Attachment No 4 Recommended Processes and Practices.pdf

Attachment No. 4 Solicitation No. FA8750269R001

ENTERPRISE PROTOTYPE INITIATIVE CONSORTIUM (EPIC)

Recommended Processes and Practices

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1.0 General

1.1 Overview

The Government seeks to enter into an Other Transaction Agreement (OTA) for Prototype (OTP) Indefinite Delivery Vehicle (IDV), also referred to as the “Agreement”, with an Other Transaction (OT) Lead, on behalf of a consortium. It is the Government’s goal as part of this OTP to engage and work with non-traditional performers. The use of an OT Lead as a conduit for accessing these performers is key to this approach. The OT Lead, also referred to as the Consortium Manager (CM), will hold the agreement with the Government and pursue processes and practices that limit the burden that the Government places on performers in the course of their projects. The goal of this document is to clearly illustrate this intent as well as the processes that the Government anticipates as a result of this Agreement.

1.2 Definitions

Please refer to the EPIC OTA IDV Articles for any definitions of terms used in this document.

1.3 General Discussion

1.3.1 OT Lead or CM

Consent of the Agreements Officer (AO) or Ordering Agreements Officer (OAO) is not required for the vendor to join the consortium. The OT Lead should not restrict vendors from joining the consortium without written consent from the Agreements Officer. It is the Government’s intent to keep the consortium open, in order to achieve the greatest degree of access to potential sources. Additionally, in some cases, it may be necessary for the OT Lead to perform (or make arrangements to have performed) the technical functions needed to assist in the transition of the developed technology.

1.3.2 Openness and Ease of Joining Consortium

It is the Government’s intent to promote openness within the consortium and between the consortium and vendors that would be interested in joining. To this end, the Government is requiring the OT Lead to publish the Consortium Membership Agreement. This will allow vendors to see the terms of the Agreement prior to expressing an interest or investing any resources in joining. Additionally, to promote openness, the list of consortium members must also be published by the OT Lead, along with the core competencies of each member. The purpose of this is to communicate the value of joining the consortium and to indicate the number of other existing parties that have already signed on to the Consortium Membership Agreement.

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1.3.3 Intellectual Property

For all intellectual property procured with Government funds, the Government has a strong preference for Unlimited Rights. The Government will negotiate other rights in technical data, computer software, documentation, and intellectual property as necessary.

1.4 Process Overview

The Government’s anticipated process for soliciting, competing, awarding and performing prototype projects under the EPIC program is summarized in Figure 1 below, which begins at the top and traverses downward. Each element of the process is discussed in detail in subsequent sections of this paper. This is only an example of the process. More efficient processes may be used.

FIGURE 1

2.0 AFRL Technology Area Identification

The Government will initiate the Project Level Order award process by identifying an AFRL Technology Area to the OT Lead. As part of this identification process, the Government will indicate its intention to pursue this AFRL Technology Area through the Project Announcement/solicitation process. The AFRL Technology Area Identification will consist of the necessary information to clearly identify the scenario and/or requirements to be accomplished. It is the Government’s expectation that the OT Lead will take this opportunity to broadly publicize the AFRL Technology Area of interest among its members and recruit new members to the greatest extent practicable and necessary. In some cases, it may be necessary for the OT Lead to accommodate classified work. In those cases, it is the OT Lead’s role to facilitate the access and safeguarding of classified work. This may be

AF

RL

R eq ui re m en ts O w ne r OAOR decides the requirements are within scope and completes the Project Request Form Ordering Agreements Officer approves the requirements are within scope, completes the Project Announcement and sends to the Consortium Manager

C on so rt iu m

M an ag er Issues Solicitation

(One-Step or Two- Step) to the Consortium Members Conducts Q&A Collects Performer responses Performs Cost/Price Analysis of Proposals

Re qu ire m en t O w ne r O ffi ce Evaluates Proposals Recommends an Awardee

AF

RL

O rd er in g Ag re em en ts

O ffi ce Reviews Evaluation(s)

Documents Award Decision Creates Project Level Order(s) to add Requirements and Funding

C on so rt iu m

M an ag er Issues Project Level

Agreement to the Consortium Member Ensures Timely Reporting Handles Invoicing Quality Control Conducts IDV Level Reporting

A t t a c h m e n t N o . 4 P a g e 3 | 5 done by leveraging other consortium members in a teaming arrangement or by other means, as necessary.

3.0 Project Announcement

The following sections illustrate the Government’s anticipated process for issuing Project Announcements. The Government will ask the OT Lead to issue Project Announcements (see Exhibit A (non tailorable)). These Project Announcements will result in white paper and/or proposal submissions for Government review and evaluation.

