RD Innovation BAA Amendment 1 POSTED.pdf

DEFENSE THREAT REDUCTION AGENCY

BROAD AGENCY ANNOUNCEMENT

HDTRA1-22-S-0003

Amendment 1

RESEARCH AND DEVELOPMENT

INNOVATIONS

(Multiyear solicitation – 2022-2026)

14 February 2022 (Amended 6 March 2023)

TABLE OF CONTENTS

GENERAL INFORMATION

Contract Type Limitation on OTAs Contract Period of Performance Limitation

ELIGIBILITY

INSTRUCTIONS TO OFFERORS

Registration to the DTRA Proposal Submission Website Registration to the System for Award Management (SAM) Website

Questions about this BAA Communication Guidelines Prior to Receipt of Phase I Proposal Communication Guidelines after Receipt of Phase I or Phase II Proposal

General Instructions Withdrawal of Proposals

Submission File Format Phase I Proposal Phase II Proposal Restrictive Markings and Disclosure of Proprietary Information

Phase I Proposal Phase II Proposal

EVALUATION CRITERIA

Factor 1 – Scientific and Technical Merit Factor 2 – Relevance to DTRA Goals and Objectives Factor 3 – Offeror Capabilities Factor 4 – Cost Realism and Reasonableness

Negotiations Reserve List of Selected Proposals Subject to Availability of Funds Responsibility Determination

CONTRACT DATA REQUIREMENTS LIST (CDRL)

RESEARCH OPPORTUNITY REQUIREMENTS

Authorized Negotiators Confirmed Proposal Expiration Date Identification of Team Members Representations and Certifications Intellectual Property Subcontracting Plan Organizational Conflict of Interest Protection of Human Subjects Animal Use

Statement of Current and Pending Support Modified Pre-award Checklist – SF 1408 Forward Pricing Rate Agreement/Provisional Billing Rates Collaboration with Government Laboratories and Federally Funded Research and Development

Centers (FFRDC) Additional FFRDC Requirements Quad Chart

LIST OF ATTACHMENTS

General Information

Broad Agency Announcement Introduction

This publication constitutes a Broad Agency Announcement (BAA) as described in Federal Acquisition Regulation (FAR) Part 35.016, FAR 6.102(d)(2), and DFARS 235.016. This BAA is a competitive solicitation of proposals focused on research and development of technologies to meet the mission of the Defense Threat Reduction Agency (DTRA). Formal Requests for Proposal regarding this announcement will not be issued.

BAA Open Period

This BAA is in effect from February 2022 (starting with date of posting) through February 2027. Proposal calls are anticipated to be released on an annual basis but could be more or less frequent based on needs. Proposal calls will be released via amendment modifications on the SAM website (https://sam.gov). Offerors will be responsible to be aware of these proposal calls. Submission information is provided in Section 3.3 of this BAA and estimated timelines are listed in Attachment 6.

Research Opportunity Description

DTRA enables the Department of Defense (DoD), U.S. Government, and international partners to counter and deter weapons of mass destruction (WMD) and emerging threats.

With this BAA, DTRA is soliciting innovative proposals for technologies in the technology readiness level (TRL) 1-7 range that will lead to new or improved technical solutions for countering and deterring WMD and other emerging threats. Guidance in the 2022 DTRA Strategy for Research, Development, Test, and Evaluation describes emerging threats as “new or developing WMD materials or intent, including the hazard itself and/or its science, technology, methodology, development, production, proliferation, and means of delivery.”

For WMD, the development of materials or methodologies with the potential to create new, or increase the impact of existing forms of traditional WMD can be considered “emerging threats.” A novel pathogen, a new means to deliver chemical or biological weapons, or the use of traditional WMD material in new or previously unknown ways, for instance, can all be seen in this light.

In executing the 2022 DTRA Strategy for Research, Development, Test, and Evaluation, DTRA seeks proposals that will advance research, development, test, and evaluation (RDT&E) priorities across five interrelated thrust areas:

• Understand current and emerging WMD situations, threats, and capabilities

• Enable effective and integrated WMD deterrence

• Control, disable, and defeat current and emerging WMD threats

• Protect the force and mitigate crises from WMD

• Enable cross-cutting capabilities https://sam.gov/

In order to understand current and emerging WMD situations, threats, and capabilities DTRA-sponsored RDT&E will focus on:

• Enhance and expand abilities to locate, identify, characterize, assess, and track:

chemical, biological, radiological, and nuclear (CBRN) threats; subterranean facilities; and, emerging WMD threats.

• Enhance warfighter abilities to capture, catalogue, link, and illuminate nefarious WMD activities in a rapid manner using signatures through a wide range of scientific and technical exploitation disciplines that improve sensitivity, accuracy, and timeliness.

• Improve functional CWMD data query and analysis approaches across all domains and with mission partners to rapidly translate decisions into action that achieve operational and information advantage in competition, crises, and conflict.

