DEPARTMENT OF THE AIR FORCE - AFWERX



DEPARTMENT OF THE AIR FORCESMALL BUSINESS INNOVATION RESEARCH (SBIR) PROGRAMSpecial TopicsPhase I TemplateVersion Updated: 09 August 2019*Please note that this Template is Notional and meant only as a guide, be sure to follow the instructions as described in the official BAA/CSO for the topic you are applying for**This template is specifically designed for the USAF ‘Special Topics’, and is not intended for use for any other component, phase or topicOVERVIEWA complete proposal consists of: RegistrationDUNS NumberSystem for Award Management (SAM) (CAGE Code)Small Business Association IDDoD SBIR/STTR IDVolume 1: Proposal Cover Sheet Basic Information (CAGE, DUNS)Certification QuestionsBusiness InformationProposal InformationContact InformationVolume 2: Technical Volume 5 Page White Paper2.1.1.Identification of Problem or Opportunity2.1.2.Phase I Technical Objectives2.1.3.Phase I Work Plan Outline (including sub-contractors)2.1.4.Related Work2.1.5.Relationship with Future R&D2.1.mercialization Strategy2.1.7.Key Personnel (listed)2.1.8.Facilities/EquipmentVolume 3: Cost VolumeDirect Labor CostsDirect Material CostsOther Direct CostsVolume 4: Company Commercialization Report Volume 5: Supporting Documents15 Page Slide Deck(recommended template at )Coversheet SupplementSupplemental Cost InformationResumes of Key PersonnelNon-Proprietary Work PlanTechnical Data AssertionsStand-Alone Section K (Signed)DoD Funding Agreement Certification (Signed)Volume 6: Fraud, Waste and Abuse TrainingRegistrationThis part can be a bit of a hassle, but is necessary for you to get paid, and most of these don’t take very long. For more information on why you need to register, look here: DUNS NumberMy DUNS Number is: ________(If you have not registered at Dun and Bradstreet and received a DUNS number, register here: ) System for Award Management (SAM) (CAGE Code)My CAGE Code is: ________(If you have not registered in SAM and received a CAGE code yet, register here: ) Small Business Association IDMy SBA SBC ID Number is _______(If you have not registered with the Small Business Association (SBA) and received your ‘Small Business Concern’ (SBC) Identification (ID) number, register here: ) DoD SBIR/STTR IDMy SBA SBC ID Number is _______(If you have not registered with the Small Business Association (SBA) and received your ‘Small Business Concern’ (SBC) Identification (ID) number, register here: ) Volume 1: Proposal Cover Sheet All of this information will be filled out online on the website. For a step-by-step walkthrough with pictures, please visit here: Basic Information (CAGE, DUNS)Proposal Number: Keep track of this numberComponent: AIR FORCETopic Number: AF193-001 (or whatever topic you are applying to)Proposal Title: Be descriptive in your title, do NOT just leave this as the defaultFIRM INFORMATION Firm Name: Be sure this address matches your informationAddress: Be sure this address matches your information Website: Be sure this address matches your informationDUNS: Be sure this address matches your informationCAGE: Be sure this address matches your informationSBA SBC ID: Include this number from your registrationsCertification QuestionsIn this section, you will be asked a bunch of questions to determine your eligibility for applying to SBIR, they are designed to weed out companies who don’t fit the eligibility criteria. For this reason, if you answer some of these questions certain ways, your proposal may become ineligible. For the SBIR Phase Is, here are the questions, the questions that are potentially disqualifying are highlighted in Yellow.Do you allow for the release of contact information to Economic Development Organizations? Either answer is awardable**Are you a small business as described in section 3.15 of the solicitation, with no more than 500 employees including affiliates?If your firm is NOT an eligible small business, your proposal will be disqualified.**Does your business concern meet the ownership and control requirements in 13 CFR 121.702?If your firm does NOT meet the ownership and control requirements, your proposal will be disqualified.**Is 50% or more of your firm owned or managed by a corporate entity?If YES, and the corporate entity is also a small business as described in section 3.15, please include in this section a description of your corporate relationship, including any other affiliates of the owning corporate entity.If your firm is 50% or more owned or managed by a corporate entity that is not a small business, your proposal will be disqualified.**At a minimum, will two-thirds of the research and/or analytical work in Phase I be carried out by your small business as described in section 4.2 of the solicitation?If your firm will NOT perform at least 2/3 of the research and/or analytical work, your proposal will be disqualified.**Is primary employment of the principal investigator with your firm as described in section 4.2 of the solicitation?If primary employment of the Principal Investigator for this project is NOT with your firm, your proposal will be disqualified.**Has your firm been convicted of a fraud-related crime involving SBIR and/or STTR funds or found civilly liable for a fraud-related violation involving Federal funds?If your firm has been convicted of a fraud-related crime involved SBIR and/or STTR funds, your proposal will be disqualified.**Has your firm’s Principal Investigator (PI) or Corporate Official (CO), or owner been convicted of a fraud-related crime involving SBIR and/or STTR funds or found civilly liable for a fraud-related violation involving Federal funds? If your Principal Investigator or Corporate Official has been convicted of a fraud-related crime involved SBIR and/or STTR funds, your proposal will be disqualified.Has your firm met the performance benchmarks in section 3.1 of the solicitation and listed by the SBA on their website as eligible to participate? Either answer is awardable.**Is your firm registered in the SBA's venture capital database as majority-owned by venture capital operating companies, hedge funds, or private equity firms?If your firm is majority-owned by venture capital operating companies, hedge funds, or private equity firms, your proposal will be disqualified from the Air Force Special Topic. **Is your firm more than 50% owned by a single Venture Capital Owned Company (VCOC), hedge fund, or private equity firm?If your firm is more than 50% owned by a single venture capital operating company, hedge fund, or private equity firm, your proposal will be disqualified.