SAI RFP HSHQDC-09-R-00016.pdf

FFRDC HS SAI Request For Proposal RFP No. HSHQDC-09-R-00016

Department of Homeland Security

U.S. Department of Homeland Security

HS SAI

Homeland Security Studies and Analysis Institute

Request for Proposal

HSHQDC-09-R-00016

FFRDC HS SAI Request For Proposal

Department of Homeland Security

(This page is intentionally left blank.)

FFRDC HS SAI Request For Proposal Table of Contents

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Table of Contents

SECTION A – STANDARD FORM 33…………………………………………………..…………… 1

SECTION B - SUPPLIES OR SERVICES AND PRICE/COSTS…………..……….……………….2

B.1 Period of Performance……………………………………………………………………….….2 B.2 Type of Contract………………….…………………………………………………… B.3 Contract Line Items ..…………….…………………………………………………… B.4 Indirect Cost ……..……………….…………………………………………………… B.5. Fixed Fee… ….……………… .…………………………………………………… B.6 Minimum Guarantee and Maximum Limitation…… …………………………………………4 B.7 Adding New Labor Categories after Contract Award…… …………………………………4

SECTION C – STATEMENT OF OBJECTIVES... ………………………………………..………… 5

C.1 Scope of Contract…………………………………………………………………………….….5 C.2 Tasks Performed for Federal Agencies Other Than the DHS Sponsors C.3 Use of Performance Based Procedures in FFRDC Contrac.. ….…………………………..7 C.4 Management Plan…………………………………………………………………………….….7 C.5 Research Plan……………………………………………………………….………………….10 C.6 Contractor Quality Control (QC) ………………………………..………….…………………11 C.7 Task Ordered Projects…………………………………………………………………………11 C.8 Contractor Employees…………………………………………………………………………11 C.9 Contract Security Classification Specification C.10 Environmental Protection…………………………………………………….………………..12

SECTION D - PACKAGING AND MARKING……………………………………..…………………13

D.1 Markings……………………………………………………………………..…………...……..13 D.2 Branding…………………………………………………………………….…………………...13 D.3 Publication & Communications Concerning Work Performed Under this Contract……..13 D.4 Dissemination of Contract Information…...…………………………………………………..14

SECTION E - INSPECTION AND ACCEPTANCE……….……………...………………………….15

E.1 Clauses Incorporated by Reference………………………………………………………….15 E.2 Scope of Inspection…………………………………………………………………………….15 E.3 Evaluation and Acceptance………. ………………………………………………………...15

SECTION F - DELIVERIES OR PERFORMANCE………….………………………………….…. .16

F.1 General……………………………………………………………………………………….….16 F.2 Clauses Incorporated by Reference………………………………………………………….16 F.3 FFRDC Period of Performance…………………………………………………………….…16 F.4 Task Order Performance Period and Pricing.….……..…………….. ..…………….…… 16 F.5 Reporting Requirements………………………………………………………… F.5.1 Technical and Progress Reporting Requirements…….……… ………………………… 16 F.5.2 Task and FFRDC Monthly Status Report……………………………………………..……..19 F.5.3 Verbal Reports and Liaison…………………………………………………………………...20 F.6 Place of Performance………………………………………………………………………….21

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F.7 Notice to the Government of Delays……………………………………………………… F.8 DHS-Furnished Information……………………………………………………………….…..20 F.9 DHS-Furnished Property………………………………………………………………….…...21 F.10 Deliverable Requirements……………………………………………………………………..21

SECTION G - CONTRACT ADMINISTRATION DATA……..……….……………………………...23

G.1 Accounting and Appropriation Data…………………………………………………..………24 G.2 Points of Contact…………………………………………………………………………… G.2.1 Contracting Officer’s Authority……………………………………………………………..….24 G.2.2 Contracting Officer’s Technical Representative …………………………………..………..24 G.2.3 Task Order Manager…………….…………………………………………………….……….24 G.3 Task Order Process and Delivery G.4 Preparation of Vouchers G.5 Payment Information G.6 Travel…………………………………………………………………………………………….28 G.6.1 Travel Outside of the United States

SECTION H – SPECIAL CONTRACTING REQUIREMENTS

H.1 Standard of Conduct at Governmenmt Installation…………….…………………………...29 H.2 Advertisements, Publicizing Awards & News Releases……………………………………29 H.3 Observance of Legal Holidays & Excused Absence H.4 Insurance………………………………………………………………………………………..30 H.5 Information Technology Accessibility for Persons with Disabilities……...………………..31 H.6 Organizational Conflict of Interest…………………………………………………………….31 H.7 Task Performed for Federal Agencies Other than the Sponsors……………………….…32 H.8 Consultants………………………………………………………………………….…….…….32 H.9 Investigating & Reporting Possible Scientic Misconduct ……………….……………….33 H.10 Security Requirements H.10.1 Top Secret, SCI Personnel & Facility Clearance Requirement H.10.2 General Security Requirements H.10.3 Employment Eligibility H.10.4 Security Management………..…… ………………………………………………………….35 H.10.5 Information Technology Security Clearance……………………………………… .……..35 H.10.6 Information Technology Security Training & Oversight H.11 Handling of Proprietary Data……………………………………………………………….….36 H.12 Conflict of Interest……. …………………………………………………………..…………36 H.13 Reporting Waste, Fraud, Abuse and Theft…………………………………………………..36 H.14 Interface with Participating Associate Contractors (PAC)………………………………….36 H.15 Freedom of Information Act (FOIA) and Privacy Act……………………………..………...37 H.16 Handling of Data……………………………………………………………………….…….…37 H.17 Key Personnel or Facilities H.18 Strikes or Picketing Affecting Access to a DHS Facility……………………….…………...39

