HQ003421R0162 AMENDMENT 01 CONFORMED COPY.pdf

HQ003421R0162

SEE ADDENDUM

(No Collect Calls)

HQ003421R0162 10-May-2021

b. TELEPHONE NUMBER

571-289-6643

8. OFFER DUE DATE/LOCAL TIME

04:30 PM 10 Jun 2021

5. SOLICITATION NUMBER 6. SOLICITATION ISSUE DATE

AUTHORIZED FOR LOCAL REPRODUCTION

PREVIOUS EDITION IS NOT USABLE

STANDARD FORM 1449 (REV. 2/2012)

Prescribed by GSA – FAR (48 CFR) 53.212

(TYPE OR PRINT)

(SIGNATURE OF CONTRACTING OFFICER)

ADDENDA ARE

26. TOTAL AWARD AMOUNT (For Gov t. Use Only )

23.

CODE 10. THIS ACQUISITION IS

SUCH ADDRESS IN OFFER

17b. CHECK IF REMITTANCE IS DIFFERENT AND PUT

BELOW IS CHECKED

TELEPHONE NO.

HQ00349. ISSUED BY

18b. SUBMIT INVOICES TO ADDRESS SHOWN IN BLOCK 18a. UNLESS BLOCK

7. FOR SOLICITATION

INFORMATION CALL:

a. NAME

FREDERICK C. RAY

2. CONTRACT NO. 3. AWARD/EFFECTIVE DATE 4. ORDER NUMBER

(TYPE OR PRINT)

30b. NAME AND TITLE OF SIGNER 30c. DATE SIGNED 31b. NAME OF CONTRACTING OFFICER

30a. SIGNATURE OF OFFEROR/CONTRACTOR 31a.UNITED STATES OF AMERICA

0 27a. SOLICITATION INCORPORATES BY REFERENCE FAR 52.212-1. 52.212-4. FAR 52.212-3. 52.212-5 ARE ATTACHED.

25. ACCOUNTING AND APPROPRIATION DATA

1. REQUISITION NUMBER

20.

ADDITIONAL SHEETS SUBJECT TO THE TERMS AND CONDITIONS SPECIFIED.

OFFEROR TO COMPLETE BLOCKS 12, 17, 23, 24, AND 30

SOLICITATION/CONTRACT/ORDER FOR COMMERCIAL ITEMS

FR043020210930

ARE NOT ATTACHED

27b. CONTRACT/PURCHASE ORDER INCORPORATES BY REFERENCE FAR 52.212-4. FAR 52.212-5 IS ATTACHED. ADDENDA ARE ARE NOT ATTACHED

(BLOCK 5), INCLUDING ANY ADDITIONS OR CHANGES WHICH ARE

SET FORTH HEREIN, IS ACCEPTED AS TO ITEMS:

. YOUR OFFER ON SOLICITATION

28. CONTRACTOR IS REQUIRED TO SIGN THIS DOCUMENT AND RETURN

% FOR:SET ASIDE:UNRESTRICTED ORX

SMALL BUSINESS

17a.CONTRACTOR/ CODE FACILITY

OFFEROR CODE

WHS - ACQUISITION DIRECTORATE

4800 MARK CENTER DRIVE, SUITE 09F09

ALEXANDRIA VA 22350-0002

18a. PAYMENT WILL BE MADE BY CODE

RATED ORDER UNDER

DPAS (15 CFR 700)

13a. THIS CONTRACT IS A

13b. RATING

CODE15. DELIVER TO CODE 16. ADMINISTERED BY

SEE SCHEDULE

12. DISCOUNT TERMS11. DELIVERY FOR FOB DESTINA-

TION UNLESS BLOCK IS

MARKED

SEE SCHEDULE

14. METHOD OF SOLICITATION

RFQ IFB RFPX

FAX:

TEL: SERVICE-DISABLED

VETERAN-OWNED

SMALL BUSINESS

8(A)

HUBZONE SMALL

BUSINESS

SIZE STANDARD:

$30,000,000

NAICS:

611310

OFFER DATED

29. AWARD OF CONTRACT: REF.

DELIVER ALL ITEMS SET FORTH OR OTHERWISE IDENTIFIED ABOVE AND ON ANY

COPIES TO ISSUING OFFICE. CONTRACTOR AGREES TO FURNISH AND

EMAIL:

TEL:

31c. DATE SIGNED

SEE SCHEDULE

SCHEDULE OF SUPPLIES/ SERVICESITEM NO. QUANTITY UNIT UNIT PRICE AMOUNT

24.22.21.19.

WOMEN-OWNED SMALL BUSINESS (WOSB)

ELIGIBLE UNDER THE WOMEN-OWNED

SMALL BUSINESS PROGRAM

EDWOSB

32g. E-MAIL OF AUTHORIZED GOVERNMENT REPRESENTATIVE

SOLICITATION/CONTRACT/ORDER FOR COMMERCIAL ITEMS

(CONTINUED)

PAGE 2 OF44

ACCEPTED, AND CONFORMS TO THE CONTRACT, EXCEPT AS NOTED: ______________________________________________________

32a. QUANTITY IN COLUMN 21 HAS BEEN

RECEIVED INSPECTED

32b. SIGNATURE OF AUTHORIZED GOVERNMENT

REPRESENTATIVE

32c. DATE 32d. PRINTED NAME AND TITLE OF AUTHORIZED GOVERNMENT

REPRESENTATIVE

32e. MAILING ADDRESS OF AUTHORIZED GOVERNMENT REPRESENTATIVE 32f . TELEPHONE NUMBER OF AUTHORIZED GOVERNMENT REPRESENTATIVE

37. CHECK NUMBER

FINALPARTIALCOMPLETE

36. PAYMENT35. AMOUNT VERIFIED

CORRECT FOR

34. VOUCHER NUMBER

FINAL

33. SHIP NUMBER

PARTIAL

38. S/R ACCOUNT NUMBER 39. S/R VOUCHER NUMBER 40. PAID BY

41a. I CERTIFY THIS ACCOUNT IS CORRECT AND PROPER FOR PAYMENT

41b. SIGNATURE AND TITLE OF CERTIFYING OFFICER 41c. DATE

42a. RECEIVED BY (Print)

42b. RECEIVED AT (Location)

42c. DATE REC'D (YY/MM/DD) 42d. TOTAL CONTAINERS

STANDARD FORM 1449 (REV. 2/2012) BACK

Prescribed by GSA – FAR (48 CFR) 53.212

AUTHORIZED FOR LOCAL REPRODUCTION

PREVIOUS EDITION IS NOT USABLE

SEE SCHEDULE

20.

