AFRL RI Specific Proposal Preparation Instructions for Contracts MAY 2023 (Portfolio).pdf

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AFRL/RI - SPECIFIC

PROPOSAL PREPARATION INSTRUCTIONS

MAY 2023

I. General Information

a. This information is to supplement the BAA Guide for Industry.

b. All awards resulting from this announcement will contain the mandatory AFRL standard final technical report Contract Data Requirements List (CDRL) item that requires technical data delivered with less-than-unlimited rights to be contained in a separate appendix to the final technical report. The goal of this standard is to allow AFRL to more widely publish final reports (without the less-than-unlimited-rights appendices).

c. Proposers are cautioned that evaluation ratings may be lowered and/or proposal rejected if proposal preparation (proposal format, content, etc.) and/or submittal instructions are not followed.

d. Certificate of Current Cost or Pricing Data (CCCPD): In accordance with FAR 15.403- 4(a)(1), a CCCPD is required to be submitted by the offeror upon the conclusion of negotiations if the total amount is $2M or more, and none of the exceptions to certified cost or pricing data requirements apply. In accordance with Class Deviation 2022-O0005, contracts, subcontracts, or modifications of contracts or subcontracts valued at less than $7.5M and awarded to a small business or nontraditional defense contractor are included on the list of exceptions to certified cost or pricing data requirements at FAR 15.403-1(b).

These instructions anticipate no exceptions will apply due to the one-of-a-kind nature of research and development work.

e. Proposals should contain four sections (Business, Technical Proposal, Proposed Statement of Work, and Cost). The following is a discussion of required content.

f. AFRL/RI does not expect R&D efforts to qualify for the Technology Incentive Range as defined in DFARS 215.404-71-2(d)(4) when calculating performance risk using the Weighted Guidelines method. The incentive is to be applied for technology innovation for mature, operational, non-prototype type systems only.

g. In accordance with AFRLI 61-113, S&T Protection, Contractors are required to submit with their proposal a Standard Form 424, “Research and Related Senior and Key Person Profile (Expanded) (See Appendix 4 of this document) as well as a Security Program Questionnaire (See Appendix 5 of this document). Complete and submit the required forms with your proposal to the COTR listed in Section VII of the BAA synopsis AND AFRL.RIOF@us.af.mil.

Contractors will be required to provide documentation of their Security Program Plan for initial Institution S&T Protection Program Review. The purpose of requesting the plan is to mailto:AFRL.RIOF@us.af.mil evaluate the offeror’s capacity for protecting the Government’s S&T and failure to demonstrate a plan adequate to meet the needs of the requirement may be grounds for considering the proposal unawardable. In the event a security risk is identified and the Government has determined the security risk exceeds the acceptable threshold, the Contractor/Recipient will be notified and informed of the termination/decline of award.

The Government will be only required to provide a general statement of the reasoning due to Government OPSEC measures.

After award, the Contractor/Recipient will be required to re-submit the Standard Form 424 as an annual requirement to the points of contact listed above.

II. Business Section. This section will provide the following information and any other information deemed relevant. If an item does not apply, please state “N/A”.

a. Validity Period

b. Award Instrument/Contract Type Requested

c. Place of Performance

d. Period of Performance

e. CAGE Code

f. Authorized Negotiators

g. Small Business Subcontracting Plan

1) All proposals over $750,000 received from a large businesses must include a subcontracting plan unless the offeror has a Comprehensive Subcontracting Plan in place. The plan format is outlined in FAR 19.704, but see the “DoD Checklist for Reviewing Subcontracting Plans” found at DFARS PGI 219.705-4 for helpful guidance on what elements are required. If a Master Subcontracting Plan is in place with DCMA, submit a copy of the plan with contract-specific goals.

2) If there are no subcontracting possibilities (either via direct subcontracting to small businesses or via other direct cost or indirect costs), a justification must be included.

Only a Contracting Officer can make this determination, and this will aid them in their determination.

h. Data Rights and Data Rights Identification and Assertion

1) In accordance with DFARS 252.227-7017, Identification and Assertion of Use, Release, or Disclosure Restrictions and as prescribed in 227.7103-3(b), 227.7104(e)(2), or 227.7203-3(a), the IDENTIFICATION AND ASSERTION OF USE, RELEASE, OR DISCLOSURE RESTRICTIONS provision applies. Please complete and include Appendix 1 hereto with your proposal. Also, if applicable, http://www.acq.osd.mil/dpap/dars/dfars/html/current/227_71.htm http://www.acq.osd.mil/dpap/dars/dfars/html/current/227_71.htm http://www.acq.osd.mil/dpap/dars/dfars/html/current/227_72.htm please state any SBIR Data Rights currently in effect, including their start and end date and contract number/Government award they are based on.

2) REMEMBER – this assertion is for deliverables under the proposed contract ONLY.

If the item is used but not part of the end deliverable, do not list it.

3) Each assertion should state where it is being delivered (i.e., technical data under the DATA CLIN as part of the final technical report; software under CLIN XXXX as part of the deliverable).

4) Do not list commercial items with commercial licenses. These should be identified elsewhere.

i. Foreign Participation

1) For each foreign national involved in your effort, either employee or subcontractor/consultant, include visa information. Also, a copy of the DD Form 2345 must be provided, even if fundamental research is proposed.

