HR001121S0031-Amendment-01.pdf

HR001121S0031

Broad Agency Announcement COmpact Front-end Filters at the ElEment-level

(COFFEE)

Microsystems Technology Office

HR001121S0031

June 14, 2021

Amendment 01 As amended August 23, 2021

The purpose of this amendment is to request discussion of a TA1 technical approach’s level of sensitivity to vibration and any practical path that might exist to mitigate such vibration sensitivity. See text highlighted in yellow on page 26.

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

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 (CUI)

i. CUI Proposal Markings

ii. CUI Submission Requirements

c. Unclassified Submissions

5. Disclosure of Information and Compliance with Safeguarding Covered Defense

Information Controls

6. Human Subjects Research (HSR)/Animal Use

7. Approved Cost Accounting System Documentation

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

9. Grant Abstract

10. Small Business Subcontracting Plan

11. Intellectual Property

a. For Procurement Contracts

b. For All Non-Procurement Contracts

12. Patents

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

14. 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 Grants or 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 grants and cooperative agreements only)

C. Reporting D. Electronic Systems

1. Wide Area Work Flow (WAWF)

2. i-Edison

3. DARPA Vault

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: COFFEE 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: COmpact Front-end Filters at the ElEment-level

(COFFEE)

Announcement Type: Initial Announcement Funding Opportunity Number: HR001121S0031 Catalog of Federal Domestic Assistance Numbers (CFDA): 12.910 Research and

Technology Dates: (All times listed herein are Eastern Time) o Posting Date: June 14, 2021 o Proposers Day: June 17, 2021 o Abstract Due Date: July 19, 2021 o FAQ Submission Deadline: August 27, 2021 o Proposal Due Date: September 10, 2021 o Estimated period of performance start: February 2022

Concise description of the funding opportunity: The DARPA Microsystems Technology Office seeks innovative proposals in the area of RF filtering, with the specific aim to produce front-end RF filters that protect the elements of digital Active Electronically Scanned Arrays (AESAs) against interference in increasingly crowded RF spectrum environments.

Anticipated Funding Available for Award: Total funding for awards under this BAA is expected to be $30.5M, approximately partitioned across two Technical Areas as follows:

$26M for Technical Area 1 (TA1), 3 phases, 48 months $4.5M for Technical Area 3 (TA3), 2 phases, 33 months

Total funding for awards under a future BAA for Technical Area 2 is expected to be $12M, 1 phase, 18 months.

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, grant, cooperative agreement or other transaction.

Agency contact:

o Dr. Benjamin Griffin, Program Manager BAA Coordinator: HR001121S0031@darpa.mil

DARPA/MTO

ATTN: HR001121S0031

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 SAM website, under the Contract Opportunities (FBO) link, at https://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 in the area of microwave/millimeter wave frequency resonator and filter technologies, designs, and methods of manufacture for the purpose of providing front-end radio frequency (RF) protection to the elements of Active Electronically Scanned Arrays (AESAs). COFFEE will provide elemental protection for wideband, digital-at-every-element phased arrays against interferers which could adversely impact the operation of such arrays in congested RF environments. The proposed research will investigate innovative approaches that enable revolutionary advances in science, materials, devices, manufacturing, and systems. Specifically excluded is research that primarily results in evolutionary improvements to the existing state of practice.

A. Background

Over the past decade, there has been increasing interest in wideband AESA systems with digital-at-every-element architectures. Wideband AESAs are of particular interest in multi-function arrays supporting advanced radar, electronic warfare, and communications capabilities.

However, implementation of wideband receivers in AESAs currently comes with significant trade-offs. High bandwidth receivers often have limited dynamic range, leaving them vulnerable to electronic jamming. At the same time, observing more signals over a wider bandwidth demands high dynamic range.

Common receiver filter architectures dynamically tune the passband to preserve receiver sensitivity while providing rejection to interferers (i.e., out-of-band signals) when operating in congested environments. However, the area available for element-level integration decreases quadratically as frequency increases. Given the trend to digital-at-every-element, this has eliminated state-of-the-art (SoA) filter architectures as a viable option for wideband AESAs.

