Strategic Trends Division Broad Agency Announcement (BAA)

Amendment / Modification

This document is a "Research Topic Information Session" (Industry Day) presentation for the HDTRA1-20-S-0002 Broad Agency Announcement (BAA), specifically referencing Amendment 8. The session was held on November 17, 2020, and aimed to share information about DTRA Strategic Trends' FY21 applied research requirements and topics of interest.

Key topics covered included:

• Introductions of key personnel from the Strategic Integration Directorate and the Acquisition, Contracts, and Logistics Directorate.
• An overview of the Strategic Trends and Effects Department (SI-ST) and the Strategic Trends Research Initiative (STRI).
• Discussion of the four Research Thrust Areas:
  • Thrust Area 1: Studies Focused on Competition with Revisionist Powers.
  • Thrust Area 2: Studies Focused on Assessing and Countering Emerging WMD-Related Threats.
  • Thrust Area 3: Track 1.5 and Track 2 Strategic Dialogues with Allies, Partners, and Non-Traditional Partners.
  • Thrust Area 4: Tabletop Exercises (TTXs) Focused on Competition with Revisionist Powers.
• Explanation of the two-phase submission process (White Paper and Proposal).
• Details on core deliverables, including monthly progress reports, briefings, final reports, and external publication requirements.
• Information on award types, period of performance, and key dates, including a cut-off date for BAA questions (December 18, 2020) and review period start dates in January 2021.
• Contact information for each Thrust Area and administrative correspondence.

This presentation serves as a clarification and information-sharing event related to the existing BAA (HDTRA1-20-S-0002), specifically referencing Amendment 8. It details research focus areas, submission processes, and timelines.

Potential bidders were informed about the submission process, key dates, and contact points for inquiries. The presentation provided context for the FY21 research requirements and how to respond to the BAA.

Amendment / Modification

This amendment (Amendment 08) to the Broad Agency Announcement (BAA) HDTRA1-20-S-0002 modifies the BAA and its attachments to reflect current areas of interest. Key changes include:

• Research Topic Information Session (RTIS): A virtual RTIS will be held on November 17, 2020, from 8:00 AM to 11:15 AM EST. Registration details and deadlines are provided.
• Program Description:
  • The Statement of Objective/Need has been modified to emphasize characterizing the 2026-2031 battlespace and partnering with diverse experts for operationally relevant research.
  • The Five (5) Focus Areas have been consolidated into Three (3) Focus Areas.
  • The Seven (7) Thrust Areas for FY 2020 have been changed to Four (4) Thrust Areas for FY2021:
    • Thrust Area 1: Studies Focused on Competition with Revisionist Powers
    • Thrust Area 2: Studies Focused on Assessing and Countering Emerging WMD-Related Threats
    • Thrust Area 3: Track 1.5 and Track 2* Strategic Dialogues with Allies, Partners, and Non-Traditional Partners
    • Thrust Area 4: Tabletop Exercises (TTXs) Focused on Competition with Revisionist Powers
• Award Information:
  • Anticipated Number of Awards: No set limit, but effort per key personnel should not exceed one FTE. PoP generally not to exceed 12 months, with a preference for 9 months for studies. Up to three option periods may be considered for dialogues and TTXs.
  • Anticipated Award Type: Contracts will be awarded, requiring adequate accounting systems and adherence to FAR/DFARS.
  • Anticipated Award Period: The announcement remains open until replaced or cancelled. White papers and proposals are reviewed as received. The next review period begins January 5, 2021, with specific submission deadlines for Thrust Areas 1 & 2 (Jan 5), Thrust 3 (Jan 12), and Thrust 4 (Jan 19) for FY2021 funding consideration.
• Phase 1 – White Paper Submission Information: Modified to include specific requirements for the Cover Page and Technical Concept sections.
• Agency Contacts: Modified to list specific contact points for each Thrust Area.
• Attachment 1 – Proposal Format and Preparation Instructions: Modified regarding Cover Page content and Deliverable Reports.
• Attachment 2 – Cost Sheet Instructions: Modified regarding General Information and Total Tab instructions.
• Attachment 4 – Statement of Research Work (SoRW): Modified to include updated sections for Background, Scope and Objective, Task Requirements, Period of Performance, Deliverables, and Additional Information (Travel, Security, Publication/Release of Information).
• Attachment 5 – Labor Categories: No changes indicated.

This amendment affects multiple sections of the original BAA, including Program Description, Award Information, Submission Information, Agency Contacts, and various Attachments (Proposal Format, Cost Sheet Instructions, SoRW, Labor Categories).

Proposal deadlines for the next review period are specified for each Thrust Area. Bidders should carefully review the updated program description, focus areas, thrust areas, and submission requirements, including the format for white papers and proposals, and cost documentation.

Amendment / Modification

• Modifies the schedule for the next Phase I - White Paper submission review, originally set from October 9, 2020, to January 2021.

• For priority Fiscal Year (FY) 2021 funding consideration, specific review start dates are provided:

  • Studies: January 5, 2021
  • Dialogues: January 12, 2021
  • Tabletop Exercises: January 19, 2021

• A forthcoming BAA amendment will detail modifications to current thrust areas and processes for the FY2021 review period.