If the requirement is classified as ITAR or Export Controlled, the resulting contracts shall comply with all U.S. export control laws and regulations, including the ITAR and the Export Administration Regulations (EAR). Offerors are responsible for ensuring that all employees who will work on this contract are eligible under export control and International Traffic in Arms (ITAR) regulations. Any employee who is not a U.S. citizen or a permanent resident may be restricted from working on this contract if the technology is restricted under export control and ITAR regulations unless the prior approval of the Department of State or the Department of Commerce is obtained via a technical assistance agreement or an export license. Violations of these regulations can result in criminal or civil penalties. For further information on ITAR visit https://www.pmddtc.state.gov/ddtc_public?id=ddtc_public_portal_itar_landing.

j. Any Restrictions/Sensitivities regarding the Proposed Deliverables. Provide details on any of the following:

1) Export-Controlled Items/Information

2) Item Unique Identification and Validation

3) Safeguarding of Unclassified Controlled Technical Information

4) Protection of Human Subjects – Institutional Review Board (IRB)

k. Equal Employment Opportunity Pre-Award Compliance (Applicable to awards over

$10M) (FAR 22.805).

l. Address Limitation on Pass-Through Charges, if applicable (FAR 52.215-23).

m. Contractor Business Systems

1) The Government contemplates award of a Cost-Plus-Fixed-Fee (Completion) type contract resulting from this proposal. If you do not have a Government approved accounting system, see the additional instructions on Beta SAM entitled “Adequate Accounting System Guidance” at the link below:

https://sam.gov/opp/e628c811fafe041accdddf55fb8539bf/view?keywords=AFRL-https://www.pmddtc.state.gov/ddtc_public?id=ddtc_public_portal_itar_landing https://sam.gov/opp/e628c811fafe041accdddf55fb8539bf/view?keywords=AFRL-BAA-Guide&sort=-relevance&index=&is_active=true&page

BAA-Guide&sort=-relevance&index=&is_active=true&page= If you are interested in an audit of your accounting system, please complete and include with your proposal the SF 1408- PREAWARD SURVEY OF PROSPECTIVE CONTRACTOR ACCOUNTING SYSTEM (Appendix 2 of this document). If you do not have an approved accounting system, a firm fixed price (FFP) contract might be a viable option, at the Government's discretion. If you wish to pursue a FFP type contract and require milestone payments, please be sure to structure your proposal for payable milestones. If you plan on pursing an audit, please also submit a cost-reimbursement breakout with your FFP proposal showing the rolled up cost elements by year. This will reduce rework and save time should the audit show that your accounting system is adequate to account for costs on a cost-reimbursement basis.

n. Organizational Conflict of Interest, if applicable (FAR 9.5)

o. Subcontractors/Consultants

p. The following additional information should be included for proposals over $2,000,000:

1) Have you been awarded any contracts or subcontracts for the same or similar items within the past 3 years? If yes, identify item(s), customer(s) and contract numbers

2) Will this contract be subject to CASB regulations? If no, explain.

3) Have you submitted a CASB disclosure statement (CASB DS-1 or 2)? If yes, specify the office to which submitted and if determined to be adequate.

4) Have you been notified that you are or may be in noncompliance with your disclosure statement or cost accounting standards? If yes, explain.

5) Is any aspect of this proposal inconsistent with your disclosed practices or applicable cost accounting standards? If yes, explain.

6) When the solicitation requires the submission of certified cost or pricing data, the offeror should complete DFARS 252.215-7009, Proposal Adequacy Checklist. In preparation of the checklist, offerors may elect to have their prospective subcontractors use the same or similar checklist as appropriate to facilitate submission of a thorough, accurate, and complete proposal.

III. Technical Proposal

a. Technical Proposal Structure and Contents: Format of the proposal shall be as follows:

Proposals shall be prepared on 8 ½ x 11 inch paper, single spaced, and have no less than a 1/2-inch margin and a type size of 12 font.

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:

https://sam.gov/opp/e628c811fafe041accdddf55fb8539bf/view?keywords=AFRL-BAA-Guide&sort=-relevance&index=&is_active=true&page http://www.acq.osd.mil/dpap/dars/dfars/html/current/252215.htm#252.215-7009

“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 BAA, the Government cannot identify whether the work under this BAA may be considered fundamental research and may award both fundamental and non-fundamental research. Proposers should indicate in their proposal whether they believe the scope of the research included in their proposal is fundamental or not. While proposers should clearly explain the intended results of their research, the Government shall have sole discretion to select award instrument type and to negotiate all instrument terms and conditions with selectees. Appropriate clauses will be included in resultant awards for non-fundamental research to prescribe publication requirements and other restrictions, as appropriate.

For certain research projects, it may be possible that although the research being performed by the awardee is restricted research, a sub-awardee may be conducting fundamental research. In those cases, it is the awardee’s responsibility to explain in their proposal why its sub-awardee’s effort is fundamental research.

c. CLOUD COMPUTING. In accordance with DFARS Clause 252.239-7010, if the development proposed requires storage of Government, or Government-related data on the cloud, offerors need to ensure that the cloud service provider proposed has been granted Provisional Authorization by the Defense Information Systems Agency (DISA) at the level appropriate to the requirement.

IV. Offeror Statement of Work

a. This document should be a separate section in your proposal. Further guidance on Statement of Work (SOW) preparation can be found at the following link:

https://sam.gov/opp/e628c811fafe041accdddf55fb8539bf/view?keywords=AFRL-BAA- Guide&sort=-relevance&index=&is_active=true&page=

V. Cost Proposal*

a. The Cost Proposal Table of Contents: The Table of Contents, as follows, must be used when preparing cost proposals. Items 1, 2, 3, 4 and 12 are required for all proposals. Do not omit any topics or elements. Round all dollar amounts to the nearest whole number.

Add additional categories as needed. Note as “N/A” any topics below that do not apply.

b. See Appendix 3 for a sample pricing template. USE OF THIS TEMPLATE IS

OPTIONAL AND NOT REQUIRED.

https://sam.gov/opp/e628c811fafe041accdddf55fb8539bf/view?keywords=AFRL-BAA-Guide&sort=-relevance&index=&is_active=true&page https://sam.gov/opp/e628c811fafe041accdddf55fb8539bf/view?keywords=AFRL-BAA-Guide&sort=-relevance&index=&is_active=true&page

COST PROPOSAL

TABLE OF CONTENTS

ITEM PAGE NO.

