HDTRA1-17-S-0002_Amendment_3_Final.pdf

DEFENSE THREAT REDUCTION AGENCY

BROAD AGENCY ANNOUNCEMENT

HDTRA1-17-S-0002

SCIENCE AND TECHNOLOGY

NEW INITIATIVES

Amendment #3—May 15, 2019

Original Posting—November 2016

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TABLE OF CONTENTS

SECTION NO. PAGE NO.

1 INTRODUCTION AND SCOPE

2 PURPOSE

3 BAA APPROACH AND OVERVIEW

4 ELIGIBILITY

5 POINTS OF CONTACT

6 SUBMISSION INFORMATION

7 R&D TAS AND TOPICS

8 INFORMATION TO BE REQUESTED FROM SUCCESSFUL OFFERORS

9 EXPORT CONTROL, ITAR NOTIFICATION

10 TECHNICAL AND ADMINISTRATIVE SUPPORT BY NON–GOVERNMENT

PERSONNEL

11 SYSTEM FOR AWARD MANAGEMENT (SAM)

12 CERTIFICATIONS AND REPRESENTATIONS

13 PROTECTION OF HUMAN SUBJECTS

14 ANIMAL USE

15 BIOLOGICAL DEFENSE RESEARCH PROGRAM (BDRP) REQUIREMENTS:

BIOSURETY AND SELECT AGENT USE

16 LIFE SCIENCE DUAL-USE RESEARCH OF CONCERN (DURC)

17 ORGANIZATIONAL CONFLICT OF INTEREST (COI) ADVISORY

18 INTELLECTUAL PROPERTY

19 SUBCONTRACTING PLAN

20 RECOMMENDED PROCUREMENT INSTRUMENT AND PRICING

ARRANGEMENT

21 AUTHORIZED OFFEROR PERSONNEL

22 STATEMENT OF CURRENT AND PENDING SUPPORT

23 MODIFIED PRE-AWARD CHECKLIST

24 ADMINISTRATIVE AND AUDIT OFFICES

25 FORWARD PRICING RATE AGREEMENT

26 CONFIRMED PROPOSAL EXPIRATION DATE

27 LIST OF ATTACHMENTS

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ATTACHMENT 1: RESEARCH & DEVELOPMENT TECHNOLOGY AREAS (TAS) ...27

ATTACHMENT 2: QUAD CHART TEMPLATE

ATTACHMENT 3: TECHNOLOGY READINESS LEVEL (TRL) DEFINITIONS

ATTACHMENT 4: TECHNICAL PROPOSAL FORMAT AND PREPARATION

INSTRUCTIONS

ATTACHMENT 5: COST PROPOSAL FORMAT AND PREPARATION

INSTRUCTIONS

ATTACHMENT 6: STATEMENT OF WORK FORMAT AND PREPARATION

INSTRUCTIONS

ATTACHMENT 7: EVALUATION CRITERIA AND SELECTION PROCESS

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1 INTRODUCTION AND SCOPE

The Defense Threat Reduction Agency’s (DTRA) mission is to safeguard America and its allies from Weapons of Mass Destruction (WMD) (chemical, biological, radiological, nuclear, and high-yield explosives (CBRNE)) by providing capabilities to reduce, eliminate, and counter the threat, and mitigate its effects. DTRA’s Enabling Capabilities Department is the program office for this Broad Agency Announcement (BAA), which provides a tool to search for and execute strategic investments in innovative technologies for countering WMD. This office will receive and coordinate on all pre-coordination and formal proposals to this announcement.

This BAA is an extramural endeavor focused on innovative research and development (R&D) activities and related study efforts that advance technical state-of-the-art or increase knowledge and understanding of overarching challenges for countering WMD.

2 PURPOSE

The purpose of this BAA is to solicit proposals for DTRA program requirements.

The focus of this BAA is on discovering and accelerating innovations through three broad technical approaches that contribute to DTRA overarching research, development, technology, and engineering (RDT&E) goals. R&D Technology Areas (TAs), detailed in Attachment 1, may address one or more of the RDT&E goals outlined below:

(1) Analytic investigations are studies that increase DTRA’s knowledge or understanding of emerging WMD threats and how DTRA might anticipate and counter them. The WMD threat spectrum includes: nuclear, radiological, biological, chemical and high-yield explosive (HE) weapons (including improvised threats); their up-stream acquisition, RDT&E and production; their storage, deployment and final disposition; strategic and tactical delivery systems, command and control; and their weapon effects if used.

(2) Innovative capability research and development advances the state-of-the-art of DTRA’s technical capabilities and methods used to find, monitor, characterize, assess, plan against, deter, delay, disrupt, neutralize or destroy WMD at any point in their lifecycles.

(3) Mission-oriented experiments are designed to model, simulate, test and/or evaluate analytic methods or technical capabilities intended to counter WMD threats, or to mitigate the risks/impacts that they pose to DTRA’s critical assets, operations or interests under operationally relevant conditions.

Projects funded under this BAA will be analytic investigations, capability developments and/or experiments at Technology Readiness Levels (TRL) 2 through 6. See Attachment 3 for TRL definitions. Offerors and performers must note that advancement of technology beyond TRL 6 will not be permitted during the period of performance of any award made under this BAA.

