RI_specific_Proposal_Prep_Instructions_Jan_2017.doc

AFRL/RI - SPECIFIC

PROPOSAL PREPARATION INSTRUCTIONS

25 Jan 2017 General Information

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

b. All awards resulting from this announcement will contain the mandatory AFRL standard final technical report Contract Data Requirements List (CDRL) item that requires technical data delivered with less-than-unlimited rights to be contained in a separate appendix to the final technical report. The goal of this standard is to allow AFRL to more widely publish final reports (without the less-than-unlimited-rights appendices).

c. Proposals should contain four sections (Business, Technical Proposal, Proposed Statement of Work and Cost). The following is a discussion of required content.

d. 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.

1. 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. Authorized Negotiators

f. Small Business Subcontracting Plan

1) All proposals over $700,000 received from a large businesses must include a subcontracting plan unless the offeror has a Comprehensive Subcontracting Plan in place and then only contract-specific goals are needed.

2) If there is no subcontracting possibilities (either via direct subcontracting to small businesses or via other direct cost or indirect costs), a justification for a waiver must be included. Only a Contracting Officer can approve a waiver and this will aid them in their determination.

g. Data Rights and Data Rights Identification and Assertion

1) In accordance with DFAR 252.227-7017 Identification and Assertion of Use, Release, or Disclosure Restrictions and as prescribed in 227.7103-3(b), 227.7104(e)(2), or 227.7203-3(a), the IDENTIFICATION AND ASSERTION OF USE, RELEASE, OR DISCLOSURE RESTRICTIONS provision applies. Please complete and include Attachment 3 with your proposal. Also if applicable, please state any SBIR Rights currently in effect including their start and end date and contract number/government award they are based on.

2) REMEMBER – this assertion is for deliverables under the proposed contract ONLY. If the item is used but not part of the end deliverable, do not list it.

3) Each assertion should state where it is being delivered (i.e., technical data under the DATA CLIN as part of the final technical report; software under CLIN XXXX as part of the deliverable).

4) Do not list commercial items with commercial licenses. These should be identified elsewhere.

h. Deliverables

i. 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.

2) 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 http://www.pmddtc.state.gov/regulations_laws/itar.html

j. Export-Controlled Items

k. Wide Area Work Flow

l. Item Unique Identification and Validation

m. Pre-Award Clearance Information (Applicable to awards over $10M)

n. Limitation on Pass-Through Charges

o. Employment Eligibility Verification

p. Reporting Executive Compensation and First Tier Subcontract/Sub-recipient Awards

q. Update of Publicly Available Information Regarding Responsibility Matters

r. Contractor Business Systems

1) The Government contemplates award of a Cost-Plus-Fixed-Fee (Completion) type contract resulting from this proposal. If you do not have a government approved accounting system and wish to obtain one, see the additional instructions on this Federal Business Opportunities page entitled “Adequate Accounting System”. Please complete and include with your proposal Attachment 5/SF 1408. If you do not have an approved accounting system and choose not to obtain one, please be sure to structure your proposal for payable milestones.

s. Safeguarding of Unclassified Controlled Technical Information

t. Protection of Human Subjects – Internal Review Board (IRB)

u. Organizational Conflict of Interest

v. Subcontractors/Consultants

w. The following additional information should be included for proposals over $750,000:

1) Have you been awarded any contracts or subcontracts for the same or similar items within the past 3 years? If yes, identify item(s), customer(s) and contract numbers

2) Will this contract be subject to CASB regulations? If no, explain

3) Have you submitted a CASB disclosure statement (CASB DS-1 or 2)? If yes, specify the office to which submitted and if determined to be adequate.

4) Have you been notified that you are or may be in noncompliance with your disclosure statement or cost accounting standards? If yes, explain

5) Is any aspect of this proposal inconsistent with your disclosed practices or applicable cost accounting standards? If yes, explain

6) When the solicitation requires the submission of certified cost or pricing data, the offeror should complete FAR 252.215-7009, Proposal Adequacy Checklist. In preparation of the checklist, offerors may elect to have their prospective subcontractors use the same or similar checklist as appropriate to facilitate submission of a thorough, accurate, and complete proposal.

2. 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.

3. Offeror Statement of Work

a. Attachments 1 & 2 are offered as instructions for preparing the contractor-generated SOW. This document should be a separate section in your proposal.

4. Cost Proposal

a. The Cost Proposal Table of Contents: The Table of Contents, as follows, must be used when preparing cost proposals.

