HOW TO APPLY and FAQ-SVIP OTS-07242020.pdf

How to Apply and Frequently Asked Questions (FAQs)

Silicon Valley Innovation Program (SVIP) How to Apply and FAQs (Jan 29, 2020) Page 1

Table of Contents About the DHS Silicon Valley Innovation Program How SVIP Works How To Apply FAQ: Eligibility/Compliance FAQ: Should I Apply?

FAQ: Application Specific FAQ: Application Reviews and Pitches FAQ: Intellectual Property (IP) FAQ: General

About the DHS Silicon Valley Innovation Program DHS established the Silicon Valley Innovation Program (SVIP) to keep pace with the innovation community and tackle the hardest problems faced by DHS’s operational missions. The SVIP is expanding DHS’s reach to find new technologies that strengthen national security with the goal of reshaping how government, entrepreneurs, and industry work together to find cutting-edge solutions.

DHS is reaching out to Silicon Valley and all of the innovation communities across the nation to harness the commercial R&D ecosystem for government applications, co-invest in ideas, and accelerate transition-to-market.

Program Summary:

• Open to all innovation ecosystems, U.S. and international

• Four Project Phases, each funded up to $200K, with potential for additional Phase 5 if required by Government agency

• Phases 1-4 lasting between 3-6 months each

• If a Phase 5 is required by DHS, the cost of this phase and length of time for the OTA will be scaled to fit the requirement

• Phase 1: Minimum Viable Product that demonstrates the proof of concept

• Phase 2: Demo fully built-out prototype

• Phase 3: Testing the prototype in an experimental environment

• Phase 4: Test in an operational environment

• Phase 5: Additional operational testing, if required by DHS

Benefits:

• Government serves as an early adopter

• Government as a reference customer

• No dilution of ownership

• Pilots and operator feedback

• Independent testing in Phase 3

• Buys down investor risk

• Helps make the nation safer

Silicon Valley Innovation Program (SVIP) How to Apply and FAQs (Jan 29, 2020) Page 2

How SVIP Works

• Read the Other Transaction Solicitation (OTS) HSHQDC-16-R-B0005 to determine if you are eligible to apply to our program.

• Determine if your technology addresses any of our open technical solicitations (referred to as

“technical calls”). Please visit the SVIP website or https://beta.sam.gov/opp for current open technical calls.

o If we do not have any current open technical calls or your technology doesn’t address any of our current open technical calls, please check back at a later date as we post new technical calls several times a year. You can also request to be added to our mailing list to receive new technical call notifications by emailing DHS-Silicon-Valley@hq.dhs.gov.

• If your technology addresses an open technical call, and you meet the program eligibility requirements, please proceed to the “How to Apply” section.

How To Apply

• Complete all sections of the open technical call corresponding application (please ensure you use the most recent application and read the instructions on the application).

• Applications will be accepted for the duration of the call, and the SVIP team will evaluate applications on a quarterly basis.

• Applications must be submitted prior to a quarterly deadline to be evaluated in the respective quarterly review cycle.

• Once the application is completed and saved as a PDF, email it to the DHS SVIP inbox at dhs-silicon-valley@hq.dhs.gov

• You will receive an email from the SVIP team once we receive your application.

• We anticipate completing application reviews approximately 4-8 weeks following an application deadline. This timeline is approximate and could vary depending on the number of applications received in a given quarter.

• Once the review is complete, you will be notified whether or not you’ve been selected to pitch.

• If you are NOT selected to pitch:

a. You will receive a notification letter stating that you have not been selected to pitch along with feedback from the reviewers.

b. You may resubmit your application if the call is still open.

• If you are selected to pitch:

a. You will be contacted to schedule your 15-minute oral pitch. You will need to provide us with your presentation (up to 10 slides) at least 48 hours before your scheduled pitch.

b. Following your 15-minute pitch, there will be a session for Q&A from the evaluation team which is comprised of federal employee technical experts and operational end users. After the Q&A session, the call will conclude and DHS will deliberate.

c. You will receive a verbal notification with the outcome of your pitch within 24 hours.

