STRI BAA Amendment 4 for HDTRA122S0004.docx

BROAD AGENCY ANNOUNCEMENT

HDTRA1-22-S-0004

AMENDMENT 04

This amendment details the Fiscal Year (FY) 2023 priority review period for white paper submissions. It is divided into five sections: (1) Research Topic Information Session (RTIS) scheduling, (2) updated program description and thrust area information, (3) research priorities for FY 2023, (4) other administrative or process-related updates to Broad Agency Announcement (BAA) HDTRA1-22-S-0004, and (5) white paper submission dates for priority funding consideration. Please refer to the BAA for all other guidance and requirements. This Amendment only highlights changes.

1. Research Topic Information Session (RTIS) Fall 2022

a. DTRA SI-STT will hold a virtual RTIS for interested participants on Thursday, November 10, 2022 from 8:00 AM to 10:00 AM EST. The RTIS will highlight FY 2023 research priorities, submission deadlines for priority review of white papers, and other administrative updates to the BAA, including the revised thrust areas. Participants, including prospective principal investigators (PIs), will have the opportunity to ask questions about research priorities and other BAA-related contractual and administrative topics.

b. To register for the RTIS, please email: dtra.belvoir.si.mbx.hdtra1-stri-adm@mail.mil. In the registration email (Subject: STRI RTIS Registration), please include the participant’s full name, title, organization, and email address. On or before Tuesday, November 8, 2022, DTRA SI-STT will send a link for the virtual session on the Zoom4Gov platform. Questions should also be directed to the above email address. Do not contact DTRA SI-STT personnel directly with questions, inquiries, or registration requests.

2. Updated Program Description and Thrust Areas

a. The last two paragraphs of BAA Section 1.1 (Statement of Objective and Need) are updated as follows:

i. DTRA SI-STT is announcing its intent to solicit white papers and proposals for analytical research through this BAA. This strategy provides a flexible acquisition tool to solicit unclassified white papers and proposals from the external expert community and make awards for expert-driven analytic research efforts that meet present, emerging, and future needs. While analytic research can take many forms, DTRA SI-STT prioritizes the development of analytic research reports resulting from strategic dialogues and studies. DTRA SI-STT will provide guidance and direction throughout the life of awarded projects to ensure they meet DTRA’s needs.

ii. The awarded research efforts constitute applied research and development rather than assistance and advisory services. 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.

b. As of FY 2023, DTRA SI-STT is eliminating Thrust Area 3 (WMD-Relevant Tabletop Exercises) identified in Section 1.4 of the BAA. The revised thrust areas are as follows:

i. Thrust Area 1: WMD-Relevant Track 1.5 and Track 2 Strategic Dialogues

ii. Thrust Area 2: WMD-Relevant Research Studies to Characterize the Future Battlespace (5 to 10 Years from Present)

c. DTRA SI-STT considers tabletop exercises (TTXs) one of multiple possible analytic approaches or methodologies to perform studies and develop and/or refine key findings and recommendations, but not as a stand-alone deliverable. TTX elements can also be included in dialogues.

i. DTRA SI-STT will not prioritize studies or dialogues that involve a specific approach or methodology over others.

ii. The technical evaluation panel will consider all proposed approaches based on an assessment of “fit” for the research objective/problem statement.

3. FY 2023 Research Priorities

a. As described in the Section 1.4 of the BAA, this section provides the specific research priorities for FY 2023 within each of the thrust areas. Interested applicants shall review the BAA to ensure all submissions meet the general requirements listed therein. This section should be reviewed in conjunction with Section 1.4.

b. These specific priorities remain in effect until replaced by another amendment that outlines research priorities. These FY23 priorities supersede the research priorities identified in Amendment 1.

c. Specific priorities are as follows:

Thrust Area 1: WMD-Relevant Track 1.5 and Track 2 Strategic Dialogues

· Involve three or more countries that meet the following criteria:

· Possess shared security objectives and/or threat considerations.

· Can plausibly work together on defense and military-related issue sets for maintaining regional stability, enhancing deterrence, and reducing WMD threats.

· Are willing to engage with the United States primarily on defense and military-related topics, including those related to DTRA’s mission to safeguard the United States and its allies against WMD, and initiate cooperative activities aimed at improving regional stability and security.

· Focus on assessing specific WMD and related emerging threat topics that are not sufficiently addressed in other dialogues (including Track 1), and on identifying innovative cooperative responses to those threats.

· Focus on addressing the future of nuclear, chemical, and biological weapons and related technology development, as well as crisis or conflict with discussion of WMD deterrence and/or response to WMD employment (including, but not necessarily limited to, the topics listed under Thrust Area 2).