• Improve nuclear and radiological hazard assessment techniques, methodologies, and analytic tools including the use of high-confidence modeling.

• Develop technologies for the direct and indirect detection of radiation and non-radiative signatures associated with nuclear threats, including non-technical threat enablers, to advance warfighter capabilities for rapidly locating, characterizing, and countering such threats.

• Develop and apply forecasting methodologies to anticipate future mid- to long-term emerging and disruptive threats, and other exploitable CWMD technologies.

• Improve understanding of the geopolitical strategic environment and its implications for the emerging and future WMD threat landscape.

• Support the Office of the Secretary of Defense’s (OSD) Deputy Assistant Secretary (DASD) for Chemical and Biological Defense strategic S&T goals for chemical and biological defense programs. These goals broadly include integrated early warning, integrated layered defense, and preparing for surprise.

In order to enable effective and integrated WMD deterrence, DTRA-sponsored RDT&E will focus on:

• Modernize early warning, monitoring, and verification capabilities to ensure readiness and mission effectiveness for warfighters under an integrated deterrence paradigm.

• Develop and innovate technologies and concepts of operation that enable the survivability of U.S. strategic weapons and their cascading systems, as well as hold adversary underground facilities and covert programs at risk.

• Support DoD and Joint Force wargaming and analysis to explore options and courses of action for integrated deterrence impact on current and emerging WMD threats.

Resulting outcomes are expected to reduce strategic risks and minimize miscalculations that could lead to unintended crisis or conflict escalation.

• Expand international project agreements with allies to determine mutual benefit in denial and dissuasion capabilities that usher in novel approaches to deter and monitor current and emerging WMD capable adversaries.

• Test and improve unattended perimeter monitoring technologies in dynamic environmental conditions to enhance integrated and automated system performance.

• Support Agency non-traditional planning and solution development across emerging WMD challenges. Plans and solutions should include preventing further WMD employment following adversary first use.

In order to control, disable, and defeat current and emerging WMD threats, DTRA-sponsored RDT&E will focus on:

• Develop and improve direct or indirect physical or functional defeat of underground facilities and WMD threats, as well as capabilities that render adversary WMD programs and systems inoperable, harmless, or nonexistent prior to use.

• Innovate applications, concepts, and capabilities that can interrupt adversary acquisition of weapon-related materials and expertise, or that defeat adversary physical and non-physical threats.

• Develop operationally-suitable, field-deployable solutions that mitigate risks to warfighters by improving stand-off surveillance, exploitation, defeat, and disablement capabilities.

• Develop and innovate technologies and concepts of operation that enable the Joint Force to fight, prevail, and win in battlefield WMD environments.

• Improve technologies and concepts directed at eliminating WMD and emerging threats in permissive and non-permissive environments.

In order to protect the force and mitigate WMD crises, DTRA-sponsored RDT&E will focus on:

• Protect mounted and dismounted forces, reduce casualties, and degrade adversary abilities to disrupt operations using chemical, biological, nuclear, and novel threat attacks.

• Develop state-of-the-art expeditionary biological, chemical, and radiological surveillance and exposure detection capabilities, medical diagnostic capabilities, and remote sensing and rapid field-identification capabilities for hazards, pathogens, and toxins including non-traditional agents.

• Develop survivability standards, hardening technologies, and experimental test capabilities that will enable critical DoD systems to accomplish missions in a nuclear weapons effects environment, so that essential functions can continue or be resumed after the onset of hostile action.

• Improve and harden conventional force capabilities so that they can survive, fight, and win on a nuclear battlefield.

• Develop medical countermeasures, pretreatments, prophylaxes, vaccines, and therapeutics to protect against and expedite response to a broad range of known and emerging chemical and biological toxins, pathogens, and threat agents.

• Reduce size and weight, and increase the performance of contamination mitigation capabilities for personnel, material, and sensitive equipment, including enhanced casualty and mortuary affairs decontamination.

• Enhance real-time worldwide health disease monitoring, surveillance systems and data-driven diagnostics for advanced early warning, disease prediction, forecasting, assessing, and monitoring of biological threats.

In order to enable cross-cutting capabilities, DTRA-sponsored RDT&E will focus on:

• Integrate capabilities that support 24/7 requests for information, situational awareness, hazard prediction, and strategic to tactical decision-making.

• Model system vulnerabilities and the effects of WMD warfare on U.S. and ally networks and infrastructure, as well as the compounding and cascading consequences across dependent networks with complex post-attack / detonation timelines.

• Improve test instrumentation capability and capacity for CWMD test data capture, integration, and curation.

• Enhance intuitive artificial intelligence and machine learning capabilities that augment warfighter and U.S. ally situational awareness and increase speed to decision regarding CWMD operations.

• Establish and scale a software development environment that is agile, tailorable, and consistent to meet software development life cycle needs.

• Conceptualize future WMD threats, conduct experiments on conceptual WMD threat operations, and assess and collaborate on the best emerging CWMD technologies worldwide to drive new CWMD solutions.