3 BAA APPROACH AND OVERVIEW

This BAA is in effect from November 2016 through October 2021 and is open continuously for submissions to the R&D TAs during this time. The Government reserves the right to amend the BAA at any time to capture, but not limited to, ongoing, new or emerging requirements with new or different R&D TAs. On a limited basis, Addendums to this BAA may be published that detail more specific or urgent topics. Offerors should note that the topics posted in Addendums are likely to

HDTRA1-17-S-0002 Page 5 have formal proposal deadlines and be available for a limited time. The Government reserves the right to cancel or suspend the BAA at any time during the effective period of the BAA. Changes to the core content of this BAA will be made via amendments. This BAA, all Addendums to this BAA, and all amendments issued in conjunction with this BAA will be posted to the Federal Business Opportunities (FedBizOpps) website (www.fbo.gov) and for informational purposes on the DTRA website (www.dtra.mil). It is the responsibility of the Offerors and interested parties to be aware of BAA Addendums and amendments by regularly checking the FedBizOpps website and registering at www.fbo.gov to receive notifications and updates to this specific solicitation.

The Government encourages proposals that span a wide spectrum of solutions and approaches in response to the specific TAs detailed in Attachment 1, or topics, if available. The Government reserves the right to award any combination of approaches that offer the best overall value to the Government and to oversee any and all processes and approaches once initiated.

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. The Government actions under this BAA shall adhere to the requirements of the FAR and Defense Federal Acquisition Regulation Supplement (DFARS) depending on type of instrument awarded. However, Offerors should note that DTRA executes awards to Federally Funded Research and Development Centers (FFRDCs) via interagency orders (IOs) and military interdepartmental purchase requests (MIPRs).

This BAA will be conducted via a two-phased process consisting of a Phase I white paper and a Phase II invited proposal submission. See Section 6. DTRA reserves the right to communicate and to further coordinate with an offeror after the receipt of a Phase I white paper, prior to a decision to request a Phase II proposal. The purpose of the communications would be to seek clarification and discuss the technical aspects of the proposed effort.

Offerors choosing to use the services of Government Laboratories in the performance of work proposed may be required to enter into a Cooperative Research and Development Agreement (CRADA) with the Laboratory. A CRADA is not a FAR-based agreement; it is authorized by 15 United States Code (U.S.C.) Section (§) 3710a. A CRADA will be separate from the DTRA procurement instrument, with its own unique terms, in particular related to Intellectual Property. It would be prudent for the Offeror to discuss those unique terms with the Laboratory prior to submitting a formal proposal under this BAA. DTRA will not facilitate, nor be involved in, the negotiation of the agreements with Government Laboratories.

The full range of acquisition-related statutory authority arrangements available to DTRA are possible resultants from this announcement including contracts and other transaction agreements (OTAs); awards to FFRDCs will be via IOs and MIPRs, as appropriate. Each procurement instrument offers different advantages, liabilities and responsibilities for Offerors and the Government. Offerors must specify in their formal proposal submittal their recommended procurement instrument; however, the Government reserves the right to negotiate and award the types of procurement instruments determined most appropriate under the circumstances. Except for OTAs, the Government actions under this BAA shall adhere to the requirements of the FAR and DFARS. If warranted, portions of resulting awards may be segregated into pre-priced options.

Grants and Cooperative Agreements will not be awarded via this BAA. Periods of performance for each award may be up to five (5) years.

R&D contracts are typically Cost Reimbursement contracts. In accordance with FAR 16.301-http://www.fbo.gov/ http://www.dtra.mil/ http://www.fbo.gov/

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3(a)(3), Cost Reimbursement contracts require that the contractor’s accounting system is adequate for determining costs applicable to the contract. Therefore, DTRA will request that the Defense Contract Audit Agency (DCAA) perform an audit on your formal proposal and accounting system prior to entering into contract negotiations. Failure to have an adequate accounting system will preclude the Offeror from receiving a cost-type contract and instead will require a non-cost reimbursable award, e.g. a firm-fixed price contract, etc., if appropriate.

DTRA intends to create an environment where potential Offerors are willing to share commercially generated R&D with the Government. The Government will negotiate terms and conditions to leverage the successful Offerors’ advances. The Government seeks to ultimately acquire the best commercial products and technology in addition to offering the appropriate level of protection of corporate and institutional intellectual property rights, thus encouraging participation by a broad spectrum of leading-edge technology developers.

Official coordination and communication between Offerors and the Government will be conducted at the discretion of the Contracting Officer and will be primarily through the e-mail address associated with this BAA as specified in Section 5.

Participation in this program is highly competitive. Awards resulting from this BAA will be made based on the evaluation results of the proposal process described in Attachment 7. All awards are subject to the availability of funds. The Government reserves the right to fund all, some, one, or none of the proposals received in response to this announcement. In all cases, the Program Office will have the ultimate authority and responsibility to make final scope determinations for selections of proposals that will not be totally funded to ensure the portion selected meets the requirements.

The Government reserves the right to incrementally fund any or all awards and/or fund proposals in phases with options for continued work at the end of one or more of the phases.