Without integrable filter technology for wideband AESAs, gain control is typically used for element-level protection, at significant cost to receiver sensitivity.

B. Program Description

COFFEE’s integrable RF filter technology addresses the combination of size, performance, and reproducibility to enable protection at every element of wideband AESAs. Such a filter technology must:

Address all frequencies within the AESA’s bandwidth (i.e., );𝑓𝑚𝑖𝑛 :𝑓𝑚𝑎𝑥 Be physically small compared to the electromagnetic free-space half-wavelength pitch

(assumes element area is where is the wavelength at );𝜆 2

𝐸𝑀⁄4 𝜆𝐸𝑀 𝑓𝑚𝑎𝑥

Maintain performance (e.g., insertion loss, out-of-band rejection, selectivity, and power handling) compared to SoA non-integrable filters;

Be manufacturable with low performance variability at each of the array elements.

COFFEE will focus on creating an integrable receiver filter technology to cover a challenging S-band through Ku-band (i.e., 2 GHz to 18 GHz) frequency range while physically bound within an 18 GHz half-wavelength array pitch (i.e., 69 mm2).

Filtering with full coverage across the AESA bandwidth can be accomplished with a bank of switched discrete filters, with a continuously-tunable filter across a range of center frequencies, or by some combination thereof (i.e., switched tunable filters).1 Figure 1 depicts the challenge of fitting an integrable filter technology into the lattice spacing of wideband AESA designs.

Switched filter banks require large individual filter counts, as shown in Figure 2; which places a premium on exquisitely small, high performance filters and low-loss switches.2,3 Tunable filters provide substantial size relief to individual fixed filters due to the potential for significantly lower filter counts. However, tunable filters have been challenged to maintain performance over a widely tunable range (i.e., >2:1).4,5 COFFEE will be open to fixed or tunable approaches that meet the program metrics, to include alternative approaches to the following examples.

1 Hereafter, the individual filter components will simply be referred to as a “filter” or “filter technology,” whereas the architecture of filters that covers the full AESA bandwidth will be referred to as the “filter architecture”.

2 I. Burke and P. Subedi, "Compact, Low Loss Switched Filter Bank Using MEMS Switches," Microwave Journal, vol. 62, no. 11, pp. 53-64, 2019.

3 N. El-Hinnawy, G. Slovin, J. Rose and D. Howard, "A 25 THz Fco (6.3 fs Ron * Coff) Phase-Change Material RF Switch Fabricated in a High Volume Manufacturing Environment with Demonstrated Cycling > 1 Billion Times," in IEEE/MTT-S International Microwave Symposium, Los Angeles, CA, 2020.

4 R. Aigner, "Tunable Filters? Reality Check Foreseeable Trends in System Architecture for Tunable RF Filters," IEEE Microwave Magazine, vol. 16, no. 7, pp. 82-88, 2015.

5 X. Liu, "Tunable RF and microwave filters," in IEEE 16th Annual Wireless and Microwave Technology Conference, Cocoa Beach, FL, 2015.

An example of fixed frequency, integrable filters are bulk acoustic wave (BAW) RF filters, commonly operating at frequencies below 3 GHz. BAW RF filters use piezoelectric transduction to convert electromagnetic to acoustic waves, resulting in a four orders-of-magnitude decrease in wavelength due to the slower acoustic wave velocity. These extremely small, high performance filters, manufacturable at wafer scale, have been a boon for modern smartphone handsets and radios, which can have filter counts of one hundred or more. The upper frequency at which BAW filters achieve integrable performance today is 6 GHz.6

6 S. Gong, R. Lu, Y. Yang, L. Gao and A. E. Hassanien, "Microwave Acoustic Devices: Recent Advances and Outlook," IEEE Journal of Microwaves, vol. 1, no. 2, pp. 601-609, 2021.

