HDTRA1-20-S-0002.pdf

DEFENSE THREAT REDUCTION AGENCY

STRATEGIC INTEGRATION DIRECTORATE

STRATEGIC TRENDS AND EFFECTS

DEPARTMENT

STRATEGIC TRENDS DIVISION (SI-STT)

BROAD AGENCY ANNOUNCEMENT

HDTRA1-20-S-0002

Table of Contents

GENERAL INFORMATION

I. PROGRAM DESCRIPTION

1. Statement of Objective/Need

2. Phased Approach

Phase I Phase II

II. AWARD INFORMATION

1. Anticipated Funding

2. Anticipated Number of Awards

3. Anticipated Award Type

4. Anticipated Open Period

III. ELIGIBILITY INFORMATION

IV. PHASE I – WHITE PAPER SUBMISSION INFORMATION

V. AWARD DECISION PROCESS

VI. AWARD ADMINISTRATION INFORMATION

VII. SPECIFIC RIGHTS RESERVED FOR GOVERNMENT

VIII. AGENCY CONTACTS

IX. OTHER INFORMATION

ATTACHMENT 1: PROPOSAL FORMAT AND PREPARATION INSTRUCTIONS ……

ATTACHMENT 2: COST PROPOSAL FORMAT AND PREPARATION INSTRUCTIONS

ATTACHMENT 3: STANDARD PROVISION INFORMATION

ATTACHMENT 4: STATEMENT OF RESEARCH WORK TEMPLATE…………..…... …………. 25

BROAD AGENCY ANNOUNCEMENT

HDTRA1-20-S-0002

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: HDTRA1-20-S-0002

CATALOG OF FEDERAL DOMESTIC ASSISTANCE (CFDA) NUMBER: 12.910

I. PROGRAM DESCRIPTION:

1. Statement of Objective/Need:

The Defense Threat Reduction Agency (DTRA) Strategic Integration Directorate, Strategic Trends and Effects Department, Strategic Trends Division (SI-STT) has the responsibility to generate timely, credible, and actionable insights into emerging threats within the counter weapons of mass destruction (CWMD) and counter improvised threats (CIT) network mission spaces to enable and guide warfighter understanding of the range of military operations in Great Power Competition. One of its primary responsibilities is to characterize the 2025 to 2030 battlespace. This requires sponsoring research, through the Strategic Trends Research Initiative (STRI), that aligns with the priorities outlined in the 2018 National Defense Strategy (NDS) and specifically addresses DTRA’s needs – and by extension the needs of the Combatant Commands (CCMDs) and other US Department of Defense (DoD) elements it supports. To that end, SI-STT must partner with a diverse set of experts in the field to deliver a continuous stream of operationally relevant research and analysis to create reservoirs of readily aggregated information, as well as finished analytic products, that provide insight into the future battlespace and threat environment.

DTRA SI-STT is announcing to industry and academia the intent to solicit white papers and proposals for research studies, strategic dialogues, and tabletop exercises (TTXs) through this Broad Agency Announcement (BAA). This strategy provides an acquisition tool to support SI-STT’s STRI with the flexibility to solicit white papers and proposals from the external expert community and make awards for expert-driven research efforts that meet present, emerging, and future needs.

While 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 because DTRA is asking for independently produced deliverables that are designed to identify and answer specific research questions through a research methodology proposed by the offer. The rigorous analysis will result in research products, which will inform DTRA’s thinking and advance scientific and technical knowledge in the specified topic area.

The DTRA procurement activity proposes to solicit outstanding private and public research institutions (to include – but not limited to – think tanks, industry, and universities) to develop and provide credible, timely, operationally relevant and actionable research products that inform SI-STT’s efforts to characterize the 2025 to 2030 threat environment in an era of Great Power Competition through the STRI. Per priorities identified by the 2018 NDS, SI-STT seeks proposals and white papers for research studies, strategic dialogues, and TTXs addressing the following five (5) focus areas:

• Identify the utility of deeper, more meaningful relationships with existing allies, partners, and establish new relationships with non-traditional partners as a mechanism to compete against key strategic competitors;

• Understand the implications of key strategic competitors’ emerging capabilities on the

United States’ ability to maintain operational advantage and project power;

• Identify emerging WMD-related threats of concern for the future battlespace;

• Consider the role and application of WMD risk reduction tools and approaches (e.g.

arms control) in an era of Great Power competition; and/or

• Explore the utility and applicability of applying a Counter Threat Network (CTN) approach to better characterize and address cross-domain threats posed by priority threat actors.

Within these five broad focus areas, DTRA SI-STT is specifically interested in credible, timely, operationally relevant and actionable research products (studies, strategic dialogues, and TTXs) that are aligned with seven (7) thrust areas outlined below in Fiscal Year (FY) 2020. The Government reserves the right to award any combination of approaches which offer the best overall value to the Government.

