BAA-2024-001 V-FUNDS (final).pdf

BAA-2024-DOS-ADS-01

United States Department of State Bureau of Arms Control, Deterrence, and Stability

BROAD AGENCY ANNOUNCEMENT (BAA)

CYCLE 1 FOR THE FISCAL YEAR 2024

KEY VERIFICATION ASSETS FUND

TABLE OF CONTENTS Page

I. GENERAL INFORMATION 3

II. AWARD INFORMATION 5

III. ELIGIBILITY INFORMATION 6

IV. APPLICATION AND SUBMISSION INFORMATION/DEADLINES 6

V. EVALUATION INFORMATION 10

VI. AWARD ADMINISTRATION INFORMATION 11

VII. OTHER INFORMATION 12

VIII. BAA 2024-01 TOPICS 14-34

Topic Title

1 Information Management and Training Modules for UN Secretary General’s Mechanism for Biological Weapons Investigations

2 Synthetic Biology and Its Compliance Implications for the CBW Conventions

3 Biological Weapons Investigation in Non-Cooperative and Non-Permissive Environment

4 Training Modules for Microbial Forensics and Investigation Techniques

5 Designing a Blueprint for a Maritime Domain Awareness (MDA) Security Architecture/ Infrastructure in the Indo-Pacific

6 How to conduct targeted implementation of risk reduction, confidence and security building measures (CSBMs), and capacity building in the Indo-Pacific region in an era of intense strategic competition.

7 Lessons learned from decades of Conventional Arms Control Verification under Euro- Atlantic risk reduction regimes

Topic Title

8 Lessons learned from decades of nuclear arms control verification with the Russian Federation

9 Quantification of Uncertainty in Seismic Origin Derived with the Improved Wadati Graph that incorporates Uncertainty in Phase Picks

10 Preservation of Legacy Data from Geophysical Sensors to Facilitate Exploitation with Modern Signal Analysis Tools

11 Developing Guidance for Responsible Military Use of AI

12 Reducing Risks in the Use of AI for Strategic Decision Making

Attachment 1: Phase I White Paper Format 35 Attachment 2: Phase I/Phase II Quad Chart Format 36 Attachment 3: Phase II Technical Proposal Format 39 Attachment 4: Phase II Cost Proposal Format 41 Attachment 5: Phase II Statement of Work Format 42

BROAD AGENCY ANNOUNCEMENT (BAA)

FOR THE KEY VERIFICATION ASSETS FUND

FULL TEXT ANNOUNCEMENT

ANNOUNCEMENT TYPE: Broad Agency Announcement (BAA).

This publication constitutes a BAA as described in Federal Acquisition Regulation (FAR) Part 35.016 and FAR 6.102(d)(2). This BAA is a competitive announcement for proposals focusing on research and development of technologies or support for programs to meet the mission of the Bureau of Arms Control, Deterrence, and Stability (ADS) of the U.S.

Department of State (DOS). Any updates or possible cancellation will be issued as an amendment to the BAA.

I. GENERAL INFORMATION

1. Requiring Agency: United States Department of State (DOS).

2. Broad Agency Announcement Title: Key Verification Assets Fund Program

3. Announcement Number: BAA-2024-DOS-ADS-01

4. Response Date: This announcement will remain open until 23:59 hours Eastern Time on the closing dates as posted. Please see the submission deadlines in Paragraph 3 of Section IV.

5. Two-step solicitation: White Papers (with Quad Charts) will be collected and screened in Phase 1. The Department will invite select Offerors to submit a full proposal in Phase 2.

6. Background: DOS ADS’s Statutory Authorities for this solicitation:

6.1 Section 1111 of Public Law 106-113 regarding the Key Verification Assets Fund and

22 USC §2571 regarding research, development, and other studies in the fields of arms control, nonproliferation, and disarmament.

6.2 Other authorities relevant to ADS’s mission areas include:

• Section 1112 of Public Law 106-113 (22 USC § 2652c);

• 22 USC § 2577: Verification and Compliance;

• 22 USC § 2593a: Annual Report to Congress on Adherence to and Compliance with Arms Control, Nonproliferation, and Disarmament Agreements and Commitments.

6.3 Pursuant to the relevant laws cited above, DOS ADS, through the Key Verification Assets Fund, or V Fund, seeks ambitious, innovative research proposals to address its priority science and technology requirements for arms control, nonproliferation, and disarmament-related monitoring and verification. The V Fund is administered to help sustain, research, develop, or acquire technologies or programs relating to the verification of arms control, nonproliferation, and disarmament agreements and commitments.

6.4 The V Fund may be used to support and preserve critical verification assets/capabilities as well as to promote the development of new technologies to support monitoring and verification. It may also be used to improve and expand analytical tools, models, data, and metrics applicable to weapons of mass destruction (WMD) and conventional related policies.

6.5 The BAA requests project White Papers ranging from the basic science level (low Technology Readiness Level (TRL) to the operation of a fully developed capability (i.e., high TRL) (per GAO Technology Readiness Assessment Guidance, GAO-20-48G, https://www.gao.gov/assets/gao-20-48g.pdf). This BAA also accepts White Papers that focus on experimental work that creates a roadmap for a future, larger scale research program.

6.6 The V Fund is open to all interested and qualified sources, to include participation by and potentially collaboration with a wide variety of entities (e.g., large businesses, small businesses, independent consultants, academic institutions, Federally Funded Research and Development Centers (FFRDCs), University Affiliated Research Centers (UARCs), government agencies, non-governmental organizations, consortium participants, national labs, etc.). However, entities serving as a SETA (“System Engineering and Technical Assistance”) contractor or “consortium lead” of any federal department /agency cannot apply, to avoid a conflict of interest. Qualified sources may assist the Department of State in finding innovative technological approaches to address current and future arms control, nonproliferation, and disarmament policy development and implementation challenges through exchanges with various science and technology communities.

