Attachment 1_BAA Final.docx

DEPARTMENT OF DEFENSE (DoD)

SMALL BUSINESS INNOVATION RESEARCH (SBIR) PROGRAM

AFLCMC/HI Business and Enterprise Systems (BES) Pitch Day Broad Agency Announcement (BAA)

FA8771-20-S-0001

April 30, 2020: DoD begins accepting proposals

May 29, 2020: Deadline for receipt of proposals no later than 4:00 p.m. EST

1.0 INTRODUCTION

The United States Air Force Business and Enterprise Systems (BES) Directorate, hereafter also referred to as DoD Component, invites small business firms to submit proposals to this BAA for SBIR Phase I awards for the Air Force BES Pitch Day. Each BES Pitch Day Topic (detailed in Section 7.0) revolves around trying to further reduce obstacles and rapidly develop and field technology relevant to specific BES needs.

Offerors should take note of the unique technical duration, award amount and proposal submission requirements listed in Section 4.0. Each Phase I proposal shall include the volumes detailed in Section 5.0. All small business proposals will be evaluated in a 2-part process.

The evaluation process is as follows:

1. The first evaluation will utilize the Evaluation Criteria provided in Section 6.0 of this BAA. Once the evaluations are complete, all offerors will be notified as to whether or not they will be invited to pitch their proposal at the BES Virtual Pitch Day event. Note: The Government reserves the right to forgo the Virtual Pitch Day event and award based on the initial proposals submitted.

1. The second evaluation will occur, for the chosen offerors, during the BES Virtual Pitch Day event by a panel of evaluators from BES. Offerors that are selected will receive an invitation to make a virtual oral pitch via commercial tools such as Zoom, WebEx, etc.

1. Requirements for a reduced slide deck and video conferencing will be provided to offerors following their successful proposal selection from the first evaluation.

1. When the second evaluations are completed, all offerors will be immediately (same day) notified as to whether they were selected or not selected for a Phase I award.

In order to be eligible to receive an award, the offeror must meet the following criteria:

· The offeror submitted a successful Phase 1 proposal (passed both parts of the evaluation process).

· The offeror has a company representative present with authority to bind the small business (offeror) into a contract with another entity (DoD Component). The person of signatory authority is prepared to sign and receive a purchase order at the conclusion of the offerors’ oral presentation.

· An offeror must be able to accept an initial contract payment through a Government Purchase Card (GPC).

· An offeror must be registered in the System for Award Management (SAM), https://www.sam.gov/, you will not be eligible for an award if not registered. Additionally, verify that you are registered to receive contracts (not just grants) and that your address matches between your proposal and SAM.

While information about the Phase II proposal process is covered in this announcement, this BAA is for Phase I proposals only. A separate solicitation for Phase II proposals will occur following the Phase 1 awards. The details on the due date, content, and submission requirements of the Phase II proposals will be provided by the DoD Component either in the Phase I award or by subsequent notification. All firms that are awarded Phase I awards originating from this BAA will be eligible to participate in Phase II and potential Phase III.

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

2.0 SBIR PROGRAM DESCRIPTION

2.1 Objectives

The objectives of the DoD SBIR Program include stimulating technological innovation, strengthening the role of small business in meeting DoD research and development needs, fostering and encouraging participation by minority and disadvantaged persons in technological innovation, and increasing the commercial application of DoD-supported research or research and development results.

The topics in this BAA detailed in Section 7.0 address BES’s top priority technology focus areas.

The BES Technology Focus Areas of interest are:

1. IT Modernization

2. Standards and Integration

The DoD SBIR Program follows the policies and practices of the Small Business Administration (SBA) SBIR Policy Directive updated on February 24, 2014. The guidelines presented in this BAA incorporate and make use of the flexibility of the SBA SBIR Policy Directive to encourage proposals based on scientific and technical approaches most likely to yield results important to the DoD and the private sector. The SBIR Policy Directive is available at: https://www.sbir.gov/sites/default/files/SBIR-STTR_Policy_Directive_2019.pdf.

2.2 Three Phase Program

The SBIR Program is a three-phase program. Phase I is to determine, to the extent possible, the scientific, technical, and commercial merit and feasibility of ideas submitted under the SBIR Program. Proposals should concentrate on research or research and development which will significantly contribute to proving the scientific and technical feasibility, and commercialization potential of the proposed effort, the successful completion of which is a prerequisite for further DoD support in Phase II. Proposers are encouraged to consider whether the research or research and development being proposed to DoD Components also has private sector potential, either for the proposed application or as a base for other applications.

Phase II awards will be made to firms on the basis of results of their Phase I effort and/or the scientific merit, technical merit, and commercialization potential of the Phase II proposal. Phase II is the principal research or research and development effort and is expected to produce a well-defined deliverable prototype. A Phase II contractor may receive up to one additional, sequential Phase II award for continued work on the project.

Under Phase III, the Proposer is required to obtain funding from either the private sector, a non-SBIR Government source, or both, to develop the prototype into a viable product or non-R&D service for sale in military or private sector markets. SBIR Phase III refers to work that derives from, extends, or completes an effort made under prior SBIR funding agreements, but is funded by sources other than the SBIR Program. Phase III work is typically oriented towards commercialization of SBIR research or technology.

3.0 DEFINITIONS

The following definitions from the SBA SBIR Policy Directive and the Federal Acquisition Regulation (FAR) apply for the purposes of this BAA:

3.1 Performance Benchmarks for Progress Toward Commercialization

In accordance with the SBA SBIR Policy Directive Sec 4.(a)(3), DoD established a threshold for the application of a benchmark where it is applied only to Phase I applicants that have received more than twenty (20) awards over the prior five (5) fiscal years as determined by the Small Business Administration. The ratio of Phase II awards received to Phase I awards received during this period must be at least 0.25.

Additional information on performance benchmarking for Phase I applicants can be found at https://www.sbir.gov/performance-benchmarks.

3.2 Commercialization

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

3.3 Essentially Equivalent Work

Work that is substantially the same research, which is proposed for funding in more than one contract proposal or grant application submitted to the same Federal agency or submitted to two or more different Federal agencies for review and funding consideration; or work where a specific research objective and the research design for accomplishing the objective are the same or closely related to another proposal or award, regardless of the funding source.

3.4 Export Control

The International Traffic in Arms Regulations (ITAR), 22 CFR Parts 120 through 130, and the Export Administration Regulations (EAR), 15 CFR Parts 730 through 799, will apply to all projects with military or dual-use applications that develop beyond fundamental research, which is basic and applied research ordinarily published and shared broadly within the scientific community. More information is available at https://www.pmddtc.state.gov/ddtc_public.

NOTE: Export control compliance statements found in the individual Component-specific proposal instructions are not meant to be all inclusive. They do not remove any liability from the submitter to comply with applicable ITAR or EAR export control restrictions or from informing the Government of any potential export restriction as fundamental research and development efforts proceed.

3.5 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.

3.6 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.

d. The SBIR Program training related to Fraud, Waste and Abuse is available at: https://training.defensebusiness.org/fwa. See Section 4.15 for reporting Fraud, Waste and Abuse.

3.7 Funding Agreement

Any contract, grant, or cooperative agreement 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. Only the contract method will be used by DoD Components for all SBIR awards.

3.8 Certified HUBZone Small Business Concern

An SBC that has been 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).

3.9 Proprietary Information

Proprietary information is information that you provide which constitutes a trade secret, proprietary commercial or financial information, confidential personal information or data affecting the national security.

3.10 Research or Research and Development

Any activity that is:

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, and systems or methods, including design, development, and improvement of prototypes and new processes to meet specific requirements.

3.13 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).

3.14 Small Business Concern (SBC)

A concern that meets the requirements set forth in 13 C.F.R. § 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.)

3.15 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.

3.16 United States

"United States" means 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.

3.17 Women-Owned Small Business Concern

An SBC that is 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.

3.18 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.

3.19 Principal Investigator

The principal investigator/project manager is the one 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 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 SBIR Program Manager/Coordinator. Further, an SBC may replace the principal investigator on an SBIR Phase I or Phase II award, subject to approval in writing by the contracting officer.

4.0 PROPOSAL FUNDAMENTALS

Unless otherwise specified, Section 4 applies to both Phase I and Phase II.

