Out of Cycle AF Direct to Phase II CSO_FINAL_03302020.docx

DEPARTMENT OF THE AIR FORCE (AF)

SMALL BUSINESS INNOVATION RESEARCH (SBIR) PROGRAM

X20.R SBIR COMMERCIAL SOLUTIONS OPENING (CSO)

AF VENTURES DIRECT TO PHASE II TOPIC AF20R-DCSO1

30 March 2020: Solicitation posted to beta.SAM.

8 April 2020: Solicitation posted to DSIP. (More under “Important” below.)

30 April 2020: Full Proposals Due No Later Than 12:00 p.m. ET

IAW with Section 879 of the National Defense Authorization Act (NDAA) for Fiscal Year 2017 (P.L. 114-328), Congress has authorized the Defense CSO Pilot Program. This program allows agencies to obtain solutions or potential new capabilities fulfilling requirements, closing capability gaps, or providing potential technological advancements. Consistent with FY17 NDAA Section 879, AF is soliciting proposals under a CSO. This solicitation is intended for informational purposes and reflects current planning. If there is inconsistency between the information in the CSO and resulting awards, if any, the awards’ terms and conditions take precedent.IMPORTANT CSO Publication via Defense SBIR/STTR Innovation Portal (DSIP) and beta.SAM: The AF X20.R CSO, including topic AF20R-DCSO1, will be posted to beta.SAM on Monday 30 March 2020. The DSIP portal will open for proposal submission on 8 April 2020. Please monitor beta.SAM and DSIP for possible updates.

How to Submit: All proposals must be prepared and submitted through the Department of Defense (DOD) SBIR/STTR Innovation Portal (DSIP), https://www.dodsbirsttr.mil/. Ensure the proposal email address is accurate. AF is not responsible for missed notifications due to firms changing mailing address/email address/ company points of contact after submission without notifying the AF. Firms shall register in the System for Award Management, https://www.sam.gov/ to be eligible for award. Firms must verify registration for “All Contracts”, not just grants. Addresses must be consistent between the proposal and SAM at award.

Classified proposals are NOT accepted.

CSO Changes: The instructions/topic information have been significantly revised – read carefully.

SBIR/STTR Updates and Notices:

· The CSO of record is found at https://beta.sam.gov/ and https://www.dodsbirsttr.mil/ (select ‘Topics’; scroll down to ‘SITIS & Topics/Instructions’ header and select ‘AFX’ tab). Proposals must meet all CSO of record requirements at proposal submission deadline.

· To receive AF Ventures and other AF innovation opportunity notifications, register at https://af-ventures.com/ and https://www.afwerx.af.mil/join.html.

Help Desk: For AF SBIR/STTR Program questions, contact the AF Help Desk at 1-800-222-0336 or AFSBIRSTTR-Info@us.af.mil. For Defense SBIR/STTR Innovation Portal (DSIP) questions or issues, contact the DoD SBIR/STTR Help Desk at DoDSBIRSupport@reisystems.com.

TABLE OF CONTENTS

4.16 Promotional Materials

6.0 DIRECT TO PHASE II EVALUATION CRITERIA 37

7.0 COMMERCIALIZATION READINESS PROGRAM (CRP) 38

Defense-Related Dual-Purpose Technologies/Solutions with a Clear Air Force Stakeholder Need

ATTACHMENTS

1. COVID-19 Focus Area Interests

2. Customer Memoranda Template

3. Fund Matching Form Template

1.0 INTRODUCTION

The Air Force (AF) invites small business firms to submit proposals under this CSO for the Small Business Innovation Research (SBIR) Program. Firms with the capability to conduct research and development (R&D) in the AF-related topics described in Section 10.1 and to commercialize the results of that R&D are encouraged to participate. Note that this solicitation includes only one type of effort, Direct-to-Phase II.

