HR001123S0052-Amendment-01.pdf

HR001123S0052

Broad Agency Announcement Intensity-Squeezed Photonic Integration for

Revolutionary Detectors (INSPIRED) Microsystems Technology Office

HR001123S0052

As Amended on October 2, 2023

Summary of Amendment 1 Changes:

The purpose of this amendment is to update requirements on program deliverables and BAA timeline outlined in the following sections.

PART II. FULL TEXT OF ANNOUNCEMENT;

o Section I.D “Technical Areas” o Section IV.C.1.a “Abstract Due Date” o Section IV.C.1.b “Proposal Due Date”

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 Area(s) 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

d. Both Classified and Unclassified Submissions

5. Disclosure of Information and Compliance with Safeguarding Covered Defense

Information Controls

6. Human Subjects Research (HSR)/Animal Use

7. Approved Cost Accounting System Documentation

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

9. 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 (if abstracts are not anticipated, remove references to abstracts or alter language as appropriate)

1. Submission Dates and Times

a. Abstract Due Date (optional)

b. Full Proposal Date

c. Frequently Asked Questions (FAQ)

2. Abstract Submission Information (optional)

3. Proposal Submission Information

a. For Proposers Requesting Grants or Cooperative Agreements:

b. For Proposers Requesting Technology Investment Agreements

c. For Proposers Requesting Procurement Contracts or Other Transaction Agreements and submitting to a DARPA-approved Proposal Submissions Website

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)

4. Countering Foreign Influence Program (CFIP)

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. Vault

4. DARPA Embedded Entrepreneurship Initiative (EEI)

VII. Agency Contacts

VIII. Other Information A. Proposers Day B. University Student and Researcher Funding

ATTACHMENT 1: Cost Volume Proposer Checklist ATTACHMENT 2: Proposal Summary Slide Template ATTACHMENT 3: General MTO Controlled Unclassified Information Guide (CUIG) ATTACHMENT 4: Other Transactions (OT) Certifications Template ATTACHMENT 5: DARPA Standard Cost Proposal Spreadsheet

PART I: OVERVIEW INFORMATION

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

Funding Opportunity Title: Intensity-Squeezed Photonic Integration for Revolutionary Detectors (INSPIRED)

Announcement Type: Amendment Funding Opportunity Number: HR001123S0052 Assistance Listing Number: 12.910 Research and Technology Development Dates: (All times listed herein are Eastern Time) o Posting Dates:

Initial Announcement: September 21, 2023 Amendment 1: October 2, 2023 o Proposers Day: September 22, 2023 o Abstract Due Date: October 27, 2023 at 2:00 PM o FAQ Submission Deadline: November 29, 2023 at 4:00 PM o Proposal Due Date: December 18, 2023 at 4:00 PM o Estimated period of performance start: June 1, 2024

Concise description of the funding opportunity: The DARPA Microsystems Technology Office is soliciting innovative research proposals to develop compact optical detectors with sensitivity below the quantum shot noise limit.

Anticipated individual awards: Multiple awards are anticipated.

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

Agency contact:

o Dr. Justin Cohen, Program Manager BAA Coordinator: HR001123S0052@darpa.mil

DARPA/MTO

ATTN: HR001123S0052

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 for FAR-based procurement contracts 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 System for Award Management (SAM) website, under the Contract Opportunities 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.

DARPA’s Microsystems Technology Office seeks innovative proposals to develop compact, ultra-low-noise optical detectors that employ squeezed-light measurement techniques to advance precision optical sensing. Specifically excluded is research that primarily results in evolutionary improvements to the existing state of practice.

A. Background

Low-noise detectors are vital components in optical science and technology. By indicating a minimum signal power needed to reach the signal-to-noise ratio (SNR) demanded by a given application, detector sensitivity dictates the system-level design and performance of optical sensors and communication links. The primary means to scale SNR through greater signal power

– increased drive laser power, larger collection optics, and/or higher transducer efficiency – are not available in all contexts due to practical constraints on system size, weight, and power (SWaP).

