# IG5307.104-92

#### Informational Guidance

IG5307.104-92

# Acquisition Planning Documentation Guidance for “Other Contracting”

# December 2007

TABLE OF CONTENTS

INTRODUCTION

AP DOCUMENTATION APPROVAL AUTHORITIES

TIMING

OTHER CONTRACTING AP AND SASS TEMPLATE

AP TEMPLATE

SASS TEMPLATE

1. Introduction: This guide is written to help you prepare and process Acquisition Planning documentation for “Other Contracting” acquisitions as called for under the Federal Acquisition Regulation (FAR) Part 7 as further supplemented by DFARS 207, and specifically called for under AFFARS 5307.104-92. Specific guidance is provided for preparing either an “Other Contracting” AP, or a Streamlined Acquisition Strategy Summary (SASS). Construction acquisitions should refer to IG5336.9201 for details on Construction Acquisition Planning (AFFARS Library Part 5336). It is recommended that you use this guide when drafting your documentation that outlines a proposed acquisition strategy to ensure that critical elements such as schedule, funding, and contract/business arrangements are adequately addressed. This guide is not intended to serve as a substitute for the regulations; therefore, as each topic is discussed, specific regulatory citations may apply which need to be addressed in the AP.

a. An AP is a document that provides the overall strategy for accomplishing and managing an acquisition. The plan documents the approach to fill the need, optimize resources, and satisfy policy requirements for a proposed acquisition. An AP should provide sufficient information so that someone unfamiliar with the acquisition will understand what is being proposed; however, the plan need not be lengthy. A concise, clear statement of the facts and rationale supporting the technical and business judgments is all that is necessary.

b. Acquisitions under $5.5M are generally non-complex in nature. Since there are many ways to acquire the required products and services sought, planning is imperative. Notwithstanding, planning for acquisitions with a dollar value above the SAT to <$5.5M may not require much detail.

c. “Other Contracting” acquisitions with a value of more than $5.5M require a greater degree of planning driving a need for a more significant document. Accordingly, an “Other Contracting” AP may be prepared using the “Other Contracting” AP Template. The template is a valuable tool because it allows all participants involved in the planning of an acquisition to establish an approach for meeting a government need logically and systematically. The template may be tailored, as necessary, to address the individual acquisition.

d. Although the technical focal point (project lead/program manager) has primary responsibility for preparation of the AP, crafting the strategy and writing the plan should be a team effort with participation by key members such as the contracting officer and functional specialists. Representatives from Finance, Quality, Civil Engineering, Logistics, Safety, Environmental, Legal, and the Small Business Office should be included as part of the planning and documentation process. For those acquisitions over $5.5M it is also recommended that the local ACE, or SAF/ACE office and headquarters staff be consulted for guidance on complex acquisitions. If a plan proposes other than full and open competition, the competition advocate should also be involved. The process of planning involves significant dialogue with all stakeholders. When conducting the planning process (see AFFARS 5307.104-90), using a complete team of experts will help in vetting all crucial issues and assist in refinement of the plan.

e. The documentation review process facilitates solidification of stakeholder commitment, ensures stakeholder support during plan execution, and the AP preserves a permanent record of decisions made regarding the acquisition strategy, which can be referenced by those who become involved in the future.

2. AP Documentation Approval Authorities:

(a) The AP Approval Authority for “Other Contracting” APs greater than $5.5M is the Services Designated Official for services acquisitions or for non-services, the Senior Contracting Official (SCO) as set forth in AFFARS 5307.104-92(d)(2).

(b) The AP Approval Authority for “Other Contracting” actions less than $5.5M is the individual one level above the contracting officer as set forth in AFFARS 5307.104-92(d)(1).

3. Timing: As prescribed in FAR 7.104 acquisition planning should take place and the AP should be developed and submitted to the approving official as soon as the requirement is identified and preferably in advance of preparation of the purchase request unless the acquisition is being conducted under the authority of FAR 6.302-2, unusual and compelling urgency. Nevertheless, the AP approval authority is responsible for facilitating release of the Request for Proposal (RFP) either by approving the AP, or by providing clear separate direction as to release of the RFP, or by clearing the action for the SSA to proceed with release where the SSA is the release authority.
4. “Other Contracting” Acquisition Plan and Streamlined Acquisition Strategy Summary Templates:
For acquisitions greater than $5.5M but less than the value requiring AFPEO/CM approval, the “Other Contracting” AP Template below may be utilized to document acquisition planning. For acquisitions from the SAT to <$5.5M the SASS Checklist below may be utilized to document acquisition planning. Some degree of documentation related to acquisition planning for the above categories is required unless specifically waived by the designated AP approval authority.