The FY 2020 Thrust Areas are as follows:

a. Research Studies that:

• Thrust Area 1: Competition With Revisionist Powers Provide insight into key strategic competitors’ strategies, emerging capabilities, and consideration of potential implications for the United States’ ability to maintain its operational advantage and project power. Of particular interest are those studies that explore how revisionist powers might exploit advances in technology to intensify surprise, increase the lethality and operational relevance of their existing strategic and conventional capabilities, alter warfighting and escalation dynamics, or negate or overmatch current U.S. technological superiority. Also of interest are studies that examine the role alliance structures play in shifting the balance of power in key strategic regions.

• Thrust Area 2: Emerging Threats Explore novel, emerging, and non-traditional capabilities that may characterize the future (2025 to 2030) battlespace and consider the investments, capabilities, and activities required to counter them. While SI-STT is interested in studies that specifically examine threats that fall within DTRA’s counter weapons of mass destruction and improvised threat networks mission space, it is also interested in broader analyses that considers the nexus with other threat domains.

• Thrust Area 3: Counter Threat Networks (CTN) Consider the utility and applicability of applying a CTN approach to better characterize and address the asymmetric/hybrid warfare/cross-domain threats posed by priority actors identified in the 2018 NDS.

• Thrust Area 4: Strategic Security and Risk Reduction Explore the potential role, viability, and utility of specific risk reduction tools in an era of competition with revisionist powers, especially if they focus on non-strategic force-related issues. This includes, but is not limited to, international arms control regimes. Also of interest, are studies considering the potential role, viability, and utility of risk reduction tools with regard to the threats and challenges posed by rogue regimes.

b. Track 1.5 and Track 2* Strategic Dialogues with:

• Thrust Area 5: Allies, partners, and non-traditional partners Provide a venue and engagement framework for structured, but informal discussions by subject matter experts, held under the “Chatham House Rule,” that can potentially help the United States develop deeper, more meaningful relationships with existing allies and partners and/or establish new relationships with non-traditional partners as a mechanism to compete against key strategic competitors, especially in the Western Pacific. The dialogues should address issues that fall within DTRA’s purview such as countering WMD and improvised threats, deterrence, counter/non-proliferation efforts, risk reduction, strategic security, etc.

• Thrust Area 6: Key strategic competitors Provide a venue and engagement framework for structured but informal discussions by subject matter experts, held under the “Chatham House Rule,” that can potentially help the United States engage strategic competitors on weapons of mass destruction, deterrence, and related issues to: a) better understanding their strategies and policies, particularly with regard to WMD; b) exploring various understandings, concepts, and strategies for reducing risk; c) providing opportunities for communicating (and facilitating better understanding of) U.S. defense and deterrence policy, posture, and commitments (and vice versa); and d) provide a mechanism to introduce and discuss confidence-building, counter weapons of mass destruction, arms control, and other related proposals.

c. Tabletop Exercises (TTXs) that are focused on:

• Thrust Area 7: Competition with revisionist powers (with a focus on WMD-related issues)

Provide an experiential learning platform to develop the DTRA workforce’s appreciation of multi-faceted and complex issue areas, assists them in understanding the requirements placed on a Combatant Command in a crisis situation, and consider opportunities for support.

* Track 1.5 and Track 2 dialogues are unofficial, bilateral or multilateral meetings that provide an opportunity for American experts to discuss important, and sometimes sensitive, strategic issues with their foreign counterparts in a private, open 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. Track 1.5 dialogues involve a mix of government officials - who participate in an unofficial capacity - and non-governmental experts. Both Track 1.5 and Track 2 strategic dialogues involve identifying research questions ahead of the meetings and conducting preliminary research as required. The meeting participants will provide answers to those questions, which serve as the basis for analytic reports. Thus, strategic dialogue meetings fit within the applied research realm.

Useful References:

a. “Summary of the National Defense Strategy of the United States: Sharpening the

American Military’s Competitive Edge,” January 19, 2018 https://dod.defense.gov/Portals/1/Documents/pubs/2018-National-Defense-Strategy- Summary.pdf

b. US Department of Defense Indo-Pacific Strategy Report: Preparedness, Partnerships, and Promoting a Networked Region, June 1, 2019 https://media.defense.gov/2019/Jul/01/2002152311/-1/-1/1/DEPARTMENT-OF-

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

c. Defense Threat Reduction Agency website, https://www.dtra.mil/

2. Phases Approach:

This BAA will be conducted via a two-phase submission process. Each phase is described below.

Phase I – White Paper submission Offers may submit a White Paper package (via email attachment) to any of the BAA’s Thrust Areas of research at any time. If an Offer’s Phase I package is approved, the Offer will be invited (via an email) to submit a Phase II package (Proposal).

Phase II – Technical, Cost and Supplemental Information Proposal Offers’ who receive a tentative approval of their Phase I submissions, will be invited to submit a complete proposal (three separate volumes that include:

Technical, Cost and Supplemental Information). The details are included in the Attachments.