The 2014 Quadrennial Defense Review (QDR) established innovation as a central line of effort in the national defense strategy of the United States. The decisive military advantage of the United States over its adversaries and peer competitors is steadily eroding. Consequently, under section 879 of the National Defense Authorization Act (NDAA) for Fiscal Year (FY) 2017 (Pub. L. 114-328) contracting officers may acquire innovative commercial items, technologies, or services using a competitive procedure called a Commercial Solutions Opening (CSO). Under this CSO, the DoD may competitively select proposals received in response to a general solicitation, similar to a Broad Agency Announcement, based on a review of proposals by Government scientific, technological, or other subject-matter experts. Use of a CSO in accordance with Class Deviation 2018-O0016 is considered a competitive procedure for the purposes of 10 U.S.C. chapter 127 and FAR 6.102. Contracting officers shall treat items, technologies, and services acquired using a CSO as commercial items. The full definition of commercial items (products and services) under FAR 2.101 applies to this solicitation. This CSO includes no requirement for a commercial product or service be an already developed, off-the-shelf item.

This CSO seeks innovative, commercial technologies proposed to create new AF solutions or potential new capabilities fulfilling requirements, closing capability gaps, or providing potential technological advancements. This CSO may result in the award of prototype projects, which include not only commercially available technologies fueled by commercial or strategic investment, but also concept demonstrations, pilots, and agile development activities incrementally improving commercial technologies, existing Government-owned capabilities, or concepts for broad defense application(s). The Government reserves the right to award a contract or an Other Transaction for any purpose, to include a prototype, under this CSO. The AF also reserves the right to award all, part, or none of the proposals received. The Federal Government is not responsible for any monies expended by the Applicant before award of any Funding Agreement. The SBIR/STTR program is not a substitute for existing unsolicited proposal mechanisms. Unsolicited proposals will not be accepted under the AF SBIR/STTR program in either Phase I or Phase II.

The AF Program Manager is Mr. David Shahady. General information related to the AF Small Business Program is found at http://www.airforcesmallbiz.af.mil/. The site contains contracting opportunities within the AF, as well as business information and upcoming outreach/conference events. Other informative sites include the Small Business Administration’s (SBA), www.sba.gov, and the Procurement Technical Assistance Centers, http://www.aptacus.us.org. These centers provide Government contracting assistance and guidance to small businesses, typically at no cost.

2.0 PROGRAM DESCRIPTION

2.1 Objectives

The AF SBIR Program’s objectives include stimulating technological innovation, strengthening the small business role in meeting DoD R&D needs, fostering and encouraging minority and disadvantaged persons in technological innovation, and increasing commercial application of DoD-supported R/R&D results.

The DoD 10 Technology Focus Areas representing AF Strategic priorities are listed below. Proposals are not required to address one of these areas.

1. Artificial Intelligence: Improve algorithms, address data quality, optimize human-machine coordination, and disrupt adversaries' efforts.

2. Autonomy: Address autonomous systems teaming; machine perception, reasoning and intelligence; human and autonomy systems trust and interaction.

3. Communications: Addressing high-performance, low power embedded processing and developing algorithms for self-configuring, self-healing, and resource allocation.

4. Cyber: Address behavioral issues, develop self-securing networks, and develop cyber effects and consequences capability assessments.

5. Directed Energy: Address power scaling, jitter reduction, laser size and weight, adaptive optics, beam propagation, and target tracking.

6. Hypersonics: Address high temperature materials, hypersonic vehicle manufacturing, air breathing propulsion, and hypersonic guidance and control systems.

7. Microelectronics: Develop economically competitive domestic manufacturing capabilities, improve radiation hardening, and develop radio frequency (RF) technologies for specialty applications with nuclear, space and electronic warfare capabilities.

8. Quantum Sciences: Address quantum clocks and sensors and quantum communications technologies. Develop enabling technologies for quantum computing in the areas of cryogenics and photon detection.

9. Space: Developing low earth orbit nano-satellites for missile warning, intelligence, surveillance, reconnaissance, navigation, and communications.

10. Biotechnology: Applications related to disease prevention and mitigation, rapid emergency medical response and trauma management, environmental remediation, and advanced materials.

