HR001123S0051.pdf

HR001123S0051

Broad Agency Announcement Ultra-Wide BandGap Semiconductors (UWBGS)

Microsystems Technology Office

September 29, 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 Area(s) E. Schedule/Milestones F. Deliverables G. Government Furnished Equipment/Property/Information H. Intellectual Property

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

III. Eligibility Information A. Eligible Applicants

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

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

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

1. Abstract Format

2. Full Proposal Format

3. Proprietary Information

4. Security Information

a. Program Security Information

2. Controlled Unclassified Information (CUI)

a. CUI Proposal Markings

b. 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 Other Transaction for Research

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

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: Ultra-Wide BandGap Semiconductors (UWBGS) Announcement Type: Initial Announcement Funding Opportunity Number: HR001123S0051 Assistance Listing Number: 12.910 Research and Technology Development Dates: (All times listed herein are Eastern Time) o Posting Date: September 29, 2023 o Proposers Day: October 5, 2023 o Abstract Due Date: November 1, 2023 o FAQ Submission Deadline: December 4, 2023 o Proposal Due Date: December 15, 2023 o Estimated period of performance start: July 2024

Concise description of the funding opportunity: The UWBGS program will develop foundational, high-quality ultra-wide bandgap (UWBG) materials and electrical contacts necessary for realization of practical electronics that enable UWBG applications.

Anticipated individual awards: Multiple awards are anticipated.

Anticipated funding type: 6.2 Types of instruments that may be awarded: Cooperative Agreement, Procurement

Contract or Other Transaction Agency contact:

o Dr. Thomas Kazior, Program Manager BAA Coordinator: HR001123S0051@darpa.mil

DARPA/MTO

ATTN: HR001123S0051

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 to develop foundational ultra-wide bandgap (UWBG) materials (substrate, device layers, and junctions) and low resistance electrical contacts necessary for realization of devices that enable UWBG applications. In particular, DARPA seeks proposals in the following areas: 1) low defect density, large area (100 mm diameter), epi-ready, UWBG substrates and 2) uniform, low defect density UWBG device layers with high doping efficiency, abrupt homo- and/or hetero-junctions with low junction defect density (1012/cm2), and ultra-low resistance electrical contacts (2 x 10-6 ohm-cm2).

It is anticipated that the technical approaches to meet these goals will be different, and therefore, separate proposals are required for each Technical Area. Proposed research should investigate innovative approaches that enable revolutionary advances in materials, devices, circuits, and systems. Specifically excluded is research that primarily results in evolutionary improvements to the existing state of practice.

A. Background

Because of their unique material characteristics (ultra-large breakdown field strength, good current transport properties, high thermal conductivity, and large optical bandgap), UWBG materials (aluminum nitride – AlN, cubic boron nitride – c-BN, diamond) have the potential to revolutionize semiconductor electronics1 (Figure 1). For example, UWBG materials offer the promise of the creation of high-performance devices for a variety of DoD and commercial applications, including:

high-power radio frequency (RF) switches and limiters and high-power density RF amplifiers for radar and communications systems; high-voltage switches for power electronics; high-temperature electronics and sensors for extreme environments; and deep ultraviolet (UV) light emitting diodes (LEDs) and lasers. However, the poor quality (high-defect density and non-uniformity) of UWBG materials, junctions, and electrical contacts limit the performance of UWBG devices. Multiple technical challenges need to be overcome to bring the potential of UWBG devices to fruition.

1 Tsao, J., et al., “Ultrawide-Bandgap Semiconductors: Research Opportunities and Challenges,” Advanced Electronic Materials, vol. 4, 2018.

Figure 1: Example of unique materials characteristics (high-breakdown field and thermal conductivity) of UWBG materials (AlN, cBN and diamond) compared to WBG (silicon carbide – SiC,gallium nitride - GaN) and narrow bandgap (gallium arsenide - GaAs, silicon - Si) semiconductors. The diameter of the circles is proportional to the material thermal conductivity. (Source: Naval Research Laboratory)

UWBG materials and devices are in their infancy1 with the majority of work performed in university and research labs on “small” sample sizes with highly variable material quality (defect density) and poor doping efficiency. Further, electrical contacts exhibit unacceptably high resistance. As a result, device performance falls short of predictions based on material properties and the results are highly inconsistent due to variability in substrates and device layers. The UWBGS program will focus on the foundation of UWBG devices by increasing substrate diameter and quality, improving the material quality of device layers and junctions, and improving the electrical quality of metal contacts. Figure 2 shows a notional test diode highlighting the technical challenge areas and that can be used to measure improvements in material and contact quality.