7. Contacts for BAA-related Communications:

7.1 Any questions regarding this BAA announcement must be provided to the points of contact below, by E-mail. Only Contracting Officers (COs) at the Department are legally authorized to obligate the awards.

Contracting Officer:

Name: Pete W. Jones Address: 2009 Dyess Ave, Bldg. #F, Charleston, SC 29415 Phone: 771-204-9152, 202-486-2684 Email: JonesPW@state.gov

Contracting Specialist:

Name: Conelius Stevenson https://www.gao.gov/assets/gao-20-48g.pdf

Address: 1735 North Lynn Street, Arlington, VA 22209 Phone: 703-875 5113 Email: StevensonC@state.gov

7.2 For general programmatic questions, which must be submitted by email, responses will be posted at the System of Acquisition Management (SAM) webpage (SAM.gov), as an amendment to the original announcement. For inquiries that are company proprietary, responses will be sent directly to the institution, and will not be posted online. All questions shall be submitted by the date stipulated in Section

IV.

7.3 Programmatic Questions related to Phase I White Papers and Phase II Full Technical

Proposals shall be directed to: V Fund Mailbox - Email: ADS-BAA@state.gov.

8. Contract Instruments/Awards:

8.1 Multiple awards are anticipated under this solicitation. Awards under this BAA will be made to Offerors on the basis of the evaluation criteria contained in Paragraph 1 of Section V. The actual number of awards will be subject to the availability of funds as well as the quality and relevance of the White Papers/Proposals. The ADS Bureau reserves the right to fund all, some, or none of the Proposals received, as well as to fund multiple bidders on the same topic.

8.2 DOS anticipates Awards to be in the form of negotiated agreements, purchase orders, or Interagency Acquisition Agreements (IAAs).

8.2.1 Provisions and potential contract clauses for negotiated purchase orders for large businesses, small businesses, independent consultants, academic institutions, UARCs, non-governmental organizations, and foreign entities, are included as an attachment to the awards.

8.2.2 Terms and conditions for Interagency Acquisition Agreements with other

Federal Government Agencies or FFRDCs will be negotiated at the time of the IAA award.

8.3 Classification: Generally, submissions shall remain at the UNCLASSIFIED level.

Offerors may submit classified proposals up to the Secret level. See Section IV for further instructions.

II. AWARD INFORMATION

1. The amount and period of performance (PoP) of each selected proposal may vary depending on the research area and the technical approach pursued by the selected Offeror. The period of performance shall be stated in the award documents.

mailto:ADS-BAA@state.gov

2. DOS plans to make multiple awards in accordance with the Evaluation Criteria and Review and Selection Process contained in Section V of this BAA. DOS is seeking institutions and participants for this program that are capable of supporting the goals and desired outcomes as described in this BAA. Offerors have the opportunity to be creative in the selection of the technical and management processes and approaches to address the research areas of interest described under Topics in Section VIII.

3. Estimated funding amounts may increase or decrease at any time based on current and future appropriations and can affect the actual funding approved compared to the cost identified in the White Papers/Proposals.

4. The Bureau intends to use the V Fund money to accommodate as many selected awards as possible. V Fund projects in 2021-2023 had an average total cost of $213K, with the base year cost generally falling between $50,000 and $150,000. In an effort to manage costs and promote collaboration, the Bureau may decide to seek complementary financial contributions from partner agencies or programs. Bidders submitting proposals that request significant funds or multi-year efforts should bear in mind the risk of a possible lapse in funding for optional years. A bidder’s requested cost estimate therefore shall be accompanied with a thorough budget justification, detailed spending plan, and projected milestones/pace.

III. ELIGIBILITY INFORMATION. This BAA is open to all interested and qualified sources, to include participation by and potentially with both “traditional and non-traditional” entities (e.g., large businesses; small businesses; independent consultants; academic institutions;

University Affiliated Research Centers (UARC); Federally Funded Research and Development Centers (FFRDC); government agencies; non-governmental organizations; foreign entities; and others). However, an entity serving as a SETA (“System Engineering and Technical Assistance”) contractor or “consortium lead” of any federal department/agency cannot respond to this BAA, per ethics regulations.

IV. APPLICATION AND SUBMISSION INFORMATION/DEADLINES

1. TWO-PHASED SUBMISSION. This BAA will use a two-step process. Phase 1: potential Offerors submit brief descriptive White Papers in lieu of full proposals. Phase 2: full proposals are requested from those Offerors selected in the White Paper evaluation process. See Attachments 1-5 for details on the files to be submitted.

1.1 Phase I. An interested Offeror must submit a White Paper and a Quad Chart in accordance with instructions provided in this BAA. Phase I submissions will be evaluated against criteria described in Section V of this BAA.

1.1.1 White Paper format and content instructions are noted in Attachment 1. Each

Offeror shall include in the White Paper, if applicable, a preliminary Technology Readiness Level (TRL) assessment of the proposed technology that conforms to the technology objectives and an expected TRL at the conclusion of the effort.

The offeror shall perform a TRL assessment according to the GAO Technology Readiness Assessment Guidance GAO-20-48G (https://www.gao.gov/assets/gao- 20-48g.pdf).

1.1.2 All Quad Charts must include the information indicated on the sample template in Attachment 2.

1.1.3 White Paper and Quad Chart submissions shall be sent to ADS-BAA@state.gov for review. If there is a need for a classified White Paper/Quad Chart submission, please send an email to ADS-BAA@state.gov to request instructions for classified submissions.

