HR001123S0050.pdf

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Broad Agency Announcement Synthetic Quantum Nanostructures

(SynQuaNon) Defense Sciences Office

HR001123S0050

August 11, 2023

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Table of Contents I. Funding Opportunity Description

A. Introduction B. Background C. Program Description/Scope D. Program Structure E. Technical Area F. Schedule/Milestones G. Deliverables H. Other Program Objectives and Considerations

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

III. Eligibility Information A. Eligible 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 C. Submission Dates and Times D. Funding Restrictions E. Other Submission Requirements

V. Application Review Information A. Evaluation Criteria B. Review and Selection Process C. Countering Foreign Influence Program (CFIP) D. Federal Awardee Performance and Integrity Information (FAPIIS)

VI. Award Administration Information A. Selection Notices B. Administrative and National Policy Requirements C. Reporting

VII. Agency Contacts VIII. Other Information

A. Proposers Day B. Frequently Asked Questions (FAQs) C. Collaborative Efforts/Teaming

BAA Attachments:

Attachment A: ABSTRACT SUMMARY SLIDE TEMPLATE Attachment B: ABSTRACT TEMPLATE Attachment C: PROPOSAL SUMMARY SLIDE TEMPLATE Attachment D: PROPOSAL TEMPLATE VOLUME 1: TECHNICAL & MANAGEMENT Attachment E: PROPOSAL TEMPLATE VOLUME 2: COST Attachment F: MS ExcelTM DARPA COST PROPOSAL SPREADSHEET Attachment G: PROPOSAL TEMPLATE VOLUME 3: ADMINISTRATIVE & NATIONAL POLICY REQUIREMENTS

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PART I: OVERVIEW INFORMATION

Federal Agency Name: Defense Advanced Research Projects Agency (DARPA), Defense Sciences Office (DSO)

Funding Opportunity Title: Synthetic Quantum Nanostructures (SynQuaNon)

Announcement Type: Initial Announcement

Funding Opportunity Number: HR001123S0050

Assistance Listing Number(s): 12.910 Research and Technology Development

Dates (All times listed herein are Eastern Time.)

o Posting Date: August 11, 2023 o Proposers Day: August 18, 2023. See Section VIII.A.

o Abstract Due Date: August 25, 2022, 4:00 p.m.

o FAQ Submission Deadline: September 29, 2022, 4:00 p.m. See Section VIII.B.

o Full Proposal Due Date: October 10, 2023, 4:00 p.m.

Anticipated Individual Awards: DARPA anticipates multiple awards.

Types of Instruments that May be Awarded: Procurement contracts, cooperative agreements, or Other Transaction agreements for Prototypes. Award instruments will be limited to procurement contracts and Other Transactions for proposers whose proposed solution includes Controlled Unclassified Information (CUI).

Agency contacts o Technical Point of Contact (POC): Mukund Vengalattore, Program Manager, DARPA/DSO o BAA Email: SynQuaNon@darpa.mil o BAA Mailing Address:

DARPA/DSO

ATTN: HR001123S0050

675 North Randolph Street Arlington, VA 22203-2114 o DARPA/DSO Opportunities Website: http://www.darpa.mil/work-with-us/opportunities

Teaming Information: See Section VIII.C for information on teaming opportunities.

Frequently Asked Questions (FAQ): FAQs for this solicitation may be viewed on the DARPA/DSO Opportunities Website. See Section VIII.B for further information.

Security: Unclassified.

mailto:SynQuaNon@darpa.mil https://www.darpa.mil/work-with-us/opportunities?oFilter=DSO https://www.darpa.mil/work-with-us/opportunities?oFilter=DSO

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PART II: FULL TEXT OF ANNOUNCEMENT

I. Funding Opportunity Description

This Broad Agency Announcement (BAA) constitutes a public notice of a competitive funding opportunity as described in Federal Acquisition Regulation (FAR) 6.102(d)(2) and 35.016, as well as 2 C.F.R. § 200.203. Any resultant negotiations and/or awards will follow all laws and regulations applicable to the specific award instrument(s) available under this BAA, e.g., FAR

15.4 for procurement contracts.

A. Introduction

The Defense Sciences Office (DSO) at the Defense Advanced Research Projects Agency (DARPA) is soliciting innovative research proposals in the area of synthetic quantum materials that enable enhanced functionalities or novel capabilities for quantum information science (QIS).

