CENTCOM CONTRACTING COMMAND C3 Acquisition Instruction 5Nov10[1]

CENTCOM Contracting Command

Acquisition Instruction 05 November 2010

2010

BG Camille M. Nichols, USA Commanding

C3 Acquisition Instruction (November 2010)

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Table of Contents PART 1 – FEDERAL ACQUISITION REGULATIONS SYSTEM .........................................................1

SUBPART 1.1 – PURPOSE, AUTHORITY, ISSUANCE ................................................................1 1.101 Purpose of the C3 Acquisition Instruction ....................................................................... 1 1.104 Applicability ..................................................................................................................... 1 1.105 Issuance ........................................................................................................................... 2 1.170 Peer Reviews ................................................................................................................... 2

SUBPART 1.2 – ADMINISTRATION .......................................................................................6 1.201 Maintenance of the C3 AI ................................................................................................ 6

SUBPART 1.3 – AGENCY ACQUISITION REGULATIONS ..........................................................6 1.303 Publication and codification ............................................................................................ 6 1.304 Agency control and compliance procedures ................................................................... 6

SUBPART 1.4 – DEVIATIONS FROM THE FAR ........................................................................6 1.402 Deviations ........................................................................................................................ 6 1.403 Deviations, Individual ...................................................................................................... 7

SUBPART 1.6 – CAREER DEVELOPMENT, CONTRACTING AUTHORITY, AND RESPONSIBILITIES9 1.601 General ............................................................................................................................ 9 1.602 Contracting Officers ........................................................................................................ 9 1.602-2 Responsibilities .......................................................................................................... 13 1.603 Selection, Appointment, and Termination .................................................................... 14

SUBPART 1.7 – DETERMINATIONS AND FINDINGS ............................................................. 15 1.704 Content .......................................................................................................................... 15

SUBPART 1.120 – OMBUDSMAN PROGRAM ...................................................................... 15 1.1200 Purpose ....................................................................................................................... 15

PART 2 – DEFINITION OF WORDS AND TERMS....................................................................... 17 SUBPART 2.1 – DEFINITIONS ............................................................................................. 17

2.101 Definitions ..................................................................................................................... 17 PART 3 – IMPROPER BUSINESS PRACTICES AND PERSONAL CONFLICTS OF INTEREST ............. 19

SUBPART 3.1 – SAFEGUARDS ............................................................................................ 19 3.104 Procurement Integrity ................................................................................................... 19

SUBPART 3.2 – CONTRACTOR GRATUITIES TO GOVERNMENT PERSONNEL ......................... 20 3.201 Applicability ................................................................................................................... 20

SUBPART 3.6 – CONTRACTS WITH GOVERNMENT EMPLOYEES OR ORGANIZATIONS OWNED OR CONTROLLED BY THEM................................................................................... 21

3.602 Exceptions ..................................................................................................................... 21 PART 4 – ADMINISTRATIVE MATTERS ................................................................................... 22

SUBPART 4.5 – ELECTRONIC COMMERCE IN CONTRACTING ............................................... 22 4.502 Policy ............................................................................................................................. 22

SUBPART 4.8 – GOVERNMENT CONTRACT FILES ................................................................ 22 4.802 Contract Files ................................................................................................................. 22

SUBPART 4.70 – UNIFORM PROCUREMENT INSTRUMENT IDENTIFICATION NUMBERS ........ 24 4.7003 Basic Procurement Instrument Identification (PII) Numbers ...................................... 24

PART 5 – PUBLICIZING CONTRACT ACTIONS .......................................................................... 25 SUBPART 5.1 – DISSEMINATION OF INFORMATION ........................................................... 25

5.101 Methods of Disseminating Information ........................................................................ 25


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SUBPART 5.2 – SYNOPSES OF PROPOSED CONTRACT ACTIONS ........................................... 25 5.202 Exceptions ..................................................................................................................... 25 5.207 Preparation and Transmittal of Synopses ..................................................................... 26

SUBPART 5.3 – SYNOPSES OF CONTRACT AWARDS ............................................................ 26 5.303 Announcement of Contract Awards.............................................................................. 26 5.403 Requests from members of Congress ........................................................................... 26

SUBPART 5.4 – RELEASE OF INFORMATION ....................................................................... 27 5.404 Release of Long-Range Acquisition Estimates............................................................... 27

SUBPART 5.5 – PAID ADVERTISEMENTS ............................................................................. 27 5.502 Authority ....................................................................................................................... 27

PART 6 – COMPETITION REQUIREMENTS .............................................................................. 28 SUBPART 6.3 – OTHER THAN FULL AND OPEN COMPETITION ............................................. 28

6.302 Circumstances Permitting Other Than Full and Open Competition ............................. 28 SUBPART 6.5 – COMPETITION ADVOCATES ........................................................................ 29

6.501 Requirements ................................................................................................................ 29 PART 7 – ACQUISITION PLANNING ........................................................................................ 31

SUBPART 7.1 – ACQUISITION PLANS .................................................................................. 31 7.103 Policy ............................................................................................................................. 31 7.170 Consolidation of Contract Requirements ...................................................................... 31

SUBPART 7.4 – EQUIPMENT LEASE OR PURCHASE .............................................................. 31 7.401 Acquisition Considerations ............................................................................................ 31 7.470 Statutory Requirements ................................................................................................ 32

PART 8 – REQUIRED SOURCES OF SUPPLIES AND SERVICES .................................................... 33 SUBPART 8.4 – FEDERAL SUPPLY SCHEDULES ..................................................................... 33

8.405 Ordering Procedures for Federal Supply Schedules ...................................................... 33 PART 9 – CONTRACTOR QUALIFICATIONS ............................................................................. 34

SUBPART 9.1 – RESPONSIBLE PROSPECTIVE CONTRACTORS ............................................... 34 9.105 Procedures .................................................................................................................... 34

SUBPART 9.4 – DEBARMENT, SUSPENSION, AND INELIGIBILITY .......................................... 35 9.404 Excluded Parties List System ......................................................................................... 35

SUBPART 9.5 – ORGANIZATIONAL AND CONSULTANT CONFLICTS OF INTEREST .................. 35 9.503 Waiver ........................................................................................................................... 35

PART 10 – RESERVED ............................................................................................................ 36 PART 11 – DESCRIBING AGENCY NEEDS................................................................................. 37

SUBPART 11.2 – USING AND MAINTAINING REQUIREMENTS DOCUMENTS ........................ 37 11.273 Substitutions for Military or Federal Specifications and Standards ............................ 37

PART 12 – ACQUISITION OF COMMERCIAL ITEMS ................................................................. 38 SUBPART 12.1 – ACQUISITION OF COMMERCIAL ITEMS - GENERAL .................................... 38

12.102 Applicability ................................................................................................................. 38 SUBPART 12.3 – SOLICITATION PROVISIONS AND CONTRACT CLAUSES FOR THE ACQUISITION OF COMMERCIAL ITEMS .............................................................................. 38

12.302 Tailoring of Provisions and Clauses for the Acquisition of Commercial Items ............ 38 PART 13 – SIMPLIFIED ACQUISITION PROCEDURES ................................................................ 39

SUBPART 13.1 – PROCEDURES ........................................................................................... 39 13.106 Soliciting Competition, Evaluation of Quotations or Offers, Award and Documentation ....................................................................................................................... 39

SUBPART 13.3 – SIMPLIFIED ACQUISITION METHODS ........................................................ 39


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13.301 Government-wide commercial purchase card (GPC).................................................. 39 13.306 SF 44, Purchase Order – Invoice – Voucher. ............................................................... 39

SUBPART 13.5 – TEST PROGRAM FOR CERTAIN COMMERCIAL ITEMS ................................. 40 13.500 General ........................................................................................................................ 40 13.501 Special Documentation Requirements. ...................................................................... 40

PART 14 – SEALED BIDDING .................................................................................................. 41 SUBPART 14.2 – SOLICITATION OF BIDS ............................................................................. 41

14.201 Preparation of Invitations for Bids .............................................................................. 41 SUBPART 14.7 – OPENING OF BIDS AND AWARD OF CONTRACT ......................................... 41

14.407 Mistakes in Bids ........................................................................................................... 41 PART 15 – CONTRACTING BY NEGOTIATION .......................................................................... 42

SUBPART 15.000 – SCOPE OF PART .................................................................................... 42 SUBPART 15.2 – SOLICITATION AND RECEIPT OF PROPOSALS AND INFORMATION ............. 42

15.204 Contract Format .......................................................................................................... 42 SUBPART 15.3 – SOURCE SELECTION ................................................................................. 42

15.303 Responsibilities ............................................................................................................ 42 SUBPART 15.4 – CONTRACT PRICING ................................................................................. 42

15.403 Obtaining Certified Cost or Pricing Data ..................................................................... 42 15.404 Proposal Analysis ......................................................................................................... 43 15.406 Documentation ........................................................................................................... 43 15.407 Special Cost or Pricing Areas ....................................................................................... 45

SUBPART 15.6 – UNSOLICITED PROPOSALS ........................................................................ 45 15.606 Agency Procedures ...................................................................................................... 45

PART 16 – TYPES OF CONTRACTS .......................................................................................... 47 SUBPART 16.2 – FIRM-FIXED-PRICE CONTRACTS ................................................................ 47

16.206 Fixed-Ceiling-Price Contracts with Retroactive Price Redetermination ..................... 47 SUBPART 16.4 – INCENTIVE CONTRACTS ............................................................................ 47

16.401 General ........................................................................................................................ 47 16.405 Cost-Reimbursable Incentive Contracts ...................................................................... 47

SUBPART 16.5 – INDEFINITE DELIVERY CONTRACTS ........................................................... 48 16.500 General ........................................................................................................................ 48 15.504 Indefinite Delivery Contracts ...................................................................................... 48 16.505 Ordering ...................................................................................................................... 48 16.506 Solicitation Provisions and Contract Clauses .............................................................. 49

SUBPART 16.6 – TIME AND MATERIALS, LABOR-HOUR, AND LETTER CONTRACTS ............... 49 16.601 Time and Materials Contracts ..................................................................................... 49 16.602 Labor-Hour Contracts .................................................................................................. 49 16.603 Letter Contracts........................................................................................................... 49

PART 17 – SPECIAL CONTRACTING METHODS ........................................................................ 50 SUBPART 17.2 – OPTIONS ................................................................................................. 50

17.204 Contracts ..................................................................................................................... 50 SUBPART 17.74 – UNDEFINITIZED CONTRACT ACTIONS ...................................................... 50

17.7400 Scope ......................................................................................................................... 50 17.7404 Limitations ................................................................................................................. 50

SUBPART 17.78 – CONTRACTS OR DELIVERY ORDERS ISSUED BY A NON-DOD AGENCY ....... 50 17.7802 Policy ......................................................................................................................... 50

PART 18 – RESERVED ............................................................................................................ 52


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PART 19 – SMALL BUSINESS PROGRAMS ............................................................................... 53 SUBPART 19.0 – SCOPE OF PART ....................................................................................... 53 SUBPART 19.2 – POLICIES .................................................................................................. 53

19.202 Specific Policies ........................................................................................................... 53 SUBPART 19.6 – CERTIFICATE OF COMPETENCY AND DETERMINATION OF RESPONSIBILITY 53

19.601 General ........................................................................................................................ 53 PART 20 – RESERVED ............................................................................................................ 54 PART 21 – RESERVED ............................................................................................................ 54 PART 22 – APPLICATION OF LABOR LAWS TO GOVERNMENT ACQUISITIONS .......................... 55

SUBPART 22.1 – BASIC LABOR POLICIES ............................................................................. 55 22.101 Labor Relations ............................................................................................................ 55

SUBPART 22.17 – COMBATING TRAFFICKING IN PERSONS .................................................. 55 PART 23 – ENVIRONMENT, ENERGY AND WATER EFFICIENCY, RENEWABLE ENERGY TECHNOLOGIES, OCCUPATIONAL SAFETY, AND DRUG-FREE WORKPLACE............................... 56

23.3 – HAZARDOUS MATERIAL IDENTIFICATION AND MATERIAL SAFETY DATA................... 56 23.370 Safety Precautions for Ammunition and Explosives ................................................... 56

SUBPART 23.120 – REPORTING KIDNAPPINGS, SERIOUS INJURIES AND DEATHS ................. 56 PART 24 – PROTECTION OF PRIVACY AND FREEDOM OF INFORMATION ................................ 57

SUBPART 24.2 – FREEDOM OF INFORMATION ACT ............................................................ 57 24.203 Policy ........................................................................................................................... 57

PART 25 – FOREIGN ACQUISITION ........................................................................................ 58 SUBPART 25.3 – CONTRACTS PERFORMED OUTSIDE THE UNITED STATES ........................... 58 SUBPART 25.8 – OTHER INTERNATIONAL AGREEMENTS AND COORDINATION ................... 58

25.802 Procedures .................................................................................................................. 58 SUBPART 25.10 – ADDITIONAL FOREIGN ACQUISITION REGULATIONS ............................... 59

25.1002 Use of Foreign Currency ............................................................................................ 59 SUBPART 25.7008 – WAIVER RESTRICTIONS OF 10 U.S.C. 2534 ........................................... 59 SUBPART 25.74 – DEFENSE CONTRACTORS OUTSIDE THE UNITED STATES .......................... 60

25.7402 Contractor Personnel Authorized to Accompany U.S. Armed Forces Deployed Outside the United States ....................................................................................................... 60

SUBPART 25.77 – ACQUISITIONS IN SUPPORT OF OPERATIONS IN IRAQ OR AFGHANISTAN 61 25.7700 Scope ......................................................................................................................... 61 25.7703 Acquisition of Products or Services Other than Small Arms ..................................... 62 25.7704-1201 Purpose ............................................................................................................ 64 25.7704-1202 Applicability ..................................................................................................... 64 25.7704-1203 Procedures ....................................................................................................... 64

SUBPART 25.120 – COMMANDERS’ EMERGENCY RESPONSE PROGRAM (CERP) IN SUPPORT OF OPERATIONS IN IRAQ OR AFGHANISTAN ....................................................... 67

25.1200 Scope of Subpart ....................................................................................................... 67 25.1201 Definitions ................................................................................................................. 67 25.1202 Policy ......................................................................................................................... 67 25.1203 Procedures ................................................................................................................ 68 25.1204 Thresholds ................................................................................................................. 70 25.1205 Solicitation Provisions and Contract Clauses ............................................................ 71

PART 26 – RESERVED ............................................................................................................ 72 PART 27 – PATENTS, DATA, AND COPYRIGHTS ...................................................................... 73

SUBPART 27.4 – RIGHTS IN DATA AND COPYRIGHTS .......................................................... 73


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27.404 Basic Rights in Data Clause .......................................................................................... 73 PART 28 – BONDS AND INSURANCE ...................................................................................... 74

SUBPART 28.1 – BONDS AND OTHER FINANCIAL PROTECTIONS.......................................... 74 28.102 Performance and payment Bonds and Alternative payment Protections for Construction Contracts ........................................................................................................... 74

SUBPART 28.3 – INSURANCE ............................................................................................. 74 28.305 Overseas Workers Compensation and War Hazard Insurance ................................... 74 28.309 Contract Clauses for Workers Compensation Insurance ............................................ 75 28.311 Solicitation Provision and Contract Clause on Liability Insurance Under Cost-Reimbursement Contracts ...................................................................................................... 76 28.370 Additional Clauses ....................................................................................................... 76

PART 29 – RESERVED ............................................................................................................ 77 PART 30 – RESERVED ............................................................................................................ 77 PART 31 – RESERVED ............................................................................................................ 77 PART 32 – CONTRACTING FINANCING ................................................................................... 78

SUBPART 32.2 – COMMERCIAL ITEM PURCHASE FINANCING .............................................. 78 32.202 General ........................................................................................................................ 78

SUBPART 32.5 – PROGRESS PAYMENTS BASED ON COST .................................................... 78 32.501 General ........................................................................................................................ 78

SUBPART 32.7 – CONTRACT FUNDING ............................................................................... 78 32.703 Contract Funding Requirements ................................................................................. 78

SUBPART 32.11 – ELECTRONIC FUNDS TRANSFER .............................................................. 78 32.1106 Electronic Funds Transfer (EFT) Mechanisms ........................................................... 78 32.1110 Solicitation Provision and Contract Clauses .............................................................. 79

PART 33 – PROTESTS, DISPUTES, AND APPEALS ..................................................................... 81 SUBPART 33.1 – PROTESTS ................................................................................................ 81

33.102 General ........................................................................................................................ 81 33.103 Protests to the Agency ................................................................................................ 81 33.104 Protests to GAO ........................................................................................................... 84 33.106 Solicitation Provision and Contract Clauses ................................................................ 84

SUBPART 33.2 – DISPUTES AND APPEALS .......................................................................... 85 33.204 Policy ........................................................................................................................... 85 33.215 Contract Clause ........................................................................................................... 86

PART 34 – RESERVED ............................................................................................................ 87 PART 35 – RESERVED ............................................................................................................ 87 PART 36 – CONSTRUCTION AND ARCHITECT-ENGINEER CONTRACTS...................................... 88

SUBPART 36.1 – GENERAL ................................................................................................. 88 36.104 Policy ........................................................................................................................... 88

SUBPART 36.2 – SPECIAL ASPECTS OF CONTRACTING FOR CONSTRUCTION ........................ 88 36.208 Concurrent Performance of Firm-Fixed-Price and Other Types of Construction Contracts ................................................................................................................................. 88 36.213 Special Procedures for Sealed Bidding in Construction Contracts .............................. 88 36.272 Prequalification of sources .......................................................................................... 88 36.273 Construction in Foreign Countries .............................................................................. 88

SUBPART 36.3 – TWO-PHASE DESIGN-BUILD SELECTION PROCEDURES ............................... 89 36.301 Use of Two-Phase Design-Build Selection Procedures................................................ 89

SUBPART 36.5 – CONTRACT CLAUSES ................................................................................ 89


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36.507 Permits and Responsibilities ....................................................................................... 89 36.570 Additional Provisions and Clauses............................................................................... 90

SUBPART 36.6 – ARCHITECT-ENGINEER SERVICES............................................................... 90 36.602 Selection of Firms for Architect-Engineer Contracts ................................................... 90 36.609 Contract Clauses .......................................................................................................... 90

PART 37 – SERVICE CONTRACTING ........................................................................................ 91 SUBPART 37.1 – SERVICE CONTRACTS -- GENERAL ............................................................. 91

37.104 Personal Services Contracts ........................................................................................ 91 37.170 Approval of Contracts and Task Orders for Services ................................................... 91

SUBPART 37.5 – ARMY MANAGEMENT AND OVERSIGHT OF THE ACQUISITION OF SERVICES .......................................................................................................................... 91

37.503 Agency-Head Responsibilities ..................................................................................... 91 SUBPART 37.6 – PERFORMANCE-BASED ACQUISITION ....................................................... 92

37.604 Quality Assurance Surveillance Plans (QASP) ............................................................. 92 PART 38 – RESERVED ............................................................................................................ 94 PART 39 – RESERVED ............................................................................................................ 94 PART 40 – RESERVED ............................................................................................................ 94 PART 41 – RESERVED ............................................................................................................ 94 PART 42 – CONTRACT ADMINISTRATION AND AUDIT SERVICES ............................................. 95

SUBPART 42.2 – CONTRACT ADMINISTRATION SERVICES ................................................... 95 42.202 Assignment of Contract Administration ...................................................................... 95

SUBPART 42.15 – CONTRACTOR PERFORMANCE INFORMATION ........................................ 95 42.1502-90 Policy .................................................................................................................... 95

SUBPART 42.71 – VOLUNTARY REFUNDS ........................................................................... 96 42.7100 General ...................................................................................................................... 96

PART 43 – RESERVED ............................................................................................................ 97 PART 44 - RESERVED ............................................................................................................ 97 PART 45 – GOVERNMENT PROPERTY .................................................................................... 98

SUBPART 45.1 – GENERAL ................................................................................................. 98 45.104 Responsibility and Liability for Government Property. ............................................... 98 45.107 Contract Clauses .......................................................................................................... 98

SUBPART 45.3 – AUTHORIZING THE USE AND RENTAL OF GOVERNMENT PROPERTY .......... 99 45.301 Use and Rental ............................................................................................................ 99

PART 46 – QUALITY ASSURANCE ......................................................................................... 100 SUBPART 46.7 – WARRANTIES ........................................................................................ 100

46.710 Contract Clauses ........................................................................................................ 100 PART 47 – RESERVED .......................................................................................................... 101 PART 48 – VALUE ENGINEERING ......................................................................................... 102

SUBPART 48.1 – POLICIES AND PROCEDURES ................................................................... 102 48.104 Sharing Arrangements............................................................................................... 102

PART 49 – TERMINATION OF CONTRACTS ........................................................................... 103 SUBPART 49.4 – TERMINATION FOR DEFAULT ................................................................. 103

49.402 Termination of Fixed-Price Contracts for Default ..................................................... 103 SUBPART 49.70 – SPECIAL TERMINATION REQUIREMENTS ............................................... 103

49.7001 Congressional Notification on Significant Contract Terminations .......................... 103 PART 50 – RESERVED .......................................................................................................... 104 PART 51 – RESERVED .......................................................................................................... 104


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PART 52 – CLAUSES ............................................................................................................ 105 SUBPART 52.1 – INSTRUCTIONS FOR USING PROVISIONS AND CLAUSES ........................... 105 SUBPART 52.2 – PROVISIONS AND CLAUSES MATRIX ....................................................... 106 SUBPART 52.3 – TEXT OF PROVISIONS AND CLAUSES ....................................................... 107

PART 53 – FORMS .............................................................................................................. 145 SUBPART 53.120 – STANDARD C3 FORMATS .................................................................... 145

C3 APPENDICES .................................................................................................................. 245 APPENDIX 1 – C3 REVIEW AND APPROVAL THRESHOLDS .................................................. 246 APPENDIX 2 – RECURRING REPORTS LIST ......................................................................... 257 APPENDIX 3 – COALITION PROVISION AUTHORITY (CPA) CONTRACTS TRANSFERRED TO C3 FOR ADMINISTRATION .......................................................................................... 259 APPENDIX 4 – C3 ACTIVE DODAAC AND DOD ORDER CODES ............................................. 260 APPENDIX 5 – C3 INACTIVE DODAAC AND DOD ORDER CODES (HISTORICAL) .................... 261 APPENDIX 6 – CONTRACTING OFFICER’S GUIDE FOR THEATER BUSINESS CLEARANCE (TBC) IRAQ/AFGHANISTAN .............................................................................................. 262 APPENDIX 7 – CONTRACTING OFFICER’S GUIDE FOR THEATER BUSINESS CLEARANCE (TBC) KUWAIT................................................................................................................. 263 APPENDIX 8 – CONTRACTING OFFICER’S GUIDE FOR THEATER BUSINESS CLEARANCE (TBC) PAKISTAN .............................................................................................................. 264


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PART 1 – FEDERAL ACQUISITION REGULATIONS SYSTEM

SUBPART 1.1 – PURPOSE, AUTHORITY, ISSUANCE

1.101 Purpose of the C3 Acquisition Instruction

This Acquisition Instruction (AI) establishes general contracting procedures for CENTCOM Contracting Command (C3). It is issued pursuant to AFARS 5101.304 and provides internal guidance, including designations and delegations of authority, assignments of responsibilities, work-flow procedures, and internal reporting requirements. It contains procedures that are required by regulation to be established by the Head of Contracting Activity (HCA); procedures that implement policies; and procedures necessary to ensure that business practices are consistent throughout the C3 Area of Responsibility (AOR). The AI implements and supplements the Federal Acquisition Regulation (FAR), the Department of Defense Federal Acquisition Regulation Supplement (DFARS) and the DFARS Procedures, Guidance and Information (PGI), and the Army Federal Acquisition Regulation Supplement (AFARS) to establish uniform policies for C3 acquisition. It does not restrict the exercise of good business judgment or stifle innovation.

1.104 Applicability

(a) The Department of the Army is the Executive Agent for Contracting within Combined/Joint Operations Areas (CJOAs) Iraq and Afghanistan. The Assistant Secretary of the Army delegated authority as the Head of the Contracting Activity (HCA) to the Commander, CENTCOM Contracting Command (C3), within Combined/Joint Operations Areas (CJOAs) Iraq and Afghanistan. This authority applies to all contracting activities assigned or attached to USCENTCOM, with the exception of the U.S. Army Corps of Engineers. C3 Offices include the Principal Assistant Responsible for Contracting-Continental United States (PARC-CONUS) located at Rock Island, Illinois; the C3 Contract Closeout Task Force Office (CCTFO) in San Antonio, Texas; the Office of the Senior Contracting Official (SCO) in Iraq; and the Office of the SCO in Afghanistan and their subordinate contracting activities. For purposes of this AI, the term Chief of the Contracting Office (COCO) used in the FAR refers to the Chiefs of the Regional Contracting Centers (RCCs) for C3. (b) The Commander, USCENTCOM, has coordinating authority over all other supporting DoD contracting organizations, including those not assigned or attached to the command but providing support through external support contracts. In order to synchronize resources within the Iraq and Afghanistan CJOA, all DoD components performing contracting activities in the Iraq and Afghanistan CJOAs are directed to comply with USCENTCOM policies, procedures and FRAGOs—which are implemented with this AI. The C3 AI applies to all acquisitions as defined in Part 2 of the FAR, except where expressly excluded, executed by C3 contracting activities. However, since many contracts supporting theater operations are solicited and awarded by non-C3 contracting activities and those activities are not governed by this AI, those Agencies are directed to use the Theater Business Clearance (TBC)/Contract Administration Delegation (CAD) procedures as follows:

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(1) Theater Business Clearance (TBC). TBC was designed to provide visibility of all non-C3 awarded contracts requiring commercial delivery of supplies or deployment of contractors to the Iraq/Afghanistan CJOA. TBC ensures that solicitations and contracts contain theater-specific provisions and clauses which communicate battlefield command orders and assures that contractor personnel life support requirements are addressed and coordinated prior to their arrival in theater. TBC has been expanded to include contracts that support operations in Kuwait and Pakistan. TBC is further outlined in Subpart 25.77 of this AI where internet links to country-specific Contracting Officer guides are included. (2) Contract Administration Delegation (CAD). The CG C3 is accountable for all contract administration of DoD Contracts, as outlined in a memorandum by the Deputy Secretary of Defense. The CG executes this authority for non-C3 awarded contracts by either delegating to DCMA I/A or re-delegating back to the originator. This CAD process was designed to ensure optimal contract administration and oversight is implemented. See Subpart 25.77 of this AI for more information.

1.105 Issuance

1.105-3 Copies The C3 AI is available electronically via the World Wide Web at http://C3-training.net.

1.170 Peer Reviews

(a) The C3 peer review process satisfies the requirements set forth in DFARS 201.170 and AFARS 5101.170. Peer review requirements apply regardless of the type of item or service to be acquired under contract (Supply, Service, Construction, Research & Development, Architectural & Engineering, etc.), contract type, or solicitation procedures. (b) All solicitations and contracts with an estimated value greater than $30,000 will be approved through a Solicitation Review Board (SRB) and Contract Review Board (CRB) as outlined in Appendix 1 – C3 Review and Approval Threshold Matrix. This includes requirements and indefinite delivery contracts where the base contract must be approved based upon the total estimated value of the contract (maximum ceiling value) for the base and all option years, including the value of the six month option to extend service clause 52.217-8, if it will be included in the solicitation and resultant contract. (c) C3 Peer Reviews should be conducted concurrent with the C3 Review and Approval requirements outlined under C3 AI 1.602-1-90, Departmental Review and Approval whenever possible. This process leverages existing review processes to the maximum extent practicable. For actions at or below the C3 HCA approval threshold, the designated Chairman/Decision Authority serves as both the SRB/CRB Chair and the C3 business clearance authority on a non-delegable basis.

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1.170-1 Objective of Peer Reviews (a) The objectives of Peer Reviews are to ensure that DoD contracting officers are implementing policy and regulations in a consistent and appropriate manner; continue to improve the quality of contracting processes; and facilitate cross-sharing of best practices and lessons learned across the command. (b) The process is designed to ensure that resultant contracts represent appropriate obligation of taxpayer funds; the acquisition process was well understood by both the government and industry; the source selection was carried out in accordance with the source selection plan, articulated in the solicitation; and that the supporting recommendations and decision are clearly documented, reflect a business arrangement that provides the best value to the government, and will likely result in achievement of desired program results. (c) The C3 review board process provides a standardized methodology to review and assess the pre-solicitation, solicitation, and contract documents for consistency, sufficiency, compliance, and application of sound business practices.

(d) Peer reviews will be conducted for both competitive and non-competitive procurements. Peer reviews are conducted in two phases, Pre-award and Post-Award.

1.170-2 Pre-award Peer Reviews (a) Pre-award peer reviews are conducted in three phases, as outlined below:

(1) Phase 1: Solicitation Review Boards (SRBs) are required prior to solicitation issuance. A sample assessment has been included in this AI PART 53 – FORMS as 5153.120-5001, Phase 1 SRB – Solicitation. (2) Phase 2: Contract Review Boards (CRBs) are required prior to requesting final proposal revisions (FPRs), if negotiations are conducted. A sample assessment is included in PART 53 – FORMS as 5153.120-5002, Phase 2 CRB – Prior to Requesting FPRs. (3) Phase 3: Contract Review Boards (CRBs) are required prior to contract award. This phase is normally conducted concurrent with review and approval of the Price Negotiation Memorandum (PNM) for negotiated procurements. If award will be made without discussions, a combined POM/PNM will be submitted for Phase 3 CRBs and to satisfy the requirements at FAR 15.406-1, FAR 15.406-3. A sample assessment is included in this AI PART 53 – FORMS as 5153.120-5003, Phase 3 CRB - Contract Award.

(b) Pre-award peer reviews for non-competitive acquisitions shall be conducted prior to negotiation and prior to contract award. Phase 2 CRBs are not applicable to Invitation for Bids (IFBs).

1.170-3 Post-Award Peer Reviews of Service Contracts

(a) Post-award peer reviews for contracts valued at $500 million or more but less than $1 billion will be conducted for service contracts that were approved by an Army Services Strategy Panel

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(ASSP) in accordance with ASA(ALT) memorandum, Peer Reviews of Contracts for Supplies and Services, dated 31 December 2008 and AFARS 5101.170. The review board chair is the Deputy Assistant Secretary of the Army (Procurement) (DASA/P) (b) Post-award peer reviews for contracts valued at $1 billion review boards are chaired by the Office of Defense Procurement and Acquisition Policy (DPAP). (c) If the base period of performance is greater than one year, the first post-award Peer Review should take place at the mid-point of the base period of performance. If the base period of performance is one year or less, the post-award Peer Review should occur prior to exercise of the first option period and occur prior to every option period thereafter. (d) Post-award Peer Reviews shall be focused on the adequacy of the competition, an assessment of actual contract performance, and the adequacy of Government surveillance of contract performance. A sample assessment is included in this AI PART 53 – FORMS, Phase 4 CRB - Post Award Reviews of Service Contract.

1.170-4 Administration of Peer Reviews

(a) To facilitate planning for C3 HCA or higher HQ level Peer Reviews, PARC/SCO’s will provide a rolling forecast of acquisitions requiring C3 HCA or higher HQ review at the end of each quarter (i.e., March 10, June 10, September 10, and December 10) to the C3 Policy Directorate mailbox at [email protected]. (b) The results and recommendations from Office of Defense Procurement and Acquisition Policy (DPAP) or the Office of the Deputy Assistant Secretary of the Army (Procurement) (DASA/P) level peer reviews are intended to be advisory in nature.