• If you are selected for award:

a. You MUST complete your registration/set up your account in www.SAM.gov immediately (this process can take several weeks and may hold up your award).

**Please note that a virtual mailbox service, P.O. Box or co-working space cannot be used as a primary physical address for the SAM.gov registration.

https://www.fbo.gov/index?s=opportunity&mode=form&tab=core&id=3bfc7c675c9346640a05c1982c24f592&_cview=0 https://www.dhs.gov/science-and-technology/svip https://beta.sam.gov/opp mailto:DHS-Silicon-Valley@hq.dhs.gov mailto:dhs-silicon-valley@hq.dhs.gov

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b. You will receive a written selection notification from DHS within 1 to 2 weeks of your verbal selection notification. Even though you are given a verbal notification, we must complete written selection documentation.

c. After receiving your written notification, you will be contacted by the DHS Other Transaction Agreement (OTA) Officer.

d. It is anticipated the OTA process may take up to 45 days after written notification.

• If you are not selected for award:

a. After receiving your verbal notification that you have not been selected, we anticipate that you will receive a written notification within 1 to 2 weeks.

b. You may resubmit your application if the call is still open.

FAQ: Eligibility/Compliance

Question: I have a virtual mailing address and I need to register in SAM.gov, what can I do?

Answer: Unfortunately, registration in SAM.gov requires a physical address that isn’t a virtual mailing address or P.O. Box. We advise applicants to contact Defense Logistics Agency (DLA) at dlacontactcenter@dla.mil or (877) 352-2255 to determine the acceptable types of physical addresses. We advise applicants to do this prior to application submission.

Question: Are OTAs strictly limited to companies who have never done business with the Government?

Answer: In order to be eligible for SVIP, an applicant must be a nontraditional Government contractor. This means “…an entity that is not currently performing and has not performed, for at least the one-year period preceding the selection of sources” by the Government “…any contract or subcontract for the Department of Homeland Security that is subject to full coverage under the cost accounting standards pursuant to” 41 U.S.C.

1502. In addition, the applicant must fall within the additional eligibility requirements stated below.

• When applying for Phase 1, applicants must have fewer than 200 employees or full-time equivalents (FTE)s. Calculations for FTEs must take into account and include affiliated businesses, such as parent companies and subsidiaries, that are either in or outside of the

USA.

• When applying for a Phase 1, applicants must not have been a party to any Federal

Acquisition Regulation (FAR) based contracts (to include Small Business Innovation Research (SBIR)) and/or Federally awarded grants or cooperative agreements with a combined total of more than $1,000,000 in the past 12 months from date of application, whether as a prime contractor or subcontractor;

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• When applying to Technical Calls under this OTS, applicants must have a Dun & Bradstreet (DUNS) number, which they can register for at www.DNB.com

Question: What are examples of types of FAR-based Contracts?

Answer: Some examples of types of Federal Acquisition Regulation (FAR)-based contracts are: Firm Fixed Price (FFP), Time and Materials (T&M), and Cost Plus Fixed Fee (CPFF).

Question: What Federal Acquisition Regulation (FAR) requirements will need to be met by the companies? Will there be a subset of either FAR or Defense Federal Acquisition Regulation Supplement (DFARS) clauses that will be required as part of the acquisition contract?

Answer: We are issuing Other Transaction Agreements (OTAs) for prototypes, which are not FAR-based awards, therefore no FAR or DFARS clauses will be included.

Question: Are foreign owned firms eligible for the SVIP program?

Answer: Yes. However, awards to non-U.S. entities may take longer.

Question: What happens if an application is deemed non-compliant?

