Section III_Instructions for Proposal Preparation_RFP 26-003.pdf

Instructions for Proposal Preparation

INSTRUCTIONS FOR PROPOSAL PREPARATION

1.

Princeton Plasma Physics Laboratory (PPPL) is seeking submission of a proposal for Services as described in the Attachment 1_Statement of Work for Internal Audit Services; Category Exempt;

Dated November 7, 2025; Rev. 0 in accordance with the requirements and conditions contained in this RFP 26-003, to provide internal audit services, to ensure that Princeton University’s compliance with the Department of Energy Acquisition Regulation (DEAR) clause 970.5232-3, which is incorporated into PPPL’s Prime Contract.

Recognizing PPPL’s vision, mission and core values, each Supplier’s proposal should include the approach and methods necessary to completely execute aspects of the requirements within the Statement of Work (SOW) as detailed in Section I, Attachment 1_Statement of Work for Internal Audit Services; Category Exempt; Dated November 7, 2025; Rev. 0

2. ABOUT PRINCETON PLASMA PHYSICS LABORATORY (PPPL)

The Trustees of Princeton University manages and operates Princeton Plasma Physics Laboratory (PPPL) under a prime contract with the U.S. Department of Energy’s Office of Science (Contract No. DE-AC02- 09CH11466). PPPL, located on Princeton University’s Forrestal Campus in Plainsboro, N.J., is devoted to understanding the physics of plasmas and to developing practical solutions for the creation of fusion energy.

Based on its dual status as an accredited institution of higher learning in the State of New Jersey and a U.S. Department of Energy prime contractor, PPPL may qualify for academic and/or federal government prices/discounts. Suppliers shall specifically identify any discount arrangements offered with their proposals.

3. RFP PROCUREMENT SPECIALIST(S) CONTACT INFORMATION

Cheryl Colan, ccolan@pppl.gov, (609) 243-3486

4. SOLICITATION TYPE

Best Value Selection Labor Hour and Expense and Firm Fixed Price Subcontract Indefinite Delivery Indefinite Quantity (IDIQ)

5. SUBCONTRACT TYPE/DURATION

Any award(s) issued will be an Indefinite Delivery Indefinite Quantity (IDIQ) type subcontract(s) between the Awardee(s) and the Trustees of Princeton University under Princeton’s Prime Contract No. DE-AC02-09CH11466 with the U.S. Department of Energy (DOE) that contains term and clauses applying to future subcontracts (Job Orders) during its term, a description of the services to be provided, and methods established for pricing and delivery.

DESCRIPTION OF PROCUREMENT

mailto:ccolan@pppl.gov

Duration of the subcontract will be two (2) years with three (3) one (1) year option periods for maximum of five (5) years.

Prior to the issuance of a Task Order for work under the IDIQ, the subcontractor(s) will be provided a description of the work and will be requested to provide a written price estimate for the performance of the work on a labor hour and expense or a firm fixed price basis.

It is PPPL’s intention to incorporate the terms and conditions set forth in the Terms and Conditions awarded to the supplier as a result from this RFP.

6. MINIMUM QUALIFICATIONS

All Suppliers are required to meet the minimum qualifications experience in order to be eligible to submit a proposal for this RFP.

Previous experience with Internal Audit Services, found in Attachment 1_Statement of Work, Section 7.0. Experience working with government contractors, energy companies and National Laboratories is a plus.

7. SUBMISSION OF QUESTIONS

All Suppliers questions MUST be submitted in writing, emailed to the contact person(s): Cheryl Colan email: ccolan@pppl.gov. All questions will be combined with all other Supplier questions, and all responses will be distributed to each Supplier in the form of an amendment to this RFP.

Oral explanations or instructions provided by PPPL will not be binding. Any substantive information will be furnished to all prospective Suppliers via a written Amendment to the RFP if determined to be necessary to Suppliers in submitting their proposals or if the lack of such information would be prejudicial to uninformed Suppliers.

The deadline for submission of questions is by 4:30 pm EST, January 6, 2026

8. NAICS CODE AND SMALL BUSINESS CONSIDERATION

Because of the nature of the services required, this RFP is not being set aside for small business concerns; however, qualified small businesses are encouraged to submit proposals. “Small business concern,” as used in this clause, means a concern, including its affiliates, which is independently owned and operated, not dominant in the field of operation in which it is bidding on Government contracts, and qualified as a small business by the Small Business Administration based on the following:

N orth American Industry Classification System (NAICS) Code

NAICS CODE Classification Small Business Size Standard 541211 Offices of Certified Public

Accountants $26.5M

*For this NAICS code, a firm submitting an offer in response to this RFP in its own name will be considered small if its average annual receipts for its three most recent completed fiscal years do not exceed the amount shown above.