H.19 DCAA……………………………………………………………….……………………………39

SECTION I - CONTRACT CLAUSES

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I.1 General…………………………………………………………………………….………… I.2 Clauses Incorporated By Reference………………………………………………….………40 I.3 Security Requirements………………………………………………………………………...43 I.4 Notification of Ownership Changes I.5 Ordering I.6 Order Limitations I.7 Indefinite Quantity I.8 Option to Extend Services…………………………………………………………… ……..45 I.9 Option to Extend the Term of the Contract I.10 Notification of Employees concerning payment of union dues and fees…………………46 I.11 Authorization and Consent………………………………………………………………….. 48 I.12 Rights to proposal data (Technical)…………………………… …………………………..49 I.13 Notification of Changes…….………………………………………………………………….49 I.14 Security Requirements for unclassified information Technology Resources……………51 I.15 Limitation of Future Contracting……………………………………………………………...52 I.16 Small Business Subcontracting Reporting...........................…………………………….53 I.17 DHS Mentor-Protégé Program……. ………………………………………………………...53

SECTION J – LIST OF ATTACHMENTS…… …………….………..……………….………55

SECTION K – REPRESENTATIONS AND CERTIFICATIONS

K.1 Annual Representation and Certification …………….…… …..……………….………56 K.2 Place of Performance K.3 Cost Accounting Standards Notices and Certification…………….……….………… ……57 K.4 Proposal Disclosure – Cost Accounting..………………………….………..………… ……60 K.5 Prohibition on Contracts with Corporate Expatriates

SECTION L – INSTRUCTIONS, CONDITIONS, AND NOTICES TO OFFERORS

L.1 Solicitation Provisions Incorporated by Reference………………….……..….……………64 L.1.1 FAR Provisions and Clauses Incorporated by Reference………………………..……..…64 L.2 Type of Contract………………………………………………………………………………..64 L.3 Service of Protest…………………………………………………………………….………...64 L.4 Communications Regarding this Solicitation…………………………………...……………65 L.5 Submission Instructions and Late Submissions…………………………………………….65 L.5.1 Proposal Submission Due Date…………………………………………………….………...66 L.5.2 Late Submissions………………………………………………………………………….…...66 L.6 Proposal Preparation Costs L.7 General Instructions………………………………………………………………………… L.8 Proposal Integrity………………….………………………………………………… …......…67 L.9 Proposal Submission Instructions……………………………………………… ………….67 L.10 Format and Instructions for Proposal Submission ………… …………………………… L.10.1 Volume I – Technical Proposal……..…………………………………………………………69 L.10.2 Volume II – Technical Past Performance …… ……………………………………………75 L.10.3 Volume III - Contract Business / Cost/Price Proposal ……………………………....…77 L.11 Content of Resulting Contract…………………………..……….………………………… L.12 Contractor Registration… ……………………………………………………….………...80 L.13 Alternate Proposals…………………………………………………………………………

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SECTION M – EVALUATION FACTORS FOR AWARD

M.1 General M.2 Basis for Award ……………………….…………………………………………….………….81 M.3 Evaluation of Options M.4 Evaluations of Proposals and Rating Methodology M.5 Management Approach, Factor 1 M.6 Technical Approach, Factor 2 M.6.1 Evaluation of Technical Approach M.6.2 Evaluation of Representative Task Orders M.7 Past Performance, Factor 3 M.8 Cost/Price Evaluation M.9 Definitions… ………….……………………………………………………………….………...86 M.10 Rating Scale for Factors

ATTACHMENTS

ATTACHMENT J-1 – Sponsoring Agreement

ATTACHMENT J-2 – Monthly Contractor Financial Report

ATTACHMENT J-3 – Representative task order: Statement of objectives for SAI 2009 Core Research Plan

ATTACHMENT J-4 – Representative task order: Statement of objectives for SAI Field Analysis

ATTACHMENT J-5 – Representative task order: Statement of objectives for SAI Organizational Study

ATTACHMENT J-6 – Representative task order: Statement of objectives for SAI Generic Mission Strategy

ATTACHMENT J-7 – Non-disclosure Agreement, DHS Form 11000-6

ATTACHMENT J-8 – Past Performance Questionnaire

ATTACHMENT J-9 – Contract Security Classification Specification, DD254

ATTACHMENT J-10 – Cost Proposal Format

ATTACHMENT J-11 – Small Business Concerns Subcontracting Plan Outline

ATTACHMENT J-12 – SAI Program Level Cross-Reference Matrix

ATTACHMENT J-13 – DHS Certification and Accreditation Guide/Templates

ATTACHMENT J-14 – DHS Directive #0143-04

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SECTION A – STANDARD FORM 33

1. THIS CONTRACT IS A RATED ORDER RATING PAGE OF

SOLICITATION, OFFER AND AWARD UNDER DPAS (15 CFR 700) 1 85 Pages

2. CONTRACT NO. 3. SOLICITATION NO. 4. TYPE OF SOLICITATION 5. DATE ISSUED 6. REQUISITION/PURCHASE

HSHQDC-09-R-00016 SEALED BID (IFB)

⌧ NEGOTIATED (RFP)

7. ISSUED BY CODE DHS 8. ADDRESS OFFER TO (If other than Item 7)

U.S. DEPARTMENT OF HOMELAND SECURITY

OFFICE OF PROCUREMENT OPERATIONS

245 MURRAY LANE, SW, BLDG 410

WASHINGTON, DC 20528

NOTE: In sealed bid solicitations “offer” and “offeror” mean “bid” and “bidder”.

