and the academic and small business research community may be necessary in order to achieve all program goals.

While DARPA is primarily interested in solutions that leverage photonic techniques, any approach that demonstrates a credible path to satisfying all metrics and goals of the proposed technical area will be considered for selection. Approaches that are compatible with future low-cost manufacturing at volumes of 1,000 to >10,000 units per year are preferred, and proposals should identify the technical elements that support this goal (e.g., microelectronics foundry fabrication of photonic components, automatable assembly of small numbers of microchips, etc.). Solutions that use domestic manufacturing capabilities to achieve program goals are preferred, as DARPA seeks to strengthen DoD access to differentiating technologies. Proposers should note that GRYPHON technologies may be subject to export control regulation, and refer to the Controlled Unclassified Information (CUI) Guide published alongside this BAA to determine how data and hardware will be safeguarded during the program.

C. Program Structure

GRYPHON will be a 48-month program divided into three phases whose primary goals are summarized below:

Phase 1 (base) – 18 months: Laboratory demonstration of a low-noise oscillator concept using chip-scale components

Phase 2 (option) – 18 months: Development of an integrated, tunable oscillator module with enhanced noise performance

Phase 3 (option, TA1 only) – 12 months: Demonstration of broadband tunability and delivery of environmentally-robust synthesizer modules

DARPA expects to fund a variety of technical approaches within the GRYPHON program. It is anticipated that fewer performers will be funded to participate in Phases 2 and 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 this BAA and funding availability.

D. Technical Areas

GRYPHON seeks proposals in two main Technical Areas (TAs). Entities may submit to more than one Technical Area, and multiple proposals per organization are permitted. Each proposal must address only a single TA and must address all phases and metrics.

Phase noise is a principal program metric in both Technical Areas. Phase noise is important in a variety of applications, but the offset frequency at which noise is important differs. In the GRYPHON program, phase noise is specified primarily as the noise power spectral density relative to a 10 GHz carrier at a 10 kHz offset frequency. For operation at other carrier frequencies, F, phase noise performance metrics are scaled as 20log10(F/10 GHz). As noted below, other assessments of spectral purity are applied to GRYHPON oscillators and include close-in phase noise (at 100 Hz offset), phase noise floor, and power in unwanted spurs.

Oscillator size is a second key goal of both Technical Areas. Historically, achieving low noise with compact oscillators has been challenging, particularly when control electronics, environmental isolation methods, and frequency tuning elements are considered. The

GRYPHON objective of developing a robust microwave synthesizer with a volume of 10 cubic centimeters (10 cc) or smaller is envisioned to have broad impact. The goal of miniaturization is also expected to drive commensurate improvements in module weight, power consumption, and manufacturability.

Tunability over a wide operating frequency is a third goal common to both Technical Areas. The ability to vary the output frequency of a microwave source is important in certain applications and allows a single source to address multiple needs. Optical frequency division architectures present opportunities for both coarse and fine-tuning. While tuning resolution and speed (frequency settling time) are not specified metrics, DARPA expects that the output frequency of GRYPHON synthesizers will be sufficiently variable so as to enable their use as references in high-speed phase-locked loop control systems. Proposers should identify how their approach would provide this functionality and define their own tuning resolution and speed metrics.

1. Technical Area 1 (TA1) – Prototypes

TA1 will develop robust microwave synthesizers that simultaneously achieve an unprecedented combination of low noise, frequency agility, and compact size to satisfy the needs of a broad domain of next-generation microwave systems. Performance metrics are specified in Table 1.

Phases and Metrics Phase 1 (Base Period) – TA1 Phase 1 will focus on the experimental demonstration of a microwave oscillator with phase noise performance comparable to the best commercial state-of-the-art OCXO class of products. Performers may select to optimize around one frequency in the 4 to 18 GHz range.

While non-integrated electronic control and support instruments may be employed in this phase, the sum volume of all constituent oscillator components planned for Phase 2 integration must not exceed 10 cc. To compensate for fiber- or free-space coupling losses caused by the partial state of photonic integration, external optical amplifier instruments may also be used without penalty to the size metric during Phase 1. Initial environmental sensitivity simulation will also occur in Phase 1 to predict the anticipated phase noise degradation due to acceleration and temperature fluctuation.