II. AWARD INFORMATION:

1. Anticipated Funding:

a. DTRA SI-STT estimates the total program budget divided among multiple awardees at approximately $1,950,000 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.

https://dod.defense.gov/Portals/1/Documents/pubs/2018-National-Defense-Strategy-Summary.pdf https://dod.defense.gov/Portals/1/Documents/pubs/2018-National-Defense-Strategy-Summary.pdf 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.dtra.mil/

b. The funding will be provided for study projects, strategic dialogues (Track 1.5 and

Track 2 meetings), and TTXs. Applicants are encouraged to propose projects in all categories, which are aligned with distinct thrust areas.

2. Anticipated Number of Awards:

a. There is no set limit to the number of proposals an institution or organization can submit under this BAA; however, the level of effort for each key personnel should not reasonably exceed one (1) annual full time equivalent (FTE). Each Thrust Area proposal must be submitted under the corresponding email address provided in the Agency Contacts section of this BAA. 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 Offer.

Given the need for timely research, in most but not all cases, the PoP of the awards shall not exceed twelve (12) months from the effective date of award.

The preferred PoP for studies is six (6) to nine (9) months to maximize opportunities for operational relevance.

3. Anticipated Award Type:

a. The Government anticipates awarding grants and/or contracts under this BAA. The grants will be governed by the Department of Defense Grant and Agreements (DoDGARS) and 2 Code of Federal Regulations (CFR) 200. Contracts require successful offers to have an accounting system considered adequate for tracking costs. 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.

32 CFR 22.205 Subpart (a)(1) states the following: The grants officer must judge that the principal purpose of the activity to be carried out under the instrument is to stimulate or support a public purpose (i.e., to provide assistance), rather than acquisition (i.e., to acquire goods and services for the direct benefit of the United States Government). If the principal purpose is acquisition, then the grants officer shall judge that a procurement contract is the appropriate instrument, in accordance with 31 U.S.C. chapter 63 (“Using Procurement Contracts and Grant and Cooperative Agreements”).

b. Unless specifically indicated, cost sharing is permitted and encouraged, 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 Non- Federal Entity (NFE) share.

4. Anticipated Open Period:

a. This announcement will remain open until replaced by a successor BAA or until it is cancelled. White papers and proposal are reviewed and evaluated as they are received and may be submitted at any time. The evaluation criteria is the same as the categories below.

https://www.law.cornell.edu/uscode/text/31/chapter-63

III. ELIGIBILITY INFORMATION:

All responsible, potential applicants from academia, think tanks, and industry are eligible to submit proposals under this BAA. Note: DTRA will only award contracts and grants under this BAA.

* NO Secret, Top Secret, Sensitive Compartmented Information (SCI) or Special Access

Program (SAP) submissions are allowed under this BAA.

Proposals from Federal Agencies, including subcontracting/sub-NFE efforts will not be evaluated under this BAA. U.S. Government schools of higher education (to include joint professional military education institutions), military laboratories and warfare centers, as well as other DoD and civilian agency laboratories, are eligible and should submit either white papers or full proposals under a separate Government Call. University Affiliated Research Centers (UARC) are eligible to submit proposals under this BAA unless precluded by their DoD UARC contract. Federally Funded Research & Development Centers (FFRDCs), including Department of Energy National Laboratories, are eligible to receive awards through a separate Government Call.

IV. PHASE I – WHITE PAPER SUBMISSION INFORMATION:

a. Offers’/Applicants will submit the complete White Paper package to the corresponding Thrust Area email address for review/evaluation. No individual file will exceed 10 MB of storage space. All White Papers must be marked as “Procurement Sensitive”.

Cover Page: The Cover Page shall be titled “WHITE PAPER” and include the following:

• BAA number HDTRA1-20-S-0002;

• Research opportunity “Strategic Trends Research Initiative

(STRI)”;

• Title of White paper that is descriptive of the research to be conducted and Thrust Area;

• Estimated cost of proposed effort;

• Offer’s administrative and technical points of contact, with telephone numbers and email addresses with type of institution;

• Signature and name of an authorized officer at the Offer’s institution;

and

• Marked as “Procurement Sensitive”.

Technical Concept: Submission is limited to 3-5 pages summarizing the

Statement of Research Work (SoRW) and benefits to SI-STT.

This submission 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.

Cost Estimate: Cost information shall include a realistic cost summary, not to exceed one (1) page, showing requested funding across all major categories (e.g. labor, travel, other direct costs, and indirect costs).

b. White papers and proposals will be reviewed upon receipt and will be evaluated accordingly. It is the Government’s endeavor to evaluate and respond to white papers within thirty (30) working days. The process for proposal submission (after a white paper is accepted) is discussed in the Attachments of this BAA. Proposals or white papers submitted in response to notifications should be submitted according to directions contained within the notification and in accordance with (IAW) this BAA.

c. Before submitting a research white paper/proposal, you may wish to further discuss the research thrust areas. If any such organization is interested in research described herein, the organization may attend the Research Topic Information Session (RTIS) Days with dates that will be announced in the BAA amendments. While attendance is not required, it is highly encouraged.

d. If offers are extending work performed under other projects, the white paper and full proposal must clearly identify the point of departure and what existing work will be brought forward with the new effort under this BAA.

