DTRA_FY22 BAA_HDTRA1-22-S-0004.pdf

DEFENSE THREAT REDUCTION AGENCY

STRATEGIC INTEGRATION DIRECTORATE

STRATEGIC TRENDS AND EFFECTS DEPARTMENT

STRATEGIC TRENDS DIVISION (SI-STT)

BROAD AGENCY ANNOUNCEMENT

HDTRA1-22-S-0004

Table of Contents

GENERAL INFORMATION

I. PROGRAM DESCRIPTION

II. BROAD AGENCY ANNOUNCEMENT (BAA) PROCESS

III. ELIGIBILITY INFORMATION

IV. AWARD INFORMATION

V. PHASE I – WHITE PAPER SUBMISSION

VI. PHASE II – PROPOSAL SUBMISSION

VII. EVALUATION & SELECTION PROCESS

VIII. ADMINISTRATION INFORMATION

IX. SPECIFIC RIGHTS RESERVED FOR GOVERNMENT

X. AGENCY CONTACTS

XI. OTHER INFORMATION

ATTACHMENT 1: DRAFT STATEMENT OF RESEARCH WORK TEMPLATE

BROAD AGENCY ANNOUNCEMENT

HDTRA1-22-S-0004

GENERAL INFORMATION

NAICS CODE: 541715

FEDERAL AGENCY NAME:

Defense Threat Reduction Agency (DTRA) Strategic Integration Directorate, Strategic Trends and Effects Department, Strategic Trends Division (SI-STT) 8725 John J. Kingman Road, Fort Belvoir, VA 22060-6201

BROAD AGENCY ANNOUNCEMENT TITLE: Strategic Trends Research Initiative (STRI)

BROAD AGENCY ANNOUNCEMENT NUMBER: HDTRA1-22-S-0004

I. PROGRAM DESCRIPTION:

1. Statement of Objective and Need

The Defense Threat Reduction Agency (DTRA) enables the U.S. Department of Defense (DoD), the U.S. Government (USG), and International Partners to counter and deter Weapons of Mass Destruction (WMD) and emerging threats. When referring to WMD, the Agency is specifically focused on nuclear, chemical, and/or biological weapons. When referring to emerging threats, the Agency is focused on the development of materials or methodologies with the potential to create new, or increase the impact of, existing forms of traditional WMD.

The weaponization and/or employment of known or previously undiscovered pathogens, the advancement of a new means to deliver chemical or biological weapons more efficiently, or the novel use of traditional WMD material in previously unknown ways, for instance, are all examples of such threats.

The Strategic Integration Directorate (SI), Strategic Trends and Effects Department (ST), Strategic Trends Division’s (SI-STT) primary responsibility is to generate operationally-relevant, timely, credible, actionable insights and recommendations into emerging threats within DTRA’s mission space in order to enable and guide warfighter understanding of the range of military operations in the next five (5) to ten (10) years. DTRA SI-STT provides an advisory role. Its activities focus on characterizing the future battlespace to inform future DTRA and DoD operations, activities, and investments, particularly in areas most relevant to DTRA’s mission space. This five (5) to ten (10) year timeframe was specifically chosen to allow DTRA, DoD, and the countering WMD community an appropriate amount of time to mitigate the anticipated threats.

Given the complexity of the challenges/topic areas and the need to consider and incorporate a range of viewpoints and analyses, DTRA SI-STT seeks to partner with the expert community to achieve mission success. This is achieved by sponsoring analytic research efforts through the Strategic Trends Research Initiative (STRI). STRI delivers analytic research products that not only provide insight into the future battlespace in mission-relevant areas but also identify operationally-relevant recommendations for how (in priority order) DTRA, DoD, and more broadly the USG can address the identified challenges, threats, and issues, including in cooperation with partners and allies.

DTRA SI-STT is announcing its intent to solicit white papers and proposals for analytical research through this Broad Agency Announcement (BAA). This strategy provides an acquisition tool to allow for the flexibility to solicit unclassified white papers and proposals from the external expert community and make awards for expert-driven analytic research efforts that meet present, emerging, and future needs. While analytic research can take many forms, DTRA SI-STT prioritizes the development of analytic research reports resulting from strategic dialogues, studies, and tabletop exercises (TTXs). DTRA SI-STT will provide guidance and direction throughout the life of awarded projects to ensure they meet DTRA’s needs.

The awarded research efforts constitute applied research and development rather than assistance and advisory services. DTRA SI-STT is soliciting independently-produced deliverables that are designed to identify and answer specific research questions using a specific research methodology that the applicant proposes. These methodologies (or approaches) can involve the conduct of a strategic dialogue or TTX as a mechanism to answer the specified research question. The dialogue or TTX itself is not the expected output from the research project. Rather, it is the analysis of the findings from those events to inform a broader analytic research effort. The rigorous analysis will result in research products, which will inform DTRA and DoD’s thinking and advance applied scientific and technical knowledge in the specified topic area.