• No additional White Papers will be reviewed before the specified cut-off dates.

• Schedule for Phase I - White Paper submission review.

• The submission review schedule has been updated with specific start dates for different review phases.

• Bidders should note the new dates for FY2021 funding consideration.

• Questions regarding the solicitation and acquisition process should be directed to dtra.belvoir.si.mbx.hdtra1-stri-adm@mail.mil.

Amendment / Modification

• The Strategic Trends Division is scheduling the next Phase I – White Paper submission review for October 9, 2020.
• Due to an overwhelming response, no additional White Papers will be reviewed before the October 9, 2020 cut-off.
• The proposal evaluation process will continue for those already invited to submit proposals.
• It is anticipated that FY2020 funds will be awarded to the currently invited participants.

This amendment primarily impacts the timeline and submission process for White Papers.

• The deadline for White Paper submissions is effectively closed for new submissions prior to the October 9, 2020 review.
• The evaluation process will proceed with the existing invited participants.

Amendment / Modification

This document contains "Questions & Answers #3" related to Broad Agency Announcement HDTRA-20-S-0002, Amendment 05. The Q&A addresses several bidder inquiries:

• Period of Performance: The suggested 12-month period of performance can be shorter, and multi-year awards are not anticipated.
• Participant Information: White Papers should include sufficient information on the Primary Investigator's experience and expertise.
• Budget Detail: Cost estimates should be a summary with enough detail to assess realism and reasonableness, not necessarily broken down by individual.
• Award Timing: Funding decisions will be made within 30 days of receiving the final Proposal (Phase II), with the award date dependent on the award type and recipient.
• Deliverables: Specified deliverables in the BAA and Statement of Research Work are required. Additional deliverables are acceptable if they support the analytic outcomes.
• Publication: Public publication of outcomes is permissible in addition to tailored deliverables, but intentions should be communicated at the kickoff meeting for review of any required information release processes.
• Budget Allocation: There is one budget for the BAA, not sub-divided by project type (e.g., studies, dialogues).
• Institutional Signatures: A signature from an authorized officer at the institution is required, adhering to institutional policies.
• Closing Date: The closing date of April 2 for the first review of White Paper applications/offers has not changed, despite the cancellation of the research topic information meeting due to COVID-19.

This document provides clarifications and answers to questions, impacting the understanding of requirements and submission processes outlined in the original BAA and Amendment 05.

Clarifications were provided regarding the period of performance, budget detail, participant information, and the requirement for an authorized institutional signature. The closing date for the first review remains April 2.

Amendment / Modification

This document is Amendment 04 to Broad Agency Announcement HDTRA-20-S-0002, providing responses to Questions & Answers #2.

Key clarifications include:

• Event Hosting during COVID-19: DTRA does not plan to adjust the period of performance. Offerors can include alternative approaches for hosting dialogues in their white papers and proposals to account for the public health situation. Award modifications will be reviewed case-by-case.
• White Paper Submissions for Multiple Thrust Areas: Submit separate White Papers for each Thrust Area if the proposed dialogues are unrelated. If there is a clear relationship, submit one consolidated White Paper, discussing each in a separate but integrated manner.
• Individual vs. Package Proposals: White Papers (Phase 1) and Proposals (Phase 2) should target the appropriate Thrust Area and be submitted to the suitable Thrust Area mailbox. Submissions will be evaluated on the benefit to the Agency, depth of research, and chosen Thrust Area.
• Funding Ranges: Funding for each project will depend on the benefit to the Agency, Thrust Area(s), depth of research, and approach. White Paper cost estimates should be less detailed than proposals but include information to assess realism and reasonableness (e.g., labor, direct costs, indirect costs, event costs if applicable).
• Eligibility for Federal Agencies: Other federal agencies cannot apply for fee-based research work under this BAA. However, U.S. Government or military-run universities and laboratories are eligible.

This amendment provides clarifications and answers to vendor questions, impacting the understanding and preparation of white papers and proposals.

Amendment / Modification

This document is Amendment 03 to the Broad Agency Announcement (BAA) HDTRA-20-S-0002, and it provides answers to questions submitted by potential offerors.

• Rolling BAA & Submission Deadline: The BAA is rolling, but the first review of white papers will occur on April 4th.
• Security Clearances: No security clearance is required for individuals working on projects, nor is a facility security clearance required.
• Research Topic Information Session: The March 18 session was cancelled due to public health concerns. A similar session may be held quarterly if conditions permit.
• Grant Purpose: Funds are not for PSD training for overseas contracts; they are for research on one of the 7 Thrust Areas.
• Funding Level: Project funding will depend on the benefit to the Agency, chosen Thrust Area(s), depth of research, and approach.
• USG School Eligibility: A separate call for USG schools went out, directing interested parties to the BAA details on beta.SAM.gov or grants.gov.
• Budget Template: The Excel budget template and Scope of Research Work (SoRW) template will be attached to the email invitation for Category 1 White Papers.
• Proposal Submission: If an idea combines multiple Thrust Areas, submit one proposal that discusses all components in a separate, but integrated manner.
• Multiple Submissions: Organizations can submit multiple White Papers and/or Proposals.
• White Paper vs. Proposal: Guidelines for White Papers are in Section IV. The White Paper should limit the applicant's work scope and include a technical concept section. The Proposal will detail the fully developed idea, methodology, and tasks using the SoRW and related cost spreadsheet.
• Foreign Nationals: Principal Investigators must be US personnel. Research teams may include foreign nationals from allied nations with valid visas and work permits, though their access may be restricted for meetings and briefings.