1.1.4 Notification of Selection. Selections will be made after White Papers are reviewed by ADS experts and ADS’s Solicitation Authority (see Sections V (on evaluation) and VI (on award) for more information). All Offerors providing Phase I submissions will be informed by email if the effort proposed is not of interest to the Government at this time, or with a request for a formal cost and technical proposal by a specific date.

1.1.5 Deadline for White Paper Submission. This announcement will remain open until 23:59 Eastern Time on the closing date. See chart in Paragraph 3 of Section

IV.

2.1 Phase II. Phase II proposals will only be accepted from Offerors, who upon review of Phase I submissions, are invited to submit a full proposal. In order to be considered for award under Phase II, Offerors must be registered in the System for Award Management (SAM) at www.sam.gov, be considered responsible within the meaning of FAR Part 9.1 on Responsible Prospective Contractors, have a satisfactory performance record, and otherwise, be eligible for award based on federal law and regulation.

2.1.1 Full Proposal Submission. Upon notification requesting a full proposal, Offerors shall prepare and submit a proposal in accordance with the format and instructions in Attachments 2-5. Each proposal shall include a Quad Chart, Technical Proposal, Cost Proposal, and a Statement of Work (SOW). All pages must be numbered.

2.1.2 Proposal Review, Evaluation, and Selection Process. Each proposal will be evaluated by the Government and the proposal must stand on its own technical merit. Proposals will be evaluated in accordance with the evaluation criteria and process specified in Section V, which includes its technical value, importance to agency programs, and funds availability. In order to provide the desired evaluation, qualified Government personnel and other experts will conduct reviews in the appropriate areas.

2.1.3 Deadline for Full Proposal Submission. This announcement will remain open until 23:59 Eastern Time on the Full Technical Proposal Submission closing date https://www.gao.gov/assets/gao-20-48g.pdf https://www.gao.gov/assets/gao-20-48g.pdf noted in Paragraph 3 of Section IV. Timeline for Proposal Submission and Selection.

2.1.4 Offerors must identify on each page information considered proprietary by marking their submissions with the restrictive language contained in FAR 52.215-1(e), Instructions to Offerors - Competitive Acquisition.

2.1.5 UNIQUE ENTITY IDENTIFIER (UEI): The Federal Government has transitioned from the use of the DUNS Number to the Unique Entity Identifier (UEI) as the primary means of entity identification for Federal awards government-wide. UEIs are required in accordance with 2 CFR Part 25, and the transition from DUNS to UEI has resulted in the UEI being issued by the Federal Government in SAM.gov. This means entities no longer rely on a third-party to obtain an identifier (i.e., a DUNS issued by Dun and Bradstreet).

This change streamlines the entity identification and validation process, making it easier and less burdensome for entities to do business with the Federal Government. It is the bidder’s responsibility to obtain its UEI (via SAM.gov) prior to submission of proposals to this BAA. Failure to obtain the UEI in time will result in a delay in the awarding process, should the proposal be selected for funding.

2.1.6 No further notice will be provided to Offerors submitting offers responsive to this BAA. All submissions shall remain at the unclassified level, with a supplementary classified submission, as appropriate.

2.1.7 Classified submissions: Offerors shall email an unclassified title as a placeholder to ADS-BAA@state.gov to request instructions for classified submissions. Proposals may be classified up to the Secret level.

2. Format and Content of Proposals

2.1 Proposals submitted under this BAA are generally expected to be unclassified. Titles given to the Proposal should be descriptive of the work they cover and not merely a copy of the title of a topic/requirement listed in this solicitation. Proposals that do not meet format requirements may be rejected without further review or evaluation. Non- Government Offerors must be registered in the System for Award Management (SAM) in order to be eligible for a contract award.

2.2 Nomenclature of Proposals and Quad Chart:

2.2.1 In labeling the proposal, the best way to deconflict with other Offerors’ submissions is to name the file with the BAA number, Offeror’s short name, Topic number, and a very short descriptive title. See examples below:

BAA 2024-01. ORNL T15. Smart fuel rods for non-proliferation, or BAA 2024-01. LLNL T23. Assessment of highway tunnel in Wyoming, or BAA 2024-01. SNL T47. Deployment of DAS in Nevada, or BAA 2024-01. NASA T39. High-altitude balloon technologies, or BAA 2024-01. Oxford T55. US-Russia-China dialogue for arms control.

2.3. Proposal Typographic Style:

• Paper size – 8.5-inch X 11-inch paper with font 12 point, Calibri. Smaller font may be used for figures, tables and charts. The page limitation for proposal text includes all figures, tables, and charts combined.

• Margins – 1 inch each side

• Spacing – single spaced

• See attachments for further details.

2.4 Proposal Content:

2.4.1 Proposal Cover: (One page at most.)

Element 1: A statement that clearly defines the Topic number, for example:

“This proposal is in response to BAA-2024-DOS-ADS-01, Topic

Element 2: Title of proposal should be descriptive, for example:

Advanced Location, Discrimination, and Yield Estimation Algorithms to Enhance Monitoring of the Korean Peninsula

Element 3:

Lead Organization: (name) Lead Principal Investigator: (name, address, phone, E-mail address) Team Organizations (if applicable): (name, address, phone, E-mail address) The Lead Organization’s UEI. (See Section IV instruction re UEI.)

Element 4: Executive Summary

3. Timeline for Proposal Submission and Selection:

This announcement will remain open until 23:59 Eastern Time on the closing dates for Phase I and Phase II. See chart below.

PROPOSAL ACTIVITIES DATE

BAA Questions from bidders Due NLT April 2,2024, 23:59 (EST) to AQM Pete Jones

Email to Questions to:

JonesPW@state.gov and StevensonC@state.gov

Phase I: White Paper Submission Open Period

Due NLT April 18, 2024, 23:59 (EST)

Email submission to:

ADS-BAA@state.gov

Phase II: Full Technical Proposal Submission Open Period

Due two weeks following invitation from AQM Pete Jones

Email submission to:

ADS-BAA@state.gov

The Phase II selections will be made after the proposals are reviewed by panels of experts and the solicitation authority. See Sections V (Evaluation) and VI (Award) for more information.