Answer: Per the guidance in the OTS HSHQDC-16-R-B0005, if the application is deemed non-compliant, your application will be rejected and you will receive an email notification listing the compliance issue. You may fix the issue and resubmit if the call is still open. Please see below for examples of non-compliant applications:

• Total phase value proposed is greater than the “funding level assigned by phase” identified in the respective solicitation/call;

• Total number of pages submitted does not comply with the page count limitations identified in the respective solicitation/call;

• Using an incorrect or outdated application; or

• The application is incomplete. – Please ensure you complete every section even if you state “Not-applicable” (N/A).

FAQ: Should I Apply?

Question: Can you review my marketing material/product information and let me know if I should apply to the SVIP program?

Answer: We cannot advise you on whether or not to apply to our program, as that is a business decision. Our advice is to read the call and other documentation associated with the calls to make your decision. If you have questions that aren’t answered in call documentation, please send your questions via email to us at dhs-silicon-valley@hq.dhs.gov

Question: Can I discuss my idea with you before I complete my application?

http://www.dnb.com/ https://www.fbo.gov/index?s=opportunity&mode=form&tab=core&id=3bfc7c675c9346640a05c1982c24f592&_cview=0

Silicon Valley Innovation Program (SVIP) How to Apply and FAQs (Jan 29, 2020) Page 5

Answer: We are prohibited from discussing potential content of your application. Our advice is to read the call and other documentation associated with the calls to make your decision. If you have questions that aren’t answered in the call documentation, please send your questions via email to us at dhs-silicon-valley@hq.dhs.gov

Question: Since we are startups, will DHS be open to funding other Government contracting compliance costs required for us to be a viable Government contractor?

Answer: DHS will not pay for compliance costs.

Question: Do you still have available funds for awards?

Answer: We award OTAs throughout the period of the open call. We may close the calls as we meet our funding threshold. Therefore, we advise you not to wait to the end of the call to submit your application.

FAQ: Application Specific

Question: Where do I find the application template?

Answer: The applications templates are posted with the technical call. Please see the “How To Apply” section in this document.

Question: There are no open technical calls but I would still like to submit an application for my technology, what should I do?

Answer: If there are no open technical calls, we cannot accept applications. You will need to wait for another open call that fits your technology. Please check the SVIP website for new open technical calls. You may request to be added to the SVIP mailing list by emailing DHS- Silicon-Valley@hq.dhs.gov where you will be notified of new technical calls when they are posted.

Question: Do I have to complete the application form or can my submission be in another format?

Answer: The application form is required by the OTS. You must complete the application form and email it to DHS-Silicon-Valley@hq.dhs.gov to be considered for funding. An application form is published with each call, so please use the most recent version of the application specific to that call. Your application must be sent as a PDF, and not a Word or other document, or it will not be accepted.

Question: Can I change the application format to suit my needs?

https://www.dhs.gov/science-and-technology/svip mailto:DHS-Silicon-Valley@hq.dhs.gov mailto:DHS-Silicon-Valley@hq.dhs.gov

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Answer: No. You may delete the instructions, but do not delete any of and/or rearrange the numbered sections. If you don’t have any input for a specific section, please either specify “N/A” or “none”, DO NOT delete the section or your application will be deemed non-compliant. Please note that we do encourage you to provide input in all sections.

Question: Can I send other documents with my application?

Answer: Only if the technical call specifies that you should send additional documentation.

If the technical call does not specify that you should send additional documentation, please refrain from doing so, as this additional information will not be reviewed.

Question: Can I provide links to information in my application instead of providing the content?

Answer: No, you must provide the detailed information in the application. The reviewers will not consider content that is not provided in the application.

Question: Pertaining to the milestones identified, is DHS open to applications that skip ahead in phases, moving directly to the pilot/demo?

Answer: No. Currently the program is structured to begin at Phase 1. However, depending on maturity of technology, in some instances, demos/pilots may occur in Phase 1.

Question: When completing the milestone and cost charts in the application, can I request funds up front rather than at milestone/deliverable completion?

Answer: The only funds that can be requested at time of award is for upfront equipment/materials/hardware/software costs. All other costs must be invoiced at the time of milestone/deliverable completion.

Question: How did DHS come up with the $800K ceiling, and is the ceiling adjustable?

Answer: DHS chooses award parameters based on market research. Phases 1-4 cannot exceed $200,000 each. If a Phase 5 award is required, it will be scaled based on customer need both in length of time and cost.

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FAQ: Application Reviews and Pitches

Question: Will I get verbal feedback after the application review?

Answer: Per the Other Transaction Solicitation, all application review feedback will be provided in written form.

Question: Can I talk to someone about the feedback I received from my application review?

Answer: All application review feedback will be provided in writing. If you have questions concerning the feedback, please send an email to the DHS-Silicon-Valley@hq.dhs.gov mailbox.

Question: My application was not selected for a pitch, what are my options?

Answer: If the technical call is still open, you may use the feedback provided after the review to update and resubmit your application for review. If a technical call has closed, we can no longer accept updated applications.

Question: Where are the Oral Pitches conducted?

Answer: Currently DHS conducts these through VTCs or other online means.

Question: I was not selected for award after my pitch, will DHS reconsider?

Answer: If the technical call is still open, you may use the feedback provided after the pitch to update and resubmit your application for review. If a technical call has closed, we can no longer accept updated applications. Please note that submitting an updated application doesn’t guarantee that you will be selected for a pitch. The application will be reviewed and if the reviewers select your application for a pitch, you will be notified.

FAQ: Intellectual Property (IP)

Question: What is the IP covered by the Other Transaction Agreement (OTA)?

Answer: Intellectual Property terms, like many aspects of the Other Transaction Agreement, are negotiable. Offerors may propose IP terms as part of the application process.

Question: Is there a difference between computer software Data and other types of Data?

Answer: Yes. Computer software is a computer program, source code, source and object code

Silicon Valley Innovation Program (SVIP) How to Apply and FAQs (Jan 29, 2020) Page 8 listing, design detail, algorithm, process, flow chart, formula and related material that would enable the software to be reproduced, recreated, or recompiled.

“Computer program”, as used in the OTA, is a set of instructions, rules, or routines in a form capable of causing a computer to perform a specific operation or series of operations.

Technical Data, on the other hand, is scientific and technical recorder information, regardless of form or method. It includes computer databases and computer software documentation.

It does not include computer software or data incidental to contract administration (i.e., financial or management information).

Question: Will the Government get rights in my computer software?

Answer: Yes, the Government will get license rights, but you, the OTA Award Recipient, retain or obtain ownership rights of the computer software. The scope of the Government’s license depends on some factors discussed below:

If the computer software is noncommercial computer software and was developed exclusively with private funds, the Government will get “restricted rights” in it.

This means the Government will be able to use, test and evaluate, modify, reproduce, release, perform, and display the noncommercial software within the Government during the period of the OTA.

If the computer software is noncommercial computer software developed with Government funds under the OTA, the Government gets the right to use, modify, duplicate or disclose the computer software for United States Government purposes for up to 5 years. During the 5 years, the Government can share the computer software outside the Government to authorized persons to use the computer software for Government purposes as long as an executed non-disclosure agreement is used. This is known as “Government Purpose Rights.”

If the computer software is commercial computer software, the Government gets the same rights under which the commercial computer software is sold, offered for sale, leased, or licensed to the general public.

Question: What are “deliverables” and why is it important to identify them in the OTA?

Answer: The right the Government gets in Data depends on the category in which the data belongs and the “deliverables” required by the OTA.

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The “deliverables” are the information, items, and materials that are specified in the OTA for delivery to the Government. The Government is not interested in getting delivery of computer source code. The OTA Award Recipient does not have to deliver any information, item, or material not specified in the OTA.

The OTA has a provision that allows the Government to, at any time during performance of the OTA, or within 5 years after acceptance of all items to be delivered, order any Data first produced or specifically used in performance of the OTA.

Question: What is the Government’s right in other Data, other than computer software?

Answer: That will be technical data. The Government gets a license, the scope of which depends on whether the technical data was developed exclusively with private funds or with Government funds.

If the technical data is developed exclusively with private funds, the Government will get “limited rights” in it. This means the Government can use, test and evaluate, modify, reproduce, release, perform, display, or disclose the technical data in whole or in part within the Government during the period of the OTA. The Government cannot, without the written permission of the OTA Award Recipient, release or disclose the technical data outside the Government, use it for manufacture, or authorize it to be used by another party.

If the technical data is developed with Government funds, the Government gets “Government Purpose Rights” as defined above.

Question: Do I get the copyright for the works created under the OTA?

Answer: Yes. You, the OTA Award Recipient, have the right to assert copyright in any copyrightable works created under the OTA. This means you get ownership of the copyright.

You are required to affix a notice on the copyrightable data.

The Government gets a license in the copyrighted works created under the OTA, which grants the Government a non-exclusive, non-transferable, royalty free, fully paid-up license to reproduce, prepare derivative works, distribute copies to the public, perform publicly, and display publicly the copyrighted work for Government purposes. The Government also gets the right to authorize others to use the copyrighted works on its behalf. However, the Government cannot commercialize the copyright in which the OTA Award Recipient has asserted copyright.

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Question: Will the Government protect my Trade Secret?

Answer: Yes, the Government will protect the OTA Award Recipient’s “sensitive information” disclosed or used in connection with a specific project effort. “Sensitive Information” means information and materials, which are designated as business confidential, proprietary, trade secret, sensitive, classified, or “for official use only,” that are appropriately marked by the stamp on the legend prior to or at the same time any such information is disclosed.

Pursuant to the OTA, the Government and the OTA Award Recipient agree that Sensitive Information shall only be used in connection with a specified project effort, or as drafted in the Statement of Work or Deliverables, or as agreed to in writing by the Parties.

Question: Does the Government get rights in my inventions?

Answer: Yes, but only if it is a “Subject Invention.” A Subject Invention is an invention that is first conceived or reduced to practice in performance of the OTA. The Government gets a non-exclusive, non-transferrable, irrevocable, paid-up license to practice or have practice on its behalf a Subject Invention throughout the world.

You, the OTA Award Recipient, have the right to retain the entire right, title and interest throughout the Subject Inventions.

You determine what rights to give the Government in “Background Invention,” which are the inventions made by you, your employee, or sub-contractor of any tier, prior to performance of the OTA or outside the scope of work performed under the OTA.

Question: If I elect to take title of a Subject Invention, can the Government take it away from me?

Doesn’t the Government have “March-In” rights?

Answer: If you, the OTA Award Recipient, elect not to take title to a Subject Invention, the Government may request an assignment of ownership from you to allow the Government to file for a patent application. In such a case, the OTA Award Recipient will retain a non-exclusive, royalty-free license throughout the work in the Subject Invention to which the Government obtains title.

The above is not considered a “march in” right because the OTA Award

Recipient voluntarily relinquishes its right to title.

The Government does have the right to “march in” in exigent circumstances related to health and safety and require the OTA Award Recipient to obtain and grant a non-exclusive license in a Subject Invention to a responsible applicant, but the

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Government has never exercised this right to date.

Question: Are there any provisions in IP clauses that would lead to different outcomes for SVIP-funded awards, based on Technology Readiness Levels (TRL) of a given technology?

Answer: Not necessarily because the IP provisions in the OTA are flexible. The higher the TRL of a given technology would generally mean that there are intellectual property encumbrances on that technology and DHS has to determine whether more restrictive IP rights can still allow it to meet its intended program objectives. It is important to note that the final IP rights, of any TRLs already subject to existing IP rights/provisions, will result in more restrictive IP clauses in the OTA.