• Provide computational resources that enable numerical modeling and simulation support by accessing the DoD high performance computing modernization program.

• Develop and integrate technology designed around real-world opportunities and constraints to assist CWMD operational tactics, techniques, and procedures.

• Integrate end-to-end processes and stakeholder relationships to understand requirements and transition CWMD capabilities.

• Innovate and discover novel hypotheses within the sciences to reduce WMD threats and grow the next-generation scientific workforce to lead the future in combating the most catastrophic CBRN weapons.

• Provide strategic research in cooperation with leading non-government experts and practitioners on emerging and future WMD threats and implications for the Joint Force.

This BAA is limited to projects that meet TRL definitions in the TRL range 1–7. Upon completion of proposed developmental efforts, solutions should strive to meet a TRL in the range 3–7. Proposals that address technologies at TRL 4 or greater should also be aware of the Manufacturing Readiness Level (MRL) considerations. Solutions may focus on end-item prototypes or enabling technologies.

DTRA’s awarding period for this BAA began efforts in Fiscal Year 2022 (FY22), with periods of performance in the range of 1–3 years. Exceptions, not to exceed five years, may be considered for projects that merit extensive test and evaluation. Proposals should be structured with a short base period (~6 months) followed by option periods (6-12 months) to provide timely decision points for down-selection of promising technologies. DTRA expects to fund individual contracts in the range $500,000–$5,000,000 over the full period of performance, yet these numbers should not be considered strict limits. DTRA will only accept proposals in the higher end of this funding range if they demonstrate the ability to deliver effective, innovative technologies directly to the warfighter.

BAA Process

This BAA will use a two-phased proposal process, consisting of the submission and evaluation of:

• Phase I: quad chart with white paper

• Phase II: full proposals

While all interested parties may submit Phase I proposals, submission of Phase II proposals will be by invitation only.

DTRA will communicate the evaluation status of submission after each phase. Offerors invited to submit a proposal at Phase II will be notified whether or not they have been selected for award pending successful contract negotiations.

As explained in Section 3.3.1, all submissions must be dated and unclassified. An exception is allowed in circumstances where the separate submission of classified information is necessary to convey a full description of the proposed work. In such cases, relevant classified information may be submitted in the form of a classified annex as described in Section

3.4.3.1.1 using the email address provided in Section 1.6.

The BAA process includes enhanced opportunities for communications between Government and industry as described in Section 3.2.3.

Award Vehicle

The full range of flexible, statutory, acquisition authorities available to DTRA are possible outcomes of this announcement, including but not limited to, contracts, task orders, and other transaction agreements (OTA). The Government does not intend to award grants or cooperative agreements under this solicitation. Each of these procurement instruments offers different advantages, liabilities, and responsibilities for Offerors and the Government.

Except for OTAs, the Government actions under this BAA shall adhere to the requirements of the FAR and Defense Federal Acquisition Regulation Supplement (DFARS).

Contract Type

The Government intends to award Cost and Cost-Plus-Fixed-Fee (CPFF) contracts and, when in the Government’s best interest, Fixed-Price contracts. Research and development contracts are typically Cost-Reimbursement contracts (Cost, CPFF). 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.

Determinations of accounting system inadequacy, or lack of evidence to support a determination of accounting system adequacy, may preclude the Offeror from receiving a contract. The Government will typically rely on the findings of a Defense Contract Audit Agency (DCAA) accounting system audit in making a determination of accounting system adequacy.

Limitation on OTAs

Offerors are advised that an OTA may only be awarded if there is:

a. At least one nontraditional defense contractor participating to a significant extent in the prototype project; or

b. All significant participants in the transaction other than the Federal Government are small businesses (including small businesses participating in a program described under section 9 of the Small Business Act (15 U.S.C. 638)) or nontraditional defense contractors or nonprofit research institutions; or

c. At least one third of the total cost of the prototype project is to be paid out of funds provided by sources other than the Federal Government. The cost share should generally consist of labor, materials, equipment, and facilities costs (including allocable indirect costs); or

d. Exceptional circumstances justify the use of a transaction that provides for innovative business arrangements or structures that would not be feasible or appropriate under a FAR/DFARS based contract, or would provide an opportunity to expand the defense supply base in a manner that would not be practical or feasible under a contract.

Although use of one of these options is required to use an OTA as the procurement vehicle, no single option is encouraged or desired over the others.

In accordance with 10 U.S.C. § 4003(f), the Government may award a follow-on production contract or OTA for any OTA awarded under this BAA if: (1) that participant in the OTA, or a recognized successor in interest to the OTA, successfully completed the entire prototype project provided for in the OTA, as modified; and (2) the OTA provides for the award of a follow-on production contract or OTA to the participant, or a recognized successor in interest to the OTA.