SCHEDULE OF SUPPLIES/ SERVICES

21.

QUANTITY UNIT

22. 23.

UNIT PRICE

24.

AMOUNT

19.

ITEM NO.

Section SF 30 - BLOCK 14 CONTINUATION PAGE

QUESTIONS AND ANSWERS

RFQ HQ003421R0162 - TECHNOLOGY TRANSFER

QUESTIONS AND ANSWERS

1. Can the contract be awarded to a private company/organization in conjunction with a University that results in a public-private partnership on Defense Innovation or can a University work with a private company/organization as a subcontractor if the contract can only be awarded to a University?

ANSWER: The prime performer must be a university with a business or law school. Any further arrangements they make with any other entities are solely at their discretion.

a. Does the Prime Contractor need to be a University?

ANSWER: The prime performer must be a university with a business or law school. Any further arrangements they make with any other entities are solely at their discretion.

b. Does the Offeror have to be one SAM or can it be two (i.e., one for a University and one for a private company/organization)?

ANSWER: The University must be registered in Systems for Award Management (SAM.gov).

2. Information Available for Review by Contractor

a. Will the proposals and research results from sponsored research programs from the private sector be available for review (e.g., DoD funded SBIR/STTR research)?

ANSWER: Anything in a public domain is available for use. DoD will not provide copies of other Universities proposals.

b. How (and how well) has the DoD categorized its dual-use technology (e.g., markets, products, technology) and will that information be available for review?

ANSWER: There is no existing or curated data set for this study. There is no standard format or requirement to collect this information.

c. Will access to prior dual-use commercialization efforts (both successes and failures) be available for review to facilitate the effectiveness of existing policies?

ANSWER: Anything in a public domain is available for use.

3. Dual-Use Technology Commercialization Facilitators

a. Has the DoD considered using blockchain structures to manage, track, and trace IP rights and IP licensing agreements?

ANSWER: OSD is open to all recommendations provided they address the parameters defined in the posted RFP.

b. Has the DoD previously leveraged private investment to demonstrate efficacy of dual-use technology to facilitate its licensing (e.g., develop a prototype)? If not, is this something that the DoD would be open to considering?

ANSWER: OSD is open to all recommendations provided they address the parameters defined in the posted RFP.

4. Section 4.1.2.3 – If we are developing a “research-as-a-service” innovation platform for private companies seeking innovation that the DoD could leverage as a research service provider, would that preclude us from working on this portion of the deliverable?

ANSWER: No; this would not preclude a university from working on this portion of the deliverable.

5. Section 5 – How is the Performance Threshold determined for each Performance Objective (e.g., what are the criteria and how is a score for each criteria determined)?

ANSWER: The contractor is responsible to provide a Quality Control Plan (QCP) to emphasize the importance of quality during the proposal evaluation phase of the source selection.

a. Are we going to work on a provided dataset or curate our own dataset?

ANSWER: There is no existing or curated data set for this study. Performers will need to work with POCs for each laboratory identified for inclusion in the study to request desired materials. There is no standard format or requirement to collect this information.

b. If it’s a provided dataset, how much raw data do we have and how much labeled data? Will there be a leaderboard (Kaggle-like) for the performance competition?

ANSWER: There is no existing or curated data set for this study. Performers will need to work with POCs for each laboratory identified for inclusion in the study to request desired materials. There is no standard format or requirement to collect this information.

6. Section 7.2 – Will the QASP be shared to help Contractor design the QCP to help ensure that the QCP will meet the Government’s performance standards and metrics?

ANSWER: Per 7.1 of the Performance Work Statement the Contractor is responsible for implementing and maintaining a Quality Control Plan (QCP) that identifies and results in the correction of potential and actual problems. The contractor is responsible to provide a Quality Control Plan (QCP) to emphasize the importance of quality during the proposal evaluation phase of the source selection.

7. Section 13 – How is the Acceptable Quality Level determined for each Deliverable (e.g., what are the criteria and how is a score for each criteria determined)?

ANSWER: The contractor is responsible to provide a Quality Control Plan (QCP) to emphasize the importance of quality during the proposal evaluation phase of the source selection.

8. What is meant by "95% accuracy” in the PWS performance threshold? With what metrics? How will the government measure that? Will we know in advance of contract award so that we can properly prepare the proposal?

ANSWER: The Government does not expect 100% accuracy; measurement will be made in accordance with the

QASP.

9. The RFP and the Congressional language call for proposals by a "university business school or law school".

Could the business and law schools of a single university together submit a proposal? Could business and/or law schools from more than one university submit a joint proposal?

ANSWER: Yes. Joint proposals are permissible as long as the prime performer is a university with a business or law school. The prime will need to be registered in System for Award Management (SAM.gov). Any further arrangements they make with any other entities are solely at their discretion.

10. On the first two pages of the RFP, under items #15 and #20 on p. 1 and under item #19 on p. 2, the RFP states, “SEE SCHEDULE.” Please clarify the schedule(s) to which these items refer, and please provide them.

ANSWER: Reference the RFP, 52.212-1 Instruction to Offerors and 52.212-2 Evaluation.

