HR001123S0036-Amendment-03.pdf

HR001123S0036

Broad Agency Announcement High Operational Temperature Sensors (HOTS)

Microsystems Technology Office

HR001123S0036

May 16, 2023

Amendment 03 As amended on August 30, 2023

Table of Contents

PART I: OVERVIEW INFORMATION

PART II: FULL TEXT OF ANNOUNCEMENT

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

II. Award Information A. General Award Information B. Fundamental Research

III. Eligibility Information A. Eligible Applicants

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

2. Other Applicants B. Organizational Conflicts of Interest C. Cost Sharing/Matching

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

1. Abstract Format

2. Full Proposal Format

3. Proprietary Information

4. Security Information

a. Program Security Information

b. Controlled Unclassified Information (CUI)

i. CUI Proposal Markings

ii. CUI Submission Requirements

c. Unclassified Submissions

5. Disclosure of Information and Compliance with Safeguarding Covered Defense

Information Controls

6. Human Subjects Research (HSR)/Animal Use

7. Approved Cost Accounting System Documentation

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

9. Small Business Subcontracting Plan

10. Intellectual Property

a. For Procurement Contracts

b. For All Non-Procurement Contracts

11. Patents

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

13. Funding Restrictions

C. Submission Information

1. Submission Dates and Times

a. Abstract Due Date

b. Full Proposal Date

c. Frequently Asked Questions (FAQ)

2. Abstract Submission Information

3. Proposal Submission Information

a. For Proposers Requesting Cooperative Agreements:

b. For Proposers Requesting Technology Investment Agreements

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

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

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: High Operational Temperature Sensors (HOTS) Announcement Type: Amendment Funding Opportunity Number: HR001123S0036 Catalog of Federal Domestic Assistance Numbers (CFDA): 12.910 Research and

Technology Development Dates: (All times listed herein are Eastern Time) o Posting Dates:

Initial Announcement: May 16, 2023 Amendment 1: July 20, 2023 Amendment 2: August 2, 2023 Amendment 3: August 30, 2023 o Proposers Day: May 31, 2023 o Abstract Due Date: on or before 02:00 p.m. ET, June 22, 2023 o FAQ Submission Deadline: 02:00 p.m. ET, August 17, 2023 o Proposal Due Date: on or before 02:00 p.m. ET, September 7, 2023 o Estimated period of performance start: January 17, 2024

Concise description of the funding opportunity: The High Operational Temperature Sensors (HOTS) program will develop high-bandwidth, high-dynamic-range analog sensor microelectronics technologies that operate at high temperature. HOTS will demonstrate a pressure sensor module consisting of integrated transducer and signal-conditioning microelectronics.

Anticipated individual awards: Multiple awards are anticipated.

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

Agency contact:

o Dr. Todd Bauer, Program Manager BAA Coordinator: HR001123S0036@darpa.mil

DARPA/MTO

ATTN: HR001123S0036

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.

The Microsystems Technology Office at DARPA seeks innovative proposals towards the development of sensor microelectronics consisting of transducers, signal-conditioning microelectronics, and integration that operate at extreme temperatures (i.e., at least 800 °C).

Performance will be validated with the specific demonstration of a pressure sensor module consisting of integrated transducer and signal-conditioning microelectronics. Proposed research should investigate innovative approaches that enable revolutionary advances in science, devices, or systems. Specifically excluded is research that primarily results in evolutionary improvements to the existing state of practice.

A. Background

Many commercial and defense systems, including oil-and-gas, geothermal, automotive, turbine, and hypersonic systems, experience thermal environments beyond the capability of today’s high-performance physical sensors. Due to uncertain conditions in the harsh thermal environment, such systems today must typically be designed to operate with reduced performance and/or excessive margins. Physical sensors that can operate in the high-temperature environment will enable systems to operate closed-loop with accurate state-of-health monitoring.

