Broad Agency Announcement Guide _BAA_ Guide for Industry AFMC Jun 08 AFD-080623-060.pdf

BROAD AGENCY ANNOUNCEMENT (BAA) GUIDE

FOR

INDUSTRY

JULY 2008

WPAFB 08-3720

TABLE OF CONTENTS

CHAPTER 1: INTRODUCTION

A. OVERVIEW

B. CRITERIA FOR USE

CHAPTER 2: DEFINITIONS

CHAPTER 3: PROCESSES

A. BAA PROCESS

B. BAA VARIATIONS

CHAPTER 4: BAA ANNOUNCEMENT

CHAPTER 5: FREQUENTLY ASKED QUESTIONS…………………………….12

CHAPTER 6: WHITE PAPER/ABSTRACT PREPARATION

A. GENERAL…………………………………...…………………………………13

B. FORMAT……………………………………...………………………………..13

C. CONTENTS…………………………………………………………………….13

D. PROCESS……………………………………………………………………...14

CHAPTER 7 PROPOSAL PREPARATION

A. GENERAL…………………………………………………………...…………15

B. PROPOSAL TABLE OF CONTENTS/CHECKLIST………………………16

CHAPTER 8: WHITE PAPER/PROPOSAL EVALUATION

A. WHITE PAPER EVALUATION

B. PROPOSAL EVALUATION………………………………………………….28

C. ORAL PRESENTATIONS…………………………………………………

D. AWARDS………………………………………………………………………29

CHAPTER 9: NEGOTIATION TO AWARD

A. NOTIFICATION OF AWARD DECISION

B. MODEL DOCUMENT

C. TECHNICAL AND COST NEGOTIATIONS

CHAPTER 10: DEBRIEFINGS

A. DEBRIEFINGS

B. PROPOSAL RETENTION

CHAPTER 11 ASSISTANCE INSTRUMENTS

A. BACKGROUND

B. GENERAL……………………………………………………………………..34

C. WHEN A GRANT WOULD BE AWARDED………………………………..34

D. WHEN A COOPERATIVE AGREEMENT WOULD BE AWARDED…….35

E. WHEN AN OTHER TRANSACTION WOULD BE AWARDED…………..35

F. WHEN A TECHNOLOGY INVESTMENT AGREEMENT WOULD BE

AWARDED………………………………………………………………..……………36

ATTACHMENT # 1 GRAPHIC DEPICTION OF COMMON BAAs……..………37

ATTACHMENT # 2 SAMPLE STATEMENT OF WORK………………………….41

CHAPTER 1: INTRODUCTION

A. OVERVIEW

Broad Agency Announcements (BAAs) are solicitation methods for Research and Development (R&D) efforts based on synopses published in the FedBizOpps.gov and/or Grants.gov that provide for full and open competition in accordance with the Federal Acquisition Regulation (FAR 6.102(d)(2)). Additional Air Force business opportunities can be accessed at the following website:

http://www.selltoairforce.org/

BAAs are established in FAR 35.016 and are authorized for the acquisition of basic and applied research and that part of development not related to the development of a specific system or hardware procurement. The objective of a BAA is to encourage participation by science and technology based firms and educational institutions in meeting Air Force Research and Development goals for innovative ideas and approaches for research that is general in nature. The Federal Acquisition Regulation (FAR) and its supplements referenced in this guide can be accessed through the following website http://www.arnet.gov/

B. CRITERIA FOR USE

A BAA solicitation method to contract for research and development may be used when:

1. the Government desires new and creative solutions to problem statements.

2. using a conventional statement of work could result in unintentionally stifling ideas and concepts given many possible approaches.

3. fulfilling requirements for scientific study & experimentation directed toward advancing the state-of-the-art or increasing knowledge or understanding rather than focusing on a specific system or hardware solution.

4. the Government must be able to state its objectives in terms of areas of need or interest rather than specific solutions or outcomes.

5. meaningful proposals with varying technical/scientific approaches are reasonably anticipated.

6. evaluation will be based on a peer or scientific review

CHAPTER 2: DEFINITIONS

AFMCFARS: Air Force Materiel Command Federal Acquisition Regulation Supplement. This and other Federal Acquisition Regulations (FAR) can be viewed at http://farsite.hill.af.mil.

Abstract: A brief (usually 2-5 pages) summary of the proposed technical approach with accompanying rough-order-of-magnitude (ROM) price. Also can be referred to as a “white paper”.

Agreements Officer: Title given to a person with the authority to enter into, administer, and/or terminate Technology Investment Agreements.

Assistance Instrument (AI): Business arrangement that is appropriate when the goal of the program is to transfer a thing of value to accomplish a public purpose of support or stimulation as authorized by law. Assistance instruments include grants, cooperative agreements, Technology Investment Agreements, and other transactions for research. Assistance Instruments are covered by the DoD Grant and Agreement Regulation (DoDGARS) and are not subject to the Federal Acquisition Regulation

Broad Agency Announcement (BAA): means a general announcement of an agency’s research interest including criteria for selecting proposals and soliciting the participation of all offerors capable of satisfying the Government’s needs (See FAR 35.016).