11. “Attachment 2: Key personnel qualification (Chart)” does not correspond well to the standard academic professor’s curriculum vitae. In addition to listing our degrees and employment, we also mainly list articles and books published, working papers, outside committees served on (e.g., Committees of the National Academy of Sciences, Engineering and Medicine), etc. The publications are the main list of our achievements. So, can we provide a list of our publications, which convey our subject matter expertise, rather than list capabilities, duties and experiences as currently requested? This same attachment ends at the bottom of the second page, but it ends with the statement, “…used to satisfy or exceed the key personnel requirements:” The use of a colon at the end suggests that more text should follow, but the attachment ends there. So, is there missing material?

ANSWER: Yes, information was truncated which will be corrected in an amendment to the RFP. The information after the colon should read: Please provide a copy of the certificate or list the certification, the issuing institution, the year obtained, and the license number, if applicable. Copies of certificates shall be made available. Please provide list of experiences, publications, etc. that ensures the SME has the breadth and depth to carry out the proposed work in a timely fashion and successfully.

12. Regarding Volume II, “Key personnel qualifications” in Table 1 on p. 20, it states the page limit as 3 pages per Key Personnel. Is that 3 pages per person, or 3 pages in total for all personnel?

ANSWER: Three (3) pages maximum per person.

13. Table 1, Volume III, “Past performance”, which refers to Attachment 3, “Past performance questionnaire,” does this cover only DOD supported projects? Again, academics do little work for contract, which is the focus of the document. Past performance would typically be reflected in our publication record. Can we include that? In this same document, there is a section entitled, “To be completed by evaluating organization representative.” We have no “project managers” in universities. We have department heads and deans. So, do you want one of them to complete this section?

ANSWER: Reference RFP Section 52.212-2 Evaluation section 2.3.

14. If we wish to administer a brief survey to directors of the sixteen labs identified in the RFP, can the OSD require that the directors respond? If not, can the OSD at least encourage the directors to respond?

ANSWER: No.

15. Can we obtain the documents describing each of the labs’ policies regarding the commercialization of dual-use technologies?

ANSWER: Anything in a public domain is available for use.

16. Can we obtain all the R&D contracts issued by each of the 16 labs over a specified period of time?

ANSWER: Anything in a public domain is available for use.

17. For all contracts and grants awarded on the basis of a competitive submission process, can we obtain the submissions, also over a specified period of time, that did not result in the award of a contract or grant?

ANSWER: No, the unsuccessful proposals contain proprietary information and are not releasable.

18. Can we obtain all the technology licenses issued by each of the 16 labs over a specified period of time?

ANSWER: Anything in a public domain is available for use.

19. Of the sixteen labs listed in section 3.1, pp. 3-4, can you please indicate which are government owned and government operated versus government owned and contractor operated?

ANSWER: All laboratories identified for inclusion in this study are government owned and government operated.

20. Can you please define what is meant by “research as-a-service” as stated in the table in section 5.0.

ANSWER: Research as-a-service means research that is acquired as a service.

21. In the RFP description of the personnel requirements, you indicate that there may be more than one subject matter expert on the project. Consistent with the fact that this project is intended to span both law and economics (or business), we have two subject matter academic experts—an economist and a legal scholar. Can you please confirm that that is permitted?

ANSWER: Yes. The RFP provides minimum personnel requirements for the Subject Matter Expert and the Senior Researcher.

22. In addition to subject matter experts and a senior researcher, may we also engage a part-time adviser to the project who is also a highly qualified academic?

ANSWER: The RFP provides minimum personnel requirements.

23. Will there be any restrictions on our ability to publish our analyses as long as such analyses do not disclose any information that is either proprietary to a company or compromising of national security?

ANSWER: Publications may be permitted provided it does not disclose proprietary or controlled information. All potential publications will be subject to the public affairs review process within OSD(R&E).

24. Will we hold the copyright to whatever we write in the course of executing this project?

ANSWER: Reference the Performance Work Statement (PWS) Section 2.0(2) sentence two (2) and sentence three (3). This form of T2 is governed by contracting and intellectual property management policies and regulations (specifically DoD Directive 5535.03 and DoD Instruction 5535.8). The DoD typically maintains government purpose rights (GPR); however, the private sector entities are encouraged and incentivized to protect and commercialize innovation developed with Federal funding.

25. Can you please send us DOD Directive 5535.03 and DoD Instruction 5535.8 as referenced in section 2.0 (1) of the RFP?

ANSWER: The information is available in a public domain.

26. Will the OUSD(R&E) consider a university team that is partnered with or a subcontractor for either (A) an existing technology defense contractor, (B) a veteran-founded LLC, or (C) a veteran-founded nonprofit?

ANSWER: Yes. The prime performer must be a university with a business or law school and registered in System for Award Management (SAM.gov).

27. Why did the OUSD(R&E) select this set of 20 DoD research Labs for this study?

ANSWER: Selected as directed.

28. Would examining the impact of processes like PPBE/JCIDS or the role of other entities such as DoD Program Offices be within scope for this study?

ANSWER: OSD is open to all recommendations provided they address the parameters defined in the posted RFP.

29. What other institutions have expressed interest in the proposal?

ANSWER: Only the successful contractor is made known publicly after the award is made.

30. To what degree does OUSD(R&E) want to understand the intersection of contracting & IP legal theory with economics from an academic perspective vs. a practitioner perspective? Put differently, is legal advice from a law professor more or less valuable than advice from a lawyer?

ANSWER: The RFP provides minimum personnel requirements for the Subject Matter Expert and the Senior Researcher.

31. As legal scholarship is the prime motivator for top law scholars as to how they spend their time, is there an opportunity for law professors or students involved in the project to publish academic research related to (however tangentially) or derived from work on this project? Or are these expressly prohibited from doing so?

ANSWER: Publications may be permitted provided it does not disclose proprietary or controlled information. All potential publications will be subject to the public affairs review process within OSD(R&E).

32. Would there be interest in examining the economic impact of various innovation frameworks on encouraging T2 and commercialization?