SOLICITATION

9. Sealed offers in original and _5__ copies for furnishing the supplies or services in the Schedule will be received at the place spelled out in Item 8, or if hand carried, in the depository located in SEE SECTION L.5 and L.9 until 12:00 Noon_(Eastern) local time December 22, 2008.

(Hour) (Date) CAUTION - LATE Submissions, Modifications, and Withdrawals: See Section L, Provision No. 52.214-7 or 52.215-1. All offers are subject to all terms and conditions contained in this solicitation.

A. NAME B. TELEPHONE NO. (NO COLLECT CALLS) C. E-MAIL ADDRESS

10. FOR INFORMATION

CALL:

Sharon Flowers

AREA CODE

NUMBER

EXT.

s&a_ffrdc@hq.dhs.gov

11. TABLE OF CONTENTS

( ) SEC. DESCRIPTION PAGE(S

( ) SEC. DESCRIPTION PAGE(S)

PART I - THE SCHEDULE PART II - CONTRACT CLAUSES

X A SOLICITATION/CONTRACT FORM 1 X I CONTRACT CLAUSES 40 – 54

X B SUPPLIES OR SERVICES AND PRICES/COSTS 2 – 4 PART III - LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACH.

X C DESCRIPTION/SPECS./WORK STATEMENT 5 – 12 X J LIST OF ATTACHMENTS 55

X D PACKAGING AND MARKING 13 – 14 PART IV - REPRESENTATIONS AND INSTRUCTIONS

X E INSPECTION AND ACCEPTANCE 15 X K REPRESENTATIONS, CERTIFICATIONS AND 56 – 63

X F DELIVERIES OR PERFORMANCE 16 – 22 OTHER STATEMENTS OF OFFERORS

X G CONTRACT ADMINISTRATION DATA 23 – 28 X L INSTRS., CONDS., AND NOTICES TO OFFER 64 – 80 X H SPECIAL CONTRACT REQUIREMENTS 29 – 39 X M EVALUATION FACTORS FOR AWARD 81 – 87

OFFER (Must be fully completed by offeror) NOTE: Item 12 does not apply if the solicitation includes the provisions at 52.214-16, Minimum Bid Acceptance Period.

12. In compliance with the above, the undersigned agrees, if this offer is accepted within 180 calendar days from the date for receipt of offers specified above, to furnish any or all items upon which prices are offered at the price set opposite each item, delivered at the designated point(s), within the time specified in the schedule.

13. DISCOUNT FOR PROMPT PAYMENT 10 CALENDAR DAYS 20 CALENDAR DAYS 30 CALENDAR DAYS CALENDAR DAYS (See Section I, Clause No. 52.232-8) % % % %

14. ACKNOWLEDGMENT OF AMENDMENTS AMENDMENT NO. DATE AMENDMENT NO. DATE

(The offeror acknowledges receipt of amendments to the SOLICITATION for offerors and related

CODE FACILITY 16. NAME AND TITLE OF PERSON AUTHORIZED TO SIGN

15A. NAME OFFER (Type of Print)

AND

ADDRESS

OF

OFFEROR

15B. TELEPHONE NUMBER

AREA CODE NUMBER EXT.

15C. CHECK IF REMITTANCE ADDRESS

IS DIFFERENT FROM ABOVE - ENTER

SUCH ADDRESS IN SCHEDULE.

17. SIGNATURE 18. OFFER DATE

AWARD (To be completed by Government)

19. ACCEPTED AS TO ITEMS NUMBERED 20. AMOUNT 21. ACCOUNTING AND APPROPRIATION

See G.1

22. AUTHORITY FOR USING OTHER THAN FULL AND OPEN COMPETITION:

23. SUBMIT INVOICES TO ADDRESS SHOWN IN ITEM

10 U.S.C 2304(c)( ) 41 U.S.C. 253(c)( ) (4 copies unless otherwise specified)

24. ADMINISTERED BY (If other then Item 7) CODE 25. PAYMENT WILL BE MADE BY CODE As specified on individual orders

26. NAME OF CONTRACTING OFFICER (Type or print) 27. UNITED STATES OF AMERICA 28. AWARD DATE Sharon Flowers (Signature of Contracting Officer) IMPORTANT – Award will be made on this Form, or on Standard Form 26, or by other authorized official written notice.

AUTHORIZED FOR LOCAL REPRODUCTION STANDARD FORM 33 (REV. 9-97)

Previous edition is unusable Prescribed by GSA - FAR (48 CFR) 53.214(c)

FFRDC HS SAI Request For Proposal Part I – The Schedule RFP No. HSHQDC-09-R-00016 Section B – Supplies or Services and Prices/Costs

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SECTION B - SUPPLIES OR SERVICES AND PRICES/COSTS

The single award IDIQ contract resulting from this solicitation is to establish a Federally Funded Research and Development Center (FFRDC) to be known as the Homeland Security Studies and Analysis Institute (SAI) to support the U.S. Department of Homeland Security (DHS).

The Contractor shall provide specialized technical expertise to Department leadership to transform mission-level goals into strategies, operational requirements, and performance metrics, constrained by cost and schedule. The technical expertise including all management, labor, facilities, and materials necessary for performance shall be in accordance with issued task order (TOs). TOs will be Cost-Plus-Fixed-Fee and will be issued in accordance with the procedures set forth in Section G of this contract.

