DHS Justification FY21-00260 - SAM.gov.pdf

U.S. Department of Homeland Security Justification and Approval for Other Than Full and Open Competition

JUSTIFICATION AND APPROVAL FOR OTHER THAN FULL AND OPEN

COMPETITION

41 U.S.C. 3304(a)(7)

Justification and Approval No. FY21 – 00260

Pursuant to the requirements of the Competition in Contracting Act (CICA) as implemented by the Federal Acquisition Regulation (FAR) Subpart 6.3 and in accordance with the requirements of FAR 6.303-1, the justification for the use of the statutory authority under FAR Subpart 6.3 is justified by the following facts and rationale required under FAR 6.303-2 as follows:

1. Agency and Contracting Activity.

The Department of Homeland Security (DHS), Office of Procurement Operations (OPO), in support of DHS, Office of the Chief Financial Officer (OCFO), Program Analysis and Evaluations (PA&E) proposes to enter into a contract on a basis other than full and open competition.

2. Nature and/or Description of the Action being Approved.

DHS intends to procure on a sole source basis an assessment and provided recommendations aimed at optimizing the effectiveness of the Department’s research and development (R&D) portfolio. These requirements have not been previously procured at DHS. Aforementioned support shall be provided through the National Science Foundation (NSF), Science and Technology Policy Institute (STPI) Federally Funded Research and Development Center (FFRDC) vehicle awarded to the Institute for Defense Analysis (IDA), 4850 Mark Center Drive, Alexandria, VA, 22311. It is anticipated that the proposed NSF STPI Task Order, directly executed by DHS, OPO, shall be awarded on a time and materials basis. The total estimated performance period and cost of this effort is represented below:

Estimated Performance Period Estimated Amount

09/13/2021 – 06/12/2022 $677,186

The DHS R&D budget represents just a fraction of the U.S. Federal R&D budget. Given the limited R&D budget of the Department it is imperative DHS manage these resources effectively. This includes internal and external collaboration and coordination to maximize leverage of existing or ongoing research and avoid duplicative and redundant efforts. Even with optimization of DHS R&D resources, including leveraging of other Federal and private sector research programs, existing Department research budgets can only address a fraction of needs. Efforts referenced within this document will include assessment support and the development of recommendations for a “right-sized” research program, structure, and budget to support the homeland security enterprise.

U.S. Department of Homeland Security Justification and Approval for Other Than Full and Open Competition

3. Description of Supplies/Services.

Under this requirement the referenced provider will develop a project plan, detailing the schedule, resources to be applied to each task and any critical milestones. Additionally, a review of all government furnished information will occur, including for example:

• Annotated bibliography of Federal and DHS of relevant existing U.S. Federal government policies, doctrine, strategies, Executive Orders (EOs), memoranda, budgetary information, and other documents.;

• Summary report documenting the general Federal framework under which DHS R&D is conducted, within, including identification of key leading Federal research organizations and their responsibilities, as are relevant to the DHS mission;

• Annotated bibliography of literature reviewed to identify R&D governance models in organizations similar to DHS;

• Report documenting best practices of research organizations similar to DHS, to be considered as possible alternatives for DHS to consider;

• Catalog and baseline of existing DHS R&D efforts.

Additionally, it is anticipated that the following tasks will also be completed under the scope of the subject effort:

• Analyze whether the Department’s existing research and development architecture is optimal – whether each agency should conduct its own research while S&T, for example, remains the central but parallel office of research and development – or whether a different architecture would be best (e.g., whether research and development should be housed in S&T with representatives of each agency and office located in S&T).

Considerations will include Technology Readiness Levels (TRL – NASA), project duration, project security classification, and joint program use.

• Utilize GFI, including identified alternatives, to benchmark the Department of Homeland Security’s research and development architecture against other federal and non-governmental organizations that perform research and development. The assessment will include evaluation of alternative research and development architecture/organizational structures. IDA will utilize the GFI and the DHS R&D assessment and comparison to other R&D organizations to develop alternative R&D architectures and resource investment profiles. These alternatives should include implementation plans, and need to indicate the benefits, limitations and cost as compared to the DHS status quo. This will include developing a briefing and summary document that will be presented to DHS leadership for consideration.