ANSWER: OSD is open to all recommendations provided they address the parameters defined in the posted RFP.

33. Can research assistant students work pro bono for academic professional experience credits (specific law school graduation requirements)?

ANSWER: This decision is at the University’s discretion.

34. Does OUSD(R&E) have an ideal as to how it wants to create value from innovation or an ideal as to ownership as innovation value can be spurred by IP protections or by making technology free to all?

ANSWER: OSD is open to all recommendations provided they address the parameters defined in the posted RFP.

35. Does OUSD(R&E) have any policy guidance on how it views the inherent tension between commercialization (IP use limitations to restrict supply to generate profit) vs. follow-on innovations (which may be further spurred by open access to IP without restriction)?

ANSWER: No.

36. Can we submit SME’s from the Stanford Business and Law Schools’ in a proposal generated from our non-profit or a commercial partner and not from a Stanford/university entity? If no we may be able to push through Stanford Office of Sponsored Research but currently they estimate it will not have time to give this the review our university requires.

ANSWER: Yes. The prime performer must be a university with a business or law school and will need to be registered in System for Award Management (SAM.gov). Any further arrangements they make with any other entities are solely at their discretion.

Stanford has a lengthy review process for sponsored research submissions. I’ve contacted colleagues in the business and law school here describing the expertise we hope to enlist in executing this assessment. It is unlikely that Stanford will be able to administratively approve our proposal by the deadline. The solicitation asks to partner with a university business or law school. I am part of an interdisciplinary center that can reach out across the university to build the team we have in mind to conduct this assessment.

ANSWER: The timeline has already been established. The RFP will not be extended at this time.

37. Can key personnel include Too Be Named (TBN) faculty hires and/or TBN post-doctoral students?

ANSWER: No; the RFP provides minimum personnel requirements.

38. Can the experience and expertise (and estimated number of hours) for the Subject Matter Expert and the Senior Researcher (and other Labor Categories) be shared across more than one individual?

ANSWER: Yes as long as the proposed team covers all Subject Matter Experts to execute their research approach successfully and in a timely fashion.

39. Is it possible to extend the deadline by 30 days?

ANSWER: No; the RFP will not be extended at this time.

40. Can loaded hourly rates include fringe benefits as well as indirect costs using the university’s federally negotiated indirect rate?

ANSWER: This will be a Firm Fixed Price contract.

41. PAST PERFORMANCE QUESTIONNAIRE, should we include relevant past projects performed by the University, or only relevant past projects performed by identified Key Personnel?

ANSWER: Reference RFP 52.212-2. Past performance is for an entity, not a person. The only way the persons past performance is relevant is if they worked for the institution at the time (in which case, it is the institution).

42. Before we apply, is it possible to have a phone or Zoom conversation with you?

ANSWER: No.

43. Could you please tell me if the Combined Synopsis/Solicitation posted as solicitation number HQ003421R0162 will be a follow-on requirement to any work performed currently or in the past, or will this be a new requirement?

ANSWER: This is not a follow-on requirement.

44. If possible, can you please provide the most recent contract or task order number?

ANSWER: No; this is a new requirement.

Section SF 1449 - CONTINUATION SHEET

PERFORMANCE WORK STATEMENT

PERFORMANCE WORK STATEMENT (PWS)

Assessing Transfer of Department of Defense-Originated Dual-Use Technology

USD(R&E)/Laboratories and Personnel Office

1.0 INTRODUCTION

House Report 116-333 – National Defense Authorization Act (NDAA) for Fiscal Year 2020, page 1170, requires the Under Secretary of Defense for Research and Engineering USD(R&E) to provide an independent review and assessment of the Defense Advanced Research Projects Agency (DARPA) and defense laboratories’ contracting and intellectual property management policies and their effects on commercialization of and further innovation in dual-use technology. The assessment will generate policy recommendations to be provided to the USD(R&E)/Laboratories and Personnel Office (LPO) that may assist in accelerating commercialization and innovation in dual-use technology. Dual-use technology is defined as technology that has use by both the DoD and the private sector.

2.0 BACKGROUND

There are two primary aspects to Technology Transfer (T2):

(1) The focus is on the innovation that is funded by the DoD, which is developed internally to the DoD by civilian employees, and is governed by DoD Directive 5535.03 and DoD Instruction 5535.8. This internally funded and developed innovation is to be protected and made available to the private sector for commercialization purposes.

(2) The focus is on the innovation that is funded by the DoD and developed externally to the DoD by private sector entities (e.g. industry and academia). This form of T2 is governed by contracting and intellectual property management policies and regulations (specifically DoD Directive 5535.03 and DoD Instruction 5535.8). The DoD typically maintains government purpose rights (GPR); however, the private sector entities are encouraged and incentivized to protect and commercialize innovation developed with Federal funding.

3.0 SCOPE

The USD(R&E) seeks a university business school or law schools with resident economics and intellectual property expertise to conduct an independent assessment of the Defense Advanced Research Projects Agency’s and defense laboratories’ contracting and intellectual property management policies and their effect on the commercialization of and innovation in dual-use technology.