B.1 Period of Performance

The contract will be for a twelve month base year from date of award with four (4) one year option periods. In accordance with FAR 35.017-1(e), the term of the contract will not exceed 5 years, but can be renewed, as a result of periodic review, in increments not to exceed 5 years.

This is not a multi-year contract as defined in FAR 17.1. Task orders (TOs) will be issued with specific performance periods.

B.2 Type of Contract An Indefinite-Delivery, Indefinite-Quantity (IDIQ) Contract will be awarded with task orders to be issued on a Cost-Plus-Fixed-Fee (CPFF) basis.

B.3 Contract Line Items (CLINs)

ITEM NO SUPPLIES/SERVICES AMOUNT

0001 Base year: Includes all travel and reporting requirements and deliverables.

Estimated Cost: $_________ Fixed-Fee: $_________ Total Estimated Cost + Fee: $_________

1001 First Option year: Includes all travel and reporting requirements and deliverables.

Estimated Cost: $_________ Fixed-Fee: $_________ Total Estimated Cost + Fee: $_________

2001 Second Option year: Includes all travel and reporting requirements and deliverables.

RFP No. HSHQDC-09-R-00016 Section B – Supplies or Services and Prices/Costs

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Estimated Cost: $_________ Fixed-Fee: $_________ Total Estimated Cost + Fee: $_________

3001 Third Option year: Includes all travel and reporting requirements and deliverables.

Estimated Cost: $_________ Fixed-Fee: $_________ Total Estimated Cost + Fee: $_________

4001 Fourth Option year: Includes all travel and reporting requirements and deliverables.

Estimated Cost: $_________ Fixed-Fee: $_________ Total Estimated Cost + Fee: $_________

Estimated Cost for all CLINs: $_________ Fixed-Fee: $_________ Total Estimated Cost + Fixed-Fee: $_________

B.4 Indirect Costs

The Contractor will be reimbursed for indirect costs at the following rate(s) subject to appropriate adjustment when the final rate(s) for the period are established:

COST CENTER RATE BASE CONTRACT YEAR

(** To be inserted at the time of contract award)

B.5 Fixed-Fee

The fixed-fee percentage of this contract is TBD. The fixed-fee amount of an issued task order shall be established at the issuance of the task. Should the cost of the order increase during performance the amount of the fee shall not change but remain fixed at the value established when the task was issued. The fixed-fee withholding provisions contained in clause 52.216-8, Fixed-Fee, are applicable to individual task orders. A modification or change to a task order directing additional or new work shall be fee bearing. If the cost of the contract does not reach the maximum value contained in clause, Estimated Cost and Fixed Fee, then the total contract fee shall be the sum of all fee dollars under issued tasks. Conversely, if the cost of the contract exceeds the maximum value contained in this Paragraph then the contractor's fee shall not be increased.

B.6 Minimum Dollar Guarantee and Maximum Contract Limitation The minimum value and guarantee of this contract is $25,000 (Estimated cost and Fixed Fee).

Orders beyond the minimum will be determined by user needs. The exercise of any option

RFP No. HSHQDC-09-R-00016 Section B – Supplies or Services and Prices/Costs

Department of Homeland Security 4 period does not re-establish the contract minimum. The Government shall issue one or more task orders for an amount not less than this minimum. There will be no further obligation on the part of the Government to issue additional orders thereafter. The maximum value of this contract is $330,000,000 (Estimated Cost and Fixed Fee) over a five year period.

For purposes of contract estimates, the projected program budget for the DHS effort, inclusive of fee, under the proposed award is estimated at approximately $330 Million over a five year period (base period and 4 option years). The contractor is hereby notified that due to unanticipated budget fluctuations, funding could change with little or no notice. The total amount allotted by the Government to this award for the base period is estimated to be $55 Million, with an estimated increase to $80 Million by year five of the contract. It is anticipated that the Task Order funding will be stable at approximately 360,000 hours in the base year and in each of the option years of the contract. The escalation estimates for the option periods are as follows: First Option is $60 Million; Second Option is $65 Million; Third Option is $70 Million and the Fourth Option is $80 Million.

The estimated amounts includes potential tasking by other DHS Operating Components beyond DHS (S&T) and by agencies, (non-Sponsors) which use the Institute for essential program analysis that may be in accordance with the terms of any resultant award. All cost estimation contained in this section is based on other than historical data.

B.7 Adding New Labor Categories After Contract Award

The labor categories listed in the pricing tables (J-10) represent the Contractor’s best analysis of current and projected SAI requirements. The Government does not intend to add any labor categories to the SAI contract after contract award. However, changes in the DHS mission, the emergence of new technologies, and other fundamental changes affecting the SAI requirements may necessitate the addition of new labor categories. Either annually, or at the government’s request, the contractor may propose additional labor categories/descriptions/rates to add to the contract that are necessary for performance. The government will negotiate these rates on a case by case basis.