(1) In the event the Peer Review report includes a recommendation that is identified as “significant” and the contracting officer does not intend to follow that recommendation, the C3 HCA must be made aware of this fact before action is taken (or inaction, as applicable) that is contrary to the recommendation. (2) The Contracting Officer shall document the disposition of all Peer Review recommendations prior to the next phase Peer Review, prior to contract award, and for post-award Peer Reviews of service acquisitions prior to exercising the option period. (3) Requests for Peer Reviews above the C3 HCA will be scheduled by the applicable PARC/SCO office, through the C3 Policy Directorate, after all C3 business clearance review and approvals are obtained.

(c) For C3 SRB/CRBs, Reviewers shall use the C3 Contracting Document Review Sheet for all reviews, including peer reviews. A sample format is included as 5153.120-5005 in PART 53 – FORMS. All completed review sheets shall be retained in the contract file. To obtain business clearance, the Contracting Officer must describe the actions taken to comply with or resolve review comments prior to solicitation release, requesting final proposal revisions, awarding contracts, or exercising option periods on service contracts for all C3 HCA level SRB/CRBs.


mailto:[email protected]�


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(1) C3 Peer Review and C3 Business Clearance Review & Approval Thresholds are outlined in Appendix 1 – C3 Review and Approval Threshold Matrix. (2) C3 PARC/SCO offices will submit a C3 HCA Level Peer Review Request Form 30 days in advance of the projected package submission date to allow for proper scheduling and coordination. (3) C3 PARC/SCO offices will submit all C3 HCA level reviews packages, with all supporting documentation, to the C3 Policy Directorate mailbox at [email protected]. A list of the documents that must be made available to Peer Review team, along with the specific elements the team will examine, is provided in DFARS PGI 201.170-4, Administration of Peer Reviews.

(4) SRB/CRB and business clearance review boards will be comprised of an independent, multi-functional team of senior level experts, which will include representatives from contracting, small business (if applicable), legal, the requirements community, the C3 Special Competition Advocate (SCA) if the action involves a Justification and Approval (J&A) or a Limited Source Justification (LSJ). The PARC/SCO office will recommend PARC/SCO members for each C3 HCA level peer review board requested, including, at a minimum members of PARC/SCO Policy and Legal. Actions below $750K designated for Contracting Officer SRB/CRBs are to be conducted by other than the Procuring Contracting Officer (PCO). (5) While legal counsel participates in the review board process by providing advice and assistance to the acquisition team and review board members, a separate legal sufficiency review is required by AFARS 5101.602-2(c) before business clearance is requested from the decision authority. (6) For C3 HCA level review boards, once legal sufficiency is obtained, the C3 Policy action officer will prepare the C3 staff action package for HCA approval. The package will include:

(i) Tab A – Peer Review/Business Clearance Approval Memorandum for the HCA; (ii) Tab B – Completed review matrix showing review board comments, contracting officer corrective action, and the date closed; and (iii) Tab C – Contracting Officer request for SRB/CRB Peer Review/Business Clearance.

(d) Waivers to conduct a review board may be granted by the respective review board chairperson. Any request for waiver of an SRB/CRB will be submitted in writing. The request should describe the requirement, the type of action, and provide a detailed rationale justifying waiver of the review process. Waivers based solely on time will generally not be granted unless unusual and compelling circumstances affecting mission accomplishment apply.

(1) Request for C3 HCA or higher HQ waivers will be submitted by the PARC/SCO to the C3

Policy Directorate mailbox at [email protected]. (2) All waivers, regardless of approval authority, shall be executed in writing, retained as part of the official contract file, with a copy provided to the C3 Policy Directorate mailbox at [email protected] within five days of issuance.


http://farsite.hill.af.mil/reghtml/regs/far2afmcfars/fardfars/dfars/PGI%20201_1.htm#P62_2375�





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SUBPART 1.2 – ADMINISTRATION

1.201 Maintenance of the C3 AI

(a) The C3 Policy Directorate is responsible for maintaining the AI. Changes to this instruction may be published as Interim Policy Directives (IPD), effective until formal incorporation into the AI, rescission, cancelation or expiration. Updates to the AI are typically issued in January and July of each Calendar Year (CY). (b) Recommendations for changes, additions, and deletions to the AI are encouraged and should be submitted to the Policy Directorate at [email protected]. (c) The C3 AI contains numerous internal and external hyperlinks; please report any issues with hyperlinks to the C3 Policy Directorate at mailbox [email protected]. SUBPART 1.3 – AGENCY ACQUISITION REGULATIONS

1.303 Publication and codification

To the extent possible, the format of the C3 AI follows the FAR Subpart numbering system with all C3 AI text (whether implemental or supplemental) numbered as if it were implemental. Supplemental numbering is used only when the text cannot be integrated intelligibly with its FAR, DFARS, and AFARS counterparts. Supplemental numbering is the same as its FAR counterpart, with the addition of number 120 or (S-120) to the parts, subparts, sections, or subsections are supplemented by the addition of a number of 120. The number 120 is used to denote C3.

1.304 Agency control and compliance procedures

C3 Principal Assistant Responsible for Contracting (PARC), Senior Contracting Official(s) (SCOs), and the Chief of the Regional Contracting Centers (RCCs) may issue local contracting instructions as necessary to implement FAR, the DFARS, the DFARS PGI, the AFARS, and the C3 AI without prior approval, except as outlined in DFARS 201.304 and AFARS 5101.304. Such instruction must be consistent with this AI, kept to a minimum, and be provided to the C3 Policy Directorate mailbox at [email protected], through the PARC/SCO Policy office, when issued or updated. Local contracting instructions that are not peculiar to one RCC/PARC/SCO shall be recommended for inclusion in the C3 AI. SUBPART 1.4 – DEVIATIONS FROM THE FAR

1.402 Deviations

(a) C3 contracting activities shall submit request for individual or class deviations under DFARS 201.402 through their PARC/SCO to the C3 Policy Directorate mailbox at [email protected] for C3 HCA endorsement and submission to higher HQ. Requests shall be prepared in accordance with AFARS 5101.402. Contracting officers should allow 90 to 120 days for review and approval of individual or class deviations.












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(b) Local non-standard provisions and clauses which will be used on a repetitive basis and will have a significant cost or administrative impact on contractors/offerors or will have a significant effect outside the internal operating procedures are individual deviations subject to approval under AFARS 5101.402. (c) A local non-standard provision or clause is defined herein as a term or condition used in solicitations and/or contracts by C3 contracting activities to satisfy specific needs within the command that are not sufficiently addressed by, and do not duplicate or contradict, existing regulatory guidance. (d) Each determination & finding (D&F) shall include the minimum content outlined in FAR 1.704 tailored to the specific requirements found within the appropriate subject matter. Authority to sign for the various D&Fs are shown in the applicable FAR part with specific C3 delegations outlined in Appendix 1 – C3 Review and Approval Thresholds Matrix. A sample generic D&F format is included as 5153.120-5006 in PART 53 – FORMS.

1.403 Deviations, Individual

(a) Individual deviations, except those described in DFARS 201.402(1) and DFARS 201.403(2), must be approved by the C3 PARC/SCO. This authority does not extend to areas set forth in DFARS 201.402(1) or to any provisions based upon statute or Executive Order unless such authority provides for waiver. (b) Use of Local Provisions and Clauses. Requests for local non-standard provisions and clauses to modify existing FAR language shall be limited by the authority to issue Individual Deviations. Existing regulatory provisions and clauses shall be used to the maximum extent practicable in lieu of those developed locally. The contracting officer is responsible for ensuring individual solicitations and contracts adequately describe all aspects of the requirement. Language addressing specific circumstances relative to the peculiarities of an individual solicitation or contract need not always be expressed in terms of a local non-standard provision or clause.

(1) Any individual deviations for repetitive local non-standard provisions and clauses which are applicable to all C3 contracting activities will be reviewed and approved by the HCA.

(i) Submit the request for individual deviations, in D&F format, through the PARC/SCO to the C3 Policy Directorate mailbox at [email protected].

(ii) Requests for review and approval shall include: (1) the text of the proposed provision or clause; (2) the recommended prescription and supporting information; (3) Paperwork Reduction Act (44 U.S.C. 3501) and Regulatory Flexibility Act (FAR 1.301(c) and 5 U.S.C. 601) analysis if applicable; (4) detailed rationale justifying the proposed provision or clause; and (5) the resolution resulting from local staffing including comments/coordination by subject matter experts, local legal counsel, and the customer.









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(iii) The C3 Policy Directorate will review and incorporate PARC/SCO local non-standard provisions and clauses into the C3 AI in accordance with C3 AI paragraph 1.201 upon HCA individual deviation approval.

(2) Any individual deviations for repetitive local non-standard provisions and clauses which will not have a significant cost or administrative impact on contractors/offerors or will not have a significant effect outside the internal operating procedures will be reviewed and approved by the PARC/SCO. This authority does not extend to areas set forth in DFARS 201.402(1) or to any provisions based upon statute or Executive Order unless such authority provides for waiver. Local non-standard provisions and clauses which are not peculiar to one PARC/SCO shall be recommended for inclusion in the C3 AI.

(i) The staffing process for the use of potentially repetitive local non-standard provisions and clauses to address situations in which terms and conditions are required, but not adequately addressed within the existing Federal Acquisition Regulation and applicable Supplements, shall be staffed through the PARC/SCO Policy Chief and include legal review prior to submission for PARC/SCO for approval. Legal review shall include local counsel (as applicable) and C3 CJA. To ensure staffing does not negatively impact mission, the contracting officer should submit requests for local non-standard provisions and clauses to the PARC/SCO Policy Chief at least 45 calendar days before the anticipated solicitation release date. Urgent requests shall be clearly marked. (ii) Requests for review and approval shall include: (1) the text of the proposed provision or clause; (2) the recommended prescription and supporting information; (3) Paperwork Reduction Act (44 U.S.C. 3501) and Regulatory Flexibility Act (FAR 1.301(c) and 5 U.S.C. 601) analysis if applicable; (4) detailed rationale justifying the proposed provision or clause; and (5) the resolution resulting from local staffing including comments/coordination by subject matter experts, local legal counsel, and the customer. Upon the PARC/SCO approval of the individual deviation, their office and subordinate offices are authorized to use the local non-standard provision and/or clause. (iii) A copy of the approved local non-standard provision and clause package, the PARC/SCO’s Local Clause Log, and the PARC/SCO’s updated Local Clause Matrix will be submitted to the C3 Policy Directorate at mailbox [email protected] concurrent with issuance to PARC/SCO staff for implementation.

(3) C3 Chiefs of Regional Contracting Centers (RCCs) are delegated authority to approve and allow use of local non-standard provisions and clauses when the terms and conditions are expected to be non-repetitive, have no significant impact, and are specifically limited to situations when terms and conditions are required, but not adequately addressed, within existing Federal Acquisition Regulation and applicable Supplements. C3 RCC Chiefs are also delegated authority to approve location specific contract requirements (e.g., vehicle registration, installation access, parking). Local non-standard provisions and clauses which are not peculiar to one RCC shall be recommended for inclusion in the PARC/SCO local non-standard provisions and clauses or the C3 AI.



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(i) Provisions or clauses approved under this delegated authority shall be staffed and reviewed by the PARC/SCO Policy Chief and Legal Counsel prior to approval. Additionally, the contract file shall document the rationale for the use of each such provision or clause. (ii) Although non-repetitive local non-standard provisions and clauses do not require the prior approval of the HCA or PARC/SCO, RCC Chiefs shall provide a copy of the approved local non-standard provision and clause package, the RCC’s Local Clause Log, and the RCC’s updated Local Clause Matrix to the C3 Policy Directorate at mailbox [email protected] and the PARC/SCO Policy Chief concurrent with issuance.

(c) Each determination & finding (D&F) shall include the minimum content outlined in FAR 1.704 tailored to the specific requirements found within the appropriate subject matter. Authority to sign for the various D&Fs are shown in the applicable FAR part with specific C3 delegations outlined in Appendix 1 – C3 Review and Approval Thresholds Matrix.

SUBPART 1.6 – CAREER DEVELOPMENT, CONTRACTING AUTHORITY, AND RESPONSIBILITIES

1.601 General

The C3 HCA and other contracting officials may re-delegate their contracting authority when consistent with higher-level regulations, directives, and instructions. Delegations or re-delegation must reference the applicable FAR, DFARS, AFARS citation. Expiration dates may be included; otherwise, the delegations and re-delegations stay effective until superseded or canceled. Actions requiring review and approval of the C3 HCA or Higher HQ shall be submitted, through the PARC/SCO, to the C3 Policy Directorate at [email protected].

1.602 Contracting Officers

1.602-1 Authority

The HCA and the PARCs/SCOs have oversight responsibility of C3 offices necessary to achieve the mission, goals, and objectives of C3. This oversight includes many aspects of the acquisition process from pre-award planning to contract surveillance and contract closeout. The framework and implementation guidance for review and approval of C3 acquisition related documents, to include the DoD mandated Peer Review process, is outlined in Appendix 1 – C3 Review and Approval Thresholds Matrix.

1.602-1-90 Departmental Review and Approval (a) Contracting Officers shall ensure that no contract is entered into unless all requirements of law, executive orders, regulations, and all other applicable procedures, including clearances and approvals, have been met.

(1) Contracting Officers shall abide by all host nation, inter-service, status of forces, or other authoritative agreements that are applicable within the theater.

(2) All contract actions ≥ $750K shall have legal review.







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(3) Termination actions of any amount, including no-cost settlements, shall have a policy and legal review. (4) Contract actions addressing scope and/or threshold, cure notices, show cause notices and all claims of any amount submitted under the Disputes clause shall receive a Policy and Legal review, regardless of dollar value. (5) Contracting Officers shall obtain PARC/SCO written concurrence prior to using a tradeoff process, other than the lowest price technically acceptable (LPTA) process described in FAR 15.101-2, for all negotiated procurements which are advertised locally for supplies, services and construction and conducted under FAR 13.5 - Test Program for Commercial Items, or FAR 15.1 – Source Selection Processes and Techniques, or FAR 16.504 – Indefinite-Quantity multiple award contract task and delivery orders. This excludes simplified acquisition under FAR 13.106 valued less than $1M. The costs and benefits of using the more complicated tradeoff process rather than LPTA, to include prospective offerors’ ability to understand and effectively respond to more complicated evaluation criteria, should be carefully considered. (6) All CERP and I-CERP valued at $1 Million or more require C3 HCA approval. (7) All other construction projects valued at $1.5 Million or more require C3 HCA Approval.

(b) Document Review and Approval. All contracting actions shall be reviewed and approved in accordance with the Appendix 1 – C3 Review and Approval Thresholds Matrix. Reviewers shall use the C3 Contracting Document Review Sheet included at 5153.120-5000, for all reviews, including peer reviews. All completed review sheets shall be retained in the contract file.

(1) Based on the review threshold specified, requests for procurement reviews should be emailed to:

C3 HCA Level Reviews: [email protected]

PARC-CONUS Level Reviews: [email protected] SCO-I Level Reviews: [email protected]

SCO-A Level Reviews: [email protected]

(2) All review requests shall include all relevant supporting documentation outlined within the appropriate subject matter. (3) Justification and Approvals and Limited Source Justifications. The following management levels for review and approval by technical and requirements personnel apply to all FAR Part 6 Justification & Approvals (J&As); FAR Part 8 Limited Source Justifications (LSJs); FAR Part 13 Contracting Officer Determinations under Simplified Acquisition Procedures; FAR Subpart 13.5 Justifications under the Test Program for Commercial Items; and FAR Part 16 LSJs under Orders under Multiple Award Contracts, Exceptions to the Fair Opportunity.
















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Threshold Requiring Activity

Technical Certification Level

Requiring Activity Requirements

Certification Level

Requiring Activity Management

Approval Level

Contracting Activity Approval

Level < $650K COR or Program

Manager or Functional Area Director or Equivalent

One Level Below Management Approval Level.

Program Manager or Functional Area Director or Equivalent

Contracting Officer

> $650K < $12.5M COR or Program Manager or Functional Area Director or Equivalent

Program Manager or Functional Area Director or Equivalent

Commander, Deputy Commander, GS-15 or Equivalent

C3 SCA or Alternate SCAs

> $12.5M < $85.5M Program Manager or Functional Area Director or Equivalent


General Officer or Senior Executive Service (SES) Member

C3 HCA (Iraq/Afghanistan) C3 HCA Designee (PARC-CONUS)

> $85.5M Program Manager or Functional Area Director or Equivalent


General Officer or Senior Executive Service (SES) Member

Army Acquisition Executive (AAE)

(i) Technical, Requirements, and Management review personnel must be full time employees of the U.S. Government. (ii) When performance is required beyond the contract expiration date of any contractual instrument, a justification must be prepared and approved to support the non-competitive bilateral modification of the existing purchase order, contract, task, or delivery order. Justifications are required to cover additional periods of performance and the associated increase in contract cost. The type of justification (i.e. Contracting Officer Determination under FAR Subpart 13.1, Justification & Approval under FAR Part 6 or Subpart 13.5, or Limited Source Justifications under FAR Part 8 or 16) required will follow the acquisition procedures used in soliciting and awarding the basic contract. (iii) Justifications shall be approved at the threshold commensurate with the total non-competitive dollar value of the requirement, to include the cumulative value of previous justifications, if applicable.

(A) Prior to award, Contracting Officers shall process an amended justification if the value of the prospective non-competitive contract increases beyond the authority approved, if a change in strategy further reduces competition, or if a material change to the requirement affects the basis of the justification. Amended justifications will be approved based on the total non-competitive value of the acquisition. Justification should not be amended after the contract action is awarded. (B) After award, Contracting Officers shall process a subsequent justification if contract changes (e.g. a modification to increase labor hours) cause the total contract value or period of performance to exceed the previously approved non-competitive value or period of performance. The approval authority for the subsequent justification is established based on the total non-competitive value of the contract.








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(C) A new justification, approved at the total cumulative non-competitive value, is also required to support any out of scope contract changes, to include additional periods of performance extensions or increases to the maximum ceiling value of IDIQ contracts. Contracting Officers shall consult with Legal counsel in determining whether a contract change is within scope. (D) If the Contracting Officer determined inclusion of FAR 52.217-8, Option to Extend Services, was appropriate, performance under the clause does not require a justification provided: The value of the Option to Extend Service was included when developing the acquisition strategy; The solicitation included the clause and identified to offerors that the value would be considered when making the original award decision; and the Prenegotiation Objective Memorandum (POM) and Price Negotiation Objective Memorandum (PNM) reflected the value was considered when making the award decision. Separate CLINS are not used to obtain pricing for the Option to Extend Services, the value of half of the last six month period is used for evaluation purposes. If the contract file does not reflect that FAR Clause 52.217-8 was considered in the initial award decision, a justification must be prepared and approved prior to exercising FAR Clause 52.217-8, Option to Extend Services.

(4) Solicitation Business Clearance. The following supporting documentation is required prior to requesting solicitation business clearance. Approval is required prior to solicitation issuance.

(i) Contracting Officer Request for SRB. (ii) Solicitation with all attachments/enclosures (including the Performance Work Statement (PWS)/Statement of Work (SOW)/Statement of Objective (SOO)). All service contracts PWSs must include the applicable Performance Requirement Summary (PRS) items. (iii) Source Selection Plan (SSP), if applicable. (iv) Award Fee Plan, if applicable. (v) Service Contract Approval, if service requirement. (Not applicable if JARB approval document is provided). (vi) Quality Assurance Surveillance Plan (QASP), if services. (vii) Contracting Officer Representative (COR) Appointment. (viii) Approved Acquisition Plan, if applicable. (ix) Approved Acquisition Strategy or Combined Acquisition Plan/Acquisition Strategy, if applicable. (x) Purchase Request (xi) Any other document deemed pertinent by the Contracting Officer.

(5) Prenegotiation Objective Memorandum (POM) Business Clearance. See requirements outlined under C3 AI 15.406-1, Prenegotiation Objective and Appendix 1 – C3 Review and Approval Thresholds Matrix. (6) Price Negotiation Memorandum (PNM) Business Clearance (or Combined POM/PNM if awarding without discussions). See requirements outlined under C3 AI 15.406-2, Documenting the Negotiation and Appendix 1 – C3 Review and Approval Thresholds Matrix.






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1.602-2 Responsibilities

(a) As outlined in SAAL-PP memorandum, dated October 21, 2010, subject: Contract Administration and Surveillance of Service Contracts, contract oversight and surveillance is a shared responsibility of the contracting and requiring activities. However, the Contracting Officer is ultimately responsible for ensuring appropriate contractor oversight and quality assurance of their assigned contracts. Contracting Officers are required to ensure a defensible method for executing oversight functions is in place prior to contract award. (b) Contracting Officers shall appoint a properly trained COR in writing before awarding any service contract or service contract action if one or more of the below conditions apply:

(1) The total dollar value of the contract (including options) is greater than $150,000; (2) The contract or action is for complex services that have quality or performance standards for which contractual conformance must be established progressively through precise measurements, test, and controls applied during purchasing, performance, and functional operation either as an individual service or in conjunction with other services; (3) The contract action is for a critical service in which the failure of the service could injure personnel or jeopardize a vital agency mission and the Contracting Officer determines it appropriate; (4) Prior contractor past performance indicates a need for Government oversight; or, (5) The Contracting Officer otherwise determines a COR is needed.

(c) A COR appointment letter is not necessary when the contracting officer desires to perform surveillance duties themselves and documents the contract file to that affect. (d) Prior to appointment, Contracting Officers will verify the COR has completed all mandatory training requirements and the contract file is documented as defined in Under Secretary of Defense memorandum dated March 29, 2010, subject: DoD Standard for Certification of Contracting Officer’s Representative (COR) for Service Acquisitions and DFARS PGI 201.602-2 Responsibilities.

(1) In addition to mandatory COR training, the Defense Acquisition Univeristy (DAU) offers supplemental on-line, continuous learning modules, such as “COR with a Mission Focus” (CLC 106) and “Ethics Training for the ATL Workforce” (CLM 003). Both modules are available through the DAU continuous learning center at http://learn.dau.mil. After successful completion, DAU provides the participant with a COR course completion certificate. A current copy of all requisite training certificates must be included in the official contract file and in the COR’s file. (2) Contracting Officer will notify requiring activities of COR requirements in sufficient time to ensure appropriately trained CORs before award (ideally 90 days). When requesting COR nominations, Contracting Officers are encouraged to provide requiring activities with the Requiring Activity Responsibilities for Contract Surveillance of Service Contracts and the DoD


http://learn.dau.mil/�


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COR certification standard applicable to the contract requirement. The standard identifies competencies, experience and minimum training requiring activities should consider when nominating CORs to ensure successful performance of COR duties. The Requiring Activity Responsibilities and the DoD Certification standards are included in the C3 AI at PART 53 – FORMS and include:

(i) Type A: Fixed-price, low performance risk requirements; (ii) Type B: Other than Fixed-price, low performance risk requirements, and (iii) Type C: Unique requirements that necessitate a professional license, higher education, or specialized training.

(3) Additionally, Contracting Officers should remind the requiring activity of the requirement for the COR’s supervisor to address the COR’s performance of the designated functions in their annual performance appraisal.

1.602-3 Ratification of unauthorized commitments (a) Contracting Officers shall make reasonable efforts to contact and obtain written factual statements from personnel responsible for, or who have knowledge of the facts and circumstances of unauthorized commitments. (b) Request for ratification of UACs shall be submitted on the C3 Ratification of Unauthorized Commitment Action form which is provided in PART 53 – FORMS. (c) Legal review is required on all UACs, regardless of dollar amount, prior to submission to the ratification authority outlined in Appendix 1 – C3 Review and Approval Thresholds Matrix. (d) C3 Contracting activities shall maintain a log, by fiscal year, of all ratification of unauthorized commitment actions. All UACs will include a Control Number unique to the C3 office originating the action, by fiscal year, regardless of dollar value or approval authority of the actions. Example: RCC Sharana would start at W90U42 UAC 11-001, then W90U42 UAC 11-002, etc. RCC Central would start at W91GDW UAC 11-001, then W91GDW UAC 11-001, etc. A C3 Sample UAC log is provided in PART 53 – FORMS. (e) Contracting Officers shall include the applicable control number in the remarks section of the applicable FDPS-NG Contract Action Report (CAR). (f) PARC/SCOs will provide UAC log(s) for their activity no later than the 15th of October of each calendar year to the C3 Policy Directorate mailbox at [email protected].

1.603 Selection, Appointment, and Termination

1.603-1 General

Contracting Officers will be appointed by the responsible PARC/SCO.



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1.603-2 Selection

Chiefs of Regional Contracting Centers (RCCs) shall request Contracting Officer warrants for their staffs by submitting warrant applications to their responsible PARC/SCO using the C3 Sample Warrant Application included in PART 53 – FORMS. Applicants must provide sufficient documentation with the application to demonstrate DAWIA and training requirements have been met. A new Warrant Application is required to reissue warrants with a higher dollar value.

1.603-4 Termination

In accordance with the Contracting Officer Warrant Certificate of Appointment, appointments are effective as long as the appointee is assigned to the C3. Since C3 appointments provide for automatic termination, termination letters, as prescribed in FAR 1.603-4, will not normally be issued. Termination letters will be issued when terminating existing warrants and issuing new warrants which raise or lower delegated authority levels.

SUBPART 1.7 – DETERMINATIONS AND FINDINGS

1.704 Content

Each determination & finding (D&F) shall include the minimum content outlined in FAR 1.704 tailored to the specific requirements found within the appropriate subject matter. Authority to sign for the various D&Fs are shown in the applicable FAR part with specific C3 delegations outlined in Appendix 1 – C3 Review and Approval Thresholds Matrix based on. SUBPART 1.120 – OMBUDSMAN PROGRAM

1.1200 Purpose

The purpose of the C3 ombudsman program is to foster communication between government and industry. The primary function of the ombudsman is to hear concerns about specific issues in acquisitions, to communicate these concerns to senior management personnel responsible for oversight and to assist in the resolution of the concerns. The Deputy PARC/SCO is the Ombudsman for each C3 contracting activity.

1.1201 Authority

(a) The ombudsman has the authority to call upon other resources of the activity to assist in resolving acquisition issues or concerns (e.g. administrative support, independent review teams).

(b) The Ombudsman Program does not replace the agency level protest, GAO bid protest or disputes processes.

(c) Government personnel may use the Ombudsman Program as a way to express concerns about an acquisition.




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1.1202 Responsibilities (a) The primary function of the ombudsman is to hear concerns about specific issues in acquisitions, to communicate these concerns to senior management personnel responsible for oversight, and to assist in the resolution of the concerns. (b) Specific duties include:

(i) Supporting C3 acquisition personnel in the resolution of issues or concerns raised by interested parties. (ii) Act in a manner that does not compromise the interested party and, if requested, maintain anonymity of the parties. (iii) Avoid any appearance of usurping normal procurement authority (e.g. program manager, contracting officer, and source selection authority). (iv) Ensure all affected or knowledgeable offices and officials are consulted as part of any resolution process. (v) Review complaints received relative to multiple-award task and delivery order contracts awarded under 10 U.S.C. 2304a(d)(1)(B) or 10 U.S.C. 2304b(e) to ensure that all contractors are afforded a fair opportunity to be considered for task and delivery orders in excess of $3,000, consistent with the procedures in the contract. (vi) Consistent with security requirements, have access to the appropriate offices and be allowed to collect all facts relevant to the resolution of issues raised by interested parties. Ombudsmen are granted access to proprietary information. Source selection information must be obtained through the source selection authority.

1.1203 Solicitation Provision and Contract Clauses

952.201-0001, Ombudsman, shall be inserted in all solicitations and contracts, including task and delivery orders, regardless of dollar value. Contracting officers shall identify the appropriate C3 ombudsman by title and mailing address in the solicitation and resultant contract using C3 local clause 952.201-0001. Individual names, phone numbers, and e-mail addresses shall not be included based on employee turnover and the operational environment. General phone numbers and general e-mail addresses are acceptable. Example:

Office of the Senior Contracting Official - Iraq Attn: SCO-I Ombudsman

APO AE 09342 E-Mail: [email protected]

http://www.gpo.gov/fdsys/pkg/USCODE-2009-title10/pdf/USCODE-2009-title10-subtitleA-partIV-chap137-sec2304a.pdf�

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PART 2 – DEFINITION OF WORDS AND TERMS

SUBPART 2.1 – DEFINITIONS

2.101 Definitions

Afghani Host Nation Business: (a) To be considered an Afghanistan Host Nation Business, the following criteria must be met:

(1) The firm must be owned by an Afghan citizen who holds 51% or more interest in the business, as indicated in their licensing documentation. This may be listed as either "D" for Domestic or "I" for International on the license. To be considered an Afghan citizen, the individual must hold the Afghan ID card (Tazkira) in Afghanistan or an Afghan Passport abroad.

(2) The firm must hold a current operating license issued by a Government of the Islamic Republic of Afghanistan (GIRoA) licensing authority with a physical address in Afghanistan. A number of GIRoA entities issue licenses, depending upon the type of enterprise. These license-issuing entities include, but are not limited to: Afghanistan Investment Support Agency (AISA); Ministry of Commerce and Industries; Ministry of Agriculture, Irrigation and Livestock; Ministry of Communications; Ministry of Economy; Ministry of Finance; Ministry of Information and Culture; Ministry of Interior; Ministry of Justice; Ministry of Mines and Industry; Ministry of Public Health; Ministry of Rural Rehabilitation and Development; Ministry of Transportation and Civil Aviation; and Ministry of Urban Affairs.

(3) The firm must hold a Tax Identification Number (TIN).

(b) To be considered an Afghanistan Non-Governmental Organization (NGO), the following criteria must be met:

(1) The firm must be licensed as a domestic NGO by the NGO Department of the Ministry of Economy, and

(2) The firm must employ a majority of Afghan citizens domestically to carry out the project.

Iraqi Host Nation Business: (a) To be considered an Iraqi Host Nation Business, the following criteria must be met:

(1) The firm must be owned by an Iraqi citizen(s). (2) The firm must hold a current registration with all of the following Government of Iraq (GoI) Ministries:

(i) Ministry of Trade (ii) Office of Company Registrations


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(iii) Ministry of Finance (iv) General Commission for Taxes (v) Ministry of Labor and Social Affairs (vi) Ministry of Interior (vii) The Chamber of Commerce

(b) In agreement with the GoI, Ministry of Trade and Office of Company Registration processes, C3 does not recognize “group” or “holding” companies in Iraq as Host Nation Businesses.


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PART 3 – IMPROPER BUSINESS PRACTICES AND PERSONAL CONFLICTS OF INTEREST

SUBPART 3.1 – SAFEGUARDS

3.104 Procurement Integrity

(a) The Command Judge Advocate (CJA) is the Ethics Advisor for both Iraq and Afghanistan. (b) Issues related to Iraq should be directed to: [email protected] (note underscores between words) or DSN 318-485-3585 (c) Issues related to Afghanistan should be directed to: [email protected] or DSN 318-237-9452

3.104-2 General (a) All military and Government employees shall be familiar with the Joint Ethics Regulation, DOD 5500.7-R. Government employees have a responsibility to uphold the public's trust in the U.S. Government. Therefore, Government employees are held to a higher standard than private industry and must ensure their actions are fair to all contracting parties. (b) Procurement officials are a special category of Government employee. Contracting Officers must exercise substantial discretion and sound judgment in their procurement roles. There are specific statutes and regulations that, among other things, require Contracting Officers to complete additional annual ethics training and file financial disclosure reports. (c) Ethics Training. All C3 personnel shall complete the current Newcomers Ethics Training module located on the C3 training website within 30 days of arrival. All Department of the Army employees must receive annual ethics training that reinforces the 14 Principles of Ethical behavior, therefore all C3 personnel will complete the current DoD Ethics Training module no later than 20 January each calendar year. Provide a copy of the training completion certificate(s) to the appropriate CJA (SCO-I or SCO-A). (d) Financial Disclosure Forms. Federal Law requires designated individuals to disclose assets, liabilities, and other information in order to provide early notice of potential conflicts of interest. All C3personnel, except personnel performing strictly administrative functions, shall also complete a Financial Disclosure Report on an OGE Form 450. Supervisors must contact their supporting CJA in order to coordinate OGE 450’s. C3personnel required to file an OGE 450 shall submit the OGE 450 at the following time periods:

(1) Upon arrival within the command. New personnel assigned to C3 must either provide a copy of their current OGE 450 filed during the last annual period (Jan – Feb) or submit a “new entrant” OGE 450 in the utilize the Financial Disclosure Management (FDM) on-line system (https://www.fdm.army.mil/). New personnel arriving after 1 Nov will not file a “new entrant” report, but instead will file an “annual” report as described below.