3.1 Project Announcement

The Government will complete the Project Announcement based on a One-Step or Two- Step process, as indicated by the Requirements Owner. The Project Announcement will include the due date for responses. It is expected that the OT Lead will assist in the effective preparation of whitepapers and/or proposals from Consortium Members.

4.0 Proposals/Evaluation/Selection

Upon completion of evaluations resulting from Project Announcement(s), the Government will determine which project(s) it wishes to pursue. It is the OT Lead’s role to assist the Project Level Performers/Consortium Members with whitepaper and proposal preparation to ensure an adequate response. If using the Two-Step process, the OT Lead will request proposals from the selected Whitepaper Consortium Members, using the Government provided template (see Exhibit C), and notify others of their non-selection. If using the One-Step process the OT Lead will request proposals from Project Level Performers/Consortium Members using the Government provided template (see Exhibit B).

The OT Lead should engage with the Project Level Performer/Consortium Member throughout the proposal preparation process to ensure appropriate milestone development and a complete response is submitted. Along with the proposal submissions, the OT Lead will be required to conduct and submit to the Government a cost and price analysis using the Government provided guide (see Exhibit D). The objective of the analysis is for the OT Lead to establish that the Project Level Performer’s cost and price is fair and reasonable. Although the Government is ultimately responsible for this determination, the Government intends to rely heavily on the OT Lead’s analysis in making its determination.

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5.0 Government Evaluation/Project Approval

The Government will evaluate the proposals in accordance with the evaluation criteria identified in the Project Announcement. Once evaluations are complete, the Government will issue an email to the OT Lead for each selected project, identifying that a Project Level Order (PLO) will be forth coming. It will also identify the terms and conditions the Government is approving as well as any issues or concerns the Government has and whether or not the Government expects to see further proposal revisions.

6.0 Award

The Government will award PLOs under the OTA IDV to incorporate any PLO specific requirements, establish payable milestones, and allot funds for the performance of the selected proposal(s). Included within each PLO award, the Government will identify and allocate funding by milestone to the OT Lead which will include the consortium management fee. The OT Lead will be provided the negotiated transaction fee for each project initiated by the Government.

7.0 Performance

As the Agreement holder, the OT Lead is ultimately responsible for ensuring that Project Level Performers deliver what they have proposed. The OT Lead will be responsible for sending required performance updates to the Government in accordance with the PLO.

Upon the initiation of a project, it will be the OT Lead’s role to monitor performance of the Project Level Performers, invoicing and addressing other ancillary needs of the Project Level Performers as necessary throughout the course of performance. Any probable performance issues should be reported to the Government within 5 business days of the OT Lead’s awareness of such issues. The Government may also directly communicate with Project Level Performer’s to the extent necessary for efficient performance of their projects, as coordinated between the OT Lead and Government.

8.0 Payment

The Government acknowledges the need for prompt payment to Performers. It is the Government’s intent that Project Level Performers be paid as quickly as possible through the OT Lead upon completing their milestone deliveries. The Government is open to novel approaches for expediting milestone payments. The OT Lead is encouraged to explore its

A t t a c h m e n t N o . 4 P a g e 5 | 5 options with respect to expediting payments. During the course of the agreement, the Government expects clear and prompt communication if payments are not being received in a timeframe that would be considered reasonable in a commercial environment. During performance of a project, Project Level Performers will specifically define and address completion of the success criteria on all reports so that the documentation can be used for both payment purposes and in the event a follow-on production contract.

Attached Exhibits:

EXHIBIT A - Exhibit A, Project Announcement (non-tailorable)

EXHIBIT B - Exhibit B, Proposal Template

EXHIBIT C - Exhibit C, Whitepaper Template

EXHIBIT D - Exhibit B, Cost/Price Analysis Guide

1.4 Process Overview

Insert document label

Project Announcement Insert Announcement No.:

Insert Document Label (mark as appropriate) 1 Exhibit A Project Announcement

PROJECT ANNOUNCEMENT

Title of Project: (Insert title of effort, be sure title ends with “Prototype”)

Date: (Insert Date)

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Federal Agency Name: Air Force Research Laboratory (add directorate)

Entity Name: (Insert Consortium Manager)

Funding Opportunity Title: (Insert title of effort from Project Request Form) Prototype

Announcement Type: (Insert announcement type, Request For Whitepapers/Request for Proposals)

Project Announcement Identification Number:

Dates:

• Posting Date: (Insert Date) – (Select Time) 12:00PM or 5:00PM EST

• Closing Date: (Insert Date) – (Select Time) 12:00PM or 5:00PM EST

Anticipated Individual Awards: (Indicate whether a single or multiple awards are anticipated. If single award anticipated include: However, the Government reserves the right to make multiple awards if it is in the Government’s best interests.)