(End of Section B)

RFP No. HSHQDC-09-R-00016 Section C –Description / Specifications / Work Statement

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SECTION C – STATEMENT OF OBJECTIVES

C.1 Scope of Contract

The Science and Technology Directorate of the Department of Homeland Security (DHS) proposes to establish a contract for a Federally Funded Research and Development Center (FFRDC) on behalf of the Department to be known as the “Homeland Security Studies and Analysis Institute” (HS SAI or SAI). The purpose of this FFRDC is to provide specialized technical expertise to Department program managers to transform mission-level goals into strategies, operational requirements, and performance metrics, constrained by cost and schedule. Through studies and analysis the Institute shall provide recommendations for policy and operational changes, as well as technology insertion concepts, throughout the federal, state, local, tribal, public and private sector organizations that make up the homeland security enterprise. The SAI shall generally work on the most complex homeland security issues and problems. The SAI will promote fair and open competition for the development and delivery of homeland security enterprise capabilities by providing independent and objective technical expertise in: cross-cutting mission analysis, strategic studies and assessments, modeling of operational concepts and policy trade-offs within and across mission areas, system simulations and technical assessments to evaluate mission trade-offs, creation and evolution of high-level concepts of operation, development of top-level system and operational requirements and performance metrics, operational analysis across the homeland security enterprise, and analytic support for operational testing and evaluation in tandem with the Government’s acquisition process. The SAI shall ensure a logical optimization of mission and system-of-system tradeoffs from a long term perspective based on system/program lifecycle costs. Over time, this FFRDC will help the Department develop a homeland security enterprise “system of systems” approach and leadership that will promote efficiencies and synergies across all missions. Through its long term relationship with the Department, the SAI shall promote frameworks and strategies to enhance the general understanding of the trade-offs inherent in reducing our Nation’s risk to terrorism and catastrophic incidents through, among other things, improved interoperability and information sharing across the homeland security enterprise.

The role of the Science and Technology Directorate is to provide an SAI program office that supports the FFRDC in terms of developing long-term and short-term strategies for reaching across the Department to negotiate task orders in support of the most critical and strategic programs. The SAI program office shall consist of an Executive Agent (EA), Program Manager (PM), and Contracting Officer’s Technical Representative (COTR), who shall be the focal point for negotiating tasks between the SAI and the various DHS components. The SAI program office will also negotiate issue resolutions between the SAI and task sponsors after tasks have been awarded. Primary direction and technical feedback on specific task orders will come from sponsoring component officials. The SAI program office will provide additional guidance on technical quality and consistency throughout the term of the contract; and will also provide contract administration support, for example: task order processing, security, IT certification, invoice payments and progress reporting, etc. Most tasks will be sponsored by program offices located throughout the Department and include most of the twenty two legacy agencies that make up the Department.

The Department’s systems engineering FFRDC will generally provide program level concept evolution, system and sub-system modeling and simulation, system engineering and program management best practices, sub-system standards frameworks focused particularly on interface

Department of Homeland Security 6 management and interoperability, as well as development test and evaluation analysis for the most critical homeland security programs. DHS laboratory FFRDC(s) and national laboratory FFRDCs will generally provide system and component prototypes and threat analysis support that is not normally available in the private sector.

The Homeland Security Act of 2002 (Section 305 of PL 107-296, as codified in 6 U.S.C. 185), herein referred to as the “Act”, authorizes the Secretary, acting through the Under Secretary for Science and Technology, to establish one or more federally funded research and development centers (FFRDC) to provide independent analysis of homeland security issues, or to carry out other responsibilities under the Act. The SAI is intended to provide the government with the necessary expertise to conduct: cross-cutting mission analysis, strategic studies and assessments, development of models that baseline current capabilities, development of simulations and technical evaluations to evaluate mission trade-offs, creation and evolution of high-level operational and system concepts, development of top-level system and operational requirements and performance metrics, operational analysis across the homeland security enterprise, and analytic support for operational testing and evaluation in tandem with the government’s acquisition process. The SAI shall ensure a logical optimization of mission and system-of-system tradeoffs from a long term perspective based on system lifecycle costs. Over time, this FFRDC will help the Department develop a homeland security enterprise “system of systems” approach that will promote efficiencies and synergies across all homeland security mission areas.

Performance shall be in accordance with all terms and conditions and specifications as stipulated herein.

C.2 Tasks Performed for Federal Agencies Other Than the DHS Sponsors It is not the Government’s intent that a Federally Funded Research and Development Center (FFRDC) use its privileged information or access to compete with the private sector. However the HS SAI may perform work for non-sponsors provided that such work is in compliance with FAR 35.017-3 and applicable DHS policies. Projects may be performed by the HS SAI for other Federal, State, local government agencies and non-profit organizations, provided that the following conditions are met. The HS SAI Contractor may only perform work for non-sponsors when authorized by the Government Contracting Officer under the following conditions:

• The task is consistent with the purpose, mission, general scope of effort, or special competencies of the HS SAI as specified in the contract and sponsoring agreement, and is subject to any established STE ceiling;

• The HS SAI has received the prior written approval of the DHS S&T Executive Agent, generally based on co-advocacy for the project from a particular office within the Department;

• Funds for the projects have been transferred from the funding agency or entity to DHS for disbursement under the HS SAI contract;

• The HS SAI and the tasking agency or agencies agree to fully disclose all aspects of the work being performed, including draft documents, to DHS upon request;

• DHS receives copies of all final reports; and

• Interagency funds may also be used to support and/or augment Sponsor tasks, with the prior consent of the Contracting Officer.

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C.3 Use of Performance Based Procedures in FFRDC Contract

This contract will be evaluated using performance management techniques and insight of Contractor performance rather than strict oversight. The ability to make decisions based on performance data analysis is the cornerstone of this type of performance management. The use of Contractor developed metrics for both the basic contract and task orders shall focus on desired outcomes and not interim process steps.