V. EVALUATION INFORMATION

1. Evaluation Criteria: Award decision will be based on a competitive selection of proposals resulting from a peer and scientific review process and shall be evaluated based on the following criteria that are listed in “DESCENDING” order of importance.

1.1 Impact/Importance/Potential to the ADS Bureau’s Mission: The potential contributions of the proposed effort must be relevant to the ADS Bureau’s mission to address the policy and technical challenges of verification of and compliance with arms control, nonproliferation, and disarmament treaties, agreements, and commitments. This would include identifying and providing technological and analytical solutions that address specific verification and compliance challenges related to both current and future arms control, nonproliferation, and disarmament agreements/concerns.

1.2 Scientific and Technical Merits: For scientific and technical proposed projects, the technical approach is feasible, achievable, complete, and supported by a proposed technical team that has the expertise and experience to accomplish the proposed tasks.

mailto:JonesPW@state.gov mailto:StevensonC@state.gov

Task descriptions and associated technical elements provided are complete and in logical sequence with all proposed deliverables clearly defined. The proposal identifies major technical risks and planned mitigation efforts are clearly defined and feasible. The P.I. should demonstrate a thorough understanding of the scientific problem, e.g., through an unbiased and balanced quotation of previous work on the same or similar problem.

1.3 Fund Availability/Affordability: The proposed costs are realistic for the technical and management approach offered and demonstrates the proposer’s practical understanding of the effort.

1.4 Past performance: To the extent possible, the P.I.’s past record in delivering products as required under previous government-funded awards will be included in the consideration. P.I.s are encouraged to document their past record briefly in the vitae.

2. Additional Information about the Review and Selection Process:

2.1 The ADS Bureau will conduct a scientific, technical, and analytical review of each proposal submitted in accordance with the instructions provided in this BAA. The ADS Bureau’s intent is to review proposals in accordance with the timeline for the Proposal Open Period submission dates (Section IV).

2.2 Award(s) will be made to proposers whose proposals are determined to be the most advantageous to the Government, all factors considered, including the potential contributions of the proposed work to the overall V Fund Program and the availability of funding for the effort.

2.3 It is the policy of the ADS Bureau to ensure impartial, equitable, and comprehensive proposal evaluations and to select the source whose offer best meets the Government’s technical, policy, and programmatic goals. In order to provide the desired evaluation, qualified Government personnel will conduct reviews and convene panels of experts in the appropriate areas.

2.4 Technical and cost proposals submitted under this BAA will be protected from unauthorized disclosure in accordance with FAR 3.104-4 and 15.207 OR FAR 37.203(d).

VI. AWARD ADMINISTRATION INFORMATION

1. Selection Notices: As soon as the evaluation of all the proposals is complete, the proposer will be notified that: (1) the proposal has been selected for funding pending contract negotiations, purchase orders, or completion of the Interagency Acquisition Agreement(s); or (2) the proposal has not been selected. The official notifications will be sent via e-mail to the Technical and Administrative points of contacts identified in the proposal.

2. Administrative Requirements

2.1 Meeting and Travel Requirements: Performers should anticipate regular Principal Investigator(s) meetings and periodic site visits at the Program Manager’s discretion.

2.2 Post Contract Evaluation: Principal Investigator(s) may be requested to participate in a project evaluation at a later date upon completion of the effort.

2.3 Export Control: All procurement contracts, other transactions, and other awards as deemed appropriate, resulting from this solicitation may be subject to International Traffic in Arms Regulations, and the Arms Export Control Act.

2.4 Logos and Names Usage: V Fund Awardees agree that DOS ADS has permission to use organization names and logos in certain materials, such as slide presentations, to highlight the wide array of interest in the V Fund BAA.

3. Reporting: The number of reports (and other deliverables) will be specified in the award document. The reports shall be prepared and submitted in accordance with the procedures contained in the award document and mutually agreed to before the award is granted. Reports and briefing materials will also be required as appropriate to document progress in accomplishing program metrics. Detailed, periodic status/progress reports are required in order for incremental invoices to be certified and processed. A final technical report that summarizes the project tasks will be required at the conclusion of the performance period for the award, notwithstanding the fact that the research may be continued under a follow-on vehicle. The program office will work with the P.I. to archive and post the final technical report/product, as appropriate.

VII. OTHER INFORMATION

1. FULL AND OPEN COMPETITION: This acquisition is unrestricted and is issued under the provisions of the Federal Acquisition Regulation paragraph 6.102(d) (2) and FAR 35.016 that provides for the competitive selection of research proposals. Proposals submitted in response to approved proposals issued pursuant to this BAA that are selected for award are considered to be the result of full and open competition and in full compliance with the provisions of PL 98-369, the Competition In Contracting Act of 1984.

2. ORGANIZATIONAL CONFLICT OF INTEREST: Organizational Conflict of Interest may apply to this action but cannot be determined prior to issuance of this announcement. This issue and the need for applicable clauses will be resolved prior to the award of any instrument resulting from an Offeror’s proposal.

3. ASSOCIATE CONTRACTOR AGREEMENTS: Associate Contractor Agreements (ACAs) are agreements between contractors working on government contract projects that specify requirements for them to share information, data, technical knowledge, expertise, or resources. The contracting officer may require ACAs when contractors working on separate government contracts must cooperate, share resources or otherwise jointly participate in working on contracts or projects. Prime contractor to subcontractor relationships do not constitute ACAs. For each award, the contracting officer will identify associate contractors with whom agreements are required.