Microelectronic sensors are formed by transducers integrated with signal-conditioning microelectronics. High-bandwidth, large-dynamic-range sensors typically use low-loss integration technologies to combine high electromechanical sensitivity, limited-bandgap transducers with high gain-bandwidth product, and silicon complementary metal-oxide-semiconductor (CMOS) transistor signal-conditioning microelectronics. However, these technologies are constrained to operate in low-temperature zones (<225 °C1 ambient temperature) due to intrinsic material limitations.

Today, physical sensors for thermally harsh environments consist of low-performance transducers operating in the hot zone (>225 °C) coupled via lossy electrical connections to temperature-

1 B. W. Ohme and M. R. Larson, "SOI CMOS for Extreme Temperature Application," Plymouth, Minnesota, USA, 2012 constrained silicon CMOS signal-conditioning microelectronics remotely located in a separate cold zone (<225 °C). As a result, such physical sensors do not, without very aggressive active cooling, have the combination of frequency bandwidth and dynamic range to enable DoD high-temperature missions (e.g., at 800 °C).

B. Program Description

The HOTS program will develop a technology for high-bandwidth, high-dynamic-range sensing at high temperature. Performance will be validated through the development and demonstration of a pressure sensor module (i.e., integrated transducer and signal-conditioning microelectronics) achieving the following performance goals:

Table 1 HOTS high-temperature microelectronic pressure sensor module goals Operating Temperature: 800 °C Dynamic Range: > 90 dB*

Operating Lifetime at Temperature: > 1 hour Bandwidth: > 1 MHz No Active Cooling

*Pressure resolution: < 1 Pa

Wide-bandgap materials, such as silicon carbide (SiC) or gallium nitride (GaN), have potential as sensor microelectronics at high temperature due to their significantly lower intrinsic carrier concentration. However, today they do not support sensor microelectronics with high bandwidth and large dynamic range at high operating temperature for useful lifetimes.

There are multiple mechanisms that limit sensor microelectronics at a high temperature.

Mechanical cracking occurs due to thermally induced stress at high temperatures generated by mismatch in the coefficient of thermal expansion (CTE). Normally insulating materials at room temperature begin to experience appreciable leakage currents at high temperature due to the increase in thermal carriers. Electrical breakdowns can occur, such as agglomeration or electromigration of metal lines. Material states stable at room temperature can degrade at high temperature. For example, a poled ferroelectric material will lose polarization and its electromechanical sensitivity beyond its Curie temperature.

To achieve the program objectives, HOTS will overcome three key technical challenges (TCs):

TC1: Achieving both long lifetime and large bandwidth transistors at high temperature. Current approaches include:

1. AlGaN/GaN high-electron-mobility transistors (HEMTs) have demonstrated unity-gain bandwidth > 100 GHz2 and mean-time-to-failure (MTTF) lifetime > 106 hours at 225 °C.

But since transistor lifetime degrades by approximately 50% for every 10 °C increase in temperature, lifetime at 800 °C would not be operationally useful. Transistor lifetime is primarily limited by degradation in the AlGaN barrier layer and failure in the passivation and contact metallization. The AlGaN barrier layer forms lattice defects, cracks, and

2 An at least 100x greater than the maximum sensor bandwidth is required to support the formation of signal conditioning electronics𝑓𝑇 dislocations due to thermally induced strain3. Surface passivation further exacerbates the strain-induced dislocations at the barrier layer due to CTE mismatch4. Contact metallization failures at elevated temperatures are caused by electromigration, agglomeration, and diffusion5.

2. SiC top-gated junction field effect transistors (JFETs) have demonstrated performance at 800 °C6. However, the top-gated transistor topology based on multiple epitaxially-grown layers does not have sufficient unity-gain bandwidth at 800 °C to support signal conditioning electronics with 1 MHz bandwidth.

TC2: Achieving a high-sensitivity transducer at high temperature. Current approaches include:

1. Conventional transducer materials, such as lead zirconate titanate (PZT), exhibit high electromechanical sensitivity because of strong spontaneous polarization and extrinsic piezoelectric contributions arising from ferroelectric domain response. However, these are limited by their Curie temperature to less than 250 °C, above which the material loses its electromechanical response due to a loss in polarization7.