Phase 2 (Option 1) – TA1 Phase 2 will reduce noise by 10x while incorporating frequency tunability of ± 5% about the central frequency, again, specified by the performer in the 4 to 18 GHz range. The complete microwave source (photonics plus electronics) must be integrated within a 10 cc, circuit-board-mountable module featuring industry-standard input/output ports (i.e., direct current (DC) power input, 10 MHz or 100 MHz reference clock input, and microwave output). Total DC electrical power consumption must not exceed 25 W.

Initial environmental robustness characterization must be performed to determine module sensitivity to ambient temperature variation and a random vibration profile typical of airframes (see Figure 1 and Table 2). Output frequency drift and phase noise will be measured during the tests. Phase 2 will culminate in the delivery of one prototype to a government testing facility, as directed by DARPA, for independent verification and validation (IV&V).

Phase 3 (Option 2) – In TA1 Phase 3, performers will enhance the microwave source modules to implement ultra-wideband tuning during operation, spanning all microwave frequencies from L through Ka band (i.e., 1 to 40 GHz). Phase noise performance at 10 kHz offset frequency must be maintained from Phase 2, and additional spectral noise features at other offset frequencies must be characterized with consistent performance. Phase 3 will also incorporate the ruggedization required to maintain a stable output frequency during temperature excursions and vibration. The program will culminate with the delivery of ten synthesizer prototype modules.

Table 1. Technical Area 1 – Prototypes: Program Metrics and Goals TA1 metric Phase 1 Phase 2 Phase 3

Key Outcomes Low-noise demonstration at a fixed frequency

Narrowband-tunable module with improved noise

Broadband-tunable module with environmental robustness Output Frequency within 4-18 GHz within 4-18 GHz 1-40 GHz Tuning Range - ± 5% 39 GHz Tuning Resolution - performer defined performer defined Tuning Speed - performer defined performer defined Phase Noise at 100 Hz (1) - - -110 dBc/Hz Phase Noise at 10 kHz (1) -140 dBc/Hz -150 dBc/Hz -150 dBc/Hz Phase Noise Floor (1) - - -160 dBc/Hz Spur Power - - -80 dBc Output Power 1 mW 2.5 mW 2.5 mW Size 10 cc (4) 10 cc 10 cc Power Consumption - 25 W 10 W Temperature Stability (2) simulate measure 1 ppm Vibration Sensitivity (3) simulate measure 0.01 ppb/g

(1) Defined as L(f) value at specified offset from a 10 GHz carrier. Noise performance for operation at output frequencies F other than 10 GHz will be scaled as 20log10(F/10GHz).

(2) Ambient temperature requirement is -40 to 85 °C.

(3) Random vibration requirement is 0.04 g2/Hz test-curve envelope as defined in MIL-STD-883-2, Method 2026, Test Condition I/B.

https://quicksearch.dla.mil/qsDocDetails.aspx?ident_number=283311

(4) Sum volume of oscillator components, excluding control/drive electronics and interim packaging solutions such as optical amplifiers that compensate for fiber- or free-space coupling losses.

Figure 1. MIL-STD-883-2, Method 2026, Test Condition I/ Random Vibration Test-Curve Envelope

Table 2. MIL-STD-883-2, Method 2026, Test Condition I/ Values

2. Technical Area 2 (TA2) – Fundamental Limits

TA2 will consist of two-phase research studies intended to experimentally validate approaches to achieve performance beyond the goals of TA1. Aside from meeting one (1) proposer-selected “Moonshot” metric and the remaining baseline metrics described in Table 3, other TA2 performance metrics will be study-dependent and should be proposed by the performer.

Proposed efforts must demonstrate a path to improve phase noise by 10x, use advanced integration to shrink system size by 10x (relative to TA1 values), or expand operating frequency range beyond 100 GHz. Studies are not required to demonstrate the full breadth of TA1 metrics outlined in Table 1, but the nature of TA2 concepts should not preclude achieving these goals.

Phases and Metrics Phase 1 (Base Period) – TA2 Phase 1 will undertake a laboratory demonstration of the proposed oscillator concept using chip-scale components. Phase 1 performance metrics other than those prescribed in Table 3 should be defined by the proposer. Performer-defined metrics should be selected to establish the feasibility of the technical approach and highlight the ability of the concept to meet Phase 2 metrics.