In addition, the Government reserves the right to create and maintain a reserve list of proposals for potential funding, in the event that sufficient funding becomes available. The Government may offer funding for any formal proposals or portions of proposals at any time during the lifetime of this BAA. If a proposal is selected for funding at a date beyond the confirmed expiration date, the Government will verify with the Offeror that the originally proposed approach, costs, and capability, as well as the interest to perform the work remains valid. If an updated technical and/or cost proposal is required, DTRA reserves the right to review the submissions in accordance with this BAA and to rescind the selection of the proposal based on this review.

Offerors that are not responsive to Government requests for information in a timely manner, defined as meeting Government deadlines established and communicated with the request may be removed from award consideration.

4 ELIGIBILITY

Submissions for this BAA will be considered from the following U.S. and Foreign Enterprises:

• Industrial/commercial entities including small businesses

• Accredited degree granting colleges and universities

• Not-for-profit organizations

• Foreign research organizations (e.g. UK’s Defence Science and Technology Laboratory)

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• University Affiliated Research Centers (UARCs), provided that it is permitted by the UARC's Department of Defense (DoD) sponsor

• DoD-sponsored FFRDCs specified in DoD FAR Supplement 235.017-1 (http://farsite.hill.af.mil/vfdfara.htm and click on ‘DFARS Part 35’). DoD-sponsored FFRDCs shall review FAR 35.017(a)(2) to ensure compliance with the requirement for an Organizational Conflict of Interest (OCI) Risk Mitigation Plan that shall accompany the proposal submission.1

• Department of Energy (DoE)-sponsored FFRDCs provided that authorization is obtained from the DoE sponsor. DoE-sponsored FFRDCs shall review FAR 35.017(a)(2) to ensure compliance with the requirement for an Organizational Conflict of Interest (OCI) Risk Mitigation Plan that shall accompany the proposal submission.1 In accordance with FAR 17.503(e), DoE Order 481.1C and DoE Acquisition Regulation DEARS 970.1707-3, DoE-sponsored FFRDCs must provide a copy of the written certification from the DoE sponsor authorizing its performance of the proposed effort. The DoE sponsor must provide written certification that the proposed work:

(1) is consistent with or complimentary to missions of DoE and the facility to which the work is to be assigned,

(2) will not adversely impact programs assigned to the facility, and

(3) will not create a detrimental future burden on DoE resources.

• National Aeronautics and Space Administration (NASA)-sponsored FFRDCs provided that authorization is obtained from the NASA sponsor. NASA-sponsored FFRDCs shall review FAR 35.017(a)(2) to ensure compliance with the requirement for an Organizational Conflict of Interest (OCI) Risk Mitigation Plan that shall accompany the proposal submission.1

White papers and proposals are encouraged from Historically Black Colleges and Universities (as determined by the Secretary of Education to meet requirements of Title III of the Higher Education Act of 1965 as amended, 20 U.S.C. § 1061) and from Minority Institutions defined as institutions “whose enrollment of a single minority or a combination of minorities…exceeds 50 percent of the total enrollment,” 20 U.S.C. § 1067k(3).

The following entities may not participate as prime contractors nor furnish principal investigators in awards made under this BAA, but may act as subcontractors:

• Federal laboratories (including FFRDCs) other than those DoD-, DoE-, and NASA-sponsored FFRDCs specified in above. In accordance with FAR 17.503(e), 35.017(a)(2) and 35.017-3, FFRDC participants must provide documentation from the FFRDC sponsor authorizing its performance of the proposed effort.

• U.S. Government agencies and organizations

• Academic institutions that are U.S. Government organizations (e.g., Naval Postgraduate School)

1 The conflict of interest policy in DFARS 235.017(a) pertains to personal conflicts of interest by board members of FFRDCs and not organizational conflicts of interest.

http://farsite.hill.af.mil/vfdfara.htm

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All Offerors must be registered in the DoD System for Award Management (SAM) database. For additional information, see Section 12.

5 POINTS OF CONTACT

Questions regarding the technical and administrative content of this BAA must be sent to the following e-mail address: DTRAInnovation@mail.mil. All questions must include the BAA number (and TA, if relevant) in the subject line. DTRA will post questions and answers to the FedBizOpps website (www.fbo.gov) that are relevant to all potential Offerors. It is the Offeror’s responsibility to check periodically the FedBizOpps website to view postings of questions and answers, in addition to any applicable amendments to the BAA.

6 SUBMISSION INFORMATION

Submission Overview.

This BAA will be conducted in two phases. Phase I is for receipt of white papers. Phase II is for receipt of invited proposals. DTRA reserves the right to communicate and further coordinate with an offeror after the receipt of a Phase I white paper, prior to a decision to request a Phase II proposal.

The purpose of the communications would be to seek clarification and discuss the technical aspects of the proposed effort.

Unclassified, unrestricted white papers and proposals must be submitted electronically through the DTRA proposal submission website, http://www.dtrasubmission.net. Unclassified white papers and proposals submitted by any means other than the proposal submission website (e.g., hand-carried, postal service, commercial carrier, and e-mail) will not be considered.

All information provided in the documents submitted to the DTRA proposal submission website, http://www.dtrasubmission.net, that is marked appropriately will be considered proprietary information, as indicated in Section 6.6. See Section 6.7 for guidance on classified communications with DTRA in response to this BAA.

DTRA Submission Website.

