HDTRA1-19-S-0006_DTRA_RD-TT_Improvised_Threats_BAA_Amendment_1.pdf

DEFENSE THREAT REDUCTION AGENCY

COUNTER IMPROVISED THREAT

TECHNOLOGIES DEPARTMENT, RD-TT

BROAD AGENCY ANNOUNCEMENT

HDTRA1-19-S-0006

IMPROVISED THREATS

DETECT AND DEFEAT

August 2019

TABLE OF CONTENTS

SECTION PAGE

1. INTRODUCTION AND SCOPE 3

2. PURPOSE 3

3. BAA APPROACH AND OVERVIEW 4

4. ELIGIBILITY 6

5. POINTS OF CONTACT 7

6. RESPONDING SUBMISSION TECHNIQUES, ORGANIZATION, AND FORMATS 7

7. RESEARCH AND DEVELOPMENT TECHNOLOGY AREAS AND TOPICS 12

8. INFORMATION TO BE REQUESTED FROM SUCCESSFUL OFFERORS 12

9. MILITARY RECRUITING 13

10. EXPORT CONTROL, ITAR NOTIFICATION 13

11. TECHNICAL AND ADMINISTRATIVE SUPPORT BY NON-GOVERNMENT PERSONNEL 13

12. SYSTEM FOR AWARD MANAGEMENT 14

13. CERTIFICATIONS AND REPRESENTATIONS 14

14. PROTECTION OF HUMAN SUBJECTS 15

15. ANIMAL USE 16

16. BIOLOGICAL DEFENSE RESEARCH PROGRAM (BDRP) REQUIREMENTS:

BIOSURITY AND SELECT AGENT USE 17

17. LIFE SCIENCE DUAL-USE RESEARCH OF CONCERN (DURC) 17

18. ORGANIZATIONAL CONFLICT OF INTEREST (COI) ADVISORY 18

19. INTELLECTUAL PROPERTY 19

20. SUBCONTRACTING PLAN 21

21. RECOMMENDED PROCUREMENT INSTRUMENT AND PRICING ARRANGEMENT 21

22. AUTHORIZED OFFEROR PERSONNEL 22

23. STATEMENT OF CURRENT AND PENDING SUPPORT 22

24. MODIFIED PRE-AWARD CHECKLIST 23

25. ADMINISTRATIVE AND AUDIT OFFICES 23

26. FORWARD PRICING RATE AGREEMENT 23

27. CONFIRMED PROPOSAL EXPIRATION DATE 23

28. LIST OF ATTACHMENTS 23

1 INTRODUCTION AND SCOPE

1.1 The Defense Threat Reduction Agency’s (DTRA) overall mission is to safeguard The United States of 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, counter the threat, and mitigate its effects. The mission of the DTRA Counter Improvised Threat Department - RD-TT (hereafter ‘RD-TT’) is to enable the DoD to counter improvised explosive devices and emerging improvised threats in support of combatant commands and deployed warfighters. The RD-TT is the program office for this Broad Agency Announcement (BAA), which is seeking solutions for detecting and defeating improvised threats. This office will receive and manage all pre-coordination and proposals to this announcement.

1.1.1. 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 improvised threats.

1.1.2. Most known single improvised threat detect and/or defeat technologies are incapable of simultaneously detecting and/or countering multiple improvised threats under battlefield conditions. In addition to R&D referenced above, RD-TT is seeking new integrations of existing and developing technologies, innovative applications of current capabilities, and new technology employment techniques which enable more effective detect and/or defeat of improvised threats.

2 PURPOSE

2.1. The purpose of this BAA is to solicit proposals for RD-TT program requirements. The focus of this

BAA is on discovering and accelerating innovations through three broad technical approaches that contribute to RD-TT 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 below:

2.2.1. Analytic investigations are studies that increase RD-TT’s knowledge or understanding of emerging improvised threats and how RD-TT might anticipate and counter them. RD-TT is interested in solutions addressing all aspects of detect, track, identify, and defeat of improvised threats.

2.2.2. Innovative capability research and development advances the state-of-the-art of RD-TT’s technical capabilities and methods used to find, monitor, characterize, assess, plan against, deter, delay, disrupt, neutralize or destroy improvised threats at any point in their lifecycle.