BAA Amendment: means a change to the terms and conditions of the Announcement Overview, the BAA, or a change to a Call. A BAA amendment may also change the time and date for receipt of proposals or white papers/abstracts.

Contract Specialist: Term used interchangeably to include the Contract Negotiator, or Buyer. Be advised, however, that only a Contracting Officer is warranted to obligate the Government. Regulations specify several other functions that must be performed by a Contracting Officer.

Contracting Officer: Title given to a person with the authority to enter into, administer, and/or terminate contracts and make related determinations and findings. Only a Contracting Officer has the authority to obligate the Government.

Contractor Acquired Property: means property acquired, fabricated, or otherwise provided by the contractor for performing a contract and to which the Government has title.

Cooperative Agreement: An assistance instrument in which there will be substantial involvement between the Government and the recipient to perform basic research, applied research, and advanced technology development (See 10 U.S.C. 2358). A cost-sharing arrangement may be required.

FedBizOpps (FBO): The public notification media by which U.S. Government agencies identify proposed contract actions and contract awards. BAA solicitations are published in FBO.

Government Furnished Property (GFP): Property, equipment, information, software, and/or data owned by the Government that is furnished to a contractor who needs these items to perform the contract.

Grant: An instrument under which the Government provides assistance to a recipient (college/university/non-profit organization) for basic, applied or advanced research (See 10 U.S.C. 2358). There is no substantial Government involvement.

Grants.gov: The public notification media used when a BAA will allow for the award of an assistance instrument (grant, cooperative agreement, Technology Investment Agreement, other transaction for research) as well as a contract.

Grants Officer: Title given to a person with the authority to enter into, administer, and/or terminate grants and cooperative agreements.

Independent Research and Development (IR&D): A research and development effort that is not sponsored by, or required in performance of a government contract, or grant for: (1) basic research, (2) applied research, (3) development, and (4) systems and other concept formulation studies. IR&D programs do not include technical efforts expended in developing and preparing technical data specifically to support submitting a bid or proposal.

Oral Presentations: The solicitation may require each offeror to submit part of its proposal through oral presentations. Oral presentations by offerors as requested by the Government may substitute for, or augment, written information. Use of oral presentations as a substitute for portions of a proposal can be effective in streamlining the source selection process. Oral presentations may occur at any time in the acquisition process, and are subject to the same restrictions as written information, regarding timing (see FAR 15.208) and content (see FAR 15.306).

Other Transactions for Prototype: Section 845 of Public Law 103-160, as modified by Section 804 of Public Law 104-201, provides the Secretary of the Air Force authority to enter into transactions (other than contracts) under 10 U.S.C.

2371 for prototype projects directly relevant to weapons or weapon systems proposed to be acquired or developed by the DoD. Agreements issued under this authority are commonly referred to as Other Transaction (OT) for Prototype agreements or Section 845 agreements.

Other Transactions for Research: An instrument under which the Government provides assistance to a recipient (can be a single contractor or a team of contractors) to transfer something of value to the public sector. Substantial Government involvement and 50/50 cost sharing are required. Used when it is not appropriate or feasible to use a contract, grant, or cooperative agreement.

(See 10 U.S.C. 2371)

Price Analyst: Refers to a contracting professional whose function is focused on analyzing and negotiating an offeror's cost proposal and documenting the results of the negotiation. A Price Analyst is not a Contract Specialist.

Program Manager (PM): Term used interchangeably to include a Project Engineer, Project Manager, Program Manager, Scientist, Contracting Officer Representative (COR), Contracting Officer Technical Representative (COTR), Senior Scientist or Contract Monitor. Individual responsible for overseeing/managing a Science & Technology (S&T) project.

Statement of Work (SOW): The document that captures the technical content of the contractual effort. The contract may incorporate portions of the offeror’s technical proposal instead of a formal SOW.

Synopsis: An individual BAA announcement published in the FedBizOpps (FBO) and Grants.gov if applicable. Can also be used to announce awards, provide information on future contracting actions, etc.

Technical/Cost Evaluation: The document that records the technical team’s evaluation of each proposal against the evaluation criteria. It also addresses the technical team’s assessment of applicable quantitative elements, to include number of labor hours proposed, skills mix, materials, subcontracting, etc.

Technology Investment Agreements (TIA): An assistance instrument used to attract non-traditional DoD contractors and facilitate the integration of the defense and commercial industries. It requires a 50/50 cost share unless waived.

White Paper: A brief (usually 2-5 pages) summary of the proposed technical approach with an accompanying rough-order-of-magnitude (ROM) price. Can also be referred to as an “abstract”.

CHAPTER 3: PROCESSES

A. BAA PROCESS

The first step usually involves an announcement in FedBizOpps that requests interested offerors to submit either a white paper/abstract or full proposal (depending on the BAA variation selected, see below). The BAA announcement in FedBizOpps will be the only solicitation. This may be a short announcement that links to further information or the full announcement may be published in FedBizOpps. It is recommended that any interested offerors read the BAA very carefully. As a minimum the following information will be included in the BAA announcements:

(1) An identifying number, and program name.

(2) Points of contact for both contracting and technical matters. Offerors are encouraged to make contact with the listed individuals for any assistance required.