The AF SBIR Program follows the policies and practices of the Small Business Administration (SBA) SBIR/STTR Policy Directive (2 May 19), https://www.sbir.gov/sites/default/files/SBIR-STTR_Policy_Directive_2019.pdf. This CSO incorporates and makes use of Policy Directive flexibilities to encourage proposals based on scientific and technical approaches most likely to yield important results for the AF and private sector.

2.2 Three Phase Program

The SBIR/STTR Program consists of Phases I, II, and III. Phase I is to determine, to the extent possible, the scientific and technical merit and feasibility of ideas with commercial potential. Proposals should concentrate on R/R&D significantly contributing to proving scientific and technical feasibility and the proposed effort’s commercialization potential, wherein successful completion is required to obtain further AF support, e.g., a Phase II award. Proposers should consider whether the R/R&D proposed to the AF has private sector potential, either for the proposed application or as the basis for other applications.

Phase II awards are based on Phase I results, including commercialization potential, relevance to Defense needs, and the Phase II proposal’s technical merit. Phase II is the principal R/R&D effort, expected to produce a well-defined deliverable prototype. Phase II awardees may receive one additional, sequential Phase II award to continue the project. There is also the possibility for a third Phase II award under the Commercialization Assistance Pilot Program (CAPP). Additionally, agencies may provide opportunities to apply for Phase IIB awards which seek to bridge the gap between Phase II and III. Proposals for these opportunities, if/when available, are sought through separate, discreet solicitation cycles.

The purpose of Phase IIIs is to further test, evaluate, or develop the prototype into a viable product or non-R&D service for sale in military or private sector markets. SBIR/STTR Phase IIIs include work deriving from, extending, or completing efforts made under prior SBIR/STTR funding agreements, but is funded by sources other than the SBIR/STTR Program. This can be private sector, non-SBIR/STTR Government sources, or both., Phase III work is typically oriented towards commercializing SBIR/STTR research or technology.

2.3 SBIR Direct to Phase II Topic Information

Phase II and Direct-to-Phase II

Technical Volume (Vol 2) Additional Info (Vol 5)

video interview

3.0 DEFINITIONS

The following definitions from the SBA SBIR/STTR Policy Direction, the Federal Acquisition Regulation (FAR), and 10 USC 2371b apply to this CSO:

3.1 Certified HUBZone Small Business Concern: An SBC 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).

3.2 Commercial Solutions Opening (CSO): A competitive procedure contracting officers may use to acquire innovative commercial items, technologies or services.

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

3.4 Essentially Equivalent Work: Work substantially the same research, proposed for funding in more than one application submitted to the same Federal agency, or two or more different Federal agencies for review and funding consideration. It may also include work where a specific research objective and the research design for accomplishing project objective are the same or closely related to another proposal or award, regardless of funding source.

3.5 Export Control: The International Traffic in Arms Regulations (ITAR), 22 CFR Parts 120 through projects with military or dual-use applications beyond fundamental research. Fundamental research is basic and applied research ordinarily published and shared broadly within the scientific community. More information is available at https://www.pmddtc.state.gov/?id=ddtc_kb_article_page&sys_id=24d528fddbfc930044f9ff621f961987.

3.6 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.

3.7 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.

3.8 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.

3.9 Funding Agreement: Any contract, grant, cooperative agreement, or Other Transaction for Prototype 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.

3.10 Innovative:

(1) Any new technology, process, or method, including research and development; or

(2) Any new application of an existing technology, process, or method.

3.11 Other Transaction: Refers to the type of Other Transaction Agreement (OTA) that may be placed as a result of this CSO. This type of OT is authorized by 10 U.S.C 2371b for prototype projects directly relevant to enhancing the mission effectiveness of military personnel and the supporting platforms, systems, components, or material proposed to be acquired or developed by the DoD, or for the improvement of platforms, systems, components, or materials in use by the armed forces. This type of OTA is treated by DoD as an acquisition instruments, commonly referred to as an “other transaction” for a prototype or a Section 2371b “other transaction.” The definition of a "prototype project" in the context of an OT is as follows: a prototype project addresses a proof of concept, model, reverse engineering to address obsolescence, pilot, novel application of commercial technologies for defense purposes, agile development activity, creation, design, development, demonstration of technical or operational utility, or combinations of the foregoing. A process, including a business process, may be the subject of a prototype project.