All applicants submitting an unclassified white paper or proposal must register on the DTRA submission website, http://www.dtrasubmission.net, prior to submission. Detailed registration instructions are available at the website. Failure to register in accordance with instructions will prevent submission of the required documents and render Offerors ineligible for participation in this BAA. Prior registration at any proposal submission site other than http://www.dtrasubmission.net does not fulfill registration requirements for participation in this BAA.

IMPORTANT: Registration at the DTRA proposal submission website is NOT the same as registering at SAM (https://www.sam.gov) or FedBizOpps (www.fbo.gov) websites. Failure to compliantly register at the DTRA proposal submission website will prevent an Offeror’s submission of documents required and thus render them ineligible for participation in this BAA. Additional details regarding SAM registration may be found in Section 11.

Each institution may establish procedures for the management of registration and submission of proposals, but all submissions from an institution shall be coordinated and submitted by a single responsible party.

mailto:DTRAInnovation@mail.mil http://www.dtrasubmission.net/ http://www.dtrasubmission.net/ http://www.dtrasubmission.net/ http://www.dtrasubmission.net/ https://www.sam.gov/

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Other Submission Information.

Using the DTRA proposal submission website, http://www.dtrasubmission.net, all Offerors must prepare a coversheet to include basic identifying information for the institution and the Offeror points of contact. The Offeror will be required to submit the white paper or proposal to the most applicable TA. All data point requirements must be completed in every cover sheet. Once the cover sheet is saved, the system will assign a unique tracking number for each proposal submission. Cover sheets may be edited as often as necessary until the proposal is submitted.

If multiple white papers or proposals are being submitted by the same institution, separate cover sheets must be generated for each submission as the required documents must be uploaded with the associated cover sheet.

All documents submitted to the DTRA proposal submission website, http://www.dtrasubmission.net, are considered works in progress and are not eligible for evaluation until the applicant submits the final proposal package for consideration. Offerors are responsible for ensuring compliant and final submission of their white papers and proposals; offerors can verify the submission of the white paper and proposal packages with the electronic receipt that appears on the screen following submission to the DTRA proposal submission website.

All documents submitted via the DTRA proposal submission website must be UNCLASSIFIED and UNRESTRICTED. Offerors must not encrypt or password protect any uploaded files. Each individual file will not exceed 10 Mbytes of storage space. Movie and sound file attachments, or other additional files, will not be accepted. Offerors should perform a virus check before uploading any files. If a virus is detected it may cause rejection of the file.

The Government may reject Phase I or Phase II submissions that are deemed non-compliant, i.e., those that significantly deviate from the instructions in this BAA.

Phase I Submission and Content.

Each Phase I submission shall include a white paper and quad chart. The white paper shall include the project title at the top of the page and must cite the TA (refer to Attachment 1) or topic, as appropriate. If the Offeror is from an FFRDC, the narrative must specify how the project falls within the mission of the FFRDC. The white paper shall be limited to five (5) pages and be uploaded as a PDF compatible with Adobe Acrobat®. A page is defined as 8½ x 11 inches, single-spaced, with one-inch margins in type not smaller than Times New Roman, 12 point font. White papers that do not conform to these requirements will not be reviewed.

The quad chart shall be limited to a single page. All quad charts must be prepared and submitted in landscape format. Quad charts shall conform to the template included in Attachment 2 and be uploaded as a PDF compatible with Adobe Acrobat®.

The content of the white paper must be limited only to further explain, as deemed necessary by the Offeror, the information conveyed in the quad chart. The Offeror may briefly detail personnel qualifications in the white paper. Do NOT include corporate qualifications, past experience, or any supplemental information.

Offerors submitting a Phase I white paper and quad chart will receive a notification from DTRA with a statement as to whether the project is invited for a full proposal or is non-selected for further consideration; notifications may be received within 180 days. Only proposal invitation emails will provide a debrief; rejection notices will not provide a debrief.

http://www.dtrasubmission.net/ http://www.dtrasubmission.net/

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Phase II Submission and Content.

The Phase II submission includes three separate volumes: Volume I – Technical Proposal; Volume II – Cost Proposal; and Volume III – Supplemental Information, to include a Statement of Work (SOW) and a Quad Chart.

Volume I – Technical Proposal must not exceed 25 pages. A page is defined as 8½ x 11 inches, single-spaced, with one-inch margins in type not smaller than Times New Roman, 12 point font.

Technical proposals that do not conform to these requirements will not be reviewed. The technical proposal must include the components included in the template as shown in Attachment 4 of this BAA. The Volume I – Technical Proposal must be submitted as a Portable Document File (PDF) compatible with Adobe Acrobat®.

Technical proposals submitted via the DTRA proposal submission website must be UNCLASSIFIED and UNRESTRICTED. See Section 6.7 for guidance on classified communications with DTRA in response to this BAA. All information provided that is marked appropriately will be considered proprietary information, as indicated in Section 6.6.