Types of Instruments that may be awarded: Firm Fixed Price project level order.

Requiring Agency Technical Point of Contact:

• Primary: (Name, Agency, Phone, Email)

• Alternate: (Name, Agency, Phone, Email)

Requiring Agency Contractual Point of Contact:

• Primary: (Name, Agency, Phone, Email)

• Alternate: (Name, Agency, Phone, Email)

Introduction: (Choose one)

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-This Project Announcement (PA) is a one-step closed project announcement. This announcement is being issued to solicit proposals only at this time. Whitepapers will not be requested. Upon receipt of proposals, the Government will evaluate through a scientific review process in accordance with the Evaluation Criteria to determine which proposal(s) represent the best value to the Government and should be awarded.

Or (For PRFs that involve soliciting white papers, use the below paragraph instead)

-This Project Announcement (PA) is a two-step closed project announcement. This announcement is being issued to solicit whitepapers only at this time. The purpose of whitepaper submissions is to identify potential project-level performers that may have promising technologies relative to the Mission Thread described below. Following Government evaluation of the whitepaper submissions, the offerors that describe the most promising prototype solutions will be asked to submit proposals. Upon receipt, the Government will evaluate those proposals through a scientific review process in accordance with the Evaluation Criteria to determine which proposals represent the best value to the Government and should be awarded.

Full Text of Announcement Funding Opportunity Description:

The (insert Consortium Manager) and AFRL/(Insert Directorate) of the (insert Directorate), Air Force Research Laboratory (AFRL) are soliciting (insert Whitepapers or proposals) under this announcement for (insert title) Prototype.

Overview:

The Government seeks proposals to (insert from Project Request Form Project Overview)

Background:

(Insert from Project Request Form Background)

Discussion and Requirements:

(Copy from Project Request Form Discussion. Some customers will also provide a separate requirements document. In that case if easily able to copy all requirements into

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Project Announcement (PA) suggest doing such. If not easy to accomplish due to formatting or length of document then acceptable to reference an attachment instead.)

Estimated Travel:

Travel for this effort is anticipated to include the following (copy Travel section from Project Request Form, the “From” column should typically be “TBD” as the performer is not yet known. If specifying the # of persons clarify with customer if this is being specified due to space limitations of the destination or if it is purely an estimate as it will be up to the offeror to propose # of persons they need to fit their approach):

From To Days Persons Trips Purpose

Deliverables/Estimated Milestones:

Please note: For R&D orders the final milestone proposed will need to include delivery of the Final Technical Report (FTR) and specifically state "Final Technical Report (FTR)" as part of the milestone title. Language regarding deliverable dates for this FTR shall be included in the Government issued PLO, if selected for award. For Non-R&D orders the final milestone proposed will need to be delivery of Non-R&D Summary Report.

(Copy table and details from Deliverables/Milestones section of PRF. Below is only example from PRF template. Typically the final prototype should be seen as one of the last milestones.)

Delivery Date Deliverable/Milestone Monthly Technical Status of Effort Monthly Financial Status of Effort TBD Hardware (if applicable) Milestone 1 Executable Code and Software Documentation Milestone 2 Final Prototype Delivery Milestone 3 Final Technical Report or Non-R&D Summary Report

Period of Performance: The total period of performance is estimated to be (TBD) months from effective date of award. (Please note the EPIC ordering period is 10 years from effective date of the OTA IDV with performance up to 24 months following the end of the ordering period)

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Data Rights: (Copy from PRF) Unlimited Rights Preferred, Government Purpose Rights Acceptable. Other rights may be considered on a case-by-case basis.

Special Notice: There is a potential for a follow-on production OT or FAR based contract to one or more successfully completed prototype projects. The level the potential follow-on production portion might entail, strictly depends on how successful the prototype is and how many customers (Air Force, Army, etc.) are interested.

Government Furnished Information(GFI): (if applicable, insert the GFI to be provided) will be provided to the selected Project-Level Performer (PLP) to aid in completion of this Project.

Issuance of Common Access Cards (CACs): (if applicable, insert whether CACs will be required for the effort)

DD Form 254: (if applicable, insert the DD254 requirements) will apply to this project. A draft copy will be forthcoming.

Award Information Funding: The total funding for this Project Announcement is approximately (Insert amount from PRF), which includes the Consortium Manager fee. There is also the potential to make awards up to any dollar value.

Select one of the following:

A single award is anticipated under this announcement. The Government reserves the right to make multiple awards if it is in the Government’s best interests.

Or Multiple awards are anticipated under this announcement.