In particular, the SynQuaNon program aims to develop and benchmark novel routes to enhanced superconducting (SC) nanoelectronic devices based on electronic metamaterials.

It is anticipated that successful performers in this program will combine innovations in functional materials engineering with device-scale benchmarking and characterization to demonstrate quantum nanoelectronic devices with enhanced performance and improved size, weight, and power (SWaP) metrics. The range of devices that will be explored within this program as a testbed for novel quantum metamaterials includes, but is not limited to, SC qubits capable of operation at elevated temperatures and frequency regimes; single photon detectors and bolometers with beyond-state-of-the-art (SoA) sensitivity and timing resolution for sensing, imaging, and communications; and quantum-limited signal processing technologies for scalable computing, millimeter-wave communications, and quantum-enhanced sensing. Specifically excluded is research focused on the synthesis, characterization, or development of materials that do not have a viable path to scalable fabrication and integration within nanoelectronic device architectures. Also excluded is research that primarily results in evolutionary improvements to the existing state of practice.

B. Background

The phenomenology of superconductivity lies at the heart of a diverse range of quantum nanoelectronic technologies of importance to quantum information science.1 Owing to the macroscopic coherence, dissipationless transport, and collective interactions inherent to the superconducting state, such technologies enable device modalities, operational regimes, and performance metrics far beyond their classical counterparts in applications including sensing of weak magnetic fields, photon detection across wide swaths of the electromagnetic spectrum, low noise signal processing architectures capable of performance at the quantum limits, and potential architectures for efficient, high-speed classical and quantum computation.2

1 A. I. Braginski, Superconductor electronics: Status and outlook, J. Supercond. Novel Mag. 32, 23 (2019).

2 S. Anders et al, European roadmap on superconductive electronics – status and perspectives, Physica C, 470, 2079 (2010).

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While there has been extensive progress in SC technologies over decades, it remains the case that the widespread adoption of such technologies has been impeded by the need for cryogenic cooling, often to temperatures below 1 kelvin. This requirement of low operating temperatures arises from a multitude of factors: First, the vast majority of SC technologies are based on conventional superconducting materials (also referred to as Bardeen-Cooper-Schrieffer or BCS-type superconductors), which typically exhibit superconductivity only below a few degrees kelvin. This is due to the weak strength of the electron-phonon interaction that mediates superconductivity in these materials. Second, the operating temperatures of various superconducting QIS devices are further suppressed due to the need to mitigate impurities, parasitic effects, and material interface issues that lead to decoherence or sub-optimal performance. Third, despite immense resources expended in the quest for exotic ‘high-Tc’ superconducting materials such as the cuprates or the pnictides that might enable higher operating temperatures or novel capabilities, such efforts have yielded negligible contributions to viable SC technologies due to numerous issues, including poor quantum coherence, unknown or poorly understood microscopic mechanisms, poor thermal properties, lack of scalable synthesis or fabrication techniques, and poor device-level integrability.

The transformative potential of robust and reliable SC technologies continues to inspire large-scale efforts oriented toward developing new quantum materials.3 However, such efforts have tended to focus on isolated material attributes, e.g., superconducting transition temperature, often at the expense of the much larger set of scientific and technical considerations that lie between fundamental materials studies on a narrow set of properties and the eventual integration of such materials in technologically relevant, fabrication compatible, and scalable device architectures.

As a result, the sequential transition from fundamental innovations in superconducting materials to viable quantum technologies has been, at best, circuitous and limited in utility due to cost, synthesis, or performance limitations.

In this backdrop, alternate approaches that amalgamate basic materials research with device-scale development can potentially enable a more focused route to the bottom-up functional engineering of designer quantum materials for applications to QIS.

C. Program Description/Scope

The SynQuaNon program aims to re-imagine the development of novel quantum electronic materials from a device-oriented perspective. Successful teams in this program will demonstrate the functional engineering of synthetic electronic materials that can enable enhanced or novel capabilities in QIS. In contrast to prior materials-focused approaches, these teams will validate and benchmark their proposed materials via the characterization of proof-of-concept quantum circuits or nanoelectronic device architectures that incorporate these proposed materials. This experimental program is anticipated to leverage simultaneous theoretical, modeling, and computational efforts in an accompanying funding opportunity investigating similar topics.4

3 M. Polini et al, Materials and devices for fundamental quantum science and quantum technologies, arXiv:2201.09260 (2022); N. P. de Leon et al, Materials challenges and opportunities for quantum computing hardware, Science 372, 6539 (2021).

