AFFARS Part Appendix AA

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APPENDIX AA-FORMAL SOURCE SELECTION FOR MAJOR ACQUISITIONS

Read the SAF/AQC Memo at this address before using this part. http://www.safaq.hq.af.mil/contracting/library/DecPolmem2.doc

PART 1 - GENERAL INFORMATION

[Amended per Contracting Policy Memo 98-C-02, dated 8 Jan 98]

[Amended per Contracting Policy Memo 98-C-10, dated 10 July 98]

  1. AA-100 Scope.

This appendix establishes policy, assigns responsibilities, and prescribes implementing procedures for soliciting and evaluating offerors' proposals for major acquisitions conducted by Air Force contracting activities. This appendix implements Federal Acquisition Regulation (FAR) Subpart 15.[3], Source Selection, and [details] the responsibilities of the Air Force agency head for source selection contained in FAR 15.[303(a)].

  1. AA-101 Applicability.

[Amended per CPM 98-C-12, effective 28 Aug 98]

(a) This appendix applies to the following competitive negotiated procurements[, unless either the Lowest Price Technically Acceptable (LPTA) or Performance Price Tradeoff (PPT) technique as described in AFFARS 5315.101-1(a) is approved for use by the acquisition approving official]:

NOTE:

(1) Dollar amounts represent the estimated value of the source selection for the instant acquisition. (The dollar values are total values. See 5301.9006-4.)
(2) Whenever the Assistant Secretary of the Air Force (Acquisition) (ASAF(A)) is the Source Selection Authority (SSA), the procedures of this appendix shall be followed, unless the ASAF(A) determines otherwise.
(3) These procedures may be used for acquisitions below the stated dollar thresholds at the SSA's discretion.

(b) Lower level procedures implementing this appendix are authorized.

  1. AA-102 Objective of the major source selection process.

The objective of the major source selection process is to select the source whose proposal has the highest degree of credibility and whose performance can be expected to best meet the Government's requirements at an affordable cost (price). The process must provide an impartial and equitable evaluation of the competitors' response to the solicitation, as well as performance and proposal risk assessments. The process should be accomplished with minimum complexity and maximum efficiency and effectiveness. The source selection decision must be compatible with program requirements and the stipulated evaluation criteria.

[Amended per Contracting Policy Memo 98-C-10, dated 10 July 98]

  1. AA-103 Definitions.

"Acquisition Plan (AP)" means a comprehensive plan for fulfilling agency needs in a timely manner and at a reasonable cost (price). The acquisition plan contains the overall strategy for managing the acquisition. (See FAR Part 7.)

"Acquisition Strategy Panel (ASP)" means a group of functional experts who serve in an advisory capacity by reviewing and recommending acquisition strategies for a specific product or service.

"Advisors" means Government or non-Government personnel, designated by the SSA or the chairperson of the Source Selection Advisory Council (SSAC), who provide advice to the SSA, SSAC, or Source Selection Evaluation Board (SSEB).

"Assessment Criteria" means evaluation criteria which are used by evaluators in performing the technical evaluation by relating certain aspects of an offeror's proposal to specific evaluation criteria.

[ ]

"Best Value" [See FAR 2.101 Definitions, as amended by FAC 97-02 (30 Sep 97)*.]

"Clarification" [See FAR 15.306(a).]

"Contract Definitization Team" means a group of Government personnel within the Source Selection Evaluation Board (SSEB) who are responsible for evaluating cost (price) proposals and negotiating the contract(s).

"Deficiency" [See FAR 15.301 Definitions.]

[ ]

"Evaluation Criteria" means the basis for measuring each offeror's ability, as expressed in its proposal, to meet the Government's needs as stated in the solicitation.

["Evaluation Notice (EN)" means Source Seleciton Evaluation Team (SSET) inquiries to offerors to better understand offeror proposals, or to notify offerors about deficient aspects of their proposals. ENs issued prior to competitive range determination are for the purpose of enhancing Government understanding of proposals without revisions to those proposals. After the competitive range determination, ENs are also used to identify deficiencies and allow offerors to revise their proposals.]

"Evaluation Standards" means establishing a uniform baseline against which each offeror's solution is compared to determine its value to the Government. They establish the level an offeror's proposal must meet in any area, factor, subfactor, or element to be judged acceptable ("green"). A standard may be quantitative, qualitative, or some combination of both. [When possible, evaluation standards should be written as part of the evaluation factors and subfactors. If evaluation standards are written separately, they should be released to offerors.]

"General Consideration" means an element of evaluation in the source selection that typically relates to proposed contractual terms and conditions, results of preaward surveys, and other surveys or reviews.

"Minimum Requirement" means the absolute lowest threshold acceptable in performance and capability.

"Oral Presentation" [See FAR 15.102, Oral presentations.]

"Performance Risk" means the assessment of an offeror's present and past work record to assess confidence in the offeror's ability to successfully perform as proposed.

"Performance Risk Assessment Group (PRAG)" means a group of experienced Government personnel that may be appointed by the SSAC chairperson to assess performance risk.

[* This and subsequent changes to FAR cites are through FAC 97-2 as noted.]

"Proposal Analysis Report (PAR)" means the report prepared during source selection that fully documents the results of the SSEB technical evaluation, risk assessment, cost analysis, contract/business issues resolutions, and SSAC analysis, findings, and rationale.

["Proposal inadequacy" means an aspect of or omission from an offeror's proposal that may contribute to a failure in meeting an evaluation standard.]

"Proposal Risks" means the risks that are identified with an offeror's proposed approach as it relates to accomplishing the requirements of the solicitation.

"Single Acquisition Management Plan (SAMP)" means a concise, comprehensive program document which serves two functions: (1) it is the management plan program managers follow to successfully execute the acquisition of a requirement; (2) it is the supporting documentation which enables a program decision authority to reach a milestone decision.

"Source Selection Advisory Council (SSAC)" means a group of senior Government personnel appointed by the SSA to provide counsel during the source selection process and to prepare for the SSA a comparative analysis of the evaluation results of the SSEB.

"Source Selection Authority (SSA)" means the official designated to direct the source selection process and make the source selection decision.

"Source Selection Evaluation Board (SSEB)" means a group of Government personnel representing the various functional and technical disciplines relevant to the acquisition that evaluates proposals and reports its findings to the SSAC.

"Source Selection Evaluation Team (SSET)" means a combined SSAC and SSEB alternative source selection organization that may be used at the discretion of the SSA. An SSET may not be used when Secretariat representatives are designated for membership on the SSAC.

"Source Selection Plan (SSP)" means a plan, approved by the SSA, that describes in detail how the source selection team (SSAC and SSEB, or SSET) is organized, how the proposals will be evaluated and analyzed, and how the source(s) will be selected.

"Specific Criteria" means a subset of evaluation criteria that relate to specific program characteristics. Specific criteria typically are divided into technical and/or management areas. These areas are divided into factors, which are further divided into subfactors and elements, as necessary, depending on the complexity of the factor being evaluated.

"Strength" means a significant, outstanding, or exceptional aspect of an offeror's proposal that exceeds the evaluation standard and provides a useful capability that will be included in the specification, or statement of objectives or statement of work, or is inherent in the offeror's process.

"Weakness" [See FAR 15.301 Definitions.]

[Amended per Contracting Policy Memo 98-C-02, dated 8 Jan 98]

  1. AA-104 Policies.

The following policies apply:

(a) It is Air Force policy to provide for full and open competition, or when full and open competition is not possible (see FAR Part 6), to obtain competition to the maximum extent practicable.

(b) The SSA shall be presented with sufficient in-depth information on each of the competing offerors and their proposals to permit a reasoned, rational selection decision.