On the other hand, decreasing the noise in optical detection directly results in greater capability to deploy advanced optical technologies in SWaP-constrained host platforms. Yet, while designers of optical systems go to great efforts to eliminate noise, conventional optical measurement methods are ultimately constrained to a quantum-limited sensitivity due to the intrinsic shot noise carried by laser light.

The quantum sensitivity limit is typically treated as a fundamental constraint, but sophisticated experiments over the past fifteen years have demonstrated that squeezed states of light can be leveraged to measure signals below the shot-noise level. These techniques have been used for multiple proof-of-concept demonstrations of quantum-enhanced optical sensing – most famously by the gravitational-wave astronomy community to extend the region of space observable by laser interferometer detectors. The ultimate quantum sensing advantage provided by squeezed light in such systems can be considerable, but to date has not exceeded 10 dB due to imperfections in even the highest-quality discrete optics.

The same time period has also witnessed a revolution in integrated photonics: the manipulation of light with microscopic devices on chips. These platforms promise to dramatically miniaturize and scale quantum optical technologies. With recent advances in nonlinear integrated photonics and heterogeneous integration, chip-scale photonic devices are beginning to outperform bulk, discrete optical components. For example, the nonlinear effects that generate squeezed light are more efficient in chip-scale devices than in bulk devices due to stronger field confinement. The inherent stability of solid-state photonic circuits and flexible component design may also provide significant performance advantages in manipulating quantum states of light.

B. Program Description

The principal objective of the Intensity-Squeezed Photonic Integration for Revolutionary Detectors (INSPIRED) program is the development of optoelectronic detector modules that integrate squeezed-light measurement techniques into form factors comparable to commercial photodetector modules, thereby achieving sensitivity significantly beyond the quantum shot-noise limit. Such “squeezed-light detectors” will be transformative in advancing squeezed-light quantum measurement beyond laboratory environments as practical, general-purpose detector components that can be employed in diverse optical systems. The superior sensitivity of squeezed-light detectors is expected to provide decisive quantum advantages in wide-ranging application domains such as active imaging; atomic sensing; navigation; microscopy; and communications.

Reaching this objective will likely entail broad innovation in materials, design, and fabrication in order to realize chip-scale photonic devices and circuits that can efficiently prepare, manipulate, and detect quantum states of light. Since such functions rely critically on ultra-low optical loss, an especially challenging aspect of the program lies in achieving low aggregate loss in complex, multi-component photonic circuits. Other challenges such as generating a high squeezing ratio (SR) in size- and power-constrained photonic devices, maintaining stable optical phase, and mitigating classical noise may also demand significant effort. Ultimately, producing photonic integration platforms with such features will not only enable INSPIRED detectors to measure weak signals with unprecedented sensitivity but will also have profound impact beyond the program in optical approaches to quantum computing. Note that while DARPA is primarily interested in program solutions that leverage integrated photonics, any approach that demonstrates a credible path to satisfying all metrics and goals stated herein will be considered for selection.

C. Program Structure

INSPIRED is a 36-month, two-phase program with an 18-month Phase 1 (Base) and an 18-month Phase 2 (Option). Options may be exercised, at the Government’s sole discretion, based on technical progress measured against the metrics and milestones defined in the BAA and funding availability. Due to the interdisciplinary nature of the INSPIRED program, DARPA encourages proposers to team across industry, academia, Federally Funded Research and Development Centers (FFRDCs), and government as needed to leverage the broad range of expertise necessary to achieve the program metrics.

D. Technical Area(s)

The INSPIRED program has one Technical Area (TA) divided into two phases. The end-goal of the program is a squeezed-light detector prototype as schematically illustrated in Figure 1, and each phase of the program includes metrics, milestones, and deliverables related to test articles that constructively lead to the demonstration of detector prototype modules.