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(2) An annual OGE 450. Supervisors will review and update lists of personnel required to file an annual report prior to 1 January. From 1 January to 15 February all required personnel must complete their OGE 450 on-line.

(e) Report prohibited acts immediately through RCC Chief to the respective PARC/SCO Operations Officer, who shall review and email to the C3 CCIR secure e-mail box. Use the sample C3 Commander's Critical Information Requirements (CCIR) report format included in PART 53 - FORMS. Include the specifics detailed in AFARS 5103.203. Instructions regarding completing CCIR reports are included in SOP #10-01 Rev1, Div/RCC Operations. (f) During annual ethics training C3 employees shall familiarize themselves with statutes and legal authorities as they relate to post government employment. C3 employees (military and civilian) will consult with the CJA prior to engaging in any discussions involving post government employment.

3.104-5 Disqualification Authority to authorize a disqualified official to resume participation in a C3 procurement is delegated to the PARC/SCO without the power of redelegation.

3.104-7 Violations or Possible Violations Authority to review and take appropriate action on information that a reported violation, or possible violation, of a present or former government official or someone advising that official is the C3 Head of the Contracting Activity (HCA). The Chief Counsel, U.S. Army Sustainment Command has been delegated authority for PARC-CONUS. SUBPART 3.2 – CONTRACTOR GRATUITIES TO GOVERNMENT PERSONNEL

3.201 Applicability

(a) Should a contractor or other prohibited source offer or give a Government employee or other person having official C3 duties, any gift, except for a perishable item, that person shall immediately report the offer or gift to their immediate supervisor and ensure the C3 Ethics Advisor is notified immediately. (b) Should a Government employee or other person having official C3 duties have any questions or doubts about a gift, gratuity or bribery issue, they should contact the C3 Ethics Advisor. The attorney-client privilege and the attorney-client confidentiality provisions do not apply to communications to an attorney working as an ethics counselor. (c) Any employee, including contractor support employees regardless of their company’s policies, are prohibited from accepting a gift of any value from a contractor, potential contractor, or other outside party without prior coordination with the C3 Ethics Advisor. Contractor employees should elevate ethics issues and concerns to their management for coordination through their company’s Government Contracting Officer.




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SUBPART 3.6 – CONTRACTS WITH GOVERNMENT EMPLOYEES OR ORGANIZATIONS OWNED OR CONTROLLED BY THEM

3.602 Exceptions

Authority to authorize an exception to policy in FAR 3.601 if there is a most compelling reason to do so, such as when the Government’s needs cannot reasonably be otherwise met, is outlined in Appendix 1 – C3 Review and Approval Thresholds Matrix.



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PART 4 – ADMINISTRATIVE MATTERS

SUBPART 4.5 – ELECTRONIC COMMERCE IN CONTRACTING

4.502 Policy

(a) Army Single Face to Industry (ASFI). IAW AFARS 5104.502 all contracting offices will post all solicitations to the Army Single Face to Industry (ASFI) Acquisition Business website at https://acquisition.army.mil/asfi/. ASFI interfaces with Federal Business Opportunities (FEDBIZOPPS) and therefore satisfies the requirement to post on the government wide point of entry (GPE). (b) Joint Contingency Contracting System (JCCS). C3 uses the JCCS website to provide a local vendor database, vet non-U.S. companies, and locally advertise solicitations.

(1) Solicitations posted on the JCCS website can be accessed at the following link:

https://www.jccs.gov/

(2) It is imperative that vendor information be complete and accurate to facilitate efficient contractor vetting. (3) Usernames and passwords for C3 employees can be obtained from the C3 JCCS support team as follows:

[email protected] or [email protected] DSN 312-327-2038 Stateside DSN 318-485-3885 Iraq DSN 318-237-0976 Afghanistan

SUBPART 4.8 – GOVERNMENT CONTRACT FILES

4.802 Contract Files

Contracting Officers shall utilize standard C3 Contract File Indexes. Sample formats for the Services/Construction Contract File Index, the Purchase Order File Index, and the Task Order File Index have been included in PART 53 – FORMS.

4.804-5 Procedures for Closing out Contract Files (a) The C3 Contract Closeout Task Force Office (CCTFO) has been established to closeout and archive C3 contracts. Closeout and archiving of C3 contract files will be accomplished in accordance with the following guidance:

(1) Any contract files with a completion date within FY 2009 or later shall be closed out in theater and subsequently shipped to CCTFO for retention.


https://acquisition.army.mil/asfi/�

https://www.jccs.gov/�




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(2) Contract files with a completion date prior to FY 2009, and which will not meet the requisite retention periods specified in FAR 4.805 prior to December 31, 2009, shall be shipped to CCTFO. Closed contract files that have met requisite retention periods shall not be destroyed. 100% of contract files shall be shipped to CCTFO and retained until a determination has been made pertaining to the final destruction date.

(3) All contracts shipped to CCTFO shall include a C3 CCTFO Contract Closeout/Archiving Pre-Shipping Checklist excel spreadsheet document.

(b) The aforementioned procedures are also applicable to Commanders Emergency Response Program (CERP) contracts $500K and above. These contracts will go through the normal closeout procedures, to include closeout in PD2 and have a retention period of 6 years and 3 months IAW FAR 4.805. Additionally, for SF44 actions, the C3 CCTFO Contract Closeout/ Archiving Pre-Shipping Checklist is not required. Instead, SF44s shall be itemized by Order Number on a separate list and the list shall accompany the SF44s to CCTFO for retention. SF44 transactions have a 3-year retention period following payment for purchases under the Simplified Acquisition Threshold (SAT) ($1M for transactions awarded and performed outside the U.S.). (c) Shipping Process.

(1) Upon completion of a firm-fixed price contract, items 1 through 5 of the C3 CCTFO Contract Closeout/ Archiving Pre-Shipping Checklist are to be electronically completed and saved to the respective hard-copy and electronic contract folders. (2) Segregate hard-copy files, based on the following criteria:

(i) Contract is closed (i.e.: completed DD1594) or open. (ii) Fiscal year of contract award. (iii) Contract instrument type (9th position of PIIN). (iv) Alpha/numeric filing by last four digits of the contract number (lowest to highest).

(3) Complete items 6 through 8 of the C3 CCTFO Contract Closeout Checklist, sorting and packing in accordance with contract instrument type and status (open or closed). (4) A hard copy of the completed C3 CCTFO Contract Closeout/ Archiving Pre-Shipping Checklist shall be placed in the respective file destined for the CCTFO. (5) Complete the electronic CCTFO Tracker and place a hard-copy in the respective shipping box. (6) Seal and label shipping boxes with the pre-printed/pre-paid labels and affix a U.S. Postal Service (USPS) Delivery Confirmation tracking label to the exterior of each box.




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(7) Ship boxes using USPS Priority Mail to the address listed in “Mailing Instructions,” item 8 on the C3 CCTFO Contract Closeout/ Archiving Pre-Shipping Checklist and upon mailing, e-mail the latest CCTFO Tracker to [email protected].

(d) In the event inquires occur from vendors, payment offices, or investigators, the CCTFO has established a group e-mail to handle these inquiries in a timely manner. Send an e-mail or provide the requester the following address [email protected]. The CCTFO has developed a database that registers received files. If the files were shipped at least two months in advance of the inquiry, the CCTFO will only require the contract number. In the event the shipment was recent, the following details will be required: Contract Number, approximate date of shipment, location it was shipped from and any other pertinent details of the inquiry. (e) Appendix 3 – List of Coalition Provision Authority (CPA) Contracts Transferred for C3 Administration is a list of cost reimbursable contracts that were awarded by the original CPA and then transferred to C3 for administration. These contracts are nearing closeout and DCMA SE has accepted responsibility. DCMA SE has "overall" administration and must have all of the basic files except the ones that C3 has active task order administration. C3 shall work with the DCMA SE to retain partial administration. Contact info for DCMA SE is as follows: DSN: 314-336-2071 / COMM: 011-49-611-816-2071 / Cell: 011-49-160-9390-9756. SUBPART 4.70 – UNIFORM PROCUREMENT INSTRUMENT IDENTIFICATION NUMBERS

4.7003 Basic Procurement Instrument Identification (PII) Numbers

Active codes are identified in Appendix 4 – C3 Active DoDAAC and DoD Order Codes. Inactive codes are identified in Appendix 5 – C3 Inactive DoDAAC and DoD Order Codes (Historical).




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PART 5 – PUBLICIZING CONTRACT ACTIONS

SUBPART 5.1 – DISSEMINATION OF INFORMATION

5.101 Methods of Disseminating Information

(a) In accordance with AFARS 5104.502, all contracting offices will post all solicitations to the Army Single Face to Industry (ASFI) Acquisition Business website (https://acquisition.army.mil/asfi/). ASFI provides industry partners with a single Army entry point and a simplified method for conducting new business opportunities searches. ASFI sends data to the Department of Defense (DoD) Business Opportunities website (http://www.dodbusopps.com/). Consequently, vendor search capabilities improve across the entire DoD. In addition, the Federal Business Opportunities (FedBizOpps - FBO) website (http://www.fedbizopps.gov/) is designated as the electronic government wide entry point for information on government contracts over $25,000. All qualifying notices and access to solicitations shall be posted to the FBO website. (b) Solicitations for commodities included on the list of end products subject to trade agreements in DFARS 225.401-70, shall be posted on ASFI and JCCS. Trade Agreement Acts do not apply when limiting competition for urgent and compelling reasons pursuant to FAR 6.302-2. SUBPART 5.2 – SYNOPSES OF PROPOSED CONTRACT ACTIONS

5.202 Exceptions

(a) Under certain conditions, FAR 5.202(a)(12) authorizes Contracting Officers to synopsize only local sources instead of synopsizing on FBO via ASFI if the proposed contract will be awarded and performed outside the U.S., if there is adequate competition in the geographic area and only local sources will be solicited. Contracting Officers shall utilize the JCCS database to help determine whether adequate local competition can be anticipated. Contracting Officers shall continue to utilize JCCS, bid boards or other local posting sites to solicit competition. (b) The authority to utilize local synopsis methods, other than the GPE, does not preclude the requirement to obtain full and open competition, in accordance with FAR Part 6. Contracting Officers, with certain limited exception, shall promote and provide for full and open competition in soliciting offers and awarding Government contracts. (c) As outlined in FAR 5.202(a)(13), if the proposed contract action is for an amount not expected to exceed the simplified acquisition threshold; will be made through a means that provides access to the notice of proposed contract action through the GPE, and permits the public to respond to the solicitation electronically.


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5.207 Preparation and Transmittal of Synopses

(a) Review of Public Postings and Congressional Notifications. All public notices to be posted on ASFI, FBO, JCCS, or any Congressional notification, regarding any service, construction or supply procurements in excess of $1M and all required Congressional notifications, shall be approved by the responsible PARC/SCO prior to issuance. In addition, procurements of any value for all services, construction and supplies that could be considered controversial shall be approved in advance of posting. Covered services procurements would include, but not be limited to: information gathering, production and dissemination; public affairs; messaging; media operations; strategic communication; psychological operations; security; and detainee related services. Covered construction procurements would include, but not be limited to internment facilities and reintegration centers. Covered supply procurements would include, but not be limited to, weapons and ammunition. (b) Email the text of proposed postings to the responsible PARC/SCO office a minimum of 3 calendar days prior to the planned posting. The PARC/SCO will determine whether further command-level review is required. Approval to post will be provided by email, which shall be retained in the contract file. SUBPART 5.3 – SYNOPSES OF CONTRACT AWARDS

5.303 Announcement of Contract Awards

(a) The safety of the host nation contractors and their employees is extremely important. C3 has determined there may be significant security risks to local national contractors if they are disclosed as conducting business with the U.S. government. Names of contractors will be released only after obtaining written approval from the PARC/SCO following consultation with CJA.

(1) Contracting officers shall withhold the name of successful host nation offerors when notifying unsuccessful offerors of a contract award IAW FAR 15.503(b) or when debriefing unsuccessful offerors IAW FAR 15.506(d). (2) Public notices shall refer to local national contractors as “Local National Contractor” in lieu of using company names.

(b) Notification to Congress prior to making awards greater than $5.5M is required only if award is being made to a U.S. contractor or to a joint venture that includes a U.S. contractor.

5.403 Requests from members of Congress

C3 does not respond directly to Congressional inquiries. Congressional inquiries received directly from Congress, or other source, shall be forwarded to the C3 J3 who will serve as the action officer to obtain HCA concurrence of the proposed reply to CENTCOM.




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SUBPART 5.4 – RELEASE OF INFORMATION

5.404 Release of Long-Range Acquisition Estimates

5.404-1 Release Procedures Authority to approve the release of estimates of unclassified long-range acquisition requirements is outlined in Appendix 1 – C3 Review and Approval Thresholds Matrix. SUBPART 5.5 – PAID ADVERTISEMENTS

5.502 Authority

Authority to approve the publication of paid advertisements in newspapers under DFARS 205.502(a) is outlined in Appendix 1 – C3 Review and Approval Thresholds Matrix.




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PART 6 – COMPETITION REQUIREMENTS

SUBPART 6.3 – OTHER THAN FULL AND OPEN COMPETITION

6.302 Circumstances Permitting Other Than Full and Open Competition

6.302-1 Only One Responsible Source and No Other Supplies or Services Will Satisfy Agency Requirements Authority to determine if C3 can enter into contracts for studies, analyses, or consulting services on the basis of an unsolicited proposal without providing for full and open competition under FAR 15.606 and DFARS 206.302-1(a)(2)(i)(1) is outlined in Appendix 1 – C3 Review and Approval Thresholds Matrix.

6.302-4 International Agreement Authority to prepare a document that describes the terms of an agreement or treaty or the written directions, such as a Letter of Offer and Acceptance that have the effect of requiring the use of other than competitive procedures for the acquisition, in lieu of doing a J&A under FAR 6.302-4 and DFARS 206-302-4(c), is delegated to the C3 Head of the Contracting Activity (HCA) without the power of redelegation.

6.304 Approval of the Justification (a) Contracting Officers shall refer to the general instructions outlined in C3 AI 1.602-1-90, Departmental Review and Approval prior to processing Justification & Approvals under FAR Part 6. (b) Contracting Officer shall refer to the limitations outlined in C3 AI 1.602-1, Authority. Authority to approve Justification & Approvals (J&As) under FAR Part 6 is outlined in Appendix 1 – C3 Review and Approval Thresholds Matrix. (c) J&As for Other than Full and Open Competition shall follow the format specified in AFARS 5153.9005. A sample Format for a Justification Review Document for Other than Full and Open Competition has also been included as 5153.120-5019 in this AI PART 53 – FORMS. The total contract value, including all options, determines the approval level. The total contract value includes the value of the option to extend services clause 52.217-8, if included in the solicitation and resultant contract. (d) When citing the authority of FAR 6.302-1, Only One Responsible Source, the notice of intent to solicit only one source shall be posted on FBO prior to issuing the solicitation. (e) Public disclosure of J&A documents after award.

(1) FAR 6.305 requires Contracting Officers to post J&A documents on FBO not later than 14 days after award, 30 days if the authority cited is 6.302-2, Unusual and Compelling Urgency.
















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(2) Contracting Officers shall review each J&A carefully for proprietary contractor data or other information not subject to disclosure under FOIA. In accordance with 10 U.S.C §2304(c)(6), posting of J&As using the National Security exception are exempt from this after-award posting requirement, as disclosure of the agency’s needs, by definition would compromise national security. Contracting Officers are encouraged to seek additional guidance from CJA as necessary. (3) The General Service Administration (GSA) has developed instructions for posting J&As to FBO, which can be found at the FBO website under Frequently Asked Questions #12. (4) In accordance with OUSD (Procurement) memorandum dated 13 February 2009, Public Disclosure of Justification and Approval (J&A) Documents for Noncompetitive Contracts, all components posting notices directly to FBO shall amend the corresponding J&A to the pre-existing notice as an attachment in FBO. It is required that the document file name and name for which the file is given, as it is located in FBO, identically match one another. In order to maintain consistency, Contracting Officers shall preface the J&A description to the document file name and title of the attachment posted to FBO (e.g. “J&A6.302-1c: INSERT_NOTICE_NUMBER_HERE”).

SUBPART 6.5 – COMPETITION ADVOCATES

6.501 Requirements

C3 Special Competition Advocate (SCA) is the C3 Policy Director. The Alternate Special Competition Advocate (ASCA)s are the Deputy Director of PARC-CONUS; Deputy SCO-I and Deputy SCO-A.

6.502 Duties and Responsibilities (a) ASCA’s will provide a competition program report for their activity no later than the 15th of October of each calendar year to the C3 SCA at [email protected]. At a minimum, the annual report shall include:

(1) The level of competition achieved against the C3 competition goal for the fiscal year and the reasons for not attaining the goal, if applicable. Include mitigating factors affecting goal achievement, if applicable. (2) Significant actions taken to increase competition or overcome barriers to competition. (3) A log of all sole source and limited source justifications, regardless of dollar value or approval authority, for the fiscal year. The log shall contain, at a minimum, the criteria shown in the C3 Sample Competition Log included as 5153.120-5020 in this AI PART 53 – FORMS.

(b) All exceptions to full and open competition or fair opportunity will include a Control Number unique to the C3 office originating the action, by fiscal year, regardless of dollar value, type (Contracting Officer Determination, J&A, or LSJ) or approval authority of the actions. Example:

http://www.gpo.gov/fdsys/pkg/USCODE-2009-title10/pdf/USCODE-2009-title10-subtitleA-partIV-chap137-sec2304c.pdf�

http://www.gpo.gov/fdsys/pkg/USCODE-2009-title10/pdf/USCODE-2009-title10-subtitleA-partIV-chap137-sec2304c.pdf�

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https://www.fbo.gov/?static=faqs&s=getstart&mode=list&tab=list&tabmode=list#q2-13�

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RCC Sharana would start at W90U42 JA 11-001, then W90U42 JA 11-002, etc. RCC Central would start at W91GDW JA 11-001, then W91GDW JA 11-001, etc. (c) Contracting Officers shall include the applicable control number in the remarks section of the applicable FDPS-NG Contract Action Report (CAR).


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PART 7 – ACQUISITION PLANNING

SUBPART 7.1 – ACQUISITION PLANS

7.103 Policy

(a) Authority to approve written acquisition plans are outlined in Appendix 1 – C3 Review and Approval Thresholds Matrix. (b) Acquisition planning occurs on all acquisitions in accordance with FAR 7.102; however written plans are only required for acquisitions meeting or exceeding the thresholds specified in Appendix 1 – C3 Review and Approval Thresholds Matrix. (c) Reviewers shall use the C3 Contracting Document Review Sheet, which is provided as 5153.120-5005 in PART 53 – FORMS, for all reviews. All completed review sheets shall be retained in the contract file (d) Required Supporting Documentation, Review and Approval of Acquisition Plans. Approval is required prior to solicitation issuance.

(1) Contracting Officer Request for Acquisition Plan Approval. (2) Acquisition Plan. (3) Draft Performance Work Statement (PWS)/Statement of Work (SOW)/Statement of Objective (SOO)). All service contracts PWSs must include the applicable Performance Requirement Summary (PRS) items. (4) Applicable Determination & Findings (D&Fs). (5) Approved J&A/LSJ, if applicable. (6) Cost Benefit Analysis for Bundled Requirements, if applicable. (7) Use of Non-DoD Contract Certification/D&F, if applicable. (8) Market Research Report (9) Independent Government Cost Estimate (IGCE) (10) Any other document deemed pertinent by the Contracting Officer.

7.170 Consolidation of Contract Requirements

Authority to make consolidation determinations prescribed at DFARS 207.170-3(a)(3) and AFARS 5107.170 are outlined in Appendix 1 – C3 Review and Approval Thresholds Matrix. A Sample Consolidation Determination format is included as 5153.120-5021 in PART 53 - FORMS. SUBPART 7.4 – EQUIPMENT LEASE OR PURCHASE

7.401 Acquisition Considerations

(a) Purchase of Non-Tactical Vehicles (NTV) is prohibited for Iraq, therefore, the Lease/Purchase Analysis is not required; however, approval to lease NTVs is still required from the USF-I Chief of Staff.






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(b) Purchase of NTVs in Afghanistan still require a preliminary lease versus purchase analysis prior to executing any lease or purchase contract for more than 60 days. A sample C3 Lease/Purchase Analysis is located in C3 AI PART 53 – FORMS. (c) See AI 28.309 regarding Government liability for NTV’s.

7.470 Statutory Requirements

Authority to determine that all costs of equipment lease or purchase with a term of 18 months or more (including estimated termination liability) and determine that the contract is in the best interest of the Government are outlined in Appendix 1 – C3 Review and Approval Thresholds Matrix.


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PART 8 – REQUIRED SOURCES OF SUPPLIES AND SERVICES

SUBPART 8.4 – FEDERAL SUPPLY SCHEDULES

8.405 Ordering Procedures for Federal Supply Schedules

8.405-6 Limited Source Justification and Approvals (LSJs) (a) Contracting Officers shall refer to the general instructions outlined in C3 AI 1.602-1-90, Departmental Review and Approval prior to processing Limited Source Justifications (LSJs) under FAR Part 8. (b) Contracting Officer shall refer to the limitations outlined in C3 AI 1.602-1, Authority. Authority to approve LSJs restricting fair opportunity for consideration of schedule contractors to fewer than required in FAR 8.405-1 or 8.405-2; or to an item peculiar to one manufacturer (e.g. a particular brand name, product, or a feature of a product peculiar to one manufacturer) is outlined in Appendix 1 – C3 Review and Approval Thresholds Matrix. (c) C3 LSJs shall follow the format specified in AFARS 5153.9004 and 5153.9005 for J&As, except Paragraph 5, Reason for Authority Cited, shall cite the authority in FAR 8.405-6(b). The total contract value, including all options, determines the approval level. The total contract value includes the value of the option to extend services clause 52.217-8, if included in the solicitation and resultant task/delivery order. (d) Contracting Officers shall ensure LSJs are publicly posted as specified in FAR 8.405-6(d).










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PART 9 – CONTRACTOR QUALIFICATIONS

SUBPART 9.1 – RESPONSIBLE PROSPECTIVE CONTRACTORS

9.105 Procedures

9.105-2 Determinations and Documentation. (a) Contracting Officers shall take all practicable steps to ensure the award of all contracts to responsible contractors, as described in FAR Subpart 9.1. (b) FAR standards apply to any prospective contractors located in the U.S., or elsewhere, unless application of the requirements would be inconsistent with the laws or customs where the prospective contractor is located. (c) Contracting Officers shall seek guidance from CJA, as required, prior to determining any offeror as “not responsible.” (d) Contracting Officers shall document the contract file with a summary of their responsibility determination and all supporting documentation. (e) General standards for determining responsibility are described in FAR 9.104-1, and include the following elements:

(1) Adequate Financial Resources: Contractors should be determined to have or be able to obtain adequate financial resources to perform the contract. This can be accomplished by examining financial statements; contacting financial institutions with whom contractors have banking relationships; obtaining business information from commercial sources, such as Dun & Bradstreet. (2) Ability to comply with delivery or performance schedules: Obtain relevant information about all existing commercial and government business commitments by requesting the information from proposed awardees. (3) Satisfactory Performance Record: If past performance is used as a source selection evaluation factor, the proposal team’s evaluation may be able to be used for the Contracting Officer’s responsibility determination, but should be validated or supplemented as needed. CPARS, other local databases documenting contractor performance and pre-award questionnaires should be used to obtain past performance information. A sample Past Performance Questionnaire is provided as 5153.120-5024 at PART 53 – FORMS. (4) Integrity & Business Ethics: Contracting Officers shall verify the Excluded Parties List System (EPLS) to ensure prospective awardees are not prohibited from being awarded Government contracts.



https://www.epls.gov/�



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SUBPART 9.4 – DEBARMENT, SUSPENSION, AND INELIGIBILITY

9.404 Excluded Parties List System

Contracting Officers shall not solicit offers from, award contracts to, or consent to subcontracts with contractors whose names are in EPLS, except as otherwise provided in FAR 9.404. SUBPART 9.5 – ORGANIZATIONAL AND CONSULTANT CONFLICTS OF INTEREST

9.503 Waiver

Authority to waive any general rule or procedure of Subpart 9.5 by determining that its application in a particular situation would not be in the Government’s interest is outlined in Appendix 1 – C3 Review and Approval Thresholds Matrix. Any request for waiver must be in writing and shall set forth the extent of the conflict.





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PART 10 – RESERVED


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PART 11 – DESCRIBING AGENCY NEEDS

SUBPART 11.2 – USING AND MAINTAINING REQUIREMENTS DOCUMENTS

11.273 Substitutions for Military or Federal Specifications and Standards

11.273-3 Procedures Authority to determine that a Single Process Initiative (SPI) process is not acceptable for a specific procurement is outlined in Appendix 1 – C3 Review and Approval Thresholds Matrix. Determinations shall be made prior to contract award.


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PART 12 – ACQUISITION OF COMMERCIAL ITEMS

SUBPART 12.1 – ACQUISITION OF COMMERCIAL ITEMS - GENERAL

12.102 Applicability

The Contracting Officer shall prepare a determination of commerciality for any commercial item acquisition expected to exceed $1M as required by DFARS 212.102 and acquisitions greater than $1M using the commercial item test program authority in FAR 13.5. Each determination & finding (D&F) shall include the minimum content outlined in FAR 1.704 tailored to the specific requirements found within the appropriate subject matter. Authority to sign for the various D&Fs are shown in the applicable FAR part with specific C3 delegations outlined in Appendix 1 – C3 Review and Approval Thresholds Matrix. SUBPART 12.3 – SOLICITATION PROVISIONS AND CONTRACT CLAUSES FOR THE ACQUISITION OF COMMERCIAL ITEMS

12.302 Tailoring of Provisions and Clauses for the Acquisition of Commercial Items

Waiver authority for tailoring provisions and clauses for commercial items inconsistent with customary commercial practice under FAR 12.302 is outlined in Appendix 1 – C3 Review and Approval Thresholds Matrix.






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PART 13 – SIMPLIFIED ACQUISITION PROCEDURES

SUBPART 13.1 – PROCEDURES

13.106 Soliciting Competition, Evaluation of Quotations or Offers, Award and Documentation

13.106-1 Soliciting Competition (a) Contracting Officers shall refer to the general instructions outlined in C3 AI 1.602-1-90, Departmental Review and Approval prior to processing FAR Subpart 13.1 determinations. (b) Contracting Officer shall refer to the limitations outlined in C3 AI 1.602-1, Authority as outlined in Appendix 1 – C3 Review and Approval Thresholds Matrix. (c) For purchases not exceeding the simplified acquisition threshold, threshold, Determinations shall be prepared using the sample D&F format in AFARS 5153.9003 tailored to reflect that the circumstances of the contract action which deem only one source reasonably available (e.g. urgency, exclusive licensing agreements, brand name, or industrial mobilization.) (d) The total contract value, including all options, is used to apply the simplified acquisition threshold. The total contract value includes the value of the option to extend services clause 52.217-8, if included in the solicitation and resultant contract. (e) Contracting Officers shall post determinations as specified in FAR 5.102(a)(6).

SUBPART 13.3 – SIMPLIFIED ACQUISITION METHODS

13.301 Government-wide commercial purchase card (GPC).

Reference AFARS 5113.270-90 for Government Purchase Card (GPC) policy and procedures and the Department of Defense Charge Card Guidebook for Establishing and Managing Purchase, Travel, and Fuel Card Programs (19 Aug 2008) for an inventory of business rules, policies and processes pertaining to the Government charge card(s).

13.306 SF 44, Purchase Order – Invoice – Voucher.

(a) SCO-I SOP #09-02, Field Ordering Officer Program and USF-I Money as a Weapons System (MAAWS-I) guidebook dated 01 Mar 2010 for Iraq, provides guidance regarding the processes and procedures related to FOOs in Iraq. Local processes, limitations and restrictions often vary and are outlined in local training required to be conducted at the Division/RCC offices. Field Ordering Officers (FOO) may be appointed by Division/RCC Chiefs under USF-I Command authority for Iraq to make “over-the-counter” purchases up to $25K (local thresholds may vary) from local vendors for supplies, services and construction using Standard Form (SF) 44s. They provide combatant commanders with the ability to make local purchases quickly and directly to responsively support their missions.






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(b) SCO-A SOP dated 21 Oct 2009, Field Ordering Officer Program and MAAWS-A USFOR-A Publication 1-06 dated Jan 2010 for Afghanistan, provides guidance regarding the processes and procedures related to FOOs in Afghanistan. Local processes, limitations and restrictions often vary and are outlined in local training required to be conducted at the Division/RCC offices. Field Ordering Officers (FOO) may be appointed by Division/RCC Chiefs under USFOR-A Command authority for Afghanistan to make “over-the-counter” purchases up to $25K (local thresholds may vary) from local vendors for supplies, services and construction using Standard Form (SF) 44s. They provide combatant commanders with the ability to make local purchases quickly and directly to responsively support their missions.

SUBPART 13.5 – TEST PROGRAM FOR CERTAIN COMMERCIAL ITEMS

13.500 General

As outlined in FAR 13.500(e), the C3 HCA has determined that C3 acquisitions for Iraq and Afghanistan are to be used in support of a contingency operation thereby authorizing the use of the test program for acquisitions that do not exceed $12 million.

13.501 Special Documentation Requirements.

(a) Contracting Officers shall refer to the general instructions outlined in C3 AI 1.602-1-90, Departmental Review and Approval prior to processing FAR Subpart 13.5 justifications. (b) Authority to approve FAR 13.501 justifications for sole source (including brand name) acquisitions are outlined in Appendix 1 – C3 Review and Approval Thresholds Matrix.

(1) Justifications shall follow the format specified in AFARS 5153.9004 and 5153.9005 for J&As, except Paragraph 5, Reason for Authority Cited, shall be modified to reflect an acquisition under the authority of the test program for commercial items (section 4202 of the Clinger-Cohen Act of 1996) or the authority of the Services Acquisition Reform Act of 2003 (41 U.S.C. 428a). The total contract value, including all options, determines the approval level. The total contract value includes the value of the option to extend services clause 52.217-8, if included in the solicitation and resultant contract. (2) Contracting Officers shall ensure FAR 13.501 Justifications are publicly posted as specified in FAR 13.501(a)(1)(iii) and (iv).

(c) Pre-Negotiation Objective Memorandums (POMs) and Price Negotiation Memorandums (PNMs) are required for all competitive and non-competitive contract awards and all modifications exceeding the Simplified Acquisition Threshold ($1M), excluding the exercise of options. POMs and PNMs will be reviewed and approved in accordance with C3 AI paragraph 1.602-1-90, 15.406-1 Prenegotiation Objectives, and 15.406-2 Documenting the Negotiation.