4. NON-GOVERNMENT PERSONNEL: All proprietary material should be clearly marked and will be held in strict confidence. The program office has contracted for various non-government scientific, engineering, technical, and administrative staff support services, some of which require contractors to obtain access to proprietary information submitted by other contractors. All non-government contractor support personnel have signed and are bound by the appropriate non-disclosure agreements and organizational conflict of interest statements.

5. FEDERALLY FUNDED RESEARCH AND DEVELOPMENT CENTERS (FFRDCS): FFRDCs may submit proposals in response to this announcement. FFRDCs or contractors that propose using FFRDCs shall provide a rationale in their proposal that the research is within the purpose, mission, general scope of effort or special competency of the FFRDC and that research to be performed would not place the FFRDC in direct competition with the private sector. The Government does not intend that FFRDCs use privileged information or access to facilities to compete with the private sector.

6. UNIVERSITY AFFILIATED RESEARCH CENTERS (UARCS): UARCS may submit proposals in response to this announcement.

7. RE-SUBMISSION OF A PROPOSAL: In order to be considered in a solicitation, a proposal should be formally submitted, regardless of whether it was submitted previously to other solicitations. Different BAAs are often based on different statutory authorities, or with funding sources allocated in different program lines (or budget pockets), and hence selection decisions are made separately.

VIII. BAA 2024-01 Topics

T1. Biological Guidelines for Information Management and Training Modules on Information Analysis for UN Secretary General’s Mechanism Biological Weapons Investigations

BACKGROUND:

On November 30, 1987, the United Nations General Assembly Resolution—A/RES/42/37C— established the United Nations Secretary-General’s Mechanism (UNSGM) for investigations into alleged use of chemical and biological weapons. During an international mission, the investigation team will collect a huge amount of varied types of information, including their own field observations, interviews, documents from the host state and others, sample analysis results, etc. Ensuring that this information is properly collected and logged into an information system so that it is well documented, retrievable, and searchable requires a well-defined set of procedures. Additionally, it is essential that analysis of information is conducted in a systematic manner that minimizes various types of analytical bias. The United States has provided such information analysis training to the International Atomic Energy Agency and the Organization for the Prohibition of Chemical Weapons. Similar materials should be developed and provided to the UNSGM.

EFFORT/RESEARCH SOUGHT:

The Bureau of Arms Control, Deterrence, and Stability seeks to:

1. identify guidelines procedures, platforms, or applications, including emerging artificial intelligence use that could appropriately supplement UN provisions of information management for use by a mission team for managing, collating, registering, and tracking of all information and evidence acquired by the team during a mission. This may include relevant procedures and experience in managing information during international investigations in the areas of law enforcement, alleged use of chemical weapons, alleged testing of nuclear weapons, war crimes, and health emergencies; and

2. develop and integrate a training module on information analysis techniques that minimize various types of analytical bias into the overall UNSGM training program. The module should be approximately one day in duration and include training on assessment of the credibility and reliability of different types of information potentially available to an investigating team.

T2. Biological Synthetic Biology and Its Compliance Implications for the Chemical and Biological Weapons Conventions

As a multidisciplinary field of biotechnology, synthetic biology can modify, create new parts or organisms with potential applications to help address challenges related to medicine, agriculture, manufacturing, and the environment. While there are many benefits to society, some developments in synthetic biology technologies could also be misused to develop and produce toxins or engineered biological agents in quantities suitable for hostile purposes. This raises issues related to dual-use activities and monitoring compliance with the Chemical and Biological Weapons Conventions. This situation has been extensively discussed in the open literature. However, the implications for monitoring compliance with the Chemical and Biological Weapons Conventions have received much less attention. This is especially concerning because some countries already have demonstrated their interest in agents and toxins that are not listed in the Chemical Weapons Convention Annex on Chemicals or in the U.S. CDC select agent list.

EFFORT/RESEARCH SOUGHT:

The Bureau of Arms Control, Deterrence, and Stability, seeks to better understand trends in synthetic biology with potential implications for monitoring compliance with the Chemical and Biological Weapons Conventions, with the goal of identifying appropriate monitoring measures.

In this connections, two developments are of particular interest:

1. Metabolic engineering methods that would allow genes for toxins to be incorporated into organisms, such as yeast for instance, and passed to subsequent generations, making available a platform for production of substantial quantities of toxins; and

2. Development of vaccines, such as mRNA-based vaccines, that do not involve production of virus material, thus potentially changing the utility of confidence-building measures involving vaccine production facilities.

T3. Biological Biological Weapons Investigation in Non-Cooperative and Non- Permissive Environment

Up to this point, the UN Secretary General’s Mechanism (UNSGM) related trainings have assumed, for the sake of simplicity, that a mission will be conducted in a fully cooperative and permissive environment. The assumption is that the requesting state has strong incentives to be cooperative and that the environment will be a non-hostile one. However, experience has shown (e.g., Syria in 2013) that neither of these assumptions may be true. The UNSGM needs procedures or guidelines for operating in an environment where some authorities may not be cooperative, and the environment may pose security and safety risks.

EFFORT/RESEARCH SOUGHT:

The Bureau of Arms Control, Deterrence, and Stability seeks to conduct a workshop or tabletop exercise on biological weapons investigation in a non-cooperative and non-permissive environment to identify additional training needs and supportive measures to assist a UNSGM international mission team.

T4. Biological Training Modules for Microbial Forensics and Investigation Techniques

The UN Secretary-General has the authority to investigate an alleged chemical or biological attack at the request of any UN member state. Since the UN Secretary General’s Mechanism (UNSGM) was created in the 1980’s, it has only been used to investigate chemical attacks, most recently in Syria in 2013. The capability for biological attack investigations has not been developed adequately and there are ongoing international efforts underway, supported by the United States, to strengthen the operational capability.