**Is your firm more than 50% owned by multiple business concerns that are VCOCs, hedge funds, or private equity firms? If your firm is more than 50% owned by multiple venture capital operating companies, hedge funds, or private equity firms, your proposal will be disqualified.Business Information**Number of employees including all affiliates (average for preceding 12 months):If your firm and affiliates have employed, on average over the last 12 months, more than 500 employees, your proposal will be disqualified.Is your firm affiliated as set forth in 13 CFR 121.103? If yes, then please describe your affiliations as described here: As defined by SBA: Are you a socially or economically disadvantaged small business? - Either answer is awardable.Are you a Woman-Owned small business (WOSB)? - Either answer is awardable.Are you a certified HUBZone small business concern? - Either answer is awardable.Are you a Service-Disabled Veteran-Owned small business (SDVOSB)? - Either answer is awardable.Has the Defense Contracting Audit Agency (DCAA) or other agreed upon agency, performed a review of your accounts or records in connection with government contracts or subcontracts within the past 12 months?Either answer is awardable.Proposal InformationProposed Base Cost: When inputting this information, be sure that it lines up later on with your Cost Volume. In general, we recommend inputting this information after completing your Cost Volume. For Special Topic Phase Is, this is almost always <$50,000.Base Duration: For special topic Phase Is, this is almost always 3 months.**Does the proposed cost include Technical and Business Assistance (TABA)? The Air Force Special Topics do not allow for TABA, therefore if you are applying for TABA, your proposal will be ineligible.Has a proposal for essentially equivalent work been submitted to other US government agencies or DOD components?If the answer to this question is yes, you must include the requested information in the Coversheet Supplement.**Has a contract been awarded for any of the proposals listed above?If your firm has been awarded a contract from the US Government for essentially equivalent work, your proposal will be disqualified. Are you submitting assertions in accordance with DFARS 252.227-7017 "Identification and assertions use, release, or disclosure restriction"? If the answer to this question is yes, you must include the requested information in the Supporting Documents.Are you proposing research that utilizes human/animal subjects or recombinant DNA as described in section 3.11,3.12, and 3.13 of the solicitation? **IN GENERAL THIS DOES NOT APPLY DURING THE SPECIAL TOPIC PHASE 1 FEASIBILITY STUDY**If your firm does intend to perform research involving 1) human subjects, 2) animal subjects, or 3) recombinant DNA molecules, please reply directly to this e-mail with the following attachments: For 1) please provide a current Federal Assurance of Compliance with Federal regulation for human subject protection and evidence of completed appropriate training in human subject protection for all involved personnel from your firm; for 2) documentation verifying review and approval for the research from the Institutional Animal Care and Use Committee; and for 3) evidence of approval by the Institutional Biosafety Committee. If the required documentation is not included in the proposal, the proposal will be disqualified.Technical Abstract: This should describe your technical solution. Do NOT include any proprietary or confidential information. This abstract will likely be released to the publicAnticipated Benefits/Potential Commercial Applications: In this section we recommend splitting it out into two sections:DEFENSE BENEFITS: Describe how your solution will help a *specific* Air Force End-User. Do not simply say “My invention will help ‘The Air Force’”; instead say something like “My invention will help SSgt Nichols, who is a maintenance operator on the F-16 reduce his inspection paperwork time by 30 minutes per day.”NON-DEFENSE BENEFITS: Describe how your solution will help non-defense end-users and customers. Point out specific potential customers (i.e. Google’s Classroom product vs ‘the education industry’).Key words: This is one of the more overlooked sections, but it is how we help find good Air Force reviewers and potential Air Force customers to connect you with to increase the possible commercialization of your solution. Spend time on this part, it is high leverage. This is also where you can (optionally) list your focus areas (i.e. FA01: Space Pitch Day) or your User Need IDs (e.g. Need ID #8307). You can find the list of focus areas and User Need IDs at Contact InformationAre teaming partners or subcontractors proposed?If yes, be sure to include this information in the proposal Coversheet, Cost Volume and Supplemental Cost Information.Are you proposing to use foreign nationals as defined in section 3.5 of the solicitation for work under the proposed effort?For these individuals, please provide the country(ies) of origin, work permit(s)/visa(s) held, and the specific tasks with the Work Plan to be assigned to each individual. If the cognizant Government Program Manager does not concur with the individuals’ involvement or the information is not received by the specified date/time, your proposal will be disqualified. What percentage of the principal investigator's total time will be on the project?Any non-zero answer is awardable. If the answer is below 25%, please describe the principal investigator’s other roles. Is the principal investigator a woman?Either answer is awardable.Is the principal investigator socially/ economically disadvantaged? Either answer is awardable.Principal Investigator/Program Manager: List the contact information for your Principal Investigator. Remember that this person MUST be primarily employed by the proposing firm, this precludes full time employment anywhere else (i.e. If the person is working full time at another company and part time with you, they are ineligible to be the Principal Investigator). You may NOT use a sub-contractor or consultant as the principal investigator. Corporate Official: This is the person who will manage the business affairs for the contract (i.e. receiving payments). This person can be the same person as the Principal Investigator.Volume 2: Technical Volume For this section, you will complete the technical volume offline (i.e. this template), then upload the completed document to the online submission website: . The limit for this document is 5 pages.The first page of the Technical volume must include the following statement verbatim: “This proposal includes data that shall not be disclosed outside the Government and shall not be duplicated, used, or disclosed-in whole or in part-for any purpose other than to evaluate this proposal. If, however, a contract is awarded to this offeror as a result of-or in connection with-the submission of this data, the Government shall have the right to duplicate, use, or disclose the data to the extent provided in the resulting contract. This restriction does not limit the Government's right to use information contained in this data if it is obtained from another source without restriction. The data subject to this restriction are contained in pages [insert page numbers (e.g. 1-5, with the exception of Section 3: Work Plan)]";5 Page White Paper(1) Identification and Significance of the Problem or Opportunity. Define the specific technical problem or opportunity addressed and its importance.For this section we recommend breaking this down into three parts:BRIEF DESCRIPTION OF SOLUTION/TECHNOLOGY: Describe your solution so that even a layman could understand it. What does it do and how?CURRENT STATE OF NON-DEFENSE SOLUTION/TECHNOLOGY (Technology Readiness Level and Evidence): What is the current state of your non-defense solution? CURRENT STATE OF DEFENSE SOLUTION/TECHNOLOGY (Technology Readiness Level and Evidence): Describe the most advanced state of your current defense solution by using the technology readiness level with evidence to support your claim. It is okay for this to be rather immature, because one of the intents of the special topics is to help adapt non-defense commercial solutions to meet a defense need.