FAQ-SVIP_OTS__Final_10_12_21.pdf

Department of Homeland Security Silicon Valley Innovation Program (SVIP)

Frequently Asked Questions (FAQs)

Table of Contents FAQ: General FAQ: Eligibility/Compliance FAQ: The Application FAQ: Application Reviews and Pitches FAQ: Terms & Conditions and OTA Related Questions

FAQ: General Question: Can you review my marketing material/product information and let me know if I should apply to the SVIP program?

Answer: We only accept applications when there is an active topic available. When there is an active topic, we cannot review your marketing material or advise you on whether or not to apply to our program, as that is a business decision. Our advice is to read the call and other documentation associated with the calls to make your decision. If you have questions that aren’t answered in call documentation, please send your questions via email to us at dhs-silicon-valley@hq.dhs.gov

Question: Can I discuss my idea with you before I complete my application?

Answer: We are prohibited from discussing potential content of your application. Our advice is to read the call and other documentation associated with the calls to make your decision. If you have questions that aren’t answered in the call documentation, please send your questions via email to us at dhs-silicon-valley@hq.dhs.gov

Question: What do I do if my idea doesn’t fit within the current topic area(s)?

Answer: Email SVIP and request to be added to our mailing list to receive new funding announcements.

Additionally, visit S&T’s Funding Innovation page to view other funding opportunities with our sister programs.

Question: Can I submit an application to a topic call that has closed?

Answer: DHS cannot accept applications or application resubmissions after a call has closed. Please note that all topic calls have a closing date and time and DHS strictly abides by this date and time. We strongly advise you to not wait until the deadline to submit your application.

Question: I submitted my application prior to the deadline but DHS did not receive it in time, what do I do?

mailto:dhs-silicon-valley@hq.dhs.gov https://www.dhs.gov/science-and-technology/funding-innovation

SVIP FAQs – October 2021

Answer: Please forward the original email that is time stamped with a date and time prior to the call close date/time to DHS-Silicon-Valley@hq.dhs.gov.

Question: What is the dollar amount for each phase?

Answer: The individual topic calls will list the range of amounts and shall be considered the overriding document for the phase ceiling amounts. Submissions that exceed the topic call specified ceiling amount will be deemed non-compliant.

Phase 5 will be scaled to fit the mission need/requirement in both cost and length of time.

Question: How does SVIP differ from Small Business Innovation Research (SBIR) program?

Answer: SVIP engages non-traditional Government contractors, including startup companies that results in non-FAR based awards versus FAR based awards issued by DHS/SBIR. The SVIP has additional eligibility requirements and the phases are different from DHS/SBIR.

Question: Are security clearances required for the project, and if so, will DHS sponsor clearances for members of the startup?

Answer: All of the SVIP projects are unclassified, therefore security clearances will not be required.

However, if the project would benefit from the company having access to sensitive DHS data, DHS (together with the startup) will consider the issuance of DHS Suitability for selected performer employees.

Question: Will the Government announce when funds for topics have been exhausted?

Answer: Although we don’t announce when funds for each topic are exhausted, we may close the topic calls early if we meet our funding threshold. If we decide to close the topic call early, DHS will publish a notification on www.SAM.gov 30 days prior to closing the call. Therefore, we advise you not to wait to the end of the call to submit your application.

FAQ: Eligibility/Compliance

Question: Are OTAs strictly limited to companies who have never done business with the Government?

Answer: In order to be eligible for SVIP, an applicant must be a nontraditional Government contractor. This means “…an entity that is not currently performing and has not performed, for at least the one-year period preceding the selection of sources” by the Government “…any contract or subcontract for the Department of Homeland Security that is subject to full coverage under the cost accounting standards pursuant to” 41 U.S.C. 1502. For additional eligibility requirements, please refer to Section 4 Eligibility Section in the Other Transaction Solicitation.

Question: What Federal Acquisition Regulation (FAR) requirements will need to be met by the companies? Will there be a subset of either FAR or Defense Federal Acquisition Regulation mailto:DHS-Silicon-Valley@hq.dhs.gov https://sam.gov/opp/c4bb209879da4c4bacabb1c9b29955e6/view http://www.sam.gov/ https://sam.gov/opp/c4bb209879da4c4bacabb1c9b29955e6/view

Supplement (DFARS) clauses that will be required as part of the acquisition contract?

Answer: We are issuing Other Transaction Agreements (OTAs) for prototypes, which are not FAR-based awards, therefore no FAR or DFARS clauses will be included.

Question: Are foreign owned firms eligible for the SVIP program?

Answer: Yes. However, awards to non-U.S. entities may take more time.

Question: What happens if an application is deemed non-compliant?

Answer: Per the guidance in the OTS 70RSAT21R00000006, if the application is deemed non- compliant, your application will be rejected and you will receive an email notification listing the compliance issue. You may fix the issue and resubmit if the call is still open. Please see below for examples of non-compliant applications:

• Total phase value proposed is greater than the “funding level assigned by phase” identified in the respective solicitation/call;

• Total number of pages submitted does not comply with the page count limitations identified in the respective solicitation/call;

• Using an incorrect or outdated application; or

• The application is incomplete o Do not leave sections blank, provide “N/A” instead o Sections with checkboxes, be sure to select appropriate checkbox

FAQ: The Application

Question: Where do I find the application template?