(3) A description of the broadly stated areas of potential basic research or a description of the scientific or engineering problems needing new and creative solutions. A short summary of areas of program interest, expanded as appropriate, to include problems, objectives, and deliverable items (reports, software, prototypes, etc.).

(4) Information on proposal format and number of copies of white papers/abstracts or proposals requested.

(5) The address and/or method for white paper/abstract or proposal submittal.

(6) If a two-step BAA variation is selected, a statement that firms submitting white papers/abstracts found to be consistent with the intent of the BAA may be invited to submit a full proposal.

(7) Criteria for selecting white papers/abstracts and proposals.

(8) If an informational briefing is scheduled, details as to time, date, place, number of attendees permitted, clearances needed, etc.

(9) Advice to foreign-owned firms that their participation is subject to foreign disclosure review procedures and that they should immediately contact the contracting focal point for information if they contemplate responding.

(10) If export-controlled technical data is involved, a note advising that only firms holding certification under the US/Canada Joint Certification Program (JCP) (www.dlis.dla.mil/jcp) are allowed access to such data.

(11) The total dollar value or range of dollar values as well as anticipated period of performance may be stated in the announcement.

(12) A statement that multiple white papers/abstracts or proposals addressing different research areas, within the purview of the announcement, may be submitted by each offeror.

(13) Advice to offerors that only Contracting Officers are legally authorized to commit the Government.

(14) Date and time when white papers/abstracts or full proposals will be due. If an Open BAA variation has been selected white papers/abstracts or proposals may be allowed over a specified extended period.

B. BAA VARIATIONS

Variations of the BAA process are available for use. The following types are commonly used, but are not considered all inclusive.

(1) One-Step: The one-step process is used to request full technical and cost proposals from each offeror. The proposals are evaluated in accordance with the solicitation criteria and all of a selected proposal, part of a selected proposal, or none of the proposals are selected for individual negotiation.

(2) Two-Step: The two-step is commonly used when a large number of proposals are anticipated. Potential offerors are invited to submit brief descriptive white papers/abstracts in lieu of full proposals. Full proposals are requested from those offerors selected in the white paper/abstract evaluation process. When proposals are received they are evaluated and selected for individual negotiations.

(3) Open BAA: This approach allows for white paper/proposal submittals at any time within a specified period (usually 12 months)—Open BAAs must be publicized no less frequently than annually. White papers/proposals are evaluated when received during the period that the BAA is open.

(4) Closed BAA: This approach allows for white paper/proposal submittals at a specified date and time as set forth in the BAA. Late bid and proposal provisions (IAW FAR 52.215-1(c)(3)) are usually included in the BAA.

(5) BAA with Calls: This technique allows for publication of a basic BAA solicitation that contains overarching information, but does not request White/Papers or full proposals. The basic BAA often functions as a framework identifying the technical areas and giving the basic terms and administrative information of the BAA and is usually open for at least 12 months. The requests for White Papers/proposals are transmitted via Calls that are published separately from the basic BAA at various times during the open period of the basic BAA (note: the first Call may be published with the basic BAA). The Calls may further define the technology/government needs or just request White Papers or full proposals. The Calls may also include specific terms that apply to that Call such as further technical details and any pertinent clauses such as available GFP or specific Organizational Conflict of Interest requirements.

Proposals or white papers are submitted only when Calls to the basic BAA request them. Late bid and proposal provisions (IAW FAR 52.215-1(c)(3)) are usually included in the BAA.

(6) Staggered-closed BAA: The staggered-closed BAA states a specified date and time for receipt of proposals or white papers, but allows for proposals/white papers after the date and time set for proposal receipt. All offerors should be cautioned, however, that the likelihood of funding proposals received after the specified date and time is substantially reduced.

Combinations of the above can result in subsets such as; closed one-step;

closed two-step; open one-step; open two-step; two-step BAA with Calls; one-step BAA with Calls or two-step Staggered-closed BAA.

(See attachment # 1 for graphic depiction of some common BAA variations.)

CHAPTER 4: BAA ANNOUNCEMENT

A BAA announcement may include the following general categories:

BROAD AGENCY ANNOUNCEMENT

BAA-XX-XX-XX

NAICS CODE:

FEDERAL AGENCY NAME:

BROAD AGENCY ANNOUNCEMENT TITLE:

BROAD AGENCY ANNOUNCEMENT TYPE:

BROAD AGENCY ANNOUNCEMENT NUMBER:

CATALOG OF FEDERAL DOMESTIC ASSISTANCE (CFDA) NUMBER(S):

PROPOSAL DUE DATE AND TIME:

I. PROGRAM DESCRIPTION:

1. Statement of Objective/Needs:

2. Deliverable Items:

3. Schedule:

4. Other Requirements

5. Other Information:

II. AWARD INFORMATION:

1. Anticipated Funding: .

2. Anticipated Number of Awards:

3. Anticipated Award Date:

III. ELIGIBILITY INFORMATION:

IV. PROPOSAL/APPLICATION AND SUBMISSION INFORMATION:

V. PROPOSAL/APPLICATION REVIEW INFORMATION:

VI. AWARD ADMINISTRATION INFORMATION:

VII. AGENCY CONTACTS:

VIII. OTHER INFORMATION:

CHAPTER 5 FREQUENTLY ASKED QUESTIONS

The announcement is printed in the Research and Development Section –A of the FedBizOpps. The areas below are those that usually generate the most questions from offerors. The following paragraphs should clarify the information in the BAA and answer many potential questions.