1. Summary by cost element and fixed fee for total proposal, including yearly breakout of _____ costs by Government fiscal year.

2. Labor summary for total proposal by categories, rates, and hours. List all key personnel ____ by name as well as the number of hours each will dedicate to the project.

3. Explanation of how labor rates are computed including base rates (actuals) and _____ escalation, if any. Provide a copy of any approved rate agreements (Defense Contract Audit Agency (DCAA), Defense Contract Management Agency (DCMA), the Office of Naval Research (ONR) etc. if applicable.

4. Identification of all indirect rates by fiscal year (such as fringe benefits, labor overhead, _____ material overhead, G&A, or F&A, etc.) and the basis for each.

5. Bill of Materials detailing items by type, quantity, unit price, total amount and source _____ of estimate. Provide vendor written quotes or screenshots of material quotes.

6. Summary of all travel, including the purpose and number of trips, origin and destination(s), _____ duration, travelers per trip and all travel costs (air fare, per diem, car rental, etc.).

7. Consultants by name, rate and number of days or hours. Furnish copy of consulting _____ agreement, and identify prior agreement(s) under which the consultant commanded proposed rate, as well as the consultant’s resume.

8. Computer use by type, rate and quantity, if charged direct. _____

9. Other direct costs by type, amount, cost per unit and purpose (specifically identify any _____ costs for printing or publication).

10. DD Forms 1861 (if proposing facilities capital cost of money). _____

11. Subcontractor’s proposal, with prime offeror’s price/cost analysis of subcontractor’s _____ proposal (FAR 15.404-3). If subcontract was not competed, include justification.

12. Forecast of monthly & cumulative dollar commitments for the proposed contract period. _____

13. Interdivisional transfers (detailed breakout of costs). _____

14. If conference attendance is proposed at the Prime or Subcontractor level, provide the _____ following for each conference: the specific conference(s) that attendance to is anticipated, the purpose for attendance, details on how attendance specifically supports the proposed work and mission under the effort, and a quote or basis for the proposed registration fee.

* If proposal is selected, an Excel spreadsheet of proposals may be requested if deemed necessary by evaluators.

c. Subcontractors: Subcontractors’ proposals must be similarly structured. All subcontracted work must be properly identified as such.

If a subcontractor elects to submit an abbreviated proposal to the offeror, it is the offeror’s responsibility to ensure the subcontractor submits a complete proposal (unburden rates, etc.)

directly to the Government’s point of contact.

FAR 15.404-3 requires that the offeror provide an analysis of subcontractors’ cost proposals. To that end, offeror’s proposal must:

(1) Identify principal items/services to be subcontracted.

(2) Identify prospective subcontractors and the basis on which they were selected. If non-competitive, provide selected source justification.

(3) Identify the type of contractual business arrangement contemplated for the subcontract and provide a rationale for same.

(4) Identify the basis for the subcontract costs (e.g., firm quote or engineering estimate, etc).

(5) Identify the cost or pricing data or information other than cost or pricing data submitted by the subcontractor.

(6) Provide an analysis of the proposed subcontract in accordance with FAR 15.404- 3(b). Provide an analysis concerning the reasonableness, realism and completeness of each subcontractor’s proposal. If the analysis is based on comparison with prior prices, identify the basis on which the prior prices were determined to be reasonable. The analysis should include, but not be limited to, an analysis of: materials, labor, travel, other direct costs and proposed profit or fee rates.

NOTE: Failure to provide an adequate analysis of subcontractors’ proposals will result in unplanned delay in award, hamper program execution, and could result in failure to award.

An analysis of the subcontractor’s costs MUST be accomplished and submitted whenever a subcontractor is involved (no dollar limitation).

Please start your prime’s analysis for each subcontractor with the following:

1) A brief description of the supplies or services to be subcontracted.

2) Identification of the type of subcontract to be used (e.g., cost-plus-fixed-fee, firm-fixed-price, etc.) along with justification for the type of subcontract selected. Explain why it makes sense given the work to be performed by the sub and the contract type selected for the prime contract. For other than FFP type subcontracts, the selection needs to consider the adequacy of the subcontractor's accounting system to ensure that it will permit timely development of all necessary cost data in the form required by the proposed contract type.

Some primes think that a T&M type subcontract is a viable alternative to a CPFF type subcontract if the sub doesn't have an adequate accounting system; however, this is not the case. T&M contracts still require an adequate accounting system for accurately tracking number of labor hours expended and material costs incurred. Reference FAR 16.104(i).

Confirm subcontractor accounting systems with DCMA.

3) Rationale for how the subcontractor was chosen (e.g., competitive selection, single source solicited due to unique technical expertise in the area(s) of ______, etc.). Need rationale as to why prime did not compete subcontract if that’s the case.

4) For other than FFP type subcontracts, documentation from the prime to show how they will provide appropriate surveillance of subcontractor performance so as to give reasonable assurance that efficient methods and effective cost controls will be used.

The prime contractor must provide for each subcontractor an analysis that documents the reasonableness, realism and completeness of the subcontractor’s proposal. Analysis should include but not be limited to a statement as to whether the subcontract will be competitively selected or awarded on a sole source basis, an analysis of materials, labor and reasonableness of other direct costs (types and quantities), and proposed fee/profit rates. Merely a statement concerning technical necessity does not demonstrate reasonableness, realism and completeness.

LABOR: Comments should be made concerning the adequacy of the proposed labor hours and mix. The labor rates, which may be fully burdened, should be reviewed and comments should be provided regarding the reasonableness of the rates and how those rates were determined to be reasonable. For instance, proposed rates may be compared to rates negotiated for previous efforts, to the prime’s own similar type rates or to other subcontractor’s similar type proposed rates. The Prime should provide details of the comparison which clearly depicts the specific rates used in the comparison.