Volume II – Cost Proposal shall contain cost estimates sufficiently detailed for meaningful evaluation. The files for the Volume II – Cost Proposal shall be submitted as three separate files: 1) a cost summary (as a PDF compatible with Adobe Acrobat®), 2) a detailed cost portion (as a Microsoft Excel file created with Microsoft Office 2007 or later is preferred for the cost tabulation, but PDF compatible with Adobe Acrobat® is acceptable, if necessary), and 3) equipment and property details (as a PDF compatible with Adobe Acrobat®). The proposal must include the total cost of the project, and the cost proposal must provide a breakdown of the amount(s) by task. The cost proposal must include the components as detailed in Attachment 5 of this BAA. The same level of detail shall be provided and incorporated into Volume II for any subcontracts or consultants. The exception is any proprietary subcontract or consultant cost data (e.g., indirect rates) that may be submitted directly to the Government at time of negotiation. A cost summary must be prepared and submitted in conjunction with the detailed cost proposal. The cost summary is not to exceed two (2) pages; however, the cost proposal does not have a page limit. Additionally, each Offeror must prepare and submit details on Equipment and Government Property in conjunction with the other cost proposal files.

Volume III – Supplemental Information contains required supplemental data. More information about the specific information to include is summarized in Table 1 with specific information included in the referenced sections. The required files for Volume III – Supplemental Information must submitted in accordance with Table 1. Each file must be submitted as a PDF file compatible with Adobe Acrobat®. Offerors should note that the Volume III – Supplemental Information may consist of up to 15 individual files. One document (i.e. Document #5 in the table below) is intended to addresses multiple requirements (e.g., SAM, Certifications and Representations, Recommended Procurement Instrument and Pricing Arrangement, Authorized Offeror Personnel, Administrative and Audit Offices, and the Confirmed Proposal Expiration Date). If any particular item is not relevant to the proposed effort, include a reference to the requested information in Document #5 (see Table 1) and state that the particular information is not applicable in order to confirm a negative response.

All quad charts must be prepared and submitted in landscape format. See Attachment 2 for additional instructions. All other files within the three volumes of the proposal must be provided in portrait layout.

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Offerors submitting a proposal will receive a notification from DTRA with a statement as to whether the project is selected, placed on a reserve list, or non-selected for funding; notifications may be received within 120 days. A debriefing summary may be included in notification emails to Offerors.

Additional details may be provided upon written request (to the e-mail address in Section 5), at DTRA’s discretion.

Volume III – Supplemental Information Item Required? Document

Number Reference ✓

Quad Chart Yes #1 Attachment 2 Statement of Work (SOW) Yes #2 Attachment 6 For FFRDCs, written certification from the sponsor authorizing the performance of the proposed effort

If applicable #3 Section 4

For FFRDCs, OCI Risk Mitigation Plan If applicable #4 Section 4 System for Award Management (SAM) Yes #5* Section 11 Certifications and Representations Yes #5* Section 12 Human Subjects If applicable #6 Section 13 Animal Use If applicable #7 Section 14 BioSurety and Select Agent Use If applicable #8 Section 15 Life Science Dual-Use Research of Concern If applicable #9 Section 16

Organizational Conflict of Interest Advisory Yes #10 Section 17

Intellectual Property Yes #11 Section 18 Subcontracting Plan If applicable #12 Section 19 Recommended Procurement Instrument and Pricing Arrangement Yes #5* Section 20

Authorized Offeror Personnel Yes #5* Section 21 Statement of Current and Pending Support Yes #13 Section 22

Modified Pre-Award Checklist (SF 1408) If applicable #14 Section 23 Administrative and Audit Offices Yes #5* Section 24 Forward Pricing Rate Agreement Yes #15 Section 25 Confirmed Proposal Expiration Date Yes #5* Section 26 Table 1: Summary of supplemental data for Volume III – Supplemental Information, with section references.

* Document #5 addresses multiple items and confirmed negative responses for non-applicable items

Marking of the Proposal and Disclosure of Proprietary Information.

The quad chart (submitted as part of either the white paper or the proposal) must not contain information deemed trade secret, confidential, or proprietary by the Offeror.

Likewise, the SOW must not contain information deemed trade secret, confidential, or proprietary by the Offeror.

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Any document(s) other than the quad chart and SOW submitted in response to this BAA may contain technical and other data that the Offeror does not want disclosed to the public or used by the Government for any purpose other than proposal evaluation. Public release of information submitted will be subject to existing statutory and regulatory requirements.

If proprietary information that constitutes a trade secret, proprietary commercial or financial information, confidential personal information, or data affecting the national security is provided by an Offeror in any document submitted in response to this BAA, it will be treated in confidence to the extent permitted by law, provided that the following legend appears and is completed on the front of the document:

“For any purpose other than to evaluate the white paper/proposal, this data shall not be disclosed outside the Government and shall not be duplicated, used, or disclosed in whole or in part, provided that if an award is made to the Offeror as a result of or in connection with the submission of this data, the Government shall have the right to duplicate, use or disclose the data to the extent provided in the agreement. This restriction does not limit the right of the Government to use information contained in the data if it is obtained from another source without restriction. The data subject to this restriction is contained in page(s) _____ of this white paper/proposal.”

Any other legend may be unacceptable to the Government and may constitute grounds for removing the proposal from further consideration without assuming any liability for inadvertent disclosure.

The Government will limit dissemination of properly marked information to within official channels.

In addition, the pages indicated as restricted must be marked with the following legend:

“Use or disclosure of proposal data on lines specifically identified by asterisk (*) are subject to the restriction on the front page of this proposal.”

The Government assumes no liability for disclosure or use of unmarked data and may use or disclose such data for any purpose.

