80NSSC21759054Q-R1 - RFQ Open Market.pdf

1 V1.07 DEC 2020

National Aeronautics and Space Administration NASA Shared Services Center Stennis Space Center, MS 39529-6000

3/19/2021

SUBJECT: Request for Quotation (RFQ) 80NSSC21759054Q-R1, DEPOSITION OF SILICON DIOXIDE

LAYERS ON 100 MM DIAMETER SEMICONDUCTOR WAFERS BY LOW PRESSURE CHEMICAL

VAPOR DEPOSITION AT 720 °C USING TETRAETHYL ORTHOSILICATE PRECURSOR

This solicitation includes the following sections:

1. Statement of Work/Bid Schedule – Section 1

2. Instructions to Offerors – Section 2

3. Solicitation Provisions/Representations and Certifications – Section 3

4. Clauses/Terms and Conditions – Section 4

5. Quote Evaluation Criteria – Section 5

2 V1.07 DEC 2020

SECTION 1

STATEMENT OF WORK/BID SCHEDULE

Background: The background context of this work is described online at https://go.nasa.gov/sic. NASA is developing extreme-environment-durable integrated circuits (ICs) to advance the capabilities of a variety of planned NASA missions including Venus landers. Towards this end, NASA Glenn Research Center (GRC) has been developing increasingly capable silicon carbide (SiC) Junction Field Effect Transistor - Resistor (JFET-R) ICs with two levels of metal interconnect that can uniquely function for over a year at 500 °C. As a critical step in a fabrication process flow that constructs these uniquely durable ICs for NASA missions, this procurement is seeking outsourced commercial deposition of silicon dioxide (SiO2) layers on 100 mm diameter semiconductor wafers by low pressure chemical vapor deposition at a temperature of 720 °C using TetraEthyl OrthoSilicate (TEOS) precursor. This procurement will start to meet evolving/expanding project requirements by importantly exceeding the practical capabilities of NASA GRC’s TEOS SiO2 deposition equipment, including faster multiple-layer dielectric depositions, higher volume of wafers, wafers of increased diameter, and IC yield improvement.

Scope: This procurement is seeking deposition of silicon dioxide (SiO2) layers on 100 mm diameter semiconductor wafers via a Low-Pressure Chemical Vapor Deposition (LPCVD) process at a temperature of 720 °C using TetraEthyl OrthoSilicate (TEOS) precursor. Exceedingly high degrees of process control, film uniformity and film reproducibility are needed to satisfy the demanding needs of the intended end application, namely the successful construction of silicon carbide (SiC) integrated circuits (ICs) for longer-term robotic exploration of the solar system’s harshest environments. In order to demonstrate sufficient mastery of SiO2 film deposition that ensures accomplishment of durable SiC ICs when these films are included a full SiC IC fabrication process flow, the contractor must execute a series of SiO2 deposition runs followed by film characterizations as detailed in the following Statement of Work (SOW). The SOW is divided into 3 phases to be conducted consecutively. Phase 1 is build-up of the apparatus necessary to carry out the NASA-specified TEOS SiO2 film deposition process. Phase 2 is a sequence of runs depositing 0.2 µm thick SiO2 films on batches of at least twenty silicon wafers (100 mm in diameter) followed by film thickness characterization so as to verify deposition process uniformity and reproducibility. Phase 3 is deposition of 1 µm thick SiO2 films on Si and SiC wafers followed by a series of anneals and detailed characterizations.

Statement of Work (SOW):

Phase 1: Implementation of TEOS SiO2 deposition process apparatus

The contractor shall implement all necessary equipment and consumables that enables safe deposition of uniform SiO2 films simultaneously on no less than a batch quantity of at least 20 semiconductor wafers 100 mm in diameter using TetraEthyl OrthoSilicate (TEOS) as the deposition precursor. The deposition chamber shall consist of high-purity quartz tube wherein the concentration of contaminants in the quartz shall be less than 1 parts per billion (ppb). 20 semiconductor wafers held vertically in one or more high-purity quartz boat(s) wherein the concentration of contaminants in the quartz shall be less than 1 parts per billion (ppb). This equipment shall as a minimum implement the following TEOS SiO2 deposition process broken into the steps described below:

1.1.Wafer Loading: The at least 20 semiconductor wafers shall be loaded into the deposition chamber of the deposition apparatus at deposition chamber temperature not to exceed 150 °C.

https://go.nasa.gov/sic

3 V1.07 DEC 2020

1.2.Chamber Pumpdown and Leak Rate Test: The deposition chamber loading door shall be closed and chamber pressure reduced by vacuum pump(s) and monitored until deposition chamber pressure is less than 2 mTorr. With pressure less than 2 mTorr, the valve between the chamber and vacuum pump(s) close to isolate the deposition chamber from vacuum pump(s). The deposition chamber pressure shall then be monitored, and the leak up rate observed shall not exceed 25 mTorr/minute.

1.3.N2 Purge and Temperature Ramp: After re-opening the isolation valve between the vacuum pump and chamber, gaseous nitrogen (N2) of purity exceeding 99.997% (excluding Argon content) shall then be flowed into the deposition chamber and deposition chamber pressure of 400 mTorr established. The chamber temperature shall then be increased to 720 °C using temperature ramp rate never to exceed 3 °C/minute. Upon reaching 720 °C, these deposition chamber conditions shall be maintained for a minimum of 10 additional minutes prior to Step 1.4.

1.4.TEOS SiO2 Deposition: With 720 °C and 400 mTorr conditions established, TEOS precursor flow of shall be introduced into the deposition chamber while N2 flow is turned off to initiate SiO2 film deposition onto the at least 20 silicon wafers. Film deposition shall continue in this manner for time period necessary to reach targeted SiO2 film thickness.