4 DARPA-PA-23-03, https://sam.gov/opp/7b5569bc369f408392e9c5306a928c28/view https://sam.gov/opp/7b5569bc369f408392e9c5306a928c28/view

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Within the SynQuaNon program, the fabrication of such proof-of-concept quantum nanoelectronic devices should not only serve as a testbed for materials characterization but also enable a holistic assessment of the compatibility of such materials within various device architectures. It is anticipated that this ‘bottom-up’ route to quantum device engineering will provide a better understanding of not just isolated material attributes that appear promising for superconductor-based quantum technologies but the host of accompanying factors5 that eventually determine the viability of the proposed materials to harness, tune, or enhance quantum effects within technologically relevant quantum devices.6

While the landscape of quantum materials with potential applications to superconducting technologies is vast, the SynQuaNon program is particularly interested in classes of functionally engineered electronic metamaterials.7 This program will leverage an increasingly sophisticated toolbox of theoretical models, materials synthesis,8 and nanofabrication9 techniques to demonstrate the use of topology, dimensionality, multifunctional interfacial physics, and nanoscale control of quantum properties10 for novel SC-based QIS devices.11

Synthetic metamaterials within the scope of this program include nanopatterned electronic structures, Moiré materials,12 and quantum heterostructures. Extensive theoretical studies on such synthetic structures have suggested the viability of metamaterial-based approaches to electronic band-engineering, enhanced thermal transport, novel topological effects, electronic control of transport properties, and phonon-mediated routes to enhanced superconductivity.13 These ideas offer a new perspective on the ability to control or enhance device-relevant

5 For example, see W. D. Oliver, Superconducting Qubits, Quantum Information Processing, Ed. D. P. Vincenzo (2013); A. Place et al, New material platform for superconducting transmon qubits with coherence times exceeding

0.3 ms, Nature Comm. 12, 1779 (2021); C. Wang et al, Towards practical quantum computers: transmon qubit with a lifetime approaching 0.5 ms, npj Quant. Info. 8, 3 (2022); C. Barone et al, Effect of the substrate on the electrical transport and fluctuation processes in NbRe and NbReN ultrathin films for superconducting electronics applications, Sci. Rep. 12, 1573 (2022).

6 S. K. Tolpygo, Superconductor digital electronics: scalability and energy efficiency issues, Low Temp. Phys. 42, 361 (2016).

7 D. N. Basov et al, Towards properties on demand in quantum materials, Nature Mat. 16, 1077 (2017).

8 X. Zeng et al, In situ epitaxial MgB2 thin films for superconducting electronics, Nature Mat. 1, 35 (2002); C. Kim et al, Wafer-scale magnesium diboride thin films and devices with tunable high kinetic inductance, arXiv:2305.15190 (2023).

9 S. K. Tolpygo et al, Advanced fabrication processes for superconductor electronics: current status and new developments, IEEE Trans. Appl. Super. 29, 1 (2019).

10 J. Levy, Correlated nanoelectronics and the second quantum revolution, APL Mater. 10, 110901 (2022).

11 N. I. Zheludev et al, From metamaterials to metadevices, Nature Mat. 11, 917 (2012).

12 D. M. Kennes et al, Moire heterostructures as a condensed-matter quantum simulator, Nature Phys. 17, 155 (2021); I. Martin, Moire superconductivity, Ann. Phys. 417, 168118 (2020).

13 For example, see B. Lian et al, Twisted bilayer Graphene: a phonon-driven superconductor, Phys. Rev. Lett. 122, 257002 (2019); S. Peotta et al, Superfluidity in topologically nontrivial flat bands, Nature Comm. 6, 8944 (2015); C.

Zhang et al, Bipolaronic high-temperature superconductivity, Phys. Rev. X 13, 011010 (2023); T. T. Heikkila et al, Thermal, Electric, and spin transport in superconductor/ferromagnetic-insulator structures, Prog. Surf. Sci. 94, 100540 (2019); Electron cooling by phonons in superconducting proximity structures, D. Nikolic et al, Phys. Rev. B 102, 214514 (2020); O. -P. Saira, Electrostatic control of quasiparticle transport in superconducting hybrid nanostructures, (2013); V. N. Smolyaninova et al, Using metamaterial nanoengineering to triple the superconducting critical temperature of bulk aluminum, Sci. Rep. 5, 15777 (2015); B. Song et al, Two-dimensional Anti-Van’t Hoff/Le Bell Array AlB6 with high stability, unique motif, triple Dirac cones, and superconductivity, J.