## TEMPLATE

“OTHER CONTRACTING” ACQUISITION PLAN

## FOR OFFICIAL USE ONLY

Program/Project Title:

Contracting Office:

Requiring Activity:

Estimated Dollar Value (including options):

# I. Acquisition Background

A. Description of Requirement/Statement of Need: Summarize supplies, construction, or services to be provided.

B. Conditions: Describe any known cost, schedule, environmental, capability or performance constraints.

C. Background and Contracting History: Describe contracting history of exact or similar requirement, including previous contract type and dollar value.

D. Funding: Describe availability of funding, expiration of funds, use of advance contracting authority described in MP5332 and any statutory limits, etc.

E. Delivery or Performance Period: Describe delivery or performance period requirements. (Construction: If incorporating optional requirements, the plan must describe the performance period for each optional CLIN to include consideration of mobilization and/or demobilization activities, progressive flow of construction activities, and anticipated receipt of funding. Normally, the option to purchase additional requirements will not extend past 90 calendar days from date of award.)

F. Risks: Identify any technical, cost, schedule or performance risks that may affect either the Government or contractor. Identify what efforts are planned to mitigate these risks.

# II. Plan of Action

A. Market Research Results/Interested Sources: Discuss results of market research, for example: determination of whether bundling is necessary or justified (FAR 7.107), of commerciality and industry -specific commercial terms/conditions identified during market research. Market Research documentation may be attached to the acquisition plan to fulfill the requirements of this paragraph.

B. Acquisition Approach: Address the following:

(1) Solicitation method to be utilized (Simplified RFQ, RFP, Combined Synopsis/Solicitation, etc).
(2) Performance-based services acquisition principles as required by AFI 63–124.
(3) Basis of award (Lowest Price Technically Acceptable (LPTA), Performance Price Tradeoff (PPT) with or without evaluation factors or formal source selection and identify evaluation factors to be included in a PPT or formal source selection and the importance of those factors).
(4) Contract type.
(5) Inclusion of options -- including optional quantities or option to purchase additional requirements.
(6) Proposed price schedule and basis for evaluation of price. (Include the Note that when evaluating CLINs for additional quantities or requirements in construction, evaluation will not always be based on the sum of all CLINs and instead must follow an evaluation structure patterned after DFARS 252.236-7007).
(7) Whether or not foreign contractors will be permitted to participate at the prime contractor level.

C. Competition: Discuss extent of competition in past solicitations, consideration of small business, HUBZone small business, small disadvantaged business, service-disabled veteran-owned small business, and woman owned business. Also explain how full and open competition will be obtained, promoted, and sustained throughout the course of the acquisition, the comparative benefits of awarding a new contract versus placing an order under an existing contract, or the J&A authority and rationale for it if full and open competition is not contemplated. If using a non -traditional pricing arrangement (i.e., using coefficients in other than SABER), fully explain the rationale for the selection of the strategy and any anticipated impact on competition.

D. Contracting Considerations or Incentives: Provide a draft of any special clauses/ provisions/deviations required, provide a draft of any incentives to be used and discuss any other contracting considerations.

E. Government-Furnished Property/Information: Summarize extent and availability.

F. Surveillance: Describe the surveillance method that will be used to ensure receipt of acceptable contract performance for service contracts.

G. Other Considerations: Describe decentralized ordering procedures to include maintenance of a call register, security considerations, environmental considerations, safety, data rights, advisory and assistance services, conflict of interest, and any other items not addressed elsewhere in the plan.

H. Milestones: Include the following: (add additional milestones that may apply and/or exclude those that do not apply to this particular acquisition).

