Attachment 8 - Air Force Research Laboratory Security Risk Review AFRLI 61-113.pdf

FA8650-22-S-5002 (Amendment 3) A achment 8

AFRL/RX Func onal Materials Open BAA A achment 8

Air Force Research Laboratory Security Risk Review – AFRLI 61-113 I. No ce of Intent.

(a) Security Risk Review. 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 iden fying possible vectors of undue foreign influence. AFRL will follow all policy and procedures outlined in Air Force Research Laboratory (AFRL) Instruc on AFRLI 61-113, Science and Technology Protec on for the Air Force Research Laboratory and Department of the Air Force Instruc on DAFI 63-101/20-101, Integrated Lifecycle Management.

(b) Security risk review for these subject applica on/proposals will be developed for all proposed Senior/Key personnel and “Covered Individuals”. These risk reviews will be based on informa on disclosed in a Research and Related Senior and Key Person Profile and Security Ques onnaire. In addi on, any accompanying or referenced documents, publicly available informa on, and informa on contained in internal U.S. Government databases will be u lized in risk reviews. Na onality or ci zenship is not a factor in the security risk reviews.

(c) When considering all external engagements, AFRL incorporates a holis c decision-making process that encompasses technical and security factors. The security review method implemented by AFRL measures risk factors to iden fy the appropriate Risk Acceptance Level (RAL) within the organiza on. The objec ve 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 poten al security risk factors are set forth below:

Poten al security risk factors:

II. Ac ons Required by Applicants/Recipients and/or Offerors/Contractors at applica on/proposal submission.

(a) In accordance with AFRLI 61-113, S&T Protec on, Applicants/Recipients and/or Offerors/Contractors are required to submit the following documenta on with their applica on/proposal:

(1) Grant or Coopera ve Agreement (CA)applica on:

(i) Standard Form 424, “Research and Related Senior and Key Person Profile (Expanded) (See Appendix 1)

AND;

(ii) Security Program Ques onnaire (See Appendix 2) AND;

(iii) “Privacy Act Statement” consent form for each Covered Individual that is also signed by the Applicants/Recipients as that Individual’s Sponsor. (See “Covered Individual” sec on below, and Appendix 4)

(2) Contract or Other Transac on Agreement (OTA) proposals:

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

(ii) Security Program Ques onnaire (See Appendix 2) AND;

(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” sec on below, and Appendix 4)

(3) In the event a security risk is iden fied, and the Government has determined the security risk exceeds the acceptable threshold, the Applicant/Recipient and/or Offeror/Contractor will be no fied and informed of the decline of award. The Government will provide as much ra onale for the decision as Government OPSEC measures allow for. Challenges under awards made solely for Fundamental Research shall follow the OSD R&E Memorandum dated 6 June 2023. Challenges under any other type of award shall follow the Ombudsman procedures within this Announcement/Solicita on.

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

(i) To cer fy that each covered individual who is listed on the applica on has been made aware: 1) of all relevant disclosure requirements, including the requirements of 42 U.S.C. § 6605; and 2) that false representa ons may be subject to prosecu on 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 Na onal Science and Technology Council Guidance for Implemen ng Na onal Security Presiden al Memorandum 33 (NSPM-33) on Na onal 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 iden fy Foreign Components or par cipa on by Senior/Key Personnel in Foreign Government Talent Recruitment Programs and agree to share such informa on with the Government upon request.

III. Ac ons Required by Covered Individuals.

(a) Covered Individual. An individual who contributes to a substan ve, meaningful way to the scien fic development or execu on 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, Defini ons. (Note: For purposes of a Broad Agency Announcement (BAA) solicita on, “covered individuals” are all Senior/Key Personnel.)

(b) Federal law requires that all current and pending research support, as defined by 42 U.S.C. §6605, must be disclosed at the me of applica on/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 iden fied 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 and/or Offeror/Contractor for submission with the applica on/proposal. (See Appendix 4)

(d) Any decision to accept an applica on/proposal for funding under this announcement/solicita on will include full reliance on the individual’s statements. Failure to report fully and completely all sources of project support and outside posi ons and affilia ons may be considered a material statement within the meaning of the False Claims Act, 31 U.S.C. 3729, and cons tute a viola on of Federal law.

IV. Ac ons required by Applicants/Recipients and/or Offerors/Contractors during period of performance:

(a) Applicant/Recipient and/or Offeror/Contractor will be required to re-submit the Research and Related Senior and Key Person Profile as an annual requirement. In addi on, whenever a new covered individual(s) is to be added or iden fied as performing under the funded project, a new Research and Related Senior and Key Person Profile will be required prior to con nued performance.

(b) If, at any me, during performance of this award, the Applicant/Recipient and/or Offeror/Contractor learns that its Senior/Key Research Personnel (including any sub awardee personnel who receive this designa on) are or are believed to be par cipants in a Foreign Government Talent Program or have Foreign Components with a strategic compe tor or country with a history of targe ng U.S. technology for unauthorized transfer, the Applicant/Recipient and/or Offeror/Contractor will no fy the Contrac ng/Grants/Agreements Officer within 5 business days of awareness.