(c) The SSAC will be staffed with senior Government personnel possessing broad experience in specific fields, such as systems development, systems engineering, manufacturing, operational requirements, finance, logistics, law, and contracting. For Major Programs, the chairperson and the SSAC member from each Air Force organization represented should be a general officer or a member of the Senior Executive Service. The primary SSAC members, who represent HQ USAF and the Secretariat, shall be afforded an opportunity to advise the SSAC chairperson or SSA before key formal source selection events and decisions. To accomplish this, the SSAC chairperson shall convene the SSAC and allow that body to review drafts of briefings and supporting background material. These key events include briefing the initial evaluation results, competitive range determinations, and final evaluation results.

(d) Only fully qualified personnel possessing the professional skills and knowledge required for an objective evaluation and assessment of offerors' proposals shall be selected to participate on the SSEB. The Program Manager is usually designated the SSEB chairperson.

(e) Early industry involvement, including the use of draft RFPs, is recommended to obtain industry comments. [(See FAR 15.201.)] The contracting officer may request industry feedback on such matters as contract type, performance, schedule, Contract Data Requirements Lists (CDRLs), specifications, statement of work, and other requirements that impact cost or restrict technical solutions. Equal access for all potential offerors must be afforded and a cut-off date will be established for receipt of comments to permit Government evaluation and incorporation of accepted changes into the formal solicitation. The personnel responsible for the requirement shall evaluate recommendations, make appropriate changes, and provide industry feedback on disposition of the recommendations.

(f) The rating system used in evaluating and analyzing proposals shall be described in the SSP. The rating system shall be structured to evaluate the offeror's proposal to meet the requirement as well as the strengths, weaknesses, and risks associated with each proposal. The rating system must, at a minimum, include written narratives at the factor level and subfactor level and descriptive color coding at the factor level. (See AA-304.) The objective of the rating system is to display an assessment of all important aspects of the offeror's proposal.

(g) Evaluation criteria include cost (price) criterion, specific criteria, and assessment criteria. These criteria should include those things considered important to the customer about the given program, such as reliability, maintainability, availability, environmental considerations, and technical adequacy. General considerations, combined with the use of the evaluation criteria, provide an integrated assessment that forms the basis for award. General considerations shall be ranked. Section M of the solicitation shall clearly state how general considerations will be integrated into the evaluation of offerors' proposals. Minimum requirements shall be included in the solicitation and evaluated.

(h) Performance risk is a major aspect in the source selection decision. When the integrated assessment of all aspects of the evaluation is accomplished, it is Air Force policy that the assessment of past performance (1/3) is of equal importance to either factor assessment (1/3) or proposal risk (1/3). This emphasis on past performance as a discriminator in source selection demonstrates the Air Force's commitment to award only to contractors who will carry through with what they promise in their proposals. It is believed that this will lead to improved contractor performance throughout the Air Force, prevent awards to habitually poor performers, and reduce the incidence of associated schedule slips and increased costs. Past performance shall not be used as a general consideration. It shall be separately rated for each area (see Attachment AA-4) and may, with the approval of the SSA, be treated as a general assessment (see Attachment AA-5).

(i) Except where award without discussions is planned in accordance with FAR 15.[306], it is Air Force policy to conduct written or oral discussions with all offerors in the competitive range. These discussions should lead to submission of [a final revision] which will culminate in signed contractual documents representing the firm commitment of each such offeror.

[ ]

([j]) All changes in price at [final proposal revision] must be substantiated by offerors. The common cut-off date for conclusion of discussions and requests for a [final proposal revision] must be scheduled to ensure that all competitors have an equal opportunity for discussion. [(See FAR 15.307.)]

([k]) The cognizant Defense Contract Audit Agency (DCAA) and Defense Contract Management Command (DCMC) personnel should be invited to take part, as appropriate, in reviewing the solicitation and assisting in contract negotiation.

([l]) The techniques in this appendix shall not be used when award will be made to the Lowest Cost (Price)-Technically Acceptable offeror [ ]

  1. AA-105 Source Selection Authority (SSA).

(a) Unless otherwise directed by the Secretary of Defense or the Secretary of the Air Force, ASAF(A) is the SSA for those contract actions where this appendix applies (see AA-101). Additionally, the ASAF(A) may serve as SSA for any other acquisition deemed appropriate.

(b) The ASAF(A) will normally retain SSA on PEO and DAC Programs and Other Contracting actions meeting the thresholds under AA-101. See Tables A and B below for SSA delegations and Source Selection Plan (SSP) review levels. Redelegation can be made on either a case-by-case basis or by blanket delegation and shall be in writing.

(c) When the ASAF(A) authority has been delegated to a PEO or DAC, the SSA will inform ASAF(A) of significant events in the source selection. For all source selections meeting the thresholds of this appendix, the SSA will personally notify ASAF(A) before the announcement of the award, unless other instructions are provided.

[Amended per contracting Policy Memo 97-C-16, dated 3 Nov 1997]

Table A _ AFMC Source Selection Authority (SSA) Thresholds

PEO and DAC Programs (non Information Technology)// Other Contracting

Threshold SSA (Delegable) SSP Review

$5M to < $50M Single Manager* BOCO/[//***]

> $50M to < $500M PEO or DAC//Center CC SCCO

> $500M ASAF(A) SSAC

MAIS Programs and non-MAIS Information Technology Acquisitions

Threshold SSA (Delegable) SSP Review

$5M to < $15/30M** Single Manager* BOCO/[//***]

> $15/30M** to < $120M PEO or DAC//Center CC SCCO

and non-MAIS

> $120M or MAIS PDASAF(A&M) SSAC

* Single Manager (SM) includes System Program Director, Product Group Manager (PGM), Materiel Group Manager (MGM), and[Technology Director (TD)].

** $15/$30M means $15M or more in any FY or $30M or more for all program years.

[*** For other contracting, the first contracting official in the contract chain subordinate to the SCCO]

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Table B _ Other MAJCOMs, FOAs, DRUs Source Selection Authority Thresholds

(Other Contracting)

Threshold SSA (Delegable) SSP Review

< $500M Commanders* Per Command Guidance

> $500M ASAF(A) SSAC

MAIS Programs and non-MAIS Information Technology Acquisitions

Threshold SSA (Delegable) SSP Review

< $120M Commanders* Per Command Guidance

and non-MAIS

> $120M or MAIS PDASAF(A&M) SSAC

* Commanders of MAJCOMs, FOAs and DRUs

TABLE B NOTE: If an acquisition is designated a PEO Program, the PEO is the SSA for thresholds below ASAF(A) (delegable).

  1. AA-106 Organization.

Formal source selection contemplates creation of a separate source selection organization and management chain of command (SSA, SSAC, and SSEB) for each acquisition. The organization must be structured to ensure continuity and to provide for active, ongoing involvement of appropriate contracting, technical, logistics, legal, cost, and other functional staff management expertise. The PRAG normally reports directly to the SSA or SSAC. See Attachment AA-1 for diagrams of typical source selection organizations. The source selection organization must be consistent with the organization described in the SSP.

[Amended per Contracting Policy Memo 98-C-02, dated 8 Jan 98]

  1. AA-107 Responsibilities and duties.

A successful source selection requires teamwork. Members of the SSAC and SSEB from all disciplines must work together to ensure that the SSA is presented an accurate, integrated assessment of each offeror's proposal. Each member shall be given access to the full range of evaluation tools available, including the advice of personnel in other disciplines who serve as source selection advisors. The list of key responsibilities and duties below is not in chronological order. The sequence can vary widely depending upon the circumstances surrounding a given acquisition.