Interim process metrics will be developed and delegated to the contractor who shall manage the processes and practices used to achieve contract outcomes by a Contractor Quality Control Plan. Use of an outcome focus provides the contractor with the flexibility to continuously improve and innovate over the course of the contract as long as the critical outcomes expected are being achieved. Deliverables, that can provide measures of technical quality toward accomplishing task goals, shall be established prior to award of task orders.

The awarded Contractor shall have the ability and opportunity to negotiate the task specific approach performance to meet the quality and requirements standards of individual Task Orders. Incentives or disincentives are not applicable to any task order issued during the base period or any option period.

The only exceptions to outcome focus process procedures will be those services and performance items required by law, (local, state, and federal) and compelling business situations such as safety and security that the contractor must follow. All objectives, as appropriate, will be incorporated into the Contractor’s Quality Control Plan. The contractor shall furnish and otherwise accomplish all things necessary for or incident to the complete performance of the work as described throughout this Statement of Objectives (SOO) and the contract provisions.

C.4 Management Plan

The Contractor shall deliver an FFRDC Management Plan that describes how they intend to operate and perform to the requirements of this RFP, and in particular, how they intend to meet the requirements of this section. This plan shall be updated annually, as required, throughout the performance of the Contract. The Contractor shall be responsible for providing technical and integration expertise to Department of Homeland Security (DHS) senior leadership as a trusted agent, particularly in the evolution of the most complex and critical homeland security mission areas. The purpose of the HSSAI FFRDC is to help the Department address “what” must be accomplished, in a risk-informed manner, to meet and measure performance of homeland security mission goals and objectives with limited resources. The general goal is to maximize risk reduction across the gamut of terrorism and major disaster scenarios based on available funding and “dual-use” solution strategies. The SAI FFRDC will provide the government with the necessary expertise to conduct: cross-cutting mission analysis, strategic studies and assessments, development of models that baseline current capabilities, development of simulations and technical evaluations to evaluate mission trade-offs, creation and evolution of high-level operational and system concepts, development of top-level system and operational requirements and performance metrics, operational analysis across the homeland security enterprise, and analytic support for operational testing and evaluation in

Department of Homeland Security 8 tandem with the government’s acquisition process. The SAI shall ensure a logical optimization of mission and system-of-system tradeoffs from a long term perspective based on system lifecycle costs. Over time, this FFRDC will help the Department develop a homeland security enterprise “system of systems” approach that will promote efficiencies and synergies across all homeland security mission areas.

The FFRDC shall operate based on an annual research plan that will consist of “core” tasks funded by the S&T program office, and “task order” studies funded from sponsors across the Department. The “core” program is expected to be maintained at roughly 20% of the total Institute funding that is envisioned to enable the Institute to provide, among other things:

• Quick-response and strategic forward and field analysts wherever and whenever required

• Leadership on cross-cutting and homeland security enterprise-wide critical and strategic issues

• Development of risk and other models and methods for understanding and comparing the mission requirements, performance metrics, and measures of effectiveness across the homeland security enterprise

Task order funding from the Department will address a variety of studies and analysis, including:

• Conduct strategic assessments of homeland security threats, vulnerabilities and consequences as well as national and international strategies for addressing the risk to the Nation

• Examine broad security topics such as countering vulnerabilities to critical infrastructures; proliferation of nuclear, chemical, and biological weapons;

regional political, economic, military, and terrorist trends; and international terrorist cooperation and assess domestic and international implications of trade and technology cooperation, plans, and controls.

• Develop top level mission risk and risk reduction (threat, vulnerability, consequence) resource allocation models, component tradeoff simulations, and tools and metrics to evaluate mission tradeoffs and mission integration strategies

• Develop system and system-of-system concepts through analysis of alternatives to address the most strategic and critical needs of the homeland security enterprise

• Analyze the risk (threat, vulnerability, consequence) reduction potential of constrained resources by analyzing synergies obtained through common homeland security enterprise systems developments, interoperability, and common hardware/software interfaces and protocols

• Develop top-level program requirements and system performance and effectiveness metrics based on mission goals

• Develop and promote standardization of effective and efficient operational modeling, simulation, test and evaluation best practices for homeland security programs to provide independent and objective assessments based on mission and program goals

• Develop methods for identification, particularly within the various DHS Integrated Process Teams (IPTs), of critical capability gaps particularly in areas where

Department of Homeland Security 9 policy, operations, and/or technology may be expected to contribute substantially to solutions; and develop trade-off studies and roadmaps for “filling the gap”

• Design and provide support for the conduct of homeland security-related exercises, games, and simulations, including the examination of past incidents, tabletop and operational exercises, and nominal operations to determine lessons learned and the implications for homeland security planning. A principal focus of these studies also will be on assessing national response and multi-agency collaboration and coordination; interoperability of federal with state and local personnel and systems; and logistics support.

• Provide assistance to the homeland security enterprise in establishing test-beds requirements to evaluate the effectiveness of technologies under development and assess the appropriateness of such technologies for deployment; and conduct assessments of technology feasibility, performance, producibility, demonstrations, and development risks.

• Conduct operational analysis, particularly at field activities for extended (months to 1-2 years) periods, to provide objective assessments, systems evaluations, and other technical and analytic support that promotes the identification and understanding of the interplay of operation elements, like: doctrine, organization, training, material, leadership, education, personnel, facilities, etc. in the need for identifying solutions to new and evolving mission requirements including the creation of capabilities to provide and promote security, privacy, and the protection of civil rights and civil liberties.

• Use economic (lifecycle) and policy analyses to assess the distributed costs and benefits of alternative approaches to enhancing security including leveraging of homeland security, particularly R&D, assets across the Nation and with international partners.

• Examine infrastructure and support activities, including issues related to major acquisitions and R&D planning; advanced manufacturing practices; the governmental and commercial technology base; mobilization and stockpiling of critical materials; the training establishment; logistics needs; and environmental technologies.

• Promote ethics in acquisition through an understanding of: the need for objective development of operational requirements and performance metrics, and operational test and evaluation planning and analysis independent from the development program; promotion of fair and open competition in acquisitions through high quality technical data packages and quality oversight, trusted agent relationships with the government task sponsors and the FFRDC program office, establishment of staff and organizational conflict or interest protocols.

Within and across these core areas, DHS sponsors’ specific needs are expected to evolve over time, and the HS SAI’s capabilities and areas of concentration will evolve accordingly. The assigned tasks will include some quick-response ad-hoc analysis and reviews (up to three months in duration). Most tasks will be for medium-term studies (3-12 months) to provide in-depth strategic, technology and/or operational support to components or field activities.

However, some tasks are expected to be long-term tasks (more than 1 year) that align with the most complex and critical issues facing the homeland security enterprise.

The Contractor will also implement a broad-based consultative strategy to extend beyond the in-house staff and include perspectives from experts in industry, academia, and the non-profit sector. On occasion, foreign nationals may be required to collaborate as consultants on

Department of Homeland Security 10 particular task orders. Any foreign national to be used as a consultant will require the approval of the S&T FFRDC Executive Agent, and the S&T International Affairs Division prior to work on this contract. Foreign national consultants shall not be permitted access to FFRDC work spaces or FFRDC/DHS IT networks or systems. The Contractor will also be expected to have broad access to facilities that can provide unique capabilities for simulation and modeling in support of mission trade-off analysis and operational analysis across all homeland security mission areas, including but not limited to (classified and unclassified): information technology and management, intelligence and information sharing, borders and maritime security (sensor and data networks), chemical and biological detection and protection, transportation system and critical infrastructure protection and security, cyber security and protection, biometric identification, communications interoperability and security, and emergency planning and response. The Contractor shall operate and maintain a DHS approved IT system, at a minimum of FISMA “medium” level, on which it will maintain an intranet that is remotely accessible to S&T program manager and COTR. The contractor may be required to maintain a classified DHS HSDN or equivalent access.

The Contractor may propose subcontracting arrangements with other corporate entities to provide or enhance proposed capabilities. To receive credit for sub-contractor capabilities the prime will need to guarantee that particular types of tasks and required expertise and facilities will be provided by the sub-contracted partner.

The Contractor shall provide a phase-in plan that demonstrates the “initial” ability to begin executing technical task work upon award. The “initial” phase-in plan includes: an organization structure and staffing plan for phasing in technical and managerial talent in accordance with the needs of the Department demonstrated with task orders, including the use of partners, reach-back, and sub-contractors. The initial phase-in plan shall demonstrate compliance with quality assurance and organizational / staff conflict-of-interest protocols. The initial phase-in plan also includes an outreach strategy to familiarize the DHS with the SAI capabilities and goals, including the development of the first Research Plan. The initial phase-in plan includes the task order processing procedures, security planning and implementation, IT system(s) accreditation, and test facility planning and operations. The overall management planning for the SAI shall demonstrate the capacity to rapidly build the organization and infrastructure to support up to 200

STE.

The Contractor will be subject to independent audits by a Government accounting agency, the DHS Inspector General, and/or the Government Accountability Office. The Contractor shall be responsible for hiring a certified public accounting firm to conduct: (1) annual financial audits of the operations of the HS SAI (and certify annual financial statements), and (2) all audits required by law or applicable regulation.

C.5 Research Plan

To conduct its mission of providing analytic support to its DHS sponsors in an efficient, effective and responsive manner, the HS SAI will develop and operate an annual Research Plan. The HS SAI shall develop an annual Research Plan based on a clear understanding of the Government’s requirements as determined by direction from the Under Secretary for Science and Technology (DHS SAI program office) and DHS Headquarters Components or their designees. Input and review of the plan shall occur primarily through the Homeland Security SAI Advisory Group, chaired by the DHS (SAI) Executive Agent, and made up of senior leadership from throughout the Department appointed by the Executive Agent.

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The annual Research Plan will be approved by the DHS Executive Agent (SAI program office) and submitted annually to the Contracting Officer for approval. It will be viewed as a flexible and dynamic document that will be periodically reviewed with the DHS SAI Advisory Group, and revised as necessary to meet the DHS sponsors’ needs. The Research Plan will include at least two parts: (1) Core projects and (2) Task Orders. The DHS SAI program office will direct/approve the allocation of contract resources within the Core projects and any changes to these elements will require prior written approval by the HS SAI Executive Agent / Program Manager. Core projects will typically be reviewed with the SAI Advisory Group on a semi-annual basis. In no case will the SAI initiate and perform work that is not previously approved by the DHS SAI Contracting Officer (CO). Task orders will be coordinated with the SAI program office and the sponsoring program office. All work shall commence with the approval of the CO.

Changes to the task orders may not be made without a modification to the TO and must be approved by the CO prior to commencement of work. Any changes to core project or task order deliverables, delivery dates, periods of performance, or scope may occur only with the direction and approval of the CO.

The CO will authorize funding for the SAI based on the annual Research Plan approved by the DHS Executive Agent. The annual core project budget may be adjusted with additional funding in future years to meet the needs of the DHS sponsors. The annual research plan shall be based on the calendar year rather than the fiscal year.

The HS SAI shall perform the work as stated in the approved Research Plan, but in no event is it authorized to incur costs in excess of the authorized costs included in any/all approved Task Orders issued hereunder, or in other initiation of funds procedures set forth in the Research Plan, without the written approval of the Contracting Officer.

The Research Plan shall be primarily funded through DHS S&T core funding, which may be supplemented by an allocation of 5% of each task order that is issued. The allocations, if authorized by the DHS SAI program office, shall be administered by the SAI as a sub-task of each task order; and shall report technical progress as a part of the core Research Plan progress reports. If implemented, the SAI shall use the 5% allocation for the benefit of all task orders by using the funding for establishing procedures to: quickly initiate new tasks or new task direction; provide critical quick-response analysis, develop strategic mission concept evolution capabilities, and track and document lessons learned and best practices. These tasks will be referred to as “core” projects of the research plan because they will have benefits across the Department and the entire homeland security enterprise, although they are developed within specific task orders. The Research Plan “core” allocation includes:

• Addressing the most critical and strategic issues of the homeland security enterprise

• Providing best practices that efficiently and effectively promote the identification of operational performance baselines and desired and acceptable performance and effectiveness metrics prioritized to national goals

• Effectively balancing an interdisciplinary staff across areas of strategic assessments, strategic planning, operation analysis, operational test and evaluation, and other required functions

• Consulting with representatives from other DHS FFRDCs, private industry, institutions of higher education, and nonprofit institutions; and

• Exercising sound financial control over the HS SAI’s resources.

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C.6 Contractor Quality Control (QC)

The contractor shall establish as an independent function, a quality program that encompasses all aspects of the contract including Task Orders issued hereunder. The contractor shall ensure the Government’s interests are protected through this clearly separate entity who is independent of site management as concerns the FFRDC QC Program. The QC Manager shall have sufficient, well-defined responsibility, authority, and the organizational freedom to identify and evaluate quality problems and to initiate, recommend, and provide solutions. Personnel performing management functions shall have distinct, well-defined, duties and responsibilities within the quality program. The contractor shall implement the quality program in accordance with the Contractor’s Quality Control Plan. The Plan shall be provided with the contractor’s initial proposal. The Contractor's inspection instructions shall be documented and shall be available for review, on-line, by the S&T Program Manager and Contracting Officer’s Technical Representative (COTR) or Contracting Officer (CO), throughout the life of the contract. A Contractor QC Plan may be prepared for each Task Order and a copy shall be provided to the COTR (See Section F Deliverable Requirements).

C.7 Task Order (TO) Projects

Task Order (TO) projects are specific, time limited, deliverable-oriented projects. They shall contain, at a minimum, the following information based on a task Statement of Objectives provided by the government:

• Subject and description of objectives including deliverables, milestones and their associated delivery dates;

• Discussion of the major program issues to be addressed;

• Special experimental or development test equipment and facilities required;

• Recommended approach for performing the work;

• Estimate of the total level of effort (STE Staff–years of Technical Effort equal to 1810 hours) by labor category and dollars required to perform the task;

• Estimated period of performance, including start and end dates;

• Reporting requirements, and other relevant information as applicable; and

• Funding.

C.8 Contractor Employees

1. The Contractor shall not employ, or continue employment, of persons for work on this contract if such employee is identified to the Contractor by the Contracting Officer as a potential threat to the health, safety, security, general well being, or operational mission of the installation or its population. The contractor will develop policies and procedures to discourage “walk off” (e,g,. task engineers/analysts resign prior to task completion) of employees and shall implement a method for replacement that will ensure performance standards continue to be met.

2. The contractor shall ensure that none of its employees involved in the performance of any specific task have financial or other interests that could affect those employees’ objective and effective performance of the task.

C.9 Contract Security Classification Specification

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To qualify as a responsible contractor, the Offeror shall possess, or acquire prior to contract award, a facility clearance and safeguarding capability equal to the highest classification stated on the Contract Security Classification Specification (DD Form 254) attached to this solicitation.

The Contractor shall appoint a senior official to act as the Corporate Security Officer. The individual will interface with the DHS S&T Security Office and the Defense Security Service (DSS) through the COTR on all security matters, to include physical, personnel, and protection of all Government information and data accessed by the Contractor.

C.10 Environmental Protection

The Contractor shall comply with all applicable Federal, State, and local environmental protection laws, and all stated regulations and standards, including applicable Executive Orders.

(End of Section C)

RFP No. HSHQDC-09-R-00016 Section D – Packaging and Marking

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SECTION D - PACKAGING AND MARKING

D.1 Markings All deliverables submitted to the SAI Contracting Officer, the SAI Program Manager, the TO Contracting Officer or the TO Contracting Officers Technical Representative (COTR) shall be accompanied by a packing list or other suitable shipping documentation that shall clearly indicate the following:

(a) Contract number;

(b) Task order number;

(c) Name and address of point of contact

Specific or unique marking requirements may be addressed in individual TOs.

D.2 Branding The Contractor shall comply with the requirements of any DHS Branding and Marking policies.

As a matter of law, Federal criminal statutes prohibit unauthorized uses of the DHS Seal. In addition, DHS policy prohibits granting authorization for certain commercial uses of the Seal. It is permissible to reference DHS in materials if the reference is limited to true, factual statements. The words DHS and/or Homeland Security should appear in the same color, font, and size as the rest of the text in the document. Moreover, such references shall not imply in any way an endorsement of a product, company, or technology.

Requests to…