# AFARS APPENDIX BB

- BB-100 -- Function.
- BB-101 -- Purpose.
- BB-102 -- Instructions.
- BB-103 -- Superseded.
- BB-200 -- Event Cycle 1: Management of the Acquisition Function
- BB-201 -- Event Cycle 2: Presolicitation
- BB-202 -- Event Cycle 3: Solicitation, Evaluation, and Award.
- BB-203 -- Event Cycle 4: Contract Administration
- BB-204 -- Event Cycle 5: Special Acquisition Situations and Requirements
- BB-300 -- Event Cycle 1: Management of the Acquisition Function
- BB-301 -- Event Cycle 2: Presolicitation
- BB-302 -- Event Cycle 3: Solicitation, Evaluation, and Award.
- BB-303 -- Event Cycle 4: Contract Administration
- BB-304 -- Event Cycle 5: Special Acquisition Situations and Requirements
- BB-400 -- Event Cycle 1: Management of the Acquisition Function
- BB-401 -- Event Cycle 2: Presolicitation
- BB-402 -- Event Cycle 3: Solicitation, Evaluation, and Award.
- BB-403 -- Event Cycle 4: Contract Administration
- BB-404 -- Event Cycle 5: Special Acquisition Situations and Requirements

AFARS -- APPENDIX BB

Management Control Evaluation Checklist

[AFARS Revision #24, dated February 26, 2009]

Part 1 --General

BB-100 -- Function.

The function covered by these checklists is Contract Office Management.

BB-101 -- Purpose.

The purpose of the Institutional Contracting checklist, Part 2, is to assist managers at all levels in evaluating compliance with the key management controls listed below. In addition, Parts 3 and 4 are provided to assist contingency contracting officers/office chiefs and their respective Principal Assistants Responsible for Contracting (PARC) to ensure specific key management controls that are required for a contingency environment are in compliance with the key management controls listed below. The checklists are not intended to cover all controls.

BB-102 -- Instructions.

Answers must be based on actual testing of key management controls (e.g., document analysis, direct observation, sampling, simulation, other). Answers, which indicate deficiencies, must be explained and corrective action indicated in supporting documentation. The AFARS provides the policy guidance and prescribed procedures for nearly all aspects of the contracting process; therefore, it is not reasonable, nor possible to include a test question for each element in this management control process. For this reason the Institutional Contracting checklist is not intended to be all-inclusive and should be supplemented to include areas specific to each contracting activity (e.g., Major Systems, etc.). The contingency contracting test questions with specific instructions are provided in Part 3, “OCONUS Contingency Contracting Test Questions,” and Part 4, “CONUS Contingency Contracting Test Questions.” Any added supplemental questions should be geared towards identifying potential problem areas in order to correct/improve the processes before they are raised, or become systemic. Formal evaluations of key management controls must be conducted at least once every five years (AR 11-2).

BB-103 -- Superseded.

This Appendix BB replaces Appendix BB 2001 edition.

Part 2

Institutional Contracting Test Questions

BB-200 -- Event Cycle 1: Management of the Acquisition Function

Step 1: Acquisition Activity Procedures and Functions.

a. Are mission and function statements clear and accurate?

b. Is the contracting office located at a level in the organization where undue pressure will not be placed on contracting personnel?

c. Are there current published standard operating procedures (SOPs) that govern operations of the organization (i.e., security, visitors, etc.)?

d. Are goals and metrics in place and routinely used to assess progress?

e. Is the contracting office currently in compliance with the paperless contracting mandate for electronic transaction of: requirements handoff, solicitations, proposal receipt, evaluation, awards/modifications, and payment?

Step 2: Requiring Activity Coordination.

a. Are requiring activities advised of the lead times necessary to initiate and complete the contractual obligation of funds?

b. Is economic purchase quantity data obtained and shared (when appropriate) with the cognizant inventory manager or with requiring activities (FAR 7.204)?

c. Is teaming a routine practice in preparing contract packages and program strategies?

d. Are Integrated Product Teams utilized to facilitate the decision making process whenever practical?

e. Is a process in place to promote advanced acquisition planning? Does the mechanism involve all key players, to include installation leadership, requiring activities, resource managers, and contracting personnel?

f. Is the requiring activity receiving the proper approvals prior to sending the purchase request to the contracting office?

Step 3: Office Automation.

a. Is there a single point of contact in the office for managing electronic business initiatives?

b. Are procedures established regarding documentation and reporting problems with electronic business initiatives?

c. Are processes for electronic versus paper storage of contract file documentation used consistently throughout the office?

Step 4: Staffing, Facilities, and Training.

a. Is the staffing in contracting offices adequate to support the mission without excessive use of overtime or the addition of temporary employees?

b. Does the organization have a process in place for the recruitment and retention of employees with adequate skill levels?

c. Is the contracting office-working environment (i.e., office space, heating/cooling, lighting, noise levels, etc.) in accordance with space management regulations?

d. Is the number and condition of office business machines (i.e., copiers, datafax, computers, and class “A” telephone lines) adequate?

e. Are the Individual Development Plans (IDPs), job descriptions, and standards current and appropriate for the mission?

f. Is the training received by employees (both formal classroom training and informal on-the-job training) timely, adequate, and appropriate for the specific level of certification?

Step 5: Acquisition Reports and Reviews.

a. Do management and contracting functions of the organization and its activities receive management reviews? Does the organization have a process in place for conducting regular self-assessments to monitor internal management controls?

b. Are Contract Action Reports (CAR) being prepared in a timely manner, verified, and submitted for each applicable contractual action via Federal Procurement Data Systems-Next Generation (FPDS-NG) (FAR 4.6)?

c. Are DD Forms 1547, Record of Weighted Guidelines Application, prepared in a timely manner, verified, and submitted as required (DFARS 215.404-70 and 215-404-71, and PGI 215.404-70, 215.404-71 and 215.406-3(a)(10)(B))?

d. Are Status Reports on Specified Contract Audit Reports, required by DODD 7640.2, prepared in a timely manner, verified, and submitted as required by DODD 7640.2, Enclosure 3?

e. Are recurring reports sent to higher Headquarters in a timely manner?

Step 6: Social and Economic Goals.

a. Does the contract file reflect the timely receipt, evaluation, and approval of required subcontracting plans (AFARS 5119.705-4)?

b. Do contracting officers make a reasonable effort to assist the Small Business Specialists (SBS) in identifying requirements suitable for possible award under the 8(a) Program (AFARS 5119.803(b))?

c. Are contracting officer decisions or recommendations on a particular acquisition coordinated with the SBS on DD Form 2579 (DFARS 219.201(d)(10)(B))?

d. Are the benefits of bundling contracts quantified and substantiated (FAR 7.107)?

Step 7: Standards of Conduct.

a. Is the required ethics training presented at least annually?

b. Are contractors made aware of their responsibility to maintain a suitable system of internal controls to avoid improper business practices (FAR 3.1002(b))?

c. Are organizational conflicts of interest (OCI) between potential contractors and/or subcontractors and the Government being documented, and stated in forthcoming solicitations? Is legal review being obtained?