Discussions have made clear that microbial forensics techniques can play an important role in helping the investigating team to determine whether or not the pathogen involved is naturally occurring and how it was produced. Microbial forensics provides specialized needs because of the demand for “evidence” and “proof” in the context of law enforcement or international policy.

EFFORT/RESEARCH SOUGHT:

The Bureau of Arms Control, Deterrence, and Stability seeks to develop the following training modules.

1. Module for Microbial Forensics: develop and integrate training module on microbial forensics that briefly introduces qualified experts to the topic and raises awareness about the value of quality assurance through standardized approaches. This module could also briefly address the challenges encountered when having to discriminate between a natural event and a non-natural event (accident or deliberate release).

2. Module on Investigation Techniques: develop and integrate training module on investigation techniques and forensic awareness (e.g., on-site situation assessment, setting of priorities, sampling and information collection).

T5.

Risk Reduction

Designing a Blueprint for a Maritime Domain Awareness (MDA) Security Architecture /Infrastructure in the Indo-Pacific

The President, Secretary Blinken, and NSA Sullivan have made clear that the United States (U.S.)

is committed to working constructively to manage risks and competition in furtherance of our collective security and global stability. In the Indo-Pacific, and as a response to the People’s Republic of China’s (PRC) growing power and regional ambitions, U.S. allies, security partners, and diplomatic interlocutors have been seeking ways to strengthen their cooperation with the United States and other regional actors to forge new linkages and capabilities to safeguard their security interests.

With respect to Maritime Domain Awareness (MDA), most coastal Indo-Pacific countries have at least some capacity, but there are currently only two national maritime fusion centers (NMFCs) in the Indo-Pacific that come close to fulfilling the mandate expected of such an agency: India and Singapore. India launched the Indian Ocean Region (IFC-IOR) in 2018 to achieve pervasive MDA for the protection of the international rules-based order. The IFC-IOR coordinates among likeminded stakeholders in bilateral and multilateral information sharing networks to deter threats. In Singapore, a national Information Fusion Centre (IFC) was established in 2009 to collate relevant commercial shipping and maritime information to increase MARSEC awareness, with a strong external focus and multinational approach toward defeating threats at sea. The IFC provides actionable information to regional and international navies, coast guard forces, and other maritime agencies to distribute forewarning of new and emerging threats. However, even with the success of these two NMFCs, two critical difficulties limit intra-regional information-sharing among these two NMFCs: dissimilar computer platforms and national standards for classification of intelligence products. Going forward, system compatibility issues will increasingly hinder regional MDA coordination and information sharing as additional countries pursue new or enhanced capabilities and absent an effort to link these systems into a coherent architecture.

The United States intends to continue pursuing measures with responsible partners that aim to bolster stability and security by reducing risk, preventing misperceptions, avoiding conflict, and building trust. The Bureau of Arms Control, Deterrence, and Stability (ADS) is looking to apply its risk reduction and confidence and security-building measures (CSBMs) expertise (as seen, for example, in the Vienna Document 2011, Dayton Peace Accords, and the United Nations’ “Repository of Military Confidence-Building Measures”) to promote stability in other regions of the globe.

EFFORT/RESEARCH SOUGHT:

ADS seeks proposals for the development of a blueprint containing detailed steps and measures on how to build an integrated Maritime Domain Awareness (MDA) security architecture/infrastructure covering the Bay of Bengal, Andaman Sea, South China Sea, and East

China Sea. Participant nations in this proposed linked MDA architecture should include India, Singapore, Indonesia, Philippines, Thailand, Vietnam, Malaysia, Sri Lanka, Japan, ROK, Australia, and others as appropriate/feasible. The blueprint design should also take into account existing maritime capabilities/infrastructure among the above countries and — identify the specific steps needed to build/acquire/develop the architecture’s new physical hardware, software, and staffing requirements. The blueprint should also assess overall architecture funding requirements, identify potential funding sources to build “new” architecture infrastructure, and link these elements to existing MDA infrastructure throughout the region into a coherent interconnected multilateral system.

The final report should categorize all “implementation” recommendations based on: 1) Need/Utility, 2) Achievability/level-of-difficulty to achieve, and 3) Cost effectiveness.

Guiding research for consideration: Please reference the following published reports when conducting the research:

1.) The White House. “Indo-Pacific Strategy of the United States.” Published February 2022.

https://www.whitehouse.gov/wp-content/uploads/2022/02/U.S.-Indo-Pacific- Strategy.pdf

2.) The White House. “Fact Sheet: Indo-Pacific Strategy of the United States.” Published:

February 11, 2023. https://www.whitehouse.gov/briefing-room/speeches-remarks/2022/02/11/fact-sheet-indo-pacific-strategy-of-the-united-states/

3.) The White House. “FACT SHEET: Quad Leaders’ Tokyo Summit 2022.” Published: May 23, 2022. https://www.whitehouse.gov/briefing-room/statements-releases/2022/05/23/fact-sheet-quad-leaders-tokyo-summit-2022/

4.) The White House. “Quad Leaders’ Summit Fact Sheet.” Published: May 20, 2023.

https://www.whitehouse.gov/briefing-room/statements-releases/2023/05/20/quad-leaders-summit-fact-sheet/

5.) U.S. Department of State. “Marking One Year Since the Release of the Administration’s Indo-Pacific Strategy: Fact Sheet.” Published: February 13, 2023.

https://www.state.gov/marking-one-year-since-the-release-of-the-administrations-indo-pacific-strategy/

6.) Daniel K. Inouye Asia-Pacific Center for Security Studies. Security Nexis, Volume: 22 - 2021: “A Network of Maritime Fusion Centers Throughout the Indo-Pacific.” Authors:

Deon Canyon, Wade Turvold, and Jim McMullin. Published: February 2021.https://dkiapcss.edu/nexus_articles/a-network-of-maritime-fusion-centers-throughout-the-indo-pacific/ https://www.whitehouse.gov/wp-content/uploads/2022/02/U.S.-Indo-Pacific-Strategy.pdf https://www.whitehouse.gov/wp-content/uploads/2022/02/U.S.-Indo-Pacific-Strategy.pdf https://www.whitehouse.gov/briefing-room/speeches-remarks/2022/02/11/fact-sheet-indo-pacific-strategy-of-the-united-states/ https://www.whitehouse.gov/briefing-room/speeches-remarks/2022/02/11/fact-sheet-indo-pacific-strategy-of-the-united-states/ https://www.whitehouse.gov/briefing-room/statements-releases/2022/05/23/fact-sheet-quad-leaders-tokyo-summit-2022/ https://www.whitehouse.gov/briefing-room/statements-releases/2022/05/23/fact-sheet-quad-leaders-tokyo-summit-2022/ https://www.whitehouse.gov/briefing-room/statements-releases/2023/05/20/quad-leaders-summit-fact-sheet/ https://www.whitehouse.gov/briefing-room/statements-releases/2023/05/20/quad-leaders-summit-fact-sheet/ https://www.state.gov/marking-one-year-since-the-release-of-the-administrations-indo-pacific-strategy/ https://www.state.gov/marking-one-year-since-the-release-of-the-administrations-indo-pacific-strategy/ https://dkiapcss.edu/nexus_articles/a-network-of-maritime-fusion-centers-throughout-the-indo-pacific/ https://dkiapcss.edu/nexus_articles/a-network-of-maritime-fusion-centers-throughout-the-indo-pacific/

7.) Department of Defense. “Indo-Pacific Strategy Report.” Published: June 1, 2019.

https://media.defense.gov/2019/Jul/01/2002152311/-1/-1/1/DEPARTMENT-OF-

DEFENSE-INDO-PACIFIC-STRATEGY-REPORT-2019.PDF

8.) United States Institute of Peace. “How to Help ASEAN Address South China Sea ‘Gray-zone’ Challenges.” Author: Hoang Do. Published: September 25, 2023.

https://www.usip.org/publications/2023/09/how-help-asean-address-south-china-sea-gray-zone-challenges

9.) Asia Pacific Leadership Network-Vertic Reports-

a. Asia Pacific Leadership Network-Vertic Final Feasibility Report. “Crisis Avoidance:

Preventing Dangerous Maritime Incidents and Unintended Escalation in the Asia-

Pacific.” Authors: Angela Woodward, Shatabhisha Shetty, Tanvi Kulkarni and Frank

O'Donnell. Published December 5, 2023. https://cms.apln.network/wp-content/uploads/2023/11/Crisis-Avoidance-Feasibility-Study-report_Final.pdf

b. Asia Pacific Leadership Network-Vertic Report #1. “Assessing Military and Non-

Military Incidents at Sea in the Asia-Pacific.” Author: Rebecca Strating. Published

July 2023.

https://www.apln.network/projects/maritimeincidents/assessing-military-and-non-military-incidents-at-in-the-asia-pacific

c. Asia Pacific Leadership Network-Vertic Report #2. Author: Collin Koh. Published:

July 2023. “Confidence and Security Building Measures in Southeast Asia's Maritime Domain.”

https://www.apln.network/projects/maritimeincidents/confidence-and-security-building-measures-in-southeast-asias-maritime-domain

d. Asia Pacific Leadership Network-Vertic Report #3. Author: Kyoko Hatakeyama.

Published: August 2023. “Confidence Building Measures in the Maritime Domain in Northeast Asia: An Analysis of Japan-China Maritime and Aerial Mechanisms.”

https://www.apln.network/projects/maritimeincidents/confidence-building-measures-in-the-maritime-domain-in-northeast-asia-an-analysis-of-japan-china-maritime-and-aerial-mechanisms

10.) Institut de Recherche Stratégique de l’Ecole Militaire. “Strategic Brief No. 11 - 2020

- From the Pacific Fusion Center to the Security Information Fusion Center in the Indian Ocean ?” Author: Nicolas Regaud. Published: October 29, 2020.

https://www.irsem.fr/publications-de-l-irsem/breves-strategiques/strategic-brief-no- 11-2020.html

11.) The Hague Centre for Strategic Studies. “Multilateralizing Maritime Security in the Indo-Pacific: How Europe can contribute to regional deterrence.” Author: Stephan https://media.defense.gov/2019/Jul/01/2002152311/-1/-1/1/DEPARTMENT-OF-DEFENSE-INDO-PACIFIC-STRATEGY-REPORT-2019.PDF https://media.defense.gov/2019/Jul/01/2002152311/-1/-1/1/DEPARTMENT-OF-DEFENSE-INDO-PACIFIC-STRATEGY-REPORT-2019.PDF https://www.usip.org/publications/2023/09/how-help-asean-address-south-china-sea-gray-zone-challenges https://www.usip.org/publications/2023/09/how-help-asean-address-south-china-sea-gray-zone-challenges https://cms.apln.network/wp-content/uploads/2023/11/Crisis-Avoidance-Feasibility-Study-report_Final.pdf https://cms.apln.network/wp-content/uploads/2023/11/Crisis-Avoidance-Feasibility-Study-report_Final.pdf https://www.apln.network/projects/maritimeincidents/assessing-military-and-non-military-incidents-at-in-the-asia-pacific https://www.apln.network/projects/maritimeincidents/assessing-military-and-non-military-incidents-at-in-the-asia-pacific https://www.apln.network/projects/maritimeincidents/confidence-and-security-building-measures-in-southeast-asias-maritime-domain https://www.apln.network/projects/maritimeincidents/confidence-and-security-building-measures-in-southeast-asias-maritime-domain https://www.apln.network/projects/maritimeincidents/confidence-building-measures-in-the-maritime-domain-in-northeast-asia-an-analysis-of-japan-china-maritime-and-aerial-mechanisms https://www.apln.network/projects/maritimeincidents/confidence-building-measures-in-the-maritime-domain-in-northeast-asia-an-analysis-of-japan-china-maritime-and-aerial-mechanisms https://www.apln.network/projects/maritimeincidents/confidence-building-measures-in-the-maritime-domain-in-northeast-asia-an-analysis-of-japan-china-maritime-and-aerial-mechanisms https://www.irsem.fr/publications-de-l-irsem/breves-strategiques/strategic-brief-no-11-2020.html https://www.irsem.fr/publications-de-l-irsem/breves-strategiques/strategic-brief-no-11-2020.html