Note, DTRA will not dictate the participating countries in the solicited dialogue-based research, but key interests include the following:

· Dialogues that include both Indo-Pacific and European participants. Countries and groups of countries of possible interest include, but are not limited to Japan, Republic of Korea, United Kingdom, France, Poland, India, Taiwan, Singapore, Australia, New Zealand, and Pacific Island Countries.

· Dialogues that feature countries that have different types of relationships with the United States, including allies, traditional partners, non-traditional partners, and non-aligned countries.

DTRA SI-STT also specifically seeks a research project that features a large “capstone” multilateral dialogue in the Indo-Pacific region (~Spring 2024) to support U.S. Indo-Pacific coalition-building on priority topics as outlined above. DTRA defines a “large” dialogue as one that includes 12-15 countries that meet the criteria outlined above. This event may also international organizations as appropriate.

Associated Guidance

· DTRA SI-STT will not consider dialogues that do not include a primary, concerted focus on WMD and related topics (e.g., deterrence, escalation, enabling science and technology, counterproliferation, etc.). Dialogue events that are unlikely to include much, if any, detailed discussion of these topics in practice are not a priority at this time.

· Submissions should explain how the applicant proposes to overcome obstacles related to participant interest in the topic and/or availability of expertise if they propose involving experts from countries that do not traditionally consider WMD and related threats and issues.

· DTRA SI-STT will not consider dialogues that solely involve U.S. participants, or any submissions that do not identify specific countries and justify their inclusion in the engagements. (Unilateral U.S. meetings would align under Thrust Area 2, strategic studies, with a roundtable, workshop, or conference as the methodology.)

· Dialogues that address technology transfers and/or collaborations between the United States and allies and partnerships should detail the mutually beneficial impacts of any defense acquisitions on maintaining regional security and stability and/or countering weapons of mass destruction. Specificity, where possible, is highly encouraged. DTRA SI-STT is not interested in dialogues that primarily address economic, commerce, and trade-related topics between nations or corporate entities.

· Please refer to Section 1.4 for further information on what constitutes a dialogue for the purposes of STRI research. Expert roundtables or working groups that involve non-U.S. participants may not always meet the STRI definition of a dialogue. For example, projects that include roundtables or workshops intended to elicit expert feedback on analyses the project team is developing may be better suited for Thrust Area 2.

Thrust Area 2: WMD-Relevant Research Studies to Characterize the Future Battlespace (5 to 10 Years from Present)

· Provide insight into China’s or Russia’s emerging strategic capabilities – including nuclear, chemical, biological, dissemination/employment systems, or emerging disruptive technology in the WMD arena – and consider potential implications and solutions for the United States, in cooperation with allies and partners, to maintain strategic and operational advantage in key regions.

· Characterize future battlefield environments and provide insights on:

· Characteristics of the battlespace environment 5-10 years in the future, including non-traditional qualities, attributes, and domains that the joint warfighter may face.

· Implications of limited nuclear use in a conflict and the considerations for conflict termination.

· Implications for the joint warfighter of advances in biotechnology, including the increasing convergence of biology with adjacent fields such as chemistry, neuroscience, artificial intelligence (AI), and nanotechnology.

· Implications of advancements in commercially available technologies (e.g., unmanned aerial systems, automation capabilities, data/scenario-based software, homing systems, etc.).

· Planning considerations for joint operations in a post-nuclear detonation or post-biochemical employment environment.

· Possibilities, implications, and effects of adversarial weaponization of emerging/existing chemical and biological technologies with the intent of inducing physiological as opposed to pathogenic effect in targeted individuals or specific cohorts within the Joint Force.

· Illuminate adversary intentions and strategies, including:

· Possible intentions behind China’s nuclear modernization efforts, how such intentions and China’s growing capabilities influence Beijing’s perspectives on deterrence, escalation, and crisis/conflict, and the implications.

· Enabling science or technology developments that are or may shape China’s modernization of nuclear, chemical, or biological capabilities and WMD research, development, and use.

· Implications of a large-scale pre-emptive strike against the United States or one of its allies or partners during crisis/conflict, and deterrence considerations.

· Implications of China’s growing global footprint and influence (e.g., through the Belt and Road Initiative or other activities, investments, and operations) on its ability to access or control materials of concern or WMD-related assets.

· Ways in which Russia’s Ukraine experience affect Moscow’s and/or other countries’ views and strategies related to nuclear/ WMD capabilities, deterrence, escalation, and use, and power projection.

· Considerations for deterring and countering state adversary leveraging of proxies or non-state actors for WMD coercion or use.