BB-201 -- Event Cycle 2: Presolicitation

Step 1: Initial purchase tasking receipt and review.

a. Do the purchase requests received adequately describe the requiring activities’ needs, and provide for identification and accountability control? Are they adequately funded, signed, dated, approved by appropriate persons, and include adequate supporting documents, if required?

b. Do the purchase descriptions or performance work statements received describe requirements that are appropriate for this contracting office to purchase? Should another contracting office/activity make the purchase?

c. Are descriptions of the Government’s needs stated in terms sufficient to conduct market research (FAR 10.002)?

d. Has market research been conducted to determine if commercial items or non-developmental items are available to meet the Government’s needs or could be modified to meet the Government’s needs (FAR 10.002(b))?

e. Does the Independent Government Estimate (IGE), if required, appear reasonably accurate and complete?

f. Do the blue prints and drawings, if required, appear reasonably accurate and complete, and can they be provided electronically?

g. If a task or delivery order against a non-DoD contract is requested, does the requirements package include a Certification for Proper Use of a Non-DoD contract in accordance with DFARS 217.78 and AFARS 5117.7802?

h. Are the purchase requests for items delivered after the fact (unauthorized commitments) processed according to ratification procedures (FAR 1.602-3 and AFARS 5101.602-3)?

i. Are established procedures followed whereby the chief of the contracting office regularly monitors the backlog and age of purchase requests or directives that remain “in process”?

Step 2: Acquisition method selection and planning.

a. Are requirements placed as orders against applicable, existing agreements or contracts rather than used as the basis for creating new solicitations?

b. Is “Lessons-Learned” during the previous year(s) considered in the preparation of a new solicitation to fill recurring annual requirements? (That is, are previously erroneous estimates, descriptions, and assumptions corrected rather than repeated?)

c. Is the type of contract selected the result of analyzing the requiring activity’s requirements (i.e., Performance Based, not merely repeating the last selection for a similar requirement) and determining what would promote the Government’s interests (FAR 16.102)?

d. Are acquisition plans:

1. Developed when required (DFARS 207.103)?

2. Sufficiently complete (DFARS 207.105)?

3. Timely Updated (AFARS 5107.103(d)(i))?

Step 3: Competition Considerations.

a. Is the urgency exception to full and open competition being properly applied and not just based on a high priority purchase request or backordered requisition (FAR 6.302-2)?

b. Are solicitations based on the industrial mobilization exception limited to only the minimal sustaining rate for mobilization (FAR 6.302-3(b)(1)(iii))?

c. Are justifications for other than full and open competition (including amendments to justifications) approved in writing at the appropriate level (FAR 6.304)?

d. Are solicitations based on the national security exception to full and open competition legitimately justified (FAR 6.302-6)?

e. Are orders under multiple delivery order/task order contracts that exceed $3,000 issued in a manner that provides all awardees a fair opportunity to be considered? Are orders that exceed $100,000 placed on a competitive basis? If not, is a Limited Source Justification prepared and approved in accordance with FAR 8.405-6(FAR 16.505(b) and DFARS 216.505-70(b))?

Step 4: Solicitation preparation and review.

a. Do solicitation(s):

1. Conform to the Uniform Contract Format (FAR 14.201-1 or FAR 15.204-1), the Commercial Items Contract Format (FAR 12.303), or to any approved contract format, as applicable?

2. Forms and clauses conform to the FAR or DFARS or have deviation approval (DFARS 201.402(2))?

3. Receive the required reviews prior to issuing the solicitation (i.e., legal review for legal sufficiency) (AFARS 5101.602-2 (c) (iv))?

b. Do the Instructions, Conditions and Notices to Offerors (when appropriate) specify in sufficient detail the format and structure (i.e., size print, numbering of pages, etc.) with which each offer is expected to comply?

c. Are justifications posted with the solicitations, as applicable?

Step 5: Solicitation public notices and announcements.

Are solicitation notices publicized:

1. Through the Army Single Face to Industry (ASFI) to Federal Business Opportunities (FedBizOpps) (FAR 5.301, and AFARS 5104.502)?

2. Using the appropriate method (Governmentwide Point of Entry (GPE), public posting, etc.)?

3. For the appropriate number of days?

BB-202 -- Event Cycle 3: Solicitation, Evaluation, and Award.

Step 1: Solicitation distribution, amendment, and cancellation:

a. Are solicitation lists established and maintained when electronic commerce techniques are not employed?

b. Is the Excluded Parties List System (EPLS) being reviewed after opening of bids, or receipt of proposals (FAR 9.405(d)(1))?

Step 2: Bid opening and proposal closing:

a. Are bids received prior to bid opening kept secure in a locked bid box or safe (FAR 14.401(a))?

b. Are the withdrawals of bids before the exact time set for opening bids accomplished according to FAR requirements (FAR 14.303 (b))?

c. Are bid opening postponements limited to only justifiable situations (FAR 14.402-3(a))?

d. Do bid opening officers follow bid opening rules and procedures (FAR 14.402)?

e. Are procedures followed on the receipt and handling of proposals and quotations (FAR 15.207)?

f. Are procedures followed on the disclosure and use of information in the proposals (FAR 3.104-4)?

Step 3: Responsiveness and certifications.

a. Are only those bids that comply in all material respects with the Invitation for Bids (IFB) considered for award (FAR 14.301)?

b. Are appropriate certifications and representations required by the solicitation provided by the offeror prior to award?

Step 4: Mistakes and protest resolution.

Do contracting officers consider, resolve, or forward, as appropriate, all protests filed that relate to either their solicitations or procedures (FAR 33.102)?

Step 5: Technical Evaluation.

Are the technical factors developed specifically for each acquisition, i.e., technical approach, management approach, experience, and personnel qualifications?

Step 6: Price or Cost evaluation.

a. Is the relative importance between price or cost and the non-price/cost factors reflected in both the solicitation and weights or priority statements in the source selection plan?

b. Is price or cost evaluated in every source selection (FAR 15.304(c)(1))?

Step 7: Past Performance Evaluation:

Is past performance being evaluated as appropriate, or the file documented by the contracting officer (FAR 15.304 (c)(3))?

Step 8: Responsibility determination, certification of competency and verification of EPLS and CCR.

a. Do contracting officers place the required written determination of nonresponsibility in the contract file when rejecting prospective offerors as nonresponsible (FAR 9.105-2(a))?

b. Is the EPLS being verified prior to awarding contracts to prospective contractors (FAR 9.405(d)(4))? Is the DoD Termination List Available at https://www.ppirs.gov being verified prior to award?

c. Are appropriate verifications of the contractors’ registration in the Central Contractor Registration (CCR) completed prior to award of contracts (FAR 4.1103)?

Step 9: Approvals, congressional notices, and business clearances prior to award.

a. Do the contract files reflect the obtainment of appropriate award approvals and signature authorities?

b. Are public announcements and the release of contract award information in compliance with regulatory requirements (FAR 5.303, DFARS 205.303, and AFARS 5105.303)?

c. Do the contracting officers determine price to be fair and reasonable in accordance with the applicable FAR Parts 12, 13, 14 and/or 15?

Step 10: Contract distribution, synopsis, and notice of award.

a. Are contract awards synopsized through GPE (ASFI) (FAR 5.301)?

b. Are steps taken to ensure that the notice of award is received in a timely manner, particularly where the successful offeror must “mobilize” subcontractors and equipment?

BB-203 -- Event Cycle 4: Contract Administration

Step 1: Functional representatives’ responsibilities and limitations.

a. Are qualified individuals selected as Contracting Officer’s Representatives (COR) (DFARS 201.602-2)? Is a COR appointed in writing prior to or at contract award for all service contracts?

b. Do CORs’ written designations clearly indicate their authority and the limitations of that authority, and have the correct references within the document?

c. Are inspectors, functional managers, and others routinely involved in performing contract administration functions, advised of their duties and responsibilities in contract administration?

d. Do delegations of the contract administration functions normally include the authority to deobligate excess funds (FAR 4.804-5(a)(15) and 42.302 (a)(70))?

e. Have the CORs’ records and Ordering Officer records been validated every 12 months to ensure compliance with the terms of the contract (AFARS 5101.602-2)?

Step 2: Postaward orientation conferences.

Is consideration given to the need for postaward orientation conferences to foster a mutual understanding of the contractual agreement and the responsibilities assigned (FAR 42.502)?

Step 3: Contract modifications.

a. Is legal counsel requested to make a legal sufficiency determination prior to effecting a supplemental agreement, as applicable?

b. Is a deviation approval requested when a clause other than a standard clause is to be incorporated into a supplemental agreement, and is legal review obtained?

c. Are requiring activities prevented/prohibited from making changes to contracts and retroactively processing them through the contracting officer?

d. Are change orders only issued for work within the scope of the contract (FAR 43.2 and DFARS 243.2)?

Step 4: Government property administration.

a. Are contractors required to publish a property control system describing the procedures and techniques to be used in managing Government property (unless the Government Property Administrator determines it unnecessary)?

b. Is regulatory guidance followed to determine contractor liability should Government property become lost, damaged, destroyed or unreasonably consumed (FAR 45.104 and the applicable Government Property clause)?

c. Has it been determined to be in the best interest of the Government to provide additional Government property beyond that required under contract?

Step 5: Quality assurance.

a. Are nonconforming supplies or services offered to the Government rejected except as provided in applicable regulations (FAR 46.407)?

b. Is contractor performance of service or commercial activity contracts monitored according to established surveillance plans?

Step 6: Delinquency Actions and Terminations.

a. Do contracting officers take timely action to alleviate or resolve delinquencies?

b. Do contracting officers obtain legal counsel and technical advice prior to taking action when a default termination is being considered (FAR 49.402-3)?

c. Are excess funds from terminated contracts deobligated by the responsible contracting officer (i.e., PCO, ACO or TCO) in a timely manner?

d. Are negotiation settlements promptly scheduled and audit reviews and negotiations tracked to ensure prompt settlement of termination actions (FAR 49.101(d))?

Step 7: Defense Contracting Audit Agency (DCAA) audits on cost reimbursement contracts.

a. Are determinations regarding the allowability of incurred costs on cost reimbursement contracts consistent with the factors to be considered in determining allowability (FAR 31, and DFARS 231)?

b. Are final cost determinations that are inconsistent with the auditor’s advice supported by a memorandum in the contract file describing the pertinent events and factors considered in reaching the decision?

c. Are the reimbursements due the Government after final audit promptly processed for collection?

Step 8: Receiving reports, acceptance, final payment, contract completion. and contractor evaluation.

a. Are decisions to accept, or reject supplies offered, or services performed, documented and distributed in a timely manner?

b. Are all contractual claims and obligations satisfied on physically completed contracts prior to contract closeout and do the contracting officers follow proper procedures in determining and processing the claim(s) (FAR 33.2)?

c. Are contractor performance assessment reports (CPAR) being prepared (AFARS 5142.15)?

d. Are contract administration offices initiating administrative closeout of the contract after receiving evidence of its physical completion (FAR 4.804-5)?

BB-204 -- Event Cycle 5: Special Acquisition Situations and Requirements

Step 1: Simplified Acquisition Procedures.

a. Is a source list being maintained (FAR 13.102)?

b. Are files reviewed to ensure that:

1. Requirements are not split or manipulated to avoid the Simplified Acquisition Threshold (SAT) (FAR 13.003(c)(2))?

2. Related items are consolidated when practical and advantageous (FAR 13.101 (b))?

3. Unpriced orders contain appropriate monetary limitations (FAR 13.302-2 (c))?

4. Price reasonableness is adequately documented (FAR 13.106-3)?

c. Are existing agreements (i.e., Federal Supply Schedules (FSS), Blanket Purchase Agreements (BPA), other activity/agency contracts etc.) used?

d. Are recurring orders evaluated at least annually to determine the appropriateness of establishing, updating, or canceling BPAs (FAR 13.303-2 and 13.303-6)?

e. Are ordering officers’:

1. Appointments limited to those situations essential for the efficient operation of the contracting mission (AFARS 5101.602-2-90(b))?

2. Activities physically inspected/reviewed, at least once each year (AFARS 5101.602-2-90(c)(2))?

f. Governmentwide Commercial Purchase Card (GPC) purchases:

1. Are they in compliance with regulations, restrictions, and controls (FAR 13.301, DFARS 213.270 and 213.301, and AFARS 5113.201 and 5113.270-90)?

2. Are procedures in place to ensure bills are paid promptly?

3. Are purchase cards being utilized as a payment vehicle on contracts over the micro-purchase threshold (when appropriate)?

4. Are procedures in place to track accountable government property acquired with the GPC?

Step 2: Construction Requirements

a. Are bid guarantee and bonding requirements in compliance with the guidance at FAR 28.101 and DFARS 228.102?

b. Is a release of all claims or liens against the Government obtained prior to final payment (FAR 52.232-5)?

Step 3: Job Order Contracting (JOC)

a. Do Unit Price Book (UPB) prices (including contractual changes to UPB prices) include direct material, direct labor, and equipment costs, but not indirect costs or profits?

b. Are negotiated prices for non-prepriced items fair and reasonable?

Step 4: Architect-Engineers (AE) Requirements.

a. Are the qualification data files on AE firms kept current (to include review and update at least once a year) (FAR 36.603(d))?

b. Are the required clauses included in AE contracts to protect the interests of the Government (FAR 36.609)?

c. Are the reasons for recovering or not recovering costs from an AE firm whose design deficiencies contributed to a construction contract modification, in writing and in the contract file (FAR 36.608)?

Step 5: Services and Performance Based Contracting.

a. Are formal measurable (i.e., in terms of quality, timeliness, quantity, etc.) performance standards and surveillance plans developed to monitor the services to be performed (FAR Subparts 12.102(g)(1)(iv), 37.503(a), 37.601(b)(2) and (3), 37.603 and 604)?

b. Are contractor employee complaints regarding wage rates, overtime, and related matters, under the Service Contract Act referred to the Department of Labor for investigation?

c. Do service contracts have a written Quality Assurance Surveillance Plan in place that defines the work requiring oversight and explains how surveillance reviews will be documented?

d. If the action is a service, does the customer provide a “Request for Civilian Hire or Services Contract Approval with the purchase request?” (For current form, see http://www.asamra.army.mil/insourcing/.)

e. If the acquisition is a service, is an acquisition strategy prepared and approved in accordance with AFARS 5137.590?

Step 6: Acquisition of Information Technology.

Are the modular contracts for IT awarded within 180 days after the solicitation is issued and is delivery scheduled to occur within 18 months (to the maximum extent practicable) (FAR 39.103 (e))?

Step 7: Major System Acquisitions.

a. Does the system acquisition objective promote innovation and full and open competition (FAR 34.002 (a))?

b. Is effective competition between alternative system concepts and sources sustained for as long as it is beneficial (FAR 34.002(b))?

c. Are the Formal Source Selection procedures described in the Army manual/guidance being applied?

Step 8: Research and Development Requirements.

a. Are work statements adequately tailored by technical and contracting personnel to obtain the desired degree of flexibility for contractor creativity and the objectives of research and development (FAR 35.005(a))?

b. Are recommendations of technical personnel considered by the contracting officer prior to selection of a contract type to fit the research work required (FAR 35.006 (b))?

c. Does the evaluation and award of research contracts consider the prohibition against obtaining capabilities that exceed those needed for successful performance (FAR 35.008(a))?

d. Do those research contracts with educational institutions or nonprofit organizations requiring a named principal, investigator, or project leader, contain sufficient controls to ensure an adequate degree of involvement by the named individual (FAR 35.015(a)(1))?