2.2.3. Mission-oriented experiments are designed to model, simulate, test and/or evaluate analytic methods or technical capabilities intended to counter improvised threats, or to mitigate the risks/impacts that they pose to our warfighters, critical assets, military or other operations, or US interests under operationally relevant conditions.

2.3. Projects funded under this BAA will be analytic investigations, capability developments and/or experiments at Technology Readiness Levels (TRL) 2 through 6. TRL definitions are provided in Attachment 3. 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

3.1 This BAA is in effect from August 15, 2019 through August 14, 2024. It is open continuously for submissions to the R&D Technology Areas (TA) 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, Addenda to this BAA may be published that detail more specific or urgent topics. Offerors should note that the topics posted in Addenda are likely to have 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 Addenda to this BAA, and all amendments to 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 addenda and amendments by regularly checking the FedBizOpps website and registering at www.fbo.gov to receive notifications and updates to this specific solicitation.

3.2 The Government encourages proposals that span a wide spectrum of solutions and approaches in response to this BAA. 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.

3.3 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.

3.4 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).

3.5 Responses to this BAA will be submitted in two phases. The first phase of each submission consists of a simultaneously submitted Quad Chart and White Paper package. Offerors submitting accepted Phase I packages will receive invitations to submit a Proposal (Phase II). The Government may choose to communicate with an Offeror regarding the white paper content prior to conducting a thorough evaluation and releasing an invitation for a Phase II proposal. The purpose of the communication is to allow the Government flexibility and to ensure Phase II proposals meet the needs of the program. Phase II Proposals will be composed of three distinct Volumes, intended and designed to enable and simplify evaluation. All proposals will be evaluated against the Attachment 8 criteria. These matters are fully addressed in Section 6.

3.6 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 (§) 3710(a). A CRADA will be separate from the RD-TT 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 proposal under this BAA. RD-TT will not facilitate, nor be involved in, the negotiation of the agreements with Government Laboratories.

http://www.fbo.gov/ http://www.dtra.mil/ http://www.fbo.gov/

3.7 The full range of acquisition-related statutory authority arrangements available to RD-TT are possible resultants from this announcement including contracts and other transaction agreements (OTAs); awards to FFRDCs will be via IOs and MIPRs, as appropriate. Except for other transaction agreements, the Government actions under this BAA shall adhere to the requirements of the FAR and DFARS. Grants and Cooperative Agreements will not be awarded via this BAA. Periods of performance for each award may be up to five (5) years from the date of contract award.

3.7.1 Each procurement instrument offers different advantages, liabilities and responsibilities for Offerors and the Government.

3.7.2 Offerors must specify in their 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.

3.7.3 If warranted, portions of resulting awards may be segregated into pre-priced options.

3.8 R&D contracts are typically Cost Reimbursement contracts. In accordance with FAR 16.301-

3(a)(3), Cost Reimbursement contracts require that the contractor’s accounting system is adequate for determining costs applicable to the contract. Therefore, an Offeror’s proposal and accounting systems will be audited and approved by the Defense Contract Audit Agency (DCAA) prior to commencing contract negotiations. The absence of a DCAA approved (“adequate”) accounting system will preclude the Offeror from receiving a cost-type contract. Any resulting contract will be a non-cost reimbursable award, e.g. a firm-fixed price contract, etc., if appropriate.

3.9 RD-TT 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.

3.10 Official coordination and communication between Offerors and the Government will be conducted using the email address associated with this BAA per Section 5.

3.11 Participation in this program is highly competitive. Accordingly, responding institutions are welcome to submit multiple Phase I packages (as described in Section 6), one for each intended proposal.

3.12 The Government reserves the right to fund all, some, one, or none of the proposals received in response to this announcement. Awards resulting from this BAA will be made based on evaluation results of the proposal process described in Attachment 8. 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 fully 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.

3.13 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 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, RD-TT reserves the right to review the submissions in accordance with this BAA and to rescind the selection of the proposal based on this review.

