Attachment 3 - Instructions to Offerors.pdf

INSTRUCTION TO OFFERORS

Attachment 3

Orbital Services Program-4 (OSP-4)

ON-RAMP #1

Instruction to Offerors

Basic: 8 February 2021

INSTRUCTIONS, CONDITIONS, AND NOTICES TO OFFERORS OR RESPONDENTS

Instruction to Offerors

1.1 Overview: This section of the Instruction To Offerors (ITO) provides general guidance for preparing proposals as well as specific instructions on the format and content of the proposal. The Offeror's proposal must include all data and information requested by the ITO and must be submitted In Accordance With (IAW) these instructions. The offer shall be compliant with the requirements as stated in the Performance Work Statement (PWS), Contract Data Requirements List (CDRL), and Model Contract. Non-conformance with the instructions provided in this ITO may result in an unfavorable proposal evaluation.

1.2 Data and Information: The proposal shall be clear, concise, and sufficiently detailed for effective evaluation and for substantiating the validity of stated claims. The proposal should not simply rephrase or restate the Government's requirements but rather shall provide convincing rationale to address how the Offeror intends to meet these requirements.

Offerors shall assume that the Government has no prior knowledge of their systems, processes, facilities, and experience and will base its evaluation on the information presented in the Offeror's proposal.

1.3 Unnecessary Documents: Elaborate brochures or documentation, binding, detailed art work, or other embellishments are unnecessary and are not desired.

1.4 Valid Proposal Dates: The Offeror shall make a clear statement that the proposal is valid for nine months from the date of submission.

1.5 Proposal Retention: In accordance with Federal Acquisition Regulation (FAR) Subpart 4.8 (Government Contract Files), the Government will retain one hardcopy of all unsuccessful proposals. Unless the Offeror requests otherwise, the Government will destroy extra copies of such unsuccessful proposals.

General Information

2.1 Point of Contact: The Procuring Contracting Officer (PCO) is the sole point of contact for this acquisition. Address any questions or concerns you may have to the PCO. Written requests for clarification may be sent to the PCO, the PCO contact information can be found in para. 2.8.

2.2 Debriefings: The PCO will promptly notify Offerors of any decision to exclude them from the competitive range; whereupon, they may request and receive a debriefing in accordance with FAR 15.505. Offerors excluded from the competitive range may request a pre-award debriefing, or they may choose to wait until after the source selection decision to request a post-award debriefing. However, Offerors excluded from the competitive range are entitled to no more than one debriefing. The PCO will notify unsuccessful Offerors in the competitive range of the source selection decision in accordance with FAR 15.506. Upon such notification, unsuccessful Offerors may request and receive a debriefing. Offerors desiring a debriefing must make their request in accordance with the requirements of FAR

15.505 or 15.506, as applicable.

2.3 Discrepancies: If an Offeror believes that the requirements in this RFP contain an error or omission, or are otherwise unsound, the Offeror shall immediately notify the PCO in writing with supporting rationale as well as the remedies the Offeror is asking the PCO to consider as related to the omission or error.

2.4 Electronic Reference Documents (Bidder’s Library): All referenced documents for this solicitation are available on beta.sam.gov web site. Potential Offerors are encouraged to subscribe for real-time e-mail notifications when information has been posted to the website for this solicitation. In addition, Bidder’s Library documents for this solicitation are available via CD from the PCO upon request; Offerors may request the Bidder’s Library per beta.sam.gov instructions.

2.5 Communications: Exchanges of source selection information between Government and Offerors will be controlled by the PCO. Email may be used to transmit such information to Offerors only if the email can be sent and received encrypted and includes “Source Selection Information – See FAR 2.101 & 3.104” in the Subject line. Otherwise, source selection information will be transmitted via certified mail, delivery service, or facsimile (facsimile number will be provided to Offerors after submittal of proposals, as necessary).

2.6 Organization/Number of Copies/Page Limits: The Offeror shall prepare the proposal as set forth in the Proposal Organization (Table 2.6-1 below). The titles and contents of the volumes shall be as defined in this table, all of which shall be within the required page limits and with the number of copies as specified.