Frühling. Published: March 2022. https://hcss.nl/wp-content/uploads/2022/03/GTC7-Fruehling-HCSS-2022-1.pdf

12.) North Atlantic Treaty Organization. NATO-OTAN. “Regional Perspectives Report on the Indo-Pacific.” Authors: NATO Strategic Foresight Analysis Team. Published May 2023. https://www.act.nato.int/wp-content/uploads/2023/05/regional-perspectives-2022-07-v2-1.pdf

13.) Center for Strategic & International Studies- The Asia Maritime Transparency Initiative. “Strategic Upgrades in the Pacific.” Published: June 15, 2023.

https://amti.csis.org/strategic-upgrades-in-the-pacific/ and other reports found at:

https://amti.csis.org/analysis/

14.) The United States Studies Centre (A joint venture of the American Australian

Association and the University of Sydney, with financial support from the Australian Government). “Bolstering the Quad: The case for a collective approach to maritime security.” Authors: Tom Corben, Ashley Townshend, Blake Herzinger, Dr. Tomohiko Satake, and Darshana M. Baruah. Published: June 8, 2023.

https://www.ussc.edu.au/bolstering-the-quad-the-case-for-a-collective-approach-to-maritime-security

15.) The Pacific Fusion Centre. https://www.pacificfusioncentre.org/

16.) U.S. Department of Defense. “The Pacific Deterrence Initiative: Department of Defense Budget Fiscal Year (FY) 2024.” Published: March 2023.

https://comptroller.defense.gov/Portals/45/Documents/defbudget/FY2024/FY2024

Pacific_Deterrence_Initiative.pdf

17.) U.S. Department of Defense. “Fact Sheet: Department of Defense Concludes

'Decisive Year' in the Indo-Pacific Region.” Published: December 27, 2023.

https://www.defense.gov/News/Releases/Release/Article/3626886/fact-sheet-department-of-defense-concludes-decisive-year-in-the-indo-pacific-re/

18.) United States Senate Committee on Armed Services. “Summary of the Fiscal Year

2024 National Defense Authorization Act.” Published: FY2024. https://www.armed-services.senate.gov/imo/media/doc/fy24_ndaa_conference_executive_summary1.p df https://hcss.nl/wp-content/uploads/2022/03/GTC7-Fruehling-HCSS-2022-1.pdf https://hcss.nl/wp-content/uploads/2022/03/GTC7-Fruehling-HCSS-2022-1.pdf https://www.act.nato.int/wp-content/uploads/2023/05/regional-perspectives-2022-07-v2-1.pdf https://www.act.nato.int/wp-content/uploads/2023/05/regional-perspectives-2022-07-v2-1.pdf https://amti.csis.org/strategic-upgrades-in-the-pacific/ https://amti.csis.org/analysis/ https://www.ussc.edu.au/bolstering-the-quad-the-case-for-a-collective-approach-to-maritime-security https://www.ussc.edu.au/bolstering-the-quad-the-case-for-a-collective-approach-to-maritime-security https://www.pacificfusioncentre.org/ https://comptroller.defense.gov/Portals/45/Documents/defbudget/FY2024/FY2024Pacific_Deterrence_Initiative.pdf https://comptroller.defense.gov/Portals/45/Documents/defbudget/FY2024/FY2024Pacific_Deterrence_Initiative.pdf https://www.defense.gov/News/Releases/Release/Article/3626886/fact-sheet-department-of-defense-concludes-decisive-year-in-the-indo-pacific-re/ https://www.defense.gov/News/Releases/Release/Article/3626886/fact-sheet-department-of-defense-concludes-decisive-year-in-the-indo-pacific-re/ https://www.armed-services.senate.gov/imo/media/doc/fy24_ndaa_conference_executive_summary1.pdf https://www.armed-services.senate.gov/imo/media/doc/fy24_ndaa_conference_executive_summary1.pdf https://www.armed-services.senate.gov/imo/media/doc/fy24_ndaa_conference_executive_summary1.pdf

T6. Risk Reduction How to conduct targeted implementation of risk reduction, confidence and security building measures (CSBMs), and capacity building in the Indo-Pacific region in an era of intense strategic competition

The Bureau of Arms Control, Deterrence, and Stability (ADS) has historically served as the lead within the Department for all matters related to existing and prospective Eurasian and Euro- Atlantic arms control, nonproliferation, and disarmament agreements, in addition to security and stability arrangements concerning conventional and non-nuclear weapons and forces, including the development and adoption of approaches for achieving such policies. More recently, ADS is working to lead efforts globally to assist other States at the regional level to reduce the risk of armed escalation or miscalculation, as well as improve trust and transparency by sharing U.S. expertise in risk reduction and helping broker agreements or arrangements between States to promote strategic stability.

Despite the recent erosion of conventional arms control regimes in Europe, the United States intends to continue pursuing…