(a) The SSA is responsible for the proper and efficient conduct of the entire source selection process encompassing proposal solicitation, evaluation, selection, and contract award. The SSA has, subject to law and applicable regulations, full responsibility and authority to select source(s) for award and approve the award of the contract(s). The SSA shall:

(b) The SSAC chairperson shall:

(c) The SSAC shall:

(d) The SSEB shall:

(e) The personnel responsible for the requirement shall:

(f) The contracting officer shall:

(g) Headquarters MAJCOM, FOA, and DRU Chief of Contracting or Deputy shall:

(h) SAF/AQCS shall:

[Amended per Contracting Policy Memo 98-C-02, dated 8 Jan 98]

  1. AA-108 Advisors.

(a) Government and non-Government experts may be called upon to provide advisory assistance to the SSA, SSAC, or SSEB. However, non-Government advisors may not be used if a sufficient number of Government personnel having the training and capabilities necessary to perform the evaluation or analysis are readily available. Ensure that this determination is in accordance with any FAR implementing policy letters or supplements. Advisors may objectively review a proposal in a particular functional area and provide comments and recommendations to the Government's decision makers. They may not determine strengths and weaknesses, establish initial or final assessments of risks, or actually rate or rank offerors' proposals.

(b) The following additional restrictions are placed on non-Government advisors. Non-Government advisors shall not be:

(c) When non-Government advisors are used, the solicitation must include a provision advising offerors that non-Government contractor employees will have access to proposals (see FAR 15.[305(c])). A provision may be included in the solicitation identifying the non-Government advisors and their employees and advising that any objection to disclosure:

(d) An organizational conflict of interest (OCI) clause covering non-disclosure of contractor data shall be included in contracts where the contractor is to participate as a non-Government advisor to a source selection (see FAR Subpart 9.5).

  1. AA-109 Conflicts of interest.

All persons involved in the source selection process, including non-Air Force personnel, will be instructed to inform the SSA if their participation in source selection activities might result in a real, apparent, possible, or potential conflict of interest. When so advised, the SSA will disqualify any person whose participation in the source selection process could raise questions regarding real, apparent, possible, or potential conflict of interest.

  1. AA-110 Solicitation and contract documents.

Personnel responsible for the requirement will provide, upon request and in a timely manner, copies of the solicitation or other source selection documents to SAF/AQC.

[Amended per Contracting Policy Memo 98-C-02, dated 8 Jan 98]

  1. AA-111 Plant visits.

Plant visits by the SSAC and SSEB may be beneficial during the source selection process. Plant visits by source selection personnel must be for a specific, clearly stated purpose, and be approved by the SSAC chairperson. The SSAC chairperson should ensure that all visits are made on an impartial basis (see FAR Subpart 42.4 regarding correspondence with contractors and visits to contractor facilities). Some examples of potentially beneficial plant visits are:

(a) Presolicitation visits, as a preliminary step to the identification of prospective sources;

(b) Key SSEB members' visits during the evaluation phase to develop knowledge for judging the potential for correction of deficiencies;

(c) SSAC visits immediately before assembling all facts pertaining to the selection of the prospective contractor(s);

(d) Manufacturing Methods/Production Capability Reviews and Production Readiness Reviews required to accurately define the contractor's proposed method of manufacture and capability to manufacture;

(e) Software [ ] Capability [Evaluation (SCE]). For programs where software development is critical, it may be appropriate to conduct an SDCA and associated plant visits; and

(f) PRAG visits to verify contractor performance.

  1. AA-112 Interface with contractors.

All personnel must be cautioned that only the contracting officer may commit the U.S. Government. Personnel involved in the source selection must avoid any situation or contact with any competing offeror that is not essential or would raise questions of impropriety. The objectivity of the source selection process may be impaired by contacts between Government personnel and prime/subcontractors involved in the competition during the period between the release of the solicitation and announcement of the source selection decision. Contacts with prospective contractors regarding the specific source selection must be avoided except for personnel directly participating in source selection discussions and contract negotiations.

  1. AA-113 Foreign Military Sales (FMS).

When the Air Force conducts a major source selection for a Foreign Military Sales customer or in accordance with a cooperative agreement with a foreign government, the procedures of this appendix will be followed unless a deviation is approved in accordance with AA-114.

(a) The FMS customer shall not participate in the formal source selection process. Subject to approval by the SSA, representatives of the customer country may be called upon by the SSEB or SSAC to clarify technical or management questions arising during evaluation of contractor proposals. The cost data or any part of a contractor's cost proposal shall not be released to any representative of the FMS customer. Representatives of the FMS customer shall not participate in contract negotiations.

(b) Source selection decisions in international cooperative projects are the responsibility of the host nation in accordance with the terms of the cooperative agreement. When the Air Force represents the United States as host nation, this appendix should be followed. In accordance with the terms of the specific cooperative agreement, all participating nations may be represented on the SSEB and SSAC, but the SSA shall, after considering the advice of the SSEB and SSAC, make the source selection decision.

  1. AA-114 Deviations.

Deviations to this appendix may be granted only by the ASAF(A) or PDASAF(A&M), unless this appendix is used at the discretion of the SSA (see AA-101, Note 3), in which case the SSA may approve deviations.

(a) When the SSA is the ASAF(A) or PDASAF(A&M), a request for deviation may be included in the SSP and must specifically identify the deviation with adequate rationale.

(b) Other requests for deviations shall be submitted in writing through appropriate channels to SAF/AQCS.

  1. AA-115 Regulatory references.

A list of key regulatory references pertaining to formal source selection is provided in Attachment AA-2.

PART 2 - PRE-EVALUATION ACTIVITIES

  1. AA-201 Introduction.

This part explains the major steps in the source selection process that occur before receipt of initial proposals.

  1. AA-202 Acquisition strategy.

(a) An Acquisition Strategy Panel (ASP) shall be held for all acquisitions subject to this appendix.

(b) Secretariat and HQ USAF representatives specified in established SAF/AQ guidance shall be invited to participate. Invitations should be received normally at least two weeks in advance of the scheduled ASP. SAF/AQCS shall also be advised of the time and place of these ASPs.

  1. AA-203 Delegation or Retention of Source Selection Authority.

(a) Delegation of source selection authority shall be an agenda item at the ASP. The discussions regarding delegation should be reflected in the minutes of the ASP.

(b) If delegation of source selection authority is requested, the request shall be sent to the ASAF(A) or the PDASAF(A&M), as appropriate, through SAF/AQCS. The request shall be accompanied by the ASP briefing charts and minutes. The request should concisely identify the acquisition, request delegation, and identify tentative SSAC meeting dates for solicitation release authorization, initial proposal evaluation review, competitive range determination, and final decision briefing. As an alternative to these procedures, the request for SSA delegation may be submitted and approved with the AP/SAMP.

(c) If a PEO, DAC, MAJCOM or AFMC Center commander believes that ASAF(A) or PDASAF(A&M) should retain source selection authority for an acquisition normally delegated in accordance with AA-105, the PEO, DAC, MAJCOM or AFMC Center commander shall forward a memorandum to ASAF(A) through SAF/AQCS with the ASP briefing charts and minutes. The memorandum will:

The memorandum should be sent as soon as possible after the ASP. The ASAF(A) will document the retention or delegation decision in a Decision Memorandum. If source selection authority is retained by the ASAF(A), ASAF(A) will appoint the SSAC chairperson who will review, coordinate, and forward the SSP to SAF/AQCS for coordination of Secretariat and HQ USAF SSAC members prior to approval by the SSA.

