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2020

Unsolicited Proposals Office

Maryland Procurement Office

GUIDANCE FOR THE PREPARATION 

AND SUBMISSION OF UNSOLICITED 

PROPOSALS
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TABLE OF CONTENTS

FORWARD..................................................................................................................................... 2

INTRODUCTION .......................................................................................................................... 3

DEFINITIONS................................................................................................................................ 3

RELATIONSHIP TO AWARD ..................................................................................................... 4

WHEN TO SUBMIT...................................................................................................................... 4

WHERE TO SUBMIT.................................................................................................................... 4

NUMBER OF COPIES................................................................................................................... 5

PROPOSAL CONTENTS .............................................................................................................. 5

LIMITED USE OF DATA STATEMENT................................................................................. 6

TRANSMITTAL LETTER ........................................................................................................ 7

ABSTRACT................................................................................................................................ 7

PROJECT DESCRIPTION......................................................................................................... 7

MANAGEMENT APPROACH ................................................................................................. 7

PERSONNEL ............................................................................................................................. 7

FACILITIES, EQUIPMENT, AND SUPPORT......................................................................... 8

PROPOSED COST..................................................................................................................... 8

SECURITY................................................................................................................................. 9

CURRENT PROJECTS.............................................................................................................. 9

SPECIAL MATTERS................................................................................................................. 9

LENGTH..................................................................................................................................... 9

JOINT PROPOSALS.................................................................................................................. 9

REVISIONS.................................................................................................................................. 10

EVALUATION PROCEDURES.................................................................................................. 10

TECHNICAL EVALUATION................................................................................................. 10

ACCEPTANCE ............................................................................................................................ 11

REJECTION ................................................................................................................................. 11

WITHDRAWAL........................................................................................................................... 12

INTERAGENCY COORDINATION .......................................................................................... 12

COMPETITION IN CONTRACTING ACT................................................................................ 12

OTHER POINTS OF CONTACT ................................................................................................ 12
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FORWARD

 Constantly changing requirements and mounting technological complexity continue to 

challenge the National Security Agency (NSA). In an effort to meet this challenge, NSA is 

continually exploring the marketplace for approaches that allow it to keep one step ahead. 

Therefore, the Agency encourages the submission of unique and innovative unsolicited 

proposals. While a number of mechanisms have been developed over the years to encourage 

participation in Agency research programs, this guidance focuses only on unsolicited proposals. 

Its purpose is to acquaint potential offerors with the specialized guidelines applicable to the 

preparation of unsolicited proposals.

 This guidance is essentially a plain English version of Federal and Department of Defense 

Acquisition Regulations requirements. It is for use by all types of potential offerors.
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INTRODUCTION

 The National Security Agency (NSA) encourages submission of unsolicited proposals in 

accordance with the policies and procedures set forth in Subpart 15.6 of the Federal Acquisition 

Regulation (FAR). The guidance contained in this document is based on Government-wide and 

DoD Regulations and applies to all unsolicited proposals regardless of the Agency program for 

which they are intended. It does not apply to solicited proposals or other formal requests for 

proposals that would result in contracts. In the case of an apparent conflict, the FAR shall take 

precedence over this guidance.

DEFINITIONS

 The FAR defines an "unsolicited proposal" as a written proposal for a new or innovative idea 

that is submitted to an agency on the initiative of the offeror for the purpose of obtaining a 

contract with the Government and is not provided in response to a request for proposals, Broad 

Agency Announcement, Small Business Innovation Research topic, Small Business Technology 

Transfer Research topic, Program Research and Development Announcement, or any other 

Government-initiated solicitation or program. It is important to note that a white paper submitted 

in response to a technical representative's verbal or written request and proposals for known 

requirements that can be acquired competitively or resemble a pending solicitation do not 

constitute an unsolicited proposal.

"ADVERTISING MATERIAL" means material designed to acquaint the Government with a 

prospective contractor's present products, services, or potential capabilities, or designed to 

stimulate the Government's interest in buying such products or services.

"COMMERCIAL ITEM OFFER" means an offer of a commercial item that the vendor wishes to 

see introduced in the Government's supply system as an alternate or a replacement for an existing 

supply item. This term does not include innovative or unique configurations or uses of 

commercial items that are being offered for further development and that may be submitted as an 

unsolicited proposal.

"CONTRIBUTION" means a concept, suggestion, or idea presented to the Government for its 

use with no indication that the source intends to devote any further effort to it on the 

Government's behalf.

"COORDINATING OFFICE" means a point of contact established within the agency to 

coordinate the receipt, evaluation, and disposition of unsolicited proposals.

“OFFEROR” means the person or entity submitting the unsolicited proposal for consideration by 

the Government.

"TECHNICAL CORRESPONDENCE" means written requests for information regarding 

Government interest in research areas, submission of research descriptions, pre-proposal 

explorations, and other written technical inquiries (technical correspondence does not request nor 

require agency funding).
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 The furnishing of advertising materials, commercial item offers, or contributions as defined 

above do not qualify as unsolicited proposals; further, routine correspondence on technical issues 

and proposals for known requirements that can be acquired competitively or resemble a pending 

solicitation do not qualify as unsolicited proposals. 

RELATIONSHIP TO AWARD

 If the Agency decides to acquire or fund an effort as the result of an unsolicited proposal, an 

NSA Contracting Officer (CO) will select the type of award instrument to be used, whether it be 

a contract, grant, cooperative agreement, or other type of agreement. NSA does not have separate 

"grant proposal" and "contract proposal" categories, so all unsolicited proposals shall be prepared 

in a similar fashion. The evaluation process, however, differs depending on the type of award

instrument selected.

 Grants and cooperative agreements are generally used to fund basic research in educational 

and nonprofit institutions, while other types of efforts in both educational and other private 

sector organizations are acquired under various contract types. Additional information particular

to the contractual process (certifications, price/cost information, facilities, etc.) will be requested 

by the CO, as necessary, as the procurement progresses.

WHEN TO SUBMIT

 There are no specific dates for the submission of unsolicited proposals, however there is 

normally greater funding flexibility and availability during the early months of a fiscal year. The 

Fiscal Year begins October 1st. However, all unsolicited proposals should be submitted a 

minimum of 6-9 months in advance of the desired start date.

WHERE TO SUBMIT

 Proposal handling is centralized in the "coordinating office" to provide the shortest and 

quickest route between the offeror and the evaluating offices, which include both technical and 

economic evaluations.
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 All unsolicited proposals shall be submitted to:

National Security Agency

Attn.: Unsolicited Proposals

9800 Savage Road, Suite 6168

Ft. George G. Meade, MD 20755-6168

 Official copies submitted to addresses, other than the one listed above, may suffer delays in 

evaluation and may not be reviewed as formal submission to the Agency. All formally received

proposals will be acknowledged.

 Informational copies may be forwarded to interested individuals within the Agency, although 

this is not recommended. However, if this is done, their names and organization should be 

mentioned in the letter of transmittal to the coordinating office.

NUMBER OF COPIES

 Two (2) signed copies of unsolicited proposals must be submitted to the coordinating office 

listed above in hardcopy format. No electronic media (CDs, DVDs, thumb drives, etc.) will be 

accepted; any electronic media will not be reviewed by the Agency and will be destroyed. 

PROPOSAL CONTENTS

 NSA does not have any prescribed forms or formats for the preparation of unsolicited 

proposals; however, it is advisable that proposals conform to the procedural and submission 

guidelines covered within this document. Contact with Agency technical personnel prior to 

proposal submission is permissible and is encouraged to determine if the preparation of a formal 

submission is warranted. Such discussions, confined to the limited objectives of conveying to the 

potential offeror an understanding of the Agency’s mission and needs relative to the type of 

effort contemplated, do not jeopardize the unsolicited status of any subsequently submitted 

proposal. It is advisable for the offeror to cite the individual's name and technical organization 

contacted in a conspicuous area of the proposal, such as the Transmittal Letter.

 In order to be considered as a valid unsolicited proposal for formal Agency evaluation, a 

submission must: be submitted in hardcopy format (no electronic media); be innovative and 

unique; be independently originated and developed by the offeror; be prepared without 

Government supervision; not be an advance proposal for a known Agency requirement that 

can/will be acquired by competitive methods, or duplicate a current or pending formal NSA 

solicitation. It must include sufficient detail to permit a determination that Government support 

could be worthwhile and the proposed work could benefit the Agency's research and 

development or other mission responsibilities. It must not, for instance, merely offer to perform 

standard services or provide computer facilities or services. 
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If a submission does not meet these conditions, a comprehensive evaluation will not be 

made and the document will be considered and handled as technical correspondence (see 

"DEFINITIONS"), or destroyed. Correspondence of this nature is handled directly between the 

interested individual or organization and the appropriate Agency office or employee. The 

Agency does not have a "preliminary" or "informal" proposal category; hence inquiries or 

exploratory discussion prior to submission of a complete unsolicited proposal are handled as 

technical correspondence. This approach is to the offeror's advantage, as experience has 

demonstrated that abbreviated submissions rarely contain sufficient information to adequately 

communicate the potential merits of a contemplated project.