(1) BAA Amendments: Changes to the announcement can only be made by posting an amendment in the FedBizOpps. Amendments to BAA announcements are used to: (a) extend due dates (b) increases total estimated funding and/or (c) clarify objectives. Amendments are not used to change or substantially modify the technical objectives. A new BAA announcement would be used and the old one cancelled to change technical objectives significantly.

Any amendment will appear in the same section of the FedBizOpps as the original announcement.

(2) Proposal Receipt Dates: All BAAs or BAA Calls will contain an “open and effective” date or a date when white papers/abstracts or proposals are due. This is the last day for receipt of white papers/abstracts or proposals. This date can only be changed through a formal amendment (i.e., publication of amendment) to the FedBizOpps announcement.

(3) Multiple Awards: BAAs may result in multiple awards. When applicable, the FedBizOpps announcement may specify a range for length of performance expected or a dollar range anticipated for each award. However, to allow for program flexibility, the Government may not provide a range for each award. In this case, the Government may indicate the total value of all awards anticipated.

(4) Source Lists: Due to the nature of the BAA process Contracting Officers do not prepare a “source list” or “bidders list.”

(5) Availability of Referenced Documents: Copies of specifications or Data Item Descriptions (DIDs) cited in the BAA announcement may be obtained at the Depart of Defense Single Stock Point for Mil Specs and Standards website:

http://dodssp.daps.dla.mil/. Their help desk number is 215-697-6257/6936.

(6) Late Proposals: The due date for white papers/abstracts or proposals will be specified in the BAA announcement. The due date is usually firm unless otherwise specified in the BAA. Late proposals are only accepted if they comply with the provisions of FAR 52.215-1(c )(3).

(7) Proposals Exceeding The Page Limitations Specified In The Solicitation All BAA solicitations normally contain a page limitation for any white paper/abstract or proposal submitted. If a submittal exceeds the specified page limitation the excess pages will normally be removed and not considered in the evaluation.

CHAPTER 6: WHITE PAPER/ABSTRACT PREPARATION

A. GENERAL. If the Two-Step BAA variation is utilized, offerors will be required to submit a white paper or abstract. The purpose of this white paper/abstract is to preclude unwarranted effort on the part of an offeror whose work is not of interest to the Government.

B. FORMAT. The white paper/abstract will generally be formatted as follows unless otherwise specified in the BAA:

Section A

1. Title, Period of Performance, Estimated Cost of Task, Name and Address of the Company, Technical and Contracting Points of Contact, Telephone Number, Fax and Email.

2. Add the following information for classified submissions: Classified level at which company is cleared, Commercial and Government Entity Code (CAGE), contractor address for forwarding classified material, (name, address, zip code), cognizant security office (name, address, zip code), offeror’s security officer’s name and telephone number.

Section B - Task Objective - Description of work to be performed

Section C - Technical Summary and Proposed Deliverables

C. CONTENTS.

1. The white paper/abstract should include the anticipated period of performance as well as a rough-order-of-magnitude (ROM) cost. The ROM cost consists of the total cost plus profit/fee, if any. It is a best guess of the anticipated cost of the effort. The ROM should be consistent with any dollar value or ranges, if any, specified in the announcement, as well as the level of work being proposed.

2. The white paper/abstract does not include a cost proposal or any of the material which usually accompanies a cost proposal. The white paper/abstract is generally less than five (5) pages in length; see FedBizOpps for specifics for each individual announcement. It must include a short technical description of the concepts and plans to accomplish the technical objectives. It also briefly describes the technologies to be pursued in the effort. It should also identify any IR&D work underway within the company which may have direct application. The white paper/abstract should address only that specific part of the BAA that the offeror intends to accomplish. A single white paper/abstract that attempts to address the whole scope of the technology described in the FedBizOpps will most likely be rejected.

D. PROCESS. White papers should be submitted as specified in the BAA.

The evaluation team will evaluate the white paper/abstract against the criteria stated in the announcement. Those offerors whose white papers/abstracts are of interest may be invited to submit a formal proposal. Offerors whose white papers/abstracts are determined to not be of interest are not precluded from submitting a proposal and may request proposal instructions if they so desire. All offerors submitting white papers/abstracts will be contacted by the Government;

either with a letter informing them that the effort proposed is not of interest to the Government, or with a request for a formal cost and technical proposal by a specified date.

CHAPTER 7 PROPOSAL PREPARATION

A. GENERAL

1. The proposal is the only vehicle available to the offeror for receiving consideration for award. The proposal must stand on its own merit; only information provided in the proposal can be used in the evaluation process leading to an award. The proposal should be prepared simply and economically, providing straightforward, concise delineation of the technical solution necessary to perform the proposal. The technical proposal must be accompanied by a fully supported cost proposal, as cost and technical considerations are reviewed simultaneously.

