AFRL RI Specific Proposal Preparation Instructions for Assistance Instruments DEC 2020.docx

AFRL/RI - SPECIFIC

PROPOSAL PREPARATION INSTRUCTIONS

DEC 2020

I. General Information

a. This information is to supplement the BAA Guide for Industry.

b. Proposers are cautioned that evaluation ratings may be lowered and/or proposal rejected if proposal preparation (proposal format, content, etc.) and/or submittal instructions are not followed.

c. In accordance with the National Defense Authorization Act (NDAA) FY19, Section 1286, pages 443-445, Offerors shall submit the below information for all key personnel, whether or not the individuals’ efforts under the project are to be funded by the DoD:

i. A list of all current projects the individual is working on, in addition to any future support the individual has applied to receive, regardless of the source. (See the “Attach Current & Pending Support” section of the form, which has the ability to add multiple attachments)

ii. Title and objectives of the other research projects.

iii. The percentage per year to be devoted to the other projects.

iv. The total amount of support the individual is receiving in connection to each of the other research projects or will receive if other proposals are awarded.

v. Name and address of the agencies and/or other parties supporting the other research projects.

vi. Period of performance for the other research projects.

This information shall be included in the Senior/Key Person Profile (Expanded) Form found at the link below. This collection only applies to persons identified as key personnel. This information shall NOT be included in the overall proposal page limits. This information will be used to support protection of intellectual property, controlled information, key personnel, and information about critical technologies relevant to national security. Additionally, this information will be used to limit undue influence, including foreign talent programs, by countries that desire to exploit United States’ technology within the DoD research, science and technology, and innovation enterprise.

Failure to submit this information may cause the proposal to be returned without further review, and the DoD reserves the right to request further details before making a final determination on funding an effort.

Link to Form: https://www.grants.gov/forms/r-r-family.html (See PDF of “Research and Related Senior/Key Person Profile (Expanded)”). OMB Number: 4040-0001.

d. Proposals should contain three sections (Business, Technical Proposal, and Cost). The following is a discussion of required content.

II. Business Section. This section will provide the following information and any other information deemed relevant. If an item does not apply, please state “N/A”.

a. Validity Period

b. Award Instrument/Contract Type Requested

c. Place of Performance

d. Period of Performance

e. CAGE Code

f. Authorized Negotiators

g. Foreign Participation

1) For each foreign national involved in your effort, either employee or subcontractor/consultant, include visa information. Also a copy of the DD Form 2345 must be provided.

If the requirement is classified as ITAR or Export Controlled, the resulting contracts shall comply with all U.S. export control laws and regulations, including the ITAR and the Export Administration Regulations (EAR). Offerors are responsible for ensuring that all employees who will work on this contract are eligible under export control and International Traffic in Arms (ITAR) regulations. Any employee who is not a U.S. citizen or a permanent resident may be restricted from working on this contract if the technology is restricted under export control and ITAR regulations unless the prior approval of the Department of State or the Department of Commerce is obtained via a technical assistance agreement or an export license. Violations of these regulations can result in criminal or civil penalties. For further information on ITAR visit https://www.pmddtc.state.gov/ddtc_public?id=ddtc_public_portal_itar_landing

h. Any Restrictions/Sensitivities regarding the Proposed Deliverables. Provide details on any of the following:

1) Export-Controlled Items/Information

2) Item Unique Identification and Validation

3) Safeguarding of Unclassified Controlled Technical Information

4) Protection of Human Subjects – Institutional Review Board (IRB)

i. Equal Employment Opportunity Pre-Award Compliance (Applicable to awards over $10M) (FAR 22.805).

j. Address Limitation on Pass-Through Charges, if applicable (FAR 52.215-23).

k. Organizational Conflict of Interest, if applicable (FAR 9.5)

l. Subcontractors/Consultants

III. Technical Proposal

a. Technical Proposal Structure and Contents: Format of the proposal shall be as follows: Proposals shall be prepared on 8 ½ x 11 inch paper, single spaced, and have no less than a 1/2-inch margin and a type size of 12 font.

b. Identification of Fundamental Research. The first paragraph of your technical proposal should be a summary of the technical work to be accomplished and an identification of whether the work is viewed as fundamental research or not.