4.1 Introduction

The proposal must provide sufficient information to demonstrate to the evaluator(s) that the proposed work represents an innovative approach to the investigation of an important scientific or engineering problem and is worthy of support under the stated criteria. The proposed research or research and development must be responsive to the chosen topic, although it need not use the exact approach specified in the topic. Anyone contemplating a proposal for work on any specific topic should determine that:

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 as defined by 13 C.F.R §§ 701-705 at time of award and certify to this in the Cover Sheet section of the proposal. The eligibility requirements for the SBIR/STTR programs are unique and do not correspond to those of other small business programs (see Section 3.14 of this BAA). Proposers must meet eligibility requirements for Small Business Ownership and Control (see 13 CFR § 121.702 and Section 4.4 of this BAA).

b. A minimum of two-thirds of the research and/or analytical work in Phase I must be conducted by the proposing firm.

c. For both Phase I and II, the primary employment of the principal investigator must be with the small business firm at the time of the award and during the conduct of the proposed effort. Primary employment means that more than one-half of the principal investigator's time is spent with the small business. Primary employment with a small business concern precludes full-time employment at another organization.

d. For both Phase I and Phase II, all research or research and development work must be performed by the small business concern and its subcontractors in the United States.

e. 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) For all proposers with greater than 20 Phase I awards over the past five fiscal years excluding the most recent year (currently FY 2015-2019), the ratio of Phase II awards to Phase I awards must be at least 0.25.

(2) For all proposers with greater than 15 Phase II awards over the last ten fiscal years excluding the last two years (currently FY 2009-2018), 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 award for a period of one year from that date.

· Because this requirement only affects a company’s eligibility for new Phase I 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.

4.3 Joint Ventures

Joint ventures and limited partnerships are permitted, provided that 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

Majority ownership in part by multiple venture capital, hedge fund, and private equity firms: Small businesses that are owned in majority part by multiple venture capital operating companies (VCOCs), hedge funds, or private equity funds are ineligible to submit applications or receive awards for opportunities in this BAA.

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 under the DoD SBIR Program. If topics will require classified work during Phase II, the proposing firm must have a facility clearance in order to perform the Phase II work. For more information on facility and personnel clearance procedures and requirements, please visit the Defense Counterintelligence and Security Agency Web site at: https://www.dcsa.mil/.

4.7 Debriefing

An unsuccessful offeror that submits a request for a debriefing within 3 days of being notified that their proposal was not selected for award will be provided a debriefing which may be done orally, in writing, or by any other method acceptable to the contracting officer. If a debriefing is requested in accordance with the time guidelines set out in FAR 15.505 and 15.506, a debriefing will be provided, but the debriefing content may vary to be consistent with the procedures that govern BAAs (FAR 35.016). The request should be emailed to the DoD organization at AFLCMC.HIK.BESPitch@us.af.mil. Be advised that an offeror that fails to submit a timely request is not entitled to a debriefing, although untimely debriefing requests may be accommodated at the Government's discretion. No debriefings will be provided without a request.

4.8 BAA Protests

Interested parties may have the right to protest this BAA by filing directly with the agency by serving the Contracting Office (listed below) with the protest, or by filing with the Government Accountability Office (GAO). If the protest is filed with the GAO, a copy of the protest shall be received in the office designated below within one day of filing with the GAO. The protesting firm shall obtain written and dated acknowledgment of receipt of the protest from:

AFLCMC/HIK Contracting Office E-mail: AFLCMC.HIK.BESPitch@us.af.mil

If resolution cannot be made by the contracting officer, the interested party may contact the ombudsman, Deputy Director, AFLCMC/AQ-AZ at email/phone: asca@us.af.mil/(937)255-5512. Refer to AFFARS clause 5352.201-9101 (OCT 2019).

4.9 Phase I Award Information

a. Number of Phase I Awards. The number of Phase I awards will be consistent with the Component’s RDT&E budget and the number of anticipated awards for Phase I contracts. No Phase I contracts will be awarded until evaluation of all qualified proposals for a specific topic is completed.

b. Type of Funding Agreement. Each Phase I proposal selected for award will be funded under purchase orders and will include a reasonable profit consistent with normal profit margins provided to profit-making firms for R/R&D work. All Phase I awards will be made using a Firm Fixed Priced contract type.