Figure 2: Cross-section of notional UWBG test diode highlighting technical challenges.

UWBGS will address the following technical challenges, which must be overcome in order to make viable UWBG-based devices:

Technical Challenge 1: Creation of large area device quality UWBG substrates. Substrates serve as the foundation of electronics. While low defect density UWBG substrates have been demonstrated on small area samples, scaling to larger wafer sizes compatible with existing semiconductor wafer processing infrastructure (e.g., 100 mm diameter) results in UWBG substrates with unacceptably high defect density (e.g, diamond substrate dislocation density2 > 108/cm2; point defect density > 1016/cm3) due to high stress.

Technical Challenge 2A: Controlled incorporation of electrically active impurities (dopants) in UWBG materials. Doping (incorporation of electrically active impurities that conduct current) is used to control the current conducting ability of semiconductors. The large activation energy of typical UWBG dopants, material defects, and/or the formation of defect/dopant complexes, reduce the efficiency of incorporation of electrically active dopants.

For example, typical dopant incorporation efficiency for diamond is below 1%3 and for AlN is below 10% and is highly variable.4 The poor dopant incorporation efficiency results in unacceptably low material conductivity.

Technical Challenge 2B: Creation of low defect and abrupt UWBG homo- and hetero-junctions. Semiconductor junctions are a key element of all electronic devices, and their electronic properties are sensitive to structure, chemical composition, and defectivity. For example, UWBG homojunctions (junctions formed in similar materials) exhibit low-defect density but do not easily form abrupt junctions due to diffusion of dopants. Heterojunctions (junctions formed in dissimilar materials) can be realized with abrupt junctions, but exhibit high junction defect density (> 1012/cm2).5 Lack of abruptness and/or high defect density of semiconductor junctions result in poor device performance, such as high junction capacitance, diode ideality factor, and leakage current.

Technical Challenge 3: Achieving ultra-low resistance electrical contacts to UWBG materials. Low resistance electrical contacts are another key building block of electronic devices. The intrinsic high energy barrier to current flow between metal contacts and UWBG materials results in unacceptably high contact resistivity. For example, typical contact resistivity to diamond is 2 x 10-3 ohm-cm2,6 which is more than 1000X higher than contacts to mature semiconductor technologies (GaAs or Si). Existing approaches used in GaAs and Si, such as alloyed contact metallurgy, are not adequate to reduce this high barrier in UWBG materials and therefore new approaches are required to achieve low contact resistivity to UWBG materials required for high performance electronic devices.

B. Program Description

UWBGS will develop foundational, high-quality materials and electrical contacts necessary for realization of practical UWBG electronics and enable UWBG applications. Specifically, UWBGS will develop:

High quality (low defect density), large area (100 mm in diameter) UWBG substrates, device layers with high doping efficiency and homo- and hetero-junctions

2 Arnault, J., et al., “Chemical Vapor Deposition Single-Crystal Diamond: A Review,” Phys. Status Solidi, vol. 16, 2022.

3 Kato, H. et al., “N-type diamond growth by phosphorus doping on (0 0 1)-oriented surface,” J. Phys. D, Vol. 40, 2007.

4 Ahmad, H., et al., “Realization of homojunction PN AlN diodes,” J. Appl. Phys., vol. 131, 2022.

5 Kim, J., et al., “Wafer-Bonded p-n Heterojunction of GaAs and Chemomechanically Polished N-Polar GaN,” IEEE Electron Device Letters, Vol. 34, No. 1, 2013.