This Table of Contents must appear exactly as set forth. Do not omit any topics or elements. Add additional topics as needed. Note as “N/A” any topics above that do not apply. Items 1, 2, 3, 4 and 12 are required for all proposals.

COST PROPOSAL

TABLE OF CONTENTS

ITEM

PAGE NO.

1.

Summary by cost element and fixed fee for total proposal

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.

4.

Identification of indirect rates by fiscal year, explanation of how established and base to which they apply.

5.

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

6.

Summary of all travel, by destination, purpose, number of people, days, 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. 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)

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 see that 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).

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.

The prime contractor should provide rationale for each subcontractor chosen that was not competed (e.g., selection may have been based on their technical experience in ______________.)

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. 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.

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 number and necessity of proposed trips as well as the reasonableness of the per diem rates, air fares, and car rental rates.

OTHER DIRECT COSTS: These costs should be reviewed and comments made concerning the necessity and reasonableness of the proposed costs.

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 change can be accomplished through the use of change pages or slip pages accompanied by new cost summaries.

d. A Certificate of Current Cost or Pricing Data (CCCPD).

A CCCPD is required to be submitted by the offeror upon the conclusion of negotiations if the total amount is $750,000 or more, and none of the exceptions to the Truth in Negotiations Act (TINA) apply. This Guide anticipates no exceptions will apply due to the one-of-a-kind nature of research and development work.

Attachment No. 1

SAMPLE SOW

STATEMENT OF WORK

FOR

(INSERT TITLE)

TABLE OF CONTENTS

SECTION

DESCRIPTION

PAGE

1.0

OBJECTIVE

2.0

SCOPE

3.0

BACKGROUND

4.0

TECHNICAL REQUIREMENTS

1.0 OBJECTIVE. The objective of this effort is to…

· OBJECTIVE IS A BRIEF OVERVIEW

· DESCRIPTION OF WHY THIS IS BEING PROCURED

· WHAT ARE YOU TRYING TO ACCOMPLISH

2.0 SCOPE. The scope of this effort will…

· SCOPE IS AN OVERALL CONCISE PICTURE OF THE REQUIRED WORK TO BE ACCOMPLISHED AND THE DESIRED END RESULT. THE SCOPE PUTS A FRAMEWORK AROUND THE WORK CONTEMPLATED BY THE PARTIES AS A MEANS TO DETERMINE WHETHER FUTURE WORK MUST BE COMPETED.OUTLINES THE VARIOUS MAJOR REQUIREMENTS OF THE EFFORT

· MUST BE CONSISTENT WITH THE 4.0 SECTION OF THE SOW.

3.0

BACKGROUND.

· BACKGROUND INCLUDES INFORMATION, EXPLANATIONS OR CONSTRAINTS

· WHO, WHAT, WHERE, WHEN AND WHY THIS EFFORT IS NEEDED

· HELPS ALL READERS UNDERSTAND THE NEED FOR THIS EFFORT

· CAN INCLUDE APPLICABLE DOCUMENTS (WHICH MUST BE INCLUDED IN 4.0) AND REFERENCE DOCUMENTS (NICE TO KNOW INFO)

4.0 TECHNICAL REQUIREMENTS. The Contractor shall accomplish the following:

· DEFINES THE WORK TO BE ACCOMPLISHED

· SHOULD REFLECT WHAT IS TO BE DONE

· BESIDES TECHNICAL REQUIREMENTS, THIS SECTION IS FOR MANAGEMENT REQUIREMENTS, HARDWARE / SOFTWARE REQUIREMENTS, TESTING / DEMONSTRATION REQUIREMENTS AND DOCUMENTATION REQUIREMENTS

· STATE THE END RESULTS AND DELIVERABLES.

· HARDWARE / SOFTWARE REQUIREMENTS: HARDWARE / SOFTWARE DELIVERY, SOFTWARE DOCUMENTATION, COMMERCIAL-OFF-THE-SHELF, LICENSING AND MAINTENANCE AGREEMENTS, ETC.

· TESTING / DEMONSTRATIONS: IN-PLANT TESTING, ACCEPTANCE TESTING, SITE TESTING, CERTIFICATION TESTING AND TECHNICAL SUPPORT DURING TESTING

· DOCUMENTATION: REPORTS, YEARLY SUMMARY, FINAL REPORT ETC.

Attachment No. 2

SAMPLA LANGUAGE FOR SOW PARAGRAPHS

INSTRUCTIONAL TEXT IS SHOWN IN “BOLD ITALICS”

1.0 Typical Common Program Management Paragraphs

Status Reporting: Includes funds status for equal to or less than $1.6 Million and any duration of effort

Continually determine the status of the effort and report progress toward accomplishment of contract requirements. (See CDRL, A00X)

Cost Reporting: (Use for efforts over 12 months and over $1.6 Million in conjunction with Contract Funds Status Report CDRL)

Continually determine the status of funding required for contract performance. (See CDRL, A00X)

Interim and/or Final Report:

Document all technical work accomplished and information gained during the performance of this acquisition. Include all pertinent observations, nature of problems, positive as well as negative results, and design criteria established, where applicable: also procedures followed, processes developed, “Lesson Learned", etc. Document the details of all technical work to permit full understanding of the techniques and procedures used in evolving technology or processes developed. Separate design, engineering, or process specifications delivered during this acquisition shall be cross-referenced to permit a full understanding of the total acquisition. (See CDRL, A00X)

Oral Presentations: (may be used for other meetings such as reviews, Technical Exchange Meetings, Technical Interchange Meetings, etc. You must further clarify your additional requirements)

Conduct oral presentations at such times and places as designated in the contract schedule. These presentations shall provide the status of the technical progress made to date in the performance of the contract. (See CDRL, A00X)

2.0 Typical Common Software Delivery Paragraphs

SOFTWARE:

Software. Deliver all software developed, assembled, or acquired in accordance with the contract schedule and the following:

Developed software under this effort is to be completely maintainable and modifiable with no reliance on any non-delivered computer programs or documentation.

Software Delivery:

Deliver all software developed under this effort as source and object (executable) code. Include the commented source listings and source code. (See CDRL, A00X)

Development and delivery of a User’s Manual:

Provide complete software documentation to include installation, user, and maintenance instructions. (See CDRL, A00X)

Potential for Off-the-Shelf, Reusable or Government-Furnished is to be considered:

Consider the use of non-developmental software (i.e., commercial off-the-shelf (COTS), reusable, or Government-furnished) to ensure that all SOW requirements are met. Evaluate the software to determine whether the software performs as documented prior to incorporating acquired software into software being developed under this effort. Certify that the non-developmental software performs as documented and is adequately documented for the intended purpose.

COMMERICAL OFF THE SHELF (COTS):

Used when COTS is purchased with Government Funds and is used in the delivered software:

Transfer all purchased or licensed software used during development or as a component for this effort upon completion; include licensing and maintenance agreements and original media software and documentation. (See CDRL, A00X)

Used if Commercial Hardware and Software are acquired as part of the “System”: (NOTE: CO must approve the purchase)

If any commercial off-the-shelf hardware and software acquired for use during the development or as a component of the end product, has licenses and/or maintenance agreements with them, transfer them to the Government upon completion of the effort. Include any ancillary cabling required. (See CDRL, A00X) Hardware Delivery:

Deliver all developed, assembled and acquired hardware (i.e. chips, radios, cell phones, or exploratory model) to the Government at the completion of this effort.

Deliver, install and demonstrate the hardware system in the XYZ lab at AFRL Rome Research Site. Include as part of the installation all necessary equipment and/or hardware to fully demonstrate the system. Conduct the demonstration in accordance with the Government reviewed Demonstration Plan. (See CDRL, A00X)

4.0 Safety Words when working at AFRL/RI

4.x Safety Requirements.

4.x.1

Comply with all safety and health requirements necessary for the protection of personnel, facilities and equipment including, but not limited to, the Occupational Safety and Health Administration (OSHA) standards, while performing this contract at the Air Force Research Laboratory (AFRL), Rome Research Site (RRS), Rome NY. It is the Contractor’s sole responsibility to make certain that all safety requirements are met.

5.0 Testing/Demonstration

Simple Testing:

Conduct testing of XXX to verify the fulfillment of the contract requirements. All testing shall be in accordance with the Government reviewed test plan. (See CDRL, A00X)

Simple Demonstration:

Conduct a demonstration of the XXX in order to verify the results of this effort. Conduct the demonstration at such a time and place as specified in the contract schedule. The demonstration shall be in accordance with the Government-reviewed demonstration plan. (See CDRL, A00X)

Attachment 3 Identification and Assertion of Restrictions on the Government’s Use, Release, or Disclosure of Technical Data or Computer Software.

The Offeror asserts for itself, or the persons identified below, that the Government’s rights to use, release, or disclose the following technical data or computer software should be restricted:

*For technical data (other than computer software documentation) pertaining to items, component, or processes developed at private expense, identify both the deliverable technical data and each such items, component, or process. For computer software or computer software documentation identify the software or documentation.