Figure 1 COFFEE will address the challenge of integrating reconfigurable front-end RF filters (including all required external components, e.g., switches, controls and routing) into the lattice spacing of wideband AESAs.

Figure 2 Approximate number of channels required to cover 2 GHz to 18 GHz as a function of individual filter tuning range.

One type of tunable filter exploits ferromagnetic resonance in yttrium iron garnet (YIG) spheres.

The resonant frequencies of YIG spheres are tuned by an external magnetic field to achieve continuous tuning from 2 GHz to 18 GHz.7 However, YIG sphere filters lack the combination of low loss and size needed for integration into AESAs.

While acoustic and magnetic technology examples are given above, alternative approaches (e.g., N-path, evanescent cavity, colossal permittivity resonators, etc.) will be considered by the COFFEE program. The merit of the technical approach will be based on whether it can be substantiated that it will meet the overall program goals and metrics.

An example filter response with corresponding key performance metrics definitions is shown in Figure 3. Insertion loss characterizes the amount of signal lost in the passband. Bandwidth dictates the passband frequency range around the filter center frequency. Selectivity is a measure of how quickly the filter transitions from the passband to the stop-band. Out-of-band rejection is a measure of the suppression far from the passband. Another important filter characteristic is power handling, which is a measure of the maximum power level for filter distortion, saturation, or failure. Also, a filter technology needs to support uniform manufacturability that leads to low device-to-device variability between the many elements of an AESA. Details of the program metrics are further defined in the notes of Table 1.

Figure 3 Example filter response and corresponding metrics.

The requisite integrable filter performance presents key Technical Challenges (TCs) which are described as follows.

TC1: Achieving acceptable filter loss across the instantaneous bandwidth at high frequency in a small footprint

The maximum tolerable insertion loss for a filter across the typical 5% AESA instantaneous bandwidth is ~2 dB. Filters with losses that exceed this amount unacceptably degrade the receiver noise figure and dynamic range.

7 X. Liu, "Tunable RF and microwave filters," in IEEE 16th Annual Wireless and Microwave Technology Conference, Cocoa Beach, FL, 2015.

TC2: Achieving high power handling at high frequency in a small footprint AESAs are subject to in-band receive signals at power levels that can reach 30 dBm per element. Power saturation of filters can shift their operating characteristics, such as increasing insertion loss within the passband. Excessive input power can also lead to irreversible device failure.

TC3: Achieving uniformity at high frequency Accurate filter center frequencies are required to maintain filter uniformity across the many elements of an AESA. To minimize noise figure and center frequency variation across the AESA receive bandwidth, the maximum acceptable variation in filter center frequencies across the array can be no more than ~0.5%. This TC is most likely applicable to fixed-frequency filter approaches.

TC4: Fitting external tuning components within the array footprint Tunable filters typically contain external tuning components, and these must have a form factor compatible with the small footprint required for integration at the AESA element-level. This TC is most likely applicable to tunable filter approaches.

Proposers must demonstrate their understanding of the COFFEE Technical Challenges described above and explain how their approach will address all applicable Technical Challenges in the respective phases.

COFFEE will pursue an advanced filter technology to overcome the key technical challenges.

The conclusion of the program will be a demonstration of a 2 GHz to 18 GHz filter architecture to validate the scalability of the technology for application-specific maturation after the conclusion of the program. In an additional technical area, research studies into compact mm-wave resonators will be conducted to inform potential future efforts for integrable mm-wave filters. Details of the program structure are contained in the following section. 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.

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 COFFEE technologies that exceed program metrics may be subject to export control regulation. Refer to the Controlled Unclassified Information (CUI) Guide, provided as Attachment 3 to this BAA, to determine how data and hardware will be safeguarded during the program.

C. Program Structure

The COFFEE program is a 51-month program with three technical areas. Notably, this BAA (BAA1) solicits proposals only for Technical Area One (TA1) and Technical Area Three (TA3).

