SpaceWERX Orbital Prime Solicitation_Amend1.docx

DEPARTMENT OF THE AIR FORCE (AF)

SMALL BUSINESS TECHNOLOGY TRANSFER (STTR) PROGRAM

X21.S COMMERCIAL SOLUTIONS OPENING (CSO)

This solicitation X21.S applies ONLY to SpaceWERX Open Topic AF21S-TCSO1. Phase I Open Topic supporting Orbital Prime: Open Call for Innovative Defense-Related Dual-Purpose Technologies/Solutions.

17 November 2021: Begin accepting proposals 17 February 2022: Full Proposals due No Later Than 12:00 p.m. ET

IAW with Section 879 of the National Defense Authorization Act (NDAA) for Fiscal Year 2021 (P.L. 114-328), Congress has authorized the Defense CSO Pilot Program. This program allows agencies to obtain solutions or potential new capabilities fulfilling requirements, closing capability gaps, or providing potential technological advancements. Consistent with FY22 NDAA Section 879, AF is soliciting proposals under a CSO. This solicitation is intended for informational purposes and reflects current planning. If there is inconsistency between the information in the CSO and resulting awards, if any, the awards’ terms and conditions take precedent.IMPORTANT

Deadline for Receipt: No exceptions will be made for the submission deadline above. AF recommends early submission, as computer traffic gets heavy near announcement closing. Do not wait until the last minute. AF is not responsible for missed proposal submission due to servers being “down” or inaccessible.

How to Submit: All proposals must be prepared and submitted through the Department of Defense (DOD) SBIR/STTR Innovation Portal (DSIP), https://www.dodsbirsttr.mil/. Ensure the proposal email address is accurate. AF is not responsible for missed notifications due to firms changing mailing address/email address/ company points of contact after submission without notifying the AF. Firms shall register in the System for Award Management, https://www.sam.gov/ to be eligible for proposal acceptance. Addresses must be consistent between the proposal and SAM at award.

Classified proposals are NOT accepted.

SBIR/STTR Updates and Notices:

· The CSO of record is found at https://sam.gov/content/opportunities and https://www.dodsbirsttr.mil/ (select ‘Topic Info’; scroll down to ‘Topics and Topic Q&A (SITIS)’ and select ‘AF21S-TCSO1’. Proposal must meet all CSO of record requirements at proposal submission deadline.

· To receive AF Ventures and other AF innovation opportunity notifications, register at https://af-ventures.com/ and https://www.afwerx.af.mil/join.html.

Help Desk: For AF SBIR/STTR Program questions, contact the AF Help Desk at usaf.team@afsbirsttr.us. For Defense SBIR/STTR Innovation Portal (DSIP) questions or issues, contact the DoD SBIR/STTR Help Desk at DoDSBIRSupport@reisystems.com.

TABLE OF CONTENTS

5.0 PHASE I PROPOSAL 16

6.0 PHASE I EVALUATION CRITERIA 28

7.0 PHASE II PROPOSAL 29

8.0 PHASE II EVALUATION CRITERIA 31

Attachments:

1. Air Force Environmental, Safety, and Health Questionnaire (MANDATORY template link)

2. Contractor Certification Regarding Prohibited Video Surveillance and Telecommunications Services and Equipment (MANDATORY Template for All Topics)

3. Foreign Ownership or Control Disclosure (MANDATORY Template, if applicable, for All Topics)

1.0 INTRODUCTION

The Air Force (AF) invites small business firms to submit proposals under this CSO for the Small Business Technology Transfer (STTR) Program. Firms with the capability to conduct research and development (R&D) in the AF-related topics described in Section 11.0 and to commercialize the results are encouraged to participate.

The 2021 Quadrennial Defense Review (QDR) established innovation as a central line of effort in the United States’ (US’) national defense strategy. The US’ decisive military advantage over its adversaries and peer competitors is steadily eroding. Consequently, under section 879 of the National Defense Authorization Act (NDAA) for Fiscal Year (FY) 2021 (Pub. L. 114-328) contracting officers may acquire innovative commercial items, technologies, or services using a competitive procedure called a Commercial Solutions Opening (CSO). Under the CSO, DoD may competitively select proposals received in response to a general solicitation, similar to a Broad Agency Announcement, based on proposal review by Government scientific, technological, or other subject-matter experts. CSO use in accordance with Class Deviation 2018-O0016 is considered competitive for the purposes of 10 U.S.C. chapter 127 and FAR 6.102. Contracting officers shall treat items, technologies, and services acquired under a CSO as commercial items. The full definition of commercial items, i.e., products and services, under FAR 2.101 applies. This CSO includes no requirement for a commercial product or service be an already developed, off-the-shelf item.

This CSO seeks innovative, commercial technologies proposed to create new AF solutions or potential new capabilities fulfilling requirements, closing capability gaps, or providing potential technological advancements. The AF reserves the right to award all, part, or none of the proposals received. The Federal Government is not responsible for any monies expended by the applicant before award, if selected. The SBIR/STTR Programs are not substitutes for existing unsolicited proposal mechanisms. Unsolicited proposals are not accepted under the AF SBIR/STTR Programs for Phase I or Phase II.