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PART 14 – SEALED BIDDING

SUBPART 14.2 – SOLICITATION OF BIDS

14.201 Preparation of Invitations for Bids

14.201-7 Contract Clauses Authority to waive the requirement for inclusion of FAR Clauses 52.214-27 (Price Reduction for Defective Cost or Pricing Data-Modifications-Sealed Bidding) and 52.214-28 (Subcontractor Cost or Pricing Data-Modifications-Sealed Bidding) in a contract with a foreign government is outlined in Appendix 1 – C3 Review and Approval Thresholds Matrix. SUBPART 14.7 – OPENING OF BIDS AND AWARD OF CONTRACT

14.407 Mistakes in Bids

14.407-3 Contract Clauses (a) Authority to make the determination at FAR 14.407-3(c) permitting the bidder to withdraw the bid is outlined in Appendix 1 – C3 Review and Approval Thresholds Matrix. (b) Authority to make the determination at FAR 14.407-3(a), (b), and (d) permitting the bidder to withdraw the bid is outlined in Appendix 1 – C3 Review and Approval Thresholds Matrix.








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PART 15 – CONTRACTING BY NEGOTIATION

SUBPART 15.000 – SCOPE OF PART Although contingency contracting is specifically exempt from use of the Army Source Selection Manual (Appendix AA to the AFARS), it shall be used as general guidance for source selections. SUBPART 15.2 – SOLICITATION AND RECEIPT OF PROPOSALS AND INFORMATION

15.204 Contract Format

Authority to exempt individual contracts from the use of a uniform contract format is outlined in Appendix 1 – C3 Review and Approval Thresholds Matrix. SUBPART 15.3 – SOURCE SELECTION

15.303 Responsibilities

In accordance with AFARS 5115.303, the Source Selection Authority (SSA) will be in the contracting chain unless the HCA or PARC/SCO approves otherwise for their respective delegation authorities. For C3, actions will be at the thresholds identified below, excluding Commercial Services Management Initiatives (OMB Circular A-76) which are designated on a case-by-case basis.

Dollar Threshold SSA < $750K Contracting Officer > $750K < $12M RCC Chief > $12M < $250M PARC/SCO > 250M < $1B C3 HCA > $1B Recommended by C3, Designated by DPAP SUBPART 15.4 – CONTRACT PRICING

15.403 Obtaining Certified Cost or Pricing Data

15.403-1 Prohibition on Obtaining Certified Cost or Pricing Data Authority to waive the requirement for submission of cost or pricing data in exceptional cases (TINA WAIVER) is outlined in Appendix 1 – C3 Review and Approval Thresholds Matrix.

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15.403-3 Requiring Data Other Than Certified Cost or Pricing Data Determination authority to make award without offeror submitting Required Information Other Than Cost or Pricing Data is outlined in Appendix 1 – C3 Review and Approval Thresholds Matrix.

15.403-4 Requiring Certified Cost or Pricing Data Authority to authorize the Contracting Officer to obtain cost or pricing data for actions below the threshold in FAR 15.403-4(a)(1) provided the action exceeds the simplified acquisition threshold ($1M for C3) is outlined in Appendix 1 – C3 Review and Approval Thresholds Matrix.

15.404 Proposal Analysis

15.404-4 Profit Authority to approve the use of the alternate structured approach for profit when the weighted guidelines method does not produce a reasonable overall profit objective is outlined in Appendix 1 – C3 Review and Approval Thresholds Matrix.

15.406 Documentation

15.406-1 Prenegotiation Objectives (a) The contracting officer shall establish and document prenegotiation objectives in a Pre-Negotiation Objective Memorandum (POM) before the negotiation of any pricing action, during the pre-award or post-award stage, regardless of whether the action is being solicited on a competitive or non-competitive basis. The framework and implementation guidance for review and approval of C3 acquisition related documents, to include the DoD mandated Peer Review process, is outlined in Appendix 1 – C3 Review and Approval Thresholds Matrix.

(1) Pre-award POMs will have business clearance reviews as outlined in Appendix 1 – C3

Review and Approval Thresholds Matrix. Required supporting documentation includes:

(i) Contracting Officer Request for Review and Approval. (ii) POM with attachments and enclosures. (iii) Solicitation and all Amendments thereto, with attachments. Include an amendment summary which explains what, if any RFP requirements (technical and contractual) were changed and why. (iv) SSP, if applicable. (v) All responsiveness notices generated as a result of initial proposal screening, with associated Determination & Findings, as applicable. (vi) The supporting Source Selection Evaluation Board (SSEB) analysis and findings to ensure the evaluation of offers was consistent with the Source Selection Plan and RFP criteria. (vii) Competitive Range Determination. (viii) Any other document deemed pertinent by the Contracting Officer.



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(2) Post-Award POMs will have business clearance reviews as outlined in Appendix 1 – C3


(i) Contracting Officer Request for Review. (ii) POM with attachments and enclosures. (iii) Conformed Copy of the Contract. (iv) Purchase Request (v) IGCE (vi) Any other document deemed pertinent by the Contracting Officer.

(b) Reviewers shall use the C3 Contracting Document Review Sheet, which is provided as 5153.120-5005 in this AI PART 53 – FORMS, for all reviews. All completed review sheets shall be retained in the contract file.

15.406-2 Documenting the Negotiation. (a) A Price Negotiation Memorandum (PNM) shall be used to document the results of negotiations, during the pre-award or post-award stage, regardless of whether the action is being solicited on a competitive or non-competitive basis. The framework and implementation guidance for review and approval of C3 acquisition related documents, to include the DoD mandated Peer Review process, is outlined in Appendix 1 – C3 Review and Approval Thresholds Matrix.

(1) Post-Award PNMs will have business clearance reviews as outlined in Appendix 1 – C3


(i) Contracting Officer Request for Review. (ii) PNM (or Combined POM/PNM) with all attachments/enclosures. (iii) The supporting SSEB analysis and findings. (iv) Any meeting minutes memorializing discussions between the Government and offerors. (v) All evaluation notices generated as a result of deficiencies in the offerors’ proposals as well as the offerors’ responses to those evaluation notices. (vi) Source Selection Decision Document (SSDD). (vii) Contractor Responsibility Determination. (viii) Determination & Findings, if applicable. (ix) Any other document deemed pertinent by the Contracting Officer.

(2) Post-Award PNMs will have business clearance reviews as outlined in Appendix 1 – C3


(i) Contracting Officer Request for Review. (ii) PNM with attachments and enclosures. (iii) Any other document deemed pertinent by the Contracting Officer.

(b) Reviewers shall use the sample C3 Contracting Document Review Sheet, which is provided as 5153.120-5005 in this AI PART 53 – FORMS, for all reviews. All completed review sheets shall be retained in the contract file.


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15.407 Special Cost or Pricing Areas

15.407-3 Forward Pricing Rate Agreements Authority to waive the use of Forward Pricing Rate Agreement (FPRA) rates is outlined in Appendix 1 – C3 Review and Approval Thresholds Matrix.

15.407-4 Should Cost Review (a) Authority to approve the requirements and format for the Program Should-Cost Team Report is outlined in Appendix 1 – C3 Review and Approval Thresholds Matrix. (b) Authority to approve the use of a Fixed-Ceiling-Price contract with a Retroactive Price Redetermination is outlined in Appendix 1 – C3 Review and Approval Thresholds Matrix. SUBPART 15.6 – UNSOLICITED PROPOSALS

15.606 Agency Procedures

(a) Contracting Officers shall, as soon as practicable following receipt, notify the PARC/SCO of the receipt of any Unsolicited Proposal (UP). The PARC/SCO shall log in and assign control numbers for all UPs. The PARC/SCO will assign a UP Coordinator (UPC) who will manage the UP from receipt to disposition. (b) UPs shall be processed in accordance with Department of Army (DA) Pamphlet 70-3 (located on the web at http://www.apd.army.mil/pdffiles/p70_3.pdf) Appendix XVIII, Unsolicited Proposals. (c) Contracting Officers shall review UPs in accordance with FAR 15.603 and 15.605 and provide UP Coordinators an initial assessment of the validity and completeness of the submission. (d) UPCs shall notify UP submitters of receipt of their proposals within 10 calendar days of receipt and return any submissions if determined to not be valid UPs. (e) UPCs shall request technical evaluations of all apparently valid UPs from appropriate, qualified, technical specialists. Technical evaluators shall be Government employees and shall be instructed to treat all proposals as “business sensitive” to preclude any inappropriate disclosure of proprietary technical or business information provided by the submitter, in accordance with FAR 15.608 and 15.609. (f) Evaluations shall be completed and submitters notified of the results of the Government’s evaluation, within 90 calendar days of receipt of the UP. (g) Contracting Officers may utilize the “Other than Full and Open Competition” contracting exception under FAR 6.302-1 to award a sole source contract for accepted UPs. Contracts require a determination by the individual outlined in Appendix 1 – C3 Review and Approval Thresholds Matrix, as required by FAR 15.606 and DFARS 206.302-1(a)(20(i)(1), authorizing the

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agency to enter a contract for studies, analyses, or consulting services on the basis of an unsolicited proposal without providing for full and open competition. (h) Rejected UPs may be returned to submitters if requested, however a file copy shall be retained by the responsible PARC/SCO’s office.


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PART 16 – TYPES OF CONTRACTS

SUBPART 16.2 – FIRM-FIXED-PRICE CONTRACTS

16.206 Fixed-Ceiling-Price Contracts with Retroactive Price Redetermination

16.206-3 Limitations Authority to approve the use of a fixed-ceiling-price contract with retroactive price redetermination is outlined in Appendix 1 – C3 Review and Approval Thresholds Matrix. SUBPART 16.4 – INCENTIVE CONTRACTS

16.401 General

(a) Authority to determine that the use of an award fee contract is in the best interest of the Government is outlined in Appendix 1 – C3 Review and Approval Thresholds Matrix. The D&F must be tailored to reflect the criteria in FAR 16.401(d) and the suitability items in FAR 16.401(e)(1) to justify that the use of this type of contract is in the best interest of the Government. (b) Authority to approve the use of Incentive Fee Contracts is outlined in Appendix 1 – C3 Review and Approval Thresholds Matrix.

16.405 Cost-Reimbursable Incentive Contracts

16.405-2 Cost-Plus-Award-Fee Contracts Authority to appoint Award Fee Determining Officials is outlined in Appendix 1 – C3 Review and Approval Thresholds Matrix.





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SUBPART 16.5 – INDEFINITE DELIVERY CONTRACTS

16.500 General

Indefinite Delivery Indefinite Quantity (IDIQ) Contracts, Single or Multiple Awards. The maximum amount of supplies or services the Government will acquire under the resultant requirements contract shall be clearly identified in the SF 1449 Continuation Sheet/Section B. An example follows:

IDIQ CONTRACT - MINIMUM / MAXIMUM CONTRACT VALUE The minimum contract value for all orders issued against this contract shall not be less than the contract value stated in the below table. The maximum contract value for all orders issued against this contract shall not exceed the maximum contract value stated in the following table: MINIMUM AMOUNT MAXIMUM AMOUNT

$25,000.00 $15,000,000.00 The Minimum Amount represents the guaranteed minimum amount for each contract awarded under this Indefinite-Delivery Indefinite-Quantity (IDIQ) contract. The guaranteed minimum will be obligated by the Government on the first delivery order concurrent with award of the basic contract. The amount will be payable by the Government at the conclusion of the base year if the contractor has not received a task/delivery order, or combination of task orders, in an amount equal to the stated minimum guarantee. The Maximum Amount represents the combined total (ceiling) of all base and option years for all contracts awarded from this solicitation. All task orders awarded to all contractors, when combined, cannot exceed this maximum.

15.504 Indefinite Delivery Contracts

Authority to determine the award of a Task/Delivery Order Contract Vehicle exceeding $100 Million to a Single Source is outlined in Appendix 1 – C3 Review and Approval Thresholds Matrix.

16.505 Ordering

(a) Contracting Officers shall state the ordering period in FAR Clause 52.216-18 Ordering, paragraph (a), substantially the same as “Such orders may be issued at any time during the contract period of performance, including all option periods exercised by the Government.” (b) Contracting Officers shall refer to the general instructions outlined in C3 AI 1.602-1-90, Departmental Review and Approval prior to processing FAR Subpart 16.5 Limited Source Justifications (LSJs).

(1) Authority to approve Limited Source Justifications (LSJs) under FAR 16.505(b)(2), Orders under Multiple Award Contracts, Exceptions to the Fair Opportunity Process, are outlined in Appendix 1 – C3 Review and Approval Thresholds Matrix. (2) LSJs shall follow the format specified in AFARS 5153.9005 for J&As, except Paragraph 5, Reason for Authority Cited, shall cite the authority in DFARS 216.505-70(b). The total contract value, including all options, determines the approval level. The total contract value







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includes the value of the option to extend services clause 52.217-8, if included in the solicitation and resultant contract.

(c) The C3 has designated a task and delivery order ombudsman for PARC-CONUS, SCO-I, and SCO-A as outlined in the C3 Ombudsman program in C3 AI Subpart 1.120.

16.506 Solicitation Provisions and Contract Clauses

(a) 952.201-0001, Ombudsman, shall be incorporated as outlined in C3 AI 1.1203 Solicitation Provision and Contract Clauses. (b) 952.216-0001 – Fair Opportunity for Multiple Award IDIQ Contracts, shall be included in all multiple award IDIQ contracts and all associated task/delivery orders. SUBPART 16.6 – TIME AND MATERIALS, LABOR-HOUR, AND LETTER CONTRACTS

16.601 Time and Materials Contracts

Authority to approve the use of Time and Materials (T&M) contracts when the base period plus any option periods exceeds three years is outlined in Appendix 1 – C3 Review and Approval Thresholds Matrix.

16.602 Labor-Hour Contracts

Authority to approve the use of Labor-Hour (LH) contracts when the base period plus any option periods exceeds three years is outlined in Appendix 1 – C3 Review and Approval Thresholds Matrix.

16.603 Letter Contracts

16.603-2 Application (a) Authority to authorize an additional period for definitization of an Undefinitized Contract Action (UCA) than the period specified in DFARS 217.7404-3 is outlined in Appendix 1 – C3

Review and Approval Thresholds Matrix. (b) Authority to determine a reasonable Price or Fee in accordance with FAR 16.603-2(c)(3) and DFARS 217.7404-3 is outlined in Appendix 1 – C3 Review and Approval Thresholds Matrix.

16.603-3 Limitations Authority to determine that a letter contract may be used if no other contract type is suitable is outlined in Appendix 1 – C3 Review and Approval Thresholds Matrix.






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PART 17 – SPECIAL CONTRACTING METHODS

SUBPART 17.2 – OPTIONS

17.204 Contracts

(a) Authority to approve the use of options that extend contracts beyond the five-year regulatory limit is outlined in Appendix 1 – C3 Review and Approval Thresholds Matrix. (b) Authority to determine a Task/Delivery order contract ordering period may exceed 10 Years is outlined in Appendix 1 – C3 Review and Approval Thresholds Matrix.

(c) Authority to determine a Task/Delivery Order period of performance of more than one year beyond the end of a 10 year ordering period is appropriate is outlined in Appendix 1 – C3 Review and Approval Thresholds Matrix.

SUBPART 17.74 – UNDEFINITIZED CONTRACT ACTIONS

17.7400 Scope

Refer to DFARS Subpart 217.74 for guidance regarding Undefinitized Contract Actions (UCA). Unilateral change orders issued pursuant to the authority of FAR Changes clauses (52.243-1, 52.243-2, 52.243-3, or 52.243-4) are not UCAs; however, the policy for definitizing price and time should follow DFARS 217.7402 to the extent practicable. This does not apply to modifications to contracts awarded using FAR Part 12, Commercial Item Acquisition, as commercial item contracts cannot be unilaterally modified.

17.7404 Limitations

17.7404-1 Authorization Approval authority to enter into a Undefinitized Contract Action (UCA), including requirements for non-urgent spare parts and support equipment, and to modify the scope of a UCA after performance has commenced is outlined in Appendix 1 – C3 Review and Approval Thresholds Matrix.

SUBPART 17.78 – CONTRACTS OR DELIVERY ORDERS ISSUED BY A NON-DOD AGENCY

17.7802 Policy

(a) Authority to review and approve the use of non-DoD contract certifications when procuring supplies or services for amounts greater than the simplified acquisition threshold (SAT) for direct acquisitions (C3 executing the contract action) is outlined in Appendix 1 – C3 Review and Approval Thresholds Matrix.









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(b) Authority to review and approve the use of non-DoD contract certifications when procuring supplies or services for amounts greater than the simplified acquisition threshold (SAT) for Assisted Acquisitions (Executed by a Non-DoD Contracting Officer) is outlined in Appendix 1 – C3

Review and Approval Thresholds Matrix.


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PART 19 – SMALL BUSINESS PROGRAMS

SUBPART 19.0 – SCOPE OF PART FAR Part 19 applies only in the United States or its outlying areas. FAR subpart 19.6 applies worldwide. SUBPART 19.2 – POLICIES

19.202 Specific Policies

Authority to determine that consolidation of contract requirements not set-aside for preference programs is outlined in Appendix 1 – C3 Review and Approval Thresholds Matrix.

SUBPART 19.6 – CERTIFICATE OF COMPETENCY AND DETERMINATION OF RESPONSIBILITY

19.601 General

Contracting Officers are required to comply with FAR Subpart 19.6 for U.S. small business concerns. If a Contracting Officer makes a determination that a U.S. small business offeror is non-responsible, it must be referred to the appropriate Small Business Administration regional office for a final determination, in accordance with procedures at FAR 19.602-1.






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PART 22 – APPLICATION OF LABOR LAWS TO GOVERNMENT ACQUISITIONS

SUBPART 22.1 – BASIC LABOR POLICIES

22.101 Labor Relations

22.101-1 General The C3 HCA has designated all acquisitions for services and construction in excess of $1M as programs requiring contractors to notify the Government of actual or potential labor disputes that are delaying or threaten to delay the timely contract performance.

22.101-3 Reporting Labor Disputes (a) Contracting Officers shall insert FAR 52.222-1, Notice to the Government of Labor Disputes, in solicitations and contracts that involve programs or requirements that have been designated under 22.101-1 above. (b) The office administering the contract shall immediately report, using the C3 CCIR process outlined in Subpart 3.104 of this AI, any potential or actual labor disputes that may interfere with performing any contracts under its cognizance.

SUBPART 22.17 – COMBATING TRAFFICKING IN PERSONS

22.1705-120 Solicitation Provisions and Contract Clause C3 clause 952.222-0001, Prohibition Against Human Trafficking, Inhumane Living Conditions, and Withholding of Employee Passports, shall be included in all services or construction contracts which require performance in Iraq or Afghanistan.



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PART 23 – ENVIRONMENT, ENERGY AND WATER EFFICIENCY, RENEWABLE ENERGY TECHNOLOGIES, OCCUPATIONAL SAFETY, AND DRUG-FREE WORKPLACE

23.3 – HAZARDOUS MATERIAL IDENTIFICATION AND MATERIAL SAFETY DATA

23.370 Safety Precautions for Ammunition and Explosives

23.370-4 Procedures Authority to approve the omission of DFARS 252.223-7002, Safety Precautions for Ammunition and Explosives from solicitations and contracts or the waiver of the mandatory requirements of DoD 4145.26-M, DoD Contractors’ Safety Manual for Ammunition and Explosives is outlined in Appendix 1 – C3 Review and Approval Thresholds Matrix.

SUBPART 23.120 – REPORTING KIDNAPPINGS, SERIOUS INJURIES AND DEATHS

23.1201 Solicitation Provisions and Contract Clause C3 clause 952.223-0001, Reporting Kidnappings, Serious Injuries and Deaths, shall be included in all service and construction contracts with performance in Iraq or Afghanistan.

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PART 24 – PROTECTION OF PRIVACY AND FREEDOM OF INFORMATION

SUBPART 24.2 – FREEDOM OF INFORMATION ACT

24.203 Policy

(a) All Freedom of Information Act (FOIA) requests shall be submitted to the responsible C3 FOIA Manager: PARC-CONUS: [email protected]

Iraq: [email protected] Afghanistan: [email protected] (b) FOIA requests submitted by Industry directly to the Contracting Officers shall be forwarded to the appropriate C3 FOIA Manager identified above. (c) If the Contracting Officer concludes that some or all information requested should be denied, the Contracting Officer must prepare the proposed response in accordance with AR 25-55 for the review and approval by the C3 FOIA Initial Denial Authority. Prior to submission of the proposed denial or partial denial, the Contracting Officer must obtain C3 Command Judge Advocate (CJA) legal review. (d) The C3 FOIA Initial Denial Authorities are outlined in Appendix 1 – C3 Review and Approval Thresholds Matrix.



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PART 25 – FOREIGN ACQUISITION

SUBPART 25.3 – CONTRACTS PERFORMED OUTSIDE THE UNITED STATES

25.301-1 Scope On-line versions of the Defense Contingency Contracting Handbook and JP 4-10, Operational Contract Support in Joint Operations Publication can be downloaded from the Defense Procurement and Acquisition Policy (DPAP) webpage. Located under the Contingency Contracting and Acquisition Policy section of the site, these, and other links, manuals, and publications are excellent references to refer to for contingency contracting information.

SUBPART 25.8 – OTHER INTERNATIONAL AGREEMENTS AND COORDINATION

25.802 Procedures

25.802-71 End User Certificates (a) Whenever a foreign government or contractor places limitations on the use of a supply item purchased under a C3 contract, it may request an End User Certificate (EUC) that identifies the end user of the product. (b) ASA(ALT) approves all End Use Certificates (EUCs). Personnel receiving a request from a contractor or foreign government for execution of an EUC shall, in accordance with DFARS 225.802-71, refer to DoD Directive 2040.3, End Use Certificates, for guidance. (c) DoD Directive 2040.3 defines an EUC as a written agreement in connection with the transfer of military equipment or technical data to the United States that restricts the use or transfer of that item by the United States. (d) No contract that requires an EUC shall be entered into for items being procured from off-shore manufacturers without obtaining an EUC authorized by the Army Acquisition Executive (AAE). In accordance with DA Pamphlet 70-3, Army Acquisition Procedures, the AAE has responsibility for authorizing and executing all categories of EUCs. (e) EUCs are divided into three categories (Category I, II and III). The definitions and detailed descriptions applicable to each category are delineated in DoD Directive 2040.3. (f) The contents of an EUC request package shall consist of an endorsement memorandum prepared in accordance with AFARS 5101.290(a) to DASA(P) at the address contained in AFARS 5101.290(b)(3) which must address the following:

(1) Solicitation/Contract Number, task or delivery order and award date applicable to the EUC.

(i) List the items and quantities for which the EUC is being requested.

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(ii) Total estimated dollar value of contract. (iii) Identify the country and contractor (subcontractor, if applicable) requesting the EUC. Also include the contractor’s address. (iv) A brief description of the purpose or use of the items. (v) Identification of the EUC category. (vi) In the case of a request for an EUC after contract award, include rationale as to why the requirement for an EUC was not known during negotiations. (vii) Specific justification required for the waiver as delineated in DoD Directive 2040.3, paragraph 6.1.3 for a Category III EUC. (viii) Limitations to be imposed by the exporting country.

(2) A copy of the contractor’s request for an EUC which may include the foreign government’s limitation/restrictive language. The foreign government’s limitation/restrictive language must be in English.

(g) EUCs to be approved by the AAE shall be sent to [email protected]. (h) Upon execution of an EUC, the DASA(P) action officer will return the original signed EUC to the requesting organization. The original executed EUC must be filed in the contract file and a copy sent to the contractor and requirements office. SUBPART 25.10 – ADDITIONAL FOREIGN ACQUISITION REGULATIONS

25.1002 Use of Foreign Currency

C3 shall follow the guidance of FAR 25.1002 in its entirety. SUBPART 25.7008 – WAIVER RESTRICTIONS OF 10 U.S.C. 2534 Authority to determine a waiver of restrictions on certain foreign purchases under 10 U.S.C. 2534(a) applies, on a case by case basis, is outlined in Appendix 1 – C3 Review and Approval Thresholds Matrix.



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SUBPART 25.74 – DEFENSE CONTRACTORS OUTSIDE THE UNITED STATES

25.7402 Contractor Personnel Authorized to Accompany U.S. Armed Forces Deployed Outside the United States

(a) DFARS 225.7402-4 requires DFARS clause 252.225-7040, Contractor Personnel Authorized to Accompany U.S. Armed Forces Deployed Outside the United States, in solicitations and contracts when contract performance requires that contractor personnel be available to deploy with or otherwise provide support in the theater of operations to U.S. military forces deployed outside the United States in (1) contingency operations; (2) humanitarian or peacekeeping operations; or (3) other military operations or exercises designated by the combatant commander. (b) DFARS 252.225-7040, and DOD Instruction 3020.41, Contractor Personnel Authorized to Accompany the U.S. Armed Forces, requires the contracting officer to address, among other items, Government support and security in the “terms of the contract.” The statement of work should be used to include these requirements with language tailored to meet the needs of the specific acquisition. (c) The requiring activity is responsible to coordinate requests for life support with FOB commanders (with command and control of the Mayor’s Cell) to determine if the requested support is available. Examples of life support that may be required/authorized include, but are not limited to: (1) deployment in-processing centers; (2) training; (3) transportation to operation area; (4) transportation within operation area; (5) physical security; (6) force protection; (7) organizational clothing and individual protective equipment; (8) emergency medical care; (9) dining facilities; (10) billeting; (11) postal service; (12) phone service; (13) emergency notification of next of kin; (14) laundry; (15) religious services; and (16) fuel. (d) The Contracting Officer shall use the Synchronized Pre-deployment Operations Tracker (SPOT) program to authorize issuance of contractor personnel Letters of Authorization (LOA) which are required to process through deployment processing centers, only SPOT generated LOAs will be acceptable. (e) Administrative Contracting Officers shall not approve any Government support not expressly designated in the contract. (f) Contractor personnel may be authorized to carry weapons in accordance with DFARS 252.225-7040(j) and DOD Instruction 3020.41 paragraphs 6.3.4 and 6.3.5. Deputy Commander USCENTCOM is the approval authority for all security service and personal protection arming requests in Iraq and Afghanistan. Authority to approve or deny requests has been delegated to the USF-I Commander for Iraq and in Afghanistan to the Commanding General, Combined Joint Task Force – 82, (effective 16 July, 2007) with authority to re-delegate to the flag officer level. (g) Insert the DoD clause deviation, Contractor Personnel in the CENTCOM Area of Responsibility (Deviation 2007-O0010) in all contracts greater than $30,000 and that are not covered by DFARS 252.225-7040. This applies to contracts for construction and services in which contractors are working in the CENTCOM AOR but are not accompanying and directly








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supporting U.S. Armed Forces. (See DoD Class Deviation 2007-O0010, Implementation of the Synchronized Pre-deployment and Operational Tracker (SPOT) to Account for Contractor Personnel Performing in the United States Central Command Area of Responsibility, issued on October 17, 2007). This deviation is effective until incorporated into the DFARS or otherwise rescinded. See PGI 225.7402-5(a) for guidance on use of this deviation. (h) Some contracts may require both inclusion of both DFARS clause 252.225-7040 and DoD Class Deviation 2007-O0010. SUBPART 25.77 – ACQUISITIONS IN SUPPORT OF OPERATIONS IN IRAQ OR AFGHANISTAN

25.7700 Scope

(a) Theater Business Clearance and Contract Administration Delegation of Non-C3 Awarded Contracts. There have been several directives outlining Theater Business Clearance (TBC)/Contract Administration Delegation (CAD) business procedures which apply specifically to Non-C3 agencies awarding contracts which support C3 operations in the Combined/Joint Operations Areas (CJOAs) Iraq and Afghanistan. (b) Theater Business Clearance (TBC). TBC was designed to ensure theater support contracts awarded by contracting activities not assigned or attached to the command are in compliance with USCENTCOM policies, procedures and FRAGOs. TBC also ensures contractor personnel life support, logistical and security requirements are communicated and coordinated before personnel arrive in theater.

(1) All Federal Agency Contracting Officers issuing contracts with performance in Iraq, Afghanistan, Kuwait, or Pakistan shall follow TBC requirements outlined in the appendices listed below. (2) The Director of Policy is responsible for overall implementation of the TBC/CAD process. C3 updates TBC/CAD guidance and instructions to ensure the latest FRAGO or other theater-specific information is properly communicated; C3 coordinates updates through the Contingency Contracting Cell at OSD DPAP as appropriate. (3) USD(AT&L) has designated the CENTCOM Information Portal (CENTINAL) extranet site as the source for posting TBC guidance and procedures. Click on the Centcom area of the map to locate country-specific guides, which have also been linked to this AI as the following Appendices and are subject to change without republication of this AI.

(i) Appendix 6, Contracting Officer’s Guide for Theater Business Clearance (TBC) Iraq/Afghanistan.

(ii) Appendix 7, Contracting Officer’s Guide for Theater Business Clearance (TBC) Kuwait.

(iii) Appendix 8, Contracting Officer’s Guide for Theater Business Clearance (TBC) Pakistan.






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(c) Contract Administration Delegation (CAD). As outlined in Part 1 of this AI, the CG C3 is accountable for contract administration of all DoD contracts which require contractors to deploy to theater to support theater operations. C3 shall perform contract administration, with authority to re-delegate as necessary, for externally awarded support contracts performed within Combined/Joint Operations Areas (CJOAs) Iraq and Afghanistan. Non-C3 procuring contracting officers awarding theater support contracts that require contractor employees to deploy to theater are directed to coordinate with C3 to ensure appropriate assignment of administrative contracting officer responsibility. These contracts will be either delegated to DCMA or re-delegated back to the originator. 25.7703 Acquisition of Products or Services Other than Small Arms (a) Contracting Officers shall utilize the authorities of DFARS Subpart 225.77 to the maximum extent practicable. Contracting Officers should follow the Determination and Findings format in PGI 225.77. Determinations made in accordance with DFARS 225.7703-2(a) shall be approved accordance with Appendix 1 – C3 Review and Approval Thresholds Matrix. (b) In accordance with DFARS 225.7703-5(a)(2), Contracting Officers shall not use an evaluation factor greater than 20%, when using DFAR provision 252.225-7023, Preference for Products or Services from Iraq or Afghanistan, without obtaining advance written approval of the responsible PARC/SCO. (c) When not utilizing the aforementioned DFARS authorities, Contracting Officers may include a contract requirement to encourage the use of host nation labor and evaluate offerors’ implementation plans as part of the source selection evaluation process.

25.7703-5 Solicitation Provisions and Contract Clauses (a) C3 clause 952.225-0001, Arming Requirements and Procedures for Personal Security Services Contractors and for Requests for Personal Protection, shall be included in all contracts with performance in Iraq or Afghanistan that requiring arming of contractors.

(1) Iraq: The COR shall maintain copies of all necessary approval documents that must be completed and submitted to USF-I for approval. Staffing of arming approval is the responsibility of the requiring activity. (2) Afghanistan: All necessary documents shall be submitted by the Customer for approval through the Regional Command East – Commanding General. Once approved, the responsible RCC Chief shall be provided and maintain copies of all necessary approval documents completed by the requiring activity prior to contract execution.

(b) C3 clause 952.225-0002, Armed Personnel Incident Reports, shall be included in all contracts with place of performance in Iraq or Afghanistan that require arming of contractors. (c) C3 clause 952.225-0003, Fitness for Duty and Medical/Dental Care Limitations, shall be included in all contracts with place of performance in Iraq or Afghanistan.