 Unsigned "advance copies" may also be treated as technical correspondence or held in 

suspense, pending receipt of a properly endorsed proposal. For minor omissions, NSA may elect 

to request revised or additional material from the offeror, but this may lead to delay in initiating 

evaluation.

 Proposals that vary widely from these guidelines may suffer unnecessarily long delays in 

evaluation and confuse the reviewers. Proposals in areas clearly beyond the Agency's mission 

and, for which there is no possibility of funding, need not be accepted for formal evaluation and 

the offeror will be so notified.

LIMITED USE OF DATA STATEMENT

 An unsolicited proposal may include data that the offeror does not want disclosed for any 

purpose other than evaluation. If the offeror wishes to restrict the proposal, the title page must be 

marked with the following legend:

Use and Disclosure of Data

 This proposal includes data that shall not be disclosed outside the Government 

and shall not be duplicated, used or disclosed -- in whole or in part -- for any 

purpose other than to evaluate this proposal. However, if a contract is awarded to 

this offeror as a result of -- or in connection with -- the submission of these data, 

the Government shall have the right to duplicate, use, or disclose the data to the 

extent provided in the resulting contract. This restriction does not limit the 

Government's right to use information contained in these data if they are obtained 

from another source without restriction. The data subject to this restriction are 

contained in Sheets {insert numbers or other identification of sheets}.

 The offeror shall also mark each sheet of data it wishes to restrict with the following legend: 

"Use or disclosure of data contained on this sheet is subject to the restriction on the title page of 

this Proposal."
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TRANSMITTAL LETTER

• The legal name and address of the organization and specific division or campus 

identification, if part of a larger organization;

• Type of organization: e.g., profit, nonprofit, educational, Historically Black College or 

University, Minority Institution, small business, small disadvantaged, small womanowned, etc.

• Name and telephone number of the technical and business personnel who may be 

contacted during evaluation or negotiation;

• Identification of proprietary data to be used only for evaluation purposes;

• Names of other Federal, State, or local agencies or parties receiving the proposal or 

funding the proposal effort;

• Date of submission;

• Period of time for which the proposal is valid (a 6 month minimum is suggested)

• Signature of person authorized to represent and contractually obligate your organization 

(unless the signature appears on the proposal itself)

ABSTRACT

 Include a concise (200-300 word) abstract describing the objective of the proposed effort and 

the method of approach.

PROJECT DESCRIPTION

 The main body of the unsolicited proposal should be a detailed statement of the work to be 

undertaken and should include: the significance of the proposed work, a statement of the 

objectives and the expected outcome; relation to the present state of knowledge in the field; and 

relation to previous work done on the project and to related work in progress elsewhere. The 

statement should outline the general plan of work, including the broad design of experiments to 

be undertaken and an adequate description of experimental methods and procedures.

 When it is expected that the effort will require more than one year for completion, the 

proposal should cover the complete project to the extent that it can be reasonably anticipated. 

Principal emphasis should, of course, be on the first year of work, and the description should 

distinguish clearly between the first year's work and the work planned for subsequent years.

MANAGEMENT APPROACH

 For large or complex efforts involving interactions among numerous individuals or 

organizations, plans for distribution of responsibilities and any necessary arrangements for 

ensuring a coordinated effort should be described.

PERSONNEL

 

 Technical personnel are responsible for direct supervision of the work and participate in the 

execution of the research regardless of whether compensation is received under any award.
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 A short biographical sketch of the offeror’s key personnel shall be provided and should list 

their principal publications and any exceptional qualifications. A statement of U.S. Citizenship 

or resident alien status for each individual should be included in this section. Omit any personal 

items that would not merit consideration in evaluation of the proposal. Similar biographical 

information should be given on other senior professional personnel who will be directly 

associated with the project. In addition, the names and titles of any other scientists and technical 

personnel closely associated with the project in an advisory capacity should be provided. 

Universities should list any special industry-university cooperative arrangements that will 

enhance the project and the approximate number of students or other assistants to be involved in 

the project. Universities should also provide information regarding the level of academic 

attainment for all students, assistants, and/or staff involved in the project.

 It should be noted that non-U.S. Citizenship and/or an individual's resident alien status may 

result in the individual being found ineligible to work on the project.