The Offeror shall base its Small Business Program Representations on this small business size standard when completing the Representations & Certifications document. Refer to Subpart

19.1 - Size Standards of the Federal Acquisition Regulation (FAR) for information on calculating annual average gross revenue.

PPPL reserves the right to make any award it deems necessary to satisfy the Small, Small Disadvantaged, Women-Owned, Service-Disabled Veteran-Owned and HUBZone small business subcontracting goals and objectives set forth in the prime contract. Small business set-asides will be determined by the quantity of eligible responses received.

9. ORAL PRESENTATIONS

Based on the final rankings a competitive range will be established. Selected Suppliers maybe required to make oral presentations of their proposals either remotely (video) or onsite at PPPL/Princeton University offices. Supplier participants should include all persons on the engagement team but no more than five (5) persons who are knowledgeable of the RFP and the response submitted by the Supplier’s organization and who are qualified to answer questions relating to the proposal.

The purpose of the oral presentation will be to:

• Provide a summary of the respective Supplier’s proposal for the benefit of PPPL;

• Permit Review Team members to ask questions pertaining to the Supplier’s proposal.

Suppliers will be provided no more than 1 to 1.5 hours each for oral presentations, to be inclusive of a summary of the proposal contents and a question-and-answer session.

10. CLOSING DATE AND SUBMISSION OF PROPOSALS

Offers are required to submit one (1) electronic copy of the proposal to be received by the Procurement Specialist to the email addresses listed below by the RFP closing date and time.

It is required that filenames for the electronic proposal include the name of the Supplier, the solicitation number, and the file name (e.g., ABCCompany_RFP_26-003_Form.pdf).

THE DEADLINE FOR RECEIPT OF PROPOSALS VIA EMAIL:

JANUARY 21, 2026

Subject Line: ABCCompany_RFP_26-003_Form.pdf.

To: Cheryl Colan (ccolan@pppl.gov)

11. SUPPLIER REGISTRATION

All Suppliers are required to register in the Princeton Supplier Portal (https://solutions.sciquest.com/apps/Router/SupplierLogin?CustOrg=Princeton) in order to be considered for award. Suppliers shall provide confirmation of registration into the Princeton Supplier Portal on the Supplier Information and Pricing Form.

12. PROPOSAL PREPARATION COSTS

This Request for Proposal (RFP) is not intended and shall not be construed to commit Princeton University to pay any costs incurred in connection with the preparation of any proposal or to procure any items or services.

13. PROPOSAL VALIDITY PERIOD

Proposals are to be valid for a period of 120 days from the closing date specified in this RFP.

14. COST AND PRICING DATA

Due to the commercial and competitive nature of this procurement, PPPL is not requesting the submission of certified cost or pricing data under this solicitation. However, Suppliers are advised that in the event that PPPL deems such information is necessary, Supplier should be prepared to submit cost or pricing data within ten business days after being requested.

15. SALES TAX EXEMPTION

Princeton University is exempt from New Jersey Sales Tax (Exemption Certificate No. E-210- 634- 501). A copy of PPPL’s sales tax exemption form will be provided upon request.

16. RESTRICTIONS ON DISCLOSURE OF DATA IN PROPOSALS

Suppliers who include data in their proposals that they do not want disclosed to the public for any purpose, or used by the Government or Princeton except for evaluation purposes, shall:

● Mark their proposals title page with the following legend:

This proposal or quotation includes data that shall not be disclosed outside the Government and Princeton and shall not be duplicated, used, or disclosed –in whole or in part—for any purpose other than to evaluate this PROPOSAL or quotation. If, however, a subcontract is awarded to this Supplier as a result of—or in connection with –the submission of this date, the Government and Princeton shall have the right to duplicate, use, or disclose the date to the extent provided in resulting subcontract. This restriction does not limit the Government’s and Princeton’s right to use information contained in this data if it is obtained from another source without restriction. The data subject to this are contained in sheets (insert number or the identification or affected sheets).

● Mark each sheet of data it wishes to restrict with the following legend:

Use or disclosure of data contained on this sheet is subject to restriction on the title page of this Offer or quotation.

● Furnish details, if their offer is based upon or includes any amount of patent license or royalty fees to be paid to others.

17. MODIFICATION OR WITHDRAWAL OF PROPOSALS

Proposals may be modified or withdrawn by the Supplier by written notice if the Procurement Specialist receives such notice prior to the RFP closing date.

18. LATE PROPOSALS

Any proposal, including notifications of withdrawal or modification, received by PPPL after the closing date specified for this RFP shall be considered to be late. Except as otherwise specifically provided for in this RFP, PPPL may consider, in its sole discretion, for award such late proposals if it is in the best interest of PPPL.

19. PRE-AWARD CONFERENCE

PPPL may require the apparent successful Supplier(s) to attend a Pre-Award Conference to review the work requirements to ensure a mutual understanding of the requirements. The Supplier may also be required to show evidence of its ability to perform under the terms of the proposed subcontract.

20. OTHER POST AWARD INFORMATION

Insurance. Insurance Certificates, evidencing compliance with Part T – Provisions for Work Performed on the PPPL Site, RFP Section II, must be submitted to the Procurement Specialist for review and approval within ten (10) consecutive calendar days after subcontract award and prior to commencement of on-site work.

21. CANCELLATION

PPPL reserves the right in its sole discretion to cancel this procurement at any time without making an award and without providing a reason.

22. FORMAT AND CONTENT OF PROPOSALS

Prospective Suppliers are expected to thoroughly examine all sections of this RFP and to comply with all instructions for preparation and submittal of proposals in response to this RFP. Written proposals must set forth full, accurate, and complete information as required by, or referenced in this RFP. The proposal must be sufficiently detailed to demonstrate complete compliance with PPPL's requirements.

In addition, selected Suppliers may be required to supplement their written proposals with oral presentations of their proposal to the PPPL evaluation team. In case of a conflict, a written submittal overrules an oral statement. Any oral statements or oral promises will be reduced to writing and submitted by the Supplier. The information provided in the written proposal and any oral presentation will be the basis for determining a Supplier's capability to perform the work described in this RFP.

Suppliers shall prepare and submit the following documents which will comprise a complete proposal in response to this RFP. Failure to provide a proposal in the format and with content prescribed by this RFP may result in the proposal being determined to be non-responsive and eliminated from consideration.

23.

Proposals must provide information in the order as presented in this document with the same headings. This will not only be helpful to evaluators of the proposal but should assist the Supplier in preparing a thorough response.

If Supplier plans to subcontract any portion of the work, identification of proposed subcontractor and subcontractor's cost must be included in the proposal.

Proposals must be submitted in the order noted below:

A. PART I – OVERVIEW AND ADMINISTRATIVE

B. PART II – PROPOSAL

C. PART III – OFFER AND PRICING Offeror’s Part III shall be separated, clearly identified, and labeled accordingly.

No pricing information shall be included in Parts I and II.

NOTE: Items marked with a * are required to be completed and submitted with your proposal.

PART I – OVERVIEW AND ADMINISTRATIVE

All required documents must be signed and dated by person authorized to legally bind the Supplier to a contractual relationship.

a. Letter of Submittal* – Introduction of the company.

b. Brief Description of Company *- Supplier shall submit a brief description of their history and organization and a description of their facilities, products, services, and customers (of similar size, scale, and sophistication of PPPL). A preprinted company brochure may be used. The company shall provide a copy of their latest annual report, if applicable, and DUNS number.

c. Supplier Responsiveness*- Supplier shall provide an outline addressing all minimum qualification requirements to support eligibility of their submitted proposal. Supplier responsiveness is a prerequisite to ensure that the mandatory requirements are satisfied.

A proposal will be considered “responsive” if the proposal is in compliance with all the requirements as outlined in this RFP.

d. PPPL Representations and Certifications*. Supplier shall complete and sign

SUPPLIER PROPOSAL

Attachment 4 - PPPL Representations and Certifications Booklet* included in Section V of the RFP.

e. PPPL Organizational Conflicts of Interest (OCI) Certification*. Supplier shall complete and sign Attachment 5 - PPPL Organization Conflicts of Interest (OCI) Certification Form* included in Section V of the RFP.

f. List of Documents*. The following is a list of documents that must be included in with your proposal:

Each document must be labeled according to the order that they are in below, for example: Document 1_Evidence of Satisfactory Quality Assurance Peer Review;

Document 2_Sample Payroll Audit Program.