In the event that properly marked data contained in documents submitted in response to this BAA is requested pursuant to the Freedom of Information Act, 5 U.S.C 552, the Offeror will be advised of such request and, prior to such release of information, will be requested to expeditiously submit to DTRA a detailed listing of all information in the proposal documents that the Offeror believes to be exempt from disclosure under the Act. Such action and cooperation on the part of the Offeror will ensure that any information released by DTRA pursuant to the Act has been properly identified.

By submission of a proposal, the Offeror understands that proprietary information may be disclosed in accordance with Section 10 for the sole purpose of technical evaluation.

Security Information.

Classified submissions at the level of Secret or Confidential shall be transmitted in accordance with the guidance contained herein. ***Top Secret, Sensitive Compartmented Information (SCI) or Special Access Program (SAP) submissions are not allowed in this BAA.*** Additional information on the subjects discussed in this section may be found at http://www.dss.mil/.

If a submission contains Classified National Security Information as defined by Executive Order http://www.dss.mil/

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13526, the information must be appropriately and conspicuously marked with the proposed classification level and declassification date. Similarly, when the classification of a submission is in question, the submission must be appropriately and conspicuously marked with the proposed classification level and declassification date. Submissions requiring DTRA to make a final classification determination shall be marked as follows:

“CLASSIFICATION DETERMINATION PENDING. Protect as though classified____________________________ (insert the recommended classification level, e.g., Secret or Confidential).”

NOTE: Classified submissions must indicate the classification level of not only the submitted materials, but also the classification level of the anticipated award.

Offerors submitting classified information must have, or be able to obtain prior to contract award, cognizant security agency approved facilities, information systems, and appropriately, cleared/eligible personnel to perform at the classification level proposed. All Offeror personnel performing Information Assurance (IA)/Cybersecurity related duties on classified Information Systems shall meet the requirements set forth in DoD Manual 8570.01-M (Information Assurance Workforce Improvement Program).

Offerors choosing to submit classified information from other collateral classified sources (i.e., sources other than DTRA) must ensure (1) they have permission from an authorized individual at the cognizant Government agency (e.g., Contracting Officer, Program Manager); (2) the proposal is marked in accordance with the source Security Classification Guide (SCG) from which the material is derived; and (3) the source SCG is submitted along with the proposal.

DTRA anticipates that submissions received under this BAA will be unclassified. Security classification guidance and direction via a SCG and/or DD Form 254, “DoD Contract Security Classification Specification,” will not be provided at this time since DTRA is soliciting ideas only.

After reviewing the incoming proposals, if a determination is made that an award instrument may result in access to classified information, a SCG and/or DD Form 254 will be issued and attached as part of the award.

Classified submissions must adhere to the white paper and proposal instructions for preparation.

Offerors must use transmission, classification, handling, and marking guidance provided by previously issued SCGs, the DoDM 5200.01, Volumes 1 - 4, and the National Industrial Security Program Operating Manual, including the Supplement Revision 1, (DoD 5220.22-M and DoD 5200.22-M Sup. 1) when submitting Confidential and/or Secret classified information.

Confidential and Secret classified Phase I and Phase II submissions may be submitted via SIPR to the following email address: dtra.belvoir.rd.mbx.rd-st-17-s-0002-baa@mail.smil.mil.

The U.S. Postal Service (USPS) may also be utilized for Confidential and Secret submissions;

however, SIPR submissions are strongly encouraged. All classified information submitted with the USPS will be enclosed in opaque inner and outer covers and double wrapped. The inner envelope shall be sealed and plainly marked with the assigned classification and addresses of both sender and addressee.

The inner envelope shall be addressed to:

Defense Threat Reduction Agency ATTN: Enabling Capabilities Department

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Reference: HDTRA1-17-S-0002 8725 John J. Kingman Road, Stop 6201 Ft Belvoir, VA 22060-6217 The outer envelope shall be sealed with no identification as to the classification of its contents and addressed to:

(if sending via U.S. Postal Service) Defense Threat Reduction Agency Enabling Capabilities Department 8725 John J. Kingman Road, Stop 6201 Ft Belvoir, VA 22060-6217 (if sending via commercial parcel carrier, e.g. UPS, FedEx) Defense Threat Reduction Agency Enabling Capabilities Department 6200 Meade Road Fort Belvoir, VA 22060-5264

Withdrawal of Phase I or Phase II Submissions.

White papers and proposals may be withdrawn by written notice received at any time before award.

Withdrawals are effective upon receipt of notice via the e-mail address listed in Section 5.

7 R&D TAs AND TOPICS

Attachment 1 presents the list of R&D TAs with associated requirements for which projects are sought. On a limited basis, topics that align to the TAs may be published via Addendums to this BAA. Offerors should note that topics are likely to have formal deadlines and be available for a limited time.

Each submission may address one TA or Topic only. If a single submission applies to more than one TA or Topic, the Offeror should select the most appropriate TA or Topic and reference in the submitted white paper or proposal the other TAs or Topics to which this submission may also apply.

It is incumbent on the Offeror to conduct independent research to understand how the specific technology proposed can be properly applied to DTRA’s goals/objectives and associated capability areas.