Step 9: Undefinitized Contract Actions (UCAs)

a. Does the request for approval to use an Undefinitized Contractual Action (UCA) adequately justify the urgency to begin performance prior to definitization, contain an adverse impact on mission statement, and has it been authorized (DFARS 217.7404-1)?

b. Have the statutory limitations on obligations and expenditure of funds prior to definitization been adhered to, e.g., not more than 50 percent of ceiling price or 75 percent with receipt of a qualifying proposal (DFARS 217.7404-4)?

c. Are UCAs definitized in a timely manner, e.g., within 180 days or before 50 percent of the not to exceed price is expended (75 percent with receipt of a qualifying proposal) or, if extended, 180 days after contractor submission of a qualifying proposal (DFARS 217.7404-3(a))?

d. When the contractor does not submit a qualifying proposal in accordance with the definitization schedule (within 180 days or prior to the date on which the amount of funds spent under the contract action is equal to more than 50 percent of the not-to-exceed price), does the contracting officer suspend or reduce progress payments under FAR 32.503-6, or take other appropriate action (DFARS 217.7404-3(b))?

e. Does the UCA definitization schedule contain all FAR 16.603-2(c) and DFARS 217.7404 requirements, a ceiling not to exceed price, and appropriate contract clauses (FAR 16.603-4, DFARS 216.603-4, and DFARS 217.7405)?

Step 10: Financial and Cost Aspects of Other Transactions for Prototype Projects.

a. Are the terms and conditions of the “Other Transaction” clear, and do they protect the Government’s interests?

b. When an “Other Transaction” has cost reimbursable features using payable milestones, does the “Other Transaction” address the procedures for adjusting the payable milestones based on actual expenditures?

c. To ensure advance payments do not result under an “Other Transaction” with cost reimbursable features, does the “Other Transaction” require the contractor to submit a report of actual expenditures as a condition for milestone payment? Does the “Other Transaction” stipulate that the milestone payment will not exceed actual expenditures?

d. When an “Other Transaction” has firm-fixed price characteristics with payable milestone provisions, are the payable milestone values commensurate with the estimated value of the milestone events?

e. When an “Other Transaction” requires the submittal of technical, business or annual reports, has the Agreements Officer considered whether these reports are important enough to warrant establishment of separate milestones, or if report requirements should be incorporated as part of a larger payable milestone?

f. Does the “Other Transaction” require the delivery of technical reports to the Defense Technology Information Center (DTIC), upon completion of the research and engineering project (per DoD Instruction 3200.14)?

g. If the contractor fails to comply with the terms of the “Other Transaction”, has the Agreement Administrator taken timely, appropriate action to remedy the situation?

Step 11: Financial and Cost Aspects for Technology Investment Agreements (TIAs). (A TIA is defined as a class of assistance instruments that may be used to carry out basic, applied, and advanced research projects when it is appropriate to use assistance instruments, and the research is to be performed by for-profits or by consortia that include for-profits firms, particularly firms that have done business with the Government.)

a. If a TIA provides for payment to be made based on payable milestones, are these payable milestones based on observable, technical progress?

b. At the completion of each payable milestone or upon receipt of the quarterly business status report, has the Agreements Officer compared the total amount of project expenditures with the amount of payments for completed milestones? Has the Agreements Officer adjusted future payable milestones (as needed) to closely match payments to the recipient’s cash needs for the project?

c. For TIA’s which use payable milestones, has the Agreements Officer included a term or condition in the award document or otherwise required the recipient to maintain in an interest-bearing account any payable amounts received in advance of needs to disburse the funds for program purposes?—Unless one of the following conditions applies:

1. The recipient receives less than $120,000 in Federal awards per year;

2. The best reasonably available interest bearing account would not be expected to earn interest in excess of $250 per year on such cash advances; or

3. The depository would require an average or minimum balance so high that it would not be feasible within the expected Federal and non-Federal cash resources for the project.

d. Has the Agreements Officer forwarded any annually earned interest received from a recipient under a TIA to the responsible payment office for return to the Department of the Treasury’s miscellaneous receipt’s account?

Part 3

Outside Continental United States (OCONUS) Contingency Contracting Test Questions

Part 3, OCONUS Contingency Contracting Test Questions, is to be completed separately from Parts 2 and 4. This part is to be used by Office Chiefs/Directors that are deployed into a theatre of operations and are supporting contingency missions. The term “contingency contracting” means contracting support provided in response to a declared contingency operation in accordance with 10 USC 101(a)(13) (see also FAR Subpart 2.1, Definitions). The support may be provided in a mature or immature operational environment, and may be long term or short term. These test questions are to be used to ensure that the Office Chiefs/Directors are following the internal controls established within Part 3. The test questions will be provided to the Office Chief/Director at the outset of the deployment. Each Office Chief/Director will complete and submit Part 3 to his/her respective PARC at the midpoint during the Office Chief/Director’s tour. The PARC will provide feedback to the Office Chief/Director to ensure that the internal controls in place are being followed. Prior to redeployment, the Office Chief/Director will complete and submit a final checklist to the PARC. The final checklist will be retained in the continuity book to serve as a baseline for the next Office Chief/Director. In addition, the checklist(s) information will be included in the PARC’s annual assurance statement to ensure compliance with internal controls.

BB-300 -- Event Cycle 1: Management of the Acquisition Function

Step 1: Acquisition Activity Procedures and Functions.

a. Are mission and function statements clear and accurate?

b. Is the contracting office located at a level in the organization where undue pressure will not be placed on contracting personnel?

c. Are there current published standard operating procedures (SOPs) that govern operations of the organization (i.e., security, visitors, etc.)? Are SOPs and other local procedural guidance stored in an electronic site that is readily available to staff?

d. Are Procurement Instrument Identification Number (PIIN) registers maintained and numbered in accordance with DFARS 204.7003?

e. Is the contracting office distributing the contracts to the applicable parties (e.g., contractor, requiring activity, transportation office, administration office, finance office, and payment office)?

f. Does the contracting function receive notification of contracting (e.g., policy) changes, and, if so, implement the changes? Does the organization have a system in place for the distribution of policy alerts?

Step 2: Requiring Activity Coordination.

a. Does the contracting office establish and maintain open communication with the requiring activity, and stress the importance of meaningful partnerships with the customers and contractors to ensure goals and objectives of the mission are met to the maximum extent practicable? Does the customer have an acquisition review board in place and if so, does the contracting office participate in an advisory role?

b. Are requiring activities advised of the lead times necessary to initiate and complete the contractual obligation of funds?

c. Is requiring activity receiving the proper approvals prior to sending the purchase request to the contracting office (e.g., Joint Acquisition Review Board (JARB))?

d. Is teaming a routine practice in preparing contract packages and program strategies? Does the contracting office assist in developing requirements?

e. Has the contracting office established and maintained training material to train/educate their customers on contracting procedures (e.g., completing a purchase request, quality assurance, lease versus purchase analysis, blanket purchase agreement (BPA), Governmentwide Commercial Purchase Card (GPC), ratifications, etc.)?

Step 3: Office Automation.

Are there any office automation issues which require Command assistance or support?

Step 4: Staffing, Facilities, and Training.

a. Is the staffing in contracting offices adequate to support the mission? Does the staff have the skills and experience to accommodate the complexity and volume of workload within the office?

b. Is the number and condition of office business machines (i.e., copiers, datafax, computers, and class “A” telephone lines) adequate?

c. Is the training received by employees (on-the-job training) timely, and adequate to support the mission?

d. Given the frequent rotation of both civilian and military personnel in the contingency environment, are processes in place to promote continuity of contract knowledge when contract specialists or contracting officers change?