The list of documents shall be included in Part I only and identified as outlined above.

1. Evidence of a satisfactory Quality Assurance Review/Independent Peer Review of the Offeror’s Internal Audit function completed within the past five years

2. A sample of payroll audit program

3. A sample audit report and description of audit process, including details of processes followed to provide quality assurance and supervision of completed projects

4. Detailed audit schedule and estimated hours for risk assessment/workplan and payroll audit

5. Resumes of all proposed service team members, including details of training received in the past two years as well as training program opportunities that will allow team members to retain and enhance skills

6. Summary of clients of similar size, scale, and sophistication of PPPL

7. Client references including points of contact

8. A proposed cost estimate for the risk assessment and work plan project, including a detailed tasks list with corresponding roles, hours, and rates

PART II – PROPOSAL* (Reference Section IV_ Evaluation and Basis of Award Document and Statement of Work for more detail)

1. Offeror Responsiveness

Offeror provided a complete proposal in the required format with all the required documentation (including all signatures), as defined in the Request for Proposal (RFP) Instructions for Proposal Preparation and as stated above.

Offeror outlined a minimum of ten (10) years’ experience in providing internal audit services for governmental clients.

Offeror provided evidence of a satisfactory Quality Assurance Review/Independent Peer Review of the Offeror’s Internal Audit function completed within the past five years that fulfills the Institute of Internal Auditors (IIA) Global Internal Audit Standards Quality Assurance requirement.

2. Professional and Project Management Capabilities. Supplier must demonstrate their overall capability to perform the work required by this RFP and outlined in Attachment

1_Statement of Work.

a. Understanding of Requirements- The Offeror’s proposal must clearly convey an overall understanding of the scope and complexity of the compliance/technical requirements for this effort. The Offeror must demonstrate a comprehensive knowledge and understanding of the various processes, procedures, professional standards, and federal regulations required to perform the work as specified.

Documentation provided by the Offeror must include a sample audit program for the payroll audit; the scope is provided in the attached Statement of Work.

b. Proposed Audit Approach and Degree of Compliance with Professional Requirements- The Offeror’s proposal must convey an approach that will result in delivery of audit work products that fulfill all of the requirements set forth in the Statement of Work and meet the applicable requirements of the IIA IPPF.

Documentation provided by the Offeror must include a sample audit report and a description of the Offeror’s audit process, including details of processes followed to provide quality assurance and supervision of completed projects.

c. Work Implementation and Management- The Offeror must convey they have a sound plan to conduct and complete the planned work scope including a comprehensive, detailed, and realistic schedule and that they possess the ability to successfully manage and oversee the work to completion and ensure a quality end product is delivered on time and within the established scope statement.

Documentation provided by Offeror must include a detailed audit schedule, labor categories and estimated hours.

d. Qualifications of Personnel- The Offeror shall provide the professional qualifications and experience of the Offeror’s personnel proposed to work on this subcontract to ensure personnel have the training, credentials, qualifications, knowledge, skills, abilities, and experience necessary to perform assigned tasks.

Documentation provided by the Offeror must include resumes of all proposed service team members, including details of training received in the past two years as well as training program opportunities that will allow team members to retain and enhance skills.

3. Organizational Ability. The Offerors proposal should provide their total relevant domain experience, project management abilities, and staffing plans to supply the require skill categories and services.

a. Relevant Experience: The Offeror shall provide documentation and must include a summary of clients of similar size, scale, and sophistication of PPPL.

b. Past Experience: The Offeror shall provide to a measure of the degree to which an Offeror has satisfied its customers, including PPPL (if applicable). The Offeror shall provide Company Name; Project Manager; and Contact information of clients similar in size, scale, and sophistication of PPPL.

PART III – OFFER AND PRICING*- This section must be submitted as a separate document in its original format; any alterations to the provided templates may result in disqualification.

Supplier Information, Pricing Worksheet. Suppliers shall complete and submit the following documentation and shall include pricing information as described on the form for review by PPPL:

1. Attachment 3 - Offeror Information and Pricing Form* pdf file included in

Section V of the RFP.

2. Attachment 3a- Labor Rates and Cost Estimate WAorksheet_RFP_26-

003*.excel file, included ins Section V of the RFP.

-End Instructions for Proposal Preparation-