[Amended per Contracting Policy Memo 98-C-02, dated 8 Jan 98]

  1. AA-204 Basis of award, evaluation criteria, and general considerations.

(a) The basis for source selection and award of a contract must be limited to [factors and subfactors] or considerations that are stated in the solicitation. [All subfactors in Air Force source selections are significant as defined in FAR 15.304.] Therefore, it is mandatory that the RFP clearly state all characteristics of the requirement that will be considered by the Air Force in making the source selection. Air Force source selection awards are based on an integrated assessment of each offeror's [proposal using factors and subfactors which include:] cost (price) criterion, specific criteria, assessment criteria, [(these criteria allow assessment of the quality of the offeror's proposal)] proposal risk, performance risk, and general considerations. These [factors and subfactors] are stated in a structured manner in Section M of the RFP. This section serves as the "rules of engagement" for the source selection.

(b) Evaluation [factors and subfactors] should be tailored to the characteristics of a particular program and should include only those significant aspects expected to have an impact on the ultimate selection decision. There must be a sufficient number of discriminators to effectively evaluate the offeror's proposal. The number of [factors and subfactors are] driven by the requirement. Care should be taken to ensure that arbitrary decisions are not made as to how many [factors and subfactors] should be established for a procurement of a given estimated value or given technical application. Evaluation [factors and subfactors] consist of three types: (1) cost (price) criterion, (2) specific criteria, and (3) assessment criteria. If a proposed criterion would not prevent award to an offeror with an unacceptable response, then it is not a discriminator and should not be used. See Attachments AA-4 and AA-5 for an example of the general format of the evaluation matrix.

(c) General considerations relate to proposed contractual terms and conditions, results of preaward surveys, and other surveys or reviews.

(d) Proposal risks are assessments associated with schedule and performance or technical aspects of the program.

(e) Performance risks relate to cost and specific criteria. Unless otherwise approved by the SSA, performance risk must be assessed for each area.

[Amended per Contracting Policy Memo 98-C-02, dated 8 Jan 98]

  1. AA-205 Source Selection Plan (SSP).

(a) The SSP is a key document in conducting the source selection. It should include applicable Program Management Directive (PMD) guidance or direction and contain the elements described below to ensure timely staff review and SSA approval. Personnel responsible for the requirement will prepare a written SSP for all source selections conducted under this regulation.

(b) The plan shall include the following sections (support may be provided by documents referenced in and attached to the SSP):

(c) The SSP shall be approved by the SSA before issuing the solicitation.

(d) Only include tailored information; otherwise, cite the appropriate paragraph of this regulation.

  1. [Per CPM 98-C-16, effective 08 Oct 1998.]
  2. AA-206 Evaluation standards.

(a) The SSEB conducts its evaluation by measuring each proposal against objective standards established at the lowest level of subdivision. The SSEB shall not compare proposals against each other.

(b) A standard establishes a baseline to measure how well an offeror's proposal satisfies the evaluation criteria. It establishes the level an offeror's proposal must meet in any factor, subfactor, or element to be judged acceptable ("green") as stated in AA-304. Standards shall not be used to create a new or unstated requirement. A standard may be either quantitative, qualitative, or both, depending on the criteria it addresses (see Attachment AA-6 for examples).

(c) [S]tandards should be established and documented prior to the release of the solicitation and must be approved by the SSA before beginning the evaluation of proposals. They shall not be changed once an offeror's proposal is opened. [ ] Standards shall be released] to ensure more open communication with industry and a better understanding of the Government's approach to making a best value source selection decision. [This release may occur concurrent with the Request for Proposal (RFP) release date or sooner.]

(d) [ ]

[Amended per Contracting Policy Memo 98-C-02, dated 8 Jan 98]

  1. AA-207 Solicitation.

The contracting officer is responsible for preparing the solicitation. Personnel responsible for the requirement are responsible for preparing key portions of the RFP, such as the statement of objectives or statement of work and the data requirements. The solicitation must accurately convey to offerors the technical, schedule, cost, and contractual requirements of the acquisition. In addition:

[Amended per Contracting Policy Memo 98-C-02, dated 8 Jan 98]

  1. AA-208 Notice of source selection action.

When the solicitation is released, the SSAC chairperson shall ensure that a notice of source selection action in progress is forwarded to all appropriate Air Force Commands, SAF/AQCS, and the potential offerors. The notification will identify the system, subsystem, or project involved; the anticipated period of the source selection activities; and include [a] statement to the effect that:

PART 3 - PROPOSAL EVALUATION AND SOURCE SELECTION DECISION

  1. AA-301 General.

This part explains the major steps in the source selection process from receipt of initial proposals through the source selection decision including discussions with offerors. Proposals shall be evaluated in a fair, comprehensive, and impartial manner.

[Amended per Contracting Policy Memo 98-C-02, dated 8 Jan 98]

  1. AA-302 Offerors' oral presentations.

(a) The SSAC should consider having oral presentations, if determined appropriate.

(b) If oral presentations are deemed appropriate:

[Amended per Contracting Policy Memo 98-C-02, dated 8 Jan 98]

  1. AA-303 Technical evaluation.

The SSEB chairperson shall ensure that all elements of the evaluation are coordinated and that the evaluation report on each offeror is logical and consistent.

(a) The SSEB accomplishes a technical evaluation of each of the initial offers using the assessment criteria to analyze each proposal with respect to the evaluation criteria in Section M of the RFP.

(b) Evaluators shall indicate the value of each proposal in relation to the evaluation standards which were established before receipt of proposals. The SSEB shall not compare proposals against each other.

(c) Evaluators must understand the requirement, the solicitation, the evaluation criteria, and the evaluation standards. Evaluators are encouraged to engage in discussions with advisors or other SSEB members when it is necessary to verify certain aspects of proposals under their review.

(d) The technical evaluation results in [the following] products that are included in the Proposal Analysis Report (PAR):

[Amended per Contracting Policy Memo 98-C-02, dated 8 Jan 98]

[Amended per Contracting Policy Memo 98-C-10, dated 10 July 98]

  1. AA-304 Use of rating techniques.

(a) After assessing the offerors' data, the evaluator shall apply the rating system prescribed by the SSP and rate each proposal in relation to the evaluation standards.

(b) Normally, color ratings are used. When used, color ratings are mandatory at the factor and subfactor level. Colors may also be used at the element level, although symbols may be used as an alternative at these lower levels. The color rating depicts how well each offeror meets the evaluation standards. Color ratings are not summarized above the factor level, i.e., factor color ratings shall not be rolled up to the area level. To provide for a standard color scheme, the spectrum below shall be used (see Attachments AA-4 and AA-5 for examples). Ratings must be accompanied by a consistent narrative assessment (inclusive of strengths and weaknesses) of the basis for the rating. Deviations from these definitions can only be obtained through SAF/AQCP.

The following ratings shall be used when evaluating those segments of a proposal that reflect minimum mandatory requirements:

(c) Use of numerical weights is discouraged because it implies that the technical team can differentiate between small differences in technical merit. Such determinations may be extremely difficult to support. Therefore, numerical weighting of evaluation criterion is not recommended. However, if the SSAC decides to use numerical weights, they may be disclosed in the RFP, at the discretion of the contracting officer.

(d) If an offeror's proposal is evaluated as unacceptable at any level of the evaluation criteria, this fact must be included in the rating and narrative assessment at that level and each higher evaluation criteria level. Therefore, a "red" or unacceptable rating at any level must be carried to the highest rated level.

(e) Symbols may be used to indicate proposal ratings at the element level. For example, a plus (+) sign may be used to indicate that the offeror has exceeded the standard; a check (ü) to indicate that the offeror has met the standard; and a minus (-) sign to indicate that the standard has not been met for the element evaluated.

