Amendment 3 - QA from_Industry_Day_HDTRA122S0004.pdf

BROAD AGENCY ANNOUNCEMENT

HDTRA1-22-S-0004

AMENDMENT 03

This Amendment provides responses to the questions posed prior to and during the DTRA SI‐STT

Research Topic Information Session (RTIS)/ Industry Day held virtually on April 28, 2022. Please refer to the Broad Agency Announcement (BAA) for all other guidance and requirements.

White Paper Submissions

Can you comment on average number of white papers you receive vs. those that advance? How many advance? Is it in the 10s? 100s? 1000s?

Answer: We receive around 100 white papers per cycle or year, but it can vary. The number of white papers that result in proposal requests varies depending on the number of submissions and the research needs at that time. On average about 50% of the white papers advance to the proposal stage.

Can/should we share a white paper for unofficial feedback before an official submission?

Answer: No. DTRA SI‐STT will not refine your white paper before formal submission. Please submit white papers with as much substance as you can provide. If we determine the white paper has merit, we will request a proposal. The email requesting a proposal will provide additional guidance. DTRA SI‐STT may also request additional clarification or refinement of proposals prior to award decisions via email.

Classification

Can studies involve use of classified materials?

Answer: All white papers and proposals should be unclassified. DTRA SI‐STT funds projects that include the use of classified materials in limited circumstances. White papers and proposals should explain and justify any possible use of classified materials to perform the work.

Researcher Qualifications and Citizenship Requirements

Will relevant real‐world experience have as much weight as academic credential when evaluating a proposed principal investigator’s (PI) qualifications?

Answer: DTRA SI‐STT considers a number of factors when evaluating a PI’s qualifications to perform the proposed research. We are interested in diversity of thought and innovative ideas. The white paper and proposal should provide sufficient information about the PI’s background to allow us to understand what capabilities they bring to the table and whether they are capable to perform the work as proposed.

The educational aspect (i.e., whether the PI has a PhD or Master’s degree) is not as critical as the qualifications of the research team (PI plus supporting team) to fulfill the tasks of the proposed project.

Will DTRA allow projects that involve team members that are not from the United States or allied nations? For example, would it be acceptable to involve Russian staff working for a US organization in a project led by a US citizen?

Answer: The BAA stipulates that project team members must be from US ally or partner nations. DTRA cannot accommodate projects that include Russian personnel unless they are either US citizens or green card holders or citizens of other allied or partner nations. Please consult the BAA document for more information.

Access to Information about STRI‐Sponsored Research

What are the best places to go to review past or ongoing DTRA research and projects, including those sponsored by DTRA SI‐STT?

Answer: Amendment 2 of the BAA provides a list of ongoing and completed STRI‐sponsored projects.

STRI cannot provide documentation for projects sponsored by other DTRA Directorates.

Research Priorities and Interests

Is DTRA SI‐STT interested in studies that focus on the Persian Gulf region?

Answer: DTRA SI‐STT will entertain research studies that align with the priorities outlined in the BAA and associated amendments. It does not limit the focus to specific regions. Interests may include

Iranian nuclear issues and impact on regional stability, deterrence, and emerging WMD threats.

Is DTRA SI‐STT interested in dialogues with the Russians?

Answer: DTRA SI‐STT has sponsored Track 2 dialogues with Russia in the past, but is currently prioritizing dialogues with allies and partners. We are less inclined to sponsor dialogues where there is a high degree of uncertainty that the research team can secure the right level of participation. There must be a willingness to talk about specific topics at some depth.

Is DTRA SI‐STT interested in analysis aimed at DTRA's present and future implementation capacity in the acquisition sphere (i.e., rapid / crisis acquisition, RDT&E/procurement of emerging technology, or working with allied nations on said issues)?

Answer: Most of the activities listed fall under the purview of the DTRA Research and Development or

Acquisition, Contracts, and Logistics Directorates. In most cases, DTRA SI‐STT would defer to other

Directorates to address those issue sets.

DTRA SI‐STT is interested in research that focuses on building partnership capacity with allies and partners in mission‐relevant areas. However, it is not involved in the procurement/acquisition of assets for other countries. Depending on the study, DTRA SI‐STT may be interested in the types of assets an ally or partner might receive to make them more capable from a broad‐brush level, but it is not interested in studies that focus primarily on procurement and acquisition issues.