Phase 2 (Option) – TA2 Phase 2 will produce an integrated synthesizer that achieves at least one of the following: phase noise of -160 dBc/Hz at 10 kHz offset from a 10 GHz carrier, output frequency tunable between 1 – 110 GHz, or photonic integration consistent with a one (1) cc synthesizer volume. Proposers opting to pursue one of the two latter goals must achieve phase noise of -150 dBc/Hz at 10 kHz offset from a 10 GHz carrier, while all proposals must describe a path to meeting the specified baseline metrics. Phase 2 synthesizer modules may leverage external control electronics. The program will culminate with the delivery of one prototype to the government.

Table 3. Technical Area 2 – Fundamental Limits: Baseline and Moonshot Metrics TA2 metric Phase 1 Phase 2

Baseline: fixed within 4-18 GHz Baseline: ± 5% within 4-18 GHzOutput Frequency and Tuning Range Moonshot: fixed within 1-110 GHz Moonshot: full span 1-110 GHz

Baseline: -140 dBc/Hz Baseline: -150 dBc/HzPhase Noise at 10 kHz (1) Moonshot: -150 dBc/Hz Moonshot: -160 dBc/Hz Baseline: N/A Baseline: 10 cc (3)

Size Moonshot: 10 cc (2) Moonshot: 1 cc (3)

Output Power - 2.5 mW

(1) Defined as L(f) value at a specified offset from a 10 GHz carrier. Noise performance for operation at output frequencies F other than 10 GHz will be scaled as 20log10(F/10GHz).

(2) Sum volume of oscillator components, excluding control/drive electronics and interim packaging solutions such as optical amplifiers that compensate for fiber- or free-space coupling losses.

(3) Sum volume of oscillator components, excluding control/drive electronics.

E. Schedule/Milestones

GRYPHON is a 48-month program for TA1 and a 36-month program for TA2 with an anticipated start in November 2021. 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. All performers are required to provide regular technical and financial reports.

1. Technical Area 1 Schedule and Milestones Figure 2. TA1 schedule overview; see text bullets below for specific event dates

The following program milestones are applicable to Technical Area 1:

A program kickoff meeting to be held at program start A design review of the hardware demonstration of each phase, including a detailed analysis of system design and performance with respect to the performance of components under development, occurring within 3 months of each phase kickoff

Demonstration of all technical metrics of each phase, approximately one month prior to the end of each period of performance

Delivery of one Phase 2 prototype unit prior to the end of the Phase 2 period of performance

Delivery of ten Phase 3 prototype units prior to the end of the Phase 3 period of performance

2. Technical Area 2 Schedule and Milestones Figure 3. TA2 schedule overview; see text bullets below for specific event dates

The following program milestones are applicable to Technical Area 2:

A program kickoff meeting to be held at program start A design review of the hardware demonstration of each phase, including a detailed analysis of system design and performance with respect to the performance of components under development, occurring within 3 months of each phase kickoff

Demonstration of all technical metrics of each phase, approximately one month prior to the end of each period of performance

Delivery of one Phase 2 prototype unit prior to the end of the Phase 2 period of performance

F. Deliverables

All performers shall deliver detailed spend plans (or detailed program plans for fixed-price award instruments) at program kickoff and execution of subsequent option awards, quarterly technical reports, monthly technical status updates, and monthly financial reports including updated expenditures. Performers shall prepare and submit briefing materials and participate in quarterly progress reviews, either via teleconference or at the performer’s site at the discretion of DARPA. All performers shall participate in and support program-wide reviews held at least annually and scheduled at the Program Manager’s discretion.

Upon the completion of each phase, performers in all the Technical Areas must provide to the Government an end-of-phase Final Technical Report that includes:

a) A description of the technical development and achievements in each area

b) Component test and microwave synthesizer test results

c) Charts and explanations of how the experimental results meet, exceed, or fall short of specified program goals (as described in this BAA)

d) Plans and projections for the following program phase with an updated risk assessment in each of the critical program areas In addition, the following deliverables are expected by Technical Area and by program Phase:

Table 4. Program Deliverables Phase 1 Phase 2 Phase 3

TA 1

- Documentation of the design review milestone

- Documentation of the design review milestone

- One prototype synthesizer module*

- Testing and characterization plan for Phase 3 environmental stress

- Report documenting low-cost manufacturing and end-user transition paths after program conclusion

- Documentation of the design review milestone

- Ten prototype synthesizer modules*

- Manufacturing and end-user transition plans

TA 2

- Documentation of the design review milestone

- Documentation of the design review milestone

- One prototype synthesizer module*

N/A

*All prototypes shall be provided with adequate instructions to support government testing and evaluation using standard laboratory equipment. The components included are expected to meet the program metrics and may be used in decisions to execute Phase Options.

