Amendment_5_Questions_and_Answers_Final.pdf

BROAD AGENCY ANNOUNCEMENT

HDTRA1-22-S0004

AMENDMENT 5

This amendment provides a summary of the questions and answers posed prior to, during, and following the November 10, 2022 Defense Threat Reduction Agency (DTRA) Strategic Trends Division (SI-STT) Industry Day/Research Topic Information Session (RTIS). The information contained herein should be reviewed with the information included in Amendment 4.

Table of Contents Corrections to Amendment 4

Questions and Answers

General RTIS/Zoom Information

Government Call

Project Team Organization

Research Topics

Building on Previous Efforts

White Paper Format

General Finance

Research Methodologies

Classification

Corrections to Amendment 4

• At the top of page 3, under Priorities for Strategic Dialogues, “Democratic Republic of Korea” should read “Democratic People’s Republic of Korea.”

• At the bottom of page 3, the last sentence regarding the capstone event should have the word “include” and therefore should read, “This event may also include international organizations as appropriate.”

• In the middle of page 6, in the row titled “Associated Guidance,” there is a stray comma after the word “prioritize” in the first paragraph. The sentence should read, “DTRA SI- STT does not prioritize studies for the primary output as a workshop.”

Questions and Answers

General RTIS/Zoom Information

a. Question: I would like to join an upcoming Research Topic Information Session but I am in UTC/GMT +11 hours. Will there be similar sessions at different times, or can the information from the session be provided by email instead?

Answer: No briefings are planned in addition to the Industry Day/Research Topic Information Session that was conducted on November 10, 2022. The briefing and a summary of all questions and answers are posted at the Broad Agency Announcement (BAA) link on SAM.gov. Anyone is welcome to submit questions (at any time) about the BAA or Amendments to the dtra.belvoir.si.mbx.hdtra1-stri-adm@mail.mil .

This inbox is monitored daily.

Attendance at an industry day/research topic information session is not mandatory to participate in STRI-sponsored research.

b. Question: I see that the meeting on November 10 is accessible by the Zoom4Gov platform. Is this platform available to general users of Zoom? I do not know what the Zoom4Gov platform is so I am unclear to whom it is accessible.

Answer: Zoom4Gov is the government version of Zoom. Anyone that can access Zoom can also access Zoom4Gov.

Government Call

a. Question: As I am based at a quasi-federal entity, I’ve been told there is a Government Call available upon request. May I request the Government Call for quasi-government entities to submit white papers/proposals within or connected to this BAA?

Answer: If eligible, the Government Call version is available upon request by emailing dtra.belvoir.si.mbx.hdtra1-stri-adm@mail.mil . Please refer to BAA mailto:dtra.belvoir.si.mbx.hdtra1-stri-adm@mail.mil

Amendment 4 as you review this document. Changes or updates to the BAA, as articulated in Amendment 4, also pertain to the Government Call.

b. Question: We intend to submit proposals under the Government Call. Are there any different requirements for white papers for the Government Call, or should we follow the guidelines for the BAA?

Answer: The Government Call is similar but includes requirements specific to quasi-government entities. The Government Call version is available upon request by emailing dtra.belvoir.si.mbx.hdtra1-stri-adm@mail.mil .

Project Team Organization

a. Question: Will you entertain joint proposals from multiple organizations? Can there be a research institution as the contractor and another research institution as a sub-contractor? Can a research institution work with a national lab together as contractor and sub-contractor? Or should there only be one institution as the contractor? If so, should the white paper be combined or separate?

Answer: Multiple research organizations are permitted. Please identify the principal contractor and sub-contractors in the white paper and, if selected for proposal, in the cost sheet and cost narrative. The white paper should be a combined effort.

Identification of the team helps us to understand the scope of the project and the chances of success by the team indicated.

b. Question: There seems to be no specific scope for small and foreign commercial business entities.

Answer: Please review the BAA, Section III for eligibility:

https://sam.gov/opp/f058c5b5fa3c4fe89f70c7ba4468ad19/view. Foreign non-governmental entities will need to sub-contract with U.S.-based institutions or U.S.

personnel to conduct the research. This kind of partnering arrangement is acceptable as long as it meets the citizenship and entity eligibility requirements outlined in the BAA and the contract parameters.

c. Question: Can you please clarify the definition of the Principal Investigators (PI) versus the rest of the team?