DTRA reserves the right to communicate and further coordinate with an offeror after the receipt of a Phase I white paper, prior to a decision to request a Phase II proposal. The purpose of the communications would be to seek clarifications and discuss the technical aspects of the proposed effort.

8 INFORMATION TO BE REQUESTED FROM SUCCESSFUL OFFERORS

Offerors whose proposals are selected for potential award may be contacted before award to provide additional information required for award. Such information may include revisions to the costs or cost explanations and other information applicable to the proposed award.

Offerors that are not responsive in a timely manner to Government requests for information (defined

HDTRA1-17-S-0002 Page 15 as meeting Government deadlines established and communicated with the requests) may be removed from award consideration.

Offerors that request significant revisions to their proposals subsequent to their selection for potential award may be removed from award consideration.

Offerors may also be removed from award consideration if the Offeror and the Government fail to negotiate mutually agreeable terms within a reasonable period.

9 EXPORT CONTROL, ITAR NOTIFICATION

Offerors are responsible for ensuring compliance with any export control laws and regulations that may be applicable to the export of and foreign access to their proposed technologies. Offerors may consult with the Department of State with any questions regarding the International Traffic in Arms Regulation (ITAR) (22 CFR Parts 120 – 130) and/or the Department of Commerce regarding the Export Administration Regulations (EAR) (15 CFR Parts 730-774). The Department of State publishes guidance on the ITAR at http://www.pmddtc.state.gov. Department of Commerce guidance on the EAR is located at http://www.bis.doc.gov.

10 TECHNICAL AND ADMINISTRATIVE SUPPORT BY NON–GOVERNMENT

PERSONNEL

It is the intent of DTRA to use both Government and non-Government personnel to assist with the review and administration of all submittals for this BAA.

Participation in this BAA requires DTRA support contractors to have access to pre-coordination materials and formal proposal information, including information that may be considered proprietary or otherwise marked with restrictive legends. Existing DTRA contractors include but may not be limited to the following: TASC, an Engility Company (Advisory & Assistance Services) and their subcontractors, Infinity Technology, LLC, Tenica and Associates LLC, and TFAB Ground Systems LLC (contract specialist support) and their subcontractors, SBG Technology Solutions (automated solicitation proposal management system [ASPMS] support) and their subcontractors, and Terremark Worldwide Inc (ASPMS support). The contracts with these companies contain Organizational Conflict of Interest (OCI) provisions and include contractual specifications for non-disclosure of proprietary contractor information. The Offeror, by submitting a quad chart, white paper, or formal proposal is deemed to have consented to the disclosure of its information to the aforementioned contractors under the conditions and limitations described herein.

All individuals having access to any proprietary data shall execute non-disclosure agreements certifying that they will not disclose any information pertaining to this BAA including any submittal, the identity of any submitters, or any other information relative to this BAA.

See Section 6.6 for additional information on appropriately marking proprietary information.

11 SYSTEM FOR AWARD MANAGEMENT (SAM)

IMPORTANT: Prospective contractors must be registered in the DoD SAM database (www.sam.gov). DTRA requires that all Offerors be registered in the SAM database at the time of formal proposal submission. SAM registration information must be included in Document #5 of the Volume III – Supplemental Information of the formal proposal.

http://www.pmddtc.state.gov/ http://www.bis.doc.gov/

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Offerors may register with SAM online at www.sam.gov or by calling the SAM Customer Service Center at (866) 606-8220. It is estimated that it will take approximately 45 minutes to complete registration if you already have all the necessary information on hand, depending upon the size and complexity of your entity. Note that new registrations can take an average of 7-10 business days to process in SAM.

• SAM must send out some information for validation with outside parties before your registration can be activated; this includes Taxpayer Identification Number (TIN) validation with the Internal Revenue Service (IRS) and CAGE validation/assignment with the DoD.

This timeframe may be longer if the information you provide is flagged for manual validation by either party.

• If you notice your registration is labeled with a ‘Submitted’ status for longer than 10 business days and you have not otherwise been contacted to correct or update information, please contact the Federal Service Desk at 866-606-8220 or https://www.fsd.gov.

• According to the IRS, if Offerors do not currently have an EIN and need to apply for one over the phone or internet, they will be given a tentative EIN, but the EIN may not become active for up to two weeks. Questions regarding an EIN may be directed to (800) 829-4933.

By submission of a formal proposal to this BAA, the Offeror acknowledges the requirement that a prospective contractor must be registered in the SAM database (www.sam.gov) prior to award, during performance, and through final payment of any contract/agreement resulting from this BAA.

12 CERTIFICATIONS AND REPRESENTATIONS

Certifications and representations must be completed at the time of the formal proposal submission.

This information must be included in Document #5 of the Volume III – Supplemental Information.

Additional information beyond these certifications may be required from successful Offerors and may be requested at any time.

As required in FAR 52.204-7 System for Award Management (www.sam.gov) assertions and representations and certification must be completed as part of SAM registration.

The certifications list below must be submitted separately (as part of Volume III – Supplemental Information) as they are not included in SAM. As applicable, the offeror is required to complete the representation or to acknowledge in writing that they have read and understand the following:

• FAR 52.209-7, Information Regarding Responsibility Matters. Review it in its entirety, complete the statement in Section (b), and acknowledge in the affirmative that you are aware of its requirement and will comply as delineated.