Answer: The application template is posted with the topic call on SAM.gov | Home

Question: There are no open topic calls, but I would still like to submit an application for my technology, what should I do?

Answer: If there are no open topic calls, we cannot accept applications. You may request to be added to the SVIP mailing list by emailing DHS- Silicon-Valley@hq.dhs.gov where you will be notified of new topic calls when they are posted.

Question: Do I have to complete the application form, or can my submission be in another format?

Answer: The application form is required by the OTS. You must complete the application form and email it to DHS-Silicon-Valley@hq.dhs.gov to be considered for funding. An application form is published with each call, so please use the most recent version of the application specific to that call. Your application must be sent as a PDF, and not a Word or other document, or it will not be accepted.

Question: Can I change the application format to suit my needs?

Answer: No. You may delete the instructions and content marked as “REFERENCE”, but do not delete any https://sam.gov/opp/c4bb209879da4c4bacabb1c9b29955e6/view https://sam.gov/content/home mailto:DHS-Silicon-Valley@hq.dhs.gov mailto:DHS-Silicon-Valley@hq.dhs.gov of and/or rearrange the numbered sections.

Question: What if I don’t have information to provide for a specific section?

Answer: If you don’t have any input for a specific section, please either specify “N/A” or “none”. DO NOT delete the section or leave the section blank - otherwise your application will be deemed non-compliant.

Question: Can I send other documents with my application?

Answer: Only if the topic call specifies that you should send additional documentation – otherwise, please refrain from doing so. Please also note and adhere to the page limit outlined in the application instructions.

Question: Can I provide links to information in my application instead of providing the content?

Answer: No, you must provide the detailed information in the application. The reviewers will not consider content that is not provided in the application.

Question: Pertaining to the milestones identified, is DHS open to applications that skip ahead in phases, moving directly to the pilot/demo?

Answer: The individual topic calls will list the phase structure and shall be considered the overriding document for whether projects will begin at Phase 1 or otherwise. This may vary depending on maturity of technology and operational need. Submissions that do not comply with the phase structure laid out will be deemed non-compliant.

Question: When completing the milestone and cost charts in the application, can I request funds up front rather than at milestone/deliverable completion?

Answer: Yes. The only funds that can be requested at time of award is for upfront equipment/materials/hardware/software/laboratory costs. If you decide to request the equipment/materials/hardware/software costs upfront, please make then a stand-alone milestone/deliverable.

All other costs must be invoiced at the time of milestone/deliverable completion.

FAQ: Application Reviews and Pitches

Question: Will I get verbal feedback after the application review?

Answer: Per the Other Transaction Solicitation, all application review feedback will be provided in written form.

Question: Can I talk to someone about the feedback I received from my application review?

Answer: All application review feedback will be provided in writing. If you have questions concerning the feedback, please send an email to the DHS-Silicon-Valley@hq.dhs.gov mailbox.

Question: My application was not selected for a pitch, what are my options?

Answer: If the topic call is still open, you may use the feedback provided after the review to update and resubmit your application for review. If a topic call has closed, we can no longer accept updated applications.

Question: Where are the Oral Pitches conducted?

Answer: Currently DHS conducts these through a virtual online meeting platform (e.g. MS Teams).

Question: I was not selected for award after my pitch, will DHS reconsider?

Answer: If the topic call is still open, you may use the feedback provided after the pitch to update and resubmit your application for review. If a topic call has closed, we can no longer accept updated applications.

Please note that submitting an updated application doesn’t guarantee that you will be selected for a pitch. The application will be reviewed and if the reviewers select your application for a pitch, you will be notified.

FAQ: Terms & Conditions and OTA Related Questions

Question: What are “deliverables” and why is it important to identify them in the OTA?

Answer: The right the Government gets in Data depends on the category in which the data belongs, and the “deliverables” required by the OTA.

• The “deliverables” are the information, items, and materials that are specified in the OTA for delivery to the Government. The Government is not interested in getting delivery of computer source code. The OTA Award Recipient does not have to deliver any information, item, or material not specified in the

OTA.

Question: What is the IP covered by the Other Transaction Agreement (OTA)? Are IP Rights DHS or company driven?

Answer: On SVIP applications, startups are asked to identify existing IP rights and include an illustration/diagram of what IP they consider to be theirs vs. what will belong to DHS. Applicants are advised to be very thorough when completing the IP section of the application.

For the OTAs, Intellectual Property terms, like many aspects of the Other Transaction Agreement, are negotiable.

Question: Is there a difference between computer software Data and other types of Data?

Answer: Yes. Computer software is a computer program, source code, source and object code listing, design detail, algorithm, process, flow chart, formula and related material that would enable the software to be reproduced, recreated, or recompiled.

“Computer program”, as used in the OTA, is a set of instructions, rules, or routines in a form capable of causing a computer to perform a specific operation or series of operations.

