Att 4 - AFRL Solicitation Language for Security Risk Review.pdf

FA8652-26-S-C003

AFRL Enterprise CSO

Attachment 4

Air Force Research Laboratory (AFRL) 1 Solicitation Language for Security Risk Review – AFRLI 61-113 2

I. Notice of Intent. 4

(a) Security Risk Review. The Security Risk Review is applied to federally funded research designed 5 to help protect Department of the Air Force Science and Technology (S&T) by identifying possible 6 vectors of undue foreign influence. AFRL will follow all policy and procedures outlined in Air Force 7 Research Laboratory (AFRL) Instruction AFRLI 61-113, Science and Technology Protection for the 8 Air Force Research Laboratory and Department of the Air Force Instruction DAFI 63-101/20-101, 9 Integrated Lifecycle Management. 10

(b) Security risk review for these subject proposals will be developed for all proposed Senior/Key 11 personnel and “Covered Individuals”. These risk reviews will be based on information disclosed in a 12 Research and Related Senior and Key Person Profile and Security Questionnaire. In addition, any 13 accompanying or referenced documents, publicly available information, and information contained in 14 internal U.S. Government databases will be utilized in risk reviews. Nationality or citizenship is not a 15 factor in the security risk reviews. 16

(c) When considering all external engagements, AFRL incorporates a holistic decision-making 17 process that encompasses technical and security factors. The security review method implemented by 18 AFRL measures risk factors to identify the appropriate Risk Acceptance Level (RAL) within the 19 organization. The objective analysis of the security risk factors is conducted to empower AFRL’s 20 S&T leaders to make risk-informed decisions. The review process generally looks at five factors, or 21 risk areas, but with authority for expanded review as noted in OSD R&E Memorandum dated 6 Jun 22 2023. The potential security risk factors are set forth below: 23

Potential security risk factors: 24

II. Actions Required by Recipients and/or Offerors/Contractors at proposal submission. 26

(a) In accordance with AFRLI 61-113, S&T Protection, Recipients and/or Offerors/Contractors are 27 required to submit the following documentation with their proposal: 28

(1) RESERVED 29

(2) Contract or Other Transaction Agreement (OTA) proposals: 30

(i) Research and Related Senior and Key Person Profile Worksheet (See Appendix 3) AND; 31

(ii) Security Program Questionnaire (See Appendix 2) AND; 32

(iii) “Privacy Act Statement” consent form for each Covered Individual that is also signed by 33 the Recipient as that Individual’s Sponsor. (See “Covered Individual” section below, and Appendix 4) 34

(3) In the event a security risk is identified, and the Government has determined the security risk 35 exceeds the acceptable threshold, the Recipient and/or Offeror/Contractor will be notified and 36 informed of the decline of award. The Government will provide as much rationale for the 37 decision as Government OPSEC measures allow for. 38

(4) By submission of the Research and Related Senior Key Person Profile and Security Program 39 Questionnaire, the Recipient and/or Offeror/Contractor agrees to comply with the following: 40

(i) To certify that each covered individual who is listed has been made aware: 1) of all 41 relevant disclosure requirements, including the requirements of 42 U.S.C. § 6605; and 2) that false 42 representations may be subject to prosecution and liability pursuant to, but not limited to, 18 U.S.C. 43 §§287, 1001, 1031 and 31 U.S.C. §§ 3729-3733 and 3802. See National Science and Technology 44 Council Guidance for Implementing National Security Presidential Memorandum 33 (NSPM-33) on 45 National Security Strategy for United States Government-Supported Research and Development 46 (January 2022). 47

(ii) To establish and maintain an internal process or procedure to address foreign talent 48 programs, conflicts of commitment, conflicts of interest, and research integrity. 49

(iii) To exercise due diligence to identify Foreign Components or participation by Senior/Key 50 Personnel in Foreign Government Talent Recruitment Programs and agree to share such information 51 with the Government upon request. 52

III. Actions Required by Covered Individuals. 53

(a) Covered Individual. An individual who contributes to a substantive, meaningful way to the 54 scientific development or execution of a research and development project proposed to be carried out 55 with a research and development award from a federal research agency; and is designated as a 56 covered individual by the federal research agency concerned. See 42 U.S.C. § 6605, Definitions. 57

(b) Federal law requires that all current and pending research support, as defined by 42 U.S.C. §6605, 58 must be disclosed at the time of proposal submission, for all covered individuals. The Government 59 may require an updated disclosure during the performance of any research project selected for 60 funding. The Government will require an updated disclosure whenever covered individuals are added 61 or identified as performing under the funded project. 62

(c) Covered Individuals are also required to sign the “Privacy Act Statement” and provide such 63 signed statement to the Recipient and/or Offeror/Contractor for submission with the proposal. (See 64 Appendix 4) 65

(d) Any decision to accept a proposal for funding under this announcement/solicitation will include 66 full reliance on the individual’s statements. Failure to report fully and completely all sources of 67 project support and outside positions and affiliations may be considered a material statement within 68 the meaning of the False Claims Act, 31 U.S.C. 3729, and constitute a violation of Federal law. 69

IV. Actions required by Recipients and/or Offerors/Contractors during period of performance: 70

(a) Recipient and/or Offeror/Contractor will be required to re-submit the Research and Related 71 Senior and Key Person Profile as an annual requirement. In addition, whenever a new covered 72 individual(s) is to be added or identified as performing under the funded project, a new Research and 73 Related Senior and Key Person Profile will be required prior to continued performance. 74

(b) If, at any time, during performance of this award, the Recipient and/or Offeror/Contractor learns 76 that its Senior/Key Research Personnel (including any sub awardee personnel who receive this 77 designation) are or are believed to be participants in a Foreign Government Talent Program or have 78 Foreign Components with a strategic competitor or country with a history of targeting U.S. 79 technology for unauthorized transfer, the Recipient and/or Offeror/Contractor will notify the 80 Contracting/ Agreements Officer within 5 business days of awareness. 81

(c) This disclosure must include specific information as to the personnel involved and the nature of 83 the situation and relationship. The Government will review this information and conduct any 84 necessary fact-finding or discussion with the Recipient and/or Offeror/Contractor. The Government’s 85 determination on disclosure may include acceptance, mitigation, or termination of the award. 86

(d) Failure of the Recipient and/or Offeror/Contractor to reasonably exercise due diligence to 88 discover or ensure that neither it nor any of its Senior/Key Research Personnel involved in the 89 subject award are participating in a Foreign Government Talent Program or have a Foreign 90 Component with a strategic competitor or country with a history of targeting U.S. technology for 91 unauthorized transfer may result in the Government exercising remedies in accordance with federal 92 law and regulation. 93

(e) The Recipient and/or Offeror/Contractor will be required to flow down this requirement to all 95 sub awardees/contractors who have personnel designated as Senior/Key Research Personnel as a 96 result of their involvement in the performance of the research. 97

Appendices: 100

Appendix 1: RESERVED; 101 Appendix 2: Security Program Questionnaire; 102 Appendix 3: Research and Related Senior and Key Person Profile Worksheet; 103 Appendix 4: “Privacy Act Statement” consent form for each Covered Individual that is also signed by 104 the Recipient as that Individual’s Sponsor 105