DHS_S T_CSD_5-Yr_BAA_Amend_00003.pdf

Department of Homeland Security Science and Technology (S&T) Directorate

CYBER SECURITY DIVISION

5-YEAR

BROAD AGENCY ANNOUNCEMENT (BAA)

HSHQDC-14-R-B0005

Amendment 00003 Published: July 16, 2014

TABLE OF CONTENTS

1. GENERAL INFORMATION………………………………………………………

1.1. Introduction…………………………………………………………………………

1.2. Program Mission and Objectives……………………………………………………... 4

1.3. Foreign Government Participation…………………………………..………………... 5

1.4. Agency Name…………………………………………………………………………. 5

1.5. Research Opportunity Title….……………………………………………………….. 5

1.6. Program Name ……………………………………………………………………….. 5

1.7. Research Opportunity Number………………………………………………………... 6

1.8. Response Dates…………………………….……………………………………….… 6

1.9. Government Representatives………………………………………………………

1.10. Inquiries……………………………………………………………………………… 6

2. RESEARCH OPPORTUNITY DESCRIPTION………………………………………… 6

2.1 Anticipated Technical Topic Areas (TTAs) ………………………………………... 6

2.2 Type Classifications………………………………………………………………… 7

3. TESTING AND EVALUATION FACILITIES…………………………………….…… 8

4. AWARD INFORMATION………………………………………………..…………….. 8

4.1. Anticipated Funding for the Program……………………………...…………………. 8

4.2. Anticipated Number of Awards………………………………………………………. 8

4.3. Anticipated Award Types……………………………………………………………... 8

4.4. Expected Amount of Individual Awards……………………………………………… 9

4.5 Anticipated Period of Performance for Individual Awards…………………………… 9

5. ELIGIBILITY INFORMATION………………………………………………………… 9

5.1. Open to All Responsible Sources……………………………………………………... 9

5.2. Deleted (Amendment 00001)……………………...………………………………….. 9

6. DOWNLOAD OF CSD BAA HSHQDC-14-R-B0005………………………………… 10

7. REGISTRATION IN DHS S&T BAA PORTAL………………………………………. 10

7.1 Access to DHS S&T BAA Portal……………………………………………………. 10

7.2 Company/Organization Registration………………………………………………… 10

8. White Paper Submission Requirements………………………………………………… 10

8.1 Calls May Request White Papers……………………………………………………. 10

8.2 Submission Dates and Times………………………………………………………… 10

8.3 No Classified Documents……………………………………………………………. 10

8.4 No Proposal Submission Authorized Without White Paper Submission……………. 11

8.5 Multiple White Papers……………………………………………………………….. 11

8.6 White Paper Format………………………………………………………………….. 11

8.7 White Paper Content…………………………………………………………………. 12

9. Proposal Submission Requirements…………………………………………………….. 14

9.1 Submission Requirements…………………………………………………………… 14

9.2 Submission Dates and Times………………………………………………………… 14

9.3 No Classified Documents……………………………………………………………. 14

9.4 Multiple Proposals…………………………………………………………………… 14

9.5 Proposal Format……………………………………………………………………… 14

9.6 Proposal Content……………………………………………………………………... 15

10. PROCEDURES FOR SUBMITTING WHITE PAPERS AND PROPOSALS IN

DHS S&T BAA PORTAL……………………………………………………………… 23

10.1 Company/Organization Registration……………………………………………….. 23

10.2 White Paper and Proposal Registration…………………………………………….. 24

10.3 DHS S&T BAA Portal Help Desk…………………………………………………. 24

11. EVALUATION OF WHITE PAPERS AND PROPOSALS…………………………... 24

11.1 General……………………………………………………………………………... 24

11.2 Evaluation Criteria………………………………………………………………….. 24

11.3 Basis for White Paper and Proposal Selection……………………………………… 26

11.4 Evaluation Panel……………………………………………………………………. 26

11.5 Notification to Offerors of Evaluation Findings……………………………………. 26

12. OTHER TERMS AND CONDITIONS………………………………………………… 27

12.1 NAICS………………………………………………………………………………. 27

12.2 System for Award Management (SAM)……………………………………………. 27

12.3 Information for White Paper and Proposal Respondents…………………………… 27

12.4 Organizational Conflict of Interest………………………………………………….. 27

12.5 Export Control………………………………………………………………………. 28

12.6 Intellectual Property………………………………………………………..……….. 29

12.7 Publication of Research Results…………………………………………………..… 29

12.8 Adequate Accounting System for Cost Reimbursement Type Contracts……...…… 30

12.9 Certificate of Current Cost or Pricing Data………………………………………

12.10 Applicable Provisions and Contract Clauses…………………………………….… 31

12.11 Government Property, Government Furnished Equipment (GFE) and Facilities

12.12 Safety Act………………………………………………………………..………… 31

12.13 Security Classification…………………………………………………..………… 32

12.14 Subcontracting Plan……………………………………………………..………… 32

12.15 Additional Deliverables…………………………………………………………… 32

12.16 Changes……………………………………………………………………………. 32

12.17 Reporting………………………………………………………………………….. 32

1. GENERAL INFORMATION

1.1 Introduction.

1.1.1 This solicitation is a Broad Agency Announcement (BAA), HSHQDC-14-R- B0005, as contemplated in Federal Acquisition Regulations (FAR) 6.102(d)(2) and 35.016.