It is DoD policy that the publication of products of fundamental research will remain unrestricted to the maximum extent possible. National Security Decision Directive (NSDD) 189 defines fundamental research as follows:

“Fundamental research” means basic and applied research in science and engineering, the results of which ordinarily are published and shared broadly within the scientific community, as distinguished from proprietary research and from industrial development, design, production, and product utilization, the results of which ordinarily are restricted for proprietary or national security reasons.

As of the date of publication of this BAA, the Government cannot identify whether the work under this BAA may be considered fundamental research and may award both fundamental and non-fundamental research. Proposers should indicate in their proposal whether they believe the scope of the research included in their proposal is fundamental or not. While proposers should clearly explain the intended results of their research, the Government shall have sole discretion to select award instrument type and to negotiate all instrument terms and conditions with selectees. Appropriate clauses will be included in resultant awards for non-fundamental research to prescribe publication requirements and other restrictions, as appropriate.

IV. Cost Proposal*

a. The Cost Proposal Table of Contents: The Table of Contents, as follows, must be used when preparing cost proposals. Items 1, 2, 3, 4 and 12 are required for all proposals. Do not omit any topics or elements. Round all dollar amounts to the nearest whole number. Add additional categories as needed. Note as “N/A” any topics below that do not apply.

COST PROPOSAL

TABLE OF CONTENTS

ITEM PAGE NO.

1. Summary by cost element and fixed fee for total proposal, including yearly breakout of _____ costs by Government fiscal year.

2. Labor summary for total proposal by categories, rates, and hours. List all key personnel ____ by name as well as the number of hours each will dedicate to the project.

3. Explanation of how labor rates are computed including base rates (actuals) and _____ escalation, if any. Provide a copy of any approved rate agreements (Defense Contract Audit Agency (DCAA), Defense Contract Management Agency (DCMA), the Office of Naval Research (ONR) etc. if applicable.

4. Identification of all indirect rates by fiscal year (such as fringe benefits, labor overhead, _____ material overhead, G&A, or F&A, etc.) and the basis for each.

5. Bill of Materials detailing items by type, quantity, unit price, total amount and source _____ of estimate. Provide vendor written quotes or screenshots of material quotes.

6. Summary of all travel, including the purpose and number of trips, origin and destination(s), _____ duration, travelers per trip and all travel costs (air fare, per diem, car rental, etc.).

7. Consultants by name, rate and number of days or hours. Furnish copy of consulting _____ agreement, and identify prior agreement(s) under which the consultant commanded proposed rate, as well as the consultant’s resume.

8. Computer use by type, rate and quantity, if charged direct. _____

9. Other direct costs by type, amount, cost per unit and purpose (specifically identify any _____ costs for printing or publication).

10. DD Forms 1861 (if proposing facilities capital cost of money). _____

11. Subcontractor’s proposal, with prime offeror’s price/cost analysis of subcontractor’s _____ proposal (FAR 15.404-3). If subcontract was not competed, include justification.

12. Forecast of monthly & cumulative dollar commitments for the proposed contract period. _____

13. Interdivisional transfers (detailed breakout of costs). _____

14. If conference attendance is proposed at the Prime or Subcontractor level, provide the _____ following for each conference: the specific conference(s) that attendance to is anticipated, the purpose for attendance, details on how attendance specifically supports the proposed work and mission under the effort, and a quote or basis for the proposed registration fee.

* If proposal is selected, an Excel spreadsheet of proposals may be requested if deemed necessary by evaluators.

b. Subcontractors: Subcontractors’ proposals must be similarly structured. All subcontracted work must be properly identified as such.

If a subcontractor elects to submit an abbreviated proposal to the offeror, it is the offeror’s responsibility to ensure the subcontractor submits a complete proposal (unburden rates, etc.) directly to the Government’s point of contact.

FAR 15.404-3 requires that the offeror provide an analysis of subcontractors’ cost proposals. To that end, offeror’s proposal must:

(1) Identify principal items/services to be subcontracted.

(2) Identify prospective subcontractors and the basis on which they were selected. If non-competitive, provide selected source justification.

(3) Identify the type of contractual business arrangement contemplated for the subcontract and provide a rationale for same.

(4) Identify the basis for the subcontract costs (e.g., firm quote or engineering estimate, etc).

(5) Identify the cost or pricing data or information other than cost or pricing data submitted by the subcontractor.

(6) Provide an analysis of the proposed subcontract in accordance with FAR 15.404-3(b). Provide an analysis concerning the reasonableness, realism and completeness of each subcontractor’s proposal. If the analysis is based on comparison with prior prices, identify the basis on which the prior prices were determined to be reasonable. The analysis should include, but not be limited to, an analysis of: materials, labor, travel, other direct costs and proposed profit or fee rates.

NOTE: Failure to provide an adequate analysis of subcontractors’ proposals will result in unplanned delay in award, hamper program execution, and could result in failure to award.

An analysis of the subcontractor’s costs MUST be accomplished and submitted whenever a subcontractor is involved (no dollar limitation).

Please start your prime’s analysis for each subcontractor with the following:

1) A brief description of the supplies or services to be subcontracted.

2) Identification of the type of subcontract to be used (e.g., cost-plus-fixed-fee, firm-fixed-price, etc.) along with justification for the type of subcontract selected. Explain why it makes sense given the work to be performed by the sub and the contract type selected for the prime contract. For other than FFP type subcontracts, the selection needs to consider the adequacy of the subcontractor's accounting system to ensure that it will permit timely development of all necessary cost data in the form required by the proposed contract type. Some primes think that a T&M type subcontract is a viable alternative to a CPFF type subcontract if the sub doesn't have an adequate accounting system; however, this is not the case. T&M contracts still require an adequate accounting system for accurately tracking number of labor hours expended and material costs incurred. Reference FAR 16.104(i). Confirm subcontractor accounting systems with DCMA.

3) Rationale for how the subcontractor was chosen (e.g., competitive selection, single source solicited due to unique technical expertise in the area(s) of ______, etc.). Need rationale as to why prime did not compete subcontract if that’s the case.

4) For other than FFP type subcontracts, documentation from the prime to show how they will provide appropriate surveillance of subcontractor performance so as to give reasonable assurance that efficient methods and effective cost controls will be used.

The prime contractor must provide for each subcontractor an analysis that documents the reasonableness, realism and completeness of the subcontractor’s proposal. Analysis should include but not be limited to a statement as to whether the subcontract will be competitively selected or awarded on a sole source basis, an analysis of materials, labor and reasonableness of other direct costs (types and quantities), and proposed fee/profit rates. Merely a statement concerning technical necessity does not demonstrate reasonableness, realism and completeness.

LABOR: Comments should be made concerning the adequacy of the proposed labor hours and mix. The labor rates, which may be fully burdened, should be reviewed and comments should be provided regarding the reasonableness of the rates and how those rates were determined to be reasonable. For instance, proposed rates may be compared to rates negotiated for previous efforts, to the prime’s own similar type rates or to other subcontractor’s similar type proposed rates. The Prime should provide details of the comparison which clearly depicts the specific rates used in the comparison.

MATERIAL: These costs should be reviewed and comments should be made concerning quantities, types and needs of material items. In addition, a value review of the materials should be performed and submitted (is the value of the item commensurate with the effort’s requirement).

TRAVEL: Comments should be made concerning the duration, number of trips, number of travelers and necessity of proposed trips as well as the reasonableness of the per diem rates, air fares, and car rental rates. If conferences are proposed, provide the following details for each conference: the specific conference(s) name(s) anticipated to attend, the purpose of conference attendance and how it specifically supports the proposed work and mission under the effort, and a quote or basis for the proposed conference registration fee.

OTHER DIRECT COSTS: These costs should be reviewed and comments made concerning the necessity and reasonableness of the proposed costs and how the proposed costs were determined to be reasonable.

FEE/PROFIT: Is the fee/profit reasonable for the type effort contemplated? Support your conclusions.

If you take exception to any of the subcontractor’s proposed cost or fee/price elements, highlight these changes in your analysis and incorporate into your cost proposal.

c. Changes to Pricing Proposals: Changes to previously submitted proposals must include documentation indicating how a previously submitted proposal is impacted or affected. If changes to the original proposal are relatively insignificant and involve only minor changes to elements such as labor rates, overhead and General and Administrative (G&A) rates, bill of material changes, travel costs, and Other Direct Costs (ODC’s), these changes can be accomplished through the use of change pages or slip pages accompanied by new cost summaries.