Phase 1 (Base) will develop the central chip-scale photonic devices required for a squeezed-light detector. The two test articles for Phase 1 are a squeezed-light generator with high SR and a phase-sensitive interferometer circuit with low aggregate optical loss. Phase 1 metrics and requirements for each test article, as noted in Table 1 and ensuing footnotes, are challenging in order to demonstrate that chip-scale photonics are capable of producing and manipulating strongly squeezed states of light. Each chip-scale test article may be measured independently through bench-top characterization. In order to ensure that the devices are suitable for integration into the end-of-program prototype modules, Phase 1 also requires performers to carry out a mid-phase preliminary design review (PDR) and an end-of-phase critical design review (CDR), as well as deliver test article hardware to DARPA for independent verification and validation (IV&V).

Phase 2 (Option) will demonstrate squeezed-light detector prototypes with sensitivity exceeding the quantum shot noise limit in a module with volume comparable to commercial photodetector components. The test article for Phase 2 is the prototype module itself, which is expected to include the Phase 1 test articles along with all other ancillary optical and electrical components required to perform a squeezing-enhanced measurement. Figure 1, Table 1, and Table 1 footnotes, respectively, define the required module inputs and outputs, performance and size metrics, and test conditions for each metric. Performers are expected to deliver functional squeezed-light detector prototypes that can be characterized by IV&V groups.

Proposals should include and clearly describe:

The method of squeezed-light generation and signal detection based on chip-scale photonic components compatible with the Table 1 volume requirement;

A constructive plan to demonstrate the test articles defined in Figure 1;

A list of the expected ancillary photonic and electronic components for the squeezed-light detector approach;

The elements of the technical approach that support meeting SR, loss, and sensitivity metrics, and evidence that these elements can be achieved either through calculations based on empirical parameters, simulations, or initial related experiments;

Other technical noise sources, loss sources, and stray light sources specific to the proposed approach and plans to mitigate them. For example:

o Resonant approaches to squeezed-light generation will need to deal with losses inherent in extracting the light from a cavity.

o Technical laser noise is ordinarily cancelled by high common-mode rejection in balanced detectors, but may become limiting at the reduced optical noise levels produced in the program.

o Amplifier noise in balanced photodetectors is ordinarily masked by shot noise at suitably-high local oscillator (LO) power, but may become limiting at the reduced optical noise levels produced in the program.

Table 1. Program metrics by phase and test article Test Article Metric Unit Phase 1 Phase 2 Squeezed-Light Generator Squeezing Ratio (SR) dB 16* - Interferometer Circuit Aggregate Optical Loss dB 0.1† -

Sensitivity zW/Hz - 10§Integrated Squeezed-Light Detector‡ Volume cm3 - 100

* SR may be met through a combination of direct squeezed quadrature measurement and extrapolation of anti-squeezed quadrature measurement based on noise models.

† Including losses encountered by squeezed light in the interferometer test article. Photodetector quantum efficiency may be excluded in Phase 1. The interferometer must be able to lock to any quadrature across 2π radians to a precision of 10 mrad.

‡ Detector module will include an LO and pump optical input of a common fiber mode or a free space mode that can be generated with standard optics laboratory equipment. Optional optical input/output ports may be incorporated to extract squeezed light to interact with an external device for test, and/or to inject a classical signal for calibration purposes. If such ports are proposed, the detector module must be configurable to bypass external losses in the squeezed light path and demonstrate the sensitivity metric. Electrical ports must be of a standard connector type, and may include an electrical power supply input and one or more amplified detector outputs that collectively span an output spectrum from 10 kHz to 10 GHz. The sensitivity metric may be met at any frequency in this band, and proposals should disclose their target squeezing frequency and bandwidth. At frequencies outside of the squeezing bandwidth, the noise spectrum must be shot-noise limited, i.e. set by the LO power and above other noise sources such as electronic noise.

Module volume must include all of the necessary optoelectronic components needed to perform a measurement at the sensitivity metric. External electronics may be used to control the detector or stabilize to optical test equipment if needed, for example to stabilize the relative phase to input fiber fluctuations. The detector module must operate at room temperature and in continuous-wave mode.