Table 2.6-1: Proposal Organization

Volume Title Hard

Copies Electronic

Copies Page Limit

I Executive Summary

1 1 2

II

Technical (Factor 1)

1 1

5 [1 page for the Capability

Questionnaire and a 1 page evidence narrative per question (4 questions)]

III

Contract

Documentation 1 1 Unlimited

NOTE: All volumes shall be submitted with one paper copy and one electronic copies unless otherwise specified. Electronic copies must conform to the same requirements as the paper copy.

2.6.1 Page Limitations: Page limitations shall be treated as maximums. If exceeded, the excess pages will not be read or considered in the evaluation of the proposal; excess pages will be shredded. Page limitations may be placed on responses to Evaluation

Notices (ENs). The specified page limits for EN responses will be identified in the letters forwarding the ENs to the Offerors. Each page shall be counted except the following: cover pages, tables of contents, list of figures, list of tables, tabs, and appendices.

2.6.2 Page Size and Format: A page is defined as each face of a sheet of paper containing information. When both sides of a sheet display printed material, it shall be counted as two pages. Page size shall be 8.5 x 11 inches, not including foldouts. Pages shall be single spaced. Except for the reproduced sections of the solicitation document, the text size shall be no less than 12 point, Times New Roman. Tracking, kerning, and leading values shall not be changed from the default values of the word processing or page layout software. Use at least 1-inch margins on the top and bottom, and ¾-inch side margins. Pages shall be numbered sequentially by volume. These page format restrictions shall also apply to EN responses.

Legible tables, charts, graphs, and figures shall be used wherever practical to depict organizations, systems, layout, implementation schedules, plans, etc. These displays shall be uncomplicated, legible, and shall not exceed 11 x 17 inches in size. Foldout pages shall fold entirely within the volume, and each 8.5 x 11 inch surface of a foldout shall be counted as a separate page. Foldout pages may only be used for large tables, charts, graphs, diagrams, and schematics, but not for pages of text. For tables, charts, graphs, and figures, the text shall be no smaller than 10 point.

2.6.3 Cost or Pricing Information: Pricing information will not be required as a part of the basic IDIQ award. Pricing information will be evaluated at the Task Order level.

2.6.4 Classified Information: Do not include classified information in the technical volume proposal.

2.6.5 Cross-Referencing: To the greatest extent possible, each volume shall be written on a stand-alone basis so that its contents may be evaluated with minimal cross referencing to other proposal volumes. Information required for proposal evaluation not found in its designated volume will be assumed to have been omitted from the proposal.

Cross-referencing within a proposal volume is permitted where cross-referencing conserves space without impairing clarity.

2.6.6 Indexing: Include a master Table of Contents (TOC) of the entire proposal in Volume I – Executive Summary. The TOC does not count against page limitations.

Tab indexing shall be used to identify sections.

2.6.7 Glossary of Abbreviations and Acronyms: Include a master glossary of all abbreviations and acronyms used and an explanation for each.

2.6.8 Binding and Labeling: All volumes of the proposal may be bound in a three-ring, loose leaf binder permitting the volumes to lie flat when open. Use separate three-ring binders if necessary. Staples shall not be used. A cover sheet shall be bound in each book, clearly marked as to volume number, title, copy number, solicitation identification, and the Offeror's name. The same identifying data should be placed on the spine of each binder. All document binders shall have a color other than red or other applicable security designation colors. All Offerors shall ensure the application of all appropriate markings including those prescribed in accordance with FAR 52.215-1(e), Restriction on Disclosure and Use of Data, and FAR 3.104-4, Disclosure, Protection, and Marking of Contractor Bid or Proposal Information and Source Selection Information.

2.7 Electronic Offers: These page size and format restrictions shall apply to both electronic and hard copy proposals. For electronic copies, indicate on each CD or DVD-ROM the volume number and title. Use separate files to permit rapid location of all portions, including subfactors, appendices, annexes, and attachments, if any. The Offeror shall submit all volumes in electronic format, using read/write CDs or DVD ROMs. Each volume shall be on a different CD or DVD ROM and included with the hard copy delivery.

If files are compressed, the necessary decompression program must be included.

The electronic copies of the proposal shall be submitted in a format readable and editable by Microsoft (MS) Office Word 2013, MS Office Excel 2013, MS Office Project 2013, and MS Office Power Point 2013, as applicable.

In the event of discrepancies between the hard copies and the electronic copies of the proposal, the electronic copies will be used for evaluation.

2.8 Distribution: The hard and electronic copies of the proposal shall be addressed to the PCO and mailed or hand carried to building 413 with the hard copy identified as the "original."