(2) Phase I Technical Objectives. Enumerate the specific objectives of the Phase I work, including the questions the research and development effort will try to answer to determine the feasibility of the proposed approach.(WHO IS THE USER?) SPECIFIC POTENTIAL DEFENSE END-USER: This should be a person who you believe has a problem that you believe your solution can help solve. You need not to have worked with this person before or spoken with this person, but you must intend to solve the need of a specific Air Force end-user and not a vague idea of who could use this. This is often the first person you will contact during your Phase I feasibility study. Include their name, organization and contact information if you can find it.(WHAT IS THEIR PROBLEM?) SPECIFIC DEFENSE PROBLEM OR BENEFIT AREA TO BE ADDRESSED: Describe, as you understand it, how your solution can help solve the problem of the specific Air Force end user described above. (WHAT IS YOUR SOLUTION?) ADAPTATION OF NON-DEFENSE SOLUTION: Explain how you propose to adapt your non-defense commercial solution to meet the needs of the specific defense user. It is important to be specific about the technical changes that you are proposing changing(HOW WILL YOU HELP THEM?) PROPOSED OBJECTIVES AND KEY RESULTS: Propose quantitative and qualitative metrics for how you plan to measure the success of your solution in addressing the proposed defense problem or benefit area above.(3) Phase I Work Plan Outline (including Subcontractors’ Efforts) Provide an explicit, detailed description of the Phase I approach. If a Phase I option is required or allowed by the Component, describe appropriate research activities which would commence at the end of Phase I base period should the Component elect to exercise the option. The Statement of Work should indicate what tasks are planned, how and where the work will be conducted, a schedule of major events, and the final product(s) to be delivered. The Phase I effort should attempt to determine the technical feasibility of the proposed concept. The methods planned to achieve each objective or task should be discussed explicitly and in detail. This section should be a substantial portion of the Technical Volume section.Make sure to include no proprietary material in the work plan and to label the pages with the work plan on it as non-proprietary. This is because the government will attach the work plan directly to the contract. That contract is then public record. This allow for rapid contracting without the government having to request an updated work plan.In this section you should describe how you can validate the feasibility of your solution being able to solve the specific defense need. In particular, you should describe your efforts to:Locate and Define the Appropriate Specific Air Force End-User (e.g. Find your Air Force end-user)Validate that you truly understand the needs of the specific Air Force End-UserDefine the appropriate (Phase II or III) trial that can demonstrate how your solution can help address their specific problem or benefit area(s) (i.e. Milestones w/ Objectives and Key Results)Your work plan outline should also include a set of proposed milestones. (DO NOT JUST COPY THIS TABLE VERBATIM EXACTLY INTO YOUR PROPOSAL, USE IT AS A GUIDE)TaskDurationDescriptionPerformer01 – Write Preliminary Report (DELIVERABLE)Days 0-5We will write the initial 15-slide report describing our research approach to accomplish this Phase I feasibility study.Jane Doe02 – USAF Customer DiscoveryDays 0-60We will begin by reaching out to SSgt Snuffy, and will attend several conferences related to Aircraft maintenance. We will also attend the AF Collider event.Jane Doe, Bob Smith03 – Problem RefinementDays 15-60We will perform site visits with our most promising USAF End-Users in order to deeply understand their problemBob Smith, Abe Lincoln04 – Technical Adaptation/Modification StudyDays 40-80Our engineers will work to define the necessary adaptations of our non-defense commercial solution to meet the needs of our final AF End-User.Abe Lincoln, Vanenvar Bush05 – Definition of Solution Trial with AF End-User and AF CustomerDays 40-90We will work with our AF End-User (Operator) and the associated AF Customer (Acquisitions expert) to clearly define a set of milestones and a trial to demonstrate how our adapted solution can meet the needs of the specific Air Force end-user.Vanevar Bush, Jane Doe06 – Write Final Report (DELIVERABLE)Days 60-90We will incorporate all of the information derived from tasks 02-05 to write the final report that is 15 pages, 15 slides and a 100 second video. Jane Doe (4) Related Work. Describe significant activities directly related to the proposed effort, including any conducted by the principal investigator, the proposing firm, consultants, or others. Describe how these activities interface with the proposed project and discuss any planned coordination with outside sources. The technical volume must persuade reviewers of the proposer's awareness of the state-of-the-art in the specific topic. Describe previous work not directly related to the proposed effort but similar. Provide the following: (a) short description,(b) client for which work was performed (including individual to be contacted and phone number), and (c) date of completion.For this section, you should describe your non-defense and defense sales/projects. NON-DEFENSE CUSTOMERS/SALES: Have you had sales to non-defense customers of the proposed solution? If so, describe/list your customers, the number of sales and the results your solution has brought to your customers. If you have no sales, describe if you have any pilot users, who they are and the results of those tests. It is important to distinguish the sales of the proposed solution from other sales your firm may have had. In all cases, include quantitative (numbers) values where possible. DEFENSE CUSTOMERS/SALES: Have you had sales to defense customers of the proposed solution? If so, describe/list your customers, the number of sales and the results your solution has brought to your customers. If you have no sales, describe if you have any pilot users, who they are and the results of those tests. It is important to distinguish the sales of the proposed solution from other sales your firm may have had. In all cases, include quantitative (numbers) values where possible. COMPETITIVE LANDSCAPE:What is the competition for your solution? Who else is working on this solution? What gives you firm or your solution the competitive advantage over your competition(5) Relationship