1.5.Termination of Deposition and Cooldown: SiO2 deposition is terminated by turning off the flow of TEOS precursor and re-establishing gaseous N2 flow into the deposition chamber. The deposition chamber is then reduced at ramp rate never to exceed 3 °C/minute in magnitude to temperature of less than 150 °C.

1.6.Wafer Unloading: Once deposition chamber temperature of less than 150 °C is reached, the deposition chamber pressure can be increased to atmospheric, the chamber door can be opened, and the at least 20 semiconductor wafers can be unloaded for further processing.

Phase 2: Verification of TEOS SiO2 process uniformity and repeatability

The contractor shall employ the deposition apparatus of Phase 1 to execute a consecutive series of SiO2 film depositions and thickness characterizations upon batches of at least 20 silicon wafers to verify SiO2 deposition process uniformity and repeatability as follows:

2.1. Wafer Batch Deposition: The contractor shall deposit 0.2 µm thick TEOS SiO2 films simultaneously and uniformly upon at least twenty 100 mm diameter bare single-crystal silicon wafers for each run. Each bare single-crystal silicon wafer shall be n-type of resistivity < 0.01 ohm-cm with (100) polished crystal surface orientation.

2.2. Wafer Batch Thickness Characterization: Using a semi-automated spectroscopic reflectometer in NIST-traceable calibration within ± 50 angstroms, the contractor shall non-destructively measure the resulting deposited SiO2 film thickness for each and every one of the at least 20 silicon wafers near the 9 wafer positions shown in the below Fig. 1 illustration.

Fig. 1. Drawing illustration representing a 100 mm diameter single-crystal silicon wafer (with major crystallographic orientation flat at top) and the 9 locations for SiO2 film thickness measurements.

4 V1.07 DEC 2020

2.3. Data and Analysis: The contractor shall provide to NASA an Excel data file containing all measured thickness values from Step 2.2 for all wafers deposited upon for each run.

2.4. For a TEOS batch run to be counted as acceptable/successful by NASA, the reflectometry measured SiO2 thickness at all 9 measurement locations on all at least 20 wafers must fall within 3% of the 0.2 µm target thickness.

For Phase 2 work to be considered completed/accepted by NASA, the contractor shall repeat steps 2.1 through

2.4 achieving success criteria for three consecutive TEOS batch runs. It is not acceptable for an unsuccessful batch run to occur between the first and third successful batch runs. The contractor shall deliver to NASA the entire batch of at least 20 wafers from the third successful TEOS batch run.

Phase 3: Deposition and Characterization of 1 µm thick TEOS SiO2 films.

3.1 Wafer Batch Deposition: The contractor shall employ the deposition apparatus of Phase 1 to deposit 1 µm thick TEOS SiO2 films onto a batch of at least 20 semiconductor wafers of 100 mm diameter. At least 3 of the at least 20 semiconductor wafers shall be comprised of single-crystal 4H-SiC wafers, while the remaining wafers of 100 mm diameter shall be comprised of single-crystal silicon. At least 1 of the 4H-SiC wafers shall have a photolithographically defined pattern of mesa structures of 0.9 µm ± 0.2 µm in depth etched into its polished surface. At least 3 of the 4H-SiC wafers shall be characterized for stress and radius of curvature at room temperature prior to TEOS SiO2 deposition. The 4H-SiC wafers shall occupy near-middle wafer boat positions.

3.2. Particle Fallout and Pinhole-Count Characterization: The 4 silicon wafers that resided closest to the 4H-SiC wafers during the deposition of 3.1 shall undergo the following additional processing and characterization steps to reveal and count particle fallout and pinhole defects in the deposited 1 µm thick SiO2 film. The contractor shall deliver all 4 silicon wafers employed to characterize the pinhole count to

NASA.

3.2.1. The 4 silicon wafers shall be optically inspected such that any particle greater than 0.5 µm in size observed more than 5 mm inside from the wafer periphery is counted as a particle fallout defect.

3.2.2. The four silicon wafers shall undergo dry thermal oxidation at 1150 °C in flowing O2 of 99.999% purity for two hours.

3.2.3. The 4 silicon wafers shall be optically inspected such that any localized area of enhanced oxide thickness observed more than 5 mm inside from the wafer periphery is counted as a pinhole defect.

3.2.4. For a TEOS batch run to be counted as acceptable/successful by NASA, the area-normalized average pinhole density for all 4 silicon wafers shall not exceed 0.1 defects/cm2.

3.3. Film Stress Characterization: Three of the 4H-SiC wafers measured and deposited in 3.1 shall undergo the room-temperature characterization of film stress and radius of curvature and anneals as follows, with all film stress and radius of curvature measurement data submitted to NASA:

3.3.1. The “as-deposited” film stress and radius of curvature of these three 4H-SiC wafers with 1 µm SiO2 film shall be measured at room temperature.

3.3.2. These three 4H-SiC wafers shall be subjected to 2 hours of 720 °C annealing in near-vacuum environment of less than 2 mTorr pressure.

3.3.3. The 2-hour annealed film stress and radius of curvature of these three 4H-SiC wafers with 1 µm SiO2 film shall be measured at room temperature.

3.3.4. These three 4H-SiC wafers shall be subjected to an additional 4 hours (i.e., 6 total hours) of 720 °C annealing in near-vacuum environment of less than 2 mTorr pressure.

5 V1.07 DEC 2020

3.3.5. The 6-hour annealed film stress and radius of curvature of these three 4H-SiC wafers with 1 µm SiO2 film shall be measured at room temperature.