SMC/ECLK-KT

Attn: Lucia A. Corral 3548 Aberdeen Ave Kirtland AFB, NM 87117

2.9 Proposal Due Date: Proposals are due March 2, 2021 4:00 pm Mountain. Proposals received after the date and time specified shall be treated in accordance with FAR 52.212- 1(f).

Volume I – Executive Summary

3.1 Executive Summary: The executive summary of the entire proposal should be concise, address significant risks, and highlighting key or unique features. As stated in paragraph

2.6.3 above, cost and price information shall not be included in this volume or any volume of the Offeror’s proposal. The salient features should tie in with the Evaluation Criteria, Attachment 4. Any summary material presented here shall not be considered as meeting the requirements for any portions of other volumes of the proposal. In the executive summary, the Offeror shall provide the following information:

3.1.1 Overall approach to meeting the Orbital Services Program-4 (OSP-4) requirements.

3.1.2 The proposed Launch Solution (LS) to include a listing of the proposed Spacelift System(s) (SS) configurations.

3.1.3 Identify any contractor teaming arrangements that will be utilized throughout this effort. Non-Governmental Advisors: Per DoD Source Selection Procedures paragraph 1.4.6.2.1, the PCO must ensure that before a non-Government advisor is given access to proprietary information, that the Government has received the consent of the submitting contractor(s) to provide access to the contractor who is to assist in the source selection. Therefore, the Offeror shall expressly provide its consent in the Executive Summary (Volume I) to the release of its proposal information to The Aerospace Corporation, a Federally Funded Research & Development Center (FFRDC) who will be acting as non-Government advisors during the evaluation.

Please contact the PCO prior to receipt of proposals with any questions regarding The Aerospace Corporation's participation or if there is an issue with providing consent.

Please understand failing to provide consent may affect Offeror's ability to propose for this effort.

Volume II – Technical (Factor 1)

4.1 General Instructions: The Technical Volume shall be specific, detailed, credible, and provide all the information. Legibility, clarity, and coherence are very important. The Offeror’s responses will be evaluated against the applicable technical factor defined in the Evaluation Criteria, Attachment 4. All the requirements specified in the solicitation are mandatory. By submitting a proposal, the Offeror is representing that they will perform all the requirements specified in the solicitation. Do not merely reiterate the objectives or reformulate the requirements specified in the solicitation.

4.1.1 Offeror’s launch solution must consist of its own launch vehicle capability (i.e., not a broker).

4.1.2 Acceptable solutions include dedicated and primary launch services. For both launch services, the launch schedule will be dictated by the Government.

4.1.3 If the Offeror has multiple solutions (i.e., SSs), submit the solution that provides the best opportunity to meet the evaluation criteria outlined in the Evaluation Criteria, Attachment 4. The Offeror is not bound to any one solution.

4.2 Capability Questionnaire: An Offeror may be eligible to participate in the OSP-4 vendor pool by completing Appendix A, Capability Questionnaire, of this document. The Offeror is required to validate their questionnaire responses with substantiating data (e.g., analysis, test results) in an “evidence narrative”.

4.2.1 Capability Questionnaire. The Offeror shall complete Appendix A to describe the Offeror’s company and current SS maturity.

4.2.2 Evidence Narrative. For each question, the Offeror shall provide up to a one-page evidence narrative to substantiate the response.

Volume III - Contract Documentation

5.1 Model Contract/Representations and Certifications: The purpose of this volume is to provide information to the Government for preparing the contract documents and supporting file. The Offeror’s proposal shall include a signed copy of the Standard Form (SF) 1449, delivered with the SF1449 Continuation pages, the Addendum, the Contract Documents, and Exhibits and Attachments. The SF1449 shall not have any proprietary markings. Fill in the blanks in the Solicitation. Specifically the following:

5.1.1 SF1449 Solicitation/Contract Form

5.1.1.1 The Offeror shall complete blocks 12, 17, and 30 on SF 1449- Soliciation/Contract/Order for Commercial Items. The signature by the Offeror on the SF 1449 constitutes an offer, which the Government may accept.

5.1.2 Solicitation Provisions:

5.1.2.1 All representation and certifications must be completed IAW FAR 52.212-3, Offeror Representations and Certifications-Commercial Items, of the model contract.