2. Do not put proprietary data or markings in the Statement of Work (SOW). Proposals containing data that is not to be disclosed to the public for any purpose or used by the Government except for evaluation purposes shall include the following sentences in accordance with FAR 52.215-1(e)(1) and (2) on the cover page:

“This proposal includes data that shall not be disclosed outside the Government and shall not be duplicated, used, or disclosed -- in whole or in part --for any purpose other than to evaluate this proposal. If, however, a contract is awarded to this offeror as a result of -- or in connection with -- the submission of this data, the Government shall have the right to duplicate, use, or disclose the data to the extent provided in the resulting contract. This restriction does not limit the Government's right to use information contained in this data if it is obtained from another source without restriction. The data subject to this restriction are contained in sheets [insert numbers or other identification of sheets]”; and

Each restricted data sheet should be marked as follows:

“Use or disclosure of data contained on this sheet is subject to the restriction on the title page of this proposal.”

3. The BAA may allow for electronic submittal of the white paper or full proposal.

Please read the BAA closely for any specific submittal procedures or restrictions.

4. To ensure all technical proposals receive proper consideration, the Government requires the proposal format below. This format can be incorporated as the proposal Table of Contents and serves as a final checklist as well. Each individual BAA should specify which content will be included in the proposal page limit.

B. PROPOSAL TABLE OF CONTENTS/CHECKLIST

Part I - Technical Proposal i Cover Page ii Table of Content iii List of Illustrations/Tables iv Executive Summary

1.0 Technical Approach

1.1 Technical Discussion

1.2 Technical Program Summary

1.3 Risk Analysis and Alternatives

1.4 References

2.0 Capabilities and Relevant Experience

2.1 Previous or Current Relevant Independent Research

and Development (IR&D) Work

2.2 Related Government Contracts

2.3 Facilities/Resources

2.4 Resumes of Key Personnel

3.0 Schedule

3.1 Time Line Chart by Task

4.0 Program Organization

4.1 Organization Chart(s) with key personnel

4.2 Management and Technical Team

4.2.1 Prime Contractor Responsibilities

4.2.2 Subcontractor(s) Responsibilities

4.2.3 Consultant Responsibilities

5.0 Appendix(es)

PART II -- Technical Proposal

Format of the proposal shall be specified in the BAA.

a. Cover Page

The cover page shall include the BAA title and reference number, name and telephone number, fax and email for the offeror’s principal points of contact (both technical and contractual), and the page shall also contain the proprietary data disclosure statement, if applicable

b. Table of Contents

Follow the previously described table of contents and use it for a final quality-control checklist.

c. List of Illustrations/Tables

This list is a quick reference of charts, graphs, and other important information.

A separate List of Tables is recommended.

d. Executive Summary

The Executive Summary allows offerors to present, briefly and concisely, the important aspects of their proposals to key management personnel. The summary should present an organized progression of the work to be accomplished, without the technical details, so that the reader can grasp the core issues of the proposed program. The Executive Summary should rarely exceed two pages.

e. Technical Approach

In this section, the offeror should provide as much technical detail and analysis as is necessary or useful to support the proposed technical approach. One must clearly identify the technologies, (basic, applied research or exploratory development) forming the “new and creative” solution(s) proposed. It is not effective to address a variety of possible solutions to the technology problems.

(1) Technical Discussion: No technical approach is without its limitations or shortcomings. Every issue should be identified and compared with the successes/failures of previous approaches. A tradeoff analysis is a good way to make this comparison and should be supported by theory, simulation, modeling, experimental data, or other sound engineering and scientific practices. If the offeror has a “new and creative” solution to the problem(s), that solution should be developed and analyzed in this section. The preferred technical approach should be described in as much detail as is necessary or useful to establish confidence in the approach.

(2) Technical Program Summary: This section summarizes the above technical discussion in an orderly progression through the program, emphasizing the strong points of the proposed technical approach.

(3) Risk Analysis and Alternatives: Every technology has limitations and shortcomings. The proposal evaluator(s) will formulate a risk assessment;

therefore, it is in the best interest of the offerors to have their own understanding of the risk factors presented. Critical technologies should be identified along with their impact on the overall program, as well as fallback positions that could still improve on existing approaches.

(4) References: Any good technology discussion must present the basis for, and reference, the findings cited in the literature.

f. Capabilities and Relevant Experience

In this section, the offeror should describe any capabilities the offeror has that are uniquely supportive of the technology to be pursued. The following subparagraphs are offered as possible areas to be addressed.

(1) Capabilities and Relevant Experience

(2) Previous or Current Relevant IR&D Work and Points of Contact

(3) Related Government Contracts and Points of Contact

(4) Facilities/Resources

(5) Resumes of Key Personnel

g. Schedule

The schedule represents the offeror’s commitment to perform the program tasks in an orderly, timely manner.

(1) Time Line Chart by Task: Each major task identified in the SOW should appear as a separate line on the program schedule. Planned meetings, such as kick-off, presentations (including final presentation on the effort), Technical Interchange Meetings, etc., should be included in the Time Line. The Time Line should also indicate the anticipated meeting site.

h. Program Organization

In this paragraph, the offerors should present their Organization’s ability to conduct difficult technical programs. Any pertinent or useful information may be included in this paragraph, but a minimum recommended response should address the following subparagraphs:

(1) Organization Chart(s) with Key Personnel: Include prime offeror and subcontractor organization charts.