2. Wide-bandgap materials, such as GaN and SiC, are robust at temperatures well beyond 250 °C. But these materials are limited in their electromechanical sensitivities due to their small spontaneous polarization and negligible ferroelectric domain response8.

TC3: Integrating a high operating temperature sensor without degrading performance. Current approaches include:

1. Multiple-chip-modules (MCM) integrate discrete transducers and signal-conditioning microelectronics on substrates. At high temperatures (800 °C), MCMs suffer from electrical leakage through the substrate, degraded circuit performance, and failures of interconnects between discrete components.9

2. Heterogeneous integration (HI) approaches use transducer materials deposited directly on top of signal conditioning microelectronics to form direct interconnects at the device level without the need for an additional substrate. Relatively low temperature HI methods have relied on direct growth of transducer materials on top of signal conditioning electronics.

However, devices demonstrated using direct growth have relied on material interfaces (e.g., aluminum) that are not compatible with high-temperature operation.10

3 C. Zeng, X. Liao, R. Li, Y. Wang, Y. Chen, W. Su, Y. Liu, L. W. Wang, P. Lai, Y. Huang and Y. En, "Investigation of abrupt degradation of drain current caused by under-gate crack in AlGaN/GaN high electron mobility transistors during high-temperature operation stress," Journal of Applied Physics, vol. 118, no. 12, p. 124511, 2015.

4 M. Hou, S. R. Jain, H. So, T. A. Heuser, X. Xu, A. J. Suria and D. G. Senesky, "Degradation of 2DEG Transport Properties in GaN-capped AlGaN/GaN Heterostructures at 600° C in Oxidizing and Inert Environments," Journal of Applied Physics, vol. 122, no. 19, p. 195102, 2017.

5 D. Maier, M. Alomari, E. Kohn, M.-A. Diforte-Poisson, S. Delage, S. L. Delage, N. Grandjean, J.-F. Carlin, A. Chuvilin and U. Kaiser, "High Temperature Stability of Nitride-based Power HEMTs," in 18th International Conference on Microwaves, Radar and Wireless Communications, 2010.

6 G. Neudeck, D. J. Spry, L. Chen, N. F. Prokop and M. J. Krasowski, "Demonstration of 4H-SiC Digital Integrated Circuits above 800° C," IEEE Electron Device Letters, vol. 38, no. 8, pp. 1082-1085, 2017.

7 T. P. Comyn, P. I. Cowin and T. Stevenson, "High Strength Piezoelectric Materials for Extreme Environments," in IEEE Sensors, 2021.

8 M. Rais-Zadeh, V. J. Gokhale, A. Ansari, M. Faucher, D. Theron, Y. Cordier and L. Buchaillot, "Gallium Nitride as an Electromechanical Material," Journal of Microelectromechanical Systems, vol. 23, no. 6, pp. 1252-1271, 2014.

9 P. G. Neudeck, D. J. Spry, L. Chen, N. F. Prokop and M. J. Krasowski, "Demonstration of 4H-SiC Digital Integrated Circuits above 800° C," IEEE Electron Device Letters, vol. 38, no. 8, pp. 1082-1085, 2017.

10 G. Esteves, M. Berg, K. D. Wrasman, M. H. David, B. A. Griffin and E. A. Douglas, "CMOS Compatible Metal Stacks for Suppression of Secondary Grains in Sc0.125Al0.875N," Journal of Vacuum Science & Technology A: Vacuum, Surfaces, and Films, vol. 37, no. 2, p. 021511, 2019.

The HOTS program will leverage recent advances in wide-bandgap transistors, demonstrations of thermally robust transducer materials, and insight from HI techniques to overcome the technical challenges and form highly-integrated, thermally hardened sensors.

Proposals should demonstrate an understanding of the HOTS Technical Challenges described above and explain how and why the approach will address all applicable Technical Challenges in the respective program phases.

