AFRL Memorization Flashcards
Types of Research
• Basic Research – (FAR 2.1)
o Research directed toward increasing knowledge in science
o 3600, 6.1 Funding
• Applied Research – (FAR 35.001)
o Attempts to exploit scientific discoveries or technology improvements
o Attempts to advance the state of the art
o 3600, 6.2 Funding
• Development – (FAR 35.001)
o The systematic use of scientific and technical knowledge in the design, development, testing, or evaluation of a potential new product or service (or of an improvement in an existing product or service) to meet specific performance requirements or objectives.
o 3600, 6.3 Funding
o Not System Development or specific hardware solution
Acquisition vs. Assistance
Acquisition:
• Purchase of goods or services for the direct benefit of the Government
• Relationship is an “exchange” of federal funds for the Contractor’s goods or services
• Contracts provide results that the Government uses in direct activities
• Governed by the FAR
• Establishes buyer-seller relationship
• Payment of fee or profit is appropriate
Assistance:
• Relationship is a “transfer” of federal funds to the Recipient for the accomplishment of a public purpose authorized by a law
• Assistance instruments used for projects that benefit the public
• Governed by DoD Grant and Agreement Regulations (DoDGARS) and/or Title 2 Chapter II of the Code of Federal Regulations (2 CFR Part 200)
• Establishes a partnership
• Payment of fee or profit is not appropriate
Contract:
If the principle purpose of the research is for the direct benefit of the Government, then a procurement contract would be best.
Assistance
If the principle purpose of the research is not for goods and services for the direct benefit of the Government and the research supports a public purpose, some form of assistance instrument would be best.
• Grant or Cooperative Agreement: If the principal purpose of the research is to stimulate or support R&D for another public purpose, then a Grant or Cooperative Agreement would be best.
o Grant: Often awarded to a university or non-profit; no substantial involvement between Government & Recipient
o Cooperative Agreement: Awarded to any type of Recipient; will have substantial involvement between Government & Recipient
• Technology Investment Agreement (TIA): Used primarily to leverage businesses that have not dealt with the Government before, foster the best technologies for future defense needs, and conduct research with outcomes that are well defined, observable, and verifiable. Must have civil-military integration relevance. Can only award to for-profit firm or a consortium containing a for-profit. Requires a 50/50 cost share (unless waived by COCO). Can be executed as a Cooperative Agreement or OT for Research (depending on intellectual property rights complying with Bayh-Dole Act).
• Other Transaction (OT) for Research: Can be acquisition or assistance depending on the nature of the program. Goal is to reach non-traditional defense contractors who have innovative R&D solutions. Should include a cost sharing arrangement (can be other than 50/50). OTs do not require march-in rights in patents.
SBIRS
Eligibility
- Firms must be for-profit, small businesses of 500 or fewer employees
- Firm must be at least 51% owned by U.S. citizens
- Principal Investigator’s primary employment must be with proposing firm
- All R/R&D work must be performed in the U.S.
SBIR Phase I:
- Solicited via Broad Agency Announcement (BAA). Air Force topics are included in the DoD SBIR Solicitation
- R/R&D studies to prove feasibility of proposed idea
- Proposing firm must perform at least 2/3 of effort
- Firm-Fixed-Price (FFP), nine-month, $150K purchase orders or contracts
- Six (6) months technical performance plus three (3) months allotted for final report completion
SBIR Phase II:
- Justification and Approval (J&A) not required IAW FAR 6.203, Set-Asides for Small Business Concerns
- All Phase I awardees may submit proposals
- Proposing firm must perform at least 50% of labor
- Awarded on basis of Phase I results and scientific, technical, and commercial merit of Phase II proposal
- Firm-Fixed Price or Cost-Plus-Fixed-Fee (CPFF), 27-month period of performance, initial value of $1M
- Twenty-four (24) months technical performance plus three (3) months allotted for final report completion
- For final deliverable, anticipate well-defined process/product (e.g. prototype)
SBIR Phase III:
• Derives from, extends, or logically concludes effort(s) performed under prior SBIR funding agreements.
• Typically oriented towards commercialization of SBIR/STTR research or technology.
• May enter into a Phase III with a past or current Phase I or II awardee.
• Must be funded with non-SBIR/STTR funds.
• Consider before funding SBIR/STTR awards with Federal non-SBIR/STTR funds.
o Contains SBIR/STTR data rights IAW DFARS 252.227-7018. Competition under Phases I and II satisfies CICA requirements.
• No limit on number, duration, dollar amount, contract type, or time between Phases.
• SBIR small business size standards do not apply to Phase III awards, as Phase III awards are funded with non-SBIR/STTR funds
• May be for products, services, or continuation of R/R&D.
• May be awarded from a BAA or formal Request for Proposal (RFP).
• Acquisition Plan not required; must document action’s fulfillment of Phase III criteria.
• Notify SBA of intent to pursue R/R&D or production of technology developed under prior SBIR/STTR contracts with other than the SBIR/STTR firm.
• May be any contract type, depending on requirements/risk, as determined by CO.
• Do not require a J&A.
o If technology meets current agency requirements derives from, extends, or completes an effort made under a prior SBIR funding agreement issued competitively.
o Competition under Phases I and II satisfies CICA requirements.
SBIR Data Rights
• Governed by DFARS 252.227-7018(b)(4), Rights in Noncommercial Technical Data and Computer Software – Small Business Innovation Research (SBIR) Program
• SBIR data rights - means the Government’s rights during the SBIR data protection period (commencing at award and ending 5 years after the completion of the program) to use, modify, reproduce, release, perform, display, or disclose technical data or computer software generated under a SBIR award as follows:
o (i) Limited rights in such SBIR technical data; and
o (ii) Restricted rights in such SBIR computer software.
• SBIR Data Rights reverts to Unlimited Rights after protection period (20 years after completion of program)
RFPs vs. BAAs
• Request for Proposals (RFPs) and Source Selection processes can be used
o Primarily for R&D that goes beyond:
Basic Research
Applied Research
Development
• Broad Agency Announcements (BAA) can be used for:
o Basic Research
o Applied Research
o That part of development not related to the development of a specific system or hardware procurement” (FAR 35.016(a))
o The Government desires new and creative solutions to problem statements.
o Using a conventional statement of work could result in unintentionally stifling ideas and concepts given many possible approaches.
o Meaningful proposals with varying technical/scientific approaches are reasonably anticipated.
o Evaluation will be based on a peer or scientific review.