3.14 All awards are subject to the availability of funds.

3.15 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

4.1 Submissions submitted for this BAA will be considered from the following U.S. and Foreign

Enterprises:

4.1.1 Industrial/commercial entities including small businesses

4.1.2 Accredited degree granting colleges and universities

4.1.3 Not-for-profit organizations

4.1.4 Foreign research organizations

4.1.5 University Affiliated Research Centers (UARCs), provided that it is permitted by the

UARC’s Department of Defense (DoD) sponsor

4.1.6 DoD-sponsored FFRDCs specified in DoD FAR Supplement 235.017-1. 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.

4.1.7 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 OCI Risk Mitigation Plan that shall accompany the proposal submission. 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 is consistent with or complimentary to missions of DoE and the facility to which the work is to be assigned, will not adversely impact programs assigned to that facility, and will not create a detrimental future burden on DoE resources.

4.1.8 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 OCI Risk Mitigation Plan that shall accompany the proposal submission.

4.2 Quad charts and white paper packages 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) and 10 U.S.C. § 2323(a)(1)(C).

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

4.3.1 Federal laboratories (including FFRDCs) other than those DoD-, DoE-, and NASA-sponsored FFRDCs specified in Section 4.1 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.

4.3.2 U. S. Government agencies and organizations

4.3.3 Academic Institutions that are U.S. Government organizations (e.g. Naval Postgraduate

School)

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

5 POINTS OF CONTACT

5.1 Questions regarding the technical and administrative content of this BAA must be sent to the following e-mail address: dtra.belvoir.jd.mbx.jd-baa@mail.mil. All questions must include the BAA number (and technology area, 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 periodically check the FedBizOpps website to view postings of questions and answers, in addition to any applicable amendments to the BAA.

6 RESPONDING SUBMISSION TECHNIQUES, ORGANIZATION, AND FORMATS

6.1 All applicants submitting a 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. 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. Failure to register in accordance with instructions will prevent submission of the required documents and render Offerors ineligible 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.

6.2 ONLY UNCLASSIFIED white papers and proposals may be submitted electronically through the DTRA proposal submission website listed above. 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 under this BAA. 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 RD-TT in response to this BAA.

6.3 Offerors will craft each of their submissions to address one Technology Area. Offerors may provide multiple Phase I (and if invited, Phase II) packages against one single Technology Area, or they may provide multiple submission packages against multiple Technology Areas, but each submission package will address only one Technology Area (Phases I and II explained below). Each submission will have a single page cover sheet, identifying the Technology Area, the submitter, and POC data.

6.4 All documents submitted to the DTRA proposal submission website (see above) are considered works in progress and are not eligible for evaluation until the completed formal proposal package is submitted 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.

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

Offerors may submit Phase I packages (White Paper) to any of this BAA’s Technology Areas at any time. If an Offeror’s Phase I package is approved, the Offeror will be invited to submit a Phase II mailto:dtra.belvoir.jd.mbx.jd-baa@mail.mil http://www.fbo.gov/ http://www.dtrasubmission.net/ https://www.sam.gov/ http://www.dtrasubmission.net/ package (Proposal).

6.5.1 Phase I, Quad and White Paper Packages

6.5.1.1 Quad charts shall conform to the single page landscape template included in Attachment 2 and be uploaded as a PDF compatible with Adobe Acrobat®. All other submitted documents will be in portrait layout.

6.5.1.2 The white paper is limited to five (5) pages and be uploaded as a PDF compatible with Adobe Acrobat®. A page is defined as 8.5 x 11 inches, single-spaced, with one-inch margins in type not smaller than Times New Roman, 12 point font. It shall include the project title at the top of the page and must cite the Technology Area (refer to Attachment 1), along with the organization (Offeror’s institution, company, etc.). If the Offeror is from an FFRDC, the narrative must specify how the project falls within the mission of the FFRDC. 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.

6.5.1.3 Offerors who do not receive approval of their Phase I packages will not receive an invitation to submit a proposal package (Phase II). They will be notified by e-mail of non-selection.

6.5.1.4 Offerors who receive a tentative approval of their Phase I submissions will be invited to submit a proposal at a later time when funding is available. Offerors will be notified to submit their proposals at that time. Proposals submitted prior to this notification will not be considered under this BAA.