5.1.3 Signature

5.1.3.1 The Offeror’s signature on the SF 1449 constitutes an offer, which the Government may or may not accept. Proposals without signature may warrant a rejection of the proposal submittal. Offerors are required to meet all solicitation requirements, including terms and conditions, representation and certifications, and technical requirements. Therefore, any tailoring to the solicitation is not allowed and may warrant a rejection of the proposal.

5.1.4 Organizational Conflict of Interest Plan:

5.1.4.1 IAW FAR 9.5, Organizational and Consultant Conflicts of Interest, the Contracting Officer has analyzed the planned acquisition and determined that no known actual or potential Organizational Conflict of Interest (OCI) situations exist with respect to this solicitation.

5.1.4.2 The Offeror shall perform its own OCI analysis and submit the results of that analysis as part of its proposal. Specifically, the Offeror shall analyze the planned acquisition for actual or potential OCI situations associated with its or any of its teammate’s or subcontractor’s performance under any contract it or any of its teammates or subcontractors has been or may be awarded by any federal agency or other entity. The Offeror shall describe in detail the methodology used to identify actual or potential OCI issues. If the Offeror identifies any actual or potential OCI with respect to the performance of itself or its subcontractors or teammates, the Offeror shall provide an OCI Mitigation Plan to be incorporated as an attachment to any resulting contract.

At a minimum, the plan shall address all of the items identified in the most current version of SMC’s OCI Mitigation Plan Checklist provided as an attachment to this solicitation. Any proposed avoidance or mitigation techniques shall be consistent with FAR 9.5 and the most recent decisions of the Government Accountability Office and the U.S. Court of Federal Claims.

5.1.4.3 If an award is made to the Offeror, the resulting contract may include an organizational conflict of interest limitation applicable to subsequent Government work, at either a prime contract level, at any subcontract tier, or both. During evaluation of proposals, the Government may, after discussions with the Offeror and consideration of ways to mitigate or avoid identified actual or potential conflicts of interest, insert a clause or term and condition in the resulting contract that disqualifies the Offeror from further consideration for award of future contracts.

5.1.4.4 Resolution of OCI issues are treated in a manner similar to the Contracting Officer’s contractor responsibility determination. Any communications necessary to resolve OCI issues shall not be considered discussions. As such, the Contracting Officer may issue Evaluation Notices to the Offeror prior to any decision to enter into discussions in order to resolve questions or concerns with the Offeror’s OCI analysis or mitigation plan.

5.1.5 Contractor Responsibility

5.1.5.1 Financial Resources. IAW with FAR 9.104-1(a) a contractor must have adequate financial resources to perform the contract, or the ability to obtain them. The Offeror shall fill out highlighted portions of SF-1407 Preaward Survey of Prospective Contractor (Financial Capability), Appendix B, to help determine adequate financial resources.

5.1.5.2 U.S Commercial Provider. IAW FAR 9.104-1(g), for purposes of this award the Offeror must comply with the U.S Commercial Provider definition IAW Commercial Space Act of 1998, Title II Public Law 105-303.

5.1.5.2.1 The Offeror must provide supporting documentation and statement attesting to how Offeror meets the requirements of a U.S Commercial Provider.

5.1.5.2.2 The Offeror shall complete all portions of SF-328 Certificate Pertaining To Foreign Interest, Appendix C.

Failure to meet the above requirements may result in the Offeror being determined ineligible for award.

Appendix

A – Capability Questionnaire B- SF 1407 – Preaward Survey of Prospective Contractor (Financial Capability) C- SF-328 Certificate Pertaining To Foreign Interest

Appendix A – Capability Questionnaire

Based on the current status of your company and SS, complete the following questionnaire. For each question, the Offeror shall provide up to a one-page evidence narrative to validate the response. If the Offeror has multiple solutions (i.e., SSs), submit the solution that provides the best opportunity to meet the evaluation criteria outlined in the Evaluation Criteria, Attachment 4.