(f) The following subjects are not color rated (although they still are considered by the SSAC as part of the integrated assessment):

(g) Proposals are normally rated twice:

NOTE: Both ratings will be maintained and submitted to the SSAC.

(h) When displayed graphically in briefings or reports, changes in the initial color rating shall be displayed by showing the new color and superimposing one or more arrows in the color block. The number and direction of the arrows used in each block on the chart indicates the extent and direction of change, (i.e., one arrow upward indicates an improvement of one color rating). Any changes from the original proposal should be identified in the discussion of strengths, weaknesses, and risk, and analyzed for the SSA in the SSEB and the SSA briefing.

  1. AA-305 Assessment of risk.

(a) There are two types of risk assessment. Proposal risk relates to the identification and assessment of the risks associated with an offeror's proposed approach as it relates to accomplishing the requirements of the solicitation. Performance risk relates to the assessment of an offeror's present and past work record to assess confidence in the offeror's ability to successfully perform as proposed. Proposal risk assessments will always be reflected in the evaluation matrix (see Attachments AA-4 and AA-5). Proposal risk ratings shall not be rolled up to the area level. Performance risk will be reflected in the evaluation matrix (see Attachments AA-4 and AA-5). Performance risk will be evaluated equally with factors assessments and proposal risk (i.e., conceptually, not numerically, 1/3, 1/3, 1/3).

(b) Each proposal and performance risk assessment will consider the number and severity of problems, the effectiveness of corrective actions taken, and the overall work record. Consider also the offeror's demonstrated ability to effectively identify and take actions to abate program risks. The assessment of performance risk is not intended to be a simple arithmetic function of an offeror's performance on a list of contracts. The PRAG should place the greatest consideration on the information deemed most relevant and significant. In the cost area, more consideration should be given to efforts for similar end items, efforts during a similar phase of the acquisition cycle, and efforts with similar contract types.

(c) As a part of their proposal, offerors may be required to submit a proposal risk analysis which identifies proposal risk areas and the recommended approaches to minimize the impact of those risks on the overall success of the program.

(d) Proposal risks associated with cost, schedule, and performance or technical aspects of the program must be assessed. Risks may be inherent in a proposed approach by virtue of its relationship to the state-of-the-art. Risks may occur as a result of a particular technical approach, manufacturing plan, the selection of certain materials, processes, equipment, etc., or as a result of the cost, schedule, and economic impacts associated with these approaches. Risk may also occur from the impact that these will have on the offeror's ability to perform in view of its technical approach. The prime's proposed subcontract arrangements may also impact proposal risk. For instance, a proposed fixed-price subcontract for a high technical risk effort, or one with an unrealistic delivery schedule, can be expected to impact the overall effort and should be assessed in the proposal risk for that area or factor.

(e) In evaluating proposal risks, the evaluators must consider the assessment prepared by personnel responsible for the requirement and the offeror's assessment and make an independent judgment of the probability of success, the impact of failure, and the alternatives available to meet the requirements.

(f) Proposal risk assessments shall be discussed in evaluation narratives along with strengths and weaknesses and shall be depicted in briefings with the color ratings for each factor, subfactor, or element other than cost (price) as specified in Section M of the RFP. A proposal risk assessment rating and discussion is mandatory for each subfactor at the subfactor summary level.

(g) The performance risk assessment will focus on cost and specific criteria. Performance risk shall also be separately discussed in evaluation narratives in addition to strengths and weaknesses and depicted in briefings.

(h) The risk assessment and color rating assigned to any factor or subfactor are independent of each other. Any risk assessment rating may be used with any color rating to reflect evaluation results.

(i) It is the responsibility of the specific criteria evaluation teams to ensure that the cost team is informed of the identified proposal risks and the potential cost impact.

[Amended per Contracting Policy Memo 98-C-02, dated 8 Jan 98]

  1. AA-306 [Exchanges with offerors.

[(a) Exchanges with offerors after receipt of proposals are conducted in accordance with FAR 15.306. Evaluation Notices (ENs) may be issued for purposes of clarification, to enhance government understanding of offeror proposals, and to notify offerors of deficiencies or weaknesses in their proposals. When such exchanges occur prior to establishment of competitive range, offerors shall not be permitted to revise their proposal in response to the ENs; however, corrections of a minor nature may be permitted and offerors may be given the opportunity to clarify certain aspects of their proposals if the government intends to award without discussions.

(b) Subsequent to the competitive range determination, offerors determined to be in competitive range may revise their proposals as necessary in response to ENs, to correct deficiencies, clarify the government's understanding of their proposals, and enhance their proposals in accordance with FAR 15.306(d). These exchanges with offerors after establishment of competitive range constitute discussions.]

[Amended per Contracting Policy Memo 98-C-02, dated 8 Jan 98]

  1. AA-30[7] Narrative assessments.

(a) Preparing the results of the evaluation in narrative form is an important aspect of the evaluation process. In preparing the written narrative, the evaluator should be aware that it will be the principle means available to the SSAC to perform a comparative analysis of the offers.

(b) The evaluator must indicate in the narrative, as a minimum: what is offered, whether it meets or fails to meet the evaluation standard, any strengths or weaknesses, the impact of any deficiencies, what can be done to remedy each deficiency, and a risk assessment of the offeror's proposal approach and ability to perform. Clarity and brevity are the keys to successfully prepared narratives.

[Amended per Contracting Policy Memo 98-C-02, dated 8 Jan 98]

  1. AA-30[8] Cost (price) evaluation.

(a) The purpose of cost (price) evaluation is to determine whether an offeror's proposed costs are realistic and complete in relation to the solicitation and the technical and management proposals and to provide an assessment of the reasonableness of the proposed price.

DEPARTMENT OF THE AIR FORCE

WASHINGTON, DC

OFFICE OF THE ASSISTANT SECRETARY

7 APR 1997

  1. CONTRACTING POLICY MEMO 97-C-05

MEMORANDUM FOR ALMAJCOM-FOA-DRU (CONTRACTING)

FROM: SAF/AQC

1060 Air Force Pentagon

Washington DC 20330-1060

SUBJECT: Source Selection Technical Team Member Access to Cost Information

References: (a) AFFARS Appendix AA, Formal Source Selection For Major Acquisitions, para AA-309(b)

For many years, technical evaluators have been prohibited from access to offerors' cost proposals. The reason for this prohibition was worthwhile - to ensure that each offeror's technical proposal was evaluated on its own merits without any influence from knowledge of the bottom line cost figures.

Our acquisition processes are evolving and improving. One major change is the establishment of integrated teams. Our source selection teams must work closely together to ensure that Source Selection Authorities (SSAs) are presented with the most accurate, integrated assessment possible of each offeror's proposal. These teams must be provided with the full range of evaluation tools available.

In order to ensure the best possible evaluation, our clear preference is for technical teams to have access to cost information. The technical and cost teams already share the basics upon which bottom line cost is developed - labor types and hours, material types and quantities, and schedule information. Allowing full access to cost information will enable them to more readily and easily find disconnects between the technical, cost, and schedule volumes, thereby ensuring a better and faster evaluation is performed. In addition, full access to cost information should enhance the use of cost as an independent variable (CAIV).

The prohibition established by the above references is hereby eliminated. SSAs should now ensure the entire government evaluation team has access to cost information.

On an exception basis, SSAs may limit or prohibit technical evaluator access to cost information. The source selection plan must document if technical evaluator access to cost information will be limited or prohibited. If limited access is to be imposed, the limitations must be described and included in the source selection plan and in an SSA determination. SAF/AQ has directed that a copy be provided to SAF/AQC of any such determination.