A formal Request for Proposal (RFP) will not be issued in this matter. This announcement does not request any white papers or proposals at this time. Solicitations (or calls) requesting white papers or proposals will be accomplished via amendments to BAA HSHQDC-14-R-B0005. BAA HSHQDC-14-R-B0005 is issued in support of Department of Homeland Security (DHS), Science and Technology (S&T), Homeland Security Advanced Research Projects Agency (HSARPA), Cyber Security Division (CSD), targeted research and development (R&D) projects.

1.1.2 CSD BAA HSHQDC-14-R-B0005 will be open for five years from the date publicized on the Government’s Point of Entry (GPE), Federal Business Opportunities (FBO). The strategy for a five-year BAA with the ability to make calls throughout the life of the BAA will allow for quick and efficient delivery of practical R&D services to generate potential solutions for each technical topic area.

1.1.3 Periodically during the five years, individual calls for white papers or proposals responding to the specified CSD program research and development program technical topic area will be placed (via amendment advertisement in FBO) against CSD BAA HSHQDC-14-R-B0005. Each call will (1) identify specific details regarding the call technical topic area, (2) identify submission instructions in addition to those outlined in the overarching 5-yr CSD BAA HSHQDC-14-R-B0005, and (3) contain a common cutoff date submissions. The call details will be such that interested and capable contractors can tailor a response and provide a submission in response to the call.

1.2 Program Mission and Objectives.

1.2.1 As stated in the November 2013 report from the President’s Council of Advisors on Science and Technology (PCAST), “[c]yberthreats span the range from cybercrime (with global economic damage estimated at $100 billion to $1 trillion annually) to potentially devastating cyber-attacks against U.S. critical infrastructure, both civilian and military. In peacetime, cyberspace without adequate cyber security is a sanctuary from which criminal hackers, spammers, viruses, botnets, and other cyber threats prey daily and openly on U.S. individuals and organizations. In wartime, cyberspace can become another platform from which strategic attacks can be launched against the U.S. homeland and U.S.

allies and interests abroad; cyber operations against U.S. forces can severely degrade military capabilities.” The effects of a successful cyber-attack might include serious consequences for infrastructure elements such as electric power, and disruption of the response and communications capabilities of first responders. Thus, a critical area of focus for DHS is the development and deployment of technologies to protect the nation’s cyber infrastructure, including the Internet and other critical infrastructures that depend on computer systems for their mission.

1.2.2 The goals of the DHS Cyber Security Division (CSD) are:

(a) To perform research and development (R&D) aimed at improving the security of existing deployed technologies, and to ensure the security of new emerging systems;

(b) To develop new and enhanced technologies for the detection of, prevention of, and response to cyber-attacks on the nation’s critical information infrastructure; and

(c) To assist the transfer of these technologies into the national infrastructure as a matter of urgency.

1.3 Foreign Government Participation.

1.3.1 Cyber security is a global concern and CSD has collaborative activities with several countries. As a result, CSD BAA HSHQDC-14-R-B0005 intends to have foreign government participation, to include access to both white papers and proposal submissions for purposes of determining joint-funding and to include joint participation in overseeing projects throughout the contract period of performance. Foreign government participation will be determined by technical topic area for each call based on CSD collaboration and may include any of the following international partners: (a) the United Kingdom of Great Britain and Northern Ireland; (b) the Government of Australia; (c) the Government of Canada; (d) the Kingdom of the Netherlands; (e) the European Union; (f) the Government of Germany; (g) the Government of Israel; (h) the Kingdom of Sweden; (i) the Government of New Zealand; and (j) the Government of Singapore.

1.3.2 In addition, foreign government personnel from any one or more of the aforementioned countries may participate in the selection process as peer/scientific reviewers of submitted white papers and/or proposals if their respective nation has been identified in the individual call made under CSD BAA HSHQDC-14-R-B0005. In the event that foreign government personnel do participate in the selection process, DHS will effect sharing of whitepapers and proposals subject to the provisions for handling both “Controlled Unclassified Information” and “Business Confidential Information” information, as stated in each country’s international agreements with the DHS, or the U.S.

Government. In addition, foreign government personnel are not permitted to release any information to third parties, including others in their organization. By the act of submitting any material in response to this BAA, offerors are therewith consenting to allowing access to financial, confidential, proprietary, and/or trade secret marked information, and any other material contained therein to foreign government personnel.

1.4 Agency Name.

Department of Homeland Security Science & Technology Directorate Washington, DC 20528

1.5 Research Opportunity Title. Cyber Security Research and Development

1.6 Program Name. Cyber Security

1.7 Research Opportunity Number. CSD BAA HSHQDC-14-R-B0005

1.8 Response Dates. This announcement does not request any white papers or proposals at this time. Individual calls will be made against CSD BAA HSHQDC-14-R-B0005 via amendments posted in FBO at http://www.fbo.gov/. Each individual call will identify submission requirements for white papers or proposals.

1.9 Government Representatives.

1.9.1 Science and Technology.

Douglas Maughan, Ph.D.