V. AWARD DECISION PROCESS:

White Papers - Each white paper will be reviewed by the Government to determine the technical merit and operational relevance/applicability to the DTRA SI-STT Mission. The review will also determine whether the proposed research appears to be of particular value to the research areas described in this BAA section titled “Research Areas.”

Subject to funding availability, all white papers will be reviewed equally and placed in one of two categories with the breakdown:

Category I - Only approved white papers that meet SI-STT needs will be requested to send a final proposal.

White paper is well conceived;

Sound scientific & technical approach;

Pertinent to STRI objective and SI-STT Mission;

Potential exists for an operationally relevant output for DTRA and the

Warfighter;

Offered by a responsible offer;

Experienced and knowledgeable staff; and Supporting resources.

Category II – Those submissions that are not of interest to SI-STT will be notified via email that the research/effort proposed is not of interest to the Government.

Not scientific and/or technically sound; or Do not meet the SI-STT Mission’s need at this time.

Unless otherwise stated in an email notification or amendment to the BAA, all offers will be notified on their status. After the initial Government review and feedback, the offer/submission will receive an email invitation to submit a proposal or a notice that the proposal does not align with the SI-STT priorities at this time and/or available funding.

For white papers that propose efforts that are considered of particular value, but either exceed available funding or contain certain tasks or applications that are not desired, SI-STT may suggest a full proposal with reduced effort to fit within expected available funding and/or an effort that refocuses the tasks/application of the effort to maximize the expected benefit to SI- STT, DTRA, and the Warfighter.

Proposals Evaluations – The proposals will be evaluated on six (6) primary technical/cost criteria, as well as any specific conditions identified in amendment notifications posted for this BAA. The following are integral in achieving STRI objectives:

a. Technical: Technical merits of the proposed research with consideration of the soundness, innovation and its potential for incremental progress on topic or subtopic;

b. Applicability: Applicability of the proposed research to STRI’s objective and SI-STT’s Mission;

c. Relevancy: Potential operational relevance of the output for DTRA and the

Warfighter;

d. Staffing: The proposer’s/principal investigator’s/team leader's/key personnel’s qualifications, capabilities, related experience, facilities, and/or techniques or a combination of these factors;

e. Past Performance: The proposer and associated personnel’s record of past performance, including completed related research; and

f. Cost Realism: The realism and reasonableness of the proposed cost, including proposed cost sharing.

Please note: Technical and cost white papers/proposals submitted under this BAA will be protected from unauthorized disclosure IAW FAR 3.104-5 and 15.207.

The Government will provide written debriefings to Offers if a request is submitted and received within three working days of Phase II proposal non-selection notifications.

Please note: Debriefings will not be provided for Phase I white paper submissions.

VI. AWARD ADMINISTRATION INFORMATION:

SI-STT will not issue paper copies of this announcement. The costs of complete proposals and/or white papers in response to this BAA are not considered an allowable direct charge to any award resulting from this BAA or any other award. Technical and cost proposals, or any other material submitted in response to this BAA will not be returned. Awards based on responses to this BAA are considered to be the result of full and open competition. This publication constitutes a BAA as contemplated in Federal Acquisition Regulation (FAR) 6.102(d)(2).

An email notice of intent should not be construed as an obligation on the part of the Government; only duly authorized procurement personnel may commit resources. Only Contract/Grant Officers are legally authorized to bind the Government. This will be done by issuing a grant or contract document to the selected applicants/offers.

Also, the email notification must not be used as a basis for accruing costs to the Government prior to award. Selected applicants or offers are not authorized to begin work, as any award is subject to successful negotiations (if determined necessary by DTRA) between the DTRA contracting division and the selected organization, and to the availability of funds.

DTRA SI-STT supports fundamental research IAW DoD Instructions 5230.24 and 5230.27 in a DoD assistance/contract context that are historically funded by Budget Activity 6.2 (Applied Research).

DTRA is issuing this BAA under provisions of the Competition in Contracting Act of 1984, Public Law Number (Pub. L. No.) 98-369, § 2701-2753, 98 Statute (Stat.) 1175 (1984), as implemented by Federal Acquisition Regulation (FAR) 35.016.

VII. SPECIFIC RIGHTS RESERVED FOR GOVERNMENT

DTRA reserves specific rights, in addition to rights described elsewhere in this document or by law or regulation, including:

a. The right to award multiple awards, a single award, or no awards of the proposals received. If an award is made, funding is subject to availability.

c. The right to accept proposals in their entirety or to select only portions of proposals for award or co-investment. If warranted, portions of the resulting award may be segregated into pre-priced options.

d. Applicants must specify in the submittal their recommended procurement instrument

(contract or grant), however, the government reserves the right to select for award an instrument type that is appropriate to the specific development context under the circumstances.

e. The right to co-create projects with one or more potential partners under this BAA, when it is in the best interest of the Government.

f. The right to request any additional, necessary documentation upon initial white paper/proposal review. Such additional information may include, but is not limited to, a further detailed proposal, budget, and representations and certifications.

g. The right to fund or co-invest in proposals in phases, with options for continued work at the end of one or more of the phases.

h. The right to remove proposers from award consideration should the parties fail to reach agreement on award terms, conditions, and/or cost/price within 30 days; the proposer fails to timely provide requested additional information; or the Government believes it is in its best interest.