(2) Management and Technical Team: This should specifically identify what tasks will be performed by each party and why each subofferor, if any, was selected to perform its task(s).

(a) Proposer Responsibilities

(b) SubContractor(s) Responsibilities

(c) Consultant(s) Responsibilities

i. Appendix(es): Appendices may include technical reports, published papers, and referenced material. A listing of these reports/papers, with short description of the subject matter, is usually adequate. DO NOT PROVIDE COMMERCIAL PRODUCT ADVERTISING BROCHURES. Please be aware that these may be included in the proposal page limitation.

PART III --- Offeror Statement of Work (SOW)

A. Many BAAs request an offeror developed Statement of Work (SOW) submitted with the proposal. The SOW developed by the offeror and included in the proposal may be incorporated into a resulting, binding contract. Developing the SOW as a separate and distinct part of the proposal (Part II) will allow the Government to incorporate it as part of the contract with minimal time and effort.

(See Attachment # 2 for Sample SOW)

a. PLEASE USE THE FOLLOWING DECIMAL NUMBERING SYSTEM FOR SOW PREPARATION. Do not put proprietary data or restrictive markings in the Statement of Work (SOW).

Table of Contents

1.0 Objective

2.0 Scope

3.0 Background

4.0 Tasks/Technical Requirements

1st sub-level 4.1 Task 2nd sub-level 4.1.1 Sub-task 3rd sub-level 4.1.1.1 Second level sub-task

b. An offeror developed SOW is required to accurately describe the work to be performed, is enforceable, and void of inconsistencies. If, in the Government’s opinion, the offeror’s SOW does not reflect these requirements, changes or adjustments may be required which could delay the award. The SOW must be a separate and distinct part of the proposal. The proposed SOW must contain a summary description of the technical methodology as well as the task description, but not in so much detail as to make the SOW inflexible. DO NOT INCLUDE THE

OFFEROR’S NAME, OR ANY PROPRIETARY INFORMATION IN THE SOW.

c. The following is offered as the format for the SOW. Begin this section on a new page. Start your SOW at Paragraph 1.0. A sample SOW is included for reference as Attachment No. 2.

(1) 1.0 - Objective: This section is intended to give a brief overview of the specialty area and should describe why it is being pursued, and what you are trying to accomplish.

(2) 2.0 - Scope: This section includes a statement of what the SOW covers. This should include the technology area to be investigated, objectives/goals, and major milestones for the effort.

(3) 3.0 - Background: The offeror shall identify appropriate documents that are applicable to the effort to be performed. This section includes any information, explanations, or constraints that are necessary in order to understand the requirements. It may include relationship to previous, current and future operations. It may also include techniques previously tried and found ineffective.

(4) 4.0 - Technical Requirements:

(a) This section contains the detailed description of tasks which represent the work to be performed which are contractually binding. Thus, this portion of the SOW should be developed in an orderly progression and in enough detail to establish the feasibility of accomplishing the overall program goals. The work effort should be segregated into major tasks and identified in separately numbered paragraphs according to the decimal system above. Each numbered major task should delineate, by subtask, the work to be performed. The SOW must contain every task to be accomplished.

(b) The tasks must be definite, realistic, and clearly stated. Use “shall” whenever the work statement expresses a provision that is binding. Use “should” or “may” whenever it is necessary to express a declaration of purpose. Use “will” in cases where no offeror requirement is involved; e.g., power will be supplied by the Government. Use active voice in describing work to be performed.

(c) Do not use acronyms or abbreviations without spelling-out acronyms and abbreviations at the first use; place the abbreviation in parenthesis immediately following a spelled-out phrase. This provides the definition for each subsequent reuse. As an option, a glossary may contain definitions of acronyms and abbreviations.

(d) If presentations/meetings are identified in your schedule, include the following paragraph in your SOW:

“Conduct presentations/meetings at times and places specified in the contract schedule.”

(e) It is preferred that your proposed Statement of Work be submitted on a 3 1/2” disk, CD ROM or Zip disk using Microsoft Word. The PC Word format is preferred. It is still necessary, however, to submit a hard copy of the Statement of Work.

Note: Always compare this guide’s instructions with the announcement instructions as they may vary for some projects and may differ somewhat from the instructions herein. Should that occur, you should comply with the announcement instructions.

PART IV Guidelines for Cost Proposals

a. For pricing purposes, offerors should assume a contract or agreement start date of approximately ninety (90) days after submission of the proposal.

Offerors are to provide any current Forward Pricing Rate Agreements (FPRA) in effect at time of proposal submission.

b. The cost proposal should be limited to the minimum number of pages necessary to adequately support the proposed cost. The BAA announcement should specify if adequate price competition, as defined in FAR 15.403-1(c), is anticipated or if cost or pricing data, as defined in FAR 2.101 must be submitted .

If adequate price competition is anticipated and if it is later determined that adequate price competition does not exist, and the threshold for a negotiated contract is expected to exceed $650,000 then the submission of cost or pricing data may be required. When cost or pricing data are required, the contracting officer shall require the offeror to submit to the contracting officer (and to have any subcontractor or prospective subcontractor submit to the prime contractor or appropriate subcontractor tier) the following in support of any proposal:

(1) The cost or pricing data.

