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DFARS CHANGE NOTICE 20000627
DEPARTMENT OF DEFENSE
48 CFR Parts 204 and 253
[DFARS Case 2000-D001]
Defense Federal Acquisition Regulation Supplement; Reporting Requirements Update
AGENCY: Department of Defense (DoD).
ACTION: Final rule.
SUMMARY: The Director of Defense Procurement has issued a final rule amending the Defense Federal Acquisition Regulation Supplement (DFARS) to provide DoD contract action reporting requirements for fiscal year 2001. The rule makes changes to the individual contracting action
report and the monthly summary of contracting actions.
EFFECTIVE DATE: October 1, 2000.
FOR FURTHER INFORMATION CONTACT: Ms. Michele Peterson, Defense Acquisition Regulations Council, OUSD(AT&L)DP(DAR), IMD 3D139, 3062 Defense Pentagon, Washington, DC 20301-3062. Telephone (703) 602-0311; telefax (703) 602-0350. Please cite DFARS Case 2000-D001.
SUPPLEMENTARY INFORMATION:
A. Background
This final rule contains fiscal year 2001 requirements for completion of DD Form 350, Individual Contracting Action Report, and DD Form 1057, Monthly Summary of Contracting Actions. DoD uses these forms to collect statistical data on its contracting actions. This rule
contains reporting changes related to bundled contracts, North American Industry Classification System codes, performance-based service contracts, multiple award contracts, and veteran-owned small business concerns.
DD Forms 350 and 1057, and other forms prescribed by the DFARS, are not included in the Code of Federal Regulations. The forms are available electronically via the Internet at http://web1.whs.osd.mil/ icdhome/forms.htm.
This rule was not subject to Office of Management and Budget review under Executive Order 12866, dated September 30, 1993.
B. Regulatory Flexibility Act
This final rule does not constitute a significant revision within the meaning of FAR 1.501 and Public Law 98-577 and publication for public comment is not required. However, DoD will consider comments from small entities concerning the affected DFARS subparts in accordance with 5 U.S.C. 610. Such comments should cite DFARS Case 2000-D001.
C. Paperwork Reduction Act
The Paperwork Reduction Act does not apply because the rule does not impose any information collection requirements that require the approval of the Office of Management and Budget under 44 U.S.C. 3501, et seq.
List of Subjects in 48 CFR Parts 204 and 253
Government procurement: Michele P. Peterson, Executive Editor, Defense Acquisition Regulations Council.
Therefore, 48 CFR Parts 204 and 253 are amended as follows:
Reporting Requirements Update
DFARS Case 2000-D001
Final Rule
PART 204-ADMINISTRATIVE MATTERS
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SUBPART 204.6--CONTRACT REPORTING
204.600 Scope of subpart.
The Defense Contract Action Data System (DCADS) (see 204.670) is the DoD reporting system which [that] supports the uniform reporting requirements for-
(1) DD Form 350, Individual Contracting Action Report; and
(2) DD Form 1057, Monthly Summary of [Contracting] Actions $25,000 or Less.
204.601 Record requirements.
(a) The DCADS meets these [FAR Subpart 4.6] record retention requirements.
(d) The Directorate for Information, Operation, and Reports (DIOR), of the Washington Headquarters Services (WHS) transmits required DoD information to the Federal Procurement Data System.
204.602 Federal Procurement Data System.
(c) DoD uses the DD Form 350, Individual Contracting Action Report, in lieu [instead] of the SF 279, Federal Procurement Data System (FPDS) Individual Contract Action Report. DoD uses the DD Form 1057, Monthly Contracting Summary of [Contracting] Actions $25,000 or Less, in lieu [instead] of the SF 281, FPDS Summary Contract Action Report ($25,000 or Less).
* * * * *
204.670 Defense Contract Action Data System (DCADS).
204.670-1 Definitions.
As used in this section and 253.204-70 and 253.204-71-
* * * * *
(b) "Contracting action" means any written action obligating or deobligating funds in connection with the purchasing, renting, or leasing of supplies, services, or construction. The term does not include grants or cooperative agreements. The term includes, but is not limited to[, the following:]/
(1) Definitive contracts, including notices of award;[.]
(2) Letter contracts;[.]
(3) Purchase orders;[.]
[(4) Purchases made using the Governmentwide commercial purchase card.
(5) Actions for purchase of land or rental or lease of real property.]
(4)[(6)] Orders under existing contracts or agreements, e.g.-
(i) Orders against basic ordering agreements, including service orders issued on DD Form 1164, Service Order for Personal Property, by installation transportation offices;
(ii) Calls against blanket purchase agreements;
(iii) Job orders;
(iv) Task orders;
(v) Delivery orders;
(vi) Communication services authorizations; and
(vii) Notices of termination or cancellation.
(5)[(7)] Contract modifications, e.g.-
(i) Change orders;
(ii) Supplemental agreements;
(iii) Funding actions; and
(iv) Option exercises.
(c) "Departmental data collection points" are [means]-
(1) For the Army (including Corps of Engineers Civil Works):
U.S. Army Contracting Support Agency [Department of the Army]
ATTN: SFAE-CSA-PPS [SAAL-PA]
5109 Leesburg Pike, Suite 916 [302]
Falls Church, VA 22041-3201
(2) For the Navy:
(3) For the Air Force:
SAF/AQCI
1060 Air Force Pentagon
Washington, DC 20330-1060
(4) For the Defense Logistics Agency:
Headquarters, Defense Logistics Agency
ATTN: Procurement Management Directorate
(Acquisition Programs Team)
8725 John J. Kingman Road, Suite 3147
Fort Belvoir, VA 22060-6221
(5) For other DoD contracting activities:
* * * * *
204.670-2 Reportable contracting actions.
(a) Except as provided in paragraph (c) of this subsection, complete a DD Form 350 for the following types of contracting actions in accordance with the instructions in 253.204-70:
(1) Actions that obligate or deobligate more than
$25,000, including actions executed by DoD for purchase of land, or rental or lease of real property, and excluding [except] actions summarized on DD Form 1057 in accordance with paragraph (b)(2) of this subsection.
[(2) Actions that obligate or deobligate $25,000 or less and are-
(i) Under a very small business set-aside (see FAR Subpart 19.9);
(iii)](2) Actions that obligate or deobligate $25,000 or less and are i[I]n a designated industry group under the Small Business Competitiveness Demonstration Program (see FAR Subpart 19.10) or are under a very small business set-aside (see FAR Subpart 19.9), except for-
(i) Actions of $500 or less;
(ii)[(A)] Foreign military sales;
(iii)[(B)] Orders or modifications under Federal schedules;
(iv)[(C)] Actions with government agencies;
(v)[(D)] Actions with non-U.S. business firms; and
(vi)[(E)] Actions where the place of performance is other than the United States and its outlying areas.
(b) Except as provided in paragraph (c) of this subsection, summarize the following types of contracting actions on the monthly DD Form 1057 in accordance with the instructions in 253.204-71:
(1) Actions that obligate or deobligate $25,000 or less, except actions reported on DD Form 350 in accordance with paragraph (a)(2) of this subsection.
(2) Actions that obligate or deobligate more than $25,000, but not more than $200,000, and support-
(i) A contingency operation as defined in 10 U.S.C. 101(a)(13); or
(ii) A humanitarian or peacekeeping operation as defined in 10 U.S.C. 2302(7[8]).
(c) Do not report the following types of contracting actions on either the DD Form 350 or DD Form 1057:
(1) Imprest fund transactions, SF 44 purchases, and micro-purchases obtained through use of the Governmentwide commercial purchase card.
(2) Transactions that cite only nonappropriated funds (Treat funds held in trust accounts for foreign governments as appropriated funds).
(3) Transactions for purchase of land, or rental or lease of real property, when the General Services Administration (GSA) executes the contracting action.
(4) Orders from GSA stock and the GSA Consolidated Purchase Program.
(5) Transactions that involve Government bills of lading or transportation requests, except orders placed under Regional Storage Management Office basic ordering agreements.
(6) Requisitions transferring supplies within or among the departments or agencies.
(7) Pursuant to 204.670-6(b), orders placed by other contracting activities against indefinite-delivery contracts awarded by the-
(i) Military Sealift Command;
(ii) Defense Energy Support Center for petroleum and petroleum products; or
(iii) Defense Supply Center, Richmond, for petroleum products.
204.670-3 Contracting office responsibilities.
(a) For DD Form 350, contracting offices-
(1) Prepare the appropriate type of DD Form 350 (see 204.670-6), in accordance with the instructions in 253.204-70, on [for] all reportable contracting actions (see 204.670-2(a)), including actions accomplished by contract administration offices on behalf of the contracting office.
(2) Complete the DD Form 350 in the required format within three working days after the date on which the dollars were actually [when funds are] obligated or deobligated (see 204.670-7).
[For actions accomplished by a contract administration office, complete the DD Form 350 upon receipt of the contractual instrument annotated "DD FORM 350 REPORTING COPY."]
[(3)] Submit all contracting actions [DD Forms 350] for the calendar month to the departmental data collection point (see 204.670-1(c)) in accordance with departmental/ [or] agency procedures[.] , except-
(i) For Defense Energy Support Center major petroleum acquisitions that result in multiple awards, the due date is ten working days when permitted by the departmental data collection point;
(ii) For actions executed in the month of September, due dates may be extended ten calendar days when permitted by the departmental data collection point; and
(iii) For actions accomplished by a contract administration office, the due date is three working days after the receipt of the contractual instrument annotated "DD FORM 350 REPORTING COPY."
(3[4]) Prepare and submit a corrected or cancelling DD Form 350 as required in accordance with departmental data collection point instructions.
(4[5]) Establish a control system for assigning report numbers to DD Forms 350 (Block [Line] A2 of the DD Form 350). The number shall [must] have four [six] positions and may be any combination of alpha or numeric characters. If more than one activity within a contracting office utilizes [uses] the same reporting office code, the contracting office shall [must] assign separate blocks of numbers to each activity in order to prevent duplication of report numbers.
(5[6]) Maintain a copy of the DD Form 350 in the contract file [in any medium], in accordance with departmental/ [or] agency procedures.
(b) For DD Form 1057, contracting offices-
(1) Prepare a DD Form 1057, in accordance with the instructions in 253.204-71, covering reportable contracting actions (see 204.670-2(b)), including actions accomplished by contract administration offices on behalf of the contracting office. An installation, base, or other activity may have more than one contracting office code to separate the various types of acquisitions, such as base and central contracting, or RDT&E and non-RDT&E acquisition. Each contracting office with a separate code must submit its own DD Form 1057.
(2) Complete the DD Form 1057 in the required format within three working days after the cutoff of the reporting month (see 204.670-7 for alternate formats). Contracting offices are authorized to [may not] cut off the reporting month no earlier than [before] the 25th calendar day. For September only, the cutoff date shall not be later than [The cutoff date for September is] September 30. Submit the DD Form 1057 to the departmental data collection point in accordance with departmental/ [or] agency procedures.
(3) Unless otherwise instructed by the departmental data collection point, do not submit revised DD Form 1057 reports. Include any required corrections or adjustments in following month's report.
204.670-4 Contract administration office responsibilities.
Contract administration offices executing actions subject to DD Form 350 or DD Form 1057 reporting must submit an annotated copy of the contractual instrument to the contracting office so that the contracting office can submit the required report.
(a) For DD Form 350, annotate in the heading of the contractual instrument in large block letters "DD FORM 350 REPORTING COPY." Send the annotated copy to the contracting office within one working day after the action date.
(b) For DD Form 1057, annotate in the heading of the contractual instrument in large block letters "DD FORM 1057 REPORTING COPY." Send the annotated copy with the normal distribution.
204.670-5 Departmental data collection point responsibilities.
Departmental data collection points-
(a) Collect DD Forms 350 and 1057 data provided by their contracting activities;
(b) Electronically record the data in accordance with the instructions for recording and editing developed by WHS-DIOR with the majority agreement of the departments/ [and] agencies and prescribed by the Director of Defense Procurement; and
(c) Submit monthly reports (noncumulative) to Washington Headquarters Services, ATTN: DIOR, within 18 days after the close of the reporting period, except the due date for September may be extended for no more than ten days. Report control symbols DD-P&L(M) 1014 and DD-P&L(M) 1015, respectively, apply to reports submitted to WHS-DIOR for DD Form 350 actions and DD Form 1057.
[Report Control Symbol DD-AT&L(M)1014 applies to reports for DD Form 350 actions, and Report Control Symbol DD-AT&L(M)1015 applies to reports for DD Form 1057 actions.]
204.670-6 Types of DD Form 350 reports.
There are three types of reports-single, consolidated, and multiple.
(a) A single report is one DD Form 350 report per contracting action.
(b) A consolidated report is one DD Form 350 report which combines several contracting actions.
(1) Prepare consolidated reports for-
(i) Air Mobility Command awards for international airlift services. The Command reports these at the end of each operating month with one DD Form 350 for each airlift contract.
(ii) Military Sealift Command awards of indefinite-delivery contracts for ocean transportation. The Command reports at the beginning of each fiscal year the estimated value of the orders for that fiscal year on one DD Form 350.
(iii) Defense Energy Support Center or Defense Supply Center, Richmond, indefinite-delivery contracts for petroleum or petroleum supplies. The Centers, at the time of award, report the estimated value of the orders to be placed against the contract on one DD Form 350.
(iv[iii]) Orders placed by the Defense Commissary Agency (DeCA) for resale items in excess of [over] $25,000. DeCA consolidates the orders monthly and reports the cumulative dollar amounts and actions on one DD Form 350 in accordance with departmental/agency procedures. Defense Logistics Agency activities submit single rather than consolidated reports.
(v[iv]) Vouchers processed by the U.S. Army Contracting Command, Europe (USACCE), for the purchase of utilities from municipalities (e.g., gas, electricity, water, sewage, steam, snow removal, and garbage collection). USACCE consolidates these transactions monthly and reports the cumulative dollar amount on one DD Form 350 in accordance with departmental/agency procedures.
(2) Consolidated reports may be prepared in accordance with departmental/ [or] agency procedures for orders under communications service agreements for local dial tone services.
(c) A multiple report is more than one DD Form 350 per contracting action. Prepare multiple reports if-
(1) The contracting action includes foreign military sales (FMS) requirements in addition to non-FMS requirements (Block [Line] B9 on the DD Form 350). Submit one DD Form 350 report for the FMS requirements and another DD Form 350 report for the non-FMS requirements, except if either of the portions is $25,000 or less, report the $25,000 or less portion on a DD Form 1057 in lieu [instead] of a DD Form 350.
(2) The contracting action includes more than one type of contract (Block [Line] C5 on the DD Form 350) and the type with the least dollar value exceeds $500,000. Prepare a separate DD Form 350 for each contract type.
[(3) The contracting action includes non-DoD Federal agency requirements and DoD requirements. Submit one DD Form 350 for the non-DoD requirements and another DD Form 350 for the DoD requirements. If the DoD portion is $25,000 or less, report the DoD portion on a DD Form 1057 instead of a DD Form 350.]
204.670-7 Report formats.
Contracting offices submit the signed original DD Forms 350 and 1057, unless the data collection point approves use of an automated facsimile or electronic equivalent containing the information.
204.670-8[7] Security classification.
Submit DD Forms 350 as unclassified documents. Classified contracts are not exempt from reporting solely because the contract is classified. Contact the appropriate departmental data collection points for special instructions if it is necessary for security reasons to modify coding of all or any individual blocks [any information] on the DD Form 350. If contact cannot be made for security reasons, obtain instructions from the Office of the Deputy to the Under Secretary of Defense for Policy Support, ATTN: Director for Special Programs. Telephone number is (703) 614-0578/9 or DSN 224-0578/9 [Director of Security, Office of the Assistant Secretary of Defense (Command, Control, Communications, and Intelligence), (703) 614-0578, or DSN 224-0578].
* * * * *
PART 253-FORMS
* * * * *
SUBPART 253.2--PRESCRIPTION OF FORMS
253.204 Administrative matters.
253.204-70 DD Form 350, Individual Contracting Action Report.
Policy on use of a DD Form 350 is in 204.670-2. This subsection contains instructions for completion of the DD Form 350.
(a) Part A of the DD Form 350. Part A identifies the report and the reporting activity. Complete all four blocks [lines].
(1) Block [LINE] A1, TYPE OF REPORT. Enter one of the following codes:
(i) Code 0 - Original. Enter code 0 unless code 1 or code 2 applies.
(ii) Code 1 - Cancelling. A cancelling action cancels an existing DD Form 350 in accordance with departmental data collection point instructions.
(iii) Code 2 - Correcting. A correcting action corrects an existing DD Form 350 action in accordance with departmental data collection point instructions.
(2) Block [LINE] A2, REPORT NO[UMBER]. Enter the six-position local control number (see 204.670-3(a)(4[5])). If Block [Line] A1 is coded 1 or 2, use the prior report number rather than a new one.
(3) BLOCK [LINE] A3, CONTRACTING OFFICE CODE. Enter the code assigned the contracting office by the departmental data collection point shown in 204.670-1(c).
[(i) LINE A3A, REPORTING AGENCY FIPS 95 CODE. Enter the four-position code from Federal Information Processing Standards Publication (FIPS PUB) 95, Codes for the Identification of Federal and Federally Assisted Organizations, that identifies the reporting agency.
(ii) LINE A3B, CONTRACTING OFFICE CODE. Enter the code assigned by the departmental data collection point in 204.670-1(c).]
(4) BLOCK [LINE] A4, NAME OF CONTRACTING OFFICE. Enter sufficient detail to establish the identity of the contracting office.
(b) Part B of the DD Form 350. Part B identifies the transaction.
(1) BLOCK [LINE] B1, CONTRACT IDENTIFICATION INFORMATION. Do not leave any parts of Block [Line] B1 blank.
(i) BLOCK [LINE] B1A, CONTRACT NUMBER.
(A) Enter-
(1) The DoD contract number; or
(2) For orders under contracts awarded by other Federal agencies, the contract number of that Federal agency as it appears in the contractual instrument.
(B) Do not leave spaces between characters, and do not enter dashes, slants, or any other punctuation marks.