Step 5: Acquisition Reports and Reviews.

a. Do management and contracting functions of the organization and its activities receive management reviews? Does the organization have a process in place for conducting regular self-assessments to monitor internal management controls?

b. Are Contract Action Reports (CAR) being prepared in a timely manner, verified, and submitted for each applicable contractual action via Federal Procurement Data Systems-Next Generation (FPDS-NG) (FAR 4.6)? Are instructions and processes in place for the preparation of manual CARs if necessary to report offline awards?

c. Are DD Forms 1547, Record of Weighted Guidelines Application, prepared in a timely manner, verified, and submitted as required (DFARS 215.404-70 and 215-404-71, and PGI 215.404-70, 215.404-71 and 215.406-3(a)(10)(B))?

d. Are Status Reports on Specified Contract Audit Reports, required by DODD 7640.2, prepared in a timely manner, verified, and submitted as required DODD 7640.2, Enclosure 3?

e. Are recurring reports sent to higher headquarters in a timely manner? Does the organization maintain a list of reports that designates POCs and internal due dates?

Step 6: Socio-Economic (applicable OCONUS only when theater policy promotes or requires contracting with host nation businesses; legislative permission may be required)

Are contracting officers making a reasonable effort to promote socio-economic goals by adding a socio-economic factor to the source selection process, as applicable?

Step 7: Standards of Conduct.

a. Is the required ethics training presented at least annually? Are designated employees completing annual OGE Form 450s?

b. Are contractors made aware of their responsibility to maintain a suitable system of internal controls to avoid improper business practices (FAR 3.1002(b))?

c. Are organizational conflicts of interest (OCI) between potential contractors and/or subcontractors and the Government being documented, and stated in forthcoming solicitations? Is legal review being obtained?

BB-301 -- Event Cycle 2: Presolicitation

Step 1: Initial purchase tasking receipt and review.

a. Do purchase requests received adequately describe the requiring activities’ needs, and provide for identification and accountability control? Are they adequately funded, signed, dated, approved by appropriate persons, and include adequate supporting documents, if required?

b. Do the contracting officers ensure that funds are available, or expressly condition upon receipt of purchase request?

c. Do the purchase descriptions or performance work statements received describe requirements that are appropriate for this contracting office to purchase? Should another contracting office/activity make the purchase?

d. Are salient characteristics provided when a “brand name or equal” requirement is requested (FAR 11.104)? If salient characteristics of the brand name item are not provided, is there a justification accompanying the purchase request (FAR 11.105)?

e. Are descriptions of the Government’s needs stated in terms sufficient to conduct market research (FAR 10.002)?

f. Has market research been conducted to determine if commercial items or non-developmental items are available to meet the Government’s needs or could be modified to meet the Government’s needs (FAR 10.002(b))?

g. Does the Independent Government Estimate (IGE), if required, appear reasonably accurate, and complete?

h. Do the blue prints and drawings, if required, appear reasonably accurate and complete, and can they be provided electronically?

i. Are the purchase requests for items delivered after the fact (unauthorized commitments) processed according to ratification procedures (FAR 1.602-3 and AFARS 5101.602-3)? Has an unauthorized commitment log been established and maintained? Are trends being tracked?

j. Are established procedures followed whereby the chief of the contracting office regularly monitors the backlog and age of purchase requests or directives that remain “in process”? Does the Chief of the Contracting Office provide status to the requiring activity on their respective purchase request?

k. If a task or delivery order against a non-DoD contract is requested, does the requirements package include a Certification for Proper Use of a Non-DoD contract in accordance with DFARS 217.78 and AFARS 5117.7802?

Step 2: Acquisition method selection and planning.

a. Is a process in place to document “Lessons Learned” during contract administration to improve future solicitations for recurring requirements? (That is, are previously erroneous estimates, descriptions, and assumptions corrected rather than repeated?)

b. Is the type of contract selected the result of analyzing the requiring activity’s requirements (i.e., Performance Based, not merely repeating the last selection for a similar requirement) and determining what would promote the Government’s interests (FAR 16.102)?

c. Are acquisition plans:

1. Developed when required (DFARS 207.103)?

2. Sufficiently complete (DFARS 207.105)?

3. Timely Updated (AFARS 5107.103(d)(i))?

Step 3: Competition Considerations.

a. Is the urgency exception to full and open competition being properly applied and not just based on a high priority purchase request (FAR 6.302-2)?

b. Are justifications for other than full and open competition (including amendments to justifications) approved in writing at the appropriate level (FAR 6.304)? Do files contain contracting officers’ statement when using other than full and open competition for acquisition not exceeding $550,000? Are the contracting officers following procedures established by each particular contingency (e.g., DFARS 225.7703-1(a))?

c. Are orders under multiple delivery order/task order contracts that exceed $3,000 issued in a manner that provides all awardees a fair opportunity to be considered? Are orders that exceed $100,000 placed on a competitive basis? If not, is a Limited Source Justification prepared and approved in accordance with FAR 8.405-6 (FAR 16.505(b) and DFARS 216.505-70(b))?

d. Are justifications and approvals (J&A) being assigned a control number and being maintained in a J&A log?

Step 4: Solicitation preparation and review.

a. Do solicitation(s):

1. Conform to the Uniform Contract Format (FAR 14.201-1 or FAR 15.204-1), or to the Commercial Items Contract Format (FAR 12.303), or to any approved contract format, as applicable?

2. Forms and clauses conform to the FAR or DFARS or have deviation approval (DFARS 201.402(2))?

3. Receive the required reviews prior to issuing the solicitation (i.e., legal review for legal sufficiency) (AFARS 5101.602-2(c)(iv))?

b. Do the Instructions, Conditions and Notices to Offerors (when appropriate) specify in sufficient detail the format and structure (i.e., size print, numbering of pages, etc.) with which each offer is expected to comply?

c. Are BPAs established in accordance with FAR 13.303-2? Do BPAs have the mandatory terms and conditions (FAR 13.303-3)? Do the contracting officers ensure that maximum practicable competition is obtained (FAR 13.303-5(d))?

d. Are justifications posted with the solicitations, as applicable?

e. Do the contracting officers determine in writing that adding options are in the best interest of the Government (FAR 17.202)? Are solicitations that include options being constructed in accordance with FAR 17.203?

f. Do the contracting officers ensure that sufficient funds are available, or expressly condition contract award on the availability of funds prior to contract execution?

Step 5: Solicitation public notices and announcements.

Are solicitation notices and announcements being publicized in accordance with FAR 5.2 and/or local procedures?

BB-302 -- Event Cycle 3: Solicitation, Evaluation, and Award.

Step 1: Solicitation distribution, amendment, and cancellation:

a. Are solicitation lists established and maintained to ensure that potential contractors are available and responsible (FAR 14.204)?

b. Is the Excluded Parties List System (EPLS) reviewed after opening of bids or receipt of proposals? (FAR 9.405(d)(1))

Step 2: Proposal and quotation closing:

a. Are procedures followed on the receipt and handling of proposals and quotations (FAR 15.207)?

b. Are procedures followed on the disclosure and use of information in the proposals (FAR 3.104-4)?

Step 3: Responsiveness and certifications.

Are appropriate certifications and representations required by the solicitation provided by the offeror prior to award?

Step 4: Mistakes and protest resolution.

Do contracting officers consider, resolve, or forward, as appropriate, all protests filed that relate to either their solicitations or procedures (FAR 33.102)?

Step 5: Technical Evaluation.

Are the technical factors developed specifically for each acquisition, i.e., technical approach, management approach, experience, and personnel qualifications?

Step 6: Price or Cost evaluation.

a. Is the relative importance between price or cost and the non-price/cost factors reflected in both the solicitation and weights or priority statements in the source selection plan?

b. Is price or cost evaluated in every source selection (FAR 15.304 (c) (1))?

Step 7: Past Performance Evaluation:

Is past performance being evaluated as appropriate, or the file documented by the contracting officer (FAR 15.304 (c)(3))?

Step 8: Responsibility determination, certification of competency and verification of EPLS and CCR.

a. Do contracting officers place the required written determination of nonresponsibility in the contract file when rejecting prospective offerors as nonresponsible (FAR 9.105-2(a))?

b. Is the EPLS being verified prior to awarding contracts to prospective contractors (FAR 9.405(d)(4))? Is the DoD Termination List Available at https://www.ppirs.gov being verified prior to award?

c. When applicable, are appropriate verifications of the contractors’ registration in the Central Contractor Registration (CCR) completed prior to award of contracts (FAR 4.1102)?

Step 9: Approvals, congressional notices, and business clearances prior to award.

a. Do the contract files reflect the obtainment of appropriate award approvals and signature authorities?

b. Are public announcements and the release of contract award information in compliance with regulatory requirements and/or in accordance with procedures established for a particular contingency (FAR 5.303, DFARS 205.303, and AFARS 5105.303)?

c. Do the contracting officers determine price to be fair and reasonable in accordance with the applicable FAR Parts 12, 13, 14 and/or 15?

d. Are the reachback offices assisting in preparing Congressional notifications to alleviate the burden to forward deployed units/contracting officers? Congressional notifications are required for awards using appropriated funds. See FAR 5.303 and DFARS 205.303.

Step 10: Contract distribution, synopsis, and notice of award.

a. Are contract awards synopsized as required and in accordance with procedures established for a particular contingency (FAR 5.301)?

b. Are steps taken to ensure that the notice of award is received in a timely manner, particularly where the successful offeror must “mobilize” subcontractors and equipment?

BB-303 -- Event Cycle 4: Contract Administration

Step 1: Functional representatives’ responsibilities and limitations.

a. Are qualified individuals selected as Contracting Officer’s Representatives (COR) (DFARS 201.602-2)? Is a COR appointed in writing prior to or at contract award for all service contracts?

b. Do CORs’ written designations clearly indicate their authority, and the limitations of that authority, and have the correct references stated within the document?

c. Are inspectors, functional managers, and others routinely involved in performing contract administration functions, advised of their duties and responsibilities in contract administration?

d. Do delegations of the contract administration functions normally include the authority to deobligate excess funds (FAR 4.804-5(a)(15) and 42.302 (a)(70))?

e. Have the CORs’ records been reviewed every 12 months to ensure compliance with the terms of the contract (AFARS 5101.602-2)?

Step 2: Postaward orientation conferences.

Is consideration given to the need for postaward orientation conferences to foster a mutual understanding of the contractual agreement and the responsibilities assigned (FAR 42.502)?

Step 3: Contract modifications.

a. Is legal counsel requested to make a legal sufficiency determination prior to effecting a supplemental agreement, as applicable?

b. Is a deviation approval requested when a clause other than a standard clause is to be incorporated into a supplemental agreement, and is legal review obtained?

c. Are requiring activities prevented/prohibited from making changes to contracts and retroactively processing them through the contracting officer?

d. Are change orders only issued for work within the scope of the contract (FAR 43.2 and DFARS 243.2)?

Step 4: Government property administration.

a. Are contractors required to publish a property control system describing the procedures and techniques to be used in managing Government property (unless the Government Property Administrator determines it unnecessary)?

b. Is regulatory guidance followed to determine contractor liability should Government property become lost, damaged, destroyed or unreasonably consumed (FAR 45.104 and the applicable Government Property clause)?

c. Has it been determined to be in the best interest of the Government to provide additional Government property beyond that required under contract?

Step 5: Quality assurance.

a. Are nonconforming supplies or services offered to the Government rejected except as provided in applicable regulations (FAR 46.407)?

b. Is contractor performance of service or commercial activity contracts monitored according to established surveillance plans?

Step 6: Delinquency Actions and Terminations.

a. Do contracting officers take timely action to alleviate or resolve delinquencies?

b. Do contracting officers obtain legal counsel and technical advice prior to taking action when a default termination is being considered (FAR 49.402-3)?

c. Are excess funds from terminated contracts deobligated by the responsible contracting officer (i.e., PCO, ACO or TCO) in a timely manner?

d. Are negotiation settlements promptly scheduled and audit reviews and negotiations tracked to ensure prompt settlement of termination actions (FAR 49.101(d))?

Step 7: Defense Contracting Audit Agency (DCAA) audits on cost reimbursement contracts.

a. Are determinations regarding the allowability of incurred costs on cost reimbursement contracts consistent with the factors to be considered in determining allowability (FAR 31, and DFARS 231)?

b. Are final cost determinations that are inconsistent with the auditor’s advice supported by a memorandum in the contract file describing the pertinent events and factors considered in reaching the decision?

c. Are the reimbursements due the Government after final audit promptly processed for collection?

Step 8: Receiving reports, acceptance, final payment, contract completion, and contractor evaluation.

a. Are decisions to accept, or reject supplies offered, or services performed, documented and distributed in a timely manner?

b. Are all contractual claims and obligations satisfied on physically completed contracts prior to contract closeout, and do the contracting officers follow proper procedures in determining and processing the claim(s) (FAR 33.2)?

c. Are contractor performance assessment reports (CPAR) being prepared (AFARS 5142.15)?

d. Are contract administration offices initiating administrative closeout of the contract after receiving evidence of its physical completion (FAR 4.804-5)?

BB-304 -- Event Cycle 5: Special Acquisition Situations and Requirements

Step 1: Simplified Acquisition Procedures.

a. Is a source list being maintained (FAR 13.102)?

b. Are files reviewed to ensure that:

1. Requirements are not split or manipulated to avoid the Simplified Acquisition Threshold (SAT) (FAR 13.003(c)(2))?

2. Related items are consolidated when practical and advantageous (FAR 13.101 (b))?

3. Unpriced orders contain appropriate monetary limitations (FAR 13.302-2 (c))?

4. Price reasonableness is adequately documented (FAR 13.106-3)?

c. Are existing agreements (i.e., Federal Supply Schedules (FSS), BPAs, other activity/agency contracts etc.) used?

d. Are recurring orders evaluated at least annually to determine the appropriateness of establishing, updating, or canceling BPAs (FAR 13.303-2 and 13.303-6)?

e. Are ordering officers’:

1. Appointments limited to those situations essential for the efficient operation of the contracting mission (AFARS 5101.602-2-90 (b))?

2. Activities physically inspected or reviewed, at least once each year (AFARS 5101.602-2-90 (c) (2))?

f. Governmentwide Commercial Purchase Card GPC purchases:

1. Are they in compliance with regulations, restrictions, and controls (FAR 13.301, DFARS 213.270 and 213.301, and AFARS 5113.201 and 5113.270-90)?

2. Are procedures in place to ensure bills are paid promptly?

3. Are purchase cards being utilized as a payment vehicle on contracts over the micro-purchase threshold (when appropriate)?

4. Are procedures in place to track accountable government property acquired with the GPC?

Step 2: Construction Requirements

Is a release of all claims or liens against the Government obtained prior to final payment (FAR 52.232-5)?

Step 3: Job Order Contracting (JOC)

a. Do Unit Price Book (UPB) prices (including contractual changes to UPB prices) include direct material, direct labor, and equipment costs, but not indirect costs or profits?

b. Are negotiated prices for non-prepriced items fair and reasonable?

Step 4: Services and Performance Based Contracting.

a. Are formal measurable (i.e., in terms of quality, timeliness, quantity, etc.) performance standards and surveillance plans developed to monitor the services to be performed (FAR Subparts 12.102(g)(1)(iv), 37.503(a), 37.601(b)(2) and (3), 37.603 and 604)?

b. Do service contracts have a written Quality Assurance Surveillance Plan in place that defines the work requiring oversight and explains how surveillance reviews will be documented?

c. If the action is a service, does the customer provide a “Request for Civilian Hire or Services Contract Approval with the purchase request?” (For current form, see http://www.asamra.army.mil/insourcing/.)

d. If the acquisition is a service, is an acquisition strategy prepared and approved in accordance with AFARS 5137.590?