(2) A certificate of current cost or pricing data, in the format specified in

FAR 15.406-2, certifying that to the best of its knowledge and belief, the cost or pricing data were accurate, complete, and current as of the date of agreement on price or, if applicable, an earlier date agreed upon between the parties that is as close as practicable to the date of agreement on price.

c If cost or pricing data are requested and submitted by an offeror, but an exception is later found to apply, the data will not be considered cost or pricing data as defined in FAR 2.101 and will not be certified in accordance with FAR 15.406-2.

d. Cost Sharing: Air Force policy is that the Government will normally fully fund all R&D efforts with appropriated funds. However, there may be occasions where an offeror might anticipate some commercial or other form of additional benefit from participation in an Air Force project and may be willing to share in the costs of the project. In such cases, the offeror will be requested to verify or otherwise substantiate it and a cost sharing arrangement may be used. If so, a cost-sharing arrangement will be incorporated in the resulting award. No type of federal funding may be used as a source for the contractor's share of the cost.

There are certain programs that may require cost sharing, such as Manufacturing Technology, which statutorily require cost sharing. Certain types of assistance instruments, such as Technology Investment Agreements or some Cooperative Agreements, may also require cost sharing. On assistance instruments, however, some type of federal funding, such as IR&D, may be appropriate or acceptable as cost share.

e. Additional Information: The following information should be contained in a cover sheet attached to the cost proposal:

1. Full company name and address

2. BAA number submitting proposal against

3. Point of contact, name, title, phone and fax number

4. CAGE code

5. DUNS number

6. Type of contract proposed (i.e. CPFF, T&M)

7. Name, address and phone number of administration office

8. Name, address and phone number of audit (DCAA) office

9. Will you require the use of any government property in the performance of this work? If yes, identify.

10. Is this proposal consistent with your established estimating and accounting practices and procedures and FAR Part 31 cost principles? If no, explain.

f. Cost Element Breakdown: Clear, concise and accurate cost proposals reflect the offeror's financial plan for accomplishing the effort contained in the technical proposal.

As a part of its cost proposal, the offeror shall submit other than cost or pricing data in the format suggested by FAR 15.403-5(b)(1), or cost or pricing data as defined by FAR 2.101,or in contractor’s format containing the information outlined below, together with supporting breakdowns. All direct costs (labor, material, travel, computer, etc.) as well as labor and overhead rates should be provided by contractor fiscal year (CFY) unless otherwise specified in the BAA. Following this narrative is an example of pricing information that may be required. The supporting schedules may include summary level estimating rationale used to generate the proposed costs. Information such as historical cost information, judgment, analogy to other similar efforts, etc. is generally accepted methods of projecting labor expenditures. Purchase order history, catalog prices, vendor quotations, firm negotiated values, engineering estimates, etc. are generally accepted methods of projecting material requirements. The cost element breakdown(s) may include the following.

1. Direct Labor: Direct labor should be detailed by number of labor hours by category of labor by contractor fiscal year.

2. Labor and Overhead Rates: Direct labor hours, with their applicable rates, must be broken out by contractor fiscal year and the bases used clearly identified. The source of labor and overhead rates and all pricing factors should be identified. For instance, if a Forward Pricing Rate Agreement (FPRA) is in existence, that should be noted, along with the Administrative Contracting Officer’s (ACO's) name and telephone number. If the rates are based on current experience in your organization, provide the history base used and clearly identify all escalation, by year, applied to derive the proposed rates. If computer usage is determined by a rate, identify the basis used and rationale used to derive the rate.

3. Material/Equipment: List all material/equipment items by type and kind with associated costs and advise if the costs are based on vendor quotes, data and/or engineering estimates; provide copies of vendor quotes and/or catalog pricing data.

4. Subcontractor Costs: Submit all subcontractor proposals and analyses with your cost proposal (See FAR 15.404-3(b)). If the subcontractor will not submit cost and pricing information to the offeror, this information must be submitted directly to the Government for analysis. On all subcontracts and interdivisional transfers, provide the method of selection used to determine the subcontractor and the proposed contract type of each subcontract. An explanation shall be provided if the offeror proposes a different amount than that quoted by the subcontractor. The offeror’s proposal must:

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

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

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

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

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

(f) 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.

5. Special Tooling or Test Equipment: When special tooling, and/or test equipment is proposed, attach a brief description of said items and indicate if they are solely for the performance of this particular contract or project and if they are or are not already available in the offeror's existing facilities. Indicate quantities, unit prices, whether items are to be purchased or fabricated, whether items are of a severable nature and the basis of the price. These items may be included under Direct Material in the summary format.

6. Consultants: When consultants are proposed to be used in the performance of the contract, indicate the specific project or area in which such services are to be used. Identify each consultant, number of hours or days to be used and the consultant's rate per hour or day. State the basis of said rate and give your analysis of the acceptability of the consultant's rate.

7. Travel. Travel costs must be justified and related to the needs of the project. Identify the number of trips, the destination and purpose. Travel costs should be broken out by trip with number of travelers, airfare, per diem, lodging, etc.