Phase II and Phase III awards may utilize multiple contract types including Firm-Fixed-Price, Firm- Fixed-Price Level of Effort, Labor Hour, Time & Material, or Cost-Plus-Fixed-Fee type contracts and are at the discretion of the contracting officer.

In order to reduce risk to the small business and avoid potential contracting delays, it is suggested that companies interested in pursuing Phase II/III SBIR contracts and other contracts of similar size with the Department of Defense (DoD), have an adequate accounting system per General Accepted Accounting Principles (GAAP), Generally Accepted Government Auditing Standards (GAGAS), Federal Acquisition Regulation (FAR) and Cost Accounting Standards (CAS) in place. The accounting system will be audited by the Defense Contract Audit Agency (DCAA). DCAA’s requirements and standards are available on their Website at: http://www.dcaa.mil and click on “Guidance” and then click on “Audit Process Overview

– Information for Contractors,” and also at: http://www.dcaa.mil and click on “Checklists and Tools” and then click on “Pre-award Accounting System Adequacy Checklist.”

c. Timing. The SBA SBIR Policy Directive, Section 7(c)(1)(ii), states that agencies should issue the Phase I award no more than 180 days after the closing date of the BAA. However, across DoD, the median time between the date that the SBIR BAA closes and the award of a Phase I contract is approximately four months. Normally proposing firms will be notified of selection or non- selection status for a Phase I award within 90 days of the closing date for this BAA.

4.10 Questions about this BAA and BAA Topics

a. General Questions. General questions concerning this BAA, the proposal preparation, and electronic submission process and other program-related area. Please contact:

(1) AFLCMC/HIK Contracting Office E-mail: AFLCMC.HIK.BESPitch@us.af.mil

b. Direct Contact Concerning Topics. This BAA is released on April 30, 2020, and proposing firms have an opportunity to contact the DoD Component by e-mail to ask technical questions about specific BAA topics. Questions should be limited to specific information related to improving the understanding of a particular topic’s requirements. Proposing firms may not ask for advice or guidance on solution approach and may not submit additional material to the DoD Component. If information provided during an exchange with the DoD Components is deemed necessary for proposal preparation, that information will be made available to all parties through email. On May 14, 2020, no further direct contact between proposers and the DoD Component concerning this BAA or the BAA Topics will be had unless the DoD Component is responding to a question submitted before that date.

4.11 Registrations and Certifications

Before the DoD Components can award a contract, proposing firms must be registered in the System for Award Management (SAM). If you were previously registered in Central Contractor Registration (CCR), your information has been transferred to SAM. However, it is in the firm’s interest to visit SAM and ensure that all of the firm’s data is up to date from SAM and other databases to avoid delay in award. SAM replaced the CCR, Online Representations and Certifications Application (ORCA), and the Excluded Parties List System (EPLS). SAM allows firms interested in conducting business with the federal government to provide basic information on business capabilities and financial information. To register, visit www.sam.gov.

Follow instructions found on the SAM Web site on how to obtain a Commercial and Government Entry (CAGE) code and Data Universal Numbering System (DUNS) number. Once a CAGE code and DUNS number are obtained, update the firm’s profile on the DoD Submission Web site at https://sbir.defensebusiness.org/.

In addition to the standard federal and DoD procurement certifications, the SBA SBIR Policy Directive requires the collection of certain information from firms at time of award and during the award life cycle. Each firm must provide this additional information at the time of the Phase I award prior to final payment on the Phase I award.

4.12 Promotional Materials

Promotional and non-project related discussion is discouraged, and additional information provided via Universal Resource Locator (URL) links or on computer disks, CDs, DVDs, video tapes or any other medium will not be accepted or considered in the proposal evaluation.

4.13 Prior, Current, or Pending Support of Similar Proposals or Awards

IMPORTANT -- While it is permissible, with proposal notification, to submit identical proposals or proposals containing a significant amount of essentially equivalent work (see Section 3.3) for consideration under numerous federal program BAAs or solicitations, it is unlawful to enter into contracts or grants requiring essentially equivalent effort. If there is any question concerning prior, current, or pending support of similar proposals or awards, it must be disclosed to the soliciting agency or agencies as early as possible.

4.14 Fraud and False Statements

Knowingly and willfully making any false, fictitious, or fraudulent statements or representations may be a felony under the Federal Criminal False Statement Act (18 U.S.C. Sec 1001), punishable by a fine of up to $10,000, up to five years in prison, or both.

The Department of Defense, Office of Inspector General Hotline (“Defense Hotline”) is an important avenue for reporting fraud, waste, abuse, and mismanagement within the Department of Defense. The Office of Inspector General operates this hotline to receive and investigate complaints or information from contractor employees, DoD civilians, military service members and public citizens. Individuals who wish to report fraud, waste or abuse may contact the Defense Hotline at (800) 424-9098 between 8:00 a.m. and 5:00 p.m. Eastern Time or visit http://www.dodig.mil/Components/Administrative-Investigations/DoD- Hotline/Hotline-Complaint/ to submit a complaint. Mailed correspondence should be addressed to the Defense Hotline, The Pentagon, Washington, DC 20301-1900, or e-mail addressed to hotline@dodig.mil.

4.15 State and Other Assistance Available

Many states have established programs to provide services to those small business firms and individuals wishing to participate in the Federal SBIR Program. These services vary from state to state, but may include:

· Information and technical assistance;

· Matching funds to SBIR recipients;

· Assistance in obtaining Phase III funding.

Contact your State SBIR/STTR Support office at https://www.sbir.gov/state_services?state=105813# for further information. Small Businesses may seek general administrative guidance from small and disadvantaged business utilization specialists located in various Defense Contract Management activities throughout the continental United States.

5.0 PHASE I PROPOSAL

5.1 Introduction

When preparing proposals, keep in mind that Phase I should address the feasibility of a solution to a topic identified paragraph 7.0 below. Companies must submit separate proposals if providing solutions for more than one topic area. For the BES Phase 1 awards, the contract period of performance shall not exceed 4 months, and the award amount shall not exceed $150,000.

A complete proposal consists of:

Volume 1: Proposal Cover Sheet Volume 2: Technical Volume Volume 3: Price Volume Volume 4: Supporting Documents Volume 5: Fraud, Waste and Abuse Training

5.2 Phase I Proposal Instructions

Submittal Instructions: All Phase I proposal shall be submitted through the BES Pitch mailbox (AFLCMC.HIK.BESPitch@us.af.mil) with all volumes labeled as indicated in the following paragraphs. The subject of the submittal shall include the topic being proposed to.

Proposal Cover Sheet (Volume 1): The Cover Sheet must include a brief technical abstract of no more than 500 words that describes the proposed R&D project with a discussion of anticipated benefits and potential commercial applications. Do not include proprietary information in the Proposal Cover Sheet. If your proposal is selected for award, the technical abstract and discussion of anticipated benefits may be publicly released on the Internet.

Technical Volume (Volume 2) Format: The Technical Volume must be a single Portable Document Format (PDF) file, including graphics. Perform a virus check before uploading the Technical Volume file. Do not include or embed active graphics such as videos, moving pictures, or other similar media in the document. The Technical Volume is limited to 10 pages. All pages in excess of the 10 page limitation will not be evaluated. Number all pages of your proposal consecutively. Those who wish to respond must submit a direct, concise, and informative research or research and development proposal of no more than 10 pages (no type smaller than 10-point on standard 8-1/2" x 11" paper with one-inch margins). The header on each page of the Technical Volume should contain your company name, and topic number. The header may be included in the one-inch margin.

Technical Volume (Volume 2) Content: Define the specific technical problem or opportunity addressed and its importance. Enumerate the specific objectives of the Phase I work, including the questions the research and development effort will try to answer to determine the feasibility of the proposed approach. Include a Statement of Work (including subcontractor’s efforts) that provides an explicit, detailed description of the Phase I milestones. The Statement of Work should indicate what tasks are planned, how and where the work will be conducted, a schedule of major events, and the final product(s) to be delivered. The Phase I effort should attempt to determine the technical feasibility of the proposed concept. The methods planned to achieve each objective or task should be discussed explicitly and in detail. This section should be a substantial portion of the Technical Volume.

