FAR 35.007—Solicitations.
Plain-English Summary
FAR 35.007 explains how contracting officers should solicit research and development (R&D) requirements so the Government gets qualified, competitive, and well-understood proposals without wasting industry or Government resources. It covers initial distribution of solicitations to technically qualified sources, use of synopses and other publicizing methods, limiting the number of initial recipients when necessary, and furnishing solicitations to other apparently qualified sources in the interest of competition. It also addresses what R&D solicitations should require from offerors: descriptions of technical and management approach, identification and resolution of technical uncertainties, and disclosure of planned subcontracting of scientific or technical work. The section further covers proposal organization for efficient technical evaluation, evaluation factors for technical competence and other relevant criteria, treatment of cost/price, preproposal communication and conferences, permission to propose alternative contract types, discussions of independently developed ideas or products, and exploratory requests that do not create any Government obligation. In practice, this section is about targeting the right sources, asking the right questions, and structuring the solicitation so technical merit can be evaluated fairly and efficiently while preserving competition and avoiding unintended commitments.
Key Rules
Target qualified sources first
Contracting officers should initially send R&D solicitations only to sources that are technically qualified in the specific field involved. Cognizant technical personnel should help identify likely qualified sources based on past performance, reputation, standing in the field, capability to obtain and retain needed expertise and facilities, and other relevant factors.
Use competition where practicable
Proposals should generally be solicited from technically qualified sources, including those identified through synopses or other publicizing methods. If it is not practical to solicit every apparently qualified source at the outset, the contracting officer may limit the initial group to a reasonable number but should furnish the solicitation to other apparently qualified sources to support competition.
Require technical detail in proposals
R&D solicitations must require offerors to explain their technical and management approach, identify technical uncertainties, and propose how those uncertainties will be resolved. The solicitation should also require disclosure of any planned subcontracting of scientific or technical work.
Organize proposals for efficient review
Solicitations may require proposals to be organized so technical portions can be evaluated efficiently by technical personnel. Planning the solicitation and evaluation process should minimize expense for both offerors and the Government.
Use R&D-specific evaluation factors
R&D solicitations should include evaluation factors aimed at identifying the most technically competent offeror, such as understanding of the work, quality of the proposed approach or ideas, availability and competence of technical personnel, experience, novel ideas, and access to needed facilities.
Consider nontechnical factors and price
In addition to technical competence, the contracting officer should consider management capability, cost management techniques, experience and past performance, subcontracting practices, and other significant criteria such as unrealistically low cost estimates. Cost or price is usually not controlling in R&D, but it must still be considered to reach a fair and reasonable result.
Clarify the work before proposals
The contracting officer should make sure potential offerors understand the details of the work and the Government’s interpretation of the work statement. For complex efforts, offerors should be given an opportunity to comment on the work statement, contract schedule, and related specifications, often through a preproposal conference.
Allow alternative contract types when appropriate
If suitable for the requirement, the solicitation may permit offerors to propose an alternative contract type. This gives the Government flexibility to consider different contracting approaches when they better fit the R&D effort.
Handle independent ideas carefully
If a concern wants to discuss a new idea or product based on privately funded independent R&D and of interest to the Government, the Government may discuss it but should warn that the discussion does not create any obligation. In some cases, direct negotiation without competition may be appropriate, and unsolicited proposal rules may also apply.
Use exploratory requests without commitment
The Government may issue an exploratory request to learn whether ideas or prior work exist in a specific research field. Any such request must clearly state that it does not obligate the Government or indicate a firm intention to award a contract.
Responsibilities
Contracting Officer
Identify and solicit technically qualified sources, manage the size of the initial solicitation list, ensure other apparently qualified sources receive the solicitation when appropriate, structure the solicitation to require technical and management detail, select evaluation factors, consider nontechnical criteria and price appropriately, clarify the work to offerors, decide whether to allow alternative contract types, and ensure exploratory requests disclaim any obligation.
Cognizant Technical Personnel
Recommend potential sources that appear technically qualified based on relevant experience, reputation, capability, and other factors, and help the contracting officer focus solicitation distribution on sources most likely to perform the R&D successfully.
Offerors
Provide proposals that describe the technical and management approach, identify technical uncertainties, explain how those uncertainties will be resolved, disclose planned subcontracting of scientific or technical work, and respond to the solicitation in the format and level of detail required for efficient evaluation.
Government Program/Technical Staff
Help explain the work statement and technical requirements to potential offerors, participate in preproposal conferences or other clarification efforts, and support evaluation of technical competence and related factors.