6 Kato, Hiromitsu, et al. "Low specific contact resistance of heavily phosphorus-doped diamond film." Applied Physics Letters, Vol. 93, 2008.

o Dislocation density < 103/cm2; point defect density to < 1016/cm3 o > 90% (0.9) normalized dopant incorporation efficiency and < 5% non-uniformity o Abrupt junctions (< 100 nm) with low junction defect density (< 1012/cm2)

Ultra-low resistance electrical contacts: < 2 x 10-6 ohm-cm2

UWBGS will validate improvement in material and electrical contact quality by demonstrating high breakdown voltage diode test devices targeting near ideal electrical properties – diode ideality factor = 1.1 and a diode figure of merit, Fco = 1/2RonCoff = 1 THz.

Under DARPA and government funded studies, recent innovations in UWBG substrates, device layer synthesis and electrical contacts have identified pathways to overcome these technical challenges.

Technical Challenge 1: Creation of large area device quality UWBG substrates.

Potential novel growth processes (and growth reactor designs) to scale substrate diameter while maintaining low defect density (point defects and dislocations) include, but are not limited to:

Seed expansion techniques such as epitaxial lateral overgrowth to expand substrate size while reducing defects Seed tiling to incrementally scale the diameter of low defect density seeds2

Homo- or heteroepitaxial growth processes2

Innovations in nucleation layers, (e.g. the use of metal layers to terminate defects in diamond layers7 and patterning of nucleation layers8) to terminate dislocations

Innovations in reactor design, substrate holders, and growth processes/chemistry to minimize thermal gradients and ensure a uniform growth rate, lowering the built-in stress9

Innovations in “wafering” (wafer slicing, chemical-mechanical or plasma assisted polishing) to minimize surface roughness and subsurface damage10

Technical Challenge 2A: Controlled incorporation of electrically active impurities (dopants) in UWBG materials.

UWBGS seeks to increase the carrier concentration of UWBG materials. Approaches may include, but are not limited to:

Novel epitaxial growth chemistry and growth processes, to enable defect density reduction and controlled incorporation of electrically active charge carriers with high activation efficiency (e.g. Be-doped p-type AlN layers with high carrier density and improved doping efficiency4);

7 Ohmagari, S., et al., “Large reduction of threading dislocations in diamond by hot-filament chemical vapor deposition accompanying W incorporations,” Appl. Phys. Lett., Vol. 113, 2018.

8 Ichikawa, K., et al., “High crystalline quality heteroepitaxial diamond using grid-patterned nucleation and growth on Ir,” Diamond and Related Materials, Vol. 94, 2019.

9 Sergey V. Baryshev and Matthias Muehle, “Scalable Production and Supply Chain of Diamond using Microwave Plasma: a Mini-review,” arXiv:2308.00223, 2023.

10 Luo, H., et al., “Polishing and planarization of single crystal diamonds: state-of-the-art and perspectives,” Int. J.

Extrem. Manuf., Vol. 3, 2021.

Ion implantation to achieve high carrier density in UWBG materials (e.g. Si-implanted AlN11);

Innovations in epitaxial reactor design and substrate holders to reduce defect formation, enhance dopant incorporation, and optimize doping uniformity.

Technical Challenge 2B: Creation of low defect and abrupt UWBG homo- and hetero-junctions.

UWBGS seeks to improve the quality of UWBG homo- and hetero-junctions. Approaches may include, but are not limited to:

Layer bonding of dissimilar materials to create novel heterostructures to overcome n- or p-doping limitations of individual UWBG materials or to integrate low resistance, narrower bandgap semiconductors with high breakdown field UWBG material12

Co-doping to compensate for carriers and create steep doping gradients Innovations in reactor design, substrate holders, and growth processes/chemistry to enhance doping abruptness13

Technical Challenge 3: Achieving ultralow resistance electrical contacts to UWBG materials.

UWBGS seeks to reduce the contact resistance of metals to UWBG materials. Approaches may include, but are not limited to:

Novel electrical contact processes (e.g. nanostructured carbon interface layer on diamond layers14, compositional grading of AlGaN15), which add interface materials between contact metals and UWBG materials to facilitate the formation of a low resistance contact

N+ regrown contact layers16 to reduce barrier to current flow Refractory metals to improve contact robustness

It is envisioned that performers may need to perform growth reactor17, materials, and/or process modeling and simulation to guide material and electrical contact development, and that theoretical work may be needed to guide development experiments.