Step 5: Acquisition of Information Technology.

Are the modular contracts for IT awarded within 180 days after the solicitation is issued and is delivery scheduled to occur within 18 months (to the maximum extent practicable) (FAR 39.103 (e))?

Step 6: Undefinitized Contract Actions (UCAs)

a. Does the request for approval to use an UCA adequately justify the urgency to begin performance prior to definitization, contain an adverse impact on mission statement, and has it been authorized (DFARS 217.7404-1)?

b. Have the statutory limitations on obligations and expenditure of funds prior to definitization been adhered to, e.g., not more than 50 percent of ceiling price or 75 percent with receipt of a qualifying proposal (DFARS 217.7404-4)?

c. Are UCAs definitized in a timely manner, e.g., within 180 days or before 50 percent of the not to exceed price is expended (75 percent with receipt of a qualifying proposal) or, if extended, 180 days after contractor submission of a qualifying proposal (DFARS 217.7404-3 (a))?

d. When the contractors do not submit a qualifying proposal in accordance with the definitization schedule (within 180 days or prior to the date on which the amount of funds spent under the contract action is equal to more than 50 percent of the not-to-exceed price), do the contracting officers suspend or reduce progress payments under FAR 32.503-6 or take other appropriate action (DFARS 217.7404-3(b))?

e. Does the UCA definitization schedule contain all FAR 16.603-2(c) and DFARS 217.7404 requirements, a ceiling not to exceed price, and appropriate contract clauses (FAR 16.603-4, DFARS 216.603-4, and DFARS 217.7405)?

Part 4

Continental United States (CONUS) Contingency Contracting Test Questions

CONUS Contingency Contracting Test Questions supplements Part 2 and will be incorporated therein for inclusion to the PARC’s Annual Assurance Statement. The term “contingency contracting” means contracting support provided in response to a declared contingency operation in accordance with 10 USC 101(a)(13) (see also FAR Subpart 2.1, Definitions). The support may be provided in a mature or immature operational environment, and may be long term or short term. This checklist is intended for review of actions executed by deployed Contracting Officer/Team Leader of the contingency team is required to submit Part 4 to the responsible PARC within 7 calendar days after completion of his/her tour/contingency, or as requested by the PARC.

BB-400 -- Event Cycle 1: Management of the Acquisition Function

Step 1: Acquisition Activity Procedures and Functions.

a. Do the contracting officers know and have the applicable thresholds before leaving to conduct the contingency contracting operations? Does the contracting officer have the appropriate warrant to accomplish the mission?

b. Is the contracting officer distributing the contracts to the applicable parties (e.g., contractor, requiring activity, transportation office, administration office, finance office, and payment office)?

Step 2: Requiring Activity Coordination.

a. Is the communication open between contracting officer and the requiring activity?

b. Is requiring activity receiving the proper approvals prior to sending the purchase request to the contracting office?

Step 3: Office Automation.

Are there any office automation issues which require Command assistance or support?

Step 4: Staffing, Facilities, and Training.

Are there sufficient staff, business equipment and communication equipment to support the mission?

Step 5: Acquisition Reports and Reviews, as applicable by the Contracting Organization responsible for the contingency.

a. Are Contract Action Reports (CAR) being prepared in a timely manner, verified, and submitted for each applicable contractual action via Federal Procurement Data Systems-Next Generation (FPDS-NG) (FAR 4.6 )? Are instructions and processes in place for the preparation of manual CARs if necessary to report offline awards?

b. Are DD Forms 1547, Record of Weighted Guidelines Application, prepared in a timely manner, verified, and submitted as required (DFARS 215.404-70 and 215-404-71, and PGI 215.404-70, 215.404-71 and 215.406-3(a)(10)(B))?

Step 6: Social and Economic Goals.

Are contracting officers following the guidance for promoting socio-economic goals, as provided by the relevant PARC?

BB-401 -- Event Cycle 2: Presolicitation

Step 1: Initial purchase tasking receipt and review.

a. Do the purchase requests received adequately describe the requiring activities’ needs, and provide for identification and accountability control? Are they adequately funded, signed, dated, approved by appropriate persons, and include adequate supporting documents, if required?

b. Do the contracting officers ensure that funds are available, or expressly condition upon receipt of purchase request?

c. Do the purchase descriptions or performance work statements received describe requirements that are appropriate for the contingency team to conduct market research/purchase (FAR 10.002(b)), and determine whether a commercial items is available? Should another contracting office/activity make the purchase?

d. Does the Independent Government Estimate (IGE), if required, appear reasonably accurate, and complete?

e. Are the purchase requests for items delivered after the fact (unauthorized commitments) processed according to ratification procedures (FAR 1.602-3 and AFARS 5101.602-3)? Has an unauthorized commitment log been established and maintained? Are trends being tracked?

f. Are formal measurable (i.e., in terms of quality, timeliness, quantity, etc.) performance standards and surveillance plans developed to monitor the services to be performed (FAR Subparts 12.102(g)(1)(iv), 37.503(a), 37.601(b)(2) and (3), 37.603 and 37.604)?

g. If a task or delivery order against a non-DoD contract is requested, does the requirements package include a Certification for Proper Use of a Non-DoD contract in accordance with DFARS 217.78 and AFARS 5117.7802?

h. Do service contracts have a written Quality Assurance Surveillance Plan in place that defines the work requiring oversight and explains how surveillance reviews will be documented?

i. If the action is a service, does the customer provide a “Request for Civilian Hire or Services Contract Approval with the purchase request?” (For current form, see http://www.asamra.army.mil/insourcing/.)

j. If the acquisition is a service, is an acquisition strategy prepared and approved in accordance with AFARS 5137.590?

Step 2: Acquisition method selection and planning.

a. Is the contracting officer providing “Lessons Learned” to improve future solicitations for recurring requirements? (That is, are previously erroneous estimates, descriptions, and assumptions corrected rather than repeated?)

b. Does the request for approval to use an UCA adequately justify the urgency to begin performance prior to definitization, contain an adverse impact on mission statement, and has it been authorized (DFARS 217.7404-1)?

Step 3: Competition Considerations.

a. Is the urgency exception to full and open competition being properly applied and not just based on a high priority purchase request (FAR 6.302-2)?

b. Are justifications for other than full and open competition (including amendments to justifications) approved in writing at the appropriate level (FAR 6.304)? Do files contain contracting officers’ statement when using other than full and open competition for acquisitions not exceeding $550,000?

c. Are orders under multiple delivery order/task order contracts that exceed $3,000 issued in a manner that provides all awardees a fair opportunity to be considered? Are orders that exceed $100,000 placed on a competitive basis? If not, is a Limited Source Justification prepared and approved in accordance with FAR 8.405-6 (FAR 16.505(b) and DFARS 216.505-70(b))?

d. Is there a process in place to track justifications and approvals (J&A)?

Step 4: Solicitation preparation and review.

a. Are contracting officers ensuring that the requirements are not split or manipulated to avoid the Simplified Acquisition Threshold (SAT) (FAR 13.003(c)(2))?

b. Are contracting officers ensuring related items are consolidated when practical and advantageous (FAR 13.101(b))?

c. Do solicitation(s) provide sufficient information for potential offerors to provide an adequate proposal/quote in order for the Government to receive the supplies/services required at a fair price?

d. Are BPAs established in accordance with FAR 13.303-2? Do BPAs have the mandatory terms and conditions (FAR 13.303-3)? Do the contracting officers ensure that maximum practicable competition is obtained (FAR 13.303-5(d))?

e. Are justifications posted with the solicitation, as applicable?

f. Do the contracting officers determine in writing that adding options are in the best interest of the Government (FAR 17.202)? Are solicitations that include options being constructed in accordance with FAR 17.203?

g. Do the contracting officers ensure that sufficient funds are available, or expressly condition contract award on the availability of funds prior to contract execution??