Answer: The PI should be the primary point of contact for the project and should actively lead the research effort. STRI discourages delegation of the majority of the research effort to junior personnel. The BAA defines the PI as follows:

“Principal Investigator and Co-Principal Investigator: Conceives, designs, and directs major research projects or programs. Conducts and oversees the development of credible research efforts that generate independent, high quality deliverables.

Supervises all aspects of the research effort and is responsible for the management, direction, and oversight of the project team, including all related activities. Writes https://sam.gov/opp/f058c5b5fa3c4fe89f70c7ba4468ad19/view credible and technically sound papers and reports on complex issues and topics.

Displays expert and innovative use of theories and principles and contributes to the development of advanced analyses, methods and/or techniques. Possesses an advanced degree in a relevant discipline. Has over fifteen years of related professional research experience, including extensive project leadership and publications.”

Research Topics

a. Question: The Fiscal Year (FY) 2022 HDTRA1 solicitation seeks weapons of mass destruction (WMD) threats spanning the five to 10 year future timeframe battlespace, i.e., to allow DTRA, DoD and the countering weapons of mass destruction (CWMD) community an appropriate amount of time to mitigate anticipated threats.

Additionally, DTRA SI-STT will not consider submissions after October 1, 2022 (FY 2023). Given that the proposed study assessment involves a surprising and much-less-than five-year timeframe and quite possibly already-here imminent bio-WMD threat, would you recommend, therefore, to submit a more timely, unsolicited, proposal? Or, perhaps provide DTRA an assessment at the speed-of-relevancy, or wait for a potential, “no guarantees” forthcoming FY 2023 solicitation amendment.

Answer: STRI prefers work that has relevance 5 to 10 years into the future so that we have time to adapt to upcoming challenges, as stated in your question. We also realize that certain topics may be unexplored and relevant for action sooner than 5 years as such, STRI does accept projects earlier than 5 years when the proposed work is appropriate and time sensitive.

We cannot provide specific topic guidance to an individual researcher; however, we recommend you review the research topic priorities outlined in Amendment 4.

In addition, please note the submission information and dates in Amendment 4. The stated submission information listed in the question does not align with the information stated in the BAA or its amendments.

DTRA SI-STT will not consider submissions that are not within the time cycle cited in the BAA. Your question refers to a stipulation related to future year funding which we will not entertain – please have a project start date in the current fiscal year. For priority FY 2024 funding consideration, please monitor SAM.gov for forthcoming amendments outlining research priorities for FY 2024.

b. Question: Are the Chinese still avoiding Track 1.5 and 2 discussion, in particular

WMD dialogues?

Answer: While we will consider white papers on dialogues with a broad range of countries, we are currently prioritizing dialogues with U.S. allies, partners, and potential partners.

c. Question: Are you considering also how the chemical, biological, radiological and nuclear (CBRN) environment is going to be engaged with the North Atlantic Treaty Organization (NATO) and would you consider bilateral and multilateral discussions with partners is our NATO alliance?

Answer: Yes.

d. Question: Within the Thrust Areas, there are dozens of elements. Do you prefer responses that bundle elements together, or do you prefer separate responses?

Answer: The topics listed simply reflect STRI priorities. When submitting a white paper, the researcher should clearly identify the research question or problem statement upon which the research project will focus.

Omnibus efforts to capture a wide-range of different topics into a single project are unlikely to be funded because we feel these lack focus and achievable outcomes.

e. Question: By “space,” do you mean space-based kinetic assets, information management (sensors, communications, intel, etc.) assets, or both? And do you mean U.S. capabilities, our adversaries’ capabilities, or both?

Answer: All concentrations proposed in the question could apply.

f. Question: You mentioned that economics is not a focus. If the white paper made clear there was an intersection between economic measures and deterrence considerations (and particularly, illuminating adversary intentions and strategies), would that be of interest? Or are economics-related proposals generally of little interest?

Answer: We understand that economic considerations are often part of the larger picture of national and regional security issues; however, white papers should be able to demonstrate a nexus with a WMD-related topic. As described in Amendment 4, DTRA SI-STT is not interested in dialogues that primarily address economic, commerce, and trade-related topics between nations or corporate entities. Therefore, economic issues should not be the sole focus of the white paper.

g. Question: Are you interested in climate and geo-engineering technologies used as a weapon?

Answer: Yes, if there is a nexus with the WMD and disruptive technology arena outlined in the BAA amendment.

Building on Previous Efforts

a. Question: Does the idea of building year on year apply to previous projects?