· Key Personnel: Identify in the Technical Volume all key personnel who will be involved in this project; include information on directly related education, experience, and citizenship. A technical resume of the principal investigator, including a list of publications, if any, must be part of that information. Concise technical resumes for subcontractors and consultants, if any, are also useful. You must identify all U.S. permanent residents to be involved in the project as direct employees, subcontractors, or consultants. You must also identify all non-U.S. citizens expected to be involved in the project as direct employees, subcontractors, or consultants. For all non-U.S. citizens, in addition to technical resumes, please provide countries of origin, the type of visa or work permit under which they are performing and an explanation of their anticipated level of involvement on this project, as appropriate. You may be asked to provide additional information during negotiations in order to verify the foreign citizen’s eligibility to participate on a contract issued as a result of this announcement.

Price Volume (Volume 3): Price Volume information should be provided by completing and emailing Price Volume specified below. The Price Volume detail must be adequate to enable Air Force personnel to determine the purpose, necessity and reasonability of each cost element. Provide sufficient information (a-j below) on how funds will be used if the contract is awarded. The Price Volume shall be limited to 10 pages. Ensure that this file includes the applicable information below.

a. Special Tooling and Test Equipment and Material: The inclusion of equipment and materials will be carefully reviewed relative to need and appropriateness of the work proposed. The purchase of special tooling and test equipment must, in the opinion of the contracting officer, be advantageous to the Government and relate directly to the specific effort. They may include such items as innovative instrumentation and/or automatic test equipment.

b. Direct Cost Materials: Justify costs for materials, parts, and supplies with an itemized list containing types, quantities, and price and where appropriate, purposes.

c. Other Direct Costs: This category of costs includes specialized services such as machining or milling, special testing or analysis, costs incurred in obtaining temporary use of specialized equipment. Proposals, which include leased hardware, must provide an adequate lease vs. purchase justification or rational.

d. Direct Labor: Identify key personnel by name if possible or by labor category if specific names are not available. The number of hours, labor overhead and/or fringe benefits and actual hourly rates for each individual are also necessary.

e. Travel: Travel costs must relate to the needs of the project. Break out travel cost by trip, with the number of travelers, airfare, per diem, lodging, etc. The number of trips required, as well as the destination and purpose of each trip should be reflected. Recommend budgeting at least one (1) trip to the Air Force location managing the contract.

f. Cost Sharing: If proposing cost share arrangements, please note each Phase I contract total value may not exceed $150,000 total, while Phase II contracts shall have an initial Not to Exceed value of $750,000. Please note that cost share contracts do not allow fees. NOTE: Subcontract arrangements involving provision of Independent Research and Development (IR&D) support are prohibited in accordance with Under Secretary of Defense (USD) memorandum “Contractor Cost Share”, dated 16 May 2001, as implemented by SAF/AQ memorandum, same title, dated 11 July 2001.

g. Subcontracts: Involvement of university or other consultants in the planning and/or research stages of the project may be appropriate. If the offeror intends such involvement, describe in detail and include information in the Price Volume. The proposed total of all consultant fees, facility leases or usage fees, and other subcontract or purchase agreements may not exceed one-third of the total contract price or cost, unless otherwise approved in writing by the contracting officer. Support subcontract costs with copies of the subcontract agreements. The supporting agreement documents must adequately describe the work to be performed. At a minimum, an offeror must include a Statement of Work with a corresponding detailed Price Volume for each planned subcontract.

h. Consultants: Provide a separate agreement letter for each consultant. The letter should briefly state what service or assistance will be provided, the number of hours required and hourly rate.

i. Any exceptions to the model Phase I purchase order (P.O.) included as Attachment# 2 to this BAA should be included in your price proposal. Full text for the clauses included in the P.O. may be found at http://www.acquistion.gov.

j. DD Form 2345: For proposals submitted under export-controlled topics (either International Traffic in Arms (ITAR) or Export Administration Regulations (EAR)), a copy of the certified DD Form 2345, Militarily Critical Technical Data Agreement, or evidence of application submission must be included. The form, instructions, and FAQs may be found at the United States/Canada Joint Certification Program website, http://www.dla.mil/. Approval of the DD Form 2345 will be verified if proposal is chosen for award.