(C) The DoD contract number is the basic (13 alphanumeric character) procurement instrument identification number (PIIN) that was assigned in accordance with 204.7001[3] or constructed under an exception permitted by 204.7000. Do not enter any supplementary procurement instrument identification numbers as part of the contract number (these go in Block [on Line] B2).
(ii) BLOCK [LINE] B1B, ORIGIN OF CONTRACT. Enter the code that indicates the agency that originated/assigned the contract number.
(A) Code A - DoD[.]
(B) Code B - NASA[.]
(C) Code C - Other Non-DoD Agency.
[(iii) LINE B1C, BUNDLED CONTRACT. Enter one of the following codes:
(A) Code Y - Yes. Enter code Y when the contract meets the definition of "bundled contract" at FAR 2.101 and the contract value exceeds $5 million.
(B) Code N - No. Enter code N when code Y does not apply.
(iv) LINE B1D, PERFORMANCE-BASED SERVICE CONTRACT. Enter one of the following codes:
(A) Code Y - Yes. Enter code Y when-
(1) The contract value exceeds $100,000; and
(2) At least 80 percent of the contract value is for work that is performance based (see FAR Subpart 37.6).
(2) BLOCK [LINE] B2, MODIFICATION, ORDER[,] OR OTHER ID NUMBER. Enter the supplementary procurement instrument identification number (if there is one) that was assigned in accordance with 204.7004 or as permitted by 204.7000. It can be up to 19 characters. Usually calls and orders have a four-position number (see 204.7004(d)); modifications to contracts and agreements have a six-position modification number (see 204.7004(c)); and modifications to calls and orders have a two-position modification number (see 204.7004(e)). When reporting modifications to calls and orders, enter both the call/ [or] order number and the modification number.
(3) BLOCK [LINE] B3, ACTION DATE.
(i) Enter the year, month, and day of the effective date for fiscal obligation purposes.
(ii) Enter four digits for the year, two digits for the month, and two digits for the day. Use 01 through 12 for January through December. For example, enter January 2, 2003, as 20030102.
(4) BLOCK [LINE] B4, COMPLETION DATE.
(i) Enter the year, month, and day of the last contract delivery date or the end of the performance period. If the contract is incrementally funded, report the completion date for the entire contract. Report the completion date associated with an option quantity when the option is exercised.
(ii) Enter four digits for the year, two digits for the month, and two digits for the day. Use 01 through 12 for January through December. For example, enter January 2, 2003, as 20030102.
(5) BLOCK [LINE] B5, CONTRACTOR IDENTIFICATION INFORMATION.
(i) Use data that relates to the contractor whose name and address appear in the contract document (Block 7 of the SF 26, Award/Contract; Block 8 of the SF 30, Amendment of Solicitation/Modification of Contract; Block 15A of the SF 33, Solicitation, Offer and Award; or Block 9 of the DD Form 1155, Order for Supplies or Services), except-
(A) For contracts placed with the Small Business Administration under Section 8(a) of the Small Business Act, use data that relates to the company that will be performing the work;
(B) For Federal schedule orders, use data that applies to the contractor whose name appears on the schedule (not the data for the agent to whom orders may be sent); and
(C) For contracts with the Canadian Commercial Corporation (CCC), use data for the appropriate CCC office.
(ii) Some of the parts of Block [Line] B5 may not apply to the action being reported. Follow the instructions for each part.
(A) BLOCK [LINE] B5A, CONTRACTOR IDENTIFICATION NUMBER [(DUNS)].
(1) Enter the contractor's 9-position Data Universal Numbering System (DUNS) number or 13-position DUNS+4 number (see FAR 4.602(d) and 4.603 and DFARS Subpart 204.73).
(2) For all actions with UNICOR/ Federal Prison Industries [(UNICOR)], use DUNS number 62-662-7459.
(3) For U.S. Army Contracting Command, Europe, consolidated reporting of vouchers for utilities from municipalities, use DUNS number 15-390-6193 (see 204.670-6(b)(1)).
(B) BLOCK [LINE] B5B, GOVERNMENT AGENCY. Enter one of the following codes:
(1) Code Y - Yes. Enter code Y when the contractor is a Federal/[,] State/[, or] local government agency of the United States and outlying areas (see 204.670-1(d)). Do not use code Y when the government agency is an educational institution.
(2) Code N - No. Enter code N when code Y does not apply.
(C) BLOCK [LINE] B5C, CAGE CODE. Enter the 5-position Commercial and Government Entity (CAGE) code that identifies the contractor plant or establishment. If the CAGE code is not already available in the contracting office and the apparent awardee does not respond to the provision at 252.204-7001, Commercial and Government Entity (CAGE) Code Reporting, use the procedures at 204.7202-1 to obtain one.
(D) BLOCK [LINE] B5D, CONTRACTOR NAME AND DIVISION NAME. Enter the contractor's name as stated in the offer and resultant contract. Include its division name.
(E) BLOCK [LINE] B5E, CONTRACTOR ADDRESS. Enter the contractor's address as stated in the offer and resultant contract. Include street address (and/or P.O. Box), city/ [or] town, state/ [or] country, and ZIP code, if applicable. Do not enter foreign postal codes.
(F) BLOCK [LINE] B5F, TIN [TAXPAYER IDENTIFICATION NUMBER]. Enter the contractor's taxpayer identification number [(TIN)] (see FAR Subpart 4.9). Leave Block [Line] B5F blank if the contractor is-
(1) Registered in the Central Contractor Registration database (see Subpart 204.73);
(2) A nonresident alien, foreign corporation, or foreign partnership that does not have income effectively connected with the trade or business in the United States; and does not have an office or place of business or a fiscal paying agent in the United States;
(3) An agency or instrumentality of a foreign government; or
(4) An agency or instrumentality of the Federal Government.
(G) BLOCK [LINE] B5G, PARENT TIN [TAXPAYER IDENTIFICATION NUMBER]. Enter the contractor's parent company (common parent) TIN (see FAR Subpart 4.9 and 52.204-3). If the contractor does not have a parent company or the parent company meets the exemption for Block [Line] B5F, leave Block [Line] B5G blank.
(H) BLOCK [LINE] B5H, PARENT NAME. If a parent company TIN is entered in Block [on Line] B5G, enter in Block B5H the name of the parent company (common parent) [on Line B5H]. Leave Block [Line] B5H blank if there is no parent company or the parent company is exempted from the requirement to have a TIN.
(6) BLOCK [LINE] B6, PRINCIPAL PLACE OF PERFORMANCE.
(i) The place, or places, where the contract will be performed may be specified by the Government or listed by the contractor in response to the solicitation provision at FAR 52.214-14, Place of Performance-Sealed Bidding, or FAR 52.215-6, Place of Performance. Use data for the contractor's principal place of performance, which is generally the-
(A) Final assembly point for items manufactured under supply contracts;
(B) Location from where shipments from stock are made under supply contracts;
(C) Actual construction site for construction contracts;
(D) Planned construction site for architect-engineer contracts;
(E) Place of mining for mined supplies; or
(F) Place (including military installations) where a service is performed for service contracts.
(ii) When there is more than one location for any of paragraphs (b)(6)(i)(A) through (F) of this subsection (e.g., more than one construction site), use the location involving the largest dollar amount of the acquisition. Do not show more than one location in Block [on Line] B6.
(iii) If places of performance are too varied or not known, or if commercial procedures were used, enter the contractor's home office location. [However, if the contractor is a domestic concern and the entire contract will be performed outside the United States, enter the most frequent place of performance.]
(iv) Follow the instructions for each part of Block [Line B]6 that applies to the action being reported.
(A) BLOCK [LINE] B6A, CITY OR PLACE CODE.
(1) For places in the United States and outlying areas, enter the numeric place code, which can be found in [from] the Federal Information Processing Standards (FIPS) Publication (PUB) 55, Guideline: Codes for Named Populated Places, Primary Country Divisions, and Other Locational Entities of the United States and Outlying Areas. Leave Block [Line] B6A blank for places outside the United States and outlying areas.
(2) If the city or locality is not listed, look in FIPS PUB 55 for the county code of the principal place of performance. Enter that code in Block [on Line] B6A. Use 50000 for Washington, DC, with a State code of 11.
(3) Paragraph 5.2, Entry Selection With the Aid of the Class Code, of FIPS PUB 55 will help in selecting the correct code. Sometimes, a class code should be used in addition to a place code to accurately identify the place of performance. Do not use place codes when the first position of the class code is X or Z.
(B) BLOCK [LINE] B6B, STATE OR COUNTRY CODE.
(1) For places in the United States and outlying areas, enter the numeric State code, which can be found in [from] FIPS PUB 55 or FIPS PUB 5, Codes for the Identification of the States, the District of Columbia and the Outlying Areas of the United States and Associated Areas.
(2) For places outside the United States and outlying areas, enter the alpha country code from FIPS PUB 10, Countries, Dependencies, Areas of Special Sovereignty, and Their Principal Administrative Divisions.
(C) BLOCK [LINE] B6C, CITY OR PLACE AND STATE OR COUNTRY NAME. Enter the name of the principal place of performance. Do not leave Block [Line] B6C blank.
(7) BLOCK [LINE] B7, TYPE OBLIGATION. Enter one of the following codes:
(i) Code 1 - Obligation. Enter code 1 if the contracting action obligates funds.
(ii) Code 2 - Deobligation. Enter code 2 if the contracting action deobligates funds.
(8) BLOCK [LINE] B8, TOTAL DOLLARS. Enter the net amount of funds (whole dollars only) obligated or deobligated by the contracting action. Do not leave Block [Line] B8 blank.
(9) BLOCK [LINE] B9, FOREIGN MILITARY SALE. Enter one of the following codes. If only part of the contracting action is a foreign military sale, separately report the parts (see 204.670-6(c)).
(i) Code Y - Yes. Enter code Y when the contracting action is under a foreign military sales arrangement, or under any other arrangement when a foreign country or international organization is bearing the cost of the acquisition.
(ii) Code N - No. Enter code N when code Y does not apply.
(10) BLOCK [LINE] B10, MULTIYEAR CONTRACT. Enter one of the following codes:
(i) Code Y - Yes. Enter code Y when the contracting action is a multiyear contract as defined at FAR 17.103. Do not report contracts containing options as multiyear unless the definition at FAR 17.103 applies to the contract.
(ii) Code N - No. Enter code N when code Y does not apply.
(11) BLOCK [LINE] B11, TOTAL MULTIYEAR VALUE. Enter the total estimated multiyear contract value (in whole dollars) only at the time of initial obligation of multiyear funds for a new letter contract or a new definitive contract (Block [Line] B13A is coded 1 or 3 and Block [Line] B13D is blank[)]. For all other codes in Block [on Line] B13A, enter a numeric value of zero in Block [on Line] B11.
(12) BLOCK [LINE] B12, PRINCIPAL PRODUCT OR SERVICE. [Line] B12 contains [has] five parts. Do not leave any parts of Block [Line] B12 blank.
(i) BLOCK [LINE] B12A, FSC or SVC [FEDERAL SUPPLY CLASS OR SERVICE] CODE. Enter the 4-character Federal supply classification (FSC) or service code that describes the contract effort. To find the code, look in Section I of the Department of Defense (DoD) Procurement Coding Manual (MN02). There are three categories of codes to choose from. In some cases, use a 4-character code from a list of 4-character codes; in other cases, construct a code using the instructions in the Manual. If more than one category or code applies to the contracting action, enter the one that best identifies the product or service representing the largest dollar value.
(A) Supplies. If the contracting action is for the purchase (not lease or rental) of supplies, enter an FSC code in Block [on Line] B12A. FSC codes are all numeric. Look in Section I, Part C, of the DoD Procurement Coding Manual (MN02). The Department of Defense Federal Supply Classification Cataloging Handbook (H2) may also help with the correct 4-digit code.
(B) Services. If the contracting action is for services (except research, development, test, and evaluation), construction, or lease or rental of equipment [lease or rental,] or facilities [lease or rental], enter a service code in Block [on Line] B12A. [Service codes are listed in Section I, Part B, of the DoD Procurement Coding Manual (MN02).]
(C) Research, Development, Test, and Evaluation (RDT&E). If the contracting action is for RDT&E (as defined in FAR 35.001 and 235.001), enter an RDT&E code in Block [on Line] B12A. Look in Section I, Part A, of the DoD Procurement Coding Manual (MN02). All RDT&E codes should begin with the letter "A." Do not use an RDT&E code for-
(1) Purchase, lease, or rental of equipment, supplies, or services separately purchased in support of RDT&E work, even if RDT&E funds are cited. Instead, use an FSC or Service code under the instructions in paragraph (b)(12)(i)(A) or (B) of this subsection; or
(2) Orders under Federal schedule contracts. Instead, use an FSC or Service code under the instructions in paragraph (b)(12)(i)(A) or (B) of this subsection.
(ii) BLOCK [LINE] B12B, DOD CLAIMANT PROGRAM CODE. Enter a code that identifies the commodity described in Block [on Line] B12E. These codes are in Section III of the DoD Procurement Coding Manual (MN02). If more than one code applies to the contracting action, enter the one that best identifies the product or service representing the largest dollar value. If the description in Block [on Line] B12E is for-
(A) Research and development (R&D), enter the code that best represents the objective of the R&D. For example, if the objective of the R&D is a guided missile, enter code A20. If the R&D cannot be identified to any particular objective, enter code S10;
(B) Ship repair, inspect and repair as necessary (IRAN), modification of aircraft, overhaul of engines, or similar maintenance, repair, or modification services, enter the code that best identifies the program;
(C) Equipment rental (including rental of automatic data processing equipment), enter code S10;
(D) Utility services, enter code S10;
(E) Services that cannot be identified to any listed program, enter code S10; or
(F) Supplies or equipment that cannot be identified to any listed program, enter code C9E.
(iii) BLOCK [LINE] B12C, PROGRAM, SYSTEM[,] OR EQUIPMENT CODE.
(A) Enter a code that describes the program, weapons system, or equipment. These codes are in Section II of the DoD Procurement Coding Manual (MN02). If there is no code that applies to the contracting action, enter three zeros. If more than one code applies to the action, enter the one that best identifies the product or service representing the largest dollar value.
(B) If the contracting action is funded by the Ballistic Missile Defense Organization, enter code CAA.
(C) If the contracting action supports environmental cleanup programs, enter one of the codes listed in Section II of the DoD Procurement Coding Manual (MN02) under the heading "Description and Use of Program Codes--Environmental Cleanup Programs."
(D) Defense Logistics Agency activities must use the code assigned by the sponsoring military department.
(iv) BLOCK [LINE] B12D, SIC [NAICS] CODE. Enter the standard industrial classification (SIC) code for the acquisition (as opposed to the SIC of the contractor). Use the SIC code in effect at the time of award. These codes are in the OMB Standard Industrial Classification Manual. If more than one code applies to the contracting action, enter the one that best identifies the product or service representing the largest dollar value. [Enter the North American Industry Classification System (NAICS) code for the acquisition. Use the NAICS code in effect at the time of award. These codes are in the 1997 U.S. NAICS Manual (http://www.census.gov/pub/epcd/www/naics.html). If more than one code applies to the contracting action, enter the code that best identifies the product or service representing the largest dollar value.]
(v) BLOCK [LINE] B12E, NAME/ [OR] DESCRIPTION. Enter the name or a brief description of the commodity or service. If the description is classified, enter only the word "Classified." Do not, however, use "Classified" when a code name (e.g., Minuteman, Polaris, Trident, Pershing) or an identifying program number (e.g., WS-107A) can be used.
(13) BLOCK [LINE] B13, KIND OF CONTRACTING ACTION. Some of the parts of Block [Line] B13 may not apply to the action being reported. Follow instructions for each part. When the contracting action is a modification, complete Blocks [Lines] B13A and B13D.
(i) BLOCK [LINE] B13A, CONTRACT/ [OR] ORDER. Enter one of the following codes:
(A) Code 1 - Letter Contract. Enter code 1 when the contracting action is a letter contract or a modification to a letter contract that has not been definitized.
(B) Code 3 - Definitive Contract.
(1) Enter code 3 when the contracting action is the award or modification of a definitive contract or a modification that definitizes a contract. Code 3 includes the following:
(i) Definitive contract awards under the Small Business Administration 8(a) program.
(ii) Notices of award.
(iii) Lease agreements.
(iv) Indefinite-delivery-definite-quantity contracts (FAR 52.216-20).
(v) Indefinite-delivery-indefinite-quantity contracts (FAR 52.216-22) when funds are obligated by the contract itself.
(2) Code 3 excludes orders from the Procurement List (see codes 6 and 8).
(C) Code 4 - Order under an Agreement. Enter code 4 when the contracting action is an order or definitization of an order under an agreement other than a blanket purchase agreement. Examples include an order exceeding $25,000 under a basic ordering agreement or a master ship repair agreement and a job order when the contract is created by issuing the order. A call under a blanket purchase agreement associated with a Federal schedule (see FAR 8.404(b)(4)) is coded 6. A call under other blanket purchase agreements, pursuant to FAR 13.303, is coded 9. When the contracting action is a modification to an order described in code 4 instructions, enter code 4 in [on Line] B13A.
(D) Code 5 - Order under Indefinite-Delivery Contract (IDC). Enter code 5 when the contracting action is an order, including a task or delivery order, under an indefinite-delivery contract awarded by a Federal agency. For example, enter code 5 for an order under a GSA indefinite-delivery contract, such as a GSA area-wide contract for utility services, that is not a Federal schedule. When the contracting action is a modification to an order described in code 5 instructions, enter code 5 in [on Line] B13A.
(E) Code 6 - Order/ [or] Call under Federal Schedule. Enter code 6 if the contracting action is an order under a GSA or VA Federal Supply Schedule, or a call against a blanket purchase agreement established under a GSA or VA Federal Supply Schedule (see FAR 8.404). Code 6 includes orders under Federal Supply Schedules for items on the Procurement List. When the contracting action is a modification to an order or call described in code 6 instructions, enter code 6 in [on Line] B13A.
(F) Code 8 - Order from Procurement List. Enter code 8 if the contracting action is an action placed with Federal Prison Industries (UNICOR) or a JWOD Participating Nonprofit Agency in accordance with FAR Subpart 8.6 or 8.7. Use code 6 for orders from the Procurement List under Federal schedules. When the contracting action is a modification to an action described in code 8 instructions, enter code 8 in [on Line] B13A.