AF will not issue a separate CSO for Phase II proposals; unsolicited proposals will not be accepted. All firms awarded Phase I awards under this CSO will be eligible to participate in Phases II competitions with potential for Phase III awards. AF will provide Phase I awardees the Phase II proposal submission requirements. Submission of Phase II proposals will be in accordance with instructions provided by AF. Phase II details regarding due date, content, and submission requirements will be provided either in the Phase I award dissemination or by subsequent notification. If a firm submits a Phase II proposal prior to solicitation’s stated due date, it may be rejected without evaluation.

AF is not obligated to make any awards under Phases I, II, or III, and all awards are subject to funds availability. AF is not responsible for any monies expended by the proposer before the issuance of any award.

General information related to the AF Small Business Program is found at http://www.airforcesmallbiz.af.mil/. The site contains contracting opportunities within AF, as well as business information and upcoming outreach/conference events. Other informative sites include the Small Business Administration (SBA), www.sba.gov, and Procurement Technical Assistance Centers, http://www.aptacus.us.org. These centers provide Government contracting assistance and guidance to small businesses, typically at no cost.

AF Open Topic Information AF SBIR/STTR Center for Excellence continues to pilot new processes via AF Open Topics in order to accelerate technologies to the warfighter. The AF Open Topics are different in several ways from the standard AF SBIR/STTR proposal, award, and execution processes. Open Topics include shortened technical durations, reduced reporting requirements, and varying award amounts compared to normal traditional STTR topics.

Open Topic AF21S-TCSO1: Sponsored by the Air Force Office of Scientific Research (AFOSR) in partnership with AFWERX, https://www.afwerx.af.mil, a catalyst for agile Air Force engagement across industry, academia, and non-traditional contributors, creating transformative opportunities and fostering an AF culture of innovation.

For the Open Topic, Phase I proposals shall include technical information not to exceed 15 pages (whitepaper up to 5 pages and chart deck of 10 slides), uploaded in Volume 2 The technical volume and slide deck will be reviewed holistically. There are no set document format requirements. The cost volume, Volume 3, will cover the total effort broken down into specified technical and reporting periods. See below chart for specific times. AF Open Topics shall follow the “Phase I Work Plan Outline” as stated below, except one Progress Report is required and no technical review requirement due to the short duration. Phase I final reports will be a SF298, Report Documentation Page, presentation in accordance with the purchase order.

Technical Volume (Vol 2) Additional Info (Vol 5)

(Vol 2) Additional Info (Vol 5)

Open Topics

AF21S-TCSO1

It is critical Open Topic proposers register in the System for Award Management, https://www.sam.gov/. Proposals from offerors not registered in SAM at submission will be disqualified. Phase I awards under this CSO are FAR-based fixed price purchase orders. Therefore, offerors must be registered to receive “All Awards”, not just grants, and the firm address is consistent between the proposal and SAM information.

The request for AF Open Topic Phase II proposals will occur shortly after Phase I award execution. AF Open Topic may also use Phase II Supplemental Agreements. Unless otherwise stated above, all other requirements below apply. Contact usaf.team@afsbirsttr.us with questions.

2.0 PROGRAM DESCRIPTION

2.1 Objectives

The DoD STTR Program objectives include stimulating technological innovation, strengthening small businesses’ role in meeting DoD R&D needs, fostering and encouraging minority and disadvantaged persons’ participation in technological innovation, and increasing commercial application of DoD-supported R/R&D results.

AF invites small business firms and research institutions to jointly submit proposals under this STTR CSO. Firms with the capability to conduct research or research and development (R/R&D) supporting the Orbital Prime Technology Demonstration Program and commercialize the proposed results are encouraged to participate.

The STTR Program, although modeled substantially on the Small Business Innovation Research (SBIR) Program, is a separately managed and financed program. Subject to funds availability, AF seeks high quality R/R&D proposals for innovative concepts to solve defense-related scientific or engineering problems, especially those concepts with high potential for private sector commercialization. Partnerships between small businesses and Historically Black Colleges and Universities (HBCUs) or Minority Institutions (MIs) are encouraged, although no special award preference will be given.

The AF STTR Program follows the policies and practices of the Small Business Administration (SBA) SBIR/STTR Policy Directive (1 Oct, 2020), https://www.sbir.gov/sites/default/files/SBA_SBIR_STTR_POLICY_DIRECTIVE_OCT_2020_v2.pdf. This CSO incorporates and makes use of Policy Directive flexibilities to encourage proposals based on scientific and technical approaches most likely to yield important results for the AF and private sector.