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(d) C3 clause 952.225-0004, Compliance with Laws and Regulations, shall be included in all service and construction contracts with place of performance in Iraq or Afghanistan. (e) C3 clause 952.225-0005, Monthly Contractor Census Reporting, shall be included in all service and construction contracts with place of performance in Iraq or Afghanistan. (f) C3 clause 952.225-0006, Contract Delivery Requirements, shall be included in all contracts, orders or blanket purchase agreement call orders for supplies to be delivered to Iraq and Afghanistan. This provides necessary information for the contractor, contract administrator and COR to understand and execute the delivery requirements, improve tracking, inspection and acceptance and make final disposition of contract deliverables. (g) C3 clause 952.225-0007, Mandatory Shipping Instructions, shall be included in all contracts in which the shipment of supplies or materials will be tracked or otherwise supported by the Logistics Operations of the U.S. Army Corps of Engineers and USF-I. (h) C3 clause 952.225-0008, Shipping Instructions for Weapons, shall be included in all contracts that require delivery of weapons to Iraq or Afghanistan. This includes any contracts for security services in which the contractor will be shipping weapons to Iraq or Afghanistan for use by armed security personnel providing services under the contract. (i) C3 clause 952.225-0009, Medical Screening and Vaccination Requirements for Third Country Nationals or Locally Hired Employees Operating in the CENTCOM Area of Responsibility, shall be included in all contracts that may employ locally hired employees working on bases supporting U.S. Forces with performance in Iraq and Afghanistan. This clause shall be added by contract modification to all existing applicable contracts in Iraq and to contracts in Afghanistan, at the discretion of the Contracting Officer, based upon consultation with the requiring activity. (j) C3 clause 952.225-0011, Government Furnished Contractor Support, shall be included in all service and construction contracts with performance in Iraq or Afghanistan.

(k) C3 provision 952.225-0012, Notice of Limited Competition, shall be included in all contracts solicited under the authority of DFARS 225.7703-1(a)(3), directed to a particular source or sources from Iraq and Afghanistan. (l) C3 clause 952.225-0013, Contractor Health and Safety, shall be included only in all service and construction contracts in Iraq and Afghanistan which affect the living and work spaces of U.S. Forces (military, civilian, and contractors accompanying the force). Do not use in service and construction contracts for international, NATO and/or Afghanistan National Army (ANA)/Afghanistan National Police (ANP) projects. (m) C3 provision 952.225-0014, Notification of Subcontracting Requirements, shall be included in all solicitations with performance in Iraq and Afghanistan. (n) C3 clause 952.225-0015, Subcontracting Requirements, shall be included in all contracts with performance in Iraq and Afghanistan.



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(o) C3 clause 952.225-0016, Contractor Demobilization, shall be included in all solicitations and contracts with performance in Iraq and Afghanistan.

25.7704-120 Vendor Vetting (Iraq and Afghanistan)

25.7704-1201 Purpose

Vendor vetting is a process to determine eligibility for contract award for non-U.S. vendors operating in Iraq and Afghanistan. United States Forces – Afghanistan (USFOR-A) FRAGO 10-330 and United States Forces – Iraq (USF-I) FRAGO 0691 establish the requirements and procedures for vendor vetting which are implemented by this section.

25.7704-1202 Applicability

Vendor vetting is applicable to all awards of, and options for, any contracts or Blanket Purchase Agreements (BPAs) to all non-US vendors ≥ $100K in Iraq and Afghanistan. Although, not required under $100K, it is highly recommended that all vendors who want to do business should be submitted for vetting. Additionally, in Afghanistan the vetting requirement applies to all Information Technology (IT) contracts regardless of dollar value. (For Afghanistan this process is to be implemented as soon as feasible and practicable but not later than 2 April 2011.)

25.7704-1203 Procedures

(a) In accordance with the applicable FRAGO, Contracting Officers shall utilize the JCCS website to vet all non-U.S. vendors and take appropriate actions as described below. (b) JCCS Eligibility Levels.

(1) “Not Sent to C2X”: Vendor must be submitted for vetting.

(2) “C2X Approved”: Vendor is eligible for award.

(3) “C2X Rejected”: Vendor is ineligible for award. NOTE: Refer to applicable FRAGO for further guidance.

(4) “Sent to C2X”: Vetting in process.

(c) Required Actions for “Not-Vetted Vendors.”

(1) Contact your assigned Business Advisor to review and ensure vendor information is correct and complete. The Business Advisor will assist the vendor and contracting officer in entering the data into JCCS. (Note: Afghanistan is in the process of recruiting Business Advisors. Pending their hiring, the Contracting Officer must review and ensure vendor is 100% compliant in the JCCS registration process.)


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(2) Once the vendor is 100% compliant the Business Advisor shall submit for vetting by selecting the “Sent to C2X” tab.

(3) Contracting Officers should plan for at least 14 calendar days for standard vetting to be accomplished. However, individual circumstances may require additional time. It is possible for a request to initially be a standard request and subsequently become an urgent request. If a standard request becomes urgent, see procedures for expediting urgent requests, below.

(4) Contracting Officers can request vetting of all vendors/offerors; vendors/offerors in the competitive range; or apparently successful vendors/offerors at their discretion. In order to avoid potential delays in contract award due to pending vendor eligibility, contracting officers are encouraged to have the Business Advisor ensure vendor is 100% compliant and submit vendors for vetting as early as possible in the procurement process.

(d) Expediting Urgent Requests.

(1) Contracting Officers shall immediately alert the SCO-I/A Vetting Representative when forwarding requests for expedited vetting. These requests include either initially urgent requests or standard requests that become urgent. A request is considered urgent when the customer informs the Contracting Officer in writing that a delay will cause an operational crisis outweighing the risk of awarding to a potential rejected contractor. (2) Provide the SCO-I/A Vetting Representative a justification for the urgency, obtained from the requiring activity, and a timeline by which the Contracting Officer requires an approval decision. (3) For urgent requests, Contracting Officers should plan 5 calendar days for the vetting process to be accomplished. (4) Contracting Officer shall file requests in the correspondence section of the contract file.

(e) Approved Vendors/Offerors. Proceed with award to vendors/offerors identified as approved for award in accordance with all standard regulations and policies. (f) Rejected Offerors. Do NOT award any contract action to vendors/offerors identified as rejected. Do NOT discuss vetting rejection status with the rejected vendor/offeror. Immediately contact CJA for guidance. (g) Rejected apparently successful offerors.

(1) In the event that the apparently successful offeror is in a vetting rejected eligibility status, immediately contact CJA. CJA and SCO-I/A vetting representative will re-confirm the eligibility status and advise the contracting officer on the way forward.


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(2) Upon confirmation that the apparently successful offeror is rejected, the CJA will contact the requiring unit, direct them to the appropriate FRAGO, and ask them how they want to proceed.

(3) If the requiring unit does not wish to seek an exception, the contracting officers shall by-pass the rejected offeror and consider the next best offeror in the competitive range for award.

(h) Debriefing of Rejected Offerors.

(1) Coordinate with CJA prior to issuing any debriefing letter.

(2) If, and only if, the rejected apparent successful offeror requests a debriefing, inform them of the following, in writing, after coordinating with CJA:

“You were determined to be ineligible for award of subject contract by United States Forces – Afghanistan/Iraq. You may submit a written request for reconsideration of this determination to USFOR-A/USF-I, through the Contracting Officer, within 60 calendar days of this notification.”

(i) Debriefing of other than apparent successful offerors:

(1) If an offeror is not the apparent successful offeror, follow normal procedures. DO NOT MENTION THEIR INELIGIBILITY (2) The requiring unit (customer) should never discuss vetting status with vendors. C3 personnel who discuss vetting status with requiring units (customers) shall ensure they understand they are not to disclose any related information to anyone outside the Government.

(j) Except for written debriefings described above, C3 personnel shall NOT discuss any aspect of the vetting process or status of vendors with anyone outside C3 without prior approval of CJA. (k) Termination of existing contracts.

(1) Contracting Officers that become aware of any contractors on existing contracts, having a “rejected” eligibility status, shall immediately contact CJA for guidance. (2) CJA and SCO-I/A vetting representative will re-confirm the rejected status. Upon confirmation that the apparently successful offeror is still rejected, the CJA will contact the requiring unit, direct them to the OPORD, and ask them how they want to proceed. (3) If the requiring unit does not wish to seek an exception, the CJA will advise the contracting officer on how to proceed with contract termination. Contracting Officers terminating contracts shall include the following in their Notification of Termination to the contractor:


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“You were determined to be ineligible for continued performance of subject contract by United States Forces – Afghanistan/Iraq. You may submit a written request for reconsideration of this determination to USFOR-A/USF-I, through the Contracting Officer, within 60 calendar days of this notification.”

(l) If an offeror discovers it has been rejected (but is not the apparent winner, nor facing termination) Contracting Officers may advise them they are still eligible to submit proposals for future solicitations. (m) Prior to exercising options, Contracting Officers shall check contractor eligibility in JCCS. If the contractor is rejected, Contracting Officers shall consult CJA for advice. The normal course of action is to allow the customer to decide whether or not to request an exception to policy. If the customer chooses not to request an exception to policy, Contracting Officers shall not exercise the option and only notify the contractor that the Government is not exercising the option. Contracting Officers shall NOT tell the vendor anything regarding the vetting. SUBPART 25.120 – COMMANDERS’ EMERGENCY RESPONSE PROGRAM (CERP) IN SUPPORT OF OPERATIONS IN IRAQ OR AFGHANISTAN

25.1200 Scope of Subpart

This subpart provides policies and procedures implementing the Commanders’ Emergency Response Program (CERP). Contracts for the acquisition of CERP projects are not subject the requirements in FAR, DFARS, DFARS PGI, or AFARS do not apply.

25.1201 Definitions

(a) Commanders’ Emergency Response Program (CERP) is a purchasing program developed to enable commanders to respond to urgent humanitarian relief and reconstruction needs by executing programs that will immediately assist the indigenous population. The CERP program is broad in scope and may be effectively utilized for rebuilding critical infrastructure (food distribution, utilities, transportation, economic, education, and other areas). CERP funds shall not be used for the direct or indirect benefit of U.S. or coalition forces or for equipping/training of Iraqi/Afghan forces. (b) A Project Purchasing Officer (PPO) is a U.S. Government employee, who upon completion of training and receipt of written delegation of obligation authority from the Chief of the Contracting Office, serves as a representative of the Contracting Officer. A Contracting Officer may delegate to a PPO the authority to obligate the United States on CERP and I-CERP funded projects costing less than $500,000. Project Purchasing Officers are an extension of the Contracting Office and are only authorized to obligate CERP and I-CERP funds. Coalition partner members cannot serve as PPOs.

25.1202 Policy


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(a) While the FAR does not apply to CERP and I-CERP contracts, sound business arrangements and stewardship should govern these transactions. In order to meet these objectives, the execution of the CERP and I-CERP project must be fair, transparent and accountable (DoD 7000.14, Financial Management Regulation, Vol 12, Ch 27).

(b) Fairness relates to competition of the requirement to the maximum practical extent based on the circumstances and environment. Transparency relates to adequately documenting the course of action taken to support the requirement. Accountability relates to crafting an enforceable agreement with adequate safeguards to meet the aims of the CERP or I-CERP project. Use of the templates provides assistance in documenting accountability without unreasonable burden.

(1) Iraq: The management resource manual providing policies and procedures for executing CERP purchases in Iraq is the Money as a Weapons System (MAAWS) manual published by USF-I J8, specifically the CERP Standard Operating Procedures (SOP) included at Appendix B. Additionally, the I-CERP program is a purchasing program that enables commanders to execute urgently needed reconstruction projects for the benefit of the Iraqi people (water purification plants, schools, health clinics, city planning facilities such as government offices and town hall buildings, and protective measures such as fencing, lighting, berms or barriers). I-CERP funds are Government of Iraq funds and therefore, comingling of CERP and I-CERP is not authorized. Processes and execution of I-CERP will mirror CERP. The management resource manual providing policies and procedures for executing I-CERP purchases is the MAAWS-I SOP, Appendix C, I-CERP. (2) Afghanistan: The management resource manual providing policies and procedures for executing CERP purchases in Afghanistan is MAAWS-A (USFOR-A PUB 1-06) dated JAN 2010. Specific CERP SOPs are found separately in the USFOR-A MAAWS-A CERP SOP dated DEC 2009. The intent of the CERP Program in Afghanistan, as directed by the Commander USFOR-A, is to achieve focused effects while working directly with the Government of Islamic Republic of Afghanistan (GIRoA) for project acceptance with follow-on maintenance and sustainment (as required). Commands should prioritize those CERP projects that focus on urgent humanitarian relief while providing significant employment opportunities for the Afghan people. Close coordination between commanders, engineers, civil affairs, effects coordinators and comptrollers is vital to ensure funds are applied consistently to achieve desired effects. Additionally, CERP funds must be properly accounted for and reported accurately to higher headquarters.

(c) Contracting officers should closely coordinate with their counterparts in G-7/8 on FRAGOs related to thresholds and specific guidance. The CERP and I-CERP Program Manager reside in the C-8 resource management organization in Iraq, and the CERP program in Afghanistan is managed by the Governance and Development Lines of Operations in close coordination with the CJ9 and S9 functions.

25.1203 Procedures

(a) CERP and I-CERP are battlefield tools that commanders can use to create an immediate effect on the ground. Congress and DoD recognized this and made sure only a minimum of rules

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apply to CERP and I-CERP. In keeping with the intent of the program, C3 policy is to streamline contracting processes to provide fast and effective support to the commanders. Specifically, Contracting Officers should conduct CERP or I-CERP acquisitions using the following guidelines:

(1) Work closely with subject matter experts and commanders to ensure requirements are written clearly and reflect what the local market is able to provide. (2) As the situation allows, ensure requirements are made widely available to interested parties. As FAR Part 5 advertising is not required, Contracting Officers may use local Civil Affairs units, Business Advisors (BAs) (formerly known as Host Nation Business Advisors), local business centers, Chambers of Commerce, and prominent local citizens to identify potential offerors. (3) Whenever practicable, results of the contracting process (who won, price, delivery terms) are made available to parties with legitimate interest in the outcome. Most importantly, project files should adequately document this project information. (4) Ensure competition takes place whenever possible. While FAR Part 6 competition requirements do not apply, contracting officers should seek more than one independent offer (three is desirable) if practicable under the conditions of the project. Security and urgency often dictate these conditions; therefore, the Contracting Officer should document the file as to the course of action taken. No CERP or I-CERP project should be broadly advertised on JCCS or any other web-based portal. (5) Conduct a good price analysis. Direct competition by independent offerors should normally form the basis for the price analysis; however, comparison to similar efforts or use of other appropriate methodologies may be used. (6) Bargain where it makes sense; there are rare instances where it does not make sense to bargain. Exercise business judgment and seek to obtain a fair and reasonable deal for both parties under the conditions of the project.

(b) In accordance with CERP file checklists contained in each respective MAAWS manual, the CERP/I-CERP file should contain:

(1) PR&C with CERP/I-CERP project approval documents (2) proposals (3) documentation of the contract award (4) contract with the Statement of Work (SOW) (5) invoices (6) miscellaneous correspondence (7) contract completion/closeout paperwork.

(c) CERP and I-CERP solicitation and award documents shall prominently include appropriate notification regarding the contracts not being FAR based. Use one the following statements, as applicable, for CERP and I-CERP projects:




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CERP: Any contract awards resulting from this solicitation are NOT subject to the Federal Acquisition Regulation of the United States Government, and are therefore not subject to the Contracts Disputes Act. I-CERP: Any contract awards resulting from this solicitation will NOT be funded with monies appropriated by the Congress of the United States, are not subject to the Federal Acquisition Regulation of the United States Government, and are therefore not subject to the Contracts Disputes Act.

(d) Documents for contracts exceeding $500K shall be retained for 6 years and 3 months after final payment. There will be two contract files, the PPO project file is retained for one year in theater, and then forwarded to ARCENT for retention and the second file should be retained at contracting. See Subpart 4.804-5 of this AI for further guidance on the closeout and retention of CERP actions $500K and above.

25.1204 Thresholds

(a) The review and approval thresholds for CERP projects are outlined in:

(1) Iraq.

(i) MAAWS-I, Appendix B, Section 5 outlines CERP Approval Thresholds. (ii) MAAWS-I, Appendix C, Section 3, outlines Program Management for I-CERP projects.

(2) Afghanistan.

(i) MAAWS-A includes a Thresholds section. (ii) MAAWS-A CERP SOP contains an Approval Thresholds Matrix outlining thresholds for CERP requirements.

(b) Neither CJA nor PARC/SCO policy review is required for CERP or I-CERP under $500K; however, Contracting Officers and Project Purchasing Officers (PPO) are encouraged to seek guidance whenever deemed necessary. (c) Threshold required for a warranted contracting officer to enter into a contract for CERP and I-CERP, as opposed to a Project Purchasing Officer (PPO), is $500,000. (d) In addition to the thresholds specified in MAAWS-I and MAAWS-A, any CERP or I-CERP construction project greater than $500K require review and approval by the C3

PARC/SCO.

(e) Projects greater than $1M require C3 HCA approval prior to requesting approval by the Secretary of Defense (SECDEF) or Deputy SECDEF. Request for C3 HCA review and approval shall be submitted to the C3 Policy Directorate mailbox at [email protected] and shall address the following:



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(1) Does the project have a US Government Engineer Approved Design? (2) Will the US Government have an engineer perform oversight? (3) Who will be the supporting unit and what is their COR strategy? (4) Does the project have support of the Provincial Reconstruction Team (PRT)? (5) What will be the role of the PRT oversight, if applicable? (6) What is the risk of the project not being completed? (7) How will you assess the capability of the awardee to perform this project? (8) Has this KO/RCC done this type of contract in the past and how successful was the project? (9) What is the security situation on access to the site where construction will be performed?

25.1205 Solicitation Provisions and Contract Clauses

JCCS includes templates of CERP and I-CERP clauses and provisions. These templates are designed to provide minimal burden and maximum business sense. Contracting Officers shall use these templates for all CERP projects with an estimated value at or above $500K. Include clauses in full text.


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PART 27 – PATENTS, DATA, AND COPYRIGHTS

SUBPART 27.4 – RIGHTS IN DATA AND COPYRIGHTS

27.404 Basic Rights in Data Clause

27.404-5 Unauthorized, Omitted, or Incorrect Markings Authority to concur or non-concur with the Contracting Officer’s decision that data containing markings are not authorized per FAR Clause 52.227-14, Rights in Data - General, with regard to the appropriateness of the markings is outlined in Appendix 1 – C3 Review and Approval Thresholds Matrix. If the decision authority concurs, the markings will be canceled and the data will no longer be made subject to disclosure prohibitions.



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PART 28 – BONDS AND INSURANCE

SUBPART 28.1 – BONDS AND OTHER FINANCIAL PROTECTIONS

28.102 Performance and payment Bonds and Alternative payment Protections for Construction Contracts

Performance and payment bonds are not required, although not prohibited, for construction contracts in Iraq or Afghanistan. It has been determined that the requirement for both performance and payment bonds would effectively eliminate Iraqi and Afghan firms from the competitive process. Local practices in Iraq require “deposits” for receiving RFP/RFQ and prior to award; C3 shall not follow this practice and any suggestions or demands to do so shall be immediately brought to the attention of the CJA and PARC/SCO. SUBPART 28.3 – INSURANCE

28.305 Overseas Workers Compensation and War Hazard Insurance

(a) Defense Base Act (DBA) Insurance is required to ensure contractor employees have workers’ compensation insurance in the event of an injury or fatality. (b) FAR clause 52.228-3, Workers’ Compensation Insurance (Defense Base Act), is required to be included in full text in all solicitations and contracts for service and construction contracts when the DBA applies. The DBA requirement essentially applies when a public works contract is being performed by contractor employees outside the United States. Contracts exclusively for supplies are also exempt from the DBA requirement as there should be no significant amount of labor performed in Iraq or Afghanistan. (c) The DBA clause requires the contractor to provide workers’ compensation insurance in accordance with the Defense Base Act (42 U.S.C. 1651) and to maintain it until performance is completed. The prime contractor is required to include this requirement in all of its subcontracts to which the DBA applies. (d) DBA insurance costs shall be included in contracts as a cost reimbursable CLIN. The cost will be excluded from price evaluations. The estimated amount will be adjusted throughout the contract periods as necessary using projected and actual labor expenditures. The contractor shall be reimbursed for DBA costs upon submission of proof of payment to the insurance provider. (e) The Contracting Officer shall furnish a copy of all Termination Notices (Convenience, Cause, and Default) to the DBA insurance provider, Rutherfoord International, in conjunction with the termination notice to the contractor. The Contracting Officer shall also include a statement to the insurance provider that (1) no work has been accomplished under the contract; or (2) work has started under the contract. In addition to the notice, a copy of the termination modification shall also be forwarded to Rutherfoord International. Contact info: [email protected] AND [email protected].


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(f) USACE has entered into a single-source, centrally-managed DBA insurance contract for all USACE and C3 contracts with performance outside the United States. This mandatory requirements contract was awarded to Continental Insurance Company, DBA CNA Insurance. Rutherfoord International is the designated administrative broker for CNA Insurance. The contract is effective until 31 March 2011 and is posted on the HQUSACE Directorate of Contracting website. (g) The FY-2011 fixed rates under this mandatory requirements contract are as follows:

Service $4.00 per $100 of employee remuneration Construction $6.00 per $100 of employee remuneration Aviation $17.00 per $100 of employee remuneration Security $10.00 per $100 of employee remuneration

(h) DBA insurance is required for employees of contractors and their subcontractors at every tier for service and construction contracts in Iraq or Afghanistan. (i) All C3 contractors and subcontractors procuring DBA insurance (i.e. renewing coverage or obtaining new coverage), for a C3 contract, shall purchase such DBA insurance under the USACE requirements contract unless the C3 contractor is a personal services contractor whose employees are covered by the Federal Employees Compensation Act. (j) Contracting Officers shall provide only successful offerors a DBA insurance application which is included as 5153.120-5025 in PART 53 – FORMS. (k) It is the Contracting Officer’s responsibility to ensure contractors obtain valid DBA Insurance with CNA Insurance before allowing performance to commence. A policy declaration issued by Rutherfoord International shall constitute adequate evidence of insurance coverage. Submission of proof of payment is not required until insurance costs are invoiced by the contractor. Use of a notice-to-proceed is recommended to ensure contractors have obtained proper insurance prior to commencement of work. (l) DBA insurance shall not apply to CERP or I-CERP projects. In the event the Contracting Officer determines to add the DBA insurance requirement, based on the facts and circumstances of a particular project, the Contracting Officer shall consult with PARC/SCO Policy and CJA and document file accordingly.

28.309 Contract Clauses for Workers Compensation Insurance

(a) C3 clause 952.228-0001, Workers Compensation Insurance (Defense Base Act), shall be included in all service and construction contracts with performance in Iraq or Afghanistan. (b) C3 provision 952.228-0002, Defense Base Act Insurance Rates – Limitation – Fixed-Price Contracts, shall be included in all affected solicitations for fixed-price contracts, whenever DBA Insurance is required.

http://www.usace.army.mil/CECT/Pages/DBAI.aspx�

http://www.usace.army.mil/CECT/Pages/DBAI.aspx�


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(c) C3 provision 952.228-0003, Defense Base Act Insurance Rates – Limitation – Cost-Reimbursement, Labor Hour, and Time-and-Materials Contracts, shall be included in all affected solicitations for cost-reimbursement, labor-hour, or time-and-materials contracts, whenever DBA Insurance is required. (d) C3 clause 952.228-0004, Government Liability for Non-Tactical Vehicles, shall be included in all contracts that require leasing of non-tactical vehicles in Iraq or Afghanistan.

28.311 Solicitation Provision and Contract Clause on Liability Insurance Under Cost-Reimbursement Contracts

28.311-1 Contract Clause Authority to waive the requirement for the use of FAR clause 52.228-7, Insurance—Liability to Third Persons, in solicitations and contracts, other than those for construction and those for architect-engineer services, when a cost-reimbursement contract is contemplated is outlined in Appendix 1 – C3 Review and Approval Thresholds Matrix.

28.370 Additional Clauses

Authority to determine not to allow the contractor to buy insurance for War-Hazard Losses is outlined in Appendix 1 – C3 Review and Approval Thresholds Matrix.



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PART 32 – CONTRACTING FINANCING

SUBPART 32.2 – COMMERCIAL ITEM PURCHASE FINANCING

32.202 General

32.202-1 Policy Authority to approve the use of contract financing arrangements not in accord with the requirements of agency regulations or FAR Subpart 32.2 is outlined in Appendix 1 – C3 Review and Approval Thresholds Matrix. SUBPART 32.5 – PROGRESS PAYMENTS BASED ON COST

32.501 General

32.501-2 Unusual Progress Payments Authority to approve the Contractors request for unusual progress payment arrangements are outlined in Appendix 1 – C3 Review and Approval Thresholds Matrix. Authority must be granted in advance. SUBPART 32.7 – CONTRACT FUNDING

32.703 Contract Funding Requirements

32.703-1 General Authority to determine the use of fixed price incremental funding for Base Services or Hazardous/Toxic Waste Remediation Contracts is outlined in Appendix 1 – C3 Review and Approval Thresholds Matrix. SUBPART 32.11 – ELECTRONIC FUNDS TRANSFER

32.1106 Electronic Funds Transfer (EFT) Mechanisms

(a) Iraq - All contracts and purchase orders awarded to host nation (Iraqi) vendors shall be awarded and paid in Iraqi Dinar via EFT to a local (Iraqi) banking institution. Contracts and purchase orders shall not be awarded to host nation vendors (Iraqi) who do not bank locally. All other contracts and purchase orders may be awarded and paid in U.S. currency via EFT. Resource Management offices/G8/J8/C8 and contracting offices shall use the USARCENT established budget rate for Purchase Request and Commitment (PR&C) conversion round to the nearest dollar. Local finance offices shall use the daily exchange rate to make the payment. The difference between the budget rate and the daily exchange rate shall be posted by the paying office to the USARCENT fluctuation account.



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(b) Afghanistan - All contracts and purchase orders awarded to host nation (Afghan) vendors shall be awarded and paid in Afghani via EFT to a local (Afghani) banking institution. Contracts and purchase orders shall not be awarded to host nation vendors (Afghani) who do not bank locally. All other contracts and purchase orders may be awarded and paid in U.S. currency via EFT. Resource Management offices/G8/J8/C8 and contracting offices shall use the USARCENT established budget rate for Purchase Request and Commitment (PR&C) conversion round to the nearest dollar. Local finance offices shall use the daily exchange rate to make the payment. The difference between the budget rate and the daily exchange rate shall be posted by the paying office to the USARCENT fluctuation account. (c) All contracts and purchase orders in excess of $3,000 citing USARCENT OA 8A funds will be retrograded to Defense Finance and Accounting Service (DFAS)-Rome, NY. All DFAS-Rome EFT payments are processed through ITS.gov. The electronic DFAS-Rome EFT payment form is required for all payment requests. A sample is provided in PART 53 – FORMS. (d) Local contract offices writing contracts and purchase orders below $3,000 shall designate the local finance office as the payment office. DFAS-Rome will be designated the paying office for all contracts and purchase orders $3,000 and above. Contracting offices will reference the monthly Payment Office Assignment Bulletin provided by the Theater Financial Management Center (FMC) by the first day of each month to determine the appropriate payment office. The local finance office designated in the contract or purchase order will pay via EFT using ITS.gov. (e) By exception, the following forms of payment are acceptable when EFT using ITS.gov is determined not available by the local finance office, in order of priority:

(1) EFT using Limited Depository Account (LDA)

(2) Check from the local finance office LDA

(3) Local currency cash payments (must be approved in writing by the local finance office and contracting office prior to contract/purchase order award). Payments in cash are restricted to contracts and purchase orders when the vendor provides proof via a letter from the host nation banking institution, validated by the local finance office, that the HN bank is not EFT capable. (Cash payments will be made in HN currency).

(f) The Contracting Officer is the approving authority for a change to the payment office. Coordination shall be made between DFAS-Rome and the local finance office that is currently making the payment.


(a) C3 provision 952.232-0001, Notification of Payment in Local Currency (Iraq), shall be included in all solicitations issued in Iraq. (b) C3 provision 952.232-0002, Notification of Payment in Local Currency (Afghanistan), shall be included in all solicitations issued in Afghanistan.


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(c) C3 clause 952.232-0003, Payment in Local Currency (Iraq), shall be included in all contracts and purchase orders executed in Iraq to a host nation (local) firm. (d) C3 clause 952.232-0004, Payment in Local Currency (Afghanistan), shall be included in all contracts and purchase orders executed in Afghanistan to a host nation (local) firm. (e) C3 clause 952.232-0005, C3 Wide Area Workflow Instructions, should be included in solicitations expected to be awarded to U.S. vendors, in accordance with DFARS 232.7004.



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PART 33 – PROTESTS, DISPUTES, AND APPEALS

SUBPART 33.1 – PROTESTS

33.102 General

(a) Upon receipt of GAO or agency protests, RCC Chiefs shall prepare and email Commander’s Critical Information Reports (CCIR) to the C3 CCIR secure e-mail box. The sample format is included in PART 53 – FORMS. A copy of all protests shall also be forwarded, without unnecessary delay, to the respective PARC/SCO and Deputy CJA. (b) Agency protests may be filed with the Contracting Officer identified on the solicitation. If an independent review of a Contracting Officer’s decision is desired, an appeal of the agency protest decision may be submitted to the PARC/SCO (Iraq or Afghanistan). (c) Upon resolution of a protest, regardless where filed, the RCC Chief will submit a follow up CCIR to close the action. (d) Authority to make determinations to take any action on a protest that could have been recommended by the Comptroller General had the protest been filed with the GAO; pay appropriate costs as stated in FAR 33.104(h), and require the awardee to reimburse the Government’s cost where a post-award protest is sustained as the result of an awardee’s intentional or negligent misstatement, misrepresentation, or miscertification is outlined in Appendix 1 – C3 Review and Approval Thresholds Matrix. (e) Authority to conduct a review, at the request of the contractor, of the Contracting Officers determination regarding a demand for reimbursement of the Government’s costs where a post-award protest is sustained as the result of an awardee’s intentional or negligent misstatement, misrepresentation, or miscertification is delegated to the PARC-CONUS, SCO-I, or SCO-A, as appropriate, without the power of redelegation.

33.103 Protests to the Agency

(a) PARC/SCOs will manage protest actions for C3. If an interested party elects to file an agency level protest, they may submit directly to the Contracting Officer identified in the solicitation or to the responsible RCC Chief for identification of the Contracting Officer. (b) Upon resolution of the protest, a synopsis of the protest action and notice of resolution, with a copy of the decision or settlement agreement shall immediately be furnished to the responsible PARC/SCO. (c) PARC/SCOs shall forward an annual (fiscal year) report of bid protests to the C3 Director of Policy and CJA for consolidation by 15 October of each year. (d) C3 Agency Protest Procedures.




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(1) Authority. The C3 agency protest procedures are established under the authority of FAR 33.103(d)(4). (2) Introduction. This subpart prescribes policy and procedures for the C3 Agency Protest Program within the meaning of FAR 33.103. The C3 Agency Protest Program is intended to encourage interested parties to seek resolution of their concerns within C3, rather than filing a protest with the Government Accountability Office (GAO) or other external forum. (3) Policies and Procedures. A C3 Agency Protest is a "Protest to the Agency," within the meaning of FAR 33.103. Under the C3Agency Protest Program, the protestor may file with either the Contracting Officer designated in the solicitation or with the RCC Chief who may either forward to the responsible Contracting Officer or withhold for resolution at their level. The responsible PARC/SCO is the independent review authority in accordance with FAR 33.103(d)(4) and will only act as an appeal authority for Agency Protest decisions by the Contracting Officer or RCC Chief. (4) Interested Parties. For the purpose of filing a C3 Agency Protest, an interested party means an actual or prospective bidder or offeror whose direct economic interest would be affected by the award of a contract or by the failure to award a contract. (5) Election of Forum. After an interested party protests a C3 procurement to the Contracting Officer or RCC Chief and while that agency protest is pending, the protester agrees not to file a protest with the GAO or other external forum. If a protest is filed with an external forum on the same solicitation as the agency protest, the agency protest will be dismissed. (6) Protest Decision Authority. The Contracting Officer identified in the solicitation is the Agency Protest Decision Authority unless the RCC Chief has withheld that authority. (7) Time for Filing a Protest.