6.5.2 Phase II, Proposal Package

6.5.2.1 Proposals will be prepared in three separate volumes, with all documents in portrait layout. These are: Volume I – Technical Proposal; Volume II – Cost Proposal; and Volume III – Supplemental Information (includes the Statement of Work (SOW) and a Quad Chart). A checklist of required information is provided in Attachment 7.

6.5.2.2 Volume I – Technical Proposal: The technical proposal must not exceed 25 pages. A page is defined as 8½ x 11 inches, single-spaced, with one-inch margins in the specific font format of Times New Roman, 12 point font or larger. Technical proposals that do not conform to these requirements will not be reviewed. The technical proposal will include the components included in the template as shown in Attachment 4.

6.5.2.3 Volume II – Cost Proposal: The cost volume shall contain cost estimates sufficiently detailed for meaningful evaluation. The proposal must include the total cost of the project, as well as a breakdown of costs by task. The cost proposal must include the components as detailed in Attachment 5 of this BAA. The same level of detail will 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 will not to exceed two (2) pages. Volume II has no page limit. The Offeror must also prepare and submit details on Equipment and Government Property in conjunction with the other cost proposal files.

6.5.2.4 Volume III – Supplemental Information: This volume contains required supplemental data (See Table 1). If any particular item is not relevant to the proposed effort, include a reference to the requested information and state that the particular data is not applicable in order to give a negative response vice possibly missing data.

TABLE 1

Item Required? Reference ✓ Quad Chart Yes Attachment 2

SOW (separate, stand-alone document) Yes Attachment 6

For FFRDCs , written certification from the sponsor authorizing the performance of the proposed effort

If applicable Section 4

For FFRDCs, OCI Risk Mitigation Plan If applicable Section 4

System for Award Management (SAM) Yes Section 12

Certifications and Representations Yes Section 13

Human Subjects If applicable Section 14

Animal Use If applicable Section 15 BioSurety and Select Agent Use If applicable Section 16

Life Science Dual-Use Research of Concern If applicable Section 17

Organizational Conflict of Interest Advisory Yes Section 18

Intellectual Property Yes Section 19 List of Patents Yes Section 19.2

Data Rights Assertion Table Yes Section 19.3

Subcontracting Plan If applicable Section 20

Recommended Procurement Instrument and Pricing Arrangement

Yes Section 21

Authorized Offeror Personnel Yes Section 22

Statement of Current and Pending Support Yes Section 23

Modified Pre-Award Checklist (SF 1408) Yes Section 24

Administrative and Audit Offices Yes Section 25 Forward Pricing Rate Agreement Yes Section 26

Confirmed Proposal Expiration Date Yes Section 27

Table 1: Summary of required supplemental data for Volume III – Supplemental Information, with section references.

6.6 Other Submission Information.

6.6.1 The Volume I – Technical Proposal and Volume III – Supplemental Information must each be submitted as a separate Portable Document File (PDF) compatible with Adobe Acrobat®.

The SOW is an exception; the SOW shall be submitted as a stand-alone Microsoft Word document.

6.6.2 The files for the Volume II – Cost Proposal shall be submitted as three separate files. The cost summary and detailed cost proposal shall be submitted as individual Microsoft Excel files. The third file detailing equipment and Government property shall be submitted as a PDF compatible with Adobe Acrobat®.

6.6.3 No individual file will exceed 10 MB of storage space.

6.6.4 No video, audio, or other file attachments will be accepted.

6.6.5 Proposal files found to carry a virus will be rejected.

6.6.6 No encrypted files will be accepted.

6.6.7 Proposal submissions that do not adhere to the requirements detailed may be rejected without further consideration.

6.6.8 Notification to Offerors. 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 will 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.

6.6.9 Marking of the Proposal and Disclosure of Proprietary Information

6.6.9.1 The quad chart must not contain information deemed trade secret, confidential, or proprietary by the Offeror.

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

6.6.9.3 All information provided in the documents submitted to the RD-TT proposal submission website (above), that is marked appropriately, will be considered proprietary information.

6.6.9.4 Offerors responding to this BAA may include documents (other than the white paper, quad chart, and SOW) presenting data the Offeror considers technical and confidential, including data the Offeror intends to be used by the Government only for proposal evaluation. Offerors are advised that public release of information submitted will be subject to existing statutory and regulatory requirements.

6.6.9.5 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.”

No other legend will be acceptable to the Government and will 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.

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.”

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

6.6.11 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 RD-TT 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 RD-TT pursuant to the Act has been properly identified.

6.6.12 By submission of a proposal, the Offeror understands that proprietary information may be disclosed in accordance with Sections 11 and 19 for the sole purpose of technical evaluation.

6.7 Security Information. Classified submissions at the level of Secret or Confidential shall be transmitted in accordance with the guidance contained herein.

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

(SAP) submissions are allowed under this BAA***

6.7.2 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 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.

6.7.3 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).

6.7.4 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.

6.7.5 Security classification guidance and direction via a SCG and/or DD Form 254, “DoD Contract Security Classification Specification,” will not be provided by DTRA. After http://www.dss.mil/ http://www.dss.mil/ 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.

6.7.6 Classified submissions shall be transmitted in accordance with the following guidance:

Confidential and Secret Information

6.7.6.1 Offerors must use transmission, classification, handling, and marking guidance provided by previously issued SCGs, the DoD Information Security Manual (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.

6.7.6.2 Confidential and Secret classified information may be submitted via approved secure e-mail system at dtra.belvoir.jd.mbx.rd-tt-technology-division-baa@mail.smil.mil

6.8 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.

6.9 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.

7 RESEARCH AND DEVELOPMENT TECHNOLOGY AREAS AND TOPICS

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

7.2 Each submission may address one technology area or topic only. If a single submission applies to more than one technology area or topic, the Offeror should select the most appropriate technology area or topic and reference in the submitted white paper or proposal the other technology areas or topics to which this submission may also apply.

7.3 It is incumbent on the Offeror to conduct independent research to understand how the specific technology proposed can be properly applied to RD-TT goals/objectives and associated capability areas.

8 INFORMATION TO BE REQUESTED FROM SUCCESSFUL OFFERORS

8.1 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.

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

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

8.4 Offerors may also be removed from award consideration if the Offeror and the Government fail to mailto:dtra.belvoir.jd.mbx.rd-tt-technology-division-baa@mail.smil.mil negotiate mutually agreeable terms within a reasonable period.

9 MILITARY RECRUITING

9.1 Any award made under this announcement to an institution of higher education must include the following term and condition: “As a condition for receipt of funds available to the DoD under this award, the recipient agrees that it is not an institution of higher education (as defined in 32 Code of Federal Regulations (CFR) Part 216) that has a policy of denying or preventing the Secretary of Defense from obtaining for military recruiting purposes: entry to campuses or access to students on campuses; or access to directory information pertaining to students. Using procedures in 32 CFR Part 216, if the recipient is determined to be such an institution of higher education during the period of performance of this agreement, and therefore to be in breach of this clause, the Government will cease all payments of DoD funds under this agreement and all other DoD grants and cooperative agreements, and it may suspend or terminate such grants and agreements unilaterally for material failure to comply with the terms and conditions of award.”

9.2 The 32 CFR Part 216 may be accessed electronically at http://www.gpoaccess.gov/ cfr/index.html. If an institution has been identified under the procedures established by the Secretary of Defense to implement Pub. L. No. 103-337 § 558, then: (1) no funds available to the DoD may be provided to the institution through any grant, including any existing grant; (2) as a matter of policy this restriction also applies to any cooperative agreement; and (3) the institution is not eligible to receive a grant or cooperative agreement in response to this solicitation. This is to notify potential Offerors that each contract awarded under this announcement to an institution of higher education must include the clause: DFARS 252.209-7005, Reserve Officer Training Corps and Military Recruiting on Campus.

10 EXPORT CONTROL, ITAR NOTIFICATION

10.1 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.

11 TECHNICAL AND ADMINISTRATIVE SUPPORT BY NON–GOVERNMENT

PERSONNEL

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

11.2 Participation in this BAA requires RD-TT support contractors to have access to white paper and proposal information, including information that may be considered proprietary or otherwise marked with restrictive legends. Existing RD-TT contractors include but may not be limited to DEFTEC Corporation; Zel Technologies, LLC; Corvus Consulting Group, LLC; and Deloitte Touche Tohmatsu Limited. The contracts with these companies contain OCI provisions and include http://www.gpoaccess.gov/%20cfr/index.html http://www.gpoaccess.gov/%20cfr/index.html http://www.pmddtc.state.gov/ http://www.bis.doc.gov/ contractual specifications for non-disclosure of proprietary contractor information. The Offeror, by submitting a quad chart, white paper, or proposal is deemed to have consented to the disclosure of its information to the aforementioned contractors under the conditions and limitations described herein.

11.3 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 anysubmittal, the identity of any submitters, or any other information relative to this BAA.

11.4 See Section 6.5 for additional information on appropriately marking proprietary information.

12 SYSTEM FOR AWARD MANAGEMENT (SAM)

12.1 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 proposal submission. SAM registration information must be included in Volume III – Supplemental Information, of the proposal.

12.2 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.

12.2.1 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.

12.2.2 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.

12.2.3 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.

12.3 By submission of a 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.

13 CERTIFICATIONS AND REPRESENTATIONS

13.1 Certifications and representations must be completed at the time of the proposal submission. This information must be included in Volume III – Supplemental Information. Additional information beyond these certifications may be required from successful Offerors and may be requested at any time.

13.2 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:

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

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

13.2.2 Information Regarding Responsibility Matters: FAR 52.209-7 (Jan 2011), 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.

13.2.3 DFARS 252.203-7996, Prohibition on Contracting with Entities that Require Certain Internal Confidentiality Agreements-Representation. (DEVIATION 2016-O0003)(OCT 2015)

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

13.2.5 DFARS 252.204-7008, Compliance with Safeguarding Covered Defense Information

Controls.

13.3 The SOW must not contain information deemed trade secret, confidential or proprietary by the

Offeror. Offerors shall submit a specific acknowledgement that should it be awarded a contract under this BAA, it consents to the potential public release of its SOW (as part of Volume III – Supplemental Information).

14 PROTECTION OF HUMAN SUBJECTS

14.1 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 Volume III – Supplemental Information, of the proposal. Further information may be required if the proposal is successful.

14.2 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).

14.3 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.

14.4 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.

14.5 A study is considered to involve human research subjects if: 1) there is interaction with the subject http://www.sam.gov/

(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.

14.6 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:

14.6.1 Change of the Principal Investigator

14.6.2 Changes in duration or intensity of exposure to some stimulus or agent

14.6.3 Changes in the information requested of volunteers, or changes to the use of specimens or data collected

14.6.4 Changes in perceived or measured risks or benefits to volunteers that require changes to the study

14.7 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).

14.8 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).

14.9 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.

15 ANIMAL USE

15.1 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 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. Offerors are to build this review time into their project schedules.

http://mrmc.amedd.army.mil/index.cfm?pageid=research_protections.acuro

15.2 DoD Instruction 3216.01, dated September 13, 2010, provides policy and requirements for the use of animals in DoD-funded research based on Army Regulation (AR) 40-33. The DoD definition of animal is any live nonhuman vertebrate. All proposals that involve the use of animals must be in compliance with DoD Instruction 3216.01 and AR 40-33. DTRA requires that research using animals not begin or continue until the ACURO has reviewed and approved the proposed animal use. For animals, the provisions include rules on animal acquisition, transport, care, handling, and use in: (i) 9 CFR Parts 1-4, Department of Agriculture rules that implement the Laboratory Animal Welfare Action of 1966 (U.S.C. § 2131-2156); and (ii) the “Guide for the Care and Use of Laboratory Animals,” National Institutes of Health Publication No. 86-23.

16 BIOLOGICAL DEFENSE RESEARCH PROGRAM (BDRP) REQUIREMENTS:

BIOSURETY AND SELECT AGENT USE

16.1 Proposals must specify what select agent work will be conducted at the Offeror’s facility and what select agent work will be performed in other facilities. Proposals also must provide the source of the select agents, any appropriate registration information for the facilities, and specify the Laboratory Biosafety Level.