2. Anticipated Open Period

a. This announcement will remain open until replaced by a successor BAA or until it is cancelled.

b. DTRA SI-STT will institute priority white paper evaluation periods with deadlines for priority consideration at specific points in the fiscal year as a work/funds management mechanism. These will be advertised via BAA amendments, which will also outline any revisions to the research thrusts. However, white papers and proposals can be submitted at any time and will be evaluated as they are received outside of the priority review periods.

c. Any decisions to pause submissions and evaluations temporarily will be communicated via BAA amendments.

3. Explanation of Research Interests

a. This BAA provides a means to solicit analytic research efforts, which may feature the conduct of a traditional research study, dialogue, or TTX to answer specific research questions. While these projects can take many forms, DTRA SI-STT is not seeking the following:

Databases or datasets Hardware, software, models, simulations, or technologies Any research that requires DTRA SI-STT to purchase a data subscription or tool Studies that solely ‘data mine,’ review, and/or provide summaries of, the extant literature base Any projects that exclusively involve the planning and execution of an event

b. While researchers may incorporate literature reviews and data collections into their technical approaches, the project should not solely focus on generating these items.

The research products must characterize the extent of the trend or the emergence of a technology AND identify the implications to the warfighter. DTRA SI-STT needs to understand how and when this will occur and what will result from its emergence or implementation in order to best perform its mission.

c. While researchers may conduct events (e.g. dialogues, TTXs, roundtables, and workshops) to explore and address specific research questions, the project must incorporate broader analytic activities prior to and/or following those events. The event itself will not be considered a deliverable, nor will a summary report of the proceedings.

d. DTRA SI-STT is not seeking:

Research that is primarily focused on economics/commerce issues Research that is primarily focused on the policy realm

Research that is primarily focused on issues where the Interagency (vice DoD) takes lead

Research that is primarily focused on other threat domains and does not address topics that are core to DTRA’s WMD-focused mission

e. DTRA SI-STT will consider research projects that may result in policy recommendations insofar that DTRA has equities in that policy area and normally advocates for changes to policy/guidance through normal advisory activities.

However, the policy element of the research project should be limited. Likewise, while some analytic research may require examination of other threat domains (e.g., cyber, space, etc.), DTRA SI-STT is only interested in those research efforts that explore the nexus between those threat domains and the issues that are core to DTRA’s WMD mission set.

f. DTRA SI-STT does not fund research using human or animal subjects.

4. Research Thrust Areas

a. While the research thrust areas are enduring for the life of this BAA, the specific priorities within each thrust may be modified at any time due to evolving DTRA SI- STT mission needs and changes in the geopolitical environment. Changes to these thrusts, and specific priorities within each, will be articulated in BAA amendments that are issued at least once per fiscal year (FY). FY22 priorities will be detailed in a separate amendment.

b. The three (3) research thrusts are as follows:

Thrust Number

Thrust Title Description

1 WMD-Relevant Track 1.5 and Track 2 Strategic Dialogues

DTRA SI-STT is seeking research projects that involve the execution and analysis of findings from, bilateral and multilateral Track 1.5 and Track 2* strategic dialogues that provide a venue and engagement framework for structured, but informal discussions among subject matter experts, held under the “Chatham House Rule”. These dialogues can help provide the United States with strategic insights necessary to develop deeper, more meaningful relationships with existing allies and partners and/or establish new relationships with non-traditional partners as a mechanism to address mutual security challenges in the Indo- Pacific region. DTRA SI-STT is particularly interested in dialogues that examine DoD and DTRA-relevant security challenges, especially those related to a rising China. The dialogues and accompanying analysis should provide insight into how allies and partners view the strategic landscape, how they prioritize threats, and identify cooperative measures that can be taken to address them.

2 WMD-Relevant Research Studies to Characterize the Future Battlespace (5 to 10 Years from Present)

DTRA SI-STT is seeking analytic research studies that explore specific WMD-relevant threats, challenges, and issues of concern to the U.S. military. The studies should explore not only what the threat, challenge, or issue is and why it is strategically important, but also consider the impact on regional and global stability, and the implications for the U.S. military to maintain operational advantage. Each study – whether regionally or functionally-oriented – should specify actions the United States can take, including potentially in cooperation with allies and partners, to address the challenge, threat, or issue.

3 WMD-Relevant Tabletop Exercises

DTRA SI-STT is seeking analytic research efforts that primarily involve the execution and analysis of TTXs that strengthen the DTRA workforce’s ability to: understand the multi-faceted and complex challenges facing the Joint Force;

recognize requirements that may be placed on a Combatant Command in a crisis or conflict situation; and anticipate opportunities for DTRA to support. Each exercise and accompanying analysis should draw important insights and implications for the United States’ ability to maintain its operational military advantage.

*Track 1.5 and Track 2 dialogues are bilateral or multilateral unofficial meetings that provide an opportunity for American experts to discuss important, and sometimes sensitive, strategic issues with their foreign counterparts in a private, welcoming environment, outside of official diplomatic channels (Track 1). Track 2 dialogues involve non-governmental expert representatives, to include former government officials. Current government officials do not participate unless they are providing a keynote address or are observing, which may be appropriate depending on the specific dialogue. Track 1.5 dialogues involve a mix of government officials - who participate in an unofficial capacity - and non-governmental experts.