3.4. Cross-sectional Scanning Electron Microscopic Characterization of 4H-SiC Mesa Sample: The 4H-SiC wafer with etched mesa features deposited in 3.1 shall be studied using Focused Ion Beam (FIB) milling across a mesa feature and Scanning Electron Microscopy (SEM) imaging so as to reveal the microscopic thickness profile and conformality of the as-deposited SiO2 film across etched SiC mesa step. The SEM images shall be provided to NASA.

Reporting: During the period of performance, the contractor shall report to NASA its work progress at least once every two months.

Requirement for Descriptive Literature

Responsive bids for this procurement shall include information that will enable NASA to evaluate which prospective bidders possess the relevant equipment, facilities, and competence to successfully execute the Statement of Work within reasonable cost and schedule. A responsive bid shall therefore include therefore include the information:

1. Bid shall explicitly identify any steps/parts in the Statement of work that will subcontracted and not performed at the bidder’s own facility. Bid shall also identify proposed subcontractor(s) for each subcontracted/outsourced task.

2. Bid shall provide details (either manufacturer and model number, and/or photographic image) of the key pieces of laboratory equipment that will be used to perform the SOW, including all of the following equipment:

a. The apparatus that will be used or modified for conducting TEOS SiO2 depositions.

b. The spectroscopic reflectometer needed for Task 2.2.

c. The thermal oxidation furnace needed for Task 3.2.2.

d. The optical inspection system needed for Tasks 3.2.1 and 3.2.3.

e. The film stress and radius of curvature measurement system needed for Tasks 3.3.1, 3.3.3, and 3.3.5.

f. The SEM with FIB needed for Task 3.4, including an example cross-sectional SEM image produced by the instrument that will be used.

3. Bid shall explicitly state if TEOS SiO2 deposition apparatus is also capable and available for also performing 720 °C stoichiometric Si3N4 deposition, such that an alternating multiple-layer stack of SiO2 / Si3N4 / SiO2 might be implemented upon a batch of at least twelve 100 mm diameter semiconductor wafers with metal interconnect patterns present on them during a single 720 °C deposition run. As such capability would streamline future processing of NASA Glenn SiC JFET-R ICs, it will be weighed up to 25% of overall evaluation score during the technical evaluation of bids.

Failure to provide the above requested information can be considered grounds for bid dismissal.

6 V1.07 DEC 2020

Process Additional Information:

The below Process Additional Information describes an example TEOS SiO2 deposition equipment and run sequence that has been practiced by NASA GRC in the past. This is intended strictly as ADDITIONAL BACKGROUND information for prospective bidders and DOES NOT supplant/supersede/alter the above-stated SOW requirements.

NASA GRC TEOS SiO2 Deposition Equipment: Deposition chamber is quartz tube of 225 mm inner diameter, and length 1416mm, wherein the impurity concentration of said quartz is less than 1 parts per billion.

Deposition chamber is connected to dry vacuum pump via electronically controlled butterfly valve pressure/conductance process controller, wherein the dry pump rate at atmosphere to 400 mTorr is greater than 10,000 liters per minute.

NASA GRC Deposition Process Flow:

1.1. Wafer Loading: The at least 20 semiconductor wafers shall be loaded into the deposition chamber of the deposition apparatus at deposition chamber temperature not to exceed 150 °C.

1.2. Chamber Pumpdown and Leak Rate Test: The deposition chamber loading door shall be closed and chamber pressure reduced by vacuum pump(s) and monitored until deposition chamber pressure is less than 2 mTorr. With pressure less than 2 mTorr, the valve between the chamber and vacuum pump(s) close to isolate the deposition chamber from vacuum pump(s). The deposition chamber pressure shall then be monitored, and the leak up rate observed shall not exceed 25 mTorr/minute.

1.3. N2 Purge and Temperature Ramp: After re-opening the isolation valve between the vacuum pump and chamber, gaseous nitrogen (N2) of purity exceeding 99.997% excluding Argon content shall then be flowed into the deposition chamber at flow rate of 300 Standard Cubic Centimeters per Minute (SCCM) and deposition chamber pressure of 400 mTorr established. The chamber temperature shall then be increased to 720 °C at temperature ramp rate never to exceed 3 °C/minute. Upon reaching 720 °C, these deposition chamber conditions shall be maintained for a minimum of 10 additional minutes prior to Step 1.4.

1.4. TEOS SiO2 Deposition: With 720 °C and 400 mTorr conditions established, TEOS precursor flow of 100 SCCM shall be introduced into the deposition chamber while N2 flow is cut off within 90 seconds to initiate SiO2 film deposition onto the 20 silicon wafers. Film deposition shall continue in this manner for time period necessary to reach targeted SiO2 film thickness. (For these deposition conditions in NASA Glenn’s deposition apparatus, 83 minutes of deposition time resulted in 1 µm thick SiO2 films). We assume the transition is instantaneous and use that 90 second as part of the total TEOS deposition time.

May vary by valve speed and system design.

1.5. Termination of Deposition and Cooldown: SiO2 deposition is terminated by turning off the flow of TEOS precursor and re-establishing 300 SCCM N2 flow into the deposition chamber within 90 seconds. The deposition chamber is then reduced at ramp rate never to exceed 3 °C/minute in magnitude to temperature of less than 150 °C.

1.6. Wafer Unloading: Once deposition chamber temperature of less than 150 °C is reached, the deposition chamber pressure can be increased to atmospheric, the chamber door can be opened, and the at least 20 semiconductor wafers can be unloaded for further processing.