with Future Research or Research and Developmenta) State the anticipated results of the proposed approach if the project is successful.b) Discuss the significance of the Phase I effort in providing a foundation for Phase II research or research and development effort.c) Identify the applicable clearances, certifications and approvals required to conduct Phase II testing and outline the plan for ensuring timely completion of said authorizations in support of Phase II research or research and development effort.In this section, explain your expected Air Force Customer (i.e. Acquisition professional), note that this person will likely be different than your Air Force end-user (i.e. Operator). For a successful acquisition, you will need to understand both your user and your customer. Note that this section need not be as detailed as the ‘End-User’ section, as the exploration of AF Customers is part of the Phase I feasibility study. PROPOSED HIGH-LEVEL AIR FORCE CUSTOMER: Propose which areas you believe would best be able to integrate your solution into the Air Force (if you need more information about these, just search the internet for ‘Air Force _____’ (e.g. ‘Air Force PEO Digital’):PEO Fighters and BombersPEO Business and Enterprise SystemsPEO ArmamentPEO Presidential and Executive AirliftPEO TankerPEO Mobility and Training AircraftPEO Agile Combat SupportPEO DigitalPEO Command, Control, Communication, Intelligence, and Networks (C3I&N)PEO Intelligence, Surveillance, Reconnaissance and Special Operations Forces (ISR/SOF)PEO Services (Combat and Mission Support)PEO Space Systems (Space and Missile Systems Center)PEO Strategic SystemsPEO Nuclear Command, Control and Communications (NC3)F-35 Program OfficeRapid Capabilities Office (RCO)Rapid Sustainment Office (RSO)Air Force Research Labs (AFRL)OtherDESCRIPTION OF HOW YOUR SOLUTION INTEGRATES WITH THE PROPOSED AIR FORCE CUSTOMER: After doing a bit of searching the internet about your proposed Air Force Customer (i.e. Acquisitions Office), describe *briefly* how your proposed solution could integrate with the existing efforts of the proposed Air Force customer. (Notional Example: Our software solution automatically completes lines of code while you are typing and double checks them for errors, instituting a testing level during the writing of the software. PEO digital has a focus of speeding development to the warfighter and is currently developing solutions to better organize and task our air forces, this could ensure a lower rate of error for the fielded systems, thus increasing the speed.)APPLICABLE CLEARANCES, CERTIFICATIONS, OR APPROVALS NEEDED FOR INTEGRATION AFTER PHASE I: In order for most solutions (especially ones with software) to be integrated, you will likely need to receive approval from people to make this happen. Many of these will be figured out during the Phase I feasibility study. Describe here the approvals you think your solution will need. Some examples include:Security Clearance – If you think you will need to access classified information.Authority to Operate (ATO) – If your software will need to run on a classified machineTest Range Authorization – If you would like to test your solution at any particular test range/lab, you’ll need to get range approval firstUAS (Drone) Clearance – If you are planning on doing any testing of UASs (or counter-UAS technologies), you’ll need to work through the approval process in Phase IHuman/Animal testing - If you are proposing doing any sort of human or animal testing in your post-Phase I trials, please note this here(6) Commercialization Strategy. Describe your company's strategy for commercializing this technology in DoD, other Federal Agencies, and private sector markets. Provide specific information on the market need the technology will address and the size of the market. Provide information on outside investment, sources of cash flow and potential to scale.PREVIOUS OUTSIDE INVESTMENT: Has your firm received outside investment previously? How much, and who are your investors? Was this investment to further the development of the technology related to your prosed solution?SOURCES OF CASH FLOW: How is your business and this particular solution generating cash flow? Are you raising money from investors? Do you have non-defense sales? Do you have defense sales? Are receiving government grants or contracts? Is this solution being funded by internal research and development funding?POTENTIAL TO SCALE: What is the potential for your firm and this solution to scale to capture a large market? Provide examples of people on your team that have demonstrated ability to scale solutions and/or companies.(7) Key Personnel. Identify key personnel who will be involved in the Phase I effort including information on directly related education and experience. A concise technical resume of the principal investigator, including a list of relevant publications (if any), must be included (Please do not include Privacy Act Information). Full resumes of Key Personnel should be included in Volume 5: Supporting Documents and do not count towards the page limit.This section should include brief descriptions of the qualifications of your key personnel. Include details that are relevant to their role on the team for this Phase I research. Include any military experience as it pertains for their ability to better understand the needs of a potential Air Force stakeholder.Key personnel should include:Principal Investigator (required)Key Technical Personnel (required)Relevant AdvisorsRelevant InvestorsKey consultantsKey members of any sub-contractorsAny other key members of the team(8)Facilities/Equipment. Describe available instrumentation and physical facilities necessary to carry out the Phase I effort. State whether or not the facilities where the proposed work will be performed meet environmental laws and regulations of federal, state (name), and local Governments for, but not limited to, the following groupings: airborne emissions, waterborne effluents, external radiation levels, outdoor noise, solid and bulk waste disposal practices, and handling and storage of toxic and hazardous materials.This section should describe any facilities or equipment/instrumentation that your team is proposing to use during the phase I research. If there are any unique capabilities that your team possesses that will be critical in developing the solution, please list them hear (be sure to include proprietary markings). If true, state the following sentence verbatim in this section:“All of the facilities where the proposed work will be performed meet environmental laws and regulations of federal, state and local governments.”Volume 3: Cost VolumeThe Cost Volume is to be filled out on the online submission website: , and supporting information to justify those costs should be included in ‘Volume 5: Supplement Documents’ in the ‘Supplemental Cost Information’. Summary:Costs => Cost Volume in Volume 3Justification of the Costs => ‘Supplemental Cost Information’ in Volume 5NOTE: This section can be intimidating for many people new to working with the government, but