The Government reserves the right to select all, part, or none of the proposals received, subject to the availability of funds. All potential Offerors should be aware that due to unanticipated budget fluctuations, funding in any or all areas may change with little or no notice.

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Form: Awards of efforts as a result of this announcement will be in the form of project level agreements that incorporate the terms of any teaming agreement with the OT Lead (including flow-down articles from the Other Transaction Agreement).

Project Announcement (PA) Type: This is a (select one: one-step or two-step) closed project announcement. This announcement constitutes the only solicitation.

The Government is only soliciting (select one: whitepapers or proposals) at this time.

(If soliciting whitepapers first include: DO NOT SUBMIT A FORMAL PROPOSAL. Those whitepapers found to be consistent with the intent of this PA may be invited to submit a technical and cost proposal.) See Request for Proposal & Award in this announcement for further details regarding the proposal.

Eligibility Information Participation in this solicitation and to receive an award under this PA, will require a membership in the Consortium. The CM acts as a mentor and intermediary, supporting companies that bid solutions. For further information about the consortium or how to join, please contact the CM POC listed at the end of this PA.

This PA is closed to foreign participation at the Project Level Performer level.

Foreign Ownership, Control or Influence (FOCI): companies who have mitigated FOCI may inquire as to eligibility by contacting the Ordering Agreements Office (OAO) and/or focal point, Name, Agreement Specialist, telephone TBD or e-mail TBD@us.af.mil for verification prior to submitting a (choose one: proposal or whitepaper). Please reference the solicitation (PA) number and title of the acquisition.

The CM is not eligible to propose to this solicitation.

Active Federal employees are prohibited from participating in particular matters involving conflicting financial, employment, and representational interests (18 U.S.C. § 203, 205, and 208). Prior to the start of proposal evaluation, the Government will assess potential conflicts of interest and will promptly notify the proposer if any appear to exist. The Government assessment does not affect, offset, or mitigate the proposer’s responsibility to give full notice and planned mitigation for all potential organizational conflicts, as discussed below.

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As part of the (add whitepaper if applicable) proposal submission(s), proposers, sub-proposers and consultants must affirm whether they (individuals and organizations) are providing or have provided within the last year advisory and assistance services in support of the information system(s) that are the subject of this Project Announcement.

Affirmations must state which information system(s) the proposer and/or sub-proposer/consultant supports and must provide prime contract numbers. All facts relevant to the existence or potential existence of organizational conflicts of interest must be disclosed. The disclosure shall include a description of the action the proposer has taken or proposes to take to avoid, neutralize, or mitigate such conflict. Proposals that fail to fully disclose potential conflicts of interest and/or do not have plans to mitigate this conflict may be rejected without technical evaluation and withdrawn from further consideration for award. If, in the sole opinion of the Government after full consideration of the circumstances, any conflict situation cannot be effectively mitigated, a proposal may be rejected without technical evaluation and withdrawn from further consideration for award under this PA.

If a prospective proposer believes a conflict of interest exists or may exist (whether organizational or otherwise) or has a question as to what constitutes a conflict, a summary of the potential conflict should be sent to the Ordering Agreements Specialist listed in Consortium Manager and Agency Contacts (located at the end of this document) before preparing a proposal and mitigation plan.

Application and Submission Information All responses to this announcement must be coordinated through the Consortium Manager.

1. SUBMISSION DATES AND TIMES: (Choose one: Whitepapers or Proposals) must be received by (Insert Closing Date and Time from above) EST.

The CM will contact all proposers to confirm receipt of the submission. If you do not receive a confirmation email within two business days, contact the CM immediately.

Otherwise, please wait at least 45 days after confirmed receipt before emailing the CM for a status update.

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The Government intends to notify the CM of selections within one week of receiving the submissions.

2. CONTENT AND FORMAT: (If submitting whitepapers include: Offerors are required to electronically submit a not-to-exceed XX page whitepaper summarizing their proposed approach/solution. The purpose of the whitepaper is to preclude unwarranted effort on the part of an offeror whose proposed work is not of interest to the Government. See REQUEST FOR WHITEPAPERS section below for additional content and format guidance.

Proposers are required to electronically submit their proposals following the guidance in REQUEST FOR PROPOSALS AND AWARD section below.

RESTRICTIVE MARKINGS: Multiple (choose one: proposals or whitepapers) within the purview of this announcement may be submitted by each proposer or offeror. If the proposer or offeror wishes to restrict its whitepaper(s)/proposal(s), they must be marked with restrictive language, as follows:

“Use and Disclosure of Data

This proposal includes data that shall not be disclosed outside the Government or the Consortium Manager (CM) and shall not be duplicated, used, or disclosed -- in whole or in part -- for any purpose other than to evaluate this proposal. However, if an agreement is awarded to this proposer as a result of -- or in connection with --the submission of these data, the Government and CM shall have the right to duplicate, use, or disclose the data to the extent provided in the resulting agreement. This restriction does not limit the Government’s or CM’s right to use information contained in these data if they are obtained from another source without restriction. The data subject to this restriction are contained in Sheets [insert numbers or other identification of sheets].”

