AIR INTELLIGENCE AGENCY INSTRUCTION 64-102
18 February 1986
HQ Air Intelligence Agency
Contracting
UNSOLICITED PROPOSALS

This regulation sets policy, assigns responsibilities, and gives procedures to follow when you receive an unsolicited proposal. Immediately involving contracting personnel is essential if you are going to process an unsolicited proposal properly according to the Federal Acquisition Regulation (FAR), Part XV, Subpart 5. While this regulation applies commandwide, It doesn't apply to ESC's Air Force Reserve units.

Corrected copy of ESC REGULATION 70-1

Revised to Implement FAR 15.506 (thruout text); change responsibilities from AFCSC/PMO to HQ ESC/LGC (para 4); require sending copies of all unsolicited proposals that comply with the FAR to HQ ESC/LGX (para 6); and add sample-letter formats (atchs I and 2).

ESCR 70-1, 16 July 1982. LGCC George Guevara Mark S. Kunerth 6 F; X: AUL/LDEA -- (1)

Definition of Terms:

Unsolicited Proposal.

An unsolicited proposal Is a written offer to perform a proposed task or effort Initiated and submitted to the government by a prospective contractor (offerer) without solicitation by the government to obtain a contract. Advertising material, commercial-product offerings, contributions, or technical correspondence (see paragraphs la(l) thru (4)) submitted to the Air Force will not be considered to be unsolicited proposals.

Advertising material is designed to acquaint the Air Force with a prospective contractor's present off-the-shelf products or potential capabilities or to determine the Air Force's interest in buying such products.

Commercial-product offerings are offers of standard, commercial products usually sold in substantial quantities to the public which the vendor wishes to see Introduced Into the Air Force's supply system as an alternate or replacement for an existing supply Item.

Contributions are concepts, suggestions, or merely ideas presented to the Alr Force for its use with no Indication on the offerers' part that they will devote any further effort to such concepts, suggestions, or Ideas for the Air Force.

Technical correspondence Includes written Inquiries about the Air Force's Interest In research areas, preproposal explorations, technical Inquiries, and research descriptions.

Proprietary Right.

An exclusive right of ownership In Intellectual property by virtue of authorship, Invention, or discovery capable of production as a matter of law.

Evaluation Office.

The activity whose prime mission and functions best cover the areas to be evaluated in the proposal.

Importance of Careful and Prompt Evaluations:

Unsolicited proposals are an important source of new Ideas and methods for attaining superior weapons and equipment. If accepted for contractual support, unsolicited proposals must be specially funded. Therefore, it's mandatory that the unsolicited proposal be evaluated as:

Offering significant technological promise or other merit.

Representing the product of original thinking.

Submitted In confidence by one source.

Submitters must be assured that their proposals will receive a thorough and completely objective evaluation within the Department of Defense (DOD). When technical evaluations are promptly made, they will reduce the submitter's tendency to submit proposals to higher authority for further evaluation.

Delay in evaluation and reply is often misinterpreted by the submitter to mean that the Air Force Is Interested. Really, it may be due to lack of Interest In the proposal, excessive workloads, low priority, or other like factors.

Furnishing submitters a prompt, comprehensive, and tactful technical evaluation will improve scientific and Industrial relations and reduce Inquiries by the contractor. It will also encourage submitters to Inform the Air Force of their efforts In technical fields of interest to the Air Force.

Authority.

HO ESC/LGC Is the sole authority for command policy on submitting and reviewing unsolicited proposals according to FAR 15.506(B).

Responsibilities for Processing Proposals:

Anyone Involved In reviewing or evaluating an unsolicited proposal must read the FAR, Part XV, Subpart 5 (you may obtain copies from HO ESC/LGC), and comply.

After receiving an unsolicited proposal, the receiver will send it to HO ESC/LGCC within 48 hours with a cover letter stating the date the unsolicited proposal was received.

The chief of the Contracting Division (LGCC) will assign an unsolicited proposal officer (UPO).

The UPO will:

Coordinate the review and evaluation and ensure that the product's timeliness and quality meet requirements.

Acknowledge receipt of the proposal by sending a letter (see attachment 1 for format) to the submitter within 5 workdays. Send HO ESC/LGC an information copy of the unsolicited proposal. The UPO will, then, review the proposal for compliance with FAR 15.5D6(A) to see If It should be accepted or rejected. If accepted, the UPO will send the proposal to the appropriate functional office (according to paragraph 6) for technical evaluation.

After receiving a reply from the evaluation office, prepare a response to the submitters (see attachment 2 for format) Informing them of the proposal's acceptance or rejection.

The evaluation office will analyze the proposal and prepare a reply to the contracting office within 90 workdays or as stipulated by the UPO.

Safeguarding Proposals.

FAR 15.413 prescribes the legend submitters are permitted to Include on their data limiting disclosure and use by the government. Do not assign a security classification to a proposal unless required according to DOD regulations.

Because of possible duplication of effort In the same or related fields, the letter of acceptance will state that the government cannot accept any liability for failure to safeguard Information, except in the case of an Invention that can be patented, copyrighted material, or a trade secret which might legally need protection. You should contact your local staff judge advocate if advice is required.

Do not reproduce, copy, photograph, or reduce to drawings unsolicited proposals. The UPO may photocopy the unsolicited proposal but only for necessary HO ESC/LGC and HO ESC/LGCC files, if needed. The UPO will keep a record of all copies of the unsolicited proposal. Contractors are urged to send four copies of the proposal; no more, no less.