Details of the program structure are contained in the following section. DARPA expects that diverse expertise from across academia, small business, national laboratories, and the defense industrial base research community may be applicable to achieving all program goals. While not required, DARPA is open to teaming amongst the community as appropriate and when strategic to achieve program outcomes. Solutions that use domestic manufacturing capabilities to achieve program goals are preferred, as DARPA seeks to strengthen DoD access to differentiating technologies.

C. Program Structure

HOTS will be a 36-month program with a single technical area (TA) executed across two phases:

an 18-month Phase 1 (base) and 18-month Phase 2 (option). As described below, a potential program expansion into a third phase is possible depending on success in the first two phases. The number of funded performers may decrease at the conclusion of each phase. Performers will continue into subsequent phases at the Government’s sole discretion based on technical progress against the metrics and milestones defined in this BAA and funding availability.

Phase 1 will demonstrate individual devices and integration methods addressing the technical challenges at 800 °C. Phase 1 will also design full circuits and simulate performance of the integrated sensor system based on measured component results. Phase 2 will demonstrate full sensor module integration meeting the performance goals at 800 °C.

A potential Phase 3 will package and harden the sensor with a flush sensing element to withstand dynamic environmental conditions meeting heating/cooling rates, thermal cycling, and chemical species, as defined by mission needs. The Government intends to issue a Statement-of-Objectives (SOO) detailing Phase 3 goals to performers where Phase 2 has been exercised. It is anticipated that the SOO will be provided in Month 12 of Phase 2. Phase 2 performers may submit a proposal in response to this SOO. The Government will not reimburse Phase 3 proposal preparation costs if proposers choose to respond to this SOO. If awarded, the Government anticipates incorporating Phase 3 into current HOTS awards, unless the contracting officer determines a more appropriate contracting approach. Lastly, it is the Government’s intent to negotiate and award Phase 3 no later than the Phase 2 end date.

While Phase 3 proposals are not being requested at this time, proposers must ensure that the Phase 1 and Phase 2 technical proposal demonstrates foresight for successful transition to Phase 3.

Figure 1 Program timeline and phases

D. Technical Areas

The HOTS program has one technical area that focuses on developing sensor microelectronics technologies, including transducer, signal-conditioning microelectronics, and integration. The program will orient itself around the goal of developing a pressure sensor that operates at least 800 °C with performance comparable to temperature-limited high-performance pressure sensors.

Overcoming the key technical challenges will require an understanding of the impact of material quality on high-temperature performance, accurate multi-physics simulations of discrete devices, integration, and sensor module performance, and temperature-dependent device models. Proposers are therefore expected to submit a plan that collectively addresses discrete transistors and transducers, integration, signal-conditioning microelectronics, and an integrated sensor module.

Table 2 presents the program metrics by phase and technical challenge. Note that while the numeric metrics between Phase 1 and Phase 2 are consistent, the level of integration increases from demonstration using discrete components in Phase 1 to a fully integrated sensor module in Phase 2.

The implication is that, to meet the performance metrics in the fully integrated sensor module, discrete performance should be at least maintained in Phase 2. All submitted proposals are expected to address the sensor goals and all three Technical Challenges described in the above Section B of this solicitation throughout all phases of HOTS.

Table 2 HOTS metrics by phase and technical challenge

Metric(1) Phase 1 (18 months) Discrete components

Phase 2 (18 months) Integrated sensor module

Environmental test condition > 1 hr at 800 °C in air > 1 hr at 800 °C in air Dynamic range(2) > 90 dB (simulated) > 90 dB (integrated)Sensor Bandwidth(3) > 1 MHz (simulated) > 1 MHz (integrated) Unity-gain bandwidth ( )𝑓𝑇 > 100 MHz

ION/IOFF

(4) > 1000Transistors (TC1) Threshold voltage variability < ±10%

MDStransducer(5) < 1 Pa/√Hz Linear pressure(6) > 33 kPaTransducers

(TC2) Bandwidth(3) > 1 MHz Interconnect parasitic load(8) Performer definedIntegration(7)