2.2 Three Phase Program

STTR is a three-phase program. Phase I objective is to determine, to the extent possible, selected proposals’ scientific, technical, and commercial merit and feasibility. Proposals should concentrate on R/R&D significantly proving the proposed effort’s scientific and technical feasibility and commercialization potential. Successful Phase I completion is a prerequisite to be considered for Phase II award. Proposers should consider whether the proposed R/R&D also has private sector potential or can be used as a base for other applications.

Phase II awards are selected based on Phase I results and/or the Phase II proposal’s scientific and technical merit and commercialization potential Phase II, as the principal R/R&D effort, is expected to produce a well-defined, deliverable prototype. Phase II awardees may receive a second, sequential Phase II award to continue the project’s work.

Phase III awards require funding from the private sector, non-SBIR/STTR Governmental sources, or both. The objective is to develop the prototype into a viable product or non-R&D service for military or private sector market sales. Phase III awards must be based on work deriving from, extending, or completing an effort made under prior SBIR/STTR funding agreements, but funded as previously discussed. Phase III work is typically oriented toward technology commercialization.

3.0 DEFINITIONS

The following definitions from the SBA SBIR/STTR Policy Direction, the Federal Acquisition Regulation (FAR), and 10 USC 2371b apply to this CSO:

3.1 Certified HUBZone Small Business Concern: An SBC certified by SBA under the Historically Underutilized Business Zones (HUBZone) Program (13 C.F.R. § 126) as a HUBZone firm listed in the Dynamic Small Business Search (DSBS).

3.2 Commercial Solutions Opening (CSO): A competitive procedure contracting officers may use to acquire innovative commercial items, technologies or services.

3.3 Commercialization: The process of developing products, processes, technologies, or services and the production and delivery (whether by the originating party or others) of products, processes, technologies, or services for sale to or use by the Federal Government or commercial markets.

3.4 Essentially Equivalent Work: Work substantially the same research, proposed for funding in more than one application submitted to the same Federal agency, or two or more different Federal agencies for review and funding consideration. It may also include work where a specific research objective and the research design for accomplishing project objective are the same or closely related to another proposal or award, regardless of funding source.

3.5 Export Control: The International Traffic in Arms Regulations (ITAR), 22 CFR Parts 120 through projects with military or dual-use applications beyond fundamental research. Fundamental research is basic and applied research ordinarily published and shared broadly within the scientific community. More information is available at https://www.pmddtc.state.gov/?id=ddtc_kb_article_page&sys_id=24d528fddbfc930044f9ff621f961987.

3.6 Federal Laboratory: As defined in 15 U.S.C. §3703, means any laboratory, any federally funded research and development center (FFRDC), or any center established under 15 U.S.C. §§ 3705 & 3707 that is owned, leased, or otherwise used by a Federal agency and funded by the Federal Government, whether operated by the Government or by a contractor.

3.7 Foreign Nationals: Foreign Nationals (also known as Foreign Persons) as defined by 22 CFR

120.16 means any natural person who is not a lawful permanent resident as defined by 8 U.S.C. § 1101(a)(20) or who is not a protected individual as defined by 8 U.S.C. § 1324b(a)(3). It also means any foreign corporation, business association, partnership, trust, society or any other entity or group that is not incorporated or organized to do business in the United States, as well as international organizations, foreign Governments and any agency or subdivision of foreign Governments (e.g., diplomatic missions).

“Lawfully admitted for permanent residence” means the status of having been lawfully accorded the privilege of residing permanently in the United States as an immigrant in accordance with the immigration laws, such status not having changed.

"Protected individual’’ means an individual who (A) is a citizen or national of the United States, or (B) is an alien who is lawfully admitted for permanent residence, is granted the status of an alien lawfully admitted for temporary residence under 8 U.S.C. § 1160(a) or 8 U.S.C. § 1255a(a)(1), is admitted as a refugee under 8 U.S.C. § 1157, or is granted asylum under Section 8 U.S.C. § 1158; but does not include (i) an alien who fails to apply for naturalization within six months of the date the alien first becomes eligible (by virtue of period of lawful permanent residence) to apply for naturalization or, if later, within six months after November 6, 1986, and (ii) an alien who has applied on a timely basis, but has not been naturalized as a citizen within 2 years after the date of the application, unless the alien can establish that the alien is actively pursuing naturalization, except that time consumed in the Service's processing the application shall not be counted toward the 2-year period.

3.8 Fraud, Waste and Abuse:

a. Fraud includes any false representation about a material fact or any intentional deception designed to deprive the United States unlawfully of something of value or to secure from the United States a benefit, privilege, allowance, or consideration to which an individual or business is not entitled.

b. Waste includes extravagant, careless or needless expenditure of Government funds, or the consumption of Government property, that results from deficient practices, systems, controls, or decisions.

c. Abuse includes any intentional or improper use of Government resources, such as misuse of rank, position, or authority or resources.

3.9 Funding Agreement: Any contract, grant, cooperative agreement, or Other Transaction for Prototype entered into between any Federal Agency and any small business concern for the performance of experimental, developmental, or research work, including products or services, funded in whole or in part by the Federal Government.

3.10 Innovative:

(1) Any new technology, process, or method, including research and development; or

(2) Any new application of an existing technology, process, or method.

3.11 Other Transaction: Refers to the type of Other Transaction Agreement (OTA) that may be placed as a result of this CSO. This type of OT is authorized by 10 U.S.C 2371b for prototype projects directly relevant to enhancing the mission effectiveness of military personnel and the supporting platforms, systems, components, or material proposed to be acquired or developed by the DoD, or for the improvement of platforms, systems, components, or materials in use by the armed forces. This type of OTA is treated by DoD as an acquisition instruments, commonly referred to as an “other transaction” for a prototype or a Section 2371b “other transaction.” The definition of a "prototype project" in the context of an OT is as follows: a prototype project addresses a proof of concept, model, reverse engineering to address obsolescence, pilot, novel application of commercial technologies for defense purposes, agile development activity, creation, design, development, demonstration of technical or operational utility, or combinations of the foregoing. A process, including a business process, may be the subject of a prototype project.

3.12 Performance Benchmarks for Progress Toward Commercialization: IAW the SBA SBIR/STTR Policy Directive Section 4.(a)(3), DoD’s established benchmark threshold applies only to Phase I applicants with more than 20 awards in the prior five fiscal years. The ratio of Phase I awards to Phase II awards received during the period must be at least 4:1. Additional information can be found at https://www.sbir.gov/performance-benchmarks.

3.13 Principal Investigator: The principal investigator/project manager is the individual designated by the applicant to provide the scientific and technical direction to a project supported by the funding agreement.

For both Phase I and Phase II, the primary employment of the principal investigator must be with the SBC OR research institute at the time of award and during the conduct of the proposed project. Primary employment means that more than one-half of the principal investigator's time is spent in the employ of the SBC. This precludes full- time employment with another organization. Occasionally, deviations from this requirement may occur, and must be approved in writing by the contracting officer after consultation with the agency AF STTR Program Manager/Coordinator. Further, an SBC may replace the principal investigator on an STTR Phase I or Phase II award, subject to approval in writing by the contracting officer.

3.14 Proprietary Information: Proprietary information includes trade secrets, as well as commercial or financial information.

3.15 Research Involving Animal Subjects: Activities involving animal subjects shall be conducted in accordance with DoDI 3216.01, “Use of Animals in DoD Programs”; 9 CFR parts 1-4; National Academy of Sciences Publication “Guide for the Care & Use of Laboratory Animals” as amended; Department of Agriculture rules implementing the Animal Welfare Act (7 U.S.C. §§ 2131-2159); and other applicable Federal/DoD/local laws, regulations, and instructions.

“Animal use” protocols apply to activities meeting any of the following criteria:

a. Any research, development, test, evaluation or training (including experimentation) involving an animal or animals.

b. An animal is defined as any living or dead, vertebrate organism (non-human) being used or intended for use in research, development, test, evaluation, or training.

c. A vertebrate is a member of the subphylum Vertebrata (within the phylum Chordata), including birds and cold-blooded animals.

See DoDI 3216.01 for definitions of these terms and applicability to work involving animals

3.16 Research Involving Human Subjects: All research involving human subjects shall be conducted in accordance with 32 C.F.R. § 219 “The Common Rule”, 10 USC §980 “Limitation on Use of Humans as Experimental Subjects”, and DoDD 3216.02, “Protection of Human Subjects and Adherence to Ethical Standards in DoD-Supported Research,” as well as other applicable Federal and state law and regulations, and DoD component guidance. Offerors must be cognizant of and abide by the additional restrictions and limitations imposed on the DoD regarding research involving human subjects, specifically as they regard vulnerable populations (DoDD 3216.02), recruitment of military research subjects (DoDD 3216.02), and informed consent and surrogate consent (10 U.S.C. § 980) and chemical and biological agent research (DoDD 3216.02). Food and Drug Administration regulation and policies may also apply.

“Human use” protocols apply to all research that meets any of the following criteria:

a. Any research involving an intervention or an interaction with a living person that would not be occurring or would be occurring in some other fashion but for this research.

b. Any research involving identifiable private information. This may include data/information/specimens collected originally from living individuals (broadcast video, web-use logs, tissue, blood, medical or personnel records, health data repositories, etc.) in which the identity of the subject is known, or the identity may be readily ascertained by the investigator or associated with the data/information/specimens.

See DoDD 3216.02 for definitions of these terms and more information about the applicability of DoDI 3216.02 to research involving human subjects.

3.17 Research Involving Recombinant DNA Molecules: Any recipient performing research involving recombinant DNA molecules and/or organisms and viruses containing recombinant DNA molecules shall comply with the National Institutes of Health Guidelines for Research Involving Recombinant DNA Molecules, dated January 2011, as amended. The guidelines can be found at: https://osp.od.nih.gov/wp-content/uploads/2013/06/NIH_Guidelines.pdf. Recombinant DNA is defined as (i) molecules that are constructed outside living cells by joining natural or synthetic DNA segments to DNA molecules that can replicate in living cells or (ii) molecules that result from the replication of those described in (i) above.