FACILITIES, EQUIPMENT, AND SUPPORT

 The offeror shall describe any available facilities and/or major items of equipment especially 

adapted or suited to the proposed project, as well as any additional major equipment or 

infrastructure that will be required. Identify any Government-owned facilities, industrial plant 

equipment or special tooling which needs to be used on the project. The need for items that are 

typically used for both research and non-research purposes should be explained.

Before requesting a major item of capital equipment, the offeror should determine if sharing or 

loan of equipment already within the organization is a plausible alternative to purchase. The 

proposal should state whether or not those alternative arrangements can be made.

If the offeror will need assistance from Agency personnel to execute the components of the 

proposal the amount, nature, and duration of support needed. 

PROPOSED COST

 All proposals shall contain cost and technical parts in one volume. As applicable, include 

separate cost estimates for salaries and wages; fringe benefits; equipment; expendable materials 

and supplies; services; domestic and foreign travel; automated data processing expenses; 

publication or page charges; consultants; subcontracts; other miscellaneous identifiable direct 

and indirect costs. Salaries and wages should be listed in appropriate organizational categories, 

e.g. principal investigator, other scientific and engineering professional, graduate research 

assistants, and technicians and other non-professional personnel. Estimate all manpower data in 

terms of man-hours.

 Explanatory notes should accompany the cost proposal to provide: identification and 

estimated cost of major capital equipment items to be acquired; purpose, estimated number, and 

lengths of trips planned; basis for indirect cost computation, including date of most recent 
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negotiation and cognizant agency; and clarification of other items in the cost proposal that are 

not self-evident. Allowable costs are governed by FAR Part 31, 2 CFR, part 220 (formerly OMB 

Circular A-21) for educational institutions, and 2 CFR, part 230 (formerly OMB Circular A-122)

for nonprofit organizations.

Offerors should also include the type of contract preferred. More information on types of 

contracts available can be found at FAR Part 16.

SECURITY

 The offeror shall be required to comply with all applicable Agency security requirements 

(security clearances, etc.) and regulations if the proposed research requires access to or will 

result in the generation of classified information.

CURRENT PROJECTS

 Provide the title of the project, sponsoring agency, and completion date of all other current 

Projects being conducted by the proposed principal investigator.

SPECIAL MATTERS

 Include any required statement of environmental impact of the research, conflict of interest, or 

such other topics as may be required by the nature of the effort or by current statutes, executive 

orders, or other current Government-wide guidelines.

 Offerors other than educational institutions should include a brief description of the 

organization, its facilities, and previous work experience in the field of the proposal.

 Identify the cognizant Government audit agency and inspection agency, when applicable.

LENGTH

 There is no specific length requirement for proposals; however, every effort should be made 

to keep them concise and focused on substantive material essential for a complete understanding 

of the project. Any necessary detailed information, such as reprints, should be included as 

attachments rather than in the main body of the proposal. A complete set of attachments is 

necessary for each copy of the proposal. Avoid the use or inclusion of "one-of-a-kind" 

attachments; instead, their availability should be mentioned in the proposal.

JOINT PROPOSALS

 Some projects involve joint efforts among individuals in different educational institutions or 

organizations. The proposal may be submitted by one party in such cases; however, the proposal 

should clearly describe the role to be played by each organization as well as the legal and 

managerial arrangements contemplated.
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 Alternatively, the cooperating parties may prefer simultaneous submission of related 

proposals from each organization, in which case parallel awards would be made.

 Where a project of a cooperative nature with the Agency is contemplated, the proposal should 

describe the contributions expected from any participating Agency employee and Agency 

facilities or equipment that may be required. However, the proposal must be confined to only 

material that the proposing organization can commit itself. "Joint" proposals that attempt to 

specify the internal arrangements the Agency will actually make are not an acceptable means of 

establishing an Agency commitment.

REVISIONS

 Unsolicited proposals may be revised in the absence of any specific request resulting from the 

evaluation process. If the offeror wishes to submit additional material or a complete revision, it 

should be mailed to the same address as the original unsolicited proposal.

 It should be noted that submission of duplicative or overlapping proposals or revisions may 

delay the evaluation. It is important to clearly identify the original proposal by title, date of 

submission, to whom the proposal was submitted, and, if applicable, by the NSA serial number 

from the acknowledgment letter, and to explain the relationship between any new material and 

the previous submission.