To the extent that other documents and guides prohibit technical evaluator access to cost information, this memorandum prevails. This policy is for solicitations issued after 1 May 97; earlier application is encouraged.

A major rewrite of AFFARS Appendices AA and BB is in progress. A copy of this memorandum has been provided to the AA/BB rewrite team for their consideration and inclusion in the rewrite. When issued, the new source selection policy and procedures will supersede the guidance in this memorandum.

/signed/

TIMOTHY P. MALISHENKO, Brig Gen, USAF

Deputy Assistant Secretary (Contracting)

Assistant Secretary (Acquisition)

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[ ]

([b]) In addition to cost (price) analysis, further measurement of cost (price) reasonableness and realism will be made. This measurement will be accomplished by comparing the Most Probable Cost (MPC) estimate prepared by personnel responsible for the requirement and, if performed, the Independent Cost Analysis (ICA), with the proposed cost (price) after considering the risk associated with the technical approach and disposition of deficiencies.

([c]) Evaluation of the cost (price) realism of each proposal will be made without regard to any proposed ceiling on the Government's obligation.

([d]) Consideration must be given to variations in amount of Government-furnished property (GFP) requested or the use of Government-owned facilities and tooling and all other disparities before the offeror's proposal can be equitably evaluated. The evaluated costs shall be adjusted to account for these variations.

([e]) The cost team will initiate and maintain a cost baseline for each proposal to facilitate an understanding of the changes leading to the final cost (price). A summary of this baseline and all changes through [final proposal revision] shall be included in the PAR.

([f]) Following completion of the cost (price) evaluation, the SSAC will be provided with the cost team's findings as to the reasonableness, completeness, and realism of each offeror's proposal. If a proposal is determined to be unrealistic, incomplete, or unreasonable, the reasons for this conclusion must be stated. When Most Probable Cost (MPC) or similar techniques are used, the SSAC will also be given visibility into the build-up of the evaluated Government amount for each proposal through [final proposal revision].

[Amended per Contracting Policy Memo 98-C-02, dated 8 Jan 98]

  1. AA-3[09] Coordination of findings within the Source Selection Evaluation Board (SSEB).

After completing the evaluation, each evaluator must coordinate the findings with other team members to ensure consensus within the team. After accomplishing the intra-team coordination, team leaders must coordinate their findings with other team leaders. The coordination of findings between the various factor teams and the cost team is important. Additionally, the PRAG must identify and coordinate its findings with the SSEB to ensure a logical presentation to the SSAC and SSA.

[Amended per Contracting Policy Memo 98-C-02, dated 8 Jan 98]

  1. AA-31[0] Determination of competitive range.

(a) When written or oral discussions are conducted, they must be conducted with all responsible offerors who submit proposals within the competitive range. The determination as to which proposals are not in the competitive range, and the exclusion of offerors either before or as a result of written or oral discussions, will be made by the contracting officer, subject to approval by the SSA.

(b) After evaluation of all proposals received, the competitive range must be determined on the basis of cost (price) technical, and other salient factors including proposal deficiencies and their potential for correction. Before including or excluding a proposal from within the competitive range, the possibility of its selection for award should be assessed. The objective is not to eliminate proposals from the competitive range, but to [establish a competitive range comprised of all the most highly rated proposals unless the range is further reduced for purposes of efficiency].

(c) The determination of competitive range is based on informed judgment and is complex in nature. All such decisions must be completely and adequately documented for the record. A proposal may be determined outside the competitive range if:

(d) Multiple competitive range determinations before [final proposal revisions] are acceptable. For example, a second competitive range determination may be appropriate after responses to [evaluation notices] have been received.

(e) Whenever the chairperson of the SSEB, SSAC, or SSET concludes that a foreign offeror or domestic offeror with major foreign subcontractor(s) may be removed from the competitive range, the SSA should be notified immediately. The SSA should consider whether a SAF/IA representative should be appointed as an advisor. If a SAF/IA advisor is appointed, they shall participate in presentations and briefings supporting the exclusion/inclusion of such offerors from the competitive range through contract award.

(f) Exclusion of an offeror from the competitive range at any time during the source selection process must be approved by the SSA (nondelegable). A meeting of the SSAC shall be convened to consider any such exclusion before SSA approval.

(g) Offerors whose proposals are determined to be outside the competitive range and with whom initial or continuing discussions are not to be conducted must be notified promptly in accordance with FAR 15.[503].

[Amended per Contracting Policy Memo 98-C-02, dated 8 Jan 98]

  1. AA-31[1] Conducting written or oral discussions.

(a) Written or oral discussions with offerors shall be led only by members of the contract definitization team with other SSEB members' support. The team will negotiate definitive contracts with all offerors determined to be within the competitive range. The team is the only point of contact between the SSEB and the offerors [(see FAR 15.306(d))].

(b) All offerors determined to be in the competitive range shall be advised of any deficiencies in their proposals or portions of their proposals that require clarification and be given a reasonable opportunity to correct or resolve the deficiencies and to provide clarifications. Any deficiency or weakness in an offeror's proposal which drives a color rating less than acceptable (i.e., "green") must be discussed with the offeror if discussions have been opened [(see FAR 15.306(d)(3))]. Additionally, it is strongly advised that any weakness documented in the narrative description of strengths and weaknesses be discussed with the offeror if discussions have been opened prior to the decision briefing. This will ensure that offerors who request debriefings after contract award and are provided with their respective color ratings, risk assessments, and narrative descriptions have been given adequate opportunity to address their weaknesses during discussions. Offerors may submit cost (price), technical, or other proposal revisions as a result of the discussions.

(c) Discussions with each offeror must be confined exclusively to that offeror's proposal. Discussions must be conducted in a way that scrupulously avoids disclosure of the relative strengths and weaknesses of competing offerors, technical information or ideas, or cost (price) data from any other offeror's proposal.

(d) At the conclusion of written or oral discussions, a final common cut-off date which allows a reasonable opportunity for submission of [final proposal revisions] must be established and all remaining participants notified in writing. The notifications shall:

[ ]

([e]) All proposal revisions and information provided by the offerors during the conduct of discussions and received prior to the common cut-off will be considered in the final source selection decision.

[Amended per Contracting Policy Memo 98-C-02, dated 8 Jan 98]

  1. AA-31[2] The Proposal Analysis Report and presentation.

(a) Upon completion of the evaluation of [final proposal revisions], the SSEB chairperson shall have both a written report (see Section I - IV of Attachment AA-8) and a viewgraph/oral presentation prepared which shall be presented to the SSAC for the purpose of reviewing the significant findings and assessments of the SSEB and PRAG through final discussions and [final proposal revisions]. Upon completion of the SSAC evaluation of the SSEB report and presentation, they shall both be supplemented and/or amended to incorporate the comparative analysis and/or conclusions and findings of the SSAC. Note: While this has almost always been the case for the presentation, this change in procedures eliminates the separate SSEB and SSAC reports and results in a single PAR document.

(b) The written evaluation report shall be in the format established in Attachment AA-8, and the oral presentation shall, at a minimum, include the following:

(c) The objective of Section III of the Proposal Analysis Report (PAR) is to present a summary of the evaluation of each proposal against solicitation requirements based on established evaluation criteria and evaluation standards.

(d) The SSAC will be expected to review and analyze the report at the time of the final evaluation briefing and provide any additional inputs to the SSA. The section shall contain the SSAC's independent comparative analysis and findings and any exceptions taken to the SSEB's report. The SSAC may take exception to any part of the report, including, but not limited to, color codes for factors, risk analyses, rationale, strengths and weaknesses, or evaluated cost.