This amendment clarifies several aspects of the original BAA, including submission processes, personnel requirements, and proposal structure, which may affect how bidders prepare and submit their responses.

Amendment / Modification

• The Research Topic Information Session scheduled for March 18, 2020, has been cancelled due to the COVID-19 outbreak and CDC guidance.

• Acquisition and process-related questions should be submitted to dtra.belvoir.si.mbx.hdtra1-stri-adm@mail.mil. Questions and answers will be posted as BAA amendments.

• The original Research Topic Information Session is cancelled.

• No direct impact on proposal deadlines or submission requirements is stated, but all questions should now be directed to the specified email address for future clarification postings.

Amendment / Modification

This document is Amendment 01 to Broad Agency Announcement HDTRA1-20-S0-002. It announces a Research Topic Information Session (RTIS) to be held on March 18, 2020.

• The primary purpose of this amendment is to announce the RTIS.

• The agenda for the RTIS covers seven Thrust Areas related to research requirements and specific topics of interest, including competition with revisionist powers, emerging threats, counter threat networks, strategic security and risk reduction, and tabletop exercises.

• Questions for the RTIS must be submitted by March 13, 2020, to dtra.belvoir.si.mbx.hdtral-stri-Adm@mail.mil.

• Registration for the RTIS closes at 5:00 PM on March 10, 2020.

• The first review of white paper applications/offers is anticipated on or about April 2, 2020.

• This amendment does not directly change proposal submission deadlines or requirements but provides information about an upcoming information session and the evaluation timeline for white papers.

Broad Agency Announcement (BAA)

This Broad Agency Announcement (BAA) from the Defense Threat Reduction Agency (DTRA) Strategic Integration Directorate, Strategic Trends and Effects Department, Strategic Trends Division (SI-STT) solicits white papers and proposals for research studies, strategic dialogues, and tabletop exercises (TTXs). The initiative, known as the Strategic Trends Research Initiative (STRI), aims to generate timely, credible, and actionable insights into emerging threats within the counter weapons of mass destruction (CWMD) and counter improvised threats (CIT) mission spaces to inform the understanding of the 2025-2030 battlespace in an era of Great Power Competition. The research should align with the 2018 National Defense Strategy (NDS).

The STRI focuses on five broad areas:

• Enhancing relationships with allies and partners.
• Understanding the implications of strategic competitors' emerging capabilities.
• Identifying emerging WMD-related threats.
• Considering WMD risk reduction tools and approaches.
• Exploring Counter Threat Network (CTN) approaches.

Within these, DTRA SI-STT is interested in research aligned with seven (7) thrust areas for FY 2020:

• Research Studies: Competition with Revisionist Powers, Emerging Threats, Counter Threat Networks (CTN), and Strategic Security and Risk Reduction.
• Strategic Dialogues (Track 1.5 and Track 2): Allies, Partners, and Non-Traditional Partners; and Key Strategic Competitors.
• Tabletop Exercises (TTXs): Competition with Revisionist Powers (focusing on WMD-related issues).

Deliverables typically include monthly progress reports, final briefings, final financial reports, and final technical reports with actionable recommendations.

• Anticipated Funding: Approximately $1,950,000 per year, divided among multiple awardees.

• Anticipated Number of Awards: No set limit.

• Anticipated Award Type: Grants and/or contracts.

• Period of Performance: Typically not to exceed twelve (12) months from the effective date of award; six (6) to nine (9) months preferred for studies.

• Two-Phase Submission Process:

  • Phase I: White Paper submission. Reviewed upon receipt. Approved white papers will be invited to submit a Phase II proposal.
  • Phase II: Technical, Cost, and Supplemental Information Proposal submission for invited offerors.

• Evaluation Criteria: Technical merit, soundness, innovation, operational relevance, applicability to STRI objectives, proposer's qualifications, past performance, and cost realism.

• All responsible, potential applicants from academia, think tanks, and industry are eligible.

• Not eligible: Secret, Top Secret, SCI, or SAP submissions; proposals from Federal Agencies (including subcontracting/sub-NFE efforts).

• U.S. Government schools of higher education, military laboratories, warfare centers, other DoD/civilian agency laboratories, and University Affiliated Research Centers (UARC) are eligible.

• This BAA is open until replaced by a successor or cancelled. White papers and proposals are reviewed and evaluated as they are received.

• Amendments will be posted on Grants.gov and Beta.SAM.gov.

• Specific contact points for each Thrust Area are provided.