7 V1.07 DEC 2020

SECTION 2

INSTRUCTION TO OFFERORS

☒52.212-1 Instructions to Offerors – Commercial Items (Jun 2020) Addendum to 52.212-1

Quotes for the item(s) described in the RFQ are due by 3/26/2021 by 4:00 p.m. CT to Jonathan Gomez at jonathan.g.gomez@nasa.gov in order to be considered for award. If it is in the best interest of the Government, quotes submitted after the due date may be accepted. Quotes shall remain valid for 30 days unless otherwise expressly stated on the quote. Submitted Quotes shall list two points of contacts including name, phone number, and email address.

All contractual and technical questions must be in writing (e-mail) to Jonathan Gomez at jonathan.g.gomez@nasa.gov no later than 3/24/2021 by 12:00 p.m. CT. Telephone questions shall not be accepted.

The NAICS Code for this procurement is 334413.

This procurement is full and open competition.

Offeror’s shall be registered at www.sam.gov in order to be considered for award.

Delivery is FOB Destination.

Please note that Provisions 52.204-24 Representation Regarding Certain Telecommunications and Video Surveillance Services or Equipment (Oct 2020) and 52.204-26 Covered Telecommunications Equipment or Services-Representation (Oct 2020) are included in this RFQ. You are required to complete these two provisions and return the RFQ document with your quote. Failure to complete these Provisions will result in the Government being unable to make award to your firm.

http://www.sam.gov/

8 V1.07 DEC 2020

SECTION 3

SOLICITATION PROVISION/REPRESENTATIONS AND CERTIFICATIONS

☒52.252-1 SOLICITATION PROVISIONS INCORPORATED BY REFERENCE (FEB 1998)

This solicitation incorporates one or more solicitation provisions by reference, with the same force and effect as if they were given in full text. Upon request, the Contracting Officer will make their full text available. The offeror is cautioned that the listed provisions may include blocks that must be completed by the offeror and submitted with its quotation or offer. In lieu of submitting the full text of those provisions, the offeror may identify the provision by paragraph identifier and provide the appropriate information with its quotation or offer. Also, the full text of a solicitation provision may be accessed electronically at this/these address(es):

FAR FAR | Acquisition.GOV NFS NASA FAR Supplement

FEDERAL ACQUISITIONI REGULATION (FAR) PROVISIONS INCORPORATED BY

REFERENCE:

☒52.204-07 System for Award Management (Oct 2018) ☒52.204-16 Commercial and Government Entity Code Reporting (Jul 2016) ☒52.204-17 Ownership or Control of Offeror (Jul 2016) ☒52.204-19 Incorporation by Reference of Representations and Certifications (Dec 2014) ☒52.204-24 Representation Regarding Certain Telecommunications and Video Surveillance Services or Equipment (Oct 2020) ☒52.204-26 Covered Telecommunications Equipment or Services-Representation (Oct 2020) ☐52.209-02 Prohibition on Contracting with Inverted Domestic Corporations – Representation (Nov

2015) ☒52.225-25 Prohibition on Contracting with Entities Engaging in Sanctioned Activities Or

Transactions Relating to Iran – Representation and Certifications (Aug 2018) ☒52.223-1 Biobased Product Certification (May 2012)

FAR PROVISISIONS IN FULL TEXT:

☒52.212-3 OFFEROR REPRESENTATIONS AND CERTIFICATIONS—COMMERCIAL ITEMS

(Jan 2021)

The offeror shall complete only paragraphs (b) of this provision if the Offeror has completed the annual representations and certification electronically via the System for Award Management (SAM) Web site located at System for Award Management (sam.gov). If the Offeror has not completed the annual representations and certifications electronically, the Offeror shall complete only paragraphs (c) through (u) of this provision.

(a) Definitions. As used in this provision--https://www.acquisition.gov/browse/index/far https://www.hq.nasa.gov/office/procurement/regs/NFS.pdf https://www.sam.gov/SAM/

9 V1.07 DEC 2020

“Economically disadvantaged women-owned small business (EDWOSB) concern” means a small business concern that is at least 51 percent directly and unconditionally owned by, and the management and daily business operations of which are controlled by, one or more women who are citizens of the United States and who are economically disadvantaged in accordance with 13 CFR part 127. It automatically qualifies as a women-owned small business eligible under the WOSB Program.

“Forced or indentured child labor” means all work or service—

(6) Exacted from any person under the age of 18 under the menace of any penalty for its nonperformance and for which the worker does not offer himself voluntarily; or

(7) Performed by any person under the age of 18 pursuant to a contract the enforcement of which can be accomplished by process or penalties.

“Highest-level owner” means the entity that owns or controls an immediate owner of the offeror, or that owns or controls one or more entities that control an immediate owner of the offeror. No entity owns or exercises control of the highest level owner.

“Immediate owner” means an entity, other than the offeror, that has direct control of the offeror. Indicators of control include, but are not limited to, one or more of the following: Ownership or interlocking management, identity of interests among family members, shared facilities and equipment, and the common use of employees.

“Inverted domestic corporation,” means a foreign incorporated entity that meets the definition of an inverted domestic corporation under 6 U.S.C. 395(b), applied in accordance with the rules and definitions of 6 U.S.C.

395(c).

“Manufactured end product” means any end product in product and service codes (PSCs) 1000-9999, except—

(1) PSC 5510, Lumber and Related Basic Wood Materials;

(2) Product or Service Group (PSG) 87, Agricultural Supplies;

(3) PSG 88, Live Animals;

(4) PSG 89, Subsistence;

(5) PSC 9410, Crude Grades of Plant Materials;

(6) PSC 9430, Miscellaneous Crude Animal Products, Inedible;

(7) PSC 9440, Miscellaneous Crude Agricultural and Forestry Products;

(8) PSC 9610, Ores;

(9) PSC 9620, Minerals, Natural and Synthetic; and

(10) PSC 9630, Additive Metal Materials.