(G) Code 9 - Purchase Order/ [or] Call. Enter code 9 if the contracting action, including an action in a designated industry group under the Small Business Competitiveness Demonstration Program (see FAR Subpart 19.10), is an award pursuant to FAR Part 13, except when the contracting action is a blanket purchase agreement call pursuant to FAR 8.404(b)(4) (see code 6). When the contracting action is a modification to a purchase order or call described in code 9 instructions, enter code 9 in [on Line] B13A.
(ii) BLOCK [LINE] B13B, TYPE OF INDEFINITE-DELIVERY CONTRACT. If Block [Line] B13A is coded 3 and the ninth position of B1A is coded D, complete Block [Line] B13B. If Block [Line] B13A is coded 5, complete Block [Line] B13B. Otherwise, leave Block [Line] B13B blank.
(A) Code A - Requirements Contract (FAR 52.216-21).
(B) Code B - Indefinite-Quantity Contract (FAR 52.216-22).
(C) Code C - Definite-Quantity Contract (FAR 52.216-20).
(iii) BLOCK [LINE] B13C, MULTIPLE/ [OR] SINGLE AWARD IDC(S) [INDEFINITE-DELIVERY CONTRACT]. If Block [Line] B13B is coded A, B, or C, complete Block [Line] B13C. Otherwise, leave Block [Line] B13C blank.
(A) Code M - Multiple Award. Enter code M if the contracting action is a task or delivery order under a multiple award indefinite-delivery contract.
(B) Code S - Single Award. Enter code S if the contracting action is a task or delivery order under a single award indefinite-delivery contract.
(iv) BLOCK [LINE] B13D, MODIFICATION. If the contracting action is a modification, enter one of the following codes. Otherwise, leave Block [Line] B13D blank.
(A) Code A - Additional Work (new agreement). Enter code A when the contracting action is a bilateral supplemental agreement that obligates funds for additional work requiring a justification and approval (J&A).
(B) Code B - Additional Work (other). Enter code B when the contracting action is a modification of an existing contract (including a letter contract) that is not covered by code A or by codes C through H (see code H for exercise of an option). Code B includes actions that-
(1) Initiate an incremental yearly buy under a multiyear contract;
(2) Amend a letter or other contract to add work that does not require a J&A; or
(3) Order under a priced exhibit or production list.
(C) Code C - Funding Action. Enter code C when the contracting action is a modification (to a letter or other contract) for the sole purpose of obligating or deobligating funds. This includes-
(1) Incremental funding (other than incremental yearly buys under multiyear contracts, which are coded B);
(2) Changes to the estimated cost on cost-reimbursement contracts;
(3) Repricing actions covering incentive price revisions;
(4) Economic price adjustments; and
(5) Initial citation and obligation of funds for a contract awarded in one fiscal year but not effective until a subsequent fiscal year.
(D) Code D - Change Order. Enter code D if the contracting action is a change order issued under the "Changes," "Differing Site Conditions," or similar clauses in existing contracts.
(E) Code E - Termination for Default. Enter code E if the contracting action is a modification that terminates all or part of the contract for default.
(F) Code F - Termination for Convenience. Enter code F if the contracting action is a modification that terminates all or part of the contract for convenience.
(G) Code G - Cancellation. Enter code G if the contracting action is a modification that cancels the contract. Do not use code G to cancel a prior DD Form 350 (see Block [Line] A1).
(H) Code H - Exercise of an Option. Enter code H if the contracting action is an exercise of an option.
(I) Code J - Definitization of a Letter Contract. Enter code J if the contracting action is the definitization of a letter contract, and enter code 3 in Block [on Line] B13A.
(14) BLOCK [LINE] B14, CICA APPLICABILITY. Enter one of the following codes:
(i) Code A - Pre-CICA. Enter code A if the action resulted from a solicitation issued before April 1, 1985. Modifications within the original scope of work of such awards and orders under pre-CICA indefinite-delivery type contracts also are coded A.
(ii) Code B - CICA Applicable. Enter code B if-
(A) The action resulted from a solicitation issued on or after April 1, 1985, or is a modification coded A in Block [on Line] B13D issued on or after April 1, 1985; and
(B) Neither code C nor code D applies.
(iii) Code C - Simplified Acquisition Procedures Other than FAR Subpart 13.5. Enter code C if the action resulted from use of the procedures in FAR Part 13, other than those in Subpart 13.5.
(iv) Code D - Simplified [Acquisition] Procedures Pursuant to FAR Subpart 13.5. Enter code D if the action resulted from use of the procedures in FAR Subpart 13.5.
(c) Part C of the DD Form 350.
(1) Part C gathers data concerning contracting procedures, use of competition, financing, and statutory requirements other than socioeconomic (which are in Part D).
(2) Do not complete Part C if the contracting action is an action with a government agency, i.e., Block [Line] B5B (Government Agency) is coded Y (Yes). If Block [Line] B13A is coded 6, do not complete any blocks [lines] in Part C except Block [Line] C3, and Blocks [Lines] C13A and C13B when they apply.
(3) In completing Part C, the codes to be used [use codes that] describe either the [current] contracting action being reported or the original contract, depending on the codes reported in Blocks [on Lines] B13A and B13D.
(i)[(A)] If Block [Line] B13A is coded 1, 2, 3, 4, 6, or 9 and Block [Line] B13D is coded A or is blank, code the blocks [lines] in Part C with reference to the action being reported [to describe the current action].
[(B) If Line B13A is coded 5 and the current action is an order under a multiple award contract (Line B13C is coded M), code Lines C6 and C7 to describe the order and code the rest of Part C to describe the original contract.]
[(C)] Otherwise, code the blocks with reference to [lines in Part C to describe] the original contract.
(ii) If there are no codes for the original contract because a DD Form 350 was not required at the time, the original action is no longer available, the definition of the original code has changed, or a data element has been added to the system after the original contract report, use codes that best describe the original contracting action.
(4) Complete Part C blocks as follows:
(i) BLOCK [LINE] C1, SYNOPSIS. Enter one of the following codes:
(A) Code A - Synopsis Only. Enter code A if only a synopsis of the proposed action was prepared and transmitted to the Commerce Business Daily in accordance with FAR Subpart 5.2.
(B) Code B - Combined Synopsis/Solicitation. Enter code B if a combined synopsis/solicitation of the proposed action was prepared and transmitted to the Commerce Business Daily in accordance with FAR Subpart 5.2 and 12.603.
(C) Code N - No[t Synopsized]. Enter code N if a synopsis was not prepared.
(ii) BLOCK [LINE] C2, REASON NOT SYNOPSIZED. Enter one of the following codes if Block [Line] C1 is coded N. Otherwise, leave Block [Line] C2 blank.
(A) Code A - Urgency. Enter code A if the action was not synopsized due to urgency (see FAR 6.302-2).
(B) Code B - Use of FACNET [Single, Governmentwide Point of Entry]. Enter code B if the action was not synopsized because the acquisition was made through FACNET or another means that provided access to the notice of proposed action through the single, Governmentwide point of entry (see [FAR] 5.202(a)(13)).
(C) Code Z - Other Reason. Enter code Z if the action was not synopsized due to some other reason.
(iii) BLOCK [LINE] C3, EXTENT COMPETED. Enter one of the following codes:
(A) Code A - Competed Action. Enter code A when-
(1) The contracting action is an action under a Federal schedule contract (Block [Line] B13A is coded 6);
(2) Competitive procedures were used to fulfill the requirement for full and open competition (see FAR Subpart 6.1);
(3) Full and open competition procedures after exclusion of sources were used in order to establish or maintain alternative sources, to set aside an acquisition for small business or HUBZone small business, or to compete Section 8(a) awards (see FAR Subpart 6.2);
(4) Statutory authorities for other than full and open competition were used (see FAR Subpart 6.3) and more than one offer was received (if only one offer was received, use code D);
(5) The contracting action resulted from a contract awarded prior to the Competition in Contracting Act that used two-step sealed bidding or other sealed bidding, or that was negotiated competitively; or
(6) Simplified acquisition procedures were used and competition was obtained.
(B) Code B - Not Available for Competition. Enter code B for-
(1) Awards for utilities or utility systems, excluding long distance telecommunications services, when only one supplier can furnish the service (see FAR 6.302-1(b)(3));
(2) Brand name commercial products for authorized resale;
(3) Acquisitions authorized or required by statute to be awarded to a specific source pursuant to FAR 6.302-5(b)(2) or (4), e.g., qualified nonprofit agencies employing people who are blind or severely disabled (see FAR Subpart 8.7) or 8(a) program (see FAR Subpart 19.8);
(4) International agreements and Foreign Military Sales when the acquisition is to be reimbursed by a foreign country that requires that the product or services be obtained from a particular firm as specified in official written direction such as a Letter of Offer and Acceptance; and
(5) Other contract actions when the Director of Defense Procurement has determined that there is no opportunity for competition.
(Note: Even though Part C is not completed for actions with a government agency, the database will automatically include these actions in the category of not available for competition.)
(C) Code C - Follow-On to Competed Action. Enter code C when the action pertains to an acquisition placed with a particular contractor to continue or augment a specific competed program[,] when [if] such placement was necessitated by prior acquisition decisions.
(D) Code D - Not Competed. Enter code D when codes A, B, and C do not apply.
(iv) BLOCK [LINE] C4, SEA TRANSPORTATION. Enter one of the following codes when Block [Line] B1B is coded A, Block [Line] B5B is coded N, and Block [Line] B13A is coded other than 9. Otherwise, leave Block [Line] C4 blank.
(A) Code Y - Yes - Positive Response to DFARS 252.247-7022 or 252.212-7000(c)(2). Enter code Y when the contractor's response to the provision at 252.247-7022, Representation of Extent of Transportation by Sea, or 252.212-7000(c)(2), Offeror Representations and Certifications--Commercial Items, indicates that the contractor anticipates that some of the supplies being provided may be transported by sea.
(B) Code N - No - Negative Response to DFARS 252.247-7022 or 252.212-7000(c)(2). Enter code N when the contractor's response to the provision at 252.247-7022 or 252.212-7000(c)(2) indicates that the contractor anticipates that none of the supplies being provided will be transported by sea.
(C) Code U - Unknown - No Response or Provision Not Included in Solicitation. Enter code U when the contractor did not complete the representation at 252.247-7022 or 252.212-7000(c)(2) or the solicitation did not include either provision.
(v) BLOCK [LINE] C5, TYPE OF CONTRACT.
(A) If the action is a letter contract, including modifications and amendments to letter contracts, enter the code that describes the anticipated type of contract the letter contract will become when it is definitized.
(B) If there is more than one type of contract involved in the contracting action, enter the code that matches the type with the most dollars. If the type with the least dollars exceeds $500,000, fill out separate DD Forms 350 (with different report numbers) for each type.
(C) Enter one of the following codes:
(1) Code A - Fixed-Price Redetermination.
(2) Code J - Firm-Fixed-Price.
(3) Code K - Fixed-Price Economic Price Adjustment.
(4) Code L - Fixed-Price Incentive.
(5) Code M - Fixed-Price-Award-Fee.
(6) Code R - Cost-Plus-Award-Fee.
(7) Code S - Cost Contract.
(8) Code T - Cost-Sharing.
(9) Code U - Cost-Plus-Fixed[-]Fee.
(10) Code V - Cost-Plus-Incentive-Fee.
(11) Code Y - Time-and-Materials.
(12) Code Z - Labor-Hour.
(vi) BLOCK [LINE] C6, NUMBER OF OFFERORS SOLICITED.
(A) Leave Block [Line] C6 blank if-
(1) The original contract resulted from a solicitation issued before April 1, 1985 (i.e., before the effective date of the Competition in Contracting Act);
(2) Block [Line] B1B is coded B or C and Block [Line] B13A is coded 5; or
(3) Block [Line] B13A is coded 6.
(B) Otherwise, enter-
(1) Code 1 - One. Enter code 1 if only one offeror was solicited; or
(2) Code 2 - More than One. Enter code 2 if more than one offeror was solicited.
(vii) BLOCK [LINE] C7, NUMBER OF OFFERS RECEIVED.
(A) Leave Block [Line] C7 blank if-
(1) The original contract resulted from a solicitation issued before April 1, 1985 (i.e., before the effective date of the Competition in Contracting Act); or
(2) Block [Line] B13A is coded 6, Order/ [or] Call U[u]nder Federal Schedule.
(B) Otherwise, enter the specific number of offers received (001-999).
(viii) BLOCK [LINE] C8, SOLICITATION PROCEDURES.
(A) Leave Block [Line] C8 blank if-
(1) The original contract resulted from a solicitation issued before April 1, 1985 (i.e., before the effective date of the Competition in Contracting Act);
(2) The action is pursuant to simplified acquisition procedures (Block [Line] B13A is coded 9); or
(3) The action is an order or call under a Federal schedule (Block [Line] B13A is coded 6).
(B) Otherwise, enter one of the following codes:
(1) Code A - Full and Open Competition - Sealed Bid. Enter code A if the action resulted from an award pursuant to FAR 6.102(a).
(2) Code B - Full and Open Competition -Competitive Proposal. Enter code B if the action resulted from an award pursuant to FAR 6.102(b).
(3) Code C - Full and Open Competition -Combination. Enter code C if the action resulted from an award using a combination of competitive procedures (e.g., two-step sealed bidding) pursuant to FAR 6.102(c).
(4) Code D - Architect-Engineer. Enter code D if the action resulted from selection of sources for architect-engineer contracts pursuant to FAR 6.102(d)(1).
(5) Code E - Basic Research. Enter code E if the action resulted from competitive selection of basic research proposals pursuant to FAR 6.102(d)(2).
(6) Code F - Multiple Award Schedule. Enter code F if the action is an award of a multiple award schedule pursuant to FAR 6.102(d)(3) or an order against such a schedule.
(7) Code G - Alternative Sources. Enter code G if the action resulted from use of competitive procedures but excluded a particular source pursuant to FAR 6.202(a).
(8) Code K - Set-Aside. Enter code K if the action resulted from any-
(i) Set-aside for small business concerns (see FAR Subpart 19.5), including small business innovation research (SBIR) actions;
(ii) Set-aside for small disadvantaged business concerns;
(iii) Set-aside for HUBZone small business concerns (see FAR 19.1305);
(iv) Set-aside for very small business concerns (see FAR 19.904);
(v) Set-aside (including portions of broad agency announcements) for historically black colleges and universities or minority institutions (see 226.7003 and 235.016); or
[(vi) Set-aside for emerging small business concerns (see FAR 19.1006(c)); or]
(vi[i]) Competition among Section 8(a) firms under FAR 19.805 (report noncompetitive 8(a) awards as code N).
(9) Code M - Reserved.
(10[9]) Code N - Other than Full and Open Competition. Enter code N if the action resulted from use of other than full and open competition pursuant to FAR Subpart 6.3. This includes awards to qualified nonprofit agencies employing people who are blind or severely disabled (see FAR Subpart 8.7) or noncompetitive awards to the Small Business Administration under Section 8(a) of the Small Business Act (see FAR 6.302-5(b)).
(ix) BLOCK [LINE] C9, AUTHORITY FOR OTHER THAN FULL AND OPEN COMPETITION.
(A) Leave Block [Line] C9 blank if the original contract resulted from a solicitation issued before April 1, 1985 (i.e., before the effective date of the Competition in Contracting Act).
(B) Enter one of the following codes if Block [Line] C8 is coded N. Otherwise, leave Block [Line] C9 blank.
(1) Code 1A - Unique Source. Enter code 1A if the action was justified pursuant to FAR 6.302-1(b)(1).
(2) Code 1B - Follow-On Contract. Enter code 1B if the action was justified pursuant to FAR 6.302-1(a)(2)(ii) or (iii).
(3) Code 1C - Unsolicited Research Proposal. Enter code 1C if the action was justified pursuant to FAR 6.302-1(a)(2)(i).
(4) Code 1D - Patent/ [or] Data Rights. Enter code 1D if the action was justified pursuant to FAR 6.302-1(b)(2).
(5) Code 1E - Utilities. Enter code 1E if the action was justified pursuant to FAR 6.302-1(b)(3).
(6) Code 1F - Standardization. Enter code 1F if the action was justified pursuant to FAR 6.302-1(b)(4).
(7) Code 1G - Only One Source - Other. Enter code 1G if the action was justified pursuant to FAR 6.302-1 in a situation other than the examples cited in codes 1A through 1F.
(8) Code 2A - Urgency. Enter code 2A if the action was justified pursuant to FAR 6.302-2.
(9) Code 3A - Particular Sources. Enter code 3A if the action was justified pursuant to FAR 6.302-3(a)(2).
(10) Code 4A - International Agreement. Enter code 4A if the action was justified pursuant to FAR 6.302-4.
(11) Code 5A - Authorized by Statute. Enter code 5A if the action was justified pursuant to FAR 6.302-5(a)(2)(i).
(12) Code 5B - Authorized Resale. Enter code 5B if the action was justified pursuant to FAR 6.302-5(a)(2)(ii).
(13) Code 6A - National Security. Enter code 6A if the action was justified pursuant to FAR 6.302-6.
(14) Code 7A - Public Interest. Enter code 7A if the action was taken pursuant to FAR 6.302-7.
(x) BLOCK [LINE] C10, SUBJECT TO LABOR STANDARDS STATUTES. Enter one of the following codes. When Block [Line] B13A is coded 6, leave Block [Line] C10 blank.
(A) Code A - Walsh-Healey Act. Enter code A when the contracting action is subject to the provisions of FAR Subpart 22.6.
(B) Code C - Service Contract Act. Enter code C when the contracting action is subject to the provisions of the Service Contract Act (see FAR Part 37).
(C) Code D - Davis-Bacon Act. Enter code D when the contracting action is subject to the Davis-Bacon Act (see FAR 22.403-1).
(D) Code Z - Not Applicable. Enter code Z when codes A, C, and D do not apply.
(xi) BLOCK [LINE] C11, COST OR PRICING DATA. Enter one of the following codes when Block [Line] B1B is coded A. Otherwise, leave Block [Line] C11 blank.