3.1 The specific subset of defense laboratories to be evaluated will include:

Army Navy Air Force Fourth Estate

DEVCOM Army Research Laboratory 2800 Powder Mill Rd, Adelphi, MD 20783

Naval Research Laboratory

(NRL)

4555 Overlook Ave SW, Washington, DC 20375

Air Force Research Laboratory Materials & Manufacturing (AFRL-RX) Building 653 Wright-Patterson

AFB, OH 45433-7734

Defense Microelectronics Activity (DMEA) 4234 54th St, McClellan Park, CA 95652

Walter Reed Army Institute of Research (WRAIR) 503 Robert Grant Ave, Silver Spring, MD 20910

Naval Information Warfare Center- Pacific (NIWC-Pac) 53560 Hull Street San Diego, CA 92152-5001

AFRL- Information Directorate (AFRL-RI) 26 Electronic Pkwy, Rome, NY 13441

Uniformed Services University 4301 Jones Bridge Rd, Bethesda, MD 20814

DEVCOM Ground Vehicle Systems Center (GVSC) 6305 E Eleven Mile Rd, Warren, MI 48092

Naval Undersea Warfare Center (NUWC) Newport 1176 Howell St, Newport, RI 02841

711th Human Performance Wing 2610 Seventh Street Wright Patterson

AFB, OH 45433-7901

Defense Advanced Research Projects Agency (DARPA) 675 North Randolph Street Arlington, VA 22203-2114

DEVCOM Data & Analysis Center (DAC) 6896 Mauchly St, Aberdeen Proving Ground, MD 21005

Naval Air Warfare Center- Aircraft Division (NAWC-

AD)

22347 Cedar Point Road, Building 2185. Patuxent River, MD 20670

AFRL- Space Vehicles Directorate (AFRL-RV) 3550 Aberdeen Avenue SE Bldg 427 Kirtland AFB, NM 87117-

US Special Operations Command (SOCOM)

7701 Tampa Point Blvd.

MacDill AFB, FL 33621-

4.0 PERFORMANCE REQUIREMENTS

4.1 TASKS: The Contractor shall conduct an independent assessment of a specified subset of defense laboratories’ contracting and intellectual property management policies and their effects on the commercialization of and innovation in dual-use technology.

4.1.1 The Contractor’s assessment shall evaluate the following:

Whether current DoD policies and practices concerning intellectual property and government-purpose rights and licenses, in conjunction with current intellectual property law and its practice, limit commercialization and innovation in dual use-technology; and

Alternative policy options to accelerate commercialization and innovation in dual-use technology.

Pros and cons of each option.

4.1.2 The Contractor shall provide policy options and evaluations to include at a minimum:

4.1.2.1 The DoD’s negotiation and retention of intellectual property that is currently retained by contractors through contract vehicles;

4.1.2.2 The DoD’s negotiation and retention of intellectual property when using prize competitions (as authorized by10 USC 2374a and 15 USC 3719). Prize competitions are a tool for incentivizing the achievement of scientific and technological innovation by offering monetary and non-monetary benefits (e.g., recognition) to competition participants;

4.1.2.3 The DoD’s potential adoption and use of “research as-a-service”-type contracts as utilized by the private sector, including prospective challenges or needs for negotiation and retention of intellectual property developed through such activity;

4.1.2.4 The DoD’s negotiation and retention of intellectual property when using government-funded grants to fund science and technology activities;

4.1.2.5 Actions that might be taken through DoD contract language contracts to discourage selective commercial hoarding, such as the incorporation of price ceilings for commercial products and licenses and commercial sale mandates;

4.1.2.6 Expansions or modifications to GPR (such as described in DFARs Part 227.7103-5(b)); and

4.1.2.7 Programs and policy to make DoD intellectual property, including that originating from research and development conducted in Department laboratories, available to the private sector.

5.0 PERFORMANCE WORK SUMMARY

Performance Objective Reference Paragraphs

Surveillance Method

Frequency Performance Threshold

Complete independent assessment of a specified subset of defense laboratories’ contracting and intellectual property management policies and their effects on the commercialization of and innovation in dual-use technology

4.1 Inspection by LPO 8 months from

contract award

Contractor is required to perform with 95% accuracy

Evaluate whether DoD policies and practices limit commercialization and innovation in dual use technology

4.1.1 and 4.1.1.1

Inspection by LPO 8 months from contract award

Contractor is required to perform with 95% accuracy

Evaluate alternative policy options to accelerate commercialization and innovation in dual-use technology

4.1.1 and 4.1.1.2

Inspection by LPO 8 months from contract award

Contractor is required to perform with 95% accuracy

Evaluate the pros and cons of each option

4.1.1 and 4.1.1.3

Inspection by LPO 8 months from contract award

Contractor is required to perform within 95% accuracy

Provide policy options to be evaluating at a minimum the DoD’s negotiation and retention of intellectual property that is currently retained by contractors through contract vehicles

4.1.2 and 4.1.2.1

Inspection by LPO 8 months from contract award

Contractor is required to perform with 95% accuracy

Provide policy options to be evaluating at a minimum the DoD’s negotiation and retention of intellectual property when using prize-based competitions

4.1.2 and 4.1.2.2

Inspection by LPO 8 months from contract award

Contractor is required to perform with 95% accuracy

6.0 TRAVEL

The Contractor is not required or authorized to travel in support of this requirement.

7.0 QUALITY ASSURANCE

7.1 The Contractor is responsible for implementing and maintaining a Quality Control Plan

(QCP) that identifies and results in the correction of potential and actual problems. The Government shall rely upon the Contractor to implement a Contractor designed QCP that ensures that service will be performed in accordance with this contract, commercial standards, and applicable laws. The QCP shall be implemented on the first day of contract performance. The QCP shall encompass all positions that the Contractor is supplying to the Government during the Period of Performance.

7.2 Notwithstanding the Contractor’s QCP, the Government will establish a Quality Assurance

Surveillance Program (QASP) to ensure that the services rendered by the Contractor are acceptable and meet the Government’s minimum requirements. The Government’s QASP

(as authorized by10 USC 2374a and 15

USC 3719)

Provide policy options to be evaluating at a minimum the DoD’s potential adoption and use of “research as-a-service”-type contracts as utilized by the private sector, including prospective challenges or needs for negotiation and retention of intellectual property through such activity

4.1.2 and 4.1.2.3

Inspection by LPO 8 months from contract award

Contractor is required to perform with 95% accuracy

Provide policy options to be evaluating at a minimum the DoD’s negotiation and retention of intellectual property when using government-funded grants to fund science and technology activities

4.1.2 and 4.1.2.4

Inspection by LPO 8 months from contract award

Contractor is required to perform with 95% accuracy

Provide policy options to be evaluating at a minimum the actions that might be taken through DoD contract language contracts to discourage selective commercial hoarding, such as the incorporation of price ceilings for commercial products and licenses and commercial sale mandates

4.1.2 and 4.1.2.5

Inspection by LPO 8 months from contract award

Contractor is required to perform with 95% accuracy

Provide policy options to be evaluating at a minimum the expansions or modifications to government-purpose rights (such as described in DFAR Part 227.7103-5(b))

4.1.2 and 4.1.2.6

Inspection by LPO 8 months from contract award

Contractor is required to perform with 95% accuracy

Provide policy options to be evaluating at a minimum the programs and policy to make DoD intellectual property, including that originating from research and development conducted in Department laboratories, available to the private sector.

4.1.2 and 4.1.2.7

Inspection by LPO 8 months from contract award

Contractor is required to perform with 95% accuracy will address what deliverables are recommended for surveillance and the method and surveillance periodicity to ensure the quality of deliverables as outlined in this PWS. The QASP addresses what will be reviewed and shall outline actions to be taken by the Government, should review(s) and inspections identify areas requiring remedial action. There are performance standards and metrics that address productivity and completion times that are of special interest to the Government.

7.3 Periodic Progress meetings: The Contractor shall participate in periodic progress meetings.

The COR will apprise the Contractor of how the Government views the Contractor’s performance and the Contractor shall apprise the Government of problems, if any, being experienced. Appropriate action shall be taken to resolve outstanding issues. These meetings shall be at no additional cost to the Government and may be in the form of a teleconference or virtual environment and on-site meetings mutually agreed by both parties.

8.0 INCIDENTAL GOVERNMENT FURNISHED ITEMS & SERVICES

8.1 Information: The Government will provide information, materials, and forms unique to the

Government for supporting the task. The COR will be the point of contact for identification of any required information to be supplied by the Government. The information may include: Standard Operating Procedures, DoD Manual 5200.01 “DoD Information Security Program: Protection of Classified Information”, DoD Manual 5200.2-R “Personnel Security Program”, and DoD 5220.22-M, “National Industrial Security Program Operating Manual”

(NISPOM).

9.0 CONTRACTOR QUALIFICATIONS

9.1 The Contractor shall provide courteous and professional service.

9.2 Contractor shall provide sufficient numbers of personnel with appropriate skills to effectively and efficiently perform required tasks and meet performance and quality standards. The following Key Personnel are to be provided:

9.2.1 Contractor shall provide at least one (1) Subject Matter Expert (SME) with an advanced degree and at least fifteen (15) years of relevant experience in the following areas: business, or economics, or law, or technology transfer policy and intellectual property protection; or a scientific or engineering discipline.

9.2.2 Contractor shall provide at least one (1) Senior Researcher with an advanced degree and at least ten (10) years of relevant experience in the following areas:

business, or economics, or law, or technology transfer policy and intellectual property protection; or a scientific or engineering discipline.

9.2.3 At least one of the above (9.2.1 or 9.2.2) key personnel shall have relevant public policy experience.

9.3 Contractor shall complete the Key Personnel Chart in the solicitation for each Key Personnel listed in 9.2.1 and 9.2.2.

10.0 CONTRACTOR PERSONNEL

10.1 Compliance with Law. In accordance with Public Law 105-270, Section 5 (2) (A), Contractors shall not perform inherently governmental functions. Section 5 (2)(A) of this Public Law defines the term “inherently governmental function” as “a function that is so intimately related to the public interest as to require performance by Federal Government employees.

10.2 Contractor personnel performing services shall be required to comply with Government and installation rules and regulations applicable to conduct, safety, security, and procedures governing site entry and exit.

10.3 When performing the tasks associated with this PWS, Contractor personnel shall clearly identify themselves as a Contractor and have a readily distinguishable identification badge and not DoD employees.

10.4 Contractor personnel cannot manage, supervise, or task DoD civilian employees or military personnel while performing services under their contract.

10.5 Contractor personnel shall not establish an employee-employer relationship with the Office of the Under Secretary of Defense (Research & Engineering). Contractor personnel shall not provide personal services to the Office of the Under Secretary of Defense (Research & Engineering) under this contract.

10.6 Contractor personnel cannot make any commitment of U.S. Government funds or resources unless specifically authorized.

10.7 Normal government business workday consists of the hours between 0730-1600 Eastern

Time (ET), Monday through Friday, except for federal holidays or when the Government facility is closed due to local or national emergencies, administrative closings, or similar Government directed facility closings.

10.8 NON-DISCLOSURE AGREEMENT (NDA):

The Contractor may be required to access Confidential, Proprietary and/or Sensitive Information held by the Government related to the tasks to be performed under this contract.

In consideration of the Government granting the Contractor access to this information, a NDA shall be required between the Contractor and the Government. This form shall be signed by all contract personnel working under this contract and submitted upon contract award. If contractors are replaced during the performance of this contract, then new contract employees shall sign the NDA Form upon beginning work.

10.9 Smoking/Alcohol Policy: The Contractor shall comply with local command smoking policies and comply with all applicable Federal statutes, laws, and regulations for alcohol use in the workplace. Copies of policies will be provided to the Contractor by the local command at performance start date.

10.10 Drug Policy: The Contractor shall comply with all applicable Federal statutes, laws, and regulations to implement a Drug Free Workplace Program (DFWP).

10.11 The Contractor shall maintain appropriate dress standards for an office setting.

11.0 FEDERAL HOLIDAYS TO INCLUDE PRESIDENTIAL EXECUTIVE ORDERS:

New Year’s Day 1st of January Dr. Martin Luther King’s Birthday 3rd Monday in January President’s Day 3rd Monday in February Memorial Day 5th Monday in May Independence Day 4th of July Labor Day 1st Monday in September Columbus Day 2nd Monday in October Veteran’s Day 11th of November Thanksgiving Day 4th Thursday in November Christmas Day 25th of December

12.0 CONTRACT OVERSIGHT

12.1 The Contractor shall provide a single point of contact for all contract supervision and performance related matters. The Contractor’s Point of Contact shall ensure that all requirements are performed and that deliverables are submitted.

12.2 The Contractor shall schedule a Kick-Off meeting within seven (7) business days of contract award. The kick-off meeting shall include a Project Management Plan (PMP). The kick-off meeting could be accomplished by teleconference or virtual environment. The Government will approve the kick-off meeting format.

12.3 The Contractor shall deliver a PMP that details the technical approach to meet all deliverables. The Contractor shall deliver the final PMP within fifteen (15) business days of the contract award. The plan must incorporate the technical approach chosen to fulfill the requirements and shall be submitted for review and approval by the Government. The PMP plan shall describe, in detail, the Contractor’s technical approach for each aspect of the tasks outlined herein. It shall include discussion of risk management, quality, technical management approach, quality assurance, communications, staffing, and schedule.

12.4 The Contractor shall deliver monthly status and financial reporting that shall be delivered by the 15th of each month. A template will be provided.

13.0 DELIVERABLES

Required Deliverable Due by date Acceptable

Quality Levels

Methods of Surveillance

Kickoff meeting between performer and government

Conducted within 7 business days of award

95% Inspection by LPO

Project Management Plan (PMP) detailing technical approach to meet all deliverables.

Deliver the final PMP within fifteen (15) business days of the contract award.

95% Inspection by LPO

Monthly status reports and financial reporting

Delivered by 15th of each month

95% Periodic inspections

Interviews/surveys/data collection with labs specified for evaluation

100% delivered by end of Period of Performance

100% File Review

Draft interim progress briefing 3 months from contract award

50% Inspection by LPO

Final report on assessment findings 8 months from contract award

100% Inspection by LPO

Briefing presentation summarizing the final report

8 months from contract award

100% Inspection by LPO

Briefing presentation to others Up to 12 months from contract award

100% Inspection by LPO

14.0 PLACE of PERFORMANCE

Contractor site location (work will not be performed on government site)

Acronyms

DARPA Defense Advanced Research Projects Agency DoD Department of Defense GPR Government Purpose Rights IT Information Technology LPO USD(R&E)/Laboratories and Personnel Office NIPR Non-Secure Internet Protocol Router network OMB Office of Management and Budget OUSD(C) Office of the Under Secretary of Defense Comptroller PMP Program Management Plan POM Program Objective Memorandum

QASP Quality Assurance Surveillance Program QCP Quality Control Plan RDT&E Research, Development, Testing and Evaluation SIPR Secret Internet Protocol Router network T2 Technology Transfer UI User Interface USC United States Code

Definitions

CONTRACTOR. A supplier or vendor awarded a contract to provide specific supplies or service to the Government. The term used in this contract refers to the prime.

CONTRACTING OFFICER (CO). A person with authority to enter into, administer, and or terminate contracts, and make related determinations and findings on behalf of the Government.

Note: The only individual who can legally bind the Government.

CONTRACTING OFFICER'S REPRESENTATIVE (COR). An employee of the U.S.

Government appointed by the CO to administer the contract. Such appointment shall be in writing and shall state the scope of authority and limitations. This individual has authority to provide technical direction to the Contractor as long as that direction is within the scope of the contract, does not constitute a change, and has no funding implications. This individual does NOT have authority to change the terms and conditions of the contract.

DELIVERABLE. Anything that can be physically delivered, but may include non-manufactured things such as meeting minutes or reports.

DUAL-USE TECHNOLOGY. Science and technology and other activities that develop technologies that have both DoD and non-DoD applications

PERFORMANCE REQUIREMENTS SUMMARY. Includes the tasks, service or requirement being measured, mapping back to the performance work statement, including the specific paragraph in the PWS. a performance indicator or quality standard

PRIZE COMPETITIONS. A tool for incentivizing the achievement of scientific and technological innovation by offering monetary and non-monetary benefits (e.g., recognition) to competition participants.

QUALITY ASSURANCE. The Government procedures to verify that services being performed by the Contractor are performed according to acceptable standards.

QUALITY ASSURANCE SURVEILLANCE PLAN (QASP). An organized written document specifying the surveillance methodology to be used for surveillance of contractor performance.

QUALITY CONTROL. All necessary measures taken by the Contractor to assure that the quality of an end product or service shall meet contract requirements.

SUBCONTRACTOR. One that enters into a contract with a prime contractor. The Government does not have privity of contract with the subcontractor.

WORK WEEK. Monday through Friday, unless specified otherwise.

Appendix 1: Template for Monthly Status and Financial Report Report to be in Word format.

Cover Page: The cover page should include the following:

Office to Which the Report is Submitted (Laboratories and Personnel Office) Contract Number Project Title Project Director/Principal Investigator (PD/PI) Name, Title and Contact Information (e-mail address and phone number) Name of Submitting Official, Title, and Contact Information (e-mail address and phone number), if other than PD/PI Submission Date DUNS, EIN, and Cage Code Recipient Organization (Name and Address) Recipient Identifying Number or Account Number, if any Project Period (Start Date, End Date) Reporting Period End Date Signature of Submitting Official (signature shall be submitted in accordance with agency- specific instructions)

Activity Summary: (Awardee can use relevant pictures (including screen shots), graphs, tables, and graphics in this section. Also include information for sub-awardees if applicable.)

Accomplishments A comparison of actual accomplishments with the goals and objectives established for the period, the findings of the investigator, or both. If applicable, include disaggregated participant data as well as any pertinent demographic data (i.e. racial/ethnic minority, girls/women, military students, disabled students).

Technical Progress Progress towards meeting goals for the effort and/or reasons why established goals were not met. State if there were any challenges with stated efforts, and how they were addressed/resolved.

Financial Status Budget analysis with an explanation of cost over/underruns. Include hours expended by labor category and overall funding summary for labor for the period reported.

Collaborations/Interactions Collaborations, interactions or other interview with government entities (individuals/organizations) in support of this effort.

Notable Upcoming Events State events/milestones for next month with estimated dates. Include requests for DoD engagement in upcoming events as well.

PRICE BREAKDOWN SHEET

The Offeror shall complete Attachment 1 the excel Price Breakdown Sheet (highlighted area only) and include it in Volume IV.

PERIOD OF PERFORMANCE

Period of Performance will start the date of award.

ITEM NO SUPPLIES/SERVICES QUANTITY UNIT UNIT PRICE AMOUNT

0001 12 Months Independent Assessment

FFP

Provide services IAW the Performance Work Statement (PWS).

FOB: Destination

PURCHASE REQUEST NUMBER: FR043020210930

R406

NET AMT

INSPECTION AND ACCEPTANCE TERMS

Supplies/services will be inspected/accepted at:

CLIN INSPECT AT INSPECT BY ACCEPT AT ACCEPT BY

0001 Destination Government Destination Government

DELIVERY INFORMATION

CLIN DELIVERY DATE QUANTITY SHIP TO ADDRESS DODAAC /

CAGE

0001 N/A N/A N/A N/A

CLAUSES INCORPORATED BY REFERENCE

52.202-1 Definitions JUN 2020

52.203-11 Certification And Disclosure Regarding Payments To Influence Certain Federal Transactions

SEP 2007

52.203-12 Limitation On Payments To Influence Certain Federal Transactions

JUN 2020

52.204-13 System for Award Management Maintenance OCT 2018 52.204-21 Basic Safeguarding of Covered Contractor Information

Systems

JUN 2016

52.204-23 Prohibition on Contracting for Hardware, Software, and Services Developed or Provided by Kaspersky Lab and Other Covered Entities.

JUL 2018

52.204-24 Representation Regarding Certain Telecommunications and Video Surveillance Services or Equipment.

OCT 2020

52.204-25 Prohibition on Contracting for Certain Telecommunications and Video Surveillance Services or Equipment.

AUG 2020

52.204-26 Covered Telecommunications Equipment or Services-- Representation.

OCT 2020

52.209-10 Prohibition on Contracting With Inverted Domestic Corporations

NOV 2015

52.212-3 Offeror Representations and Certifications--Commercial Items

FEB 2021

52.212-4 Contract Terms and Conditions--Commercial Items OCT 2018 52.212-5 Contract Terms and Conditions Required to Implement

Statutes or Executive Orders--Commercial Items

JAN 2021

52.223-18 Encouraging Contractor Policies To Ban Text Messaging While Driving

JUN 2020

52.232-29 Terms for Financing of Purchases of Commercial Items FEB 2002 52.232-39 Unenforceability of Unauthorized Obligations JUN 2013 52.232-40 Providing Accelerated Payments to Small Business

Subcontractors

DEC 2013

52.233-3 Protest After Award AUG 1996 52.233-4 Applicable Law for Breach of Contract Claim OCT 2004 52.252-5 Authorized Deviations In Provisions NOV 2020 52.252-6 Authorized Deviations In Clauses NOV 2020 252.203-7000 Requirements Relating to Compensation of Former DoD

Officials

SEP 2011

252.203-7005 Representation Relating to Compensation of Former DoD Officials

NOV 2011

252.204-7008 Compliance With Safeguarding Covered Defense Information Controls

OCT 2016

252.204-7009 Limitations on the Use or Disclosure of Third-Party Contractor Reported Cyber Incident Information

OCT 2016

252.204-7012 Safeguarding Covered Defense Information and Cyber Incident Reporting

DEC 2019

252.204-7015 Notice of Authorized Disclosure of Information for Litigation Support

MAY 2016

252.204-7016 Covered Defense Telecommunications Equipment or Services -- Representation

DEC 2019

252.204-7017 Prohibition on the Acquisition of Covered Defense Telecommunications Equipment or Services -- Representation

DEC 2019

252.204-7018 Prohibition on the Acquisition of Covered Defense Telecommunications Equipment or Services

JAN 2021

252.204-7020 NIST SP 800-171 DoD Assessment Requirements NOV 2020 252.227-7015 Technical Data--Commercial Items FEB 2014 252.227-7037 Validation of Restrictive Markings on Technical Data SEP 2016 252.232-7003 Electronic Submission of Payment Requests and Receiving

Reports

DEC 2018

252.232-7006 Wide Area WorkFlow Payment Instructions DEC 2018 252.232-7010 Levies on Contract Payments DEC 2006 252.243-7002 Requests for Equitable Adjustment DEC 2012 252.244-7000 Subcontracts for Commercial Items JAN 2021

CLAUSES INCORPORATED BY FULL TEXT

52.204-7 SYSTEM FOR AWARD MANAGEMENT (OCT 2018)

(a) Definitions. As used in this provision--

Electronic Funds Transfer (EFT) indicator means a four-character suffix to the unique entity identifier. The suffix is assigned at the discretion of the commercial, nonprofit, or Government entity to establish additional System for Award Management records for identifying alternative EFT accounts (see subpart 32.11) for the same entity.

Registered in the System for Award Management (SAM) means that--

(1) The Offeror has entered all mandatory information, including the unique entity identifier and the EFT indicator, if applicable, the Commercial and Government Entity (CAGE) code, as well as data required by the Federal Funding Accountability and Transparency Act of 2006 (see subpart 4.14) into SAM;

(2) The offeror has completed the Core, Assertions, and Representations and Certifications, and Points of Contact sections of the registration in SAM;

(3) The Government has validated all mandatory data fields, to include validation of the Taxpayer Identification Number (TIN) with the Internal Revenue Service (IRS). The offeror will be required to provide consent for TIN validation to the Government as a part of the SAM registration process; and

(4) The Government has marked the record ``Active''.

Unique entity identifier means a number or other identifier used to…