(e) Supporting documentation for the PAR shall be organized in accordance with MAJCOM procedures. An audit trail from the highest to the lowest elements of the evaluation shall be provided by the supporting reports and documentation.

[Amended per Contracting Policy Memo 98-C-02, dated 8 Jan 98]

  1. AA-31[3] SSAC analysis.

(a) The comparison of proposals is the responsibility of the SSAC and is based on an analysis of the evaluation performed by the SSEB and the results of discussions.

(b) The SSAC must provide to the SSA all relevant information resulting from the evaluation of proposals and other considerations to assist in a final selection decision by the SSA. As a minimum, the contents described in Attachment AA-8 shall be included in every PAR.

(c) The contracting officer shall advise the SSAC and SSA when the responsibility of any offeror is questioned. The PAR shall include this information.

[Amended per Contracting Policy Memo 98-C-02, dated 8 Jan 98]

  1. AA-31[4] Source selection briefings.

Source selection briefings are required by the SSAC and SSA. The SSEB chairperson is responsible for having the results of the evaluation briefed to the SSAC. The chairperson of the SSAC is responsible for having the results of the SSAC analysis briefed to the SSA. The recipients and the scope of the briefings depend on the organizational level at which the SSA has been established. All in attendance must complete a certification (see Attachment AA-10) in which they agree to safeguard source selection information (see AA-403). Any required briefings to the Secretariat to be held in the Pentagon shall be scheduled through SAF/AQCS who will control attendance.

(a) When the SSA is the ASAF(A) or other official of the Secretariat and the briefing is held in the Pentagon, the following procedures shall be used:

(b) When SSA has been delegated to the PEO, DAC, or MAJCOM commander, the SSA shall personally notify ASAF(A) of the award decision before the public announcement of the award.

[Amended per Contracting Policy Memo 98-C-02, dated 8 Jan 98]

  1. AA-31[5] Selection and contract award.

The SSAC chairperson is responsible for having prepared the Source Selection Decision Document for the SSA's signature. The assigned legal advisor and the senior contracting advisor shall coordinate on the Source Selection Decision Document. If the Source Selection Decision Document contains proprietary or source selection information, it shall be marked accordingly. The SSA's signature on the decision document is authority for the contracting officer to award a contract to the selected offeror(s) subject to the necessary administrative approvals. If the ASAF(A) or Secretary is the SSA, the Source Selection Decision Document is provided to SAF/AQCS for staffing and coordination with SAF/GCQ before it is presented to the SSA for signature. The approved Source Selection Decision Document is sent to the SSAC chairperson who will provide it to the contracting officer to include in the official contract file and the source selection record. This document contains:

(a) The source selection decision;

(b) Clear rationale for the source selection decision. When award is made [to other than the low offeror], the SSA should make a specific determination that the superiority of the higher priced proposal warrants the additional cost involved[(see FAR 15.308)]; and

(c) Direction to accomplish award of a contract.

NOTE:

(1) The Source Selection Decision Document is a releasable document under the Freedom of Information Act (FOIA).
(2) An example of the format of a Source Selection Decision Document is at Attachment AA-9. The attachment provides a format only. The actual decision document must include a detailed discussion of the rationale for each source selected.

[Amended per Contracting Policy Memo 98-C-02, dated 8 Jan 98]

  1. AA-31[6] Announcement of source selection decision.

(a) When the SSA is ASAF(A) or the PDASAF(A&M), as appropriate, SAF/AQ will be responsible for:

(b) When the ASAF(A) has delegated source selection authority, the SSA shall ensure that:

[Amended per Contracting Policy Memo 98-C-02, dated 8 Jan 98]

  1. AA-31[9] Notification and debriefings.

(a) Notifications. Unless such responsibility is delegated to others by the SSA, the contracting officer shall notify unsuccessful offerors in accordance with FAR 15.[503].

(b) Debriefings. Debriefings shall be conducted in accordance with FAR 15.[505] and FAR 15.[506]. Comparisons shall not be made to other unsuccessful offerors' proposals:

[Amended per Contracting Policy Memo 98-C-02, dated 8 Jan 98]

  1. AA-31[8] Lessons learned.

Following contract award, personnel responsible for the requirement shall determine if publishing a lessons learned report would benefit the source selection process. These reports should contain no source selection or proprietary information, no reference to the specific program involved, and be limited to pertinent issues that may be beneficial to future source selection actions and planning. The report (if prepared) should be provided to SAF/AQCS through the MAJCOM within eight weeks after the source selection decision is announced.

PART 4 - SOURCE SELECTION DOCUMENTATION AND RELEASE OF INFORMATION

  1. AA-401 General.

This part provides guidance on the treatment of source selection documentation and the release of source selection information.

(a) FAR 3.104 implements Section 27 of the Office of Federal Procurement Policy Act (41 U.S.C. 423) as amended by subsequent National Defense Authorization Acts.

(b) FAR Subpart 4.8 prescribes requirements for establishing, maintaining, and disposing of contract files, including source selection related documentation.

(c) DODD 5500.7, Standards of Conduct, sets forth standards of conduct for Air Force personnel, including circumstances relating to business relationships.

[Amended per Contracting Policy Memo 98-C-02, dated 8 Jan 98]

  1. AA-402 Source selection records.

(a) Source selection records include source selection information, as defined in FAR 3.104, and other documents that have a direct relationship to the source selection. Source selection information must be protected and appropriately marked in accordance with FAR 3.104. Instructions for protecting source selection information are provided in AA-403. Source selection records include, but are not limited to, the following documents:

* Normally will require continued protection after contract award.

(b) The establishment of source selection records does not eliminate the requirement for maintaining official contract files required in FAR Subpart 4.8. It is always necessary to protect source selection sensitive records to prevent unauthorized access or release to the public. Because there are separate tables and rules for each category in AFI 37-122, Air Force Records Management Program, the location of all documents shall be noted by use of a cross-reference index in the official contract file.

  1. AA-403 Protecting source selection records.

23 OCT 1997                

CONTRACTING POLICY MEMO 97-C-15
                                     

MEMORANDUM FOR ALMAJCOM-FOA-DRU (CONTRACTING)

FROM: SAF/AQC
             1060 Air Force Pentagon
             Washington DC 20330-1060

SUBJECT: Request for Class Deviation to AFFARS Appendices AA and BB Paragraph 403(b), Release of Source
                  Selection Information

        We received the attached request from Air Force Materiel Command's Electronic Systems Center for a class deviation to AFFARS Appendices AA and BB paragraph 403 (b) for the purpose of reuse of Software Capability Evaluation (SCE) data in source selections. Since this deviation pertains to all Air Force contracting activities, I have decided to approve it for all.

        You must ensure that use of the SCE data is limited to those situations where the data is clearly relevant to the requirement undergoing source selection, and prior to implementation ensure that each location identifies an SCE repository including associated maintenance and utilization procedures. This approval does not alleviate the responsibility of all participants in the source selection process to continue to protect information as necessary to ensure the integrity of the reuse process and prevent disclosure of contractor proprietary information to unauthorized personnel. This approval remains in effect for one year from the date of this memorandum, or upon issuance of a revised Air Force source selection policy, whichever occurs first.

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(b) While the source selection is in process, disclosure of source selection information is the exclusive responsibility of the SSA and the contracting officer (see FAR 3.104). After contract award, this authority is vested in SAF/AQC, or the responsible PEO, DAC, or activity commander for the specific contract or records involved. The responsible official may delegate authority to grant access; but, authority to release source selection information is nondelegable. Requests for access to or release of source selection information and the authorizations granting access or release must be in writing.