Question: Are there exceptions or deviations to the IP rights addressed earlier? If so, are they DHS or company-driven?

Answer: Exceptions to IP rights can arise from a combination of factors from both DHS and startups. On SVIP applications, startups are asked to identify existing IP rights and include an illustration/diagram of what IP they consider to be theirs vs. what will belong to DHS. Applicants are advised to be very thorough when completing the IP section of the application.

Question: How much proprietary information are startups supposed to disclose when applying (prior to any agreements)? How is this information protected?

Answer: Prior to the signing of an OTA, DHS will honor a company’s desire to protect marked sensitive/proprietary data and allow them to modify and resubmit any applications to appropriately mark the document for protection. Federal employees are bound by Federal law to protect sensitive and proprietary information and government contractors (prime and sub-contractors) have signed non-disclosure agreements (NDAs) in place with DHS.

FAQ: General

Question: What do I do if my idea doesn’t fit within the current topic area(s)?

Answer: If your idea does not fit the current OTS call(s), we have other vehicles, such as the SBIR Program and technical division specific Broad Agency Announcements (BAAs). These are more traditional Government contract calls that require proposals but not oral presentations and will likely result in FAR-based contracts for non-academic organizations.

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Small Business Innovation Research (SBIR) BAA Portal:

https://sbir2.st.dhs.gov/portal/SBIR/

DHS Science and Technology BAA Portal:

https://baa2.st.dhs.gov/portal/BAA/

Question: Can I submit an application to a technical call that has closed?

Answer: DHS cannot accept applications or application resubmissions after a call has closed.

Please note that all technical calls have a closing date and time and DHS strictly abides by this date and time. We strongly advise you to not wait until the deadline to submit your application.

Question: I submitted my application prior to the deadline but DHS did not receive it in time, what do I do?

Answer: Please forward the original email that is time stamped with a date and time prior to the call close date/time to DHS-Silicon-Valley@hq.dhs.gov.

Question: Will others in DHS have access to my information? Do they have Non-Disclosure Agreements (NDAs)?

Answer: All personnel that are handling proprietary information are either Federal employees covered by the Trade Secrets Act or have an active non-disclosure agreement with the U.S. Government as part of their employment agreement/contract.

Question: The new DHS initiative to partner with Silicon Valley companies appears to have similarities to the Government's long-running Small Business Innovation Research (SBIR) program, which aims to drive innovation in the small business sector through periodic solicitations and a 3-phased funding/development approach. Besides potential company requirements (i.e., DHS targeting early stage startups vs SBIR open to any small business), can you elaborate on how this new DHS initiative differs from the SBIR program?

Answer: A primary intent of the OTS is to engage non-traditional Government contractors, including start-up companies. DHS is working through a different structure that will result in non-FAR based awards. Timing and phasing is also different with no anticipated funding gaps between the phases.

https://sbir2.st.dhs.gov/portal/SBIR/ https://baa2.st.dhs.gov/portal/BAA/

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Question: What if the company misses a phase deadline?

Answer: DHS will review the circumstances that caused the phase deadline to be missed. Based on the reasons for the missed deadline, DHS may seek a bilateral modification to the OTA to redefine the rest of the phase, and potentially future phases, or it may terminate the OTA.

Please note this will be done on a case-by-case basis and a modification is not guaranteed.

Question: Who is responsible for the resource management, risk management, and overall program/project oversight for each SVIP-funded award, and do we account for that in our application cost?

Answer: Each applicant will be responsible for managing all programmatic requirements of their funded projects in order to meet their milestones as defined in the OTA agreement.

Question: Are security clearances required for the project, and if so, will DHS sponsor clearances for members of the startup?

Answer: All of the SVIP endeavors are unclassified, but if it becomes clear the project would benefit from the company having access to DHS’ compiled project data, DHS (together with the startup) will consider the issuance of security clearances – this will be determined on a case-by-case basis.