Am. Chem. Soc. 141, 3630 (2019).

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functionalities in a manner not accessible within native or intrinsic materials.

Proposers to this program will be required to propose (i) the experimental realization of novel electronic metamaterials that lead to enhanced device-relevant properties and (ii) the experimental validation, benchmarking, and characterization of these metamaterials within QIS-relevant quantum circuits or nanoelectronic quantum device architectures. As the introduction mentions, the proposed metamaterials and devices should be compatible with scalable fabrication techniques. The requisite discussions to be included in the proposal are detailed in Section I.E, and the proposed schedule of technical efforts from the modeling and synthesis of the proposed metamaterials to a holistic characterization of the proposed quantum devices should follow the schedule shown in Section I.F.

Device-relevant material properties of interest to the SynQuaNon program include the control of electron-phonon interactions and its concomitant effect on the superconducting transition temperature, the control of thermal transport properties,14 and the enhancement of nonlinear effects within quantum circuits such as the kinetic (self-Kerr) effect.15 In turn, the control of these properties can lead directly to device-scale performance enhancements in a variety of SC-based quantum devices. For instance, an increased superconducting transition temperature can lead to elevated operating temperatures, enhanced scalability, higher operational frequencies, and improved SWaP metrics for scalable SC qubit architectures, architectures for SC-based digital computing, or quantum-limited amplifiers.16 Similarly, enhanced thermal properties can lead to novel functionalities, improved sensitivity, and improved temporal resolution in single-photon detectors, infrared and millimeter-wave bolometers, and other SC-based photon-detectors.17 Higher kinetic nonlinearities can enable new and compact qubit architectures, kinetic inductance-based quantum sensors, and quantum-limited amplifiers capable of operation in the millimeter-wave regime.18

The device-relevant material properties enumerated above are not intended to be a complete list.

Performers are encouraged to propose any subset of the above material attributes or other

14 J. P. Pekola et al, Colloquium: Quantum heat transport in condensed matter systems, Rev. Mod. Phys. 93, 041001 (2021).

15 M. R. Vissers et al, Frequency-tunable superconducting resonators via nonlinear kinetic inductance, Appl. Phys.

Lett. 107, 062601 (2015).

16 See, for example, I. I. Soloviev et al, Miniaturization of Josephson Junctions for digital superconducting circuits, Phys. Rev. Appl. 16, 044060 (2021); F. Faramarzi et al, Initial design of a W-band superconducting kinetic inductance qubit, IEEE Trans. Appl. Supercond. 31, 1, (2021).

17 See, for example, F. Paolucci et al, Hypersensitive tunable Josephson escape sensor for gigahertz astronomy, Phys. Rev. Appl. 14, 034055 (2020); R. Kokkoniemi et al, Nanobolometer with ultralow noise equivalent power, Comm. Phys. 2, 124 (2019); B. Karimi et al, Reaching the ultimate limit of a quantum detector, Nature Comm. 11, 367 (2020); J. P. Allmaras et al, Demonstration of a thermally coupled row-column SNSPD imaging array, Nano.

Lett. 20, 2163 (2020); I. E. Zadeh et al, Superconducting nanowire single-photon detectors: A perspective on evolution, state-of-the-art, future developments, and applications, Appl. Phys. Lett. 118, 190502 (2021).

18 See, for example, W. Chien et al, Large parametric amplification in kinetic inductance dominant resonators based on 3 nm-thick epitaxial superconductors, Mater. Quant. Tech. 3, 025005 (2023); F. Giazotto et al, Ultrasensitive proximity sensor with kinetic inductance readout, Appl. Phys. Lett. 92, 162507 (2008); A. Anferov et al, Millimeter-wave four-wave mixing via kinetic inductance for quantum devices, Phys. Rev. Appl. 13, 024056 (2020); B. H. Eom et al, A wideband, low-noise superconducting amplifier with high dynamic range, Nature Phys. 8, 623 (2012);

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attributes that can be tuned or enhanced within their proposed metamaterials. In the latter case, the proposal should justify how the proposed attributes will be modified within their metamaterials and how such modifications can lead to enhanced or novel device-level functionalities that are relevant to QIS. Further, in such cases, proposers should also specify metrics comparable to the enhancements beyond the current SoA listed in Tables 1, 2 of Section I. D.

Proposers are encouraged to propose testbed QIS device architectures such as the ones mentioned above to benchmark the capabilities of their proposed metamaterials so as to demonstrate the effect of such synthetic materials on QIS technologies in an unambiguous manner. As detailed in Section I.F, Phase I of this program will focus on using such device architectures to validate the material enhancements of the proposed metamaterials. During Phase II, teams will build upon the material-scale characterization and validation efforts to develop a device-scale understanding and demonstrate the manner in which material enhancements lead to enhanced device performance of their proposed QIS devices.

D. Program Structure

SynQuaNon is a 48-month program broken into two phases: a 24-month Phase I base period and a 24-month Phase II option. The program is structured as follows:

Phase I (24 months) will focus on the validation of the SynQuaNon concept by demonstrating functional engineering of device-relevant electronic metamaterials. During this period, performers will:

o Design, model, and synthesize their proposed synthetic quantum materials.

o Design and model testbed QIS nanoelectronic device architectures for validating and benchmarking their proposed materials.

o Fabricate testbed QIS nanoelectronic devices that incorporate the proposed metamaterials.

o Demonstrate the proposed material enhancements via characterization measurements on their testbed devices per the Phase I metrics listed below. As stated in Section I.C, teams that propose quantum metamaterials that enable device-relevant enhancements other than the suggested material properties should propose comparable metrics beyond the current SoA.

Metamaterial property SynQuaNon Phase I metrics

Superconducting transition temperature ≥ 3x beyond (bulk or intrinsic) SoA

Thermal conductivity ≥ 3x beyond (bulk or intrinsic) SoA

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Normalized Kinetic Anharmonicity/photon19 ≥ 1.0

Table 1 - Phase I Material enhancement metrics

Progress under the program will be assessed against the metrics enumerated above and by the potential capability of the proposed quantum materials and device architectures to demonstrate beyond-SoA performance in DoD-relevant QIS applications. Program reviews will occur at Months 11 and 20 to assess performer progress against Phase I metrics and facilitate DARPA’s Phase II selection decisions. Selection for Phase II will be contingent upon findings in Phase I and the availability of funds.

Phase II (24 months) will build upon Phase I efforts to transition from the demonstration of microscopic material tunability and enhancement to mesoscopic device-scale tunability and performance enhancements. During this period, performers will:

o Model, measure, and calibrate the proposed QIS devices enhanced via the incorporation of the quantum metamaterials.

o Demonstrate enhanced operating temperatures and/or frequency regimes, improved SWaP-c metrics, or other beyond-SoA performance metrics as proposed for their proposed quantum devices.

o Perform a holistic characterization of the proposed metamaterial-enhanced devices to benchmark device-scale properties (as applicable), such as coherence time, operational frequency regimes, cryogenic performance, gate fidelity, noise-equivalent power, noise temperature, etc.

o Demonstrate the proposed material and device enhancements per the Phase II metrics listed below. Teams that propose material and device enhancements other than the suggested properties should propose comparable metrics beyond the current SoA.

Metamaterial property SynQuaNon Phase II metrics

Superconducting transition temperature ≥ 5x beyond (bulk or intrinsic) SoA

Thermal Conductivity ≥ 5x beyond (bulk or intrinsic) SoA

Normalized Kinetic Anharmonicity/photon20 ≥ 3.0

19 The kinetic nonlinearity is quantified here in terms of the frequency shift of a superconducting resonator per photon, normalized to the intrinsic linewidth (damping rate) of the resonator. Teams that intend to demonstrate enhanced kinetic nonlinearities on non-resonator based devices should quantify the anticipated nonlinearity in a commensurate manner.

20 The kinetic nonlinearity is quantified here in terms of the frequency shift of a superconducting resonator per photon, normalized to the intrinsic linewidth (damping rate) of the resonator. Teams that intend to demonstrate enhanced kinetic nonlinearities on non-resonator based devices should quantify the anticipated nonlinearity in a commensurate manner.

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Nanoelectronic Device property SynQuaNon Phase II metrics

Operational Temperature ≥ 10 beyond SoA

Operational Frequency Regime ≥ 15 beyond SoA

Table 2 - Phase II Material and Device enhancement metrics

E. Technical Area

As stated in Section I.C., the primary focus of the SynQuaNon program is the development of novel quantum metamaterials with enhanced device-relevant properties for applications to QIS.

In addition, successful performers are expected to demonstrate such material enhancements via characterization of proof-of-concept QIS devices that incorporate their proposed metamaterials.

This device-oriented approach to functional materials engineering serves multiple programmatic objectives:

(i) It enables the assessment of various metamaterial approaches to functional engineering of quantum electronic properties that are relevant to QIS applications

(ii) In contrast to ‘materials-oriented’ approaches, it enables the assessment of wafer-scale synthesis, fabrication, and integration of promising metamaterials into eventual quantum nanoelectronic device architectures of relevance to the DoD

(iii) It enables a holistic assessment of the role of the metamaterials in determining device performance not only due to the specific functionally engineered attributes but due to other concomitant effects (e.g., interface issues, impurities, decoherence due to surface effects, etc.) that may arise from the incorporation of the metamaterial within a device architecture

(iv) It enables a broader assessment of promising functionally engineered quantum metamaterials for specific QIS applications that may serve as the focus of future mission-oriented development

Proposers must consider these programmatic objectives when justifying their proposed metamaterials and device characterization approaches. Proposers must provide a description of their proposed quantum materials, synthesis techniques, and device architectures and include sufficient detail to enable assessment of the validity of their approach, the experimental feasibility of their proposed materials/devices to meet SynQuaNon program goals and metrics, and a clear statement of how the proposed metamaterials and device architectures will yield transformative benefits for QIS. At a minimum, proposals must include:

A description of the proposed approach, the required research and development efforts, and a description of what will be developed and demonstrated during the period of the program. (This description should be accompanied by a schedule of tasks and milestones that will be accomplished during the period of performance.)

Substantiation of the proposed metamaterial concept based on theoretical analysis, which may include ab initio models, simulations, or proof-of-concept data. (This analysis should include a discussion of why the proposed metamaterial would be capable of tuning, HR001123S0050 SYNQUANON 11 modifying, or enhancing the proposed device-relevant material properties. A comparison of the anticipated material-level enhancements against the relevant SoA in intrinsic or bulk materials currently used in similar QIS applications should be included.)

A description of the proposed synthesis, nanostructuring, or fabrication process that will be used to develop the proposed metamaterials.

An identification of risks associated with the material-scale physics (synthesis, process variability, scalability, contamination, oxidation, etc.). (Risk mitigation strategies must be adequately described with clear statements of how the proposed research plan addresses the dominant risks early in the program.)

Substantiation of the proposed testbed nanoelectronic device(s) that will be used to characterize and benchmark metamaterial properties. (This description should include a clear analysis of the material-to-device connection, the device characterization measurements that will be used to validate the metamaterial enhancements and a broader discussion of the influence of the metamaterials on the proposed device performance. A comparison of the anticipated device-level enhancements against the relevant SoA in similar QIS applications should be included.)

An identification of risks associated with the device-scale physics (fabrication, reproducibility, potential surface or interface issues, thermalization requirements, etc.).

(Risk mitigation strategies must be adequately described with clear statements of how the proposed research plan addresses the dominant risks early in the program.)

A discussion of why the proposed metamaterials and device architectures could yield transformative benefits for DoD-relevant QIS applications.

A brief description of other potential benefits of the proposed metamaterials in the broader landscape of quantum circuit architectures relevant to QIS.

Lastly, proposers must clearly delineate approaches and justifications for meeting the program goals and metrics.

F. Schedule/Milestones

SynQuaNon is structured to demonstrate, validate, and benchmark novel classes of quantum electronic metamaterials that enable beyond-SoA performance in a range of nanoelectronic devices with applications in QIS. Proposers should specify the research and technology development schedule for the full period of performance, split between Phase I and Phase II. The Statement of Work (SOW) must provide a detailed task breakdown, citing specific tasks and interim milestones and metrics, as applicable. Proposers should provide a technical and programmatic strategy that conforms to the entire program schedule and presents an aggressive plan to fully address all program goals, metrics, milestones, and deliverables. The task structure should be consistent across the proposed schedule, SOW, and cost volume.

Program Schedule

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A target start date of March 2024 may be assumed for planning purposes. Schedules will be synchronized across performers, as required, and monitored/revised as necessary throughout the program.

All proposals must include the following meetings and travel in the proposed schedule and costs:

o To continue integration and development across the program, foster collaboration between teams, and disseminate program developments, a two-day Principal Investigator (PI) meeting will be held approximately every six months with locations split between the east and west coasts of the United States. For budgeting purposes, plan for eight two-day meetings over the course of 48 months: four meetings in the Washington, D.C., area and four meetings in the San Francisco, California, area.

o Regular teleconference meetings will be scheduled with the Government team for progress reportingnd, problem identification, and mitigation. Proposers should anticipate at least one site visit per phase by the DARPA Program Manager, during which they will have the opportunity to demonstrate progress towards agreed-upon milestones.

G. Deliverables

Performers will be expected to provide, at a minimum, the following deliverables:

Comprehensive quarterly technical reports are due within ten days of the end of the given quarter, describing progress made on the specific milestones as required in the

SOW.

A phase completion report submitted within 30 calendar days of the end of each phase, summarizing the research done.

Other negotiated deliverables specific to the objectives of the individual efforts.

These may include registered reports; experimental protocols; publications; data management plan; intermediate and final versions of software libraries, code, and

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APIs, including documentation and user manuals; and/or a comprehensive assemblage of design documents, models, modeling data and results, and model validation data.

Reporting as outlined in Section VI.C.

H. Other Program Objectives and Considerations

1. Collaboration

Throughout the course of the program, it is likely to be necessary for all performers to share relevant information regarding their research and development to support the larger program goals. DARPA expects all program performers to work collaboratively with one another to realize the program objectives outlined herein, so proposers should carefully review the goals for the entire program in order to fully understand the context of each program objective within the overall program structure. All proposals should describe plans for ensuring transparency of their processes to enable interactions with other program performers. Proposals that fail to include these plans may be deemed non-conforming and removed from consideration for award.

II. Award Information

A. General Award Information

DARPA anticipates multiple awards.

The level of funding for individual awards made under this BAA will depend on the quality of the proposals received and the availability of funds. Awards will be made to proposers21 whose proposals are determined to be the most advantageous to the Government, all evaluation factors considered. See Section V for further information.

The Government reserves the right to:

select for negotiation all, some, one, or none of the proposals received in response to this solicitation;

make awards without discussions with proposers;

conduct discussions with proposers if it is later determined to be necessary;

segregate portions of resulting awards into pre-priced options;

accept proposals in their entirety or select only portions of proposals for award;

fund awards in increments with options for continued work at the end of one or more

21 As used throughout this BAA, “proposer” refers to the lead organization on a submission to this BAA. The proposer is responsible for ensuring that all information required by a BAA--from all team members--is submitted in accordance with the BAA. “Awardee” refers to anyone who might receive a prime award from the Government, including recipients of procurement contracts, cooperative agreements, or Other Transactions. “Subawardee” refers to anyone who might receive a subaward from a prime awardee (e.g., subawardee, consultant, etc.).

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phases;

request additional documentation once the award instrument has been determined (e.g., representations and certifications); and remove proposers from award consideration should the parties fail to reach agreement on award terms within a reasonable time or the proposer fails to provide requested additional information in a timely manner.

Proposals identified for negotiation may result in a procurement contract, cooperative agreement, or Other Transaction (OT), depending upon the nature of the work proposed, the required degree of interaction between parties, 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 http://www.darpa.mil/work-with-us/contract-management#OtherTransactions

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defense. Based on the anticipated type of proposer (e.g., university or industry) and the nature of the solicited work, the Government expects that some awards will include restrictions on the resultant research that will require the awardee to seek DARPA permission before publishing any information or results relative to the program.

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

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

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

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

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

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

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

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

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

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

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

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

https://chinatalenttracker.cset.tech

5. Director of National Intelligence (DNI) “World Wide Threat Assessment of the US Intelligence Community”: 2021 Annual Threat Assessment of the U.S. Intelligence Community (dni.gov)

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 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/

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result in the Government exercising remedies in accordance with federal law and regulation.

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

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

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

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

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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

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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…