Track 1.5 discussions include government personnel on panels and in keynote speaker slots alongside non-government experts.

c. Applicant should be mindful of the following considerations for each thrust:

Thrust Number

Thrust Title

Considerations

1 WMD-

Relevant Track 1.5 and Track 2 Strategic Dialogues

The dialogues and accompanying analysis shall primarily focus on identifying and analyzing points of convergence and divergence in threat perspectives, obstacles, and opportunities for further collaboration and cooperation in military-relevant (and especially WMD-relevant) areas, and potential activities that might be undertaken in support of shared security objectives.

Each research project should generate a list of insights and recommendations at the conclusion for DTRA, DoD, and the CWMD community to consider.

While the discussions should be strategic in nature and be aligned to DoD/USG priorities, the meetings that inform the larger analytic effort shall include at least one segment focused on topics that fall directly within DTRA’s purview.

• These include, but are not limited to, deterrence; strategic stability; nuclear, biological, and chemical security; WMD acquisition, proliferation, and use; WMD risk reduction and arms control;

identification and response to intentional or accidental chemical, biological, radiological, or nuclear (CBRN) release;

proliferation of dual-use technologies; and emerging technologies and capabilities that can be used to achieve or maintain operational advantage.

• As WMD development generally tracks with development of CBRN, dissemination methods (i.e., missile systems), and enabling technologies (i.e., science, technology, engineering disciplines), addressing areas that promote a desire/willingness to proceed with WMD development or would increase access and/or proliferation of WMD is especially important.

DTRA SI-STT is especially interested in those dialogue projects that have the potential to build from year to year, advancing the discussion and understanding on important strategic issues.

White papers should describe potential topics for consideration and explain why they’re important.

If awarded, dialogue leads are expected to:

• Identify salient research questions and conduct preliminary research in order to inform the development of the dialogue’s agenda in coordination with DTRA and other stakeholders.

• Develop, vet, and coordinate the invitation list and agendas for all meetings connected to the dialogue with DTRA SI- STT.

Careful selection of participants (including those in non-speaking roles) is needed to ensure the dialogue addresses and answers critical questions. Leads should promote balance in participation along ideological, gender, age, technical/policy, and organizational affiliation lines to avoid bias. Dialogue events are non-partisan.

Panelists should be selected to ensure parity among all delegations (e.g., seniority and experience).

• Keep the sessions on track with the agreed agenda, introducing new concepts, challenging assumptions of the audience, and posing questions that generally do not allow for simple answers or solutions, all while building rapport between participants.

The insights and recommendations generated at the dialogue meetings should serve as the basis for the final technical report along with any additional analysis of the topic. The final technical report should not constitute a meeting summary, but rather an analysis of the discussion findings in order to answer the specified research question(s).

2 WMD-

Relevant Research Studies to Characterize the Future Battlespace (5 to 10 Years from Present)

DTRA SI-STT will not consider any studies that do not include a clear focus on WMD issues/topics. It welcomes studies that address the nexus with other warfighting domains (e.g., cyber or space), but those studies should be oriented in a way that aligns with DTRA’s WMD-focused mission.

For Country-Specific Studies: Priority will be given to studies that focus on China or Russia.

China is the primary priority while Russia is the secondary priority. Studies specifically focused on Democratic People’s Republic of Korea (DPRK) and Iran are welcome so long as they consider issues related to regional or global stability. However, they are a lesser priority.

For Functionally-Oriented Studies: Priority will be given to studies that address military-relevant topics that will impact the future military operating environment.

3 WMD-

Relevant Tabletop Exercises

All TTXs should involve participation from DTRA and the broader DoD as well as other experts from the CWMD community as appropriate. TTXs that primarily involve participation from the non-government community as part of a broader research study should be proposed under Thrust Area 2.

TTXs that are intended to serve as one of multiple inputs to a larger research study output should be proposed under Thrust Area 2

TTXs serve a vital role in the exploration of difficult challenges and can positively impact workforce development and understanding.

Each TTX needs to be a stand-alone effort to achieve a limited number of objectives that will help DTRA to understand the implications of future WMD-related development or employment – and the U.S. responses to such an event.

The resulting technical report should summarize the problem statement and objective, mechanics and approach, and decisions made. It should also include an analysis of lessons learned and resulting insights and recommendations for DTRA and the DoD.

5. Requests for Information/Industry Days

a. Before submitting a white paper, you may wish to learn more about the research thrust areas and ask questions. Applicants can ask questions using the email addresses found in section X. DTRA will also host STRI Research Topic Information Sessions (or industry days) at certain points during the fiscal year. The timing of these events may correspond with the issuance of BAA amendments articulating updated research thrusts and/or priority topics to be considered.

b. Dates and registration information will be announced in forthcoming BAA amendments. While attendance is not required, it is highly encouraged.