10 V1.07 DEC 2020

“Place of manufacture” means the place where an end product is assembled out of components, or otherwise made or processed from raw materials into the finished product that is to be provided to the Government. If a product is disassembled and reassembled, the place of reassembly is not the place of manufacture.

“Predecessor” means an entity that is replaced by a successor and includes any predecessors of the predecessor.

“Restricted business operations” means business operations in Sudan that include power production activities, mineral extraction activities, oil-related activities, or the production of military equipment, as those terms are defined in the Sudan Accountability and Divestment Act of 2007 (Pub. L. 110-174). Restricted business operations do not include business operations that the person (as that term is defined in Section 2 of the Sudan Accountability and Divestment Act of 2007) conducting the business can demonstrate—

(1) Are conducted under contract directly and exclusively with the regional government of southern Sudan;

(2) Are conducted pursuant to specific authorization from the Office of Foreign Assets Control in the Department of the Treasury, or are expressly exempted under Federal law from the requirement to be conducted under such authorization;

(3) Consist of providing goods or services to marginalized populations of Sudan;

(4) Consist of providing goods or services to an internationally recognized peacekeeping force or humanitarian organization;

(5) Consist of providing goods or services that are used only to promote health or education; or

(6) Have been voluntarily suspended.

Sensitive technology—

(1) Means hardware, software, telecommunications equipment, or any other technology that is to be used specifically—

(i) To restrict the free flow of unbiased information in Iran; or

(ii) To disrupt, monitor, or otherwise restrict speech of the people of Iran; and

(2) Does not include information or informational materials the export of which the President does not have the authority to regulate or prohibit pursuant to section 203(b)(3) of the International Emergency Economic Powers Act (50 U.S.C. 1702(b)(3)).

“Service-disabled veteran-owned small business concern”—

(1) Means a small business concern—

(i) Not less than 51 percent of which is owned by one or more service-disabled veterans or, in the case of any publicly owned business, not less than 51 percent of the stock of which is owned by one or more service-disabled veterans; and

11 V1.07 DEC 2020

(ii) The management and daily business operations of which are controlled by one or more service-disabled veterans or, in the case of a service-disabled veteran with permanent and severe disability, the spouse or permanent caregiver of such veteran.

(2) Service-disabled veteran means a veteran, as defined in 38 U.S.C. 101(2), with a disability that is service-connected, as defined in 38 U.S.C. 101(16).

“Small business concern” means a concern, including its affiliates, that is independently owned and operated, not dominant in the field of operation in which it is bidding on Government contracts, and qualified as a small business under the criteria in 13 CFR Part 121 and size standards in this solicitation.

“Small disadvantaged business concern, consistent with 13 CFR 124.1002,” means a small business concern under the size standard applicable to the acquisition, that--

(1) Is at least 51 percent unconditionally and directly owned (as defined at 13 CFR 124.105) by--

(i) One or more socially disadvantaged (as defined at 13 CFR 124.103) and economically disadvantaged (as defined at 13 CFR 124.104) individuals who are citizens of the United States;

and

(ii) Each individual claiming economic disadvantage has a net worth not exceeding $750,000 after taking into account the applicable exclusions set forth at 13 CFR 124.104(c)(2); and

(2) The management and daily business operations of which are controlled (as defined at 13.CFR 124.106) by individuals, who meet the criteria in paragraphs (1)(i) and (ii) of this definition.

“Subsidiary” means an entity in which more than 50 percent of the entity is owned—

(1) Directly by a parent corporation; or

(2) Through another subsidiary of a parent corporation.

“Successor” means an entity that has replaced a predecessor by acquiring the assets and carrying out the affairs of the predecessor under a new name (often through acquisition or merger). The term “successor” does not include new offices/divisions of the same company or a company that only changes its name. The extent of the responsibility of the successor for the liabilities of the predecessor may vary, depending on State law and specific circumstances.

“Veteran-owned small business concern” means a small business concern—

(1) Not less than 51 percent of which is owned by one or more veterans(as defined at 38 U.S.C. 101(2)) or, in the case of any publicly owned business, not less than 51 percent of the stock of which is owned by one or more veterans; and

(2) The management and daily business operations of which are controlled by one or more veterans.

“Women-owned business concern” means a concern which is at least 51 percent owned by one or more women;

or in the case of any publicly owned business, at least 51 percent of the its stock is owned by one or more women; and whose management and daily business operations are controlled by one or more women.

12 V1.07 DEC 2020

“Women-owned small business concern” means a small business concern --

(1) That is at least 51 percent owned by one or more women or, in the case of any publicly owned business, at least 51 percent of the stock of which is owned by one or more women; and

(2) Whose management and daily business operations are controlled by one or more women.

“Women-owned small business (WOSB) concern eligible under the WOSB Program (in accordance with 13 CFR part 127),” means a small business concern that is at least 51 percent directly and unconditionally owned by, and the management and daily business operations of which are controlled by, one or more women who are citizens of the United States.

(b)

(1) Annual Representations and Certifications. Any changes provided by the offeror in paragraph (b)(2) of this provision do not automatically change the representations and certifications posted on the SAMwebsite.