TA1 will focus on design and development of a new class of compact, microwave resonators and their formation into integrable filters. TA1 will consist of three phases with an 18-month Phase 1

(base), 15-month Phase 2 (option), and 15-month Phase 3 (option). Not all performers in any Phase may be funded (options exercised) to continue into subsequent Phases of the program.

TA3 will extend the COFFEE effort to mm-wave frequencies (demonstrating performance at 50 GHz) and will consist of smaller research studies targeting the fundamental limits beyond the frequency range addressed in TA1. TA3 will consist of two phases operated concurrently with Phases 1 and 2 of TA1.

A second, future BAA (BAA2) soliciting proposals for Technical Area Two (TA2) is planned for release during the second half of Phase 2. In BAA2, performers will: (1) validate all Technical Challenges of BAA1 by integrating filters developed under COFFEE BAA1 into a 2 GHz to 18 GHz filter architecture and (2) demonstrate scalability with a filter tile consisting of four-by-four filter architectures. TA2 will consist of a single, 18-month phase.

A pictorial representation of the three technical areas and their relationship is shown in Figure 4.

Figure 4 Overview and relationship between technical areas.

A single proposal to this BAA (BAA1) may respond to either TA1 or TA3, but not both.

Therefore, a proposer wishing to propose to both TAs must submit separate proposals. Phase 2 and Phase 3 options may be exercised, at the Government’s sole discretion, based on funding availability and on technical progress made by the performers as measured against the metrics and milestones defined in this BAA (BAA1). Figure 5 describes the timeline and phases for each Technical Area of the program.

Figure 5 Phase structure and Technical Areas of COFFEE.

D. Technical Areas

COFFEE has three Technical Areas addressing various aspects of developing and integrating front-end RF filters at the AESA element-level. As previously stated, this BAA is requesting proposals only for TA1 and TA3. All discussion of TA2 is informational only to establish context regarding the full program scope. These technical areas are described as follows:

Technical Area 1 (TA1) – μ-Wave Integrable Filter Technology

This TA will focus on design and development of a new class of integrable resonators and their formation into filters. At each Phase of the program, performers will be required to demonstrate resonators and filters at specific frequencies with performance consistent with the metrics shown in Table 1. Within their proposal, a proposer must justify that their technology will be integrable as a filter architecture. This should be accomplished by demonstrating, either through modeling or straightforward scaling analysis, that the size scale of their technology will enable complete coverage of 2 GHz to 18 GHz, assuming 5% instantaneous bandwidth, within 18 GHz pitch spacing area (69 mm2). As appropriate, proposers are allowed to project differences in device structure (e.g., accessing an orthogonal resonant mode) and design to cover separate frequency bands under the assumption that the projections leverage the same general technical approach.

This projection is not required where simple size scaling can be used to cover all frequencies.

Although a full architecture design is not required in proposal submissions to TA1, proposers must present reasonable assumptions about area requirements for integration (e.g., isolation, switches, controls, interconnect, etc.) when projecting their final device area. Presentation of such reasonable assumptions in a pie chart is appreciated. Size scaling as it relates to integration into a filter architecture will be continuously evaluated through the phases of the program as the technology matures. In addition to size, proposed approaches should also meet the power and temperature constraints listed in Table 2.

TA1 will consist of three phases.

Phase 1 (Base, 18 months) will demonstrate resonators at 18 GHz with sufficient quality and energy coupling factors for low insertion loss. Refer to Table 1 for the Phase 1 filter performance metrics. In this phase, performers have the option of projecting filter performance based on modeling and simulation using measured resonator response and measurements of reasonable parasitic integration loads (e.g., electrical routing resistance and capacitance). Any de-imbedding of resonator results must be clearly stated and justified in order to be fairly evaluated against Phase 1 metrics. Measured filter results will be viewed as more favorable when demonstrating the Phase 1 metrics.