• Analyze whether each agency or office that conducts research and development is harnessing the efforts underway elsewhere in the Department, across the federal government, and externally, including in the private sector. IDA will analyze whether the Department as a whole is harnessing the research and development efforts underway elsewhere.

U.S. Department of Homeland Security Justification and Approval for Other Than Full and Open Competition

• Assess DHS Tech Scouting capabilities, reviewing GFI, along with Component interviews to determine if all reporting Components have capabilities in place to identify parallel research and development efforts within and without DHS and the federal government. And, where such capabilities exist, the performer will determine if they are being properly utilized to avoid duplicative research and development activities and inefficient resource expenditure. This will include developing a briefing and summary document that will be presented to DHS leadership for consideration.

• Analyze whether each agencies and office’s investment, and the Department’s overall investment in, research and development are sufficient to achieve optimal innovation and advancement of mission. This will include developing a briefing and summary document that will be presented to DHS leadership for consideration.

4. Identification of Statutory Authority Permitting Other Than Full and Open

Competition.

The statutory authority permitting other than full and open competition is 41 U.S.C.3304(a)(1) implemented by the FAR Subpart 6.302-3 Industrial mobilization;

engineering, developmental, or research capability; or expert services.

5. Demonstration that the proposed contractor’s unique qualifications or the nature of the acquisition requires use of the authority cited.

Leveraging the NSF, STPI FFRDC vehicle through the authority of FAR Subpart 6.302-3 Industrial mobilization; engineering, developmental, or research capability; or expert services provides DHS with the ability to secure critical assessment and recommendation support from a highly knowledgeable and experienced non-profit research provider, IDA, that is independent, and free of actual or perceived conflict or bias. The NSF STPI vehicle, as an established FFRDC is free of conflict, to include for example, ongoing business relationships associated with research topics to be explored and analyzed under this effort. Furthermore, NSF STPI may have access to privileged information within the areas of Federal S&T and R&D, and due to its status as an FFRDC, has no stake in such information.

In this particular instance, the nature of the work is intended to guide internal government decisions related to S&T and specifically, research programs, structure, and budget supporting the homeland security enterprise. NSF STPI, as an FFRDC, is inherently aligned with such work. Information developed as a result of research and analysis conducted and the resulting recommendations provided will be delivered by NSF STPI where they are not in any position to benefit from project outcomes and/or recommendations.

Attempting to secure another provider in this instance may result in research, analysis and recommendations provided that do not meet the level of expertise and knowledge provided through NSF, STPI, and that include potential undue influence. It is critical that in support of this effort DHS secure a provider that offers both the expert research capability as outlined within FAR Subpart 6.302.3, and further, they are able to provide the expert research

U.S. Department of Homeland Security Justification and Approval for Other Than Full and Open Competition capability and recommendations independent, and free of actual or perceived conflict or bias.

As specifically represented within FAR Subpart 35.017 Federally Funded Research and Development Centers (FFRDCs), the FFRDC is required to conduct its business in a manner befitting its special relationship with the Government, to operate in the public interest with objectivity and independence, to be free from organizational conflicts of interest, and to have full disclosure of its affairs to the sponsoring agency. Leveraging the NSF STPI FFRDC vehicle, necessary expertise is secured with an appropriate level of objectivity and independence necessary to successfully perform those requirements represented within this document.

6. Description of Efforts Made to Ensure that Offers are Solicited from as Many Potential

Sources as is Practicable.

Efforts were not made to solicit offers from private sector entities since they may have ongoing business relationships associated with research topics included within the subject requirements. As represented within the market research section below, based on the scope of requirements here, a review of DHS internal FFRDC solutions as well as Government-wide FFRDC solutions was conducted and a determination made to leverage the NSF, STPI vehicle as represented within this document.

DHS intends to post this Justification on beta.SAM.gov pursuant to FAR Subpart 6.305 Availability of the justification.