MATERIAL: These costs should be reviewed and comments should be made concerning quantities, types and needs of material items. In addition, a value review of the materials should be performed and submitted (is the value of the item commensurate with the effort’s requirement).

TRAVEL: Comments should be made concerning the duration, number of trips, number of travelers and necessity of proposed trips as well as the reasonableness of the per diem rates, air fares, and car rental rates. If conferences are proposed, provide the following details for each conference: the specific conference(s) name(s) anticipated to attend, the purpose of conference attendance and how it specifically supports the proposed work and mission under the effort, and a quote or basis for the proposed conference registration fee.

OTHER DIRECT COSTS: These costs should be reviewed and comments made concerning the necessity and reasonableness of the proposed costs and how the proposed costs were determined to be reasonable.

FEE/PROFIT: Is the fee/profit reasonable for the type effort contemplated? Support your conclusions.

If you take exception to any of the subcontractor’s proposed cost or fee/price elements, highlight these changes in your analysis and incorporate into your cost proposal.

d. Changes to Pricing Proposals: Changes to previously submitted proposals must include documentation indicating how a previously submitted proposal is impacted or affected. If changes to the original proposal are relatively insignificant and involve only minor changes to elements such as labor rates, overhead and General and Administrative (G&A) rates, bill of material changes, travel costs, and Other Direct Costs (ODC’s), these changes can be accomplished through the use of change pages or slip pages accompanied by new cost summaries.

5 Appendices:

Appendix 1 - Identification and Assertion Form Appendix 2 - Pre-award Survey of Prospective Contractor Accounting System Appendix 3- Sample pricing template (for OPTIONAL use) Appendix 4- Standard Form 424, “Research and Related Senior and Key Person Profile (Expanded) Appendix 5-Security Program Questionnaire

Appendix 1

Identification and Assertion of Restrictions on the Government’s Use, Release, or Disclosure of Technical Data or

Computer Software.

The Offeror asserts for itself, or the persons identified below, that the Government’s rights to use, release, or disclose the following technical data or computer software should be restricted:

Technical Data or Computer Software to be Furnished With Restrictions*

Basis for Assertion** Asserted Rights Category***

Name of Person Asserting Restrictions

*For technical data (other than computer software documentation) pertaining to items, component, or processes developed at private expense, identify both the deliverable technical data and each such items, component, or process. For computer software or computer software documentation identify the software or documentation.

**Generally, development at private expense, either exclusively or partially, is the only basis for asserting restrictions.

For technical data, other than computer software documentation, development refers to development of the item, component, or process to which the data pertain. The Government’s rights in computer software documentation generally may not be restricted. For computer software, development refers to the software. Indicate whether development was accomplished exclusively or partially at private expense. If development was not accomplished at private expense, or for computer software documentation, enter the specific basis for asserting restrictions.

***Enter asserted rights category (e.g., government purpose license rights from a prior contract, rights in SBIR data generated under another contract, limited, restricted, or government purpose rights under this or a prior contract, or specially negotiated licenses).

****Corporation, individual, or other person, as appropriate.

When completing this form, enter “NONE” when all data or software will be submitted without restrictions.

Date_________________________

Printed Name and Title_______________________________________________

Signature__________________________________

(End of identification and assertion)

(NOTE: The Offeror must complete and submit this Identification and Assertion as required by paragraph (d) of

DFARS 252.227-7017, IDENTIFICATION AND ASSERTION OF USE, RELEASE, OR DISCLOSURE

RESTRICTIONS.)

Appendix 2

SF1408-14c.pdf

Appendix 3

Pricing Template_Fee.xlsx

Appendix 4

RR_KeyPersonExpand ed_4_0-V4.0 (expires N

Appendix 5

SECURITY

PROGRAM QUESTIO

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Research and Related Senior/Key Person Profile (Expanded)

D:20061211095825- 05'00'

D:20061211095825- 05'00'

Province:

PROFILE - Project Director/Principal Investigator

Prefix:

* First Name:

Middle Name:

* Last Name:

Suffix:

Organization Name:

Division:

Position/Title:

Department:

* Street1:

Street2:

* Phone Number:

Fax Number:

* E-Mail:

Credential, e.g., agency login:

* Project Role:

Other Project Role Category:

* Zip / Postal Code:

* Country:

* State:

County/ Parish:

* City:

Attach Current & Pending Support

RESEARCH & RELATED Senior/Key Person Profile (Expanded)

*Attach Biographical Sketch

OMB Number: 4040-0001

Expiration Date: 11/30/2025

Degree Type:

Degree Year:

Province:

PROFILE - Senior/Key Person

Prefix:

* First Name:

Middle Name:

* Last Name:

Suffix:

Organization Name:

Division:

Position/Title:

Department:

* Street1:

Street2:

* Phone Number:

Fax Number:

* E-Mail:

Credential, e.g., agency login:

* Zip / Postal Code:

* Country:

* State:

County/ Parish:

* City:

* Project Role:

Other Project Role Category:

Degree Type:

Degree Year:

Attach Biographical Sketch

Attach Current & Pending Support

To ensure proper performance of this form; after adding 20 additional Senior/ Key Persons; please save your application, close the Adobe Reader, and reopen it.

