HSBP1014C00005__J_and_A.pdf

JUSTIFICATION AND APPROVAL (J&A)

FOR OTHER THAN FULL AND OPEN COMPETITION

UPDATE FOR A MODIFICATION TO INCREASE THE CONTRACT VALUE

JOHNS HOPKINS UNIVERSITY

APPLIED PHYSICS LABORATORY (JHU/APL)

1. Agency and Contracting Activity.

The Department of Homeland Security (DHS), Customs and Border Protection (CBP), Office of Administration (OA), Procurement Directorate, Aviation, Maritime, and Border Technologies Contracting Division, Office of Technology Innovation and Acquisition (OTIA) Branch proposes to execute a modification to increase the contract value from approximately $46.5M, by approximately $5.6M, to approximately $52.1M to add additional in-scope work to contract HSBP1014C00004 that was awarded previously to Johns Hopkins University Applied Physics Laboratory (JHU/APL) on the basis of other than full and open competition. In order to document that aforementioned contract modification and update the Justification and Approval (J&A) that was previously approved and publically posted (prior to contract award), this updated J&A is publically posted.

2. Nature and/or description of the action being approved.

OTIA is seeking to execute a modification to increase the contract value by roughly $5.6M to add additional in-scope work to Cost Plus Fixed Fee (CPFF) contract for Systems Engineering, Technology Evaluation and Mission Translation from the Johns Hopkins University Applied Physics Laboratory (JHU/APL). In 2008 and subsequently in 2010, the SBI Systems Program Office (SPO), which later became OTIA, required services of a University Affiliated Research Center (UARC) to assist in conducting system evaluations, technology evaluations, and provide an independent contractor to evaluate the suitability and effectiveness of technologies developed by industry, government laboratories, and academia for the Homeland Security community. The current contract has allowed for the continuation of that work, and the planned modification simply augments those critical services with a relatively small amount of additional in scope effort that does not material change the contract’s current scope. Those additional required services support the timely implementation of multiple border security programs and projects, including those contained in the Arizona Technology Plan. JHU/APL has the prerequisite background knowledge and project-specific experience to complete this effort. This contract will maintain an essential engineering capability provided by an educational institution.

3. Description of Supplies/Services.

JHU/APL currently provides technical support for mission systems engineering, concept exploration, systems integration, systems analysis and modeling & simulation (M&S), systems engineering strategy and execution, and operational utility systems engineering.

General parameters for support requirements currently provided are listed below:

• Developing systems engineering methods, processes, engineering-analysis tools and methods, models and simulations, and engineering-analysis capabilities needed to support the life cycle development of CBP system.

• Providing operational analysis to optimize the effectiveness and efficiency of technology planning.

• Providing subject matter expertise in a variety of technical disciplines: systems engineering, radar, optics, lidar, geo-spatial information systems, optimization, facilities engineering, modeling and simulation, network engineering, cost analysis, and satellite technology, among many others.

• Providing unbiased source selection support.

• Test, evaluation, and deployment of component and system capabilities that support OTIA and CBP.

• Development of system concepts and capabilities to support emerging CBP needs.

• As the threat from WMD and other acts of terrorism change, CBP/OTIA may require additional efforts in new technology identification, evaluations, testing support, systems evaluations, or other related tasking for which, at the Government’s direction, JHU/APL shall also provide engineering and analytical support.

The required additional in-scope effort that is necessitating the aforementioned $5.6M planned modification falls under the following existing critical SOW tasks and will be performed by the existing labor categories currently under contract:

• Mission Systems Engineering Support

• Concept Exploration

• Systems Analysis and Modeling Simulation

• Systems Engineering Strategy and Execution

• Operational Utility System Engineering

• Other Technical Activities

As a result of previous in scope increases during the life of the contract, and the roughly $5.6M increase for the planned modification, the total contract value is increased

4. Identification of Statutory Authority Permitting Other Than Full and Open Competition

The statutory authority cited permitting other than full and open competition for the sole source award to JHU/APL of this contract was 41 U.S.C. 253(c)(1) implemented by the Federal Acquisition Regulation (FAR) Subpart 6.302-3 entitled, “Industrial mobilization;

engineering, developmental, or research capability; or expert services.” It states that “full and open competition need not be provided for when it is necessary to award the contract to a particular source or sources in order— (ii) To establish or maintain an essential engineering, research, or development capability to be provided by an educational or other nonprofit institution or a federally funded research and development center.”