(c) This disclosure must include specific informa on as to the personnel involved and the nature of the situa on and rela onship. The Government will review this informa on and conduct any necessary fact-finding or discussion with the Applicant/Recipient and/or Offeror/Contractor. The Government’s determina on on disclosure may include acceptance, mi ga on, or termina on of the award.

(d) Failure of the Applicant/Recipient and/or Offeror/Contractor to reasonably exercise due diligence to discover or ensure that neither it nor any of its Senior/Key Research Personnel involved in the subject award are par cipa ng in a Foreign Government Talent Program or have a Foreign Component with a strategic compe tor or country with a history of targe ng U.S. technology for unauthorized transfer may result in the Government exercising remedies in accordance with federal law and regula on.

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

A achments:

Appendix 1: Standard Form 424, “Research and Related Senior and Key Person Profile" (Expanded) Appendix 2: Security Program Ques onnaire Appendix 3: Research and Related Senior and Key Person Profile Worksheet Appendix 4: Privacy Act Statement

Research and Related Senior and Key Person Profile Worksheet

Profile – Project Director / Principal Investigator

* First Name:

Middle Name:

* Last Name:

Suffix:

* Position / Title:

Department:

* Organization Name:

Division:

Phone Number:

* Email Address:

LinkedIn Profile:

* Project Role:

Other Project Role:

Profile – Senior / Key Person 1

* Last Name:

Suffix:

* Position / Title:

Department:

* Organization Name:

Division:

Phone Number:

Attachment 8, Appendix 3

Research and Related Senior / Key Person Profile – FAR-Based Contracts

Profile – Senior / Key Person 2

* Last Name:

Suffix:

* Position / Title:

Department:

* Organization Name:

Division:

Phone Number:

Profile – Senior / Key Person 3

* Last Name:

Suffix:

* Position / Title:

Department:

* Organization Name:

Division:

Phone Number:

Attachment 10, Appendix 3

Research and Related Senior / Key Person Profile – FAR-Based Contracts

Profile – Senior / Key Person 4

* Last Name:

Suffix:

* Position / Title:

Department:

* Organization Name:

Division:

Phone Number:

Profile – Senior / Key Person 5

* Last Name:

Suffix:

* Position / Title:

Department:

* Organization Name:

Division:

Phone Number:

Attachment 10, Appendix 3

First Name:

Middle Name:

Last Name:

Suffix:

Position Title:

Department:

Organization Name:

Division:

Phone Number:

Email Address:

Other Project Role:

First Name_2:

Middle Name_2:

Last Name_2:

Suffix_2:

Position Title_2:

Department_2:

Organization Name_2:

Division_2:

Phone Number_2:

Email Address_2:

Other Project Role_2:

First Name_3:

Middle Name_3:

Last Name_3:

Suffix_3:

Position Title_3:

Department_3:

Organization Name_3:

Division_3:

Phone Number_3:

Email Address_3:

Other Project Role_3:

First Name_4:

Middle Name_4:

Last Name_4:

Suffix_4:

Position Title_4:

Department_4:

Organization Name_4:

Division_4:

Phone Number_4:

Email Address_4:

Other Project Role_4:

First Name_5:

Middle Name_5:

Last Name_5:

Suffix_5:

Position Title_5:

Department_5:

Organization Name_5:

Division_5:

Phone Number_5:

Email Address_5:

Other Project Role_5:

First Name_6:

Middle Name_6:

Last Name_6:

Suffix_6:

Position Title_6:

Department_6:

Organization Name_6:

Division_6:

Phone Number_6:

Email Address_6:

Other Project Role_6:

LinkedIn:

LinkedIn_2:

LinkedIn_3:

LinkedIn_4:

LinkedIn_5:

LinkedIn_6:

Project Role_6: [PD / PI]

Project Role_5: [PD / PI]

Project Role_4: [PD / PI]

Project Role_3: [PD / PI]

Project Role_2: [PD / PI]

Project Role: [PD / PI]

Privacy Act Statement Air Force Research Laboratory

Authority: Government Paperwork Elimination Act (Pub. L. 105-277, 44 U.S.C. 3504); Executive Order 12372, Intergovernmental review of Federal Programs (47 FR 30959); 42 U.S. Code § 6605 – Disclosure of funding sources in applications for Federal research and development awards; Public Law 117-167, CHIPS and Science Act; Public Law 116-92, National Defense Authorization Act for Fiscal Year 2020;