Supporting Documents (Volume 4): This volume is provided to submit additional documentation to support the Technical Volume (Volume 2) and Price Volume (Volume 4) which are limited to 10 pages, and the Price Volume (Volume 3). Acceptable documents may include; letters of support, additional cost information, funding agreement certification, and technical data rights (Assertions), lifecycle certification, and allocation of rights. Supporting documentation shall be limited to 5 pages.

Fraud, Waste and Abuse Training (Volume 5): The Air Force and MDA SBIR Programs require the completion of the Fraud, Waste and Abuse Training (Volume 5) prior to the proposal submission. The Fraud, Waste and Abuse Certificate of Training website can be found under Section 3.6 of this BAA.

It is required that the complete proposal submission -- Proposal Cover Sheet, Technical Volume, Price Volume, Supporting Documents, Fraud, and the Waste and Abuse Certificate of Training Completion --must be submitted via AFLCMC.HIK.BESPitch@us.af.mil on or before the 4:00 p.m. EST, 29 May 2020 deadline. A hardcopy will not be accepted.

It is recommended that all companies complete their submission early, as computer traffic gets heavy near the announcement closing and could slow down the system. Do not wait until the last minute. The AF will not be responsible for proposals being denied due to servers being “down” or inaccessible. Please assure that your e-mail address listed in your proposal is current and accurate. The AF is not responsible for ensuring notifications are received by firms changing mailing address/e-mail address/company points of contact after proposal submission without proper notification to the AF. Changes of this nature that occur after proposal submission or award (if selected) for Phase I shall be sent to AFLCMC.HIK.BESPitch@us.af.mil.

NOTE: If you are not registered in the System for Award Management, https://www.sam.gov/, you will not be eligible for an award. Additionally, verify that you are registered to receive contracts (not just grants) and that your address matches between your proposal and SAM.

5.3 Marking Proprietary Proposal Information

Offerors that include in their proposals data that they do not want disclosed to the public for any purpose, or used by the Government except for evaluation purposes, shall:

a. Mark the first page of each Volume of the proposal submission with the following legend:

"This proposal includes data that shall not be disclosed outside the Government and shall not be duplicated, used, or disclosed-in whole or in part-for any purpose other than to evaluate this proposal. If, however, a contract is awarded to this offeror as a result of-or in connection with-the submission of this data, the Government shall have the right to duplicate, use, or disclose the data to the extent provided in the resulting contract. This restriction does not limit the Government's right to use information contained in this data if it is obtained from another source without restriction. The data subject to this restriction are contained in pages [insert numbers or other identification of sheets]"; and

b. Mark each sheet of data it wishes to restrict with the following legend:

"Use or disclosure of data contained on this page is subject to the restriction on the first page of this volume."

The DoD assumes no liability for disclosure or use of unmarked data and may use or disclose such data for any purpose.

Restrictive notices notwithstanding, proposals and final reports submitted through the PEO BES email (AFLCMC.HIK.BESPitch@us.af.mil) and/or the DoD Submission Website may be handled, for administrative purposes only, by support contractors. All support contractors are bound by appropriate non-disclosure agreements.

6.0 PHASE I EVALUATION CRITERIA

Proposals will be evaluated based on the criteria outlined below. Selections will be based on best value to the Government considering the following factors which are listed in descending order of importance:

a. The soundness, technical merit, and innovation of the proposed approach and its incremental progress toward topic or subtopic solution.

b. The qualifications of the proposed principal/key investigators, supporting staff, and consultants. Qualifications include not only the ability to perform the research and development but also the ability to commercialize the results.

c. Price reasonableness shall also be considered.

Technical reviewers will base their conclusions only on information contained in the proposal. It cannot be assumed that reviewers are acquainted with the firm or key individuals or any referenced experiments.

Relevant supporting data such as journal articles, literature, including Government publications, etc., should be contained or referenced in the proposal and will count toward the page limit.

7.0 BES SBIR Phase 1 Topics

7.1 TITLE: Modernizing Legacy Applications

TECHNOLOGY AREA: IT Modernization

OBJECTIVE: Design, configure and demonstrate a Common User Interface (UI) built on a low code platform that can serve as the standard interface between users and legacy platforms.