(A) Code Y - Yes - Obtained. Enter code Y when cost or pricing data were obtained (see FAR 15.403-4) and certified in accordance with FAR 15.406-2.
(B) Code N - No - Not Obtained. Enter code N when neither code Y nor code W applies.
(C) Code W - Not Obtained - Waived. Enter code W when cost or pricing data were not obtained because [the head of the contracting activity waived] the requirement was waived (see FAR 15.403-1(c)(4)).
(xii) BLOCK [LINE] C12, CONTRACT FINANCING. Enter one of the following codes identifying whether or not progress payments (PP), advance payments (AP), or other financing methods were used.
(A) Code A - FAR 52.232-16. Enter code A if the contract contains the clause at FAR 52.232-16, Progress Payments.
(B) Code B - Reserved.
(C[B]) Code C - Percentage of Completion PP [Progress Payments]. Enter code C if the contract provides for progress payments based on percentage or stage of completion, which is only permitted on contracts for construction, for shipbuilding, or for ship conversion, alteration, or repair (see 232.102(e)(2)).
(D[C]) Code D - Unusual PP or AP [Progress Payments or Advance Payments]. Enter code D if the contract provides unusual progress payments or advance payments (see FAR Subpart 32.4 and 32.501-2).
(E[D]) Code E - Commercial Financing. Enter code E if the contract provides for commercial financing payments (see FAR Subpart 32.2).
(F[E]) Code F - Performance-Based Financing. Enter code F if the contract provides for performance-based financing payments (see FAR Subpart 32.10).
(G[F]) Code Z - Not Applicable. Enter code Z when codes A through F do not apply.
(xiii) BLOCK [LINE] C13, FOREIGN TRADE DATA.
(A) The term "United States (U.S.)," as used in Block [on Line] C13, excludes the Trust Territory of Palau (see 204.670-1 for definition of United States and outlying areas).
(B) BLOCK [LINE] C13A, PLACE OF MANUFACTURE. Complete Block [Line] C13A only if the contracting action is for a foreign end product or a service provided by a foreign concern. Otherwise, leave Block [Line] C13A blank.
(1) Code A - U.S. Enter code A if the contracting action is for-
(i) A foreign end product that is manufactured in the United States but still determined to be foreign because 50 percent or more of the cost of its components is not mined, produced, or manufactured inside the United States or inside qualifying countries; or
(ii) Services performed in the United States by a foreign concern.
(2) Code B - Foreign. Enter code B if the contracting action is for-
(i) Any other foreign end product; or
(ii) Services performed outside the United States by a foreign concern.
(C) BLOCK [LINE] C13B, COUNTRY OF ORIGIN CODE.
(1) Complete Block [Line] C13B only if Block [Line] C13A is coded A or B. Otherwise, leave Block [Line] C13B blank.
(2) Enter the code from FIPS PUB 10, Countries, Dependencies, Areas of Special Sovereignty, and Their Principal Administrative Divisions, that identifies the country where the foreign product is coming from or where the foreign company providing the services is located. If more than one foreign country is involved, enter the code of the foreign country with the largest dollar value of work under the contract.
(xiv) BLOCK [LINE] C14, COMMERCIAL ITEMS. Enter one of the following codes:
(A) Code Y - Yes[- FAR 52.212-4 Included]. Enter code Y if the contract contains the clause at FAR 52.212-4, Contract Terms and Conditions--Commercial Items.
(B) Code N - No[- FAR 52.212-4 Not Included]. Enter code N if code Y does not apply.
(d) Part D of the DD Form 350.
(1) Do NOT complete Part D if the contracting action is[-
(i)] w[W]ith a government agency, i.e., Block [Line] B5B is coded Y.[; or]
(2) [(ii) If the action is a[A]n order or call under a Federal schedule, complete only Blocks D1 and D6.
(3[2]) Use the codes in Blocks [on Lines] B13A and B13D to determine whether the codes in Part D will describe the [current] contracting action being reported or the original contract.
(i) Code Part D to describe the [current] contracting action being reported when-
(A) Block [Line] B13A is coded 1, 3, 4, or 9 and Block [Line] B13D is coded A or is blank; or
(B) Block [Line] B5B is coded N, Block [Line] B13A is coded 8, and Block [Line] B13D is coded A or is blank.
(ii) Otherwise, code Part D to describe the original contract. If there are no codes for the original contract because a DD Form 350 was not required at the time, the original action is no longer available, the definition of the original code has changed, or a data element has been added to the system after the original contract report, use codes that best describe the original contracting action.
(4[3]) Determine the status of the concern (e.g., size and ownership) by referring to [in accordance with] FAR Part 19 and DFARS Part 219. For an order or call under a Federal schedule, refer to the schedule or comply with departmental instructions.
(5[4]) Complete Part D blocks as follows:
(i) BLOCK [LINE] D1, TYPE OF CONTRACTOR.
(A) BLOCK [LINE] D1A, TYPE OF ENTITY. Enter one of the following codes:
(1) Code A - Small Disadvantaged Business [(SDB)] Performing in U.S. Enter code A if the contractor is a small disadvantaged business concern as defined in 219.001 and the place of performance is within the United States and outlying areas.
(2) Code B - Other Small Business [(SB)] Performing in U.S. Enter code B if the contractor is a small business concern as defined in FAR 19.001, other than a small disadvantaged business concern, and the place of performance is within the United States and outlying areas.
(3) Code C - Large Business Performing in U.S. Enter code C if the contractor is a domestic large business concern and the place of performance is within the United States and outlying areas.
(4) Code D - JWOD Participating Nonprofit Agency. Enter code D if the contractor is a qualified nonprofit agency employing people who are blind or severely disabled (see FAR 8.701) and the place of performance is within the United States and outlying areas.
(5) Code F - Hospital. Enter code F if the contractor is a hospital and the place of performance is within the United States and outlying areas.
(6) Code L - Foreign Concern/ [or] Entity. Enter code L if the contractor is a foreign concern, the Canadian Commercial Corporation, or a non-U.S.-chartered nonprofit institution.
(7) Code M - Domestic Firm Performing Outside U.S. Enter code M if the contractor is a domestic concern or a domestic nonprofit institution and the place of performance is outside the United States and outlying areas.
(8) Code U[T] - Historically Black College or University or Minority Institution (HBCU/MI). Enter code U[T] if the contractor is an HBCU/MI as defined at 252.226-7000 and the place of performance is within the United States and outlying areas.
[(9) Code U - Minority Institution (MI). Enter code U if the contractor is an MI as defined at 252.226-7000 and the place of performance is within the United States and outlying areas.]
(9[10]) Code V - Other Educational. Enter code V if the contractor is an educational institution that does not qualify as an HBCU/ [or] MI and the place of performance is within the United States and outlying areas.
(10[11]) Code Z - Other Nonprofit. Enter code Z if the contractor is a nonprofit institution [organization] ([as] defined in FAR 31.701) that does not meet any of the criteria in codes D, F, [T,] U, or V and the place of performance is within the United States and outlying areas.
[(B) LINE D1B, WOMEN-OWNED BUSINESS. Enter one of the following codes:
(1) Code Y - Yes. Enter code Y if the contractor's response to FAR 52.204-5, 52.212-3(c), or 52.219-1(b) indicates that it is a women-owned business.
(2) Code N - No. Enter code N if the contractor's response to FAR 52.204-5, 52.212-3(c), or 52.219-1(b) indicates that it is not a women-owned business.
(3) Code U - Uncertified. Enter code U if the information is not available because the contractor did not complete the representation in FAR 52.204-5, 52.212-3(c), or 52.219-1(b).]
(B[C]) BLOCK [LINE] D1B[C], HUBZONE REPRESENTATION. Enter one of the following codes when Block [Line] D1A is coded A or B. Otherwise, leave Block [Line] D1B[C] blank.
(1) Code Y - Yes. Enter code Y if the contractor represented that it is a HUBZone small business concern (see FAR 19.1303).
(2) Code N - No. Enter code N if code Y does not apply.
[(D) LINE D1D, ETHNIC GROUP.
(1) Complete Line D1D if the action is with a small disadvantaged business. Otherwise, leave Line D1D blank.
(2) Enter the code from the following list that corresponds to the ethnic group that the contractor marked in the solicitation provision at FAR 52.219-1, Small Business Program Representations, or FAR 52.212-3(c).
(E) LINE D1E, VETERAN-OWNED SMALL BUSINESS. Enter one of the following codes if the contractor is a veteran-owned small business. Otherwise, leave Line D1E blank.
(1) Code A - Service-Disabled Veteran. Enter code A if the contractor represented that it is a service-disabled veteran-owned small business.
(2) Code B - Other Veteran. Enter code B if the contractor represented that it is a veteran-owned small business, other than a service-disabled veteran-owned small business.]
(ii) BLOCK [LINE] D2, REASON NOT AWARDED TO SMALL DISADVANTAGED BUSINESS (SDB). Enter one of the following codes when Block [Line] D1A is coded B or C. Otherwise, leave Block [Line] D2 blank.
(A) Code A - No Known SDB Source.
(B) Code B - SDB Not Solicited. Enter code B when there was a known SDB source, but it was not solicited.
(C) Code C - SDB Solicited/ [and] No Offer [Received]. Enter code C when an SDB was solicited but it did not submit an offer, or its offer was not sufficient to cover the total quantity requirement so it received a separate award for the quantity offered.
(D) Code D - SDB Solicited/ [and] Offer [Was] Not Low. Enter code D when an SDB offer was not the low [or most advantageous] offer or an SDB was not willing to accept award of a partial small business set-aside portion of an action at the price offered [by the Government].
(E) Code Z - Other Reason. Enter code Z when an SDB did not receive the award for any other reason or when Block [Line] B1B is coded B or C and Block [Line] B13A is coded 5.
(iii) BLOCK [LINE] D3, REASON NOT AWARDED TO SMALL BUSINESS (SB). Enter one of the following codes when Block [Line] D1A is coded C. Otherwise, leave [Line] D3 blank. (The term "small business" includes all categories of small businesses.)
(A) Code A - No Known SB Source.
(B) Code B - SB Not Solicited. Enter code B when there was a known small business source, but it was not solicited.
(C) Code C - SB Solicited/ [and] No Offer [Received]. Enter code C when a small business concern was solicited but it did not submit an offer, or its offer was not sufficient to cover the total quantity requirement so it received a separate award for the quantity offered.
(D) Code D - SB Solicited/ [and] Offer [Was] Not Low. Enter code D when a small business offer was not the low or most advantageous offer or a small business concern was not willing to accept award of a set-aside portion of an action at the price offered by the Government.
(E) Code Z - Other Reason. Enter code Z when a small business did not receive the award for any other reason or when Block [Line] B1B is coded B or C and Block [Line] B13A is coded 5.
(iv) BLOCK [LINE] D4, [SET-ASIDE OR] PREFERENCE PROGRAM.
(A) BLOCK [LINE] D4A, TYPE OF SB SET-ASIDE. Enter one of the following codes:
(1) Code A - None. Enter code A if there was no small business set-aside (see FAR 19.502 [i.e., codes B through L do not apply]). Note that set-asides for historically black colleges and universities and minority institutions (HBCUs/MIs) are not small business set-asides. Use code A for HBCU/MI set-asides and complete Block D4C.
(2) Code B - Total SB Set-Aside. Enter code B if the action was a total set-aside for small business (see FAR 19.502-2), including actions reserved exclusively for small business concerns pursuant to FAR 13.003(b)(1), or if the action resulted from the Small Business Innovation Research Program.
(3) Code C - Partial SB Set-Aside. Enter code C if the action was a partial set-aside for small business (see FAR 19.502-3).
[(4) Code D - Section 8(a) Set-Aside or Sole Source. Enter code D if the contract was awarded to-
(4[5]) Code E - Total SDB Set-Aside. Enter code E if the action was a total set-aside for small disadvantaged businesses.
[(6) Code F - HBCU or MI - Total Set-Aside. Enter code F if the action was a total set-aside for HBCU or MI (see 226.7003).
(7) Code G - HBCU or MI - Partial Set-Aside. Enter code G if the action was a partial set-aside for HBCU or MI under a broad agency announcement (see 235.016).]
(5[8]) Code F[H] - Very Small Business Set-Aside. Enter code F[H] if the action was a set-aside for very small businesses (see FAR Subpart 19.9).
(6[9]) Code Y[J] - Emerging Small Business Set-Aside. Enter code Y[J] if the action was an emerging small business set-aside within a designated industry group under the Small Business Competitiveness Demonstration Program (see FAR Subpart 19.10).
[(10) Code K - HUBZone Set-Aside or Sole Source. Enter code K if the action was-
(i) A set-aside for HUBZone small business concerns (see FAR 19.1305); or
(11) Code L - Combination HUBZone and 8(a). Enter code L if action was a combination HUBZone set-aside and 8(a) award.]
(B) BLOCK [LINE] D4B, TYPE OF SDB SET-ASIDE/SDB PREFERENCE. Enter one of the following codes, even if Block [Line] D4A is coded E:
(1) Code A - None. Enter code A if no SDB preference was given or award was not to an SDB.
(2) Code B - Section 8(a). Enter code B if the contract was awarded to-
(i) The Small Business Administration under Section 8(a) of the Small Business Act (see FAR Subpart 19.8); or
(ii) An 8(a) contractor under the direct award procedures at 219.811.
(3) Code C - Total SDB Set-Aside. Enter code C if the action was an SDB set-aside and award was to an SDB.
(4[2]) Code D[B] - SDB Price Evaluation
Adjustment - Unrestricted. Enter code D[B] if the action was unrestricted but an SDB received an award as a result of a price evaluation adjustment (see FAR Subpart 19.11).
(5[3]) Code E[C] - SDB Preferential
Consideration - Partial SB Set-Aside. Enter code E[C] if the action was a partial set-aside for small business and preferential consideration resulted in an award to an SDB.
[(4) Code D - HUBZone Price Evaluation Preference. Enter code D if the contractor received the award as a result of a HUBZone price evaluation preference (see FAR 19.1307).
(5) Code E - HUBZone Price Evaluation Preference and SDB Price Evaluation Adjustment. Enter code E if the contractor received the award as a result of both a HUBZone price evaluation preference and an SDB price evaluation adjustment (see FAR 19.1307).]
(C) BLOCK D4C, HBCU/MI SET-ASIDE. Enter one of the following codes:
(1) Code A - None. Enter code A if the action was not set aside for HBCUs or MIs.
(2) Code B - HBCU or MI--Total Set-Aside. Enter code B if the action was a total set-aside for HBCUs and MIs (see 226.7003).
(3) Code C - HBCU or MI--Partial Set-Aside. Enter code C if the action was a partial set-aside for HBCUs or MIs under a broad agency announcement (see 235.016).
(D) BLOCK D4D. TYPE OF HUBZONE PREFERENCE. Enter one of the following codes:.
(1) Code A - None. Enter code A if no preference was given to HUBZone small business concerns.
(2) Code B - Set-Aside. Enter code B if the contractor received the award as a result of a HUBZone set-aside (see FAR 19.1305).
(3) Code C - Price Evaluation Preference. Enter code C if the contractor received the award as a result of a HUBZone price evaluation preference (see FAR 19.1307).
(4) Code D - Sole Source Award. Enter code D if the contractor received the award as a result of a HUBZone sole source action (see FAR 19.1306).
(E[C]) BLOCK [LINE] D4E[C], PREMIUM PERCENT.
(1) Complete Block [Line] D4E[C] if Block [Line] B1B is coded A[,] and-
(i) Block [Line] D4B[A] is coded C[E], D[F], or E[G]; [or]
(ii) Block [Line] D4C[B] is coded B[,] or C[, D or E.]; or
(iii) Block D4D is coded C.
(2) Otherwise, leave Block [Line] D4E[C] blank.
(3) Calculate the premium percentage per 219.202-5 and enter it as a three-digit number rounded to the nearest tenth, e.g., enter 7.55% as 076. If no premium was paid, enter three zeros (000).
(v) BLOCK D5, ETHNIC GROUP.
(A) Complete Block D5 if the action is with an SDB. Otherwise, leave Block D5 blank.
(B) Enter the code from the following list that corresponds to the ethnic group marked by the contractor in the solicitation provision at FAR 52.219-1, Small Business Program Representations, or FAR 52.212-3(c).
(1) Code A - Asian-Indian American.
(2) Code B - Asian-Pacific American.
(3) Code C - Black American.
(4) Code D - Hispanic American.
(5) Code E - Native American.
(6) Code F - Other SDB Certified/Determined by SBA.
(7) Code Z - No Representation.
(vi) BLOCK D6, WOMEN-OWNED BUSINESS. Enter one of the following codes:
(A) Code Y - Yes. Enter code Y if-
(1) The contractor's response to FAR 52.204-5, 52.212-3(c), or 52.219-1(b) indicates that it is a women-owned business; or
(2) Block B13A is coded 6 and the Federal schedule indicates that the contractor is a women-owned business.
(B) Code N - No. Enter code N if-
(1) The contractor's response to FAR 52.204-5, 52.212-3(c), or 52.219-1(b) indicates that it is not a women-owned business; or
(2) Block B13A is coded 6 and the Federal schedule indicates that the contractor is not a women-owned business.
(C) Code U - Uncertified. Enter code U if the information is not available because the contractor did not complete the representation under FAR 52.204-5, 52.212-3(c), or 52.219-1(b).
[(v) LINES D5 - D6. Reserved.]
(vii) BLOCK [LINE] D7, SMALL BUSINESS INNOVATION RESEARCH (SBIR) PROGRAM. Enter one of the following codes. When Block [Line] B1B is coded B or C and Block [Line] B13A is coded 5, leave Block [Line] D7 blank.
(A) Code A - Not a SBIR Program Phase I/[,] II/[, or] III. Enter code A if the action is not in support of a Phase I, II, or III SBIR Program.
(B) Code B - SBIR Program Phase I Action. Enter code B if the action is related to a Phase I contract in support of the SBIR Program.
(C) Code C - SBIR Program Phase II Action. Enter code C if the action is related to a Phase II contract in support of the SBIR Program.
(D) Code D - SBIR Program Phase III Action. Enter code D if the action is related to a Phase III contract in support of the SBIR Program.