it should not be so. This is meant to get an understanding of your proposed costs, to allow the government contracting officers to determine that your proposal is a fair and reasonable price. For the Air Force Special Topics, the Phase Is will be Firm Fixed Price contracts, meaning that no auditing of your accounting system will be performed. It is likely that your actual costs end up being different than the proposed costs listed here. Direct Labor CostsList all key personnel by name along with their estimated number of hours dedicated to the project and associated hourly rate and as direct labor. List non-key personnel by position/skillset along with the estimated number of hours and hourly rateWhen choosing these rates, we recommend considering how they compare with the wages here: . If you have any wages that are very high relative to the averages in their respective fields, please include information to explain the rationale behind the high wages. We understand that some types of specialized work can require high hourly rates, we just want to understand those cases.Direct Material CostsList costs for materials, parts, and supplies with an itemized list containing types, quantities, and price and where appropriate, purposes. If proposing direct material costs, additional justifying information can be included in the ‘Supplemental Cost Information’ in Volume 5, to include vendor quotes, historical costs, etc.If you already know that you will need direct material costs, then include them here. For many companies there are no direct material costs for their Phase I feasibility study. Just because you don’t list a material here does NOT mean that you cannot react to unexpected new information during the course of your Phase I and purchase material to support your research. The purpose of this is once again to ensure that your proposed cost for the Phase I is reasonable.Other Direct CostsThis category of costs includes specialized services such as machining or milling, special testing or analysis, costs incurred in obtaining temporary use of specialized equipment. Proposals, which include leased hardware, must provide an adequate lease vs. purchase justification or rational. If proposing other direct costs, this additional information can be included in the ‘Supplemental Cost Information’ in Volume 5.Many companies do not have specialized services during their Phase I feasibility studies.Include Travel costs in ‘Other Direct Costs’, in the cost volume, list the total cost of each proposed trip, and then justify the costs in the ‘Supplemental Cost Information’ in Volume 5. This need not be an overly onerous exercise, and your actual travel may differ from your proposed travel, however this information allows the contracting officers to ensure that the costs of the travel is not excessive.Nearly all companies have some sort of travel expenses for their Phase I feasibility studies as they travel to meet in person with their prospective Air Force end-users and customers. For this part, please include a total amount for all travel and include the detailed travel information in the ‘Supplemental Cost Information’ in Volume 5. Include any subcontractors or consultants’ costs in this section, broken out by total cost per sub-contractor or consultant. The proposed total of all consultant fees, facility leases or usage fees, and other subcontract or purchase agreements may not exceed one-third of the total contract price or cost, unless otherwise approved in writing by the Contracting Officer. Include the associated subcontractor or consultant agreements in the ‘Supplemental Cost Information’ in Volume 5. This is particularly important, please be sure to include all consultant and sub-contracting costs in this section.NOTE: When a proposal is selected for award, you must be prepared to submit further documentation to the Component Contracting Officer to substantiate costs (e.g., an explanation of cost estimates for equipment, materials, and consultants or subcontractors).We may reach back out to you during the review and contracting period to ask for more information surrounding your costs, please be prepared to respond quickly. In general, we try to award the contracts within 1 month of proposal closing. If you know that you will be unavailable for a period of time in the month after solicitation close, be sure to arrange with someone else on your team to be able to respond in a timely fashion to requests from the government teamVolume 4: Company Commercialization Report (CCR)This portion is also filled out on the online submission website: and is designed mainly for companies who have completed many SBIR/STTR awards before. If this is your first proposal, this step should be very easy and you can just check the box that says ‘All information is correct’. It will be normal to have many zeroes on this page if you have never been awarded a SBIR or STTR award beforehand. Keep in mind that your number of employees (including affiliates) must be <500. Finally, the information regarding revenue is protected information and will not be shared outside the contract evaluation and contracting team.Volume 5: Supporting DocumentsWhile this volume is called ‘Supporting Documents’ it is actually a very important part of your application. While it seems like a lot of information, most of this information can be accomplished very quickly. For this section, it may make sense to generate many documents, combine them into a single PDF, then upload to the online application website: Page Slide DeckThis is one of the most important components of your proposal, and should be well thought out and complete.Coversheet SupplementThis document includes is where you should put any of the additional information required by specific answers to the coversheets.Question 4) Is 50% or more of your firm owned or managed by a corporate entity?i. If YES, and the corporate entity is also a small business as described in section 3.15, please include in this section a description of your corporate relationship, including any other affiliates of the owning corporate entity.ii. If your firm is 50% or more owned or managed by a corporate entity that is not a small business, your proposal will be disqualified.NOTIONAL EXAMPLE: My firm, ‘Small SSA LLC’ was ‘spun-out’ of another small business, ‘Small Rocket Co.’, to focus on the emerging space situation awareness market. Small Rocket Co. owns a 75% stake in ‘Small SSA LLC’. Small Rocket Co. is also classified as a small business concern via the SBA and has no other affiliates. The total size of all of the affiliates is still less than 500 employees, with Small Rocket Co having 147 employees and ‘Small SSA LLC’ having just 13, making our total number of employees, including affiliates equal to 160. Question 14) Is your firm affiliated as set forth in 13 CFR 121.103? i. If yes, then please describe your affiliations as described here: NOTIONAL EXAMPLE: My firm, ‘Carbon Fiber Wheels LLC’ is an affiliate of ‘High End Cars Corp.’ because each of our boards share 3 of our 5 board members.Question 18) Has a proposal for essentially equivalent work been submitted to other US government agencies or DOD components?i. If the answer to this question is yes, you must include the requested information in the Coversheet Supplement.This is very important for the open topic, as many companies will want to adapt their solutions in different ways to different customers, but it is important not to accept awards for substantially similar work. If you have submitted any proposals to ANY special topic (i.e. Open Topic or Pitch Day), include that information in a table like the one below. Failure to disclose the other awards may make your proposal ineligible.Name of Federal Agency to which the Proposal was submittedDate of Proposal SubmissionTitle of Proposal and (if SBIR/STTR) Proposal NumberName of Principal InvestigatorWas awarded? If so, include contract number.Air Force28 June 2019AF192-001-0123 ‘Edge Neural Net Processor - Phase I’ Dr. William ShockleyYES – FA123456CA78920) Are you submitting assertions in accordance with DFARS 252.227-7017 "Identification and assertions use, release, or disclosure restriction"? i. If the answer to this question is yes, you must include the requested information in the Supporting Documents.If this question is answered yes, then be sure to include the data assertions as shown in section 5.6 of this template.21) Are you proposing research that utilizes human/animal subjects or recombinant DNA as described in section 3.11,3.12, and 3.13 of the solicitation? i. If your firm does intend to perform research involving 1) human subjects, 2) animal subjects, or 3) recombinant DNA molecules, please reply directly to this e-mail with the following attachments: ii. For 1) please provide a current Federal Assurance of Compliance with Federal regulation for human subject protection and evidence of completed appropriate training in human subject protection for all involved personnel from your firm; iii. for 2) documentation verifying review and approval for the research from the Institutional Animal Care and Use Committee; iv. and for 3) evidence of approval by the Institutional Biosafety Committee. v. If the required documentation is not included in the proposal, the proposal will be disqualified.For nearly all Phase I companies this will not be necessary, but if you are proposing using human testing subjects, animal testing subjects or working with recombinant DNA, you’ll need to include the proper certifications showing that you are following federal law.22) Are teaming partners or subcontractors proposed?i. If yes, be sure to include this information in the proposal Coversheet, Cost Volume and Supplemental Cost Information.For this question – be sure to include your sub-contractor information in the Cost Volume (how much you are subcontracting them for) and in the Supplemental Cost Information by including the agreements between your firm and the subcontractor. If you are teaming with another firm, but not sub-contracting them, be sure to include this teaming arrangement in Volume 5: Supplemental Information.23) Are you proposing to use foreign nationals as defined in section 3.5 of the solicitation for work under the proposed effort?i. For these individuals, please provide the country(ies) of origin, work permit(s)/visa(s) held, and the specific tasks with the Work Plan to be assigned to each individual. ii. If the cognizant Government Program Manager does not concur with the individuals’ involvement or the information is not received by the specified date/time, your proposal will be disqualified. NOTIONAL EXAMPLE: Full NameForeign National (Yes or No)Country of OriginType of Visa or Work PermitDescription of Involvement (specific task(s) in the work plan) Nikola TeslaYesSerbiaWork Visa - (E2): Professionals Holding Advanced Degrees and Persons of Exceptional Ability)Task 04 – Technical Modification Study24) What percentage of the principal investigator's total time will be on the project?i. Any non-zero answer is awardable. ii. If the answer is below 25%, please describe the principal investigator’s other roles.NOTIONAL EXAMPLE: Our principal investigator intends to spend 20% of his time (~8 hours per week) working on this Phase I. His other responsibilities include spending 30% of his time managing our non-defense commercial clients and he is spending 50% of his time on a prior Phase II that was awarded with the Air Force in March of 2019 (contract No. FA123456CA789).Supplemental Cost InformationIn this section, include all of the justification for any costs you listed on the cost volume. (1) Direct Labor For any notable instances (i.e. a significant number of hours, very high hourly wages or significant labor overhead/fringe rates), please justify them in this section. A helpful resource for telling if a wage is very high is . First, start off with any unusually high hourly rates for any of your direct labor costs. A good rule of thumb for this is if the hourly rate is significantly higher than the amount listed at NamePositionLocationProposed Rate/HourBLS Average Rate/HourRationaleGrace HopperSoftware DeveloperSan Francisco$250$69.25Grace is a skilled programmer with degrees from Vassar and Yale. She is one of the original developers of a critical software language (COBOL). Additionally the market demand for software developers is very high in San Francisco right now.(2) Direct Material Costs Justify costs for materials, parts, and supplies with an itemized list containing types, quantities, and price and where appropriate, purposes. For the materials included in the cost volume, please provide the bases for the listed costs. This can be historical information, vendor quotes, catalogs, etc.For many companies, there will not be direct material costs needed during the Phase I feasibility study. However, some companies may need this to iterate on their solutions during interactions with their potential AF end-users and AF customers. If you believe you’ll need significant amounts of direct material, list them in this section. If you cannot find a website listing the cost, feel free to include the vendor quotes in this section.NOTIONAL EXAMPLE:DescriptionQuantityPricePurposeBasis for cost3D Printing Filament40 Spools$28.11/spoolIn order to adapt our sensor mount to the F-16, we intend to print 100 different variations to get user feedback on which one is best.(3) Travel Costs (Included in Other Direct Costs) For AF Special Topics greater travel expectations will likely be required. If travel was proposed (as an Other Direct Cost), justify those expenses here. Cost for travel funds must be justified and related to the needs of the project. For the travel costs included in the proposal provide the number of trips, travelers per trip, specific locations and purpose of each trip. Also include, to the extent practicable, the basis for the proposed flight, lodging, per diem (meals), and ground transportation costs. A useful resource for this section is is likely you will have to travel for your Phase I feasibility study – provide estimated costs here. Remember that these costs are estimates and it is likely the actual costs incurred to travel will be different and that is okay. This information is just to allow the contracting officers to ensure that your proposed costs are reasonable.TripAttendees Estimated AirfareEstimated LodgingEstimated Meals & IncidentalsTotal CostAttend Spark Collider (Boston, MA - Austin, TX)Ada Lovelace $600$250/night3 Nights($750 Total)$145/day4 days($580 Total)$1,930(4) Special Tooling and Test Equipment and Material Special Tooling and Test Equipment and Material: While special tooling and test equipment and material cost may be included under Phase I, the inclusion of equipment and material will be carefully reviewed relative to need and appropriateness for the work proposed. The purchase of special tooling and test equipment must, in the opinion of the Component Contracting Officer, be advantageous to the Government and should be related directly to the specific topic. These may include such items as innovative instrumentation or automatic test equipment. Title to property furnished by the Government or acquired with Government funds will be vested with the DoD Component, unless it is determined that transfer of title to the contractor would be more cost effective than recovery of the equipment by the DoD Component. In general, most companies will not have specialized equipment costs during their Phase I feasibility study. This is equipment that you are buying only for the purpose of performing this Phase I, therefore if you intend to use a specific piece of equipment in other applications, such as for your non-defense commercial customers, it may not be appropriate to include that cost in the proposal. Additionally, any specialized equipment purchased specifically for this purpose may need to be transferred to the government at the end of the contract (depending on whether it is cost effective to do so). If you do have specialized equipment costs for your Phase I, include this information below. EquipmentPurposeCostBasis for CostDrop Test Machine (small electronics, 2M height)Our Air Force end-users require higher drop protection for our high security smart phone than our commercial customers, therefore we will need to purchase a drop testing equipment to make sure it meets their needs. $9,845smallelectronic2M(5) Copies of Subcontractor Agreements Involvement of university or other consultants in the planning and/or research stages of the project may be appropriate. If the offeror intends such involvement, describe in detail and include information in the Cost Volume. The proposed total of all consultant fees, facility leases or usage fees, and other subcontract or purchase agreements may not exceed one-third of the total contract price or cost, unless otherwise approved in writing by the Contracting Officer. Support subcontract costs with copies of the subcontract agreements. The supporting agreement documents must adequately describe the work to be performed. At a minimum, an offeror must include a Statement of Work (SOW) with a corresponding detailed Cost Volume for each planned subcontract.Include for each sub-contractor:Signed agreement between the sub-contractor and the proposing firmStatement of work for what the sub-contractor will perform (Task, Duration, Description, Performer)Cost volume for the proposed work performed (Labor hours, Labor Rates, Materials, Travel)(6) Copies of Consultant Agreements Provide a separate agreement letter for each consultant. The letter should briefly state what service or assistance will be provided, the number of hours required and hourly rate. Include for each sub-contractor:Signed agreement between the consultant and the proposing firmStatement of work for what the sub-contractor will perform (Task, Duration, Description, Performer)Cost volume for the proposed work performed (Labor hours, Labor Rates, Materials, Travel)SPECIAL TOPIC NOTE: Some proposing firms choose to work with subcontractors or consultants that help proposing firms determine the feasibility of their solutions for a specific DoD customer through customer discovery assistance. If the proposing firm is working with a customer discovery firm like this for any Special Topic, the associated agreement is required to be included with the proposal.Resumes of Key PersonnelIdentify in the Technical Volume all key personnel, including and especially the Principal Investigator, who will be involved in this project; include information on directly related education, experience, and citizenship. A technical resume of the principal investigator, including a list of publications, if any, must be part of that information. Attach the resumes or CVs of the key personnel, including that of any key personnel from a subcontractor or a consultant. This should include at the very least the resume of the Principal Investigator. These need not be formatted in any particular way and can just be attached as a separate document if necessary.Non-Proprietary Work PlanYour Phase I contract will include a non-proprietary version of your work plan. Please include a separate, non-proprietary version of your work plan in this section, free of any proprietary markings. This should be attached as a stand-alone document so that it can be easily attached to the final contract.This should be the same work plan as described in the technical volume (including Task, Duration, Description and Performer), but with all proprietary information removed. This document will be inserted into the Phase I contract, and thus should be attached as a stand-alone document with no proprietary markings.Technical Data Rights (Assertions)This can get a bit complicated, and in many cases firms will not have data rights assertions in the Phase I feasibility study, as the deliverables generally don’t ask for detailed technical information during the Phase I. This table can be useful if you intend to deliver specific data or non-commercial software to the government as one of your deliverables that was developed at private expense. This happens often in Phase II and Phase III, but not often in Phase I under the special topics. In general the SBIR data rights are here to protect your firm and to allow the firm to grow in value. One resource to learn more about this is here: NOTIONAL EXAMPLE:Data Rights Assertion TableNoncommercial technical data and noncommercial computer softwareFor deliverables only | Do not list hardwareThe Contractor asserts for itself, or the persons identified below, that the Government's rights to use, release, or disclose the following noncommercial technical data or noncommercial computer software should be restricted:Work Plan Task or Milestone Requiring the DataTechnical Data or Computer Software to be Furnished With RestrictionsBasis for Assertion None, Developed exclusively at private expense, Developed partially at private expenseAsserted Rights Category None, Government Purpose Rights Limited Rights (Technical Data) Restricted Rights (Software) Specifically Negotiated License Rights in SBIR DataName of Person Asserting RestrictionsTask 04 – Technical Adaptation StudyBaseline schematics and solid-models of our sensor mount.Developed exclusively at private expense.Limited