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The proposer/offeror shall also mark each sheet of data it wishes to restrict with the following legend: “Use or disclosure of data contained on this sheet is subject to the restriction on the title page of this proposal.”

3. HANDLING AND MAILING INSTRUCTIONS

CLASSIFICATION GUIDANCE. All Proposers should review the NATIONAL INDUSTRIAL SECURITY PROGRAM OPERATING MANUAL, (NISPOM), 32 CFR Part 117, as it provides baseline standards for the protection of classified information and prescribes the requirements concerning Contractor Developed Information under 32 CFR 117.13(f). Defense Counterintelligence and Security Agency (DCSA) Site for the NISPOM is: http://www.dcsa.mil/.

In the event of a possible or actual compromise of classified information in the submission of your proposal, immediately but no later than 24 hours, bring this to the attention of your cognizant security authority and Information Protection Office.

(If sensitive or classified submissions include the following:)

CLASSIFIED SUBMISSIONS. The Government will accept classified responses to this PA when the classification is mandated by classification guidance provided by an Original Classification Authority of the U.S. Government, or when the Offeror believes the work, if successful, would merit classification. Security classification guidance in the form of a DD Form 254 (DoD Contract Security Classification Specification) will not be provided at this time since AFRL is soliciting ideas only.

Offerors that intend to include classified information or data in their whitepaper submission or who are unsure about the appropriate classification of their whitepapers should contact the TPOC and AOR listed in Consortium Manager and Agency Contacts for guidance and direction in advance of preparation.

MAILING INSTRUCTIONS.

Only electronic submissions to the OAOR and CM will be accepted. Encrypt or password-protect all proprietary information prior to sending. Proposers are responsible to confirm receipt with the OAOR and additional technical POC’s (if applicable) listed in Consortium Manager and Agency Contacts (located at the end of this document). AFRL is not responsible for undelivered documents. Questions

Insert Document Label (mark as appropriate) 10 can be directed to the OAOR or technical POC. (Note that classified documents or addenda may need to be delivered in hardcopy by authorized mail or parcel service.)

4. OTHER SUBMISSION REQUIREMENTS/CONSIDERATIONS

a. COST SHARING OR MATCHING: Cost sharing is not a requirement. But please note that, under statutory authority for Other Transactions for Prototype, any project that does not include substantial participation from a non-traditional defense contractor must derive at least 1/3 of its funding from non-federal sources (e.g. cost share, state or local funding, etc.).

b. ALLOWABLE CHARGES: The cost of preparing whitepapers/proposals in response to this announcement is not considered an allowable direct charge to any resulting agreement or any other contract or agreement, but may be an allowable expense to the normal bid and proposal indirect cost specified in FAR 31.205-18, if consistent with the proposer’s normal accounting practices.

APPLICATION REVIEW INFORMATION

(If soliciting whitepapers include:)

WHITEPAPER ASSESSMENT CRITERIA:

In your response please include the following: (List criteria included on the PRF for whitepaper assessments.)

EVALUATION CRITERIA: The following criteria, which are listed in descending order of importance, will be used to determine whether proposals submitted are consistent with the intent of this request and of interest to the Government (Below are criteria which should be utilized the majority of the time, however verify against PRF if alternate criteria are to be used):

1. Overall Scientific and Technical Merit -- The soundness of approach for the development and/or enhancement of the proposed technology.

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2. Potential Contributions - The potential contributions to the technical objective of the effort and the extent to which the proposed effort will contribute to the specified capability.

3. Related Experience - The extent to which the member demonstrates relevant technology and domain knowledge related to the U.S. Air Force AFRL (and Joint DoW partners, where applicable) mission and objectives.

4. Openness, Maturity and Assurance of Solution - The extent to which existing capabilities and standards are leveraged and the relative maturity of the proposed technology.

5. Reasonableness and realism of proposed costs and fees (if any).

6. Organization Type - Indicate if your organization is considered a traditional or non-traditional Government contractor according to the Office of the Under Secretary of Defense for Acquisition and Sustainment (OUSD/A&S) Other Transactions Guide dated July 2023. If proposing as a traditional Government contractor please indicate if the organization will be proposing significant involvement from a non-traditional contractor or a one-third cost share as outlined in the OUSD/A&S Other Transactions Guide dated July 2023.