Phase 2 (Option, 15 months) will integrate the resonators developed during Phase 1 into low insertion loss filters demonstrated at 8, 12, and 18 GHz. This phase also focuses on constructing filters with high power handling and, as required, integrable tuning, in accordance with the metrics indicated in Table 1. Metrics will be evaluated against measured filter performance.

Phase 3 (Option, 15 months) will demonstrate repeatable manufacturability with low device-to-device variability and more rigorous goals for power handling as shown in Table 1. Metrics will be evaluated against measured filter performance.

Table 1 TA1 COFFEE Filter Metrics

TA1 Metrics Phase 1†

Resonators Phase 2 Filters

Phase 3 Uniformity Notes

Filter Center Frequencies, (GHz)𝑓𝑐 18 8, 12, 18 8, 12, 18 1 Maximum Filter Insertion Loss, dB <3 <2 <2 2 Instantaneous Bandwidth, % of 𝑓𝑐 >4% >5% >5% 2,3 Out-of-Band Rejection, dBc >20 >30 >30 4 Selectivity, dBc >15 >20 > 20 5 In-band power handling, dBm >10 >20 >30 6 In-band / Out-of-band IIP3, dBm >0 / 30 >10 / 40 >10 / 40 7 Maximum frequency variability, % of nominal -- -- 0.5% 8 Maximum Filter Area, mm2 -- <69/N <69/N 9

†In Phase 1, performers have the option of projecting filter response, based on simulations using measured resonator response and measured parasitic integration loads (e.g., electrical routing resistance and capacitance). Phases 2 and 3 metrics will be evaluated against measured filter performance.

1) In Phases 2 and 3, a tunable filter that can cover either or all three frequencies in one device is an acceptable demonstration without creating further redundancy. Otherwise, distinct filters at all three frequencies must be demonstrated in Phases 2 and 3.

2) Insertion loss is defined as the greatest loss at any frequency falling within the instantaneous bandwidth (see Figure 3).

3) Instantaneous fractional bandwidth is constrained to <8%.

4) Out-of-band rejection is measured at five instantaneous bandwidths from center frequency.

5) Selectivity is measured at one instantaneous bandwidth from center frequency.

6) In-band power handling metric denotes maximum input power with 20% duty cycle. Power handling will be gauged on measurable deterioration in filter insertion loss and bandwidth following a 1-hour burn-in.

7) The input third-order intercept point (IIP3) is measured using two tones in the passband / stopband, respectively.

8) Maximum center frequency variability demonstrated over at least sixteen filter parts.

9) Area of an individual filter, including tuning elements, if applicable, where 𝑁 is the number of filters required to cover the 2 GHz to 18 GHz bandwidth for the instantaneous bandwidth and given filter tuning range capability. Note that area is calculated from the two longest dimensions of the filter. Please see Table 2 for further details required in area calculations.

Table 2 TA1 Constraints for COFFEE Filter Prototypes TA1 Constraints

Projected Filter Architecture Area, mm2* 69 Projected Filter Architecture Power Consumption, mW <20 Filter Temperature Coefficient of Frequency, ppm/℃ <100

* Projected filter architecture area should include basic calculations of the number of filters, , required to 𝑁 cover 2 GHz to 18 GHz and the projected area of each filter. Filter area must include external components required for individual filter tuning if applicable. Although a full architecture design is not required in proposal submissions to this BAA, proposers should provide an abbreviated discussion of how they anticipate their filter technology will be integrated into a filter architecture and include projected area allocated towards as-needed external components (e.g., switches, controls, interconnect, etc.). Pie charts of area allocation are appreciated.

(For reference only. Not to be proposed) Technical Area 2 (TA2) – Filter Tile Integration

It is anticipated that TA2 will integrate 2 GHz to 18 GHz filters with as-needed external components (e.g., switches, controls, interconnects, interposer, etc.) into a filter architecture and demonstrate it as a four-by-four element filter tile. It is anticipated that a second, future BAA (BAA2) will be announced during TA1 Phase 2 to call for proposals to integrate successes from Phases 1 and 2. TA2 will culminate with delivery of the filter tile which will validate the potential for scalable manufacturing. The intention is for the TA2 effort to be operated in parallel with TA1 Phase 3.