Answer: Yes, historical perspective can be resourceful, especially if it is linked to previous projects. The idea of building on past deliverables that are ancillary to the current task areas referenced in the current or future BAA amendments will be considered.

b. Question: For multiple overlapping submissions, are there any issues with a current performer submitting a white paper that overlaps a current projects?

Answer: There are no restrictions on a performer submitting a white paper while conducting a current research effort. However, please ensure that there are enough personnel hours for the performer to conduct both projects at the same time.

Researchers cannot cost out more than 40 hours per week per researcher (consult the BAA amendment for specific language).

White Paper Format

a. Question: I know there’s a list of previously sponsored projects on the site, but is there a sample white paper online that researchers can consult?

Answer: DTRA does not provide templates for white papers, and there is no “typical” white paper because we encourage prospective researchers to be innovative in their approaches to research. The BAA provides a list of information that is required as a guide to develop the white paper.

General Finance

a. Question: What are the average/max dollar amounts per award? How many awards?

Odds based on prior BAAs?

Answer: Each project awarded depends on the level of effort and the benefit that the Agency would receive from the proposed research. This varies between projects and includes the Thrust Area chosen, depth of research, and approach.

The number of awards, each year, varies based upon the successful white papers and proposals received. Some of these are new starts and some are continuation of existing projects. We do not set quotas or limits but instead focus on the anticipated benefits. We do not keep statistics on the odds of success.

The cost estimate for the white papers is less detailed than what is required for a proposal but should include any information pertinent to helping the evaluator assess whether the proposed costs are realistic and reasonable. For example, labor (labor category, burdened/unburdened, hourly rates, number of hours), direct costs, and indirect costs. If proposing a workshop or dialogue, please include appropriate cost information (travel, venue, honoraria, etc.) for the event.

Research Methodologies

a. Question: Page 2 of Amendment 4 says, “DTRA SI-STT is soliciting independently produced deliverables that are designed to identify and answer specific research questions using a specific research methodology that the applicant proposes. These methodologies (or approaches) can involve the conduct of events (for example, a strategic dialogue, a workshop/roundtable, or a tabletop exercise) as a mechanism to answer the specified research question. The event itself is not the sole expected output from the research project. Rather, it is the analysis of the findings from those events to inform a broader analytic research effort. The rigorous analysis will result in research products, which will inform DTRA’s and DoD’s thinking and advance applied scientific and technical knowledge in the specified topic area.” Are the words “can involve” meant to be exclusive?

Answer: The methodologies listed are examples of activities that potentially can be used to answer specific research questions and are not intended to be exclusive. We will consider a broad range of research methodologies and will evaluate based on the likelihood of producing timely, credible, relevant, and actionable insights.

b. Question: Given the interest in “cross-pollination” of projects, is there an expectation/interest for white paper submitters to coordinate in advance to identify other projects being proposed that a white paper's project may be cross-pollinated with, or is this something that is better or more realistically addressed after a project is begun?

Answer: Advance coordination is not required but the researcher may choose to do

so. We reserve the right to suggest coordination across projects after awards are made to ensure better outcomes across the portfolio.

c. Question: Does “data mining/models” include not being interested in statistical analysis?

Answer: This depends on the study concept. Data mining/models can inform the study but cannot be the only method.

d. Question: When you say that STRI is not looking for “mining existing data or summarizing insights from the extant literature base,” does that include the review of foreign language sources?

Answer: Yes. More accurately, STRI is looking for an analytical output and report, but many of our projects have included the review of foreign language and science/technical sources to inform the research.

e. Question: Is there a sample white paper online that researchers can consult?

Answer: We cannot offer white paper examples. Please consult the white paper preparation instructions in the BAA.

Classification

a. Question: You indicated that classified work is possible. Are you willing/able to conduct top secret/sensitive compartmentalized information (TS/SCI) work? One of the white papers being considered would likely require working at that level.

Answer: We do not require work at the classified level but you may do so where/when the project demands it. We realize that certain projects might be better conducted in a classified setting to achieve results. There are no restrictions on classified work, and we have sponsored projects with classified events and final reports in the past. Please keep in mind, the white paper and, if selected, proposal, must be unclassified to allow for processing/retention. Some deliverables will also need to be unclassified for processing (i.e. financial status reports).

We will not sponsor construction or development of TS/SCI capabilities or sponsor individuals for clearances – performers must be capable of performing the work at the level they proposed on day one of the project.