VIII. AGENCY CONTACTS:

The specific contact point for each Thrust Area is listed below. Please submit the white papers and proposals to the corresponding Thrust Area to ensure that they are reviewed by the appropriate office. All questions regarding administrative content shall be submitted in writing by email to Admin. Correspondence & Questions. DTRA will not release employee personal contact information.

Thrust Area 1: Competition With Revisionist Powers (Studies) dtra.belvoir.si.mbx.hdtra1-stri-ta1@mail.mil

Thrust Area 2: Emerging Threats (Studies) dtra.belvoir.si.mbx.hdtra1-stri-ta2@mail.mil

Thrust Area 3: Counter Threat Networks (CTN) (Studies) dtra.belvoir.si.mbx.hdtra1-stri-ta3@mail.mil

Thrust Area 4: Strategic Security and Risk Reduction (Studies) dtra.belvoir.si.mbx.hdtra1-stri-ta4@mail.mil

Thrust Area 5: Strategic Dialogues with Allies, Partners, and Non-Traditional Partners dtra.belvoir.si.mbx.hdtra1-stri-ta5@mail.mil

Thrust Area 6: Strategic Dialogues with key strategic competitors dtra.belvoir.si.mbx.hdtra1-stri-ta6@mail.mil

Thrust Area 7: TTXs Competition with Revisionist powers (with a focus on WMD-related issues) dtra.belvoir.si.mbx.hdtra1-stri-ta7@mail.mil

Admin. Correspondence & Question dtra.belvoir.si.mbx.hdtra1-stri-Adm@mail.mil

Contracting/General Business POC:

Ms. Rorri Waters Contracts and Grants Officer

Defense Threat Reduction Agency (DTRA)

Applicants must be aware that it is their responsibility to ensure that:

(1) Correct e-mail addresses are provided at the time of submission,

(2) All e-mail notifications reach the intended recipient(s) by providing 2 points of contact, and

(3) The e-mail is not blocked by the use of ‘spam blocker’ software or other means that the recipient’s Internet Service Provider may have implemented as a means to block the receipt of certain e-mail messages.

If for any reason there is a delivery failure of these e-mail notices, DTRA will not further attempt to contact the applicants.

IX. OTHER INFORMATION:

SI-STT is seeking unclassified white papers and research proposals that do not contain proprietary information. Requests for proposals/white papers are also being transmitted via Government Calls (herein stated as “Calls’) which will be published separately from the BAA and concurrently during the open period of this BAA. If proprietary information is submitted, SI-STT will make every effort to protect the confidentiality of the proposal and any evaluations. However, under the Freedom of Information Act (FOIA) requirements, such information (or portions thereof) may potentially be subject to release. If protection is desired for proprietary or confidential information, the proposer must mark the proposal and/or white paper with a protective legend found in FAR 52.215-1(e), Instructions to Offers’ – Competitive Acquisition. It is the Offer’s responsibility to notify SI-STT of proposals containing proprietary information and to identify the relevant portions of their proposals that require protection. The entire proposal (or portions thereof) without protective markings or otherwise identified as requiring protection will be considered to be furnished voluntarily to SI-STT without restriction and will be treated as such for all purposes. Since the Government anticipates the award of grants and/or contracts, this statement is applicable to proposals for both of these potential instruments.

Interested applicants/offers should be alerted for any BAA amendments, or other changes to the requirements of this BAA. Amendments to this BAA will be posted via the Internet at the Grants.gov website (http://www.Grants.gov) and Beta.SAM.gov (System for Award Management) https://beta.sam.gov/ and published when they occur; interested parties are encouraged to periodically check these websites for updates and amendments.

NOTE: Effective November 12, 2019, the Federal Business Opportunities FBO.gov is retired. Beta.SAM.gov is now the authoritative source for Contract Opportunities at https://beta.sam.gov/

***End of Broad Agency Announcement*** http://www.grants.gov/

ATTACHMENT 1 PROPOSAL FORMAT AND PREPARATION INSTRUCTIONS:

General Information:

Internet Address to Request Announcement Package - Offers’ will find the announcement may be accessed from the Internet at the Grants.gov website (http://www.Grants.gov) for grants, and Beta.SAM.gov (System for Award Management) https://beta.sam.gov/ for contracts.

Registration with www.grants.gov or https://beta.sam.gov/. Applicants should note that each organization must complete a one-time registration in order to submit the full proposal(s). If your organization is already registered, no further action should be required.

e. The registration process may take up to four (4) weeks to complete depending on your organization and requires multiple steps, (the DUNS and SAM service is free) some of which are detailed below:

1. Identifying the Data Universal Number Systems (DUNS) number or registering for one with Dun & Bradstreet at http://fedgov.dnb.com/webform/displayHomePage.do if your organization does not have a DUNS number.