ADDITIONAL SENIOR/KEY PERSON PROFILE(S)

Additional Biographical Sketch(es) (Senior/Key Person)

Additional Current and Pending Support(s)

RESEARCH & RELATED Senior/Key Person Profile (Expanded)

Mandatory:

First Name (Senior/Key Person): Enter the first (given) name of the Project Director. This field is required.:

Prefix (Senior/Key Person): Enter the prefix (e.g., Mr., Mrs., Rev.) for the name of the Project Director.:

Middle Name (Senior/Key Person): Enter the middle name of the Project Director.:

Last Name (Senior/Key Person): Enter the last (family) name of the Project Director. This field is required.:

Suffix (Senior/Key Person): Enter the suffix (e.g., Jr, Sr, PhD) for the name of the Project Director.:

Position/Title (Senior/Key Person): Enter the title of the Project Director.:

Department (Senior/Key Person): Enter the name of primary organizational department, service, laboratory, or equivalent level within the organization of the PD/PI.:

Organization Name (Senior/Key Person): Enter the name of organization of the PD/PI.:

Street1 (Senior/Key Person): Enter the first line of the street address for the Project Director in the "Street 1" field. This field is required. :

City (Senior/Key Person): Enter the city for address of Project Director. This field is required.:

County (Senior/Key Person): Enter the county/parish for address of Project Director.:

Division (Senior/Key Person): Enter the name of primary organizational division, office, or major subdivision of the PD/PI.:

Street2 (Senior/Key Person): Enter the second line of the street address for the Project Director in the "Street 2" field. This field is optional.:

Province (Senior/Key Person): Enter the Province where the Project Director is located.:

Credential (e.g., agency login) (Senior/Key Person): If you are submitting to an agency (e.g., NIH) where you have an established personal profile, enter the agency ID. If not, leave blank.:

State (Senior/Key Person): Select the state where the Project Director is located. This field is required if the Project Director is located in the United States.:

ZIP / Postal Code (Senior/Key Person): Enter the postal Code (e.g., ZIP code) of Project Director. This field is required if the Project Director is located in the United States.:

Country (Senior/Key Person): Select the country for the Project Director address. This field is required.:

Phone Number (Senior/Key Person): Enter the daytime phone number for the Project Director. This field is required.:

Fax Number (Senior/Key Person): Enter the fax number for the Project Director.:

Email Address (Senior/Key Person): Enter the e-mail address for the Project Director. This field is required for Project Director.:

Project Role (Senior/Key Person): Select one. Use "Other" if a category is not listed in the pick list. This field is required.:

Other Project Role Category (Senior/Key Person): Complete if you have selected "Other Professional" or "Other" as a project role; e.g., Engineer, Chemist.:

Degree Type: Enter the highest academic or professional degree or other credentials (e.g., RN).:

Degree Year: Enter the year the highest degree or other credential was obtained.:

Attach Biographical Sketch (Senior/Key Person): Provide a biographical sketch for the senior/key person. Recommended information includes: Education and Training, Research and Professional Experience, Collaborators and Affiliations (for conflicts of interest), Publications and Synergistic Activities. Save the information in a single file and attach here. This field is optional.:

View Attachment: Click here to view the attachment.:

Delete Attachment: Click here to delete the attachment.:

Attach Biographical Sketch (Senior/Key Person) - Add Attachment: Provide a biographical sketch for the senior/key person. Recommended information includes: Education and Training, Research and Professional Experience, Collaborators and Affiliations (for conflicts of interest), Publications and Synergistic Activities. Save the information in a single file and attach here. This field is optional.:

ADDITIONAL SENIOR/KEY PERSON PROFILE(S): If more than 99 senior/key person profiles are proposed, provide the information requested in a separate file and attach here.:

ADDITIONAL SENIOR/KEY PERSON PROFILE(S) - Add Attachment: If more than 99 senior/key person profiles are proposed, provide the information requested in a separate file and attach here.:

Delete Attachment: Click here to delete the attachment.:

View Attachment: Click here to view the attachment.:

FileName:

MimeType:

href:

hashAlgorithm:

HashValue_data:

Suffix (Senior/Key Person): Enter the suffix (e.g., Jr, Sr, PhD) for the name of the Senior/Key Person.:

Middle Name (Senior/Key Person): Enter the middle name of the Senior/Key Person.:

Prefix (Senior/Key Person): Enter the prefix (e.g., Mr., Mrs., Rev.) for the name of the Senior/Key Person.:

Position/Title (Senior/Key Person): Enter the title of the Senior/Key Person.:

Organization Name (Senior/Key Person): Enter the name of organization of the Senior/Key Person.:

County (Senior/Key Person): County/ Parish for address of Senior/Key Person.:

Street2 (Senior/Key Person): Enter second line of the street address for the Senior/Key Person in the "Street 2" field. This field is optional.:

Division (Senior/Key Person): Enter the name of primary organizational division, office, or major subdivision of the Senior/Key Person.:

Department (Senior/Key Person): Enter the name of primary organizational department, service, laboratory, or equivalent level within the organization of the Senior/Key Person.:

Province (Senior/Key Person): Enter the Province where Senior/Key Person is located.:

Country (Senior/Key Person): Select the country for the Senior/Key Person address. This field is required.: USA: UNITED STATES

Delete Entry: Click to delete this Senior/Key Person entry.:

Next Person: Click to add another Senior/Key Person entry.:

Credential (e.g., agency login) (Senior/Key Person): If you are submitting to an agency (e.g., NIH) where you have an established personal profile, enter the agency ID. If not, leave blank.:

Fax Number (Senior/Key Person): Enter the fax number for the Senior/Key Person.:

First Name (Senior/Key Person): Enter first (given) name of the Senior/Key Person. This field is required.:

Last Name (Senior/Key Person): Enter the last (family) name of the Senior/Key Person. This field is required.:

Street1 (Senior/Key Person): Enter first line of the street address for the Senior/Key Person in the "Street 1" field. This field is required.:

City (Senior/Key Person): City for address of Senior/Key Person. This field is required.:

State (Senior/Key Person): Enter the State where the Senior/Key Person is located. This field is required if the Senior/Key Person is located in the United States.:

ZIP / Postal Code (Senior/Key Person): Enter the Postal Code (e.g., ZIP code) of Senior/Key Person. This field is required if the Senior/Key Person is located in the United States.:

Phone Number (Senior/Key Person): Enter the daytime phone number for the Senior/Key Person. This field is required.:

Email Address (Senior/Key Person): Enter the e-mail address for the Senior/Key Person. This field is required.:

Project Role (Senior/Key Person): Select one. Use "Other" if a category is not listed in the pick list. This field is required.: PD/PI

Other Project Role Category (Senior/Key Person): Complete if you have selected "Other Professional" or "Other" as a project role; e.g., Engineer, Chemist.:

recordno:

DataEntered:

cheat:

Degree Type: Enter the highest academic or professional degree or other credentials (e.g., RN).:

Degree Year: Enter the year the highest degree or other credential was obtained.:

Additional Biographical Sketch(es) (Senior/Key Person): Provide a biographical sketch for each senior/key person. Recommended information includes: Education and Training, Research and Professional Experience, Collaborators and Affiliations (for conflicts of interest), Publications and Synergistic Activities. Save the information in a single file and attach here.:

Additional Biographical Sketch(es) (Senior/Key Person) - Add Attachment: Provide a biographical sketch for each senior/key person. Recommended information includes: Education and Training, Research and Professional Experience, Collaborators and Affiliations (for conflicts of interest), Publications and Synergistic Activities. Save the information in a single file and attach here.:

Delete Attachment: Click here to delete the attachment.:

View Attachment: Click here to view the attachment.:

Additional Current and Pending Support(s): Provide a list of all current and pending support for the PI and each senior/key person (even if they receive no salary support from the project(s)) for ongoing projects and pending proposals. Show the total award amount for the entire award period (including indirect costs) as well as the number of person-months per year to be devoted to the project by the senior/key person, regardless of source of support. Concurrent submission of a proposal to other organizations will not prejudice its review. :

Additional Current and Pending Support(s) - Add Attachment: Provide a list of all current and pending support for the PI and each senior/key person (even if they receive no salary support from the project(s)) for ongoing projects and pending proposals. Show the total award amount for the entire award period (including indirect costs) as well as the number of person-months per year to be devoted to the project by the senior/key person, regardless of source of support. Concurrent submission of a proposal to other organizations will not prejudice its review. :

Delete Attachment: Click here to delete the attachment.:

View Attachment: Click here to view the attachment.:

SECURITY PROGRAM QUESTIONNAIRE

Objective: This questionnaire is used to review the security program and practices of the institutions receiving research funding.

Intended Audience/User: Completed by Contractor/Recipient; reviewed by S&T Protection Lead.

Date Submitted:

Applicant Name:

Cage Code/SCL and level (if applicable):

Completed by Name:

Position/Title:

1. What are your physical security plans?

2. What information security processes are in place?

3. Where will information for this effort be stored? (examples: computers, cloud, file cabinets, etc.)

4. What procedures are in place for transmission/transportation of information for this effort?

5. What procedures are in place for disposal and destruction of information for this effort?

6. What procedures are in place for reproduction of information for this effort?

7. What safeguards are in place for personnel who can access information for this effort?

8. What is the plan for safeguarding GFE/GFI?

9. What procedures are in place for cybersecurity or network protection?

10. What operations security processes are in place to prevent adversaries’ access to information for this effort or actions that would compromise your projects?

11. What processes are in place to deter, detect, and mitigate actions of insider threat?

12. What procedures are in place to handle if information for this effort is compromised?

13. Are you willing to provide AFRL S&T Protection training to all personnel with access annually?

Additional comments:

SECTION I - RECOMMENDATION

YES

YES, WITH A RECOMMENDATION THAT A FOLLOW ON ACCOUNTING SYSTEM REVIEW BE PERFORMED AFTER CONTRACT AWARD (Explain in 2. NARRATIVE)

NO (Explain in 2. NARRATIVE)

PREAWARD SURVEY OF

PROSPECTIVE CONTRACTOR

(ACCOUNTING SYSTEM)

SERIAL NUMBER (For surveying activity use)

PROSPECTIVE CONTRACTOR

OMB Control Number: 9000-0011 Expiration Date: 12/31/2020

Paperwork Reduction Act Statement - This information collection meets the requirements of 44 U.S.C. § 3507, as amended by section 2 of the Paperwork Reduction Act of 1995. You do not need to answer these questions unless we display a valid Office of Management and Budget (OMB) control number. The OMB control number for this collection is 9000-0011. We estimate that it will take 24 hours to read the instructions, gather the facts, and answer the questions.

Send only comments relating to our time estimate, including suggestions for reducing this burden, or any other aspects of this collection of information to: U.S.

General Services Administration, Regulatory Secretariat Division (M1V1CB), 1800 F Street, NW, Washington, DC 20405.

1. PROSPECTIVE CONTRACTOR'S ACCOUNTING SYSTEM IS ACCEPTABLE FOR AWARD OF PROSPECTIVE CONTRACT

2. NARRATIVE (Clarification of deficiencies and other pertinent comments. If additional space is required, continue on plain sheets of paper.)

IF CONTINUATION SHEETS

ATTACHED - MARK HERE

b. TELEPHONE NUMBER (include area code)

b. TELEPHONE NUMBER (include area code)

c. DATE SIGNED

c. DATE REVIEWED

3. SURVEY

MADE BY

4. SURVEY

REVIEWING

OFFICIAL

a. SIGNATURE AND OFFICE (Include typed or printed name)

a. SIGNATURE AND OFFICE (Include typed or printed name)

AUTHORIZED FOR LOCAL REPRODUCTION

Previous edition is NOT usable

STANDARD FORM 1408 (REV. 1/2014)

Prescribed by GSA FAR (48 CFR) 53.209 -1(f)

SECTION II - EVALUATION CHECKLIST

MARK "X" IN THE APPROPRIATE COLUMN (Explain any deficiencies in SECTION I NARRATIVE) YES NO

NOT

APPLI-

CABLE

1. EXCEPT AS STATED IN SECTION I NARRATIVE, IS THE ACCOUNTING SYSTEM IN ACCORD WITH

GENERALLY ACCEPTED ACCOUNTING PRINCIPLES APPLICABLE IN THE CIRCUMSTANCES?