7. Determination by the Contracting Officer that the Anticipated Cost to the Government will be Fair and Reasonable.

The contracting officer determines that the anticipated price(s) will be fair and reasonable based on contract pricing negotiated and established by NSF as represented within the awarded STPI FFRDC vehicle. Further, DHS will work closely with NSF STPI in reviewing labor mix, level of effort, and materials proposed in support of the DHS requirements to ensure the total anticipated cost to the Government is determined to be both fair and reasonable.

8. Description of Market Research.

DHS performed market research which consisted of the following actions: review of potential Government sources in accordance with FAR 8.002(a)(2)(Services); reviewing existing DHS contract vehicles; reviewed Government-wide FFRDC vehicles focused on S&T and R&D assessment and recommendation efforts; and reviewed available Federal Supply Schedule (FSS) Vehicles (Government-wide Acquisition Contract (GWAC), Multiple Award Schedule (MAS)).

In reviewing internal FFRDC solutions, the established DHS, Homeland Security Operational Analysis Center (HSOAC) vehicle was considered. To ensure assessment and recommendation efforts are provided for in an independent unbiased manner (actual or

U.S. Department of Homeland Security Justification and Approval for Other Than Full and Open Competition perceived), a decision was made not to utilize the referenced DHS, HSOAC vehicle which is administered by DHS, Science & Technology (S&T). A majority of the enterprise R&D efforts and associated funding is managed by S&T. Because of this, an approved DHS waiver from using the HSOAC vehicle was secured. Leveraging the NSF, STPI FFRDC vehicle in support of this effort will ensure assessment efforts and actionable recommendations will be provided for in an independent unbiased manner (actual or perceived).

Additionally, other FFRDCs were reviewed and considered, however, as represented above, it was recognized that the NSF, STPI FFRDC vehicle offered both the expert research capability, and further, the ability to provide that expert research capability and actionable recommendations, independent, and free of actual or perceived conflict or bias. Referenced market research included a review of both internal (above referenced DHS, HSOAC vehicle which a waiver was secured) and external FFRDC solutions, where the NSF STPI expertise included extensive analysis of Defense and Civilian science and technology and research and development efforts as well as private industry best practices and solutions. Based on the market research conducted and briefly touched on above, a determination was made to pursue a solution that includes the direct execution of an order under the NSF STPI vehicle.

The NSF STPI FFRDC vehicle and awarded vendor IDA have the expertise and recognized independence available to execute the entirety of the scope while achieving best value to the Government in an efficient and effective manner.

9. Any Other Facts Supporting the Use of Other Than Full and Open Competition.

N/A

10. A Listing of the Sources, if Any That Expressed, in Writing, an Interest in the Acquisition.

A DHS Acquisition Planning Forecast System (APFS) record F2021056001 was posted on August 30, 2021. As of the date of this document, no responses have been received.

11. A Statement of the Actions, if Any, the Agency May Take to Remove or Overcome Any

Barriers to Competition Before Any Subsequent Acquisition for Supplies or Services Required.

DHS will perform market research as required in exploring available solutions, which may potentially satisfy similar requirements in the future, in the event the Department has such a need. To the maximum extent practicable, DHS will pursue a competitive approach for soliciting similar requirements in the future if and where project outcomes are not predicated on critical assessment and recommendation support from a highly knowledgeable and experienced non-profit research provider, that is independent, and free of actual or perceived conflict or bias.

U.S. Department of Homeland Security Justification and Approval for Other Than Full and Open Competition

12. Contracting Officer’s Certification. I certify that the data supporting the recommended use of other than full and open competition is accurate and complete to the best of my knowledge and belief.

Contracting Officer DHS, Office of Procurement Operations

13. Technical/Requirements Personnel Certification. I certify this requirement meets the Government’s minimum need and that the supporting data, which forms a basis for this justification, is complete and accurate.

Technical Representative DHS, Program Analysis and Evaluations

APPROVAL:

Contracting Officer DHS, Office of Procurement Operations