6. Deliverables

a. All research projects awarded under this BAA will result in the same core deliverables as follows:

Item Deliverable Requirements 1 Monthly technical and financial progress report Use DTRA SI-STT template Submit no later than 15 calendar days following every 30-day period upon award

Submit at the same time as the monthly labor invoice unless otherwise specified in the contract award

2 Draft Technical Report and Corresponding Executive Summary

Use DTRA SI-STT template Submit no later than 30 days prior to the end of the period of performance for Government review

Ensure language, tone, and level of detail is suitable for a diverse US Government audience, especially DTRA and DoD

Includes key findings and recommendations

Align with page requirements, not including cover material, table of contents, and appendices o Technical Report – 12 to 15 pages o Executive Summary – No more than 3 pages

3 Final Technical Report and Corresponding Executive Summary

Same as above with the following changes:

Submit no later than one week prior to the end of the period of performance for Government review

Incorporate and address feedback on draft report and ensure the text is properly copy edited and formatted

4 Briefings Kickoff briefing no later than 30 days post award

Midpoint in-progress review (IPR) briefing

Outbrief within the last month of the period of performance

Note: DTRA SI-STT may request additional briefings at DTRA events or to other Government personnel.

5 Closeout Report Use DTRA SI-STT template Submit no later than the end of the period of performance Cover both technical and financial elements in a single document

b. DTRA SI-STT will not accept alternative deliverables other than those specified above.

Should an applicant desire to propose supplementary deliverables, they shall be represented as research tasks in the proposal and corresponding Statement of Research Work (SoRW).

c. If appropriate, DTRA SI-STT will pursue an unlimited distro/public release determination of the technical reports and executive summaries to provide the greatest flexibility to share in Government channels and, as applicable, with other researchers.

Reports may be posted on the public-facing DTRA website. Potential sensitivities that would hinder or prevent the publication of a fully releasable report should be identified at the earliest opportunity to develop options. DTRA Public Affairs requires 15 business days to provide a release determination on reports DTRA SI-STT recommends for unlimited distro/public release. This timeframe includes a security review.

d. Performers are permitted to develop other reports and articles for public consumption based upon their DTRA SI-STT-sponsored research. However, DTRA SI-STT needs to receive and approve the technical deliverables before those documents are published in accordance with DFARS 252.204-7000 (Disclosure of Information).

II. BAA PROCESS:

1. There is a two-phase submission process to achieve a funded project. Phase I consists of the submission and evaluation of a short white paper. Phase II consists of the submission and evaluation of a full proposal.

2. Phase 1 (White Paper): Applicants may submit a white paper package (via a single email attachment) to any of the BAA’s research thrust areas (separate email addresses for each thrust). Submissions of the same white paper to multiple thrust areas will not be considered, but multiple submissions (e.g., different white papers from the same organizational source) are allowed. Please select the thrust area that best aligns with the research concept explained in the white paper. If an applicant’s Phase I package is selected, the applicant will be invited (via email) to submit a Phase II package (proposal). If the Phase I package is not selected, the applicant will receive an email advising them of the decision with an explanation.

DTRA is unable to provide additional information beyond the email response, to include phone calls or meetings, for unapproved white papers. Applicants with approved white papers may seek clarifications on the proposal requirements via email. Approval of a white paper does not guarantee the project will be funded.

3. Phase 2 (Proposal): Applicants who receive a notice of selection of their Phase I submissions will be invited to submit a complete proposal via email consisting of no more than four (4) components: (1) Technical Proposal, (2) Cost Proposal, (3) Draft SoRW, and (4) Supplemental Information. An invitation to submit a proposal should not be construed as an obligation on the part of the Government. All proposals will be evaluated based on DTRA SI-STT’s mission needs and availability of funds. If the Phase II package is not approved, the applicant will receive an email advising them of the decision with an explanation.

4. White papers and proposals submitted under this BAA will be protected from unauthorized disclosure IAW FAR 3.104-5 and 15.207.

a. Prior to gaining access to white papers/proposals, all DTRA SI-STT government civilian and military personnel involved in white paper and proposal evaluation and selection process will be required to execute a Non-Disclosure Agreement (NDA) and certify that no organizational conflicts of interest (COI) exist between the evaluator, the applicant, or any proposed sub-contractors.

b. Technical evaluation panel members – comprised of DTRA SI-STT government civilian and military personnel – will only have access to white papers and proposals they are assigned to evaluate.

c. DTRA intends to use Advisory and Assistance Services (A&AS) contractors specifically designated to provide acquisition administrative support to STRI to support BAA-related activities. This includes assisting with file management and documenting the submission and evaluation process under the direction of, and as requested by, Government personnel.

All support will be purely administrative and the designated A&AS contractors will not contribute to any evaluation or selection activities.

These duties require the designated A&AS contractor personnel to have access to the white papers and proposals, which are secured in a permissions-based electronic file. All personnel will have a NDA/OCI form on file.

At the time of publishing this BAA, the designated A&AS contractor is Seventh

Sense Consulting.

5. All white papers and proposals must be unclassified. While DTRA SI-STT prioritizes unclassified research that will result in deliverables suitable for public release, it will consider, in certain circumstances, research from eligible institutions that may result in the production of a controlled or classified document.