2. ACCOUNTING SYSTEM PROVIDES FOR:

a. Proper segregation of direct costs from indirect costs.

b. Identification and accumulation of direct costs by contract.

c. A logical and consistent method for the allocation of indirect costs to intermediate and final cost objectives. (A contract is final cost objective.)

d. Accumulation of costs under general ledger control.

e. A timekeeping system that identifies employees' labor by intermediate or final cost objectives.

f. A labor distribution system that charges direct and indirect labor to the appropriate cost objectives.

g. Interim (at least monthly) determination of costs charged to a contract through routine posting of books of account.

h. Exclusion from costs charged to government contracts of amounts which are not allowable in terms of FAR 31, Contract Cost Principles and Procedures, or other contract provisions.

i. Identification of costs by contract line item and by units (as if each unit or line item were a separate contract) if required by the proposed contract.

j. Segregation of preproduction costs from production costs.

3. ACCOUNTING SYSTEM PROVIDES FINANCIAL INFORMATION:

a. Required by contract clauses concerning limitation of cost (FAR 52.232-20 and 21) or limitation on payments

(FAR 52.216-16).

b. Required to support requests for progress payments.

4. IS THE ACCOUNTING SYSTEM DESIGNED, AND ARE THE RECORDS MAINTAINED IN SUCH A MANNER THAT ADEQUATE, RELIABLE DATA ARE DEVELOPED FOR USE IN PRICING FOLLOW-ON ACQUISITIONS?

5. IS THE ACCOUNTING SYSTEM CURRENTLY IN FULL OPERATION?

(If not, describe in Section I Narrative which portions are

(1) in operation, (2) set up, but not yet in operation,

(3) anticipated, or (4) nonexistent.)

STANDARD FORM 1408 (REV. 1/2014) BACK

SECTION I - RECOMMENDATION

YES

YES, WITH A RECOMMENDATION THAT A FOLLOW ON ACCOUNTING SYSTEM REVIEW BE PERFORMED AFTER CONTRACT AWARD

(Explain in 2. NARRATIVE)

NO (Explain in 2. NARRATIVE)

PREAWARD SURVEY OF

PROSPECTIVE CONTRACTOR

(ACCOUNTING SYSTEM)

SERIAL NUMBER (For surveying activity use)

PROSPECTIVE CONTRACTOR

OMB Control Number: 9000-0011

Expiration Date: 12/31/2020

Paperwork Reduction Act Statement - This information collection meets the requirements of 44 U.S.C. § 3507, as amended by section 2 of the Paperwork Reduction Act of 1995. You do not need to answer these questions unless we display a valid Office of Management and Budget (OMB) control number. The OMB control number for this collection is 9000-0011. We estimate that it will take 24 hours to read the instructions, gather the facts, and answer the questions. Send only comments relating to our time estimate, including suggestions for reducing this burden, or any other aspects of this collection of information to: U.S. General Services Administration, Regulatory Secretariat Division (M1V1CB), 1800 F Street, NW, Washington, DC 20405.

1. PROSPECTIVE CONTRACTOR'S ACCOUNTING SYSTEM IS ACCEPTABLE FOR AWARD OF PROSPECTIVE CONTRACT

2. NARRATIVE (Clarification of deficiencies and other pertinent comments. If additional space is required, continue on plain sheets of paper.)

IF CONTINUATION SHEETS

ATTACHED - MARK HERE

b. TELEPHONE NUMBER (include area code)

b. TELEPHONE NUMBER (include area code)

c. DATE SIGNED

c. DATE REVIEWED

3. SURVEY MADE BY

4. SURVEY REVIEWING OFFICIAL

a. SIGNATURE AND OFFICE (Include typed or printed name)

a. SIGNATURE AND OFFICE (Include typed or printed name)

AUTHORIZED FOR LOCAL REPRODUCTION

Previous edition is NOT usable

STANDARD FORM 1408 (REV. 1/2014)

Prescribed by GSA FAR (48 CFR) 53.209 -1(f)

SECTION II - EVALUATION CHECKLIST

MARK "X" IN THE APPROPRIATE COLUMN (Explain any deficiencies in SECTION I NARRATIVE)

YES

NO

NOT APPLI-CABLE

1. EXCEPT AS STATED IN SECTION I NARRATIVE, IS THE ACCOUNTING SYSTEM IN ACCORD WITH GENERALLY ACCEPTED ACCOUNTING PRINCIPLES APPLICABLE IN THE CIRCUMSTANCES?

2. ACCOUNTING SYSTEM PROVIDES FOR:

a. Proper segregation of direct costs from indirect costs.

b. Identification and accumulation of direct costs by contract.

c. A logical and consistent method for the allocation of indirect costs to intermediate and final cost objectives. (A contract is final cost objective.)

d. Accumulation of costs under general ledger control.

e. A timekeeping system that identifies employees' labor by intermediate or final cost objectives.

f. A labor distribution system that charges direct and indirect labor to the appropriate cost objectives.

g. Interim (at least monthly) determination of costs charged to a contract through routine posting of books of account.

h. Exclusion from costs charged to government contracts of amounts which are not allowable in terms of FAR 31, Contract Cost Principles and Procedures, or other contract provisions.

i. Identification of costs by contract line item and by units (as if each unit or line item were a separate contract) if required by the proposed contract.

j. Segregation of preproduction costs from production costs.