(i) C3 Agency Protest filings. To be considered timely, the protest must be filed before bid opening or the closing date for receipt of proposals, when the protest is based on alleged apparent improprieties in a solicitation. A protest shall also be considered timely if filed within 10 calendar days after contract award, or filed within 5 calendar days after a debriefing date offered to the protester under a timely debriefing request in accordance with FAR 15.505 or FAR 15.506, whichever is later. (ii) Agency Protest filings. To be considered timely filed, the protest must be received by the Contracting Officer or the RCC Chief by 1630 hours (local time) on the last day on which such filing may be made. The email address for filing an agency protest is included in C3 provision 952.233-0001, C3 Agency Protest Program.

(8) Form of protest. An agency protest must include the protester's name, address and telephone number, including fax number; the solicitation or contract number, identity of the contracting activity and the contracting officer's name; a detailed statement of all legal and factual grounds for protest (mere disagreement with the decisions of Contracting Officers









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does not constitute grounds for protest), including copies of all relevant documents; a request for a ruling; and, a request for relief. An authorized representative of the protester must sign all protests. (9) Processing of agency protests. Within 10 days after the protest is filed, the Contracting Officer, with the assistance of CJA, shall issue a written decision to the protestor. A copy of the decision and an administrative report containing any relevant material shall be provided to CJA. (10) Effect of protest on award and performance.

(i) Protests before award. When an agency protest is filed prior to award, a contract may not be awarded unless authorized by the responsible PARC/SCO’s Special Competition Advocate (SCA) in accordance with FAR 33.103(f)(1) and (2). (ii) Protests after award. When an agency protest is filed within 10 calendar days after award, or within 5 calendar days of debriefing for any debriefing that when requested was required by FAR 15.505(a) or 15.506(a), whichever is later, the Contracting Officer immediately shall suspend performance.

(11) Protocol and criteria for overrides.

(i) All timely agency protests filed within the times listed in 33.104(f)(3) will automatically trigger a suspension of performance. In all cases where an agency protest is timely, the contracting officer must inform all interested parties of the suspension of performance. If appropriate, the Contracting Officer will obtain extensions of bid/proposal acceptance times from the offerors. If the Contracting Officer cannot obtain extensions, they should request, through the responsible PARC/SCO, that C3 consider an override of the stay. (ii) The HCA may authorize contract performance, notwithstanding the protest, upon a written finding that:

(A) Contract performance will be in the best interest of the United States; or (B) Urgent and compelling circumstances that significantly affect the interests of the United States will not permit waiting for a decision from the Contracting Officer or RCC Chief. Generally, override decision are not subject to judicial review.

(12) Remedies. The Contracting Officer or RCC Chief, with concurrence of CJA, may grant or direct any one or combination of the following remedies:

(i) Terminate the contract; (ii) Re-compete the requirement; (iii) Issue a new solicitation; (iv) Refrain from exercising options under the contract; (v) Award a contract consistent with statute and regulation;







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(vi) Pay appropriate costs (see FAR 33.102(B)(2)); or (vii) Such other remedies as determined necessary to correct a defect.

(13) Service of protest for C3 procurements. Protests under the Agency Protest Program shall be filed with the Contracting Officer, as directed in the solicitation. The solicitation shall include the contracting office point of contact and e-mail address in FAR 52.233-2, Service of Protest, for the purpose of filing an agency protest. (14) Discovery. To the extent permitted by law and regulation, the agency and the protester may exchange information relevant to the protest.

33.104 Protests to GAO

(a) Protest before Award. Authority to make a determination to make contract award on the basis of urgent and compelling circumstances which significantly affect the interest of the United States that will not permit awaiting the decision of the GAO and award is likely to occur within 30 days of the written finding has been delegated is outlined in Appendix 1 – C3 Review and Approval Thresholds Matrix. (b) Protest after Award. Authority to make a determination to authorize contract performance, notwithstanding the protest, upon a written finding that contract performance will be in the best interest of the United States or urgent and compelling circumstances that significantly affect the interest of the United States will not permit waiting for the GAO’s decision is outlined in Appendix 1 – C3 Review and Approval Thresholds Matrix. (c) Prior to submitting a request to override a Competition in Contracting Act (CICA) stay package, C3 activities should refer to the “OVERRIDE OF CICA STAYS: A GUIDEBOOK” located on the C3 training site and contact the C3 Policy Directorate at mailbox at [email protected] for assistance. (d) Authority to submit the report to GAO outlined in AFARS 5133.104(g) on why the GAO recommendations have not been followed is delegated to PARC-CONUS, SCO-I, and SCO-A without the power of redelegation. The report must be submitted to the addressee in AFARS 5101.290(b)(1) not later than 45 days after receipt of the recommendations.


C3 provision 952.233-0001, C3 Agency Protest Program, shall be included in all solicitations.








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SUBPART 33.2 – DISPUTES AND APPEALS

33.204 Policy

(a) Contracting Officers should refer to FAR Subpart 33.2 and FAR clause 52.233-1, Disputes, and all supplementary regulations, for requirements related to the disposition of contract claims. (b) Contracting Officers should initially determine whether submissions received from contractors constitute “claims”, as defined by FAR, by verifying the existence of required claim elements. (c) Elements of a claim (FAR Subpart 2.1):

(1) Written demand for (1) payment of money; (2) adjustment or interpretation of contract terms; or (3) other relief. (4) Money must be expressed as a "sum certain" (specific amount rather than e.g. "all costs associated with..."). (5) Claims must be arising under or related to a Government contract. (6) Demands exceeding $100K are not considered valid claims unless certified.

(d) Contracting Officers should seek clarifications from submitters when it is unclear whether their requests are Requests for Equitable Adjustment (REA) or Contracts Disputes Act (CDA) claims. (e) The claimant always has the burden of proof. (f) The Contracting Officer should request additional supporting information from the claimant, if necessary. (g) Obtain any necessary technical information from the end user and/or technical experts. (h) Contracting Officers should analyze claims thoroughly to ensure they understand the facts and theories of entitlement, as presented by the claimant. (i) Keep in mind that claims have two distinct aspects: (1) entitlement and (2) quantum. (j) Entitlement relates to whether recovery of costs or adjustment of contract terms is permitted under the terms and conditions of the contract. (k) Quantum refers to the amount of money a claimant is due, if entitlement is determined. (l) Contracting Officers should read contracts and ancillary contract documentation thoroughly to determine and isolate the terms, conditions and circumstances relevant to a dispute.





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(m) Contracting Officers should develop a chronology of events to help organize and frame the facts and circumstances contributing to the dispute. (n) Contracting Officers should always remain unbiased and keep in mind that the Contracting Officer must always act as the fair broker and must develop supportable, sustainable decisions. (o) Contracting Officers must be thorough and factual in order to produce convincing Contracting Officers’ Final Decisions (COFD) that clearly and accurately communicates the Government’s position.

(1) Summarize the claimant's position/contentions. (2) State the findings of fact (e.g. events, correspondence and contract requirements). (3) Craft contractually sound conclusions based on factual information. (4) Obtain legal advice from CJA as soon as practicable following receipt of a claim. (5) Include required language from FAR 33.211(a)(4)(v) in all COFDs.

(p) Contracting Officers may request claimants hold their claims in abeyance while settlement negotiations occur. (q) Contracting Officers unable to meet response timeframes included in the Disputes clause, should notify claimants, in writing, of the date by which they will render a final decision.

33.215 Contract Clause

Authority to make a determination that continued performance is necessary pending resolution of any claim that might arise under or be related to the contract to authorize the use of Alternate I of the clause at FAR 52.233-1, Disputes, is outlined in Appendix 1 – C3 Review and Approval Thresholds Matrix.




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PART 36 – CONSTRUCTION AND ARCHITECT-ENGINEER CONTRACTS

SUBPART 36.1 – GENERAL

36.104 Policy

All construction projects greater than $1.5M require HCA approval, with the exception for CERP, which establishes a $1M approval threshold as outlined in Subpart 25.1204. The request for HCA approval shall consider and address the following:

- Does the project have a US Government Engineer Approved Design? - Will the US Government have an engineer perform oversight? - Who will be the supporting unit and what is their COR strategy? - Does the project have support of the Provincial Reconstruction Team (PRT)? - What will be the role of the PRT oversight, if applicable? - What is the risk of the project not being completed? - How will you assess the capability of the awardee to perform this project? - Has this KO/RCC done this type of contract in the past and how successful was the project? - What is the security situation on access to the site where construction will be performed?

SUBPART 36.2 – SPECIAL ASPECTS OF CONTRACTING FOR CONSTRUCTION

36.208 Concurrent Performance of Firm-Fixed-Price and Other Types of Construction Contracts

Authority to approve concurrent performance of cost-plus-fixed-fee, price-incentive, or other types of contracts with cost variation or cost adjustment features concurrently, at the same work site, with firm-fixed-price, lump sum, or unit price contracts is outlined in Appendix 1 – C3

Review and Approval Thresholds Matrix.

36.213 Special Procedures for Sealed Bidding in Construction Contracts

Authority to waive the requirement for Presolicitation notices for construction equal to or exceeding the simplified acquisition threshold (SAT) is outlined in Appendix 1 – C3 Review and Approval Thresholds Matrix.

36.272 Prequalification of sources

Authority to authorize the use of prequalification that a construction project is of an urgency or complexity that requires prequalification and approve the prequalification procedures is outlined in Appendix 1 – C3 Review and Approval Thresholds Matrix.

36.273 Construction in Foreign Countries

(a) Certification of Land Availability in Iraq: In order to avoid constructing facilities on land not controlled by project benefactors, Contracting Officers shall obtain a Certificate of Land


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Availability (CLA) prior to issuing solicitations for construction projects in Iraq to ensure the project benefactor (land owner or individual authorized by the land owner to use the land) has appropriate land interests. The CLA is an alternative to obtaining deeds. Modifications to the CLA form are not permissible after it has been executed.

(1) This policy applies to all contracting offices that support GRD programs. The GRD customer will provide the CLA form to the Contracting Officer demonstrating that appropriate land rights are held by the project benefactor for the lands necessary to support the project’s construction and operation.

(2) This policy applies to renovation/rehabilitation projects where the demolition and replacement facility requires an addition, expansion, extension or alteration, which is outside the original footprint of the existing facility. It also applies to a conversion (change) in the functional/design use of all or part of an existing facility.

(3) This policy does not apply to renovation/rehabilitation projects where the demolition or repair of an existing facility is contained within the same footprint of the existing facility and the functional/design use of all or part of the replacement facility remains the same.

(4) The CLA form shall be maintained with other pre-award certifications in the contract file. All certifications shall be executed in English and may additionally be executed in Arabic. The Contracting Officer shall not issue the solicitation until GRD provides the required CLA form. (5) Obtain the Certificate of Land Availability, in accordance with GRD Policy Letter 18, from the requiring activity prior to solicitation issuance.

(b) Certification of Land Availability in Afghanistan: In accordance with USFOR-A FRAGO 09-265, all requests for land use by US Forces in Afghanistan shall be coordinated and approved by the USFOR-A/JFEC Real Estate Office. SUBPART 36.3 – TWO-PHASE DESIGN-BUILD SELECTION PROCEDURES

36.301 Use of Two-Phase Design-Build Selection Procedures

Authority to establish other criteria for use by the Contracting Officer when determining whether the two-phase design-build process is appropriate is outlined in Appendix 1 – C3 Review and Approval Thresholds Matrix. SUBPART 36.5 – CONTRACT CLAUSES

36.507 Permits and Responsibilities

(a) C3 clause 952.236-0001, Electrical and Structural Building Standards for Construction Projects, shall be included in all construction contracts, including minor construction, renovation, alteration, and refurbishment contracts. (b) Implementing guidance:


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(1) For projects which the LOGCAP Contractor will perform electrical, plumbing, and HVAC O&M upon completion, C3 shall ensure that the LOGCAP contractor can assume O&M in a timely and efficient manner. To implement this, the C3 Contracting Officer will request the customer to submit its Requirements Letter requesting LOGCAP O&M prior to signing the DD Form 250 accepting the completed project and far enough in advance so that it does not cause an unreasonable delay for acceptance. (2) The LOGCAP contractor will perform technical inspections as required beginning no later than the 50% completion point and report all deficiencies to the DCMA-I/A LOGCAP ACO. The LOGCAP contractor will not have any contact with the contractor that would interfere with its ability to perform the contract. The ACO will forward this inspection information to the RCC PCO who can address noted deficiencies with the contractor if appropriate before final acceptance via DD Form 250.

(3) Contracting Officers shall plan for adequate time to allow inspection assistance prior to signing the DD Form 250.

36.570 Additional Provisions and Clauses

Authority to approve the use of a separate bid item for mobilization and preparatory work is appropriate is outlined in Appendix 1 – C3 Review and Approval Thresholds Matrix. SUBPART 36.6 – ARCHITECT-ENGINEER SERVICES

36.602 Selection of Firms for Architect-Engineer Contracts

36.602-3 Evaluation Boards Authority to provide general direction to the evaluation boards to perform the functions in FAR 36.602-3 for A&E contracts is appropriate is outlined in Appendix 1 – C3 Review and Approval Thresholds Matrix.

36.609 Contract Clauses

36.609-1 Design Within Funding Limitations Authority to determine that cost limitations are secondary to performance considerations and additional project funding can be expected, if necessary is appropriate is outlined in Appendix 1 – C3 Review and Approval Thresholds Matrix.




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PART 37 – SERVICE CONTRACTING

SUBPART 37.1 – SERVICE CONTRACTS -- GENERAL

37.104 Personal Services Contracts

Authority to approve a proposed contract for personal services which are provided by individuals outside the U.S., directly supports defense intelligence components and/or special operations commands is appropriate is outlined in Appendix 1 – C3 Review and Approval Thresholds Matrix. Services must be urgent, cannot be obtained by other means, and are supporting DoD activities or programs.

37.170 Approval of Contracts and Task Orders for Services

37.170-2 Approval Requirements Authority to approve the acquisition of services through a contract or task order that is not performance based is outlined in Appendix 1 – C3 Review and Approval Thresholds Matrix.

SUBPART 37.5 – ARMY MANAGEMENT AND OVERSIGHT OF THE ACQUISITION OF SERVICES

37.503 Agency-Head Responsibilities

Authority to approve hiring and contract action certifications for C3 (i.e. where C3 is the requiring activity/customer) covered by the Army Policy for Civilian Workforce Management and Services Contracts is outlined in Appendix 1 – C3 Review and Approval Thresholds Matrix.

37.590 Army management and Oversight of the Acquisition of Services

37.590-4 Review Thresholds

(a) Review and approval thresholds for Acquisition Strategy Plans (ASPs) are outlined in Appendix 1 – C3 Review and Approval Thresholds Matrix based on the aggregate value of the procurement, base and all option years, including the value of FAR Clause 52.217-8, Option to Extend Services, if applicable to the acquisition.

(b) Service acquisitions meeting the review thresholds will be forwarded to the appropriate approval authority for review and approval prior to issuance of the solicitation. At a minimum, the strategy will contain all the information included at 5137.590-7. Since acquisition plans (APs) and acquisition strategy plans (ASPs) cover essentially the same elements, when both documents are required plans and strategies below $500M may be consolidated into a combined acquisition plan/acquisition strategy document as long as the elements of both requirements are addressed. Separate documents are required > $500M. (c) Required Supporting Documentation, Review and Approval of Acquisition Strategy or Combined Acquisition Strategy/Acquisition Plan:




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(1) Contracting Officer Request for Acquisition Strategy or Combined Acquisition Plan/Strategy Approval. (2) Acquisition Strategy or Combined Acquisition Strategy/Acquisition Plan. (3) Draft Performance Work Statement (PWS)/Statement of Work (SOW)/Statement of Objective (SOO)). All service contracts PWSs must include the applicable Performance Requirement Summary (PRS) items. (4) Applicable Determination & Findings (D&Fs). (5) Approved J&A/LSJ, if applicable. (6) Cost Benefit Analysis for Bundled Requirements, if applicable. (7) Use of Non-DoD Contract Certification/D&F, if applicable. (8) Market Research Report (9) Service Contract Approval, if service requirement. (Not applicable if JARB approval document is provided). (10) Independent Government Cost Estimate (IGCE)

37.590-6 Army Service Strategy Panel (ASSP) Review and approval thresholds for Army Service Strategy Panel (ASSP) are the same as the review thresholds specified in 37.590-4, Review Thresholds, above.

SUBPART 37.6 – PERFORMANCE-BASED ACQUISITION

37.604 Quality Assurance Surveillance Plans (QASP)

(a) Contracting Officers should refer to the requirements outlined in C3 AI 1.602-2, Responsibilities. As outlined in SAAL-PP memorandum, dated October 21, 2010, subject: Contract Administration and Surveillance of Service Contracts, contract oversight and surveillance is a shared responsibility of the contracting and requiring activities. However, the Contracting Officer is ultimately responsible for ensuring appropriate contractor oversight and quality assurance of their assigned contracts. Contracting Officers are required to ensure a defensible method for executing oversight functions is in place prior to contract award. (b) Quality assurance shall be performed on all contracts per FAR Subpart 46.102 and 37.603. To this end, a Quality Assurance Surveillance Plan (QASP) is necessary for all contracts exceeding the micro purchase threshold to ensure the Government receives and pays for an acceptable level of quality goods and services required by the contract. A surveillance plan shall be prepared in conjunction with the statement of work and documented in writing whenever a COR is appointed or the Contracting Officer retains surveillance responsibility. The level of surveillance described in the plan should be commensurate with the dollar value, risk, complexity and criticality of the acquisition. The link https://learn.dau.mil/html/clc/Register.jsp to the DAU continuous learning module CLC 013, Performance-Based Services Acquisition, provides instructions on developing and writing the performance work statement and QASP.

(1) When determining the type and extent of required Government contract quality assurance, the Contracting Officer shall consider the complexity and criticality of the acquisition. Contracting Officers shall execute D&Fs for all service contracts between



https://learn.dau.mil/html/clc/Register.jsp�


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$2,500 and $1M, to document the contract file when they determine a QASP will be unnecessary to ensure contract compliance. The D&F shall be approved one level above the Contracting Officer. Contracting Offices shall not exempt surveillance plan preparation and execution without a justifiable reason. (2) Sample QASPs are included in the C3 AI under PART 53 – FORMS, specifically:

(i) C3 Sample QASP Below SAT, Contracting Officer Retains. (ii) C3 Sample QASP Below SAT, COR Appointed. (iii) C3 Sample QASP Above SAT, COR Appointed.

(c) Contracting Officers shall ensure that appointed Contracting Officer Representatives (COR) are familiar with pertinent QASPs and are properly trained in required surveillance methods prior to the commencement of contract performance. (See DFARS 201.602-2 and PGI 201.602-2).





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PART 42 – CONTRACT ADMINISTRATION AND AUDIT SERVICES

SUBPART 42.2 – CONTRACT ADMINISTRATION SERVICES

42.202 Assignment of Contract Administration

Authority to approve the delegation in the case of authority to issue orders under provisioning procedures in existing contracts and under basic ordering agreements for items and services identified in the schedule is outlined in Appendix 1 – C3 Review and Approval Thresholds Matrix. SUBPART 42.15 – CONTRACTOR PERFORMANCE INFORMATION

42.1502-90 Policy

(a) AFARS Subpart 5142.15, Contractor Performance Information, requires the use of CPARS to prepare contractor performance evaluations. CPARS is the DoD Enterprise Solution for collection of contractor Past Performance Information (PPI) as required by the FAR. CPARS is composed of three modules:

(1) The CPARS module assesses performance on contracts for Systems, Services, IT and Operations Support. (2) The Architect-Engineer (A/E) Contractor Administration Support System (ACASS) module assesses performance on A/E contracts. (3) The Construction Contractor Appraisal Support System (CCASS) module assesses performance on construction contracts.

(b) Required business sector thresholds for performance requirements are found at: http://www.cpars.csd.disa.mil/cparsfiles/pdfs/DoD-CPARS-Guide.pdf. CPARS reference materials can be found at: http://www.cpars.csd.disa.mil/cparsfiles/cpars/refmatl.htm. (c) When building awards in SPS, it is imperative to input the Business Sector, FSC and NAICS codes correctly as these codes will be instrumental in getting contracts automatically loaded into CPARS/ACASS/CCASS through FPDS-NG. (d) Following the automated loading process, the C3 CPARS Coordinator will complete the contract registration process. The CPARS Coordinator will then contact the RCC Chiefs to determine the names and contact information for the Assessing Official Representative, Contractor Representative and the Assessing and Reviewing officials for each contract. (e) It is very important to advise the CPARS Coordinator of any changes in the names and contact information for the Assessing Official Representative, Contractor Representative and the Assessing and Reviewing officials for each contract.


http://www.cpars.csd.disa.mil/cparsfiles/pdfs/DoD-CPARS-Guide.pdf�

http://www.cpars.csd.disa.mil/cparsfiles/cpars/refmatl.htm�


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(f) New users will receive a system generated email providing a logon identification name and password following input of their contact information into the CPARS system. Additional email notifications will be sent, advising assessing and reviewing officials of their assigned roles. (g) Assessing Official Representatives should be the personnel responsible for the execution of the program or project; however, they do not have the authority to send the assessment to the Contractor Representative or to finalize an assessment. The Assessing Officials should be the person responsible for evaluating contractor performance and for validating the proposed ratings and remarks entered by the Assessing Official Representative. Assessing Officials have “signature” authority and are allowed to forward assessments to the Contractor Representative for review and comment. Reviewing Officials should be one level above the Assessing Official. In general, at C3, the COR is normally the Assessing Official Representative and the Contracting Officer is the Assessing Official. Contractor employees are not allowed to be either the Assessing or Reviewing Official. (h) Assessing Officials shall assure that Assessing Official Representatives complete a performance evaluation before redeploying from theater. (i) Evaluations should be specific and detailed and with the goal of providing meaningful feedback to both the contractors and Contracting Officers who may rely on the information for responsibility determinations for future contract awards. Rating and evaluation criteria can be found at http://www.cpars.csd.disa.mil/cparsfiles/pdfs/DoD-CPARS-Guide.pdf. (j) Contractor performance information can be accessed for the purpose of pre-award determinations by using the Past Performance Information Retrieval System (PPIRS). PPIRS information can be found at: http://www.ppirs.gov/. SUBPART 42.71 – VOLUNTARY REFUNDS

42.7100 General

Authority to approve solicitation of voluntary refunds from a contractor is outlined in Appendix 1 – C3 Review and Approval Thresholds Matrix.

http://www.cpars.csd.disa.mil/cparsfiles/pdfs/DoD-CPARS-Guide.pdf�

http://www.ppirs.gov/�


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PART 44 - RESERVED


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PART 45 – GOVERNMENT PROPERTY

SUBPART 45.1 – GENERAL

45.104 Responsibility and Liability for Government Property.

(a) Non-tactical vehicles as Government Furnished Property (GFP) (b) To allow operational and safety repairs of vehicles to begin immediately, Contracting Officers shall issue letters to the contractor to allow the following exceptions/processes for the standard Loss, Damage and Destruction (LDD) process for all task orders under cost reimbursement contracts. (c) Contractors are authorized to perform minor safety repairs to Government-owned vehicles without prior approval of the LDD report. Minor safety repairs shall consist of all items that impede safe operation of the vehicle not to exceed $2,500 cumulative Estimated Cost of Damage. Prior approval must be obtained for all damage that exceeds this threshold. No cosmetic repairs will be authorized. (d) Although LDD reports are still required for minor safety repairs, contractors will not have to obtain the Relief of Responsibility or authorization for repair from Contracting Officers prior to making repairs. (e) Notwithstanding this authorization, the contractor shall not exercise this authority and authorize repairs without assuring that adequate funding is available under the task order. This authorization does not relieve the contractor from its liability or responsibilities under FAR 52.232-22, Limitation of Funds, or DFARS 252.232-7007, Limitation of Government’s Obligation, and does not give consent or imply consent to exceed obligated funds.


(a) C3 clause 952.245-0001, General Conditions for Leased Equipment, may be included in contracts that include leasing of equipment, as applicable. (b) C3 clause 952.245-0002, Government Liability for Leased Equipment (With Operator), may be included in contracts that include leasing of equipment, in which provision of an operator is included in the lease, as applicable.

(c) C3 clause 952.245-0003, Government Liability for Leased Equipment (Without Operator), may be included in contracts that include leasing of equipment, in which provision of an operator is not included in the lease, as applicable.

(d) C3 clause 952.245-0004, Contractor’s Responsibility for Property and Personal Damages, may be included in contracts that include leasing of equipment, as applicable.





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SUBPART 45.3 – AUTHORIZING THE USE AND RENTAL OF GOVERNMENT PROPERTY

45.301 Use and Rental

Authority to approve the use of Government property for commercial use when non-Government use is expected to exceed 25% of the total use of Government and commercial work performed is outlined in Appendix 1 – C3 Review and Approval Thresholds Matrix.


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PART 46 – QUALITY ASSURANCE

SUBPART 46.7 – WARRANTIES


(a) The cost to the Government in relation to the benefit of requiring inclusion of FAR Clause 52.246-21, Warranty of Construction, can vary significantly among contracts in Iraq and Afghanistan. Reasons for variances include the complexity of requirements, sophistication of contractors, project location and anticipated degree of available Government technical and contractual oversight. (b) Contracting Officers shall evaluate each proposed fixed-price construction project to determine whether or not inclusion of the optional Warranty of Construction clause is in the best interest of the Government. In making this determination, Contracting Officers should familiarize themselves with local conditions; consider information obtained through market research; consult with technical experts and colleagues; and evaluate all other issues relevant to anticipated contract performance. The likelihood of successful warranty enforcement should also be considered. (c) In accordance with FAR 46.710(e)(1), Contracting Officers are provided the discretion of whether or not to include FAR Clause 52.246-21, Warranty of Construction in fixed-price construction contracts, using their best judgment and considering all applicable conditions.






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PART 48 – VALUE ENGINEERING

SUBPART 48.1 – POLICIES AND PROCEDURES

48.104 Sharing Arrangements

48.104-3 Sharing Collateral Savings Authority to determine if the cost of calculating and tracking collateral savings will exceed the benefits is outlined in Appendix 1 – C3 Review and Approval Thresholds Matrix.


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PART 49 – TERMINATION OF CONTRACTS

SUBPART 49.4 – TERMINATION FOR DEFAULT

49.402 Termination of Fixed-Price Contracts for Default

49.402-3 Procedure for Default Authority to approve the Contracting Officers decision to terminate for default any contract with a small business firm to whom a Certificate of Competency was issued, or to whom loans were made with SBA’s participation is outlined in Appendix 1 – C3 Review and Approval Thresholds Matrix. SUBPART 49.70 – SPECIAL TERMINATION REQUIREMENTS

49.7001 Congressional Notification on Significant Contract Terminations

Authority to approve the submission of the clearance request to the addressee at 5101.290(b)(10) or by facsimile at Defense Switch Network (DSN) 227-6988 or (703) 697-6988 is outlined in Appendix 1 – C3 Review and Approval Thresholds Matrix.



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PART 52 – CLAUSES

SUBPART 52.1 – INSTRUCTIONS FOR USING PROVISIONS AND CLAUSES (a) All C3 provisions and clauses shall be included in contracts in full text, citing the provision or clause number, the title and version date. C3 provisions and clauses will also be updated regularly in the regional SPS databases. (b) The following clause matrix identifies all C3 Provisions and Clauses. In addition, C3 has developed integrated FAR/DFARS/AFARS/C3 AI clause matrices that are required in most commercial item, service and construction contracts. These matrices are updated regularly and posted to the C3 training and JCCS websites and shall be used as both a guide and checklist in preparing solicitations and contracts.


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SUBPART 52.2 – PROVISIONS AND CLAUSES MATRIX

P or C Provision or Clause IBR Incorporate by Reference?

USE R - Required A - Required when Applicable O - Optional

CLAUSE NUMBER

PROVISION/CLAUSE TITLE (DATE) P or C

IBR USE AI

PRESCRIPTION STATUS

952.201-0001 Ombudsman (NOV 2010) C NO R 1.1203 Active

952.216-0001 Fair Opportunity for Multiple Award IDIQ Contracts (JUL 2010) C NO A 16.506(b) Active

952.222-0001 Prohibition Against Human Trafficking, Inhumane Living Conditions, and Withholding of Employee Passports (JUL 2010) C NO R 22.1705-120 Active

952.223-0001 Reporting Kidnappings, Serious Injuries and Deaths (JUL 2010) C NO R 23.1201 Active

952.225-0001 Arming Requirements and Procedures for Personal Security Services Contractors and for Requests for Personal Protection (AUG 2010) C NO A 25.7703-5(a) Active

952.225-0002 Armed Personnel Incident Reports (SEP 2010) C NO A 25.7703-5(b) Active

952.225-0003 Fitness for Duty and Medical/Dental Care Limitations (NOV 2010) C NO R 25.7703-5(c) Active

952.225-0004 Compliance with Laws and Regulations (JUL 2010) C NO R 25.7703-5(d) Active

952.225-0005 Monthly Contractor Census Reporting (JUL 2010) C NO R 25.7703-5(e) Active

952.225-0006 Contract Delivery Requirements (JUL 2010) C NO A 25.7703-5(f) Active

952.225-0007 Mandatory Shipping Instructions (JUL 2010) C NO A 25.7703-5(g) Active

952.225-0008 Shipping Instructions for Weapons (JUL 2010) C NO A 25.7703-5(h) Active

952.225-0009

Medical Screening and Vaccination Requirements for Third Country Nationals or Locally Hired Employees Operating in the CENTCOM Area of Responsibility (AOR) (NOV 2010) C NO A 25.7703-5(i) Active

952.225-0011 Government Furnished Contractor Support (JUL 2010) C NO A 25.7703-5(j) Active

952.225-0012 Notice of Limited Competition (JUL 2010) P NO R 25.7703-5(k) Active

952.225-0013 Contractor Health and Safety (NOV 2010) C NO A 25.7703-5(l) Active

952.225-0014 Notification of Subcontracting Requirements (JUL 2010) P NO R 25.7703-5(m) Active

952.225-0015 Subcontracting Requirements (JUL 2010) C NO R 25.7703-5(n) Active

952.225-0016 Contractor Demobilization (NOV 2010) C NO R 25.7703-5(o) Active

952.228-0001 Workers Compensation Insurance (Defense Base Act)(NOV 2010) C NO A 28.309(a) Active

952.228-0002

Defense Base Act Insurance Rates–Limitation–Fixed-Price Contracts (NOV 2010) P NO A 28.309(b) Active

952.228-0003

Defense Base Act Insurance Rates–Limitation–Cost-Reimbursement, Labor-Hour, and Time-and-Materials Contracts (NOV 2010) P NO A 28.309(c) Active

952.228-0004 Government Liability for Non-Tactical Vehicles (JUL 2010) C NO A 28.309(d) Active

952.232-0001 Notification of Payment in Local Currency (Iraq) (JUL 2010) P NO A 32.1110(a) Active

952.232-0002 Notification of Payment in Local Currency (Afghanistan) (JUL 2010) P NO A 32.1110(b) Active

952.232-0003 Payment in Local Currency (Iraq) (JUL 2010) C NO A 32.1110(c) Active

952.232-0004 Payment in Local Currency (Afghanistan) (JUL 2010) C NO A 32.1110(d) Active

952.232-0005 C3 Wide Area Workflow Instructions (JUL 2010) C NO A 32.1110(e) Active

952.233-0001 C3 Agency Protest Program (NOV 2010) P NO R 33.106 Active

952.236-0001

Electrical and Structural Building Standards for Construction Projects (JUL 2010) C NO A 36.507(a) Active

952.245-0001 General Conditions for Leased Equipment (JUL 2010) C NO A 45.107(a) Active

952.245-0002 Government Liability for Leased Equipment (With Operator) (JUL 2010) C NO A 45.107(b) Active

952.245-0003

Government Liability for Leased Equipment (Without Operator) (JUL 2010) C NO A 45.107(c) Active

952.245-0004 Contractor’s Responsibility for Property and Personal Damages (JUL 2010) C NO A 45.107(d) Active


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SUBPART 52.3 – TEXT OF PROVISIONS AND CLAUSES 952.201-0001 – OMBUDSMAN

C3 CLAUSE 952.201-0001 OMBUDSMAN

(NOV 2010) (a) An ombudsman has been appointed to hear and facilitate the resolution of concerns from offerors, potential offerors, and others for this acquisition. When requested, the ombudsman will maintain strict confidentiality as to the source of the concern. The existence of the ombudsman does not affect the authority of the program manager, contracting officer, or source selection official. Further, the ombudsman does not participate in the evaluation process, or the adjudication of protests or formal contract disputes. The ombudsman may refer the party to another official who can resolve the concern. (b) Before consulting with an ombudsman, interested parties must address their concerns, issues, disagreements, and/or recommendations to the contracting officer for resolution. Consulting an ombudsman does not alter or postpone the timelines for any other processes (e.g., agency level bid protests, GAO bid protests, requests for debriefings, employee-employer actions, contests of OMBC-A-76 competition performance decisions). (c) If resolution cannot be made by the contracting officer, concerned parties may contact the C3 Ombudsman at: (insert Ombudsman contact information). (d) The ombudsman has no authority to render a decision that binds the agency. (e) Do not contact the ombudsman to request copies of the solicitation, contract, delivery order, verify offer due date, or clarify technical requirements. Such inquiries shall be directed to the Contracting Officer.

(Return to Clause Matrix)


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952.216-0001 – FAIR OPPORTUNITY FOR MULTIPLE AWARD IDIQ CONTRACTS

C3 CLAUSE 952.216-0001 FAIR OPPORTUNITY FOR MULTIPLE AWARD IDIQ CONTRACTS

(SEP 2010) (a) For each proposed issuance of a delivery/task order, the Contracting Officer will solicit all contractors under this multiple award contract vehicle, by providing a notice of the intent to make the purchase, a description of the requirement and the basis upon which the Contracting Officer will make the selection. Contracting Officers may use streamlined proposal procedures, including oral presentations. (b) This notice will normally be provided by e-mail. Contractors shall provide the Contracting Officer with a primary and a back-up e-mail address. The government is not responsible for ensuring the contractor receives any notice. (c) Contracting Officers will fairly consider all responses received by evaluating price and any other factors listed in the notice. The Contracting Officer reserves the right to select an awardee based on initial offers. No protest under FAR Subpart 33.1 is authorized in connection with the award of any order, except for a protest on the grounds that the order increases the scope, period, or maximum value of the contract (10 U.S.C. 2304c(e) and 41 U.S.C. 253j(d)), with the exception of task orders with a value of greater than $10M which are subject to Section 843 of the National Defense Authorization Act for FY 2008. (d) Exceptions to the Fair Opportunity Process: The Contracting Officer may not provide fair opportunity to all contract awardees if: “(i) The need for the supplies or services is so urgent that providing a fair opportunity would result in unacceptable delays; (ii) only one awardee is capable of providing the supplies or services required at the level of quality required because the supplies or services ordered are unique or highly specialized; (iii) the order must be issued on a sole-source basis in the interest of economy and efficiency as a logical follow-on to an order already issued under the contract, provided that all awardees were given a fair opportunity to be considered for the original order; (iv) it is necessary to place an order to satisfy a minimum guarantee.”



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952.222-0001 – PROHIBITION AGAINST HUMAN TRAFFICKING, INHUMANE LIVING CONDITIONS, AND WITHHOLDING OF EMPLOYEE PASSPORTS

C3 CLAUSE 952.222-0001 PROHIBITION AGAINST HUMAN TRAFFICKING, INHUMANE LIVING CONDITIONS, AND

WITHHOLDING OF EMPLOYEE PASSPORTS (JUL 2010)

(a) All contractors (“contractors” refers to both prime contractors and all subcontractors at all tiers) are reminded of the prohibition contained in Title 18, United States Code, Section 1592, against knowingly destroying, concealing, removing, confiscating, or possessing any actual or purported passport or other immigration document, or any other actual or purported government identification document, of another person, to prevent or restrict or to attempt to prevent or restrict, without lawful authority, the person’s liberty to move or travel, in order to maintain the labor or services of that person. (b) Contractors are also required to comply with the following provisions: (1) Contractors shall only hold employee passports and other identification documents discussed above for the shortest period of time reasonable for administrative processing purposes. (2) Contractors shall provide all employees with a signed copy of their employment contract, in English as well as the employee’s native language that defines the terms of their employment/compensation. (3) Contractors shall not utilize unlicensed recruiting firms, or firms that charge illegal recruiting fees. (4) Contractors shall be required to provide adequate living conditions (sanitation, health, safety, living space) for their employees. Fifty square feet is the minimum acceptable square footage of personal living space per employee. Upon contractor’s written request, contracting officers may grant a waiver in writing in cases where the existing square footage is within 20% of the minimum, and the overall conditions are determined by the contracting officer to be acceptable. A copy of the waiver approval shall be maintained at the respective life support area. (5) Contractors shall incorporate checks of life support areas to ensure compliance with the requirements of this Trafficking in Persons Prohibition into their Quality Control program, which will be reviewed within the Government’s Quality Assurance process. (6) Contractors shall comply with International and Host Nation laws regarding transit/exit/entry procedures, and the requirements for visas and work permits. (c) Contractors have an affirmative duty to advise the Contracting Officer if they learn of their employees violating the human trafficking and inhumane living conditions provisions contained herein. Contractors are advised that contracting officers and/or their representatives will conduct random checks to ensure contractors and subcontractors at all tiers are adhering to the law on human trafficking, humane living conditions and withholding of passports. (d) The contractor agrees to incorporate the substance of this clause, including this paragraph, in all subcontracts under his contract.



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952.223-0001 – REPORTING KIDNAPPINGS, SERIOUS INJURIES AND DEATHS

C3 CLAUSE 952.223-0001 REPORTING KIDNAPPINGS, SERIOUS INJURIES AND DEATHS

(JUL 2010) Contractors shall notify the Contracting Officer, as soon as practicable, whenever employee kidnappings, serious injuries or deaths occur. Report the following information: Contract Number Contract Description & Location Company Name Reporting party: Name Phone number e-mail address Victim: Name Gender (Male/Female) Age Nationality Country of permanent residence Incident: Description Location Date and time Other Pertinent Information



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952.225-0001 – ARMING REQUIREMENTS AND PROCEDURES FOR PERSONAL SECURITY SERVICES CONTRACTORS AND FOR REQUESTS FOR PERSONAL PROTECTION

C3 CLAUSE 952.225-0001 ARMING REQUIREMENTS AND PROCEDURES FOR

PERSONAL SECURITY SERVICES CONTRACTORS AND FOR REQUESTS FOR PERSONAL PROTECTION

(AUG 2010) (a) General. Contractor and its subcontractors at all tiers that require arming under this contract agree to obey all laws, regulations, orders, and directives applicable to the use of private security personnel in Iraq and Afghanistan, including U.S. CENTCOM, United States Forces – Iraq (USF-I) and United States Forces – Afghanistan (USFOR-A) Commander orders, instructions and directives. Contractors will ensure that all employees, including employees at any tier of subcontracting relationships, armed under the provisions of this contract, comply with the contents of this clause and with the requirements set forth in the following: (1) DODI 3020.50, Private Security Contractors (PSCs) Operating in Contingency Operations; (2) DODI 3020.41, Program Management for Acquisition and Operational Contract Support in Contingency Operations; (3) DFARS 252.225-7040, Contractor Personnel Supporting a Force Deployed Outside the United States; (4) Class Deviation 2007-O0010, Contractor Personnel in the United States Central Command Area of Responsibility (5) USFOR-A, FRAGO 09-206, Outlines Management of Armed Contractors and Private Security Companies Operating in the Combined Joint Operating Area - Afghanistan (CJOA-A) (6) USF-I OPORD 10-01, Annex C, Appendix 13 (7) U.S. CENTCOM Policy Letter, Mod 1, Personal Protection and Contract Security Service Arming, dated Dec 2005 (8) U.S. CENTCOM Policy Letter, Mod 3, Civilian and Contractor Arming Policy and Delegation of Authority for Iraq and Afghanistan, dated Nov 2006 (9) U.S. CENTCOM Policy Letter, Mod 3, Civilian and Contractor Arming Policy and Delegation of Authority for Iraq and Afghanistan, dated Jun 2009 (b) Required Government Documentation. An O-6 or GS-15 (or above) from the unit requesting the contractor security shall provide a description of the following to the arming approval authority via the contracting officer representative (COR) in sponsoring each individual request for arming (under paragraph (c) below: (1) The specific location where the PSC will operate; (2) The persons and/or property that require protection; (3) The anticipated threat; (4) The required weapon types; and (5) The reason current security/police forces are inadequate. (6) Verification, under paragraph (e) below, that background checks have been conducted and that no records were found of convictions or other acts that should be known to the arming authority. (c) Required Contractor Documentation. Contractors and their subcontractors at all tiers that require arming approval shall provide to the arming approval authority via the COR consistent documentation (signed and dated by the employee and employer as applicable) for each of their employees who will seek authorization to be armed under the contract as follows: (1) Weapons Qualification/Familiarization. All employees must meet the weapons qualification requirements on the requested weapon(s) established by any DoD or other U.S. government agency, Law of Armed Conflict (LOAC); Rules for the Use of Force (RUF), as defined in the U.S. CENTCOM Policy, dated 23 December 2005; and distinction between the above-prescribed RUF and the Rules of Engagement (ROE), which are applicable only to military forces.


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(2) Completed DD Form 2760 (or equivalent documentation) for each armed employee, indicating that the employee is not otherwise prohibited under U.S. law from possessing the required weapon or ammunition. (3) Written acknowledgement by the individual of the fulfillment of training responsibilities and the conditions for the authorization to carry firearms. This document includes the acknowledgement of the distinctions between the ROE applicable to military forces and RUF that control the use of weapons by DoD civilians, DoD contractors and PSCs. (4) Written acknowledgement signed by both the armed employee and by a representative of the employing company that use of weapons could subject both the individual and company to U.S. and host nation prosecution and civil liability. (5) A copy of the contract between the contractor’s company and the U.S. Government that verifies the individual’s employment and addresses the need to be armed. (6) One (1) copy of a business license from the Iraqi or Afghani Ministry of Trade or Interior. (7) One (1) copy of a license to operate as a PSC (or a temporary operating license) from the Ministry of Interior. (d) Communication Plan. The contractor will submit to the COR a communications plan that, at a minimum, sets forth the following: (1) The contractor’s method of notifying military forces and requesting assistance where hostilities arise, combat action is needed or serious incidents have been observed. (2) How relevant threat information will be shared between contractor security personnel and U.S. military forces. (3) How the contractor will coordinate transportation with appropriate military authorities. (e) Plan for Accomplishing Background Checks. Prior to requesting arming approval, the contractor will submit to the COR an acceptable plan for accomplishing background checks on all contractor and subcontractor employees who will be armed under the contract. The contractor shall, at a minimum, perform the following (which will be specifically addressed in its plan and which will be documented and furnished to the COR upon completion): (1) Use one or more of the following sources when conducting the background checks: Interpol, FBI, Country of Origin Criminal Records, Country of Origin U.S. Embassy Information Request, CIA records, and/or any other records available. (2) Verify with USF-I or USFOR-A, as applicable, that no employee has been barred by any commander within Iraq or Afghanistan. (3) All local nationals and third country nationals will voluntarily submit to full biometric enrollment in accordance with theater biometric policies within 60 days of their arming request. While biometric collection and screening is voluntary, CORs will immediately notify the arming approval authority of any individuals who do not meet this requirement and any arming authorization will be revoked until all requirements are met. (f) Penalties for Non-Compliance. Failure of contractor or subcontractor employee(s) to comply with the laws, regulations, orders, and rules (including those specified herein) governing the use of force, training, arming authorization, and incident reporting requirements may result in the revocation of weapons authorization for such employee(s). Where appropriate, such failure may also result in the total revocation of weapons authorization for the contractor (or subcontractor) and sanctions under the contract, including termination. (g) Criminal and Civil Liability. Arming of contractor or subcontractor employees under this contract may subject the contractor, its subcontractors, and persons employed by the same, to the civil and criminal jurisdiction of the U.S. and Host Nation. “Host Nation” refers to the nation or nations where services under this contract are performed. (h) Lapses in Training or Authorization. Failure to successfully retrain an employee who has been properly authorized to be armed under this contract within twelve (12) months of the last training date will constitute a lapse in the employee’s authorization to possess and carry the weapon. All unauthorized


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employees will immediately surrender their weapon and authorization letter to the contractor and will remain unarmed until such time as they are retrained and newly approved by the arming authority. Additionally, the arming authority’s authorization letter is valid for a maximum of twelve (12) months from the date of the prior letter (unless authorization is earlier invalidated by a lapse in training). (i) Authorized Weapon & Ammunition Types. Unless DCDRUSCENTCOM (or a designee) expressly provides otherwise, all arming requests and authorizations for contractor or subcontractor employees under this contract shall be limited to U.S. Government-approved weapons and ammunition. Notwithstanding Host Nation laws or regulations that would allow use of heavier weapons by contract security/PSC, all DoD security service / PSC contractors must have weapons approved by DCDRUSCENTCOM (or a designee) before use. This restriction applies to all weapons in the possession of contractor employees, even if such weapons are required for personal protection. The following weapons and ammunition are currently authorized by the U.S. Government for use in Iraq and Afghanistan: (1) The M9, M4, M16, or equivalent (e.g. .45 CAL, AK-47). (2) The M9 or equivalent sidearm will be the standard personal protection weapon unless other weapons are specifically requested and approved. (3) U.S. government Ball ammunition is the standard approved ammunition. (j) Requirements for Individual Weapons Possession. All employees of the contractor and its subcontractors at all tiers who are authorized to be armed under this contract must: (1) Possess only those U.S. Government-approved weapons and ammunition for which they are qualified under the training requirements of section (c) and subsequently authorized to carry. (2) Carry weapons only when on duty or at a specific post (according to their authorization). (3) Not conceal any weapons, unless specifically authorized. (4) Carry proof of authorization to be armed. Employees not possessing such proof will be deemed unauthorized and must surrender their weapon to their employer. (5) IAW USCENTCOM G.O. #1, consumption of alcohol in Iraq or Afghanistan is prohibited. In the event of a suspension or an exception to G.O. #1, employees shall not consume any alcoholic beverage while armed or within eight (8) hours of the next work period when they will be armed. There are no circumstances under which a person will be authorized to consume any alcoholic beverage when armed for personal protection. (k) Weapons/Equipment Restrictions and Responsibilities. Unless otherwise provided, the U.S. Government will not provide any weapons or ammunition to contractors, their subcontractors, or any employees of the same. The Contractor will provide all weapons and ammunition to those employees that will be armed under the contract. The contractor and its subcontractors at all tiers will also provide interceptor body armor, ballistic helmets, and the Nuclear, Biological, and Chemical (NBC) protective masks to those employees that require such equipment in the performance of their duties. (l) Rules for the Use of Force (RUF). In addition to the RUF and ROE training referenced in paragraph (c), the contractor and its subcontractors at all tiers will monitor and report all activities of its armed employees that may violate the RUF and/or otherwise trigger reporting requirements as serious incidents. Prompt reporting demonstrates a desire by the contractor and its subcontractors to minimize the impact of any violations and, therefore, will be given favorable consideration. Violations of the RUF include, though are not limited to: (1) Taking a direct part in hostilities or combat actions, other than to exercise self-defense. (2) Failing to cooperate with Coalition and Host Nation forces. (3) Using deadly force, other than in self-defense where there is a reasonable belief of imminent risk of death or serious bodily harm. (4) Failing to use a graduated force approach. (5) Failing to treat the local civilians with humanity or respect. (6) Detaining local civilians, other than in self-defense or as reflected in the contract terms.


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(m) Retention and Review of Records. The Contractor and all subcontractors at all tiers shall maintain records on weapons training, LOAC, RUF and the screening of employees for at least six (6) months following the expiration (or termination) of the contract. The Contractor and its subcontractors at all tiers shall make these records available to the Contracting Officer or designated representative, at no additional cost to the government, within 72 hours of a request. (n) Contractor Vehicles. Vehicles used by contractor and subcontractor personnel in the course of their security duties shall not be painted or marked to resemble U.S./Coalition or host nation military and police force vehicles. (o) Quarterly Reporting. The prime contractor will report quarterly (i.e. NLT 1 January, 1 April, 1 July and 1 October for each quarter of the calendar year) to the Contracting Officer responsible for this contract, and any other organization designated by the Contracting Officer, the following information under this contract: (1) The total number of armed civilians and contractors. (2) The names and contact information of its subcontractors at all tiers. (3) A general assessment of the threat conditions, adequacy of force numbers, and any problems that might require a change to force levels. Note: This information is in addition to the information the contractor promises to immediately provide under the communications plan referenced at paragraph (d).



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952.225-0002 – ARMED PERSONNEL INCIDENT REPORTS

C3 CLAUSE 952.225-0002 ARMED PERSONNEL INCIDENT REPORTS

(SEP 2010) (a) All contractors and subcontractors in the United States Forces-Iraq (USF-I) or United States Forces-Afghanistan (USFOR-A) theater of operations shall comply with and shall ensure that their personnel supporting USF-I or USFOR-A forces are familiar with and comply with all applicable orders, directives, and instructions issued by the respective USF-I or USFOR-A Commanders relating to force protection and safety. (b) IRAQ: Contractors shall provide an initial report of all weapons firing incidents or any other serious incidents they or their contractors are involved in to USF-I Contractor Operations Cell (CONOC) as soon as practical, but not later than 4 hours after the incident. The contractor and its subcontractors at all tiers shall submit a written report to CONOC, the Contracting Officer (KO) within 96 hours of the incident. Interim reports shall be submitted between the initial and final report, when necessary to the CONOC at [email protected] DSN 318-435-2369, UK# 0044 203 286 9851 or 0044 203 239 5894 or Skype: USFICONOC. (c) AFGHANISTAN: Contractors shall immediately report all incidents and use of weapons through their Contracting Officers Representative (CORs) who will notify the Contracting Officer. Contracting Officers are responsible to notify the SCO-A Chief of Operations and the SAR @ USFOR-A (SAR SHIFT DIRECTOR, DSN: 318-237-1761) Information should include: the name of the company, where the incident occurred, time when the incident occurred, a brief description of the events leading up to the incident, and a point of contact for the company. The SCO-A Chief of Operations in coordination with the SAR will issue guidance for further reporting requirements. (d) Contractors shall provide first aid and request MEDEVAC of injured persons, and remain available for U.S. or Coalition response forces, based upon the situation. In the event contractor personnel are detained by U.S. or Coalition Forces, prolonged detention due to lack of proper identification can be alleviated by contractor personnel possessing on their person information that includes the contractor’s name, the contract number, a contractor management POC, and the phone number of the CONOC/SAR Watch.




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952.225-0003 – FITNESS FOR DUTY AND MEDICAL/DENTAL CARE LIMITATIONS

C3 CLAUSE 952.225-0003 FITNESS FOR DUTY AND MEDICAL/DENTAL CARE LIMITATIONS

(NOV 2010)

(a) The contractor shall perform the requirements of this contract notwithstanding the fitness for duty of deployed employees, the provisions for care offered under this section, and redeployment of individuals determined to be unfit. Contractor personnel who deploy for multiple tours, for more than 12 months total must be re-evaluated for fitness to deploy. An examination will remain valid for 15 months from the date of the physical. The contractor bears the responsibility for ensuring all employees are aware of the conditions and medical treatment available at the performance location. The contractor shall include this information and requirement in all subcontracts with performance in the theater of operations. (b) The contractor shall not deploy an individual with any of the following conditions unless approved by the appropriate CENTCOM Service Component (i.e. ARCENT, AFCENT, etc.) Surgeon: Conditions which prevent the wear of personal protective equipment, including protective mask, ballistic helmet, body armor, and chemical/biological protective garments; conditions which prohibit required theater immunizations or medications; conditions or current medical treatment or medications that contraindicate or preclude the use of chemical and biological protective’s and antidotes; diabetes mellitus, Type I or II, on pharmacological therapy; symptomatic coronary artery disease, or with myocardial infarction within one year prior to deployment, or within six months of coronary artery bypass graft, coronary artery angioplasty, or stenting; morbid obesity (BMI >/= 40%); dysrhythmias or arrhythmias, either symptomatic or requiring medical or electrophysiological control; uncontrolled hypertension, current heart failure, or automatic implantable defibrillator; therapeutic anticoagulation; malignancy, newly diagnosed or under current treatment, or recently diagnosed/treated and requiring frequent subspecialist surveillance, examination, and/or laboratory testing; dental or oral conditions requiring or likely to require urgent dental care within six months’ time, active orthodontic care, conditions requiring prosthodontic care, conditions with immediate restorative dentistry needs, conditions with a current requirement for oral-maxillofacial surgery; new onset (< 1 year) seizure disorder, or seizure within one year prior to deployment; history of heat stroke; Meniere’s Disease or other vertiginous/motion sickness disorder, unless well controlled on medications available in theater; recurrent syncope, ataxias, new diagnosis (< 1 year) of mood disorder, thought disorder, anxiety, somatoform, or dissociative disorder, or personality disorder with mood or thought manifestations; unrepaired hernia; tracheostomy or aphonia; renalithiasis, current; active tuberculosis; pregnancy; unclosed surgical defect, such as external fixeter placement; requirement for medical devices using AC power; HIV antibody positivity; psychotic and bipolar disorders. (Reference: Mod 10 to USCENTCOM Individual Protection and Individual/Unit Deployment Policy, Tab A: Amplification of the Minimal Standards of Fitness for Deployment to the CENTCOM AOR). (c) In accordance with military directives (DoDI 3020.41, DoDI 6000.11, CFC FRAGO 09-1038, DoD PGI 225.74), resuscitative care, stabilization, hospitalization at Level III (emergency) military treatment facilities and assistance with patient movement in emergencies where loss of life, limb or eyesight could occur will be provided. Hospitalization will be limited to emergency stabilization and short-term medical treatment with an emphasis on return to duty or placement in the patient movement system. Subject to availability at the time of need, a medical treatment facility may provide reimbursable treatment for emergency medical or dental care such as broken bones, lacerations, broken teeth or lost fillings. (d) Routine and primary medical care is not authorized. Pharmaceutical services are not authorized for routine or known, routine prescription drug needs of the individual. Routine dental care, examinations and cleanings are not authorized. (e) Notwithstanding any other provision of the contract, the contractor shall be liable for any and all medically-related services or transportation rendered. To view reimbursement rates that will be charged for services at all DoD deployed medical facilities please got to the following website: http://comptroller.defense.gov/rates/fy2010.html (change fiscal year as applicable).

http://comptroller.defense.gov/rates/fy2010.html�


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952.225-0004 – COMPLIANCE WITH LAWS AND REGULATIONS

C3 CLAUSE 952.225-0004 COMPLIANCE WITH LAWS AND REGULATIONS

(JUL 2010) (a) The Contractor shall comply with, and shall ensure that its employees and its subcontractors and their employees, at all tiers, are aware of and obey all U.S. and Host Nation laws, Federal or DoD regulations, and Central Command orders and directives applicable to personnel in Iraq and Afghanistan, including but not limited to USCENTCOM, Multi-National Force and Multi-National Corps operations and fragmentary orders, instructions, policies and directives. (b) Contractor employees shall particularly note all laws, regulations, policies, and orders restricting authority to carry firearms, rules for the use of force, and prohibiting sexual or aggravated assault. Contractor employees are subject to General Orders Number 1, as modified from time to time, including without limitation, their prohibition on privately owned firearms, alcohol, drugs, war souvenirs, pornography and photographing detainees, human casualties or military security measures. (c) Contractor employees may be ordered removed from secure military installations or the theater of operations by order of the senior military commander of the battle space for acts that disrupt good order and discipline or violate applicable laws, regulations, orders, instructions, policies, or directives. Contractors shall immediately comply with any such order to remove its contractor employee. (d) Contractor employees performing in the USCENTCOM Area of Responsibility (AOR) may be subject to the jurisdiction of overlapping criminal codes, including, but not limited to, the Military Extraterritorial Jurisdiction Act (18 U.S.C. Sec. 3261, et al) (MEJA), the Uniform Code of Military Justice (10 U.S.C. Sec. 801, et al)(UCMJ), and the laws of the Host Nation. Non-US citizens may also be subject to the laws of their home country while performing in the USCENTCOM AOR. Contractor employee status in these overlapping criminal jurisdictions may be modified from time to time by the United States, the Host Nation, or by applicable status of forces agreements. (e) Under MEJA, a person who engages in felony misconduct outside the United States while employed by or accompanying the Armed Forces is subject to arrest, removal and prosecution in United States federal courts. Under the UCMJ, a person serving with or accompanying the Armed Forces in the field during a declared war or contingency operation may be disciplined for a criminal offense, including by referral of charges to a General Court Martial. Contractor employees may be ordered into confinement or placed under conditions that restrict movement within the AOR or administratively attached to a military command pending resolution of a criminal investigation. (f) Contractors shall immediately notify military law enforcement and the Contracting Officer if they suspect an employee has committed an offense. Contractors shall take any and all reasonable and necessary measures to secure the presence of an employee suspected of a serious felony offense. Contractors shall not knowingly facilitate the departure of an employee suspected of a serious felony offense or violating the Rules for the Use of Force to depart Iraq or Afghanistan without approval from the senior U.S. commander in the country.



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952.225-0005 – MONTHLY CONTRACTOR CENSUS REPORTING

C3 CLAUSE 952.225-0005 MONTHLY CONTRACTOR CENSUS REPORTING

(JUL 2010) Contractor shall provide monthly employee census information to the Contracting Officer, by province, for this contract. Information shall be submitted either electronically or by hard-copy. Information shall be current as of the 25th day of each month and received by the Contracting Officer no later than the first day of the following month. The following information shall be provided for each province in which work was performed: (1) The total number (prime and subcontractors at all tiers) employees. (2) The total number (prime and subcontractors at all tiers) of U.S. citizens. (3) The total number (prime and subcontractors at all tiers) of local nationals (LN). (4) The total number (prime and subcontractors at all tiers) of third-country nationals (TCN). (5) Name of province in which the work was performed. (6) The names of all company employees who enter and update employee data in the Synchronized Pre-deployment & Operational Tracker (SPOT) IAW DFARS 252.225-7040 or DFARS DOD class deviation 2007-O0010.

b. (Return to Clause Matrix)


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952.225-0006 – CONTRACT DELIVERY REQUIREMENTS

C3 CLAUSE 952.225-0006 CONTRACT DELIVERY REQUIREMENTS

(JUL 2010) (a) REQUIRED DELIVERY DATE: (b) CONTRACTOR DELIVERY LOCATION: (c) POINT-OF-CONTACT RESPONSIBLE FOR INSPECTION & ACCEPTANCE: Name: Phone No.: email: (d) FINAL DELIVERY DESTINATION: (e) POINT-OF-CONTACT AT FINAL DESTINATION: Name: Phone No.: email: (f) REQUIRING ACTIVITY:



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952.225-0007 – MANDATORY SHIPPING INSTRUCTIONS

C3 CLAUSE 952.225-0007 MANDATORY SHIPPING INSTRUCTIONS (IRAQ)

(JUL 2010) (a) United States Forces Iraq, Deputy Commanding General Advisory and Training (USF-I DCG A&T), is required to track supplies and materiel shipped into Iraq. Prompt notification of shipment movements and compliance with information requirements will assist in providing advance notice to the point of entry for all inbound shipments. (b) The “Customs Levy Exemption Form” will be reviewed by a Government of Iraq Representative. If the shipment qualifies for a levy exemption, the “Customs Levy Exemption Form” will be stamped and emailed back to the contractor. The stamped form must accompany every shipment for which a levy exemption is desired. (c) Upon contract award, the contractor/consignor shall provide the necessary logistical information required by USF-I DCG A&T /J4. STEP 1: -- Upon contract award go to the following JCCS website: -- https://www.rebuilding-iraq.net/ STEP 2: -- Select the “Logistics” and then the “Customs” radio buttons. -- Select and complete the “Customs Levy Waiver Form”. STEP 3: -- Email the (1) completed “Customs Levy Exemption Form”, (2) a copy of the front page of the signed contract; and (3) the pages from the contract that describe the required supplies, equipment or end product to USF-I DCG A&T /J4 (Logistics) at [email protected] and Customs Officials at [email protected], DSN: 318-485-2594/6224 Commercial: 713-970-6140 (Rings in Iraq) within 7 days of shipping. -- The “Customs Levy Exemption Form” will be reviewed by a Government of Iraq representative. If the shipment qualifies for a levy exemption, the “Customs Levy Exemption Form” will be stamped and emailed back to the contractor. The stamped form, airway bill/bill of lading, and manifests/packing documents must accompany every shipment for which a levy exemption is desired. All of these documents must list USF-I as the consignee/end user and the releasing agent as “GLOBAL FREIGHT SYSTEM.” -- Complete a Form DD-250 form, Material Inspection and Receiving Report, and provide it and the invoice for the shipment with the cargo. -- Commercial Air Shipments require (1) airway bills and (2) the “Customs Levy Exemption” form to be emailed to the USF-I J4 org box at [email protected]. Ensure that all shipping labels have USF-I and ATTN: GLOBAL FREIGHT SYSTEM. (d) It is the contractor’s responsibility to provide all the requested information in sufficient time to allow coordination of required delivery. Failure to comply with these instructions may result in delaying the arrival of supplies and materiel at their final destinations. (e) Once material is shipped, the Contractor shall notify USF-I J4, within two business days, at email address: [email protected].


https://www.rebuilding-iraq.net/�

https://www.rebuilding-iraq.net/�






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952.225-0008 – SHIPPING INSTRUCTIONS FOR WEAPONS

C3 CLAUSE 952.225-0008 SHIPPING INSTRUCTION FOR WEAPONS

(JUL 2010) (a) All weapons shall be shipped with a complete serial number manifest that is included with the shipping documents (inventory, bill of lading, etc.). (b) All individual boxes or crates shall be numbered and correspond to a list annotated on the serial number manifest. (c) Each individual box or crate shall have a packing list both inside and outside the box. That packing list shall contain a list of the contents and the serial numbers for the weapons in that box or crate. (d) The contract number shall be listed on all serial number manifests and packing lists. All serial numbers shall be unique and non-recurring in any previous or future shipments. Shipments received with recurring serial numbers will not be accepted by the U.S. Government, and the contractor will be required to return the shipment at his own expense and replace with new weapons having non-recurring serial numbers.



