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Sec. 13-4.5002–2 Procurement of competitive

systems demonstrations. 13-4.5002-3 Contracting for full-scale de

velopment of a major system. 13-4.5002-4 Contracting for production of

additional identical systems. AUTHORITY: Federal Property and Administrative Services Act of 1949, as amended (40 U.S.C. 486(c)), as delegated by the Secretary in Department Order 10-5.

SOURCE: 43 FR 22039, May 23, 1978, unless otherwise noted.

ing with the appropriate control point (see § 13-4.908) and; (2) to immediately forward all unsolicited proposals received to the appropriate control points.

(b) Control Point Officials shall provide a properly completed Department Form CD-330 (Instructions for Submission of Unsolicited Proposals),' along with a copy of the publication, How to Sell to the Department of Commerce and any additional material prescribed by their operating unit or Departmental office to each inquirer whose inquiry may result in submission of an unsolicited proposal.

Subpart 13-4.9-Unsolicited


$ 13-4.900 Scope of subpart.

This subpart implements 41 CFR Subpart 1-4.9 and provides Departmental policies and procedures concerning submission, receipt, handling, evaluation and making acquisition decisions concerning unsolicited proposals.

8 13-4.908 Agency points of contact.

Heads of Procuring Activities or their designees shall serve as control points for coordination, receipt and handling of unsolicited proposals. The Director, Office of Procurement and Automatic Data Processing Management is the control point for unsolicited proposals which are of interest to a Departmental office or operating unit that does not have an internal procuring activity and for proposals which are of interest to more than one Departmental office or operating unit.

813-4.902 Policy.

It is the policy of the Department to invite public interest in its various missions and to encourage submission of innovative ideas and suggestions which will help to improve or enhance any of the Department's activities. $ 13–4.903 Agency program direction and

operation. Each operating unit and Departmental office should develop policies, procedures and guidelines sufficient to assure implementation of the provisions in this subpart and in 41 CFR Subpart 1-4.9.

13-4.905 Advance guidance. (a) All Departmental employees should be instructed to welcome and encourage inquiries relative to the Department's missions, needs and methods of operation and to refer inquiries to the program or technical offices concerned with the subject matter of an inquiry. Any inquiry which indicates the possibility of or may lead to procurement action shall be promptly directed to the head of the procuring activity for processing coordination. Employees should be further instructed: (1) To advise inquirers not to submit proposals before communicat

8 13–4.909 Receipt, review and evaluation.

(a) Control Point Officials shall acknowledge receipt of unsolicited proposals within ten (10) working days by a letter using the following format: DEAR

This is to acknowledge receipt of your unsolicited proposal dated

and to advise you of the policies of the Department of Commerce for treatment of unsolicited proposals.

The Department encourages submission of ideas, concepts or suggestions which may apply to any Commerce activity. Such submissions often help us to accomplish our various missions more efficiently or effectively.

When ideas are truly original or unique and germane to the missions of the Department, they may cause the Department to enter into a contractual relationship with the submitter. In other cases, where propos

The Department form CD-330 will not be published as a part of these regulations. However, the original form is on file with the original of this document in the Office of the Federal Register.

als do not contain proprietary information and the Department decides to implement the suggestions contained therein, the Department is free to enter into any resultant contracts by means of normal competitive procurement processes. The Department's acceptance of an unsolicited proposal for evaluation purposes does not imply a promise to pay, a recognition of novelty or origi. nality, nor a promise to restrict the use of information to which the Government would otherwise be entitled.

If your proposal contains information which you or your organization wishes to be used only for evaluation and not disclosed for other purposes, you must specifically identify such data by including the following legend on the title page and by marking each sheet containing restricted data with the legend contained in parentheses below:

USE AND DISCLOSURE OF DATA This data 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 the proposal: Provided, That if 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 contract. This restriction does not limit the Government's right to use information contained in the data if it is obtainable from another source without restriction. The data subject to this restriction is contained in sheets

(Use or disclosure of proposal data is subject to the restriction on the title page of this Proposal.)