No further evaluation criteria will be used in selecting proposals. Individual /proposal evaluations will be evaluated against the evaluation criteria without regard to other proposals submitted under this project announcement.

REVIEW AND SELECTION PROCESS

Only Government employees will evaluate the whitepapers/proposals for selection. (READ AND DELETE: If non-Government personnel are utilized to evaluate proposals, they must provide a completed Non-Disclosure Agreement (NDA). Additionally, the specific contractor company names must be identified in the PA. This ensures transparency for the Consortium Manager members and prevents potential Organization Conflict of Interest (OCI)). Personnel from both AFRL and the end user organization will be involved in the evaluation and selection process. AFRL has contracted for various business and staff support services, some of which require contractors to obtain administrative access to proprietary information submitted by other contractors. Administrative access is defined as "handling or having physical control over information for the sole purpose of accomplishing the administrative functions specified in the administrative support

Insert Document Label (mark as appropriate) 12 contract, which do not require the review, reading, and comprehension of the content of the information on the part of non-technical professionals assigned to accomplish the specified administrative tasks." These contractors have signed general non-disclosure agreements and organizational conflict of interest statements. The required administrative access will be granted to non-technical professionals. Examples of the administrative tasks performed include: a. Assembling and organizing information for case files; b. Accessing library files for use by government personnel; and c. Handling and administration of proposals, contracts, contract funding and queries. Any objection to administrative access must be in writing to the Agreements Officer and shall include a detailed statement of the basis for the objection.

ADEQUATE PRICE COMPETITION

The Government will simultaneously evaluate proposals received under this PA from multiple proposers. In this case, the Government may make award based on adequate price competition, and each proposer must be aware that there is a possibility of non-selection due to its proposal being a similar but higher-priced technical approach as compared to another proposer.

EVALUATION CATEGORIES

Following proposal evaluation, proposals will be categorized as Selectable or Not Selectable. The selection of one or more members for award will be based on the evaluation, as well as importance to agency programs and funding availability.

1. Selectable: Proposals are recommended for acceptance if sufficient funding is available.

2. Not Selectable: Even if sufficient funding existed, the proposal should not be funded.

REQUEST FOR WHITEPAPER (include if applicable)

WHITEPAPER NOTICES:

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Those whitepapers found to be consistent with the intent of this PA may be invited to submit a technical and cost proposal. Notification by email or letter will be sent by the OT and include delivery instructions and relevant dates. Such invitation does not assure that the submitting organization will be awarded funding to pursue its proposal. Those whitepapers not selected to submit a proposal will be notified in the same manner.

WHITEPAPER FORMAT:

See Whitepaper Template (Exhibit C to Recommended Processes and Procedures) for optional whitepaper template and mandatory whitepaper content. Whitepapers must be one volume and be concise. The maximum page count for whitepapers is XX. A submission letter is optional and is not included in the page count.

All whitepapers shall be formatted for printing on 8-1/2- by 11-inch paper with a font no smaller than 12 points. In addition, respondents are requested to provide their Commercial and Government Entity (CAGE) number (if they have one), their Unique Entity Identifier (UEI) number, a phone number, an e-mail address, and reference Announcement Identification Number with their submission. Submissions must be written in English.

REQUEST FOR PROPOSAL AND AWARD

PROPOSAL NOTICES:

(If soliciting whitepapers include: Those whitepapers found to be consistent with the intent of this PA may be invited to submit a technical and cost proposal. Notification by email or letter will be sent by the CM and include delivery instructions and relevant dates. Such invitation does not assure that the submitting organization will be awarded funding to pursue its proposal. Those whitepapers not selected to submit a proposal will be notified in the same manner.) Prospective proposers are advised that the CM is the only organization that may award project-level agreements under this PA.

PROPOSAL FORMAT

See Proposal Template (Exhibit B to Recommended Processes and Procedures) for optional proposal template and mandatory proposal content. Proposals must be one volume, concise and detailed. The maximum page count for proposals is XX. This does not include figures, tables, charts, cover sheet, table of contents or appendices. A submission

Insert Document Label (mark as appropriate) 14 letter is optional and is not included in the page count. Appendix A does not count against the page limit and it is mandatory. Appendix B does not count against the page limit and it is optional. Additional information not explicitly called for in Exhibit B must not be submitted with the proposal, but may be included as links in the bibliography in Appendix B. Such materials will be considered for the reviewers’ convenience only and not evaluated as part of the proposal.

All pages shall be formatted for printing on 8-1/2- by 11-inch paper with a font size not smaller than 12 point. Smaller font sizes may be used for figures, tables and charts.

Document files must be in . Portable Document Format (.pdf), , .docx, ., .or .xlsx formats.

Submissions must be written in English.

The proposal must include a detailed timeline including milestones, each with a deliverable (briefing, report, code, etc.). Payments will be made when those deliverables are actualized, and at no other time. As such, if a proposer is expecting to be paid monthly then the proposal must include a timeline detailing monthly deliverables (e.g., incremental code drops, sections of reports and status, etc.). The proposer should take this into account when planning their schedule. Rationale for the cost should provide a detailed breakout of how the money will be spent and how prices and rates were determined.

Hourly rates must be justified based on past commercial or Government rates, or by providing examples of equivalent rates for equivalent talent.

Note that it is expected that the proposal will be incorporated by reference into the final Project Level Agreement. The proposer must propose only those outcomes it is reasonably certain it can execute. Proposals not meeting the format prescribed herein may not be reviewed.

ADMINISTRATIVE AND NATIONAL POLICY REQUIREMENTS

Security Risk Review:

I. Notice of Intent.

a) Security Risk Review. Each proposal submission will be subject to a Security Risk Review prior to selection for award. The Security Risk Review is applied to federally funded research designed to help protect Department of the Air Force Science and Technology (S&T) by identifying possible vectors of undue foreign influence. AFRL will follow all policy and procedures outlined in Air Force Research Laboratory (AFRL) Instruction AFRLI 61-113, Insert Document Label (mark as appropriate) 15

Science and Technology Protection for the Air Force Research Laboratory and Department of the Air Force Instruction DAFI 63-101/20-101, Integrated Lifecycle Management.

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

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

1. Potential security risk factors:

II. Actions Required by Applicants/Recipients at proposal submission.

a) In accordance with AFRLI 61-113, S&T Protection, Applicants/Recipients are required to submit the following documentation with their proposal:

1. Project Level Order

i. Research and Related Senior and Key Person Profile Worksheet AND;

ii. Security Program Questionnaire AND;

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iii. “Privacy Act Statement” consent form for each Covered Individual that is also signed by the Applicant/Recipient as that Individual’s Sponsor. (See “Covered Individual” section below)

2. Submit the completed forms, prior to the proposal due date cited below, to:

i. (insert OAOR email)

ii. (insert additional email addresses as required)

3. In the event a security risk is identified, and the Government has determined the security risk exceeds the acceptable threshold, the Applicant/Recipient will be notified and informed of the decline of award. The Government will only provide a general statement of the reasoning due to Government OPSEC measures.

4. By submission of the Research and Related Senior Key Person Profile and Security Program Questionnaire, the Applicant/Recipient agrees to comply with the following:

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

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

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

III. Actions Required by Covered Individuals.

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

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

c) Covered Individuals are also required to sign the “Privacy Act Statement” and provide such signed statement to the Applicant/Recipient for submission with the proposal.

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

IV. Actions required by Applicants/Recipients during period of performance:

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

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

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

d) Failure of the Applicant/Recipient to reasonably exercise due diligence to discover or ensure that neither it nor any of its Senior/Key Research Personnel involved in the

Insert Document Label (mark as appropriate) 18 subject award are participating in a Foreign Government Talent Program or have a Foreign Component with a strategic competitor or country with a history of targeting U.S.

technology for unauthorized transfer may result in the Government exercising remedies in accordance with federal law and regulation.

e) The Applicant/Recipient will be required to flow down this provision to all sub awardees who have personnel designated as Senior/Key Research Personnel as a result of their involvement in the performance of the research.

(Insert any additional language discussed in the PRF. Some examples provided below)

Export Control: This acquisition may involve data that is subject to export control laws and regulations. Only Project level performers/recipients who are registered and certified with the Defense Logistics Information Service (DLIS) at http://www.dlis.dla.mil/jcp/ and have a legitimate business purpose may participate in this solicitation. For questions, contact DLIS on-line at http://www.dlis.dla.mil/jcp or at the DLA Logistics Information Service, 74 Washington Avenue North, Battle Creek, Michigan 49037-3084, and telephone number 1- 800-352-3572. You must submit a copy of an approved DD Form 2345, Militarily Critical Technical Data Agreement, with your white paper/proposal.

Human Use: This acquisition does not anticipate Human Use. A statement is required on all proposals that Human Use is not a factor.

DATA RIGHTS

(Update as necessary based on the PRF) Unlimited Rights preferred and Government Purpose Rights are the minimum expected rights for non-commercial computer software and technical data developed and delivered under this PA. Other rights may be considered on a case-by-case basis. It should be noted that, regardless of the rights granted to the Government, the Project Level Performer retains the right to commercialize the technology.

The Government’s rights govern what the Government may do with any delivered technology or technical data and do not in any way restrict the project-level performer from using, modifying, or licensing the technology in question.

(Insert additional information as necessary, such as intellectual property, data sharing or security requirements.)

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REPORTING

Once a proposal has been selected for award, proposers will be given complete instructions on the submission process for the reports.

Final Technical Report – A Final Technical Report is required to be delivered for all R&D efforts regardless of milestone completion. The Final Technical Report shall be prepared in accordance with ADRL A009 of the EPIC OTA IDV Agreement.

A Non-R&D Summary Report is required to be delivered for all Non-R&D efforts regardless of milestones completion. The Non-R&D Summary Report should be prepared in accordance with ADRL A004 of the EPIC OTA IDV Agreement.

CONSORTIUM MANAGER AND AGENCY CONTACTS:

All proposal submissions and any questions of a technical nature shall be directed to the Consortium Manager (CM). Emails must reference the solicitation (PA) number and Funding Opportunity Title. CM POC specified below:

Name: TBD Company: TBD Address: TBD Phone: TBD Email: TBD

The Ordering Agreements’ Officer’s Representative (OAOR) and the cognizant technical point of contact (TPOC) are as specified below (unless otherwise specified in the technical area): (add technical POCs as applicable)

Organization: AFRL/TBD Address: TBD

The Ordering Agreement Specialist (OAS) is as specified below (email requests are preferred):

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Address: TBD

The Ordering Agreements Officer (OAO) is as specified below (email requests are preferred):

Address: TBD

Emails must reference the solicitation (PA) number and title of the acquisition.

Full Text of Announcement

Award Information

Eligibility Information

Application and Submission Information

APPLICATION REVIEW INFORMATION

REQUEST FOR WHITEPAPER (include if applicable)

REQUEST FOR PROPOSAL AND AWARD

CONSORTIUM MANAGER AND AGENCY CONTACTS:

Mark as appropriate *Note that Proprietary or Classified Information should not be included*

Exhibit B Proposal Template Page 1 of 9

PROJECT LEVEL ORDER PROPOSAL SUBMISSION

ANNOUNCEMENT No.:

TITLE OF EFFORT:

LEAD ORGANIZATION(COMPANY) NAME:

TYPE OF BUSINESS:

CAGE CODE:

ADDITIONAL TEAM MEMBERS:

TECHNICAL POINT OF CONTACT:

Name:

Address:

Telephone:

Email:

ADMINISTRATIVE POINT OF CONTACT:

PLACE(S) OF PERFORMANCE:

PERIOD(S) OF PERFORMANCE:

DATE:

PROPOSAL VALIDITY PERIOD:

(Minimum 120 days)

Exhibit B Proposal Template Page 2 of 9

Contents Appropriate Use of Authority

Executive Summary

Technical Description

Technology Information

Metrics/Milestones

Statement of Work (SOW)

Milestones/Deliverables/Schedule

Price

Participants

Organizational Conflict of Interest Affirmations and Disclosure

Intellectual Property

Human Use

Appendix

Exhibit B Proposal Template Page 3 of 9

Appropriate Use of Authority All Project Level Orders under the EPIC Other Transaction Agreement (OTA) Indefinite Delivery Vehicle (IDV) must follow the Authority at 10 U.S.C. §4022.

The proposer should indicate they comply with the Appropriate Use of Authority 10. U.S.C.

§4022 (d) by providing a description of their requirement fulfillment including any necessary details.

Executive Summary This section should provide a summarization of the proposed project.

Synopsis:

Provide a synopsis of the proposed project and what you are offering to do.

Technical Objectives:

Why is the project innovative? How is it currently being done and what are you trying to do?

Impact:

If successful, who will this project impact?

Cost and Schedule:

How much will the effort cost and what will the schedule be?

Technical Description This section should demonstrate the technical challenges and provide a detailed plan to achieve the proposed goal.

Provide the objectives of the effort.

What is innovative and why will it succeed:

Explain what is new in the proposed approach and how it is positioned for success.

Risks and Mitigation:

Outline the risks and technical challenges associated with the proposed effort and detail potential solutions or mitigations.

Use Case:

Identify potential beneficiaries of the proposed solution.

Exhibit B Proposal Template Page 4 of 9

Technology Information This section should address the history of the proposed effort. Indicate any previous proposals for the same or similar efforts.

Metrics/Milestones The section should provide the deliverables/milestones for the proposed effort, to include estimated delivery dates (date from award). These milestones will allow the Government to evaluate the effectiveness of a proposed solution and serve as the basis for determining whether satisfactory progress is being made to warrant continued funding of the project.

Milestone Deliverable/Criteria Date

Statement of Work (SOW) The SOW should provide a detailed task breakdown, citing specific tasks and their connection to the milestones.