Defense Production Act Title III Expansion of Domestic Production Capability and Capacity

Call 001 Announcement Alane Fuel

FUNDING OPPORTUNITY ANNOUNCEMENT (FOA) # FA8650-19-S-5010
DEFENSE PRODUCTION ACT (DPA) TITLE III EXPANSION OF
DOMESTIC PRODUCTION CAPABILITY AND CAPACITY
MATERIALS & MANUFACTURING DIRECTORATE
CALL 001
“HIGH ENERGY DENSITY ALANE FUEL MANUFACTURING
FOR DOD SYSTEMS PROJECT”
Overview Information
NAICS Code: The NAICS Code for this acquisition is 339999 (All Other
Miscellaneous Manufacturing), and the small business size standard is 1,500
employees.
Federal Agency Name: Air Force Research Laboratory, AFRL/RXKMT
CALL Title: High Energy Density Alane Fuel Manufacturing for DoD Systems
Project
Funding Opportunity Announcement (FOA) Type: This is CALL 001
Funding Opportunity Agency Announcement Number: FA8650-19-S-5010
THIS WILL BE A ONE-STEP SOLICITATION: FOA with Calls - Refer to Funding
Opportunity Announcement FA8650-19-S-5010 Section VII. FOA with Calls for more
information regarding proposal submission information and proposal content and
form. Please note that any Roman Numeral Sections shown within this call
references back to the FOA Announcement Section of same Roman
Numeral.
Topic Area: Commercialization of Research & Development (R&D) Investments
(Efforts to transition Government sponsored R&D to commercial applications; and
from commercial R&D to national defense applications)
THE GOVERNMENT SUSPENDS WHITE PAPER SUBMISSIONS RELATED TO
ALANE FUEL EFFECTIVE ON THE DATE AND TIME THAT THIS CALL IS
POSTED. WHITE PAPER SUBMISSIONS TIED TO ALANE FUEL WILL NOT BE
REVIEWED.
PROPOSAL DUE DATE AND TIME: 04 Oct 2019, received prior to 12:00 PM
Eastern Standard Time (45 days after Call release)
PROPOSAL Submission: Proposals must be submitted to the Contracting Point of
Contact (POC): Sherrod D. Williams, AFRL/RXKMT, 2130 8th St., Bldg. 45, Wright-
Patterson AFB, OH 45433-7541.
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Note: Any proposal, modification or revision received at the Government Office
designated in this FOA after the exact date and time specified for receipt of offers is
“late” and will not be considered except at the Agreement Officer’s (AO) discretion.
It should be noted that this installation observes strict security procedures to enter
the facility. These security procedures are NOT considered an interruption of
normal Government processes, and proposals received after the stated date and
time as a result of security delays will be considered “late.” Furthermore, note that
if offerors utilize commercial carriers in the delivery of proposals, they may not
honor time-of-day delivery guarantees on military installations. Be advised, if the
U.S. Postal Service is used, this building only receives U.S. Postal Mail twice a week
and delivery by such means may not meet the proposal due date and time. Early
proposal submission is encouraged. Proposals should be addressed to the
Contracting Point of Contact (POC) stated in the Submission section.
Type of Contract/Instrument: The Government intends to utilize the
Department of Defense Grant and Agreement Regulations (DoDGARs)-based
Technology Investment Agreement (TIA) for any awards made off of this Call.
However, the Government may consider award of a Cooperative Agreement in rare
situations if it is a better fit for the requirement.
Estimated Program Cost: Total program cost $8.0 million ($4.0 million
Government funding plus $4.0 million recipient(s) cost share). Estimating up to two
awards at approximately $2.0 million Government share each. Program budget is
subject to funding availability.
Anticipated Number of Awards: The Government anticipates making up to two
awards estimated at approximately $2 million each in Government Share for this
Call. However, the Government reserves the right to make multiple awards, a
single award, or no award based on technical solutions proposed and funding
availability.
Communication Between Prospective Offerors and Government
Representatives: All exchanges with offerors after the Call is issued shall go
through the Agreements Officer. After Call release, questions and answers may be
posted if warranted.
Discussions with any of the points of contact shall not constitute a commitment by
the Government to subsequently fund or award any proposed effort. Only
Contracting/Grants/Agreements Officers are legally authorized to commit the
Government.
The primary POCs throughout the acquisition process will be:
Agreements Negotiator – Mr. Sherrod Williams (AFRL/RXKMT)
Agreements Officer – Ms. Sheila Titer (AFRL/RXKMT)
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Address technical questions to the Technical POC:
Alan R. Taylor, Alane DPA Title III Program Program Manager, 2977 Hobson Way,
Bldg. 653, Wright-Patterson AFB, OH 45433, (937) 904-4593,
alan.taylor.3@us.af.mil.
Address contracting questions to the Agreements/Contracting POCs:
Agreements Negotiator – Mr. Sherrod D. Williams, AFRL/RXKMT, 2130 8th St., Bldg.
45, Wright-Patterson AFB, OH 45433-7541, (937) 713-9886,
sherrod.williams.1@us.af.mil.
Agreements Officer – Ms. Sheila Titer, AFRL/RXKMT, 2130 8th St., Bldg. 45, Wright-
Patterson AFB, OH 45433-7541, (937) 713-9893,
sheila.titer@us.af.mil.
CALL FULL TEXT ANNOUNCEMENT:
I. Program Description:
1. Topic Areas:
The DPA Title III Program has derived three broad Topic Areas for
potential projects. The Topic Areas are: Sustainment of Critical
Production, Commercialization of Research and Development Investments,
and Scaling of Emerging Technologies. This Call fits within the Topic Area
expanded on below:
b. Commercialization of Research and Development (R&D)
Investments: Efforts to transition Government sponsored R&D to
commercial applications; and from commercial R&D to national defense
applications.
Brief Project Summary: The objective of this project is to establish
domestic, economically viable, cost effective production capabilities for the
manufacturing of aluminum hydride, also known as alane, for use with
various fuel cell systems.
Overview:
This project aims to prove out the capability to produce alane at a small
production representative scale and provide the Government information
related to requirements for scaling up production.
a. Develop plans for this effort including already existing
equipment/facilities planned to be used and required purchases (new
capital equipment and facility enhancement items)
b. Establish a small functional, production-representative scale operation
capable of manufacturing the specification grade alane
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c. Develop a rigorous cost analysis for this “small scale” of operation and
identify an alane $/kg estimated cost of the proposed 'scaled' plant (in
kg/yr)
d. Develop plans to reduce the costs associated with the raw materials
required to produce alane, or processes that require less expensive raw
materials
e. Develop detailed plans for increasing production to meet forecasted
market volumes at viable target fuel costs for operation of military and
commercial applications
f. Initial alane chemistries from multiple batches shall be tested at an
independent lab that is approved by the government to ensure
consistent production capability.
2. Within Scope Modifications: See FOA.
3. Deliverable Items: The following reporting requirements are applicable to
this Call as defined in the FOA Appendix II Sample TIA:
Deliverable Item Submittal Requirement
7.040 Final Report 3 months after conclusion of technical effort
7.050 Funds & Man-hour Expenditure Report Quarterly
7.052 Contractor’s Progress, Status & Mgt Report Quarterly
7.054 Strategic Business Plan 6 months ARA*
7.055 Property Control List Quarterly / As Required
7.057 Presentation Material Quarterly / As Required
7.060 Marketing Plan 9 months ARA
* After Receipt of Agreement or Award (ARA)
4. Schedule/Period of Performance: The Government estimates a Total
Period of performance (POP) of 15 months for this Call. This timeframe
consists of an estimated Technical Period of Performance (TPOP) of 12
months with three months allotted for generating the final report.
5. Other Requirements:
a. Program Security classification: Unclassified.
b. OPSEC: Standard requirement is included in the SOO for this Call
c. Export Control: Information involved in this project will be subject to
Export Control. Recipients shall comply with all U.S. export control
laws and regulations, including the International Traffic in Arms
Regulations (ITAR), 22 CFR Parts 120 through 131, and the Export
Administration Regulations (EAR), 15 CFR Parts 710 through 774, in the
performance of this agreement. Reference FOA Appendix II Sample
TIA. As prescribed by Article 6.031, “Export-Controlled Data
Restrictions” is contained in this solicitation. This article shall
be contained in ALL resulting agreements.
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6. Other Information:
a. Government Furnished Property (GFP): Not anticipated
b. Government Furnished Information and/or Software: Not
Anticipated
c. Base Support/Network Access: Not anticipated
d. Data Rights Desired:
(1) Technical Data: Government Purpose Rights desired. Recipients
may bring IP to the individual projects
(2) Non-Commercial Software (NCS): Not Applicable (N/A)
(3) NCS Documentation: N/A
(4) Commercial Computer Software Rights: N/A
e. Human or Animal Subject Use: Not anticipated
f. Hazardous Materials: Not anticipated
g. Radioactive Materials: Not anticipated
h. Ozone Depleting Substances: Not anticipated
i. On-base Testing: Not anticipated
j. Initial Safety Assessment: Initial Safety Assessment for
Government is considered low. Recipients must comply with all federal,
state, and local safety and environmental regulations.
k. Military Equipment Valuation: N/A
l. Recipient Acquired Property: Anticipated – Acquired plant
equipment will be tagged and maintained by the recipient with the
expectation that the government may transfer the equipment to the
recipient at some point during a potential no-cost monitoring phase.
m. Option(s): No options are anticipated. Following the successful
completion of an award under this Call, a follow-on effort may be
competitively awarded amongst those that receive an award off this Call.
The number of manufacturers to carry forward will be dependent on the
results of this effort, funding and government requirements.
n. No Cost Monitoring Phase: A no cost monitoring phase (NCMP) may
be added after the end of the technical effort. A NCMP allows a continued
partnership that provides the government with additional business,
marketing, and business viability insight with the Recipient. At the end
of a NCMP, if applicable, an equipment disposition strategy for any GFP
and/or CAP will be developed and implemented. In this arrangement the
Government may choose to transfer any, all, or no equipment for this
effort, as needed to continue Recipient’s viability as a Merchant Supplier.
These aspects are described in Agreement Property Article 3.041,
provided as FOA Appendix II Sample TIA.
II. Award Information
1. Anticipated Award Date: The entire acquisition process will take
approximately 165 calendar days, but the actual duration may vary.
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2. Anticipated funding: Funding is an estimate only and not a
contractual obligation for funding. All funding is subject to change due
to Government discretion and availability. Potential offerors should be
aware that due to unanticipated budget fluctuations funding in any or
all areas may change with little or no notice.
3. Award: The Government intends to award a DoDGARs agreement
known as a TIA. TIAs are governed by the DoDGARs and 2 CFR 200.
A sample TIA, along with other sample documents, is attached to the
FOA. See Appendix II for the sample TIA. Any
clarifications/exceptions to the TIA articles, as presented in the sample
TIA, must be stated at the time of proposal submission. However, the
Government may consider award of a Cooperative Agreement in rare
situations if it is a better fit for the requirement.
III. Eligibility Information
1. Eligible Offeror: See FOA.
2. Proposed Cost Sharing or Matching: See FOA.
3. Other:
a. Foreign participation: Per Defense Production Act of 1950, execution of
the project requires a U.S. based company as lead. Foreign
Participation is not allowed at a Prime Recipient level for this effort.
Foreign Nationals (FNs) can be employed by the U.S. Prime Recipient or
Sub-awardee; however, FNs will be limited to Public Domain
information unless the recipient has obtained the proper License of
Technical Assistance Agreement that authorizes disclosure of CMI
and/or CUI to foreign entities pursuant to the Department of State’s
International Traffic in Arms Regulations (ITAR) or Department of
Commerce’s EAR.
Public Domain information is defined as information that is releasable to
the general public and sometimes referred to as open source material.
Examples include but are not limited to newspapers, magazines and
information posted on the internet.
b. Offerors may be ineligible for award if all requirements of the FOA and
this Call are not met by proposal due date.
IV, V. and VI Sections: Not Applicable to Calls
VII. FOA with Calls (One-Step Process)
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1. Call Announcement Information (Also referred to as a Call):
a. Overview: See FOA.
b. Requirements:
Domestic Source Requirement: The proposal submitter must
provide proof of meeting the Domestic Source requirement IAW DPA
Law or the proposal will not be reviewed.
2. FOA with Calls (One-Step Process) Proposal Submission
Information:
a. General Instructions:
(1) Offerors shall submit a technical and cost proposal within timeframe
shown in Proposal Due Date and Time Section. After receipt,
proposals will be evaluated in accordance with the award criteria
stated below. Proposals will be categorized and potentially selected
for negotiations. The Government intends to evaluate proposals and
award some, all or none of the proposals received without
negotiation/discussion; however, the Government reserves the right
to negotiate with those offeror(s) whose proposal is selected for
funding.
(2) Proposals must reference the announcement number FA8650-19-S-
5010; the Call, the relevant Topic Area shown in Topic Area
Section; and, if applicable, the project title.
3. FOA with Calls (One-Step Process) Proposal Content & Form:
Note: Refer to Funding Opportunity Announcement FA8650-19-S-5010
Section VII. FOA with Calls for more information regarding proposal
submission information and proposal content and form.
a, b, d thru f: See FOA for Guidance
c. Domestic Source Proof: Include proof of domestic source. This will
not count toward the page limit.
g. Technical/Management Proposal:
(1). Page Limitations: The following describes the page limitations
on the proposal submittal for this Call:
i. Technical Discussion: up to 35 pages
ii. Summary Business Plan: up to 25 pages
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iii. Statement of Work: up to 10 pages (not included in
tech proposal page count)
iv. Tech Proposal Total: up to 50 pages
(2) thru (6), (8) & (9): See FOA
(7) Summary Business Plan: See FOA
Note: The table of contents and cover page will not be included in the
page count referenced above.
Note: The Government will check the proposal and SOW for
conformance to the stated requirements. Any pages in excess of the
stated page limitation after the format check will not be considered.
h. Cost/Business Proposal: See FOA – Note change below:
(3) Cost proposals Page Limitations: See FOA
i. Proposal Content Summary: You may be ineligible for award if all
requirements of this solicitation are not met on the proposal due date.
VIII. FOA with Calls (One-Step Process) Proposal Review Information
Note: Offeror must provide proof of meeting the Domestic Source
requirement IAW DPA Law or the proposal will not be reviewed.
1. Proposal Evaluation Criteria:
a. See FOA.
b. The selection of one or more sources for award will be based on an
evaluation of the recipient’s technical and cost proposals to determine
the overall merit of the proposal in response to the Call, SOO and
funding availability.
c. The evaluation criteria are comprised of five factors ranked in
descending order of importance:
(1) Manufacturing Capability and Experience
(2) Quality of Technical Approach
(3) Business Viability
(4) Merchant Supplier Orientation
(5) Cost/Price
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d. These criteria will be used to evaluate the proposal once it is
determined that the offeror has met all of the FOA Project
Requirements.
e. See FOA.
f. Risk is to be assessed as part of each of the above criteria.
g. See FOA.
h. The offeror must provide proof of meeting the domestic source
requirement IAW DPA Law or the proposal will not be evaluated.
i. The evaluation criteria are expanded upon below:
(1) Manufacturing Capability and Experience – Proposals will be
evaluated on the recipient’s degree of capability and experience in
manufacturing alane or similar chemicals. Evidence may include,
but is not limited to, intellectual property, documented
manufacturing capability and experience, technical specifications,
and dossiers of key personnel.
(2) Quality of Technical Approach – Proposals will be evaluated on the
recipient’s credibility and how reasonable their approach is for
establishing/expanding a production capability for alane, also to
include whether the proposed approach identifies major technical
risks and clearly defines feasible mitigation efforts.
(3) Business Viability – Proposals will be evaluated on the recipient’s
business, technical and financial credibility, demonstrated
experience, willingness and a credible business plan to become or
remain a competitive, economically viable, responsive, supplier of
alane for government and commercial markets.
(4) Merchant Supplier Orientation – Proposals will be evaluated on the
extent to which the recipient demonstrates a commitment to being,
or explanation of resources to be employed in establishing
acceptance as, a merchant supplier for alane.
(5) Cost/Price – Proposals will be evaluated on the realism of the
proposed cost, amount of recipient cost share, and consideration of
proposed budgets and funding profiles. Cost sharing, unless
waived, will be viewed favorably by the US Government in the
proposal evaluation process (which will indicate a strong
commitment to and self-interest in the success of the project).
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IX. FOA with Calls (One-Step Process) Proposal Selection Information
1. Categories: Based on the evaluation, proposals will be categorized as
Selectable or Not Selectable (see definitions below). The selection of one
or more sources 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.
Note: The Government reserves the right to award some, all or none of
the proposals. When the Government elects to award only a part of a
proposal, the selected part may be categorized as Selectable, though the
proposal as a whole may not merit such a categorization.
Note: Prior to award of a potentially successful offer, the Agreements
Officer will make a determination regarding budget reasonableness.
X. Award Administration Information (FOA with Calls)
1 thru 8: See FOA.
9. Ombudsman: The Ombudsman article 5.020 entitled “Ombudsman” shall
be contained in any Agreement resulting from this Solicitation.
Please note the following Ombudsman information is changed from
FOA.
The AFRL Ombudsman is AFRL/PK Director
Alternate Ombudsman is AFRL/PK Deputy Director
1864 Fourth St.
Wright-Patterson AFB OH 45433-7130
(937) 904-9700
email: AFRL.PK.OfficeAccount@us.af.mil
10. Proposal Reminders: a. thru c, and e thru j - see FOA
d. Completed Title III Certifications and Representations are due with the
proposal. Certifications & Representations can be found at Appendix I.
FOA Appendices: See FOA for Appendices I thru V
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Attached for this CALL:
Appendix VI Statement of Objectives (SOO), Defense Production Act (DPA) Title
III – High Energy Density Alane Fuel Manufacturing for DoD Systems Project, dated
15 August 2019
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Call 001 Statement of Objectives (SOO) Alane Fuel

Defense Production Act (DPA) Title III Expansion of Domestic Production Capability and Capacity
FA8650-19-S-5010
High Energy Density Alane Fuel Manufacturing for DoD Systems Project – Call 001
Version dated: 22 August 2019
Defense Production Act (DPA) Title III – High Energy Density Alane Fuel
Manufacturing for DoD Systems Project
Call 001
Statement of Objectives (SOO)
1.0 SCOPE
This Title III project shall establish domestic, economically viable, cost effective production
capabilities for the manufacturing of aluminum hydride, also known as alane, for use with various
fuel cell systems. This project shall support a path towards mass production and cost reduction
for stable crystalline alane (alpha alane) and enable future advancements such as quality
improvements, critical lead-time reduction, and accommodate potential surge needs of the
government. The proposed initiative will support development and construction of a pilot line to
meet Army, Air Force and Navy needs. This effort will prove out the capability to produce alane
at a small scale and provide the government information related to requirements for scaling up
production. Based on satisfactory results of and the information provided related to scaling up
production as required in this SOO, the government, at its discretion, will begin work with industry
to structure an effort that will establish the large scale capacity to meet developing military and
commercial demands.
2.0 BACKGROUND
As the Department of Defense (DoD) develops the next generation of weapons, from those worn
by the individual warfighter to large aerial and underwater systems, there is an increased reliance
on technologies that consume significant amounts of electricity. When the platform cannot support
an engine due to size or other reasons, the military is left with one option, a battery. However, the
military systems of today and tomorrow are eclipsing the limits of batteries, even advanced
rechargeables, which require a separate ‘charging’ infrastructure further complicating their use;
therefore a significant need exists for a lightweight, independent, safe and quiet power system.
In response to these shortcomings the DoD has been actively developing several fuel cell
technologies. Fuel cells have excellent energy characteristics and are light weight with simple
refueling. This enables longer mission times and the ability to carry other mission enablers. While
the military investigated many different hydrogen sources, the one that has stood out as the most
promising and able to fit in our logistics structure is alane. The major advantages of alane are (1)
high energy content for a small weight and volume; (2) safe and simple usage; (3) harmless
reaction products and minimal environmental impact and (4) long shelf life.
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Defense Production Act (DPA) Title III Expansion of Domestic Production Capability and Capacity
FA8650-19-S-5010
High Energy Density Alane Fuel Manufacturing for DoD Systems Project – Call 001
Version dated: 22 August 2019
The significant disadvantage of alane is the lack of any large volume commercial production
capacity. While synthesized successfully at a costly laboratory scale, this material has not been
transitioned to mass production to reduce cost and enable mission support. This material has
significant commercial interest, but the lack of proven low-cost mass production has kept
commercial fuel cell interest minimal. Investing in the processes and production capabilities to
reduce the cost of alane will undoubtedly renew commercial interest as a side benefit to the
military. With DPA Title III support, commercial chemical manufacturers will be provided the
financial support to invest in this promising fuel, thereby making strides towards stable economical
levels, while in the meantime the DoD can take advantage of this promising mission enabler.
3.0 OBJECTIVES
The objectives identified in Sections 3A, 3B and 3C are standard requirements for a Title III
project. The objectives identified in 3D are the specific technical requirements for this particular
project.
A. Program Management, Administration, and Reporting
1. Manage and implement the project. Monitor and control the project’s cost, schedule,
and performance parameters.
2. Establish a cumulative monthly expenditure profile baseline for the government funds.
Track the actual monthly expenditures and cost shares if applicable against the baseline
and report it to the government quarterly.
3. Participate on the project’s Stakeholder (government and contractor) Integrated
Product Team (IPT) and interface with Title III project managers and contracting
(agreements) personnel.
4. Conduct regular technical update meetings/teleconferences, calls and Quarterly
Program Management Reviews (PMR). Up to two PMRs in any year may be conducted
at the recipient's facility, and at least one PMR per year may be conducted at a
government location. Remaining PMRs may be conducted by conference call. Key
sub-recipients and/or subcontractors should actively participate in PMRs.
5. Conduct a Technical Project Kickoff Meeting no later than 60 days following award.
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Defense Production Act (DPA) Title III Expansion of Domestic Production Capability and Capacity
FA8650-19-S-5010
High Energy Density Alane Fuel Manufacturing for DoD Systems Project – Call 001
Version dated: 22 August 2019
6. Continue to insure, maintain, operate and service all government and non-government
owned capital equipment and tooling as required to establish a domestic alane
manufacturing capability.
7. Update and provide the Government Equipment Property List at the time of quarterly
PMRs and as required. If equipment is procured using Title III funding, prepare for a
Monitoring Phase (MP) after the conclusion of the technical effort to demonstrate
acceptable utilization and maintenance of the government equipment in support of the
long-term goals of this project.
8. Establish and track Key Performance Parameters (KPPs) with DPA Title III IPT
concurrence. Baseline capabilities, Threshold (minimum), and Objective (stretch)
targets should be established for at least two KPPs in each of the following four
categories: Technology, Manufacturing, Financial, and Marketing. Report KPP
performance at quarterly PMRs or as required. Conduct initial and final manufacturing
demonstrations to validate the baseline and final capabilities. Demonstrations may be
conducted concurrently with planned production if feasible.
9. Provide input, assistance and support to the Title III team in conducting a baseline and
a final Manufacturing Readiness Assessment (MRA) of alane manufacturing
capabilities.
B. Strategic Business Planning
1. Prepare, submit and implement a Strategic Business Plan that addresses the key aspects
of a commercial manufacturing facility for alane in military and commercial
applications. Submit the initial plan six months after initial award.
a. In addition to the standard topics suggested in the strategic business plan
template, the recipient shall specifically address its supply chain management
strategy, ability, and plan to secure its present and future supply of qualified
critical source materials to remain a viable merchant supplier of alane.
b. The comprehensive strategic business planning should cover a minimum
outlook of 24 months (estimated), including all financial statements, actual and
forecasts.
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Defense Production Act (DPA) Title III Expansion of Domestic Production Capability and Capacity
FA8650-19-S-5010
High Energy Density Alane Fuel Manufacturing for DoD Systems Project – Call 001
Version dated: 22 August 2019
c. Provide performance-to-plan evaluations at regular intervals, with management
review comments, to Title III so long as a contractual relationship exists.
2. Include in the plan the key issues related to the establishment of a competitive and
commercially viable merchant supplier of alane.
a. The recipient shall certify they meet the criteria in the “Certification Regarding
Merchant Supplier – Defense Production Act, Title III” article.
b. In the event that the recipient is not presently a merchant supplier, the recipient
should provide a credible strategy in its strategic business plan demonstrating
how it will become and remain a merchant supplier.
C. Market Planning and New Business Development
1. Prepare, submit and implement a Marketing Plan. Submit the initial plan nine months
after initial award.
2. The strategic marketing plan should address current and future customer needs
(domestic and foreign, civilian and military) for alane.
a. Survey and be responsive to, and report to the government on, (DoD and
commercial) customer needs, requests and trends for all types of alane.
b. Define plans/opportunities to use material market development including
packaging/cartridge demonstrations and research.
c. Provide performance-to-plan updates at regular intervals, including reports on
business capture plans (target business awards, actual awards and missed
opportunities) to Title III so long as a contractual relationship exists.
D. Manufacturing Process Development
1. Establish a small functional, production-representative scale operation capable of
manufacturing alane using the attached draft specification (see attachment 1) as a goal
for a commercially viable product. The production representative scale operation shall
not be a “lab synthesis” and should demonstrate all the steps necessary for “cost
effective” production of alane including reagent recycle, optimized yield and adequate
controls for reproducibility. The production representative scale should also
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Defense Production Act (DPA) Title III Expansion of Domestic Production Capability and Capacity
FA8650-19-S-5010
High Energy Density Alane Fuel Manufacturing for DoD Systems Project – Call 001
Version dated: 22 August 2019
demonstrate that all environmental health and safety regulations are met. Provide an
adequate description of this scale operation and how it is similar, and dissimilar, from
a larger, scaled-up plant. Technical information provided shall describe equipment and
processes on the small scale operation with corresponding applicability to larger
operations in subsequent effort, demonstrating sound modeling practices and analysis
to support confidence in increasing this scaled down design to target size. Describe
potential and perceived risks associated with the scale-up and processing conditions for
the various operational steps and risk mitigation strategies that will be employed to
alleviate the risks and aid in a smooth transition to subsequent increases in scale.
a. Develop plans for this effort including already existing equipment/facilities
planned to be used, and required purchases (new capital equipment and facility
enhancement items). The plans should support the most sensible scale and
indicate the estimated amount of alane the production-representative scale
operation could make in a year if operating a normal one shift operation.
b. The government is not specifying the size of the 'small scale' operation but it
should, as a minimum, be within the 2-5 kg per batch range. Develop a rigorous
cost analysis for this “small scale” of operation and identify an alane $/kg
estimated cost of the proposed 'scaled' plant (in kg/yr). Include in the cost
analysis a complete breakdown of the capital, labor, raw material and energy
costs associated with the proposed scaled operation to support the projected
$/kg estimate for alane cost.
c. Develop plans to reduce the costs associated with the raw materials required to
produce alane, or processes that require less expensive raw materials.
d. Develop detailed plans for increasing production to meet forecasted market
volumes at viable target fuel costs for operation of military and commercial
applications. Vendors may be asked to provide rudimentary plans and estimates
for a variety of sizes based on availability of funds, program targets and
operation costs. These plans should discuss cost to construct, cost to run,
material costs (including final alane) and business operational issues to ensure
commercial viability. Once the Government has finalized a size range, it may
pursue a scaled up operation as part of a competitive follow-on effort. The
vendor will be asked to develop more detailed plans and estimates for that target
sized plant.
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Defense Production Act (DPA) Title III Expansion of Domestic Production Capability and Capacity
FA8650-19-S-5010
High Energy Density Alane Fuel Manufacturing for DoD Systems Project – Call 001
Version dated: 22 August 2019
e. The recipient shall identify and establish manufacturing key performance
parameters (KPPs) for the production of alane against which targeted objectives
to be achieved will be compared, tracked, and periodically evaluated during the
program.
2. Initial alane chemistries from multiple batches shall be tested at an independent lab that
is approved by the government to ensure consistent production capability. The cost of
materials for theses batches can be included in the partnership cost sharing agreement.
Recipient shall prepare and submit an alane chemistries report that shall include
detailed analysis of the test results from the independent lab, and shall be compared
and corroborated with the recipient’s analytical results against the Government’s alane
specification/requirements. Should the alane sample material not meet expected
performance characteristics, the Government reserves the right to halt or redirect
funding to improve the processes until alane can be demonstrated according to
specs/requirements.
3. The recipient shall conduct a DoD Manufacturing Readiness Assessment (MRA) of the
final production capability for producing alane. The culmination of the final MRA
shall include a visit by the Government IPT to review the manufacturing and process
control steps demonstrating the recipient’s ability to successfully and repeatedly
manufacture qualified alane. The final MRA/Government IPT review shall be
conducted at the conclusion of both the independent alane chemistry testing and fuel
cell qualification. It may also be conducted in conjunction with the project closeout
meeting.
4.0 SECURITY REQUIREMENTS
A. Operations Security (OPSEC) Requirements
All recipients shall participate in all activities associated with the disciplines of the
organization’s Industrial Security, Information Security, Personnel Security, Operations
Security (OPSEC), Antiterrorism, and Program Protection programs, following
appropriate measures in each program as required for this particular agreement. These are
required in an effort to reduce program vulnerability from successful adversary collection,
exploitation of critical information, and violations of export control requirements. The
recipient will ensure that all sub-awardees, if required, conform to these requirements as
required by the recipient. Air Force Research Laboratory Materials and Manufacturing
Directorate (AFRL/RX) Security can provide guidance as needed.
6

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Defense Production Act (DPA) Title III Expansion of Domestic Production Capability and Capacity
FA8650-19-S-5010
High Energy Density Alane Fuel Manufacturing for DoD Systems Project – Call 001
Version dated: 22 August 2019
B. Program Protection Plan (PPP)
Any potential critical program information (CPI) generated, as part of this effort, will be
reviewed to determine the need for a PPP.
C. Foreign Participation: Not at prime recipient level.
Foreign Nationals (FNs) can be employed by the U.S. Prime Recipient or Sub-awardee;
however, FNs will be limited to Public Domain information unless the recipient has
obtained the proper License of Technical Assistance Agreement that authorizes disclosure
of CMI and/or CUI to foreign entities pursuant to the Department of State’s International
Traffic in Arms Regulations (ITAR) or Department of Commerce’s EAR.
Public Domain information is defined as information that is releasable to the general public
and sometimes referred to as open source material. Examples include but are not limited
to newspapers, magazines and information posted on the internet.
Any proprietary information will have to be appropriately protected.
5.0 DELIVERABLES
The following reporting requirements are defined in Call 001:
Deliverable Item Submittal Requirement
7.040 Final Report 3 months after conclusion of
technical effort
7.050 Funds & Man-hour Expenditure Report Quarterly
7.052 Contractor’s Progress, Status & Mgt Report Quarterly
7.054 Strategic Business Plan 6 months ARA
7.055 Property Control List Quarterly / As Required
7.057 Presentation Material Quarterly / As Required
7.060 Marketing Plan 9 months ARA
* After Receipt of Agreement or Award (ARA)
7

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Defense Production Act (DPA) Title III Expansion of Domestic Production Capability and Capacity
FA8650-19-S-5010
High Energy Density Alane Fuel Manufacturing for DoD Systems Project – Call 001
Version dated: 22 August 2019
DRAFT ALANE SPECIFICATIONS
Attribute Specification Value Test Method/Reference
Material Properties Chemical Formula AlH N.A.
3
Molecular Weight 29.99 g/mol N.A.
Crystal Size 1 micron Scanning Electron
Microscope (ISO 13322-1)
Density 1.49 g/cm3 Powder Tap Density
Temperature Stability Hydrogen Content 10% by weight ASTM Standard E1131-08
with < 0.5% weight loss up
to 170 C and >9.5% and
<10.1% weight loss at 240 C
Onset Temperature for Hydrogen 180°C N.A.
Evolution
Simulated Bulk Auto-Ignition Test 250°F N.A.
(SBAT) 10°F/hr heating rate
Hydrogen Loss when tested as loose a) <0.01% at 25°C in 1 year Thermogravimetric Analysis
powder (must conform to both tests) <60 torr pressure increase (ASTM E1131-08) or similar
when a 19 mg sample in 25 ml
evacuated volume is held at
80°C for 100 hours
Polymorphs/Compositio – Alane 100% objective – 95% X-ray Diffraction
n (Solid requirements) threshold
Other polymorphs (α’, β, γ, etc.) b) <0.01% each X-ray Diffraction
α Alane Etherates <0.01% Gas Chromatography/Mass
Spectrometry (ASTM
D2650-10), Residual Gas
Analysis
Other Alane Adducts <0.01% Gas Chromatography/Mass
Spectrometry (ASTM
D2650-10), Residual Gas
Analysis
Aluminum (Al) <0.01% X-ray Diffraction
Chlorine (Cl) <0.02% Gas Chromatography/Mass
Spectrometry (ASTM
D2650-10), Residual Gas
Analysis
Stabilizers <5%
Hydrogen purity and Evolved Hydrogen Purity (Gas See Reference SAE J2719 and ISO 14687-2
contents requirements)
Transport/Handling α MBOM Impact Threshold 9.54 x 104 J/m2 Modified Bureau of Mines
Stability Initiation Level (TIL) Impact Test
Friction Sensitivity 75 lbf ABL Friction (TIL) at 4 ft/s
Electrostatic Discharge Sensitivity >0.000613 J ABL Electrostatic Discharge
8

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Appendix 1 Title III Certs &amp; Reps FA8650-19-S-5010

FA8650-19-S-5010
Appendix I
Certifications for Assistance Instruments
1. Certification Regarding Debarment, Suspension, and Other Responsibility Matters--Primary Covered
Transactions
(a) The prospective primary participant certifies to the best of its knowledge and belief, that it and its principals:
(1) Are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily
excluded by any Federal department or agency;
(2) Have not within a three-year period preceding this proposal been convicted of or had a civil judgment
rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to
obtain, or performing a public (Federal, State or local) transaction or contract under a public transaction; violation of
Federal or State antitrust statutes or commission of embezzlement, theft, forgery, bribery, falsification or destruction
of records, making false statements, or receiving stolen property;
(3) Are not presently indicted for or otherwise criminally or civilly charged by a governmental entity
(Federal, State or local) with commission of any of the offenses enumerated in paragraph (a)(2) of this certification;
and
(4) Have not within a three-year period preceding this application/proposal had one or more public
transactions (Federal, State or local) terminated for cause or default.
(b) Where the prospective primary participant is unable to certify to any of the statements in this certification,
such prospective participant shall attach an explanation to this proposal.
2. Certification Regarding Drug-Free Workplace Requirements
Alternate I. (Applicants Other Than Individuals)
(a) The applicant certifies that it will or will continue to provide a drug-free workplace by:
(1) Publishing a statement notifying employees that the unlawful manufacture, distribution, dispensing,
possession, or use of a controlled substance is prohibited in the applicant’s workplace and specifying the actions that
will be taken against employees for violation of such prohibition;
(2) Establishing an ongoing drug-free awareness program to inform employees about—
(i) The dangers of drug abuse in the workplace;
(ii) The applicant’s policy of maintaining a drug-free workplace;
(iii) Any available drug counseling, rehabilitation, and employee assistance programs; and
(iv) The penalties that may be imposed upon employees for drug abuse violations occurring in the
workplace;
(3) Making it a requirement that each employee to be engaged in the performance of the assistance
instrument be given a copy of the statement required by paragraph (a)(1);
(4) Notifying the employee in the statement required by paragraph (a)(1) that, as a condition of
employment under the assistance instrument, the employee will—
(i) Abide by the terms of the statement; and
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FA8650-19-S-5010
Appendix I
(ii) Notify the employer in writing of his or her conviction for a violation of a criminal drug
statute occurring in the workplace no later than five calendar days after such conviction;
(5) Notifying the agency in writing, within ten calendar days after receiving notice under paragraph
(a)(4)(ii) from an employee or otherwise receiving actual notice of such conviction. Employers of convicted
employees must provide notice, including position title, to every grants officer or other designee on whose grant
activity the convicted employee was working, unless the Federal agency has designated a central point for the
receipt of such notices. Notice shall include the identification number(s) of each affected assistance instrument;
(6) Taking one of the following actions, within 30 calendar days of receiving notice under paragraph
(a)(4)(ii), with respect to any employee who is so convicted—
(i) Taking appropriate personnel action against such an employee, up to and including
termination, consistent with the requirements of the Rehabilitation Act of 1973, as amended; or
(ii) Requiring such employee to participate satisfactorily in a drug abuse assistance or
rehabilitation program approved for such purposes by a Federal, State, or local health, law enforcement, or other
appropriate agency;
(7) Making a good faith effort to continue to maintain a drug-free workplace through implementation of
paragraphs (a)(1), (2), (3), (4), (5) and (6).
(b) The applicant may insert in the space provided below the site(s) for the performance of work done in
connection with the specific assistance instrument:
Place of Performance (Street address, city, county, State, zip code)
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
Check □ if there are workplaces on file that are not identified here.
Alternate II. (Applicants Who Are Individuals)
(a) The applicant certifies that as a condition of the assistance instrument, he or she will not engage in the
unlawful manufacture, distribution, dispensing, possession, or use of a controlled substance in conducting any
activity with the assistance instrument;
(b) If convicted of a criminal drug offense resulting from a violation occurring during the conduct of any
activity under this assistance instrument, he or she will report the conviction in writing, within 10 calendar days of
the conviction, to every assistance instrument office or other designee, unless the Federal agency designates a
central point for the receipt of such notices. When notice is made to such a central point, it shall include the
identification number(s) of each affected assistance instrument.
3. Certification for Contracts, Grants, Loans, and Cooperative Agreements Regarding Lobbying
(a) The undersigned certifies, to the best of his or her knowledge and belief, that:
(1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to
any person for influencing or attempting to influence an officer or employee of an agency, a Member of Congress,
an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of
any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any
cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal
contract, grant, loan, or cooperative agreement.
(2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for
influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or
employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant,
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FA8650-19-S-5010
Appendix I
loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, ``Disclosure Form
to Report Lobbying,'' in accordance with its instructions.
(3) The undersigned shall require that the language of this certification be included in the award documents
for all subawards at all tiers (including subcontracts, subgrants, and contracts under grants, loans, and cooperative
agreements) and that all subrecipients shall certify and disclose accordingly.
(b) This certification is a material representation of fact upon which reliance was placed when this transaction
was made or entered into. Submission of this certification is a prerequisite for making or entering into this
transaction imposed by section 1352, title 31, U.S. Code. Any person who fails to file the required certification shall
be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure.
4. Certification Regarding Domestic Source – Defense Production Act, Title III
(a) Definition of Domestic Source.
The term ‘‘domestic source’’ means a business concern—
(1) that performs in the United States or Canada substantially all of the research and development,
engineering, manufacturing, and production activities required of such business concern under a
contract/agreement with the United States relating to a critical component or a critical technology item; and
(2) that procures from business concerns described in subparagraph (A) substantially all of any
components and assemblies required under a contract/agreement with the United States relating to a critical
component or critical technology item. Territories and Protectorates of the United States, and the District
of Columbia are considered part of the domestic United States.
(b) Other Related Definitions:
Critical Component.—The term ‘‘critical component’’ includes such components, subsystems, systems,
and related special tooling and test equipment essential to the production, repair, maintenance, or operation
of weapon systems or other items of military equipment identified by the Secretary of Defense as being
essential to the execution of the national security strategy of the United States. Components identified as
critical by a National Security Assessment conducted pursuant to section 113(i) of title 10, United States
Code, or by a Presidential determination as a result of a petition filed under section 232 of the Trade
Expansion Act of 1962 shall be designated as critical components for purposes of this Act, unless the
President determines that the designation is unwarranted.
Critical Technology.—The term ‘‘critical technology’’ includes any technology that is included in 1 or
more of the plans submitted pursuant to section 6681 of title 42, United
States Code, or section 2508 of title 10, United States Code (unless subsequently deleted), or such other
emerging or dual use technology as may be designated by the President.
Critical Technology Item.—The term ‘‘critical technology item’’ means materials directly employing,
derived from, or utilizing a critical technology.
(c) Certifications. (1) The Offeror certifies that--
(i) In accordance with the Defense Production Act, Title III, the offeror hereby certifies that the
company/corporation/organization they represent meets the definition of Domestic Source as shown above
and in the Defense Production Act.
Name/Title of Authorized Offeror Representative Date
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FA8650-19-S-5010
Appendix I
5. Certification Regarding Merchant Supplier – Defense Production Act, Title III
A. Definition of Merchant Supplier.
The term “merchant supplier” (also referred to as an “open-source supplier”) is defined as a business concern that —
(a) is a production source which manufactures, supplies, and supports the use of its products by external
customers independent of affiliation with internal or sister organizations; i.e., is not solely vertically integrated
(restricted to supplying intra-company divisions, parent company, etc.);
(b) is committed to supporting a variety of specifications from eligible commercial and military customers;
(c) operates in a fair, equitable, and responsive manner under generally accepted business principles when
responding to internal and external customers for commercial and military applications;
(d) does not, as a matter of policy, place restrictions or limitations on which eligible customers may buy or
how they may subsequently use its products.
B. Other: The Merchant Supplier requirements are superseded by applicable regulations, including but not
limited to ITAR.
C. Certifications.
(a) The Offeror certifies that it is a Merchant Supplier; and it will continue Merchant Supplier business
practices for a minimum of 5 years after completion of this Defense Production Act, Title III investment.
(b) The Offeror certifies that it shall maintain the integrity of the competitive environment between all its
customers, both internal and external, through demonstrated and documented processes that safe-guard all customer
confidential sourcing information (such as specifications, order quantities, pricing, delivery schedules, financing
agreements, etc.);
(c) The Offeror certifies that it will comply with Merchant Supplier audits, if requested and performed by the
Defense Production Act, Title III Program Office.
Name/Title of Authorized Offeror Representative Date
6. Qualification of Offeror Under Export-Controlled Restrictions and Military Critical
Technology Restrictions.
(a) This Title III program involves technology that has a military or space application. Only U.S.
Contractors who are registered and certified with the Defense Logistics Services Center (DLSC), Federal Center,
Battle Creek MI 49017-3084 (1-800-352-3572) and have a legitimate business purpose may participate in this
BAA (solicitation). If you are registered and certified with DLSC, you must submit a copy of the approved DD
Form 2345, Military Critical Technical Data Agreement, with your request for the BAA (solicitation). Note: It is
the offeror’s responsibility to ensure the DD Form 2345 remains current.
(a) This Title III program involves technology that is regulated/governed by the International
Traffic in Arms Regulation (22 CFR pt. 120 et seq.), the DOD Industrial Security Regulation (DOD
5220.22-R) and the Department of Commerce Export Regulation (15 CFR pt. 770 et seq.)
(c) Nothing in this notice contradicts other restrictions, identified in the BAA (solicitation) or
Request For Proposal document, regarding eligible sources.
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FA8650-19-S-5010
Appendix I
7. Prohibition on Contracting with Entities that Require Certain Internal Confidentiality Agreements or
Statements--Representation (Jan 2017)
(a) In accordance with section 743 of Division E, Title VII, of the Consolidated and Further Continuing
Appropriations Act, 2015 (Pub. L. 113-235) and its successor provisions in subsequent appropriations acts (and as
extended in continuing resolutions), Government agencies are not permitted to use funds appropriated (or otherwise
made available) for assistance instruments with an entity that requires employees or subawardees of such entity
seeking to report waste, fraud, or abuse to sign internal confidentiality agreements or statements prohibiting or
otherwise restricting such employees or subawardees from lawfully reporting such waste, fraud, or abuse to a
designated investigative or law enforcement representative of a Federal department or agency authorized to receive
such information.
(b) The prohibition in paragraph (a) of this provision does not contravene requirements applicable to Standard
Form 312, (Classified Information Nondisclosure Agreement), Form 4414 (Sensitive Compartmented Information
Nondisclosure Agreement), or any other form issued by a Federal department or agency governing the nondisclosure
of classified information.
(c) Representation. By submission of its offer, the Offeror represents that it will not require its employees or
subawardees to sign or comply with internal confidentiality agreements or statements prohibiting or otherwise
restricting such employees or subawardees from lawfully reporting waste, fraud, or abuse related to the performance
of a Government award to a designated investigative or law enforcement representative of a Federal department or
agency authorized to receive such information (e.g., agency Office of the Inspector General).
8. Representation By Corporations Regarding An Unpaid Delinquent Tax Liability Or A Felony
Conviction Under Any Federal Law-Fiscal Year 2016 Appropriations (Feb 2016)
(a) In accordance with section 101 (a) of the Continuing Appropriations Act, 2016 (Pub. 114-53) and
any subsequent FY 2016 appropriations act that extends to FY 2016 funds the same restrictions as are
contained in sections 744 and 745 of division E, title VII, of the Consolidated and Further Continuing
Appropriations Act, 2015 (Pub. L. 113-235), none of the funds made available by this or any other Act may
be used to enter into a contract with any corporation that-
(1) Has any unpaid Federal tax liability that has been assessed, for which all judicial and
administrative remedies have been exhausted or have lapsed, and that is not being paid in a
timely manner pursuant to an agreement with the authority responsible for collecting the tax
liability, where the awarding agency is aware of the unpaid tax liability, unless the agency has
considered suspension or debarment of the corporation and made a determination that this
further action is not necessary to protect the interests of the Government; or
(2) Was convicted of a felony criminal violation under any Federal law within the preceding 24
months, where the awarding agency is aware of the conviction, unless the agency has considered
suspension or debarment of the corporation and made a determination that this action is not
necessary to protect the interests of the Government.
(b) The Offeror represents that-
(1) It is [] is not [] a corporation that has any unpaid Federal tax liability that has been
assessed, for which all judicial and administrative remedies have been exhausted or have lapsed,
and that is not being paid in a timely manner pursuant to an agreement with the authority
responsible for collecting the tax liability,
(2) It is [] is not [] a corporation that was convicted of a felony criminal violation under a Federal
law within the preceding 24 months.
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FA8650-19-S-5010
Appendix I
9. Representation regarding the Prohibition on Using Funds under Grants and Cooperative
Agreements with Entities that Require Certain Internal Confidentiality Agreements (JUN 2015)
By submission of its proposal or application, the applicant represents that it does not require any of its employees,
contractors, or subrecipients seeking to report fraud, waste, or abuse to sign or comply with internal confidentiality
agreements or statements prohibiting or otherwise restricting those employees, contractors, or subrecipients from
lawfully reporting that waste, fraud, or abuse to a designated investigative or law enforcement representative of a
Federal department or agency authorized to receive such information. Note that: (1) the basis for this representation
is a prohibition in section 743 of the Financial Services and General Government Appropriations Act, 2015
(Division E of the Consolidated and Further Continuing Appropriations Act, 2015, Pub. L. 113-235) and any
successor provision of law on making funds available through grants and cooperative agreements to entities with
certain internal confidentiality agreements or statements; and (2) section 743 states that it does not contravene
requirements applicable to Standard Form 312, Form 4414, or any other form issued by a Federal department or
agency governing the nondisclosure of classified information.
10. Violation of Arms Control Treaties or Agreements—Certification (JUN 2018)
(a) This provision does not apply to acquisitions below the simplified acquisition threshold or to acquisitions
of commercial items.
(b) Certification. [Offeror shall check either (1) or (2).]
_____(1) The Offeror certifies that—(i) It does not engage and has not engaged in any activity that
contributed to or was a significant factor in the President’s or Secretary of State’s determination that a
foreign country is in violation of its obligations undertaken in any arms control, nonproliferation, or
disarmament agreement to which the United States is a party, or is not adhering to its arms control,
nonproliferation, or disarmament commitments in which the United States is a participating state. The
determinations are described in the most recent unclassified annual report provided to Congress pursuant to
section 403 of the Arms Control and Disarmament Act (22 U.S.C. 2593a). The report is available via the
internet at https://www.state.gov/t/avc/rls/rpt/; and (ii) No entity owned or controlled by the Offeror has
engaged in any activity that contributed to or was a significant factor in the President’s or Secretary of
State’s determination that a foreign country is in violation of its obligations undertaken in any arms control,
nonproliferation, or disarmament agreement to which the United States is a party, or is not adhering to its
arms control, nonproliferation, or disarmament commitments in which the United States is a participating
state. The determinations are described in the most recent unclassified annual report provided to Congress
pursuant to section 403 of the Arms Control and Disarmament Act (22 U.S.C. 2593a). The report is
available via the internet at https://www.state.gov/t/avc/rls/rpt/; or
____(2) The Offeror is providing separate information with its offer in accordance with paragraph (d)(2) of
this provision.
(c) Procedures for reviewing the annual unclassified report (see paragraph (b)(1) of this provision). For clarity,
references to the report in this section refer to the entirety of the annual unclassified report, including any separate
reports that are incorporated by reference into the annual unclassified report.
(1) Check the table of contents of the annual unclassified report and the country section headings of the
reports incorporated by reference to identify the foreign countries listed there. Determine whether the Offeror or
any person owned or controlled by the Offeror may have engaged in any activity related to one or more of such
foreign countries.
(2) If there may have been such activity, review all findings in the report associated with those foreign
countries to determine whether or not each such foreign country was determined to be in violation of its
obligations undertaken in an arms control, nonproliferation, or disarmament agreement to which the
United States is a party, or to be not adhering to its arms control, nonproliferation, or disarmament
commitments in which the United States is a participating state. For clarity, in the annual report an explicit
certification of noncompliance is equivalent to a determination of violation. However, the following statements
in the annual report are not equivalent to a determination of violation:
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FA8650-19-S-5010
Appendix I
(i) An inability to certify compliance.
(ii) An inability to conclude compliance.
(iii) A statement about compliance concerns.
(3) If so, determine whether the Offeror or any person owned or controlled by the Offeror has engaged in
any activity that contributed to or is a significant factor in the determination in the report that one or more of
these foreign countries is in violation of its obligations undertaken in an arms control, nonproliferation, or
disarmament agreement to which the United States is a party, or is not adhering to its arms control,
nonproliferation, or disarmament commitments in which the United States is a participating state. Review the
narrative for any such findings reflecting a determination of violation or non-adherence related to those foreign
countries in the report, including the finding itself, and to the extent necessary, the conduct giving rise to the
compliance or adherence concerns, the analysis of compliance or adherence concerns, and efforts to resolve
compliance or adherence concerns.
(4) The Offeror may submit any questions with regard to this report by email to
NDAA1290Cert@state.gov. To the extent feasible, the Department of State will respond to such email inquiries
within 3 business days.
(d) Do not submit an offer unless—
(1) A certification is provided in paragraph (b)(1) of this provision and submitted with the offer;
or
(2) In accordance with paragraph (b)(2) of this provision, the Offeror provides with its offer information
that the President of the United States has—
(i) Waived application under U.S.C. 2593e(d) or (e); or
(ii) Determined under 22 U.S.C. 2593e(g)(2) that the entity has ceased all activities for which
measures were imposed under 22 U.S.C.2593e(b).
(e) Remedies. The certification in paragraph (b)(1) of this provision is a material representation of fact upon
which reliance was placed when making award. If it is later determined that the Offeror knowingly submitted a false
certification, in addition to other remedies available to the Government, such as suspension or debarment, the
Agreements Officer may terminate any Agreement resulting from the false certification.
11. As an authorized representative, I hereby make the above certifications on behalf of the offeror.
Funding Opportunity Announcement (FOA) No.:
Proposal Title:
Name of Applicant:
Typed or printed name and title of official certifying on behalf of Applicant:
Signature of official certifying on behalf of Date:
Applicant:
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FA8650-19-S-5010
Appendix I
12. Applicant shall provide the following information:
(a) Applicant’s Taxpayer Identification Number (TIN): _________________________
(b) Applicant’s applicable Commercial and Government Entity (CAGE) Code: __________
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Appendix II Sample TIA FA8650-19-S-5010

Technology Investment Agreement
between
The United States Of America
USAF/AFMC
AFRL WRIGHT RESEARCH SITE
2130 EIGHTH STREET BUILDING 45
WRIGHT-PATTERSON AFB OH 45433-7541
and
CAGE:
SAM PLE
Concerning
DEFENSE PRODUCTION ACT (DPA) TITLE III SAMPLE TECHNOLOGY INVESTMENT AGREEMENT
(TIA)
TECHNOLOGY
Agreement No.: FA8650-24-2-5010
Total Amount of the Agreement: $0.00
INVESTMENT
Government share: $0.00
Recipient share: $0.00
Authority: 10 U.S.C. 4001 & Title III DPA 1950
AGREEMENT
Effective Date:
Catalog of Federal Domestic Assistance number: 12.777
Notice:
For For the United States of America
_____________________________ __ _____________________________
Name:
Title: Agreements Officer
ConWrite Version 7.7.4.0
Created 29 May 2025 11:09 AM

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ATTACHMENTS PGS DATE TITLE
ATTACHMENT 1 50 29 MAY 2025 SAMPLE TIA ARTICLES
ATTACHMENT 2 4 18 JAN 2024 STATEMENT OF WORK (SOW) TEMPLATE
ATTACHMENT 3 4 17 JAN 2024 STRATEGIC BUSINESS PLAN OUTLINE
ATTACHMENT 4 1 17 JAN 2024 FUNDS AND MANHOUR EXPENDITURE REPORT
TEMPLATE
ATTACHMENT 5 1 17 JAN 2024 PROPERTY CONTROL LIST TEMPLATE
ATTACHMENT 6 3 17 JAN 2024 MARKETING PLAN OUTLINE
ATTACHMENT 7 1 29 MAY 2025 COST SHARING SUMMARY EXAMPLE
PAGE 2 OF 2

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FA8650 19 S 5010
Attachment 1
SAMPLE TIA ARTICLES
TABLE OF CONTENTS
PART 1 ADMINISTRATIVE INFORMATION
1.00 AUTHORITY
1.01 ORDER OF PRECEDENCE
1.02 ADMINISTRATIVE RESPONSIBILITIES
1.03 DELEGATION OF ADMINISTRATIVE DUTIES
PART 2 TERM
2.00 TRAFFICKING IN PERSONS
2.01 TERM OF THE AGREEMENT
2.02 SCOPE OF THE AGREEMENT
2.03 TERMINATION
2.04 EXTENDING THE TERM
2.05 STOP WORK ORDER
PART 3 MANAGEMENT OF THE PROGRAM
3.00 SCOPE AND MANAGEMENT OF THE PROGRAM
3.01 PROGRAM MANAGEMENT PLANNING PROCESS
3.02 MODIFICATIONS
3.03 PROPERTY
3.04 INSURANCE COVERAGE
3.05 PROPERTY MANAGEMENT / CONTROL LIST
PART 4 FINANCIAL MATTERS
4.00 COST PRINCIPLES
4.01 STANDARDS FOR FINANCIAL MANAGEMENT SYSTEMS
4.02 PAYMENT - REIMBURSEMENT AND COST SHARING - WAWF (DCMA)
4.03 AUDIT
4.04 RETENTION AND ACCESS TO RECORDS - INCORPORATED BY REFERENCE
4.05 ALLOTTED FUNDING
4.06 PROGRAM INCOME - OTHER THAN RESEARCH
4.07 CONSIDERATION
4.08 COST SHARING
PART 5 CLAIMS, DISPUTES AND APPEALS
5.00 CLAIMS, DISPUTES AND APPEALS
5.01 OMBUDSMAN
PART 6 INTELLECTUAL PROPERTY RIGHTS
6.00 PATENT INFRINGEMENT
6.01 INVENTIONS
6.02 DATA RIGHTS
6.03 INVENTIONS / PATENTS
6.04 FOREIGN ACCESS TO TECHNOLOGY
6.05 EXPORT-CONTROLLED DATA RESTRICTIONS
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FA8650 19 S 5010
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PART 7 TECHNICAL AND FINANCIAL REPORTING
7.00 FINAL REPORT
7.01 REPORTING SUBAWARDS AND EXECUTIVE COMPENSATION
7.02 FUNDS AND MANHOUR EXPENDITURE REPORT
7.03 RECIPIENT'S PROGRESS, STATUS AND MANAGEMENT REPORT
7.04 STRATEGIC BUSINESS PLAN
7.05 PROPERTY CONTROL LIST
7.06 PRESENTATION MATERIAL
7.07 DISTRIBUTION STATEMENT
7.08 MARKETING PLAN
7.09 DISCLOSURE OF INFORMATION
PART 8 MISCELLANEOUS PERFORMANCE ISSUES
8.00 ADMINISTRATIVE REQUIREMENTS FOR SUBAWARDS AND CONTRACTS
8.01 PROCUREMENT STANDARDS
8.02 CLOSEOUT
8.03 SYSTEM FOR AWARD MANAGEMENT AND UNIQUE ENTITY IDENTIFIER
REQUIREMENTS
PART 9 NATIONAL POLICY MATTERS AND ASSURANCES
9.00 NONDISCRIMINATION NATIONAL POLICY REQUIREMENTS
9.01 U.S. FLAG AIR CARRIERS
9.02 PROHIBITION ON USING FUNDS UNDER GRANTS AND COOPERATIVE
AGREEMENTS WITH ENTITIES THAT REQUIRE CERTAIN INTERNAL
CONFIDENTIALITY AGREEMENTS
9.03 SAFEGUARDING COVERED DEFENSE INFORMATION AND CYBER INCIDENT
REPORTING
9.04 RECIPIENT COUNTERFEIT ELECTRONIC PART DETECTION AND AVOIDANCE
SYSTEM
9.05 PROHIBITION ON MAKING AWARDS FOR CERTAIN TELECOMMUNICATIONS AND
VIDEO SURVEILLANCE SERVICES OR EQUIPMENT
9.06 ENVIRONMENTAL NATIONAL POLICY REQUIREMENTS
9.07 OTHER NATIONAL POLICY REQUIREMENTS
9.08 ADDITIONAL REQUIREMENTS NATIONAL POLICY REQUIREMENTS
9.09 PROHIBITION ON A BYTEDANCE COVERED APPLICATION
9.10 AIR FORCE RESEARCH LABORATORY WRIGHT RESEARCH SITE SECURITY
REQUIREMENTS
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1.00 AUTHORITY (MAR 2020)
This agreement is being issued under the authority of 10 U.S.C. 4001 and Title III of the Defense
Production Act of 1950, as amended (50 U.S.C. 4501 et seq.)
1.01 ORDER OF PRECEDENCE (APR 2000) (TAILORED)
In the event of conflict between the terms of this agreement and other governing documents, the conflict
shall be resolved by giving precedence in descending order as follows:
(a) The articles in this agreement
(b) The attachments to this agreement, if any
(c) DoD Grant and Agreement Regulations (Chapter 1, Subchapter C of Title 32, Code of Federal
Regulations (CFR) and Chapter XI of Title 2, CFR)
(d) Other applicable Federal statutes and regulations
1.02 ADMINISTRATIVE RESPONSIBILITIES (MAR 2020)
(a) Government representatives are:
Agreements Officer:
Name**
Agreements Officer
AFRL/RXKMT
2130 Eighth Street, Bldg. 45
WPAFB, OH 45433-7541
Email
Phone*
Agreements Negotiator:
Name**
Agreements Negotiator
AFRL/RXKMT
2130 Eighth Street, Bldg. 45
WPAFB, OH 45433-7541
Email
Phone*
Government Program Manager:
Name**
Program Manager
AFRL/RXM
Email
Phone*
Finance:
Name**
AFRL/RXF
2977 Hobson Way, Bldg. 655, Rm 107
WPAFB. OH 45433
Administration Office:
Insert DCMA Office Information*
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FA8650 19 S 5010
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Payment Office:
Insert DFAS Office Information*
For invention reporting
afmclo.jaz@us.af.mil
(b) Recipient's representatives are:
Insert Recipient POC Information
1.03 DELEGATION OF ADMINISTRATIVE DUTIES (MAR 2015)
The administrative duties listed below have been delegated to the agreements administration office:
(a) During performance:
(1) Approve provisionally all Requests for Advance or Reimbursement (SF 270).
(2) Perform property administration.
(3) Perform plant clearance.
(4) Approve requests for Registration of Scientific and Technical Information Services (DD Form1540).
(5) Perform cash management by reviewing quarterly Federal Financial Report (SF 425) and, after
conferring with the AFRL agreements officer, make appropriate adjustments to predetermined
scheduled payments by modifying the agreement.
(6) Obtain Interim Inventions Reports (DD Form 882)
(7) Obtain Interim Technical Reports
(b) Upon expiration of agreements:
(1) Obtain final payment request, if any.
(2) Obtain the final Federal Financial Report (SF 425).
(3) Obtain final property report and dispose of Government property on those assistance awards
containing residual Government Property.
(4) Perform a review of final incurred costs and assist the awarding agreements officer in resolving
exceptions, if any, resulting from questioned costs.
(5) Perform cost sharing adjustments, if applicable.
(6) Assure that all refunds due the Government are received.
(7) Notify the agreements officer when the final SF270 and/or SF425 indicates an unexpended
balance.
(8) Obtain Final Inventions Report (DD Form 882). Negative reports required.
(a) Obtain Patent Clearance from (Insert POC or email address).
2.00 TRAFFICKING IN PERSONS (DEC 2007)
(a) Provisions applicable to a recipient that is a private entity.
(1) You as the recipient, your employees, subrecipients under this award, and subrecipients'
employees may not
(i) Engage in severe forms of trafficking in persons during the period of time that the award is
in effect;
(ii) Procure a commercial sex act during the period of time that the award is in effect; or
(iii) Use forced labor in the performance of the award or subawards under the award.
(2) We as the Federal awarding agency may unilaterally terminate this award, without penalty, if you
or a subrecipient that is a private entity
(i) Is determined to have violated a prohibition in paragraph a.1 of this award term; or
(ii) Has an employee who is determined by the agency official authorized to terminate the
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FA8650 19 S 5010
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award to have violated a prohibition in paragraph a.1 of this award term through conduct
that is either
(A) Associated with performance under this award; or
(B) Imputed to you or the subrecipient using the standards and due process for imputing
the conduct of an individual to an organization that are provided in 2 CFR part 180,
Government-wide Debarment and Suspension
(Nonprocurement),'' as implemented by our agency at 2 CFR 180
(b) Provision applicable to a recipient other than a private entity. We as the Federal awarding agency may
unilaterally terminate this award, without penalty, if a subrecipient that is a private entity
(1) Is determined to have violated an applicable prohibition in paragraph a.1 of this award term; or
(2) Has an employee who is determined by the agency official authorized to terminate the award to
have violated an applicable prohibition in paragraph a.1 of this award term through conduct that
is either--
(i) Associated with performance under this award; or
(ii) Imputed to the subrecipient using the standards and due process for imputing the conduct
of an individual to an organization that are provided in 2 CFR part 180, Guidelines to
Agencies on Government-
implemented by our agency at 2 CFR part 180
(c) Provisions applicable to any recipient.
(1) You must inform us immediately of any information you receive from any source alleging a
violation of a prohibition in paragraph a.1 of this award term.
(2) Our right to terminate unilaterally that is described in paragraph a.2 or b of this section:
(i) Implements section 106(g) of the Trafficking Victims Protection Act of 2000 (TVPA), as
amended (22 U.S.C. 7104(g)), and
(ii) Is in addition to all other remedies for noncompliance that are available to us under this
award.
(3) You must include the requirements of paragraph a.1 of this award term in any subaward you make
to a private entity.
(d) Definitions. For purposes of this award term:
(1) Employee means either:
(i) An individual employed by you or a subrecipient who is engaged in the performance of the
project or program under this award; or
(ii) Another person engaged in the performance of the project or program under this award and
not compensated by you including, but not limited to, a volunteer or individual whose
services are contributed by a third party as an in-kind contribution toward cost sharing or
matching requirements.
(2) Forced Labor'' means labor obtained by any of the following methods: the recruitment,
harboring, transportation, provision, or obtaining of a person for labor or services, through the use
of force, fraud, or coercion for the purpose of subjection to involuntary servitude, peonage, debt
bondage, or slavery.
(3) Private Entity
(i) Means any entity other than a State, local government, Indian tribe, or foreign public entity,
as those terms are defined in 2 CFR 175.25.
(ii) Includes:
(A) A nonprofit organization, including any nonprofit institution of higher education,
hospital, or tribal organization other than one included in the definition of Indian tribe
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Attachment 1
at 2 CFR 175.25(b).
(B) A for-profit organization.
(4) Severe Forms of Trafficking In Persons,'' sex act,'' and have the
meanings given at section 103 of the TVPA, as amended (22 U.S.C. 7102).
2.01 TERM OF THE AGREEMENT (APR 2000) TAILORED)
The term of this agreement for this effort is XX months, XX months for the technical effort and X months for
completing the final report, commencing on the effective date shown on the first page of this agreement.
The technical effort will be complete on (enter date), and the final report will be due (enter date).
(a) If all funds are expended prior to the end of the term (including recipient contributions, both cash
and in-kind), the parties have no obligation to continue and may elect to cease performance at that
point.
(b) Articles in this agreement which by their express terms or by necessary implication, apply for periods
of time other than as specified in this article shall be given effect, notwithstanding this article.
2.02 SCOPE OF THE AGREEMENT (MAR 2020)
(a) Overall Project Intent. The Parties recognize that the ultimate intent of the project is to address
the need to strengthen and expand the industrial base for **.
(b) The Parties recognize the recipient will demonstrate a level of continued commitment in the research
project. A portion of this continued commitment supports the Title III objective of economic viability
and takes the form of strategic business planning, technical marketing support, and the Recipient's
cost share investment. The Recipient will designate the company's existing strategic business plan
as the current strategy business baseline with the intention of developing and implementing an
enhanced strategic business plan and technical marketing effort that recognizes the increased
business and marketing opportunities that result from this agreement.
2.03 TERMINATION (APR 2000)
(a) The Agreements Officer may terminate this agreement by written notice to the recipient upon a finding
that the recipient has failed to comply with the material provisions of this agreement.
(b) Additionally, this agreement may be terminated by either party upon written notice to the other party.
Such written notice shall be preceded by consultation between the parties. If the recipient initiates the
termination, written notification shall be provided to the Agreements Officer at least 30 days prior to the
requested effective date. The notification shall state the reasons for the termination, the requested
effective date, and, if a partial termination, the portion to be terminated. If the Agreements Officer
determines, in the case of a partial termination, that the reduced or modified portion of the award will
not accomplish the purpose for which the award was made, the Agreements Officer may terminate the
award in its entirety.
(c) The Government and the recipient will negotiate in good faith an equitable reimbursement for work
performed toward accomplishment of program goals. The Government will allow full credit to the
recipient for the Government share of the obligations properly incurred by the recipient prior to
termination, and those noncancellable obligations that remain after the termination. The cost principles
and procedures described in the article entitled "Cost Principles" shall govern all costs claimed, agreed
to, or determined under this article.
(d) If this agreement is incrementally funded, it may be terminated in the absence of additional Government
funding as set forth in the article entitled "Incremental Funding".
(e) In the event of a termination, the Government shall have a paid-up Government purpose license in any
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FA8650 19 S 5010
Attachment 1
subject invention, copyright work, and data made or developed under this agreement.
2.04 EXTENDING THE TERM (APR 2000)
If the parties agree, the term of this agreement may be extended if funds are available and research
opportunities reasonably warrant. Any extension shall be formalized through modification of the agreement
by the Agreements Officer and the recipient.
2.05 STOP WORK ORDER (MAY 2024)
(a) The Agreements Officer may, at any time, by written order to the Recipient, require the Recipient to stop
all, or any part, of the work called for by this agreement until the stop-work order is either canceled by
the Agreements Officer or the agreement is fully or partially terminated. The order shall be specifically
identified as a stop-work order issued under this article. Upon receipt of the order, the
Recipient shall immediately comply with its terms and take all reasonable steps to minimize the
incurrence of costs allocable to the work covered by the order during the period of work stoppage.
(b) If a stop-work order issued under this article is canceled, the Recipient shall resume work.
The Agreements Officer shall make an equitable adjustment in the performance/delivery schedule if the
canceled stop-work order results in an increase in the time required for the performance of any part of
this agreement. In the event a canceled stop-work order results in increased costs which are allowable
and allocable to this agreement, the Recipient shall submit a request for equitable adjustment to the
Agreements Officer within 30 days after the end of the stop-work order. The Agreements Officer will
consider the request and determine whether the request is within scope of the agreement, whether
sufficient funding is available and whether the facts justify funding the request.
(c) If a stop-work order is not canceled and the work covered by the order is terminated, the Agreements
Officer shall follow the procedures in Article, XXXX, Termination.
3.00 SCOPE AND MANAGEMENT OF THE PROGRAM (JUN 2001) (TAILORED)
(a) The Government and the recipient are bound to each other by a duty of good faith and best effort to
achieve the goals of this agreement. This agreement is not intended to be, nor shall it be construed as,
by implication or otherwise, a partnership, a corporation, or other business organization.
(b) The recipient shall perform a coordinated research and development program carried out in
accordance with the Statement of Work entitled Title dated XX XXX 2023, Attachment
2 to this agreement. The recipient shall submit all documentation required by Part 7, and
(c) The overall management, including technical, programmatic, reporting, financial and administrative
matters, of the coordinated research program established under this agreement shall be accomplished
by the recipient. The Government program manager will interact with the recipient to promote effective
collaboration between the recipient and the Government. Changes to this agreement that would result
in
(1) a change in the scope or the objective of the project or program or
(2) a need for additional federal funding must be approved by the Agreements Officer, and the
agreement modified in accordance with the article entitled "Modifications".
(d) The recipient will establish a schedule of monthly technical meetings, and notify the Government
program manager of the schedule. The Government program manager may participate in all technical
meetings. Other Government personnel, as deemed appropriate, may also participate.
3.01 PROGRAM MANAGEMENT PLANNING PROCESS (APR 2000)
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(a) The Program Plan provides a detailed schedule of project activities, commits the recipient to use its best
efforts to meet specific performance objectives, includes forecasted expenditures and describes the
payable milestones if applicable. The Program Plan will consolidate all prior adjustments in the program
schedule, including revisions/modifications to payable milestones if applicable.
(b) For the first agreement year, the recipient will follow the plan as set forth in the proposal.
(c) The plan shall be updated, with Government program manager involvement, in each subsequent
agreement year to reflect any changes necessary for conducting research.
3.02 MODIFICATIONS (APR 2000)
(a) Modifications to this agreement may be proposed by either party. Recipient recommendations for any
modifications to this agreement, including justifications to support any changes to the statement of work
or recipient's proposal as incorporated by reference and/or the payable milestones, shall be submitted
in writing to the government program manager with a copy to the Agreements Officer. The recipient
shall detail the technical, chronological, and financial impact of the proposed modification to the
program. Changes are effective only after the agreement has been modified. Only the Agreements
Officer has the authority to act on behalf of the Government to modify this agreement.
(b) The Agreements Officer or Administrative Agreements Officer may unilaterally issue minor or
administrative agreement modifications (e.g., changes in the paying office or appropriation data, or
changes to Government personnel identified in the agreement, etc.)
3.03 PROPERTY (APR 2000) (TAILORED)
(a) Recipients may purchase real property or equipment in whole or in part with federal funds under an
award only with the prior approval of the Agreements Officer (except that additional approval is not
required for such items included in the proposed/negotiated budget at the time of award). If the
recipient purchases real property (other than land) or equipment with their own funding, and
designates the real property or equipment as recipient cost share, the Government will have a
financial interest in the real property or equipment. The financial interest of the Government is
determined by the Federal participation in the project.
(b) Equipment is defined as tangible nonexpendable personal property charged directly to the award
having a useful life of more than one year and an acquisition cost of $5,000.00 or more per unit.
(c) Title to all real property and equipment purchased by the recipient with federal funds under this
agreement will vest with the Government throughout the agreement. The Government may elect to
transfer title to all (or some) of the real property or equipment to the recipient at the end of the
agreement, if the recipient's performance is satisfactory, and subject to compliance with the criteria
listed below in subparagraphs (c)(1), (c)(2), and (c)(3).
(1) Use the real property or equipment for the authorized purposes of the project until funding for
the project ceases, or until the property is no longer needed for the purposes of the project.
(2) Not encumber the property without approval of the Agreements Officer.
(3) Use and dispose of the property in accordance with paragraphs (d), (e), (f), and (g) of this
article.
(d) Title to all real property or equipment purchased by the recipient with recipient funds designated as
recipient cost share under this agreement, will vest with the recipient subject to subparagraphs (c)(1),
(c)(2) and (c)(3) above. As stated in paragraph (a) above, the Government will have a financial interest
in the real property or equipment. The Government may relinquish all financial interest in the recipient
purchased equipment at the end of the agreement, provided the recipient's performance is satisfactory,
and the recipient provides:
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FA8650 19 S 5010
Attachment 1
(1) Guaranteed, ongoing responsiveness to DoD requirements for products and services that
require use of the equipment.
(2) If the recipient's performance is not satisfactory the provisions listed above in paragraph (c)(1)
through (c)(3) will apply.
(e) During the time the real property or equipment is used on this program, the recipient shall make it
available for use on other projects or programs, if such other use will not interfere with the work on this
program. Use of the real property or equipment on other projects will be in the following order of priority:
(1) Activities sponsored by DoD Components' grants, cooperative agreements, or other assistance
awards;
(2) Activities sponsored by other Federal agencies' grants, cooperative agreements, or other
assistance awards;
(3) Activities under Federal procurement contracts;
(4) Activities not sponsored by any Federal agency. If so used, mutually agreed to use charges
shall be assessed to those activities. For real property or equipment, the use charges shall be
at rates equivalent to those for which comparable real property or equipment may be leased.
The use charges shall be treated as program income.
(f) After Federal funding for the project ceases, or when the real property or equipment is no longer needed
for the purposes of the project, the recipient may use the real property or equipment for other projects,
insofar as:
(1) There are federally sponsored projects for which the real property or equipment may be used.
If the only use for the real property or equipment is for projects that have no Federal
sponsorship, the recipient shall proceed with disposition of the real property or equipment, in
accordance with paragraph (g) of this section.
(2) The recipient obtains written approval from the Agreements Officer to do so. The Agreements
Officer shall ensure that there is a formal change of accountability for the real property or
equipment to a currently funded, Federal award.
(3) The recipient's use of the real property or equipment for other projects is in the same order of
priority as described in paragraph (e) of this section.
(g) Disposition. When an item of real property or equipment is no longer needed for Federally sponsored
projects, the recipient shall proceed as follows:
(1) If the property that is no longer needed is equipment (rather than real property), the recipient
may wish to replace it with an item that is needed currently for the project. In that case, the
recipient may use the original equipment as trade-in or sell it and use the proceeds to offset the
costs of the replacement equipment, subject to the approval of the Agreements Officer.
(2) The recipient may elect to retain title, without further obligation to the Federal Government, by
compensating the Federal Government for that percentage of the current fair market value of
the real property or equipment that is attributable to the Federal participation in the project or
(3) The recipient may have an opportunity to retain title to the equipment provided the
Government agrees to an exchange for financial resources, technical support, and/or
deliverables that are of commensurate value to the Government. Examples include, but are
not limited to the following:
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Direct purchase of the equipment by the contractor, with the terms and process for pricing