The UWBGS program will validate improvement in material and electrical contact quality by demonstrating proposer-defined, high breakdown voltage diode test devices which may be, but are not limited to: p-n junctions, PIN diodes and Schottky PIN diodes18. Diodes can consist of homo-

11 M. Hayden Breckenridge, et al., “High n-type conductivity and carrier concentration in Si-implanted homoepitaxial AlN,” Appl. Phys. Lett. 118, 2021.

12 Jian, Z., et al., “Electrical and Structural Analysis of β-Ga2O3/GaN Wafer-Bonded Heterojunctions with a ZnO Interlayer,” Advanced Electronic Materials, June 2023.

13 F. A. M. Koeck and R. J. Nemanich, "Residual gas analysis-controlled phosphorus doped diamond homoepitaxy utilizing a trimethylphosphine dopant source," Manuscript under review.

14 Koeck, F., et al., “Electrical contact considerations for diamond electron emission diodes,” Diamond and Related Materials, Vol. 101, 2020.

15 Bajaj, S., et al., “AlGaN channel field effect transistors with graded heterostructure ohmic contacts,” Applied Physics Letters, Vol. 109, 2016.

16 Douglas, E., et al., “Ohmic contacts to Al-rich AlGaN heterostructures,” Physica Status Solidi, Vol. 214, No. 8, 2017.

17 Ashfold, M., et al., “Self-consistent modeling of microwave activated N2/CH4/H2 (and N2/H2) plasma relevant to diamond chemical vapor deposition,” Plasma Sources Sci. Technol., Vol. 31, 2022.

18 Dutta, M., et al., “Demonstration of Diamond-Based Schottky p-i-n Diode With Blocking Voltage > 500 V,” IEEE Electron Device Letters, Vol. 37, No. 9, 2016.

junctions, hetero-junction, or superjunctions19. Proposers must provide a rationale for their choice of diode test structure including relevance to potential future applications and how the chosen diode test structure demonstrates that the technical challenges are being successfully addressed.

C. Program Structure

UWBGS is a 36-month, two-phase program with a 24-month Phase 1 (base) and 12-month Phase 2 (option) with two technical areas. At the end of Phase 1, options may be exercised, at the Government’s sole discretion, based on technical progress and funding availability. It is anticipated that the number of performers may diminish as options are exercised for progression into Phase 2 of the program.

D. Technical Area(s)

The UWBGS program consists of one technical area (TA1) focused on UWBG substrate development and a second technical area (TA2) focused on UWBG device layers and electrical contacts. The technical areas are described more fully in the following text. Each TA is stand-alone. Proposers should not propose to more than one Technical Area in a single proposal.

Proposers who wish to propose to both Technical Areas must submit a separate full proposal for each individual Technical Area.

Technical Area 1: UWBG Substrates TA1 addresses technical challenge 1 and is focused on improving UWBG material quality (i.e., reducing defect density and surface roughness) while increasing substrate size (diameter). TA1 metrics are specified in Table 1. Note that Table 1 includes proposer-defined metrics for starting (state-of-the-art) substrate size, defect density, thermal conductivity, and surface roughness, all of which are based on the proposed UWBG material.

The goal in Phase 1 (24 months) is to improve substrate quality (defect density and surface finish) while scaling substrate diameter to a minimum of 50 mm diameter. Proposers will fabricate high quality UWBG substrates and demonstrate 50 mm diameter or larger, single crystal substrates with low defect density. Proposers should describe their approach for substrate polishing to yield low surface roughness. Finally, proposers should discuss plans for assessing substrate quality, including characterization of dislocation density, point defect density, and surface roughness.

Proposers may plan to use characterization/metrology techniques such as cathodoluminescence, x-ray topography, transmission electron microscopy (TEM), and atomic force microscopy (AFM).

The goal in Phase 2 (12 months) is to scale substrate diameter to a minimum of 100 mm diameter while maintaining low defect density and good quality substrate surfaces, i.e., creating epi-ready UWBG substrates. Proposers will refine the Phase 1 growth and polishing techniques to fabricate UWBGS substrates that simultaneously meet or exceed the Phase 2 metrics. Proposers are expected to discuss technical challenges and risks associated with scaling substrates to 100 mm diameter or larger.

19 Xiao, M., et al., “Design and Simulation of GaN Superjunction Transistors With 2-DEG Channels and Fin Channel,” IEEE Journal OF Emerging and Selected Topics in Power Electronics, Vol. 7, No. 3, 2019.

The metrics for TA1 are shown in Table 1.

Table 1. UWBGS TA1 Metrics

Metric Units SOA Phase 1 Phase 2

Size (1, 2) mm (1) 50 100

Defect Density Dislocation (3) Point defects (3, 4)

/cm2

/cm3 (1) (1)

Thermal Conductivity (5) W/m-K X (1) 0.95X 0.95X

Surface roughness (6) nm (1) 0.2 0.2

1. Proposer-defined ultra-wide bandgap material with minimum thermal conductivity of 300 W/m-K, with substrate diameter, defect density, thermal conductivity, and surface roughness based on proposer’s baseline material

2. Substrate must be single crystal, 0.5 mm nominal thickness with proposer defined crystal orientation

3. Characterize using performer defined approach such as cathodoluminescence or x-ray topography

4. Point defects include vacancies, interstitials, and impurity atoms

5. Thermal conductivity in vertical and lateral directions at ≤ 100 °C

6. Average surface roughness (Ra) over a 100 µm scan on epi-ready side

While the number of potential UWBG substrate materials is large, UWBG materials with thermal conductivities less than 300 W/m-K are not within the scope of this solicitation.

Technical Area 2: UWBG Device Layers and Electrical Contacts In TA2 performers must address technical challenges 2A, 2B, and 3. TA2 metrics are specified in Table 2, and proposers must show how all metrics will be met simultaneously. Note that Table 2 includes proposer-defined metrics for doping efficiency that are based on the proposed UWBG material system.

The goal in Phase 1 (24 months) is to develop device layers and homo-/heterostructures with efficient and controlled introduction of electrically active carriers that achieves 60% of the theoretical doping efficiency for the proposed material, referred to as the normalized doping efficiency. Proposers are expected to define and provide supporting analysis for the theoretical doping efficiency for their proposed UWBG material. Phase 1 will also demonstrate low resistance electrical contacts (< 2 x 10-5 ohm-cm2) and uniform diode test structures with diode ideality factor below 1.5 to validate the improvement in material and contact quality. Proposers should describe their approach for measuring material and electrical characteristics of device layers, junctions, electrical contacts, and test diodes (e.g. junction abruptness, ideality factor, diode figure of merit

– Fco, junction defect density).

The goal in Phase 2 (12 months) is to optimize doping of UWBG device layers and achieve 90% normalized doping efficiency. Phase 2 will further improve device layer electrical contact resistance (< 2 x 10-6 ohm-cm2) and uniform diode test structures with diode ideality factor below

1.1 to validate the material structures and contacts.

The metrics for TA2 are shown in Table 2.

Table 2: UWBGS TA2 Metrics

Metric Units SOA Phase 1 Phase 2

Normalized doping efficiency (1, 2, 3, 4) -- < 0.2 0.6 0.9

Material non-uniformity (5)

% 50 10 5

Electrical contact resistance (6, 7) Ωcm2 2 x 10-3 2 x 10-5 2 x 10-6

Test diode ideality factor (8)

-- > 2 < 1.5 < 1.1

Test diode non-uniformity (9)

% 50 10 5

Test diode Fco (10) GHz 40 400 1000

1. Normalized doping efficiency: measured doping efficiency / maximum theoretical doping efficiency for proposer selected UWBG material system

2. Doping efficiency: electrically conducting carriers / incorporated dopant atoms

3. n- and p-type dopants; controllable carrier concentration ranges as low as 1016 and up to 1019 cm-3, with minimum room temperature thermal conductivity of 50 W/m-K

4. Device layer point defect density (include vacancies, interstitials, and impurity atoms): < 1 x 1016/cm3

5. Proposer defined; for example, sheet resistivity measured across a minimum of a 25 mm diameter wafer in Phase 1 and a 50 mm diameter wafer in Phase 2; minimum 25 data points per wafer;

measured on two or more wafers

6. Contact resistance to both n-type and p-type semiconductors

7. Contact resistance must not degrade (< 5% change in contact resistance) under 1000-hour bias stress test; measured on a minimum of 6 electrical contact test structures; proposer defined bias conditions;

bias conditions must reflect a relevant operational environment in a real-world device.