3.12 Performance Benchmarks for Progress Toward Commercialization: IAW the SBA SBIR/STTR Policy Directive Section 4.(a)(3), DoD’s established benchmark threshold applies only to Phase I applicants with more than 20 awards in the prior five fiscal years. The ratio of Phase I awards to Phase II awards received during the period must be at least 4:1. Additional information can be found at https://www.sbir.gov/performance-benchmarks.

3.13 Principal Investigator: The principal investigator/project manager is the 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 AF 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.

3.14 Proprietary Information: Proprietary information includes trade secrets, as well as commercial or financial information.

3.15 Research Involving Animal Subjects: ”Activities involving animal subjects shall be conducted in accordance with DoDI 3216.01, “Use of Animals in DoD Programs”; 9 CFR parts 1-4; National Academy of Sciences Publication “Guide for the Care & Use of Laboratory Animals” as amended; Department of Agriculture rules implementing the Animal Welfare Act (7 U.S.C. §§ 2131-2159); and other applicable Federal/DoD/local laws, regulations, and instructions.

“Animal use” protocols apply to activities meeting any of the following criteria:

a. Any research, development, test, evaluation or training (including experimentation) involving an animal or animals.

b. An animal is defined as any living or dead, vertebrate organism (non-human) being used or intended for use in research, development, test, evaluation, or training.

c. A vertebrate is a member of the subphylum Vertebrata (within the phylum Chordata), including birds and cold-blooded animals.

See DoDI 3216.01 for definitions of these terms and applicability to work involving animals

3.16 Research Involving Human Subjects: All research involving human subjects shall be conducted in accordance with 32 C.F.R. § 219 “The Common Rule”, 10 USC §980 “Limitation on Use of Humans as Experimental Subjects”, and DoDD 3216.02, “Protection of Human Subjects and Adherence to Ethical Standards in DoD-Supported Research,” as well as other applicable Federal and state law and regulations, and DoD component guidance. Offerors must be cognizant of and abide by the additional restrictions and limitations imposed on the DoD regarding research involving human subjects, specifically as they regard vulnerable populations (DoDD 3216.02), recruitment of military research subjects (DoDD 3216.02), and informed consent and surrogate consent (10 U.S.C. § 980) and chemical and biological agent research (DoDD 3216.02). Food and Drug Administration regulation and policies may also apply.

“Human use” protocols apply to all research that meets any of the following criteria:

a. Any research involving an intervention or an interaction with a living person that would not be occurring or would be occurring in some other fashion but for this research.

b. Any research involving identifiable private information. This may include data/information/specimens collected originally from living individuals (broadcast video, web-use logs, tissue, blood, medical or personnel records, health data repositories, etc.) in which the identity of the subject is known, or the identity may be readily ascertained by the investigator or associated with the data/information/specimens.

See DoDD 3216.02 for definitions of these terms and more information about the applicability of DoDI 3216.02 to research involving human subjects.

3.17 Research Involving Recombinant DNA Molecules: Any recipient performing research involving recombinant DNA molecules and/or organisms and viruses containing recombinant DNA molecules shall comply with the National Institutes of Health Guidelines for Research Involving Recombinant DNA Molecules, dated January 2011, as amended. The guidelines can be found at: https://osp.od.nih.gov/wp-content/uploads/2013/06/NIH_Guidelines.pdf. Recombinant DNA is defined as (i) molecules that are constructed outside living cells by joining natural or synthetic DNA segments to DNA molecules that can replicate in living cells or (ii) molecules that result from the replication of those described in (i) above.

3.18 Research or Research and Development:

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, systems, or methods, including prototype or process design, development, and improvement to meet specific requirements.

3.19 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).

3.20 Small Business Concern (SBC): A concern meeting the requirements set forth in 13 CFR.

§ 121.702 (available here).

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.)

3.21 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.

3.22 United States: 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.

3.23 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.

4.0 PROPOSAL FUNDAMENTALS

4.1 Introduction

The proposal must provide sufficient information to demonstrate to the reviewers the proposed work represents an innovative approach to investigation of important scientific or engineering problems and is worthy of support under the stated criteria. The proposed R/R&D must be responsive to the chosen topic.

Before submitting a proposal, offerors should assess the intended effort to determine:

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 IAW 13 C.F.R §§ 701-705 at time of award and certify to this on the proposal Cover Sheet. SBIR/STTR eligibility requirements are unique and do not correspond to other small business programs (see Section 3.15 of this CSO). Proposers must meet eligibility requirements for Small Business Ownership and Control IAW 13 CFR § 121.702 and Section 4.4 of this CSO.

b. A minimum of one-half of the Phase II research and/or analytical must be conducted by the offeror. The percentage of work is measured by both direct and indirect costs.

c. 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 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. Phase II R/R&D work must be performed by the small business concern and its subcontractors in the U.S.

e. Benchmarks. Proposers with prior SBIR/STTR awards must meet two benchmark requirements for progress toward commercialization as determined by the Small Business Administration (SBA) on 1 June 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 2014-2018), 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 2008-2018), 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 provide Agencies annually on 1 June the list of companies failingto meet minimum performance requirements. These companies will not be eligible to submit Phase I proposals for one year from that date.

· This requirement only affects a company’s eligibility for new Phase I awards. Companies failing to meet minimum performance requirements may continue work on current, ongoing SBIR/STTR awards. They may also apply for and receive new Phase II awards. Likewise, they are not prohibited from receiving Phase III awards.

· To provide advance warning, SBA notifies companies on 1 April if they are failing the benchmarks. If a company believes 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 award, and accurately complete necessary certifications.

· Companies’ benchmark information is not available to the public.

· At this time, SBA is not compiling a list of companies deemed ineligible to submit a proposal for a new Phase I or Direct-to-Phase II award based on failure to meet the Commercialization Benchmark requirement.

4.3 Joint Ventures

Joint ventures and limited partnerships are permitted, provided the entity created qualifies as a small business in accordance with the Small Business Act, 13 U.S.C. § 121.701.

4.4 Investment from, and Majority Ownership by, Venture Capital Operating Companies, Hedge Funds, and Private Equity Firms Small businesses owned in majority part by multiple venture capital operating companies (VCOC), hedge fund, or private equity firms, are ineligible to submit proposals under this CSO. This solicitation is not utilizing the Domestic Investment Pilot Program authority of the FY2020 NDAA Section 884. Further, investment of venture capital or investment from hedge funds or private equity firms will not be used as a criterion for selection under this CSO.

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 in response to this CSO. If efforts will require classified work during Phase II performance, the proposing firm must have or obtain a facility clearance. Additional information on facility and personnel clearance procedures and requirements can be found at the Defense Security Service site, http://www.dss.mil/index.html.

4.7 Research Involving Human Subjects

All research involving human subjects, to include use of human biological specimens and human data, shall comply with the applicable Federal and state laws and agency policy/guidelines for human subject protection (see Section 3.12).

Institutions to be awarded funding for research involving human subjects must provide documentation of a current Federal Assurance of Compliance with Federal regulations for human subject protection, for example a Department of Health and Human Services, Office for Human Research Protections Federal wide Assurance (http://www.hhs.gov/ohrp).

Additional Federal Assurance documentation may also be requested by the AF. All institutions engaged in human subject research, to include subcontractors, must also have a valid Assurance. In addition, personnel involved in human subject research must provide documentation of completing appropriate training for the protection of human subjects. Institutions proposing to conduct human subject research that meets one of the exemption criteria in 32 CFR 219.101 are not required to have a Federal Assurance of Compliance. If selected, institutions must also provide documentation of Institutional Review Board (IRB) approval or a determination from an appropriate official in the institution that the work meets one of the exemption criteria with 32 CFR 219. As part of the IRB review process, evidence of appropriate training for all investigators should accompany the protocol. The protocol, separate from the proposal, must include a detailed description of the research plan, study population, risks and benefits of study participation, recruitment and consent process, data collection and data analysis.

The amount of time required for the IRB to review and approve the protocol will vary depending on such things as the IRB’s procedures, the complexity of the research, the level of risk to study participants and the responsiveness of the Investigator. The average IRB approval process can last between one and three months. Once the IRB has approved the research, the AF will review the protocol and the IRB’s determination to ensure that the research will be conducted in compliance with DoD and DoD Component policies. The DoD review process can last between three to six months. Ample time should be allotted to complete both the IRB and DoD approval processes prior to recruiting subjects. No funding can be used towards human subject research until ALL approvals are granted.

4.8 Research Involving Animal Subjects

All research, development, testing, experimentation, education or training involving the use of animals shall comply with the applicable Federal and agency rules on animal acquisition, transport, care, handling, and use (see Section 3.11).

For submissions containing animal use, proposals should briefly describe plans for their Institutional Animal Care and Use Committee (IACUC) review and approval.

All Recipients must receive their IACUC’s approval as well as secondary or headquarters-level approval by a DoD veterinarian who is trained or experienced in laboratory animal medicine and science. No animal research may be conducted using DoD funding until all the appropriate DoD office(s) grant approval.

4.9 Research Involving Recombinant DNA Molecules

All research involving recombinant DNA molecules shall comply with the applicable Federal and state laws and regulations and any additional agency guidance. Research shall be approved by an Institutional Biosafety Committee.

4.10 Use of Unmanned Aircraft Systems (UAS)

All activities involving the operation of Unmanned Aerial Systems shall be conducted IAW Department of Defense Memo entitled “Guidance for the Domestic Use of Unmanned Aircraft Systems in the U.S. National Airspace, dated 18 August 2018 and DOD memo entitled, “Delegation Authority to Approve Exemptions for Using Commercial-Off-The-Shelf Unmanned Aerial Systems in Support of Urgent Needs, dated 16 November 2018. Contractor personnel operating DoD or DoD-contracted UAS in U.S. National Airspace, whether or not the domestic use is related to an intelligence activity, will comply with all laws, regulations, and guidance relating to the operation of UAS in U.S. National Airspace. Specific programs utilizing UAS are required to obtain an exemption for operational use of a UAS; therefore, additional documentation may be requested by the AF to support an exemption request. The DOD exemption approval process can last as much as two months. No funding can be used for contracted-UAS operations until ALL approvals are granted.

4.11 Proposal Status and Feedback

The Principal Investigator (PI) and Corporate Official (CO) indicated on the Proposal Cover Sheet (Volume 1) will be notified by email regarding proposal selection or non-selection. The SBC will receive a notification for each proposal submitted. Please read each notification carefully and note the proposal number referenced. If changes occur to the company mail or email address(es) or points of contact after proposal submission, the information must be provided to the AF at sbir@afwerx.af.mil. The message shall include the subject line, “20.R Address Change”.

Any feedback requests must be submitted in writing within 30 calendar days after receipt of notification of non-selection. Written requests for feedback must be submitted via sbir.feedback@afwerx.mil. Requests for feedback should include the company name and the telephone number/e-mail address for a specific point of contact, as well as an alternate. Additionally, include the proposal number(s). Feedback requests received more than 30 calendar days after non-selection notification receipt will be fulfilled at the Contracting Officers' discretion. Unsuccessful offerors are entitled to no more than one feedback response for each proposal.

Release of Proposal Review Information. After final award decisions have been announced, the peer review of the applicant’s proposal may be provided to the offeror. The identity of the reviewer shall not be disclosed.