Public Law 116-283, National Defense Authorization Act for Fiscal Year 2021; 5 U.S.C. 9101, Access to Criminal History for National Security and Other Purposes 5 CFR §1320.8, Agency collection of information Responsibility; 18 U.S.C. § 1001, False Statements, Concealment; E.O. 13478, Amendments to Executive Order 9397 Related to Federal Use of social Security Numbers; NSPM-33, National Security Presidential Memorandum 33 on National Security for United States Research and Development; DoD-D 5240.01, DoD Intelligence Activities; DoDI 5200.02, Department of Defense Personnel Security Program; DODI 5205.87 Mitigating Risks Related to Foreign Ownership, Control, or Influence for Covered DOD Contractors and Subcontractors; Air Force Research Laboratory Instruction 61-113, Science and Technology Protection for the Air Force Research Laboratory;

Purpose: The information collected may be used in processing, investigating, and maintaining records relevant to Federal Grants, Cooperative Agreements, Contracts, Other Transaction Agreements or other research related agreements awarded by the Department of the Air Force. Records in these systems will be used to ensure Department of the Air Force sponsored and/or awarded federal grants, cooperative agreements, contracts, Other Transaction Agreements and/or benefits are awarded to responsible parties, entities, and individuals.

Routine Uses: To contractors, grantees, experts, consultants, students, and others performing or working on a contract, grant, cooperative agreement, other transaction or other assignment for the Federal Government when necessary to accomplish an agency function.

To the appropriate Federal, State, local, territorial, tribal, foreign, or international law enforcement authority or other appropriate entity where a record, either alone or in conjunction with other information, indicates a violation or potential violation of law, whether criminal, civil, or regulatory in nature.

DoD Blanket Routine Use (http://dpcld.defense.gov/privacy)

Effect of not providing information: Providing information to the Department of the Air Force is voluntary. However, 42 U.S. Code § 6605, which imposes certain disclosure requirements in connection with Federal research and development awards, provides various enforcement mechanisms for non-compliance to include civil or criminal remedies. One such mechanism, which the Department of the Air Force intends to pursue here, is rejection of such applications.

Proposal Title: ____________________________

Acknowledgment of consent:

Covered individual (Signature): ______________________________ Date: ___________

Covered individual (Name print): ______________________________

Institution’s Authorized Representative (Signature): _______________________ Date: ___________

Institution’s Authorized Representative (Name print): ______________________________

Institution Name: _______________________________

Attachment 8, Appendix 4 http://dpcld.defense.gov/privacy

Proposal Title:

Covered individual Name print:

Institutions Authorized Representative Name print:

Institution Name:

Date:

Date2:

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Research and Related Senior/Key Person Profile (Expanded)

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Province:

PROFILE - Project Director/Principal Investigator

Prefix:

* First Name:

Middle Name:

* Last Name:

Suffix:

Organization Name:

Division:

Position/Title:

Department:

* Street1:

Street2:

* Phone Number:

Fax Number:

* E-Mail:

Credential, e.g., agency login:

* Project Role:

Other Project Role Category:

* Zip / Postal Code:

* Country:

* State:

County/ Parish:

* City:

Attach Current & Pending Support

RESEARCH & RELATED Senior/Key Person Profile (Expanded)

*Attach Biographical Sketch

OMB Number: 4040-0001

Expiration Date: 11/30/2025

Degree Type:

Degree Year:

Province:

PROFILE - Senior/Key Person

Prefix:

* First Name:

Middle Name:

* Last Name:

Suffix:

Organization Name:

Division:

Position/Title:

Department:

* Street1:

Street2:

* Phone Number:

Fax Number:

* E-Mail:

Credential, e.g., agency login:

* Zip / Postal Code:

* Country:

* State:

County/ Parish:

* City:

* Project Role:

Other Project Role Category:

Degree Type:

Degree Year:

Attach Biographical Sketch

Attach Current & Pending Support

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

ADDITIONAL SENIOR/KEY PERSON PROFILE(S)

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

Additional Current and Pending Support(s)

RESEARCH & RELATED Senior/Key Person Profile (Expanded)

Mandatory:

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

View Attachment: Click here to view the attachment.:

Delete Attachment: Click here to delete the attachment.:

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

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

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

Delete Attachment: Click here to delete the attachment.:

View Attachment: Click here to view the attachment.:

FileName:

MimeType:

href:

hashAlgorithm:

HashValue_data:

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

recordno:

DataEntered:

cheat:

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

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

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

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

Delete Attachment: Click here to delete the attachment.:

View Attachment: Click here to view the attachment.:

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

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

Delete Attachment: Click here to delete the attachment.:

View Attachment: Click here to view the attachment.:

Attachment 8, Appendix 2

AFRL/RX Functional Materials Open BAA

Attachment 8, Appendix 2

Security Program Questionnaire

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

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

Date Submitted:

Applicant Name:

CAGE Code/SCL and level (if applicable):

Completed by Name:

Position/Title:

1. What are your physical security plans?

2. What information security processes are in place?

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

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

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

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

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

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

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

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

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

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

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

Additional comments: