Chapter 2

Anatomy of a Government RFP

My first encounter with a government request for proposal (RFP) occurred in 1978. Having just left the faculty of Arizona State University, I was familiar with sorting through reams of technical journal articles. Yet, I was totally unprepared for the trauma and confusion of finding my way through what appeared to be a disorganized collection of regulations, requirements, and instructions. Worse still, I had an important proposal assignment. Frankly, I did not have a clue about where to start or what to do. No one bothered to explain the organization, content, or importance of the various RFP sections. Instead, I learned by trial and error (mostly error).

Since then, I have read hundreds of RFPs. I wish I could say the process has become simple and straightforward. It has not. Regardless of one’s education, intelligence, experience, or technical competence, dissecting a government RFP is an arduous, painstaking undertaking. Nonetheless, the ability to navigate your way through an RFP effectively is a fundamental prerequisite to preparing a compliant, winning proposal. Having a road map and some basic understanding of the content of each RFP section can be a big help.

Fortunately, federal government RFPs follow a standard format. They consist of 13 separate sections, A through M, organized into four parts, as shown in Figure 2-1. Many RFPs also contain multiple attachments. Each attachment corresponds to one of the RFP sections (most often, Section C or J). Not all RFPs clearly label the four parts; do not let this confuse you.

A brief overview of each RFP part and section follows. If you are unfamiliar with RFP organization, grab an old RFP or one you are currently using, and follow along with this discussion. This will enable you to correlate the generic description of RFP sections to a real RFP, hopefully one with which you are familiar. However, a word of caution is necessary before we begin. Describing RFP organization is hideously boring. It will make you long for the opportunity to watch paint dry. Nonetheless, it is a required first step in understanding the government acquisition process.

Figure 2-1. Uniform Contract Format

PART I—THE SCHEDULE

Sections A through H make up the schedule part of a government RFP.

Section A: Solicitation/Contract Form

Section A is the cover sheet for the RFP. It contains basic administrative information like the name and address of the procuring agency, a brief description of the procurement, when and where proposals are to be delivered, the solicitation number, and whether the RFP is for full and open competition. Some procurements are restricted to, or “set aside” for, specific business categories, such as small or disadvantaged businesses. Restricted RFPs are so noted in Section A, along with the type of restriction. For example, small business set-asides include a size standard based on revenue or number of employees. Most procuring agencies use Standard Form 33 as the RFP cover sheet. Regardless, Section A contains the basic administrative information that governs the solicitation.

Section B: Supplies or Services and Prices/Costs

Section B identifies what the government intends to buy. It typically includes a brief description of the product or services required (e.g., item number, national stock number/part number, nouns, nomenclature) and the quantity to be purchased. Section B defines the products or services to be delivered to the government. Technical data or information required as a contract deliverable is listed in Section B. Deliverable data most often are defined by a Contract Data Requirements List (CDRL) included as part of the RFP package or prepared by the offeror. A sample CDRL is provided in Figure 2-2.

Section B services or products are typically divided into Contract Line Item Numbers (CLINs). If the procurement will be purchased in lots, or if it includes options or multiple delivery orders, a separate set of CLINs will cover each separate delivery or option. Figure 2-3 provides a sample Section B.

Section B provides the basis for developing your bid cost. In most instances, bid prices are placed in the allotted spaces in Section B and submitted with your proposal. The sample in Figure 2-3 illustrates a cost-plus-type contract, with spaces for pricing information. Because this sample is an award fee contract, additional information is required about proposed fee. More information about contract type is provided in Chapter 14.

Section B is not always divided into CLINs. In cases where there is no specific contract deliverable, the government may instead describe the services to be provided. The following Section B example, taken from an Environmental Protection Agency RFP, illustrates the purchase of services to be provided as a level of effort.

B.1 LEVEL OF EFFORT—COST REIMBURSEMENT TERM CONTRACT (EPAAR 1552.211-73)

Figure 2-2. Sample CDRL

Subsequent Section B paragraphs further defined the effort and the parameters under which the effort would be procured.

Section C: Description/Specifications/Statement of Work

Contract deliverables identified in Section B are further described in Section C. If the description is relatively brief, it will be contained in Section C. However, more detailed statements of work and product specifications are most often provided as attachments to Section J.

Figure 2-3. Sample Section B

The following example corresponds to CLINs from the Section B sample in Figure 2-3:

Note the references to specifications and statement of work contained in the description of Item (CLIN) 0001. Exhibit A referenced under Item 0003 above refers to a list of CDRLs contained in the statement of work.

Section C can also contain clauses or directions concerning the manner in which services will be provided or specify procedures or equipment to be used. Such instances are most prevalent for service-type contracts.

Section D: Packaging and Marking

Section D defines any required packaging, packing, or marking requirements for products to be delivered to the government. Otherwise, this RFP section is left blank. Here is a sample Section D:

Section E: Inspection and Acceptance

RFP Section E defines the inspection, acceptance, quality assurance, and reliability required of delivered products or services. It also identifies the person or office responsible for accepting the product or service for the government and the place of inspection/acceptance. For example:

Specific inspection or test procedures are often defined in an acceptance test plan or comparable documents. Test plans are typically defined by a CDRL and submitted to the government for review and approval before the scheduled test or inspection. Inspection and acceptance of delivered data are defined in the CDRL or by means of a referenced government standard.

For service-type contracts, like those providing engineering services, government acceptance of those services may be governed by specific criteria that define availability, responsiveness, reliability, or quality requirements. Such requirements are provided in Section E.

Contract payments are normally contingent upon meeting the inspection and acceptance criteria contained in Section E. Therefore, it is important to pay close attention to these requirements (assuming you care about being paid).

Section F: Deliveries or Performance

Section F specifies the time, place, and method of delivery for contract deliverables defined in Section B. Delivery times may be either calendar days or elapsed time from contract award. Sometimes, a period of performance is tied to a particular program milestone. The following Section F example illustrates both time after contract award and time following a program event:

For service-type contracts, Section F specifies the period of performance. For example:

It is important to understand what constitutes delivery. A Section F clause that specifies a contract deliverable that is operationally available means that all the events necessary to fulfill the “operationally available” criteria must be completed. Otherwise, the deliverable may be judged late according to the schedule requirements of Section F.

In planning, all necessary program events must be accounted for. For example, suppose the government procures a flight simulator with a ready-for-training delivery of 24 months after contract at a specified Air Force base. According to the performance requirements of the RFP, this means the simulator must first pass an in-plant acceptance test before it is shipped to site. Once assembled on-site, it must undergo another on-site acceptance test. In addition, the Air Force must certify the simulator as “ready for training.”

In scheduling the project activities and the resources needed to perform them, consideration must be given to the time and cost of testing, transportation to site, and fixing any test discrepancies. Such considerations may appear to be intuitive or trivial, but you might be surprised at how often such “simple” considerations are overlooked. This can result in late deliveries and cost overruns.

Section G: Contract Administration Data

Section G contains any required contract administration information or instructions other than those on the solicitation form (Section A). This section may also contain required accounting or appropriations data, including the procedures required to submit invoices and get paid for work completed. In addition, Section G typically identifies significant government representatives, such as the administrative contracting officer or the government quality assurance representative.

Section H: Special Contract Requirements

Section H includes special contract requirements that are not contained in Section I (Contract Clauses). These clauses typically deal with specific aspects of the procurement. If the procurement includes options in Section B, this section may address how those options will be exercised.

Section H can span a broad variety of topics. They may include anything from conflict of interest clauses, how contractor performance will be evaluated, application of state and local taxes, identification of key personnel labor categories, compensation of overtime, and the requirement for associate contractor clauses to how the award fee will be calculated for award-fee-type contracts.

Proposal teams and managers often skip over Section H, leaving the review of this section to their contracts manager. This can be a mistake. Sometimes Section H has a significant impact on the technical aspects of the program.

PART II—CONTRACT CLAUSES

The second part of a government RFP consists of a single section.

Section I: Contract Clauses

Section I contains contract clauses required by law or by regulations that govern the procurement. It also contains any additional clauses expected to be included in the resulting contract, if these clauses are not required in any other section of the uniform contract format. Except for contracting experts, most people find the information in Section I less than inspiring.

Most often Section I is just a list of federal acquisition regulations applicable to the procurement. A typical list looks something like this:

CLAUSES INCORPORATED BY REFERENCE

52.202-1	Definitions	JUL 2004
52.203-3	Gratuities	APR 1984
52.203-5	Covenant Against Contingent Fees	APR 1984
52.203-7	Anti-Kickback Procedures	JUL 1995
52.203-14	Display of Hotline Poster(s)	DEC 2007
52.204-2	Security Requirements	AUG 1996
52.204-4	Printed or Copied Double-Sided on Recycled Paper	AUG 2000
52.204-7	Central Contractor Registration	APR 2008
52.204-9	Personal Identity Verification of Contractor Personnel	SEP 2007
52.204-10	Reporting Subcontract Awards	SEP 2007
52.215-2	Audit and Records—Negotiation	MAR 2009

In other cases, Section I provides the full text of the regulations referenced, or a subset of the clauses referenced.

PART III—LIST OF DOCUMENTS, EXHIBITS, AND OTHER ATTACHMENTS

Like Part II, the third part of a government RFP is a single section. It includes other exhibits and attachments not referenced by other RFP sections.

Section J: List of Attachments

Not all RFPs have a Section J. If it is included as part of the RFP, it should contain a list of the RFP exhibits and attachments. Here is an example:

PART IV—REPRESENTATIONS AND INSTRUCTIONS

Part IV consists of three RFP sections—K, L, and M. Sections L and M are the heart of the RFP. They provide instructions on how to prepare your proposal and the criteria that will be used to evaluate proposals.

Section K: Representations, Certifications, and Other Statements of Offerors or Respondents

Section K contains the representations and certifications required from bidders. These request information about your company and require you to certify that you comply with specific RFP and government requirements. The requirements include things like the company’s taxpayer identification number; its classification as a small, woman-owned, or other special-status business; and certifications that you comply with affirmative action practices. Typically your contracts manager will fill out this section of the RFP, which is returned as part of your proposal response.

Section L: Instructions, Conditions, and Notices to Offerors or Respondents

Section L of the RFP includes provisions and information not included in other RFP sections. More important, Section L tells you what information to include in your proposal, how to organize and prepare the proposal, and how it should be delivered to the government. It might include proposal format instructions (e.g., font size, page margins) and how the proposal should be packaged (e.g., in three-ring binders). It also specifies the division of your proposal into separate volumes (e.g., technical, cost, past performance), identifies the number of copies of each volume to be delivered, and defines the delivery format in terms of hard copy or electronic media.

Procurement agencies are moving to electronic evaluation systems and require an electronic version of the proposal in addition to hard copies. Section L typically provides any special instructions about where and how to deliver your proposal.

As part of acquisition streamlining initiatives, procuring agencies apply page limitations to the entire proposal or to various sections. Failure to adhere to these restrictions can cause pages beyond the limitation to be returned unread. Moreover, when you exceed page limitations, you have demonstrated that you cannot follow simple instructions. In other cases, the procuring agency provides a recommended page limit. Although there is no formal consequence of exceeding these limitations, it is a good idea to stay within the recommended boundaries. Figure 2-4 shows a sample Section L requirement for a multi-volume proposal with a page-count limitation.

As noted, Section L tells you what information to include in your proposal. This is the information the government will evaluate to determine who wins. Clearly, understanding the requirements of Section L is critical to preparing a winning proposal. The organization of Section L varies significantly between RFPs. Typically, this section provides specific instructions about how to prepare each proposal volume or section. These “instructions” include specific questions or topics that must be addressed, or information that must be provided as part of your proposal.

Section L also specifies the format and organization of your proposal. For example:

Figure 2-4. Sample Section L, Listing of Proposal Volumes

Careful attention to the requirements of Section L is absolutely essential to preparing a responsive proposal. As other parts of this book emphasize, the single greatest earmark of a losing proposal is failure to respond adequately to all RFP requirements. Section L defines these requirements. Unfortunately, understanding exactly what the government wants can be an overwhelming challenge. Often it seems as if the government is asking for an incredible amount of information. Consider the following sample Section L requirement for software:

The number of volumes and amount of information requested vary enormously between RFPs and procurement agencies. Generally, development-type contracts require more information than service-type contracts. Specific proposal requirements also vary significantly between procuring agencies. However, at a minimum you will be required to provide information about your technical approach, cost, and your organization’s past performance. In addition, some RFPs request an executive summary, plus proposal volumes as determined by the procuring agency. In many Department of Defense RFPs, offerors are required to prepare and submit their own statement of work and CDRLs. For procurements that require the implementation of integrated product/process development procedures, an integrated master plan and/or integrated master schedule may also be required.

Section M: Evaluation Factors for Award

Section M describes how proposals will be evaluated. It identifies the factors the government will consider in determining the “value” of each proposal and the relative importance of each factor. In particular, the government must define the relative importance of cost to the other proposal areas. In fact, the government is required to state whether all evaluation factors other than cost or price are:

• Significantly more important than cost or price

• Approximately equal to cost or price

• Significantly less important than cost or price.

Normally, the procuring agency also identifies the particular regulations that will be used to conduct source selection. Such regulations include the Federal Acquisition Regulation (FAR), plus any supplemental regulations that implement the procuring agency’s procedures. For example:

Section M also provides information about the relative importance of the various factors that will be used to evaluate your proposal. For example:

Typically, technical evaluation factors are further divided into subfactors, and the relative importance of each subfactor is provided. For example:

Some procuring agencies use a point system to evaluate proposals. In these cases, the points allocated to each proposal requirement may be contained in Section M.

Criterion		Weight
I.	Demonstrated Corporate Experience	200 Points
II.	Demonstrated Qualifications of Personnel	250 Points
III.	Quality of Program Management Plan	200 Points
IV.	Adequacy of QA/QC Program Plan	100 Points
V.	Past Performance	250 points

Section M should also identify how technical, cost, and past performance factors will be evaluated. Typically, technical proposals are scored using a point system or a rating scale. (Chapter 3 describes government source selection.) Evaluation criteria for each technical subfactor should be included in Section M. Criteria vary enormously in their specificity and in the amount of information they contain. Here is a fairly typical technical evaluation criterion:

Cost and past performance information are not scored, but they are evaluated using the criteria listed in Section M. Cost is typically evaluated for reasonableness, realism, and completeness. In some cases, the government may perform a cost analysis to determine what it believes the most probable cost will be for each bidder based on its particular technical approach. Past performance information may be scored, but it is most often judged to determine the risk of selecting your company to perform the contract. In these cases, you will receive a performance risk rating for each significant evaluation factor or for the contract as a whole.

A clear understanding of the evaluation criteria of Section M is critical to preparing a winning proposal. The relative importance of evaluation areas can be used to help determine what aspects of your approach to emphasize and as a guide in determining page allocations for page-limited proposals. Section M evaluation criteria can also be used to clarify what is being asked for in Section L.

Become familiar with RFP sections and their respective content. Use this knowledge to maximize the effectiveness of the time you spend extracting valuable information from government RFPs. In the process, you will gain a modest competitive advantage over your less-astute competitors.