2. Registering with the System for Award Management (SAM), you can register online at www.sam.gov/SAM/. You will NOT be able to complete your SAM registration until SAM has confirmed your Employer Identification Number (EIN) or Taxpayer Identification Number (TIN) with the Internal Revenue Service (IRS).

f. Proposals (Volume 1: Technical Proposal, Volume 2: Cost Proposal, and Volume 3:

Supplemental Supporting Information) will be reviewed for consideration from those Offers’ whose proposed research projects have met the evaluation criteria and qualify for Category I & II.

g. All Proposal Volumes must be marked as “Procurement Sensitive”.

Technical Sections of the Proposal:

The technical section must not exceed 10 pages (excluding the cover page and attachments). A page is defined as 8 ½ x 11 inches, single-spaced with a one-inch margin in type not smaller than Times New Roman, 12 point font. Technical sections that do not conform to these requirements will not be reviewed.

Offers’ shall not submit .ZIP files, password protected files or encrypted files.

h. Cover Page: This should include the words “TECHNICAL PROPOSAL” and the following:

Referenced BAA number;

Title of proposal that is descriptive of the research proposed;

Identity of prime Offer and complete list of subcontractors/sub- NFEs, if applicable;

Data Universal Number System (DUNS);

Taxpayer Identification Number (TIN);

North American Industry Classification System (NAICS);

Technical Point of Contact (name, address, phone/fax, email address);

Administrative/Business Point of Contact (name, address, phone/fax, email address) and Institution type; and Length of proposed period of performance.

i. Table of Contents: An alphabetical/numerical listing of the sections within the proposal, including corresponding page numbers.

• Executive Summary: Concise (approximately 200 words) abstract of the proposed research effort. The executive summary provides a brief overview of the proposed program topic, objectives, methodology, and expected results. In addition, the executive summary must state how the principal purpose of the research effort will support SI-STT mission, and result in an operationally relevant product.

Statement of Research Work (SoRW): A research description clearly detailing the draft scope and objectives of the effort and technical approach. The proposed draft SoRW should be a stand alone document and follow the template in Attachment 4.

A major portion of the proposal should consist of a clear description of the proposed technical approach. This discussion should provide the technical foundation/justification for pursuing this particular approach and why one would expect it to support the achievement of the stated research objectives. Within the SoRW, include a detailed list of the research tasks/subtasks organized chronologically.

If the SoRW is proposing a symposium, workshop (as part of a study effort), strategic dialogue, or TTX as part of the research methodology, the technical approach must describe the need for such a gathering and how the meeting results are expected to support the stated research objective.

• Project Schedule and Milestones: A table summarizing the schedule of research and reporting activities and milestones. Because the date of award is not known at time of application, we recommend a “month 1,” “month 2,” format, as opposed to naming specific months and dates.

• Deliverable Reports: STRI requires the following deliverables for every award (do not include software, prototypes, hardware as deliverables):

Technical and financial progress reports, monthly;

Final briefing (slides to be delivered at DTRA);

Final financial report;

Final technical report with actionable recommendations (12-15 pages, suitable for a US Government audience); and Standalone executive summary with actionable recommendations (1-3 pages, suitable for a US Government audience).

If awarded, researchers will be required to participate in a project kickoff meeting and a mid-point In-Progress Review (IPR). If the project approach requires the execution of a strategic dialogue, or a TTX, additional coordination meetings will be required.

All meetings will be held at DTRA unless otherwise specified.

• Management Approach: A discussion of the overall approach to the management of this effort, including brief discussions of the total organization; responsibilities of the various personnel; project/function/subcontractor/sub- NFE relationships; government research interfaces; and planning, scheduling and oversight practices. Identify which personnel and subcontractors/sub-NFEs (if any) will be involved. Include a description of the facilities that are required for the proposed effort with a description of any Government-furnished equipment (GFE), hardware, software or information required, by version and/or configuration.

j. Attachment 1 - Offer Qualifications: A discussion of previous accomplishments and research by the Offer’s institution in this or closely related areas; a discussion of the qualifications and/or resumes or curricula vitae of the proposed Principal Investigator and other key personnel.

k. Attachment 2 - Current and Pending Project and Proposal Submissions:

Principal Investigators and Key Personnel are required to provide information on all current and pending support for ongoing projects and proposals.

Offers’ shall provide information of any related proposal submissions from whatever sources (e.g., Federal, State, local or foreign government agencies, public or private foundations, industrial or other commercial organizations).

The proposed project and all other projects or activities requiring the Principal Investigator’s time as well as any other Key Personnel must be included, even if they receive no salary support from the project(s).

1. Title of Proposal;

2. One (1) paragraph summary;

3. Source of funding;

4. Total award amount (separate annual direct and indirect costs);

5. Contract and/or grant numbers for current contracts/grants;

6. Percentage effort devoted to the project; this can be number of person-months or labor hours per year;

7. Identity of prime Offer and complete list of subcontractors, if applicable;

8. Technical Point of Contact (name, address, phone/fax, email address);

9. Administrative/Business Point of Contact (name, address, phone/fax, email address);

10. Period of performance (differentiate basic effort); and

11. How the project is related to the proposed effort and degree of overlap, if applicable.

Attachment 3 – Certifications and Representations:

Certification and representations must be completed at the time of the proposal submission and in Attachment 3. Additional information beyond the certifications may be required from successful Offers’ and may be requested at any time.