Technical Data, on the other hand, is scientific and technical recorder information, regardless of form or method. It includes computer databases and computer software documentation. It does not include computer software or data incidental to contract administration (i.e., financial or management information).

Question: Will the Government get rights in my computer software?

Answer: Yes, the Government will get license rights, but you, the OTA Award Recipient, retain or obtain ownership rights of the computer software. The scope of the Government’s license depends on some factors discussed below:

• If the computer software is noncommercial computer software and was developed exclusively with private funds, the Government will get “restricted rights” in it. This means the Government will be able to use, test and evaluate, modify, reproduce, release, perform, and display the noncommercial software within the Government during the period of the OTA.

• If the computer software is noncommercial computer software developed with Government funds under the OTA, the Government gets the right to use, modify, duplicate or disclose the computer software for United States Government purposes for up to 5 years. During the 5 years, the Government can share the computer software outside the Government to authorized persons to use the computer software for Government purposes as long as an executed non- disclosure agreement is used. This is known as “Government Purpose Rights.”

• If the computer software is commercial computer software, the Government gets the same rights under which the commercial computer software is sold, offered for sale, leased, or licensed to the general public.

Question: What is the Government’s right in other Data, other than computer software?

Answer: That will be technical data. The Government gets a license, the scope of which depends on whether the technical data was developed exclusively with private funds or with Government funds.

• If the technical data is developed exclusively with private funds, the Government will get “limited rights” in it. This means the Government can use, test and evaluate, modify, reproduce, release, perform, display, or disclose the technical data in whole or in part within the Government during the period of the OTA. The Government cannot, without the written permission of the OTA Award Recipient, release or disclose the technical data outside the Government, use it for manufacture, or authorize it to be used by another party.

• If the technical data is developed with Government funds, the Government gets “Government Purpose

Rights” as defined above.

Question: Do I get the copyright for the works created under the OTA?

Answer: Yes. You, the OTA Award Recipient, have the right to assert copyright in any copyrightable works created under the OTA. This means you get ownership of the copyright. You are required to affix a notice on the copyrightable data.

The Government gets a license in the copyrighted works created under the OTA, which grants the Government a non-exclusive, non-transferable, royalty free, fully paid-up license to reproduce, prepare derivative works, distribute copies to the public, perform publicly, and display publicly the copyrighted work for Government purposes. The Government also gets the right to authorize others to use the copyrighted works on its behalf.

However, the Government cannot commercialize the copyright in which the OTA Award Recipient has asserted copyright.

Question: Will the Government protect my Trade Secret?

Answer: Yes, the Government will protect the OTA Award Recipient’s “sensitive information” disclosed or used in connection with a specific project effort. “Sensitive Information” means information and materials, which are designated as business confidential, proprietary, trade secret, sensitive, classified, or “for official use only,” that are appropriately marked by the stamp on the legend prior to or at the same time any such information is disclosed.

Pursuant to the OTA, the Government and the OTA Award Recipient agree that Sensitive Information shall only be used in connection with a specified project effort, or as drafted in the Statement of Work or Deliverables, or as agreed to in writing by the Parties.

Question: Does the Government get rights in my inventions?

Answer: Yes, but only if it is a “Subject Invention.” A Subject Invention is an invention that is first conceived or reduced to practice in performance of the OTA. The Government gets a non-exclusive, non-transferrable, irrevocable, paid-up license to practice or have practice on its behalf a Subject Invention throughout the world.

• You, the OTA Award Recipient, have the right to retain the entire right, title and interest throughout the Subject Inventions.

• You determine what rights to give the Government in “Background Invention,” which are the inventions made by you, your employee, or sub-contractor of any tier, prior to performance of the OTA or outside the scope of work performed under the OTA.

Question: Will others in DHS have access to my information? Do they have Non-Disclosure Agreements (NDAs)?

Answer: All personnel that are handling proprietary information are either Federal employees covered by the Trade Secrets Act or have an active non-disclosure agreement with the U.S.

Government as part of their employment agreement/contract.

Question: How much proprietary information are startups supposed to disclose when applying (prior to any agreements)? How is this information protected?

Answer: Prior to the signing of an OTA, DHS will honor a company’s desire to protect marked sensitive/proprietary data and allow them to modify and resubmit any applications to appropriately mark the document for protection. Federal employees are bound by Federal law to protect sensitive and proprietary information and government contractors (prime and sub-contractors) have signed non-disclosure agreements (NDAs) in place with DHS.

Question: If I elect to take title of a Subject Invention, can the Government take it away from me?

Doesn’t the Government have “March-In” rights?

Answer: If you, the OTA Award Recipient, elect not to take title to a Subject Invention, the Government may request an assignment of ownership from you to allow the Government to file for a patent application. In such a case, the OTA Award Recipient will retain a non-exclusive, royalty-free license throughout the work in the Subject Invention to which the Government obtains title.

• The above is not considered a “march in” right because the OTA Award Recipient voluntarily relinquishes its right to title.

• The Government does have the right to “march in” in exigent circumstances related to health and safety and require the OTA Award Recipient to obtain and grant a non-exclusive license in a Subject Invention to a responsible applicant, but the Government has never exercised this right to date.