(viii) BLOCK [LINE] D8, SUBCONTRACTING PLAN - SB, SDB, OR HBCU/[, OR] MI. Enter one of the following codes:
(A) Code A - Plan Not Included - No Subcontracting Possibilities. Enter code A if a subcontracting plan was not included in the contract because subcontracting possibilities do not exist (see FAR 19.705-2(c)).
(B) Code B - Plan Not Required. Enter code B if no subcontracting plan was required (e.g., because the action did not meet the dollar thresholds in FAR 19.702(a)).
(C) Code C - Plan Required, [-] Incentive Not Included. Enter code C if the action includes a subcontracting plan, but does not include additional incentives (see FAR 19.708(c)).
(D) Code D - Plan Required, [-] Incentive Included. Enter code D if the action includes a subcontracting plan and also includes additional incentives (see FAR 19.708(c) and 219.708(c)).
(ix[viii]) BLOCK [LINE] D9, SMALL BUSINESS COMPETITIVENESS DEMONSTRATION PROGRAM. Enter one of the following codes. When Block [Line] B13A is coded 5 or Block [Line] B13D is coded B, C, D, E, F, or G and the original action was awarded before the [demonstration] program began, enter code N in Block [on Line] D9. When Block [Line] B1B is coded B or C and Block [Line] B13A is coded 5, enter code N in Block [on Line] D9. [Otherwise, code Line D9 as follows:]
(A) Code Y - Yes. Enter code Y if this is an action with a U.S. business concern, in either the four designated industry groups or the ten targeted industry categories under the Small Business Competitiveness Demonstration Program (see FAR Subpart 19.10 and DFARS Subpart 219.10), where the principal place of performance is in the United States or outlying areas.
(B) Code N - No. Enter code N if code Y does not apply.
(x[ix]) BLOCK [LINE] D10, SIZE OF SMALL BUSINESS.
(A) Complete Block [Line] D10 only when Block [Line] D9 is coded Y and the contractor is a small business (Block [Line] D1[A] is coded A or B). Otherwise, leave Block [Line] D10 blank.
(B) Enter one of the following codes for the size of the business (number of employees or average annual gross revenue) as represented by the contractor in the solicitation provision at FAR 52.219-19, Small Business Concern Representation for the Small Business Competitiveness Demonstration Program:
(1) Code A - 50 or fewer employees.
(2) Code B - 51-100 employees.
(3) Code C - 101-250 employees.
(4) Code D - 251-500 employees.
(5) Code E - 501-750 employees.
(6) Code F - 751-1,000 employees.
(7) Code G - Over 1,000 employees.
(8) Code M - $1,000,000 or less.
(9) Code N - $1,000,001 - $2,000,000.
(10) Code P - $2,000,001 - $3,500,000.
(11) Code R - $3,500,001 - $5,000,000.
(12) Code S - $5,000,001 - $10,000,000.
(13) Code T - $10,000,001 - $17,000,000.
(14) Code U - Over $17,000,000.
(xi[x]) BLOCK [LINE] D11, EMERGING SMALL BUSINESS.
(A) Complete this block [line] only if Block [Line] D9 is coded Y and the contracting action is in one of the four designated industry groups, not one of the targeted industry categories. Otherwise, leave Block [Line] D11 blank.
(B) Enter one of the following codes:
(1) Code Y - Yes. Enter code Y if the contractor represents in the provision at FAR 52.219-19, Small Business Concern Representation for the Small Business Competitiveness Demonstration Program, that it is an emerging small business concern.
(2) Code N - No. Enter code N if code Y does not apply.
(e) Part E of the DD Form 350. Part E gathers data on specialized items that may not become permanent reporting elements.
(1) BLOCK [LINE] E1, CONTINGENCY, HUMANITARIAN, OR PEACEKEEPING OPERATION.
(i) Enter code Y in Block [on Line] E1 if the contracting action exceeds $200,000 and is in support of-
(A) A contingency operation as defined in 10 U.S.C. 101(a)(13); or
(B) A humanitarian or peacekeeping operation as defined in 10 U.S.C. 2302(7[8]).
(ii) Otherwise, leave Block [Line] E1 blank.
(2) BLOCK [LINE] E2, COST ACCOUNTING STANDARDS CLAUSE. Enter code Y in Block [on Line] E2 if the contract includes a Cost Accounting Standards clause (see FAR Part 30). Otherwise, leave Block [Line] E2 blank.
(3) BLOCK [LINE] E3 - BLOCK E8. Reserved. [, NON-DOD REQUESTING AGENCY CODE (FIPS 95). If making a purchase on behalf of a non-DoD agency, enter the four-position code from FIPS PUB 95 that identifies the non-DoD agency. Otherwise, leave Line E3 blank.
(4) LINE E4, NON-DOD REQUESTING OFFICE CODE. If making a purchase on behalf of a non-DoD agency, enter the non-DoD agency's office code. Otherwise, leave Line E4 blank.
(5) LINES E5 - E7. Reserved.
(6) LINE E8, NUMBER OF CONTRACTING ACTIONS. If submitting a consolidated DD Form 350, enter the number of contracting actions included in the consolidated report (see 204.670-6(b)). Otherwise, leave Line E8 blank.]
(f) Part F of the DD Form 350. Part F identifies the reporting official.
(1) BLOCK [LINE] F1, NAME OF CONTRACTING OFFICER OR REPRESENTATIVE. Enter the name (Last, First, Middle Initial) of the contracting officer or representative.
(2) BLOCK [LINE] F2, SIGNATURE. The person identified in Block [on Line] F1 must sign.
(3) BLOCK [LINE] F3, TELEPHONE NUMBER. Enter the telephone number (with area code) for the individual in Block [on Line] F1. Installations with Defense Switched Network (DSN) must enter the DSN number.
(4) BLOCK [LINE] F4, DATE. Enter the date that the DD Form 350 Report is submitted. Enter four digits for the year, two digits for the month, and two digits for the day. Use 01 through 12 for January through December. For example, enter January 2, 2003, as 20030102.
253.204-71 DD Form 1057, Monthly Contracting Summary of [Contracting] Actions $25,000 or Less.
(a) Scope of subsection. Policy on use of a DD Form 1057 is in 204.670. This subsection contains instructions on completion of the DD Form 1057.
(1) Report actions in the month they are awarded, issued, executed, or placed, except-
(i) When the price of an order or call cannot be determined when it is placed, count the action and its dollars when it is paid.
(ii) Count the following actions when the voucher is paid (count each voucher as one action):
(A) Meals and lodging.
(B) Automatic deliveries, e.g., bread, milk, and ice cream.
(iii) The Navy Facilities Engineering Command shall [will] report vouchers it processes on Naval shore establishment contracts for electricity and gas in accordance with departmental procedures.
(2) Enter all dollar amounts in whole dollars only. Do not enter cents. If the net amount is a decrease, enter a minus sign (-) immediately preceding the amount to indicate a credit entry. Do not enter parentheses.
(3) Report actions of $25,000 or less in support of a contingency operation as defined in 10 U.S.C. 101(a)(13), or a humanitarian or peacekeeping operation as defined in 10 U.S.C. 2302(7[8]), in accordance with the instructions in paragraphs (c) through (j) of this subsection. Report actions exceeding $25,000 but not exceeding $200,000 in support of a contingency operation as defined in 10 U.S.C. 101(a)(13), or a humanitarian or peacekeeping operation as defined in 10 U.S.C. 2302(7), on the monthly DD Form 1057 as follows:
(i) Section B; the applicable lines are 5, 5a, 7, and 7a [5 through 5e and 8 through 8e].
(ii) Section C; the applicable lines are 1 and 1c, 2 and 2c, and 3 and 3c.
(iii) Sections D, E, and F, are not applicable.
(iv) Section G; complete fully.
(b) Definitions. For purposes of this subsection-
"All Other Orders" means orders, and modifications of such orders, under basic ordering agreements (BOAs) or indefinite[-] delivery contracts.
"GSA Schedule Orders" means only orders/[or] calls, and modifications of such orders/ [or] calls, under Federal schedules awarded by GSA.
"Other Contracting Actions" means all actions that do not meet the definitions, in this paragraph (b), of an order.
"Other Federal Schedule Orders" means only orders, and modifications of such orders, under Federal schedules awarded by an agency other than GSA, e.g., awarded by VA or OPM.
"Simplified Acquisition Procedures" means purchase orders, calls under blanket purchase agreements (BPAs) (except BPAs written under Federal schedules), and modifications to those actions.
(c) Section A, General Information.
(1) BLOCK [LINE] A1, REPORT FOR MONTH ENDING. Enter the last day of the month in which the report is submitted. Enter four digits for the year, two digits for the month, and two digits for the day. Use 01 through 12 for January through December. For example, enter January 31, 2003, as 20030131.
(2) BLOCK [LINE] A2, [NAME OF] CONTRACTING OFFICE. Enter sufficient detail to establish the identity of the contracting office submitting the report in Blocks [on Lines] 2a and b.
(3) BLOCK [LINE] A3, REPORTING [CONTRACTING] OFFICE CODE[S]. Enter the code assigned to the contracting office by the departmental data collection point in 204.670-8.
[(i) LINE A3A, REPORTING AGENCY FIPS 95 CODE. Enter the four-position code from Federal Information Processing Standards Publication (FIPS PUB) 95, Codes for the Identification of Federal and Federally Assisted Organizations, that identifies the reporting agency.
(ii) LINE A3B, CONTRACTING OFFICE CODE. Enter the code assigned by the departmental data collection point in 204.670-1(c).]
(d) Section B, Contracting Actions.
(1) BLOCK [LINE] B1, TARIFF OR REGULATED ACQUISITIONS. Enter the number and dollar value of contracting actions (including modifications that will also be reported in Block [on Line] B8[9]) with tariff or regulated industries (industries with sole source and service rates which [that] are fixed or adjusted by a Federal, State, or other public regulatory body).
(2) BLOCK [LINE] B2, FOREIGN/ [OR] INTERAGENCY.
(i) Enter the total number and dollar value of contracting actions (including modifications that will also be reported in Block [on Line] B8[9])-
(A) For foreign military sales (FMS) or other arrangement where the foreign government or international organization is paying all or part of the cost of the action.
(B) Placed directly with foreign governments under the terms of an international agreement, e.g., base maintenance performed with the foreign government acting as the contractor (any other actions directly with foreign governments go in Block [on Line] B5).
(C) With another Federal agency or Government corporation, e.g., Federal Prison Industries (UNICOR).
(ii) Enter the subtotals in Blocks B2a, b, and c for the number and dollar value of contracting actions, [(]including modifications that will also be reported in Block [on Line] B8[9)] for-
(A) Block [Line] B2a, FMS/ [or] International Agreements. Enter subtotals for paragraphs (d)(2)(i)(A) and (B) of this subsection.
(B) Block [Line] B2b, Action[s] with UNICOR. Enter subtotal for contracting actions with UNICOR.
(C) Block [Line] B2c, Action[s] with Other Government Agency[ies]. Enter subtotal for action[s] with government agencies other than UNICOR.
(3) BLOCK [LINE] B3, SMALL BUSINESS.
(i) Enter the total number and total dollar value of contracting actions (including modifications which [that] will also be reported in Block [on Line] B8[9]) where the-
(A) Contractor is a small business concern; and
(B) Place of performance is in the United States and outlying areas (see 204.670-1).
(ii) Enter the subtotals for the number and dollar value of contracting actions (including modifications that will also be reported in Block [on Line] B8[9]) for-
(A) Block [Line] B3a, Simplified Acquisition Procedures (SAP).[;]
(B) Block [Line] B3b, GSA Schedule Orders.[;]
(C) Block [Line] B3c, Other Federal Schedule Orders.[;]
(D) Block [Line] B3d, All Other Orders.[; and]
(E) Block [Line] B3e, Other Contracting Actions.
(4) BLOCK [LINE] B4, LARGE BUSINESS.
(i) Enter the total number and dollar value of contracting actions (including modifications which [that] will also be reported in Block [on Line] B8[9]) where the-
(A) Contractor is a large business concern; and
(B) Place of performance is in the United States and outlying areas.
(ii) Enter the subtotals for the number and dollar value of contracting actions (including modifications that will also be reported in Block [on Line] B8[9]) for-
(A) Block [Line] B4a, Simplified Acquisition Procedures (SAP).[;]
(B) Block [Line] B4b, GSA Schedule Orders.[;]
(C) Block [Line] B4c, Other Federal Schedule Orders.[;]
(D) Block [Line] B4d, All Other Orders.[; and]
(E) Block [Line] B4e, Other Contracting Actions.
(5) BLOCK [LINE] B5, DOMESTIC OR FOREIGN ENTITIES PERFORMING OUTSIDE THE UNITED STATES.
(i) Enter the total number and dollar value of contracting actions (including modifications that will also be reported in Block [on Line] B8[9]) where the place of performance is outside the United States and outlying areas (see 204.670-1(c)). This includes actions placed directly with a foreign government that are not under international agreements (see paragraph (d)(2)(i)(B) of this subsection). It does not matter whether the contractor is domestic or foreign.
(ii) Enter the subtotals for the number and dollar value of [contracting] actions (including modifications that will also be reported in Block [on Line] B8[9]) for-
(A) Block [Line] B5a, Simplified Acquisition Procedures (SAP).[;]
(B) Block [Line] B5b, GSA Schedule Orders.[;]
(C) Block [Line] B5c, Other Federal Schedule Orders.[;]
(D) Block [Line] B5d, All Other Orders.[; and]
(E) Block [Line] B5e, Other Contracting Actions.
(6) BLOCK [LINE] B6, EDUCATIONAL, NONPROFIT & OTHER.
(i) Enter the total number and dollar value of contracting actions [with educational institutions] (including modifications that will also be reported in Block [on Line] B8[9])[.] with-
(A) Educational institutions;
(B) Not-for-profit and nonprofit institutions (defined in FAR 31.701);
(C) Qualified nonprofit agencies employing people who are blind or severely disabled; and
(D) Any other entities not listed in Blocks B1 through B5.
(ii) Enter the subtotals for the number and dollar value of contracting actions (including modifications that will also be reported in Block [on Line] B8[9]) for-
(A) Block [Line] B6a, Simplified Acquisition Procedures (SAP).[;]
(B) Block [Line] B6b, GSA Schedule Orders.[;]
(C) Block [Line] B6c, Other Federal Schedule Orders.[;]
(D) Block [Line] B6d, All Other Orders.[; and]
(E) Block [Line] B6e, Other Contracting Actions.
[(7) LINE B7, NONPROFIT AND OTHER.
(i) Enter the total number and dollar value of contracting actions (including modifications that will also be reported on Line B9) with-
(ii) Enter the subtotals for the number and dollar value of contracting actions (including modifications that will also be reported on Line B9) for-
(7[8]) BLOCK [LINE] B7[8], TOTAL CONTRACTING ACTIONS.
(i) Add Blocks [the amounts on Lines] B1 through B6[7] and enter the totals in Block [on Line] B7[8].
(ii) If directed by data collection point procedures, also enter the subtotals for the number and dollar value of contracting actions for-
(A) Block [Line] B7[8]a, Simplified Acquisition Procedures, sum of sub-blocks[Lines] 3a + 4a + 5a + 6a [+ 7a].
(B) Block [Line] B7[8]b, GSA Schedule Orders, sum of sub-blocks[Lines] 3b + 4b + 5b + 6b [+ 7b].
(C) Block [Line] B7[8]c, Other Federal Schedule Orders, sum of sub-blocks[Lines] 3c + 4c + 5c + 6c [+ 7c].
(D) Block [Line] B7[8]d, All Other Orders, sum of sub-blocks[Lines] 3d + 4d + 5d + 6d [+ 7d].
(E) Block [Line] B7[8]e, Other Contracting Actions, sum of sub-blocks[Lines] 3e + 4e + 5e + 6e [+ 7e].
(8[9]) BLOCK [LINE] B8[9], TOTAL MODIFICATIONS EXCLUDING SIMPLIFIED ACQUISITION PROCEDURES. Enter the total number and dollar value of modification actions, excluding simplified acquisition procedures.
(e) Section C, Extent Competed.
(1) BLOCK [LINE] C1, COMPETED.
(i) Enter the total number and dollar value of contracting actions which [that] were competed.
(A) Include in Block [on Line] C1-
(1) Actions not subject to Competition in Contracting Act (CICA) (see FAR 6.001) when at least two quotations or offers were received;
(2) Actions when competitive procedures were used to fulfill the requirement for full and open competition ([see] FAR Subpart 6.1);
(3) Actions when full and open competition was provided for after exclusion of sources, to establish/ [or] maintain alternative sources or to set aside an acquisition exceeding the micro-purchase threshold for small business ([see] FAR Subpart 6.2);
(4) Actions when statutory authorities for other than full and open competition ([see] FAR Subpart 6.3) were used and more than one offer was received, except as provided in paragraphs (e)(1)(i)(B)(2) and (3) of this subsection;
(5) Actions resulting from a contract awarded competitively before CICA (including two-step formal advertising);
(6) Orders/[,] calls[,] and modifications under a Federal schedule; and
(7) Section 8(a) awards competed under FAR 6.204.
(B) Do not include-
(1) Actions that meet the criteria for Section C, Block [Line] C2;
(2) Actions awarded under the authority of FAR 6.302-5(b)(2) or (4), authorized or required by statute (report these in Section C, Block [Line] C2); or
(3) Actions reported in Section B, Blocks [Lines] B1 and B2, including actions with the Federal Prison Industries (UNICOR). These actions are treated as not available for competition in published competition reports.
(ii) Enter the subtotals for the number and dollar value of contracting actions for-
(A) Block [Line] C1a, Small Business Concerns;
(B) Block [Line] C1b, Large Business Concerns;
(C) Block [Line] C1c, Domestic or Foreign Entities Performing Outside the United States and Outlying Areas; and
(D) Block [Line] C1d, Educational, Nonprofit & Other.[; and
(E) Line C1e, Nonprofit and Other.]
(2) BLOCK [LINE] C2, NOT AVAILABLE FOR COMPETITION.
(i) Enter the total number and dollar value of contracting actions which [that] were not available for competition.