3. ACCOUNTING SYSTEM PROVIDES FINANCIAL INFORMATION:

a. Required by contract clauses concerning limitation of cost (FAR 52.232-20 and 21) or limitation on payments

(FAR 52.216-16).

b. Required to support requests for progress payments.

4. IS THE ACCOUNTING SYSTEM DESIGNED, AND ARE THE RECORDS MAINTAINED IN SUCH A MANNER THAT ADEQUATE, RELIABLE DATA ARE DEVELOPED FOR USE IN PRICING FOLLOW-ON ACQUISITIONS?

5. IS THE ACCOUNTING SYSTEM CURRENTLY IN FULL OPERATION?(If not, describe in Section I Narrative which portions are

(1) in operation, (2) set up, but not yet in operation,

(3) anticipated, or (4) nonexistent.)

STANDARD FORM 1408 (REV. 1/2014) BACK

8.2.1.3144.1.471865.466429

Standard Form 1408 - Preaward Survey of Prospective Contractor (Accounting System)

PROSPECTIVE CONTRACTOR:

IF CONTINUATION SHEETS ATTACHED - MARK HERE: 0

1. PROSPECTIVE CONTRACTOR'S ACCOUNTING SYSTEM IS ACCEPTABLE FOR AWARD OF PROSPECTIVE CONTRACT. YES: 0

1. PROSPECTIVE CONTRACTOR'S ACCOUNTING SYSTEM IS ACCEPTABLE FOR AWARD OF PROSPECTIVE CONTRACT. YES, WITH A RECOMMENDATION THAT A FOLLOW ON ACCOUNTING SYSTEM REVIEW BE PERFORMED AFTER CONTRACT AWARD (Explain in 2. NARRATIVE): 0

1. PROSPECTIVE CONTRACTOR'S ACCOUNTING SYSTEM IS ACCEPTABLE FOR AWARD OF PROSPECTIVE CONTRACT. NO (Explain in 2. NARRATIVE): 0

SERIAL NUMBER (For surveying activity use):

2. NARRATIVE (Clarification of deficiencies, and other pertinent comments,. If additional space is required, continue on plain sheets of paper.):

4. SURVEY REVIEWING OFFICIAL. a. SIGNATURE AND OFFICE (include, typed or printed name) (Typed name):

3. SURVEY MADE BY. a. SIGNATURE AND OFFICE (include, typed or printed name) (Typed name):

c. DATE REVIEWED. Enter 2 digit month, 2 digit day and 4 digit year.:

c. DATE SIGNED. Enter 2 digit month, 2 digit day and 4 digit year.:

b. TELEPHONE NUMBER (include area code):

b. TELEPHONE NUMBER (include area code):

4. Survey Reviewing Official. (a) Signature and Office. Sign here if you are the Survey Reviewing Official.:

1. EXCEPT AS STATED IN SECTION I NARRATIVE, IS THE ACCOUNTING SYSTEM IN ACCORD WITH GENERALLY ACCEPTED ACCOUNTING PRINCIPLES APPLICABLE IN THE CIRCUMSTANCES? YES.: 0

a. Proper segregation of direct costs from indirect costs. YES.: 0

b. Identification and accumulation of direct costs by contract. YES.: 0

c. A logical and consistent method for the allocation of indirect costs to intermediate and final cost objectives. (A contract is final cost objective.) YES.: 0

1. EXCEPT AS STATED IN SECTION I NARRATIVE, IS THE ACCOUNTING SYSTEM IN ACCORD WITH GENERALLY ACCEPTED ACCOUNTING PRINCIPLES APPLICABLE IN THE CIRCUMSTANCES? NO.: 0

a. Proper segregation of direct costs from indirect costs. NO.: 0

b. Identification and accumulation of direct costs by contract. NO.: 0

c. A logical and consistent method for the allocation of indirect costs to intermediate and final cost objectives. (A contract is final cost objective.) NO.: 0

1. EXCEPT AS STATED IN SECTION I NARRATIVE, IS THE ACCOUNTING SYSTEM IN ACCORD WITH GENERALLY ACCEPTED ACCOUNTING PRINCIPLES APPLICABLE IN THE CIRCUMSTANCES? NOT APPLICABLE.: 0

a. Proper segregation of direct costs from indirect costs. NOT APPLICABLE.: 0

b. Identification and accumulation of direct costs by contract. NOT APPLICABLE. : 0

c. A logical and consistent method for the allocation of indirect costs to intermediate and final cost objectives. (A contract is final cost objective.) NOT APPLICABLE. : 0

d. Accumulation of costs under general ledger control. YES.: 0

e. A timekeeping system that identifies employees' labor by intermediate or final cost objectives. NOT APPLICABLE.: 0

f. A labor distribution system that charges direct and indirect labor to the appropriate cost objectives. YES.: 0

g. Interim (at least monthly) determination of cost charged to a contract through routine posting of books of account. NOT APPLICABLE.: 0

h. Exclusion from costs charged to government contracts of amounts which are not allowable in terms of FAR 31, Contract Cost Principles and Procedures, or other contract provisions. YES.: 0

i. Identification of costs by contract line item and by units (as if each unit or line item were a separate contract) if required by the proposed contract. NOT APPLICABLE.: 0

j. Segregation of preproduction costs from production costs. YES.: 0

a. Required by contract clauses concerning limitation of cost (FAR 52.232-20 and 21) or limitation on payments (FAR 52.216-16). NOT APPLICABLE.: 0

b. Required to support request for progress payments. YES : 0

4. IS THE ACCOUNTING SYSTEM DESIGNED, AND ARE THE RECORDS MAINTAINED IN SUCH A MANNER THAT ADEQUATE, RELIABLE DATA ARE DEVELOPED FOR USE IN PRICING FOLLOW-ON ACQUISITIONS? NOT APPLICABLE.:

5. IS THE ACCOUNTING SYSTEM CURRENTLY IN FULL OPERATION? YES

(If not,…