Figure 1. Illustration of test articles showing inputs and outputs of the Phase-2 prototype

E. Schedule/Milestones

INSPIRED is a 36-month program with an anticipated start date in June 2024. Program kickoff and periodic review sessions are mandatory and represent an opportunity to interact with the Government on planned work, specifics of the technical approach, and any technical or programmatic items of concern. Regular technical and financial reporting is required by all performers.

The following program milestones are applicable to all performers:

Month 1: Program kickoff meeting Month 9: Preliminary design review (PDR) for the Phase 2 squeezed-light detector, including an initial system design and analysis of the function, performance, and form factor of major components

§Notes on Sensitivity Metric The sensitivity metric in Table 1 assumes vacuum-squeezed homodyne detection and is calculated as a version of noise equivalent power (NEP) for homodyne interferometers. Since the noise and signal levels of such schemes both scale linearly with LO power, the sensitivity metric is calculated by dividing the one-sided noise power spectral density by the LO power.

The numerical metric value is commensurate with 16 dB of noise reduction from the shot-noise limit: zW per Hz of bandwidth, where is Planck’s constant, is the speed

2ℎ𝑐 𝜆 × 10 ‒ 1.6 ≈ 10 ℎ 𝑐 of light, and 1064 nm is the nominal operating wavelength. 𝜆 =

However, the INSPIRED program does not require a specific squeezing or detection approach, and proposers may pursue an alternative method to vacuum-squeezed homodyne detection.

For any approach, proposers may select any wavelength within 5% of 1064 nm, 1300 nm, or 1550 nm as the operating wavelength for the squeezed-light detector. The 10 zW/Hz sensitivity metric value was calculated for operation at 1064 nm, and should be scaled by a factor of 𝜆 for other wavelengths . The metric may be demonstrated experimentally by showing 16 dB of 𝜆 noise reduction from the shot-noise limit.

local oscillator and pump signal (optional)

Integrated Squeezed-Light Detector

Squeezed-Light Generator

Interferometer Circuit

Ancillary Photonic and Electronic Components (Proposer Defined)

10 kHz – 10 GHz output(s) power supply and control(s)

Optical Inputs /Outputs

Electrical Inputs /Outputs

Month 17: Critical design review (CDR) for the Phase 2 squeezed-light detector, including a complete system design and flow-down requirements on the performance and form factor of all components

Month 17: Phase 1 metrics demonstration and assessment Month 18: Delivery of ten units of each of the Phase 1 test articles for Independent

Verification and Validation (IV&V) by two Government team laboratories. At least two units of each test article must be delivered with characterization data. If devices are batch fabricated on chips, the ten units may be delivered on two or more chips for each test article.

Month 21: Post-CDR review, including a detailed technical and programmatic plan to construct the squeezed-light detector

Month 36: Phase 2 metrics demonstration and assessment Month 36: Delivery of one Phase 2 squeezed-light detector prototype module

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 description of the technical development and achievements in each area;

Charts and explanations of how the experimental results meet, exceed, or fall short of specified program goals (as described in this BAA); and Plans and projections for the following program phase with an updated risk assessment in each of the critical program areas.

INSPIRED also requires documentation of the PDR, CDR, and post-CDR review milestones, and hardware deliverables in the form of:

Ten units of the Phase 1 squeezed-light generator test article, which can be delivered on two or more chips, and including characterization data on at least two units;

Ten units of the Phase 1 interferometer circuit test article, which can be delivered on two or more chips, and including characterization data on at least two units; and

One unit of the Phase 2 squeezed-light detector module test article.

All hardware deliverables must include adequate instructions to support IV&V by two Government laboratory teams using standard optoelectronics equipment.

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. 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 should be included. If there are no proprietary claims, this should be stated.

For forms to be completed regarding intellectual property, see Section IV.B.11.

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, as applicable.

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.2., “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/or cost/price within a reasonable time, and 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. § 4022(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 http://www.darpa.mil/work-with-us/contract-management#OtherTransactions http://www.darpa.mil/work-with-us/contract-management#OtherTransactions 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.

University or non-profit research institution performance under this solicitation may include effort categorized as fundamental research. In addition to Government support for free and open scientific exchanges and dissemination of research results in a broad and unrestricted manner, the academic or non-profit research performer or recipient, regardless of tier, acknowledges that such research may have implications that are important to U.S. national interests and must be protected against foreign influence and exploitation. As such, the academic or non-profit research performer or recipient agrees to comply with the following requirements:

(a) The University or non-profit research institution performer or recipient must establish and maintain an internal process or procedure to address foreign talent programs, conflicts of commitment, conflicts of interest, and research integrity. The academic or non-profit research performer or recipient must also utilize due diligence to identify Foreign Components or participation by Senior/Key Personnel in Foreign Government Talent

Recruitment Programs and agree to share such information with the Government upon request.

i. The above described information will be provided to the Government as part of the proposal response to the solicitation and will be reviewed and assessed prior to award. Generally, this information will be included in the Research and Related Senior/Key Personnel Profile (Expanded) form (SF-424) required as part the proposer’s submission through Grants.gov.

1. Instructions regarding how to fill out the SF-424 and its biographical sketch can be found through Grants.gov.

ii. In accordance with USD(R&E) direction to mitigate undue foreign influence in DoD-funded science and technology, DARPA will assess all Senior/Key Personnel proposed to support DARPA grants and cooperative agreements for potential undue foreign influence risk factors relating to professional and financial activities. This will be done by evaluating information provided via the SF-424, and any accompanying or referenced documents, in order to identify and assess any associations or affiliations the Senior/Key Personnel may have with foreign strategic competitors or countries that have a history of intellectual property theft, research misconduct, or history of targeting U.S. technology for unauthorized transfer. DARPA’s evaluation takes into consideration the entirety of the Senior/Key Personnel’s SF-424, current and pending support, and biographical sketch, placing the most weight on the Senior/Key Person’s professional and financial activities over the last 4 years. The majority of foreign entities lists used to make these determinations are publicly available. The DARPA Countering Foreign Influence Program (CFIP) “Senior/Key Personnel Foreign Influence Risk Rubric” details the various risk ratings and factors. The rubric can be seen at the following link:

https://www.darpa.mil/attachments/092021DARPACFIPRubric.pdf

iii. Examples of lists that DARPA leverages to assess potential undue foreign influence factors include, but are not limited to:

1. Executive Order 13959 “Addressing the Threat From Securities Investments That Finance Communist Chinese Military Companies”:

https://www.govinfo.gov/content/pkg/FR-2020-11-17/pdf/2020-25459.pdf

2. The U.S. Department of Education’s College Foreign Gift and Contract Report: College Foreign Gift Reporting (ed.gov)

3. The U.S. Department of Commerce, Bureau of Industry and Security, List of Parties of Concern: https://www.bis.doc.gov/index.php/policy-guidance/lists-of-parties-of-concern

4. Georgetown University’s Center for Security and Emerging Technology (CSET) Chinese Talent Program Tracker:

https://chinatalenttracker.cset.tech

5. Director of National Intelligence (DNI) “World Wide Threat Assessment of the US Intelligence Community”: 2021 Annual Threat Assessment of the U.S. Intelligence Community (dni.gov) https://www.darpa.mil/attachments/092021DARPACFIPRubric.pdf https://www.govinfo.gov/content/pkg/FR-2020-11-17/pdf/2020-25459.pdf https://sites.ed.gov/foreigngifts/ https://www.bis.doc.gov/index.php/policy-guidance/lists-of-parties-of-concern https://www.bis.doc.gov/index.php/policy-guidance/lists-of-parties-of-concern https://chinatalenttracker.cset.tech/ https://www.dni.gov/index.php/newsroom/reports-publications/reports-publications-2021/item/2204-2021-annual-threat-assessment-of-the-u-s-intelligence-community https://www.dni.gov/index.php/newsroom/reports-publications/reports-publications-2021/item/2204-2021-annual-threat-assessment-of-the-u-s-intelligence-community

6. Various Defense Counterintelligence and Security Agency (DCSA) products regarding targeting of US technologies, adversary targeting of academia, and the exploitation of academic experts: https://www.dcsa.mil/

(b) DARPA’s analysis and assessment of affiliations and associations of Senior/Key Personnel is compliant with Title VI of the Civil Rights Act of 1964. Information regarding race, color, or national origin is not collected and does not have bearing in DARPA’s assessment.