III. ELIGIBILITY INFORMATION:

1. All qualified applicants from the following organizational types are eligible to submit unclassified white papers in response to this BAA.

a. U.S.-based industrial, and commercial entities, including small businesses

b. Accredited, degree granting public and private colleges and universities in the United States.

c. U.S.-based, not-for-profit research organizations, including think tanks

d. University Affiliated Research Centers (UARC) unless precluded by their UARC contract (submit sponsor authorization with proposal submission)

e. Federally Funded Research & Development Centers (FFRDCs), including U.S.

Department of Energy National Laboratories, unless precluded by their contract (submit sponsor authorization with proposal submission)

2. Foreign research organizations, including colleges, universities, and think tanks, in U.S.

treaty ally countries (specifically NATO members, Japan, Australia, and Republic of Korea) are permitted to submit unclassified white papers in response to this BAA provided they meet the requirements to receive a USG contract award. However, as the research is primarily focused on generating insights for the USG, and specifically DoD/DTRA, they are encouraged to collaborate, partner with, or involve U.S.-based institutions or U.S. personnel to conduct the research. However, DTRA will only issue a single contract for each individual research project awarded under this BAA. The responsibility for sub-contracting and/or partnering agreements rests with the prime contractor (i.e., recipient of the contract).

3. A corresponding Government Call is being made available via email upon request to

U.S. professional military educational institutions, U.S. military laboratories and research centers, and other federally-affiliated research institutions that are precluded from submitting to a BAA. Please contact the following email address with any questions or requests for the Government Call: dtra.belvoir.si.mbx.hdtra1-stri- Adm@mail.mil.

4. White papers and proposals from U.S. Federal Agencies and foreign governments, including sub-contracting efforts, will not be considered under this BAA.

5. Principal Investigators (PIs) are limited to U.S. citizens, U.S. green card holders, and citizens of U.S. treaty ally countries (specifically NATO members, Japan, Australia, and Republic of Korea). Subordinate research team members may include non-U.S. citizens from ally or partner nations. However, foreign nationals’ access to Government facilities, including the DTRA Headquarters, may be restricted for meetings and briefings. Access to unclassified data or information that has not been approved for public release may also be restricted.

Requirements for access to other than publicly-releasable, unclassified information will need to be discussed.

IV. AWARD INFORMATION:

1. Anticipated Funding

a. DTRA SI-STT estimates the total program budget divided among multiple awardees at approximately $2.499 M per year. This information is only an estimate and does not obligate the Government in any way. Estimated funding amounts may increase or decrease at any time based on current and future appropriations. DTRA SI-STT does not allocate a certain percentage of the annual funding to specific project types (e.g., strategic dialogues, studies, or TTXs).

b. DTRA SI-STT does not provide maximum funding limits for individual research projects. Cost realism is considered as part of the evaluation process, as well as comparison of the cost to the expected benefit to the DTRA mission.

2. Number of Awards

a. There is no set limit to the number of white papers or proposals an organization, team, or individual may submit under this BAA; however, the level of effort for each PI and project team member shall not reasonably exceed one (1) annual full time equivalent (FTE). PIs are allowed to pursue multiple, distinct projects concurrently, but shall take care to ensure each project can be performed to completion, meeting all requirements and timelines. The white papers and (if invited) proposals shall explain how this can be accomplished.

b. There is no set limit to the number of awards a single organization or individual may receive. All proposals that meet the technical criteria will be further evaluated based on mission need and resource availability. Each proposed project will be evaluated individually and all funding decisions will also be made on a per-project basis.

c. The number of awards resulting from this BAA will vary from year to year based on mission need and resource availability. There is no minimum or maximum number of awards.

3. Award Type

a. The Government anticipates awarding contracts under this BAA. The contracts shall adhere to the requirements of the Federal Acquisition Regulations (FAR) and Defense Federal Acquisition Regulations Supplement (DFAR) depending on the type of instrument awarded. Grants or cooperative agreements will not be considered.

b. Military Interdepartmental Purchase Requests (MIPRs) or Interagency Agreements may be used for organizations that are eligible to receive them.

c. Unless specifically indicated, cost sharing is permitted but not required; however, the Government may not accept volunteer services and all contributions to the Federal award must be recognized as either Government or Contractor share.

d. DTRA will only award one contract per research project. Prime and subcontractor arrangements are authorized.

4. Period of Performance

a. The period of performance (PoP) for Thrust Area 2 (studies) shall not exceed nine

(9) months. DTRA SI-STT will not consider contract option periods for study awards; however, those who have current awarded contracts to perform studies for DTRA SI-STT are invited to submit white papers for follow-on studies after DTRA receives the draft technical report for the current study.

b. In order to ensure year by year advancement of Thrust Area 1 (dialogues) and

Thrust Area 3 (TTXs), as well as to maximize efficiencies, DTRA SI-STT will consider up to two contract option periods for dialogue and TTX projects if proposed by the applicant. However, each iteration of the dialogue or TTX shall not exceed twelve months and the required deliverables shall be submitted at the end of each period (e.g., base or option period). DTRA reserves the right to award contracts without option periods.

c. These PoPs are maximums. DTRA SI-STT welcomes projects that are of shorter durations so long as they can be realistically completed in the proposed timeframe. DTRA SI-STT prioritizes the completion of timely research, but all products must also be thorough and credible.

V. PHASE I – WHITE PAPER SUBMISSION:

1. Eligible applicants should submit the complete white paper package to the corresponding thrust area email address in Section X. Submissions that are uploaded into any Internet-based submission sites will not be considered. All submissions must be emailed and shall not be submitted to more than one thrust area.

2. DTRA reserves the right to forgo a technical evaluation of white papers that do not include all required information or are not formatted in accordance with the requirements identified below. DTRA will inform the applicant via email with an opportunity to resubmit. DTRA also reserves the right to forgo a technical evaluation of the following types of submissions:

a. Capability statements

b. Lists (with or without explanation) of potential projects an organization could undertake in response to the BAA. (Note, DTRA SI-STT will consider white papers that outline alternative approaches to conduct a specific research project.)

c. White papers that offer a proposed analytic approach to address a “to be determined” research topic (e.g., a research topic identified post-award in consultation with the sponsor)

d. White papers that restate the BAA research thrusts but do not provide specific information about how they will be addressed

3. The submission, although digital, must be on 8 ½ x11 inch sized paper, single-spaced, with one-inch margins in type not smaller than Times New Roman, 12-point font for evaluation purposes.

4. All submissions must be in narrative form. DTRA SI-STT will not evaluate briefing slides.

5. DTRA will not evaluate white papers that are password protected or encrypted and will request the applicant remove the password protection or encryption feature.

6. Applicants should include all requested information in one file attachment. The file should not exceed 5 MB of storage space and should be no more than 10 pages. “Zipped” files are not allowed.

7. The attached file shall include three (3) components: (1) Cover Page, (2) Technical

Concept, and (3) Cost Estimate.

a. Cover Page – Titled “WHITE PAPER,” marked as “Procurement Sensitive,” and include the following information:

BAA number HDTRA1-22-S-0004 Thrust Area (choose one) Descriptive and concise project title that can carry over to a technical report if awarded

• Do not use multiple colons or insert the year of submission in the title Estimated cost of proposed effort Proposed period of performance (POP)

• Identify the number of months, not start/end date

• Identify any proposed option periods as applicable

Name, title, phone, and email address of the PI Name, title, phone, and email address of the technical point of contact

(POC) if different from the PI Name, title, phone, and email address of the business/contracts POC Institution’s full address Unique Entity Identification (UEID) Taxpayer Identification Number (TIN) Commercial and Government Entity (CAGE) Code North American Industry Classification System (NAICS) Number Name and signature of an authorized officer at the institution

b. Technical Concept – Clearly and concisely, but with a sufficient level of detail:

Describe the research problem, why it is important to the USG and specifically DoD/DTRA, and any relevance to, or alignment with, USG strategies and priorities

State the research objective and how it will be accomplished (the technical approach), and why this approach was selected

• If a study, provide sufficient detail about proposed analytic approach, including any potential workshops, roundtables, interviews, etc. If these events will involve other experts, describe the types of experts that will be engaged, how many, when and why, etc.

• If a dialogue, clearly delineate whether it is a Track 2 event or Track 1.5 and explain how you are using those terms. Also, provide a description of the potential meeting agenda, to include topics, format, and discussion questions. Successful white papers will also describe the types of experts who will be invited, and why. If possible, provide candidate names.

• If a TTX, provide details about the topics that will be explored and the mechanics, as well as the participants (categories of people and, if known, candidate names)

Describe the relevance of the proposed research to the DTRA mission and the expected benefit of the research to both DTRA and the broader DoD

Explain how the proposed research supports the DTRA SI- STT mission

Explain the proposed PI’s knowledge, capabilities, and experience to conduct the proposed project. Note, while this section can also discuss the organization’s capabilities, white papers that do not at least reference the PI’s specific qualifications are unlikely to be successful. This section should also explain any proposed use of sub-contractors or consultants and the expected benefit for the research output

Outline expected project milestones and associated deliverables, ensuring consistency with the requirements outlined in Section 1.6

c. Cost Estimate: Applicants shall provide a realistic cost summary, not to exceed one (1) page, covering the following areas: labor, travel and other direct costs (ODCs), and indirect costs. This estimate should reference any planned use of sub-contractors or consultants under “ODCs”.

VI. PHASE II – PROPOSAL SUBMISSION:

1. General Information

a. Successful white papers will result in an invitation to submit a complete proposal via email to the corresponding thrust area. Unless otherwise indicated in email communications, proposals submitted to email addresses other than those specified in Section X will not be evaluated.

b. DTRA SI-STT will not evaluate proposal submissions that:

Are password protected or encrypted Total more than 10 MB Include “zipped” files

c. The submission, although digital, must be on 8 ½ x11 inch sized paper, single-spaced, with one- inch margins in type not smaller than Times New Roman, 12-point font for evaluation purposes.

d. Failure to provide adequate detailed cost data will require the DTRA Contracting

Officer to contact the proposing organization for the requisite information.

The cost information is required to support analyses to determine if the proposed costs are allowable, reasonable, and allocable. Proposals selected for award will be subject to cost realism and reasonableness analysis in accordance with FAR 35.016(e).

Please note that successful completion of unclassified STRI research does not require the use of government-furnished information technology (IT) equipment such as telephones, computers, printers, or videoconferencing platforms. STRI research also does not require the purchase of the same.

• DTRA SI-STT will not mandate the use of specific types of IT equipment. Proposed ODCs may include costs related to conferencing calls, conference/meeting support services, and printing and copying services, but may not include the purchase of IT equipment.

• Do not list the names of specific IT equipment that you will be using, to include videoconferencing platforms.

• Ensure cost of these services are not replicated in the general and administrative (G&A) costs.

Please note, equipment necessary to perform classified research is covered under the NISPOM requirements for all contractors.

e. Proposal shall consist of four components: (1) Technical Proposal, (2) Cost Proposal,

(3) Draft Statement of Research Work, and (4) Supplemental Information.

Include four attachments in the email submission, corresponding to the four components listed above.

The attachment file names shall correspond with the component type

(e.g., Technical Proposal). Do not include additional information in the file names.

2. Component 1 – Technical Proposal

a. Consists of four sub-components: (1) Cover Page, (2) Executive Summary, (3)

Technical Concept, and (4) Qualifications and Management Approach.

b. Cover Page – Titled “TECHNICAL PROPOSAL,” marked as “Procurement Sensitive,” and include the following information:

BAA number HDTRA1-22-S-0004 Thrust Area (choose one) Descriptive and concise project title that can carry over to a technical report if awarded (do not use multiple colons or insert the year of submission in the title)

Proposed total cost

Proposed period of performance (number of months, not start/end dates) and any proposed option periods as applicable

Name, title, phone, and email address of the PI Name, title, phone, and email address of the technical POC if different from the PI Name, title, phone, and email address of the business/contracts POC Institution’s full address Unique Entity Identification (UEID) Taxpayer Identification Number (TIN) Commercial and Government Entity (CAGE) Code North American Industry Classification System (NAICS) Number Name and signature of an authorized officer at the institution

b. Executive Summary – No more than 200 words that describe the research objective, the technical approach, and the expected benefit/outcome for DTRA and DoD.

c. Technical Concept – Limited to no more than ten (10) pages. This sub-component should clearly and concisely, but with a sufficient level of detail:

Describe the research problem, why it is important to the USG and specifically DoD/DTRA, and any relevance to, or alignment with, USG strategies and priorities.

State the research objective and how it will be accomplished (the technical approach), including specific tasks.

Justify and/or explain the expected benefit of, the technical approach and why it was selected. If the technical approach includes any form of expert engagement, be sure to provide details about what this will entail, who will be involved, and how it will be conducted.

Describe any risks and identify any risk mitigation measures.

Describe the relevance of the proposed research to the DTRA mission and the expected benefit for not only DoD, but also DTRA.

Outline the project schedule and associated milestones in table format. Do not use actual dates. As the date of award is not yet known, use “month 1,” “month 2,” etc.

d. Qualifications and Management Approach – Limited to no more than three (3) pages.

Note, do not include resumes/Curriculum Vitae (CV). Those shall be included in the Supplemental Information attachment.

Briefly explain the organization’s experience and capabilities as applicable to perform the research as stated. Very briefly highlight any relevant past or current USG contracts.

Concisely describe the PI’s experience, knowledge, and capabilities focusing on applicability to perform the proposed research as stated. Very briefly highlight any relevant past or current USG contracts.

Identify the proposed labor categories for the project team (including the PI) and associated roles and responsibilities. If there are multiple people assigned under a single labor category, identify any differences in assigned roles and responsibilities.

Provide names of the individuals and applicable labor categories who will occupy key positions other than the PI and include a very brief description of their experience, knowledge, and capabilities as applicable to the proposed research project.

DTRA SI-STT defines key positions as those filled by subject matter experts on the research topic who would otherwise be difficult to replace with other individuals in the organization due to their specific experience, knowledge, and capabilities.

Describe and justify any proposed use of sub-contractors and subject matter expert (SME) consultants, as applicable.

Identify the proposed individuals who will fill this position and describe any applicable experience, knowledge, and capabilities.

3. Component 2 – Cost Proposal

a. There are three sub-components: (1) Cover Page, (2) Cost Spreadsheet, and (3) Cost

Narrative.

b. Cover Page – Use same format as Technical Proposal, but replace “TECHNICAL PROPOSAL” with “COST PROPOSAL”.

c. Cost Spreadsheet – Use provided Excel template.

DTRA will provide the Excel template with instructions in the email inviting a proposal. The template is not included in this BAA.

A cost spreadsheet that includes information that is inconsistent with information contained in the cost narrative will result in a request for resubmission..

d. Cost Narrative – No more than ten (10) pages not including any appendices.

Provide, in written narrative form, a justification for all cost items included in the spreadsheet.

• The information shall be organized in the same way as the cost spreadsheet.