the purchase established.

Ongoing maintenance and insurance of the equipment.

Guaranteed, continued government access to the equipment.

Guaranteed, ongoing responsiveness to DoD requirements for products and services that

require use of the equipment.

Periodic reporting and data relating to the contractor's production capabilities and

continued economic viability.
Upon completion of the technical effort, the Title III project may be transitioned into a principally
business-focused phase (no-cost monitoring phase) for the remaining accounting life of the
equipment. If this alternative is pursued, Title III may choose to conduct periodic reviews with the
Recipient assess and ensure that they remain responsive to the continuing and evolving needs of
the DoD community. Upon successful completion of this business-focused phase, (typically one
to five years), the government may elect to transfer title to the equipment to the Recipient.
(4) If the recipient does not elect to retain title to real property or equipment (see paragraph (g)(2)
of this section) or request approval to use equipment as trade-in or offset for replacement
equipment (see paragraph (g)(1) of this section), the recipient shall request disposition
instructions from the Agreements Officer.
3.04 INSURANCE COVERAGE (MAR 2007)
The Recipient shall insure and be liable for the loss, damage, and/or destruction of all real property and
equipment acquired under this agreement with Federal funds. The Recipient shall, at a minimum, provide
the equivalent insurance coverage for real property, and equipment acquired under this agreement, as
provided to real property and equipment owned by the Recipient. The Recipient will immediately notify the
Agreements Officer and DCMA authorities as appropriate, in the event there is an incident of loss, damage,
or destruction of the property.
3.05 PROPERTY MANAGEMENT / CONTROL LIST (JUN 2001)
The recipient's property management system shall include the following, for property that is federally
owned, and for equipment that is acquired in whole or in part with Federal funds. Attachment 5 Property
Control List, shall be utilized for the tracking of property under this Agreement and shall be submitted
(a) Property records shall be maintained, to include the following information:
(1) A description of the property.
(2) Manufacturer's serial number, model number, Federal stock number, national stock number, or
any other identification number.
(3) Source of the property, including the award number.
(4) Whether title vests in the recipient or the Federal Government.
(5) Acquisition date (or date received, if the property was furnished by the Federal Government) and
cost.
(6) Information from which one can calculate the percentage of Federal participation in the cost of
the property (not applicable to property furnished by the Federal Government).
(7) The location and condition of the property and the date the information was reported.
(8) Ultimate disposition data, including date of disposal and sales price or the method used to
determine current fair market value where a recipient compensates the Federal Government for
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FA8650 19 S 5010
Attachment 1
its share.
(b) Federally owned equipment shall be marked, to indicate Federal ownership.
(c) A physical inventory shall be taken and the results reconciled with the property records at least once
every two (2) years. Any differences between quantities determined by the physical inspection and those
shown in the accounting records shall be investigated to determine the causes of the difference. The
recipient shall, in connection with the inventory, verify the existence, current utilization, and continued
need for the property.
(d) A control system shall be in effect to ensure adequate safeguards to prevent loss, damage, or theft of
the property. Any loss, damage, or theft of property shall be investigated and fully documented; if the
property was owned by the Federal Government, the recipient shall promptly notify the Federal agency
responsible for administering the property.
Adequate maintenance procedures shall be implemented to keep the property in good condition.
4.00 COST PRINCIPLES (JUN 2020)
The cost principles applicable to this agreement are contained in 2 CFR 200, Subpart E, Cost Principles. 2
CFR 200 describes the cost principles for determining allowability of costs applicable to lower tier, cost type
contracts or awards under this agreement shall be determined by type of entity receiving the lower tier
contract or award.
(a) The recipient shall establish or apply cost principles or standards in accordance with DoDGARS 37.625
(b) For-profit participants that currently perform under expenditure-based Federal procurement contracts or
assistance awards (other than TIAs) and therefore have existing systems for identifying allowable costs,
shall apply the Government cost principles in 48 CFR parts 31 and 231. If there are programmatic or
business reasons to do otherwise, the Government Agreements Officer may grant an exception from this
requirement and use alternative standards that meet the minimum conditions in DoDGARS 37.625 (b).
(c) For-profit participants that do not currently perform under expenditure-based Federal procurement
contracts or assistance awards (other than TIAS), may establish alternative standards as long as the
standards meet the minimum conditions outlined in DoDGARS 37.625 (b).
4.01 STANDARDS FOR FINANCIAL MANAGEMENT SYSTEMS (APR 2000)
(a) The recipient shall establish or use existing financial management systems in accordance with
DoDGARS 37.615.
(b) For-profit participants that currently perform under other expenditure-based Federal procurement
contracts or assistance awards are subject to the same standards for financial management systems
that apply to those other awards. If a for-profit participant has expenditure-based DoD assistance
awards other than TIAs, apply the standards in 32 CFR 34.11. A for-profit participant that has other
expenditure-based Federal Government awards may be granted an exception by the Government
Agreements Officer to use an alternative set of standards that meets the minimum criteria in DoDGARS
37.615 (b), if there is a compelling programmatic or business reason to do so.
(c) For-profit participants that do not currently perform under expenditure-based Federal procurement
contracts or assistance awards (other than TIAS), shall use its existing financial management system
as long as the system meets the minimum criteria outlined in DoDGARS 37.615 (b).
4.02 PAYMENT REIMBURSEMENT AND COST SHARING WAWF (DCMA) (MAY 2014)(TAILORED)
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(a) The recipient shall be reimbursed by electronically submitting Standard Form (SF) 270, Requests for
Advance or Reimbursement, through Wide Area Work Flow (WAWF), https://wawf.eb.mil. Each request
for payment shall include the total costs incurred and the amounts of recipient and Government cost
share. The Government agrees to reimburse the recipient no more than the Government cost share
percentage of all but the final payment requests submitted. The final payment will reflect the percentage
representing the balance of Government cost share. Final payment will be made only after delivery and
acceptance of the final report prepared in accordance with the article entitled 7.00 "Final Report".
(b) The following codes will be required to route requests and emails correctly through WAWF.
Award Number: FA8650-XX-2-XXXX
Type of Document: SF 270
Cage Code: XXXXX
Issued By DODAAC: FA8650
Admin DODAAC: XXXXXX
Government Program Manager:
Service Acceptor Office DODAAC: xxxxxxx
Pay Office DODAAC: xxxxxxx
Approval Office DODAAC: FA8650
Send E-Mail Notifications for Completed SF 270:
(c) The customer service number for Vendor Pay is 800-756-4571 Option 1. Vendors may also check status
of payments through MyInvoice, https://MyInvoice.csd.disa.mil. Recipients must register in MyInvoice to
gain access.
(d) Alternately, recipients may
Advance to the Administrative Agreements Officer (AAO) with a copy to the AFRL
Grants/Agreements Officer and AFRL Program Manager.
(e) To the maximum extent possible, payments will be made by electronic funds transfer (EFT) after ACO
approval. Recipients may submit requests for monthly reimbursement when EFT payment is not used
or as frequently as necessary when EFT payment is used.
(f) Final payment of 1% the Government cost share will be made only after delivery and acceptance of
4.03 AUDIT (JUL 2003) (TAILORED)
(a) If the recipient expends $750,000 or more in one year under Federal awards they shall have an audit
performed for that year by an independent auditor, in accordance with DoDGARs 34.16 and DoDGARS
37.640 through 37.680. The audit should be made a part of the regularly scheduled, annual audit of the
recipient's financial statements. However, the recipient may have Federal awards separately audited, if
it elects to do so unless prohibited by Federal laws or regulations. (See DoDGARS Part 37 Appendix C
for guidance on the desired coverage for periodic audits.)
(b) Recipients currently working with the Defense Contract Audit Agency (DCAA) on a regular basis, due
to the recipient currently performing under other federal awards, shall provide a copy of a DCAA audit
to meet the requirements outlined in paragraph (a) above.
(c) The Recipient shall provide a copy of the auditor's report to the Agreements Officer and the agreements
administration office within 60 days after audit.
4.04 RETENTION AND ACCESS TO RECORDS - INCORPORATED BY REFERENCE (AUG 2001)
Recipient's financial records, supporting documents, statistical records, and all other records pertinent to an
award shall be retained and access to them permitted in accordance with DoDGARs 34.42.
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4.05 ALLOTTED FUNDING (OCT 2001)
The following funds are allotted to this agreement:
ACRNs FUND CITATION(S) AMOUNT
AA TBD
TBD
PR # XXXXXX funded by MIPR # XXXXXXX
PR AND MIPR COMPLETE
4.06 PROGRAM INCOME OTHER THAN RESEARCH (APR 2000) TAILORED)
(a) Other than any program/project income excluded pursuant to DoDGARS Part 34.14, paragraphs (a),
(b), and (c), program/project income earned during the Title III project period shall be retained by the
recipient and used in one or more of the following ways, as specified in program/project regulations or
the terms and conditions of the award.
(1) Added to funds committed to the program/project by the DoD Component and recipient and used
to further eligible program/project objectives.
(2) Used to finance the recipient cost share (non-Federal share) portion of the program/project.
(b) The recipient has no obligation to the Government for program income earned after the end of the
program/project period.
(c) The recipient will have no obligation to the Government for program income earned from license fees
and royalties for copyrighted material, patents patent applications, trademarks and inventions produced
under the agreement.
(d) The recipient may deduct costs associated with generating program income from gross income to
determine program income, provided these costs are not charged to the agreement.
4.07 CONSIDERATION (JUN 2006)
(a) The Recipient agrees that the selling price to the Federal Government for * will not
exceed the price paid by any of the Recipient's customers for the same or similar product or
component sold in the same quantities. This article applies both when the Recipient is the prime
contractor or when the Recipient is a supplier at any tier for the Federal Government.
(b) In no event shall such price be in excess of the Recipient's sale price to any other of their customers
for the same item in like quantity, or the current market price, whichever is lower.
(c) All yield efficiencies resulting from Title III investment will be reflected in USG pricing for a minimum
of five years from the conclusion of this agreement.
(d) The above stated stipulations shall remain in effect for a period of five years from the conclusion of
this agreement.
4.08 COST SHARING (AUG 2001)
(a) The parties estimate that the research and development work under this Agreement can only be
accomplished with the Recipient aggregate resource contribution of $xxxxxxxxxx throughout the term
of this Agreement. The Recipient agrees to provide the resources in the manner shown in
Attachment 7, Cost Sharing Summary and Schedule. Failure of either party to provide its respective
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total contribution may result in a unilateral modification to the Agreement by the Agreements Officer
to reflect a proportional reduction in funding for the other party.
(b) The contributions may count as cost sharing only to the extent that they comply with
DoDGARs 34.13.
5.00 CLAIMS, DISPUTES AND APPEALS (JUN 2001)
(a) General. Parties shall communicate with one another in good faith and in a timely and cooperative
manner when raising issues under this article. The Department of Defense's policy is to try to resolve
all issues concerning agreements by mutual agreement at the Agreements Officer's level.
(b) Alternative Dispute Resolution (ADR): A mutually agreeable form of ADR may be utilized at any time
to facilitate resolution of issues submitted under this article. ADR procedures are any voluntary means
used to resolve issues in controversy without resorting to formal administrative appeals or litigation.
ADR procedures may be initiated in lieu of submission of a written claim to the Agreements Officer or
an appeal to the Grant Appeal Authority (GAA), or at any appropriate time during a dispute.
(c) Claims Resolution Process.
(1) Recipient Claims: Whenever disputes, disagreements, or misunderstandings arise, the parties
shall attempt to resolve the issue(s) involved by discussion and mutual agreement as soon as
practicable. Failing resolution by mutual agreement, the recipient may submit to the Agreements
Officer, in writing, the relevant facts, including all data that supports the claim, identifying
unresolved issues and specifying the clarification or remedy sought. Within 60 days of receipt of
the written claim or issue in dispute, the Agreements Officer shall either:
(i) Prepare a written decision on the issue, including the basis for the decision, or
(ii) Notify the recipient of a specific date when he or she will render a written decision, if more
time is required to do so. The notice will include the reason for delaying the decision.
(2) Government Claims: Government claims against a recipient shall be the subject of a written
decision by the Agreements Officer.
(3) Appeals: In the event the recipient decides to appeal the decision of the Agreements Officer, they
must do so within 90 days of receipt of the decision. The appeal must be submitted, in writing, to
the Grant Appeal Authority (GAA). The GAA is AFMC/PK. The GAA shall conduct a review of the
matter and render a decision in writing within 30 days of receipt of the written appeal. Any such
decision is not subject to further administrative review and shall be final and binding.
(4) Non-exclusivity of Remedies. Nothing in this article is intended to limit a recipient's right to any
remedy under the law.
5.01 OMBUDSMAN (APR 2008)
(a) An ombudsman has been appointed to hear and facilitate the resolution of concerns from offerors,
potential offerors, and others for this agreement. When requested, the ombudsman will maintain
strict confidentiality as to the source of the concern. The existence of the ombudsman does not
affect the authority of the program manager, Agreements Officer, or Evaluation Review Official.
Further, the ombudsman does not participate in the evaluation of proposals, the evaluation process,
or the adjudication of protests or formal contract disputes. The ombudsman may refer the party to
another official who can resolve the concern.
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(b) If resolution cannot be made by the Agreements Officer, concerned parties may contact the AFRL
ombudsman: AFRL/PK Director / AFRL/PK Deputy Director at (937) 904-9700, or by email to
afrl.pk.officeaccount@us.af.mil.
(c) The ombudsman has no authority to render a decision that binds the agency.
(d) Do not contact the ombudsman to request copies of the solicitation, verify offer due date, or clarify
technical requirements. Such inquiries shall be directed to the Agreements Officer.
6.00 PATENT INFRINGEMENT (APR 2000)
The recipient agrees not to hold the U.S. Government responsible for any and all patent infringement cases
that may arise under any research projects conducted under this agreement. In addition, the recipient shall
indemnify the Government against all claims and proceedings for actual or alleged direct or contributory
infringement of, or inducement to infringe, any U.S. or foreign patent, trademark, or copyright arising under
this agreement and the recipient shall hold the government harmless from any resulting liabilities and losses
provided the recipient is reasonably notified of such claims and proceedings.
6.01 INVENTIONS (JUN 2001)
(a) Definitions:
(1) "Invention" means any invention or discovery which is or may be patentable or otherwise
protectable under Title 35 of the United States Code, or any novel variety of plant which is or may
be protected under the Plant Variety Protection Act (7 U.S.C. 2321 et seq.).
(2) "Subject invention" means any invention of the recipient conceived or first actually reduced to
practice in the performance of work under this agreement, provided that in the case of a variety of
plant, the date of determination (as defined in section 41(d) of the Plant Variety Protection Act, 7
U.S.C. 2401(d)) must also occur during the period of agreement performance.
(3) "Practical Application" means to manufacture in the case of a composition or product, to practice
in the case of a process or method, or to operate in the case of a machine or system; and, in each
case, under such conditions as to establish that the invention is being utilized and that its benefits
are, to the extent permitted by law or government regulations, available to the public on reasonable
terms.
(4) "Made" when used in relation to any invention means the conception or first actual reduction to
practice of such invention.
(5) "Small Business Firm" means a small business concern as defined at section 2 of Pub. L. 85-536
(15 U.S.C. 632) and implementing regulations of the Administrator of the Small Business
Administration. For the purpose of this article, the size standards for small business concerns
involved in Government procurement and subcontracting at 13 CFR 121.3-8 and 13 CFR 121.3-
12, respectively, will be used.
(6) "Nonprofit Organization" means a university or other institution of higher education or an
organization of the type described in section 501(c)(3) of the Internal Revenue Code of 1954 (26
U.S.C. 501(c) and exempt from taxation under section 501(a) of the Internal Revenue Code (25
U.S.C.501(a)) or any nonprofit scientific or educational organization qualified under a state
nonprofit organization statute.
(b) Allocation of Principal Rights:
(1) The recipient may retain the entire right, title, and interest throughout the world to each subject
invention subject to the provisions of this article and 35 U.S.C. 203. With respect to any subject
invention in which the recipient retains title, the Government shall have a nonexclusive,
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nontransferable, irrevocable, paid-up license to practice or have practiced for or on behalf of the
United States the subject invention throughout the world.
(c) Invention Disclosure, Election of Title and Filing of Patent Application by Recipient:
(1) The recipient will disclose each subject invention to the Government within 2 months after the
inventor discloses it in writing to recipient personnel responsible for patent matters. The
disclosure to the Government shall be in the form of a written report and shall identify the
agreement under which the invention was made and the inventor(s). It shall be sufficiently
complete in technical detail to convey a clear understanding to the extent known at the time of
the disclosure, of the nature, purpose, operation, and the physical, chemical, biological or
electrical characteristics of the invention. The disclosure shall also identify any publication, on
sale or public use of the invention and whether a manuscript describing the invention has been
submitted for publication and, if so, whether it has been accepted for publication at the time of
disclosure. In addition, after disclosure to the Government, the recipient will promptly notify the
Government of the acceptance of any manuscript describing the invention for publication or of
any on sale or public use planned by the recipient.
(2) The recipient will elect in writing whether or not to retain title to any such invention by notifying
the Government within 2 years of disclosure to the Government. However, in any case where
publication, on sale or public use has initiated the one year statutory period wherein valid patent
protection can still be obtained in the United States, the period for election of title may be
shortened by the Government to a date that is no more than 60 days prior to the end of the
statutory period.
(3) The recipient will file its initial patent application on a subject invention to which it elects to retain
title within 1 year after election of title or, if earlier, prior to the end of any statutory period wherein
valid patent protection can be obtained in the United States after a publication, on sale, or public
use. The recipient will file patent applications in additional countries or international patent offices
within either 10 months of the corresponding initial patent application or 6 months from the date
permission is granted by the Commissioner of Patents and Trademarks to file foreign patent
applications where such filing has been prohibited by a Secrecy Order.
(4) Requests for extension of the time for disclosure, election, and filing under subparagraphs (1), (2),
and (3) may, at the discretion of the Government, be granted.
(d) Conditions When the Government May Obtain Title: The recipient will convey to the Government,
upon written request, title to any subject invention
(1) If the recipient fails to disclose or elect title to the subject invention within the times specified in (c),
above, or elects not to retain title; provided that the Government may only request title within 60
days after learning of the failure of the recipient to disclose or elect within the specified times.
(2) In those countries in which the recipient fails to file patent applications within the times specified in
(c) above; provided, however, that if the recipient has filed a patent application in a country after
the times specified in (c) above, but prior to its receipt of the written request of the Government,
the recipient shall continue to retain title in that country.
(3) In any country in which the recipient decides not to continue the prosecution of any application for,
to pay the maintenance fees on, or defend in reexamination or opposition proceeding on, a patent
on a subject invention.
(e) Minimum Rights to Recipient and Protection of the Recipient Right to File:
(1) The recipient will retain a nonexclusive royalty-free license throughout the world in each subject
invention to which the Government obtains title, except if the recipient fails to disclose the invention
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within the times specified in (c), above. The recipient's license extends to its domestic subsidiary
and affiliates, if any, within the corporate structure of which the recipient is a party and includes the
right to grant sublicenses of the same scope to the extent the recipient was legally obligated to do
so at the time the agreement was awarded. The license is transferable only with the approval of
the Government except when transferred to the successor of that party of the recipient's business
to which the invention pertains.
(2) The recipient's domestic license may be revoked or modified by the Government to the extent
necessary to achieve expeditious practical application of the subject invention pursuant to an
application for an exclusive license submitted in accordance with applicable provisions at 37 CFR
part 404 and Government licensing regulations (if any). This license will not be revoked in that field
of use or the geographical areas in which the recipient has achieved practical application and
continues to make the benefits of the invention reasonably accessible to the public. The license in
any foreign country may be revoked or modified at the discretion of the Government to the extent
the recipient, its licensees, or the domestic subsidiaries or affiliates have failed to achieve practical
application in that foreign country.
(3) Before revocation or modification of the license, the Government will furnish the recipient a written
notice of its intention to revoke or modify the license, and the recipient will be allowed 30 days (or
such other time as may be authorized by the Government for good cause shown by the recipient)
after the notice to show cause why the license should not be revoked or modified. The recipient
has the right to appeal, in accordance with applicable regulations in 37 CFR part 404 and
Government regulations (if any) concerning the licensing of Government-owned inventions, any
decision concerning the revocation or modification of the license.
(f) Recipient Action to Protect the Government's Interest:
(1) The recipient agrees to execute or to have executed and promptly deliver to the Government all
instruments necessary to (i) establish or confirm the rights the Government has throughout the
world in those subject inventions to which the recipient elects to retain title, and (ii) convey title to
the Government when requested under paragraph (d) above and to enable the Government to
obtain patent protection throughout the world in that subject invention.
(2) The recipient agrees to require, by written agreement, its employees, other than clerical and
nontechnical employees, to disclose promptly in writing to personnel identified as responsible for
the administration of patent matters and in a format suggested by the recipient each subject
invention made under an agreement in order that the recipient can comply with the disclosure
provisions of paragraph (c), above, and to execute all papers necessary to file patent applications
on subject inventions and to establish the Government's rights in the subject inventions. This
disclosure format should require, as a minimum, the information required by (c)(1), above. The
recipient shall instruct such employees through employee agreements or other suitable educational
programs on the importance of reporting inventions in sufficient time to permit the filing of patent
applications prior to U.S. or foreign statutory bars.
(3) The recipient will notify the Government of any decisions not to continue the prosecution of a patent
application, pay maintenance fees, or defend in a reexamination or opposition proceeding on a
patent, in any country, not less than 30 days before the expiration of the response period required
by the relevant patent office.
(4) The recipient agrees to include, within the specification of any United States patent applications
invention was made with Government support under (identify the agreement) awarded by (identify
the Federal Agency). The Government has certain rights in the invention.''
(g) Lower Tier Agreements: The recipient will include this article, suitably modified to identify the parties,
in all lower tier agreements, regardless of tier, for experimental, developmental or research work. Each
subrecipient will retain all rights provided for the recipient in this article, and the recipient will not, as part
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inventions.
(h) Reporting on Utilization of Subject Inventions: The recipient agrees to submit on request periodic
reports no more frequently than annually on the utilization of a subject invention or on efforts at obtaining
such utilization that are being made by the recipient or its licensees or assignees. Such reports shall
include information regarding the status of development, date of first commercial sale or use, gross
royalties received by the recipient, and such other data and information as the Government may
reasonably specify. The recipient also agrees to provide additional reports as may be requested by the
Government in connection with any march-in proceeding undertaken by the Government in accordance
with paragraph (j) of this article. As required by 35 U.S.C. 202(c)(5), the Government agrees it will not
disclose such information to persons outside the Government without permission of the recipient.
(i) Preference for United States Industry: Notwithstanding any other provision of this article, the recipient
agrees that neither it nor any assignee will grant to any person the exclusive right to use or sell any
subject inventions in the United States unless such person agrees that any products embodying the
subject invention or produced through the use of the subject invention will be manufactured substantially
in the United States. However, in individual cases, the requirement for such an agreement may be
waived by the Government upon a showing by the recipient or its assignee that reasonable but
unsuccessful efforts have been made to grant licenses on similar terms to potential licensees that would
be likely to manufacture substantially in the United States or that under the circumstances domestic
manufacture is not commercially feasible.
(j) March-in Rights: The recipient agrees that with respect to any subject invention in which it has acquired
title, the Government has the right in accordance with the procedures in 37 CFR 401.6 and any
supplemental regulations of the Government to require the recipient, an assignee or exclusive licensee
of a subject invention to grant a nonexclusive, partially exclusive, or exclusive license in any field of use
to a responsible applicant or applicants, upon terms that are reasonable under the circumstances, and
if the recipient, assignee, or exclusive licensee refuses such a request the Government has the right to
grant such a license itself if the Government determines that:
(1) Such action is necessary because the recipient or assignee has not taken, or is not expected to
take within a reasonable time, effective steps to achieve practical application of the subject
invention in such field of use.
(2) Such action is necessary to alleviate health or safety needs which are not reasonably satisfied by
the recipient, assignee or their licensees;
(3) Such action is necessary to meet requirements for public use specified by Federal regulations
and such requirements are not reasonably satisfied by the recipient, assignee or licensees; or
(4) Such action is necessary because the agreement required by paragraph (i) of this article has not
been obtained or waived or because a licensee of the exclusive right to use or sell any subject
invention in the United States is in breach of such agreement.
(5) Special Provisions for Agreements with Nonprofit Organizations
(k) If the recipient is a nonprofit organization, it agrees that:
(1) Rights to a subject invention in the United States may not be assigned without the approval of the
Government, except where such assignment is made to an organization which has as one of its
primary functions the management of inventions, provided that such assignee will be subject to
the same provisions as the recipient;
(2) The recipient will share royalties collected on a subject invention with the inventor, including
Federal employee co-inventors (when the Government deems it appropriate) when the subject
invention is assigned in accordance with 35 U.S.C. 202(e) and 37 CFR 401.10;
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(3) The balance of any royalties or income earned by the recipient with respect to subject inventions,
after payment of expenses (including payments to inventors) incidental to the administration of
subject inventions, will be utilized for the support of scientific research or education; an
(4) It will make efforts that are reasonable under the circumstances to attract licensees of subject
invention that are small business firms and that it will give a preference to a small business firm
when licensing a subject invention if the recipient determines that the small business firm has a
plan or proposal for marketing the invention which, if executed, is equally as likely to bring the
invention to practical application as any plans or proposals from applicants that are not small
business firms; provided, that the recipient is also satisfied that the small business firm has the
capability and resources to carry out its plan or proposal. The decision whether to give a
preference in any specific case will be at the discretion of the recipient. However, the recipient
agrees that the Secretary may review the recipient's licensing program and decisions regarding
small business applicants, and the recipient will negotiate changes to its licensing policies,
procedures, or practices with the Secretary when the Secretary's review discloses that
therecipient could take reasonable steps to implement more effectively the requirements of
this paragraph (k)(4).
(l) Communication: The point of contact on matters relating to this article will be the servicing Staff Judge
Advocate's office identified in the article entitled Administrative Responsibilities.
6.02 DATA RIGHTS (AUG 2001)
(a) Definitions:
"Government Purposes", as used in this article, means any activity in which the United States
Government is a party, including cooperative agreements with international or multinational defense
organizations, or sales or transfers by the United States Government to foreign governments or
international organizations. Government purposes include competitive procurement, but do not include
the rights to use, modify, reproduce, release, perform, display, or disclose data for commercial
purposes or authorize others to do so.
"Government Purpose Rights", as used in this article, means the right to
(1) Use, modify, reproduce, release, perform, display, or disclose technical data within the
Government without restriction; and
(2) Release or disclose technical data outside the Government and authorize persons to whom
release or disclosure has been made to use, modify, reproduce, release, perform, display, or
disclose that data for United States government purposes.
Limited rights
technical data, in whole or in part, within the Government. The Government may not, without the
written permission of the party asserting limited rights, release or disclose the technical data outside
the Government, use the technical data for manufacture; or authorize the technical data to be used
by another party, except that the Government may reproduce, release, or disclose such data or
authorize the use of reproduction of the data by persons outside the Government if
(1) The reproduction, release, disclosure, or use is -
(A) Necessary for emergency repair and overhaul; or
(B) A release or disclosure to
i. A covered government support contractor, for use, modification, reproduction,
performance, display, or release or disclosure to authorized person(s) in performance of a Government
contract.
or
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ii. A foreign government, of technical data, other than detailed manufacturing or process
data, when use of such data by the foreign government is in the interest of the government and is
required for evaluation or information purposes;
(2) The Recipient of the technical data is subject to a prohibition on the further reduction, release,
disclosure, or use of the technical data; and
(3) The contractor or subcontractor asserting the resection is notified of such reproduction, release,
disclosure, or use.
"Unlimited Rights", as used in this article, means rights to use, modify, reproduce, perform, display,
release, or disclose data in whole or in part, in any manner, and for any purpose whatsoever, and to
have or authorize others to do so.
"Data", as used in this article, means recorded information, regardless of form or method or recording,
which includes but is not limited to, technical data, software, trade secrets, and mask works. The term
does not include financial, administrative, cost, pricing or management information and does not
include subject inventions included under the article entitled Inventions.
"Practical Application", as used in this article, means to manufacture in the case of a composition or
product, to practice in the case of a process or method, or to operate in the case of a machine or
system; and, in each case, under such conditions as to establish that the invention is being utilized and
that its benefits are, to the extent permitted by law or government regulations, available to the public
on reasonable terms.
(b) Allocation of Principal Rights:
(1) Ownership rights to data generated under this agreement shall vest in the recipient. This agreement
shall be performed with mixed Government and recipient funding and the parties agree that in
consideration for Government funding, the recipient intends to reduce to practical application items,
components and processes developed under this agreement.
(2) The recipient agrees to retain and maintain in good condition until 3 years after completion or
termination of this agreement, all data necessary to achieve practical application. In the event of
exercise of the Government's march-in rights as set forth under the Article entitled Inventions, the
recipient agrees, upon written request from the Government, to deliver at no additional cost to the
Government, all data necessary to achieve practical application within 60 days from the date of
the written request. The Government shall have unlimited rights to this delivered data.
(3) With respect to data generated under this agreement, including data delivered pursuant to Part 7
of this agreement, "Technical and Financial Reporting," the Government shall receive Government
Purpose rights." In the event *insert Recipient name* asserts "Limited Rights" on any data,
the Government may need to add a "Limited Rights" marking under paragraph (c) of this article.
(c) Marking of Data:
(1) Pursuant to subparagraph (b)(3) above, any data delivered under this agreement shall be marked
with the following legend:
Government Purpose Rights
Agreement No.:
Recipient's Name:
Recipient's Address:
The Government may use, modify, reproduce, release, perform, display or disclose these data
within the Government without restriction, and may release or disclose outside the Government and
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authorize persons to whom such release or disclosure has been made to use, modify, reproduce,
release, perform, display or disclose that data for United States Government purposes, including
competitive procurement.
(2) Any trade secrets and commercial or financial information the recipient wishes to protect from
release under Freedom of Information Act (FOIA) requirements must be marked with a legend
identifying it as privileged or confidential information.
(d) Lower Tier Agreements: The recipient shall include this article, suitably modified to identify the parties,
in all subcontracts or lower tier agreements, regardless of tier, for experimental, developmental, or
research work.
6.03 INVENTIONS / PATENTS (NOV 2011) (TAILORED)
(a) The clause entitled Patent Rights (Small Business Firms and Nonprofit Organizations, (37 CFR
401.14(a)) is hereby incorporated by reference and is modified as follows: replace the word "contractor"
with "recipient"; replace the words "agency," "Federal Agency" and "funding Federal Agency" with
"Government"; replace the word "contract" with "agreement"; delete paragraphs (g)(2), (g)(3) and the
words "to be performed by a small business firm or domestic nonprofit organization" from paragraph
(g)(1). Paragraph (l), Communications, point of contact on matters relating to this clause will be the
servicing Staff Judge Advocate's office.
(b) Interim or final Invention Reports 1) listing subject invention(s) and stating that all subject inventions
have been disclosed, or 2) stating that there are no such inventions, shall be sent to both the
Administrative Agreements Officer at the address located in the agreement and to the Agreements
Officer / patent administrator at afmclo.jaz@us.af.mil, with a courtesy copy (cc:) to the government
Program Manager/Project Engineer. Please include in the subject line of the e-mail the contract number
followed by the words "Invention Reporting." Also include in the body of the e-mail the names of the
Government Project Engineer/Program Manager and his/her office symbol. The recipient shall file
Invention (Patent) Reports on the DD Form 882, Report of Inventions and Subcontracts, as of the close
of each performance year and at the end of the term for this agreement. Annual reports are due 90 days
after the end of each year of performance and final reports are due 90 days after the expiration of the
final performance period. Negative reports are also required annually.
(c) The DD Form 882 may also be used for the notification of any subaward(s) for experimental,
developmental or research work which contain a "Patent Rights" clause, with a cc: to the Government
Program Manager/Project Engineer.
(d) All other notifications (e.g., disclosure of each subject invention to the Agreements Officer within 2
months after the inventor discloses it) shall also be sent to the e-mail address above, with a cc: to the
Government Program Manager/Project Engineer.
(e) This provision also constitutes the request for the following information for any subject invention for
which the recipient has retained ownership: 1) the filing date, 2) serial number and title, 3) a copy of the
patent application and 4) patent number and issue date. Submittal shall be to the Agreements Officer /
patent administrator e-mail address listed above, with a cc: to the government Program Manager/Project
Engineer.
6.04 FOREIGN ACCESS TO TECHNOLOGY (APR 2000)
(a) Definitions:
"Foreign Firm or Institution" means a firm or institution organized or existing under the laws of a
country other than the United States, its territories, or possessions. The term includes, for purposes of
this agreement, any agency or instrumentality of a foreign government, and firms, institutions or
business organizations which are owned or substantially controlled by foreign governments, firms,
institutions, or individuals.
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"Know-how" means all information including, but not limited to, discoveries, formulas, materials,
inventions, processes, ideas, approaches, concepts, techniques, methods, software, programs,
documentation, procedures, firmware, hardware, technical data, specifications, devices, apparatus and
machines.
"Technology" means discoveries, innovations, know-how and inventions, whether patentable or not,
including computer software, recognized under U.S. law as intellectual creations to which rights of
ownership accrue, including, but not limited to, patents, trade secrets, mask works, and copyrights
developed under this agreement.
(b) General: The parties agree that research findings and technology developments in
may constitute a significant enhancement to the national defense, and to the economic vitality of the
United States. Accordingly, access to important technology developments under this agreement by
foreign firms or institutions must be carefully controlled. The controls contemplated in this article are in
addition to, and are not intended to change or supersede, the provisions of the International Traffic in
Arms Regulation (22 CFR pt. 120 et seq.), the DOD Industrial Security Regulation (DOD 5220.22-R)
and the Department of Commerce Export Regulation (15 CFR pt. 770 et seq.).
(c) Restrictions on Sale or Transfer of Technology to Foreign Firms or Institutions.
(1) In order to promote the national security interests of the United States and to effectuate the policies
that underlie the regulations cited above, the procedures stated in subparagraphs C.2, C.3, and
C.4 below shall apply to any transfer of technology. For purposes of this paragraph, a transfer
includes a sale of the company, and sales or licensing of technology. Transfers do not include:
(i) Sales of products or components, or
(ii) Licenses of software or documentation related to sales of products or components, or
(iii) Transfer to foreign subsidiaries of the recipient (recipient participants) for purposes related
to this agreement, or
(iv) Transfer which provides access to technology to a foreign firm or institution which is an
approved source of supply or source for the conduct of research under this agreement
provided that such transfer shall be limited to that necessary to allow the firm or institution
to perform its approved role under this agreement.
(2) The recipient shall provide timely notice to the Government of any proposed transfer from the
recipient of technology developed under this agreement to foreign firms or institutions. If the
Government determines that the transfer may have adverse consequences to the national security
interests of the United States, the recipient, its vendors, and the Government shall jointly endeavor
to find alternatives to the proposed transfer which obviate or mitigate potential adverse
consequences of the transfer but which provide substantially equivalent benefits to the recipient.
(3) In any event, the recipient shall provide written notice to the Agreements Officer and Government
program manager of any proposed transfer to a foreign firm or institution at least 60 days prior to
the proposed date of transfer. Such notice shall cite this article and shall state specifically what is
to be transferred and the general terms of the transfer. Within 30 days of receipt of the recipient's
written notification, the Agreements Officer shall advise the recipient whether it consents to the
proposed transfer. In cases where the Government does not concur or 60 days after receipt and
the Government provides no decision, the recipient may utilize the procedures under the article
entitled Claims, Disputes and Appeals. No transfer shall take place until a decision is rendered.
(4) Except as provided in subparagraph C.1 above and in the event the transfer of technology to
foreign firms or institutions is not approved by the Government, but the transfer is made
nonetheless, the recipient shall (a) refund to the Government the funds paid for the development
of the technology and (b) negotiate a license with the Government to the technology under terms
that are reasonable under the circumstances.
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(d) Lower Tier Agreements: The recipient shall include this article, suitably modified to identify the parties,
in all subcontracts or lower tier agreements, regardless of tier, for experimental, development, or
research work.
(e) This article shall remain in effect during the term of the agreement and for 5 years thereafter.
6.05 EXPORT-CONTROLLED DATA RESTRICTIONS (AUG 2013)
(a) For the purpose of this article,
(1) Foreign person is any person who is not a citizen or national of the U.S. or lawfully admitted to the
U.S. for permanent residence under the Immigration and Nationality Act, and includes foreign
corporations, international organizations, and foreign governments;
(2) Foreign representative is anyone, regardless of nationality or citizenship, acting as an agent,
representative, official, or employee of a foreign government, a foreign-owned or influence firm,
corporation or person;
(3) Foreign sources are those sources (vendors, subcontractors, and suppliers) owned and controlled
by a foreign person.
(b) The Recipient shall place an article/clause in subawards/subcontracts containing appropriate export
control restrictions, set forth in this article.
(c) Nothing in this article waives any requirement imposed by any other U.S. Government agency with
respect to employment of foreign nationals or export controlled data and information.
(d) All information generated and delivered under this agreement is subject to the International Traffic in
Arms Regulation (ITAR), 22 CFR Sections 121 through 128. An export license may be required before
assigning any foreign source to perform work under this agreement or before granting access to foreign
persons to any information generated or delivered during performance (see 22 CFR Section 125).
7.00 FINAL REPORT (JUN 2001) (TAILORED)
(a) The Final Report shall be submitted within 90 days of the end of the technical effort. Two (2) copies of
the report shall be provided to the following person(s) listed in the article entitled Administrative
Responsibilities: Government Program Manager. The technical portion of the report should be suitable
for publication and is to provide a recap of the program and program accomplishments. With the
approval of the Government Program Manager, reprints of published articles may be submitted or
attached to the technical portion of the Final Report. The business portion of the report shall contain
separate discussion of total cost incurred, total costs contributed by each Recipient member with an
explanation for any deviation from the original business plan.
(b)
hand corner of the front cover with affected entries adjusted as required (AFRL will supply a copy of the
emblem). Draft report shall be unbound, in standard size type, double-spaced and single sided.
Reproducible shall be:
1) Camera ready, unbound, suitable for offset reproduction, and
2) On CD-ROM or ZIP drive disk compatible with MS-Office for Windows, and both shall incorporate
all changes made in the corrected draft.
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3) All photos shall be glossy finished. Submit the reproducible(s) with the final corrected version only.
(c) The Recipient is reminded that the National Industrial Security Program Operating Manual, DOD
5220.22-M, Chapter 4, Paragraph 4-208(a), dated January 1995 requires that records be maintained
when documents derive classified from multiple sources.
(d) The Recipient shall receive approval/disapproval by letter from the Air Force Program Manager within
30 days after receipt of Air Force comments. Disapproval requires correction/resubmission within 30
days after receipt of Air Force comments.
(e) The Final Report submission to the Government is exempt from disclosure requirements of 5 U.S.C.
552 (Freedom of Information Act - Exemption 4 thereunder) for a period of 5 years from the date
identifying the documents as being submitted on a confidential basis.
(f) Distribution Statement. In addition to any other required legend, mark all data delivered under this
agreement with the distribution statement located in Article 7.07.
7.01 REPORTING SUBAWARDS AND EXECUTIVE COMPENSATION (OCT 2010) (TAILORED)
(a) Reporting of First-Tier Subawards:
(1) Applicability. Unless you are exempt as provided in paragraph d. of this award term, you must
report each action that obligates $25,000 or more in Federal funds that does not include Recovery
funds (as defined in section 1512(a)(2) of the American Recovery and Reinvestment Act of 2009,
Pub. L. 111-5) for a subaward to an entity (see definitions in paragraph e. of this award term).
(2) Where and When to Report:
(i) You must report each obligating action described in paragraph (a)(1) of this award term to
http://www.fsrs.gov.
(ii) For subaward information, report no later than the end of the month following the month in
which the obligation was made. (For example, if the obligation was made on November 7,
2010, the obligation must be reported by no later than December 31, 2010.)
(3) What to Report. You must report the information about each obligating action that the submission
instructions posted at http://www.fsrs.gov specify.
(b) Reporting Total Compensation of Recipient Executives:
(1) Applicability and What to Report. You must report total compensation for each of your 5 most
highly compensated executives for the preceding completed fiscal year, if
(i) The total Federal funding authorized to date under this award is $25,000 or more;
(ii) In the preceding fiscal year, you received-
(A) 80 percent or more of your annual gross revenues from Federal procurement contracts
(and subcontracts) and Federal financial assistance subject to the Transparency Act, as
defined at 2 CFR 170.320 (and subawards); and
(B) $25,000,000 or more in annual gross revenues from Federal procurement contracts (and
subcontracts) and Federal financial assistance subject to the Transparency Act, as
defined at 2 CFR 170.320 (and subawards); and
(iii) The public does not have access to information about the compensation of the executives
through periodic reports filed under section 13(a) or 15(d) of the Securities Exchange Act of
1934 (15 U.S.C. 78m(a), 78o(d)) or section 6104 of the Internal Revenue Code of 1986. (To
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determine if the public has access to the compensation information, see the U.S. Security and
Exchange Commission total compensation filings at http://www.sec.gov/answers/execomp.htm.)
(2) Where and When to Report: You must report executive total compensation described in paragraph
(b)(1) of this award term:
(i) As part of your registration profile at https://SAM.gov
(ii) By the end of the month following the month in which this award is made, and annually
thereafter.
(c) Reporting of Total Compensation of Subrecipient Executives:
(1) Applicability and what to report. Unless you are exempt as provided in paragraph d. of this award
term, for each first-tier subrecipient under this award, you shall report the names and total
compensation of each of the five most highly compensated executives for the
subrecipients preceding completed fiscal year, if-
(i) In the subrecipients preceding fiscal year, the subrecipient received-
(A) 80 percent or more of its annual gross revenues from Federal procurement contracts (and
subcontracts) and Federal financial assistance subject to the Transparency Act, as
defined at 2 CFR 170.320 (and subawards); and
(B) $25,000,000 or more in annual gross revenues from Federal procurement contracts (and
subcontracts), and Federal financial assistance subject to the Transparency Act (and
subawards); and
(ii) The public does not have access to information about the compensation of the executives
through periodic reports filed under section 13(a) or 15(d) of the Securities Exchange Act of
1934 (15 U.S.C. 78m(a), 78o(d)) or section 6104 of the Internal Revenue Code of 1986. (To
determine if the public has access to the compensation information, see the U.S. Security and
Exchange Commission total compensation filings at http://www.sec.gov/answers/execomp.htm.)
(2) Where and When to Report. You must report subrecipient executive total compensation described
in paragraph (c)(1) of this award term:
(i) To the Recipient:
(ii) By the end of the month following the month during which you make the subaward. For example,
if a subaward is obligated on any date during the month of October of a given year (i.e., between
October 1 and 31), you must report any required compensation information of the subrecipient
by November 30 of that year.
(d) Exemptions: If, in the previous tax year, you had gross income, from all sources, under $300,000, you
are exempt from the requirements to report:
(1) Subawards, and
(2) The total compensation of the five most highly compensated executives of any subrecipient.
(e) Definitions. For purposes of this award term:
(1) means all of the following, as defined in 2 CFR part 25:
(i) A Governmental organization, which is a State, local government, or Indian tribe;
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(ii) A foreign public entity;
(iii) A domestic or foreign nonprofit organization;
(iv) A domestic or foreign for-profit organization;
(v) A Federal agency, but only as a subrecipient under an award or subaward to a non-Federal
entity.
(2) means officers, managing partners, or any other employees in management
positions.
(3) :
(i) This term means a legal instrument to provide support for the performance of any portion
of the substantive project or program for which you received this award and that you as the
recipient award to an eligible subrecipient.
(ii) The term does not include your procurement of property and services needed to carry out
(iii) A subaward may be provided through any legal agreement, including an agreement that
you or a subrecipient considers a contract.
(4) means an entity that:
(i) Receives a subaward from you (the recipient) under this award; and
(ii) Is accountable to you for the use of the Federal funds provided by the subaward.
(5) Total compensation means the cash and noncash dollar value earned by the executive during the
recipient's or subrecipients preceding fiscal year and includes the following (for more information
see 17 CFR 229.402(c)(2)):
(i) Salary and bonus.
(ii) Awards of stock, stock options, and stock appreciation rights. Use the dollar amount
recognized for financial statement reporting purposes with respect to the fiscal year in
accordance with the Statement of Financial Accounting Standards No. 123 (Revised 2004)
(FAS 123R), Shared Based Payments.
(iii) Earnings for services under non-equity incentive plans. This does not include group life,
health, hospitalization or medical reimbursement plans that do not discriminate in favor of
executives, and are available generally to all salaried employees.
(iv) Change in pension value. This is the change in present value of defined benefit and
actuarial pension plans.
(v) Above-market earnings on deferred compensation which is not tax-qualified.
(vi) Other compensation, if the aggregate value of all such other compensation (e.g. severance,
termination payments, value of life insurance paid on behalf of the employee, perquisites or
property) for the executive exceeds $10,000.
7.02 FUNDS AND MANHOUR EXPENDITURE REPORT (SEP 2005)
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(a) The Funds and Man-hour Expenditure Report shall be submitted on a quarterly basis. First submission
shall commence at the close of the Recipient's monthly accounting period. One copy of the Report shall
be provided to the following persons listed in the Article entitled "Administrative Responsibilities":
Government Program Manager, Agreements Officer, Financial Management, and Administration Office.
Report may be submitted via e-mail. This report shall contain the following:
(1) A tabular listing of funding and man-hour expenditures inclusive of the reporting period compared
to original baseline values, including to-completion estimates;
(2) A graphical plot of planned versus actual funding expenditures to include Government and Cost
Share Funding, and
(3) A graphical plot of planned and actual percentage of work completed.
(b) Each task, job-order, sub-task, or unit of work will be separately addressed. If schedule or milestone
reporting is also a reporting requirement under the Agreement, the breakdown of work task elements
should be consistent with that reporting. Attachment 4 entitled Funds and Man-hour Report is provided
for use in meeting this requirement.
(c) The report identified in paragraph (a) above, shall contain the following data elements:
(1) Original Negotiated Agreement - A summary of all cost elements associated with the original
negotiated Agreement. This is defined as the Recipient's original cost proposal, as negotiated and
accepted by the Government. It is that cost as it appears on the original award document. Its
elements shall contain that cost estimate breakdown by category (i.e., direct labor,
burden/overhead, material/parts, travel, subsistence, fringe, General and Administrative, fee,
outstanding commitments, etc.) as provided in the accepted proposal. Items and amounts
specified in this entry shall remain constant on successive reports during the term of the award.
(2) Latest Negotiated Agreement Changes - A summary of the latest negotiated Agreement
changes. It shall be a recapitulation of the Original Negotiated Agreement data elements provided
above reflecting all subsequent changes resulting from agreement modifications. Breakdown by
category shall "none" if revised proposals have no effect.
(3) Reporting Period Expenditures - Expenditure data for the current reporting period for the work
task categories used in Original Negotiated Agreement and Latest Negotiated Agreement
Changes (as applicable), and covering man hours, funds, and the change (new orders minus
fulfilled orders) in outstanding commitments.
(4) Cumulative Expenditure to Date - Cumulative man hour, funds, and outstanding commitments
expenditure data through the current reporting period for the work task categories used in Original
Negotiated Agreement and Latest Negotiated Agreement Changes (as applicable). Additionally,
how cumulative costs as a percentage of those costs.
(5) Estimated Cost-to-Complete - The estimated costs required to complete the work task from the
reporting date to the date of completion. This estimate shall be defined by categories as they
appear in the Original Negotiated Agreement and Latest Negotiated Agreement Changes. All
estimates shall be justified.
(6) Latest Cost Estimate - An estimate of the final cost at completion of the work effort. This is
derived from Cumulative Expenditure to Date and Estimated Cost-to-Complete. Deviations
between the original award and/or latest negotiated award change shall be justified/explained in
footnote remarks.
(d) The Funds Expenditure Graph identified above, shall contain the following:
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The graph shall be reproducible to enable periodic changes reflecting current award funding
status to be entered. The graph shall portray, on a periodic basis, the planned versus actual total dollar
expenditures and the percentage of the total award dollars that the expenditure represents.
(e) The Work Completed Graph identified in paragraph (c) above, shall contain the following:
(1) A Work Completed Graph shall reflect the percentage of work completed by the awardee through
the current reporting period. The graph shall plot actual completion versus planned completion,
and shall be maintained current and be fully legible and reproducible.
Distribution Statement. In addition to any other required legend, mark all data delivered under this
Agreement with the distribution statement located in Article 7.07 below.
7.03 PROGRESS, STATUS AND MANAGEMENT REPORT (SEPT 2005)
The Recipient's Progress, Status, and Management Report shall be submitted on a quarterly basis. First
submission shall commence at the close of the Recipient's monthly accounting period. The report can be
tailored to allow Recipient's format. One copy each shall be provided to the following persons as listed in
the article entitled, Administrative Responsibilities: Government Program Manager. Report may be
submitted via e-mail.
This report shall contain the following:
(a) A front cover sheet, which includes the Recipient's name and address, the agreement number, the name
of the program, the date of the report, the period covered by the report, the title of the report, the security
classification and the name of the issuing Government activity.
(b) Description of the progress made against milestones during the reporting period.
(c) Results, positive or negative, obtained related to previously identified program areas, with conclusions
and recommendations.
(d) Any significant changes to the Recipient's organization or method of operation, to the project
management network, or to the milestone chart.
(e) Problem areas affecting technical or scheduling elements, with background and any recommendations
for solutions beyond the scope of the agreement.
(f) Problem areas affecting cost elements, with background and any recommendations for solutions
beyond the scope of the agreement.
(g) Any trips and significant results.
(h) Agreement schedule status.
(i) Plans for activities during the following reporting period.
(j) Name and telephone number of preparer of the report.
(k) Appendices for any necessary tables, references, photographs, illustrations, and charts.
(l) A Gantt chart in Microsoft Project or other available software to include:
(i) Tasks and subtasks
(ii) Milestones
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(iii) Equipment milestones on material delivery, payment schedule, and installation dates
(iv) Percent of work complete for each task and subtask.
(m) Distribution Statement. In addition to any other required legend, mark all data delivered under this
agreement with the distribution statement located in Article 7.07.
7.04 STRATEGIC BUSINESS PLAN (SEP 2005)
(a) The Strategic Business Plan shall be submitted no later than 9 months after agreement award.
Attachment 3 may be used as an outline for the topic areas to be addressed in the report. The report
can be tailored to allow the Recipient's format. One copy of the report shall be provided to the
following persons listed in the article entitled Administrative Responsibilities: Government Program
Manager.
(b) Report may be submitted via e-mail. The Recipient shall receive approval or disapproval by letter from
the Air Force Program Manager within 30 days after receipt. Disapproval requires
correction/resubmission within 30 days after receipt of Air Force comments. Submit reproducible on
media compatible with MS-Office for Windows.
(c) Strategic Business Plan submissions to the Government are exempt from disclosure requirements of 5
U.S.C. 552 (Freedom of Information Act - Exemption 4 thereunder) for a period of five years from the
date the Department receives the information. The Recipient shall mark such information with a legend
identifying the documents as being submitted on a confidential basis.
(d) Distribution Statement: In addition to any other required legend, mark all data delivered under this
agreement with the distribution statement located in Article 7.07.
7.05 PROPERTY CONTROL LIST (JAN 2009)
Attachment 5, Property Control List, shall be utilized for the tracking of property under this agreement and
shall be submitted quarterly to the Government Program Manager identified in Article 1.02 Administrative
Responsibilities. Report may be submitted via e-mail. This list shall track:
1) Federally owned equipment,
2) Equipment acquired in whole or in part with Federal funds, and
3) Equipment provided by the recipient as their non-federal share (cost share) contribution.
Distribution Statement. In addition to any other required legend, mark all data delivered under this
agreement with the distribution statement located in Article 7.07.
7.06 PRESENTATION MATERIAL (APR 2005)
Presentation Material shall be submitted after each briefing or review as appropriate. The maximum quantity
of view graphs shall not exceed 250 per presentation. If requested, the Government may remove any
Recipient insignia, trade names or symbols from presentation material. One electronic copy (via email or
CD) shall be provided to the following persons as listed in the article entitled Administrative Responsibilities:
Government Program Manager. Submit reproducible in a PowerPoint file on media compatible with MS-
Office for Windows.
If requested, some presentation material shall include text information in sufficient detail to explain key points
pertaining to the individual chart(s). The text shall include the following statement: "The publication of this
material does not constitute approval by the Government of the findings or conclusion herein. Wide
distribution or announcement of this material shall not be made without specific approval by the sponsoring
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Government activity."
Distribution Statement: In addition to any other required legend, mark all data delivered under this
agreement with this distribution statement located in Article 7.07.
7.07 DISTRIBUTION STATEMENT (AUG 2007)
DISTRIBUTION STATEMENT B. Distribution authorized to US Government agencies and approved DoD
contractors functioning as technical advisors to the Government Title III program team. Other requests shall
be referred to:
AFRL/RXM
2977 Hobson Way, Building 653
Wright-Patterson AFB, OH 45433-7739
All non-government personnel having access to data obtained/created/developed under this agreement will
be required to sign non-disclosure agreement.
This statement may be used on unclassified and classified technical documents.
7.08 MARKETING PLAN (JUN 2006)
(a) The Marketing Plan shall be submitted no later than 6 months after Agreement award. The report can
be tailored to allow for Recipient's desired format. Attachment 6 is provided to guide the Recipient in
the level of detailed required. One copy each shall be provided to the following persons as listed in the
(b) The report may be submitted via e-mail. The Recipient shall receive approval or disapproval by letter
from the Air Force Program Manager within 30 days after receipt. Disapproval requires
correction/resubmission within 30 days after receipt of Air Force comments. Submit reproducible on
media compatible with MS-Office for Windows.
(c) Marketing Plan submissions to the Government are exempt from disclosure requirements of 5 U.S.C
552 (Freedom of Information Act - Exemption 4 thereunder) for a period of five years from the date the
Department receives the information. The Recipient shall mark such information with a legend
identifying the documents as being submitted on a confidential basis.
(d) Distribution Statement: In addition to any other legend, mark all data delivered under this agreement
with the distribution statement located in Article 7.07.
7.09 DISCLOSURE OF INFORMATION (MAY 2005)
(a) The Recipient shall not release to anyone outside the Recipient's organization any unclassified
information, regardless of medium (e.g. film, tape, document, media announcements, etc.) pertaining to
any part of this agreement or any program related to this agreement unless
(1) The Agreements Officer has given prior written approval; or
(2) The information is otherwise in the public domain before the date of release.
(b) Requests for approval shall identify the specific information to be released, the medium to be used, and
the purpose for the release. The Recipient shall submit its request to the Agreements Officer at least 65
days before the proposed date for release.
(c) The Recipient agrees to include a similar requirement in each sub-agreement under this agreement.
Sub-recipients shall submit requests for authorization to release through the prime Recipient to the
Agreements Officer.
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8.00 ADMINISTRATIVE REQUIREMENTS FOR SUBAWARDS AND CONTRACTS (APR 2000)
(TAILORED)
(a) The recipients shall apply to each subaward the administrative requirements of 2 CFR 200 applicable
to awards to universities or other nonprofit organizations and awards to state and local governments,
and DoDGARs Part 34 shall be applied to for-profit entities.
(b) Recipients awarding contracts under this agreement shall assure that contracts awarded contain, as a
minimum, the provisions in Appendix A to DoDGARs Part 34.
8.01 PROCUREMENT STANDARDS (AUG 2001)
The recipient will:
(a) Follow basic principles of business intended to produce rational decisions and fair treatment in all
contracts entered into under this agreement.
(b) Comply with federal statutes, executive orders, regulations, and other legal requirements applicable to
contracts entered into under this agreement.
(c) The recipient shall comply with DoDGARS 37.705 and 32 CFR 34.31 Purchasing Standards under this
TIA.
8.02 CLOSEOUT (AUG 2001)
(a) The cognizant Administrative Agreements Officer shall, at least 60 days prior to the expiration date of
the award, contact the recipient to establish:
(1) All steps needed to close out the award, including submission of financial and performance
reports, liquidation of obligations, and decisions on property disposition.
(2) A schedule for completing those steps.
(b) The following provisions shall apply to the closeout:
(1) The responsible Agreements Officer and payment office shall expedite completion of steps needed
to close out awards and make prompt, final payments to a recipient for allowable reimbursable
costs under the award being closed out.
(2) The recipient shall promptly refund any unobligated balances of cash that the DoD Component has
advanced or paid and that is not authorized to be retained by the recipient for use in other projects.
For unreturned amounts that become delinquent debts see DoDGARs 22.820.
(3) The Agreements Officer may make a settlement for any downward adjustments to the Federal
share of costs after closeout reports are received.
(4) The recipient shall account for any real property and personal property acquired with Federal funds
or received from the Federal Government in accordance with the terms of the agreement.
(5) If a final audit is required and has not been performed prior to the closeout of an award, the DoD
Component shall retain the right to recover an appropriate amount after fully considering the
recommendations on disallowed costs resulting from the final audit.
(c) The closeout of an award does not affect any of the following:
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(1) The right of the Department of Defense to disallow costs and recover funds on the basis of a later
audit or other review.
(2) The obligation of the recipient to return any funds due as a result of later refunds, corrections, or
other transactions.
(3) Any specified audit requirements.
(4) Any specified property management requirements.
(5) Records retention as required by the agreement.
(d) After closeout of an award, a relationship created under an award may be modified or ended in whole
or in part with the consent of the Agreements Officer and the recipient, provided the responsibilities of
the recipient referred to in the agreement, including those for property management as applicable, are
considered and provisions made for continuing responsibilities of the recipient, as appropriate.
8.03 SYSTEM FOR AWARD MANAGEMENT AND UNIQUE ENTITY IDENTIFIER REQUIREMENTS
(APR 2022)
(a) Requirement for System for Award Management (SAM): Unless you are exempted from this requirement
under 2 CFR 25.110, you as the recipient must maintain the currency of your information in the SAM
until you submit the final financial report required under this award or receive the final payment,
whichever is later. This requires that you review and update the information at least annually after the
initial registration, and more frequently if required by changes in your information or another award term.
(b) Requirement for Unique Entity Identifier (UEI): If you are authorized to make subawards under this
award, you:
(1) Must notify potential subrecipients that no entity (see definition in paragraph C of this award term)
may receive a subaward from you unless the entity has provided its UEI to you.
(2) May not make a subaward to an entity unless the entity has provided its UEI to you.
(c) Definitions: For purposes of this award term:
(1) System for Award Management (SAM) means the Federal repository into which an entity must
provide information required for the conduct of business as a recipient. Additional information about
registration procedures may be found at the SAM Internet site (currently at https://SAM.gov).
(2) Unique Entity Identifier (UEI) number means the unique identifier established and assigned by
the General Services Administration (GSA) within the SAM.gov website.
(3) Entity, as it is used in this award term, means all of the following, as defined at 2 CFR part 25,
subpart C:
(i) A Governmental organization, which is a State, local government, or Indian Tribe;
(ii) A foreign public entity;
(iii) A domestic or foreign nonprofit organization;
(iv) A domestic or foreign for-profit organization; and
(v) A Federal agency, but only as a subrecipient under an award or subaward to a non-Federal
entity.
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(4) Subaward:
(i) This term means a legal instrument to provide support for the performance of any portion of
the substantive project or program for which you received this award and that you as the
recipient award to an eligible subrecipient.
(ii) The term does not include your procurement of property and services needed to carry out the
project or program (for further explanation, see 2 CFR part 200, subpart F).
(iii) A subaward may be provided through any legal agreement, including an agreement that you
consider a contract.
(5) Subrecipient means an entity that:
(i) Receives a subaward from you under this award; and
(ii) Is accountable to you for the use of the Federal funds provided by the subaward.
9.00 NONDISCRIMINATION NATIONAL POLICY REQUIREMENTS (SEPTEMBER 2017)
(a) By signing this award or accepting funds under this award, you assure that you will comply with
applicable provisions of the national policies prohibiting discrimination:
(1) On the basis of race, color, or national origin, in Title VI of the Civil Rights Act of 1964 (42
U.S.C. 2000d et seq.), as implemented by Department of Defense (DoD) regulations at 32 CFR
part 195.
(2) On the basis of gender, blindness, or visual impairment, in Title IX of the Education
Amendments of 1972 (20 U.S.C. 1681 et seq.), as implemented by DoD regulations at 32 CFR
part 196.
(3) On the basis of age, in the Age Discrimination Act of 1975 (42 U.S.C. 6101 et seq.), as
implemented by Department of Health and Human Services regulations at 45 CFR part 90.
(4) On the basis of disability, in the Rehabilitation Act of 1973 (29 U.S.C. 794), as implemented by
Department of Justice regulations at 28 CFR part 41 and DoD regulations at 32 CFR part 56.
(5) On the basis of disability in the Architectural Barriers Act of 1968 (42 U.S.C. 4151 et seq.)
for which Federal funds are used in design, construction, or alteration.
(b) The recipient shall obtain assurances of compliance from contractors and recipients at lower tiers.
9.01 U.S. FLAG AIR CARRIERS (NOV 1999)
Travel supported by U.S. Government funds under this agreement shall use US-flag air carriers (air carriers
holding certificates under 49 U.S.C. 41102) for international air transportation of people and property to the
extent that such service is available, in accordance with the International Air Transportation Fair Competitive
Practices Act of 1974 (49 U.S.C. 40118) and the interpretative guidelines issued by the Comptroller General
of the United States in the March 31, 1981, amendment to Comptroller General Decision B138942. (See
General Services Administration amendment to the Federal Travel Regulations, Federal Register (Vol 63,
No. 219, 63417-63421.))
9.02 PROHIBITION ON USING FUNDS UNDER GRANTS AND COOPERATIVE AGREEMENTS WITH
ENTITIES THAT REQUIRE CERTAIN INTERNAL CONFIDENTIALITY AGREEMENTS (JUN 2015)
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(a) The recipient may not require its employees, contractors, or subrecipients seeking to report fraud, waste,
or abuse to sign or comply with internal confidentiality agreements or statements prohibiting
investigative or law enforcement representative of a Federal department or agency authorized to receive
such information.
(b) The recipient must notify its employees, contractors, or subrecipients that the prohibitions and
restrictions of any internal confidentiality agreements inconsistent with paragraph (a) of this award
provisions are no longer in effect.
(c) The prohibition in paragraph a of this award provision does not contravene requirements applicable to
Standard Form 312, Form 4414, or any other form issued by a Federal department or agency governing
the nondisclosure of classified information.
(d) If the Government determines that the recipient is not in compliance with this award provision it:
(1) Will prohibit the recipient's use of funds under this award, in accordance with section 743 of Division
E of the Consolidated and Further Continuing Resolution Appropriations Act, 2015 (Pub. L. 113-
235) or any successor provision of law; and
(2) May pursue other remedies available for the recipient's material failure to comply with award terms
and conditions.
9.03 SAFEGUARDING COVERED DEFENSE INFORMATION AND CYBER INCIDENT REPORTING
(DEC 2019)
(a) Definitions. As used in this article -
Adequate security means protective measures that are commensurate with the consequences and
probability of loss, misuse, or unauthorized access to, or modification of information.
Compromise means disclosure of information to unauthorized persons, or a violation of the security policy
of a system, in which unauthorized intentional or unintentional disclosure, modification, destruction, or loss
of an object, or the copying of information to unauthorized media may have occurred.
Recipient attributional/proprietary information means information that identifies the recipients(s), whether
directly or indirectly, by the grouping of information that can be traced back to the recipient(s)
(e.g., program description, facility locations), personally identifiable information, as well as trade secrets,
commercial or financial information, or other commercially sensitive information that is not customarily
shared outside of the company.
Controlled technical information means technical information with military or space application that is
subject to controls on the access, use, reproduction, modification, performance, display, release,
disclosure, or dissemination. Controlled technical information would meet the criteria, if disseminated, for
distribution statements B through F using the criteria set forth in DoD Instruction 5230.24, Distribution
Statements on Technical Documents. The term does not include information that is lawfully publicly
available without restrictions.
Covered recipient information system means an unclassified information system that is owned, or
operated by or for, a recipient and that processes, stores, or transmits covered defense information.
Covered defense information means unclassified controlled technical information or other information, as
described in the Controlled Unclassified Information (CUI) Registry
at http://www.archives.gov/cui/registry/category-list.html, that requires safeguarding or dissemination
controls pursuant to and consistent with law, regulations, and Government wide policies, and is -
(1) Marked or otherwise identified in the agreement and provided to the recipient by or on behalf of DoD
in support of the performance of the agreement; or
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(2) Collected, developed, received, transmitted, used, or stored by or on behalf of the recipient in
support of the performance of the agreement.
Cyber incident means actions taken through the use of computer networks that result in a compromise or
an actual or potentially adverse effect on an information system and/or the information residing therein.
Forensic analysis means the practice of gathering, retaining, and analyzing computer-related data for
investigative purposes in a manner that maintains the integrity of the data.
Information system means a discrete set of information resources organized for the collection, processing,
maintenance, use, sharing, dissemination, or disposition of information.
Malicious software means computer software or firmware intended to perform an unauthorized process
that will have adverse impact on the confidentiality, integrity, or availability of an information system.
This definition includes a virus, worm, Trojan horse, or other code-based entity that infects a host, as well
as spyware and some forms of adware.
Media means physical devices or writing surfaces including, but is not limited to, magnetic tapes, optical
disks, magnetic disks, large-scale integration memory chips, and printouts onto which covered defense
information is recorded, stored, or printed within a covered recipient information system.
Operationally critical support means supplies or services designated by the Government as critical for
airlift, sealift, intermodal transportation services, or logistical support that is essential to the mobilization,
deployment, or sustainment of the Armed Forces in a contingency operation.
Rapidly report means within 72 hours of discovery of any cyber incident.
Technical information means technical data or computer software. Examples of technical
information include research and engineering data, engineering drawings, and associated lists,
specifications, standards, process sheets, manuals, technical reports, technical orders, catalog-item
identifications, data sets, studies and analyses and related information, and computer software executable
code and source code.
(b) Adequate security. The Recipient shall provide adequate security on all covered recipient information
systems. To provide adequate security, the Recipient shall implement, at a minimum, the following
information security protections:
(1) For covered recipient information systems that are part of an information technology (IT) service or
system operated on behalf of the Government, the following security requirements apply:
(i) Cloud computing services shall be subject to the security requirements specified in the 48 CFR
§252.239-7010, Cloud Computing Services.
(ii) Any other such IT service or system (i.e., other than cloud computing) shall be subject to the
security requirements specified elsewhere in this Agreement.
(2) For covered recipient information systems that are not part of an IT service or system operated on
behalf of the Government and therefore are not subject to the security requirement specified at
paragraph (b)(1) of this article, the following security requirements apply:
(i) Except as provided in paragraph (b)(2)(ii) of this article, the covered recipient information
system shall be subject to the security requirements in National Institute of Standards and
Technology (NIST) Special Publication (SP) 800-171, Controlled Unclassified Information
at http://dx.doi.org/10.6028/NIST.SP.800-171) in effect at the time the solicitation is issued or as
authorized by the Agreements officer.
(ii)
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(A) The Recipient shall implement NIST SP 800-171, as soon as practical, but not later than
December 31, 2017. For all agreements awarded prior to October 1, 2017, the Recipient shall
notify the DoD Chief Information Officer (CIO), via email at osd.dibcsia@mail.mil, within 30 days
of contract/agreement award, of any security requirements specified by NIST SP 800-171 not
implemented at the time of contract or agreement award.
(B) The Recipient shall submit requests to vary from NIST SP 800-171 in writing to the
Agreements officer, for consideration by the DoD CIO. The Recipient need not implement any
security requirement adjudicated by an authorized representative of the DoD CIO to be
nonapplicable or to have an alternative, but equally effective, security measure that may be
implemented in its place.
(C)
requirement is not applicable or that an alternative security measure is equally effective, a copy of
that approval shall be provided to the Agreements officer when requesting its recognition under
this agreement.
(D) If the Recipient intends to use an external cloud service provider to store, process, or transmit
any covered defense information in performance of this agreement, the Recipient shall require
and ensure that the cloud service provider meets security requirements equivalent to those
established by the Government for the Federal Risk and Authorization Management Program
(FedRAMP) Moderate baseline (https://www.fedramp.gov/resources/documents/) and that the
cloud service provider complies with requirements in paragraphs (c) through (g) of this article
for cyber incident reporting, malicious software, media preservation and protection, access to
additional information and equipment necessary for forensic analysis, and cyber incident damage
assessment.
(3) Apply other information systems security measures when the Recipient reasonably determines
that information systems security measures, in addition to those identified in paragraphs (b)(1) and (2)
of this article, may be required to provide adequate security in a dynamic environment or to
accommodate special circumstances (e.g., medical devices) and any individual, isolated, or temporary
deficiencies based on an assessed risk or vulnerability. These measures may be addressed in a
system security plan.
(c) Cyber incident reporting requirement.
(1) When the Recipient discovers a cyber incident that affects a covered recipient information system or
requirements of the agreement that are designated as operationally critical support and identified in the
agreement, the Recipient shall -
(i) Conduct a review for evidence of compromise of covered defense information, including, but not
limited to, identifying compromised computers, servers, specific data, and user accounts. This review
shall also include analyzing covered recipient information system(s) that were part of the cyber
accessed as a result of the incident in order to identify compromised covered defense information, or
(ii) Rapidly report cyber incidents to DoD at https://dibnet.dod.mil.
(2) Cyber incident report. The cyber incident report shall be treated as information created by or for
DoD and shall include, at a minimum, the required elements at https://dibnet.dod.mil.
(3) Medium assurance certificate requirement. In order to report cyber incidents in accordance with
this article, the Recipient or Subrecipients/Subcontractors shall have or acquire a DoD-approved
medium assurance certificate to report cyber incidents. For information on obtaining a DoD-approved
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medium assurance certificate, see https://public.cyber.mil/eca/.
(d) Malicious software. When the Recipient or subrecipients/subcontractors discover and
isolate malicious software in connection with a reported cyber incident, submit the malicious software to
DoD Cyber Crime Center (DC3) in accordance with instructions provided by DC3 or the Agreements
officer. Do not send the malicious software to the Agreements officer.
(e) Media preservation and protection. When a Recipient discovers a cyber incident has occurred, the
Recipient shall preserve and protect images of all known affected information systems identified in
paragraph (c)(1)(i) of this article and all relevant monitoring/packet capture data for at least 90 days from
the submission of the cyber incident report to allow DoD to request the media or decline interest.
(f) Access to additional information or equipment necessary for forensic analysis. Upon request by
DoD, the Recipient shall provide DoD with access to additional information or equipment that is necessary
to conduct a forensic analysis.
(g) Cyber incident damage assessment activities. If DoD elects to conduct a damage assessment, the
Agreements officer will request that the Recipient provide all of the damage assessment information
gathered in accordance with paragraph (e) of this article.
(h) DoD safeguarding and use of recipient attributional/proprietary information. The Government
shall protect against the unauthorized use or release of information obtained from the recipient (or derived
from information obtained from the recipient) under this article that includes recipient
attributional/proprietary information, including such information submitted in accordance with paragraph
(c). To the maximum extent practicable, the Recipient shall identify and mark attributional/proprietary
information. In making an authorized release of such information, the Government will implement
appropriate procedures to minimize the recipient attributional/proprietary information that is included in
such authorized release, seeking to include only that information that is necessary for the authorized
purpose(s) for which the information is being released.
(i) Use and release of recipient attributional/proprietary information not created by or for
DoD. Information that is obtained from the recipient (or derived from information obtained from the
recipient) under this article that is not created by or for DoD is authorized to be released outside of DoD -
(1) To entities with missions that may be affected by such information;
(2) To entities that may be called upon to assist in the diagnosis, detection, or mitigation of cyber
incidents;
(3) To Government entities that conduct counterintelligence or law enforcement investigations;
(4) For national security purposes, including cyber situational awareness and defense purposes
(including with Defense Industrial Base (DIB) participants in the program at 32 CFR part 236); or
(5) To a support services contractor that is directly supporting Government activities under
a contract/agreement that includes 48 CFR §252.204-7009, Limitations on the Use or Disclosure of
Third-Party Contractor Reported Cyber Incident Information.
(j) Use and release of recipient attributional/proprietary information created by or for
DoD. Information that is obtained from the recipient (or derived from information obtained from the
recipient) under this article that is created by or for DoD (including the information submitted pursuant to
paragraph (c) of this article) is authorized to be used and released outside of DoD for purposes and
activities authorized by paragraph (i) of this article, and for any other lawful Government purpose or
activity, subject to all applicable statutory, regulatory, and policy based restrictions on the Government's
use and release of such information.
(k) The Recipient shall conduct activities under this article in accordance with applicable laws and
regulations on the interception, monitoring, access, use, and disclosure of electronic communications and
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data.
(l) Other safeguarding or reporting requirements. The safeguarding and cyber incident reporting
incident reporting pertaining to its unclassified information systems as required by other applicable articles
of this agreement, or as a result of other applicable U.S. Government statutory or regulatory requirements.
(m) Subrecipients/Subcontracts. The Recipient shall -
(1) Include this article, including this paragraph (m), to subrecipient or subcontracts or similar
contractual instruments, for operationally critical support, or for
which subrecipient/subcontract performance will involve covered defense information,
including subcontracts for commercial items, without alteration, except to identify the parties. The
Recipient shall determine if the information required for subrecipient/subcontractor performance retains
its identity as covered defense information and will require protection under this article, and, if
necessary, consult with the Agreements Officer; and
(2) Require subrecipients/subcontractors to -
(i) Notify the prime Recipient (or next higher-tier subrecipient/subcontractor) when submitting a
request to vary from a NIST SP 800-171 security requirement to the Agreements Officer, in
accordance with paragraph (b)(2)(ii)(B) of this article; and
(ii) Provide the incident report number, automatically assigned by DoD, to the prime Recipient (or
next higher-tier subrecipient/subcontractor) as soon as practicable, when reporting a cyber
incident to DoD as required in paragraph (c) of this article.
9.04 RECIPIENT COUNTERFEIT ELECTRONIC PART DETECTION AND AVOIDANCE SYSTEM (AUG
2016)
(a) This article applies only to recipients and agreements that are subject to Cost Accounting Standards
as stated in 41 U.S.C §1502(c).
(b) Definitions. As used in this article
aftermarket means an organization that fabricates a part under a
contract or agreement with, or with the express written authority of, the original component
specifications.
means a supplier, distributor, or an aftermarket manufacturer with a
contractual arrangement with, or the express written authority of, the original manufacturer or
current design activity to buy, stock, repackage, sell, or distribute the part.
means a company that produces goods under contract for another
company under the label or brand name of that company.

does not have a contractual agreement

with the original component manufacturer for a transaction, but has been identified as trustworthy
by a contractor or subcontractor.
alteration that has been knowingly mismarked, misidentified, or otherwise misrepresented to be an
authentic, unmodified electronic part from the original manufacturer, or a source with the express
written authority of the original manufacturer or current design activity, including an authorized
aftermarket manufacturer. Unlawful or unauthorized substitution includes used electronic parts
represented as new, or the false identification of grade, serial number, lot number, date code, or
performance characteristics.
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limited to, a transistor, capacitor, resistor, or diode), or a circuit assembly (section 818(f)(2) of Pub. L.
112-81).
electronic means an electronic part that is no longer available from
the original manufacturer or an authorized aftermarket manufacturer.
"Original component manufacturer" means an organization that designs and/or engineers a
part and is entitled to any intellectual property rights to that part.
designed from purchased components and sells those products under the company's brand name.
means the original component manufacturer, the original equipment
manufacturer, or the contract manufacturer.
counterfeit electronic means an electronic part for which credible evidence
(including, but not limited to, visual inspection or testing) provides reasonable doubt that the
electronic part is authentic.
(c) Acceptable counterfeit electronic part detection and avoidance system. The Awardee shall
establish and maintain an acceptable counterfeit electronic part detection and avoidance system.
Failure to maintain an acceptable counterfeit electronic part detection and avoidance system, as
defined in this article, may result in disapproval of the purchasing system by the Agreements Officer
and/or withholding of payments and affect the allowability of costs of counterfeit electronic parts or
suspect counterfeit electronic parts and the cost of rework or corrective action that may be required to
remedy the use or inclusion of such parts (see 48 CFR §231.205-71).
(d) System criteria. A counterfeit electronic part detection and avoidance system shall include
risk-based policies and procedures that address, at a minimum, the following areas:
(1) The training of personnel.
(2) The inspection and testing of electronic parts, including criteria for acceptance and
rejection. Tests and inspections shall be performed in accordance with accepted Government- and
industry-recognized techniques. Selection of tests and inspections shall be based on minimizing risk
to the Government. Determination of risk shall be based on the assessed probability of receiving a
counterfeit electronic part; the probability that the inspection or test selected will detect a counterfeit
electronic part; and the potential negative consequences of a counterfeit electronic part being installed
(e.g., human safety, mission success) where such consequences are made known to the Awardee.
(3) Processes to abolish counterfeit parts proliferation.
(4) Risk-based processes that enable tracking of electronic parts from the original
manufacturer to product acceptance by the Government, whether the electronic parts are supplied as
discrete electronic parts or are contained in assemblies, in accordance with paragraph (c) of the clause
at 252.246-7008, Sources of Electronic Parts (also see paragraph (c)(2) of this article).
(5) Use of suppliers in accordance with the clause at 48 CFR §252.246-7008.
(6) Reporting and quarantining of counterfeit electronic parts and suspect counterfeit
electronic parts. Reporting is required to the Agreements Officer and to the Government-Industry
Data Exchange Program (GIDEP) when the Awardee becomes aware of, or has reason to suspect
that, any electronic part or end item, component, part, or assembly containing electronic parts
purchased by the DoD, or purchased by a Recipient for delivery to, or on behalf of, the DoD, contains
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counterfeit electronic parts or suspect counterfeit electronic parts. Counterfeit electronic parts and
suspect counterfeit electronic parts shall not be returned to the seller or otherwise returned to the
supply chain until such time that the parts are determined to be authentic.
(7) Methodologies to identify suspect counterfeit parts and to rapidly determine if
a suspect counterfeit part is, in fact, counterfeit.
(8) Design, operation, and maintenance of systems to detect and avoid counterfeit electronic
parts and suspect counterfeit electronic parts. The Awardee may elect to use current Government- or
industry-recognized standards to meet this requirement.
(9) Flow down of counterfeit detection and avoidance requirements, including applicable
system criteria provided herein, to subcontractors/subrecipients at all levels in the supply chain
that are responsible for buying or selling electronic parts or assemblies containing electronic
parts, or for performing authentication testing.
(10) Process for keeping continually informed of current counterfeiting information and
trends, including detection and avoidance techniques contained in appropriate industry
standards, and using such information and techniques for continuously upgrading internal
processes.
(11) Process for screening GIDEP reports and other credible sources of counterfeiting
information to avoid the purchase or use of counterfeit electronic parts.
(12) Control of obsolete electronic parts in order to maximize the availability and use of
(e) The Awardee shall include the substance of this article in subcontracts and
subrecipients, including subcontracts for commercial items, for electronic parts or assemblies
containing electronic parts.
9.05 PROHIBITION ON MAKING AWARDS FOR CERTAIN TELECOMMUNICATIONS AND VIDEO
SURVEILLANCE SERVICES OR EQUIPMENT (AUG 2020)
(a) Definitions. As used in this article
Backhaul means intermediate links between the core network, or backbone network, and the small
subnetworks at the edge of the network (e.g., connecting cell phones/towers to the core telephone
network). Backhaul can be wireless (e.g., microwave) or wired (e.g., fiber optic, coaxial cable,
Ethernet).
Covered foreign country means The People's Republic of China.
Covered telecommunications equipment or services means
(1) Telecommunications equipment produced by Huawei Technologies Company or ZTE Corporation
(or any subsidiary or affiliate of such entities);
(2) For the purpose of public safety, security of Government facilities, physical security surveillance of
critical infrastructure, and other national security purposes, video surveillance and
telecommunications equipment produced by Hytera Communications Corporation, Hangzhou
Hikvision Digital Technology Company, or Dahua Technology Company (or any subsidiary or
affiliate of such entities);
(3) Telecommunications or video surveillance services provided by such entities or using such
equipment; or
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(4) Telecommunications or video surveillance equipment or services produced or provided by an
entity that the Secretary of Defense, in consultation with the Director of National Intelligence or the
Director of the Federal Bureau of Investigation, reasonably believes to be an entity owned or
controlled by, or otherwise connected to, the government of a covered foreign country.
Critical technology means
(1) Defense articles or defense services included on the United States Munitions List set forth in the
International Traffic in Arms Regulations under subchapter M of chapter I of title 22, Code of
Federal Regulations;
(2) Items included on the Commerce Control List set forth in Supplement No. 1 to part 774 of the
Export Administration Regulations under subchapter C of chapter VII of title 15, Code of Federal
Regulations, and controlled
(i) Pursuant to multilateral regimes, including for reasons relating to national security, chemical
and biological weapons proliferation, nuclear nonproliferation, or missile technology; or
(ii) For reasons relating to regional stability or surreptitious listening;
(3) Specially designed and prepared nuclear equipment, parts and components, materials, software,
and technology covered by part 810 of title 10, Code of Federal Regulations (relating to
assistance to foreign atomic energy activities);
(4) Nuclear facilities, equipment, and material covered by part 110 of title 10, Code of Federal
Regulations (relating to export and import of nuclear equipment and material);
(5) Select agents and toxins covered by part 331 of title 7, Code of Federal Regulations, part 121 of
title 9 of such Code, or part 73 of title 42 of such Code; or
(6) Emerging and foundational technologies controlled pursuant to section 1758 of the Export Control
Reform Act of 2018 (50 U.S.C. 4817).
Interconnection arrangements means arrangements governing the physical connection of two or
more networks to allow the use of another's network to hand off traffic where it is ultimately delivered
(e.g., connection of a customer of telephone provider A to a customer of telephone company B) or
sharing data and other information resources.
Reasonable inquiry means an inquiry designed to uncover any information in the entity's possession
about the identity of the producer or provider of covered telecommunications equipment or services
used by the entity that excludes the need to include an internal or third-party audit.
Roaming means cellular communications services (e.g., voice, video, data) received from a visited
network when unable to connect to the facilities of the home network either because signal coverage
is too weak or because traffic is too high.
Substantial or essential component means any component necessary for the proper function or
performance of a piece of equipment, system, or service.
(b) Prohibition.
(1) Section 889(a)(1)(A) of the John S. McCain National Defense Authorization Act for Fiscal Year
2019 (Pub. L. 115-232) prohibits the head of an executive agency on or after August 13, 2019,
from procuring or obtaining, or extending or renewing an award to procure or obtain, any
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equipment, system, or service that uses covered telecommunications equipment or services as a
substantial or essential component of any system, or as critical technology as part of any system.
The Recipient is prohibited from providing to the Government any equipment, system, or service
that uses covered telecommunications equipment or services as a substantial or essential
component of any system, or as critical technology as part of any system, unless an exception at
paragraph (c) of this article applies or the covered telecommunication equipment or services are
covered by a waiver by the Secretary of the Air Force in consultation with the Office of the Director
of National Intelligence (ODNI).
(2) Section 889(a)(1)(B) of the John S. McCain National Defense Authorization Act for Fiscal Year
2019 (Pub. L. 115-232) prohibits the head of an executive agency on or after August 13, 2020,
from entering into an award, or extending or renewing an award, with an entity that uses any
equipment, system, or service that uses covered telecommunications equipment or services as a
substantial or essential component of any system, or as critical technology as part of any system,
unless an exception at paragraph (c) of this article applies or the covered telecommunication
equipment or services are covered by a waiver by the Secretary of the Air Force in consultation
with the Office of the Director of National Intelligence (ODNI). This prohibition applies to the use of
covered telecommunications equipment or services, regardless of whether that use is in
performance of work under a Federal award.
(c) Exceptions. This article does not prohibit Recipients from providing
(1) A service that connects to the facilities of a third-party, such as backhaul, roaming, or
interconnection arrangements; or
(2) Telecommunications equipment that cannot route or redirect user data traffic or permit visibility
into any user data or packets that such equipment transmits or otherwise handles.
(d) Reporting requirement.
(1) In the event the Recipient identifies covered telecommunications equipment or services used as a
substantial or essential component of any system, or as critical technology as part of any system,
during award performance, or the Recipient is notified of such by a subrecipient at any tier or by
any other source, the Recipient shall report the information in paragraph (d)(2) of this article to the
Agreements Officer, unless elsewhere in this award are established procedures for reporting the
information; in the case of the Department of Defense, the Recipient shall report to the website at
https://dibnet.dod.mil. For indefinite delivery agreements, the Recipient shall report to the
Agreements Officer for the indefinite delivery agreement and the Agreements Officer(s) for any
affected order or, in the case of the Department of Defense, identify both the indefinite delivery
award and any affected orders in the report provided at https://dibnet.dod.mil.
(2) The Recipient shall report the following information pursuant to paragraph (d)(1) of this article:
(i) Within one business day from the date of such identification or notification: The award
number; the order number(s), if applicable; supplier name; supplier unique entity identifier (if
known); supplier Commercial and Government Entity (CAGE) code (if known); brand; model
number (original equipment manufacturer number, manufacturer part number, or wholesaler
number); item description; and any readily available information about mitigation actions
undertaken or recommended.
(ii) Within 10 business days of submitting the information in paragraph (d)(2)(i) of this article: Any
further available information about mitigation actions undertaken or recommended. In
addition, the Recipient shall describe the efforts it undertook to prevent use or submission of
covered telecommunications equipment or services, and any additional efforts that will be
incorporated to prevent future use or submission of covered telecommunications equipment or
services.
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(e) Subawards. The Recipient shall insert the substance of this article, including this paragraph (e) and
excluding paragraph (b)(2), in all subawards and other contractual instruments, including awards for
the acquisition of commercial items.
9.06 ENVIRONMENTAL NATIONAL POLICY REQUIREMENTS (JANUARY 2021)
(a) You must comply with all applicable Federal environmental laws and regulations. The laws and
regulations identified in this section are not intended to be a complete list.
(b) Comply with applicable provisions of the Clean Air Act (42 U.S.C. 7401, et seq.) and Clean Water Act (33
U.S.C. 1251, et seq.).
(c) Comply with applicable provisions of the Lead-Based Paint Poisoning Prevention Act (42 U.S.C. 4821-
4846), as implemented by the Department of Housing and Urban Development at 24 CFR part 35. The
requirements concern lead-based paint in buildings owned by the Federal Government or housing
receiving Federal assistance.
(d) Immediately identify to us, as the Federal awarding agency, any potential impact that you find this award
may have on:
(1)
provide any help we may need to comply with the National Environmental Policy Act (NEPA, at 42
U.S.C. 4321 et seq.), the regulations at 40 CFR 1500-1508, and Executive Order 12114, if
applicable; and assist us to prepare Environmental Impact Statements or other environmental
documentation. In such cases, you may take no action that will have an environmental impact (e.g.,
physical disturbance of a site such as breaking of ground) or limit the choice of reasonable
alternatives to the proposed action until we provide written notification of Federal compliance with
NEPA or Executive Order 12114.
(2) Flood-prone areas, and provide any help we may need to comply with the National Flood Insurance
Act of 1968, as amended by the Flood Disaster Protection Act of 1973 (42 U.S.C. 4001 et seq.),
which require flood insurance, when available, for federally assisted construction or acquisition in
flood-prone areas.
(3) A land or water use or natural resource of a coastal zone that is part of a federally approved State
coastal zone management plan and provide any help we may need to comply with the Coastal Zone
Management Act of 1972 (16 U.S.C. 1451, et seq.) including preparation of a Federal agency Coastal
Consistency Determination.
(4)
may need to comply with the Coastal Barrier Resources Act (16 U.S.C. 3501 et seq.), concerning
preservation of barrier resources.
(5) Any existing or proposed component of the National Wild and Scenic Rivers system, and provide any
help we may need to comply with the Wild and Scenic Rivers Act of 1968 (16 U.S.C. 1271 et seq.).
(6) Underground sources of drinking water in areas that have an aquifer that is the sole or principal
drinking water source and in wellhead protection areas, and provide any help we may need to comply
with the Safe Drinking Water Act (42 U.S.C. 300f et seq.).
(e) You must comply fully with the Endangered Species Act of 1973, as amended (ESA, at 16 U.S.C. 1531
et seq.), and implementing regulations of the Departments of the Interior (50 CFR parts 10-24) and
Commerce (50 CFR parts 217-227). You also must provide any help we may need in complying with the
consultation requirements of ESA section 7 (16 U.S.C. 1536) applicable to Federal agencies or any
regulatory authorization we may need resulting from performance under this award. This is not in lieu of
responsibilities you have to comply with provisions of the Act that apply directly to you as a U.S. entity,
independent of receiving this award.
43

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FA8650 19 S 5010
Attachment 1
(f) You must fully comply with the Marine Mammal Protection Act of 1972, as amended (MMPA, at 16 U.S.C.
1361 et seq.) and provide any assistance we may need in obtaining any required MMPA permit resulting
from performance under this award.
(g) The recipient shall obtain assurances of compliance from contractors and recipients at lower tiers.
9.07 OTHER NATIONAL POLICY REQUIREMENTS (SEPTEMBER 2021)
(a) Debarment and suspension. You must comply with requirements regarding debarment and suspension in
Subpart C of 2 CFR part 180, as adopted by DoD at 2 CFR part 1125. This includes requirements
concerning your principals under this award, as well as requirements concerning your procurement
transactions and subawards.
(b) Drug-free workplace. You must comply with drug-free workplace requirements in Subpart B of 2 CFR part
-
(c) Lobbying.
(1) You must comply with the restrictions on lobbying in 31 U.S.C. 1352, as implemented by DoD at 32
CFR part 28, and submit all disclosures required by that statute and regulation.
(2) You must comply with the prohibition in 18 U.S.C. 1913 on the use of Federal funds, absent express
Congressional authorization, to pay directly or indirectly for any service, advertisement or other
written matter, telephone communication, or other device intended to influence at any time a Member
of Congress or official of any government concerning any legislation, law, policy, appropriation, or
ratification.
(3) If you are a nonprofit organization described in section 501(c)(4) of title 26, United States Code (the
Internal Revenue Code of 1968), you may not engage in lobbying activities as defined in the
Lobbying Disclosure Act of 1995 (2 U.S.C., chapter 26). If we determine that you have engaged in
lobbying activities, we will cease all payments to you under this and other awards and terminate the
awards unilaterally for material failure to comply with the award terms and conditions.
(d) Officials not to benefit. You must comply with the requirement that no member of Congress shall be
admitted to any share or part of this award, or to any benefit arising from it, in accordance with 41 U.S.C.
6306.
(e) Hatch Act. If applicable, you must comply with the provisions of the Hatch Act (5 U.S.C. 1501-1508)
concerning political activities of certain State and local government employees, as implemented by the
Office of Personnel Management at 5 CFR part 151, which limits political activity of employees or officers
of State or local governments whose employment is connected to an activity financed in whole or part
with Federal funds.
(f) Native American graves protection and repatriation. If you control or possess Native American remains
and associated funerary objects, you must comply with the requirements of 43 CFR part 10, the
Department of the Interior implementation of the Native American Graves Protection and Repatriation Act
of 1990 (25 U.S.C., chapter 32).
(g) Fly America Act. You must comply with the International Air Transportation Fair Competitive Practices Act
at 41 CFR 301-10.131 through 301-10.143. The law and regulations require that U.S. Government
financed international air travel of passengers and transportation of personal effects or property must use
a U.S. Flag air carrier or be performed under a cost-sharing arrangement with a U.S. carrier, if such
service is available.
44

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FA8650 19 S 5010
Attachment 1
(h) Use of United States-flag vessels. You must comply with the following requirements of the Department of
Transportation at 46 CFR 381.7, in regulations implementing the Cargo Preference Act of 1954:
(1) Pursuant to Public Law 83-664 (46 U.S.C. 55305), at least 50 percent of any equipment, materials or
commodities procured, contracted for or otherwise obtained with funds under this award, and which
may be transported by ocean vessel, must be transported on privately owned United States flag
commercial vessels, if available.
(2) Within 20 days following the date of loading for shipments originating within the United States or
within 30 working days following the date of loading for shipments originating outside the United

ean bill-of-lading in English for each

shipment of cargo described in paragraph 8.a. of this section must be furnished to both our award
-of-lading) and to the Division of
National Cargo, Office of Market Development, Maritime Administration, Washington, DC 20590.
(i) Research misconduct. You must comply with requirements concerning research misconduct in Enclosure
Government wide research misconduct policy that the Office of Science and Technology Policy published
in the Federal Register (65 FR 76260, December 6, 2000, available through the U.S. Government
Printing Office web site: http://www.gpo.gov/fdsys/browse/collection.action?collectionCode=FR).
(j) Requirements for an Institution of Higher Education Concerning Military Recruiters and Reserve Officers
Training Corps (ROTC).
(1) As a condition for receiving funds available to the DoD under this award, you agree that you are not
an institution of higher education (as defined in 32 CFR part 216) that has a policy or practice that
either prohibits, or in effect prevents:
(i) The Secretary of a Military Department from maintaining, establishing, or operating a unit of the
Senior Reserve Officers Training Corps (ROTC) -in accordance with 10 U.S.C. 654 and other
applicable Federal laws -at that institution (or any sub element of that institution);
(ii) Any student at that institution (or any sub element of that institution) from enrolling in a unit of the
Senior ROTC at another institution of higher education.
(iii) The Secretary of a Military Department or Secretary of Homeland Security from gaining access to
campuses, or access to students (who are 17 years of age or older) on campuses, for purposes
of military recruiting in a manner that is at least equal in quality and scope to the access to
campuses and to students that is provided to any other employer; or
(iv) Access by military recruiters for purposes of military recruiting to the names of students (who are
17 years of age or older and enrolled at that institution or any sub element of that institution); their
addresses, telephone listings, dates and places of birth, levels of education, academic majors,
and degrees received; and the most recent educational institutions in which they were enrolled.
(2) If you are determined, using the procedures in 32 CFR part 216, to be such an institution of higher
education during the period of performance of this award, we:
(i) Will cease all payments to you of DoD funds under this award and all other DoD grants and
cooperative agreements; and
(ii) May suspend or terminate those awards unilaterally for material failure to comply with the award
terms and conditions.
(k) Historic preservation. You must identify to us any:
(1) Property listed or eligible for listing on the National Register of Historic Places that will be affected by
this award, and provide any help we may need, with respect to this award, to comply with section 106
of the National Historic Preservation Act of 1966 (54 U.S.C. 306108), as implemented by the
Advisory Council on Historic Preservation regulations at 36 CFR part 800 and Executive Order

1975 Comp., p. 559].

45

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FA8650 19 S 5010
Attachment 1
impact assessment under NEPA (See Article 19.01).
(2) Potential under this award for irreparable loss or destruction of significant scientific, prehistorical,
historical, or archeological data, and provide any help we may need, with respect to this award, to
comply with the Archaeological and Historic Preservation Act of 1974 (54 U.S.C. chapter 3125).
(l) Relocation and real property acquisition. You must comply with applicable provisions of 49 CFR part 24,
which implements the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970
(42 U.S.C. 4601, et seq.) and provides for fair and equitable treatment of persons displaced by federally
assisted programs or persons whose property is acquired as a result of such programs.
(m) Confidentiality of patient records. You must keep confidential any records that you maintain of the
identity, diagnosis, prognosis, or treatment of any patient in connection with any program or activity
relating to substance abuse education, prevention, training, treatment, or rehabilitation that is assisted
directly or indirectly under this award, in accordance with 42 U.S.C. 290dd-2.
(n) Pro-Children Act. You must comply with applicable restrictions in the Pro-Children Act of 1994 (Title 20,
Chapter 68, subchapter X, Part B of the U.S. Code) on smoking in any indoor facility:
(1) Constructed, operated, or maintained under this award and used for routine or regular provision of
kindergarten, elementary, or secondary education or library services to children under the age of 18.
(2) Owned, leased, or contracted for and used under this award for the routine provision of federally
funded health care, day care, or early childhood development (Head Start) services to children under
the age of 18.
(o) Constitution Day. You must comply with Public Law 108-447, Div. J, Title I, section 111 (36 U.S.C. 106
note), which requires each educational institution receiving Federal funds in a Federal fiscal year to hold
an educational program on the United States Constitution on September 17th during that year for the
students served by the educational institution.
(p) Trafficking in persons. You must comply with requirements concerning trafficking in persons specified in
the award term at 2 CFR 175.15(b), as applicable.
(q) Whistleblower protections. You must comply with 10 U.S.C. 2409, including the:
(1) Prohibition on reprisals against employees disclosing certain types of information to specified
persons or bodies; and
(2) Requirement to notify your employees in writing, in the predominant native language of the
workforce, of their rights and protections under that statute.
(r) Section 889 of the National Defense Authorization Act (NDAA) for Fiscal Year (FY) 2019 (Public Law
115-232) prohibits the head of an executive agency from obligating or expending loan or grant funds to
procure or obtain, extend, or renew a contract to procure or obtain, or enter into a contract (or extend or
renew a contract) to procure or obtain the equipment, services, or systems prohibited systems as
identified in section 889 of the NDAA for FY 2019.
(1) In accordance with 2 CFR 200.216 and 200.471, all awards that are issued on or after August 13,
2020, recipients and subrecipients are prohibited from obligating or expending loan or grant funds to:
(i) Procure or obtain;
(ii) Extend or renew a contract to procure or obtain; or
46

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FA8650 19 S 5010
Attachment 1
(iii) Enter into a contract (or extend or renew a contract) to procure or obtain equipment, services, or
systems that uses covered telecommunications equipment or services as a substantial or
essential component of any system, or as critical technology as part of any system. As described
in Public Law 115-232, section 889, covered telecommunications equipment is
telecommunications equipment produced by Huawei Technologies Company or ZTE Corporation
(or any subsidiary or affiliate of such entities).
1. For the purpose of public safety, security of government facilities, physical security
surveillance of critical infrastructure, and other national security purposes, video surveillance
and telecommunications equipment produced by Hytera Communications Corporation,
Hangzhou Hikvision Digital Technology Company, or Dahua Technology Company (or any
subsidiary or affiliate of such entities).
2. Telecommunications or video surveillance services provided by such entities or using such
equipment.
3. Telecommunications or video surveillance equipment or services produced or provided by an
entity that the Secretary of Defense, in consultation with the Director of the National
Intelligence or the Director of the Federal Bureau of Investigation, reasonably believes to be
an entity owned or controlled by, or otherwise connected to, the government of a covered
foreign country.
(2) In implementing the prohibition under Public Law 115-232, section 889, subsection (f), paragraph (1),
heads of executive agencies administering loan, grant, or subsidy programs shall prioritize available
funding and technical support to assist affected businesses, institutions and organizations as is
reasonably necessary for those affected entities to transition from covered communications
equipment and services, to procure replacement equipment and services, and to ensure that
communications service to users and customers is sustained.
(3) See Public Law 115-232, section 889 for additional information.
TELECOMMUNICATIONS COST means the cost of using communication and telephony technologies such
as mobile phones, land lines, and internet.
(s) Disclosure Requirements for Recipients of Department of Defense Research and Development Funds.
(1) Except at provided in subsection (b) and (c), an individual or entity (including a State or local
government) that uses funds received from the Department of Defense to carry out research or
development activities shall include, in any public document pertaining to such activities, a clear
statement indicating the dollar amount of the funds received from the Department for such activities.
(2) Exception.--The disclosure requirement under subsection (a) shall not apply to a public document
consisting of fewer than 280 characters.
(3) Waiver.--The Secretary of Defense may waive the disclosure requirement under subsection (a) on a
case-by-case basis.
(4) Public Document Defined.--In this section, the term `public document' means any document or other
written statement made available for public reference or use, regardless of whether such document
or statement is made available in hard copy or electronic format.
9.08 ADDITIONAL REQUIREMENTS - NATIONAL POLICY REQUIREMENTS (SEPTEMBER 2021)
(a) Prohibition on Using Funds under Grants and Cooperative Agreements with Entities that Require
Certain Internal Confidentiality Agreements.
47

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FA8650 19 S 5010
Attachment 1
(1) You may not require your employees, contractors, or subrecipients seeking to report fraud,
waste, or abuse to sign or comply with internal confidentiality agreements or statements
prohibiting or otherwise restricting them from lawfully reporting that waste, fraud, or abuse to a
designated investigative or law enforcement representative of a Federal department or agency
authorized to receive such information.
(2) You must notify your employees, contractors, and subrecipients that the prohibitions and
restrictions of any internal confidentiality agreements inconsistent with paragraph a. of this award
provision are no longer in effect.
(3) The prohibition in paragraph 1.a. of this section does not contravene requirements applicable to
Standard Form 312, Form 4414, or any other form issued by a Federal department or agency
governing the nondisclosure of classified information.
(4) If the Federal Government determines that you are not in compliance with this award provision, it:
(i) Will prohibit your use of funds under this award, in accordance with section 743 of Division E of
the Consolidated and Further Continuing Resolution Appropriations Act, 2015, (Public Law 113-
235) or any successor provision of law; and
(ii) May pursue other remedies available for your material failure to comply with award terms and
conditions.
9.09 PROHIBITION ON A BYTEDANCE COVERED APPLICATION (JUN 2023)
(a) Definitions. As used in this article
Covered application means the social networking service TikTok or any successor application or
service developed or provided by ByteDance Limited or an entity owned by ByteDance Limited.
Information technology, as defined in 40 U.S.C. 11101(6)
(1) Means any equipment or interconnected system or subsystem of equipment, used in the
automatic acquisition, storage, analysis, evaluation, manipulation, management, movement, control,
display, switching, interchange, transmission, or reception of data or information by the executive
agency, if the equipment is used by the executive agency directly or is used by an awardee under an
award with the executive agency that requires the use
(i) Of that equipment; or
(ii) Of that equipment to a significant extent in the performance of a service or the furnishing of
a product;
(2) Includes computers, ancillary equipment (including imaging peripherals, input, output, and storage
devices necessary for security and surveillance), peripheral equipment designed to be controlled by
the central processing unit of a computer, software, firmware and similar procedures, services
(including support services), and related resources; but
(3) Does not include any equipment acquired by a Federal awardee incidental to a Federal award.
(b) Prohibition. Section 102 of Division R of the Consolidated Appropriations Act, 2023 (Pub. L. 117-328),
the No TikTok on Government Devices Act, and its implementing guidance under Office of
Management and Budget (OMB) Memorandum M-23- TikTok on
covered
application on executive agency information technology, including certain equipment used by Federal
awardee(s). The Awardee is prohibited from having or using a covered application on any information
technology owned or managed by the Government, or on any information technology used or provided
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[Document continues — 16 more pages]

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Appendix III Summary Business Plan Outline FA8650-19-S-5010

FOA FA8650-19-S-5010
Appendix III
Sample Summary Business Plan Outline
This section outlines topics that should be addressed within the 25-page-or-less summary
business plan. Bulleted sub-topics provide additional guidance regarding areas that may
be included as deemed appropriate by the author(s) of the strategic business plan. This
outline is generic, and should be customized for your business, industry, and the space
allotted. For guidance purposes only, representative page length information has been
included adjacent [ ] to each topic area.
EXECUTIVE SUMMARY - brief introduction to the business plan [1-2 pgs]
• Mission Statement
• Objectives, Expected Accomplishments (top-level)
• Highlights of Business Plan (“bottom line”)
BUSINESS OVERVIEW - overview of the company presenting the business plan [1 pg]
• History of the Business
• Description of the Business
• Legal Form (sole proprietorship, corporation, etc.)
• Location and Facilities
BUSINESS GOALS - brief discussion of the short and long term goals of the company
[1 pg]
• One Year/Near-Term Goals (specific goals including gross sales, profit
margins, market share, expansion plans, new product development, etc.)
• Longer-Term Goals (Return on Investment, net worth, etc.)
INDUSTRY ANALYSIS - assessment of the industry in general (without specific regard
to the company itself other than its competitive role in the industry) [5-6 pgs]
• Market Need for the Business
• Industry Size (current and future projections in unit and dollar measures)
• Industry Outlook and Growth Potential (trends, new product developments,
etc.)
• Customer Analysis (types, requirements, power, etc.)
• Competition Analysis (market share, strengths and weaknesses, profitability,
quality, marketing strategy, pricing, etc.)
• Degree of Competitive Rivalry
• Integration Analysis (forward, backward, partial)
• Distribution Patterns
• Mobility Barriers (economies of scale, product differentiation, capital
requirements, cost disadvantages independent of size, access to distribution
channels, government policy, etc.)
• Supplier Relationships
• Availability of Substitute Materials/Products/Technology

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FOA FA8650-19-S-5010
Appendix III
• Critical Success Factors
MARKETING ANALYSIS - strategic summary of the company’s marketing plan [3-4
pgs]
• Objectives and Strategy
• Pricing Strategy
• Product Positioning Strategy
• Promotion Strategy
• Distribution Strategy
SALES FORECAST - current and future sales projections [1-2 pgs]
• Annual Forecast for 5 year Horizon (units and dollars)
• Product Line Profitability Analysis (sensitivity analysis of product line costs,
expense element relationships, trend analysis)
• Assumptions and Sources for Forecasts
MANUFACTURING ANALYSIS - strategic summary of the company’s manufacturing
operations and related issues [2-3 pgs]
• Description of Process (brief)
• Physical Facilities Requirements
• Minimum Efficient Scale Facilities
• Machinery and Equipment Requirements
• Raw Materials Requirements (availability, quality, sources, etc.)
• Inventory Requirements (method of control, turnover rates, levels, etc.)
• Personnel Required (full/part-time, skill level, availability, training level, etc.)
MANAGEMENT ANALYSIS - strategic summary of the company’s management and
related issues [1-2 pgs]
• Organizational Structure
• Organizational Chart with Reporting Relationships
• Duties and Responsibilities of Key Personnel
• Management Team with Background of Key Management Personnel
FINANCIAL ANALYSIS - strategic summary of the company’s financial position [2-3
pgs]
• Balance Sheets (prior two years as published, annual for next three years)
• Income Statements (prior two years as published, annual for next three years)
• Comparative Ratio Analysis (based on identified industry SIC code)
STRATEGIC PLAN - overall strategy the company intends to pursue [1-2 pgs]
• Action Plan for Achieving Short and Long Term Goals
• Method and Schedule for Measuring Progress
• Relevant Policies

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FOA FA8650-19-S-5010
Appendix III
APPENDICES - Exhibits, charts, graphs, spreadsheets, etc. detailing information
presented in the body of the strategic business plan
• Annual Reports
• Duties and Responsibilities of Key Positions
• Price Lists
• Promotional Materials, Media, Articles, Etc.

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> Download XLSX file: Appendix IV_Cost Proposal Spreadsheet.xlsx

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Appendix V Title III Funding Guidelines

FA8650-19-S-5010
Appendix V
Funding Guidelines
Government funds may typically be used for labor hours, consumables, materials, special
tooling and special test equipment, subcontractors, and similar expenditures. The definitions of
special tooling and special test equipment are as follows:
Special Tooling: means jigs, dies, fixtures, molds, patterns, taps, gauges, and all components of
these items including foundations and similar improvements necessary for installing special
test equipment, and which are of such a specialized nature that without substantial modification
or alteration their use is limited to the development or production of particular supplies or parts
thereof or to the performance of particular services. Special tooling does not include material,
special test equipment, real property, equipment, machine tools, or similar capital items.
Special Test Equipment: means either single or multipurpose integrated test units engineered,
designed, fabricated, or modified to accomplish special purpose testing in performing a
contract. It consists of items or assemblies of equipment including foundations and similar
improvements necessary for installing special test equipment, and standard or general purpose
items or components that are interconnected and interdependent so as to become a new
functional entity for special testing purposes. Special test equipment does not include material,
special tooling, real property, and equipment items used for general purposes or property that
with relatively minor expense can be made suitable for general purpose use.
Since the principal objective of all DPA Title III investments is to strengthen and expand
domestic productive capacities and to ensure Government access to critical technology items
well into the future, the Government funds may be used to purchase capital equipment unless
otherwise noted in the RFP. Capital equipment purchases required for the effort may also be
included as part of an awardees’ cost share pursuant to DPA Title III.
Proposals may include construction of new facilities or modifications to an existing facility or
facilities (including adding equipment or modules) where it is economically and technically
advantageous to do so. Government funds may be used to purchase equipment for use on a
Title III project. Title III funds may also be used to upgrade or expand existing facilities.
Title III funds shall not be used to purchase real property such as land or buildings or the
construction of new buildings; such activities shall be paid for by the awardee’s cost share
funds.
Page 1 of 1

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Appendix VI_SOW Template_Jan 2024

DPA Title III - TEMPLATE
Statement of Work (SOW)
Defense Production Act (DPA) Title III – Project/Program Name
1.0 BACKGROUND
2.0 SCOPE
3.0 OBJECTIVE
4.0 TASKS/TECHNICAL REQUIREMENTS
4.1 Program Management, Administration, and Reporting
4.1.1 The Recipient shall manage and implement the project. The Recipient shall monitor
and control the project’s cost, schedule, and performance parameters.
4.1.2 The Recipient shall establish a cumulative monthly expenditure profile baseline for the
Government funds and track the actual monthly expenditures, and cost shares if
applicable, against the baseline and report it to the Government quarterly.
4.1.3 The Recipient shall participate on the project’s Stakeholder (Government and Recipient)
Integrated Product Team (IPT) and interface with Title III project managers and
Agreement personnel.
4.1.4 The Recipient shall conduct regular technical update meetings/teleconferences, calls,
and Quarterly Program Management Reviews (PMR). Up to two PMRs in any year
shall be conducted at the Recipient's facility, and at least one PMR per year shall be
conducted at a Government location. Remaining PMRs shall be conducted by
conference call. Key sub-Recipients and/or Subrecipients shall actively participate in
PMRs.
4.1.5 The Recipient shall conduct a Technical Project Kickoff Meeting no later than 60 days
after Agreement award.
4.1.6 Continue to insure, maintain, operate and service all Government and non-Government
owned capital equipment and tooling as required to establish **insert specific
project/program details**.
4.1.7 The Recipient shall update and provide the Government Equipment Property List at the
time of quarterly PMRs and as required. If equipment is procured using Title III
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funding, the Recipient shall prepare for a No-Cost Monitoring Phase (NCMP) after the
conclusion of the technical effort to demonstrate acceptable utilization and maintenance
of the Government equipment in support of the long-term goals of this project.
4.1.8 The Recipient shall establish and track Key Performance Parameters (KPPs) with DPA
Title III IPT concurrence. Baseline capabilities, Threshold (minimum), and Objective
(stretch) targets shall be established for at least two KPPs in each of the following four
categories: Technology, Manufacturing, Financial, and Marketing. The Recipient shall
report KPP performance at quarterly PMRs, or as required, and conduct initial and final
manufacturing demonstrations to validate the baseline and final capabilities.
Demonstrations shall be conducted concurrently with planned production.
4.1.9 The Recipient shall provide input, assistance, and support to the Title III team in
conducting a baseline and a final Manufacturing Readiness Assessment (MRA) of
cobalt manufacturing capabilities.
4.2 Strategic Business Planning
4.2.1 The Recipient shall prepare, submit and implement a Strategic Business Plan that
addresses the key aspects of a insert specific project/program details. The
Recipient shall submit the initial plan nine (9) months after initial award of this
Agreement.
4.2.2 In addition to the standard topics suggested in the strategic business plan template, the
Recipient shall specifically address its supply chain management strategy, ability, and
plan to insert specific project/program details.
4.2.3 The comprehensive strategic business planning should cover a minimum outlook of 24
months (estimated), including all financial statements, actual and forecasts.
4.2.4 The Recipient shall provide performance-to-plan evaluations at regular intervals, with
management review comments, to Title III so long this Agreement relationship exists.
4.2.5 The Recipient shall include in the strategic business plan the key issues related to the
establishment of a competitive and commercially viable merchant supplier of **insert
specific project/program details**.
4.2.6 The Recipient shall certify they meet the criteria in the Agreement Article titled,
“Certification Regarding Merchant Supplier – Defense Production Act, Title III.”
4.2.7 In the event that the Recipient is not presently a merchant supplier, the Recipient should
provide a credible strategy in its strategic business plan demonstrating how it shall
become and remain a merchant supplier.
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4.3 Market Planning and New Business Development
4.3.1 The Recipient shall prepare, submit and implement a Marketing Plan. The Recipient
shall submit the initial Marketing Plan six (6) months after initial Agreement award.
4.3.2 The strategic Marketing Plan shall address current and future customer needs (domestic
and foreign, civilian, and military) for insert specific project/program details.
4.3.2.1 The Marketing Plan shall survey and be responsive to, and report to the
Government on, (DoD and commercial) customer needs, requests, and trends for
all types of titanium alloy components.
4.3.2.2 The Marketing Plan shall define plans/opportunities to use material market
development including demonstrations and research.
4.3.2.3 The Marketing Plan shall provide performance-to-plan updates at regular
intervals, including reports on business capture plans (target business awards,
actual awards and missed opportunities) to Title III so long as this Agreement
relationship exists.
4.4 Insert Specific Project Tasking Here
5.0 SECURITY REQUIREMENTS
5.1 Operations Security (OPSEC) Requirements: The Recipient shall participate in all
activities associated with the disciplines of the organization’s Industrial Security,
Information Security, Personnel Security, Operations Security (OPSEC), Antiterrorism, and
Program Protection programs, following appropriate measures in the program as required
for this particular Agreement. Security measures are required to reduce program
vulnerability from successful adversary collection, exploitation of critical information, and
violations of export control requirements. The prime Recipient shall ensure all Sub-
Recipients, if applicable, conform to these requirements as required by the prime Recipient.
AFRL/RX Security can provide guidance as needed.
5.2 Program Protection Plan (PPP): Any potential Critical Program Information (CPI)
generated, as part of this effort, shall be reviewed to determine the need for a PPP or to be
included as part of an existing PPP.
5.3 CUI Information: The Recipient shall ensure that personnel associated with this effort
have annual training on OPSEC as well as Information Handling, Marking, Storage,
Transmission, Release, Destruction, and Reporting points related to Controlled
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Unclassified Information (CUI).
5.4 Sharing of Information: Approval of technical and programmatic information shared
external to this effort shall be approved by the Government Program Manager (PM).
5.5 Foreign Participation: Not at Prime Recipient level.
5.5.1 Foreign Nationals (FNs) can be employed by the US Prime Recipient or Sub-
awardee; however, FNs shall be limited to Public Domain information unless the
Recipient has obtained the proper License of Technical Assistance Agreement
that authorizes disclosure of CMI and/CUI to foreign entities pursuant to the
Department of State’s ITAR or Department of Commerce’s EAR.
5.5.2 Public Domain information is defined as information that is releasable to the
general public and sometimes referred to as open-source material. Examples
include but are not limited to newspapers, magazines and information posted on
the internet.
5.5.3 All proprietary information shall be appropriately protected.
6.0 DELIVERABLES:
The Recipient will complete and submit the following required deliverables:
Deliverable Item Submittal Requirement
Final Report Draft Final Report due 30 days after completion
of Technical Period of Performance (TPoP),
Final Report due 90 days after completion of
TPoP
Funds, Time & Expenditure Report Quarterly
Progress, Status, & Management Report Quarterly
Strategic Business Plan 9 months ARA* and annually thereafter
Property Control List Quarterly/ As Required
Presentation Material Before each Briefing or Review
Marketing Plan 6 months ARA* and annually thereafter
Copy of Recipient’s Billing Voucher As Required
*After Receipt of Agreement or Award (ARA)
Page 4 of 4

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FOA, Amendment 5, dated 1 July 2025

Air Force Research Laboratory
Materials and Manufacturing Directorate,
AFRL/RX
On behalf of the Department of Defense releases the
Defense Production Act (DPA) Title III Expansion of
Domestic Production Capability and Capacity
Funding Opportunity Announcement
Announcement Number: FA8650-19-S-5010
Issue Date: 12 July 2019
Close Date: 12 July 2026
Including Amendment 1 Changes 14 Nov 2019
Including Amendment 2 Changes 28 April 2020
Including Amendment 3 Changes 30 March 2022
Including Amendment 4 Changes 12 March 2024
Including Amendment 5 Changes 1 July 2025
Important
The Government is suspending the submission of white
papers under this FOA until further notice. Please continue to
check SAM for updates.
Please assess the entire solicitation carefully prior to any response.
This solicitation is a hybrid funding opportunity announcement solicitation consisting of:
• Part One—Open Funding Opportunity Announcement: Submission of White Papers
and Potential Proposals
• Part Two—Funding Opportunity Announcement with Calls: Submission of Proposals
Classified White Papers are not accepted under the DoD Defense Production Act Title III
Program.
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Table of Contents
Overview Information………………………………………………………………… 3
Full Text Announcement
I. Program Description………………………………………………… 8
II. Award Information (Applicable to Both Open FOA and
FOA with Calls)……………………………………………………….. 10
III. Eligibility Information (Applicable to Both Open FOA
and FOA with Calls)………………………………………………… 11
IV. Open FOA (Two-Step Process)……………………………… 12
V. Open FOA (Step Two) Proposal Review
Information……………………………………………………………… 29
VI. Open FOA (Step Two) Proposal Selection
Information……………………………………………………………… 31
VII. FOA with Calls (One-Step Process)………………………… 31
VIII. FOA with Calls (One-Step Process) Proposal Review
Information……………………………………………………………… 44
IX. FOA with Calls (One-Step Process) Proposal Selection
Information……………………………………………………………… 46
X. Award Administration Information (Applies to BOTH
Open FOA (Second Step-Proposal Submission) and FOA
with Calls………………………………………………………………… 47
FOA Appendices………………………………………………………………………… 50
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Hybrid Funding Opportunity Announcement
(Open FOA and FOA with Calls)
Overview Information
To access hyperlinks from this electronic solicitation – Hit CTRL and click
on the link.
NAICS Code: The NAICS Code for this acquisition is 339999, (All Other
Miscellaneous Manufacturing), and the small business size standard is 550
employees. The NAICS code and small business standard can vary and will
be identified per call.
Federal Agency Name: Air Force Research Laboratory, Materials and
Manufacturing Directorate, AFRL/RX
Funding Opportunity Announcement (FOA) Title: Defense Production Act
(DPA) Title III Expansion of Domestic Production Capability and Capacity
This announcement is to solicit production technology project proposals for the
Defense Production Act (DPA) Title III Program managed by the Office of the
Secretary of Defense (OSD) and executed by the Department of Defense (DoD)
Executive Agent Program Office, a component of the Manufacturing & Industrial
Technologies Division (AFRL/RXM) of the Materials and Manufacturing Directorate,
Air Force Research Laboratory. As the Executive Agent for DoD’s DPA Title III
Program, the Air Force is responsible for executing Title III projects on behalf of the
DoD. The DPA Title III website can be found here:
(https://www.businessdefense.gov/ibr/mceip/dpai/dpat3/index.html)
Information on the Defense Production Act Title III:
Title III of the Defense Production Act (DPA) provides unique authorities, under
which the United States Government (henceforth referred to as the “Government”
or “USG”) may provide appropriate incentives to create, maintain, protect, expand,
or restore the productive capacities of domestic sources (see below for definition)
for critical components, critical technology items, and industrial resources essential
for the execution of the national security strategy of the United States. The
principal objective of all DPA Title III investments is to strengthen and expand
these domestic productive capacities and to ensure Government access to critical
technology items well into the future. Any agreements awarded under this FOA will
be awarded under the authority of Title III of the Defense Production Act of 1950 as
amended (50 U.S.C. App. § 4501 et seq. and 10 U.S.C. § 4001).
Each DPA Title III Program effort will provide incentives to domestic manufacturers
to create, maintain, protect, expand, or restore their critical production
technologies and to develop and/or adopt best business and marketing practices to
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achieve joint manufacturing capacity, quality, affordability, and economic viability
requirements.
Solicitations shall be restricted to domestic sources as defined in the
Defense Production Act of 1950: “A business concern that performs in the
United States, Canada, Australia or the United Kingdom substantially all of the
research and development, engineering, manufacturing, and production activities
required of such business concern under a contract with the United States relating
to a critical component or a critical technology item; and that procures from
business concerns (described as above) substantially all of any components and
assemblies required under a contract with the United States relating to a critical
component or critical technology item.” Territories and possessions of the United
States, and the District of Columbia are considered part of the domestic United
States.
Funding Opportunity Announcement (FOA) Type: This is Amendment 5 to the
Initial Announcement.
Funding Opportunity Announcement Number: FA8650-19-S-5010
Catalog of Federal Domestic Assistance (CFDA) Number(s): 12.777 Defense
Production Act Title III (DPA Title III)
THIS WILL BE A HYBRID FUNDING OPPORTUNITY ANNOUNCEMENT
SOLICITATION:
Due Date and Time: The FOA is open and effective until 12 July 2026. White
papers will be considered if received prior to 1500 EST on 12 July 2026. Only
white papers are requested at this time, Call announcements will be
posted separately.
This FOA is set up in two parts: (1) Open FOA, in which white papers may be
submitted at any time during the open period, and (2) FOA with Calls, in which
proposal Call announcements may be issued by the Government on the official U.S.
government website for federal awards at https://SAM.gov under FA8650-19-S-
5010 at any time during the effectivity of the FOA. The two parts of this FOA are
explained in greater detail in separate sections below. Following is a brief
summary:
Open FOA (Two-Step Process)
Step One: Offerors are invited to submit white papers and a Rough Order of
Magnitude (ROM) on their proposed project (which must fall under one of the
Topic Areas identified in Section I “Program Description”) any time during the
open period IAW the instructions stated in this FOA.
Note: The Government will suspend white paper submission for
project areas identified in any active Call and this will be stated in
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the Call announcement (see FOA with Calls portion described below).
If the Government receives a white paper related to an active Call,
the white paper will not be reviewed, until all awards related to that
Call have been made. The determination of whether a whitepaper
relates to a Call is at the sole discretion of the Government.
Step Two: If a white paper is reviewed favorably with respect to the
Government Review Criteria and funding is available, AFRL/RXKM may
request a formal technical and cost proposal from the offeror. Due dates and
times will be specified in each Request for Proposal (RFP). Submitted
proposals will be evaluated IAW the proposal review information and may be
selected for negotiations and award.
There will be no other announcement issued requesting white papers.
Offerors should monitor the official U.S. government website for federal
awards at https://SAM.gov in the event this announcement is amended.
FOA with Calls (One-Step Process)
Periodically over the period of this FOA, Call announcements (Calls) may be
issued under FA8650-19-S-5010 to request proposals for specific DPA Title
III projects. Offerors should monitor the official U.S. government website for
federal awards at https://SAM.gov in the event this announcement is
amended or Calls are issued. Call announcements will be posted separately
to https://SAM.gov and will reference the original FOA # FA8650-19-S-5010.
Note: Any proposal, modification or revision received at the Government Office
designated in this FOA after the exact date and time specified for receipt of offers is
“late” and will not be considered except at the Agreement Officer’s (AO) discretion.
It should be noted that this installation observes strict security procedures (i.e
Government e-mail firewall). These security procedures are NOT considered an
interruption of normal Government processes, and proposals received after the
stated date and time as a result of security delays will be considered “late.” Early
proposal submission is encouraged. Proposals should be addressed to the
Contracting Point of Contact (POC) stated in the Overview Information section of
each RFP/Call.
Type of Contract/Instrument: The Government intends to utilize the
Department of Defense Grant and Agreement Regulations (DoDGARs)-based
Technology Investment Agreement (TIA) for any awards made off of this FOA.
However, the Government may consider award of a Cooperative Agreement in rare
situations if it is a better fit for the requirement.
Estimated Program Cost: Each project will be sized based on the availability of
funds and in order to address specific industrial shortfall requirements. Total cost
up to $9.0 Billion ($4.5 Billion Government share and $4.5 Billion Recipient
5

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share) – comprised of multiple projects with each project sized accordingly to
address the specific industrial base shortfall. Project award values are anticipated to
be in the range of $10 Million to $25 Million per effort; however, award values may
be less than or exceed this range in order to meet mission need. Each project shall
contain a cost share goal of 50% Government share and 50% Recipient share to
the maximum extent practicable.
Anticipated Number of Awards: The Government anticipates awarding multiple
awards for this announcement. The Government reserves the right to award zero,
one or more agreements for all, some or none of the solicited efforts.
System for Award Management (SAM) Registration: SAM is the primary
Government repository for prospective federal awardee information and the
centralized Government system for certain contracting, grants and other assistance
related processes. It replaces CCR/FedReg, On-line Representations and
Certifications (ORCA) and the Excluded Parties Lists System (EPLS). Offerors shall
be registered in the SAM database prior to submitting a white paper or proposal.
Any awardee must remain registered during the entire project life including invoice
submission and through final payment of any agreement resulting from this FOA.
Offerors may obtain information on registration and annual confirmation
requirements via the SAM website accessed at https://SAM.gov or by calling 866-
606-8220. See White Paper Submission Process section for additional SAM
info.
Responsibility/Qualification Records (previously FAPIIS): In accordance with
41 U.S.C. 2313, the awarding agency (prior to making a Federal award with a total
amount of Federal share greater than the simplified acquisition threshold) is
required to review and consider any information about the applicant that is in the
designated integrity and performance system accessible through SAM prior to
award.
Brief Program Summary: The DPA Title III Program has derived three broad
Topic Areas for potential projects. The Topic Areas are 1) Sustainment of Critical
Production, 2) Commercialization of Research and Development Investments and 3)
Scaling of Emerging Technologies. Each Call will contain a more descriptive
summary as well as a Statement of Objectives (SOO) for that particular project.
White paper submissions as part of the Open Portion of this FOA must identify
which Topic Area(s) the white paper is technically scoped within.
Communication Between Prospective Offerors and Government
Representatives:
Dialogue between prospective offerors and Government representatives is
encouraged until the RFP/Call is issued. Technical and contracting questions can be
resolved in writing or through open discussions until the RFP/Call is issued. All
exchanges with offerors after the RFP/Call is issued shall go through the
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Contracting POC stated in each RFP/Call.
After FOA release, questions and answers may be posted if warranted.
Discussions with any of the points of contact shall not constitute a
commitment by the Government to subsequently fund or award any
proposed effort. Only Contracting/Grants/Agreements Officers are legally
authorized to commit the Government.
Address technical questions to the Technical POC:
Jeffrey T. Hubert
Acting DPA Title III Program AF Executive Agent Program Manager
AFRL/RXM
2977 Hobson Way, Bldg. 653, Room 308
Wright-Patterson AFB, OH 45433
AFRL.DPA.TitleIandIII@us.af.mil
Address contracting questions to the Contracting/Agreements POC(s):
Melanie Kiplinger Justin (Jay) Hull
Agreements Officer Agreements Specialist
AFRL/RXKMT AFRL/RXKMT
2130 8th Street, Bldg. 45 2130 8th Street, Bldg. 45
Wright-Patterson AFB, OH 45433 Wright-Patterson AFB, OH 45433
Contracting/Agreements Office Email: AFRL.RXKM.TitleIII@us.af.mil
Address technical questions regarding Open FOA white papers (Step One)
in writing via email to:
The Office of the Assistant Secretary of Defense (OASD) for Industrial Base
Policy (IBP), OASD(IBP) Defense Production Act Investments (DPAI)
Office:
osd.pentagon.ousd-a-s.mbx.indpol-dpa-title-iii@mail.mil
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Full Text Announcement
I. Program Description:
Please note terms used specific to this FOA:
Topic Areas are the three technical areas described below: 1) Sustainment of
Critical Production, 2) Commercialization of Research and Development
Investments, 3) Scaling of Emerging Technologies. Throughout the life of this
hybrid FOA, offerors may submit white papers within these technically scoped
areas.
Projects represent specific technical objectives that fall under one of the three
technical areas that will be identified in Calls. Projects may also result from the
second step of the Open FOA, in which full proposals may be requested in
response to favorably reviewed white papers.
(Applicable to both Open FOA and FOA with Calls): On behalf of the
Office of the Under Secretary of Defense (Acquisition and Sustainment)
Industrial Policy DPA Title III Program, the Air Force Research Laboratory,
Materials & Manufacturing Directorate (AFRL/RX), Wright-Patterson Air Force
Base, is soliciting white papers, and anticipates issuing future Calls, on the
following research effort:
1. Project Topic Areas:
The DPA Title III Program has derived three broad Topic Areas for potential
projects. The Topic Areas are: Sustainment of Critical Production,
Commercialization of Research and Development Investments, and Scaling of
Emerging Technologies. Each of the Topic Areas is expanded on below:
a. Sustainment of Critical Production: Efforts to create, maintain,
protect, expand, or restore industrial base capabilities essential for
national defense.
b. Commercialization of Research and Development (R&D)
Investments: Efforts to transition Government sponsored R&D to
commercial applications; and from commercial R&D to national
defense applications.
c. Scaling of Emerging Technologies: Efforts for the increased use
of emerging technologies in national security program applications
and the rapid transition of emerging technologies.
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2. Within Scope Modifications: Potential offerors are advised that due to
the inherent uncertainty of these efforts, awards may be modified during
performance to make within scope changes.
3. Deliverable Items:
a. Data Items: Applicable deliverables will be identified in each Call/RFP.
Anticipated Deliverables include:
• Marketing Plan
• Strategic Business Plan
• Final Report
• Quarterly Financial Reports
• Other Progress Reports are also typically required
• Other deliverables may be required depending on the effort.
4. Schedule:
This FOA will remain open for white paper submissions and Call issuances
for a period of eighty-four (84) months. The period of performance (PoP)
will be considered for each award and will be identified in the Call/RFP.
The PoP for an individual award is not anticipated to exceed ten (10)
years in duration, exclusive of the potential for a no cost monitoring
phase. However, the Government may exceed 10 years in order to meet
mission need.
5. Other Requirements:
a. Program security classification: Unclassified anticipated. TBD at
Call/Award. If applicable, a DD254 would be attached to Call/RFP with
appropriate direction. White papers and proposals must be unclassified.
b. OPSEC requirements are as follows, unless otherwise stated in a Call or
RFP: The standard Operations Security (OPSEC) requirement will be
included in the SOO for each award. OPSEC must be an integral part of
daily project activities. Offerors must maintain security on technologies
that are vital to national interest and must be vigilant against threats.
Department of Defense policies mandate a high degree of security
throughout project execution. Heightened security awareness and
threat-based countermeasures must be employed to prevent
espionage, sabotage, or exploitation. It is the obligation of each
employee or persons involved in a Title III project to be constantly
aware of, and strictly adhere to, security requirements designed to
protect sensitive unclassified and other information and security efforts
outlined in this FOA. The offeror shall ensure employees receive
training and follow appropriate Operations Security (OPSEC) measures
during the performance of the award.
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c. Export Control: Not anticipated, but TBD on each Call/RFP. Information
involved in this research effort may or may not be subject to Export
Control (International Traffic in Arms Regulation) (ITAR) 22 CFR 120-
131, or Export Administration Regulations (EAR) 15 CFR 710-774). If
the effort may be subject to export control, then a Certified DD Form
2345, Militarily Critical Technical Data Agreement, will be required to be
submitted with the proposal. Refer to the Sample Technology
Investment Agreement (TIA), Appendix II, Article 6.031, “Export-
Controlled Data Restrictions (APR 2017)” for additional information.
d. Generally Accepted Accounting Principles (GAAP): Potential offerors
shall list if their accounting/financial systems have previously been
audited by a Government agency or independent auditor, along with
the date of the audit. Additionally, potential offerors are required to
certify that their financial management systems are compliant with
GAAP, and submit proof of this compliance.
e. Basic NIST SP 800-171: All potential offerors are required to complete
a Basic NIST SP 800-171 Self-Assessment, or have an existing self-
assessment that is current (within the last 3 years from time of white
paper/proposal submission), and the score shall be published in the
Supplier Performance Risk System (SPRS). A score of 110 is required to
be considered “adequate.” Additional information regarding the NIST
800-171 Assessment can be located at the following link:
https://www.acq.osd.mil/asda/dpc/cp/cyber/docs/safeguarding/NIST-
SP-800-171-Assessment-Methodology-Version-1.2.1-6.24.2020.pdf
6. Other Information:
a. Government Furnished Property (GFP): Not anticipated, but TBD on
each Call/RFP
b. Government Furnished Information and/or Software: Not Anticipated,
but TBD on each Call/RFP
c. Base Support/Network Access: Not anticipated, but TBD on each
Call/RFP
d. Data Rights Desired: (unless a Call/RFP states otherwise)
(1) Technical Data: Government Purpose Rights
(2) Non-Commercial Software (NCS): N/A
(3) NCS Documentation: N/A
(4) Commercial Computer Software Rights: N/A
e. Human or Animal Subject Use: TBD on each Call/RFP
f. Hazardous Materials: TBD on each Call/RFP
g. Radioactive Materials: TBD on each Call/RFP
h. Ozone Depleting Substances: TBD on each Call/RFP
i. On-base Testing: TBD on each Call/RFP
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j. Initial Safety Assessment: TBD on each Call/RFP
k. Military Equipment Valuation: TBD on each Call/RFP
l. Recipient Acquired Property: TBD on each Call/RFP
II. Award Information (Applicable to Both Open FOA and
FOA with Calls)
1. Anticipated Award Date: TBD for each Call/RFP
2. Anticipated funding: Each project will be sized based on the availability
of funds and in order to address specific industrial shortfall requirements.
Total cost up to $9.0 Billion ($4.5 Billion Government share and $4.5
Billion Recipient share) – comprised of multiple projects with each project
sized accordingly to address the specific industrial base shortfall. Values
anticipated to be in the range of $10 Million to $25 Million per effort;
however, values may be less than or exceed this range in order to meet
mission need. Each project shall contain a cost share goal of 50%
Government share and 50% Recipient share to the maximum extent
practicable.
Funding is an estimate only and not a contractual obligation for funding. All
funding is subject to change due to Government discretion and availability.
Potential offerors should be aware that due to unanticipated budget
fluctuations funding in any or all areas may change with little or no notice.
3. Award: The Government intends to award a DoDGARs agreement known
as a Technology Investment Agreement (TIA). TIAs are governed by the
DoDGARs and 2 CFR 200. A sample TIA, along with other sample
documents, is attached to this FOA. See Appendix II for the sample TIA.
Any clarifications/exceptions to the TIA articles, as presented in the
sample TIA, must be stated at the time of white paper and proposal
submission. However, the Government may consider award of a
Cooperative Agreement in rare situations if it is a better fit for the
requirement.
III. Eligibility Information (Applicable to Both Open FOA
and FOA with Calls)
1. Eligible Offeror: Solicitations shall be restricted to domestic sources as
defined in the Defense Production Act.
2. Proposed Cost Sharing or Matching:
a. The Government is required to seek cost sharing in the amount of 50%
Recipient and 50% Government to the maximum extent practicable
pursuant to DoDGARs Part 37.215 for TIAs. Cost sharing other than
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50/50 requires preparation and approval of a special waiver. If the
proposal does not include a cost share of at least 50%, the Recipient
should provide justification which should address, in detail, factors that
demonstrate vested self-interest and/or commitment to the success of
the project as discussed in DoDGARs Part 37.215.
b. Types of Cost Share proposed must be in accordance with DoDGARs
37.530 through 37.555.
3. Other:
a. Foreign participation: Per Defense Production Act of 1950, execution of
the project requires a domestic source as lead. Each Call/RFP will
contain information specific to the Call/RFP. Foreign disclosure review
will be performed prior to Call/RFP issuance.
b. Offerors may be ineligible for award if all requirements of this FOA are
not met by proposal due date.
IV. Open FOA (Two-Step Process)
1. White Paper (Step One) Submission Information:
a. Overview: This Announcement consists of a two-step process
described in detail below. White papers/proposals submitted shall be in
accordance with this announcement. There will be no other solicitation
issued in regard to this requirement. The Government intends to review
white papers and, if reviewed favorably with respect to the Government
Review Criteria and funding is available, award some, all or none of the
proposals received (Step Two) without negotiation/discussion;
however, the Government reserves the right to negotiate with the
offeror(s) whose proposal is selected for funding.
For additional information, a copy of the Broad Agency Announcement
(BAA) Guide for Industry can be found at:
https://www.afrl.af.mil/Portals/90/Documents/HQ/BAA%20Ind%20Gui
de%202020.pdf?ver=7AivkWvoUoptKgypgCuIvw%3D%3D
This guide is specifically designed to assist the offeror in understanding
the BAA proposal process, similar to the FOA proposal process, for
which there is no guide.
b. Requirements Verification:
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Domestic Source Requirement: The white paper submitter must
provide proof of meeting the Domestic Source requirement IAW DPA Law
or the white paper will not be reviewed.
And
Defense Production Act Title III Criteria: The white paper must
identify how the project addresses each of the following DPA Title III
criteria or the white paper will not be reviewed:
(1) The industrial resource, material or critical technology item is
essential to the national defense;
(2) Without Presidential action under this section, United States
industry cannot reasonably be expected to provide the capability for
the needed industrial resource, material or critical technology item
in a timely manner; and
(3) Purchases, purchase commitments or other action pursuant to this
section are the most cost effective, expedient and practical
alternative method for meeting the need.
For consideration, the white paper submitter must provide sufficient
insight that the technology and/or capability being described meets the
criteria set forth in the DPA Title III law. This includes credible
documentation that the technical item is critical to the national defense of
the United States. In addition, essential DPA Title III criteria also require
evidence that industry is unable or unwilling to respond without direct Title
III action and that DPA Title III authorities are the best and most
appropriate approach to resolving and/or overcoming barriers preventing
timely resolution of the industrial base shortfall.
2. White Paper (Step One) Submission Instructions:
a. General: These instructions will apply to each individual white paper.
The FIRST STEP requests an unclassified white paper and a rough
order of magnitude (ROM) cost. The Government will review the white
papers in accordance with the FIRST STEP considerations, stated later
in this FOA. Based on this review, the Government will determine if the
white paper has the potential to best meet the Government’s needs.
Offerors will be notified of the disposition of their white paper. It is
anticipated that Government review of each white paper submission will
occur semi-annually, or more frequently if Government desires. Those
offerors submitting white papers assessed as meeting Government
needs may be asked to submit a technical and cost proposal. Those
offerors not requested to submit a technical and cost proposal will be
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notified. The cost of preparing white papers in response to this
Announcement is not considered an allowable direct charge to any
resulting or any other agreement. Incurring pre-award costs for
ASSISTANCE INSTRUMENTS ONLY is regulated by the DoD Grant and
Agreements Regulations (DoDGARs).
b. White papers should include the following items:
(1) Cover page: Clearly labeled “White Paper,” including FOA title and
number, its associated Topic Area(s), title of white paper, date,
administrative and technical points of contact along with telephone,
fax, and e-mail addresses, and verification of current SAM
registration and EPLS status. The cover page will not count toward
the page limit.
(2) Domestic Source Proof: This will not count toward the page
limit. This must be provided on the page after the cover page. The
offeror must meet the Domestic Source Requirement for the white
paper to be reviewed.
(3) Defense Production Act Title III Criteria: This will not count
toward the page limit. This must be provided on the page after the
Domestic Source Proof. The offeror must show how the project
addresses each of the DPA Title III criteria for the white paper to be
reviewed.
(4) Technical Description (10 pages):
i. Include the following:
• A brief technical discussion and business case description of the
effort’s objective, approach and level of effort
• The nature and extent of the anticipated results and the manner
in which the work will contribute to the accomplishment of the
DPA Title III mission specific to the Topic Area and how this
would be demonstrated.
• Address merchant supplier orientation and business viability to
the DoD and commercial markets specific to the Topic Area.
Address commitment to being, including explanation of
resources to be employed in establishing acceptance and
credibility as, a merchant supplier as defined in the Certification
Regarding Merchant Supplier Orientation in Appendix I.
(5) Biographical Sketches: As an addendum to the white paper (not
part of 10 page limit), include biographical sketches (one (1) page)
of the key personnel who will perform the effort, highlighting their
qualifications and experience.
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(6) Cost (Separate two-page attachment):
i. Rough Order of Magnitude should include the following:
A brief cost estimate revealing all the component parts of the
proposal, including labor hours, burdened rates, equipment,
material, proposed cost share, travel, etc.
c. White papers should be prepared in the following format:
(1) Microsoft Word format on 8.5 x 11 inch paper
(2) Margins – 1” inch on both sides, top and bottom
(3) Spacing – double-spaced
(4) Font – Arial, 11-point
(5) Number of Pages – No more than 10 pages, excluding cover page,
domestic source proof, biographical sketches and costs. White
papers exceeding the page limit may not be evaluated. Evaluators
will be advised that they are only required to review the white paper
cover page, domestic source proof and up to ten pages excluding
the addendum and cost summary.
d. Other Information:
(1) Restrictive Markings on White Papers: Any included proprietary
data that the offeror intends for use exclusively by the Government
for evaluation purposes, must be identified. The offeror must also
identify any technical data contained in the white paper that is to be
treated by the Government as limited rights data, or other
assertions of rights. In the absence of such identification, the
Government will assume to have Government Purpose Rights to all
technical data in the white paper. Records or data bearing a
restrictive legend may be included in the white paper or proposal. It
is the intent of the Government to treat all white papers as
privileged information before the award and to disclose their
contents only for the purpose of evaluation.
(2) Offerors are advised that employees of commercial firms under
support contract(s) to the government may be used to
administratively process white papers and proposals, or perform
other administrative duties requiring access to other offerors
proprietary information, if applicable. These support contracts
include nondisclosure agreements prohibiting their contractor
employees from disclosing any information submitted by other
contractors or using such information for any purpose other than
that for which it was furnished. See Section X.3. for more
information on support contractors.
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(3) The offerors are cautioned, however, that portions of the white
papers may be subject to release under terms of the Freedom of
Information Act, 5 U.S.C. 552, as amended.
(4) Care must be exercised to ensure that classified, sensitive, critical
technologies are not included. If such documents are required,
appropriate restrictive markings and procedures should be applied.
3. White Paper (Step One) Submission Process:
a. SAM Registration: All organizations must register on the System for
Award Management (SAM) website (https://SAM.gov) and will receive a
CAGE Code and a Unique Entity Identifier (UEI) number. Prospective
offerors must be registered in SAM prior to white paper submission.
Failure to register with SAM will also prevent your organization from
obtaining a potential award. The offeror shall provide a statement in
the proposal that verifies its SAM registration, SAM expiration date and
confirmation that it is not in the Excluded Parties List System (EPLS).
Submission & Delivery: White papers must be sent electronically to
the Office of the Assistant Secretary of Defense (OASD) for Industrial
Base Policy (IBP), OASD(IBP), DPA Title III Program Office at:
osd.pentagon.ousd-a-s.mbx.indpol-dpa-title-iii@mail.mil
Please also courtesy copy all white paper submissions to the
Contracting/Agreements Office at: AFRL.RXKM.TitleIII@us.af.mil
The Defense Production Act Title III Program Office at
OASD(IBP) conducts the review of white papers. AFRL receives a
copy for verification and record keeping purposes. If the submitter does
not receive an email confirmation of receipt from the OASD(IBP)
Defense Production Act Title III electronic mailbox within 30 days, the
submitter is instructed to send a plain text email without attachments
to the OSD and the Contracting/Agreements Office electronic mailbox
to notify the Government that a confirmation receipt has not been
received.
4. White Paper (Step One) Review Process:
a. The offeror must provide proof of meeting the Domestic Source
requirement IAW Defense Production Act of 1950 or the white
paper will not be reviewed.
b. The offeror must provide proof of meeting all the Defense
Production Act Title III Criteria above or the white paper will
not be reviewed.
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c. White Paper Reviews: The Government will review white papers to
determine which of them have the potential to best meet the
Government’s needs based on the following criteria, which are of equal
importance:
(1) Is this technical approach consistent with technologies listed in the
FOA?
(2) Is the research of interest to the Government?
(3) Is appropriate funding available?
Result: If white papers are reviewed favorably with respect to the above
criteria and funding is available, the Government may request full technical
and cost proposals; however, any such request does not assure a subsequent
project award.
Note: The Government will suspend white paper submission for project
areas identified in a Call and this will be stated in the Call Announcement. If
the Government receives a white paper related to an active Call, the white
paper will not be reviewed, until all awards related to that Call have been
made. The determination of whether a whitepaper relates to a Call is at the
sole discretion of the Government.
5. Open FOA Proposal (Step Two) Submission Information:
a. General Instructions:
(1) The SECOND STEP of the Open FOA consists of offerors submitting a
technical and cost proposal within 30 calendar days of a request for
proposal (unless otherwise stated in RFP). After receipt, proposals
will be evaluated in accordance with the award criteria. Proposals
will be categorized and potentially selected for negotiations and/or
award.
(2) Proposals must reference the announcement number FA8650-19-S-
5010; the relevant Topic Area (Sustainment of Critical Production,
Commercialization of Research and Development Investments, or
Scaling of Emerging Technologies); and, if applicable, the title of the
effort.
b. Domestic Source Requirement: The proposal submitter must
provide proof of meeting the Domestic Source requirement IAW DPA
Law or the proposal will not be reviewed.
6. Open FOA Proposal (Step Two) Content and Form:
The following is applicable:
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Proposal Cover Page – SF 424 (R&R) Form: All proposals for
assistance submitted under this FOA must include an SF 424 (R&R)
(Application for Federal Assistance) as the cover page.
The SF424 (R&R) can be found at:
https://www.grants.gov/forms/forms-repository/r-r-family
To evaluate compliance with Title IX of the Education Amendments of
1972 (20 U.S.C. A§ 1681 Et. Seq.), the Department of Defense is
collecting certain demographic and career information to be able to
assess the success rates of women who are proposed for key roles in
applications in STEM disciplines, consequently a SF 424 Research &
Related Senior/Key Person Profile (Expanded) and a SF 424 Research &
Related Personal Data must also be submitted. The SF 424 (R&R) forms
should be downloaded from the “Application” box in the upper right-
hand corner of the synopsis page. Click on “download” under the
column “Instructions and Application.” Select “Download Application
Package” and complete the SF 424 (R&R) forms.
On the SF 424 Research and Related Senior/Key Person Profile
(Expanded) form, the Degree Type and Degree Year fields will be used
by DoD as the source for career information. In addition to the required
fields on the form, applicants must complete these two fields for all
individuals that are identified as having the project role of PD/Pl or Co-
PD/Pl. Additional senior/key persons can be added by selecting the
"Next Person" button. The Research and Related Personal Data form
will be used by DoD as the source of demographic information, such as
gender, race, ethnicity, and disability information for the Project
Director/Principal Investigator and all other persons identified as Co-
Project Director(s)/Co-Principal Investigator(s).
Each application must include this form with the name fields of the
Project Director/Principal Investigator and any Co-Project
Director(s)/Co-Principal Investigator(s) completed; however, provision
of the demographic information in the form is voluntary. If completing
the form for multiple individuals, each Co-Project Director/Co-Principal
Investigator can be added by selecting the "Next Person" button. The
demographic information, if provided, will be used for statistical
purposes only and will not be made available to merit reviewers.
Applicants who do not wish to provide some or all of the information
should check or select the "Do not wish to provide" option.
As noted above, the SF424 (R&R) can be found at:
https://www.grants.gov/forms/forms-repository/r-r-family
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a. Table of Contents: Include a Table of Contents immediately following
the cover. Neither will count toward the page limit.
b. Domestic Source Proof: Include proof of domestic source. This will
not count toward the page limit.
c. Certifications: All proposals for assistance must include the requisite
certifications. To access the requisite Certifications, select the
“Application” box in upper right-hand corner of the synopsis page. Click
on “Instructions and Application” and select “Download Application
Instructions” to view the Certifications. To complete the Certifications
you must check Block 18 of the SF 424 (R&R), and by signing and
submitting it, you are certifying that you have read and agree to abide
by the terms in the Certifications. Also, you must complete and submit
with your proposal, Appendix I, Title III Certifications and
Representations and complete the Financial Assistance Certification and
Representation Report via the SAM.gov website. SAM.gov is the central
repository for common Government-wide financial assistance
certifications and representations. The Financial Assistance
Certifications Report is an attestation that the entity will abide by the
requirements of the various laws and regulations; therefore, as
applicable, you are required to submit any documentation, including
the SF LLL Disclosure of Lobbying Activities (if applicable), and
informing DoD of unpaid delinquent tax liability or a felony conviction
under any Federal law. Please ensure that your Entity Registration
includes “Assistance Certification”. Feel free to contact the
Contracting/Agreements POCs on page 7 above, or reach out to the
Federal Service Desk through the SAM website with any questions
during the process.
Certification Regarding Disclosure of Funding Sources (Supplement to
SF424 (R&R), block 17, Financial Assistance Certifications and
Representations): By checking "I Agree" on the SF 424 (R&R) block 17
you agree to abide by the following statement: "By signing this
application, I certify the proposing entity is in compliance with Section
223(a) of the William M. (Mac) Thornberry National Defense
Authorization Act for Fiscal Year 2021 which requires that: (a) the PI
and other key personnel certify that the current and pending support
provided on the proposal is current, accurate and complete; (B) agree
to update such disclosure at the request of the agency prior to the
award of support and at any subsequent time the agency determines
appropriate during the term of the award; and (c) the PI and other key
personnel have been made aware of the requirements under Section
223(a)(1) of this Act. I am aware that any false, fictitious, or fraudulent
statements or claims may subject me to criminal, civil, or
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administrative penalties. (U.S. code, Title 218, Section 1001).
d. Proposal Submission: Offerors must submit one original copy of
their proposal via DoD SAFE at https://safe.apps.mil/. In order to
submit via DoD SAFE, please email the Contracting/Agreements POCs
provided in the RFP to request a “Drop Off” invite. The
Contracting/Agreements POC will in turn send the DoD SAFE invite via
email for you to submit the electronic proposal. NOTE: No proposals
sent by fax, Grants.gov online submission, or physical mail will be
accepted.
e. Proposal Instructions and Reminders: The paragraphs below
identify general instructions and reminders for proposal submission.
(1) General Instructions: Offerors should apply the restrictive notice
prescribed in the provision of DoDGARs 37.420. Also, Disclosure of
Information will be in accordance with DoDGARs 37.420.
i. At minimum, proposals shall include the following documents:
a. SF 424 (R&R), Table of Contents, Domestic Source
Proof, Title III Certifications, Technical Management
Proposal, Statement of Work (SOW), Summary Business
Plan, Cost/Business Proposal, and Supporting
Documentation of Cost Proposal
ii. Technical/Management and Cost/Business volumes should be
submitted in separate volumes and must be valid for 180
days.
iii. Proposals must reference the announcement number FA8650-
19-S-5010, Topic Area and project title.
iv. Technical/Management proposals and Statements of Work shall
be provided in separate Microsoft Word documents.
v. The cost file(s) spreadsheets must be in Microsoft Excel and
include the formulas for calculating cost element bases (i.e.,
G&A, O/H, etc.). Offerors shall use the attached Sample
Cost Proposal Spreadsheet, attached as Appendix IV.
(2) Other Reminders:
i. Offerors are advised that only Agreement Officers are legally
authorized to contractually bind or otherwise commit the
Government.
ii. The cost of preparing proposals in response to this FOA is not
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considered an allowable direct charge to any resulting or any
other agreement/contact; however, it may be an allowable
expense to the normal bid and proposal indirect cost as
specified in DoDGARs 34.17.
iii. No classified technical proposals or cost volumes are expected.
Offerors are encouraged to keep all elements of the proposal
package unclassified. In the rare case where an offeror has a
need to submit a classified appendix, please contact the
technical POC listed in the RFP to identify the need for
classified submission and for delivery instructions.
f. Technical/Management Proposal Content and Form: The
paragraphs below identify specific content and form guidelines for
technical/management proposals.
(1) Page Limitations: The following describes the page limitations on
the proposal submittal:
i. Technical Discussion: TBD in RFP (typically up to 75 pages)
ii. Summary Business Plan: TBD in RFP (typically up to 25 pages)
iii. Statement of Work: TBD in RFP (not included in tech
discussion page count)
iv. Tech Proposal Total: TBD in RFP (Typically up to 100 pages)
Note 1: The Cost Proposal requirements are provided later in
this announcement.
Note 2: The table of contents, cover page and domestic
source proof will not be included in the page count referenced
above.
(2) Proposal shall be limited to number of pages as stated in
RFP, prepared and submitted in Microsoft Word format.
Signed pages may be submitted in Adobe form.
i. Font shall be standard 11-point Arial.
ii. Character spacing must be “normal,” not condensed in any
manner.
iii. Pages shall be double-spaced (must use standard double-space
function in Microsoft Word), 8.5 by 11 inches, with at least
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one-inch margins on both sides, top and bottom.
iv. All text, including text in tables and charts, must adhere to all
font size and line spacing requirements listed herein. Font and
line spacing requirements do not have to be followed for
illustrations, flowcharts, drawings and diagrams. These
exceptions shall not be used to circumvent formatting
requirements and page count limitations by including lengthy
narratives in such items.
v. Pages shall be numbered starting with the first page after the
cover page, table of contents and domestic source proof and
the last page being no greater than page number stated. The
page limitation covers all information including indices,
photographs, foldouts (counted as 1 page for each 8.5 by 11
portion) tables, charts, appendices, attachments, resumes, etc.
vi. The proposal page limit does not include the offeror’s proposed
Statement of Work (SOW); however, the same formatting rules
apply to the SOW.
vii. Please note, the Government will check the proposal and
SOW for conformance to the stated requirements. Any
pages in excess of the stated page limitation after the
format check will not be considered.
(3) Technical Discussion and Information: The proposal shall
include a discussion of the nature and scope of the work as well as
the technical approach. Additional information on prior work in this
area, descriptions of available equipment, data and facilities and
resumes of personnel who will be participating in this effort should
also be included as attachments to the technical proposal.
i. DPA Title III Criteria: Proposals should identify how the project
addresses each of the DPA Title III Criteria: the industrial
resource, material or critical technology item is essential to
national defense; without Presidential action, United States
industry cannot reasonably be expected to provide the
capability for the needed industrial resource, material, or
critical technology item in a timely manner; and purchases,
purchase commitments, or other action pursuant to this section
are the most cost effective, expedient, and practical method for
meeting the need.
ii. Key Performance Parameters (KPPs): Recipients, as part of
their response to a RFP, will propose a minimum of eight Key
Performance Parameters (KPPs or Achievement Targets) – two
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each for manufacturing, product performance, financial and
marketing. KPPs are established for threshold (baseline or
minimum) and objective (target or stretch) goals. Progress on
performance of target goals will be monitored and documented
on a quarterly basis. A contractor business analyst (Advisory
and Assistance Service Contractor) will be assigned to monitor
business and marketing planning and performance.
iii. The technical proposal shall address the following evaluation
criteria: Manufacturing Capability and Experience, Quality of
Technical Approach, Business Viability, and Merchant Supplier
Orientation.
iv. In support of evaluation criterion Manufacturing Capability and
Experience, evidence may include, but is not limited to,
existing component testing, demonstrations, and/or
qualification efforts, existing manufacturing capability,
intellectual property, technical specifications for existing
components, and dossiers of key personnel.
v. In support of evaluation criterion Quality of Technical
Approach, evidence may include, but is not limited to: high
value component product/production road maps including
product qualification plans, value stream maps, equipment
specifications, production flow diagrams, process operation
plans, and quality control plans (test and inspection plans).
vi. The proposal should convey an understanding of the industrial
base shortfall relevant to the RFP and a summary of the
production issues addressed by the offeror’s submission.
vii. Include an explanation of what will be achieved, how it will be
achieved, and what end state/solution the effort will produce.
viii. Ensure merchant supplier orientation is addressed.
ix. This volume shall include a SOW detailing the technical tasks
proposed to be accomplished under the proposed effort and
suitable for incorporation into the Agreement. Do not include
any proprietary information in the SOW. Refer to the BAA
Guide for Industry referenced above to assist in SOW
preparation. (Also see Appendix VII, SOW Outline)
x. Any questions concerning the technical proposal or SOW
preparation shall be referred to the Contracting POCs cited in
the RFP.
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(4) Technical Approach:
i. Background/Scope/Program Objectives: The technical proposal
must convey an understanding of the problems or limitations of
the current state of the industrial and the intended
application(s). It should be an overall summary of the
production technology issues addressed by the offeror’s
proposal without merely repeating the requirements. This
should provide a vision of what will ultimately be achieved, how
it will be achieved, and what solution this effort will produce.
ii. Program Plan: The program plan should present an orderly
progression of the technical and management efforts to be
performed. Upper and lower bounds should be placed on what
will be attempted or completed within the confines of program
funding. Some redundancy is inevitable, but should be used
judiciously to stress key points.
iii. Technical Discussion: In this section, the offeror should
provide technical detail and analysis necessary to support the
technical approach they are proposing. They must clearly
identify the core of the intended approach. If the offeror has a
“new and creative” solution to the production technology
goal(s), that solution should be developed and analyzed in this
section. The proposal should include a risk assessment of key
technical, schedule or cost areas and their potential impact on
the program. If subrecipients are proposed, identify why they
were selected and what tasks they are to perform. The offeror
shall reference/acknowledge the acceptability of all
specified/applicable data items in the list of deliverables that
were identified in the Statement of Objectives.
iv. Appendix: Appendices may include technical reports, published
papers, and referenced material in support of the offeror’s
proposal. Commercial product advertising brochures may also
be provided. Please be aware that these items will be included
in the proposal page limitation.
v. Technical Data: Identify any technical data that will be
delivered with less than unlimited rights.
vi. Program Schedule: The schedule represents the offeror’s plan
to perform the program tasks in an orderly, timely manner.
Provide each major task identified in the SOW as a separate
line on the program schedule chart. Provide a schedule of when
all deliverables identified in the announcement are to be
delivered. The period of performance shall be proposed in the
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format example of timeframes. i.e. “includes forty (40) months
for technical effort and three (3) months for Final Report.”
(5) Capabilities and Relevant Experience:
i. Identify related Government, commercial, previous or related
production efforts.
ii. Identify facilities/resources proposed for the effort.
iii. Identify and provide resumes of all key personnel (include key
subrecipient/consultant personnel).
iv. Identify how the offeror fits into the current manufacturing
ecosystem relevant to this RFP. Identify if they are captive or
merchant supplier, whom they supply to, what suppliers are
being relied on, and what programs are reliant on their
manufacturing capabilities.
(6) Management:
i. Program Organization: Identify the program organization and
reporting management structure within the company.
Organizational charts are encouraged.
ii. Management Approach: Identify management approach to
ensure contract is meeting programmatic cost, schedule and
performance goals. This should include an issue and risk
tracking system/methodology.
(7) Summary Business Plan:
The offeror will describe how their production capability
developed or expanded under the project will achieve and
maintain long-term economic viability. The plan identifies
target customers (both military and commercial), specific
targeted military systems (where information is available),
manufacturing metrics over time (e.g. manufacturing line
utilization rates, expected demand, demand break even points,
target fixed and variable costs), potential areas for growth and
corporate capital reinvestment plan to ensure equipment is
maintained and upgraded. Financial information required in
Appendix III, Summary Business Plan Outline, must be
provided. It should be noted by all offerors that a Summary
Business Plan must be submitted with the proposal. The
Business Plan supports the “Business Viability” evaluation
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criterion. A sample outline for the Summary Business Plan
appears in Appendix III of this FOA. Length is not to exceed 25
pages. Note: The Summary Business Plan is not the same as
the Strategic Business Plan that is a required annual
deliverable item after award.
(8) Offeror's Statement of Work (SOW):
i. The SOW developed by the offeror and included in the proposal
may be incorporated into a binding instrument. The SOW
should build upon the requirements of the Government’s
Statement of Objectives (SOO) (attached to the Government
RFP). The proposed SOW must contain a summary description
of the technical methodology as well as the task description,
but not in so much detail as to make the award instrument
inflexible. Do not include any proprietary information in the
SOW. The Government requires a SOW that is fully releasable
under the Freedom of Information Act to allow the public to be
informed of the use of Government Funds; consequently, it is
imperative that no company-sensitive information be included
in the SOW of the technical proposal.
ii. The following is offered as a recommended format for the
SOW. Begin this section on a new page. Start your SOW at
Paragraph 1.0. (Also see Appendix VII, SOW Outline)
1.0 Scope: This section includes a statement of what the
program covers. This should include the overall effort to be
advanced, objectives/goals and major milestones for the effort.
2.0 Requirements:
2.1 The work effort should be segregated into major tasks and
identified in separately numbered paragraphs (similar to the
numbered breakdown of these paragraphs). Each numbered
major task should delineate by subtask the work to be
performed, including any cost-sharing work and should be
sequentially numbered.
2.2 The offeror must identify all reviews (by milestone or task)
and when/where the reviews will be conducted.
2.3 The offeror must identify any and all hardware/software to
be delivered to the Government as a result of the program.
Any questions concerning the proposal, whether technical or
contractual in nature, shall be referred to the Contracting POCs
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denoted in the RFP.
g. Cost/Business Proposal Content and Form: The paragraphs below
identify specific content and form guidelines for cost/business
proposals.
(1) Separate the proposal into a business section and cost section.
Adequate price competition is anticipated under the FOA with Calls
portion, but is not anticipated under the Open FOA portion of this
Hybrid FOA.
(2) The business section should contain all business aspects to the
proposed agreement, such as type of assistance instrument, any
exceptions to terms and conditions of the announcement model
agreement, any information not technically related, etc. Provide
rationale for exceptions.
(3) Cost proposals including the cost proposal spreadsheet have no
page limitations; however, offerors are requested to keep cost
proposals to 25 pages as a goal. The following information must be
included in this volume:
i. The proposal shall be furnished with supporting schedules and
shall contain a person hour breakdown per task. The person
hour breakdown per task includes labor category, number of
hours, labor type being utilized (such as senior engineer, 1600
hours total, proposed at $20.00 hourly rate. The cost proposal
shall include a time-phased description of anticipated costs
over the entire effort (see Appendix IV). Time phasing shall be
shown at least quarterly with a preference for monthly
breakout.
ii. The costs shall be broken out by offeror and Government cost,
in both dollar amounts and percentages per cost element. If
the RFP provides the schedule of estimated Government
funding, the proposal shall show how the proposed plan is
compatible with the Government funding schedule. If it is not
compatible, the offeror shall explain how the incompatibility is
to be remedied.
iii. The Government will be determining the Cost Realism of your
proposal. To facilitate this, offerors are required to provide, as
a part of their Cost section, information determined as
necessary by the offeror to demonstrate/support the
submission of realistic costs for the technical effort proposed.
iv. Offerors must include in the cost section an analysis
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demonstrating and justifying the relationship between the cost
information submitted and the business and technical effort set
forth.
v. Direct labor, if proposed, shall include a breakout of the
number of labor hours for each proposed labor category and
indicate the basis for proposed rates (Forward Pricing Rate
Agreement (FPRA) or Recommendation (FPRR), an estimating
model, historical projections or some other reasonable method
for projecting costs. All costs proposed must be supported and
clearly described. Do not use internal cost codes that are
meaningless outside of your organization (such as labor
category 301). Instead, use meaningful labor descriptors such
as “Senior Material Scientist.”
vi. Travel, if proposed, shall include the number of trips,
travelers, days, destinations, necessity, and timeframe. Note
that proposed travel costs should also be included in the
appropriate area of the Cost Proposal Spreadsheet. Provide
the travel tool or method used to develop travel costs.
vii. The Material and Equipment cost element shall include a
breakdown of the types and quantities proposed and the basis
that was used to derive the cost estimate such as purchase
orders, vendor quotes, engineering judgment or historical data.
Basis data (purchase orders, vendor quotes, etc.) does
not count towards Cost Proposal page total. Note the
Material and Equipment cost elements should also be included
in the Cost Proposal spreadsheet.
viii. If proposed, the Prime Recipient shall address why the
proposed subrecipient or subcontractor is necessary for the
effort and how the price was determined reasonable. Proposed
subrecipient or subcontractor cost proposals shall be at the
same level of detail required for the prime recipient’s cost
proposal.
ix. The material solicited in this volume will facilitate the
Government's evaluation of price reasonableness and
determination of cost realism. The receipt of information from
offerors is more relevant to an analysis of resources proposed
for the technical program tendered than uncorrelated and
voluminous data (i.e., your analysis should address the specific
complexities of the work proposed and the rationale for the
specific resources required to complete the program).
x. The offeror shall also state in this section whether its
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accounting/financial systems have previously been audited by a
Government agency or independent auditor along with the date
of the audit.
xi. See Appendix V for Title III Funding Guidelines.
(4) Cost Proposal Spreadsheet: The cost proposal spreadsheet shall
provide complete details of the costs (including cost share portion)
associated with the entire proposed effort. The budget should be in
the offeror’s fiscal year.
The electronic submission of the Excel spreadsheet associated with
the Cost Proposal should be in a “useable condition” to aid the
Government with its evaluation. The term “useable condition”
indicates that the spreadsheet should visibly include and separately
identify within each appropriate cell any and all inputs, formulas,
calculations, etc. The term “useable condition” also indicates using
meaningful labor descriptors such as Senior Material Scientist. Do
not use internal cost codes which are meaningless outside of your
organization (such as labor category 301) and provide no common
knowledge description of the labor type nor cost being proposed. As
described above, offerors can find the Cost Proposal Spreadsheet in
Appendix IV. Use this format for your Government submission.
h. Proposal Content Summary: You may be ineligible for award if all
requirements of this solicitation are not met on the proposal due date.
V. Open FOA (Step Two) Proposal Review Information
Note: The Government will suspend white paper submission for project
areas identified in a Call and this will be stated in the Call Announcement. If
the Government receives a white paper tied to an active Call, the white paper
will not be reviewed.
Note: Offeror must provide proof of meeting the Domestic Source
requirement IAW DPA Law or the proposal will not be reviewed.
1. Proposal Evaluation Criteria:
a. Due to the unique nature of the DPA Title III authority and the
requirements of this project, more extensive technical evaluation
criteria will be used in the proposal evaluation and selection of
recipients for this award. The technical evaluation criteria utilize
DoDGARs 22.315 criteria as expanded to give consideration to the
unique Title III statutory requirements to create/expand domestic
industrial production capabilities to support national security needs.
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b. The selection of one or more sources for award will be based on an
evaluation of the recipient’s technical and cost proposals to determine
the overall merit of the proposal in response to the RFP, SOO and
funding availability.
c. The evaluation criteria are comprised of five factors ranked in
descending order of importance:
(1) Manufacturing Capability and Experience
(2) Quality of Technical Approach
(3) Business Viability
(4) Merchant Supplier Orientation
(5) Cost/Price
d. These criteria will be used to evaluate the proposal once it is
determined that the offeror has met all of the FOA Project
Requirements.
e. These five evaluation criteria factors will not change. However,
the details within each factor may be tailored for each RFP to reflect the
specific aspects of a Project topic area. Project specific evaluation
information will be included in the RFP.
f. Risk is to be assessed as part of each of the above criteria.
g. These criteria will be utilized for proposals resulting from the Open FOA
(Step Two) portion of this Hybrid FOA unless otherwise stated in the
RFP.
h. The offeror must provide proof of meeting the domestic source
requirement IAW DPA Law or the proposal will not be evaluated.
i. The evaluation criteria are expanded upon below:
(1) Manufacturing Capability and Experience – Proposals will be
evaluated on the recipient’s degree of capability and experience
in the RFP specified project topic area. Evidence may include, but
is not limited to, intellectual property, documented
manufacturing capability and experience, technical specifications
for existing devices, and dossiers of key personnel.
(2) Quality of Technical Approach – Proposals will be evaluated on
the recipient’s credibility and how reasonable their approach is
for establishing/expanding a production capability for the project
topic area, also to include whether the proposed approach
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identifies major technical risks and clearly defines feasible
mitigation efforts.
(3) Business Viability – Proposals will be evaluated on the recipient’s
business, technical and financial credibility, demonstrated
experience, willingness and a credible business plan to become
or remain a competitive, economically viable, responsive,
supplier of the project topic area for government and commercial
markets.
(4) Merchant Supplier Orientation – Proposals will be evaluated on
the extent to which the recipient demonstrates a commitment to
being, or explanation of resources to be employed in establishing
acceptance as, a merchant supplier for the project topic area.
(5) Cost/Price – Proposals will be evaluated on the realism of the
proposed cost, amount of recipient cost share, and consideration
of proposed budgets and funding profiles. Cost sharing, unless
waived, will be viewed favorably by the US Government in the
proposal evaluation process (which will indicate a strong
commitment to and self-interest in the success of the project).
Note: Criteria details within the five factors are subject to
change for each RFP.
VI. Open FOA (Step Two) Proposal Selection Information
1. Categories: Based on the evaluation, proposals will be categorized as
Selectable or Not Selectable (see definitions below). The selection of one
or more sources 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.
Note: The Government reserves the right to award some, all or none of
the proposals. When the Government elects to award only a part of a
proposal, the selected part may be categorized as Selectable, though the
proposal as a whole may not merit such a categorization.
Note: Prior to award of a potentially successful offer, the Agreements
Officer will make a determination regarding budget reasonableness.
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Note: Please refer to Section X. Award Administration Information
for additional information.
VII. FOA with Calls (One-Step Process)
1. Call Announcement Information (Also referred to as a Call):
a. Overview: As needed, Call announcements may be issued by the
Government in the official U.S. government website for federal awards
https://SAM.gov under FA8650-19-S-5010 at any time during the
effectivity of the FOA. Each Call will identify a project that fits within
the broad Topic Areas defined in Section I., Program Description. A Call
will request technical and cost proposals. A unique Statement of
Objectives (SOO) will be included with the Call. A Call will specify
proposal due date.
Proposals submitted for individual Calls shall be in accordance with this
announcement unless deviations are authorized in the Call.
For additional information, a copy of the Broad Agency Announcement
(BAA) Guide for Industry can be found at:
https://www.afrl.af.mil/Portals/90/Documents/HQ/BAA%20Ind%20Gui
de%202020.pdf?ver=7AivkWvoUoptKgypgCuIvw%3D%3D
This guide is specifically designed to assist the offeror in understanding
the BAA proposal process, similar to the FOA proposal process, for
which there is no guide.
b. Requirements:
Domestic Source Requirement: The proposal submitter must
provide proof of meeting the Domestic Source requirement IAW DPA
Law or the proposal will not be reviewed.
2. FOA with Calls (One-Step Process) Proposal Submission
Information:
a. General Instructions:
(1) Offerors shall submit a technical and cost proposal within 30
calendar days of a Call (unless otherwise stated in Call). After
receipt, proposals will be evaluated in accordance with the award
criteria stated below. Proposals will be categorized and potentially
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selected for negotiations. The Government intends to evaluate
proposals and award some, all or none of the proposals received
without negotiation/discussion; however, the Government reserves
the right to negotiate with those offeror(s) whose proposal is
selected for funding.
(2) Proposals must reference the announcement number FA8650-19-S-
5010; the Call, the relevant Topic Area (Sustainment of Critical
Production, Commercialization of Research and Development
Investments, or Scaling of Emerging Technologies); and, if
applicable, the project title.
3. FOA with Calls (One-Step Process) Proposal Content and Form:
The following is applicable:
Proposal Cover Page – SF 424 (R&R) Form: All proposals for
assistance submitted under this FOA must include an SF 424 (R&R)
(Application for Federal Assistance) as the cover page.
The SF424 (R&R) can be found at:
https://www.grants.gov/forms/forms-repository/r-r-family
To evaluate compliance with Title IX of the Education Amendments of
1972 (20 U.S.C. A§ 1681 Et. Seq.), the Department of Defense is
collecting certain demographic and career information to be able to
assess the success rates of women who are proposed for key roles in
applications in STEM disciplines, consequently a SF 424 Research &
Related Senior/Key Person Profile (Expanded) and a SF 424 Research &
Related Personal Data must also be submitted. The SF 424 (R&R) forms
should be downloaded from the “Application” box in the upper right
hand corner of the synopsis page. Click on “download” under the
column “Instructions and Application.” Select “Download Application
Package” and complete the SF 424 (R&R) forms.
For the SF 424 Research and Related Senior/Key Person Profile
(Expanded) form the Degree Type and Degree Year fields will be used
by DoD as the source for career information. In addition to the required
fields on the form, applicants must complete these two fields for all
individuals that are identified as having the project role of PD/Pl or Co-
PD/Pl. Additional senior/key persons can be added by selecting the
"Next Person" button. The Research and Related Personal Data form
will be used by DoD as the source of demographic information, such as
gender, race, ethnicity, and disability information for the Project
Director/Principal Investigator and all other persons identified as Co-
Project Director(s)/Co-Principal Investigator(s).
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Each application must include this form with the name fields of the
Project Director/Principal Investigator and any Co-Project
Director(s)/Co-Principal Investigator(s) completed; however, provision
of the demographic information in the form is voluntary. If completing
the form for multiple individuals, each Co-Project Director/Co-Principal
Investigator can be added by selecting the "Next Person" button. The
demographic information, if provided, will be used for statistical
purposes only and will not be made available to merit reviewers.
Applicants who do not wish to provide some or all of the information
should check or select the "Do not wish to provide" option.
As noted above, the SF424 (R&R) can be found at:
https://www.grants.gov/forms/forms-repository/r-r-family
a. Table of Contents: Include a Table of Contents immediately following
the cover. Neither will not count toward the page limit.
b. Domestic Source Proof: Include proof of domestic source. This will
not count toward the page limit.
c. Certifications: All proposals for assistance must include the requisite
certifications. To access the requisite Certifications, select the
“Application” box in upper right hand corner of the synopsis page. Click
on “Instructions and Application” and select “Download Application
Instructions” to view the Certifications. To complete the Certifications
you must check Block 18 of the SF 424 (R&R), and by signing and
submitting it, you are certifying that you have read and agree to abide
by the terms in the Certifications. Also, you must complete and submit
with your proposal, Appendix I, Title III Certifications and
Representations and complete the Financial Assistance Certification and
Representation Report via the SAM.gov website. SAM.gov is the central
repository for common Government-wide financial assistance
certifications and representations. The Financial Assistance
Certifications Report is an attestation that the entity will abide by the
requirements of the various laws and regulations; therefore, as
applicable, you are required to submit any documentation, including
the SF LLL Disclosure of Lobbying Activities (if applicable), and
informing DoD of unpaid delinquent tax liability or a felony conviction
under any Federal law. Please ensure that your Entity Registration
includes “Assistance Certification”. Feel free to contact the
Contracting/Agreements POCs on page 7 above, or reach out to the
Federal Service Desk through the SAM website with any questions
during the process.
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Certification Regarding Disclosure of Funding Sources (Supplement to
SF424 (R&R), block 17, Financial Assistance Certifications and
Representations): By checking "I Agree" on the SF 424 (R&R) block 17
you agree to abide by the following statement: "By signing this
application, I certify the proposing entity is in compliance with Section
223(a) of the William M. (Mac) Thornberry National Defense
Authorization Act for Fiscal Year 2021 which requires that: (a) the PI
and other key personnel certify that the current and pending support
provided on the proposal is current, accurate and complete; (B) agree
to update such disclosure at the request of the agency prior to the
award of support and at any subsequent time the agency determines
appropriate during the term of the award; and (c) the PI and other key
personnel have been made aware of the requirements under Section
223(a)(1) of this Act. I am aware that any false, fictitious, or fraudulent
statements or claims may subject me to criminal, civil, or
administrative penalties. (U.S. code, Title 218, Section 1001).
d. Proposal Submission: Offerors must submit one original copy of
their proposal via DoD SAFE at https://safe.apps.mil/. In order to
submit via DoD SAFE, please email the Contracting/Agreements POCs
provided in the RFP to request a “Drop Off” invite. The
Contracting/Agreements POC will in turn send the DoD SAFE invite via
email for you to submit the electronic proposal. NOTE: No proposals
sent by fax, Grants.gov online submission, or physical mail will be
accepted.
e. Proposal Instructions and Reminders: The paragraphs below
identify general instructions and reminders for proposal submission.
(1) General Instructions: Offerors should apply the restrictive notice
prescribed in the provision of DoDGARs 37.420. Also, Disclosure of
Information will be in accordance with DoDGARs 37.420.
i. At minimum, proposals shall include the following documents:
a. SF 424 (R&R), Table of Contents, Domestic Source
Proof, Title III Certifications, Technical Management
Proposal, Statement of Work (SOW), Summary Business
Plan, Cost/Business Proposal, and Supporting
Documentation of Cost Proposal
ii. Technical/Management and Cost/Business volumes should be
submitted in separate volumes and must be valid for 180
days.
iii. Proposals must reference the announcement number FA8650-
19-S-5010, Topic Area, Call number and project title.
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iv. Technical/Management proposals and Statements of Work
must be provided in Microsoft WORD.
v. The cost file(s) spreadsheets must be in Microsoft Excel and
include the formulas for calculating cost element bases (i.e.,
G&A, O/H, etc.). Offerors shall use the attached Sample
Cost Proposal Spreadsheet, attached as Appendix IV.
(2) Other Reminders:
i. Offerors are advised that only Agreement Officers are legally
authorized to contractually bind or otherwise commit the
Government.
ii. The cost of preparing proposals in response to this FOA is not
considered an allowable direct charge to any resulting or any
other agreement/contact; however, it may be an allowable
expense to the normal bid and proposal indirect cost as
specified in DoDGARs 34.17.
iii. No classified technical proposals or cost volumes are expected.
Offerors are encouraged to keep all elements of the proposal
package unclassified. In the rare case where an offeror has a
need to submit a classified appendix, please contact the
technical POC listed in Call to identify the need for classified
submission and for delivery instructions.
f. Technical/Management Proposal Content and Form: The
paragraphs below identify specific content and form guidelines for
technical/management proposals.
(1) Page Limitations: The following describes the page limitations on
the proposal submittal:
i. Technical Discussion: TBD in Call (typically up to 75 pages)
ii. Summary Business Plan: TBD in Call (typically up to 25 pages)
iii. Statement of Work: TBD in Call (not included in tech
discussion page count)
iv. Tech Proposal Total: TBD in Call (Typically up to 100 pages)
Note 1: The Cost Proposal requirements are provided later in
this announcement.
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Note 2: The table of contents, cover page and domestic
source proof will not be included in the page count referenced
above.
(2) Proposal shall be limited to number of pages as stated in
Call, prepared and submitted in Microsoft Word format.
Signed pages may be submitted in Adobe form.
i. Font shall be standard 11-point business font Arial.
ii. Character spacing must be “normal,” not condensed in any
manner.
iii. Pages shall be double-spaced (must use standard double-space
function in Microsoft Word), 8.5 by 11 inches, with at least
one-inch margins on both sides, top and bottom.
iv. All text, including text in tables and charts, must adhere to all
font size and line spacing requirements listed herein. Font and
line spacing requirements do not have to be followed for
illustrations, flowcharts, drawings and diagrams. These
exceptions shall not be used to circumvent formatting
requirements and page count limitations by including lengthy
narratives in such items.
v. Pages shall be numbered starting with the first page after the
cover page, table of contents and domestic source proof and
the last page being no greater than page number stated. The
page limitation covers all information including indices,
photographs, foldouts (counted as 1 page for each 8.5 by 11
portion) tables, charts, appendices, attachments, resumes, etc.
vi. The proposal page limit does not include the offeror’s proposed
Statement of Work (SOW); however, the same formatting rules
apply to the SOW.
vii. Please note, the Government will check the proposal and
SOW for conformance to the stated requirements. Any
pages in excess of the stated page limitation after the
format check will not be considered.
(3) Technical Discussion and Information: The proposal shall
include a discussion of the nature and scope of the work as well as
the technical approach. Additional information on prior work in this
area, descriptions of available equipment, data and facilities and
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resumes of personnel who will be participating in this effort should
also be included as attachments to the technical proposal.
i. DPA Title III Criteria: Proposals should identify how the project
addresses each of the DPA Title III Criteria: the industrial
resource, material or critical technology item is essential to
national defense; without Presidential action, United States
industry cannot reasonably be expected to provide the
capability for the needed industrial resource, material, or
critical technology item in a timely manner; and purchases,
purchase commitments, or other action pursuant to this section
are the most cost effective, expedient, and practical method for
meeting the need.
ii. Key Performance Parameters (KPPs): Recipients, as part of
their response to a Call, will propose a minimum of eight Key
Performance Parameters (KPPs or Achievement Targets) – two
each for manufacturing, product performance, financial and
marketing. KPPs are established for threshold (baseline or
minimum) and objective (target or stretch) goals. Progress on
performance of target goals will be monitored and documented
on a quarterly basis. A contractor business analyst (Advisory
and Assistance Service Contractor) will be assigned to monitor
business and marketing planning and performance.
iii. The technical proposal shall address the following evaluation
criteria: Manufacturing Capability and Experience, Quality of
Technical Approach, Business Viability, and Merchant Supplier
Orientation.
iv. In support of evaluation criterion Manufacturing Capability and
Experience, evidence may include, but is not limited to,
existing component testing, demonstrations, and/or
qualification efforts, existing manufacturing capability,
intellectual property, technical specifications for existing
components, and dossiers of key personnel.
v. In support of evaluation criterion Quality of Technical
Approach, evidence may include, but is not limited to: high
value component product/production road maps including
product qualification plans, value stream maps, equipment
specifications, production flow diagrams, process operation
plans, and quality control plans (test and inspection plans).
vi. The proposal should convey an understanding of the industrial
base shortfall relevant to the Call and a summary of the
production issues addressed by the offeror’s submission.
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vii. Include an explanation of what will be achieved, how it will be
achieved, and what end state/solution the effort will produce.
viii. Ensure merchant supplier orientation is addressed.
ix. This volume shall include a SOW detailing the technical tasks
proposed to be accomplished under the proposed effort and
suitable for incorporation into the Agreement. Do not include
any proprietary information in the SOW. Refer to the BAA
Guide for Industry referenced above to assist in SOW
preparation.
x. Any questions concerning the technical proposal or SOW
preparation shall be referred to the Contracting POCs cited in
the Call.
(4) Technical Approach:
i. Background/Scope/Program Objectives: The technical proposal
must convey an understanding of the problems or limitations of
the current state of the technology and the intended
application(s). It should be an overall summary of the
production technology issues addressed by the offeror’s
proposal without merely repeating the requirements. This
should provide a vision of what will ultimately be achieved, how
it will be achieved, and what solution this effort will produce.
ii. Program Plan: The program plan should present an orderly
progression of the technical and management efforts to be
performed. Upper and lower bounds should be placed on what
will be attempted or completed within the confines of program
funding. Some redundancy is inevitable, but should be used
judiciously to stress key points.
iii. Technical Discussion: In this section, the offeror should
provide technical detail and analysis necessary to support the
technical approach they are proposing. They must clearly
identify the core of the intended approach. If the offeror has a
“new and creative” solution to the production technology
goal(s), that solution should be developed and analyzed in this
section. The proposal should include a risk assessment of key
technical, schedule or cost areas and their potential impact on
the program. If subrecipients are proposed, identify why they
were selected and what tasks they are to perform. The offeror
shall reference/acknowledge the acceptability of all
specified/applicable data items in the list of deliverables that
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were identified in the Statement of Objectives.
iv. Appendix: Appendices may include technical reports, published
papers and referenced material in support of the offeror’s
proposal. Commercial product advertising brochures may also
be provided. Please be aware that these items will be included
in the proposal page limitation.
v. Technical Data: Identify any technical data that will be
delivered with less than unlimited rights.
vi. Program Schedule: The schedule represents the offeror’s plan
to perform the program tasks in an orderly, timely manner.
Provide each major task identified in the SOW as a separate
line on the program schedule chart. Provide a schedule of when
all deliverables identified in the announcement are to be
delivered. The period of performance shall be proposed in the
format example of timeframes. i.e. “includes forty (40) months
for technical effort and three (3) months for Final Report.”
(5) Capabilities and Relevant Experience:
i. Identify related Government, commercial, previous or related
production efforts.
ii. Identify facilities/resources proposed for the effort.
iii. Identify and provide resumes of all key personnel (include key
subrecipient/consultant personnel).
iv. Identify how the offeror fits into the current manufacturing
ecosystem relevant to this Call. Identify if they are captive or
merchant supplier, whom they supply to, what suppliers are
being relied on, and what programs are reliant on their
manufacturing capabilities.
(6) Management:
i. Program Organization: Identify the program organization.
Organizational charts may be helpful in showing the structure
of the program.
ii. Management Approach: Identify management approach to
ensure contract is meeting programmatic cost, schedule and
performance goals. This should include an issue and risk
tracking system/methodology.
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(7) Summary Business Plan:
The offeror will describe how their production capability
developed or expanded under the project will achieve and
maintain long-term economic viability. The plan identifies
target customers (both military and commercial), specific
targeted military systems (where information is available),
manufacturing metrics over time (e.g. manufacturing line
utilization rates, expected demand, demand break even points,
target fixed and variable costs), potential areas for growth and
corporate capital reinvestment plan to ensure equipment is
maintained and upgraded. Financial information required in
Appendix III, Summary Business Plan Outline, must be
provided. It should be noted by all offerors that a Summary
Business Plan must be submitted with the proposal. The
Business Plan supports the “Business Viability” evaluation
criterion. A sample outline for the Summary Business Plan
appears in Appendix III of this FOA. Length is not to exceed 25
pages. Note: The Summary Business Plan is not the same as
the Strategic Business Plan that is a required annual
deliverable item after award.
(8) Project Requirements: See Section I. Program Description, 1.
Project Topic Areas with specifics provided in Call.
(9) Offeror's Statement of Work (SOW):
i. The SOW developed by the offeror and included in the proposal
may be incorporated into a binding instrument. The SOW
should build upon the requirements of the Government’s SOO
(Statement of Objectives) (attached to Call). The proposed
SOW must contain a summary description of the technical
methodology as well as the task description, but not in so
much detail as to make the award instrument inflexible. Do not
include any proprietary information in the SOW. The
Government requires a SOW that is fully releasable under the
Freedom of Information Act to allow the public to be informed
of the use of Government Funds; consequently, it is imperative
that no company-sensitive information be included in the SOW
of the technical proposal.
ii. The following is offered as a recommended format for the
SOW. Begin this section on a new page. Start your SOW at
Paragraph 1.0. (Also see Appendix VII, SOW Outline)
1.0 Scope: This section includes a statement of what the
program covers. This should include the overall effort to be
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advanced or capacitized, objectives/goals and major milestones
for the effort.
2.0 Requirements:
2.1 The work effort should be segregated into major tasks and
identified in separately numbered paragraphs (similar to the
numbered breakdown of these paragraphs). Each numbered
major task should delineate by subtask the work to be
performed, including any cost-sharing work and should be
sequentially numbered.
2.2 The offeror must identify all reviews (by milestone or task)
and when/where the reviews will be conducted.
2.3 The offeror must identify any and all hardware/software to
be delivered to the Government as a result of the program.
Any questions concerning the proposal, whether technical or
contractual in nature, shall be referred to the Contracting POCs
denoted in the Call.
g. Cost/Business Proposal: The paragraphs below identify specific
content and form guidelines for cost/business proposals.
(1) Separate the proposal into a business section and cost section.
Adequate price competition is anticipated under the FOA with Calls
portion, but is not anticipated under the Open FOA portion of this
Hybrid FOA.
(2) The business section should contain all business aspects to the
proposed agreement, such as type of assistance instrument, any
exceptions to terms and conditions of the announcement model
agreement, any information not technically related, etc. Provide
rationale for exceptions.
(3) Cost proposals including the cost proposal spreadsheet have no
page limitations; however, offerors are requested to keep cost
proposals to 25 pages as a goal. The following information must be
included in this volume:
i. The proposal shall be furnished with supporting schedules and
shall contain a person hour breakdown per task. The person
hour breakdown per task includes labor category, number of
hours, labor type being utilized (such as senior engineer, 1600
hours total, proposed at $20.00 hourly rate. The cost proposal
shall include a time-phased description of anticipated costs
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over the entire effort (see Appendix IV). Time phasing shall be
shown at least quarterly with a preference for monthly
breakout.
ii. The costs shall be broken out by offeror and Government cost,
in both dollar amounts and percentages per cost element. If
the FOA Call provides the schedule of estimated Government
funding, the proposal shall show how the proposed plan is
compatible with the Government funding schedule. If it is not
compatible, the offeror shall explain how the incompatibility is
to be remedied.
iii. The Government will be determining the Cost Realism of your
proposal. To facilitate this, offerors are required to provide, as
a part of their Cost section, information determined as
necessary by the offeror to demonstrate/support the
submission of realistic costs for the technical effort proposed.
iv. Offerors must include in the cost section an analysis
demonstrating and justifying the relationship between the cost
information submitted and the business and technical effort set
forth.
v. Direct labor, if proposed, shall include a breakout of the
number of labor hours for each proposed labor category and
indicate the basis for proposed rates (Forward Pricing Rate
Agreement (FPRA) or Recommendation (FPRR), an estimating
model, historical projections or some other reasonable method
for projecting costs. All costs proposed must be supported and
clearly described. Do not use internal cost codes that are
meaningless outside of your organization (such as labor
category 301). Instead, use meaningful labor descriptors such
as “Senior Material Scientist.”
vi. Travel, if proposed, shall include the number of trips,
travelers, days, destinations, necessity and timeframe. Note
that proposed travel costs should also be included in the
appropriate area of the Cost Proposal Spreadsheet. Provide
the travel tool or method used to develop travel costs.
vii. The Material and Equipment cost element shall include a
breakdown of the types and quantities proposed and the basis
that was used to derive the cost estimate such as purchase
orders, vendor quotes, engineering judgment or historical data.
Basis data (purchase orders, vendor quotes, etc.) does
not count towards Cost Proposal page total. Note the
Material and Equipment cost elements should also be included
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in the Cost Proposal spreadsheet.
viii. If proposed, the Prime Recipient shall address why the proposed
Subrecipient or Subcontractor is necessary for the effort and
how the price was determined reasonable. Proposed
Subrecipient or Subcontractor cost proposals shall be at the
same level of detail required for the prime recipient’s cost
proposal.
ix. The material solicited in this volume will facilitate the
Government's evaluation of price reasonableness and
determination of cost realism. The receipt of information from
offerors is more relevant to an analysis of resources proposed
for the technical program tendered than uncorrelated and
voluminous data (i.e., your analysis should address the specific
complexities of the work proposed and the rationale for the
specific resources required to complete the program).
x. The offeror shall also state in this section whether its
accounting/financial systems have previously been audited by a
Government agency or independent auditor along with the date
of the audit.
xi. See Appendix V for Title III Funding Guidelines.
(4) Cost Proposal Spreadsheet: The cost proposal spreadsheet shall
provide complete details of the costs (including cost share portion)
associated with the entire proposed effort. The budget should be in
the offeror’s fiscal year.
The electronic submission of the Excel spreadsheet associated with
the Cost Proposal should be in a “useable condition” to aid the
Government with its evaluation. The term “useable condition”
indicates that the spreadsheet should visibly include and separately
identify within each appropriate cell any and all inputs, formulas,
calculations, etc. The term “useable condition” also indicates using
meaningful labor descriptors such as Senior Material Scientist. Do
not use internal cost codes which are meaningless outside of your
organization (such as labor category 301) and provide no common
knowledge description of the labor type nor cost being proposed. As
described above, offerors can find the Cost Proposal Spreadsheet in
Appendix IV. Use this format for your Government submission.
h. Proposal Content Summary: You may be ineligible for award if all
requirements of this solicitation are not met on the proposal due date.
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VIII. FOA with Calls (One-Step Process) Proposal
Review Information
Note: The Government will suspend white paper submission for project
areas identified in the Call. This will be stated in the Call Announcement. If
the Government receives a white paper tied to an active Call, the white paper
will not be reviewed.
Note: Offeror must provide proof of meeting the Domestic Source
requirement IAW DPA Law or the proposal will not be reviewed.
1. Proposal Evaluation Criteria:
a. Because of the unique nature of the DPA Title III authority and the
requirements of this project, more extensive technical evaluation
criteria will be used in the proposal evaluation and selection of
recipients for this award. The technical evaluation criteria utilize
DoDGARs 22.315 criteria as expanded to give consideration to the
unique Title III statutory requirements to create/expand domestic
industrial production capabilities to support national security needs.
b. The selection of one or more sources for award will be based on an
evaluation of the recipient’s technical and cost proposals to determine
the overall merit of the proposal in response to the Call, SOO and
funding availability.
c. The evaluation criteria are comprised of five factors ranked in
descending order of importance:
(1) Manufacturing Capability and Experience
(2) Quality of Technical Approach
(3) Business Viability
(4) Merchant Supplier Orientation
(5) Cost/Price
d. These criteria will be used to evaluate the proposal once it is
determined that the offeror has met all of the FOA Project
Requirements.
e. These five evaluation criteria factors will not change. However,
the details within each factor may be tailored for each Call to reflect the
specific aspects of a Project topic area. Project specific evaluation
information will be included in the Call.
f. Risk is to be assessed as part of each of the above criteria.
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g. These criteria will be utilized for the FOA with Calls (One-Step Process)
portion of this Hybrid FOA unless otherwise stated in the Call.
h. The offeror must provide proof of meeting the domestic source
requirement IAW DPA Law or the proposal will not be evaluated.
i. The evaluation criteria are expanded upon below:
(1) Manufacturing Capability and Experience – Proposals will be
evaluated on the recipient’s degree of capability and experience
in the Call specified project topic area. Evidence may include, but
is not limited to, intellectual property, documented
manufacturing capability and experience, technical specifications
for existing devices, and dossiers of key personnel.
(2) Quality of Technical Approach – Proposals will be evaluated on
the recipient’s credibility and how reasonable their approach is
for establishing/expanding a production capability for the project
topic area, also to include whether the proposed approach
identifies major technical risks and clearly defines feasible
mitigation efforts.
(3) Business Viability – Proposals will be evaluated on the recipient’s
business, technical and financial credibility, demonstrated
experience, willingness and a credible business plan to become
or remain a competitive, economically viable, responsive,
supplier of the project topic area for government and commercial
markets.
(4) Merchant Supplier Orientation – Proposals will be evaluated on
the extent to which the recipient demonstrates a commitment to
being, or explanation of resources to be employed in establishing
acceptance as, a merchant supplier for the project topic area.
(5) Cost/Price – Proposals will be evaluated on the realism of the
proposed cost, amount of recipient cost share, and consideration
of proposed budgets and funding profiles. Cost sharing, unless
waived, will be viewed favorably by the US Government in the
proposal evaluation process (which will indicate a strong
commitment to and self-interest in the success of the project).
Note: Criteria details within the five factors are subject to
change for each Call.
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IX. FOA with Calls (One-Step Process) Proposal Selection
Information
1. Categories: Based on the evaluation, proposals will be categorized as
Selectable or Not Selectable (see definitions below). The selection of one
or more sources 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.
Note: The Government reserves the right to award some, all or none of
the proposals. When the Government elects to award only a part of a
proposal, the selected part may be categorized as Selectable, though the
proposal as a whole may not merit such a categorization.
Note: Prior to award of a potentially successful offer, the Agreements
Officer will make a determination regarding budget reasonableness.
Note: Please continue reading Section X. Award Administration
Information for additional information.
X. Award Administration Information (Applies to BOTH
Open FOA (Second Step-Proposal Submission) and
FOA with Calls)
1. Award Notices: Offerors will be notified whether their proposal is
recommended for award, by letter or e-mail. The notification is not to be
construed to mean the award of an agreement is assured, as availability of
funds and successful negotiations are prerequisites to any award.
2. Administrative and National Policy Requirements: See Section I.
3. Support contractors: Only Government employees will evaluate
proposals for selection. Offerors are advised that employees of commercial
firms under contract to the Government may be used to administratively
process proposals, monitor recipient performance, or perform other
administrative duties requiring access to other contractors’/recipients'
proprietary information. These support contracts include nondisclosure
agreements prohibiting their employees from disclosing any information
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submitted by the offerors or using such information for any purpose other
than that for which it was furnished.
Any additional support contractors for this program or Call topic area will
be identified through a FOA amendment or identified on individual Calls or
RFPs.
Below are the contractor(s) that is supporting this program:
Northrop Grumman Corporation
Technology Services Sector
Global Logistics and Modernization Div.
4065 Colonel Glenn Highway
Beavercreek, OH 45431
Offerors are also advised that for white papers and proposals that are
specifically related to the topic of the space industrial base, the
Government will utilize Space Industrial Base Contractor support to
complete these evaluations.
Below are the Space Industrial Base Contractors supporting this program:
Aerospace (FFRDC)
2310 E. El Segundo Blvd
El Segundo, CA 90009
14745 Lee Road
Chantilly, VA 20151
5030 Bradford Dr. NW
Building 1, Suite 220
Huntsville, AL 35805
MITRE (FFRDC)
4501 Daly Dr #400
Chantilly, VA 20151
SAIC (SETA)
14672 Lee Road
Chantilly, VA 20151
FTS International, LLC (SETA)
14151 Newbrook Dr.
Suite 150
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Chantilly, VA 20151
Arcfield (SETA)
14295 Park Meadow Dr.
Chantilly, VA 20151
Mach-20
Defense and Space Manufacturing
303 Aspen Place
Alexandria, VA 22305
Willowbrook Solutions
Defense and Space Manufacturing
4815 Bradford Drive
Huntsville, AL 35805
Canvas, Inc.
Defense and Space Manufacturing
203 Greene St. SE
Unit B
Huntsville, AL 35801
4. Informal Feedback Sessions: When requested, an informal feedback
session for a proposal will be provided. The process will follow the time
guidelines outlined in the notification letter. Informal feedback session is
not provided for white paper submissions.
5. Wide Area Work Flow: NOTICE: Any agreement resulting from this
solicitation will contain the Article 4.02—Payment Reimbursement, which
allows electronic submission of all payment requests. The Department of
Defense is adopting Wide Area Work Flow-Receipt and Acceptance (WAWF-
RA). Any agreement resulting from this solicitation will allow use of WAWF-
RA for invoicing and receipt/acceptance, and provide coding instructions
applicable to this agreement. Offerors are encouraged to take advantage
of available training (both web-based and through your local DCMA office),
and to register in the WAWF-RA system. Information regarding WAWF-RA,
including the web-based training and registration, can be found at:
https://piee.eb.mil/
6. Forward Pricing Rate Agreements: Offerors who have Forward Pricing
Rate Agreements (FPRAs) and Forward Pricing Rate Recommendations
(FPRRs) shall submit them with their proposal.
7. Reporting Executive Compensation and First-Tier Sub-
contract/Sub: Any grant or agreement award resulting from this
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announcement may contain the award term set forth in 2 CFR, Appendix A
to Part 170.
https://www.ecfr.gov/current/title-2/subtitle-A/chapter-I/part-
170/appendix-Appendix%20A%20to%20Part%20170
8. Contractor (Recipient) Business Systems: Financial Management
Systems: IAW 32 CFR 34.11 and 32 CFR 37.615, is hereby incorporated
by reference.
9. Ombudsman: The Ombudsman Article 5.01 entitled “Ombudsman” shall
be contained in any Agreement resulting from this Solicitation. The AFRL
Ombudsman is the Director of Contracting, AFRL/PK, with the Deputy
Director of Contracting, AFRL/PK, as the Alternate Ombudsman. Either can
be contacted by mail at 1864 Fourth St., Wright-Patterson AFB, OH 45433-
7130; by phone at (937) 904-9700; or, by email at
AFRL.PK.OfficeAccount@us.af.mil.
10.White Paper/Proposal/Call Reminders: You may be ineligible for
award if all requirements of this solicitation are not met on the proposal
due date.
a. White papers and proposals are due IAW the FOA instructions.
b. White papers and proposals are due no later than the due date and
time specified in Call/RFP.
c. White paper and proposal page limits are strictly enforced. See Call/RFP
for page limits.
d. Completed Title III Certifications and Representations are due with the
proposal. Certifications & Representations can be found at Appendix I.
e. The Cost/Business Proposal must contain all information described in
the Proposal Content and Form section.
f. For any subrecipients proposed, the Cost/Business Proposal must
contain a subrecipient quote/analysis.
g. The Cost/Business Proposal must contain any exceptions to the sample
Model Agreement Terms and Conditions. (See Appendix II for sample
TIA). However, be advised that the document awarded may include
articles in addition to those in the sample, and/or articles in the sample
may be deleted, depending on the specific circumstances of the
individual program. Any additions or deletions will be discussed with
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