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GUIDELINES FOR SUBMITTING UNSOLICITED PROPOSALS
Introduction
The United States Agency for International Development (USAID) is a U.S. government agency which provides technical and humanitarian assistance to foreign countries. USAID's program in Russia began with the passage of the Freedom Support Act by the U.S. Congress in 1992, which seeks to support the transition to market economies, democratic politics, and sustainable systems of social protection in the newly independent states.
Submission of Unsolicited Proposals
USAID generally works by developing direct programs with host countries and through competitive procedures for selection of contracts, cooperative agreements, and grants. This approach ensures that all activities are concentrated on pre-defined objectives to maximize impact; and that they are consistent, mutually reinforcing and draw services from the best available sources.
When the USAID program in Russia began in 1992, it became quickly apparent that there was great interest from many U.S. and Russian firms, private voluntary agencies, individuals, educational and other institutions, in participating in the development of activities in the Russian Federation. A large number of unsolicited proposals requesting funding from USAID for contracts, grants and cooperative agreements for a wide range of activities have been received over the past few years.
While unsolicited proposals will continue to be received and reviewed for funding, potential offerors should be aware that only in highly exceptional cases are such proposals likely to be approved for funding. Resources available to USAID for programs in Russia must be concentrated and focused on clear objectives which fit within Mission priorities. Services must be procured from the best available offerors, normally through a competitive process.
In view of the above, generally only exceptional unsolicited proposals can be considered for funding. Generally, these proposals must: be unique, innovative, or proprietary (for a grant or cooperative agreement); demonstrate unique capacity by the offeror to carry out proposed activities (for a contract); be fully supportive of USAID's development objectives in Russia; and show clear support by the recipient country government or private institutions. USAID also carefully evaluates the long-term impact of the proposal on Russia. Finally, only limited funding is available for even the best of such proposals, since most funding is reserved for development priorities which are influenced through competitively procured mechanisms.
Therefore, potential offerors are strongly encouraged to contact USAID/Russia for information concerning specific needs in the Russian Federation before preparing or submitting an unsolicited proposal. Also it is strongly recommended that potential applicants review USAID competitive announcements (see http://www.info.usaid.gov/procurement_bus_opp/ procurement/announce) as well as specific USAID bureau open announcements (e.g., humanitarian response, http://www.info.usaid.gov/hum_response). Applicants responding to specific announcements should follow the directions contained in that announcement.
Information concerning USAID/Russia policies and procedures for unsolicited proposals is summarized as follows:
- Contact Points:
USAID/Russia, Office of Program and Project Development, Unsolicited Proposals, Novinsky Boulevard 19/23, 121099, Moscow, Russia. The telephone is +7 (095) 728-5099. The fax is +7 (095) 960-2141.
- Definitions:
(a) An "unsolicited proposal" is a written offer to perform a proposed task or effort, initiated and submitted to the U.S. Government by an offeror without solicitation by the U.S. Government, with the objective of obtaining funding through a contract; and an unsolicited application is such an offer for an assistance instrument (grant or cooperative agreement). Advertising material, commercial product offerings, contributions, or technical correspondence will NOT be considered as unsolicited proposals. More specifically:
(b) "Advertising material" is material designed to demonstrate product or service capabilities, or to seek the Government's interest in buying such products.
(c) "Commercial product offerings" are offers of standard commercial products, usually sold in substantial quantities to the general public, which the offeror wishes to see introduced in the Government's supply system.
(d) "Contributions" are concepts, suggestions, or ideas presented to the Government for its use, with no indication of further effort or interest on the part of the offeror.
(e) "Technical correspondence" includes written inquiries concerning Government interest in research, pre-proposal/ application explorations, technical inquiries, and research descriptions.
- Characteristics of a Suitable Proposal or Application:
A valid unsolicited proposal or application must:
- Be innovative and unique;
- Be independently originated and developed by the offeror;
- Be prepared without U.S. Government supervision, endorsement, direction, or direct Government involvement;
- Include sufficient detail to permit a determination that USAID support could be worthwhile and the proposed work could benefit USAID's research and development or other responsibilities;
- Not be an advance proposal for a known USAID requirement that can or will be acquired by competitive methods;
Unsolicited proposals and applications should contain the following:
(a) Basic Information:
- Name and address of offeror;
- Type of organization;
- Names and telephone numbers of offeror personnel for USAID/Russia to contact;
- Names of other organizations receiving the proposal or application and/or funding the activity;
- Date of submission;
- Signature of authorized representative of the offeror, authorized to contractually obligate the offeror; and
- Identification of any proprietary data intended for evaluative purposes.
(b) Technical Information:
- Concise title and abstract of proposed effort;
- Reasonably complete discussion of the objectives, the method of approach and amount of effort to be employed, the anticipated results, how the work will help accomplish USAID's mission, and the proposal's consistency with USAID/Russia Strategic Objectives for development assistance to Russia;
- Names and brief biographical information on the offerors' key personnel who would be involved;
- Type of support the offeror requests from USAID, e.g. funds, facilities, equipment, materials, or personnel resources; and
- Contract or grant funding amount.
(c) Supporting Information:
- Proposed funding or total estimated cost;
- Cost estimate or budget for proposal sufficiently detailed by elements of costs for meaningful evaluation;
- Type of agreement contemplated (contract, grant, cooperative agreement, etc.);
- Period of time for which proposal or application is valid. (Note: unsolicited proposals should be submitted well in advance of the proposed start-up; a minimum of 6 months is recommended);
- Proposed duration of effort;
- Information regarding "cost-sharing," organizational conflicts of interest, impact on women, and environmental impacts;
- Letters of support as available;
- Brief description of offeror's previous work and experience, both functionally and geographically;
- Facilities to be utilized for the work; and
- The names and phone numbers of USAID technical or other personnel already contacted regarding the proposal.
- Determination of Contractor Responsibility
No agreement can be entered into with any person, firm, or institution unless the offeror is determined to be "responsible" under the following criteria:
- Adequate financial resources, or the ability to obtain the resources necessary for performance;
- Ability to meet the proposed time schedule;
- Satisfactory performance record;
- Satisfactory record of integrity and business ethics;
- Otherwise qualified by law or regulation to receive an award (e.g. compliance with EEO standards, etc.); and
- Overall management competence in planning and carrying out the proposed activities and evidence of offeror's accounting, record keeping, and overall financial management capability.
- Organizational Conflicts of Interest
USAID will not finance a project which would place USAID or the offeror in a conflict of interest situation. USAID's policies on organization conflicts of interest are established in SubPart 9.5 of the Federal Acquisition Regulations (FAR) (48 CFR Subpart 9.5).
- Cost Sharing
Prospective offerors may propose a cost sharing agreement. Such proposals and applications will be treated on a case-by-case basis, subject to the provisions of Federal Management Circular (FMC) 73-3.
- Submission and Evaluation of Proposals and Applications
- Unsolicited proposals and applications may be submitted directly to USAID/Russia. All review stages until the final letter to an offeror with information on USAID/Russia's decision in most cases take approximately one month.
- First, each proposal will undergo a preliminary examination to determine that it contains sufficient technical and cost information to permit meaningful evaluation. USAID/Russia may give the offeror the opportunity to provide any required missing data or information.
- In evaluating an unsolicited proposal or application, USAID/Russia will also consider the following:
- Unique, innovative, or proprietary methods, approaches, or ideas assembled;
- Overall merit of the proposed effort or activity;
- Potential contribution which the proposed effort may be expected to make to USAID's objectives and goals if pursued at this time;
- Capabilities (including financial planning and management capability), related experience (both technical and in the geographic region), facilities, or techniques of the offeror which are considered to be integral factors for achieving the objective(s) of the proposal;
- Qualifications, capabilities, and experience of the proposed investigator, leaders, or other offeror personnel;
- Clear definition of the region, oblast or geographic area where the project will be implemented;
- The realism of the proposed cost; and
- Sustainability and replicability of the project as well as complementarity to existing or planned programs in the region, oblast or geographic area.
- A favorable comprehensive evaluation of an unsolicited proposal is not, in itself, sufficient justification for negotiating on a noncompetitive basis with the offeror. Any unsolicited proposal may be rejected by USAID/Russia. If so, the offeror will be notified by a letter with the reasons for the rejection. USAID may not use any unique and innovative unsolicited proposal or application as the basis for, or as a portion of, negotiations with another party unless the original offeror is notified and agrees to the requested use.
- Decisions to proceed with the award of a noncompetitive contract on the basis of an unsolicited proposal shall be made in accordance with the requirements of Subpart 15.6 of the FAR (48 CFR Subpart 715.5). Decisions to proceed with the award of a noncompetitive grant or cooperative agreement on the basis of an unsolicited application shall be made in accordance with the requirements of USAID Automated Directives System (ADS) Chapter 303 - "Grants and Cooperative Agreements to Non-Governmental Organizations". If it is determined that the subject matter of any unsolicited proposal is acceptable for funding on a noncompetitive basis, the unsolicited proposal or application will serve as the basis for negotiation. USAID's contracting or grant officer may require, and request, additional supplemental information from the offeror, as necessary.
(revised November 2000)
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