In-scope contract modifications may be issued by the contracting officer (CO) in accordance with FAR Part 43. The type of additional work planned and any work added to date is the same type that is already under contract. The period of performance of the additional work falls within the original contract period. The costs and level of effort are increased by as a result all added work, and the broad scope of the SOW supports this additional work. As such, the additional planned work is in scope, does not does not represent a material change to the contract and therefore may be authorized by the CO.

5. Demonstration That the Nature of the Acquisition Requires Use of the Authority Cited.

The nature of this acquisition requires use of the authority cited. OTIA has a continuing requirement to maintain an essential engineering capability, which is provided by JHU/APL, a University-Affiliated Research Center (UARC). It is necessary for OTIA to maintain the capability for engineering and developmental work using the practical application of investigative findings and theories of a scientific or technical nature, which JHU/APL provides.

Since 2008, through contracts with OTIA, when it was still the SBI SPO, JHU/APL has established and maintained itself as an essential engineering, research, and developmental capability. JHU/APL has developed two versions of Design Reference Missions (DRM).

DRMs define the specific projected threat and operating environment baseline for OTIA systems. A DRM is a critical tool that is used in a disciplined systems engineering approach, as it is applied to large-scale, complex problems such as those frequently encountered in the CBP mission space. The DRM has applicability throughout the systems’ life-cycle, from requirements definition to systems development, test and evaluation, and post-deployment activities. The DRM is a formalized method for the operational users to state the problems encountered in attempting to complete their mission and is an essential element in a cost-effective solution development process. A DRM not only captures this mission space from an operational point of view, but it also provides the data and organization on which subsequent analyses can be based. Using the construct of a DRM allows for clean, clear problem definition as well as providing the foundation for a structured solutions-vetting approach.

JHU/APL first began developing the precursor documents to the DRMs in 1971 and has remained instrumental in the formation and development of DRMs as well as their content ever since. APL’s DRM experience includes the Area Air Defense commander DRM, the Navy Theater Wide DRM, Navy Area TBMD DRM, Navy Area TBMD P3I DRM, DD-21 DRM, and Navy CG(X) DRM and importantly, CBP OTIA, all of which include the structure of Threat, Tactical Situation, and Environmental Descriptions similar to that required for CBP. Developing DRMs requires a significant amount of technical and operational knowledge. Commercial engineering firms and the DHS Systems Engineering Federally Funded Research and Development Centers (FFRDC) do not currently possess sufficient technical and operational knowledge to satisfy this requirement1. Any efforts to develop such knowledge would impose severe schedule and cost risks to the programs in OTIA’s expanding portfolio of programs. At this point in time, JHU/APL is uniquely qualified to meet this requirement due to its broad DRM experience and its direct DRM experience with

CBP OTIA.

The APL contribution to OTIA does not only include unique capability and background in applying 40 years of experience with DRM development, but also a legacy spanning 68 years of operationally based expertise as a trusted agent to the government in helping solve some of their most critical technical challenges.

JHU/APL has developed OTIA’s modeling & simulation (M&S) capabilities, developed a prototype technology to aide in the detection of illegal border crossing, and provided direct technical support to multiple OTIA programs including many contained in the Arizona Technology Plan.

JHU/APL is currently providing essential technical and operational knowledge as subject matter experts for multiple source selection activities for OTIA acquisitions, including some of the highest priority programs in the Arizona Technology Plan. Ceasing their involvement would be detrimental to the best selection for border security technology. The JHU/APL-developed DRMs have been instrumental in communication between the OTIA acquisition-community and its operational customers. This contract seeks to continue APL’s involvement on the source selection activities, develop DRMs for additional mission spaces, and continue to grow OTIA’s M&S capabilities that support efficient technology acquisition and deployment.