1. What is your offered LS mass-to-orbit capability IAW PWS para. 1.1? (Specify in table below)

Launch Vehicle LEO mass (lbm)/altitude

(nmi)/inclination (deg) SSO* mass

(lbm) GTO† mass

(lbm) Max Capability‡

Ex. Candlestick – Block 4.1 500/150/28.5 225 150 4500/19,323/22.8

*Sun-Synchronous Orbit (SSO) – Defined as an altitude of 324 nmi †Geosynchronous Transfer Orbit (GTO) – Defined as an altitude of 19,323 nmi ‡Max Capability – Provide the upper limits of the launch solution (mass/altitude/inclination)

2. What is your status of Integration and Test (includes aircraft, if air launch) and do you plan to complete your first launch within one year?

a. Integration and Test of the solution is ongoing but will be able to launch within a year of contract award

b. Integration and Test of the solution is complete and have successfully completed one or more prior launches

3. What is the qualification of the propulsion system?

a. Developmental engine/motor test fire at full duration and full thrust attained

b. Flight representative engine/motor (turbo pump/motor included as applicable) qualified and/or acceptance tested

4. What is the status of your launch site arrangement?

a. Range/Spaceport agreements in coordination or signed, but required construction not yet started

b. Range/Spaceport agreements signed, construction in progress (or none required) and completed pre-application consultation (FAA)

3. NARRATIVE (Cite those sections of the report which substantiate the recommendation. Give any other backup information in this space or on an additional sheet, if necessary.)

PREAWARD SURVEY OF

PROSPECTIVE CONTRACTOR

(FINANCIAL CAPABILITY)

SERIAL NUMBER (For surveying activity use)

PROSPECTIVE CONTRACTOR

OMB Control Number: 9000-0011 Expiration Date: 1/31/2021

Paperwork Reduction Act Statement - This information collection meets the requirements of 44 U.S.C. § 3507, as amended by section 2 of the Paperwork Reduction Act of 1995. You do not need to answer these questions unless we display a valid Office of Management and Budget (OMB) control number. The OMB control number for this collection is 9000-0011. We estimate that it will take 24 hours to read the instructions, gather the facts, and answer the questions.

Send only comments relating to our time estimate, including suggestions for reducing this burden, or any other aspects of this collection of information to: U.S.

General Services Administration, Regulatory Secretariat Division (M1V1CB), 1800 F Street, NW, Washington, DC 20405.

SECTION I - RECOMMENDATION

1. RECOMMENDED

a. COMPLETE AWARD b. PARTIAL AWARD c. NO AWARD(Quantity: )

2. TOTAL OFFERED PRICE

4. SURVEY

MADE BY

5. SURVEY

REVIEWING

OFFICIAL

a. SIGNATURE b. TELEPHONE NUMBER (Include area code)

c. DATE SIGNED

a. SIGNATURE b. TELEPHONE NUMBER (Include area code)

c. DATE REVIEWED

IF CONTINUATION SHEETS

ATTACHED - MARK HERE

STANDARD FORM 1407 (REV. 1/2014)

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

AUTHORIZED FOR LOCAL REPRODUCTION

Previous edition is NOT usable.

2. TOTAL OFFERED PRICE

Please complete this Preaward Survey of Prospective Contractor (Financial Capability) highlighted portions. Please also complete a separate copy for each entity you list in Section II- General 3a and 3b. Any additional narrative that the Prospective Contractor is willing to provide to further speak to these items is acceptable and may be provided in a separate document.

Appendix B-SF-1407

$50,000 (Launch Service User Guide Task Order Minimum Award)

SECTION II - GENERAL

SECTION III - BALANCE SHEET/PROFIT AND LOSS STATEMENT

SECTION IV - PROSPECTIVE CONTRACTOR'S FINANCIAL ARRANGEMENTS

SECTION V - GOVERNMENT FINANCIAL AID

3. FINANCIAL AID CURRENTLY OBTAINED FROM THE GOVERNMENT

4. LIST THE GOVERNMENT AGENCIES INVOLVED 5. SHOW THE APPLICABLE CONTRACT NUMBERS

Complete items below only if item a., is marked "YES."

PART A - LATEST BALANCE SHEET

3. FINANCIAL POSITION

5. RATIOS

PART B - LATEST PROFIT AND LOSS STATEMENT

1. TYPE OF COMPANY

2. YEAR ESTABLISHED:

CORPORATION

OTHER (Specify)