NOTE: For purposes of determining whether or not a participant may be classified as a nontraditional defense contractor and whether or not such participation is determined to be participating to a significant extent in the prototype project, the following definitions are applicable:

“Nontraditional defense contractor” means an entity that is not currently performing and has not performed, for at least the one-year period preceding this solicitation, any contract or subcontract for the Department of Defense that is subject to full coverage under the cost accounting standards prescribed pursuant to 41 U.S.C. 1502 and the regulations implementing such section.

“Small business" means a small business concern as defined under section 3 of the Small Business Act (15 U.S.C. 632).

“Participating to a significant extent in the prototype project” means, but is not limited to, the following: the nontraditional defense contractor/nonprofit research institution/small business is supplying a new key technology or product; is supplying a novel application or approach to an existing technology, product or process; is providing a material increase in the performance, efficiency, quality or versatility of a key technology, product or process; is accomplishing a significant amount of the prototype project; is accomplishing a significant amount of the effort wherein the role played is more than a nominal or token role in the research effort, or in some other way plays a significant part in causing a material reduction in the cost or schedule of the effort or an increase in performance of the prototype in question.

NOTE: Offerors are cautioned that if they propose the use of an OTA, the Government reserves the right to negotiate either a FAR based procurement contract, or OTA as it deems is warranted under the circumstances.

Contract Period of Performance Limitation

DTRA began funding successful efforts in Fiscal Year 2022 (FY22) with periods of performance in the range of 1–3 years. Exceptions may be considered for projects that merit extensive test and evaluation. In accordance with FAR 17.204(e), contract periods of performance shall be limited to a maximum of 5 years, inclusive of all Options.

Points of Contact

E-mail address for all BAA correspondence and questions dtra.belvoir.rd.mbx.rd-baa-inbox@mail.mil

SIPR E-mail address for all classified annex submissions up to

SECRET//NOFORN

dtra.belvoir.rd.mbx.rd-baa-inbox@mail.smil.mil

BAA Announcements posted in .SAM https://sam.gov

DTRA Proposal Submission Website (requires registration prior to proposal submission) https://www.dtrasubmission.net

DTRA Website https://www.dtra.mil

Technical and Administrative Support by Non-Government Personnel

DTRA intends to use non-government personnel (contractor support) in the review and administration of all submissions (Phase I and II) for this BAA. Participation in the BAA requires DTRA Advisory and Assistance Services (A&AS) and Systems Engineering and Integration (SE&I) support contractor employees, contract specialists, and proposal submission website support personnel to have access to proposal information including information that may be considered proprietary. A&AS and SE&I support contractors mailto:dtra.belvoir.rd.mbx.rd-baa-inbox@mail.mil mailto:dtra.belvoir.rd.mbx.rd-baa-inbox@mail.mil https://sam.gov/ https://www.dtrasubmission.net/ https://www.dtra.mil/ provide technical input to the Government in an advisory role as subject matter experts and provide administrative support in the management of the proposals and their technical review. DTRA support contracts contain organizational conflict of interest provisions and include contractual requirements for the non-disclosure of proprietary contractor information.

Phase I and II proposals may be reviewed by additional subject matter experts (peer reviewers) from other Government agencies such as the National Nuclear Security Administration (NNSA) and the Department of Homeland Security (DHS), some of whom may be non-government personnel. All individuals in this category with access to proprietary data shall execute nondisclosure agreements certifying that no conflict of interest exists between the individual and the Offeror and any proposed subcontractor and that they will not disclose any information pertaining to this BAA including any submittal, the identity of any Offerors, or any other information relative to specific proposals, and will use the information for evaluation purposes only.

All Offerors to this BAA consent to the disclosure of their information to the aforementioned companies, their subcontractors, and external Government agencies under these conditions.

Eligibility

Except as specified below, this BAA is open to all responsible sources capable of responding to the Government’s requirements.

Eligible Sources

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

• Industrial/commercial concerns including small businesses.

• Accredited degree-granting colleges and universities.

• Not-for-profit organizations.

• Other non-U.S. sources.

• DoD-sponsored Federally Funded Research and Development Centers (FFRDCs) specified in DFARS 235.017-1.

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

UARC's DoD sponsor.

• Department of Energy (DOE) sponsored FFRDCs and National Aeronautics and

Space Administration (NASA) sponsored FFRDCs, provided that authorization is obtained from the DOE or NASA sponsor.

Non-Eligible Sources

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 other than those DoD-, DOE-, and NASA-sponsored FFRDCs specified above.

• U.S. Government agencies and organizations.

• Academic institutions that are federal government organizations (e.g., Naval

Postgraduate School).

Instructions to Offerors

To assure timely and equitable evaluation of proposals, Offerors must follow the instructions contained herein. Offerors are required to meet all solicitation requirements, including terms and conditions, representations and certifications, technical requirements, and proposal content and format requirements. Failure to meet a requirement may result in an offer being ineligible for award. Additionally, Offerors must clearly identify any exception to the solicitation terms and conditions and provide complete accompanying rationale. It is the Offeror’s responsibility to ensure the completeness of the proposal. Evaluation of a proposal will be conducted only on the basis of the information contained within it, and the Government will not assume that an Offeror possesses any capabilities not specified.