8. Proposer defined homo- or hetero-junction diode with breakdown field strength of 4 MV/cm; diode must exhibit abrupt junctions (< 100 nm) with low junction defect density (< 1012/cm2)

9. Diode electrical characteristics (ideality factor, breakdown voltage, leakage current); measured across minimum 25 mm diameter wafer (Phase 1) and 50 mm diameter wafer (Phase 2), minimum 25 data points /wafer; measured on two or more wafers

10. Diode figure of merit Fco = 1/2RonCoff

It is expected that, in Phase 2, TA2 performers will need to procure UWBG substrates that meet or exceed the TA1 substrate metrics.

DARPA expects to incorporate a government-sponsored independent verification and validation (IV&V) team into the program to evaluate TA1 and TA2 deliverables. To ensure consistency in characterization, performers are expected to coordinate with this IV&V team to define appropriate material, electrical contact, and diode test structures. Additionally, performers are expected to work with the IV&V team to identify associated material and electrical metrology techniques to characterize the materials, test structures, and diodes. Electrical contact robustness will be evaluated using a 1000-hour DC stress test measured on multiple electrical contact test structures (Table 2, footnote 7). Proposers should provide detailed information in their proposal on how they plan to develop and characterize the substrates, device layers, junctions, test structures, and test diodes under this program.

E. Schedule/Milestones

The UWBGS program structure is shown in Figure 1. UWBGS is a 36-month program with an anticipated start in July 2024. Program kickoff and quarterly review sessions or technical interchange meetings are mandatory and represent an opportunity to interact with the Government on planned work, specifics of the technical approaches, and any technical or programmatic items of concern.

The performers will construct a research program to meet or exceed all the metrics outlined in the metrics table. The program plan should include:

Program kickoff meeting to be held in-person at program start in Arlington, Virginia Quarterly Program Reviews, either via teleconference or at the performer’s site at the discretion of DARPA Design Reviews, held via teleconference, for high breakdown voltage diode test devices and associated test structures Interim and end of phase delivery of appropriate substrates, device layers, and diode test structures, and associated test data for the IV&V team

Figure 3. UWBGS Program Structure and Schedule

F. Deliverables

It is expected that any resultant awards will require performers to deliver a detailed spend plan at program kickoff and execution of subsequent option awards, quarterly technical reports, monthly technical status updates, and monthly financial reports including updated expenditures. It is further expected that performers shall prepare and submit briefing materials and participate in quarterly progress reviews, either via teleconference or at the performer’s site at the discretion of DARPA.

All performers shall participate in and support an in-person kickoff meeting and in-person program-wide reviews held at least annually and scheduled at the Program Manager’s discretion.

For TA1, performers will be expected to deliver a minimum of five (5) UWBG substrates at the end of each phase for IV&V by government subject matter experts (SMEs).

For TA2, performers will be expected to deliver a minimum of two (2) wafers with device layers and material, electrical contact resistance and diode test structures at the end of each phase for IV&V by government SMEs.

Performers will also be expected to define interim metrics/milestones every 6 months as indicated in Figure 3 for both TAs. In addition, performers are expected to deliver one or more interim substrates (TA1) and wafers with device layers, test structures and test devices (TA2) every six months, starting 12 months after kick-off, for evaluation by government SMEs.

All hardware deliverables must include associated test data reporting either status against interim metrics or showing that the end of phase metrics have been achieved. To ensure consistency in characterization, the performer, in consultation and collaboration with the government IV&V team, will identify appropriate materials characterization approaches for the performer’s material system. In addition, performer will consult with government IV&V team to design and fabricate appropriate contact resistance and diode test structures, and generate a test plan. This includes appropriate on-wafer test structures. End of Phase 1 deliverables will be expected to be received by the government no less than six (6) weeks before end of phase to allow time for IV&V.

G. Government Furnished Equipment/Property/Information

No Government Furnished Equipment, Property, or Information is expected to be provided for the effort solicited in this BAA.