**Generally, development at private expense, either exclusively or partially, is the only basis for asserting restrictions. For technical data, other than computer software documentation, development refers to development of the item, component, or process to which the data pertain. The Government’s rights in computer software documentation generally may not be restricted. For computer software, development refers to the software. Indicate whether development was accomplished exclusively or partially at private expense. If development was not accomplished at private expense, or for computer software documentation, enter the specific basis for asserting restrictions.

***Enter asserted rights category (e.g., government purpose license rights from a prior contract, rights in SBIR data generated under another contract, limited, restricted, or government purpose rights under this or a prior contract, or specially negotiated licenses).

****Corporation, individual, or other person, as appropriate.

When completing this form, enter “NONE” when all data or software will be submitted without restrictions.

Date_________________________

Printed Name and Title_______________________________________________

Signature__________________________________

(End of identification and assertion)

(NOTE: The Offeror must complete and submit this Identification and Assertion as required by paragraph (d) of DFARS 252.227-7017, IDENTIFICATION AND ASSERTION OF USE, RELEASE, OR DISCLOSURE RESTRICTIONS.)

Attachment 4

Expires: 10/31/97

PROSPECTIVE CONTRACTOR

Public reporting burden for this collection of information is estimated to average 24 hours per response, including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. Send comments regarding this burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden, to FAR Secretariat (VRS), Office of Federal Acquisition and Regulatory Policy, GSA, Washington, DC 20405; and to the Office of Management and Budget, Paperwork Reduction Project (9000-0011), Washington, DC 20503.

SECTION I - RECOMMENDATION

1. PROSPECTIVE CONTRACTOR'S ACCOUNTING SYSTEM IS ACCEPTABLE FOR AWARD OF PROSPCTIVE CONTRACT

YES

NO (Explain in 2. NARRATIVE)

YES, WITH A RECOMMENDATION THAT A FOLLOW ON ACCOUNTING SYSTEM REVIEW BE PERFORMED AFTER CONTRACT AWARD (Explain in 2. NARRATIVE)

2. NARRATIVE (Clarification of deficiencies, and other pertinent comments,. If additional space is required, continue on plain sheets of paper.)

IF CONTINUATION SHEETS ATTACHED - MARK HERE

(include area code)

c. DATE SIGNED

(include area code)

c. DATE REVIEWED

AUTHORIZED FOR LOCAL REPRODUCTION

STANDARD FORM 1408 (REV. 9-88)

Previous edition usable

Prescribed by GSA FAR (48 CFR) 53.209-1(f)

SECTION II - EVALUATION CHECKLIST

APPLIC- CABLE

1. EXCEPT AS STATED IN SECTION I NARRATIVE, IS THE ACCOUNTING SYSTEM IN ACCORD WITH GENERALLY ACCEPTED ACCOUNTING PRINCIPLES APPLICABLE IN THE CIRCUMSTANCES?

2. ACCOUNTING SYSTEM PROVIDES FOR:

a. Proper segregation of direct costs from indirect costs.

b. Identification and accumulation of direct costs by contract.

c. A logical and consistent method for the allocation of indirect costs to intermediate and final cost objectives. (A contract is a final cost objective.)

d. Accumulation of costs under general ledger control.

e. A timekeeping system that identifies employees' labor by intermediate or final cost objectives.

f. A labor distribution system that charges direct and indirect labor to the appropriate cost objectives.

g. Interim (at least monthly) determination of costs charged to a contract through routine posting of books of account.

h. Exclusion from costs charged to government contracts of amounts which are not allowable in terms of FAR 31, Contract Cost Principles and Procedures, or other contract provisions.

i. Identification of costs by contract line item and by units (as if each unit or line item were a separate contract) if required by the proposed contract.

j. Segregation of preproduction costs from production costs.

3. ACCOUNTING SYSTEM PROVIDES FINANCIAL INFORMATION:

a. Required by contract clauses concerning limitation of cost (FAR 52.232-20 and 21) or limitation on payments (FAR 52.216-16).

b. Required to support requests for progress payments.

4. IS THE ACCOUNTING SYSTEM DESIGNED, AND ARE THE RECORDS MAINTAINED IN SUCH A MANNER THAT ADEQUATE, RELIABLE DATA ARE DEVELOPED FOR USE IN PRICING FOLLOW-ON ACQUISITONS?

5. IS THE ACCOUNTING SYSTEM CURRENTLY IN FULL OPERATION? (If not, describe in Section I Narrative which portions are

(1) in operation, (2) set up, but not yet in operation,

(3) anticipated, or (4) nonexistent.)

GSA FORM 1408 (REV. 9-88) BACK