HSHQDC-15-R-00089_-_HSOAC_FFRDC_-_v1_5_-_17_July_2015.pdf

PIID: HSHQDC-15-R-00089 7/17/2015 4:35 PM

Version 1.5

PART I. THE SCHEDULE

Section A. Solicitation/Contract Form

A.1. Standard Form (SF) 33 (End of Section A)

Section B. Services and Prices/Costs B.1. Purpose

The purpose of this U.S. Department of Homeland Security (DHS) 1.1.

Indefinite-Delivery, Indefinite-Quantity (IDIQ) Contract Procurement Instrument Identifier (PIID) (TBD) (hereafter “this Contract”) is to establish the Federally Funded Research and Development Center (FFRDC) known as the Homeland Security Operational Analysis Center (HSOAC, hereafter “the HSOAC FFRDC” or “the FFRDC”).

(TBD) (hereafter "the Contractor" or “the FFRDC operator”) shall provide 1.2.

studies and analysis services consistent with Section C of this Contract. The technical expertise including all management, labor, facilities, and materials necessary for performance shall be in accordance with task orders (TOs) issued pursuant to the terms of this Contract in accordance with the procedures outlined in Section G of this Contract.

B.2. Type of Contract This is an IDIQ Contract. TOs may be issued on a firm-fixed-price (FFP) 2.1.

or cost-plus-fixed-fee (CPFF) basis in accordance with the procedures set forth in Section G of this Contract.

B.3. Contract Line Items (CLINs) CLIN NO. Supplies/Services Amount

0001 HSOAC services in accordance with Section C (Total Estimated Cost) (TBD) 0002 Core Research Program (Total Estimated Cost) (TBD) 0003 Fixed Fee (TBD%) (TBD)

Total (TBD)

B.4. Indirect Costs The Contractor shall be reimbursed for indirect costs consistent with 4.1.

forward pricing rates subject to appropriate adjustment when the final rate(s) are established. The Contractor is responsible for submitting approved Forward Pricing Rate Agreements to the DHS Contracting Officer as they are approved by the Defense Contract Audit Agency (DCAA) or the Contractor’s cognizant Government audit entity.

The Contractor shall submit final indirect rate documentation as it is 4.2.

agreed to and approved by DCAA or the Contractor’s cognizant Government audit entity.

B.5. Fixed-Fee The fixed-fee percentage of this contract is (TBD) percent (TBD%). The 5.1.

fixed-fee amount of an issued task order shall be established at the issuance of the task and will not vary based on actual costs of performance but may be adjusted as a result of changes in the work performed under the task order.

If the cost of this Contract does not reach the maximum value contained 5.2.

in Section B.3, then the total contract fee shall be the sum of all fee dollars under issued tasks.

If the cost of this Contract exceeds the maximum value contained in 5.3.

Section B.3 above, the percentage of fixed-fee to the Contractor may not be increased. The fixed-fee withholding provisions contained in FAR clause 52.216- 8, “Fixed-Fee,” are applicable to individual TOs.

B.6. Terminology Used in this Contract This Contract utilizes certain terminology specific to DHS’s operation of 6.1.

its FFRDCs. These terms are defined in DHS Management Directive (MD) 143 and its associated Instruction. The following terms and their associated meanings are used in this Contract:

Term Meaning

Core Statement The core statement describes the purpose and mission of the FFRDC, the nature of the strategic relationship between the FFRDC and DHS, the general scope of efforts to be performed for DHS, and core competencies the FFRDC is to maintain so that it can assist in accomplishing the DHS mission.

Core Work Core work is work appropriate for performance by the FFRDC because it is consistent with the mission, purpose, and competencies of the FFRDC, and draws on or sustains a strategic relationship between the FFRDC and its sponsor.

Parent Institution The parent institution is the entity that executes with the sponsor, or in the case of a Multiple Agency Sponsorship Agreement a primary sponsor, the sponsorship agreement to operate the FFRDC or a national laboratory. FFRDCs may be operated, managed, or administered by many different types of organizations, as described in paragraph IV.E.6 of MD 143. A parent institution may also be called a parent organization.

Primary Sponsor The primary sponsor is the lead agency responsible for managing, administering, or monitoring overall use of the FFRDC under a multiple sponsorship agreement on behalf of DHS. The US(S&T) is the primary sponsor for DHS FFRDCs and is the lead DHS sponsor when a non-DHS FFRDC is sponsored by more than one Federal agency.

Multiple agencies or multiple DHS directorate sponsorship is possible as long as one entity agrees to act as the “primary sponsor.”

Sponsor A sponsor is an executive agency which manages, administers, monitors, and is responsible for the overall use of an FFRDC, other than the primary sponsor, that is party to a multiple agency sponsorship agreement. The US(S&T) is the DHS sponsor for DHS use of a non- DHS FFRDC under a multiple agency sponsorship agreement.

Sponsoring Agreement

The sponsoring agreement is a written agreement between the government (primary sponsor) and the FFRDC’s parent institution that is prepared when the FFRDC is established. The sponsoring agreement contains the core statement as defined herein, as well as other items

Term Meaning identified in FAR 35.017.

Strategic Relationship

FFRDCs operate in a strategic relationship with its sponsor(s) and other users. This relationship enables FFRDCs to develop and maintain in-depth knowledge of the sponsor’s programs and operations; to maintain continuity and currency in its special fields of expertise with a high degree of competence in its staff and work; to operate in the public interest with objectivity and independence; to be free from organizational conflicts of interest, and to respond effectively to the emerging needs of the sponsor(s) and other users. To leverage opportunities and expand the benefits of operating an FFRDC for authorized users.

Appropriateness Review

A review conducted by S&T to ensure all work performed by DHS and non-DHS laboratories or FFRDCs is appropriate their purpose, mission, general scope of effort, and special competency.

B.7. Clause Applicability The ordering activity may include additional contract clauses in orders 7.1.

other than those enumerated in this Contract such as: (1) optional Federal Acquisition Regulation (FAR) clauses, (2) sponsoring activity-specific clauses,

(3) alternates to FAR clauses, and (4) order-specific clauses.

In the event of a conflict between clauses included in a specific task order 7.2.

and this IDIQ Contract, the IDIQ Contract shall control.

Throughout this Contract clauses may be marked with either one or 7.3.

multiple asterisks. This delineates the following:

• (*) clause applies at IDIQ level only

• (**) clause applies at task order level only

• (***) clause applies at both IDIQ and task order level

Clauses not marked in accordance with the above are generally applicable 7.4.

to work performed under this Contract unless otherwise noted.

Nothing in this section will be construed as conflicting with any order of 7.5.

precedence stated elsewhere in this Contract.

(End of Section B)

Section C. Statement of Work General 1.1.

1.1.1. The Homeland Security Act of 2002 (Section 305 of PL 107-296, as codified in 6 U.S.C. 185) (herein referred to as the “Act”), authorizes the Secretary, acting through the Under Secretary for Science and Technology (US(S&T)), to establish one or more Federally Funded Research and Development Centers (FFRDCs) to provide independent analysis of homeland security issues, or to carry out other responsibilities under the Act.

1.1.2. Each FFRDC has a specific Government organization that is designated as its Primary Sponsor1, responsible for implementing FFRDC management policies and procedures. The Primary Sponsor is responsible for maintaining a Sponsoring Agreement2 with the FFRDC’s parent institution3, defining the core competencies or capabilities that the FFRDC must maintain, and ensuring that all work performed by the FFRDC is consistent with its core competencies. The Sponsoring Agreement lists the operational restrictions that the FFRDC must follow befitting its special relationship with the Government, including operating in the public interest with objectivity and independence, being free from real or perceived organizational and personal conflicts of interest, and having full disclosure of its affairs to its Primary Sponsor.

1.1.3. The nature of their mission requires that FFRDCs operate in a strategic relationship with their sponsors. FFRDCs and sponsors commit to a stable and long-term relationship. FFRDCs are responsive to evolving sponsor's needs, with a broad comprehensive knowledge of their sponsor's requirements and problems. FFRDCs accept stringent restrictions on their scope, methods of operations and the kinds of efforts they can undertake in order to avoid actual or perceived conflicts of interest.

1.1.4. DHS FFRDCs perform work that: (1) is consistent with their mission, purpose, and capabilities; (2) is consistent with DHS's needs as reflected in their core competencies; (3) is consistent with the strategic relationship with their primary sponsor; and (4) cannot be performed as effectively by existing in-house or contractor resources. DHS FFRDCs may perform work only for DHS, other Government entities, and not-for-profit activities. FFRDCs are restricted from performing commercial work. The Primary Sponsor must approve all work.

1 The primary sponsor is the lead agency responsible for managing, administering, or monitoring overall use of the FFRDC under a multiple sponsorship agreement on behalf of DHS. The US(S&T) is the primary sponsor for DHS FFRDCs.

2 The sponsoring agreement is a written agreement between the government (primary sponsor) and the FFRDC’s parent institution that is prepared when the FFRDC is established. The sponsoring agreement contains the core statement as defined herein, as well as other items identified in FAR Section 35.017.

3 The parent institution is the entity that executes the sponsoring agreement to operate the FFRDC with the primary sponsor. FFRDCs may be operated, managed, or administered by many different types of organizations. The parent institution may also be referred to in this Contract as “the Contractor” or “the FFRDC operator.”

Background 1.2.

1.2.1. The Science and Technology Directorate (S&T) of the Department of Homeland Security (DHS) has a requirement to establish a studies and analysis FFRDC on behalf of the Department to be known as the Homeland Security Operational Analysis Center (HSOAC). The HSOAC FFRDC is intended to provide mission level technical and integration expertise to DHS leadership and managers that is normally not available within the Government. The HSOAC refocuses the existing Homeland Security Studies and Analysis Institute (HSSAI) FFRDC with comprehensive and renewed core competencies in operational analyses, but does not change the fundamental purpose or mission of the HSOAC as DHS’s sole studies and analysis FFRDC with continued support to all DHS components across the homeland security enterprise (HSE4).

1.2.2. The purpose of this FFRDC, through its special relationship with its Sponsor, is to provide special and independent studies and analysis expertise to Department mission owners to transform mission-level goals into strategies, operational requirements, and performance metrics, constrained by cost and schedule. Through studies and analysis, the FFRDC shall provide recommendations for policy and operational changes, as well as technology insertion concepts, throughout the federal, state, local, tribal, public and private sector organizations that make up the homeland security enterprise.

The FFRDC shall generally work on the most complex homeland security issues and problems.

1.2.3. The FFRDC will promote fair and open competition for the development and delivery of HSE capabilities by providing independent and objective technical expertise in: cross-cutting mission analysis, strategic studies and assessments, modeling of operational concepts and policy trade-offs within and across mission areas, system simulations and technical assessments to evaluate mission trade-offs, creation and evolution of high-level concepts of operation, development of top-level system and operational requirements and performance metrics, operational analysis across the homeland security enterprise, and analytic support for operational testing and evaluation in tandem with the Government’s acquisition process. The FFRDC shall ensure a logical optimization of mission and system-of-system tradeoffs from a long term perspective based on system/program lifecycle costs.

Overtime, the HSOAC will help the Department develop a homeland security enterprise “system of systems” approach that will promote efficiencies and synergies across all missions. Through its long term relationship with the Department, the FFRDC shall promote frameworks and strategies to enhance the general understanding of the trade-offs inherent in reducing our Nation’s

4 DHS defines the homeland security enterprise as the federal, state, local, tribal, territorial, nongovernmental, and private-sector entities, as well as individuals, families, and communities, who share a common national interest in the safety and security of the United States and the American population (GAO, Department of Homeland Security:

Progress Made and Work Remaining after Nearly 10 Years in Operation, GAO-13-370T (Washington, D.C.: Feb.

15, 2013)).

http://www.gao.gov/assets/660/652219.pdf risk to terrorism and catastrophic incidents through, among other things, improved interoperability and information sharing across the homeland security enterprise. Tasks will generally be sponsored by senior leadership and mission owners located throughout the Department and the HSE.

Scope 1.3.

The services provided by the HSOAC FFRDC operator are considered advisory and assistance service (A&AS) as defined at FAR Subsections 2.101(1) and (2).

The FFRDC shall provide independent and objective analyses and advise in core areas important to Department in support of policy development, decision making, alternative approaches, and new ideas on issues of significance. The FFRDC operator shall perform work within the following focus areas:

1.3.1. Acquisition Studies

• Assessment of DHS component acquisition process methodologies and efficiency for the purpose of processing improvements and documentation of lessons learned.

• Identification and analysis of mission and operational needs and making recommendations on mitigation options (e.g. technology insertion, policy modification, procedural changes) for action by DHS.

• Conceptualize, characterize, and document, through application of DHS system engineering paradigm up to the ADE-2A approval, solutions that address capability gaps.

• Development and definition of acquisition requirements and procurement scope and trade-off studies of material and non-material solutions through evaluation of government furnished operational experimentation data and market research.

• Development of acquisition documentation for DHS system engineering paradigm acquisitions up to the ADE-2A approval including: Preliminary Mission Need Statement (P-MNS), Mission Need Statement (MNS), Capability Development Plan (CDP), Concept of Operations Plans (CONOPS), Analysis of Alternatives Study Plan, Analysis of Alternatives (AoA) or Alternatives Analysis (AA), Operational Requirements Document (ORD), Life Cycle Cost Estimate (LCCE), Integrated Logistics Support Plan (ILSP), Acquisition Plan (AP), Acquisition Program Baseline (APB)].

1.3.2. Security Studies

• Conduct strategic assessments of homeland security threats (domestic and international), vulnerabilities, and consequences.

• Analyze DHS Component mission risk (threat, vulnerability, consequence) posed by capability gaps due to workforce and technological capability limitations and develop risk reduction recommendations.

• Analyze DHS Component fiscal risk (threat, vulnerability, consequence) posed by constrained resources resulting from budget reduction across the department and develop risk reduction recommendations.

• Characterize vulnerabilities of DHS operational systems through assessment of system application, interoperability, and sustainment protocols that pose operational risks. Develop and document risk reduction recommendations.

• Assess threat, vulnerability, and risk of events with national impact involving critical infrastructure of the United States resulting from proliferation of nuclear, chemical, and biological weapons.

• Assess threat, vulnerability, and risk involving national and international politics, human rights, economic strife, and religious practices that impact the security status of the United States.

• Assess threat, vulnerability, and risk involving foreign military actions, terrorist trends, international terrorist cooperation, illicit drug smuggling, and human trafficking that has the potential to impact the security of the United States.

• Assess threat, vulnerability, and risk of domestic and international trade and technology cooperation with potential to impact the economic or technological security of the United States including applicable regulations, treaties and controls.

• Analyze risk (threat, vulnerability, consequence) posed by policy, fiscal, workforce, technological, regulatory limitations impacting United States border security and develop DHS focused risk reduction recommendations.

1.3.3. Organizational Studies

• Conduct assessments and make recommendations to strengthen DHS Component public relations and influence in politically sensitive subjects such as border security, use of unmanned aerial vehicles, domestic surveillance, human trafficking, illicit drug smuggling, and immigration reform.

• Conduct business assessments to develop budget and resource requirement forecasting and allocation strategies, enhance program performance measurement and effectiveness, strengthen integration strategies, and use tabletop exercises to conduct mission trade-off studies.

• Analyze organizational alignment to improve workforce capabilities and effectiveness as well as determine the impact of budget reductions across the department.

• Assess the impact on human capital issues across the department as a result of budget fluctuations, staff retirement, reduction in force, changing

DHS Component leadership, and Component reorganization. Develop and document strategies to minimize negative impacts to the DHS workforce.

• Conceptualize, characterize, and document compelling value propositions for improving business processes in areas of critical need such as acquisition, program/project management, infrastructure investments, technology investments, etc.

1.3.4. Regulatory, Doctrine and Policy Studies

• Examine and assess the impact of changing regulations, doctrine, and policies on DHS Component business (organizational, procurement, financial, human capital, and training) practices and develop strategies to affect required changes.

• Assess the impact and risk resulting from changing regulations, doctrine, and policies on operational missions throughout the Homeland Security Enterprise.

• Examine and assess the impact of changing regulations, doctrine, and policies on law enforcement, privacy, cyber security, critical infrastructure protection, immigration services, domestic surveillance, and other developing issues that impact operational missions. Develop strategies and documentation to affect required changes.

1.3.5. Operational Studies

• Assess and develop recommendations to grow DHS Component capabilities needed to accomplish new and evolving DHS Component mission requirements. Including the establishment of novel non-material capabilities to provide and promote security, privacy, and the protection of civil rights and civil liberties.

• Assess and formulate recommendations to strengthen critical national response strategies including multi-agency collaboration and coordination and interoperability with state, local and tribal government personnel and systems.

• Conduct assessments of non-material operational process and procedure effectiveness, usability, performance, workforce training, and make recommendations for improvement.

• Design and provide support for the conduct of security-related exercises, games and simulations, including the examination of past incidents, tabletop and operational exercises, and nominal operations to determine lessons learned and the implications for homeland security planning.

1.3.6. In addition to the above focus areas the HSOAC FFRDC operator must possess and maintain expertise that includes specialized technical operations analysis, strategic assessments, lifecycle-based trade-off studies for initial technical concept definition, operational test and evaluation planning and analysis, and mission analysis to evolve strategic agency-level concepts with a familiarity of the broad HSE. Leveraging the Contractor’s expertise, the operations analysis center FFRDC shall promote best practices and lessons learned with respect to planning, strategy, requirements development, and measures of performance and effectiveness across the Department to enhance system of system interoperability and information sharing.

Out of Scope Work 1.4.

1.4.1. The DHS’s systems engineering FFRDC5 will generally provide program level concept evolution, system and sub-system modeling and simulation, system engineering and program management best practices, sub-system standards frameworks focused particularly on interface management and interoperability, independent verification and validation (IV&V), as well as development test and evaluation analysis for the programs.

1.4.2. Other DHS and national laboratory FFRDCs will generally provide system and component prototypes and threat analysis support that is not normally available in the private sector.

Other Services 1.5.

1.5.1. Services identified as Systems Engineering and Technical Assistance (SETA) support services are outside of the scope of this Contract.

SETA services are a type of A&AS as defined at FAR Subsection 2.101(3) and are different from the A&ASs outlined at FAR Subsections 2.101(1) and (2). SETA services are further delineated for this Contract as continuous, routine, ongoing support of a program or office (i.e., mission sustainment or maintenance) without set work outputs or with ad-hoc work outputs.

1.5.2. Acquisition support services where FFRDC operator employees, subcontractors, or consultants are expected to perform day-to-day contracting office functions (e.g., soliciting, awarding, administering, modifying, and/or closing out contracts, etc.) are also outside of the scope of this Contract.

1.5.3. The HSOAC will not engage in activities that support technology development, such as prototype system design, fabrication, software development or test and evaluation as such work will be directed to the HSSEDI FFRDC, other non-DHS FFRDCs, or competitive contractors as appropriate.

FFRDC Management, Operation, and Oversight 1.6.

1.6.1. S&T FFRDC Program Management Office (PMO)

The role of the S&T FFRDC PMO is to provide support to the FFRDC in terms of developing long-term and short-term strategies for reaching across the Department to negotiate task order projects in support of the most critical and strategic issues and problems. The PMO is the focal point for establishing guidance, policy, and assisting Department mission owners in funding task order projects via direct ordering to engage the HSOAC. If needed, the S&T

5 The Homeland Security Systems Engineering and Development Institute (HSSEDI)

PMO may assist in negotiating issue resolutions between the Department mission owners and the FFRDC at any point prior to the award, or during the performance, of a task order project. Primary direction and technical feedback on specific task orders will come from the Department mission owners’ contracting offices and requiring officials. The S&T PMO will provide additional guidance on technical quality and consistency throughout the term of the contract; the PMO will also provide Government contract administration support for S&T requirements to include administration and funding of Core Research projects.

Management Plan 1.7.

1.7.1. The Contractor shall develop and deliver a Management Plan that describes how it intends to operate the HSOAC FFRDC as a trusted agent on behalf of DHS. The Management Plan must portray the overall style of administration, and how the Contractor intends to operate the HSOAC FFRDC and must provide details in the following areas at a minimum:

• The HSOAC chain of command and management structure;

• Policies and procedures regarding internal decision making process(es) for the HSOAC;

• Project staffing and resource planning methodologies;

• Internal quality assurance measures and processes for HSOAC work products at the task order project and IDIQ Contract levels;

• The Contractor’s process and basis for attracting and retaining new employees to include: training process(es) and policies, incentive or reward programs, and compensation plans for employees at all organizational levels;

• How the Contractor will engage in efforts to exercise sound financial control over the FFRDC’s resources;

• How the Contractor will promote the HSOAC FFRDC within the DHS as a resource; and,

• How the Contractor will enhance and/or mature its capabilities to deliver on the core capabilities of the FFRDC mission areas.

1.7.2. The Management Plan must be updated at least annually

throughout the performance of this Contract and in coordination with the PMO. Revisions to the Management Plan may be directed and/or initiated by the PMO at any time during the performance of this Contract to ensure consistency with the DHS’s mission and philosophy. Final approval of the Management Plan is at the sole discretion of the PMO and the S&T Contracting Officer (CO).

1.7.3. As part of its management of the FFRDC, the Contractor shall develop and deliver a set of materials designed to inform various parties (e.g., DHS components, members of the HSE, and other government entities) of the FFRDC’s capabilities and areas of expertise. These materials shall be informational in nature and shall not suggest DHS’s endorsement of the Contractor’s services, or those of the Parent Institution. The FFRDC PMO will review these materials and request updates or revisions as necessary to accurately convey the FFRDC’s capabilities. The FFRDC PMO is the only party authorized to disseminate the materials to internal and external parties on the FFRDC’s capabilities and methods for engaging the FFRDC’s services.

Research Plan 1.8.

1.8.1. A portion of the Contractor’s operation of the HSOAC FFRDC will be based on a Research Plan that will identify areas and items the Contractor believes are of enduring, long-term concern to the DHS and the HSE (also “Core Research”). The FFRDC operator shall develop the Research Plan based on an understanding of the Department’s requirements and as a result of insights from tactical projects.

1.8.2. The Research Plan’s areas of interest may also be determined by direction from the PMO and the FFRDC Advisory Group. Core Research areas identified in the Research Plan must be of concern to multiple DHS organizational elements, or areas of concern for the Department/HSE as a whole. The work outlined in the Research Plan must not overly benefit one particular organization over another as determined by the FFRDC Advisory Group and the PMO in consultation with the S&T CO. The Research Plan must describe the overall strategic vision and a high level strategy for achieving an end result for each proposed Core Research area.

1.8.3. The Research Plan must be a flexible and dynamic document that will be periodically reviewed with the Advisory Group and revised as necessary to meet the DHS’s needs and mission areas. The FFRDC operator must identify the origin of its proposed Core Research areas in the Research Plan. For example, the FFRDC operator must identify a proposed research area as originating from 1) inside its organization, 2) insights from tactical projects, and/or 3) direction from the PMO/Advisory Group.

1.8.4. Input and review of the Research Plan shall occur primarily through the FFRDC Advisory Group, which is chaired by the DHS US(S&T) or their designee, and is comprised of the PMO, senior leadership6 from throughout the Department, and the S&T CO. Final approval of the Research Plan is at the sole discretion of the PMO and the S&T CO in consultation with the FFRDC Advisory Group.

1.8.5. The following are examples of areas that may be addressed in strategic research:

6 Senior leadership is defined as members of DHS organizational elements’ staff at the Senior Executive Service (SES) level or higher.

• Work on special projects to compliment tactical projects and provide analytic support for integrating strategic assessments, mission analyses, operations research, and operational test support standards, best practices and lessons learned across the HSE;

• Research and development on evolutionary, cross-cutting concepts, simulations and models necessary to provide a forward-looking perspective to major homeland security goals and missions to anticipate problems and issues;

• Consulting with representatives from other DHS FFRDCs, private industry, institutions of higher education, nonprofit institutions, and/or private industry on topics important to the HSE at all levels.

1.8.6. The Contractor shall use their extensive research capabilities to generate ideas in order to fill gaps, stimulate thinking on state-of-the-art solutions or develop game-changing improvements to enhance existing capabilities. The Contractor shall conduct advanced research to include, but not limited to, leveraging, refocusing, or redeveloping work performed for others (i.e., work performed for another Federal customer that may have DHS applications); conducting innovative and leading edge high-risk/ high-payoff research and analysis aligned with the focus areas.

1.8.7. The Research Plan should incorporate the typical critical questions for research proposals (e.g. the “Heilmeier Catechism”) and at a minimum address the following questions:

1. What are you trying to do? Articulate objectives using absolutely no jargon. What is the problem? Why is it hard?

2. How is it done today, and what are the limits of current practice?

3. What's new in the proposed approach and why will it will be successful?

4. Who cares?

5. If successful, what difference will it make? What impact will success have? How will it be measured?

6. What are the risks and the payoffs?

7. How much will it cost?

8. How long will it take?

9. What are the midterm and final "exams" to check for success?

How will progress be measured?

10. Any other pertinent information requested by the S&T PMO, or other information relevant to the Research Plan.

1.8.8. Based on the S&T PMO’s selection of research areas, the Contractor shall prepare a presentation and present it to the Government. The presentation shall provide the overview of key concepts with a logical connection to the end result, summarize the research areas and the questions addressed in the Research Plan, and set the strategic framework for a potential but viable and realistic requirement. The Government will further evaluate the proposed research areas as they are presented, and down select a handful of research areas from which meaningful requirements may be generated as separate core projects to be issued as task orders under this Contract.

1.8.9. The Contractor shall provide a Core Research Status Report highlighting each requirement issued as a separate Core Research task order.

The Core Research Status Report shall be a high level overview of all Core Research task orders generated, and shall at a minimum contain the following:

• Task order number and title

• Brief purpose, as a reminder

• Principle Researcher

• The overview of cost, schedule and performance.

• Highlight of major risks and issues with the status of those issues.

• Highlight of any major milestone achieved

• Brief forecast of subsequent month

• Status of funding availability

FFRDC Projects 1.9.

1.9.1. The HSOAC FFRDC shall engage in two separate levels of work in support of the Department: tactical projects (also “task order projects”), which will be funded by mission owners for research requirements related to that DHS organizational element’s specific mission and needs; and strategic projects (also “Core Research projects”), which involve research directed toward problems/requirements of the HSE and will address operational issues of enduring concern to the Department and the HSE. All projects must be reviewed as part of the requirements development phase by the PMO for appropriateness in accordance with FAR Subsection 35.017-3 and DHS-wide policies and procedures including MD 143-04.

1.9.2. The default position for all work performed under this Contract will be at a minimum to make final products, reports, and analysis available for DHS wide use via the DHS PMO internal library website. Exceptions will be granted for sensitive analysis (e.g. DHS reorganization structure) and analysis done that are Law Enforcement Sensitive (LES), or at the Secret level and above. The Contractor is encouraged to identify work products that can be transitioned out to the public sector to educate (e.g. universities centers of excellence) and benefit stakeholders (federal, state, local, and tribal) and further enable DHS to deliver on its mission.

Strategic Projects 1.10.

1.10.1. Strategic projects may comprise up to five (5) percent of the total estimated costs of the HSOAC operator’s tactical project portfolio that is currently under performance. For the life of the Contract, the total dollar value of the budget for strategic projects will not exceed five (5) percent of the total estimated costs of that part of the Contract ceiling allocated to tactical projects. The amount allocated for the award of strategic projects is not an entitlement or guarantee that the total amount funded by the Government will reach the levels set forth here, but is provided for planning purposes.

1.10.2. Strategic projects will be selected from the areas outlined in the HSOAC FFRDC’s Research Plan (See Section 4.3) by the FFRDC PMO or the FFRDC Advisory Group. Not all proposed strategic projects will be selected or approved for performance.

1.10.3. Once strategic research topics have been identified by the FFRDC PMO or the FFRDC Advisory Group (see process outlined at Section 4.3), the HSOAC operator must further define the parameters of the work in the selected area in sufficient detail to allow S&T to obligate funding for performance via a task order approved and signed by the S&T CO in accordance with applicable procurement laws and regulations. All Core Research projects will be reviewed, negotiated, awarded, and administered by

DHS S&T.

Tactical Projects 1.11.

1.11.1. Tactical projects are the specific, time-limited, deliverable-oriented efforts funded via task orders from various DHS organizational elements. The work funded by task order projects must contain, as a minimum, the following information based on the requirements particular to that project provided by the Government:

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

• Discussion of the major study questions and issues to be addressed;

• Special modeling or simulations required;

• Recommended approach for performing the work;

• Estimate for the total level of effort in terms of staff years of technical (STE)7, labor categories, and total estimated costs to perform the task;

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

and,

• Reporting requirements, and other relevant information as applicable.

7 Equal to 1810 labor hours.

• Periodic/monthly status reports must include the follow information at a minimum:

1. Task order number

2. Period of Performance

3. Charts showing actual cost, schedule compared to plan

4. Status of progress, milestones, deliverables, and outstanding issues.

1.11.2. Upon the award of a task order project, the operator must develop and deliver a plan for how the project’s technical effort will be tracked and managed (e.g., a work breakdown structure) to the CO and COR at the DHS organizational element that awarded the task order.

Other Contract Details 1.12.

Contract Ordering Period 1.13.

1.13.1. The contract ordering period (COP) is for five (5) years from the date of contract award.

1.13.2. Any project awarded at any time during the COP may continue performance for no more than six (6) months past the COP end date. Any extension to the COP does not automatically extend the period of performance for any project.

Place of Performance 1.14.

1.14.1. Unless otherwise provided for under a funded project, the FFRDC operator is responsible for providing the necessary space, equipment, support, and technical personnel to establish, set up and manage the FFRDC. A substantial effort is expected to be deployed on-site at DHS locations. Other staff may be assigned to field offices, including Contractor activities, to provide independent analysis in support of project efforts.

1.14.2. Contractor management must be available for in-person meetings in the Washington, D.C. metropolitan area.

1.14.3. The FFRDC operator must provide, at their location within the Washington, D.C. metropolitan area, a room furnished with two desks, phones, computers, and open internet access to facilitate remote connection to the DHS network for DHS PMO officials and other DHS officials that may accompany them.

Transition 1.15.

1.15.1. The FFRDC operator shall identify those actions, plans, procedures, and timelines necessary to ensure a smooth transition from contract and or task order project start date to full operational status by the Contractor. The Contractor must also identify those actions, plans, procedures, and timelines necessary to ensure a smooth transition- out to a follow-on contractor.

1.15.2. Task order projects issued under the Contract may include transition in/out requirements. The Contractor must provide transition information and briefings detailing required transition activities to the cognizant COR and CO as part of the project’s proposal or prior to task order project expiration dates as applicable.

Contractor Assessments and Reviews 1.16.

Contractor Performance Assessment Reporting System (CPARS) 1.17.

Entries into the CPARS for funded projects are the responsibility of DHS organizational element COs. The FFRDC operator is responsible for ascertaining if a given project is to be entered into the CPARS, and for communicating with the DHS organizational element CO responsible for the CPARS assessment to ensure it is completed for a given project.

Annual Reviews 1.18.

1.18.1. The FFRDC operator will be the subject of Annual Reviews conducted by the PMO with the support and oversight of the S&T CO. The Annual Review will assess the steps the FFRDC operator has taken to ensure cost-effective and secure operation of the HSOAC FFRDC, including any violations that have occurred during the review period8.

1.18.2. The FFRDC operator must provide an annual compliance

statement on organizational and personal conflicts of interest, as well as staff non-disclosure agreements for inclusion in Annual Reviews.

1.18.3. As part of the Annual Review, the PMO and CO will review the Past Performance Information Retrieval System (PPIRS) to collect data from CPARS assessments performed by DHS organizational element COs. The PMO may also collect other information on the Contractor’s performance through other means and will compile all results into an Annual Review Report to be reviewed and approved by the S&T CO.

1.18.4. The finalized Annual Review Report will be presented to the Advisory Group and the results may be shared with the FFRDC operator at the discretion of the S&T CO in consultation with the Advisory Group. For any FFRDC operator infractions or violations found in the conduct of the Annual Review, the Advisory Group may recommend corrective, or punitive, action to the S&T CO.

Comprehensive Review 1.19.

8 Annual Reviews are conducted for 60 days (2 months (Breakdown: 1 month of data collection, 1 month of analysis and results preparation/presentation)) and cover performance through the end of the first month of the review quarter. The initial Annual Review will be completed by the PMO at performance month 18, and will cover performance through the end of month 16.

1.19.1. The FFRDC operator will be the subject of a Comprehensive Review that will be initiated not less than six (6) months prior to the end of the COP by the PMO. The purpose of the Comprehensive Review is to formally analyze the use and need for the HSOAC FFRDC in order to determine if DHS’s continued sponsorship of the FFRDC is appropriate. The Comprehensive Review will cover all Contractor performance for the entire

COP.

1.19.2. The PMO will perform the Comprehensive Review with the advice and assistance of the office of the US(S&T) and the S&T CO. The Comprehensive Review will contain inputs from completed Annual Reviews as well as other information collected by the PMO and S&T CO in the course the Contractor’s operation of the HSOAC FFRDC.

Project Reviews 1.20.

1.20.1. The PMO, in consultation with the S&T CO, may periodically select projects (including Component-issued tasks orders) being performed by the HSOAC FFRDC operator for review and further consideration to assess various aspects of the operator’s performance and the project’s value. A list of projects selected for review will be provided to the HSOAC FFRDC operator by the PMO not less than quarterly. If a Component-issued task order is selected, the Component may be included as part of PMO review team.

1.20.2. Project Reviews may consist of one or more of the following:

• Written report generated by the PMO and S&T CO.

• Formal presentation to the Advisory Group by the operator’s staff performing the specific project.

• Site visit by the PMO and S&T CO to the project’s place of performance.

1.20.3. The results of Project Reviews will be further documented in Annual Reports and the Comprehensive Review and may also be provided to the Advisory Group and the HSOAC FFRDC operator.

Travel 1.21.

1.21.1. General

The procedures outlined here are particular to this Contract and represent the minimum requirements for travel undertaken by the FFRDC operator’s staff.

It is the responsibility of the DHS organizational element funding a given project to communicate any additional approvals or procedures to the Contractor in sufficient time to ensure the Contractor can obtain/comply with those additional approvals or procedures.

1.21.2. Long Distance Travel

If long distance travel is required to support a particular project, it must be approved in advance of the travel event by the Contract Officer’s

Representative (COR) or CO for that project. Long distance travel may be approved during the requirements negotiation phase of project development, or during project performance. Long distance travel will be reimbursed in accordance with the Federal Travel Regulation (41 C.F.R. Parts 300-304) and FAR Subsection 31.205-46.

1.21.3. Foreign Travel

Foreign travel must be approved at least forty-five (45) days in advance of the planned travel event. If this approval timeframe is not met by the FFRDC operator, the costs associated with the travel event may be considered unallowable if the travel event does occur. Exceptions to the 45 day approval window are at the discretion of DHS organizational element COs for their projects; exception approval is NOT a delegable authority that may be assumed by any COR.

1.21.4. Local Travel

Local travel will not be reimbursed and is not an allowable cost under this Contract or any project issued pursuant to its terms and conditions.

Government-furnished Items 1.22.

1.22.1. Government-furnished Information

1.22.2. The Government may provide information, materials, and forms unique to the FFRDC operator support projects. Such Government-furnished information shall remain the property of the Government, and may not be distributed beyond the Contractor’s project performers without the Government’s prior written permission.

1.22.3. Unless otherwise provided for, the COR for a given project will be the point of contact (POC) for identifying required information to be supplied by Government if deemed necessary for project performance.

1.22.4. Government-furnished Property

1.22.5. Government-furnished property may not be provided to the FFRDC operator unless otherwise agreed. If the Government furnishes property to the FFRDC, the Contractor must maintain property records9.

1.22.6. Before purchasing any individual item equal to or exceeding $5,000 that is required to support a project’s performed pursuant to this Contract, the FFRDC operator must obtain the advance written consent and approval of the CO unless such authority is delegated to the project’s COR. If the CO consents to such purchase, such item becomes Government-furnished property. The FFRDC must maintain any such items according to the property accountability procedures outlined in FAR Part 45 and the applicable clauses of this Contract. The S&T CO may lower or raise the aforementioned $5,000 threshold at his/her discretion and on written notice to the Contractor. The

9 Per FAR Part 45.101, “Property records” means the records created and maintained by the contractor in support of its stewardship responsibilities for the management of Government property.

requirements of this section apply to all task order projects issued pursuant to this Contract absent specific direction provided in a given task order that sets more stringent requirements.

Reporting Requirements 1.23.

1.23.1. Contract Level Reports

1.23.1.1. Contract Status Report

The Contractor shall provide a Contract Status Report (CSR) that documents 1) the Contractor’s new task order awards the FFRDC has received, 2) modifications to existing task order awards the FFRDC has received, 3) task order projects that ended during the reporting period, and

4) Contract ceiling tracking metrics. The report must be delivered to the S&T CO and COR by the 15th calendar day of each month comprised of activity from the previous month.10

If there is no activity during the reporting period, “no activity” shall be annotated in the monthly report and submitted. The CSR shall be provided in Microsoft Excel format, as specified in Section J. in accordance with the instructions and example provided within the spreadsheet. A finalized version of the report will be provided with instructions upon award.

The CSR shall include a listing of any and all documents being circulated for public release to include 1) intended use upon public release, 2) task order number that generated the product under public release consideration/review, and 3) status of public release clearance/review.

1.23.2. Intellectual Property Report

The FFRDC Operator shall provide an Intellectual Property Report (IPR) detailing any and all intellectual property11 it has generated as a result of its work as DHS’s FFRDC in the format provided in Section J. of this Contract. This report must be delivered quarterly to the S&T CO and COR by the 15th calendar day of the third month of the quarter. The IPR will be comprehensive in that it will be continually added to and will include old and new information upon each delivery. At the end of the COP, the Contractor shall provide a final IPR that details all intellectual property generated throughout the COP.

1.23.3. Technical Reports

1.23.4. Technical reports that are submitted under task order projects must be accompanied by a completed Standard Form (SF) 298.12

Task Order Status Reports 1.24.

10 For example: The report due February 15th is to cover the activity – new task orders awarded and new modifications received - for the period January 1st through January 31st.

11 Intellectual property (IP) refers to creations of the mind, such as inventions; literary and artistic works; designs;

and symbols, names and images used in commerce.

12 http://www.gsa.gov/portal/forms/download/116146 http://www.gsa.gov/portal/forms/download/116146

1.24.1. This Contract requires Task Order Status Reports (TOSR) for all task order projects. The type of status report may vary by the type of task order issued. The status report recipients, content, and due dates will be identified in individual task orders. The TOSR must contain information on the project’s schedule, budget, technical progress, and any issues encountered in the course of performance. The TOSR shall contain data at the task order level unless a lower Work Breakdown Structure (WBS) level of reporting is explicitly required and stated in the task order.

1.24.2. Unless otherwise stipulated in the awarded task order, the TOSR for a given project is due no less than monthly by the 15th calendar day of the month.

Contract Milestones and Deliverables 1.25.

Milestones 1.26.

The following table details general Milestones for this Contract; additional milestones associated with a given task order project will be specified in that project’s award document. The party responsible for action related to that milestone is identified in the rightmost column.

IDIQ Milestones Item # Title Reference Scheduled Responsible Party

Operations Transition Completed13

5.3 Six (6) months after Contract Award

Contractor

2 Annual Review 5.4.2

• Initial started in month 16

• Annually thereafter

PMO

3 Comprehensive Review 5.4.3 Commences six

(6) months prior to end of COP

PMO

CPARS Assessments (Task order project and Contract level)

5.4.1 Dependent on project award dates

DHS COs

5 Tactical Project Reviews 5.4.4 As required Contractor/PMO/CO/Advisory

Group

Deliverables 1.27.

1.27.1. Task order project-specific deliverables, their required delivery dates, destination of delivery,…