(c) In addition to the marking requirements in FAR 3.104, source selection information must also be protected and marked "For Official Use Only (FOUO)." The cover sheet format in Attachment AA-11 may be reproduced and used as appropriate. The cover sheet should be printed on yellow paper when available. Classified source selection documents must also be marked and protected as required by DODI 5200.1-R/AFPD 31-4, Information Security Program.

(d) All persons involved in the source selection process (including non-Government advisors and administrative personnel) will be required to execute a "Source Selection Information Briefing Certificate" before they are given access to source selection information. The SSAC chairperson shall ensure that the certificates from all source selection team members, including SSAC members, are collected and filed with the source selection records. (See Attachment AA-10 for the certificate format.)

(e) Access to source selection sensitive information must be strictly controlled at all organizational levels. Access does not automatically extend to other individuals in the organizational chain of command of the individuals who are involved in the source selection.

(f) Even when source selection information falls within the categories of materials that may be withheld from public disclosure (i.e., a Proposal Analysis Report), each document, or portion of a document, must have an independent basis for exemption.

(g) When a protest, before or after contract award, has been lodged to the General Accounting Office (GAO), General Services Board of Contract Appeals (GSBCA), or other level in which the Secretariat or HQ USAF is involved, any and all pertinent source selection documents shall be forwarded to SAF/AQCX in accordance with Subpart 5333.1.

(h) Requests for source selection information by Congress or the General Accounting Office (GAO) will be processed under AFPD 90-21/AFI 90-201, Air Force Relations with Congress, and AFI 65-401, Air Force Relations with the General Accounting Office (GAO). These activities must be informed of the restriction against public disclosure of confidential or proprietary information provided by offerors. DOD and Air Force activities, such as the Inspector General (IG), auditor, and other specially appointed activities must also obtain written authority for access or release in accordance with this appendix.

[NOTE: Attachments have not been revised to reflect the new FAR 15 Rewrite. The attachments are intended for use as samples only, and may be modified as necessary to comply with FAR 15 and the revised text contained within this Appendix.]

ATTACHMENT AA-1 SOURCE SELECTION ORGANIZATION

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ATTACHMENT AA-2 REGULATORY REFERENCES

DODD 5000.1 Defense Acquisition

DOD 5000.2-R Mandatory Procedures for Major Defense Acquisition Programs (MDAPs) and Major Automated Information System (MAIS) Acquisition Programs

DODD 5400.7 & DOD Freedom of Information Act Program
DODD 5400.7-R

DODD 5500.7 Standards of Conduct

AFI 37-122 Air Force Records Management Program

AFI 37-131 Air Force Freedom of Information Program

AFI 37-138 Records Disposition, Procedures, and Responsibilities

AFI 65-401 Air Force Relations with GAO

AFI 65-402 Air Force Relations with the Office of the Assistant Inspector General for Auditing and Auditing Follow-up, DOD

AFPD 31-4 Information Security Program

AFPD 90-21/AFI 90-201 Air Force Relations with Congress

AF Pamphlet 70-1 Dos and Don'ts of Air Force-Industry Relations

ATTACHMENT AA-3 SCHEDULE OF SOURCE SELECTION EVENTS

The following list of events are those which usually occur during a source selection. As a minimum, the Source Selection Plan must include a schedule of those events marked with an asterisk (*). The cumulative elapsed time will be indicated at each of the events.

ATTACHMENT AA-4 EXAMPLE OF EVALUATION MATRIX (ACAT I AND II)

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ATTACHMENT AA-5 EXAMPLE OF EVALUATION MATRIX (OTHER THAN ACAT I AND II)

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ATTACHMENT AA-6 EXAMPLES OF EVALUATION STANDARDS

EXAMPLE OF QUANTITATIVE STANDARD

EXAMPLE OF QUALITATIVE STANDARD

ATTACHMENT AA-7 FORMAT FOR PREPARING DEFICIENCY REPORTS OR CLARIFICATION REQUESTS

DEFICIENCY REPORT NO._____________

OFFEROR_________________________________________________________

AREA____________________________ FACTOR________________________

SUBFACTOR____________________ ELEMENT_______________________

Nature of Deficiency:

Summary of the Effect of the Deficiency:

Reference:

NOTE:
When using this format for clarification requests, substitute "clarification request" for "deficiency report" and in the body of the request provide:

(1) A clear description of the portion of the proposal needing clarification;
(2) An explanation of how the proposal is either inadequate for evaluation purposes or contains contradictory information;
(3) A statement as to whether the clarification is significant or minor; and
(4) An explanation of the potential impacts on evaluation ratings and risk assessments. (See AA-307).

ATTACHMENT AA-8 PROPOSAL ANALYSIS REPORT

I. INTRODUCTION.

II. DESCRIPTION OF PROPOSALS.

III. COMPARATIVE TECHNICAL AND RISK ANALYSIS.

IV. COMPARATIVE COST ANALYSIS.

V. GENERAL CONSIDERATIONS.

VI. SSAC FINDINGS.

SIGNATURE PAGE.

ATTACHMENT AA-9 EXAMPLE OF FORMAT FOR SOURCE SELECTION DECISION DOCUMENT

SOURCE SELECTION DECISION

FOR THE [insert name of system]

RFP No.________________

[Insert Source Selection Authority signature and signature block)

FOR OFFICIAL USE ONLY

NOTE:
(1) Each decision document must be written to describe the specific rationale for the source selected.
(2) Ensure that the decision document adequately addresses the impact of the past performance assessment.

ATTACHMENT AA-10 SOURCE SELECTION INFORMATION BRIEFING CERTIFICATE AND DEBRIEFING CERTIFICATE

Source Selection Information Briefing Certificate

Name: ____________________ Grade: _______ Job Title: ___________________________

Organization: _______________ Source Selection: ____________________ Date: _________

Briefing Acknowledgment

1. I acknowledge I have been assigned to the source selection indicated above. I am aware that unauthorized disclosure of source selection or proprietary information could damage the integrity of this procurement and that the transmission or revelation of such information to unauthorized persons could subject me to prosecution under the Procurement Integrity Laws or under other applicable laws.

2. I do solemnly swear or affirm that I will not divulge, publish, or reveal by word, conduct, or any other means, such information or knowledge, except as necessary to do so in the performance of my official duties related to this source selection and in accordance with the laws of the United States, unless specifically authorized in writing in each and every case by a duly authorized representative of the United States Government. I take this obligation freely, without any mental reservation or purpose of evasion and in the absence of duress.

3. I acknowledge that the information I receive will be given only to persons specifically granted access to the source selection information and may not be further divulged without specific prior written approval from an authorized individual.

4. If, at any time during the source selection process, my participation might result in a real, apparent, possible, or potential conflict of interest, I will immediately report the circumstances to the Source Selection Authority.

5. All personnel are requested to check the applicable block:

SIGNATURE:______________________________________ DATE:_____________________

Debriefing Certificate

I have been debriefed orally by ____________________________________ as to my obligation to protect all information to which I have had access during this source selection. I no longer have any material pertinent to this source selection in my possession except material that I have been authorized in writing to retain by the SSA. I will not discuss, communicate, transmit, or release any information orally, in writing, or by any other means to anyone after this date unless specifically authorized to do so by a duly authorized representative of the United States Government.

Signature of Person Debriefed __________________________________ Date of Debriefing _______________________

Signature of Debriefer ________________________________________ Date of Debriefing _______________________

ATTACHMENT AA-11 FORMAT FOR SOURCE SELECTION INFORMATION COVER SHEET

See next page.

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