Proposals shall be clear, concise, and include sufficient detail for effective evaluation and for substantiating the validity of stated claims. The Offeror shall assume that the Government has no prior knowledge of the Offeror’s capabilities.

Administrative Requirements

Registration to the DTRA Proposal Submission Website

All Offerors are required to register at the DTRA proposal submission website (see link in Section 1.6) prior to submission of Phase I proposals. Detailed registration and submission instructions are available at the site.

The registration must be submitted by a central Business Point of Contact (BPOC) rather than individual Principal Investigator personnel. A BPOC is the person given the responsibility for coordinating all submissions from individual Principal Investigators at his or her work location and is the only individual who may access the DTRA proposal submission website. The intent is that all submissions from an organization be coordinated and submitted by a single, identified responsible party. Failure to register in accordance with instructions may render them ineligible for this BAA.

Offerors must be aware that it is their responsibility to ensure that email notifications reach the designated BPOC and that e-mail notifications are not blocked due to the use of 'spam blocker' software or other means that the recipient's Internet Service Provider may have implemented to block the receipt of certain e-mail messages. Additionally, it is the responsibility of the BPOC to inform DTRA of any updates to e-mail addresses for both themselves and the designated Principal Investigator.

IMPORTANT: Registration at the DTRA proposal submission website is NOT the same as registering at the System for Award Management or SAM websites. Failure to register at the DTRA proposal submission website will prevent an Offeror’s submission of documents required and thus render the Offeror ineligible for participation in this BAA.

Registration to the System for Award Management (SAM) Website

DTRA requires that all Offerors be registered in the SAM database at the time of Phase I proposal submission. Contractors must keep their registration current for the life of the contract. Offerors may register with SAM online at https://sam.gov. Offerors will NOT be able to complete their SAM registration until SAM has confirmed the Offeror’s Employer Identification Number (EIN) or Taxpayer Identification Number (TIN) with the Internal Revenue Service (IRS).

NOTE: It will take 24-48 hours for the IRS to validate the TIN. 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 1-800-829-4933.

Communications

Questions about this BAA

Send questions regarding the technical and administrative content of this BAA to:

dtra.belvoir.rd.mbx.rd-baa-inbox@mail.mil. The response timeline is listed in Attachment 6. Questions submitted to other e-mail addresses will be disregarded. All questions must include the BAA number in the subject line. DTRA will post answers to questions on the SAM website. It is the Offeror’s responsibility to check the SAM website periodically to view postings of questions and answers, in addition to any applicable amendments to the BAA.

Communication Guidelines Prior to Receipt of Phase I Proposal

DTRA supports technical dialogue between DTRA Technical Subject Matter Experts (SMEs) and proposers after release of this BAA Topic Call and prior to receipt of the Phase I proposals. All technical inquiries shall be submitted to the BAA e-mail box (refer to Section 3.2.1). Attempts to contact DTRA Technical SMEs through methods other than the BAA e-mail box will be disregarded. Following submission of questions to the BAA e-mail box, technical dialogue may occur by e-mail or phone. General guidelines for dialogue between the DTRA Technical SMEs and proposers prior to receipt of a proposal include the following:

• DTRA Technical SMEs will not be obligated by any discussion with a potential proposer. Communications between the DTRA Technical SMEs and potential proposer shall not constitute a commitment by the Government to subsequently fund or award any proposed effort.

• DTRA Technical SMEs cannot attempt to replace the potential Offeror’s original ideas with their own ideas.

mailto:dtra.belvoir.rd.mbx.rd-baa-inbox@mail.mil

• DTRA Technical SMEs cannot share ideas, technical solutions or proprietary information provided to them by another potential Offeror.

• If DTRA Technical SMEs provide information concerning the objectives/goals/requirements of the BAA to one proposer, they must provide this information to all proposers. Similarly, information provided to an Offeror that expands on information contained in the published solicitation or is otherwise publically available must be made publically available to all potential Offerors.

Answers to questions concerning objectives, goals, or requirements of this BAA Call will be shared with all Offerors and posted to the SAM website.

Communication Guidelines after Receipt of Phase I or Phase II Proposal

The Government reserves the right to engage in communications with Offerors during the course of evaluations regarding proposer’s Phase I Quad Charts and White Papers, or after the receipt of a Phase II invited proposal, prior to selection for the purpose of enhancing the Government’s understanding of research proposals and facilitating the evaluation process. These communications will not constitute communications or discussions within the meaning of FAR Part 15. These communications may be executed as best determined by the Government and Offeror, e.g., via email, teleconference, or in person. Depending on the Offeror’s clearance level, the communications may extend above the unclassified level. Information obtained through these communications may be considered in rating proposals.