(A) Include in Block [on Line] C2-
(1) Actions for brand name commercial products for authorized resale;
(2) Actions authorized or required by statute to be awarded to a specific source or through another agency in accordance with FAR 6.302-5(b)(2) or (4); e.g., actions with qualified nonprofit agencies employing people who are blind or severely disabled, and noncompetitive 8(a) actions;
(3) Actions (including modifications) at or below the micro-purchase threshold at FAR 2.101; and
(4) Other contract actions when the Director of Defense Procurement has determined that there is no opportunity for competition.
(B) Do not include any actions reported in Section B, Blocks [Line] B1 or B2 (e.g., actions with regulated monopolies, actions under foreign military sales or international agreements, and actions with another Federal agency or Government corporation). These actions are treated as not available for competition in published competition reports.
(ii) Enter the subtotals for the number and dollar value of contracting actions for-
(3) BLOCK [LINE] C3, NOT COMPETED.
(i) Enter the total number and dollar value of contracting actions which [that] were not competed, i.e., any actions not reported in Blocks [on Line] B1 or B2. Do not include actions reported in Section B, Blocks [Line] B1 or B2. These actions are treated as not available for competition in published competition reports.
(ii) Enter the subtotals for the number and dollar value of [contracting] actions for-
(A) Block [Line] C3a, Small Business Concerns;
(B) Block [Line] C3b, Large Business Concerns;
(C) Block [Line] C3c, Domestic or Foreign Entities Performing Outside the United States and Outlying Areas; and
(D) Block [Line] C3d, Educational, Nonprofit & Other.[; and
(E) Line C3e, Nonprofit and Other.]
(f) Section D, Research, Development, Test, & Evaluation [RDT&E] Actions. Do not include actions for supplies or services in support of [research, development, test, and evaluation (]RDT&E[)] work that do not require the contractor to perform RDT&E.
(1) BLOCK [LINE] D1, SMALL BUSINESS. Enter the total number and dollar values of RDT&E actions with small business concerns.
(2) BLOCK [LINE] D2, LARGE BUSINESS. Enter the total number and dollar value of RDT&E actions with large business concerns.
(3) BLOCK [LINE] D3, DOMESTIC OR FOREIGN ENTITIES PERFORMING OUTSIDE THE UNITED STATES AND OUTLYING AREAS. Enter the total number and dollar value of RDT&E actions where the principal place of performance is outside the United States or [and] outlying areas (see 204.670-1).
(4) BLOCK [LINE] D4, HISTORICALLY BLACK COLLEGES & [AND] UNIVERSITIES OR MINORITY INSTITUTIONS (HBCU/MI). Enter the total number and dollar value of RDT&E actions with HBCUs or MIs.
[(5) LINE D5, MINORITY INSTITUTIONS (MI). Enter the total number and dollar value of RDT&E actions with MIs.
(6) LINE D6, OTHER EDUCATIONAL. Enter the total number and dollar value of RDT&E actions with educational institutions other than HBCUs or MIs.]
(5[7]) BLOCK [LINE] D5[7], OTHER ENTITIES. Enter the total number and dollar value of RDT&E actions that were not reported in Blocks [on Lines] D1 through D4[6].
(g) Section E, Selected Socioeconomic Statistics.
(1) BLOCK [LINE] E1, SMALL BUSINESS (SB) SET-ASIDE.
(i) Enter the total number and dollar value of contracting actions that were small business set-aside actions, including awards to SDBs reported in Blocks [on Lines] E2c and E2d. Do not include orders under Federal schedules that are reported in Block [on Line] E3 or E5.
(ii) If the action is an emerging small business set-aside (see FAR 19.1006(c)), use the most appropriate sub-block [line].
(iii) Enter the subtotals for the number and total dollar value of [contracting] actions for-
(A) Block [Line] E1a, SB Set-Aside Using Simplified Acquisition Procedures. Enter actions pursuant to FAR 13.003(b)(1).
(B) Block [Line] E1b, SB Set-Aside. Enter actions pursuant to FAR 19.502.
(2) BLOCK [LINE] E2, SMALL DISADVANTAGED BUSINESS (SDB) ACTIONS.
(i) Enter the total number and dollar value of [contracting] actions that were SDB actions. Do not include orders under Federal schedules that are reported in Block [on Line] E3 or E5.
(ii) Enter the subtotals for the number and dollar value [of contracting actions] for-
(A) Block [Line] E2a, Through SBA - Section 8(a). Enter actions with the Small Business Administration pursuant to Section 8(a) of the Small Business Act (see FAR Subpart 19.8) or under the 8(a) direct award procedures at 219.811.
(B) Block [Line] E2b, SDB Set-Aside/[,] SDB Preference/[, or SDB] Evaluation Adjustment. Enter actions resulting from-
(1) A set-aside for SDB concerns;
(2) Application of an SDB price preference or evaluation adjustment (see FAR Subpart 19.11); or
(3) SDB preferential consideration.
(C) Block [Line] E2c, SB Set-Aside Using Simplified Acquisition Procedures. Enter actions pursuant to FAR 13.003(b)(1) when award is to an SDB, but a preference or evaluation adjustment was not applied.
(D) Block [Line] E2d, SB Set-Aside. Enter actions under FAR 19.502 when award is to an SDB, but a preference or evaluation adjustment was not applied nor was preferential consideration given.
(E) Block [Line] E2e, Other. Enter awards to SDB concerns when award is to an SDB [that are] not reported in Blocks [on Lines] E2a through E2d.
(3) BLOCK [LINE] E3, SDB FEDERAL SCHEDULE ORDERS. Enter the total number and dollar value of contracting actions that were orders under Federal schedules with SDBs.
(4) BLOCK [LINE] E4, WOMEN-OWNED SMALL BUSINESS. Enter the total number and dollar value of contracting actions with women-owned small businesses (see FAR 19.304(a)[001]). Do not include orders under Federal schedules that are reported in Block [on Line] E5.
(5) BLOCK [LINE] E5, WOMEN-OWNED SMALL BUSINESS FEDERAL SCHEDULE ORDERS. Enter the total number and dollar value of contracting actions that were orders under Federal schedules with women-owned small businesses.
(6) BLOCK [LINE] E6, HBCU/MI. Enter the total number and dollar value of contracting actions with HBCU/MIs pursuant to Subpart 226.70.
[(7) LINE E7, MI. Enter the total number and dollar value of contracting actions with MIs pursuant to Subpart 226.70.]
(7[8]) BLOCK [LINE] E7[8], JWOD PARTICIPATING NONPROFIT AGENCIES. Enter the total number and dollar value of contracting actions with qualified nonprofit agencies employing people who are blind or severely disabled for supplies or services from the Procurement List pursuant to FAR Subpart 8.7.
(8[9]) BLOCK [LINE] E8[9], EXEMPT FROM SMALL BUSINESS ACT REQUIREMENTS. Enter the total number and dollar value of contracting actions exempt from the set-aside requirements of the Small Business Act (see FAR 19.502-1).
(9[10]) BLOCK [LINE] E9[10], HUBZONE.
(i) Enter the total number and dollar value of contracting actions that were awarded to HUBZone small business concerns[.] in each of the following categories:
[(ii) Enter the subtotals for the number and dollar value of contracting actions for-]
(A) Block [Line] E9[10]a, HUBZone Set-Aside.[;]
(B) Block [Line] E9[10]b, HUBZone Price Evaluation Preference.[;]
(C) Block [Line] E9[10]c, HUBZone Sole Source.[; and]
(D) Block [Line] E9[10]d, HUBZone Concern - Other. Use this category when the award is to a HUBZone small business concern and Blocks [Lines] E9[10]a, E9[10]b, and E9[10]c do not apply.
[(11) LINE E11, SERVICE-RELATED DISABLED VETERAN-OWNED SMALL BUSINESS. Enter the total number and dollar value of contracting actions that were awarded to service-disabled veteran-owned small business concerns.
(12) LINE E12, OTHER VETERAN-OWNED SMALL BUSINESS. Enter the total number and dollar value of contracting actions that were awarded to veteran-owned small business concerns, other than those reported on Line E11.]
(ii) Do not include orders under Federal schedules that are reported in Block E3 or E5. Do not total the values for Block E9.
(h) Section F, Simplified Acquisition Procedures - Dollar Value Ranges. Enter in each of the dollar ranges the total number and dollar value of contracting actions which [that] used simplified acquisition procedures (FAR Part 13). The total of Section F is normally the sum of Blocks [Lines] B3a, B4a, B5a, and B6a[, and B7a].
(i) Section G, Contingency Actions. BLOCK [LINE] G1, TOTAL ACTIONS.
(1) Enter the total number and dollar value of [contracting] actions [that were awarded] in support of a contingency operation as defined in 10 U.S.C. 101(a)(13) or a humanitarian or peacekeeping operation as defined in 10 U.S.C. 2302(7[8]). The numbers entered here are a breakout of the numbers already entered in Sections B and C.
(2) Enter the subtotals based on the instructions for completion of Section C for the number and dollar value of contracting actions for-
(i) Block [Line] G1a, Competed.[;]
(ii) Block [Line] G1b, Not Available for Competition; and
(iii) Block [Line] G1c, Not Competed.
(j) Section H, Remarks and Authentication.
(1) BLOCK [LINE] H1, REMARKS. Enter any remarks applicable to this report.
(2) BLOCK [LINE] H2, CONTRACTING OFFICER.
(i) Block [Line] H2a, Typed Name. Enter the name (last, first, middle initial) of the contracting officer or representative.
(ii) Block [Line] H2b, Signature. The person identified in Block [on Line] H2a must sign.
(iii) Block [Line] H2c, Telephone Number. Enter the telephone number (with area code) of the person identified in Block [on Line] H2a. Installations with Defense Switched Network (DSN) must enter their DSN number.
(3) BLOCK [LINE] H3, DATE REPORT SUBMITTED. Enter the date that the DD Form 1057 is submitted. Enter four digits for the year, two digits for the month, and two digits for the day. Use 01 through 12 for January through December. For example, enter January 2, 2003, as 20030102.
Uncompensated Overtime Source Selection Factor
DFARS Case 2000-D013
Final Rule
DEPARTMENT OF DEFENSE
48 CFR Part 215
[DFARS Case 2000-D013]
Defense Federal Acquisition Regulation Supplement; Uncompensated Overtime Source Selection Factor
AGENCY: Department of Defense (DoD).
ACTION: Final rule.
SUMMARY: The Director of Defense Procurement has issued a final rule amending the Defense Federal Acquisition Regulation Supplement (DFARS) to remove text pertaining to the evaluation of uncompensated overtime hours in proposals for service contracts. The DFARS text duplicates text found in the Federal Acquisition Regulation (FAR).
EFFECTIVE DATE: June 27, 2000.
FOR FURTHER INFORMATION CONTACT: Ms. Kathleen Fenk, Defense Acquisition Regulations Council, OUSD (AT&L)DP(DAR), IMD 3D139, 3062 Defense Pentagon, Washington, DC 20301-3062. Telephone (703) 602-0296; telefax (703) 602-0350. Please cite DFARS Case 2000-D013.
SUPPLEMENTARY INFORMATION:
A. Background
This final rule removes the text at DFARS 215.305(a)(1) pertaining to the evaluation of uncompensated overtime hours in proposals for service contracts. The DFARS text duplicates the text found at FAR 37.115-2(c).
This rule was not subject to Office of Management and Budget review under Executive Order 12866, dated September 30, 1993.
B. Regulatory Flexibility Act
This final rule does not constitute a significant revision within the meaning of FAR 1.501 and Public Law 98-577 and publication for public comment is not required. However, DoD will consider comments from small entities concerning the affected DFARS subpart in accordance with 5 U.S.C. 610. Such comments should cite DFARS Case 2000-D013.
C. Paperwork Reduction Act
The Paperwork Reduction Act does not apply because the rule does not impose any information collection requirements that require the approval of the Office of Management and Budget under 44 U.S.C. 3501, et seq.
List of Subjects in 48 CFR Part 215
Government procurement: Michele P. Peterson, Executive Editor, Defense Acquisition Regulations Council.
Therefore, 48 CFR Part 215 is amended as follows:
PART 215-CONTRACTING BY NEGOTIATION
* * * * *
SUBPART 215.3-SOURCE SELECTION
* * * * *
215.305 Proposal evaluation.
(a)(1) Cost or price evaluation. Contracting officers shall ensure that the use of uncompensated overtime in contracts to acquire services on the basis of the number of hours provided (see FAR 37.115) will not degrade the level of technical expertise required to fulfill the Government's requirements. When acquiring such services, contracting officers shall conduct a risk assessment, and evaluate for award on that basis, any proposals received that reflect factors such as-
(A) Unrealistically low labor rates or other costs that may result in quality or service shortfalls; and
(B) Unbalanced distribution of uncompensated overtime among skill levels and its use in key technical positions.
* * * * *
DEPARTMENT OF DEFENSE
48 CFR Part 232
[DFARS Case 2000-D009]
Defense Federal Acquisition Regulation Supplement; Progress Payments for Foreign Military Sales Contracts
AGENCY: Department of Defense (DoD).
ACTION: Final rule.
SUMMARY: The Director of Defense Procurement has issued a final rule amending the Defense Federal Acquisition Regulation Supplement (DFARS) to clarify that DoD applies progress payments to contracts containing foreign military sales (FMS) requirements in the same manner that it applies progress payments to contracts containing DoD requirements.
EFFECTIVE DATE: June 27, 2000.
FOR FURTHER INFORMATION CONTACT: Ms. Sandra Haberlin, Defense Acquisition Regulations Council, OUSD (AT&L) DP (DAR), IMD 3D139, 3062 Defense Pentagon, Washington, DC 20301-3062. Telephone (703) 602-0289; telefax (703) 602-0350. Please cite DFARS Case 2000-D009.
SUPPLEMENTARY INFORMATION:
A. Background
This final rule amends DFARS Subpart 232.5, Progress Payments Based on Costs, to clarify that the application of customary progress payments is the same for both DoD and FMS contract requirements. The rule also makes editorial changes to update and simplify the text. This rule was not subject to Office of Management and Budget review under Executive Order 12866, dated September 30, 1993.
B. Regulatory Flexibility Act
This final rule does not constitute a significant revision within the meaning of FAR 1.501 and Public Law 98-577 and publication for public comment is not required. However, DoD will consider comments from small entities concerning the affected DFARS subpart in accordance with 5 U.S.C. 610. Such comments should cite DFARS Case 2000-D009.
C. Paperwork Reduction Act
The Paperwork Reduction Act does not apply because the rule does not impose any information collection requirements that require the approval of the Office of Management and Budget under 44 U.S.C. 3501, et seq.
List of Subjects in 48 CFR Part 232
Government procurement: Michele P. Peterson, Executive Editor, Defense Acquisition Regulations Council.
Therefore, 48 CFR Part 232 is amended as follows:
The authority citation for 48 CFR Part 232 continues to read as follows:
Progress Payments for FMS Contracts
DFARS Case 2000-D009
Final Rule
PART 232-CONTRACT FINANCING
* * * * *
SUBPART 232.5--PROGRESS PAYMENTS BASED ON COSTS
232.501 General.
232.501-1 Customary progress payment rates.
(a)(i) The customary uniform progress payment rate[s] for DoD contracts[, including contracts that contain foreign military sales (FMS) requirements, are] is 75 percent for large businesses, 90 percent for small businesses, and 95 percent for small disadvantaged businesses.
(ii) The progress payment rates applicable to foreign military sale requirements are the same rates applicable to DoD requirements.
232.501-2 Unusual progress payments.
(a) Unusual progress payment arrangements require the advance approval of the USD(A&T)DP [Director of Defense Procurement, Office of the Under Secretary of Defense (Acquisition, Technology, and Logistics) (OUSD(AT&L)DP)]. Contracting officers shall [must] submit all unusual progress payment requests to the department or agency contract financing office for approval, coordination with the Contract Finance Committee (see 232.071), and submission to the [O]USD(A&T[AT&L])DP.
232.501-3 Contract price.
(b) The contracting officer may approve progress payments when the contract price exceeds the funds obligated under the contract; provided, the contract contains an appropriate Limitation of Funds clause. However, the contracting officer shall [must] limit such payments to the lesser of-
* * * * *
232.502-1-70 Customary foreign military sale progress payments.
(a) Foreign military sale (FMS) progress payments apply to DoD acquisitions on behalf of foreign governments or international organizations (Section 22 of the Arms Export Control Act).
(b) FMS progress payments do not apply to acquisitions-
(1) For replenishing U.S. Government inventories or stocks; and
(2) Made under DoD cooperative logistic support arrangements.
232.502-4 Contract clauses.
232.502-4-70 Additional clauses.
(a) Use the clause at 252.232-7002, Progress Payments for Foreign Military Sales Acquisitions, in any [solicitations and] contract[s] that[-
(i) Contain FMS requirements; and
(ii) P]provides for progress payments and contains foreign military sale requirements.
(b) Use the clause at 252.232-7004, DoD Progress Payment Rates, in addition to the clauses prescribed at FAR 32.502-4.
232.503 Postaward matters.
232.503-6 Suspension or reduction of payments.
(b) Contractor noncompliance. See also 242.7503.
(g) Loss contracts. Use the following loss ratio adjustment procedures for making adjustments required by FAR 32.503-6(f) and (g)-
(i) Except as provided in paragraph (g)(ii) of this subsection, the contracting officer shall [must] prepare a supplementary analysis of the contractor's request for progress payments and calculate the loss ratio adjustment using the procedures in FAR 32.503-6(g).
* * * * *
DEPARTMENT OF DEFENSE
48 CFR Parts 242 and 253
[DFARS Case 99-D026]
Defense Federal Acquisition Regulation Supplement; Production Surveillance and Reporting
AGENCY: Department of Defense (DoD).
ACTION: Final rule.
SUMMARY: The Director of Defense Procurement has issued a final rule amending the Defense Federal Acquisition Regulation Supplement (DFARS) to revise the criteria for determining the degree of production surveillance needed for DoD contracts and to delete obsolete forms. The rule requires contract administration offices to conduct a risk assessment of each contractor to determine the degree of production surveillance needed for contracts awarded to that contractor.
EFFECTIVE DATE: June 27, 2000.
FOR FURTHER INFORMATION CONTACT: Mr. Rick Layser, Defense Acquisition
Regulations Council, OUSD (AT&L) DP (DAR), IMD 3D139, 3062 Defense Pentagon, Washington, DC 20301-3062. Telephone (703) 602-0293; telefax (703) 602-0350. Please cite DFARS Case 99-D026.
SUPPLEMENTARY INFORMATION:
A. Background
This final rule makes the following changes to the DFARS:
1. Revises the production surveillance requirements at 242.1104, to
require contract administration offices to conduct a risk assessment of each
contractor to determine the degree of production surveillance needed for contracts awarded to that contractor.
2. Deletes an obsolete reference to cost/schedule control system requirements at 242.1106(a).
3. Deletes the following obsolete forms: DD Form 375, Production Progress Report; DD Form 375c, Production Progress Report (Continuation); and DD Form 375-2, Delay in Delivery.
DoD published a proposed rule on January 13, 2000 (65 FR 2109). Six
sources submitted comments on the proposed rule. DoD considered all
comments in the development of the final rule. This rule was not subject to Office of Management and Budget review under Executive Order 12866, dated September 30, 1993.
B. Regulatory Flexibility Act
DoD certifies that this final rule will not have a significant economic impact on a substantial number of small entities within the meaning of the Regulatory Flexibility Act, 5 U.S.C. 601, et seq., because the DFARS changes in this rule primarily affect the allocation of Government resources to production surveillance functions.
C. Paperwork Reduction Act
The Paperwork Reduction Act does not apply because the rule does not impose any information collection requirements that require the approval of the Office of Management and Budget under 44 U.S.C. 3501, et seq.
List of Subjects in 48 CFR Parts 242 and 253
Government procurement: Michele P. Peterson, Executive Editor, Defense Acquisition Regulations Council.
Therefore, 48 CFR Parts 242 and 253 are amended as follows:
Production Surveillance and Reporting
DFARS Case 1999-D026
Final Rule
PART 242-CONTRACT ADMINISTRATION AND AUDIT SERVICES
* * * * *
SUBPART 242.11-PRODUCTION SURVEILLANCE AND REPORTING
242.1104 Surveillance requirements.
(a)(i) As a minimum, contracts will receive pre-delivery telephonic surveillance.
(ii) Contracts in the following categories will receive pre-delivery on-site production surveillance:
(A) Contracts assigned criticality designator A (see FAR 42.1105).
(B) Contracts specifically identified for special surveillance by the contracting officer.
(C) Any contract where telephonic surveillance reveals actual or anticipated delinquency unless the contract administration office, in coordination with the contracting officer, decides that on-site surveillance is not warranted.
[(a) The cognizant contract administration office (CAO) must-
(i) Conduct a periodic risk assessment of each contractor to determine the degree of production surveillance needed for contracts awarded to that contractor. The risk assessment must consider information provided by the contractor and the contracting officer;
(ii) Develop a production surveillance plan based on the risk level determined during the risk assessment;
(iii) Modify the production surveillance plan to incorporate any special surveillance requirements for individual contracts, including any requirements identified by the contracting officer; and
(iv) Monitor contract progress and identify potential contract delinquencies in accordance with the production surveillance plan.]
* * * * *
242.1106 Reporting requirements.
(a) See also-
(i) DoD 5000.2-R, Mandatory Procedures for Major Defense Acquisition Programs (MDAPs) and Major Automated Information System (MAIS) Acquisition Programs; and[.]
(ii) For cost/schedule control system requirements on major systems acquisitions, 234.005-70.
(b)(i) Within four working days after receipt of the contractor's report, the contract administration office (CAO) shall [must] provide the report and any required comments to the contracting officer and, unless otherwise specified in the contract, the inventory control manager.
(ii) If the contractor's report indicates that the contract is on schedule and the CAO agrees, the CAO does not need to add further comments. In all other cases, the CAO shall [must] add comments and recommend a course of action.
(c)(i) CAOs may report using-
(A) DD Form 375-2, Delay in Delivery (Flash Notice);
(B) DD Form 375, Production Progress Report;
(C) MILSCAP Revised Delivery Forecast (RDF) system; or
(D) Message, letters, or facsimile.
(ii) The contracting office shall acknowledge receipt of the CAO report.
* * * * *
PART 253-FORMS
* * * * *
SUBPART 253.3-ILLUSTRATION OF FORMS
* * * * *
253.303-375 DD Form 375, Production Progress Report.
253.303-375c DD Form 375c, Production Progress Report
(Continuation).
253.303-375-2 DD Form 375-2, Delay in Delivery.
* * * * *
[Remove forms]
DEPARTMENT OF DEFENSE
Various Acquisition Regulations; Final Rules
48 CFR Parts 201, 202, 203, 204, 206, 209, 212, 213, 217, 219, 225, 231, 232, 235, 236, 242, 249, 250, 252, and 253, and Appendices A and G to Chapter 2
Defense Federal Acquisition Regulation Supplement; Technical Amendments
AGENCY: Department of Defense (DoD).
ACTION: Final rule.
SUMMARY: The Director of Defense Procurement is making technical amendments to the Defense Federal Acquisition Regulation Supplement to update organization names, position titles, addresses, telephone numbers, office symbols, and references; to delete obsolete or duplicative text; and to renumber and relocate text for consistency with corresponding Federal Acquisition Regulation text.
EFFECTIVE DATE: June 27, 2000.
FOR FURTHER INFORMATION CONTACT: Ms. Michele Peterson, Defense Acquisition Regulations Council, OUSD (AT&L) DP (DAR), IMD 3D139, 3062 Defense Pentagon, Washington, DC 20301-3062. Telephone (703) 6012-0311; telefax (703) 602-0350.
List of Subjects in 48 CFR Parts 201, 202, 203, 204, 206, 209, 212, 213, 217, 219, 225, 231, 232, 235, 236, 242, 249, 250, 252, and 253
Government procurement: Michele P. Peterson, Executive Editor, Defense Acquisition Regulations Council.
Therefore, 48 CFR Parts 201, 202, 203, 204, 206, 209, 212, 213,217, 219, 225, 231, 232, 235, 236, 242, 249, 250, 252, and 253, and Appendices A and G to Chapter 2 are amended as follows:
DFARS Technical Amendments
PART 201-FEDERAL ACQUISITION REGULATIONS SYSTEM
SUBPART 201.1-PURPOSE, AUTHORITY, ISSUANCE
* * * * *
201.107 Certifications.
In accordance with Section 29 of the Office of Federal Procurement Policy Act (41 U.S.C. 425), a new requirement for a certification by a contractor or offeror may not be included in the DFARS unless-
* * * * *
(2) Written justification for such certification is provided to the Secretary of Defense by the Under Secretary of Defense (Acquisition[,] and Technology[, and Logistics]), and the Secretary of Defense approves in writing the inclusion of such certification requirement.
* * * * *
PART 202-DEFINITIONS OF WORDS AND TERMS
SUBPART 202.1-DEFINITIONS
202.101 Definitions.
* * * * *
"Head of the agency," means[,] for DoD, the Secretary of Defense, the Secretary of the Army, the Secretary of the Navy, and the Secretary of the Air Force. Subject to the direction of the Secretary of Defense, the Under Secretary of Defense (Acquisition[,] & Technology[, and Logistics]), and the Director of Defense Procurement, the directors of the defense agencies have been delegated authority to act as head of the agency for their respective agencies (i.e., to perform functions under the FAR or DFARS reserved to a head of agency or agency head), except for such actions that by terms of statute, or any delegation, must be exercised within the Office of the Secretary of Defense.
"Senior procurement executive," means[,] for DoD-
Department of Defense (including the defense agencies)-Under
* * * * *
The directors of the defense agencies have been delegated authority to act as senior procurement executive for their respective agencies, except for such actions that by terms of statute, or any delegation, must be exercised by the Under Secretary of Defense (Acquisition[,] & Technology[, and Logistics]).
* * * * *
PART 203-IMPROPER BUSINESS PRACTICES AND PERSONAL CONFLICTS OF INTEREST
* * * * *
SUBPART 203.5-OTHER IMPROPER BUSINESS PRACTICES
* * * * *
203.570 Prohibition on persons convicted of fraud or other defense-contract-related felonies.
* * * * *
203.570-3 Waiver.
* * * * *
(b) The head of the agency or designee shall report all waivers granted, and the reasons for granting the waiver, to the Under Secretary of Defense (Acquisition[,] & Technology[, and Logistics]), who will forward the report to Congress as required by 10 U.S.C. 2408(a)(3).
* * * * *
SUBPART 203.7-VOIDING AND RESCINDING CONTRACTS
203.703 Authority.
The authority to act for the agency head under this subpart is limited to a level no lower than an official who is appointed by and with the advice of the Senate, without power of redelegation. For the defense agencies, for purposes of this subpart, the agency head designee is the Under Secretary of Defense (Acquisition[,] & Technology[, and Logistics]).
* * * * *
PART 204-ADMINISTRATIVE MATTERS
* * * * *
SUBPART 204.70-UNIFORM PROCUREMENT INSTRUMENT IDENTIFICATION NUMBERS
* * * * *
204.7003 Basic PII number.
(a) Elements of a number. * * *
(3) Position 9. * * *
(viii) Agreements, including basic agreements H
and loan agreements, but excluding
basic purchasing [blanket purchase]
agreements, basic ordering agreements,
and leases
* * * * *
PART 206-COMPETITION REQUIREMENTS
* * * * *
SUBPART 206.3-OTHER THAN FULL AND OPEN COMPETITION
* * * * *
206.302-5 Authorized or required by statute.
* * * * *
(c) Limitations.
(i) * * *
(B) * * * Contracting activities must submit a draft notice of intent with supporting documentation through channels to the Director of Defense Procurement, Office of the Under Secretary of Defense (Acquisition[,] & Technology[, and Logistics]).
* * * * *
206.304 Approval of the justification.
(a)(4) The Under Secretary of Defense (Acquisition[,] & Technology[, and Logistics]) may delegate this authority to-
* * * * *
PART 209-CONTRACTOR QUALIFICATIONS
SUBPART 209.1-RESPONSIBLE PROSPECTIVE CONTRACTORS
* * * * *
209.103 Policy.
(a)(i) * * *
(C) The department or agency acquisition executive reviews the decision and the Under Secretary of Defense (Acquisition[,] & Technology[, and Logistics]) approves the decision.
* * * * *
209.104-1 General standards.
* * * * *
(g) * * *
(ii) * * *
(C) * * * Waiver requests, prepared by the requiring activity in coordination with the contracting officer, shall be processed through the Director of Defense Procurement, Office of the Under Secretary of Defense (Acquisition[,] & Technology[, and Logistics]), and shall include a proposed national interest determination. * * *
* * * * *
209.104-70 Solicitation provisions.
(a) * * * Any disclosure that the government of a terrorist country has a significant interest in an offeror or a subsidiary of an offeror shall be forwarded through the head of the agency to the Director, [of] Defense Procurement, ATTN: OUSD(A&T[AT&L])DP/FC, 3060 Defense Pentagon, Washington, DC 20301-3060.
* * * * *
PART 212-ACQUISITION OF COMMERCIAL ITEMS
* * * * *
SUBPART 212.5-APPLICABILITY OF CERTAIN LAWS TO THE ACQUISITION OF COMMERCIAL ITEMS
* * * * *
212.504 Applicability of certain laws to subcontracts for the acquisition of commercial items.
(a) The following laws are not applicable to subcontracts at any tier for the acquisition of commercial items or commercial components:
* * * * *
(viii) 10 U.S.C. 2327, Reporting Requirement Regarding Dealings with Terrorist Countries.
* * * * *
(xxv) 10 U.S.C. 2327 (Section 843(a), Pub. L. 103-160), Reporting Requirement Regarding Dealings with Terrorist Countries.
(xxvi) Domestic Content Restrictions in the National Defense Appropriations Acts for Fiscal Years 1996 and Subsequent Years.
* * * * *
PART 213-SIMPLIFIED ACQUISITION PROCEDURES
* * * * *
SUBPART 213.3-SIMPLIFIED ACQUITION METHODS
* * * * *
213.302-5 Clauses.
* * * * *
(d) When using the clause at FAR 52.213-4, delete the reference to the clause at FAR 52.225-1, Buy American Act-Balance of Payments Program-Supplies. Instead, if the Buy American Act applies to the acquisition, use the clause at-
(i) 252.225-7001, Buy American Act and Balance of Payments Program, as prescribed at 225.109(d)[1101(2)]; or
(ii) 252.225-7036, Buy American Act-North American Free Trade Agreement Implementation Act-Balance of Payments Program, as prescribed at 225.408(a)(vi)[1101(13)].
* * * * *
PART 217-SPECIAL CONTRACTING METHODS
SUBPART 217.1-MULTIYEAR CONTRACTING
* * * * *
217.172 Multiyear contracts for supplies.
* * * * *
(d) * * * The head of the agency must submit copies of the notifications to the Director of Defense Procurement, Office of the Under Secretary of Defense (Acquisition[,] and Technology[, and Logistics])(OUSD(A&T[AT&L])DP), and to the Deputy Under Secretary of Defense (Comptroller)(Program/Budget)(OUSD(C)(P/B).
217.173 Multiyear contracts for weapon systems.
* * * * *
(b) * * *
(5) * * * The request must-
* * * * *
(iv) Be submitted to OUSD(A&T[AT&L])DP for transmission to Congress via the Secretary of Defense and the President.
* * * * *
SUBPART 217.70-EXCHANGE OF PERSONAL PROPERTY
* * * * *
217.7001 Definitions.
As used in this subpart,[-]
* * * * *
(b) "Property" means items which [that] fall within one of the generic categories listed in DoDI 4140.51, Exchange of Nonexcess Personal Property in the Department of Defense [DoD 4140.1-R, DoD Materiel Management Regulation, Chapter 6.2, Exchange or Sale of Nonexcess Personal Property].
217.7002 Policy.
DoD policy is to exchange, rather than replace, eligible nonexcess property whenever exchange promotes economical and efficient program accomplishment. Exchange policy, authority, and applicability are governed by-
* * * * *
(b) DoDI 4140.51, Exchange of Nonexcess Personal Property in the Department of Defense [DoD 4140.1-R, Chapter 6.2].
217.7003 Purchase request.
Ensure that the requiring activity provides all of the following in support of the purchase request-
(a) A certification that the property is eligible for exchange and complies with all conditions and limitations of DoDI 4140.51 [DoD 4140.1-R, Chapter 6.2];
* * * * *
SUBPART 217.75-ACQUISITION OF REPLENISHMENT PARTS
* * * * *
217.7502 Spares acquisition integrated with production (SAIP).
(a) Spares acquisition integrated with production (SAIP) is a technique used to acquire replenishment parts concurrently with parts being produced for the end item.
(b) DoD acquisition managers select parts for SAIP under the criteria in DoDI 4245.12, Spares Acquisition Integrated With Production (SAIP).
(c[b]) Include appropriately tailored provisions in the contract when SAIP is used.
* * * * *
PART 219-SMALL BUSINESS PROGRAMS
* * * * *
SUBPART 219.2-POLICIES
219.201 General policy.
* * * * *
(f) * * * A copy of each determination shall be forwarded to the Office of Small and Disadvantaged Business Utilization, Office of the Under Secretary of Defense (Acquisition[,] and Technology[, and Logistics]), simultaneously with submittal to the Office of Federal Procurement Policy.
* * * * *
SUBPART 219.8-CONTRACTING WITH THE SMALL BUSINESS ADMINISTRATION (THE 8(A) PROGRAM)
219.800 General.
(a) By Memorandum of Understanding (MOU) dated May 6, 1998, between the Small Business Administration (SBA) and the Department of Defense (DoD), the SBA delegated to the Under Secretary of Defense for Acquisition and Technology [(Acquisition, Technology, and Logistics)] its authority under paragraph 8(a)(1)(A) of the Small Business Act * * *
* * * * *
SUBPART 219.10-SMALL BUSINESS COMPETITIVENESS DEMONSTRATION PROGRAM
* * * * *
219.1006[7] Procedures.
(b)(2[1]) The Director, Small and Disadvantaged Business Utilization, Office of the Under Secretary of Defense (Acquisition[,] and Technology[, and Logistics])[(OUSD(AT&L))], will determine whether reinstatement of small business set-asides are [is] necessary to meet the agency goal and will recommend reinstatement to the Director, [of] Defense Procurement [(OUSD(AT&L))]. Military departments and defense agencies shall not reinstate small business set-asides unless directed by the Director, [of] Defense Procurement.
* * * * *
PART 220-LABOR SURPLUS AREA CONCERNS [RESERVED]
* * * * *
PART 225-FOREIGN ACQUISITION
* * * * *
SUBPART 225.1-BUY AMERICAN ACT-SUPPLIES
225.103 Exceptions.
* * * * *
(b) * * *
(ii) Except as provided in FAR 25.103(b)(2)(i)[(3)], the determination must be approved-
* * * * *
SUBPART 225.7-PROHIBITED SOURCES
* * * * *
225.770-4 Waivers.
The Secretary of Defense may waive the restriction on the basis of national security interests. Waiver requests should be forwarded to the Director of Defense Procurement, USD(A&T)DP [Office of the Under Secretary of Defense (Acquisition, Technology, and Logistics)].
* * * * *
SUBPART 225.8-OTHER INTERNATIONAL AGREEMENTS AND COORDINATION
* * * * *
225.871-7 Congressional notification.
(a) * * *
(1) Departments and agencies must provide a proposed Congressional notice to USD(A&T)DP [the Director of Defense Procurement, Office of the Under Secretary of Defense (Acquisition, Technology, and Logistics),] in sufficient time to forward to Congress before the time of contract award.
* * * * *
225.872-2 Applicability.
(a) * * *
(2) * * *
(ii) Information concerning restricted items may be obtained from the Deputy Assistant [Under] Secretary of Defense (Industrial Affairs);
* * * * *
225.872-3 Solicitation procedures.
* * * * *
(f) * * *
(4) Where it appears that these provisions might adversely delay service programs, obtain the concurrence of the DoD Acquisition Executive, Under Secretary of Defense (Acquisition[,] & Technology[, and Logistics]), before excluding the qualifying country source from consideration.