(TC3) Interconnect survivability(9) at 800 °C

(1) All metrics are to be reported at 1 hr operation at 800 °C in air

(2) 1 Pa/√Hz pressure resolution measured at 1 kHz

(3) Bandwidth defined as the upper frequency range at which sensitivity is constant to within ≤ 3 dB

(4) ION/IOFF = transistor current ratio

(5) MDStransducer = transducer limited minimum detectable signal

(6) < 1 dB deviation from linear device sensitivity

(7) Integrated total sensor surface area (i.e., sensing element plus other support structure flush with the sensing element) < 30 mm2

(8) Expected performer defined parasitic loads include resistance and capacitive loads, with quantitative metrics derived and supported by baseline model and simulation as well as test structures

(9) Survivability based on meeting or exceeding the interconnect parasitic load metrics for 1 hour

All submitted proposals should outline technical tasks regarding developing test plan and capability to demonstrate meeting or exceeding the metrics above. Innovations in test to support demonstration of program metrics are acceptable and expected where proposals demonstrate necessity. Direct experimental demonstrations of program metrics are strongly encouraged. A combination of experimental tests or a combination of testing and simulations maybe be appropriate if viability can be proven.

If planning to leverage government test facility capabilities, please see section III. Eligibility Information.

E. Schedule/Milestones

HOTS will be a 36-month program with an anticipated start in January 2024. The program will have two phases with an 18-month Phase 1 (base) and 18-month Phase 2 (option). A program expansion into a third phase is possible based on success in the first two phases, as described above. A mandatory program kickoff meeting will be held to present the technical approaches, discuss technical and programmatic items of concern, and interact with the government team and other program performers. The end of each phase represents a major technical milestone in the program. End-of-phase review meetings will be scheduled approximately one quarter before the end of each phase’s period of performance. These meetings will be used to communicate the technical progress made, particularly with respect to the metrics, during the entire phase. Technical progress towards the goals of the program represents the major deciding factor in funding decisions for the subsequent phase, and will be monitored through videoconference on a minimum quarterly cadence and occasional site visits by the DARPA program manager along with other members of the government team.

All proposers should construct a research program with milestones to meet or exceed the metrics outlined in Table 2. This should include milestones for:

Program kickoff meeting to be held at program start.

Preliminary design review (PDR) of the hardware demonstration within three months of each phase kickoff, including:

o Detailed analysis of transistor, transducer, and integration designs, outlining materials, structures, fabrication methods, etc.

o Multi-physics simulations of sensor performance (i.e., sensitivity, noise, etc.), with models of the transducer, signal conditioning circuit, and integration, that meet sensor performance metrics.

o Schedule of process development and fabrication runs.

o Proposed integration test structures to support assessment of proposer defined metrics.

o Test plan that maps out the test protocols for the discrete transducers and transistors integration test structures, and sensor modules, specifies the equipment required for such tests, and defines the manner in which the test data will be conveyed to the IV&V team.

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

Delivery of working transistor, sensor and integrated parts (described below in Section F).

All hardware deliverables (Section F) must include test data showing that the milestone/metric has been achieved.

Proposals should address the availability and access to any required specialized fabrication equipment as well as the development of test capabilities. Proposals should specifically address the scheduled risks that these factors present to meeting program milestones on schedule.

F. Deliverables

Spend Plans and Status

All performers will be expected to deliver detailed spend plans (or detailed program plans for fixed-price award instruments) at program kickoff and execution of subsequent option awards, quarterly technical status reports in slide presentation format, monthly technical updates, and monthly financial reports including updated commitments and expenditures.

Briefing Materials

All performers will be expected to 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 annually and scheduled at the Program Manager’s discretion. All performers should be prepared to respond to off-schedule delivery of technical updates and summary slides at the DARPA Program Manager’s request.