1. Acquisition plan approval
2. Approval of J&A for other than full and open competition (if necessary)
3. Issuance of synopsis
4. Request Business Clearance (local review, JA review, HQ review/approval)
5. Completion of solicitation review
6. Issue solicitation
7. Conduct pre-proposal conference
8. Receipt of proposals
9. Request audit and field pricing support (if necessary)
10. Complete discussions if competitive acquisition
11. Prepare PPNM if non -competitive acquisition
12. Request Contract Clearance (local review, JA review, HQ review/approval)
13. Receive Contract Clearance
14. Request Final Proposal Revisions if competitive acquisition
15. Begin negotiations if non -competitive acquisition
16. Complete negotiations if non -competitive acquisition
17. Complete FPNM if non -competitive acquisition
18. Debriefing prepared
19. Contract award
20. Conduct debriefings
21. Hold pre-performance conference
22. Contract start date
23. Contract completion date

# III. Coordination/Approval

____________________________ __________________________________
Contracting Officer (Date) Small Business Specialist (Date)

____________________________ __________________________________
Chief of Contracting Office (Date) Coord: Staff Judge Advocate (Date)

____________________________ __________________________________
Chief of Requiring Activity (Date) Program Manager (Date)

#### TEMPLATE

Streamlined Acquisition Strategy Summary (SASS)
FOR OFFICIAL USE ONLY

Date:

Contracting Office: Buyer Name:

Requiring Activity: Voice (DSN):

Project Title: Fax (DSN):

Buyer’s E-Mail Address: Control Number:

☐ Construction ☐ Service ☐ Supply

Government Est.: $ (Include ALL Options)

I. Brief Description of Requirement (Including delivery schedule, any problems/risk)

II. Proposed Acquisition Approach

a. Extent of Competition:

☐ Sole Source* ☐ Competitive Non-DoD ☐ Full & Open
* FAR 6.3 Authority:

☐ NETCENTS/AFWAY (Including Waivers)

☐ Limited Sources

b. Small Business:

☐ Competitive 8a ☐ Sole Source 8a ☐ SDVOSB Set-Aside

☐ Hub-Zone Sole Source ☐ Competitive SBSA ☐ SDVOSB Sole Source

☐ Hub-Zone Set-Aside ☐ N/A ☐ Other (Specify)

c. Procedures: (Check all that apply)

☐ FAR 8 (GSA/Non-DoD Competitive)

☐ FAR 12 Commercial Items

☐ FAR 13 Simplified Acquisition Procedures
☐ FAR 14 Sealed Bidding

☐ FAR 15 Negotiation

☐ FAR 36 A&E and Design Build

☐ FAR 37 Personal Services Healthcare

d. Contracting Method

☐ IFB ☐ Competitive RFP ☐ Sole Source RFP ☐ Other (Fill-in)

e. Basis of Award:

☐ Sealed Bid – Part 14

☐ Negotiation – Part 15

☐ Lowest Price Technically Acceptable
☐ Performance Price Trade-Off without technical factors
☐ Performance Price Trade-Off with technical factors

(list factors):

☐ Formal Source Selection (AP highly recommended)

☐ GSA/Non-DoD Competitive
(list factors):

☐ Other (explain):

f. Contract Type (Check all that apply):

☐ Fixed-Price

☐ Incentive

☐ Cost-Reimbursement

☐ Award Fee

☐ Time and Material/Labor Hour Agreements

☐ Indefinite Delivery Contract (IDC)

☐ Other (Specify):

III. Projected Key Milestone Dates:
Receive PR Complete Evaluations
Issue Solicitation Award Contract
Receive Bids/Offers Contract Start

In lieu of actual signatures, and prior to the availability of digital signatures, please perform local review and coordination of this completed document via e-mail.
Attach the e-mail coordination / approval from all required individuals when submitting the final SASS.

** The following section is to be completed by reviewer/approving official**

Reviewer’s Name: Reviewer’s Voice DSN:
Reviewer’s E-Mail:

☐ SASS Approved as submitted
☐ SASS conditionally approved subject to comments below
☐ SASS Disapproved (reviewers are required to include comments below)

Reviewer’s Comments:

** The following section is to be completed by the Small Business Specialist **

☐SASS Small Business Specialist coordination __________________________________

Small Business Specialist's Comments:

** The following section is to be completed by the Services Designated Official (SDO) for service acquisitions **

SDO Certification:

In accordance with Command Management and Oversight of Acquisition of Services Process (MOASP), the undersigned, acting in the capacity of SDO for this acquisition, determines that the Performance Work Statement is, to the maximum extent possible, performance based (considering the security requirements inherent in this acquisition), reflects outcome-based objectives in the Service Delivery Summary (SDS), and contains metrics appropriate for the requirement that will ensure timely and accurate assessment of contractor performance. (SDO Certification should be tailored for each acquisition.)

☐ SASS SDO coordination __________________________________

FOR OFFICIAL USE ONLY