3.18 Research or Research and Development:

a. A systematic, intensive study directed toward greater knowledge or understanding of the subject studied;

b. A systematic study directed specifically toward applying new knowledge to meet a recognized need; or

c. A systematic application of knowledge toward the production of useful materials, devices, systems, or methods, including prototype or process design, development, and improvement to meet specific requirements.

3.19 Service-Disabled Veteran-Owned Small Business (SDVOSB): A small business concern owned and controlled by a Service-Disabled Veteran or Service-Disabled Veterans, as defined in Small Business Act 15 USC § 632(q)(2) and SBA’s implementing SDVOSB regulations (13 CFR 125).

3.20 Small Business Concern (SBC): A concern meeting the requirements set forth in 13 CFR.

§ 121.702. An SBC must satisfy the following conditions on the date of award:

a. Is organized for profit, with a place of business located in the United States, which operates primarily within the United States or which makes a significant contribution to the United States economy through payment of taxes or use of American products, materials or labor;

b. Is in the legal form of an individual proprietorship, partnership, limited liability company, corporation, joint venture, association, trust or cooperative, except that if the concern is a joint venture, each entity to the venture must meet the requirements set forth in paragraph (c) below;

c. Is more than 50% directly owned and controlled by one or more individuals (who are citizens or permanent resident aliens of the United States), other small business concerns (each of which is more than 50% directly owned and controlled by individuals who are citizens or permanent resident aliens of the United States), or any combination of these; and

d. Has, including its affiliates, not more than 500 employees. (For explanation of affiliate, see www.sba.gov/size.)

3.21 Subcontract: A subcontract is any agreement, other than one involving an employer-employee relationship, entered into by an awardee of a funding agreement calling for supplies or services for the performance of the original funding agreement. This includes consultants.

3.22 United States: The fifty states, the territories and possessions of the Federal Government, the Commonwealth of Puerto Rico, the Republic of the Marshall Islands, the Federated States of Micronesia, the Republic of Palau, and the District of Columbia.

3.23 Women-Owned Small Business Concern: An SBC at least 51% owned by one or more women, or in the case of any publicly owned business, at least 51% of the stock is owned by women, and women control the management and daily business operations.

4.0 PROPOSAL FUNDAMENTALS

Unless otherwise specified, this section applies to Phase I and II proposals.

4.1 Introduction

The proposal must provide sufficient information to demonstrate to the reviewers the proposed work represents an innovative approach to investigation of important scientific or engineering problems and is worthy of support under the stated criteria. The proposed R/R&D must be responsive to the topic.

Before submitting a proposal, offerors should assess the intended effort to determine:

a. The technical approach has a reasonable chance of meeting the topic objective;

b. This approach is innovative, not routine, with potential for commercialization; and

c. The proposing firm has the capability to implement the technical approach, i.e., has or can obtain people and equipment suitable to the task.

4.2 Offeror Eligibility and Performance Requirements

a. Each proposer must qualify as a small business concern IAW 13 C.F.R §§ 701-705 at time of award and certify to this on the proposal Cover Sheet. SBIR/STTR eligibility requirements are unique and do not correspond to other small business programs (see Section 3.20 of this CSO). Proposers must meet eligibility requirements for Small Business Ownership and Control IAW 13 CFR § 121.702 and Section 4.4 of this CSO.

b. Each STTR project must be conducted a minimum of 40% by the small business concern and a single research institution must accomplish a minimum of 30% of the effort. The percentage is usually measured by direct and indirect costs.

c. Phase I and II, the principal investigator must primarily be employed with the small business firm OR research institution. At Phase I or Phase II contract award, the small business concern must employ at least one employee in a management position whose primary employment is with the small business, not with the research institution. Primary employment means more than 50% of the employee's time is spent with the small business. Primary employment with the small business concern precludes full-time employment at another organization.

d. All Phase I and Phase II R/R&D work must be performed by the small business concern and its subcontractors in the U.S.

e. Allocation of Rights: Small business concerns (SBCs) must negotiate written agreements with the research institution allocating intellectual property rights and rights to carry out follow-on research, development, or commercialization. The SBC must submit this agreement to the awarding agency with the proposal. The SBC must certify in all proposals that the agreement is satisfactory to the SBC.

f. Management of the STTR Project: The small business concern (SBC), and not its partnering Research Institution(s), is to provide satisfactory evidence that it will exercise management direction and control of the performance of the STTR Funding Agreement. Regardless of the proportion of the work or funding allocated to each of the performers under the Funding Agreement, the SBC is to be the primary party with overall responsibility for performance of the project. All agreements between the SBC and the Research Institution cooperating in the STTR Funding Agreement, or any business plans reflecting agreements and responsibilities between the parties during performance of STTR Phase I or Phase II Funding Agreement, or for the Commercialization of the resulting technology, should reflect the controlling position of the SBC.

g. Benchmarks. Proposers with prior SBIR/STTR awards must meet two benchmark requirements for Progress towards Commercialization as determined by the Small Business Administration (SBA) on June 1 each year.