Step 5: Solicitation public notices and announcements.

Are solicitation notices and announcements being publicized in accordance with local procedures?

BB-402 -- Event Cycle 3: Solicitation, Evaluation, and Award.

Step 1: Solicitation distribution, amendment, and cancellation:

a. Are solicitation lists established and maintained to ensure that potential contractors are available and responsible (FAR 14.204)?

b. Is the Excluded Parties List System (EPLS) reviewed after opening of bids or receipt of proposals (FAR 9.405(d)(1))?

Step 2: Proposal and quotation closing:

a. Are procedures followed on the receipt and handling of proposals and quotations (FAR 15.207)?

b. Are procedures followed on the disclosure and use of information in the proposals (FAR 3.104-4)?

Step 3: Responsiveness and certifications.

Are appropriate certifications and representations required by the solicitation provided by the offeror prior to award?

Step 4: Mistakes and protest resolution.

Do contracting officers consider, resolve, or forward, as appropriate, all protests filed that relate to either their solicitations or procedures (FAR 33.102)?

Step 5: Technical Evaluation.

Are the technical factors developed specifically for each acquisition, i.e., technical approach, management approach, experience, and personnel qualifications?

Step 6: Price or Cost evaluation.

a. Is the relative importance between price or cost and the non-price/cost factors reflected in both the solicitation and weights or priority statements in the source selection plan?

b. Is price or cost evaluated in every source selection (FAR 15.304 (c) (1))?

Step 7: Past Performance Evaluation:

Is past performance being evaluated as appropriate, or the file documented by the contracting officer (FAR 15.304 (c)(3))?

Step 8: Responsibility determination, certification of competency and verification of EPLS and CCR.

a. Do contracting officers place the required written determination of nonresponsibility in the contract file when rejecting prospective offerors as nonresponsible (FAR 9.105-2(a))?

b. Is the EPLS being verified prior to awarding contracts to prospective contractors (FAR 9.405(d)(4))?

c. When applicable, is appropriate verification of the contractors’ registration in the Central Contractor Registration (CCR) completed prior to award of contracts (FAR 4.1102)?

Step 9: Approvals, congressional notices, and business clearances prior to award.

a. Do the contract files reflect the obtainment of appropriate award approvals and signature authorities?

b. Are public announcements and the release of contract award information in compliance with regulatory requirements (FAR 5.303, DFARS 205.303, and AFARS 5105.303)?

c. Do the contracting officers determine price to be fair and reasonable in accordance with the applicable FAR Parts 12, 13, 14 and/or 15?

d. Are the reachback offices assisting in preparing Congressional notifications to alleviate the burden to forward deployed units/contracting officers? Congressional notifications are required for awards using appropriated funds. (FAR 5.303 and DFARS 205.303).

e. Does the UCA definitization schedule contain all FAR 16.603-2(c) and DFARS 217.7404 requirements, a ceiling not to exceed price, and appropriate contract clauses (FAR 16.603-4, DFARS 216.603-4, and DFARS 217.7405)?

Step 10: Contract distribution, synopsis, and notice of award.

a. Are contract awards synopsized as required (FAR 5.301)?

b. Are steps taken to ensure that the notice of award is received in a timely manner, particularly where the successful offeror must “mobilize” subcontractors and equipment?

BB-403 -- Event Cycle 4: Contract Administration

Step 1: Functional representatives’ responsibilities and limitations.

a. Are qualified individuals selected as Contracting Officer’s Representatives (COR) (DFARS 201.602-2)? Is a COR appointed in writing prior to or at contract award for all service contracts?

b. Do CORs’ written designations clearly indicate their authority, and the limitations of that authority, and have the correct references within the document?

c. Are inspectors, functional managers, and others routinely involved in performing contract administration functions, advised of their duties and responsibilities in contract administration?

d. Do delegations of the contract administration functions normally include the authority to deobligate excess funds (FAR 4.804-5(a)(15) and 42.302 (a)(70)).

e. Have the COR’s records been reviewed by the applicable contracting officer prior to each COR being redeployed and at completion of the contingency to ensure compliance with the terms of the contract?

Step 2: Postaward orientation conferences.

Are informal postaward conferences held to foster a mutual understanding of the contractual agreement and the responsibilities assigned?

Step 3: Contract modifications.

a. Is legal counsel requested to make a legal sufficiency determination prior to effecting a supplemental agreement, as applicable?

b Are requiring activities documenting the changes that need to be made and providing the changes to the contracting officer?

Step 4: Government property administration.

a. Are contractors required to publish a property control system describing the procedures and techniques to be used in managing Government property (unless the Government Property Administrator determines it unnecessary)?

b. Is regulatory guidance followed to determine contractor liability should Government property become lost, damaged, destroyed or unreasonably consumed (FAR 45.104 and the applicable Government Property clause)?

c. Has it been determined to be in the best interest of the Government to provide additional Government property beyond that required under contract?

Step 5: Quality assurance.

a. Are nonconforming supplies or services offered to the Government rejected except as provided in applicable regulations (FAR 46.407)?

b. Is contractor performance of service or commercial activity contracts monitored according to established surveillance plans?

Step 6: Delinquency Actions and Terminations.

a. Do contracting officers take timely action to alleviate or resolve delinquencies?

b. Do contracting officers obtain legal counsel and technical advice prior to taking action when a default termination is being considered (FAR 49.402-3)?

c. Are excess funds from terminated contracts deobligated by the responsible contracting officer (i.e., PCO, ACO or TCO) in a timely manner?

d. Are negotiation settlements promptly scheduled and audit reviews and negotiations tracked to ensure prompt settlement of termination actions (FAR 49.101(d))?

Step 7: Defense Contracting Audit Agency (DCAA) audits on cost reimbursement contracts.

a. Are determinations regarding the allowability of incurred costs on cost reimbursement contracts consistent with the factors to be considered in determining allowability (FAR 31, and DFARS 231)?

b. Are final cost determinations that are inconsistent with the auditor’s advice supported by a memorandum in the contract file describing the pertinent events and factors considered in reaching the decision?

c. Are the reimbursements due the Government after final audit promptly processed for collection?

Step 8: Receiving reports, acceptance, final payment, contract completion, and contractor evaluation.

a. Are decisions to accept, or reject supplies offered, or services performed, documented and distributed in a timely manner?

b. Are all contractual claims and obligations satisfied on physically completed contracts prior to contract closeout, and do the contracting officers follow proper procedures in determining and processing the claim(s) (FAR 33.2)?

c. Are contractor performance assessment reports (CPAR) being prepared (AFARS 5142.15)?

d. Are contract administration offices initiating administrative closeout of the contract after receiving evidence of its physical completion (FAR 4.804-5)?

e. For Construction Requirements, is a release of all claims or liens against the Government obtained prior to final payment (FAR 52.232-5)?

BB-404 -- Event Cycle 5: Special Acquisition Situations and Requirements

Governmentwide Commercial Purchase Card (GPC) purchases:

1. Are they in compliance with regulations, restrictions, and controls (FAR 13.301, DFARS 213.270 and 213.301, and AFARS 5113.201 and 5113.270-90)?

2. Are procedures in place to ensure bills are paid promptly?

3. Are purchase cards being utilized as a payment vehicle on contracts over the micro-purchase threshold (when appropriate)?

4. Are procedures in place to track accountable government property acquired with the GPC?