DIVISION

PARTNERSHIP

SUBSIDIARY

PROPRIETORSHIP

3. NAME AND ADDRESS OF:

a. PARENT COMPANY

b. SUBSIDIARIES

1. DATE 2. FILED WITH 1. CURRENT PERIOD

PART C - OTHER

1. FISCAL YEAR ENDS (Date):

a. FROM b. TO

2. FILED WITH

a. Cash

b. Accounts Receivable

c. Inventory

d. Other Current Assets

e. Total Current Assets

f. Fixed Assets

g. Current Liabilities

h. Long Term Liabilities

i. Total Liabilities

j. Net Worth

4. WORKING CAPITAL (Current Assets less Current Liabilities)

a. CURRENT ASSETS

TO CURRENT

LIABILITIES

c. TOTAL LIABILITIES

TO NET WORTH

b. ACID TEST (Cash, temporary investments held in lieu of cash and current receivables to current liabilities)

3. NET SALES

4. NET PROFITS

BEFORE TAXES

a. CURRENT PERIOD

b. First prior fiscal year

c. Second prior fiscal year

a. CURRENT PERIOD

b. First prior fiscal year

c. Second prior fiscal year

2. BALANCE SHEETS

AND PROFIT AND LOSS

STATEMENTS HAVE

BEEN CERTIFIED

a. THROUGH (Date) b. BY (Signature)

3. OTHER PERTINENT DATA

4. INDEPENDENT ANALYSIS OF FINANCIAL POSITION SUPPORTS THE STATEMENTS SHOWN IN ITEMS 1, 2, AND 3

2. EXPLAIN ANY "YES" ANSWERS TO ITEMS 1a, b, AND c.

YES NO (If "NO", explain)

Mark "X" in appropriate column.

1. USE OF OWN RESOURCES

2. USE OF BANK CREDITS

3. OTHER (Specify)

YES NO

Mark "X" in appropriate column.

a. PROGRESS PAYMENT(S)

b. GUARANTEED LOAN

c. ADVANCE PAYMENTS

YES NO

1. TO BE REQUESTED IN CONNECTION

WITH PERFORMANCE OF PROPOSED

CONTRACT

a. PROSPECTIVE

CONTRACTOR

RECEIVES

GOVERNMENT

FINANCING AT

PRESENT

YES NO NO $

b. IS LIQUIDATION

CURRENT?

c. AMOUNT OF UNLIQUIDATED

PROGRESS PAYMENTS

OUTSTANDING

YES

DOLLAR AMOUNTS (a) AUTHORIZED (b) IN USE

a. Guaranteed loans

b. Advance payments

STANDARD FORM 1407 (REV. 1/2014) PAGE 2

SECTION II - GENERAL

SECTION III - BALANCE SHEET/PROFIT AND LOSS STATEMENT

SECTION IV - PROSPECTIVE CONTRACTOR'S FINANCIAL ARRANGEMENTS

SECTION V - GOVERNMENT FINANCIAL AID

3. FINANCIAL AID CURRENTLY OBTAINED FROM THE GOVERNMENT

SECTION VI - BUSINESS AND FINANCIAL REPUTATION

SECTION VII - SALES (000'S) FOR NEXT SIX QUARTERS

1. COMMENTS OF PROSPECTIVE CONTRACTOR'S BANK

2. COMMENTS OF TRADE CREDITORS

3. COMMENTS AND REPORTS OF COMMERCIAL FINANCIAL SERVICES AND CREDIT ORGANIZATIONS (Such as, Dun & Bradstreet, Standard and Poor, etc.)

6. DESCRIBE ANY OUTSTANDING LIENS OR JUDGEMENTS

4. MOST RECENT

CREDIT RATING

5. DOES PRICE APPEAR UNREALISTICALLY LOW?

a. DATE b. BY

YES NO (If Yes, explain in Section I NARRATIVE)

CATEGORY

1. CURRENT CONTRACT SALES (Backlog)

2. ANTICIPATED ADDITIONAL SALES

3. TOTALS

A. GOVERNMENT (Prime & Subcontractor)

B. COMMERCIAL

A. GOVERNMENT (Prime & Subcontractor)

B. COMMERCIAL

1 2 3 4 5 6 TOTAL

STANDARD FORM 1407 (REV. 1/2014) PAGE 3

SECTION VI - BUSINESS AND FINANCIAL REPUTATION

SECTION VII - SALES (000'S) FOR NEXT SIX QUARTERS

STANDARD FORM 328 (REV. 11/2018)

PREVIOUS EDITION IS OBSOLETE.

CERTIFICATE PERTAINING TO FOREIGN INTERESTS

(Type or print all answers)

OMB No. 0704-0579 OMB approval expires October 21, 2021

RETURN THE CURRENT FORM AS DESCRIBED BELOW.