* * * * *
225.872-4 Evaluation of offers.
* * * * *
(b) Evaluate offers of end products from the qualifying country sources in 225.872-1(a) without application of the 50 percent Buy American Act or Balance of Payments Program evaluation factor, in accordance with 225.105 and 225.303 [225.304 and 225.502].
* * * * *
SUBPART 225.70-AUTHORIZATION ACTS, APPROPRIATIONS ACTS, AND OTHER STATUTORY RESTRICTIONS ON FOREIGN ACQUISITION
* * * * *
225.7002-2 Exceptions.
* * * * *
(j) * * *
(2) The fibers and yarns are para-aramid fibers and yarns manufactured in-
* * * * *
(ii) Another qualifying country (see 225.872) if the Under Secretary of Defense (Acquisition[,] and Technology[, and Logistics]) makes a determination in accordance with Section 807 of Pub. L. 105-261 that-
* * * * *
225.7005 Waiver of certain restrictions.
(a) * * *
(1)(i) The Under Secretary of Defense (Acquisition[,] and Technology[, and Logistics]), without power of delegation, may waive the restriction for a particular item for a particular foreign country upon determination that-
* * * * *
(b) In accordance with the provisions of paragraphs (a)(1)(i) through (a)(1)(iii) of this section, the Under Secretary of Defense (Acquisition[,] and Technology[, and Logistics]) has waived the restrictions of * * *
* * * * *
225.7018-2 Waiver.
The restriction in 225.7018-1 may be waived on a case-by-case basis where the Secretary of the Military Department or the Under Secretary of Defense (Acquisition[,] & Technology[, and Logistics]) certifies to the Committees on Appropriations of the House and Senate that-
* * * * *
225.7019-3 Waiver.
* * * * *
(b)(1) The Under Secretary of Defense (Acquisition[,] and Technology[, and Logistics]), without power of delegation, may waive the restriction in 225.7019-1(a) for a particular foreign country upon determination that-
* * * * *
(5) In accordance with the provisions of paragraphs (b)(1) through (b)(3) of this subsection, the Under Secretary of Defense (Acquisition[,] and Technology[, and Logistics]) has waived the restrictions of 10 U.S.C. 2534(a)(5) for ball and roller bearings manufactured in the United Kingdom. This waiver applies to-
* * * * *
SUBPART 225.72-REPORTING CONTRACT PERFORMANCE OUTSIDE THE UNITED STATES
* * * * *
225.7202 Distribution of reports.
The contracting officer shall forward a copy of reports submitted by successful offerors as required by the clause at 252.225-7026, Reporting of Contract Performance Outside the United States, to the Deputy Director of Defense Procurement (Foreign Contracting), OUSD(A&T[AT&L])DP(FC), Washington, DC 20301-3060. * * *
* * * * *
PART 231-CONTRACT COST PRINCIPLES AND PROCEDURES
* * * * *
SUBPART 231.2-CONTRACTS WITH COMMERCIAL ORGANIZATIONS
* * * * *
231.205-70 External restructuring costs.
* * * * *
(c) Limitations on cost allowability.
(1) * * *
(iv) For business combinations that occur-
(A) Prior to October 1, 1996, the Under Secretary of Defense (Acquisition[,] & Technology[, and Logistics]) or the Principal Deputy certifies that projections of future restructuring savings resulting for DoD from the business combination are based on audited cost data and should result in overall reduced costs for DoD.
(B) October 1, 1996, through November 18, 1997, the Under Secretary of Defense (Acquisition[,] & Technology[, and Logistics]) or the Principal Deputy-
* * * * *
(C) After November 18, 1997, the Under Secretary of Defense (Acquisition[,] & Technology[, and Logistics]) or the Principal Deputy determines in writing that the audited projected savings for DoD resulting from the restructuring will exceed either-
* * * * *
(d) Procedures and ACO responsibilities. * * *
* * * * *
(9) Submit to the Director of Defense Procurement, Office of the Under Secretary of Defense (Acquisition[,] & Technology[, and Logistics]), ATTN: OUSD(A&T[AT&L])DP/CPF, a recommendation for certification, or determination, or both, as applicable. * * *
(10) Consult with the Director of Defense Procurement, Office of the Under Secretary of Defense (Acquisition[,] & Technology[, and Logistics]), when paragraph (c)(1)(iv)(B)(2)(ii) or (c)(1)(iv)(C)(2) of this subsection applies.
* * * * *
PART 232-CONTRACT FINANCING
* * * * *
232.006-5 Reporting.
Departments and agencies, in accordance with department/agency procedures, shall prepare and submit to the Under Secretary of Defense (Acquisition[,] and Technology[, and Logistics]), through the Director of Defense Procurement, annual reports (Report Control Symbol DD-ACQ[AT&L](A) 1891) containing the information required by FAR 32.006-5.
232.070 Responsibilities.
(a) The Director of Defense Procurement, Office of the Under Secretary of Defense (Acquisition[,] and Technology[, and Logistics]) (OUSD(A&T[AT&L])DP) is responsible for ensuring uniform administration of DoD contract financing, including DoD contract financing policies and important related procedures. Agency discretion under FAR Part 32 is at the DoD level and is not delegated to the departments and agencies. Proposals by the departments and agencies, to exercise agency discretion, shall be submitted to OUSD(A&T[AT&L])DP through the DoD Contract Finance Committee (see 232.071).
(b) Departments and agencies are responsible for their day-to-day contract financing operations. Refer specific cases involving financing policy or important procedural issues to OUSD(A&T[AT&L])DP for consideration through the department/agency Contract Finance Committee members (also see Subpart 204.1 for deviation request and approval procedures).
* * * * *
232.071 Contract Finance Committee.
(a) The Contract Finance Committee consists of-
(1) A representative of OUSD(A&T[AT&L])DP, serving as the Chair;
* * * * *
(b) The Committee-
(1) Advises and assists OUSD(A&T[AT&L])DP in ensuring proper and uniform application of policies, procedures, and forms;
* * * * *
(3) May recommend to the Secretary of Defense through OUSD (A&T[AT&L])DP further policy directives on financing; and
* * * * *
SUBPART 232.5--PROGRESS PAYMENTS BASED ON COSTS
* * * * *
232.501-2 Unusual progress payments.
(a) Unusual progress payment arrangements require the advance approval of the USD(A&T)DP [Director of Defense Procurement, Office of the Under Secretary of Defense (Acquisition, Technology, and Logistics) (OUSD(AT&L)DP)]. Contracting officers shall submit all unusual progress payment requests to the department or agency contract financing office for approval, coordination with the Contract Finance Committee (see 232.071), and submission to the [O]USD(A&T[AT&L])DP.
* * * * *
SUBPART 232.6-CONTRACT DEBTS
* * * * *
232.617 Contract clause.
(a) The DoD Contract Finance Committee, with the approval of the USD(A&T)DP [Director of Defense Procurement, Office of the Under Secretary of Defense (Acquisition, Technology, and Logistics)], may exempt the contracts in FAR 32.617(a)(2) through (5) and other contracts, in exceptional circumstances, from the administrative interest charges required by this subpart.
* * * * *
SUBPART 232.8-ASSIGNMENT OF CLAIMS
232.803 Policies.
* * * * *
(d) Pursuant to Section 3737(e) of the Revised Statutes (41 U.S.C. 15), and in accordance with Presidential delegation dated October 3, 1995, Secretary of Defense delegation dated February 5, 1996, and Under Secretary of Defense for [(]Acquisition[,] and Technology[, and Logistics)] delegation dated February 23, 1996, the Director of Defense Procurement determined on May 10, 1996, that a need exists for DoD to agree not to reduce or set off any money due or to become due under the contract when the proceeds under the contract have been assigned in accordance with the Assignment of Claims provision of the contract. * * *
* * * * *
PART 235-RESEARCH AND DEVELOPMENT CONTRACTING
* * * * *
235.006 Contracting methods and contract type.
(b)(i) Do not award a fixed-price type contract for a development program effort unless-
* * * * *
(C) A written determination that the criteria of paragraphs (b)(i)(A) and (B) of this section have been met is executed-
(1) By the Under Secretary of Defense (Acquisition[,] and Technology[, and Logistics]) (USD(A&T[AT&L])) for-
* * * * *
(ii) Obtain USD(A&T[AT&L]) approval of the Government's prenegotiation position before negotiations begin, and obtain USD(A&T[AT&L]) approval of the negotiated agreement with the contractor before the agreement is executed, for any action that is-
* * * * *
(iii) Notify the USD(A&T[AT&L]) of an intent not to exercise a fixed-price production option on a development contract for a major weapon system reasonably in advance of the expiration of the option exercise period.
* * * * *
PART 236-CONSTRUCTION AND ARCHITECT-ENGINEER CONTRACTS
* * * * *
SUBPART 236.2-SPECIAL ASPECTS OF CONTRACTING FOR CONSTRUCTION
* * * * *
[236.213 Special procedures for sealed bidding in construction contracting.
236.213-70 Additive or deductive items. [Moved from 236.303-70.]
(a) If it appears that sufficient funds may not be available for all the desired construction features, consider using a bid schedule with-
(1) A first or base bid item covering the work generally as specified; and
(2) A list of priorities that contains one or more additive or deductive bid items which [that] progressively add or omit specified features of the work in a stated order of priority. (Normally, do not mix additive and deductive bid items in the same solicitation.)
(b) Before opening the bids, record in the contract file the amount of funds available for the project.
(c) Determine the low bidder and the bid items to be awarded as follows:
(1) Use the recorded amount of available funds to determine the low bidder, which will be the bidder that-
(i) Is otherwise eligible for award; and
(ii) Offers the lowest aggregate amount for the first or base bid item, plus or minus (in order of listed priority), those additive or deductive bid items that provide the most features within the funds available.
(2) Evaluate all bids, including those using the procedures in 219.7203, on the basis of the same additive or deductive bid items.
(i) If adding another item from the bid schedule list of priorities would make the award exceed the available funds, skip that item and go to the next item from the list of priorities.
(ii) Add the next item if an award can be made that includes the item and is still within the available funds.
(3) Use the list of priorities only to determine the low bidder. After determining the low bidder, an award may be made on any combination if-
* * * * *
SUBPART 236.3-SPECIAL ASPECTS OF SEALED BIDDING IN CONSTRUCTION CONTRACTING
236.303 Invitations for bids.
236.303-70 Additive or deductive items. [Moved to 236.213-70.]
(a) If it appears that sufficient funds may not be available for all the desired construction features, consider using a bid schedule with-
(1) A first or base bid item covering the work generally as specified; and
(2) A list of priorities that contains one or more additive or deductive bid items which progressively add or omit specified features of the work in a stated order of priority. (Normally, do not mix additive and deductive bid items in the same solicitation.)
(b) Before opening the bids, record in the contract file the amount of funds available for the project.
(c) Determine the low bidder and the bid items to be awarded as follows-
(1) Use the recorded amount of available funds to determine the low bidder, which will be the bidder that-
(i) Is otherwise eligible for award; and
(ii) Offers the lowest aggregate amount for the first or base bid item, plus or minus (in order of listed priority), those additive or deductive bid items that provide the most features within the funds available.
(2) Evaluate all bids, including those using the procedures in 219.7203, on the basis of the same additive or deductive bid items.
(i) If adding another item from the bid schedule list of priorities would make the award exceed the available funds, skip that item and go to the next item from the list of priorities.
(ii) Add the next item if an award can be made that includes the item and is still within the available funds.
(3) Use the list of priorities only to determine the low bidder. After determining the low bidder, an award may be made on any combination if-
(i) It is in the best interests of the Government;
(ii) Funds are available at time of award; and
(iii) The low bidder's price for the combination is less than the price offered by any other responsive, responsible bidder.
* * * * *
SUBPART 242.7-INDIRECT COST RATES
* * * * *
242.771-3 Responsibilities.
* * * * *
(c) DCAA is responsible for submitting an annual report to the Director of Defense Procurement (USD(A&T)DP) [, Office of the Under Secretary of Defense (Acquisition, Technology, and Logistics) (OUSD(AT&L)),] setting forth required statistical information relating to the DoD-wide IR&D/B&P program.
(d) The Director, Defense Research and Engineering ([O]USD(A&T[AT&L])DDR&E), is responsible for establishing a regular method for communication-
* * * * *
SUBPART 242.12-NOVATION AND CHANGE-OF-NAME AGREEMENTS
* * * * *
242.1203 Processing agreements.
(b) * * *
(2)(A) Lists for notices of a successor in interest should include the information at FAR 42.1204(c[e])(2).
* * * * *
PART 249-TERMINATION OF CONTRACTS
SUBPART 249.1-GENERAL PRINCIPLES
* * * * *
249.105-1 Termination status report.
When the contract administration office receives a termination notice, it will, under Report Control Symbol DD-A&T[AT&L](AR)1411-
* * * * *
SUBPART 249.70-SPECIAL TERMINATION REQUIREMENTS
249.7000 Terminated contracts with Canadian Commercial Corporation.
(a) Terminate contracts with the Canadian Commercial Corporation in accordance with-
* * * * *
(3) The Manual of Procedure[s Manual] on Termination of Contracts, Department of Supply and Services (Canada) [Public Works and Government Services Canada].
(b) * * * The letter transmitting a settlement proposal must certify-
* * * * *
(2) That the Contracts Settlement Committee of the Supply and Services Canada (SSC) [Contract Claims Resolution Board of the Public Works and Government Services Canada] has approved settlements with Canadian subcontractors when the Manual of Procedure on Termination of Contracts, SSC, [Procedures Manual on Termination of Contracts] requires such approval.
* * * * *
(d) The Canadian Commercial Corporation (CCC) should send all termination settlement proposals submitted by U.S. subcontractors and suppliers to the TCO, Defense Contract Management Area Operations, Ottawa, [of the cognizant contract administration office of the Defense Contract Management Agency] for settlement. The TCO will inform the CCC [Canadian Commercial Corporation] of the amount of the net settlement of U.S. subcontractors and suppliers so that this amount can be included in the CCC [Canadian Commercial Corporation] termination proposal. The Canadian Commercial Corporation is responsible for execution of the settlement agreement with these subcontractors.
249.7001 Congressional notification on significant contract terminations.
* * * * *
(f) This reporting requirement is assigned Report Control Symbol DD-A&T[AT&L](AR)1412.
* * * * *
PART 250-EXTRAORDINARY CONTRACTUAL ACTIONS
* * * * *
SUBPART 250.2-DELEGATION OF AND LIMITATIONS ON EXERCISE OF AUTHORITY
* * * * *
250.201-70 Delegations.
* * * * *
(b) Defense Agencies. * * *
(1) Requests to obligate the Government in excess of $50,000 must be submitted to the Under Secretary of Defense (Acquisition[,] & Technology[, and Logistics]) (USD(A&T[AT&L])) for approval.
(2) Requests for indemnification against unusually hazardous or nuclear risks must be submitted to the USD(A&T[AT&L]) for approval before using the indemnification clause at FAR 52.250-1, Indemnification Under Public Law 85-804.
* * * * *
PART 252-SOLICITATION PROVISIONS AND CONTRACT CLAUSES
* * * * *
252.225-7026 Reporting of Contract Performance Outside the United States.
As prescribed in 225.7203, use the following clause:
REPORTING OF CONTRACT PERFORMANCE OUTSIDE THE UNITED STATES
(MAR 1998 [JUN 2000])
* * * * *
(b) Submission of reports.
* * * * *
(3) The Contractor shall submit reports required by paragraph (a)(3) of this clause within 10 days of the end of each Government quarter to-
Deputy Director of Defense Procurement (Foreign Contracting) OUSD( Washington, DC 20301-3060 |
* * * * *
PART 253-FORMS
* * * * *
253.213-70 Instructions for completion of DD Form 1155.
* * * * *
(e) Instructions for DD Form 1155 entries. * * *
BLOCK
* * * * *
17 ACCOUNTING AND APPROPRIATION DATA/LOCAL USE--Enter the accounting classification and the accounting classification reference number(s) in accordance with 204.7108[7].
* * * * *
APPENDIX A-ARMED SERVICES BOARD OF CONTRACT APPEALS
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PART 2-RULES
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PREFACE
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II. LOCATION AND ORGANIZATION OF THE BOARD
(a) The Board's address is Skyline Six, 5109 Leesburg Pike, 7th Floor, Falls Church, VA 22041[-3217], telephone (202) 756-8500 [(703) 681-8500] (receptionist), 756-8502 [(703) 681-8502] (recorder).
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APPENDIX G-ACTIVITY ADDRESS NUMBERS
PART 1-GENERAL
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G-102 Activity address number data base maintenance.
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(b) * * * Activity address monitors-
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(2) Notify the executive editor, Defense Acquisition Regulations System, OUSD(A&T[AT&L])DP(DAR), 3062 Defense Pentagon, Washington, DC 20301-3062; and
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PART 3-NAVY ACTIVITY ADDRESS NUMBERS
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N00030 Strategic Systems Programs
EK* 1931 Jefferson Davis Highway [3801 Nebraska Avenue]
EKO-9 Arlington, VA 22241-5362 [Washington, DC 20393-5446]
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[N46450 Officer-In-Charge
L50-9 Fleet and Industrial Supply Center,
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[N68836 Commanding Officer
J9 Fleet and Industrial Supply Center
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PART 4-MARINE CORPS ACTIVITY ADDRESS NUMBERS
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[M20001 Contracting Office
MUN Headquarters and Service Company
(MAJ00027) Marine Forces Atlantic
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[M29000 Contingency Contracting Office
MSZ 3D Force Service Support Group
(MAJ00027) Marine Forces Pacific
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M67355 Marine Corps Regional Contracting Office (Code N45)
(MAJ00027) Expeditionary Warfare Training Group, Atlantic
MUN 1575 Gator Boulevard, Suite 243
Norfolk, VA 23521-2740
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PART 5-AIR FORCE ACTIVITY ADDRESS NUMBERS
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F04605 48[5]2 LSS/LGC
5H 820 Baucom Avenue NW, Suite 101
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F30602 AFRL/IFK[OJ]
RX 26 Electronic Parkway
Rome, NY 13441-4514
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