Agency/Government
Publicize requirements through synopses or other means as appropriate, preserve competition among apparently qualified sources, and avoid creating unintended contractual obligations during exploratory market or idea-gathering contacts.
Practical Implications
This section is meant to reduce wasted effort by steering R&D solicitations toward sources that are actually capable of doing the work, rather than broadcasting broadly to firms with little chance of success.
A common pitfall is overemphasizing price in an R&D procurement; the rule is to focus on technical competence first, while still considering cost or price enough to ensure the result is fair and reasonable.
Another frequent issue is vague solicitations. If the work statement, technical uncertainties, or Government expectations are not clear, proposals may be hard to compare and offerors may price or propose the wrong solution.
Contracting officers should be careful when discussing new ideas, independent R&D, or exploratory requests: these conversations can be useful, but they must be framed so the Government does not accidentally imply a commitment or promise of award.
For complex R&D buys, preproposal conferences and well-structured proposal instructions can save time on both sides by reducing misunderstandings and making technical evaluation more efficient.
Official Regulatory Text
(a) The submission and subsequent evaluation of an inordinate number of R&D proposals from sources lacking appropriate qualifications is costly and time-consuming to both industry and the Government. Therefore, contracting officers should initially distribute solicitations only to sources technically qualified to perform research or development in the specific field of science or technology involved. Cognizant technical personnel should recommend potential sources that appear qualified, as a result of- (1) Present and past performance of similar work; (2) Professional stature and reputation; (3) Relative position in a particular field of endeavor; (4) Ability to acquire and retain the professional and technical capability, including facilities, required to perform the work; and (5) Other relevant factors. (b) Proposals generally shall be solicited from technically qualified sources, including sources that become known as a result of synopses or other means of publicizing requirements. If it is not practicable to initially solicit all apparently qualified sources, only a reasonable number need be solicited. In the interest of competition, contracting officers shall furnish copies of the solicitation to other apparently qualified sources. (c) Solicitations shall require offerors to describe their technical and management approach, identify technical uncertainties, and make specific proposals for the resolution of any uncertainties. The solicitation should require offerors to include in the proposal any planned subcontracting of scientific or technical work (see 35.009 ). (d) Solicitations may require that proposals be organized so that the technical portions can be efficiently evaluated by technical personnel (see 15.204-5 (b)). Solicitation and evaluation of proposals should be planned to minimize offerors’ and Government expense. (e) R&D solicitations should contain evaluation factors to be used to determine the most technically competent (see 15.304 ), such as- (1) The offeror’s understanding of the scope of the work; (2) The approach proposed to accomplish the scientific and technical objectives of the contract or the merit of the ideas or concepts proposed; (3) The availability and competence of experienced engineering, scientific, or other technical personnel; (4) The offeror’s experience; (5) Pertinent novel ideas in the specific branch of science and technology involved; and (6) The availability, from any source, of necessary research, test, laboratory, or shop facilities. (f) In addition to evaluation factors for technical competence, the contracting officer shall consider, as appropriate, management capability (including cost management techniques), experience and past performance, subcontracting practices, and any other significant evaluation criteria ( e.g., unrealistically low cost estimates in proposals for cost-reimbursement or fixed-price incentive contracts). Although cost or price is not normally the controlling factor in selecting a contractor to perform R&D, it should not be disregarded in arriving at a selection that best satisfies the Government’s requirement at a fair and reasonable cost. (g) The contracting officer should ensure that potential offerors fully understand the details of the work, especially the Government interpretation of the work statement. If the effort is complex, the contracting officer should provide potential offerors an opportunity to comment on the details of the requirements as contained in the work statement, the contract Schedule, and any related specifications. This may be done at a preproposal conference (see 15.201 ). (h) If it is appropriate to do so, solicitations should permit offerors to propose an alternative contract type (see 16.103 ). (i) In circumstances when a concern has a new idea or product to discuss that incorporates the results of independent R&D work funded by the concern in the private sector and is of interest to the Government, there should be no hesitancy to discuss it; however, the concern should be warned that the Government will not be obligated by the discussion. Under such circumstances, it may be appropriate to negotiate directly with the concern without competition. Also, see subpart 15.6 concerning unsolicited proposals. (j) The Government may issue an exploratory request to determine the existence of ideas or prior work in a specific field of research. Any such request shall clearly state that it does not impose any obligation on the Government or signify a firm intention to enter into a contract.