Director Cyber Security Division Department of Homeland Security Homeland Security Advanced Research Projects Agency (HSARPA) Science and Technology (S&T) Directorate Washington DC, 20528

1.9.2 Business.

Cherita Thomas Contracting Officer Department of Homeland Security Science & Technology Acquisitions Washington, DC 20528

1.10 Inquiries.

1.10.1 All contractual or technical inquiries to CSD BAA HSHQDC-14-R-B0005 must be submitted to: BAA-14-R-B0005@hq.dhs.gov. The program and technical staff will not acknowledge, forward, or respond to any inquiries received in any other manner concerning this BAA or calls issued against this BAA. Contractual questions and answers will be posted periodically in www.fbo.gov under the announcement for this BAA. The point of contact for CSD BAA HSHQDC-14-R-B0005 is Cathy Collins, 202-254-6814;

however, all inquiries must be in writing and will not be answered verbally.

1.10.2 For inquiries regarding use of the DHS S&T BAA Portal, refer to paragraph

10.3 below for information on contacting the portal Help Desk.

2. RESEARCH OPPORTUNITY DESCRIPTION

2.1 Anticipated Technical Topic Areas (TTAs). The following TTAs are representative only.

• Security for Cloud-Based Systems

• Data Privacy Technologies

• Mobile Wireless Investigations http://www.fbo.gov/ mailto:BAA-14-R-B0005@hq.dhs.gov

• Mobile Device Security

• Next-Generation DDOS Defenses

• Cyber-Physical Systems

• Application Security Threat Attack Modeling (ASTAM)

• Static Tool Analysis Modernization Project (STAMP)

• Network Reputation and Risk Analysis

• Data Analytics Methods for Cyber Security

• New Models for Cyber Security Learning

• Designed-In Security

• Finance Sector Cyber Security

• Cyber Security Measures and Risk Management

• Data Provenance for Cyber Security

• Rapid Indicators for Cyber Threats

• Domain Name System Security (DNSSEC) Applications

• National Initiative for Cyber Security Education

The above TTAs are provided to help interested offerors understand the potential Cyber Security program areas. A specific TTA will be identified in each call.

2.2. Type Classifications. The classification Type assigned depends on the maturity of the technology proposed. Offerors submitting white papers and proposals will be required to identify which of the following Type classifications align with its submission.

2.2.1 Type I (New Technologies): Includes an applied research phase and a development phase, while also including technology demonstrations in an operational environment. The emphasis for this type classification is on research and development, with the technology demonstrations in an operational environment. Type I awards will have a three (3) year total period of performance; however, individual calls may include requests for options for pilots and/or transition options. Submissions must propose the first year of performance as a base period with each additional year as a severable option period. In order for a period of performance to be severable, each period of performance must have a usable/meaningful deliverable(s) that should the government be unable to obtain funds for any option period, the government can clearly show value for the money expended to date.

2.2.2 Type II (Prototype Technologies): Includes a development phase, while also including technology demonstrations in an operational environment. Type II awards will have a two (2) year total period of performance; however, individual calls may include requests for options for pilots and/or transition options. Submissions must propose the first year of performance as a base period with the second year as a severable option period. In order for a period of performance to be severable, each period of performance must have a usable/meaningful deliverable(s) that should the government be unable to obtain funds for any option period, the government can clearly show value for the money expended to date.

2.2.3 Type III (Mature Technologies): Includes technology demonstrations in an operational environment. Type III awards will have a one (1) year total period of performance; however, individual calls may include requests for options for pilots and/or transition options.

3. TESTING AND EVALUATION FACILITIES.

Performers in the DHS S&T CSD technical program will be required to test and evaluate their technologies with respect to project goals. DHS S&T CSD has cyber security R&D infrastructure projects that can be leveraged by performers to support testing and evaluation.

Performers may use the facilities of the Cyber Defense Technology Experimental Research (DETER) network (http://deter-project.org), the Protected Repository for the Defense of Infrastructure Against Cyber Threats (PREDICT) data repository (https://predict.org), and the Software Assurance market Place (SWAMP) (http://continuousassurance.org); however, there is not a requirement to do so. However, to further CSD’s R&D infrastructure offeror’s will be required to make any data, for which the offeror has ownership or redistribution rights, created or used in testing and evaluation available to PREDICT, subject to appropriate disclosure control. Accordingly, offerors should consider the specific test and evaluation requirements of the proposed technical solutions, identify in the proposal the primary test environment to be used to conduct testing and evaluation, and include a description of the test and evaluation methodology appropriate for the proposal.

4. AWARD INFORMATION

4.1 Anticipated Funding for the Program.

4.1.1 Although subject to official fiscal appropriation, it is anticipated that the CSD program will have a total of $95M over the next 5 years to support CSD BAA HSHQDC-14- R-B0005. The estimated value is not a promise of assured funding in that amount. Funding is uncertain and is subject to change. Changes in availability may occur as a result of Government discretion.

4.1.2 Depending on interest in particular submissions, individual awards may be joint funded from any of the foreign countries identified in paragraph 1.3 above.

4.2 Anticipated Number of Awards. The total number of awards under this solicitation is unknown. However, one or more awards may be made from each call issued during the 5-yr open period of CSD BAA HSHQDC-14-R-B0005.

4.3 Anticipated Award Types.

4.3.1 It is anticipated awards made for each call issued against CSD BAA HSHQDC-14- R-B0005 will be in the form of cost reimbursement type contracts. However the Government reserves the right to award firm-fixed price contracts, cooperative agreements, Other Transactions (OTs) (if authorized by law at time of award), or interagency agreements to appropriate parties should the situation warrant.