Attach a cover letter to all copies of the unsolicited proposal identifying It as such. Include all necessary Instructions and precautions for the evaluator's attention.

Stamp each page of the proposal: This Is an unsolicited proposal and not a solicitation or contract.

When not in use, store unsolicited proposals in a safe or key-locked container.

Forwarding Proposals.

When the unsolicited proposal has been found to comply with FAR 15.506(A), forward it to the major staff office engaged in the scientific or technical area of effort similar to the unsolicited proposal. Give HQ ESC/LGX a copy of all unsolicited proposals.

If a final evaluation cannot be completed within 90 workdays or the time stipulated by the UPO, the evaluation office will notify the UPO by letter. The UPO will notify the submitter.

The UPO will send unsolicited proposals on subject matters under other government activities' jurisdiction directly to that activity. The UPO will notify the submitter of the transfer.

Evaluation Procedures.

Technically evaluate the unsolicited proposal to Include a discussion of its merits and potential value to the Air Force and ESC.

When the evaluation office determines there Is a lack of In-house capability for properly evaluating a proposal or an additional technical evaluation or opinion is desirable, you may use another ESC organization's services. Do not use the services of nongovernment Individuals or firms to evaluate an unsolicited proposal, either formally or Informally, unless they are obligated under contract.

If you use such outside services, ESC Is still responsible for safeguarding proprietary information. In each case, you must first obtain permission to release the proposal for evaluation from the submitter thru the UPO, except for proposals submitted by educational or nonprofit organizations.

Disposing of Proposals and Related Correspondence.

The UPO will ensure that the disposition instructions, If furnished by the submitter, are considered in processing an unsolicited proposal. Dispose of copies of the proposal and related correspondence as follows:

If the UPO finds the unsolicited proposal to be unacceptable according to FAR 15.506(A), return It within 7 workdays to the submitter with a letter indicating the reasons the unsolicited proposal was returned.

If the UPO determines, after all evaluations are completed, the unsolicited proposal is acceptable, place It in the appropriate contracting channels. However, this does not ensure that the unsolicited proposal will be awarded on a sole-source basis to the contractor who submitted it.

R. C. DIEKMEIER Lt Col, USAF Director of Administration

SAMPLE LETTER, (COMPANY NAME) UNSOLICITED PROPOSAL FOR (SUBJECT MATTER)

SAMPLE LETTER, (COMPANY NAME) UNSOLICITED PROPOSAL FOR (SUBJECT MATTER)

DEPARTMENT OF THE AIR FORCE HEADQUARTERS ELECTRONIC SECURITY COMMAND SAN ANTONIO TX 78243-5000 REPLY TO ATTN OF: LGCC

SUBJECT: Acknowledgement of Unsolicited Proposal for (Subject Matter)

TO: (Company's Name)

1. The Electronic Security Command has received your unsolicited proposal. Your point of contact for all future correspondence on this matter will be B. D. McNeill, 512/925-2821, the unsolicited-proposal officer (UPO) for this command. Please director all future correspondence to the UPO at: ESC/LGCC San Antonio, TX 78243-5000 (Phone: 512/925-2821)

2. The Electronic Security Command is interested in receiving and evaluating voluntary submissions containing new ideas, suggestions, and inventive concepts germane to the Air Force's potential needs. The military has many personnel and contractors working on various projects; consequently, the substance of this submission may already be known to government employees or government contractors, be in the public domain, orbe available now or later from sources other than this submission. Accordingly, it is desirable, in receiving voluntary submissions for evaluation, to exercise such precaution as will preclude misunderstanding by the submitter and prevent such submissions from having any restrictive or limiting effect on the Government's research and development programs.

3. You should understand that acceptance for evaluation for potential usefulness to the Air Force does not imply a promise to pay; a recognition of novelty, originality, or uniqueness; or a contractual relationship which would render the government liable to pay for any use of information to which it would otherwise be entitled. The evaluation or testing of voluntary submissions will in no way obligate the government to procure experimental, production, or other quantities of the articles submitted or the item covered by the disclosure.

4. We will handle voluntary submissions carefully. However, the government will not assume responsibility or liability to submitters or others for: a. Damages to, destruction of, or loss of voluntary submissions. b. Damages or injuries (due to negligence or other cause) incurred or suffered by submitters, submitters' employees, or invitees during any test of such article or disclosure under the control of the submitter, authorized agents, or employees whether or not Air Force personnel are participating in the test.

5. You may furnish instructions concerning the disposal of your voluntary submission provided such instructions are furnished before compoleting the evaluation.

6. The Air Force will handle your voluntary submission according to government procedures for safeguarding such information against unaurhorized disclosure. In addition, we will not disclose data forming a part of or constituting the submission outside the government or duplicate, use, or disclose in whole or in part by the Air Force, except for record purposes or to evaluate the proposal. This restriction does not limit the government's right to use information contained in such data if it is obtained from another source or is in the public domain. Liability due to unauthorized disclosure by the government will under no circumstances extend beyond the damage to the submitter caused by acts of the government and cognizable in law. Furthermore, the government accepts no liablity for failure to safeguard information unless the information consists of a patentable invention, copyrighted material, or data constituting a trade secret.

7. We will furnish information convering the results of your submission's evaluation to you. Such information shall not be construed as an indoresment by the government of articles or the subject matter of disclosures nor shall they be used in whole or in part for advertising purposes with industry or other government agencies.

8. These terms shall apply to all submitted articles and disclosures. B.D. MCNEILL Chief, Contracting Division DCS/Logistics cc: ESC/LGC ESC/LGX