JHU/APL is currently supporting CBP in its development of Doctrine, which are the fundamental principles by which U.S. Border Patrol guides their actions to support national objectives. In developing scenarios for Doctrine workshops, JHU/APL has leveraged previous work with the Joint IED Defeat Organization (JIEDDO). The shared work has been a critical linchpin to enable cross-governmental collaboration between CBP, DEA, ATF, DOJ, and FBI. JHU/APL’s relationship with and previous work for JIEDDO has provided an advantage to CBP’s Doctrine development.

Finally, JHU/APL has developed the Capabilities and Gaps Analysis Process (CGAP) with the Office of Border Patrol. CGAP has become the single-method by which U.S. Border Patrol collects capability gaps to develop operational requirements, which feed OTIA’s acquisitions. The process provides requirements traceability from its source in the field through the acquisition process. This process has become recognized by Congress as an acceptable approach for mission needs analysis by an operator. Because it developed the approach, JHU/APL is uniquely poised to continue refining the process and adding enhancements to make data collection more streamlined.

JHU/APL has a wide variety of very deep knowledge and expertise is a variety of technical disciplines, as mentioned in section 3. OTIA uses that depth of knowledge coupled with its prior OTIA/CBP experience and unique status as a UARC to provide technical reach back support for any type of technology deployment or operational analysis that OTIA/CBP needs. JHU/APL is uniquely qualified to meet these requirements because of its extreme variety of technical expertise in a variety of technical disciplines, past experience developing DRMs, and its direct experience with OTIA’s customers, U.S. Border Patrol and the Office of Field Operations.

There is inherent cost and schedule savings associated with maintaining this relationship with JHU/APL. To assist a new vendor to develop similar knowledge and capabilities required to support OTIA in the same capacity, it would require up to 12 months and up to $5M more than it is anticipated that for JHU to continue to satisfy the requirements under the current contract.

6. Description of efforts made to ensure that offers are solicited from as many potential sources as is practicable.

No additional sources have been solicited for this contract award, due to extensive technical and operational knowledge required to support the scope of work for Systems Engineering and Technology Evaluation. Only JHU/APL has been found to have the required background knowledge and experience to successfully perform the required effort.

The agency is not aware of any responsible source, other than the JHU/APL UARC that could satisfy the DRM requirement.

Additionally, previous Market Research has concluded that only one UARC met OTIA’s requirements: technical engineering expertise (systems engineering, radar, optics, lidar, geo-spatial information systems, optimization, facilities engineering, modeling and simulation, network engineering, cost analysis, and satellite technology, among many others), experience and expertise to develop DRMs for CBP’s vast mission space, and previous experience with OTIA’s portfolio of programs and developing Design Reference Mission (DRM) documentation.

7. Determination by the Contracting Officer that the Anticipated Cost to the

Government will be Fair and Reasonable.

Based upon an Independent Government Cost Estimate (IGCE), the value of the additional in scope work that is planned to be added in this modification is estimated to be

. Based upon current operations and current price analysis of JHU/APL prices, the Contracting Officer is aware of the past and current prices of operations. The Contracting Officer will ensure that the cost is fair and reasonable prior to any work being added to the contract.

8. Description of Market Research.

OTIA compared fifteen (15) University Affiliated Research Centers (UARC) to determine the suitability of each in fulfilling contract requirements:

Univeristy Affiliated Research Centers

Breadth of

Technical

Expertise

CBP/OTIA

Experience

DRM

Experience

X

Johns Hopkins University (JHU): Applied Physics

Laboratory (APL)

The UARCs were evaluated based on their ability to fulfill CBP’s four requirements listed in section 5: breadth of technical expertise, experience with CBP as a customer, experience developing DRMs, and physical location. If a UARC was able to meet the requirement, it is marked with an “x” in the table above.