Technical Area 3 (TA3) – mm-Wave Compact Resonators

TA3 extends the COFFEE effort to mm-wave bands, specifically targeting resonators at 50 GHz.

It will consist of smaller two-phase research studies to target the fundamental limits beyond the frequency range addressed in TA1. TA3 will be operated in parallel with TA1. End of Phase metrics are contained in Table 3.

Phase 1 (base, 18 months) will focus on material and fabrication challenges to form new resonators operating at mm-wave frequencies.

Phase 2 (option, 15 months) will focus on demonstrating high performance, compact resonators.

Table 3 TA3 COFFEE Resonator Metrics

TA3 Metrics Phase 1 Materials/Structures

Phase 2 Resonators Notes

Filter Center Frequency, (GHz)𝑓𝑐 50 50 1 Quality Factor (Q) >200 >500 2 Energy Coupling Factor (%) >5% >10% 3 Maximum Dimension (mm) <0.3 <0.3

1) Devices that can demonstrate frequency tuning anywhere above 18 GHz band will be considered, however metrics will be evaluated at 50 GHz.

2) Quality factor is defined as the ratio of energy stored to energy dissipated per cycle in the resonator.

3) Energy coupling factor is the ratio of energy stored in the resonator to the energy applied.

E. Schedule/Milestones

COFFEE TA1 and TA3 are expected to begin in Q2FY22, with three phases of TA1 being conducted over 48 months and two phases of TA3 being conducted over 33 months. A mandatory program kickoff meeting will be held to present the technical approaches, discuss technical and programmatic items of concern, and interact with the government team and other program performers. The end of each phase represents a major technical milestone in the program. End-of-phase review meetings will be scheduled approximately one month before the end of each phase’s period of performance. These meetings will be used to communicate the technical progress made, particularly with respect to the metrics, during the entire phase.

Technical progress towards the goals of the program represents the major deciding factor in funding decisions for the subsequent phase, and will be monitored through quarterly teleconference calls and occasional site visits by the DARPA program manager along with other members of the government team. A summary of the entire program schedule is presented in Figure 5.

Technical Area 1 Schedule and Milestones

Figure 6 TA1 schedule overview; see text bullets below for specifics

The following program milestones are applicable to Technical Area 1:

A program kickoff meeting to be held at program start A preliminary design review of the hardware demonstration of each phase, including a detailed analysis of components under development including materials, structures, fabrication methods, external component requirements, etc., occurring within three 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 three Phase 1 resonators for IV&V approximately one month prior to the end of the Phase 1 period of performance

Delivery of three Phase 2 filters for each frequency for IV&V approximately one month prior to the end of the Phase 2 period of performance

Delivery of ten Phase 3 filters for each frequency for IV&V approximately one month prior to the end of the Phase 3 period of performance

Technical Area 3 Schedule and Milestones

Figure 7 TA1 schedule overview; see text bullets below for specifics

The following program milestones are applicable to Technical Area 3:

A program kickoff meeting to be held at program start A preliminary design review of the hardware demonstration of each phase, including a detailed analysis of components under development including materials, structures, fabrication methods, etc., occurring within three 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 three Phase 1 resonators for IV&V approximately one month prior to the end of the Phase 1 period of performance

Delivery of three Phase 2 resonators for IV&V approximately one month 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 status reports in slide presentation format, monthly technical updates, and monthly financial reports including updated commitments and 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. All performers should be prepared to respond to off-schedule delivery of technical updates and summary slides at the DARPA Program Manager’s request.

Upon the completion of each phase, performers in Technical Area 1 must provide to the Government an end-of-phase Final Technical Report that includes:

a) A description of the resonator principle of operation (Phase 1) or description of the filter principle of operation (Phases 2 and 3)

b) Simulations used to model device performance (including source code)

c) Method of resonator or filter construction

d) Component lab test results

e) Charts and explanations of how well the resonators and filters under development met, exceeded, or fell short of specified program metrics (as described in Table 1 and Table 2).

Upon the completion of each phase, performers in Technical Area 3 must provide to the Government an end-of-phase Final Technical Report that includes:

a) A description of the resonator principle of operation

b) Simulations used to model device performance (including source code)

c) Method of resonator construction

d) Resonator lab test results

e) Charts and explanations of how well the resonators under development met, exceeded, or fell short of specified program metrics (as described in Table 3).

Other negotiated deliverables specific to the objectives of the individual efforts also may be included. 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.

End-of-phase deliverables for each TA are described in Table 4.

Table 4 Deliverables by End of Phase Phase 1 Phase 2 Phase 3

TA1

Written report on resonator principle of operation, simulations used to model device performance , resonator design, construction, materials, operation, experimental data, component lab test results and performance according to defined TA1 metrics and constraints in Table 1 and Table 2

Charts and explanations of how well the resonators under development met, exceeded, or fell short of specified program metrics

Three probeable, die-level resonators delivered to the government for IV&V*

Written report on filter principle of operation, simulations used to model device performance, filter design, construction, materials, operation, experimental data, component lab test results and performance according to defined TA1 metrics and constraints in Table 1 and Table 2. Reporting must include an assessment of manufacturability ahead of Phase 3

Charts and explanations of how well the filters under development met, exceeded, or fell short of specified program metrics

Three probeable, die-level filters at each frequency (i.e., 8, 12, and 18 GHz) delivered to the government for IV&V*

Written report on improved filter design, on filter principle of operation, , simulations used to model device performance, construction, materials, operation, experimental data, component lab test results, performance, and manufacturability according to defined TA1 metrics and constraints in Table 1 and Table 2

Charts and explanation of how well the filters under development met, exceeded, or fell short of specified program metrics

Ten probeable, die-level filters at each frequency (i.e., 8, 12, and 18 GHz) delivered to the government for IV&V

TA3

Written report on mm-wave resonator principle of operation, simulations used to model device performance, resonator design, construction, materials, operation, experimental data, resonator lab test results and performance

Charts and explanations of how well the resonators under development met, exceeded, or fell short of specified program metrics

Three die-level resonators delivered to the government for IV&V

Written report on mm-wave resonator principle of operation, simulations used to model device performance, resonator design, construction, materials, operation, experimental data, resonator lab test results and performance

Charts and explanations of how well the resonators under development met, exceeded, or fell short of specified program metrics

Three die-level resonators delivered to the government for IV&V

NA

*Die-level devices with standard probe layouts matched to 50 ohms and/or packaged devices with connections impedance matched to 50 ohms are required for IV&V.

Additionally, in all Technical Areas, hardware will be submitted for independent verification and validation (IV&V) by the National Institute of Standards and Technology (NIST) one month before the conclusion of each phase. Sufficient documentation and support for testing at a government lab will be submitted with the IV&V hardware. Furthermore, all design files will be delivered to the Government team at the end of each phase to include, but not limited to mechanical drawings, schematic and layout databases of chips, and packages and circuit boards (as applicable).

G. Government Furnished Equipment/Property/Information

No Government Furnished Equipment, Property, or Information will be provided in this effort.

H. Intellectual Property

Any proposed use of intellectual property (patents, proprietary information, etc.) should be clearly identified in the proposal. Identify all intellectual property claims to future results, prototypes, and deliverables. Explain how these claims may limit the Government use of the technology developed under the COFFEE program or development of derivative technologies.

For forms to be completed regarding intellectual property, see Section IV.B.11 and 12. If there are no intellectual proprietary claims, this should be stated.

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 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.

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

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

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

III. Eligibility Information

A. Eligible Applicants

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

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

a) FFRDCs

FFRDCs are subject to applicable direct competition limitations and cannot propose to this 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.

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.