8. Computer Use: Detail the amount and kind of computer usage, the cost and how the costs were derived.

9. Facilities Capital Cost of Money: If Facilities Capital Cost of Money is claimed, a properly executed DD Form 1861 is required in support of the dollars proposed.

10. Project Funding Profile: Offerors should include a project funding profile by Government Fiscal Year (GFY) (1 Oct through 30 Sept) for budgetary purposes. This will enable the Government to easily identify program funding needs by GFY.

If an offeror takes exceptions to the requirements called out in the announcement (e.g., base support, Government-furnished property (GFP), CDRLs), the exceptions should be clearly stated in the cost proposal.

CHAPTER 8: WHITE PAPER/PROPOSAL EVALUATION

A. WHITE PAPER EVALUATION

If the Two-Step process (see Chapter 3) was used, offerors will be required to submit a white paper or proposal abstract. The evaluation team will evaluate the white paper to determine its overall technical value and interest to the Government. Offerors that submitted white papers found to be of interest may be requested to submit formal technical and cost proposals by a specific date.

Offerors that submit a proposal without first submitting a white paper or proposal abstract may not be eligible for award; please read each BAA closely to determine if this restriction applies.

B. PROPOSAL EVALUATION

Proposals are evaluated solely on the criteria published in the BAA on the FedBizOpps and/or grants.gov. The proposal must stand on its own merit as submitted. All BAA proposals are evaluated by Government personnel or as otherwise specified in the announcement. In some cases, when the necessary expertise cannot be found within the Government, outside consultants may be included on the evaluation team. This will be indicated in the announcement. The technical evaluation will classify proposals into categories utilizing the criteria published in the BAA (See AFMC FAR Supplement 5335.016(b)(90)). The three categories generally utilized are the following;

however offerors should consult the BAA as different categories may be specified:

(i) Category I: Proposal is well conceived, scientifically and technically sound, pertinent to the program goals and objectives, and offered by a responsible contractor with the competent scientific and technical staff and supporting resources needed to ensure satisfactory program results. Proposals in Category I are recommended for acceptance (subject to availability of funds) and normally are displaced only by other Category I proposals.

(ii) Category II: Proposal is scientifically or technically sound, requiring further development and is recommended for acceptance, but at a lower priority than Category I.

(iii) Category III: Proposal is not technically sound or does not meet agency needs.

C. ORAL PRESENTATIONS

Offerors may be required to present part or all of their technical proposals orally (See definition in Chapter 2). This would consist of a briefing format where the offeror would present their technical proposal to the evaluation team. Specific requirements for oral presentations may vary with each announcement so offerors must read the proposal preparation instructions carefully.

Submission of presentation slides will normally be required at time of any written proposal documents. Offerors are usually given a specific amount of time to present their proposal and/or a maximum number of charts that they can present.

Members of the evaluation team will usually be permitted to ask questions. The questions will be for clarifications or further explanation only, as the evaluation team is not allowed to provide feedback (positive or negative) to the offeror during the presentation. The offeror will usually be given the option of answering the question immediately or providing the answer at a later time. The evaluation team will base their evaluation on the content of the presentation and not on the “polish or style” of the presentation. Some written information may still be required and advance copies of the presentation charts are usually required. If presentation slides have also been submitted, no changes, other than administrative, are permitted. Cost proposals are usually not included in the oral presentation. The entire proposal (written portions and those portions that are orally presented) will be evaluated solely on the criteria published in the announcement and the proposal must stand on its own merit as presented/submitted.

D. AWARDS

1. Multiple Awards and Flexibility in Awards made:

Under the BAA method, multiple awards are generally made based on the quality of the proposals and availability of funding. Occasionally, the Air Force may be interested in buying only a certain portion (or portions) of a proposal. The BAA method provides the flexibility to make an award for only those portions or tasks of the proposal that are of interest to the Government. You will be notified in writing if the Government intends to make an award based on your proposal.

The notification will indicate if all or only portions of your proposal will be included in the award.

2. Sequence of Awards:

In most BAAs, awards are usually made to Category I proposals prior to awards to any Category II proposals. However, because of the uniqueness of the BAA evaluation process, it may be the case that while your overall proposal is ranked in Category II (or even Category III) a certain part of the proposal may be ranked Category I or II. In this case the flexibility of the BAA process (mentioned in paragraph 1.) will allow the Government to make an award for that portion of your proposal that is of high interest to the Government. Category III proposals, with the exception of certain parts of the proposal (as described above) are generally not awarded. Offerors whose proposal(s) are not recommended for acceptance will be notified by the Contracting Officer.

CHAPTER 9: NEGOTIATION TO AWARD

A. NOTIFICATION OF AWARD DECISION

In the Closed-Ended Single-Step or Two-Step processes, the Contracting Officer or Contract Specialist will notify, in writing, offerors selected for negotiation for potential award and offerors that were not selected. Such notification can only occur after the technical evaluation has been approved. During this notification process, the Contracting Officer or Contract Specialist may request any required pricing updates or revisions begin immediately. The solicitation typically calls for submission of a subcontracting plan – if required-- with the proposal. If subcontracting information is incomplete, the Contracting Officer or Contract Specialist will request it at this time.

B.…