(c) University or non-profit research institutions with proposals selected for negotiation that have been assessed as having high or very high undue foreign influence risk, will be given an opportunity during the negotiation process to mitigate the risk. DARPA reserves the right to request any follow-up information needed to assess risk or mitigation strategies.

i. Upon conclusion of the negotiations, if DARPA determines, despite any proposed mitigation terms (e.g. mitigation plan, alternative research personnel), the participation of any Senior/Key Research Personnel still represents high risk to the program, or proposed mitigation affects the Government’s confidence in proposer’s capability to successfully complete the research (e.g., less qualified Senior/Key Research Personnel) the Government may determine not to award the proposed effort. Any decision not to award will be predicated upon reasonable disclosure of the pertinent facts and reasonable discussion of any possible alternatives while balancing program award timeline requirements.

(d) Failure of the academic or non-profit research performer or recipient to reasonably exercise due diligence to discover or ensure that neither it nor any of its Senior/Key Research Personnel involved in the subject award are participating in a Foreign Government Talent Program or have a Foreign Component with an a strategic competitor or country with a history of targeting U.S. technology for unauthorized transfer may result in the Government exercising remedies in accordance with federal law and regulation.

i. If, at any time, during performance of this research award, the academic or non-profit research performer or recipient should learn that it, its Senior/Key Research Personnel, or applicable team members or subtier performers on this award are or are believed to be participants in a Foreign Government Talent Program or have Foreign Components with a strategic competitor or country with a history of targeting U.S. technology for unauthorized transfer , the performer or recipient will notify the Government Contracting Officer or Agreements Officer within 5 business days.

1. This disclosure must include specific information as to the personnel involved and the nature of the situation and relationship. The Government will have 30 business days to review this information and conduct any necessary fact-finding or discussion with the performer or recipient.

2. The Government’s timely determination and response to this disclosure may range anywhere from acceptance, to mitigation, to termination of this award at the Government’s discretion.

https://www.dcsa.mil/

3. If the University receives no response from the Government to its disclosure within 30 business days, it may presume that the Government has determined the disclosure does not represent a threat.

ii. The performer or recipient must flow down this provision to any subtier contracts or agreements involving direct participation in the performance of the research.

(e) Definitions

i. Senior/Key Research Personnel

1. This definition would include the Principal Investigator or Program/Project Director and other individuals who contribute to the scientific development or execution of a project in a substantive, measurable way, whether or not they receive salaries or compensation under the award. These include individuals whose absence from the project would be expected to impact the approved scope of the project.

2. Most often, these individuals will have a doctorate or other professional degrees, although other individuals may be included within this definition on occasion.

ii. Foreign Associations/Affiliations

1. Association is defined as collaboration, coordination or interrelation, professionally or personally, with a foreign government-connected entity where no direct monetary or non-monetary reward is involved.

2. Affiliation is defined as collaboration, coordination, or interrelation, professionally or personally, with a foreign government-connected entity where direct monetary or non-monetary reward is involved.

iii. Foreign Government Talent Recruitment Programs

1. In general, these programs will include any foreign-state-sponsored attempt to acquire U.S. scientific-funded research or technology through foreign government-run or funded recruitment programs that target scientists, engineers, academics, researchers, and entrepreneurs of all nationalities working and educated in the U.S.