The primary focus of these communications is to address any proposal ambiguity that may preclude the evaluation of the merits of a quad chart, white paper or full proposal.

The purpose of the communication is to seek clarifications and discuss technical aspects of the proposed effort to enhance the Government’s understanding and facilitate the evaluation process. Accordingly, the Government’s decision to engage in communications with a proposer will be on a case-by-case basis, as needed to facilitate the evaluation process..

Proposal Submission Instructions

General Instructions

All proposals must be submitted electronically through the DTRA proposal submission website: https://www.dtrasubmission.net. Proposals submitted by any other means (e.g., hand-carried, postal service, commercial carrier, e-mail) will not be considered.

Offerors will be notified on their Phase I and Phase II proposals by the timeline specified in Attachment 6. The Offeror should verify the submission of their proposal package by printing the electronic receipt (time and date stamped) that appears on the final screen following compliant submission of a proposal to the DTRA proposal submission website.

Using the DTRA proposal submission website, all Offerors must prepare Proposal Cover Sheets for each Phase I and Phase II proposal submitted. All required data must be completed in every cover sheet. Once the Offeror saves the cover sheet, the system will https://www.dtrasubmission.net/ assign a unique proposal number for each Phase I submission and a different unique proposal number for each invited Phase II submission. The Offeror may edit cover sheets as often as necessary until the submission period closes.

All submissions to the DTRA proposal submission website must be dated and unclassified. In circumstances where the separate submission of classified information is necessary, relevant classified information may be submitted in the form of a classified annex as described in Section 3.4.3.1.1.

Offerors submitting multiple proposals must prepare separate cover sheets for each proposal and upload the full proposal files with the associated cover sheet, since a unique document number will automatically be assigned to each submission by the electronic proposal tracking system. All documents submitted to the DTRA proposal submission website are considered works in progress and are not eligible for evaluation until the Offeror submits the final proposal package for consideration. Once the Offeror has uploaded all proposal files and is ready to submit their application, the Offeror selects the green "Submit" button on the page. A confirmation message will appear on the page once the submission has gone through. Perform a virus check before uploading any proposal files. If a virus is detected, it may cause rejection of the file.

Withdrawal of Proposals

Offerors are responsible for obtaining access to the DTRA proposal submission website and for submitting electronic proposals to the website. When sending electronic files, the Offeror will account for potential delays in file transfer from the originator’s computer server to the Government website/computer server. Offerors should also print, and maintain for their records, the electronic date/time stamped receipt that appears on the final screen following submission of a proposal on the DTRA proposal submission website.

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 1.6.

Proposal Format Requirements

Submission File Format

Offerors shall submit each required proposal volume as a separate Portable Document File (PDF) compatible with Adobe Acrobat ® version 11.0.0 or earlier. Additionally, each Phase I proposal shall contain a Quad Chart provided in Microsoft (MS) PowerPoint .PPTX format and a White Paper provided in MS Word .DOCX format, and each Phase II proposal shall also contain a Statement of Work (SOW) provided in MS Word .DOCX format and a Cost Spreadsheet provided in MS Excel .XLSX format. Additional specific format requirements are provided below. Files with extensions .DOC, .XLS and .PPT will not be accepted.

File size must not exceed 10 MB. Movie and sound file attachments, or other additional files, will not be accepted. The proposal files must not be encrypted.

Phase I Proposal

Offerors must submit Phase I proposals in accordance with instructions provided in this section of the BAA; failure to do so may preclude consideration of the Phase I proposal.

Additionally, Offerors are required to complete a cover sheet using the DTRA proposal submission website. All Phase I proposals shall consist of a Quad Chart and White Paper conforming to the following format requirements:

Quad Chart

• Paper size: 8.5 x 11 inches, Landscape orientation

• Font: Arial, 28 point bold for Header, 10 point for body

• Page Limit: No more than one (1) page. Pages in excess of the page limitation will not be read or evaluated.

• Format: MS PowerPoint

• Classification: Unclassified

• Restrictive Markings: The Quad Chart must not contain information deemed trade secret, confidential or proprietary by the Offeror.

White Paper

• Paper size: 8.5 x 11 inches

• Spacing: Single-spaced

• Margins: One-inch

• Font: Times New Roman, not smaller than 12 point

• Page Limit: No more than ten (10) pages. Pages in excess of the page limitation will not be read or evaluated.

• Classification: Unclassified

• Restrictive Markings: White Papers containing proprietary information shall contain the restrictive markings indicated in Section 3.4.4.

Phase II Proposal

Offerors invited to submit a Phase II proposal must follow the instructions provided in this section of the BAA; failure to do so may preclude consideration of the proposal for award. All Phase II proposals shall consist of a Technical Volume, Cost Volume, and Supplement Information Volume conforming to the following format requirements:

Technical Volume

The Technical Volume shall consist of the Offeror’s Technical Proposal, Technical Approach, Basis of Estimate (BOE), and SOW conforming to the following format requirements:

Technical Proposal

• Paper size: 8.5 x 11 inches

• Spacing: Single-spaced

• Margins: One-inch

• Font: Times New Roman, not smaller than 12 point

• Page Limit: No more than twenty-five (25) pages (total includes classified annex, if applicable). Pages in excess of the page limitation will not be read or evaluated.