It is anticipated all proposal reviews will be complete, selection decisions made, and notification letters sent within approximately 30 calendar days of proposal receipt. Please refrain from contacting the CSO Contracting Officer for proposal status before that time.

4.12 CSO, Selection, and Award Protests

Interested parties may have the right to protest this CSO by serving the Contracting Officer (listed below) with the protest, or by filing with the Government Accountability Office (GAO) or U.S. Court of Federal Claims. to by Ms. Kristina Croake, AF SBIR/STTR Contracting Officer, kristina-croake@us.af.mil. Protest of selections or awards should also be directed to Ms. Croake or by filing with the GAO or the U.S. Court of Federal Claims. If the protest is filed with the GAO, a copy of the protest shall be received by the AF Legal Operations Agency within one day of filing. Protests of a selected firm’s small business status should be directed to the SBA.

4.13 Direct-to-Phase II Award Information

a. Number of Awards. The number of awards will depend upon funds availability. The Government reserves the right to make no awards under this solicitation. The Federal Government is not responsible for any costs incurred before award receipt.

b. Type of Funding Agreement. Each selected Phase II proposal will be awarded as a negotiated contract or Other Transaction, including reasonable profit consistent with profit-making R/R&D firms. Firm-Fixed Price or Firm-Fixed-Price Level of Effort and/or an Other Transaction may be negotiated and are at the discretion of the Contracting Officer.

c. Average Dollar Value. The maximum Phase II contract value is found in Section 2.3, Chart 1.

d. Timing. It is intended peer review, proposal selection, negotiations, and award will be complete within 60 calendar days of proposal receipt.

4.14 Questions about this CSO and CSO Topics

a. General SBIR Questions/Information

1. AF Help Desk. The AF SBIR/STTR Help Desk is prepared to address general questions about this CSO, the proposal preparation and electronic submission process, and other program- related areas. The Help Desk may be contacted from 9:00 a.m. to 5:00 p.m. ET Monday through Friday at 1-800-222-0336 or AFSBIRSTTR-Info@us.af.mil.

2. AF SBIR/STTR Special Topic Updates and Notices. To receive notifications about AF Ventures and other AF innovation opportunities, please register at https://af-ventures.com/ and https://www.afwerx.af.mil/join.html.

3. Questions for Topic Author. During the proposal period, please send questions for the Technical Points of Contact to sbir20.r@afwerx.af.mil.

b. Online Q&A Webinars (‘Ask me Anything’): For information on these webinars, please visit https://www.afwerx.af.mil/sbir.html.

4.15 Registrations and Certifications

Firms must be registered in the DoD Submission system, https://www.dodsbirsttr.mil/submissions/login, to prepare and submit proposals.

Proposing firms must also register in the System for Award Management (SAM.gov). SAM.gov allows firms interested in conducting business with the Federal Government to provide basic business capability and financial information. To register, visit SAM.gov. Follow instructions found there to obtain a Commercial and Government Entity (CAGE) code and SAM Management Identifier (SAMMI) number. Offerors must be registered in SAM to receive awards. Firms are advised to visit SAM and ensure all company data is up to date before proposal submission and before award.

In addition to the standard Federal and DoD procurement certifications, the SBA SBIR/STTR Policy Directive requires certain information be collected from firms at award and during the award life cycle. Each firm will be asked to provide this additional information at the time of award, prior to receiving 50% of the total award amount, and prior to final payment.

4.16 Promotional Material

Promotional and non-project related proposal content is discouraged. Additional information provided via website or other communication medium, except where explicitly requested, will not be considered,

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

IMPORTANT -- It is permissible, with proper notification, to submit identical proposals or proposals containing a significant amount of essentially equivalent work (see Section 3.3) for consideration under multiple Federal program solicitations. However, it is unlawful to enter into contracts, grants, cooperative agreements, Other Transactions or other award types, requiring essentially equivalent effort. Questions concerning prior, current, or pending support of similar proposals or awards must be disclosed to the soliciting agency or agencies as early as possible.