2. Distinguishing features of a Foreign Government Talent Recruitment Program may include:

a. Compensation, either monetary or in-kind, provided by the foreign state to the targeted individual in exchange for the individual transferring their knowledge and expertise to the foreign country.

b. In-kind compensation may include honorific titles, career advancement opportunities, promised future compensation or other types of remuneration or compensation.

c. Recruitment, in this context, refers to the foreign-state-sponsor’s active engagement in attracting the targeted individual to join the foreign-sponsored program and transfer their knowledge and expertise to the foreign state. The targeted individual may be employed and located in the U.S. or in the foreign state.

d. Contracts for participation in some programs that create conflicts of commitment and/or conflicts of interest for researchers. These contracts include, but are not limited to, requirements to attribute awards, patents, and projects to the foreign institution, even if conducted under U.S. funding, to recruit or train other talent recruitment plan members, circumventing merit-based processes, and to replicate or transfer U.S.-funded work in another country.

e. Many, but not all, of these programs aim to incentivize the targeted individual to physically relocate to the foreign state. Of particular concern are those programs that allow for continued employment at U.S. research facilities or receipt of U.S. Government research funding while concurrently receiving compensation from the foreign state.

3. Foreign Government Talent Recruitment Programs DO NOT include:

a. Research agreements between the University and a foreign entity, unless that agreement includes provisions that create situations of concern addressed elsewhere in this section,

b. Agreements for the provision of goods or services by commercial vendors, or

c. Invitations to attend or present at conferences.

iv. Conflict of Interest

1. A situation in which an individual, or the individual’s spouse or dependent children, has a financial interest or financial relationship that could directly and significantly affect the design, conduct, reporting, or funding of research.

v. Conflict of Commitment

1. A situation in which an individual accepts or incurs conflicting obligations between or among multiple employers or other entities.

2. Common conflicts of commitment involve conflicting commitments of time and effort, including obligations to dedicate time in excess of institutional or funding agency policies or commitments. Other types of conflicting obligations, including obligations to improperly share information with, or withhold information from, an employer or funding agency, can also threaten research security and integrity and are an element of a broader concept of conflicts of commitment.

vi. Foreign Component

1. Performance of any significant scientific element or segment of a program or project outside of the U.S., either by the University or by a researcher employed by a foreign organization, whether or not U.S. government funds are expended.

2. Activities that would meet this definition include, but are not limited to:

a. Involvement of human subjects or animals;

b. Extensive foreign travel by University research program or project staff for the purpose of data collection, surveying, sampling, and similar activities;

c. Collaborations with investigators at a foreign site anticipated to result in co-authorship;

d. Use of facilities or instrumentation at a foreign site;

e. Receipt of financial support or resources from a foreign entity; or

f. Any activity of the University that may have an impact on U.S.

foreign policy through involvement in the affairs or environment of a foreign country.

3. Foreign travel is not considered a Foreign Component.

vii. Strategic Competitor

1. A nation, or nation-state, that engages in diplomatic, economic or technological rivalry with the United States where the fundamental strategic interests of the U.S are under threat.

Proposers should indicate in their proposal whether they believe the scope of the research included in their proposal is fundamental or not. While proposers should clearly explain the intended results of their research, the Government shall have sole discretion to determine whether the proposed research shall be considered fundamental and to select the award instrument type. Appropriate language will be included in resultant awards for non-fundamental research to prescribe publication requirements and other restrictions, as appropriate. This language can be found at http://www.darpa.mil/work-with-us/additional-baa.

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

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

III. Eligibility Information

A. Eligible Applicants

All responsible sources capable of satisfying the Government's needs may submit a proposal that shall be considered by DARPA. Historically Black Colleges and Universities, Small Businesses, http://www.darpa.mil/work-with-us/additional-baa

Small Disadvantaged Businesses and Minority Institutions are encouraged to submit proposals and join others in submitting proposals; however, no portion of this announcement will be set aside for these organizations’ participation due to the impracticality of reserving discrete or severable areas of this research for exclusive competition among these entities.

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.

FFRDCs interested in participating in the INSPIRED program or proposing to this BAA should first contact the Technical Point of Contact (POC) listed in Part I prior to the abstract due date listed in Part I to discuss eligibility.

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.

Government Entities interested in participating in the INSPIRED effort or proposing to this BAA should first contact the Technical Point of Contact (POC) listed in Part I prior to the abstract due date listed in Part I to discuss eligibility.

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.§ 4892 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

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

Proposer…