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

a) Material property measurements over temperature correlated with material growth techniques and material quality measurements

b) A description of the discrete transistor and transducer devices, signal conditioning circuit design, and integration

c) A description of the sensor module principle of operation, including integrated sensor module design, modeling, and simulations

d) Temperature dependent multi-physics simulations of discrete transistor and transducer devices, signal conditioning circuits, integration, and sensor module performance

e) Temperature dependent transistor, transducer, and integration models based on measurements

f) Method of discrete transistor and transducer construction as well as method of integration

g) Component lab test results at 800 °C or above

h) Charts and explanations of how well the sensor module under development met, exceeded, or fell short of specified program metrics (as described in Table 2)

Hardware Deliverables

Performers will be required to deliver the following hardware to the IV&V team:

Phase 1: Discrete transistors, transducers, and integration test structures approximately one quarter prior to the end of the Phase 1 period of performance.

Phase 2: Integrated sensor module(s) approximately one quarter prior to the end of the Phase 2 period of performance.

The delivered hardware will be submitted to the IV&V team one quarter before the conclusion of each phase. Sufficient documentation and support for testing at a government lab will be submitted with the IV&V hardware. All design files will be delivered to the Government team at the end of each phase to include, but not limited to mechanical drawings, schematic and layout databases of chips, and packages and circuit boards (as applicable).

Other

Other negotiated deliverables specific to the objectives of the individual efforts also may be included. These may include registered reports, experimental protocols, publications, data management plan, intermediate and final versions of software libraries, code, and APIs, including documentation and user manuals, and/or a comprehensive assemblage of design documents, models, modeling data and results, and model validation data.

G. Government Furnished Equipment/Property/Information

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

H. Intellectual Property

Any use of proposer-defined intellectual property (patents, proprietary information, etc.) should be clearly marked as such within the proposal. Include all proprietary claims to the results, prototypes, intellectual property, or systems supporting the effort and/or necessary for the use of the research, results and/or prototype. If there are no proprietary claims, this should be stated. For forms to be completed regarding intellectual property, see Section IV.B.10.

I. Community Engagement

HOTS will focus on a high-temperature pressure sensor. Although other sensor types will present somewhat different engineering challenges, solving the key technical challenges for this representative example is expected to lead to: 1) a fundamental understanding of the impact of material quality on high temperature performance, 2) accurate multi-physics simulations of device and sensor system performance, and 3) measurement-based, temperature-dependent models of the transistor, transducer, and integration structures. As a result, it is expected that these results (along with sample devices) will be shared with the community, potentially through literature and conference engagement when appropriate.

II. Award Information

A. General Award Information

Multiple awards are anticipated. The amount of resources made available under this BAA will depend on the quality of the proposals received and the availability of funds.

The Government reserves the right to select for negotiation all, some, one, or none of the proposals received in response to this solicitation, and to make awards without discussions with proposers.

The Government also reserves the right to conduct discussions if it is later determined to be necessary. If warranted, portions of resulting awards may be segregated into pre-priced options.

Additionally, DARPA reserves the right to accept proposals in their entirety or to select only portions of proposals for award. In the event that DARPA desires to award only portions of a proposal, negotiations may be opened with that proposer. The Government reserves the right to fund proposals in phases with options for continued work at the end of one or more of the phases, as applicable.

Awards under this BAA will be made to proposers on the basis of the evaluation criteria listed below (see section labeled “Application Review Information,” Sec. V.), and program balance to provide overall value to the Government. The Government reserves the right to request any additional, necessary documentation once it makes the award instrument determination. Such additional information may include but is not limited to Representations and Certifications (see

Section VI.B.4., “Representations and Certifications”). The Government reserves the right to remove proposers from award consideration should the parties fail to reach agreement on award terms, conditions and cost/price within a reasonable time or the proposer fails to timely provide requested additional information. Proposals identified for negotiation may result in a procurement contract, 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 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 http://www.darpa.mil/work-with-us/contract-management#OtherTransactions http://www.darpa.mil/work-with-us/contract-management#OtherTransactions 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:

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

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)

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.

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 https://www.dcsa.mil/

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.

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.

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.

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, 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…