• Classification: Unclassified

• Restrictive Markings: Documents containing proprietary information shall contain the restrictive markings reflected in Section 3.4.4.

• Classified Annexes, if applicable:

o Limited to two pages or less o Must follow the same formatting requirements as the Technical Proposal o Counts toward total Technical Proposal page limit of 25 pages o Shall be referenced in the unclassified proposal, as applicable o All markings shall be in accordance with DoDM 5200.01 DoD Manuals

(whs.mil) o Annexes shall not be higher than SECRET//NOFORN and contain no other caveats o Annexes must be referenced to the Phase II proposal using the proposal number in both the document and email subject line o Annexes MUST be received no later than the Phase II submission deadline

Technical Approach and BOE

• Paper size: 8.5 x 11 inches

• Spacing: Single-spaced

• Margins: One-inch

• Font: Times New Roman, not smaller than 12 point

• Page Limit: None

• Classification: Unclassified

• Restrictive Markings: Documents containing proprietary information shall contain the restrictive markings reflected in Section 3.4.4.

Statement of Work

• Paper size: 8.5 x 11 inches

• Spacing: Single-spaced

• Margins: One-inch

• Font: Times New Roman, not smaller than 12 point

• Page Limit: None; typically 3-5 pages

• Classification: Unclassified

• Restrictive Markings: The SOW must not contain information deemed trade secret, confidential or proprietary by the Offeror nor Contractor-specific https://www.esd.whs.mil/Directives/issuances/dodm/ https://www.esd.whs.mil/Directives/issuances/dodm/ references such as headers and footers with company name and/or logo. See Attachment 2 for more information.

Cost Volume

The Cost Volume shall consist of the Offeror’s Cost Narrative / Supporting Documentation, Cost Spreadsheets, which shall conform to the following format requirements:

Cost Narrative / Supporting Documentation

• Paper size: 8.5 x 11 inches

• Spacing: Single-spaced

• Margins: One-inch

• Font: Times New Roman, not smaller than 12 point

• Page Limit: None

• Classification: Unclassified

• Restrictive Markings: Documents containing proprietary information shall contain the restrictive markings reflected in Section 3.4.4.

Cost Spreadsheets

• File Format: MS Excel

• Format: In accordance with Attachment 4

• Formulas: All formulas shall be preserved.

• Page Limit: None

• Classification: Unclassified

• Restrictive Markings: Documents containing proprietary information shall contain the restrictive markings reflected in Section 3.4.4.

Supplemental Information Volume

The Supplemental Information Volume shall conform to the following format requirements:

• Paper size: 8.5 x 11 inches

• Spacing: Single-spaced

• Margins: One-inch

• Font: Times New Roman, not smaller than 12 point

• Page Limit: None

• Classification: Unclassified

• Restrictive Markings: Documents containing proprietary information shall contain the restrictive markings reflected in Section 3.4.4

Restrictive Markings and Disclosure of Proprietary Information

The White Paper portion of the Phase I submission and all Phase II volumes submitted in response to this solicitation (with the exception of the SOW) may contain technical information 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 in any submission will be subject to existing statutory and regulatory requirements. If proprietary information which constitutes a trade secret, proprietary commercial or financial information, confidential personal information, or data affecting national security is provided by an Offeror, 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 submission:

“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 official channels.

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

“Use or disclosure of the White Paper/proposal data on lines identified by an asterisk (*) are subject to the restriction on the front page of this White Paper/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 a White Paper/proposal 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 White Paper/proposal which 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 is properly identified.

By submission of a White Paper/proposal, the Offeror understands that proprietary information may be disclosed outside the Government for the sole purpose of technical evaluation. The Contracts Office will obtain a written agreement from the evaluator that proprietary information in the White Paper/proposal will only be used for evaluation purposes and will not be further disclosed or utilized.

Proposal Content Requirements

Phase I Proposal

Offerors must submit Phase I proposals in accordance with instructions provided in this section of the BAA; failure to do so may preclude consideration of the Phase I proposal.

All Phase I proposals shall consist of a Quad Chart and white paper conforming to the following requirements:

Quad Chart

The Quad Chart must be included in the Phase I proposal as well as in Volume III, Supplemental Information, of the Phase II proposal. Proposed Quad Charts must conform to the following template:

Heading:

• Title of Project

• Topic Number

• Principal Investigator

• Organization

Upper Left Quadrant:

• Objective – provide a clear and concise description of the goal of the effort.

• Description of Effort – provide a brief description of the technology proposed for investigation and the methodologies to be used during the course of investigation.