Proposals or parts thereof submitted without the appropriate restrictive legends prescribed above may be handled as if free of all restrictions. If your proposal contains a restrictive endorsement or notice other than the ones prescribed above, you must either correct such notice or remove the restricted material prior to any evaluations by the Department.

You are requested to acknowledge this letter and to indicate whether or not you wish your proposal to be evaluated. Pending a reply from you, your proposal will not be accepted for evaluation, but will be held in safekeeping.

Sincerely, (b) Upon receipt of a response to the letter prescribed in paragraph (a) above, requesting evaluation, Control Point Officials shall review the proposal in accordance with 41 CFR 14.909(b) (1) and (2) and 1-4.913(b) and shall coordinate processing and evaluation of the proposal in accordance

with 41 CFR 1-4.909 (c), (d) and (e) and the following:

(1) The original and each copy of the unsolicited proposal shall be covered by a sheet of paper marked with the notice contained in 41 CFR 1-4.913 (c) (or as such notice is modified pursuant to circumstances described under 41 CFR 1-4.913 (d) or (e)), unless the offeror gives a clear written indication that no restrictions on the disclosure or use of the data contained in the proposal are desired.

(2) Within ten (10) working days after receipt of an unsolicited proposal which conforms to the requirements of this DOCPR Subpart, Control Point Officials shall forward a copy of the proposal along with a Department Form CD-331 (Instructions for Technical Evaluation of Unsolicited Proposals)? to the appropriate technical or program office for evaluation. If more than one Department activity may have interest in a particular proposal, copies of the proposal shall be circulated to each interested office.

(3) Program or technical offices receiving unsolicited proposals for evaluation shall conduct their evaluations in accordance with this DOCPR Subpart, 41 CFR Subpart 1-4.9, Department Form CD-331 (see paragraph (b)(2) of this section) and with any additional policies provided by the cognizant operating unit or Departmental office.

(4) Evaluations shall be completed and recommendations submitted to the Control Point Official within sixty (60) working days after receipt of a proposal for evaluation. All copies of the unsolicited proposal shall be returned to the Control Point Official with the completed evaluation recommendations.

(5) Unsolicited proposals and any material contained therein shall not be duplicated nor circulated outside of the evaluating office and shall be closely safeguarded to prevent disclosure of any restrictive data. Only Control Point Officials or their designees

2The Department Form CD-331 will not be published as a part of these regulations. However, the original form is on file with the original of this document in the Office of the Federal Register.

are permitted to duplicate unsolicited proposals and then only to facilitate evaluation by more than one technical entity or multiple evaluations within one technical entity.

development of the major system, and (d) Contracting for production of identical additional systems. Generally, traditional negotiated procurement practices and methods should be used in accomplishing each of the above procurement phases. However, the following subsections provide additional guidelines and procedures which shall be followed to enhance effective acquisitions of major systems.

§ 13-4.910 Method of procurement.

(a) Control Point Officials shall return all copies of unsolicited proposals not recommended for noncompetitive procurement action to the submitters along with reasons for the return in accordance with 41 CFR 1-4.910.

(b) Unsolicited proposals which are acceptable and recommended for noncompetitive procurement

together with appropriate requisition documents shall be forwarded by Control Point Officials to an appropriate contracting office for procurement action. If multiple requests for procurement are received pursuant to evaluations of the same unsolicited proposal, procurement actions shall be combined wherever practicable.

8 13-4.5002-1 Procurement of alternative

systems designs. (a) The initial procurement effort for acquisition of a major system is to solicit competitive proposals for developing alternative systems designs. Parallel short term contracts for development of systems designs shall be negotiated with and awarded to as many qualified offerors as funding restraints and other considerations permit.