(2) The offeror has completed the annual representations and certifications electronically via the SAM website accessed through Acquisition Systems | Acquisition.GOV. After reviewing the SAM database information, the offeror verifies by submission of this offer that the representation and certifications currently posted electronically at FAR 52.212-3, Offeror Representations and Certifications— Commercial Items, have been entered or updated in the last 12 months, are current, accurate, complete, and applicable to this solicitation (including the business size standard applicable to the NAICS code referenced for this solicitation), as of the date of this offer and are incorporated in this offer by reference (see FAR 4.1201), except for paragraphs ____________. [Offeror to identify the applicable paragraphs at (c) through (u) of this provision that the offeror has completed for the purposes of this solicitation only, if any. These amended representation(s) and/or certification(s) are also incorporated in this offer and are current, accurate, and complete as of the date of this offer. Any changes provided by the offeror are applicable to this solicitation only, and do not result in an update to the representations and certifications posted electronically on SAM.]

(c) Offerors must complete the following representations when the resulting contract is to be performed in the United States or its outlying areas. Check all that apply.

(1) Small business concern. The offeror represents as part of its offer that it [_] is, [_] is not a small business concern.

(2) Veteran-owned small business concern. [Complete only if the offeror represented itself as a small business concern in paragraph (c)(1) of this provision.] The offeror represents as part of its offer that it [_] is, [_] is not a veteran-owned small business concern.

(3) Service-disabled veteran-owned small business concern. [Complete only if the offeror represented itself as a veteran-owned small business concern in paragraph (c)(2) of this provision.] The offeror represents as part of its offer that it [_] is, [_] is not a service-disabled veteran-owned small business concern.

(4) Small disadvantaged business concern. [Complete only if the offeror represented itself as a small business concern in paragraph (c)(1) of this provision.] The offeror represents that it [_] is, [_] is not, a small disadvantaged business concern as defined in 13 CFR 124.1002.

https://www.acquisition.gov/Acquisition_Systems

13 V1.07 DEC 2020

(5) Women-owned small business concern. [Complete only if the offeror represented itself as a small business concern in paragraph (c)(1) of this provision.] The offeror represents that it [_] is, [_] is not a women-owned small business concern.

Note: Complete paragraphs (c)(8) and (c)(9) only if this solicitation is expected to exceed the simplified acquisition threshold.

(6) WOSB concern eligible under the WOSB Program. [Complete only if the offeror represented itself as a women-owned small business concern in paragraph (c)(5) of this provision.] The offeror represents that—

(i) It [_] is, [_] is not a WOSB concern eligible under the WOSB Program, has provided all the required documents to the WOSB Repository, and no change in circumstances or adverse decisions have been issued that affects its eligibility; and

(ii) It [_] is, [_] is not a joint venture that complies with the requirements of 13 CFR part 127, and the representation in paragraph (c)(6)(i) of this provision is accurate for each WOSB concern eligible under the WOSB Program participating in the joint venture. [The offeror shall enter the name or names of the WOSB concern eligible under the WOSB Program and other small businesses that are participating in the joint venture: _________.] Each WOSB concern eligible under the WOSB Program participating in the joint venture shall submit a separate signed copy of the WOSB representation.

(7) Economically disadvantaged women-owned small business (EDWOSB) concern. [Complete only if the offeror represented itself as a WOSB concern eligible under the WOSB Program in (c)(6) of this provision.] The offeror represents that—

(i) It [_] is, [_] is not an EDWOSB concern, has provided all the required documents to the WOSB Repository, and no change in circumstances or adverse decisions have been issued that affects its eligibility; and

(ii) It [_] is, [_] is not a joint venture that complies with the requirements of 13 CFR part 127, and the representation in paragraph (c)(7)(i) of this provision is accurate for each EDWOSB concern participating in the joint venture. [The offeror shall enter the name or names of the EDWOSB concern and other small businesses that are participating in the joint venture:

_____________.] Each EDWOSB concern participating in the joint venture shall submit a separate signed copy of the EDWOSB representation.

(8) Women-owned business concern (other than small business concern). [Complete only if the offeror is a women-owned business concern and did not represent itself as a small business concern in paragraph (c)(1) of this provision.] The offeror represents that it [_] is, a women-owned business concern.

(9) Tie bid priority for labor surplus area concerns. If this is an invitation for bid, small business offerors may identify the labor surplus areas in which costs to be incurred on account of manufacturing or production (by offeror or first-tier subcontractors) amount to more than 50 percent of the contract price:

14 V1.07 DEC 2020

(10) HUBZone small business concern. [Complete only if the offeror represented itself as a small business concern in paragraph (c)(1) of this provision.] The offeror represents, as part of its offer, that--

(i) It [_] is, [_] is not a HUBZone small business concern listed, on the date of this representation, on the List of Qualified HUBZone Small Business Concerns maintained by the Small Business Administration, and no material changes in ownership and control, principal office, or HUBZone employee percentage have occurred since it was certified in accordance with 13 CFR part 126; and

(ii) It [_] is, [_] is not a HUBZone joint venture that complies with the requirements of 13 CFR part 126, and the representation in paragraph (c)(10)(i) of this provision is accurate for each HUBZone small business concern participating in the HUBZone joint venture. [The offeror shall enter the names of each of the HUBZone small business concerns participating in the HUBZone joint venture: __________.] Each HUBZone small business concern participating in the HUBZone joint venture shall submit a separate signed copy of the HUBZone representation.

(d) Representations required to implement provisions of Executive Order 11246 --

(1) Previous contracts and compliance. The offeror represents that --

(i) It [_] has, [_] has not, participated in a previous contract or subcontract subject to the Equal Opportunity clause of this solicitation; and

(ii) It [_] has, [_] has not, filed all required compliance reports.