Rights (Technical Data)Dr. John Doe (CTO of SensorMount123 LLC)Stand-Alone Section K (Signed)As part of your Phase I purchase order, there are a set of standard terms and conditions that will be included as part of your contract. These are standard and are not generally negotiated, especially during Phase I. The Phase II and III contracts have more flexibility in the terms, but the Phase Is are short and straightforward. The ‘Stand-Alone Section K’ can be found at , and should be downloaded, filled out, signed, and uploaded to Volume 5.DoD Funding Agreement Certification (Signed)Download the DoD funding agreement Certification here: The form should seem familiar because it has many of the same questions as the SBIR Online Application Coversheet. Fill out the form, sign it and submit it with the application.The questions are as follows:1) The business concern meets the ownership and control requirements set forth in 13 CFR 121.702. If the answer is ‘NO’, then the proposal is likely INELIGBLE for award.2) If a corporation, all corporate documents (articles of incorporation and any amendments, articles of conversion, by‐laws and amendments, shareholder meeting minutes showing director OR officer elections, organizational meeting minutes, all issued stock certificates, stock ledger, buy‐sell agreements, stock transfer agreements, voting agreements, and documents related to stock options, including the right to convert to non‐voting stock or debentures into voting stock) evidences meeting the ownership and control requirements set forth in 13 CFR 121.702If the answer is ‘NO’, then the proposal is likely INELIGBLE for award.3) If a partnership, the partnership agreement sufficiently documents meeting the ownership and control requirements set forth in 13 CFR 121.702.If the answer is ‘NO’, then the proposal is likely INELIGBLE for award.4) If a limited liability company, the articles of organization and any amendments, and operating agreement and amendments, evidences meeting the ownership and control requirements set forth in 13 CFR 121.702.If the answer is ‘NO’, then the proposal is likely INELIGBLE for award.5) The birth certificate, naturalization papers, or passports demonstrate any individual relied upon tomeet eligibility requirements are U.S. citizens or permanent resident aliens of the United States.If the answer is ‘NO’, then the proposal is likely INELIGBLE for award.6) The firm has no more than 500 employees, including the employees of its affiliatesIf the answer is ‘NO’, then the proposal is likely INELIGBLE for award.7) There is no SBA size status determination currently in effect finding the firm exceeds the 500 employee size standard.If the answer is ‘NO’, then the proposal is likely INELIGBLE for award.8) The principal investigator (PI) will meet the primary employment requirements as follows during performance of the award; or a deviation has been requested and approved in writing by the Government Contracting OfficerFor the special topic Phase Is, there will not be any ‘Deviations’, thus the answer for likely awardable contracts is “SBIR: More than one‐half of the PI’s time as an employee of the prime contractor.”9) The required percentage of work as follows will be performed during performance of the award; or a deviation has been requested and approved in writing by the Government Contracting Officer.For the special topic Phase Is, there will not be any ‘Deviations’, thus the answer for likely awardable contracts is “SBIR Phase I: At least two‐thirds (66 2/3%) of the research by the prime contractor.”10) The awarded research/research and development (R/R&D) will be performed in the United States; or a deviation has been requested and approved in writing by the Government Contracting Officer.If the answer is ‘NO’, then the proposal is likely INELIGBLE for award.If your work will require you to work overseas (i.e. with an Air Force Europe in another country, you must state so here after ‘Deviation: Explain’.11) Performance will take place in the firm’s facilities with the firm’s employees, except as otherwise identified in the proposal, agreed to during contract negotiations, and approved through bi‐lateral signature of the resulting contract.If the answer is ‘NO’, then the proposal is likely INELIGBLE for award.12) If applicable, the firm has registered in the SBA database as being majority‐owned by a venture capital operating company (VCOC), hedge fund, or private equity firms. (NOTE: In accordance with the DoD SBIR and STTR Solicitation, firms owned by multiple VCOCs, hedge fund, or private equity firms are INELIGIBLE to submit proposals or receive awards.)The answer for most eligible Phase I companies is “N/A”, as firms owned by multiple VCOCs, hedge fund, or private equity firms are INELIGIBLE to submit proposals or receive awards.13) The firm is/is not a covered small business concern (a small business concern that: (a) was not majority‐owned by multiple venture capital operating companies (VCOCs), hedge funds, or private equity firms on the date on which it submitted a proposal in response to a DoD SBIR/STTR Solicitation; and (b) is majority‐owned by multiple VCOCs, hedge funds, or private equity firms on the date of award and the award is more than 9 months after the period for proposal submission ended.If the box next to ‘IS NOT’ is checked, then the proposal is likely INELIGBLE for award.14) A proposal for all or a portion of essentially equivalent work:If the answer is ‘Has been funded by another Federal agency or DoD Component’ is checked, then the proposal is likely INELIGBLE for award.15) The firm will notify the Department of Defense immediately if all or a portion of the proposed work is funded by another Federal agencyCheck the box that says ‘Yes’.16) The firm understands that information submitted may be provided to Federal, State, and/or localagencies to be used for determining violations of law and other purposesCheck the box that says ‘Yes’.17) If the firm is teamed with a Federally Funded Research and Development Center (FFRDC), FederalLaboratory, or other Federal facility, the firm acknowledges (1) they were not required to enter into anagreement with the Federal partner as a condition for the SBIR/STTR award; (2) that the agreementbetween the firm and the Federal partner does not violate any SBIR/STTR requirementset forth instatute or the Policy Directive, including SBIR Data Rights protections; and (3) the Federal partner willnot require the firm to provide advanced payment in an amount greater than the amount necessary topay for 30 days of facilities usage/services.Most AF Special Topic companies select ‘N/A (not teamed with a Federal organization)’ for this question.Volume 6: Fraud, Waste and Abuse TrainingThe Fraud, Waste and Abuse Certificate of Training Completion (Volume 6) is required to be completed prior to proposal submission. The training can be found at the following link: This training should be completed and the last page ‘Certificate of Training Completion’ should be filled out, signed and included in Volume 6. ................
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