(1) Phase I to Phase II Transition Rate: For all proposers with greater than 20 Phase I awards over the past five fiscal years excluding the most recent year, the ratio of Phase II awards to Phase I awards must be at least 0.25.

(2) Commercialization Benchmark: For all proposers with greater than 15 Phase II awards over the last ten fiscal years excluding the last two years, the proposer must have received, to date, an average of at least $100,000 of sales and/or investments per Phase II award received or have received a number of patents resulting from the SBIR work equal to or greater than 15% of the number of Phase II awards received during the period.

Consequence of failure to meet the benchmarks:

· SBA will identify and notify Agencies on June 1st of each year the list of companies which fail to meet minimum performance requirements. These companies will not be eligible to submit a proposal for a Phase I or Direct to Phase II award for a period of one year from that date.

· Because this requirement only affects a company’s eligibility for new Phase I or Direct to Phase II awards, a company that fails to meet minimum performance requirements may continue working on its current ongoing SBIR/STTR awards and may apply for and receive new Phase II and Phase III awards.

· To provide companies with advance warning, SBA notifies companies on April 1st if they are failing the benchmarks. If a company believes that the information used was not complete or accurate, it may provide feedback through the SBA Company Registry at www.sbir.gov.

· In addition, SBA has posted a Guide to SBIR/STTR Program Eligibility to help small businesses understand program eligibility requirements, determine if they will be eligible at the time of award, and accurately complete necessary certifications.

· The benchmark information on the companies will not be available to the public.

· More detail is available at https://www.sbir.gov/performance-benchmarks.

4.3 Joint Ventures

Joint ventures and limited partnerships are permitted, provided the entity created qualifies as a small business in accordance with the Small Business Act, 13 U.S.C. § 121.701.

4.4 Majority Ownership in Part

Small businesses owned in majority part by multiple venture capital operating companies (VCOCs), hedge funds, or private equity funds are ineligible to submit proposals under this CSO.

4.5 Conflicts of Interest

Contract awards to firms owned by or employing current or previous Federal Government employees could create conflicts of interest for those employees which may be a violation of Federal law. Proposing firms should contact the cognizant Ethics Counselor from the employee’s Government agency for further guidance if in this situation.

4.6 Classified Proposals

Classified proposals will not be accepted in response to this CSO. If efforts will require classified work during Phase II performance, the proposing firm must have or obtain a facility clearance. Additional information on facility and personnel clearance procedures and requirements can be found at the Defense Security Service site, http://www.dss.mil/index.html.

4.7 Research Involving Human Subjects

All research involving human subjects, to include use of human biological specimens and human data, shall comply with the applicable Federal and state laws and agency policy/guidelines for human subject protection (see Section 3.16).

Institutions to be awarded funding for research involving human subjects must provide documentation of a current Federal Assurance of Compliance with Federal regulations for human subject protection, for example a Department of Health and Human Services, Office for Human Research Protections Federal wide Assurance (http://www.hhs.gov/ohrp).

Additional Federal Assurance documentation may also be requested by the AF. All institutions engaged in human subject research, to include subcontractors, must also have a valid Assurance. In addition, personnel involved in human subject research must provide documentation of completing appropriate training for the protection of human subjects. Institutions proposing to conduct human subject research that meets one of the exemption criteria in 32 CFR 219.101 are not required to have a Federal Assurance of Compliance. If selected, institutions must also provide documentation of Institutional Review Board (IRB) approval or a determination from an appropriate official in the institution that the work meets one of the exemption criteria with 32 CFR 219. As part of the IRB review process, evidence of appropriate training for all investigators should accompany the protocol. The protocol, separate from the proposal, must include a detailed description of the research plan, study population, risks and benefits of study participation, recruitment and consent process, data collection and data analysis.

The amount of time required for the IRB to review and approve the protocol will vary depending on such things as the IRB’s procedures, the complexity of the research, the level of risk to study participants and the responsiveness of the Investigator. The average IRB approval process can last between one and three months. Once the IRB has approved the research, the AF will review the protocol and the IRB’s determination to ensure that the research will be conducted in compliance with DoD and DoD Component policies. The DoD review process can last between three to six months. Ample time should be allotted to complete both the IRB and DoD approval processes prior to recruiting subjects. No funding can be used towards human subject research until ALL approvals are granted.

4.8 Research Involving Animal Subjects

All research, development, testing, experimentation, education or training involving the use of animals shall comply with the applicable Federal and agency rules on animal acquisition, transport, care, handling, and use (see Section 3.15).

For submissions containing animal use, proposals should briefly describe plans for their Institutional Animal Care and Use Committee (IACUC) review and approval.