(2) Affirmative Action Compliance. The offeror represents that --

(i) It [_] has developed and has on file, [_] has not developed and does not have on file, at each establishment, affirmative action programs required by rules and regulations of the Secretary of Labor (41 CFR parts 60-1 and 60-2), or

(ii) It [_] has not previously had contracts subject to the written affirmative action programs requirement of the rules and regulations of the Secretary of Labor.

(e) Certification Regarding Payments to Influence Federal Transactions (31 U.S.C. 1352). (Applies only if the contract is expected to exceed $150,000.) By submission of its offer, the offeror certifies to the best of its knowledge and belief that no Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress or an employee of a Member of Congress on his or her behalf in connection with the award of any resultant contract. If any registrants under the Lobbying Disclosure Act of 1995 have made a lobbying contact on behalf of the offeror with respect to this contract, the offeror shall complete and submit, with its offer, OMB Standard Form LLL, Disclosure of Lobbying Activities, to provide the name of the registrants. The offeror need not report regularly employed officers or employees of the offeror to whom payments of reasonable compensation were made.

(f) Buy American Certificate. (Applies only if the clause at Federal Acquisition Regulation (FAR) 52.225-1, Buy American – Supplies, is included in this solicitation.)

(1) The offeror certifies that each end product, except those listed in paragraph (f)(2) of this provision, is a domestic end product and that for other than COTS items, the offeror has considered components of

15 V1.07 DEC 2020

unknown origin tohave been mined, produced, or manufactured outside the United States. The offeror shall list as foreign end products those end products manufactured in the United States that do not qualify as domestic end products, i.e., an end product that is not a COTS item and does not meet the component test in paragraph (2) of the definition of “domestic end product.” The terms “commercially available off-the-shelf (COTS) item,” “component,” “domestic end product,” “end product,” “foreign end product,” and “United States” are defined in the clause of this solicitation entitled “Buy American— Supplies.”

(2) Foreign End Products:

LINE ITEM NO. COUNTRY OF ORIGIN

[List as necessary]

(3) The Government will evaluate offers in accordance with the policies and procedures of FAR Part 25.

(g)

(1) Buy American -- Free Trade Agreements -- Israeli Trade Act Certificate. (Applies only if the clause at FAR 52.225-3, Buy American -- Free Trade Agreements -- Israeli Trade Act, is included in this solicitation.)

(i) The offeror certifies that each end product, except those listed in paragraph (g)(1)(ii) or (g)(1)(iii) of this provision, is a domestic end product and that for other than COTS items, the offeror has considered components of unknown origin to have been mined, produced, or manufactured outside the United States. The terms “Bahrainian, Moroccan, Omani, Panamanian, or Peruvian end product,” “commercially available off-the-shelf (COTS) item,” “component,” “domestic end product,” “end product,” “foreign end product,” “Free Trade Agreement country,” “Free Trade Agreement country end product,” “Israeli end product,” and “United States” are defined in the clause of this solicitation entitled “Buy American--Free Trade Agreements--Israeli Trade Act.”

(ii) The offeror certifies that the following supplies are Free Trade Agreement country end products (other than Bahrainian, Moroccan, Omani, Panamanian, or Peruvian end products) or Israeli end products as defined in the clause of this solicitation entitled “Buy American—Free Trade Agreements—Israeli Trade Act”:

Free Trade Agreement Country End Products (Other than Bahrainian, Moroccan, Omani, Panamanian, or Peruvian End Products) or Israeli End Products:

16 V1.07 DEC 2020

(iii) The offeror shall list those supplies that are foreign end products (other than those listed in paragraph (g)(1)(ii) or this provision) as defined in the clause of this solicitation entitled “Buy American—Free Trade Agreements—Israeli Trade Act.” The offeror shall list as other foreign end products those end products manufactured in the United States that do not qualify as domestic end products, i.e., an end product that is not a COTS item and does not meet the component test in paragraph (2) of the definition of “domestic end product.”

Other Foreign End Products:

(iv) The Government will evaluate offers in accordance with the policies and procedures of FAR Part 25.

(2) Buy American—Free Trade Agreements—Israeli Trade Act Certificate, Alternate I. If Alternate I to the clause at FAR 52.225-3 is included in this solicitation, substitute the following paragraph (g)(1)(ii) for paragraph (g)(1)(ii) of the basic provision:

(g)(1)(ii) The offeror certifies that the following supplies are Canadian end products as defined in the clause of this solicitation entitled “Buy American—Free Trade Agreements—Israeli Trade Act”:

Canadian End Products:

Line Item No.:

[List as necessary]

(3) Buy American—Free Trade Agreements—Israeli Trade Act Certificate, Alternate II. If Alternate II to the clause at FAR 52.225-3 is included in this solicitation, substitute the following paragraph (g)(1)(ii) for paragraph (g)(1)(ii) of the basic provision:

(g)(1)(ii) The offeror certifies that the following supplies are Canadian end products or Israeli end products as defined in the clause of this solicitation entitled “Buy American-- Free Trade Agreements--Israeli Trade Act'':

17 V1.07 DEC 2020

Canadian or Israeli End Products:

Line Item No.: Country of Origin:

(4) Buy American—Free Trade Agreements—Israeli Trade Act Certificate, Alternate III. If Alternate III to the clause at 52.225-3 is included in this solicitation, substitute the following paragraph (g)(1)(ii) for paragraph (g)(1)(ii) of the basic provision:

(g)(1)(ii) The offeror certifies that the following supplies are Free Trade Agreement country end products (other than Bahrainian, Korean, Moroccan, Omani, Panamanian, or Peruvian end products) or Israeli end products as defined in the clause of this solicitation entitled “Buy American—Free Trade Agreements—Israeli Trade Act”:

Free Trade Agreement Country End Products (Other than Bahrainian, Korean, Moroccan, Omani, Panamanian, or Peruvian End Products) or Israeli End Products:

(5) Trade Agreements Certificate. (Applies only if the clause at FAR 52.225-5, Trade Agreements, is included in this solicitation.)