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PROVISIONS

1. The collection of this information is authorized by the Secretary of Defense, as Executive Agent for the NISP, pursuant to Executive Order 12829, further amended by Section 6, of Executive Order 13691 to include the CCIPP. While you are not required to respond, your entity’s eligibility determination cannot be adjudicated if you do not complete the form. The retention of an entity eligibility determination is contingent upon your compliance with the requirements of DoD 5220.22-M or equivalent for submission of an accurate initial or revised form, as appropriate. This collection of information is also authorized by the Secretary of Defense for use in connection with the DESP for the Department of Defense Innovation Initiative in accordance with subsection 951(c) of Public Law 114-328 (10 USC 1564 note). While you are not required to respond, your eligibility to participate in the DESP cannot be determined if you do not complete this form accurately. Participation in the DESP is contingent, among other things, upon your compliance with the requirements of the DESP for submission of an initial or revised form, as appropriate.

2. When this report is submitted in confidence and is so marked, applicable exemptions to the Freedom of Information Act (FOIA) will be invoked to withhold it from the public disclosure if it is responsive to a FOIA request.

3. Complete all questions on this form. Mark “Yes” or “No” for each question. If your answer is “Yes” furnish complete supporting documentation, to include, but not limited to, company or entity charter documents, board meeting minutes, stock or securities information, descriptions of organizational structures; contracts, sales, leases, and/or loan agreements; and revenue documents, annual reports and income statements, etc.

1. (Answer 1a. or 1b.)

a. (For entities which issue stock): Do any foreign person(s), directly or indirectly, own or have beneficial ownership of 5 percent or more of the outstanding shares of any class of your organization's equity securities?

b. (For entities which do not issue stock): Has any foreign person directly or indirectly subscribed 5 percent or more of your organization's total capital commitment?

YES NO

2. Does your organization directly, or indirectly through your subsidiaries and/or affiliates, own 10 percent or more of any foreign interest?

3. Do any non-U.S. citizens serve as members of your organization's board of directors (or similar governing body), officers, executive personnel, general partners, regents, trustees or senior management officials?

4. Does any foreign person(s) have the power, direct or indirect, to control the election, appointment, or tenure of members of your organization's board of directors (or similar governing body) or other management positions of your organization, or have the power to control or cause the direction of other decisions or activities of your organization?

5. Does your organization have any contracts, agreements, understandings, or arrangements with a foreign person(s)?

6. Does your organization, whether as borrower, surety, guarantor or otherwise have any indebtedness, liabilities or obligations to a foreign person(s)?

7. During your last fiscal year, did your organization derive:

a. 5 percent or more of its total revenues or net income from any single foreign person?

b. Is the aggregate 30 percent or more of its revenues or net income from foreign persons?

8. Is 10 percent or more of any class of your organization's voting securities held in "nominee" shares, in "street names" or in some other method which does not identify the beneficial owner?

9. Do any of the members of your organization's board of directors (or similar governing body), officers, executive personnel, general partners, regents, trustees or senior management officials hold any positions with, or serve as consultants for, any foreign person(s)?

10. Is there any other factor(s) that indicates or demonstrates a capability on the part of foreign persons to control or influence the operations or management of your organization?

Appendix C- SF-328

STANDARD FORM 328 (REV. 11/2018)

PREVIOUS EDITION IS OBSOLETE.

REMARKS

(Attach additional sheets, if necessary, for a full detailed statement)

CERTIFICATION

I CERTIFY that the entries made by me above are true, complete, and correct to the best of my knowledge and belief and are made in good faith.

Witnesses:

WITNESS SIGNATURE DATE CERTIFIED

DATE

By

SIGNATURE OF AUTHORIZED CONTRACTOR REPRESENTATIVE

TYPED NAME OF WITNESS NAME AND TITLE OF AUTHORIZED CONTRACTOR

REPRESENTATIVE

NOTE: The witness must be a person who personally observed the Contractor Representative sign this form. The witness cannot be the same person who accepts this form as the Government representative. The name of the witness should be typed or printed under the witness' signature and date.

TYPED BUSINESS NAME OF CONTRACTOR

ADDRESS

By executing this form, the Contractor Representative certifies that he or she is the (title) and has the authority to make the entries above on behalf of the business entity identified above.