4.3.2 In the event an offeror or subcontractor is a Federally Funded Research and Development Center (FFRDC), Department of Energy National Laboratory, or other Federally funded entity, DHS, S&T, CSD will work with the appropriate sponsoring agency http://deter-project.org/ https://predict.org/ http://continuousassurance.org/ to issue an interagency agreement pursuant to the Economy Act (31 U.S.C. 1535) or other appropriate authority.

4.4 Expected Amount of Individual Awards. Individual award amounts may vary per call. Therefore, any specified award per Type classification will be identified on a call by call basis.

4.5 Anticipated Period of Performance for Individual Awards. Paragraph 2.2 above identifies the period of performance for awards made under each Type classification. Note that submissions must propose the first year of performance as a base period with each additional year as a severable option period. In order for a period of performance to be severable, each period of performance must have a usable/meaningful deliverable(s) that should the government be unable to obtain funds for any option period, the government can clearly show value for the money expended to date.

5. ELIGIBILITY INFORMATION

5.1 Open to All Responsible Sources. CSD BAA HSHQDC-14-R-B0005 is open to ALL responsible sources domestic or foreign. Foreign or foreign-owned offerors are advised that their participation is subject to the foreign disclosure review procedures, applicable export control laws, and other applicable federal laws, regulations, and policies pertaining to foreign entities. It is the intent of research and development contracting to obtain a broad base of the best contractor resources from the scientific and industrial community, to include small businesses and as a result, no portion of CSD BAA HSHQDC-14-R-B0005 will be set aside pursuant to FAR Part 19.502-2. Offerors may include (but are not limited to):

a. Single entities or teams from private-sector organizations;

b. Government laboratories;

c. Federally Funded Research & Development Centers (FFRDCs), including Department of Energy National Laboratories and Centers, are eligible to respond to this BAA, individually or as a team member of an eligible principal Offeror, so long as they are permitted under a sponsoring agreement between the Government and the specific FFRDC.

d. Historically Black Colleges and Universities (HBCU);

e. Minority Institutions (MI);

f. Small & Small Disadvantaged Business concerns, including Women-Owned Small Business concerns, Veteran-Owned Small Business concerns, Service-Disabled Veteran- Owned Small Business concerns, and Historically Underutilized Business Zone (HUBZone) Small Businesses concerns; and

g. Any academic institutions or non-profits organizations not included in the above categories.

5.2 Deleted (Amendment 0001)

6. DOWNLOAD OF CSD BAA HSHQDC-14-R-B0005.

CSD BAA HSHQDC-14-R-B0005 should be read in its entirety by any entity considering a submission in response to any call issued against this BAA. CSD BAA HSHQDC-14-R- B0005 can be downloaded in its entirety from the FBO website at http://www.fbo.gov. A link to the direct FBO location for CSD BAA HSHQDC-14-R-B0005 in FBO can be found in the DHS S&T BAA Portal located at https://baa2.st.dhs.gov. Registration is not required to access the FBO link in the DHS S&T BAA Portal to CSD BAA HSHQDC-14-R-B0005;

however, registration in the portal is required to upload any submissions responding to any calls issued against CSD BAA HSHQDC-14-R-B0005.

7. REGISTRATION IN DHS S&T BAA PORTAL (Must be completed prior to uploading any submissions.)

7.1 Access to DHS S&T BAA Portal. The DHS S&T BAA Portal located at https://baa2.st.dhs.gov offers electronic access to BAA calls, frequently asked questions (FAQs), answers to FAQs, abstracts of previously funded projects, and hyperlinks to other useful information.

7.2 Company/Organization Registration. As stated in paragraph 1.8 above, this announcement does not request any white papers or proposals at this time. Calls requesting white papers or proposals will be accomplished via amendments to CSD BAA HSHQDC- 14-R-B0005. The DHS S&T BAA Portal will not allow submissions (white papers or proposals) in response to calls issued against CSD BAA HSHQDC-14-R-B0005 to be uploaded for any entity that has not completed a company/organization registration in the portal.

IMPORTANT: Any entity responding to any call issued against CSD BAA HSHQDC-14- R-B0005 must first register your company or organization at https://baa2.st.dhs.gov. For specific information regarding how to register and regarding the submission of documents in the DHS S&T BAA Portal, refer to paragraph 10 below.

8. WHITE PAPER SUBMISSION REQUIREMENTS

8.1 Calls May Request White Papers. Calls issued against CSD BAA HSHQDC-14-R- B0005 may request the submission of white papers. Submission requirements for white papers, when requested, shall be in accordance with this announcement unless otherwise amended in the individual call. Offerors should be alert for any amendments to individual calls that may permit extensions to the submission date identified in the particular call or modify terms and conditions of a particular call.

8.2 Submission Dates and Times. Submission dates and times will be identified in each call. White papers WILL NOT BE ACCEPTED after the established due date. There will be no exceptions to the time and date on which responses are due, unless determined otherwise by the Government.

8.3 No Classified Documents. No classified white papers will be accepted.

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

8.4 No Proposal Submission Authorized Without White Paper Submission. If a call requests a white paper submission, offerors must submit a white paper in order to be considered for participation in the submission of proposals.

8.5 Multiple White Papers. Multiple white papers per call may be submitted. Each submitted white paper must comply with the terms outlined herein.

8.6 White Paper Format. White papers may include narrative, pictures, figures, tables, and charts in a legible size, and must be accompanied by a one-page quad chart.

Format details are:

8.6.1 Paper Size: 8.5-by-11-inch paper.

8.6.2 Margins: 1 inch.

8.6.3 Spacing: Single or double-spaced.

8.6.4 Font: Times New Roman, no smaller than 12 point. Text embedded within graphics or tables in the body of the white paper or the quad chart may not be smaller than 10 point.

8.6.5 Number of Pages: Unless otherwise specified in the call, no more than seven single-sided pages consisting of the following shall be submitted:

a. A cover page (refer to paragraph 8.7.1below for details regarding cover page requirements;

b. Five pages of technical content (refer to paragraph 8.7.3 below for details regarding technical content requirements); and

c. A one-page quad chart (refer to paragraphs 8.6.6, 8.7.2, and 9.6.1 below for quad chart format).

WHITE PAPERS EXCEEDING THE DESIGNATED PAGE LIMIT WILL BE

REJECTED AS NON-CONFORMING AND WILL NOT BE EVALUATED.

8.6.6 Quad Chart Format: Quad charts, including graphics or tables, will not use any font smaller than 10-point and will be organized as shown in paragraph 9.6.1.d below.

8.6.7 Proprietary Marking. The offeror is required to appropriately mark any proprietary information contained in any white paper to be submitted in response to any call issued against CSD BAA HSHQDC-14-R-B0005.

8.6.8 Export Control Marking.

a. Offerors shall identify any anticipated export compliance issues in their response to each individual call against CSD BAA HSHQDC-14-R-B0005. Specifically, offerors are advised to include information in their response regarding any known equipment, software or technical data that will be developed as a result of work to be performed under each individual call against CSD BAA HSHQDC-14-R-B0005 that is subject to export control restrictions.

b. To the extent that export-controlled information may be provided to DHS by offerors in response to a solicitation, offerors are responsible for ensuring that such information is appropriately marked, and are responsible for complying with all applicable export controls and regulations in the process of providing such information.

c. For additional information regarding export controlled information, refer to paragraphs 8.7.5 and 12.5 below.

8.6.9 The white paper submission uploaded to the DHS S&T BAA Portal shall consist of ONE electronic file in portable document format (PDF), readable by IBM-compatible personal computers (PCs). The quad chart must be submitted in the same file as the white paper. The file size must be no more than 10 megabytes (MB).

8.7 White Paper Content. White papers shall include, at a minimum, the following:

8.7.1 Cover Page. The cover page shall include the following:

a. White Paper Registration Number (assigned when the offeror registers the white paper submission in the DHS S&T BAA Portal; therefore, if submitting more than one white paper, registration must be completed for each submission).

b. Call number, i.e., “HSHQDC-??-R-B????”, which will be located on the amendment issued against CSD BAA HSHQDC-14-R-B0005;

c. Title of white paper;

d. Name of offeror’s organization and offeror’s administrative and technical points of contact, including name, address, telephone and facsimile; numbers, and email addresses. If multiple organizations are participating, identify the above information for each organization;

e. Identify whether the offeror (and each organization participating) is a US or foreign owned entity;

f. Type classification as described in paragraph 2.2 above (Type I, Type II, or Type III) that aligns with the proposed technology; and

g. Signature and title of an authorized representative of the entity submitting the white paper. If multiple organizations are participating, one signature from the principal/leading organization is acceptable.

8.7.2 Quad Chart. A quad chart shall be included and shall be in the format identified in paragraph 9.6.1.d below.

8.7.3 Technical Content. The remaining pages of the white paper shall consist of the following information:

a. Executive Summary. An executive summary shall be provided containing a concise description of the scientific, technical, engineering, and management approach you propose in order to address the call specific TTA, a description of the various features of the proposed technology, and relevant details about how it will meet the requirements of the call specific TTA.

b. Utility to Department of Homeland Security. The white paper shall describe the potential of the technology for meeting the desired call specific TTA attributes and requirements.

c. Technical Approach.

(1) Provide a description of the basic scientific or technical concepts that comprise the proposed solution to the problem described in the call specific TTA.

(2) Explain what is unique about the proposed solution and what advantages it might afford compared to other approaches that have been taken in this area. Illustrate the particular scientific, technical, or engineering issues that need to be addressed and resolved to demonstrate feasibility.

(3) Describe the approach and required resources to test and evaluate the proposed technologies with respect to call specific TTA goals.

(4) If offerors desire to use proprietary software or technical data or both as the basis of their proposed approach, in whole or in part, the white paper must 1) clearly identify such software/data and its proposed particular use(s); 2) explain how the Government will be able to reach its goals (including transition) within the proprietary model offered; and 3) provide possible nonproprietary alternatives in any area that might present transition difficulties or increased risk or cost to the Government under the proposed proprietary solution.

(5) Personnel and Performer Qualifications and Experience. Briefly describe the offeror’s qualifications and experience in similar development efforts. Present the qualifications of the principal technical personnel and any key personnel, who, if a resultant award is made, will be subject to any key personnel clauses included in the resultant award. Describe the extent of your team’s past experience in working with or developing the technologies comprising your solution. For submissions that include multiple organizations, all organizations must be identified. Include a description of what role each organization will play in the project. Identify appropriate technical personnel for each organization and each team member’s past experience in technical areas related to the white paper. In teaming situations, the lead/prime organization must remain the same on both the white paper and, if selected, the proposal.

(6) Transition Capabilities and Plan. Provide a brief summary of the offeror’s capabilities and experience in transitioning similar products to the marketplace, including previous business partnerships that can be leveraged. Describe the commercialization plan or other transition method for getting the technology into widespread use.

(7) Costs, Work, and Schedule: Provide a brief summary of the planned work, costs, and schedule required to execute your project, summarized by major task.

8.7.4 Proprietary Marking: Ensure proprietary markings as required by paragraph

8.6.7 above are appropriately identified.

8.7.5 Export Control: Potential offerors are reminded this BAA seeks unclassified technology solutions and that white papers may be shared with foreign government personnel from any of the countries identified in paragraph 1.3 above. As required by paragraph 8.6.8 above, white paper submissions are to identify any items that are potentially export-controlled such that dissemination to these foreign government personnel may be inhibited by United States federal laws, rules, or regulations.

9. PROPOSAL SUBMISSION REQUIREMENTS

9.1 Submission Requirements. Submission requirements for proposals shall be in accordance with this announcement unless otherwise amended in the individual call.

Offerors should be alert for any amendments to individual calls that may permit extensions to the submission date identified in the particular call or modify terms and conditions of a particular call.

9.2 Submission Dates and Times. Submission dates and times will be identified in each call. Proposals WILL NOT BE ACCEPTED after the established due date. There will be no exceptions to the time and date on which responses are due, unless determined otherwise by the Government.

9.3 No Classified Documents. No classified proposals will be accepted.

9.4 Multiple Proposals. If only proposals (no white papers) have been requested by the individual call, then multiple proposals may be submitted. When white papers are requested by the individual call, then offerors must submit a white paper in order to be considered for participation in the submission of proposals. Each submitted proposal must comply with the terms outlined herein.

9.5 Proposal Format.

9.5.1 Proposals will consist of two volumes:

a. Volume 1 - Technical Proposal

b. Volume 2 - Cost Proposal

9.5.2 For each volume, the following format shall apply:

a. Paper Size – 8.5-by-11-inch paper.

b. Margins – 1 inch.

c. Spacing – Single- or double-spaced.

d. Font – Times New Roman, 12 point. Text embedded within graphics or tables in the body of the Project Description Form should be legible and not smaller than 10 point.

e. Number of pages. Page count limitations for the technical proposal will be identified specified in each individual call.

PROPOSALS EXCEEDING THE DESIGNATED PAGE LIMIT IDENTIFIED IN

EACH CALL WILL BE REJECTED AS NON-CONFORMING AND WILL NOT BE

EVALUATED.

9.5.3 Proprietary Marking. The offeror is required to appropriately mark any proprietary information contained in any proposal to be submitted in response to any call issued against CSD BAA HSHQDC-14-R-B0005.

9.5.4 Export Control Marking.

a. Offerors shall identify any anticipated export compliance issues in their response to this solicitation. Specifically, offerors are advised to include information in their response regarding any known equipment, software or technical data that will be developed as a result of work to be performed under this solicitation that is subject to export control restrictions.

b. To the extent that export-controlled information may be provided to DHS by offerors in response to a solicitation, offerors are responsible for ensuring that such information is appropriately marked, and are responsible for complying with all applicable export controls and regulations in the process of providing such information.

c. For additional information regarding export controlled information, refer to paragraphs 9.6.1.t and 12.5 below.

9.5.5 The proposal submission uploaded to the DHS S&T BAA Portal shall consist of one electronic file for the Technical Volume and one electronic file for the Cost Volume.

Electronic files will be in portable document format (PDF), readable by IBM-compatible personal computers (PCs). The quad chart must be submitted in the same file as the Technical Volume. The file size must be no more than 10 MB.

9.6 Proposal Content.

9.6.1 Volume 1: Technical Proposal. Volume 1, Technical Proposal, shall be in the form of a technical volume and a cost proposal overview. Page count limitation for technical proposals will be identified in each issued call. Compliance with the order and content listed below is important to assure thorough and fair evaluation of proposals. The submission of other supporting materials with the proposal is strongly discouraged and, if submitted, will not be reviewed. Nonconforming proposals may be rejected without review. The technical proposal shall include the following:

a. Cover Page. Title the cover page “Volume 1 - Technical Proposal” and also ensure the following information is included:

(1) Proposal Registration Number (assigned when the offeror registers the proposal submission in the DHS S&T BAA Portal; therefore, if submitting more than one white paper, registration must be completed for each submission).

(2) Call number, i.e., “HSHQDC-??-R-B????”, which will be located on the amendment issued against CSD BAA HSHQDC-14-R-B0005;

(3) Title of proposal;

(4) Name of offeror’s organization and offeror’s administrative and technical points of contact, including name, address, telephone and facsimile numbers, and email addresses;

(5) Whether offeror is US or foreign owned entity;

(6) Identity of prime offeror and complete list of subcontractors or consultants, if applicable, otherwise indicate that there are no subcontractors or consultants;

(7) Type classification as described in paragraph 2.2 above (i.e., Type I, Type II, or Type III)

(8) Duration of effort. Separately identify the base effort and any options;

(9) Identify understanding and compliance with the below paragraph 12.7, Publication of Research Results. If additional internal approvals are required in order to comply with this requirement, then those approvals are to be obtained PRIOR to submission of any proposal.

(10) In accordance with FAR 4.1201, prospective offerors for contracts and for OTs involving prototypes, shall state the certifications in System for Award Management (SAM) database at https://www.sam.gov have been completed and shall provide the certification validity period; and

(11) The signature and title of an authorized representative of the entity submitting the proposal.

b. Table of Contents.

c. Official Transmittal Letter. Provide an official transmittal letter with authorizing official signature. For the electronic submission, the letter can be scanned into the electronic proposal. The letter of transmittal shall include, at a minimum, the following:

(1) Whether the proposal has been submitted to a Government agency other than DHS and, if so, specify which agency and the date it was submitted.

(2) The required disclosure regarding organizational conflict of interest identified in paragraph 12.4 below.

(3) A statement that the offeror’s proposal is available for award for 180 days beyond the date of proposal notification.

d. Quad Chart. A quad chart shall be included and shall be in the following format.

https://www.sam.gov/

e. Abstract. Provide a one-page synopsis of the entire proposal, including a listing of total anticipated costs. This page should include the proposal title and offeror name, along with a description of the scientific, technical, engineering, and management approach being proposed to address the goals of the BAA call. It also should describe how the approach is unique, and provide a brief summary of the technology’s anticipated performance relative to the BAA call goals. This section shall be separable (i.e., it will begin on a new page and the following section shall begin on a new page). If the proposal is selected for funding, DHS may post the abstract on the CSD webpages in the dhs.gov domain. Therefore, the abstract should not contain any proprietary information.

f. Performance Goals. Describe the overall methodology and how it will meet the project goals specified in the BAA call.

g. Detailed Technical Approach.

(1) Describe the proposed design and technical issues. Identify the critical technical issues in the design and concept. Outline and address technical challenges inherent in the approach and possible solutions for overcoming potential problems. Demonstrate a deep understanding of the technical challenges and present a plan to achieve the BAA call goals.

Discuss mitigation of technical risk. Provide appropriate measurable milestones (quantification is preferable) at intermediate stages of the project to demonstrate progress, and a plan for achieving the milestones.

(2) If offerors desire to use proprietary software or technical data or both as the basis of their proposed approach, in whole or in part, 1) clearly identify such software/data and its proposed particular use(s); 2) explain how the Government will be able to reach its goals (including transition) within the proprietary model offered; and 3) provide possible nonproprietary alternatives in any area that might present transition difficulties or increased risk or cost to the Government under the proposed proprietary solution.

h. Statement of Work (SOW), Schedule, and Milestones. Provide an integrated display for the proposed research, showing each task with major milestones. Include a proposed schedule for the effort (estimated dates of tasks, milestones and deliverables). DHS will likely make severable awards. To support severability, each year of the proposal should be separately defined, and tasks identified must correlate to the tasks identified in the cost proposal submission. The SOW must not include proprietary information. For each defined task/subtask, provide:

(1) A general description of the objective.

(2) A detailed description of the approach to be taken to accomplish each defined task/subtask.

(3) Identification of the primary organization responsible for task execution (prime contractor, subcontractor(s), consultant(s), by name).

(4) A measurable milestone (e.g., a deliverable, demonstration, or other event/activity that marks task completion).

(5) A definition of all deliverables (e.g., data, reports, designs, architectures, software, and user documentation) to be provided to the Government resulting from the proposed tasks/subtasks.

i. Testing and Evaluation. Identify the primary test environment to be used to conduct testing and evaluation, and include a description of the test and evaluation methodology appropriate for the proposal.

j. Deliverables. Provide a detailed list and description of all deliverables identified in the SOW. Include due dates (i.e., calendar days after the effective date of award, or calendar days after the effective date of award of an option). In addition, and again to support severability, there must be a usable/meaningful deliverable(s) at the end of the first period of performance (base period) and a usable/meaningful deliverable(s) at the end of each additional year of performance (option period) so that should the government be unable to obtain funds for any option period, the government can clearly show value for the money expended to date.

k. Management Plan. Provide a brief summary of the management plan, including an explicit description of what role each participant or team member will play in the project.

l. Transition Plan. Offerors must also include a description in the proposal of their plan for transitioning the proposed technology to a DHS component or commercializing the technology. Technology transition plans that include commercial partnerships are preferred, but transition into the open source community is also acceptable. This request does not entail providing a full business plan, nor does it imply that DHS views commercialization activities as in the scope of this solicitation. The intent is for offerors to provide evidence that, as part of the technical plan development, consideration has been given to the ultimate commercialization of the outputs of DHS-funded programs. Such considerations would include expected user base, how the technology will be used, and how it will transition in to broad use. Of key importance are the identification of technology diffusion paths that are appropriate for the type and maturity of the technology involved, and any additional factors that might increase the likelihood of it being commercialized or transitioned to a DHS component.

m. Facilities. List the location(s) where the work will be performed, and the facilities to be used. Describe any specialized or unique facilities which directly affect the effort.

n. Government-Furnished Resources. Provide a brief summary of required information and data which must be provided by the Government to support the proposed work, if any.

o. Cost Summary. For each year of effort, provide the following:

(1) Direct Labor (prime only) – total man-hours;

(2) Direct Labor (prime only) – total costs;

(3) Direct Material/Equipment Costs (prime only);

(4) Total Travel Costs (prime only);

(5) Total Other Direct Costs (prime only);

(6) Subcontractor (if applicable) – total man-hours (if applicable);

(7) Subcontractor (if applicable) – total of all costs (e.g., one total amount that includes direct labor, material/equipment, travel, other direct costs, indirect costs, fees/profit);

(8) Total Indirect Costs (prime only);

(9) Total Overhead Costs (prime only);

(10) Total G&A (if applicable) (prime only);

(11) Fees or Profit (if applicable) (prime only); and

(12) Cumulative total of all above costs/

p. Resumes for Key Personnel. As an appendix, provide resumes and curriculum vitae (CVs) for each of the key personnel proposed. A minimum of two key personnel must be identified. Key personnel from subcontractors may be included.

q. Other DHS Support. As an appendix, provide a list of any current or pending awards or proposals with DHS that pertain to this work, submitted either as a prime contractor, subcontractor/consultant, or teaming partner.

r. Past Performance. As an appendix, fully describe similar efforts on the part of the offeror, to include teammates, currently ongoing and completed, related to technologies sought by the BAA call. Pertinent efforts can be academic, commercial or Government sponsored, but all sponsors should be identified as explicitly as possible.

s. Proprietary Marking: Ensure proprietary markings as required by paragraph 9.5.3 above are appropriately identified.

t. Export Control: Potential offerors are reminded this BAA seeks unclassified technology solutions and that proposals may be shared with foreign government personnel from any of the countries identified in paragraph 1.3 above. As required by paragraph 9.5.4 above, proposals submissions are to identify any items that are potentially export-controlled such that dissemination to these foreign government personnel may be inhibited by United States federal laws, rules, or regulations.

u. Assertion of Data Rights. It is anticipated that the proposed Assertion of Data Rights will be incorporated in the resultant award instrument. To this end, proposals must include a severable Assertion of Data Rights (i.e., it will begin on a new page and the following section shall begin on a new page) without any proprietary restrictions, which can be removed from the proposal and attached to the contract or agreement award. After proposal submission, any changes to this information requested by an offeror may cause a proposal to be re-evaluated or deemed not selectable at the Government’s discretion. The format for this section is as follows:

Assertions Table

For each deliverable listed in the below table, please identify any assertion of restriction on the Government’s Use, release or disclosure of technical data or computer software.

Deliverable

Technical Data or Computer Software to be Furnished With Restrictions*

Basis for Assertion**

Asserted Rights Category***

Name of Person Asserting

Restrictions****

*For technical data (other than computer software documentation) pertaining to items, components, or processes developed at private expense, identify both the deliverable technical data and each such item, component, or process. For computer software or computer software documentation identify the software or documentation.

**Generally, development at private expense, either exclusively or partially, is the only basis for asserting restrictions. For technical data, other than computer software documentation, development refers to development of the item, component, or process to which the data pertain. The Government's rights in computer software documentation generally may not be restricted. For computer software, development refers to the software.

Indicate whether development was accomplished exclusively or partially at private expense.

If development was not accomplished at private expense, or for computer software documentation, enter the specific basis for asserting restrictions.

***Enter asserted rights category (e.g., government purpose license rights from a prior contract, limited, restricted, or government purpose rights under this or a prior contract, or specially negotiated licenses).

****Corporation, individual, or other person, as appropriate, or enter “none” when all data or software will be submitted without restrictions.

Completed by:

Signature Printed Name and Title Date

v. Patents. All offerors must include documentation proving ownership or possession of appropriate licensing rights to all patented inventions to be used for the proposed project.

If a patent application has been filed for an invention, but it includes proprietary information and is not publicly available, an offeror must provide documentation that includes: the patent number, inventor name(s), assignee names (if any), filing date, filing date of any related provisional application, and summary of the patent title, with either: (1) a representation of invention ownership, or (2) proof of possession of appropriate licensing rights in the invention (i.e., an agreement from the owner of the patent granting license to the offeror).

9.6.2 Volume 2: Price/Cost Proposal. Volume 2, Price/Cost Proposal, shall consist of a cover page and two parts, Part 1 and Part 2.

a. Cover Page. The words “Price/Cost Proposal” should appear on the cover page in addition to the following information:

(1) BAA Call number;

(2) DHS S&T Portal Assigned Proposal Number

(3) Title of proposal;

(4) Name of offeror’s organization and offeror’s administrative and technical points of contact, including name, address, telephone and facsimile numbers, and email addresses;

(5) Whether offeror is US or foreign owned entity;

(6) Identity of prime offeror and complete list of subcontractors or consultants, if applicable, otherwise indicate that there are no subcontractors or consultants;

(7) Type classification as described in paragraph 2.2 above (i.e., Type I, Type II, or Type III)

(8) Duration of effort. Separately identify the base effort and any options;

(9) In accordance with FAR 4.1201, prospective offerors for contracts and for OTs involving prototypes, shall state the certifications in System for Award Management (SAM) database at https://www.sam.gov have been completed and shall provide the certification validity period; and

(10) The signature and title of an authorized representative of the entity submitting the proposal.

b. Part 1. As stated above in paragraph 4.5, submissions must propose the first year of performance as a base period with each additional year as a severable option period. In order for a period of performance to be severable, each period of performance must have a usable/meaningful deliverable(s) that should the government be unable to obtain funds for any option period, the…