Lower Left Quadrant:

• Benefits of Proposed Technology – provide a brief description of the net advantages of the proposed technology over current practices and other competing technologies.

• Challenges – provide a bullet list of the technical or scientific challenges being addressed.

• Maturity – describe the maturity of proposed technology with respect to Technical Readiness Level (TRL) at project start and the anticipated TRL at project end. See Attachment 1 for TRL definitions.

Upper Right Quadrant:

• Picture or graphic illustrating proposed technology development

Lower Right Quadrant:

• Period of Performance – provide the project period of performance. If the project incorporates multiple periods of performance, separated by logical and meaningful milestones and go/no-go decision points, provide the duration of each period.

• Major goals/milestones and deliverables – provide a bullet list of the major project goals, milestones and deliverables. If utilizing multiple project periods of performance, provide the goals, milestones and deliverables for each period and for the overall project.

• Cost – provide a rough order of magnitude (ROM) cost estimate. If using multiple project periods of performance, provide the ROM estimates for each period and for the overall project.

White Paper

The White Paper shall include the following sections in the order given below.

Information shall be consistent with and expand upon details provided in the Quad Chart:

(1) Describe the following elements of the project technical approach.

• Project objectives, scope, and description of the proposed effort. Provide sufficient information on the proposed research to establish its technical merit (e.g., the hypothesis, theories, concepts, approaches, data measurements, and analysis, etc.).

• Major goals/milestones by fiscal year.

• Overview of tasks and methods planned to achieve each objective and the final deliverable and/or project end-state.

• Key personnel Offerors must demonstrate they possess sufficient technical expertise to successfully execute the technical approach.

• Facilities/Equipment necessary to carry out the proposed effort.

(2) Provide a project overview describing:

• How the technology will benefit DoD end-users and the impact of the technology on end-user mission capability.

• The current TRL of the technology and the anticipated TRL at the end of the proposed project.

• Any applicable technical and/or scientific challenges associated with the proposed project, and how the Offeror intends to address these challenges.

(3) Describe how the proposed project is achievable within the proposed schedule.

Discuss potential risks and their proposed mitigation.

(4) Describe the estimated costs for the proposed technical approach for each project period of performance.

Phase II Proposal

Offerors invited to submit a Phase II proposal must follow the instructions provided in this section of the BAA; failure to do so may preclude consideration of the proposal for award. All Phase II proposals shall consist of a Technical Volume, Cost Volume and Supplemental Information Volume conforming to the following requirements:

Technical Volume

The Technical Volume shall be comprised of a Technical Proposal, Technical Approach and BOE, and SOW which conforms to the following requirements:

Technical Proposal

The Technical Proposal shall be submitted in accordance with the following:

Abstract

Offerors shall provide a brief abstract.

Scope

Offerors shall provide a detailed description of project scope, to include project objectives, background, programmatics, and relevance. 8 pages are suggested.

A. Objective. Offerors shall state clearly and concisely the objective of the proposed project.

B. Background. Offerors shall provide the necessary technical and scientific background to support the scientific and/or technical merit of the proposed project.

C. Programmatic. Offerors shall describe their organization’s program management plan for the proposed project. Offeror’s shall list supporting and collaborating centers, and roles and responsibilities of each identified academic and/or industrial subcontractor supporting this project.

D. Relevance. Offerors shall describe the relevance of the proposed project in terms of DTRA mission, end-user needs and the state-of-the-art of the proposed technology.

Credentials

Offerors shall provide credentials and qualifications (of all persons that will be involved with the proposed effort), limited to those which are directly relevant to the proposed work.

A. Summary of Organizational Credentials and Qualifications. Offerors shall describe their organizational qualifications and credentials to perform the proposed project.

B. Summary of Qualifications for PI and Key Personnel. Offerors shall list summary qualifications for the proposed Principal Investigator and other Key Personnel.

C. Summary of Facilities to Perform the Proposed Work. Offerors shall summarize the credentials of the primary performing center, and supporting academic and industrial subcontractors to perform the work.

Offerors shall describe specific examples of similar work performed, and equipment and/or facilities available to perform the proposed work.

Performance Schedule and Expenditure Plan

Gantt Chart. Offerors shall provide a Gantt chart that lists each individual SOW task and provides the duration of performance for each.

References

Offerors shall list any relevant documents used to develop the technical approach.

Technical Approach and BOE

A. General. The Offeror shall address the following requirements:

1. Provide a detailed narrative summary of the proposed technical approach.

2. Provide project milestones and objectives. Explain why the proposed technical approach is valid and suitable to achieve SOW requirements, project milestones and objectives.

B. Risks. The Offeror shall address the following requirements:

1. Explain the risks associated with proposed project goals, objectives and milestones (what will be done), and risks associated with the technical approach (how it will be done).

2. For all identified risks, Offerors shall indicate how they plan to manage these risks (e.g., avoidance, acceptance, mitigation, transfer) and provide a detailed narrative explaining the corresponding risk management actions that will be taken for each…