• Each entry must explain how the cost was calculated (including estimating methodology used) and why the proposed cost type is required to perform the research as stated.

As necessary, applicants can provide additional information (e.g., past receipts) as an appendix to the cost narrative, but the narrative should summarize this information and direct the evaluator to the appendix as necessary. The appendix should be included in the same file attachment.

A cost narrative that includes information that is inconsistent with information contained in the cost spreadsheet will result in a request for resubmission. This will result in a delay of award even if the technical proposal meets all the criteria.

4. Component 3 – Draft Statement of Research Work (SoRW)

a. DTRA SI-STT will use this document to create the SoRW if proposed effort moves to award. The Government reserves the right to modify as appropriate to ensure it conforms to Government expectations and BAA requirements.

b. Use the template provided in attachment 1. It will also be included in the email inviting a proposal.

c. Draft SoRW must be prepared in the Microsoft Word Format. Other formats will not be accepted. DTRA will request the applicant to resubmit.

d. Do not:

Attach the draft SoRW to the technical proposal.

Modify the text or format unless indicated.

Replace the word “contractor” with the name of any specific organization, person, or position.

5. Component 4 – Supplementary Information

a. This component consists of three (3) sub-components: (1) Current and Pending Projects and Proposal Submissions; (2) Resumes/CVs; and (3) Data Rights Assertion List. There is no page limit.

b. Current and Pending Projects and Proposal Submissions

Provide information of any related current, pending, or proposed projects from/with any sources (e.g., Federal, State, local or foreign government agencies, public or private foundations, industrial or other commercial organizations). List all projects involving the proposed PI or team members occupying key positions, including those for which they do not receive salary.

Each entry shall include the following information:

• Status (current, pending, or proposed)

• Title

• One (1) sentence summary of the project

• Explanation of how the project is related to the proposed research project and the degree of overlap, if applicable

• Source of funding and POC

• Total funding amount (if current)

• Proposed or actual period of performance

• Contract or grant number (if current)

• Percentage of effort devoted (or expected to be devoted) to the project (note, this can be number of labor hours per person)

c. Resumes/CVs

Include the PI’s resume/CV as well as the resume/CV for any other individuals that will occupy key positions if awarded.

d. Data Rights Assertion List IAW 252.227-7013(e).

VII. EVALUATION & SELECTION PROCESS:

1. White Papers (Phase I): A technical evaluation panel – comprised of at least two (2) DTRA SI-STT government civilians and/or military personnel with the appropriate subject matter expertise – will evaluate each white paper that meets the eligibility requirements outlined in section III and include the information specified in section V. The panel composition will be based on the individual paper. STRI staff will consolidate the panel’s evaluations and associated recommendations for the Selection Board (SB, comprised of the Program Manager, PM, and Chief, DTRA SI-STT and the Selection Authority or SA (Chief, DTRA SI-ST).

a. All white papers will be placed in one of two categories:

Successful: White papers that meet the established criteria and will result in an invitation to submit a proposal.

Unsuccessful: White papers that do not meet the established criteria and will not result in an invitation to submit a proposal.

b. All eligible, complete, and properly formatted white papers will be evaluated based on the following four (4) baseline criteria. If the baseline criteria are not met, the paper will automatically be placed in the unsuccessful category. If the baseline criteria are met, the paper will be subject to further evaluation to determine whether it will ultimately be placed in the successful or unsuccessful category.

Alignment with the proposed research thrust Applicability to the DTRA mission Applicability to the DTRA SI-STT mission Potential of research output to provide additional value to DTRA and DoD

c. If the paper meets the previous criteria, it will be evaluated further based on the following additional criteria to determine if it is placed in the successful or unsuccessful category:

Whether the problem statement is well-conceived and informed by an understanding of USG and DoD priorities and strategy Whether the proposed technical approach is suitable to address the specified problem Qualifications of the organization and the proposed PI to perform the research based on evidence of appropriate knowledge, experience, and capabilities (Note, performance on past DTRA STT contracts will be considered as applicable and appropriate.)

d. DTRA SI-STT defines a successful white paper as one that meets all four (4) baseline criteria and three (3) additional criteria.

e. All applicants will be notified on their white paper status via email.

Successful white papers will result in an invitation to submit a proposal in accordance with the instructions outlined in attachment 1. The email will highlight any suggested changes to incorporate into the proposal based on the technical evaluation panel and ST leadership’s input, as well as any requested clarifications. Such recommendations may include but are not limited to: (1) adding or eliminating a task; (2) reducing the scope and associated cost to align with resource allocations better; or (3) reorienting the problem statement and technical approach. The email will also include a proposal due date. Applicants may ask for clarification via email using the specified email address, but DTRA is unable to provide additional information via phone calls or meetings.

Unsuccessful white papers will result in an email notification that the submission is no longer being considered with a brief explanation.

Requests for additional information about why DTRA is no longer considering the paper will not be considered.

2. Proposals (Phase II): A technical panel – comprised of at least two (2) DTRA SI-STT government civilians and/or military personnel with the appropriate subject matter expertise

– will evaluate all proposals based on the following three (3)…