4.18 Fraud and False Statements

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

The DoD Office of Inspector General (IG) Hotline is an important avenue for reporting fraud, waste, abuse, and mismanagement within the DoD. The DoD IG 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 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/ Written correspondence should be addressed to the Defense Hotline, The Pentagon, Washington, DC 20301-1900. Email reporting is available at hotline@dodig.mil.

4.19 State and Other Assistance Available

Many states have established programs to provide services to small business firms 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 award recipients;

· Assistance in obtaining Phase III funding.

Contact the state SBIR/STTR Support office at https://www.sbir.gov/state_services?state=105813# for further information.

4.20 Use of Support Contractors for the AF SBIR Program

Proposals may be handled for administrative purposes only by support contractors, including Oasis Systems, Riverside Research, Peerless Technologies, HPC-COM, Mile Two, Wright Brother Institute, and MacB (an Alion Company). In addition, only Government employees and technical personnel from Federally Funded Research and Development Centers (FFRDCs) MITRE and Aerospace Corporations working under contract to provide technical support to AF Life Cycle Management Center and Space and Missiles Centers may evaluate proposals. All support contractors are bound by appropriate non-disclosure agreements. Contact the AF SBIR/STTR Contracting Officer listed in section 4.12 with concerns regarding the listed contractors.

4.21 Innovation in Manufacturing

Pursuant to EO 13329, high priority is accorded to proposals advancing innovation in U.S. small business manufacturing.

5.0 DIRECT TO PHASE II PROPOSAL INSTRUCTIONS

5.1 Introduction

15 U.S.C. §638(cc), as amended by NDAA FY12, Sec. 5106, and further amended by NDAA FY19, Sec. 854, PILOT TO ALLOW PHASE FLEXIBILITY, allows the AF to make SBIR Phase II awards to small business concerns without regard to whether the small business concerns were provided awards under Phase I of the program for the same proposed project. The Air Force is implementing a Direct to Phase II CSO opportunity under this authority. This does not guarantee future Direct to Phase II opportunities will be offered. Proposals submitted under this CSO must include documentation to determine Phase I feasibility has been met.

5.2 Proposal Provisions

Offerors must provide documentation satisfying the Phase I feasibility requirement* as an appendix to the Phase II proposal. Offerors must demonstrate completion of research and development through means other than the SBIR/STTR Programs solely to establish the feasibility of the Phase II proposal based on the criteria outlined in the topic description. Phase II proposals require a comprehensive, detailed effort description. Proposals should demonstrate sufficient Phase I technical progress or problem-solving results to warrant more extensive R/R&D. Developing technologies with commercial and military potential is extremely important. Particularly, AF is seeking proposals emphasizing technologies’ dual-use applications and commercial exploitation.

* NOTE: Offerors are required to provide information demonstrating scientific and technical merit and feasibility has been established. The AF will not review the Phase II proposals if it is determined the offeror 1) fails to demonstrate technical merit and feasibility are established or 2) the feasibility documentation does not support substantial performance by the offeror and/or the principal investigator (PI). Refer to the Phase I description (within the topic) to review the minimum requirements needed to be demonstrated in the feasibility documentation. Feasibility documentation MUST NOT be solely based on work performed under prior or ongoing Federally funded SBIR or STTR work.

5.3 Direct to Phase II Open Topic

The Direct to Phase II contract period of performance is up to 27 months, including 24 months for technical performance and three months for reporting. The award value will not exceed $1M. Companies with solutions requiring further prototyping and demonstration prior to a SBIR Phase III award may apply. Awards will provide additional funds to conduct further R/R&D effort on non-defense commercial solutions to meet a specific Air Force end-user and customer need. These Phase II awards are intended to provide a path to commercialization, not the final step for the proposed solution. Matching funds from non-SBIR Federal and non-Federal sources are not mandatory. Cost-sharing is also not required. However, cost share or match serves as evidence of commercial potential in accordance with 15 USC 638(e)(4)(B)(ii).

For Governmental cost match, funds must be received by AFRL/SBRF within 30 days of CSO closing.