H. Intellectual Property

Any use of proposer-defined intellectual property (patents, proprietary information, etc.) should be clearly marked as such within the proposal. 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. It is desired that all technical data generated by the UWBGS program be provided as deliverables to the Government with Unlimited Rights, or as applicable, Government Purpose Rights (GPR), and all hardware designs and documentation with a minimum of GPR. If there are no proprietary claims, this should be stated. For forms to be completed regarding intellectual property, see Section IV.B.10 and Section IV.B.1, “Section III.

Other Transaction Request”, if applicable.

II. Award Information

A. General Award Information

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

The Government reserves the right to select for negotiation all, some, one, or none of the proposals received in response to this solicitation and to make awards without discussions with proposers. The Government also reserves the right to conduct discussions if it is later determined to be necessary. If warranted, portions of resulting awards may be segregated into pre-priced options. Additionally, DARPA reserves the right to accept proposals in their entirety or to select only portions of proposals for award. In the event that DARPA desires to award only portions of a proposal, negotiations may be opened with that proposer. The Government reserves the right to fund proposals in phases with options for continued work, as applicable.

The Government reserves the right to request any additional, necessary documentation once it makes the award instrument determination. Such additional information may include but is not limited to Representations and Certifications (see Section VI.B.2., “Representations and Certifications”). The Government reserves the right to remove proposers from award consideration should the parties fail to reach agreement on award terms, conditions, and/or cost/price within a reasonable time, and the proposer fails to timely provide requested additional information. Proposals identified for negotiation may result in a procurement contract, grant, cooperative agreement, or other transaction, depending upon the nature of the work proposed, the required degree of interaction between parties, whether or not the research is classified as Fundamental Research, and other factors.

Proposers looking for innovative, commercial-like contractual arrangements are encouraged to consider requesting Other Transactions. To understand the flexibility and options associated with Other Transactions, consult http://www.darpa.mil/work-with-us/contract-management#OtherTransactions.

In accordance with 10 U.S.C. § 4022(f), the Government may award a follow-on production contract or Other Transaction (OT) for any OT awarded under this solicitation if: (1) that participant in the OT, or a recognized successor in interest to the OT, successfully completed the entire prototype project provided for in the OT, as modified; and (2) the OT provides for the award of a follow-on production contract or OT to the participant, or a recognized successor in interest to the OT.

In all cases, the Government contracting officer shall have sole discretion to select award instrument type, regardless of instrument type proposed, and to negotiate all instrument terms and conditions with selectees. DARPA will apply publication or other restrictions, as necessary, if it determines that the research resulting from the proposed effort will present a high likelihood of disclosing performance characteristics of military systems or manufacturing technologies that are unique and critical to defense. Any award resulting from such a determination will include a requirement for DARPA permission before publishing any information or results on the program. For more information on publication restrictions, see the section below on Fundamental Research

B. Fundamental Research

It is DoD policy that the publication of products of fundamental research will remain unrestricted to the maximum extent possible. National Security Decision Directive (NSDD) 189 defines fundamental research as follows:

‘Fundamental research’ means basic and applied research in science and engineering, the results of which ordinarily are published and shared broadly within the scientific community, as distinguished from proprietary research and from industrial development, design, production, and product utilization, the results of which ordinarily are restricted for proprietary or national security reasons.

As of the date of publication of this solicitation, the Government expects that program goals as described herein may be met by proposed efforts for fundamental research and non-fundamental research. Some proposed research may present a high likelihood of disclosing performance characteristics of military systems or manufacturing technologies that are unique and critical to defense. Based on the anticipated type of proposer (e.g., university or industry) and the nature of the solicited work, the Government expects that some awards will include restrictions on the resultant research that will require the awardee to seek DARPA permission before publishing any information or results relative to the program.

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

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

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

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

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

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

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

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

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

2. The U.S. Department of Education’s College Foreign Gift and Contract Report: College Foreign Gift Reporting (ed.gov) https://www.darpa.mil/attachments/092021DARPACFIPRubric.pdf https://www.govinfo.gov/content/pkg/FR-2020-11-17/pdf/2020-25459.pdf https://sites.ed.gov/foreigngifts/

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.

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 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/ 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.…