CBD_OBAA.pdf

BROAD AGENCY ANNOUNCEMENT (BAA)

CHEMICAL BIOLOGICAL DEFENSE DIVISION

Solicitation No. HSHQDC-14-R-B0009

Department of Homeland Security

Science and Technology (S&T) Directorate

BAA 14-003

Published: June 16, 2014

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TABLE OF CONTENTS

1. GENERAL INFORMATION

1.1. Introduction

1.2. Program Mission and Objectives

1.3. Agency Name

1.4. Program Name

1.5. Research Opportunity Number

1.6.Call and Response Approach…………………………………………………………………………… 5

1.7 Government Representatives…………………………………………………………………………… 6

2. RESEARCH OPPORTUNITY DESCRIPTION

2.1 Anticipated Technical Topic Areas (TTAs)

3. AWARD INFORMATION

3.1. Anticipated Award Date

3.2. Anticipated Funding for the Program

3.3 Limitation of Funds…………………………………………………………………………………….10

3.4. Type of Contract/Instrument

3.5. Number of Awards Anticipated

3.6. Expected Amount of Individual Awards

3.7. Anticipated Period of Performance for Individual Awards

4. ELIGIBILITY INFORMATION

4.1. Federally Funded Research & Development Centers

4.2. Nonprofit Organizations, Educational Institutions and Small Business Set Aside

4.3. Organizational Conflict of Interest

5. APPLICATION AND SUBMISSION INFORMATION

5.1. BAA Package Download

5.2 Application and Submission Process 12

5.3. Format and Content of White Papers (Attachment A White Paper Proposal Form)

5.4 Format and Content of Full Proposals ……………………………………………………………… .15

5.5. Protection of Information Uploaded to BAA Website: .......................................... … ………………..23

5.6. Proposal Due Date and Time:

5.7. Submission of Late Proposals

5.8. BAA Contractual and Technical Questions

6. EVALUATION INFORMATION

6.1. Evaluation Criteria

6.2. Evaluation Panel

6.3. Notification to Offerors of Evaluation Findings

7. AWARD ADMINISTRATION INFORMATION

7.1. Comments or Concerns

8. OTHER INFORMATION

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8.1. Information for Proposal Respondents

8.2. Government Property, Government Furnished Equipment (GFE) and Facilities

8.2. SAFETY Act

8.3. Export Control Considerations

8.4. Security Classification

8.5.Subcontracting Plan…………………………………………………………………………………… 27

8.6. Additional Deliverables

8.7. Reporting

8.8. Certificate of Current Cost or Pricing Data

8.9. Test and Evaluation Facilities

8.10. Hazardous Materials

9. ATTACHMENTS

9.1 – ATTACHMENT A Sample White Paper Proposal Form Format

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1. GENERAL INFORMATION

1.1. Introduction

The Department of Homeland Security (DHS) Science & Technology (S&T) Directorate is announcing to business and academia its intent to solicit research and development proposals under this Broad Agency Announcement (BAA). This BAA is contemplated in Federal Acquisition Regulations (FAR) 6.102(d)(2) and 35.016. This announcement does not request any proposals at this time. Requests for Proposals (or Calls) will be accomplished via amendments to this BAA.

The over-arching strategy of this BAA involves the use of this 3.5-year Open BAA (OBAA) to quickly and efficiently execute research and development to deliver practical solutions to urgent chemical and biological defense priorities. This strategy will provide DHS an acquisition tool with the flexibility to solicit proposals and make awards to perform rapid prototyping of technical solutions to meet present and compelling chemical and biological defense needs, as ever-changing urgent operational issues and capability gaps are identified.

The BAA will remain "open" for 3.5 years; however, proposals will only be solicited and accepted during calls. Each call will identify topics and contain a common cut-off date for proposal submission. Proposals received after the specified due date and time shall be governed by the provisions of FAR 52.215-1(c)(3).

Calls for proposals (made by amendments to this BAA) will occur periodically throughout the life of this over-arching BAA. Each call will: (1) identify specific topic areas; (2) identify any changes to the standard evaluation criteria or proposal preparation instructions, and; (3) contain common cutoff dates for proposal submissions.

It is anticipated that calls issued under this BAA will be unrestricted. Small businesses are encouraged to propose on all of the calls. The NAICS code, unless otherwise stated in the BAA amendments, shall be 541712 (i.e., Research and Development in the Physical, Engineering, and Life Sciences except Biotechnology), and the size standard is 500 employees. Proposals submitted shall be in accordance with this BAA and its appropriate amendment(s).

Interested offerors should be on alert for any BAA amendments that call for proposals, permit extensions to the proposal submission dates, or otherwise change the requirements of this BAA or its subsequent amendments.