· Contours of future WMD employment and potential implications for the United States’, allies’, and partners’ ability to deter pursuit of WMD capabilities, prevent development/use, or prevail against an enemy after use.

· Iran’s potential nuclear and WMD intentions, posture, doctrine, and strategies.

· Potential U.S., allied, and partner approaches, roles, and courses of action in response to a nuclear-armed Iran.

· Address future challenges, considerations, implications, and provide recommendations related to risk reduction, arms control, and counter-proliferation. Priority topics include:

· Technological applications[footnoteRef:1] that might emerge in the next 5-10 years that could pose proliferation concerns. [1: Excluding current advanced technologies such as artificial intelligence, quantum computing, additive manufacturing, and advanced biotechnologies.]

· Risk reduction and confidence-building measures that could help ensure effective detection, reduction, or elimination of nuclear, radiological, and biological weapons.

· Potential factors and tradeoffs related to transitioning arms control methods from intrusive on-site inspection to remote inspection and monitoring.

· Potential adversarial development of armed satellites (nuclear, cyber, directed energy, or other means that could be directed against space-based or ground-based assets).

· Novel biological threats not included on known lists (such as the Select Agent List or Australia Group Pathogens).

· DTRA SI-STT will consider studies that involve the conduct of SME interviews but is less likely to fund studies that rise or fall on the availability of a specific person or set of people, including in Government. This is because external factors (e.g., schedules, real-world events, etc.) can impact access. Applicants proposing studies that involve a substantial interview component should detail alternative approaches as a risk mitigation measure.

· As necessary, white papers should explain how the researcher will navigate challenges associated with the availability of, and access to, credible information to conduct the research and offer a risk mitigation plan as appropriate.

4. Administrative and Procedural Updates to the BAA

a. Section IV (Award Information), subsection 2 (Number of Awards) remains current with the following addition:

i. DTRA SI-STT defines “multiple, distinct projects” as those projects that do not have a common research objective or cannot reasonably be expected to inform the completion of another. Principal Investigators interested in pursuing a research effort that includes multiple activities that require similar or overlapping analysis should consider proposing them in a single white paper and, if requested, proposal.

ii. DTRA reserves the right to request that related white papers involving the same PI be combined into a single proposal for funding consideration.

b. Section IV (Award Information), subsection 4 (Period of Performance) is revised as follows:

i. The base period of performance (PoP) for all projects shall not exceed twelve (12) months.

ii. In order to ensure year-by-year advancement of the research agenda and maximize efficiencies, DTRA SI-STT will consider up to two contract option periods of no more than twelve (12) months each if proposed by the applicant. The white paper and, if requested, proposal shall clearly state what will be accomplished in the proposed option periods, why they are needed, and the additional value it will provide to the Government if approved. Proposals shall clearly detail the costs associated with each.

iii. DTRA reserves the right to award contracts without option periods.

iv. Applicants are not required to propose option periods. Projects that include proposed option periods and those that do not will be evaluated equally.

v. All required deliverables, outlined in Section I.6 of the BAA, shall be submitted at the end of each period (e.g., base or option period).

vi. These PoPs are maximums. DTRA SI-STT welcomes projects that are of shorter durations so long as they can be realistically completed in the proposed timeframe. DTRA SI-STT prioritizes the completion of timely research, but all products must also be thorough and credible.

c. Section VII (Evaluation and Selection Process), subsection 4 (Period of Performance) remains current with the following addition to, and substitution in, sub-section 1 and 2.

i. Personnel “acting” as the Chief of SI-ST or SI-STT may perform the Selection Authority and Selection Board duties.

ii. The Strategic Trends Research Manager (previously known as Program Manager in BAA HDTRA1-22-S-0004) or personnel designated as “acting” in that capacity will serve as one half of the Selection Board. “Acting” personnel are limited to certified STRI Project Managers and Contracting Officer’s Representatives (PM/CORs) that support STRI.

5. FY 2023 Priority Review Period

a. For priority FY 2023 funding consideration, please submit white papers by the following dates:

· Thrust Area 1 (Dialogues) – Tuesday, December 6, 2022

· Thrust Area 2 (Studies) – Tuesday, December 13, 2022

b. DTRA accepts submissions on a rolling basis, but institutes priority review periods as a planning and work management mechanism. To that end, submissions received after 11:59 PM on the specified dates will be reviewed on an as received basis, but not until those submitted by the specified dates have been reviewed.

c. DTRA SI-STT will not consider submissions that cannot begin until FY 2024 (October 1, 2023) due to researcher availability or other reasons. For priority FY 2024 funding consideration, please monitor Sam.Gov for forthcoming amendments outlining research priorities for FY 2024.

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