(i) The offeror certifies that each end product, except those listed in paragraph (g)(5)(ii) of this provision, is a U.S.-made or designated country end product as defined in the clause of this solicitation entitled “Trade Agreements.”

(ii) The offeror shall list as other end products those end products that are not U.S.-made or designated country end products.

Other End Products

18 V1.07 DEC 2020

(iii) The Government will evaluate offers in accordance with the policies and procedures of FAR Part 25. For line items covered by the WTO GPA, the Government will evaluate offers of U.S.-made or designated country end products without regard to the restrictions of the Buy American statute. The Government will consider for award only offers of U.S.-made or designated country end products unless the Contracting Officer determines that there are no offers for such products or that the offers for such products are insufficient to fulfill the requirements of the solicitation.

(h) Certification Regarding Responsibility Matters (Executive Order 12689). (Applies only if the contract value is expected to exceed the simplified acquisition threshold.) The offeror certifies, to the best of its knowledge and belief, that the offeror and/or any of its principals--

(1) [_] Are, [_] are not presently debarred, suspended, proposed for debarment, or declared ineligible for the award of contracts by any Federal agency;

(2) [_] Have, [_] have not, within a three-year period preceding this offer, been convicted of or had a civil judgment rendered against them for: commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a Federal, state or local government contract or subcontract; violation of Federal or state antitrust statutes relating to the submission of offers; or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, tax evasion, violating Federal criminal tax laws, or receiving stolen property; and

(3) [_] Are, [_] are not presently indicted for, or otherwise criminally or civilly charged by a Government entity with, commission of any of these offenses enumerated in paragraph (h)(2) of this clause; and

(4) [_] Have, [_] have not, within a three-year period preceding this offer, been notified of any delinquent Federal taxes in an amount that exceeds $3,500 for which the liability remains unsatisfied.

(i) Taxes are considered delinquent if both of the following criteria apply:

(A) The tax liability is finally determined. The liability is finally determined if it has been assessed. A liability is not finally determined if there is a pending administrative or judicial challenge. In the case of a judicial challenge to the liability, the liability is not finally determined until all judicial appeal rights have been exhausted.

(B) The taxpayer is delinquent in making payment. A taxpayer is delinquent if the taxpayer has failed to pay the tax liability when full payment was due and required. A taxpayer is not delinquent in cases where enforced collection action is precluded.

(ii) Examples.

(A) The taxpayer has received a statutory notice of deficiency, under I.R.C. §6212, which entitles the taxpayer to seek Tax Court review of a proposed tax deficiency. This is not a delinquent tax because it is not a final tax liability. Should the taxpayer seek Tax Court review, this will not be a final tax liability until the taxpayer has exercised all judicial appear rights.

19 V1.07 DEC 2020

(B) The IRS has filed a notice of Federal tax lien with respect to an assessed tax liability, and the taxpayer has been issued a notice under I.R.C. §6320 entitling the taxpayer to request a hearing with the IRS Office of Appeals Contesting the lien filing, and to further appeal to the Tax Court if the IRS determines to sustain the lien filing. In the course of the hearing, the taxpayer is entitled to contest the underlying tax liability because the taxpayer has had no prior opportunity to contest the liability. This is not a delinquent tax because it is not a final tax liability. Should the taxpayer seek tax court review, this will not be a final tax liability until the taxpayer has exercised all judicial appeal rights.

(C) The taxpayer has entered into an installment agreement pursuant to I.R.C. §6159. The taxpayer is making timely payments and is in full compliance with the agreement terms.

The taxpayer is not delinquent because the taxpayer is not currently required to make full payment.

(D) The taxpayer has filed for bankruptcy protection. The taxpayer is not delinquent because enforced collection action is stayed under 11 U.S.C. §362 (the Bankruptcy Code).

(i) Certification Regarding Knowledge of Child Labor for Listed End Products (Executive Order 13126). [The Contracting Officer must list in paragraph (i)(1) any end products being acquired under this solicitation that are included in the List of Products Requiring Contractor Certification as to Forced or Indentured Child Labor, unless excluded at 22.1503(b).]

(1) Listed End Product

Listed End Product: Listed Countries of Origin:

(2) Certification. [If the Contracting Officer has identified end products and countries of origin in paragraph (i)(1) of this provision, then the offeror must certify to either (i)(2)(i) or (i)(2)(ii) by checking the appropriate block.]

[_] (i) The offeror will not supply any end product listed in paragraph (i)(1) of this provision that was mined, produced, or manufactured in the corresponding country as listed for that product.

[_] (ii) The offeror may supply an end product listed in paragraph (i)(1) of this provision that was mined, produced, or manufactured in the corresponding country as listed for that product. The offeror certifies that is has made a good faith effort to determine whether forced or indentured child labor was used to mine, produce, or manufacture any such end product furnished under this contract. On the basis of those efforts, the offeror certifies that it is not aware of any such use of child labor.

(j) Place of manufacture. (Does not apply unless the solicitation is predominantly for the acquisition of manufactured end products.) For statistical purposes only, the offeror shall indicate whether the place of manufacture of the end products it expects to provide in response to this solicitation is predominantly—

20 V1.07 DEC 2020

(1) [_] In the United States (Check this box if…