EVALUATION PROCEDURES

 An unsolicited proposal sent to the address above will be undergo an initial review by the 

coordinating office to ensure that the proposal meets all the criteria established in FAR Subpart 

15.6. If the unsolicited proposal is found to meet all of the specified criteria, it will then be sent 

to the technical organization within the Agency that is determined to be the office of primary 

interest in the proposed discipline area. That organization will review the proposal and make a 

decision whether or not to accept the unsolicited proposal as qualified under this program. 

If accepted, the offeror will be notified in writing; however, only if there is interest and 

funding available, either current year or potential future year funding, will further contact be 

made by a CO. Should a favorable decision to move forward with the proposal be made and

funds have been made available, the proposal will be processed through the normal agency 

procurement process and be subject to all applicable reviews and approvals required by the FAR 

and DFARS. The timeline for contract award could vary depending on the complexity and dollar 

amount of the procurement.

TECHNICAL EVALUATION

 Comprehensive technical evaluations of unsolicited proposals will consider all the factors 

identified at FAR 15.606-2.

 The principal elements considered in evaluating a proposal are its technical and programmatic 

relevance to Agency objectives and intrinsic scientific or engineering merit, in addition to the 
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qualifications of the investigator and the investigator's institution, and the overall cost (exclusive 

of the amount of cost sharing, if any).

 Several evaluation techniques are regularly used within the Agency. Regardless of the 

technique, proposals are reviewed by technical personnel knowledgeable in the proposed area of 

discipline. Technical proposals are reviewed entirely in-house. Cost proposals are reviewed 

using the combined efforts of in-house economic personnel and the Defense Contract Audit 

Agency, if applicable. For educational institutions, the local or regional Office of Naval Research 

and/or the Department of Health and Human Services will perform rate reviews and provide 

information on any existing rate agreements. The final decisions are always made by Agency 

employees. If, during proposal evaluation, additional information is requested, it should be 

forwarded through the coordinating office.

NOTE: Universities should make sure that their rates are on file with the local or regional Office 

of Naval Research and/or the Department of Health and Human Services.

ACCEPTANCE

 When an unsolicited proposal is accepted, the negotiation and award will be made by a NSA 

Contracting Officer. The unsolicited proposal is used as a basis for negotiation with the original 

offeror. Additional information (ex: certifications or cost and pricing data) will be required as the 

negotiations evolve. NSA does not allow a proposal or any of the unique ideas in it to be used as 

a basis of a solicitation or negotiation with other organizations. For purposes of clarity and to 

ensure a full and complete understanding of the requirement, the government may develop a 

statement of work or purchase description to include any documentation requirements. The intent 

is not to change the proposal, but rather to align it with a particular need. Nonetheless, the offeror 

would have the opportunity to make any necessary minor revisions to the proposal.

 An unsolicited proposal that results in an award becomes a part of that award document and 

may be available to the public upon specific request (i.e., Freedom of Information Act requests); 

however, information or material will be held in confidence to the extent permitted by law, 

including the Freedom of Information Act.

REJECTION

 The bulk of rejections are the result of the Agency's current or projected mission goals or nonavailability of funds. NSA will retain a single record copy of a proposal that does not result in an 

award will be retained for three months, unless the circumstances described in FAR 15.609(c) 

apply, all other copies of the proposal will be promptly destroyed. Notification letters are 

addressed to the individual who made the official submission and will cite the reason(s) for 

rejection. Any request for further information on the technical aspects of evaluations should be 

directed to the coordinating office.
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WITHDRAWAL

 Requests for the withdrawal of an unsolicited proposal may be done at any time and should be 

sent to the NSA coordinating office identified above.

INTERAGENCY COORDINATION

 NSA does not transfer formal submissions to, or accept similar submissions from, other 

agencies without the written consent of the offeror, except as they relate to an interagency 

funding arrangements.

COMPETITION IN CONTRACTING ACT

 A favorable comprehensive evaluation of an unsolicited proposal does not, in itself, justify 

awarding a contract without providing for full and open competition. The Competition in 

Contracting Act (CICA) promotes "full and open competition" by requiring (with certain

exceptions) that all responsible sources be permitted to compete for contracts. However, a 

contract based on an unsolicited proposal may be awarded without providing for full and open 

competition if the Contracting Officer determines it satisfies the requirements of FAR 6.3.

OTHER POINTS OF CONTACT

 In the event that an entity wishes to explore a potential business relationship that does not fall 

under the unsolicited proposal provisions of this document, or if there is interest in arranging a 

company capabilities briefing for Agency personnel, business opportunities information can be 

obtained on the Internet at http://www.nsa.gov/business/.