Initially the 15 UARCs were evaluated based on their breadth of technical expertise. Four UARCs do not meet CBP’s required breadth of technical expertise. The remaining 11 UARCs were evaluated based on their past experience with CBP and OTIA as a customer, eliminating 8 UARCs. Finally, the remaining two UARCs, JHU APL and Stevens Institute of Technology, were evaluated based on their experience developing DRMs. JHU APL is the UARC which remained. Additionally, despite the virtual capabilities that are available, physical location is an important requirement for CBP/OTIA. Close physical proximity enables OTIA to make frequent visits to the facility where tactile developments are being made.

The core technical capabilities of the remaining two (2) UARCs were evaluated. Evaluation factors included systems and technical (radar, camera, lidar, and modeling & simulation) engineering expertise and previous experience: experience with OTIA’s portfolio of programs, experience developing Design Reference Mission (DRM) documentation, and the time required to ”come up to speed” with the existing UARC.

UMD CASL specializes in second language acquisition, technology use, performance and analysis, less commonly taught languages and cultures, and cognitive neuroscience.

Currently, OTIA does not have programs that utilize linguistic sciences. Additionally, UMD CASL does not have experience with OTIA’s portfolio of programs and would require up to 12 months to “catch up” with the current UARC’s existing knowledge base.

JHU APL has previously worked with the U.S. Navy, NASA, DARPA, and DHS and specializes in air and missile defense, asymmetric operations, national security analysis, and research and exploratory development. JHU APL has expertise developing DRMs and includes technical (radar, camera, lidar, and modeling & simulation) and systems engineering among its core capabilities. JHU APL has developed two DRMs for OTIA and has been working with CBP for at least 5 years, so it has a wealth of program knowledge.

Because of their breadth of technical expertise, experience developing DRMs, previous experience with CBP/OTIA, and their physical location, JHU APL is best-suited to fulfill the requirements of OTIA’s Statement of Work (SOW).

9. Any Other Facts Supporting the Use of Other Than Full and Open Competition.

Because this contract is a follow-on, under FAR 6.302-1(a)(ii), the additional cost to the Government could be up to $5M and 12 months if a new contractor were selected using full and open competition. This estimate is based on the overall development time required for the M&S capability, the ability of a new vendor to develop DRMs, the ability execute CGAP, and the ability to develop Doctrine. JHU/APL has critical operational knowledge and experience pertaining to OTIA’s systems acquisitions.

10. A Listing of the Sources, if Any That Expressed, in Writing, an Interest in the Acquisition.

The purpose of this acquisition is to maintain essential capabilities herein described at the named institution, as explained in paragraphs 5 and 6 above. JHU/APL is the only source capable of meeting our requirements. Further, no other sources expressed an interest in the acquisition (verbally or in writing).

11. A Statement of the Actions, if Any, the Agency May Take to Remove or Overcome Any Barriers to Competition Before Any Subsequent Acquisition for Supplies or Services Required.

The technologies developed by JHU/APL under this contract will be made available to all potential suppliers on all future contracts for enabling technologies or mission package development and all future production contracts to provide a stimulus for a competitive environment. By sharing the technologies, we ensure that the other companies remain competitive and JHU/APL does not have any advantage.

12. Planning and Funding Statement.

This acquisition is not resulting from a lack of planning or the expiration of funds.

► J&A CERTIFICATIONS

13. REQUISITION/PROGRAM OFFICE CERTIFICATION

I certify that the foregoing justification is accurate, meets the Government’s minimum needs and contains complete information necessary to support the action described in this document and the authority cited.

[ ] The guidance in HSAM Subchapter 3006.3 and HSAM Appendix G have been followed.

Office: Office of Technology Innovation and Acquisition (OTIA) Name: (Print):

Title: Requirements & Architectures Branch Chief, COR

Signature: Date:

14. CONTRACTING OFFICER CERTIFICATION/APPROVAL*

I certify that the data supporting the recommended use of other than full and open competition is accurate and complete to the best of my knowledge and belief.

Name (Print):

Contracting Officer

Signature: Date: