ERDC_OTA_ATTACHMENT_I.DOCX

ATTACHMENT I

ERDC / CONSORTIUM COLLABORATION AND OPERATION CONCEPTS

Segment I. Management of Process

The Consortium shall support and collaborate with the ERDC OTPA Program Office in its mission to publish and award prototype projects under this OT Agreement in the recommended procedures.

Segment II. GOV submit Statement of Needs Collaboration

REQUIRED STATEMENT OF NEED INFORMATION:

To initiate a prototype project under the ERDC OTA, a Statement of Need (SON) must be developed by the Government customer. CONSORTIUM will assist in preparation of the SON. The SON differs from a FAR-based Statement of Work because it does not prescribe the work that is to be done. Instead, the SON describes the problem the government is seeking solutions for and specifies the desired end-state (product, system, tool, capability, analysis or model) that the Government requires upon successful completion of a Prototype Project. The SON will be included in the Request for White Papers (RWP) that will be issued to the CONSORTIUM. The CONSORTIUM Member Entities will develop their White Papers that detail specifically how they will achieve the Government’s objective. The white papers will form the basis of selection for the Prototype Project performer(s). The prototype project must fall under one of the technology objectives in the base ERDC OTA. The objectives are:

1. TECHNOLOGY OBJECTIVE:

Technologies List

2. TITLE OF REQUIREMENT:

3. ESTIMATED FUNDING AMOUNT:

4. INCREMENTAL FUNDING: ☐ YES ☐ NO

5. NUMBER OF FUNDING INCREMENTS ANTICIPATED:

6. ESTIMATED PERIOD OF PERFORMANCE:

7. GOVERNMENT POC AND PHONE NUMBER:

8. GOVERNMENT SPONSORING ORGANIZATION:

9. SECURITY CLASSIFICATION: (Check 1)

a. ☐ UNCLASSIFIED

b. ☐ SECRET

c. ☐ TS/SCI

10. PROVIDE A SHORT BACKGROUND OF REQUIREMENT:

11. PROVIDE A BRIEF PROBLEM STATEMENT:

12. DESIRED OBJECTIVE (product, system, tool, capability, analysis or model):

Segment III. Request for White Paper Collaboration

Section 1. Request for White Papers

The Request for White Paper (RWP) will be issued for each project in the form of a contemplation letter with the statement-of-need attached. CONSORTIUM and consortium members solely are responsible for all expenses associated with responding to this RWP. White Papers shall follow the format described in Section 2. Evaluation and selection of the white papers will be completed based on criteria in Sections 3 and 4.

Section 2. White Paper Format and Instructions

The following general formatting requirements apply:

· Times New Roman 10 (or larger) single-spaced, single-sided, 21.6 x 27.9 cm (8.5 by 11 inches).

· Smaller type may be used in figures and tables, but must be clearly legible.

· Margins on all sides (top, bottom, left, and right) should be at least 2.5 cm (1 inch).

· Page limit is ten (10) pages, does not include cover and certification pages.

· DO NOT SUBMIT ANY CLASSIFIED INFORMATION.

White Papers shall include a cover sheet (not counted toward the page limit) that includes:

· Prototype Project title

· Primary point of contact, including name, address, phone and e-mail contact information

· Total Solution Rough Order of Magnitude (ROM) cost, including the consortium management fee.

· Date of submission

2.1 Technical Section Requirements

The technical section of the White Paper shall contain, as a minimum, the following:

· Background and Benefits of Proposed Solution

· Technical Approach, including clearly defined prototype solution

· Schedule and Deliverables

· Participants, including description of contributions and significance of each

· Data Rights Assertions: Identify any intellectual property, patents and inventions involved in the proposed solution and associated restrictions on the Government’s use of that intellectual property, patents and inventions. The following table shall be presented for all assertions:

2.2 Cost Section Requirements

The Government will be considering affordability in making its source selection decision; therefore, the White Paper shall be required to contain cost information suitable for such evaluation.

This section shall include the ROM cost and ROM narrative associated with meeting the technical requirements as described in the White Paper. This shall include at a minimum the estimated costs for Labor, Material/Equipment, Other Direct Costs and Sub-contracts. Include the following table in this Section.

The ROM Narrative shall include, at a minimum, details on the following cost categories for the ROM:

· Labor Rates. The ROM Narrative shall include the basis for which the estimated total labor hours were calculated. (i.e. Generic position titles and estimated rates and hours for those individuals.)

· Material/Equipment. Provide a list of the materials/equipment required to meet the technical approach as described in the White Paper and the estimated cost.

· Indirect Costs. Provide an estimate of the total indirect costs and provide data supporting how the estimate was calculated. This section should include a breakout of any estimated costs other than Labor and Material/Equipment. (i.e. Overhead, G&A, etc.)

2.3 Affirmation of Business Status Certification

Each participant shall complete the certification below. These certifications shall be included as an attachment to the White Paper and will not count toward the page limit.

Affirmation of Business Status Certification

Business Entity

Proposed NAICS Code

Industry Size Standard (Small / Large)

DUNS No.

CAGE Code

Address 1

Address 2

City/State/Zip

POC Name/Title

POC phone/email

☐ Nontraditional Defense Contractor (NDC) -A nontraditional defense contractor is an entity that is not currently performing and has not performed, for at least the one-year period preceding the issuance of this Request for White Papers by the Department of Defense, any contract or subcontract for the Department of Defense that is subject to full coverage under the cost accounting standards prescribed pursuant to section 1502 of title 41 of the U.S. Code and the regulations implementing such section. All small businesses are considered NDCs. A small business is a business concern as defined under section 3 of the Small Business Act (15 U.S.C. 632). To be considered a small business for the purposes of this RWP, a concern must qualify as a small business under the size standard for the North American Industry Classification System (NAICS) code, as described at 13 C.F.R. 121.201 and the proposed NAICS code above.

☐ Traditional Defense Contractor -A traditional defense contractor is an entity that does not meet the definition of a nontraditional defense contractor (NDC).

This is to certify that the above is accurate, complete, and current as of _________________________ for (Insert Project Number).

Signature

Name

Title

Date

Section 3: Evaluation Factors for White Papers

The Government will conduct an evaluation of all eligible White Paper(s) submitted in response to this RWP. A basis of selection will be made and negotiations may be conducted with the offeror(s) following the Request for Project Proposal. In the event that the Government is unable to come to terms with the initial selectee, the Government can reevaluate the white paper responses and make another selection

3.1 Evaluation Criteria

The overall evaluation will be based on an integrated assessment of the below criteria.

1. The degree to which the solution meets the requirements of the Statement of Need.

4. Evaluation of proposed ROM against government funding profile.

Section 4. Basis for Selection

It is the Government's intention to negotiate, select and fund "best value" Prototype Project(s) from the submitted White Paper(s). The White Paper selection will be conducted in accordance with Government procedures and the evaluation criteria in Section 3. The Government will make a determination whether to:

or

c) Reject the White Paper(s) for further consideration

The White Paper basis of selection decision will be formally communicated to CONSORTIUM. The Government will issue a Request for Prototype Proposal (RPP) to CONSORTIUM for the selected White Paper(s). The Government will perform an evaluation of the final proposal to ensure it meets the requirements and then proceed with award based on availability of funding.

Section 5: Additional Information

5.1 Security Requirements

No information classified as “Confidential”, “Secret”, or “Top Secret” shall be submitted or included in the proposed Technology Prototype Project White Papers.

5.2 Other Special Requirements

CONSORTIUM is advised that research findings and technology developments arising from the resulting RWP may constitute a significant enhancement to the national defense, and to the economic vitality of the United States. As such, in the conduct of all work under the subsequent Technology Prototype Project Agreement(s), the recipient will comply strictly with the International Traffic in Arms Regulation (22 CFR 120-130), the National Industrial Security Program Operating Manual (DoD 5220.22-M) and the Department of Commerce Export Regulation (15 CFR 730-774).

Segment IV: OTA Customer Checklist

For new prototype projects on the OTA, the following documents are necessary from the requirements office. The ERDC Program Office will provide the forms/templates and request completion of the documents at the appropriate time in the process.

1. White Paper Development ☐ SOO/Statement of Need ☐ White Paper (WP) Evaluation ☐ Source Selection Participation Agreement (SSPA) – Each WP evaluator must sign a SSPA

2. Statement of Work (SOW) – Develop and collaborate with CONSORTIUM Member ☐ SOW – Must include defined prototype and application to identified C5 technology objective

3. Agreements Officer Representative (AOR) ☐ AOR Nomination Letter ☐ AOR Appointment Letter AOR Required Training Certificates:

☐ CLC 222 Certificate (within 3 years) ☐ Ethics Certificate (within 1 year) ☐ Combating Trafficking in Persons (CTIP) Certificate (within 1 year)

4. Funding – Instructions will be provided ☐ CFEMS or Direct Cite MIPR – Contract Amount + CONSORTIUM Fee ☐ Reimbursable MIPR – C5 Program Office Support Fee

5. Acquisition Forms – Completion, concurrence, or signature ☐ DD1423 - Contract Data Requirements List (CDRL) – Concurrence Only ☐ Government Furnished Equipment (GFE) Spreadsheet – if applicable

6. Security Forms For UNCLASSIFIED Effort – Coordinated by ERDC Security Officer ☐ Form 255 - ANTITERRORISM/OPERATIONS SECURITY/INFORMATION ASSURANCE/ INFORMATION SECURITY – Contract Review Board and Cover Sheet

For CLASSIFIED Effort – Prepared by Customer coordinating with their Security/OPSEC POCs ☐ DD254 - Contract Security Classification Specification ☐ Signed OPSEC Form

7. Request for Prototype Proposal (RPP) ☐ Proposal Evaluation

Segment V: Annual Report Requirement

CONSORTIUMS shall provide status to ERDC Acquisition Liaison Office yearly per data from attachment II.

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