G. Government Furnished Equipment/Property/Information

No Government Furnished Equipment, Property, or Information will be provided for the effort solicited in this BAA.

H. Intellectual Property

Any use of proposer-defined intellectual property (patents, proprietary information, etc.) should be clearly marked as such within the proposal. Include all proprietary claims to the results, prototypes, intellectual property, or systems supporting the effort and/or necessary for the use of the research, results and/or prototype. If there are no proprietary claims, this should be stated.

For forms to be completed regarding intellectual property, see Section IV.B.10.

II. Award Information

A. General Award Information

Multiple awards are anticipated. The 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, 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 http://www.darpa.mil/work-with-us/contract-management#OtherTransactions http://www.darpa.mil/work-with-us/contract-management#OtherTransactions 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 of their research, the Government shall have sole discretion to determine whether the proposed research shall be considered fundamental and to select the award instrument type. Appropriate language will be included in resultant awards for non-fundamental research to prescribe publication requirements and other restrictions, as appropriate. This language can be found at http://www.darpa.mil/work-with-us/additional-baa.

For certain research projects, it may be possible that although the research to be performed by a potential awardee is non-fundamental research, its proposed subawardee’s effort may be fundamental research. It is also possible that the research performed by a potential awardee is fundamental research while its proposed subawardee’s effort may be non-fundamental research.

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

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

III. Eligibility Information

A. Eligible Applicants

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

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

a) FFRDCs

FFRDCs are subject to applicable direct competition limitations and cannot propose to this solicitation in any capacity unless they meet the following conditions. (1) FFRDCs must clearly demonstrate that the proposed work is not otherwise available from the private sector. (2) FFRDCs must provide a letter, on official letterhead from their sponsoring organization, that (a) cites the specific authority establishing their eligibility to propose to Government solicitations and compete with industry, and (b) certifies the FFRDC’s compliance with the associated FFRDC sponsor agreement’s terms and conditions. These conditions are a requirement for FFRDCs proposing to be awardees or subawardees.

b) Government Entities

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

c) Authority and Eligibility

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

2. 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.

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 solicitation. The disclosure must include the proposer’s, and as applicable, proposed team member’s OCI mitigation plan. The OCI mitigation plan must include a description of the actions the proposer has taken, or intends to take, to prevent the existence of conflicting roles that might bias the proposer’s judgment and to prevent the proposer from having unfair competitive advantage. The OCI mitigation plan will specifically discuss the disclosed OCI in the context of each of the OCI limitations outlined in FAR 9.505-1 through FAR 9.505-4.

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

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

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

The name of the DARPA office receiving the support;

The prime contract number;

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

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

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

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

C. Cost Sharing/Matching

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

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

D. Other Eligibility Criteria

1. Collaborative efforts

Collaborative efforts/teaming are strongly encouraged. After proposal selections, the Government reserves the right to seek contractual arrangements, such as Associate Contractor Agreements (ACAs), between separate performers if doing so benefits the overall program/project goals and objectives and mutual interests of the parties.

IV. Application and Submission Information

PROPOSERS ARE CAUTIONED THAT EVALUATION RATINGS MAY BE LOWERED

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

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

A. Address to Request Application Package

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

B. Content and Form of Application Submission

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

1. Abstract Format

Proposers are strongly encouraged to submit an abstract in advance of a full proposal. Abstracts should follow the format described below in this section. The cover sheet should be clearly marked “ABSTRACT” and the total length of Section II should not exceed 8 pages for TA1 abstracts and 5 pages for TA2 abstracts.

Section I. Administrative

A. Cover sheet to include:

(1) BAA number (HR001121S0022);

(2) Technical area(s);

(3) Lead Organization submitting abstract;

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

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

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

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

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

(7) Proposal title;

(8) Technical point of contact to include:

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

(9) Administrative point of contact to include:

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

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

(11) Date proposal abstract was submitted.

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

Section II. Abstract Details

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

B. Technical Approach Provide the technical rationale, technical approach, and a constructive plan for accomplishing program goals in support of the innovative claims and deliverable production. The principal of operation for proposed concepts should be clearly described and validated by basic calculations, modeling, simulation, and/or experimental evidence. Proposal abstracts must provide quantitative, measurable milestones to assess progress toward all end-of-phase and end-of-program goals. Any performer-defined metrics shall be included.