• FAR 52.209-13, Violation of Arms Control Treaties or Agreements-Certification.

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

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

The SOW must not contain information deemed trade secret, confidential or proprietary by the offeror. Offerors shall submit a specific acknowledgement that should a contract be awarded under this BAA there is consent for the potential public release of its SOW (in Document #5 of the Volume III – Supplemental Information).

https://www.sam.gov/ https://www.fsd.gov/

HDTRA1-17-S-0002 Page 17

13 PROTECTION OF HUMAN SUBJECTS

If the proposed research involves human subjects or materials, Offerors are asked to outline the human use and to include the source of the human subjects or materials involved in the research.

This information, if applicable, must be included in a separate stand-alone PDF compatible with Adobe Acrobat® and uploaded as part of the Volume III – Supplemental Information of the proposal.

Further information may be required if the proposal is successful.

All research under any award made under this BAA involving human subjects must be conducted in accordance with 32 CFR Part 219, 10 U.S.C. § 980, and DoD Instruction 3216.02, and, as applicable, 21 CFR Parts 11, 50, 56, GCP, the ICH as well as other applicable federal and state regulations. Contractors must be cognizant of and abide by the additional restrictions and limitations imposed on the DoD regarding research involving human subjects, specifically as regards vulnerable populations (32 CFR Part 219 modifications to subparts B-D of 45 CFR Part 46), recruitment of military research subjects (32 CFR Part 219), and surrogate consent (10 U.S.C. § 980).

DTRA Directive 3216.01 of June 9, 2010, modified March 18, 2015, established the DTRA Human Subjects Protection Program, set forth the policies, defined the applicable terms, and delineated the procedures necessary to ensure DTRA compliance with federal and DoD regulations and legislation governing human subject research. The regulations mandate that all DoD activities, components, and agencies protect the rights and welfare of human subjects of study in DoD-supported research, development, test and evaluation, and related activities hereafter referred to as “research.” The requirement to comply with the regulations applies to new starts and to continuing research.

The DTRA Directive requires that research using human subjects may not begin or continue until the DTRA Research Oversight Board (ROB) has reviewed and approved the proposed protocol.

Contractors and subcontractors are required to submit a valid federal assurance for their organization (institution, laboratory, facility) that has been issued by either the DoD or the Department of Health and Human Services, and documentation of review of proposed protocols by the local Institutional Review Board (IRB) to include consent forms for any planned research using human subjects to the DTRA ROB for its review through the contracting officer’s representative (if assigned) or the contracting officer. The ROB review is separate from, and in addition to, local IRB review.

A study is considered to involve human research subjects if: 1) there is interaction with the subject (even simply talking to the subject qualifies; no needles are required); and 2) if the study involves collection and/or analysis of personal/private information about an individual, or if material used in the study contains links to such information.

Written approval to begin research or to subcontract for the use of human subjects under the proposed protocol will be provided in writing from the DTRA ROB, through the contracting officer.

Both the contractor and the Government must maintain a copy of this approval. Any proposed modifications or amendments to the approved protocol or consent forms must be submitted to the local IRB and the DTRA ROB for review and approval. Examples of modifications/amendments to the protocol include, but are not limited to:

• a change of the Principal Investigator;

• changes in duration or intensity of exposure to some stimulus or agent;

• changes in the information requested of volunteers, or changes to the use of specimens or data collected; or

HDTRA1-17-S-0002 Page 18

• changes in perceived or measured risks or benefits to volunteers that require changes to the study.

Research pursuant to such modifications or amendments must not be initiated without IRB and ROB approval except when necessary to eliminate apparent and immediate hazards to the subject(s).

Research projects lasting more than one year require IRB review at least annually, or more frequently as required by the responsible IRB. The contractor or subcontractor must provide documentation of continued IRB review of protocols for ROB review and approval in accordance with the Contract Data Requirements List (CDRL). Research changes must be reviewed by the IRB and ROB in advance unless necessary to eliminate apparent and immediate hazards to the subject(s).

A clause regarding human subjects research will be included in all contracts involving human subjects research. Non-compliance with any provision of this clause may result in withholding of payments under the contract pursuant to the contract’s payments clause(s) and/or contract termination pursuant to the contract’s termination clause(s). The Government shall not be responsible for any costs incurred for research involving human subjects prior to protocol approval by the ROB.

14 ANIMAL USE

If the proposed research involves the use of live nonhuman vertebrate animals, Offerors are required to justify the use of animals by providing detailed information on the proposed animal use, to include the proposed species and number of animals planned, along with the location(s) where the animal study(ies) is planned. This information, if applicable, must be included in a separate stand-alone PDF compatible with Adobe Acrobat®, and uploaded as part of the Volume III – Supplemental Information of the proposal. Additional information will be required if the proposal is selected for award subject to successful negotiations.

The Animal Care and Use Review Office (ACURO), a component of the U.S. Army Medical Research and Materiel Command, Office of Research Protections (ORP), must review and approve all animal use prior to the start of working with animals. Therefore, Principle Investigators will be required to complete and submit the animal use appendix titled “Research Involving Animals”, after award of the procurement instrument, which is available on the ACURO website (http://mrmc.amedd.army.mil/index.cfm?pageid=research_protections.acuro). Allow 2 to 4 months for regulatory review and approval processes for animal studies.