Is DTRA SI‐STT interested in studies that examine the implications of U.S. policy such as the Nuclear

Posture Review and the National Defense Strategy etc.?

Answer: DTRA SI‐STT is not interested in studies that focus purely on policy issues because DTRA is not a policy organization. However, studies that address policy issues are not off‐limits. Depending on the topic, DTRA SI‐STT may be interested in analyses that consider how U.S. doctrine, policy, and plans will achieve the stated goals in mission‐relevant areas. The studies need to be well justified and address specific threats. STRI‐sponsored research is non‐partisan.

We would like to examine how WMD threats, deployments, exercises, and tests by US adversaries affect their ability to accomplish coercive goals in confrontations involving the US and/or its allies. A recent case example is when Russia used tacit and overt nuclear threats to deter US and NATO military involvement in Ukraine and undermine NATO cohesion, which affected the trajectory of conflict and the

US's response options. China, North Korea, and Iran have used similar strategies. Is such a topic consistent with your research interests?

Answer: See Amendment 1.

Is DTRA interested in the impact of advanced conventional/dual use weapons and delivery vehicles such as hypersonic missiles, anti‐ship cruise missiles, anti‐satellite capabilities, etc., or just chemical, biological, and nuclear weapons?

Answer: See Amendment 1.

Analytic Approaches

As we understand it, the preferred analytic method is analysis of data generated during a tabletop exercise (TTX). By contrast, work involving human subjects (e.g., a survey) is not allowed. What is the difference between analyzing individual/group written responses in a TTX and analyzing individual responses to a survey questionnaire that follows a scenario prompt? To facilitate "process tracing" in a TTX and to help understand why decisions are made, would it be acceptable to field a survey that is filled out during or after the exercise?

Answer: DTRA SI‐STT does not have a preferred method of analysis. TTXs are not the only specified means to generate an analytic output as stated in the BAA. DTRA SI‐STT seeks deliverables that provide key findings and recommendations on research questions. The desired output should drive the selected technical approach. All proposed technical approaches must be fully justified based on the project objective.

DTRA SI‐STT is not interested in projects that solely involve the execution of surveys – or the conduct of expert engagements – and provide the result of those engagements. However, researchers can generally use non‐attribution, private expert engagements (e.g., interviews, surveys, scenario‐based exercises, and workshops) as means to complete the analysis necessary to generate key findings and recommendations IF it makes sense to do so and they adhere to all federal rules and regulations.

DTRA cannot comment on whether your proposed approach will violate any specific human subject rules and regulations until you submit a white paper. Should it result in a request for proposal, DTRA will provide feedback on any human subject‐related research concerns.

What are your views on studies based in part on data collection and analysis, including survey data or quantitative analysis/statistical modeling of existing/novel datasets?

Answer: As stated in the BAA, DTRA SI‐STT does not fund the purchase of data subscriptions or tools, or the development of databases, datasets, or data manipulation tools. DTRA SI‐STT does not fund the development of hardware/software, models, simulations, and/or technologies. However, DTRA SI‐STT sponsors or previously sponsored studies that utilize existing datasets, models, or tools to provide a starting point for analysis.

DTRA SI‐STT seeks deliverables that provide key findings and recommendations on research questions.

Researchers can use datasets and models and to perform the analysis necessary to generate key findings and recommendations. However, DTRA SI‐STT is not interested in studies that solely involve data collection and analysis for the sake of data collection and analysis.

Research Projects with Events

Do dialogues require a research component?

Answer: Yes. The value of dialogues comes not only from of a group of people coming together to share ideas and talk through issues, but also the research and analysis that precedes and follows those meetings. There are two outputs – the event and the analysis. Research is required to determine the topics the dialogue will address and how. Dialogue meetings generally result in a list of next steps.

Research and additional analysis are required to identify actions the U.S. Department of Defense might take in response to the suggestions, or issues it should tackle. Additional research and analysis may be required to explain why certain issues matter to the United States or other countries.

Will DTRA advise on its desired participation in dialogues and TTXs ahead of the proposal submission stage and estimate a budget for that participation, or will it provide the information after the project is approved?

Answer: For event planning purposes, consider reserving a handful of slots for DTRA participation. At a minimum, one representative from DTRA SI‐STT will be present at all project events. Travel‐related expenses for DTRA personnel should not be included in your budget estimate. DTRA will cover travel costs for its personnel.