DESCRIPTION: The AF is looking to demonstrate how a low code platform can be used to apply the strangler pattern to legacy systems – that is to have a common UI serve initially as a proxy between the user and legacy systems then slowly replace legacy functions. The customer will be not impacted by changing out backend applications because the UI only changes when the customer needs it to. The UI should have a human centered design that is focused on allowing airmen to efficiently execute their mission.

PHASE I: Design a proof of concept for a standard UI with the ability to serve as a proxy between the user and ERP (such as Oracle EBS) to minimize/eliminate RICE (Reports Interfaces Customizations Extensions) objects. Provide a report that details how this could function and be implemented.

PHASE II: Produce a prototype of a standard UI and AF branding and demonstrate the ability to be a user proxy for three legacy systems.

PHASE III: Deploy the standard UI and AF branding to multiple AF legacy systems.

KEYWORDS: User Interface, Code Conversion

7.2 TITLE: Translation of Business Models to Low Code Applications

TECHNOLOGY AREA: IT Modernization

OBJECTIVE: The PEO BES strategic plan is provide solutions to our customers using out of the box Enterprise Resource Planning (ERP) solutions first, low code applications second, and custom code a last resort. There are a number of legacy systems that have been determined to not be core ERP but suitable for recoding to a low code platform. The AF needs a better way to capture end user requirements so that those flow easily into a low code solution.

DESCRIPTION: One of the main concerns with Low Code solutions is that the output has some degree of proprietary nature and one way to mitigate that risk is to capture requirements in a way that can be feed into a low code solution so that AF can switch platforms if necessary. We envision using a commercial Model Based Engineering (MBE) tools such as SPARX and Cameo to model the processes, business rules, and data architecture. Then exporting/importing that information into a low code platform to create at least a draft process that can then be finalized for producing a low code product.

PHASE I: Conduct a feasibility study for a tool to convert a SPARX architecture model to a low code application. Explore use of model-based architecture as a neutral format to capture requirements that can then be imported into low code platforms as draft process models.

PHASE II: Work with an AF capability initiative to capture the processes, business rule and data architecture in the SPARX MBE tool then mature the proof of concept to prototype the translation of that model into two different low code application platforms.

PHASE III: Use the tool to capture future AF Software Requirements and translate them to low code applications.

KEYWORDS: Low Code, Digital Engineering, AI

7.3 TITLE: Architecture Conversion Tool

TECHNOLOGY AREA: Standards and Integration

OBJECTIVE: The AF is seeking a tool which can automate the conversion of Architectures (DODAF) from one Architecture tool to another.

DESCRIPTION: Architectures (DODAF) across the HI portfolio are done with many tools (Clear Case, Visio, and UNICOM System Architect) just to name a few. The problem is that there is no way to exchange architecture data across these diverse tools. The AF needs an architecture data exchange mechanism.

PHASE I: Conduct a feasibility study for a tool that can migrate an architecture from UNICOM system architect to SPARX architecture tool.

PHASE II: Prototype a tool for UNICOM SA translation to SPARX and add translations from SPARX to Clear Case, Visio, and Cameo.

PHASE III: Commercialization of tool and tool sustainment

KEYWORDS: Architecture

8.0 CONTRACTUAL REQUIREMENTS

8.1 Other Contract Requirements

Upon award of a contract, the contractor will be required to make certain legal commitments through acceptance of Government contract clauses in the Phase I contract. The outline that follows is illustrative of the types of provisions required by the Federal Acquisition Regulation that will be included in the Phase I contract. This is not a complete list of provisions to be included in Phase I contracts, nor does it contain specific wording of these clauses. While a Phase II contract may include some or all of the provisions below, additional provisions will be required. Copies of complete general provisions will be made available prior to award.

a. Standards of Work. Work performed under the contract must conform to high professional standards.

b. Inspection. Work performed under the contract is subject to Government inspection and evaluation at all reasonable times.

c. Examination of Records. The Comptroller General (or a fully authorized representative) shall have the right to examine any directly pertinent records of the contractor involving transactions related to this contract.

d. Default. The Government may terminate the contract if the contractor fails to perform the work contracted.

e. Termination for Convenience. The contract may be terminated at any time by the Government if it deems termination to be in its best interest, in which case the contractor will be compensated for work performed and for…