The certifications list below must be submitted separately as they are not included in SAM. As applicable, the Offer is required to complete the representation or to acknowledge in writing that they have read and understand the following:

a. The SAM website (www.sam.gov) is used for entry of certifications and representations.

b. Information Regarding Responsibility Matters: FAR 52.209-7 (Oct 2018), Information Regarding Responsibility Matters, is a certification that is required. Review it in its entirety and acknowledge in the affirmative that you are aware of its requirement and will comply as delineated.

c. DFARS 252.203-7996, Prohibition on Contracting with Entities that Require Certain Internal Confidentiality Agreements-Representation.

(DEVIATION 2016-O0003)(OCT 2015).

d. DFARS 252.203-7005, Representation Relating to Compensation of Former DoD Officials.

e. DFARS 252.204-7008, Compliance with Safeguarding Covered Defense Information Controls.

f. DFARS 252.227.7013(e), Signed Data Rights Assertions List.

• Offers submitted in response to this BAA shall identify, to the extent known at the time an offer is submitted to the Government, the technical data or computer software that the Offer, its or potential subcontractors or suppliers, assert should be furnished to the Government with restrictions on use, release, or disclosure, in accordance with DFARS 252.227-7017, Identification and Assertion of Use, Release or Disclosure Restrictions, and DFARS 252.227-7028, Technical Data or Computer Software Previously Delivered to the Government. The Offer's assertions, including the assertions of its potential subcontractors or suppliers, shall be submitted as an attachment to its offer in the following format, dated and signed by an official authorized to contractually obligate the Offer. If the Offer will deliver all technical data and computer software to the Government without restrictions, enter “NONE” in this table under the heading “Technical Data or Computer Software to be Furnished with Restrictions.”

Identification and Assertion of Restrictions on the Government's Use, Release, or Disclosure of Technical Data or Computer Software.

The Offeror asserts for itself, or the persons identified below, that the Government's rights to use, release, or disclose the following technical data or computer software should be restricted:

Technical Data or Computer Software to be Furnished With Restrictions*

Basis for Assertion** Asserted Rights Category***

Name of Person Asserting Restrictions****

(LIST)*****

(LIST)

*For technical data (other than computer software documentation) pertaining to items, components, or processes developed at private expense, identify both the deliverable technical data and each such item, component, or process. For computer software or computer software documentation identify the software or documentation.

**Generally, development at private expense, either exclusively or partially, is the only basis for asserting restrictions. For technical data, other than computer software documentation, development refers to development of the item, component, or process to which the data pertain. The Government's rights in computer software documentation generally may not be restricted. For computer software, development refers to the software. Indicate whether development was accomplished exclusively or partially at private expense. If development was not accomplished at private expense, or for computer software documentation, enter the specific basis for asserting restrictions.

***Enter asserted rights category (e.g., government purpose license rights from a prior contract, rights in SBIR data generated under another contract, limited, restricted, or government purpose rights under this or a prior contract, or specially negotiated licenses).

****Corporation, individual, or other person, as appropriate.

*****Enter “none” when all data or software will be submitted without restrictions.

Date:

Title:

Printed Name:

Signature:

(End of identification and assertion)

ATTACHMENT 2 COST PROPOSAL FORMAT AND PREPARATION INSTRUCTIONS:

Format: The offer shall use the Microsoft Excel template file which includes a summary sheet followed by a detailed cost proposal that shows the calculations, unit price, and number of units in more detail than is possible in the required summary. However, inclusion of a more detailed spreadsheet is not a substitute for a budget narrative.

In addition, all costs will be supported by a cost narrative explaining and justifying the budget items, and states the basis for the amounts listed. The details must include direct costs, calculations, and supporting documentation for determining cost allowability, allocability and reasonableness.

Estimate the total research project cost. Categorize funds by year and provide annualized budgets for projects lasting more than one FY. Each budget year cannot exceed 12 months.

Phase II proposals selected for award will be subject to cost realism and reasonableness analysis in accordance with FAR 35.016(e). Additionally, the Government may elect to fund only part of a submitted proposal.

Content: Costs proposed must conform to the following principles and procedures:

2 CFR Part 200, “Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards”;

DoD’s interim implementation found at 2 CFR Part 1103, “Interim Grants and Cooperative Agreements Implementation of Guidance in 2 CFR Part 200”;

DoDGARs, other than Parts 32 and 33; and FAR Part 31.

The budget narrative must include the following:

Direct Labor - Individual labor categories or persons, with associated percent of annual effort and unburdened direct labor rates by annual salary (number of total hours and hourly rate must be provided). If proposal period crosses fiscal years, then provide escalation rates for each fiscal year period. Clearly state any escalation rates used in calculations. Provide supporting documentation verifying individual labor rates for each known individual; this may include a recent payroll receipt for individuals or a signed statement of salary rate or hourly rate and level of appointment from the Offer’s Sponsored Programs Office or Human Resources Office. For persons yet to be identified, provide general tables or schedules by labor category, which labor category will be used and why that labor category is appropriate.