This announcement is restricted to work relating to basic and applied research and that portion of advanced technology development not related to a specific system or hardware procurement. This announcement does not cover support services, such as technical services, engineering services, or other types of support services. Such submissions are considered non-compliant with this BAA and will be rejected without evaluation.

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1.2. Program Mission and Objectives

The DHS Science & Technology Chemical Biological Defense Division (CBD) mission is to strengthen its customers’ and stakeholders’ abilities to prevent, detect, respond to, and remediate from a chemical or biological incident, whether intentional or unintentional. This includes the contexts of public civilian infrastructure, agricultural production and operations, and population health. CBD develops innovative solutions to the most pressing challenges faced to address any unforeseen threats to the Nation’s infrastructure, human, or agricultural population arising from chemical or biological hazards.

1.3. Agency Name

Department of Homeland Security Science & Technology Directorate Chemical Biological Defense Division DHS S&T CBD – Mail Stop 0201 245 Murray Lane Washington, DC 20528-0201

1.4. Program Name

Chemical Biological Defense Division

1.5. Research Opportunity Number

BAA 14-003

1.6. Call and Response Approach

The Department of Homeland Security (DHS) Science & Technology (S&T) Directorate will not issue paper copies of this announcement. DHS S&T reserves the right to select for award and fund all, some, or none of the full proposals received in response to calls issued under this BAA. No funding for direct reimbursement of proposal development costs will be allowed. White Papers in “Project Proposal Form” format, Technical and Cost Proposals (or any other material) submitted in response to calls issued under this BAA will not be returned. However, depending on the markings on the proposal, DHS S&T will adhere to FAR policy on handling source selection information and proprietary proposals.

It is the policy of DHS S&T to treat all proposals as sensitive competitive information and to disclose their contents only for the purposes of evaluation. Offerors are to provide unclassified proposals. Documents containing sensitive information that are not suitable for uncontrolled public dissemination should be marked “For Official Use Only” (FOUO).

When transmitted electronically, FOUO proposals should be sent with password protection.

Awards may take the form of contracts or other transactions (OTs) agreements. 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 will work with the appropriate sponsoring agency to issue an interagency

5 | P a g e agreement pursuant to the Economy Act (31 U.S.C. 1535) or other appropriate authority.

Therefore, the applicable laws and regulations governing the legal vehicle used for award will depend on the legal vehicle chosen by DHS S&T. In this regard, Offerors should propose a preferred vehicle type for DHS S&T to consider for award.

Depending on the nature of the requirements for each issued call, the following evaluation approaches will be used for purposes of minimizing the costs and efforts for prospective offerors.

Single Phased Evaluation: Will consist of the solicitation, receipt, and evaluation of Full Proposals only, limited to 30 pages, excluding the Formal Transmittal Letter, Cover Page, Summary of Costs and Related Information, Table of Contents and resumes/biographical information for proposed performers. Once the peer/scientific review process has been completed, offerors will be notified via e-mail, or in writing, that its proposal has been selected, selected but not funded, or not selected for award.

Two Phased Evaluation: Will consist of the solicitation, receipt, and evaluation of both White Papers and Full Proposals. Under this evaluation, Phase 1 will consist of the solicitation, receipt, and evaluation of the White Papers (using standardized DHS Chemical Biological Defense Division “Project Proposal Form” format) from potential performers. Entries in the various sections of the Project Proposal Forms (White Papers) should be concise and conform to the specified formatting and word count limitations. No formal transmittal letter is required for the Phase 1 responses. Once the white paper peer/scientific review process has been completed, offerors will be notified via e-mail, or in writing, whether as a result of its white paper submission, the offeror is “encouraged” or “not encouraged” to submit full proposals.

A down-selection process will then be conducted by DHS and those Phase 1 White Paper Proposal Form (Attachment A) proposals encouraged to submit full proposals will be invited to participate in Phase 2, which will consist of the solicitation, receipt, and evaluation of a Full Proposal, limited to 30 pages, excluding the Formal Transmittal Letter, Cover Page, Summary of Costs and Related Information, Table of Contents and resumes/biographical information for proposed performers. Once the Full Proposal peer/scientific review process has been completed, offerors will be notified via e-mail, or in writing, that its proposal has been selected, selected but not funded, or not selected for award.

Feedback. Offerors not selected for an award may request feedback regarding the peer/scientific review findings of submitted proposals. A written request to the Contracting Officer must be received within 3 calendar days of notification of non-selection. Feedback will not be provided on submitted white papers, or proposals that have been selected or selected but not funded for award.

1.7. Government Representatives

Science and Technology:

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Dr. Randolph Long Department of Homeland Security Science and Technology Directorate Chemical Biological Defense Division Washington, DC 20528

Business:

Mr. Michael Jones Procuring Contracting Officer Department of Homeland Security Office of Procurement Operations Science & Technology Acquisition Division Washington, DC 20528

2. RESEARCH OPPORTUNITY DESCRIPTION

2.1 Anticipated Technical Topic Areas (TTAs)

The following Technical Topic Areas (TTAs) are representative only. They are provided to help interested offerors understand the classes of needs and their potential scope.

Chemical and Biological R&D Areas of Interest

CBD.01 – Diagnostics and Agent Characterization: Research to develop rapid, robust, and affordable diagnostic tools to support detection, response, recovery, and real-time bio-surveillance and situational awareness. CBD’s interest in diagnostics includes efforts in the areas of biological assays, sample preparation, advanced diagnostics (e.g. multiplex, high throughput, low-cost, field-deployable, complex sample matrices (environmental, milk, blood, oral/nasal, sputum), multiple target types, pathogen agnostic diagnostics), and agent characterization of chemical or biological materials. CBD’s interest includes new or improved rapid diagnostic tests that facilitate foreign animal disease (FAD) outbreak surveillance, response, and recovery in livestock.

CBD.02 – Surveillance and Detection: Advance the capability to provide early warning and detection of a chemical or biological incident in a cost-sustainable way. Effective surveillance provides essential information to decision authorities on a timescale that allows them to take actions towards mitigating or responding to the threat. Efforts in this area include bioinformatics, advanced analytics, distributed and networked architectures, open area and facility surveillance through sensing and data integration, and development or improvement of chemical and biological sensors.

CBD.03 – Event Characterization, Response, and Remediation: Research aimed at developing affordable and effective event characterization, decontamination, and remediation tools from a chemical or biological incident. Efforts in this area include understanding chemical interactions with operationally-relevant surfaces, chemical and

7 | P a g e biological degradation or persistence in the environment, mapping areas of contamination, effective decontamination technologies, and planning and response modeling and guidance.

CBD: Threat Characterization & Attribution Areas of Interest

CBD.04 – System Studies: Research to conduct studies and analysis to identify gaps in technology and operational concepts and to support formulation of requirements for chemical and biological countermeasure development. Current specific areas of interests are transit system defensive architectures and surveillance architectures to detect and/or characterize a biological attack.

CBD.05 – Bioforensics and Chemical Forensics: Research and development of next generation and novel technologies to characterize biological and chemical threat agents for source attribution in support of FBI and NBFAC requirements in a criminal investigation.

These include novel applications of next generation technologies to characterize the organism, the agent, or the sample matrix.

CBD.06 – CBRN Risk Analysis and the Biological Threat Characterization Program (BTCP): Research and development of next generation and novel methodological approaches to terrorism risk analysis, intentional attack analysis, scenario modeling and simulation to understand the impact of a biological attack on the country. Biological threat information requirements are identified and prioritized from internal DHS sources and other Federal Government partners.

Agro Defense Areas of Interest

CBD.07 – Vaccines and Therapeutics: New, cost-effective, biological-based countermeasures for foreign animal disease (FAD) and zoonotic pathogens affecting major domestic livestock species. Specific areas of interest are cattle and swine product candidates based on molecular or recombinant vaccine platforms previously shown to be safe and effective against other infectious animal or human biodefense disease targets, panvalent vaccines and novel biological-derived broad spectrum antiviral agents with an established immune-based mechanism of action. Influenza countermeasure proposals will not be considered:

(1) New, molecular-based or recombinant vaccine candidates that improve the onset of protective immunity and can differentiate infected from vaccinated animals.

(2) Novel immunostimulants, adjuvants, or biological-based agents with an immune-based mechanism of action that can improve pathogen-specific vaccine efficacy and/or vaccine potency.

(3) New molecular or recombinant-based vaccines that can increase spectrum of cross-protection against related strains.

(4) New molecular or recombinant-based vaccines based on innovative state-of-the-art technologies (e.g., nanovaccines, VLPs).

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(5) New biological-based broad spectrum anti-viral therapeutics (small molecule drugs excluded) that can be used in combination with pathogen-specific vaccines.

(6) Novel high throughput vaccine or biological delivery systems for livestock.

3. AWARD INFORMATION

3.1. Anticipated Award Date

The anticipated award dates will be specified under each call for proposals. Awards are probable based on amendments issued during the 3.5 year (FY14-FY17) solicitation period.

3.2. Anticipated Funding for the Program

Estimated Value: The value of this BAA will not exceed $50 million dollars over its 3.5 year duration. Funding will be applied to BAA calls subject to official fiscal appropriation and availability and according to CBD mission needs.

3.3. Limitation of Funds

The Government reserves the right to incrementally fund contracts awarded from this BAA as provided by the FAR 52.232-22, “Limitation of Funds.” Contracts or other agreements that obligate funds that are awarded will not have an initial period of performance that exceeds 12 months from the receipt of funding by the performer. However, offerors can propose a base year effort with up to one option year.

3.4. Type of Contract/Instrument

It is anticipated that the majority of awards issued under this BAA Award type will be in the form of Cost Reimbursement type contracts. The specific type of contract will be issued in each call for proposals. The Government reserves the right to award procurement contracts, Other Transactions (OTs), or Interagency Agreements (IAAs) to appropriate parties should the situation warrant.

3.5. Number of Awards Anticipated

The total number of awards under this solicitation is unknown at this time. Future awards are probable based on calls or amendments issued during the 3.5 year (FY14-FY17) solicitation period.

3.6. Expected Amount of Individual Awards

The value of individual awards is unknown at this time. CBD’s desire is for companies and academia to leverage existing technology or development efforts when possible to minimize cost while meeting the stated objectives.

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3.7. Anticipated Period of Performance for Individual Awards

The anticipated initial period of performance for each award is 12 months, with extensions possible through the exercise of options.

4. ELIGIBILITY INFORMATION

This BAA is open to ALL responsible sources.

Offerors may include single entities or teams from academia, private sector organizations, Government laboratories, and Federally Funded Research and Development Centers (FFRDCs), including Department of Energy National Laboratories and Centers.

4.1. 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.

4.2. Nonprofit Organizations, Educational Institutions and Small Business Set Aside

The Government encourages Nonprofit Organizations, Educational Institutions, Small Businesses, Small Disadvantaged Business (SDB) concerns, Historically Black Colleges and Universities (HBCU), Minority Institutions (MI), Women-Owned Businesses (WB), and Historically Underutilized Business (HUB) zone enterprises as well as large businesses, academic institutions, and Government laboratories to submit research proposals for consideration and/or to join others in submitting proposals; however, no portion of the BAA will be set-aside for these special entities pursuant to FAR Part 19.502- 2, because of the impracticality of reserving discrete or severable areas of research and development in any specific requirement area.

To ensure full consideration in these programs, registration in the https://baa2.st.dhs.gov/ website, described later in this document, requires the appropriate business type selection as well as accurate up-to-date information.

4.3. Organizational Conflict of Interest

In accordance DHS Clause HSAR 3052.209-72 (Organizational Conflict of Interest), Organizational Conflict of Interest issues will be evaluated on a case-by-case basis; as outlined below. Offers who have existing contract(s) to provide scientific, engineering, technical and/or administrative support directly to the DHS S&T will receive particular scrutiny.

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(a) Determination. The Government has determined that this effort may result in an actual or potential conflict of interest, or may provide one or more Offerors with the potential to attain an unfair competitive advantage.

(b) If any such conflict of interest is found to exist, the Contracting Officer may (1) disqualify the Offeror, or (2) determine that it is otherwise in the best interest of the United States to contract with the Offeror and include the appropriate provisions to mitigate or avoid such conflict in the contract awarded. After discussion with the Offeror, the Contracting Officer may determine that the actual conflict cannot be avoided, neutralized, mitigated, or otherwise resolved to the satisfaction of the Government, and the Offeror may be found ineligible for award.

(c) Disclosure: The Offeror must represent, as part of its proposal and to the best of its knowledge that: (1) It is not aware of any facts which create any actual or potential organizational conflicts of interest relating to the award of this contract; or (2) It has included information in its proposal, providing all current information bearing on the existence of any actual or potential organizational conflicts of interest, and has included the mitigation plan in accordance with paragraph (d) of this provision.

(d) Mitigation/Waiver. If an Offeror with a potential or actual conflict of interest or unfair competitive advantage believes it can be mitigated, neutralized, or avoided, the Offeror shall submit a mitigation plan to the Contracting Officer for review. Award of a contract where an actual or potential conflict of interest exists shall not occur before Government approval of the mitigation plan.

(e) Other Relevant Information: In addition to the mitigation plan, the Contracting Officer may require further relevant information from the Offeror. The Contracting Officer will use all information submitted by the Offeror, and any other relevant information known to DHS, to determine whether an award to the Offeror may take place, and whether the mitigation plan adequately neutralizes or mitigates the conflict.

(f) Corporation Change. The successful Offeror shall inform the Contracting Officer within thirty (30) calendar days of the effective date of any corporate mergers, acquisitions, and/or divestures that may affect this provision.

(g) Flow-down. The contractor shall insert the substance of this clause in each first tier subcontract that exceeds the simplified acquisition threshold.

5. APPLICATION AND SUBMISSION INFORMATION

The following proposal preparation instructions may apply in total, or in part, to subsequent individual calls for proposals. Each amendment to this BAA calling for proposals will detail which proposal preparation instructions apply. Proposals submitted shall be in accordance with this announcement and any instructions in the individual call for proposals. Submissions will be considered proprietary information and will be protected accordingly as long as they are appropriately marked. Offerors should be alert for any BAA amendments that may permit extensions to the proposal submission date.

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5.1. BAA Package Download

This BAA package may be downloaded in its entirety from the Federal Business Opportunities website http://www.fbo.gov or from https://baa2.st.dhs.gov.

Registration is not required to download the BAA package; however, a registration in https://baa2.st.dhs.gov/ is required to upload a response to the BAA.

5.2. Application and Submission Process

Submissions will not be accepted from organizations that have not registered. Any organization that wishes to participate in this solicitation must register at: https://baa2.st.dhs.gov/.

(a) Submitting a Response to this BAA:

1. To begin the registration process, log on to https://baa2.st.dhs.gov and select Submissions link from the side menu. Note users will need their respective company’s Tax Identification Number (TIN) or Employee Identification Number (EIN) to complete registration.

2. After logon, click on “Start New Proposal” to initiate a new white paper (a completed DHS Chemical Forensics Program Project Proposal Form—See Attachment A) registration, and fill in the requisite fields, including selecting the specific Technical Topic Area (TTA) to be addressed by the proposed technology. For additional information download the Submissions Training Guide that can be found from the upper right hand corner of the FAQs.

3. When applicable to the Two Phased Evaluation Process (See Section 1.6), white papers shall be submitted using Attachment A (White Paper Project Proposal Forms) and must limit the entries for each section of the form to the number of words specified. Any excess words submitted will not be evaluated. Users will receive confirmation of their submission via e-mail. You may revise your Project Proposal Form (White Paper) submission until the deadline. Failure to submit a White Paper (completed Attachment A) will disqualify an offeror from consideration for submitting a Full Proposal.

4. When applicable to the Two Phased Evaluation Process and as identified in each issued call, offerors may register to submit as many white papers for as many TTAs as desired. Each white paper submitted must address a primary TTA. If the proposed technology has any relationship to other TTAs over and above the TTA the white paper will be submitted under, then the white paper should address how the proposed technology relates to these additional TTAs.

5. If submitting multiple white papers, it is NOT necessary to register multiple times. Registration for multiple white papers can be made by using the Start New Proposal button as many times as needed. Submissions will not be accepted from organizations that have not registered. Any organization that wishes to participate in this solicitation must register at: https://baa2.st.dhs.gov

12 | P a g e http://www.fedbizopps.gov/ https://baa2.st.dhs.gov/

6. In teaming situations, the lead organization must remain the same on both the White Paper (in Attachment A Form format), and if selected, the Full Proposal.

Any Full Proposal submitted by organizations that were not the lead organization for the White Paper (Attachment A, Project Proposal Form) submission will be considered non-responsive.

Full Proposals shall be delivered via upload in accordance with instructions provided during registration.

If a Call solicits classified material, whether white papers, full proposals, or portions thereof, specific instructions for submission will be given in the Call.

The proposal submissions will be protected from unauthorized disclosure in accordance with FAR 15.207, applicable law, and DHS regulations. Offerors are expected to appropriately mark each page of their submission that contains proprietary information.

The DHS BAA website at https://baa2.st.dhs.gov offers electronic access to BAA solicitations, frequently asked questions (FAQs), answers to FAQs, abstracts of previously funded projects, and hyperlinks to other useful information.

For step-by-step instructions for registering your company and submitting your proposal, please refer to the “Registrations and Submissions Training Guide” which can be accessed by clicking the link at the top right corner of the Frequently Asked Questions (FAQs) page.

IMPORTANT: Before submitting a proposal for the first time, you must first register your company and user account in the system. It is recommended that the Business Official or an authorized representative designed by the Business Official be the first person to register for your company. Your company’s Taxpayer Identification Number (TIN) is required during registration. (If your company is registered, other new users may register and associated their information with the company’s existing record. When registration is completed, users can submit and manage their proposals.

NOTE: User registration is not sufficient for registering the White Paper. To register your White Paper, you must log on with your credentials. Click the “Start New Proposal” button. When the Start the New Proposal page displays, pick the solicitation and topic, and then enter the title of the white paper/proposal that you are submitting. When you have entered the title, click the “Add Proposal to Activity Worksheet” button. The Proposal Activity worksheet page lists your proposal in the Proposals in progress section of the page.

You white is registered at this point. Repeat this step before the White Paper registration deadline for every white paper you wish to register.

After you have completed the Coversheets and uploaded your White Paper document, you must click on the “Submit White Paper” button to submit the White Paper; simply uploading the document is not sufficient. After you have uploaded your Full Proposal documents, you must click on the “Submit Proposal” button to submit the Full Proposal;

simply uploading the documents is not sufficient.

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5.3. Format and Content of White Paper (Attachment A White Paper Proposal Form)

For the purposes of the BAA website, a completed Attachment A White Paper Proposal Form (a MS Word document) constitutes a White Paper. Due dates for White Papers submissiopns will be identified under each issued call.

Attachment A Form Preparation and Submission Guidelines

When applicable to the Two Phased Evaluation Process, it is required that the Attachment A be submitted prior to a Full Proposal to determine the acceptability of the proposed concept to one or more of the Broad Agency Announcement TTAs. Submitters will be invited to submit Full Proposals based on the Attachment A Form (White Paper) review.

Awards will be based on the Full Proposals.

Entries in the various sections of the Attachment A White Paper Proposal Form should be concise and conform to the specified word count limitations. All pages shall be printed single-spaced on 8-1/2 by 11 inch paper with type not smaller than 12 point font. Pertinent figures, tables, and charts are encouraged and are not included in the word count and font size limitation for the various sections of the Project Proposal Form. The font for diagrams, figures, or tables should have fonts that are legible – no smaller than 8 point font.

No formal transmittal letter for white papers will be required for calls issued the Two Phased Evaluation process.

5.4. Format and Content of Full Proposals

Full Proposal Format

Proposals will consist of two volumes:

• Volume 1 - Technical Proposal

• Volume 2 - Cost Proposal

For each volume, the following format shall apply:

• Paper Size – 8.5-by-11-inch paper

• Margins – 1 inch

• Spacing – Single- or double-spaced

• 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 8 point.

• Number of Pages –

14 | P a g e o Volume 1 (Technical Proposal): No more than 30 single-sided pages. Proposals exceeding the page limit will not be evaluated. The Official Transmittal Letter, as well as the cover page, table of contents and resumes/biographical information about potential performers in the proposal are not subject to the page limitation.

o Volume 2: (Cost Proposal): No more than 10 pages

• Copies – A proposal shall consist of one electronic file for the Technical Proposal volume and one electronic volume for Cost proposal volume. Electronic files will be in portable document format (PDF), readable by IBM-compatible PCs. Each file size must be no more than 10 MB.

Proposal Content Proposal content may vary between BAA calls, and will be detailed in individual calls. For instance, some BAA calls may be for efforts that do not require a commercialization plan, whereas commercialization plans may be a key evaluation factor for other calls.

Volume 1: Technical Proposal

Volume I of the proposal shall be in the form of a Technical Proposal volume.

Responsiveness to the order and content of sections listed in Volume I is important to assure thorough and fair evaluation of proposals. Nonconforming proposals may be rejected without review. The Technical Proposal must cover the following points in more detail:

• Official Transmittal Letter: This is an official transmittal letter with authorizing official signature. For an electronic submission, the letter can be scanned into the electronic proposal. The letter of transmittal shall state whether the proposal has been submitted to another government agency, other than DHS S&T, and if so, which one and when.

• Cover Page: This should include the words “Technical Proposal” and the following:

1) BAA number;

2) Call number;

3) Technical Topic Area;

4) Title of Proposal;

5) Type of classifications;

6) Identity of prime Offeror and complete list of subcontractors, if applicable;

7) Technical point of contact (name, address, phone/fax, electronic mail address);

8) Administrative/business point of contact (name, address, phone/fax, electronic mail address); and,

9) Duration of effort (separately identify the basic effort and any options)

10) In accordance with FAR 4.1201, prospective offerors for contracts and for

OTAs involving prototypes (Section 845), shall state the certifications in the

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Online Representations and Certifications Application (ORCA) at http://orca.bpn.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. If multiple organizations are participating, one signature from the principal/leading organization is acceptable.

• Table of Contents

• Executive Summary: Summarize the proposal and the expected benefits of the solution.

• Proposal: Describe the proposed work and the associated technical and management issues.

• Performance Goals: Describe the overall methodology and how it will meet the program objectives and the specific Technical Task Area.

• Detailed Technical Approach: Describe the proposed design and technical issues.

Identify the critical technical issues in the design and concept.

• 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). Describe how each task will be performed and identify sub-tasks, if appropriate. Include a section clearly marked as the SOW you propose to undertake. It is anticipated that the proposed SOW will be incorporated as an attachment to the resultant award instrument. To this end, such proposals must include a severable self-standing SOW without any proprietary restrictions, which can be attached to the contract or agreement award.

• Deliverables: Provide a brief summary of all deliverables proposed under this effort, including data, and reports consistent with the objectives of the work; along with suggested due dates (calendar days after the effective date of award). This section shall be severable, i.e., it will begin on a new page and the following section shall begin on a new page. It is anticipated that the proposed detailed list and description of all deliverables will be incorporated as an attachment to the resultant award instrument. To this end, such proposals must include a severable self-standing detailed list and description of all deliverables without any proprietary restrictions, which can be attached to the contract or agreement award.

• 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, and their past experience in technical areas related to this proposal.

16 | P a g e http://orca.bpn.gov/

Commercialization Plan: If relevant, offerors must also include a description in the proposal of their plan for commercializing the technology, or other plans for getting the technology into established transition paths. 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 be transitioned, manufactured and distributed 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. Offerors who intened to partner with other companies for manufacturing and distribution services should identify their partners and the partners capabilities.

• 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.

• 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.

• Cost Summary: Summarize the projected total costs for each task in the initial period of performance and any proposed option year of the effort, including a summary of subcontracts, man hours, and consumables.

• Resumes for Key Personnel: In Appendix A, provide resumes and curriculum vitae (CVs) for each of the key personnel. These resumes do not count toward the 30-page limit.

• Other DHS Support: As an appendix, provide a list of any current or pending awards or proposals with DHS that pertain to the work, submitted either as a prime contractor, subcontractor/consultant, or teaming partner. This section will not count towards the 30-page limit.

• Assertion of Data Rights: In accordance with the provisions of the “Data Rights” and “Patent Rights” FAR clauses that are to be specified under any resultant award under this BAA, include a summary of any assertions to any technical data or computer software that will be developed or delivered under the resultant award.

This includes any assertions to pre-existing results, prototypes, or systems supporting and/or necessary for the use of the research, results, and/or prototype.

Any rights asserted in other parts of the proposal that would impact the rights in this section must be cross-referenced. If less than unlimited rights in any data delivered

17 | P a g e under the resultant award are asserted, the offeror must explain how these rights in the data will affect its ability to deliver research data, subsystems, and toolkits for integration as set forth below. Additionally, the offeror must explain how the program goals are achievable in light of these proprietary and/or restrictive limitations. If there are no claims of proprietary rights in pre-existing data, this section shall consist of a statement to that effect.

Proposals submitted in response to this solicitation shall identify all technical data or computer software that the Offeror asserts will be furnished to the Government with restrictions on access, use, modification, reproduction, release, performance, display, or disclosure. Offeror's pre-award identification shall be submitted using the following Assertions Table as an attachment to its offer and shall contain the following information:

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

18 | P a g e all data or software will be submitted without restrictions.

Completed by:

Signature Printed Name and Title Date

Statement of Assertion. Include the following statement: “The Offeror asserts for itself, or the persons identified below, that the Government's rights to access, use, modify, reproduce, release, perform, display, or disclose only the following technical data or computer software should be restricted:”

Identification of the technical data or computer software to be furnished with 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 as specifically as possible (e.g., by referencing specific sections of the proposal or specific technology or components). For computer software or computer software documentation, identify the software or documentation by specific name or module or item number.

Detailed description of the asserted restrictions. For each of the technical data or computer software identified above in paragraph (2), identify the following information:

(i) Asserted rights. Identify the asserted rights for the technical data or computer software.

(ii) Copies of negotiated, commercial, and other non-standard licenses. Offeror shall attach to its offer for each listed item copies of all proposed negotiated license(s), Offeror's standard commercial license(s), and any other asserted restrictions other than Government purpose rights; limited rights; restricted rights; rights under prior government contracts, including SBIR data rights for which the protection period has not expired; or government’s minimum rights.

(iii) Specific basis for assertion. Identify the specific basis for the assertion. For example:

(A) Development at private expense, either exclusively or partially. For technical data, development refers to development of the item, component, or process to which the data pertains. For computer software, development refers to the development of the software. Indicate whether development was accomplished exclusively or partially at private expense.

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(B) Rights under a prior government contract, including SBIR data rights for which the protection period has not expired.

(C) Standard commercial license customarily provided to the public.

(D) Negotiated license rights.

(iv) Entity asserting restrictions. Identify the corporation, partnership, individual, or other person, as appropriate, asserting the restrictions.

Previously delivered technical data or computer software. The Offeror shall identify the technical data or computer software that are identical or substantially similar to technical data or computer software that the Offeror has produced for, delivered to, or is obligated to deliver to the Government under any contract or subcontract. The Offeror need not identify commercial technical data or computer software delivered subject to a standard commercial license.

Estimated Cost of Development. The estimated cost of development for that technical data or computer software to be delivered with less than Unlimited Rights.

Supplemental information. When requested by the Contracting Officer, the Offeror shall provide sufficient information to enable the Contracting Officer to evaluate the Offeror’s assertions. Sufficient information must include, but is not limited to, the following:

(1) The contract number under which the data or software were produced;

(2) The contract number under which, and the name and address of the organization to whom, the data or software were most recently delivered or will be delivered; and

(3) Identification of the expiration date for any limitations on the Government’s rights to access, use, modify, reproduce, release, perform, display, or disclose the data or software, when applicable.

The Bayh-Dole Act shall apply for any patentable materials, technologies, or knowledge developed on a contract resulting from this solicitation. The Government reserves nonexclusive, perpetual, royalty-free licensure of any materials developed under a contract resulting from this solicitation.

Ineligibility for award. An Offeror's failure to submit or complete the identifications and assertions required by this provision with its offer may render the offer ineligible for award.

This section must be severable, i.e., it will begin on a new page and the following section shall begin on a new page. It is anticipated that the proposed Assertion of Data Rights will

20 | P a g e be incorporated as an attachment to the resultant award instrument. To this end, proposals must include a severable self-standing Assertion of Data Rights without any proprietary restrictions, which can be attached to the contract or agreement award.

VOLUME 2: Price/Cost Proposal

The Price/Cost Proposal shall consist of a cover page and two parts, Part 1 and Part 2. Part 1 will provide a detailed cost breakdown of all costs by cost category and Part 2 will provide a Cost breakdown by task/sub-task using the same task numbers in the Statement of Work. Options must be separately priced.

In order to qualify for award, the offeror must have an adequate accounting system in accordance with FAR 16.301-3(a)(1). Evidence of an adequate accounting system would include a written opinion or other statement from the cognizant federal auditor (CFA) or the cognizant federal agency official (CFAO) that the system is approved or has been determined to be adequate. If available, the offeror shall provide the audit report number and date associated with the accounting system review. If the offeror does not have a copy of the report, the offeror may furnish a copy of the audit report number.

If the offeror does not have an accounting system that has been determined adequate by the CFA or CFAO, but believes its accounting system is adequate, the offeror shall so state in its proposal. As part of the pre-award evaluation process, the Government will obtain the necessary review by the CFA. The offeror will be required to allow the CFA to review the accounting system and correct (or have a timely action plan to correct) any issues identified as precluding the system from being adequate. The offeror will provide the CFA name, address and telephone number and the point of contact as part of its proposal.

Offers will be rejected if the offeror does not have an adequate accounting system unless the Government determines that the offeror‘s action plan for correcting the accounting system is timely and acceptable. However, no invoices will be paid under the contract until the Contractor’s system has been determined adequate. The Contractor shall maintain an adequate accounting system to substantiate vouchers (including any subcontractor hours reimbursed at the hourly rate in the schedule) by evidence of actual payment and by:

(i) Individual daily job timekeeping records;

(ii) Records that verify the employees meet the qualifications for the labor categories specified in the contract; and

(iii) Other substantiation approved by the Contracting Officer. (FAR 52.232-7(a)(5)).

Cover Page: The use of the SF 1411 is optional. The words “Price/Cost Proposal” should appear on the cover page in addition to the following information:

1) BAA number;

2) Call number;

3) Technical Topic Area;

4) Title of Proposal;

5) Type of classifications;

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6) Identity of prime Offeror and complete list of subcontractors, if applicable;

7) Technical point of contact (name, address, phone/fax, electronic mail address);

8) Administrative/business point of contact (name, address, phone/fax, electronic mail address); and,

9) Duration of effort (separately identify the basic effort and any options)

10) In accordance with FAR 4.1201, prospective offerors for contracts and for

OTAs involving prototypes (Section 845), shall state the certifications in the Online Representations and Certifications Application (ORCA) at http://orca.bpn.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. If multiple organizations are participating, one signature from the principal/leading organization is acceptable.

Part 1: Detailed breakdown of all costs by cost category. The Offeror should provide a total estimated price for major demonstrations and other activities associated with the program, including cost sharing, if any. The Offeror should state whether any Independent Research and Development (IR&D) program is or will be dedicated to this effort, or if IR&D is being pursued to benefit related programs as well. Any cost sharing estimates should include the type of cost share, i.e. cash or in-kind.