C. Outcomes and Impact Describe the characteristics of demonstrations and deliverables associated with the proposed research, as well as the plans and capability to accomplish technology transition and commercialization.

D. Cost and Schedule Provide a cost estimate for resources (e.g., labor, materials) and any subcontractors over the proposed timeline of the project, broken down by Phase and Government fiscal year. Timeline shall note relevant tasks and milestones required to achieve the technical approach.

E. Capabilities and Teaming Describe relevant design, fabrication, assembly, and characterization capabilities that will be used to achieve the technical approach. Include a clearly-defined organization chart for the program team which outlines, as applicable: (1) the programmatic relationship of team members, (2) expertise and unique capabilities of team members, and, (3) team member responsibilities.

2. Full Proposal Format

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

Volume I – Technical and Management Proposal (3 sections), and Volume II – Cost Proposal (4 sections). The submission of other supporting materials along with the proposals is strongly discouraged and will not be considered for review. Section II of Volume I, Technical and Management Proposal, shall not exceed 30 pages for TA1 proposals and 25 pages for TA2 proposals. The page limitation for full proposals includes all figures, tables, and charts. There is no page limit for Volume II, Cost Proposal.

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

a. Volume I, Technical and Management Proposal

Section I. Administrative

A. Cover sheet to include:

(1) BAA number (HR001121S0022);

(2) Technical area(s);

(3) Lead Organization submitting proposal;

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

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

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

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

(7) Proposal title;

(8) Technical point of contact to include:

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

(9) Administrative point of contact to include:

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

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

(11) Date proposal was submitted.

B. Official transmittal letter.

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

Section II. Detailed Proposal Information

A. Executive Summary Summarize the technical approach, anticipated performance, and expected outcomes of the proposed effort. The executive summary should be concise and to the point. Tables, graphs, and diagrams can be used as supplemental material along with narrative to convey the information.

B. Technical Approach This section is the centerpiece of the proposal and should succinctly present the innovative claims for the proposed research and clearly describe the proposed approach without using any jargon. This section should demonstrate that the proposer has a clear understanding of the state-of-the-art and should provide sufficient justification for the feasibility of the proposed approach(es). This section should also include a detailed technical rationale, technical approach, and constructive plan for accomplishment of technical goals in support of innovative claims and deliverable creation.

The principal of operation of the proposed concepts should be described clearly and validated by detailed calculations, modeling, simulation, and/or experimental evidence. Proposals should include the following elements:

1. Detailed description of the microwave generation approach;

2. List or table of all critical optoelectronic components, including major performance features demonstrated to date, necessary improvement factor, and target form factor;

3. Path to meet phase noise metrics, which should address considerations such as thermo-refractive noise, laser phase noise, phase-coupled intensity noise, vibration-induced phase noise, and/or other noise sources as relevant for the proposed approach, and the expected variation of phase noise across the output frequency range;

4. Phase noise characterization and measurement plan, including the identification of facilities and team members primarily responsible for noise testing;

5. Description of frequency tuning method and its effects on phase noise;

6. Integration and packaging plan (for all TA1 proposals and size-focused TA2 proposals);

7. Estimation of environmental effects on individual components and integrated modules (TA1 only); AND

8. Environmental characterization and measurement plan, including the identification of facilities and team members primarily responsible for environmental testing (TA1 only).

C. Statement of Work (SOW) In plain English, clearly define the technical tasks/subtasks to be performed, their durations, and dependencies among them. The page length for the SOW will be dependent on the amount of the effort. The SOW must not include proprietary information. For each task/subtask, provide:

1. A general description of the objective (for each defined task/activity);

2. A detailed description of the approach to be taken to accomplish each defined task/activity;

3. Identification of the primary organization responsible for task execution (prime, sub, team member, by name, etc.);

4. The completion criteria for each task/activity - a product, event or milestone that defines its completion;

5. Define all deliverables (reporting, data, reports, software, etc.) to be provided to the Government in support of the proposed research tasks/activities; AND

6. Clearly identify any tasks/subtasks (prime or subcontracted) that will be accomplished on-campus at a university, if applicable.

Note: Each phase of the program must be separately defined in the SOW.