(b) Each request for proposals (RFP) for alternative systems designs shall contain a provision indicting the possibility of future contingent procurements and requiring the offeror's participation in the competitive demonstration procurement phase, if the offeror's proposal is determined to be acceptable to the major system acquisition effort. Following is a sample clause which will accommodate these requirements:

Subpart 13-4.50—Procurement Sup

port for Major Systems Acquisitions



813-4.5001 General.

Basic management and program policies and procedures for acquisition of major systems are contained in OBM Circular A-109 and DAO 208-3. In addition, the Office of Federal Procurement Policy (OFPP) Pamphlet No. 1 contains further guidance for application of OMB Circular A-109 and DOCPR & 13-1.450-4 provides for reporting major systems procurement plans by program managers. Generally, the procurement guidelines contained in OFPP Pamphlet No. 1 dated August 1976, should be followed wherever practicable in the procurement phases of major systems acquisitions. This DOCPR Subpart shall serve to implement and supplement the above described document. 8 13–4.5002 Major systems acquisition pro

curement phases. There are four interdependent procurement phases to be performed in succession for acquisition of major systems. They are: (a) Alternative systems design procurement, (b) Procurement of competitive systems demonstrations, (c) Contracting for full scale

This solicitation and resulting contracts represent the first procurement phase in an overall Major System Acquisition plan which may require future related procurements. Awards will be made to as many offerors, whose proposals are determined to be acceptable, as funding restraints and other program limitations or considerations may permit. Only those offerors who are awarded contracts pursuant to this solicitation will be eligible for later related procurements. Accordingly, the offeror, by accepting award under this solicitation, agrees to participate in a possible subsequent procurement for competitive, prototype or model system demonstrations.

8 13-4.5002-2 Procurement of competitive

systems demonstrations. (a) Systems demonstration contracts shall be negotiated with as many alternative system design phase contrac

pate in a possible later procurement of fullscale development and limited production of the contractor's demonstrated system. Further, the contractor agrees to submit upon beginning the demonstration under this contract, a plan for the necessary plant and equipment to accomplish full-scale development and limited production of the demonstrated system. The contractor also agrees to submit, before conclusion of the demonstration, a final proposal including estimated cost data and delivery times for full-scale development and initial production of the demonstrated system.

tors, whose systems designs have been selected for demonstration, as available funding will permit.

(b) Each contract for competitive demonstration shall contain a provision requiring the contractor to:

(1) Submit a plan for the necessary plant and equipment to accomplish full-scale development and limited production of the demonstrated system. This plan may involve purchase or lease arrangements, teaming or subcontracting arrangements with companies which have the necessary plant facilities and equipment to develop and produce the system.

(2) Participate in the full-scale development procurement phase if the contractor's proposed system is selected for limited production development.

(3) Submit a proposal for full-scale development and initial production before the conclusion of the demonstration.

(c) Following is a sample clause which will accommodate the above requirements:

8 13-4.5002–3 Contracting for full-scale

development of a major system. If the Secretary selects a system for full-scale development from among those demonstrated in the competitive demonstrations procurement phase, a contract shall be negotiated with the submitter of the selected demonstrated system for development and production of one system for test, evaluation and implementation.



This system design demonstration contract represents the second procurement phase in an overall Major System Acquisition plan which may require future related procurements. Accordingly, the contractor by accepting this contract agrees to partici

8 13–4.5002–4 Contracting for production

of additional identical systems. Following satisfactory test and evaluation results and reconfirmation of additional mission need and program objectives, the Secretary may authorize additional contracts for production of systems identical to the system procured in the full-scale development phase.



Part 14-1 14-2 14-3 14-4 14-7 14-9 14-10 14-11 14-16 14-17 14-18 14-19 14-26 14-30 14-63

Procurement by formal advertising
Procurement by negotiation.............
Special types and methods of procurement
Contract clauses...............
Patents, data, and copyrights.....
Bonds and insurance .............
Federal, State, and local taxes
Procurement forms
Procurement forms
Procurement of construction
Contract modifications
Contract financing
Audit .......

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