All Recipients must receive their IACUC’s approval as well as secondary or headquarters-level approval by a DoD veterinarian who is trained or experienced in laboratory animal medicine and science. No animal research may be conducted using DoD funding until all the appropriate DoD office(s) grant approval.

4.9 Research Involving Recombinant DNA Molecules

All research involving recombinant DNA molecules shall comply with the applicable Federal and state laws and regulations and any additional agency guidance. Research shall be approved by an Institutional Biosafety Committee.

4.10 Use of Unmanned Aircraft Systems (UAS)

All activities involving the operation of Unmanned Aerial Systems shall be conducted IAW Department of Defense Memo entitled “Guidance for the Domestic Use of Unmanned Aircraft Systems in the U.S. National Airspace, dated 18 August 2018 and DOD memo entitled, “Delegation Authority to Approve Exemptions for Using Commercial-Off-The-Shelf Unmanned Aerial Systems in Support of Urgent Needs, dated 16 November 2018. Contractor personnel operating DoD or DoD-contracted UAS in U.S. National Airspace, whether or not the domestic use is related to an intelligence activity, will comply with all laws, regulations, and guidance relating to the operation of UAS in U.S. National Airspace. Specific programs utilizing UAS are required to obtain an exemption for operational use of a UAS; therefore, additional documentation may be requested by the AF to support an exemption request. The DOD exemption approval process can last as much as two months. No funding can be used for contracted-UAS operations until ALL approvals are granted.

4.11 Proposal Status and Feedback

The Principal Investigator (PI) and Corporate Official (CO) indicated on the Proposal Cover Sheet (Volume 1) will be notified by email regarding proposal selection or non-selection. The SBC will receive a notification for each proposal submitted. Please read each notification carefully and note the proposal number referenced. If changes occur to the company mail or email address(es) or points of contact after proposal submission, the information must be provided to usaf.team@afsbirsttr.us the message shall include the subject line, “21.S Address Change”.

Any feedback requests must be submitted in writing within 30 calendar days after receipt of notification of non-selection. Written requests for feedback must be submitted via Mr. Robert Peter Jefferis at robert.jefferis.1@us.af.mil or Ms. Lauren Rice at lauren.rice@us.af.mil. Requests for feedback should include the company name and the telephone number/e-mail address for a specific point of contact, as well as an alternate. Additionally, include the proposal number(s). Feedback requests received more than 30 calendar days after non-selection notification receipt will be fulfilled at the Contracting Officers' discretion. Unsuccessful offerors are entitled to no more than one feedback response for each proposal.

Release of Proposal Review Information. After final award decisions have been announced, the peer review of the applicant’s proposal may be provided to the offeror. The identity of the reviewer shall not be disclosed.

It is anticipated all proposal reviews will be complete, selection decisions made, and notification letters sent within approximately 90 calendar days of proposal receipt. Please refrain from contacting the CSO Contracting Officer for proposal status before that time.

4.12 CSO, Selection, and Award Protests

Interested parties may have the right to protest this CSO by serving the Contracting Officer, Mr. Robert Peter Jefferis, AFRL/RVKE Contracting Officer, robert.jefferis.1@us.af.mil, the protest, or by filing with the Government Accountability Office (GAO) or U.S. Court of Federal Claims. Protest of selections or awards should also be directed to Mr. Jefferis or by filing with the GAO or the U.S. Court of Federal Claims. If the protest is filed with the GAO, a copy of the protest shall be received by the AF Legal Operations Agency (AFLOA) within one day of filing. Protests of a selected firm’s small business status should be directed to the SBA.

4.13 Phase I Award Information

a. Number of Phase I Awards. The number of awards will depend upon funds availability. The Government reserves the right to award all, some, or none of the proposals received under this solicitation. The Federal Government is not responsible for any costs incurred before award receipt.

b. Type of Funding Agreement. Phase I awards are FAR-based firm fixed price purchase orders.

c. Dollar Value. Phase I awards will have a maximum value of $250,000.

4.14 Phase II Award Information

a. Number of Awards. The number of awards will depend upon funds availability. The Government reserves the right to award all, some, or none of the proposals received under this solicitation. The Federal Government is not responsible for any costs incurred before award receipt.

b. Type of Funding Agreement. Phase II awards will be FAR-based firm fixed price contracts or Other Transactions for Prototype under the authority of 10 USC 2731b.

c. Average Dollar Value. Maximum Phase II award value is $1,500,000.

4.15 CSO and CSO Topic Questions

a. General SBIR Questions/Information

1. Air Force One SBIR/STTR Help Desk. The Help Desk is available to address general questions about this CSO and other program-related topics. The Help Desk can be reached at usaf.team@afsbirsttr.us.

2. DoD SBIR/STTR Help Desk. Email the DSIP Help Desk at DoDSBIRSupport@reisystems.com for assistance with using DSIP. Questions will be addressed in the order received, during normal operating hours (Monday through Friday, 9:00 a.m. to 5:00 p.m. ET).