Administrative and Clerical Labor - Salaries of administrative and clerical staff are normally indirect costs (and included in an indirect cost rate). Direct charging of these costs may be appropriate when a major project requires an extensive amount of administrative or clerical support significantly greater than normal and routine levels of support. Budgets proposing direct charging of administrative or clerical salaries must be supported with a budget justification, which adequately describes the major project and the administrative and/or clerical work to be performed.

Fringe Benefits - The Cost Proposal narrative must include the rates and calculations of the costs for each labor category/person, the salary amounts to which they are applied, and the sum total for each labor category/person.

If the rates have been approved/negotiated by a Government agency, provide a copy of the memorandum/agreement. If the rates applied are composite rates, or the rates have not been approved/negotiated, provide sufficient detail to enable a determination of allowability, allocability, and reasonableness of the allocation bases, and how the rates are calculated according to applicable OMB Circulars or FAR/Defense Federal Acquisition Regulations (DFARS) provisions.

Consultants – Individual daily rate must be supported with a copy of the consultant agreement portion displaying the daily rate and approval of authorizing official.

Travel - The proposed travel should include the following for each trip:

The purpose of the travel;

Origin and destination, if known (origin is typically known; if destination is unknown, state basis for estimating travel cost);

Estimated trip duration;

Number of travelers; and Estimated cost per trip (for example: airfare, hotel, per diem, etc.).

The costs must be justified based on the organization’s historical average cost per trip or other reasonable basis for estimation. Such estimates and the resultant costs claimed must conform to the applicable Federal cost principles.

If hosting a workshop or other type of meeting for which participant travel costs are requested in the budget, outline those costs here, including best estimates for origin and destination, approximate duration, number of travelers, and estimated cost per trip. Describe how the venue will be selected, by what criteria, and what will be requested in the conference package. To support cost estimates, include past venue invoices or initial quotes from likely venues. If available, include a tentative agenda and roster of participants by organizational affiliation. If not available, state how many participants are anticipated from the U.S. Government and how many from outside the U.S. Government. Funds provided cannot be used for payment to any Federal Government employee for support, subsistence, or services in connection with participation at a meeting sponsored through this award.

Anticipated use of funds requested from proposals for studies that involve symposia and workshops will be evaluated using the following criteria. All factors are of equal importance:

• Technical and scientific merits of the proposed research;

• Relevance of the proposed research to STRI objectives and SI-STT mission;

• The proposer’s principal investigator’s (PI), team leader’s or key personnel’s qualifications, capabilities, related experience, facilities or a combination of these factors are integral to achieving STRI objectives;

• The likelihood of the proposed effort to result in an operationally relevant output for DTRA and the Warfighter;

• The proposer’s and associated personnel’s record of past performance; and

• The realism and reasonableness of cost including proposed cost sharing and funds availability. Cost Information (in addition to information required on SF 424 Research and Related (R & R) Budget forms):

o Total project costs by major cost elements; and o Anticipated sources of conference/workshop income and amount from each source.

Subcontractor/Sub-NFE Costs- Submit all subcontractor/sub-NFE proposals and analysis with your cost proposal (See FAR 15.404-3(b) and 2 CFR 200, Sub- NFE Monitoring and Management). If the subcontractor/sub-NFE will not submit cost and pricing information to the offer, the subcontractor/sub-NFE must submit this information directly to the Government for analysis. On all subcontracts/subgrants and interdivisional transfers, provide the method of selection used to determine the subcontractor/sub-NFE and the proposed award type of each subaward. An explanation shall be provided if the offer proposes a different amount than that quoted by the subcontractor. The offer’s proposal must include:

Identify principal items/services to be subawarded. Identify prospective subcontractors/sub-NFEs and the basis on which they were selected. If non-competitive, provide selected source justification.

Identify the type of contractual business arrangement contemplated for the subaward and provide a rationale for same.

Identify the basis for the subcontract costs (e.g., firm quote or engineering estimate, etc.).

If applicable, identify the cost or pricing data or information other than cost or pricing data submitted by the subcontractor.

Provide an analysis of the proposed subcontract in accordance with FAR 15.404-3(b). Provide an analysis concerning the reasonableness, realism and completeness of each subcontractor’s proposal. If the analysis is based on comparison with prior prices, identify the basis on which the prior prices were determined to be reasonable. The analysis should include, but not be limited to, an analysis of: materials, labor, travel, other direct costs and proposed profit or fee rates.

Acquired Equipment or Facilities - If acquisition of equipment and/or facilities is proposed, a justification for the purchase of the items must be provided. For computer/laptop purchases and other general purpose equipment, if proposed, include a statement indicating how each item of equipment will be integrated into the program or used as an integral part of the research effort.

Other Direct Costs - Provide an itemized list of all other proposed direct costs such as graduate assistant tuition, laboratory fees, report and publication costs, and the basis for the…