3. Topic Q&A. Once DoD begins accepting proposals on November 17, 2021, no further direct contact between proposers and topic authors is allowed unless the Topic Author is responding to a question submitted during the pre-release period. However, proposers may submit written questions through Topic Q&A at https://www.dodsbirsttr.mil/submissions/login. In Topic Q&A, all questions and answers are posted electronically for general viewing. Identifying information for the questioner and respondent is not posted.

Questions submitted through the Topic Q&A are limited to technical information related to improving the understanding of a topic’s requirements. Any other questions, such as those asking for advice or guidance on solution approach, or administrative questions, such as SBIR or STTR program eligibility, technical proposal/cost proposal structure and page count, budget and duration limitations, or proposal due date WILL NOT receive a response.

Proposing firms may use the Topic Search feature on DSIP to locate a topic of interest. Then, using the form at the bottom of the topic description, enter and submit the question. Answers are generally posted within seven (7) business days of question submission (answers will also be e-mailed directly to the inquirer).

The Topic Q&A for this CSO opens on December 1, 2021 and closes to new questions on February 3, 2022 at 12:00 PM ET. Once the CSO closes to proposal submission, no communication of any kind with the topic author or through Topic Q&A regarding your submitted proposal is allowed.

Proposing firms should monitor the Topic Q&A during the CSO period. Proposing firms should also frequently monitor DSIP for solicitation/topic updates and amendments.

4. AF SBIR/STTR Open Topic Updates and Notices. To receive notifications about AF Ventures and other AF innovation opportunities, please register at https://af-ventures.com/ and https://www.afwerx.af.mil/join.html.

5. ‘Ask Me Anything (AMAs). Please see the below schedule:

10 Nov - Opportunity Overview - Background on STTR Process 17 Nov - Tech Track A “On-Orbit Object Approach” 1 Dec - Tech Track B “On-Orbit Object Acquisition” 15 Dec - Tech Track C “On-Orbit Object Service” 5 Jan – Open AMA 19 Jan - Open AMA For information regarding these webinars, please visit - https://www.zoomgov.com/webinar/register/WN_U-Ee__jsT-q8jLpbTskG6Q

4.16 Registrations and Certifications

Proposing firms must be registered in the Defense SBIR/STTR Innovation Portal (DSIP) in order to prepare and submit proposals. All users will be required to register for a login.gov account and link it to their DSIP account. To register in Login.gov, click the Login/Register button in the top right corner on the DSIP Submissions homepage and follow the steps to register. If you already have a Login.gov account, you can link your existing Login.gov account with your DSIP account. Job Aids and Help Videos to walk you through the process are in the Learning & Support section of DSIP, here: https://www.dodsbirsttr.mil/submissions/learning-support/training-materials.

Please note that the email address you use for Login.gov should match the email address associated with your existing DSIP account. If you do not recall the email address associated with your DSIP account, or if you already have an existing Login.gov account using a different email address, you will need your Firm’s DUNS number and your Firm PIN in order to link your Login.gov account with your DSIP account. If the email address associated with your existing DSIP account has been used for multiple DSIP accounts within your Firm, you will also need your Firm’s DUNS number and your Firm PIN in order to link your Login.gov account with your DSIP account. The Firm PIN can be obtained from your Firm Admin. You can view the Firm Admin’s contact information by entering your Firm’s DUNS number when prompted. If you are the Firm Admin, please ensure that you contact all DSIP users in your Firm and provide them with the Firm PIN.

It is recommended that you complete your Login.gov setup as soon as possible to avoid any delays in your proposal submissions.

Firms shall register in the System for Award Management (SAM), https://www.sam.gov/, to be eligible for proposal acceptance. Follow instructions therein to obtain a Commercial and Government Entity (CAGE) code and Dunn and Bradstreet (DUNS) number. Firms shall also verify “Purpose of Registration” is set to “I want to be able to bid on federal contracts or other procurement opportunities. I also want to be able to apply for grants, loans, and other financial assistance programs”, NOT “I only want to apply for federal assistance opportunities like grants, loans, and other financial assistance programs.” Firms registered to compete for federal assistance opportunities only at the time of proposal submission will not be considered for award. Addresses must be consistent between the proposal and SAM at award. Previously registered firms are advised to access SAM to ensure all company data is current before proposal submission and, if selected, award.

SAM.gov merged into the modernized beta.SAM.gov environment on May 24, 2021. Legacy SAM.gov has been decommissioned and the new environment has retired the “beta” and is renamed SAM.gov. The system provides a modern portal for entities to register, update, renew, and check the status of their registration in the rebranded SAM.gov. Core functions of SAM and core data has not changed. Entities with an active registration do not need to take action and the process to register to do business with the government has not changed.

In addition to the standard Federal and DoD procurement certifications, the SBA SBIR/STTR Policy Directive requires certain information be collected from firms at…