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952.225-0009 – MEDICAL SCREENING AND VACCINATION REQUIREMENTS FOR THIRD COUNTRY NATIONALS OR LOCALLY HIRED EMPLOYEES OPERATING IN THE CENTCOM AREA OF RESPONSIBILITY (AOR)

C3 CLAUSE 952.225-0009 MEDICAL SCREENING AND VACCINATION REQUIREMENTS

FOR THIRD COUNTRY NATIONALS OR LOCALLY HIRED EMPLOYEES OPERATING IN THE CENTCOM AREA OF RESPONSIBILITY (AOR)

(NOV 2010) (a) Contractors and subcontractors at any tier shall ensure and provide satisfactory evidence that all locally hired employees, including Local National (LN), Third Country National (TCN), and U.S. employees, working on bases have been screened for and do not currently have active tuberculosis (TB). (1) Contractors may initially utilize a testing method of either a chest x-ray or TB skin test (TST), depending on the originating country of a contracted employee. (i) Chest x-rays (CXR's), symptom survey, and Body Mass Index (BMI) shall be taken, and TSTs administered within 12 months prior to the start of deployment/employment. Contractors are required to bring in a physical copy of the pre-employment CXR film as it is the only way to verify interval changes should an active case of TB occur. (A) Third Country Nationals (TCNs) and Local Nationals (LNs) cannot be screened with the TST. They need the pre-employment screening with a quality CXR, BMI and symptom survey. (B) Small-Risk Nationals (SRNs), those with less than 25 TB cases per 100,000 persons annually (mostly expats from Europe and US), can be screened via the TST. (ii) Annual re-screening for TCNs, and LNs will be performed with a CXR conducted by the Contractor’s medical provider or local economy provider who will look for interval changes from prior CXR’s and review any changes in the symptom survey. (iii) SRN’s do not require annual TB re-screening. However, for a TB contact investigation, a TST or Interferon Gamma Release Assay (IGRA) is required. (iv) For a contact investigation, all personnel with a positive TST or IGRA will be evaluated for potential active TB with a symptom screen, exposure history, BMI, and CXR. All cases of suspected or confirmed active TB must be reported to the theater Preventive Medicine (PM) physician and/or TB Consultant as soon as possible. TB reporting is required within 24 hours to the PM POC. Contact tracing, and medical coding have specific requirements. All Small-Risk National (SRN) contract personnel are required to be MEDEVAC’d out of theater, at the contractor’s expense, for treatment of active TB, after consultation with the Theater PM or TB Consultant. For SRN personnel, the contractor is responsible for management and compliance with all prescribed public health actions. (v) Screening may be performed either by a licensed medical provider from the local economy or by the contractors’ licensed medical staffs. Contractors shall maintain medical screening documentation and make it available to the Contracting Officer upon request. (2) TB screening and documentation is a requirement prior to receiving badges to work in the CENTCOM Area of Operations. A copy of the TB screening documentation shall be provided to the responsible Base Operations Center prior to issuance of base access badges. (b) Contractor employees, including subcontractors at any tier, who work in food service positions and/or water and ice production facilities, shall have current Typhoid and Hepatitis “A” (full series) immunizations in accordance with the Centers for Disease Control and Prevention guidelines (e.g. typhoid


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vaccination booster is required every 2 years), in addition to the required TB tests. The contractor medical provider must complete a pre-placement examination to include a stool sample test for ova and parasites, and annual medical screening form or equivalent for food service, ice and water production workers. (c) Proof of individual employee vaccinations shall be provided to the Contracting Officer and COR showing that their employees and their subcontractor employees at any tier have received the above vaccinations. The contractor shall maintain their employees’ vaccination records for examination by the Contracting Officer. The contractor shall ensure that their subcontractors at any tier maintain their respective employees’ vaccination records for examination by the Contracting Officer. (d) The contractor is responsible for management and compliance with all prescribed public health actions regarding TB in the contracted personnel. The contractor also bears the responsibility of ensuring that adequate health management for TB (screening/diagnosis/treatment/isolation) is available at the contractor’s chosen health care provider for their contracted and subcontracted personnel. NOTE: Contractors are reminded of the requirement to comply with their contract and all regulatory guidance (DoD Instructions/Regulations, Federal Acquisition Regulation/Defense Federal Acquisition Regulation Supplement, and FRAGO’s) as applicable regarding Medical Screening and Vaccination Requirements.



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952.225-0011 – GOVERNMENT FURNISHED CONTRACTOR SUPPORT

C3 CLAUSE 952.225-0011 GOVERNMENT FURNISHED CONTRACTOR SUPPORT

(JUL 2010) The following is a summary of the type of support the Government will provide the contractor, on an “as-available” basis. In the event of any discrepancy between this summary and the description of services in the Statement of Work, this clause will take precedence.

U.S. Citizens Accompanying the Force

APO/FPO/MPO/Postal Services DFACs Mil Issue Equip Authorized Weapon Excess Baggage MILAIR Billeting Fuel Authorized MWR CAAF Govt Furnished Meals Resuscitative Care Controlled Access Card (CAC)/ID Card Military Banking Transportation Commissary Military Clothing All Dependents Authorized Military Exchange None

Third-Country National (TCN) Employees


Local National (LN) Employees




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952.225-0012 – NOTICE OF LIMITED COMPETITION

C3 PROVISION 952.225-0012 NOTICE OF LIMITED COMPETITION

(JUL 2010) (a) This procurement is restricted to a particular source or sources from Iraq or Afghanistan in accordance with Defense Federal Acquisition Regulation Supplement (DFARS) 225.7703-1(a)(3). (b) “Source from Iraq or Afghanistan” is defined by DFARS 225.7701 as a “source that (1) is located in Iraq or Afghanistan; and (2) offers products or services from Iraq or Afghanistan”. 952.225-0013 – CONTRACTOR HEALTH AND SAFETY

C3 CLAUSE 952.225-0013 CONTRACTOR HEALTH AND SAFETY

(NOV 2010) (a) Contractors shall comply with all National Electrical Code (NEC 2008), Specifications as outlined, and MIL Standards and Regulations. All infrastructure to include, but not limited to, living quarters, showers, and restrooms shall be installed and maintained in compliance with these standards and must be properly supported and staffed to ensure perpetual Code compliance, prevent hazards and to quickly correct any hazards to maximize safety of those who use or work at the infrastructure. The government has the authority to enter and inspect contractor employee living quarters at any time to ensure the prime contractor is complying with safety compliance standards outlined in the 2008 National Electric Code (NEC). (b) The contractor shall correct all deficiencies within a reasonable amount of time of contractor becoming aware of the deficiency either by notice from the government or a third party, or discovery by the contractor. Further guidance on mandatory compliance with NFPA 70: NEC 2008 can be found on the following link http://www.nfpa.org.



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952.225-0014 – NOTIFICATION OF SUBCONTRACTING REQUIREMENTS

C3 PROVISION 952.225-0014 NOTIFICATION OF SUBCONTRACTING REQUIREMENTS

(JUL 2010) (a) Performance of work by a host nation contractor when utilizing a subcontractor. The offeror shall provide, with its proposal, the following for each subcontractor: (i) The total proposed amount of the work (in terms of proposed price/cost) to be performed by the offeror; (ii) Name and address of the subcontractor; (iii) A copy of Iraqi/Afghan business license; (iv) The banking information for each subcontractor to include but not limited to the bank name, routing identifier, account number and name(s) on account(s); (v) The information on the subcontractors’s key personnel (to include full name, address, nationality, passport # - as applicable, date of birth); and (vi) The total proposed amount of work (in terms of proposed price/cost) to be performed by the subcontractor under the contract, task order, or delivery order, or other contract mechanism. (b) If the offeror intends to subcontract work to be performed under the contract, task order, delivery order, or other contract mechanism, the offeror shall identify in its proposal a description of the added value provided by the offeror as related to the work to be performed by the subcontractor (s). (c) If any subcontractor proposed under the contract, task order, delivery order, or other contract mechanism, intends to subcontract to a lower-tier subcontractor for work to be performed under its subcontract, the offeror shall identify in its proposal: (i) The amount of the subcontractor’s costs applicable to the work to be performed by the lower-tier subcontractor(s); and (ii) A description of the added value provided by the subcontractor as related to the work to be performed by the lower-tier subcontractor(s). (d) If any contractor and its subcontractors at all tiers require arming or private security under this contract they shall agree to obey all respective laws, regulations, orders, and directives applicable to the use of private security personnel in Iraq and Afghanistan, including U.S. CENTCOM, United States Forces – Iraq (USF-I) and United States Forces – Afghanistan (USFOR-A) Commander orders, instructions and directives. Contractors will ensure that all employees, including employees at any tier of subcontracting relationships, armed under the provisions of this contract, comply with the contents of clause 952.225-0001, Arming Requirements and Procedures for Personal Security Services Contractors and for Requests for Personal Protection.



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952.225-0015 – SUBCONTRACTING REQUIREMENTS

C3 CLAUSE 952.225-0015 SUBCONTRACTING REQUIREMENTS

(JUL 2010) (a) Performance of work by a host nation contractor when utilizing a subcontractor. All subcontract agreements with host nation firms entered into after contract award must be approved in advance by the Contracting Officer. The contractor shall provide the information identified below to the Contracting Officer with any request for subcontract agreement approval. (1) The contractor shall provide the following in its request for each subcontractor: (i) The total proposed amount of the work (in terms of proposed price/cost) to be performed by the offeror; (ii) Name and address of the subcontractor; (iii) A copy of Iraqi/Afghan business license; (iv) The banking information for each subcontractor to include but not limited to the bank name, routing identifier, account number and name(s) on account(s); (v) The information on the subcontractors’s key personnel (to include full name, address, nationality, passport # - as applicable, and date of birth); (vi) The total proposed amount of work (in terms of proposed price/cost) to be performed by the subcontractor under the contract, task order, or delivery order, or other contract mechanism. (vii) Description of the added value provided to the contractor as related to the work to be performed by the subcontractor (2) If an approved subcontractor, under the awarded contract, task order, delivery order, or other contract mechanism, intends to subcontract to a lower-tier subcontractor for work to be performed under its subcontract, the contractor shall provide the following to the Contracting Officer identified in its proposal: (i) The amount of the subcontractor’s price/costs applicable to the work to be performed by the lower-tier subcontractor; and (ii) A description of the added value provided by the subcontractor as related to the work to be performed by the lower-tier subcontractor. (b) Payrolls and basic records. The contractor and its subcontractors shall maintain payrolls and basic payroll records for all personnel working on the contract during the performance and shall make them available to the government until 3 years after contract completion. The records shall contain the name of each employee, labor classifications, hourly rates of wages paid, daily and weekly number of hours worked, deductions made, and actual wages paid. (c) Lower-tier Subcontracts. Lower-tier Subcontracts. The contractor shall insert the provisions set forth in paragraphs (a) and (b) of this clause in subcontracts that may require or involve the employment of laborers and mechanics and require subcontractors to include these provisions in any such lower-tier subcontracts. The contractor shall be responsible for compliance by any subcontractor or lower-tier subcontractor with the provisions set forth in paragraphs (a) and (b) of this clause. (d) Private Security. If any contractor and its subcontractors at all tiers require arming or private security under this contract they shall agree to obey all laws, regulations, orders, and directives applicable to the use of private security personnel in Iraq and Afghanistan, including U.S. CENTCOM, United States Forces – Iraq (USF-I) and United States Forces – Afghanistan (USFOR-A) Commander orders, instructions and directives. Contractors will ensure that all employees, including employees at any tier of subcontracting relationships, armed under the provisions of this contract, comply with the contents of clause 952.225-0001, Arming Requirements and Procedures for Personal Security Services Contractors and for Requests for Personal Protection.



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952.225-0016 – CONTRACTOR DEMOBILIZATION

C3 CLAUSE 952.225-0016 CONTRACTOR DEMOBILIZATION

(NOV 2010) (a) Full demobilization of contractors and subcontractor(s) in the Iraq/Afghanistan Combined/Joint Operations Area (CJOA) is critical to Responsible Drawdown. The prime contractor is required to submit a demobilization plan to the Contracting Officer a minimum of 30 days prior to the end of the contract performance period or when requested by the Contracting Officer. The demobilization plan shall address, as a minimum, the following procedures detailed below. The procedures outline specific guidance to ensure a timely and responsible exit from theater. Prime contractors are responsible and accountable to ensure their subcontractor(s) at all tiers comply with responsible and timely exit from theater immediately following contract performance completion or termination. (1) Exit from Iraq: The prime contractor shall follow the exit guidance issued by the United States (U.S.) Embassy Baghdad and shall ensure subcontractor(s) at all tiers also follow the exit procedures. The prime contractor is responsible to remain cognizant of Iraqi laws regarding exit from Iraq. Currently, all foreigners traveling out of Iraqi airports via commercial air transportation must have exit visas. Department of Defense, U.S. Forces-Iraq, Letters of Authorization (LOAs), and/or Embassy Badges are no longer the accepted means of exiting Iraq. All U.S. citizens and foreign national contractors must obtain an Iraqi exit sticker before departing the country. The exit sticker may be obtained from selected police stations or Ministry of Interior (MOI) offices. It is the prime contractor’s responsibility to ensure that the most recent exit procedures are followed and to ensure that subcontractor(s) at all tiers are in compliance with exit procedures. Assistance for this procedure may be obtained by e-mailing [email protected] or phone 240-553-0581, ext 2782 or ext 2092. (2) Letter of Authorization (LOA): The prime contractor is responsible for demobilizing its workforce, including subcontractor employees at all tiers, and all contractor owned and subcontractor owned equipment out of theater as part of the prime contractor’s exit strategy. This exit strategy must include reasonable timeframes starting with the end of the contract performance period and not exceeding 30 days. The Contracting Officer has the authority to extend selected LOAs up to, but not exceeding 30 calendar days after the contract completion date to allow the prime contractor to complete demobilization of its workforce and contractor owned equipment, as well as subcontractor(s) workforce and owned equipment, out of the Iraq/Afghanistan CJOA. The prime contractor shall notify the Contracting Officer a minimum of 30 days prior to the end of the contract period to request up to a 30-day extension of selected LOAs beyond the contract completion date to complete demobilization. The request shall include at a minimum: (i) the name of each individual requiring a new LOA; (ii) the number of days for the LOA (no more than 30 calendar days); and (iii) justification for the request (e.g., what function the individual(s) will be performing during the demobilization period). The Contracting Officer may request additional information for an LOA extension. Any LOA extension granted beyond the contract completion date shall not exceed 30 days and the contractor is not entitled to additional compensation for this period. If approved by the contracting officer, this is a no cost extension of an employee’s LOA due to demobilization and in no way is an extension of the contract performance period. (3) Badging: The prime contractor is responsible to ensure all employee badges, including subcontractor employees at all tiers, are returned to the local Access Control Badging Office for de-activation and destruction. The prime contractor shall submit a Badge Termination Report to ensure each record is flagged and the badge is revoked. If a prime and/or subcontractor employee’s badge is not returned, the prime contractor shall submit a Lost, Stolen or Unrecovered Badge Report to the appropriate Access Control Badging Office. Contractor employees in possession of a Common Access Card (CAC) shall be



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responsible for turning in the CAC upon re-deployment through a CONUS Replacement Center in the U.S. Failure to return employee badges in a timely manner may result in delay of final payment. (4) Contractor Controlled Facility Space: If the prime contractor has entered into a Memorandum of Understanding with the Installation Mayor or Garrison for site space, buildings, facilities, and/or Containerized Housing Units (CHU) to house prime and/or subcontractor employees (at all tiers), the prime contractor is responsible to notify the Installation Mayor or Garrison Commander of intent to vacate at least 90 calendar days prior to the end of the contract performance period. All United States Government (USG) provided property in the prime contractor’s possession must be returned to the USG in satisfactory condition. The prime contractor is responsible and liable for any and all damages to USG property caused by prime and/or subcontractor employees, and shall be further liable for all cleanup, clearing, and/or environmental remediation expenses incurred by the USG in returning prime contractor and/or subcontractor facilities including surrounding site to a satisfactory condition, including expenses incurred in physically moving property, trash, and refuse from such premises, removing/ remediating hazardous wastes on the premises, and repairing structures, buildings, and facilities used by the prime contractor and/or subcontractor. The prime contractor shall provide notification to the Installation Mayor or Garrison Commander to perform an inspection of all facilities as soon as practicable, but no more than 30 days, after the end of the contract period. If damages are discovered, the prime contractor shall make the necessary repairs. The prime contractor shall notify the Installation Mayor or Garrison Commander for re-inspection of the facilities upon completion of the repairs. If the Installation Mayor or Garrison Commander inspects the property, site space, buildings, facilities, and/or CHUs and finds they have not been properly cleaned, cleared, and/or environmentally remediated, or if the prime contractor fails to repair any damages within 30 calendar days after the end of the contract performance period, the final contract payment shall be reduced by the amount of the specified damages/repairs or the expenses incurred by the USG to properly clean, clear, and/or environmentally remediate the premises. (5) Government Furnished Equipment/Materials: The prime contractor is responsible to return all USG furnished equipment, as defined in Federal Acquisition Regulation (FAR) Part 45, clauses 52.245-1, 52.245-2, and 52.245-5, if included in the contract. Prime contractors who are not in compliance with the FAR, Defense Federal Acquisition Regulation Supplement, Department of Defense Directives and Instructions, United States Forces-Iraq (USF-I) FRAGOs, United States Forces-Afghanistan (USFOR-A) FRAGOs, policies, or procedures will be responsible and liable for damages to the government property. The prime contractor may apply for a “relief of responsibility” from the Contracting Officer anytime during the contract performance period. A joint inventory shall be conducted of the equipment by the prime contractor, USG representative, and the Contracting Officer or their representative, within 10 calendar days after the end of the contract performance period. The prime contractor shall report lost, damaged or destroyed property immediately to the Contracting Officer, but no later than the joint inventory at the end of the contract period. If the prime contractor fails to report lost, damaged or destroyed equipment or materials during the contract performance period, the prime contractor shall be responsible for the replacement and/or repair of the equipment or materials. The replaced equipment shall be new, of the same quality, and shall perform at the same functional level as the missing piece of equipment. If the prime contractor fails to repair and/or replace damaged or missing equipment, the final payment shall be reduced by the appropriate amount of the specified damages or cost to replace missing equipment with new. (6) Synchronized Predeployment Operational Tracker (SPOT): The prime contractor is responsible to close out the deployment of personnel, including subcontractor employees at all tiers, at the end of the contract completion period and to release the personnel from the prime contractor’s company in the SPOT database. The release of employee information must be accomplished no more than 30 calendar days after the end of the contract completion date. (7) Accountability of Prime and Subcontractor Personnel: Whether specifically written into the contract or not, it is the expectation of the USG that for any persons brought into the Iraq/Afghanistan CJOA for the sole purposes of performing work on USG contracts, contract employers will return employees to their point of origin/home country once the contract is completed or their employment is terminated for any reason. If the prime contractor fails to re-deploy an employee, or subcontractor employee at any tier, the USG shall notify the applicable U.S. Embassy to take appropriate action. Failure by the prime contractor to


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re-deploy its personnel, including subcontractor personnel at any tier, at the end of the contract completion date, could result in the contractor being placed on the Excluded Parties List System (EPLS) and not be allowed to propose on future U.S. contracts anywhere in the world. (b) CENTCOM Contracting Command (C3) and external agencies will utilize all available contracting remedies to guarantee compliance with demobilization requirements. Such actions include, but are not limited to withholding payment, issuing a cure notice, issuing a negative Contractor Performance Assessment Reporting System (CPARS) evaluation, reduction of award fee, debarment, reimbursement of U.S. Government expenses, and/or any other legal remedy available to a contracting officer. The USG reserves the right to withhold payment from the prime contractor not in compliance with the above procedures included herein. Additionally, the Contracting Officer shall document all unresolved contractor compliance issues in CPARS, which shall have an adverse past performance affect on future contracts with the USG, anywhere in the world.



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952.228-0001 – WORKERS COMPENSATION INSURANCE (DEFENSE BASE ACT)

C3 CLAUSE 952.228-0001 WORKERS COMPENSATION INSURANCE (DEFENSE BASE ACT)

(NOV 2010) (a) This C3 clause supplements FAR Clause 52.228-3 Workers’ Compensation Insurance (Defense Base Act). (b) The contractor shall procure Defense Base Act (DBA) insurance pursuant to the terms of the contract between the U.S. Army Corps of Engineers (USACE) and CNA Insurance unless the contractor has a DBA self-insurance program approved by the Department of Labor. Proof of this self-insurance shall be provided to the Contracting Officer. The contractor shall submit proof of a valid DBA Insurance policy with CNA Insurance for the Prime and their Subcontractors at every tier prior to performance of the contract. The current rates under the USACE and C3 (formerly JCC-I/A) contract are as follows: Services $4.00 per $100 of employee remuneration Construction $6.00 per $100 of employee remuneration Aviation $17.00 per $100 of employee remuneration Security $10.00 per $100 of employee remuneration NOTE: More than one rate may be applicable as more than one type of labor may be utilized for a particular contract. (c) The contractor shall insert a Special Contract Requirement substantially the same as this one in all subcontracts (at every tier) to which DBA is applicable. (d) Should the rates for DBA insurance coverage increase or decrease during the performance of this contract, the contract shall be modified accordingly. However, the revised rates will not be applicable until the Contractor’s or Subcontractor’s DBA Insurance policy is due to be renewed. (e) Premiums will be reimbursed only if coverage is purchased through the USACE mandatory requirements DBA contract administered by CNA Insurance and their managing broker, Rutherfoord International. (f) Claims Reporting – The Contractor shall make timely Defense Base Act insurance claims on behalf of each employee who is injured or killed in the course of their employment under this contract, and shall ensure that similar language is in each Subcontractor’s contract. The Contractor shall provide monthly reports to the Contracting Officer, providing the names of each such injured or deceased employee, the circumstances surrounding each injury or death, the dates of each injury or death, the date the insurance claim was made on behalf of each employee and the current status of each claim. (g) Failure to obtain Defense Base Act (DBA) insurance in accordance with FAR Clause 52.228-3 Workers’ Compensation Insurance (Defense Base Act) and the above requirements, for the prime and all subcontractors at every tier, shall be considered a material breach and could cause this contract to be terminated for default/cause.



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952.228-0002 – DEFENSE BASE ACT INSURANCE RATES – LIMITATION – FIXED-PRICE CONTRACTS

C3 PROVISION 952.228-0002 DEFENSE BASE ACT INSURANCE RATES – LIMITATION – FIXED-PRICE CONTRACTS

(NOV 2010) (a) The U. S. Army Corps of Engineers (USACE) has entered into a contract with CNA Insurance to provide all Defense Base Act (DBA) insurance to USACE and C3 contractors and subcontractors at a contracted fixed rate. Compute total compensation or total payroll, (salary, plus overseas recruitment incentive and post differential, but excludes per diem, housing allowance, travel expenses, temporary quarters allowance, education allowance and other miscellaneous post allowances) to be paid to employees who will be covered by DBA insurance. The fixed rates for this insurance are as follows: Service $4.00 per $100 of employee remuneration Construction $6.00 per $100 of employee remuneration Aviation $17.00 per $100 of employee remuneration Security $10.00 per $100 of employee remuneration (b) Compute the cost of DBA insurance by utilizing the spaces provided below for the base period and whatever extension there may be thereafter, if applicable. 1. Compensation of Covered Employees:____________________ (Total Payroll Not total Contract Value) Ex: if total payroll is $100K 2. Applicable DBA rate:_________________________ (Use appropriate Rate) Ex: If a service, the rate is $4.00/$100 or 4% 3. Total DBA COST:_________________________ (Amount of DBA Premium) Ex: $100K multiplied by 4% is $4K (c) Bidders/Offerors shall include a statement as to whether or not local nationals or third country nationals will be employed on the resultant contract. (d) Use of the coverage under the USACE contract with CNA is mandatory. CNA Insurance is utilizing Rutherfoord International as their managing broker. The point of contact (POC) is Sara Payne, US Phone: 001-703-813-6503; e-mail: [email protected].




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952.228-0003 – DEFENSE BASE ACT INSURANCE RATES – LIMITATION – COST-REIMBURSEMENT, LABOR-HOUR, AND TIME-AND- MATERIALS CONTRACTS

C3 PROVISION 952.228-0003 DEFENSE BASE ACT INSURANCE RATES – LIMITATION – COST-REIMBURSEMENT,

LABOR-HOUR, AND TIME-AND-MATERIALS CONTRACTS (NOV 2010)

(a) The U. S. Army Corps of Engineers (USACE) has entered into a contract with CNA Insurance to provide all Defense Base Act (DBA) insurance to USACE and C3 contractors and subcontractors at a contracted fixed rate. Compute total compensation or total payroll, (salary, plus overseas recruitment incentive and post differential, but excludes per diem, housing allowance, travel expenses, temporary quarters allowance, education allowance and other miscellaneous post allowances) to be paid to employees who will be covered by DBA insurance. In preparing its cost proposal, the offeror shall use the following fixed rates in computing the cost for DBA insurance: Service $4.00 per $100 of employee remuneration Construction $6.00 per $100 of employee remuneration Aviation $17.00 per $100 of employee remuneration Security $10.00 per $100 of employee remuneration (b) Bidders/Offerors shall include a statement as to whether or not local nationals or third country nationals will be employed on the resultant contract. (c) Should an offeror compute or include a higher DBA insurance rate, the rate shall be disallowed. (d) Use of the coverage under the USACE contract with CNA is mandatory. CNA Insurance is utilizing Rutherfoord International as their managing broker. The point of contact (POC) is Sara Payne, US Phone: 001-703-813-6503; e-mail: [email protected].




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952.228-0004 – GOVERNMENT LIABILITY FOR NON-TACTICAL VEHICLES

C3 CLAUSE 952.228-0004 GOVERNMENT LIABILITY FOR NON-TACTICAL VEHICLES

(JUL 2010) (a) The United States Government is self-insured and provides full insurance coverage for all vehicles in its possession. In addition to this coverage, the government carries full coverage liability, medical, and collision insurance with zero deductible to cover all medical and legal expenses to be paid for injuries or death settlement expenses. (b) The contractor may submit a claim to the contracting officer for any vehicles destroyed or damaged, while in the possession of the Government, due to criminal acts, natural acts (commonly called Acts of God), or hostile acts. The claim shall include a detailed proposal, documentation substantiating the claim, and an invoice for the replacement vehicle if required by the contracting officer. (c) The Government will compensate the contractor in an amount determined by the contracting officer. This amount will not exceed the actual cost of the vehicle, proven by invoice, less a deduction for actual use that shall be computed by multiplying the invoice value of the vehicle at the time of delivery by 3.0% for each month that the government has leased the vehicle, plus other ordinary and necessary costs agreed to by the parties. All documentation substantiating that the vehicle was destroyed or damaged will be provided to the contracting officer prior to authorizing the payment. (d) Lease payments for a destroyed vehicle will end at the time of destruction, and no further lease payments will be made on the vehicle unless the lessor can supply an equivalent vehicle to replace it within 24 hours of the destruction. The government, however, is not responsible for vehicles under the contractor's control at the time of damage or destruction. (e) Title of all leased vehicles furnished under this contract shall not pass to the Government upon acceptance, regardless of the time or the location the Government takes physical possession.



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952.232-0001 – NOTIFICATION OF PAYMENT IN LOCAL CURRENCY (IRAQ)

C3 PROVISION 952.232-0001 NOTIFICATION OF PAYMENT IN LOCAL CURRENCY (IRAQ)

(JUL 2010) (a) This contract/purchase will be awarded in Iraqi Dinar (local currency) if awarded to a host nation vendor. The contractor will receive payment in local currency via Electronic Funds Transfer to a local (Iraqi) banking institution. Contracts/purchase orders shall not be awarded to host nation vendors (Iraqi) who do not bank locally. If awarded to other than a host nation vendor, the contract will be awarded in US dollars. The currency exchange rate will be determined at the official exchange rate posted by the local DoD Finance office on the date of the payment in accordance with the Department of Defense Financial Management Regulation. (b) By exception, the following forms of payment are acceptable when EFT using ITS.gov is determined not available by the local finance office, in order of priority. (1) EFT using Limited Depository Account (LDA) (2) Check from the local finance office LDA (3) Local currency cash payments (must be approved in writing by the local finance office and contracting office prior to contract/purchase order award). Payments in cash are restricted to contracts/purchase orders when the vendor provides proof via a letter from the host nation banking institution that it is not EFT capable and validated by the local finance office that the vendor’s banking institution is not EFT capable. Cash payments will be made in Iraqi Dinar.



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952.232-0002 – NOTIFICATION OF PAYMENT IN LOCAL CURRENCY (AFGHANISTAN)

C3 952.232-0002 NOTIFICATION OF PAYMENT IN LOCAL CURRENCY (AFGHANISTAN)

(JUL 2010) (a) This contract will be awarded in Afghani (local currency) if awarded to a host nation vendor. The contractor will receive payment in local currency via Electronic Funds Transfer to a local (Afghan) banking institution. Contracts/purchase orders shall not be awarded to host nation vendors (Afghan) who do not bank locally. If awarded to other than a host nation vendor, the contract will be awarded in U.S. Dollars. The currency exchange rate will be determined at the official exchange rate posted by the local DoD Finance office on the date of the payment in accordance with the Department of Defense Financial Management Regulation. (b) By exception, the following forms of payment are acceptable when EFT using ITS.gov is determined not available by the local finance office, in order of priority. (1) EFT using Limited Depository Account (LDA) (2) Check from the local finance office LDA (3) Local currency cash payments (must be approved in writing by the local finance office and contracting office prior to contract/purchase order award). Payments in cash are restricted to contracts/purchase orders when the vendor provides proof via a letter from the host nation banking institution that it is not EFT capable and validated by the local finance office that the vendor’s banking institution is not EFT capable. Cash payments will be made in Afghani.



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952.232-0003 – PAYMENT IN LOCAL CURRENCY (IRAQ)

C3 952.232-0003 PAYMENT IN LOCAL CURRENCY (IRAQ)

(JUL 2010) (a) This contract/purchase order is awarded in Iraqi Dinar (local currency). The contractor will receive payment in local currency via Electronic Funds Transfer to a local (Iraqi) banking institution. The currency exchange rate will be determined at the official exchange rate posted by the local DoD Finance office on the date of the payment in accordance with the Department of Defense Financial Management Regulation. (b) By exception, the following forms of payment are acceptable when EFT using ITS.gov is determined not available by the local finance office, in order of priority. (1) EFT using Limited Depository Account (LDA) (2) Check from the local finance office LDA (3) Local currency cash payments (must be approved in writing by the local finance office and contracting office prior to contract/purchase order award). Payments in cash are restricted to contracts/purchase orders when the vendor provides proof via a letter from the host nation banking institution that it is not EFT capable and validated by the local finance office that the vendor’s banking institution is not EFT capable. Cash payments will be made in Iraqi Dinar.



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952.232-0004 – PAYMENT IN LOCAL CURRENCY (AFGHANISTAN)

C3 CLAUSE 952.232-0004 PAYMENT IN LOCAL CURRENCY (AFGHANISTAN)

(JUL 2010) (a) This contract is awarded in Afghani (local currency). The contractor will receive payment in local currency via Electronic Funds Transfer to a local (Afghan) banking institution. The currency exchange rate will be determined at the official exchange rate posted by the local DoD Finance office on the date of the payment in accordance with the Department of Defense Financial Management Regulation. (b) By exception, the following forms of payment are acceptable when EFT using ITS.gov is determined not available by the local finance office, in order of priority. (1) EFT using Limited Depository Account (LDA) (2) Check from the local finance office LDA (3) Local currency cash payments (must be approved in writing by the local finance office and contracting office prior to contract/purchase order award). Payments in cash are restricted to contracts/purchase orders when the vendor provides proof via a letter from the host nation banking institution that it is not EFT capable and validated by the local finance office that the vendor’s banking institution is not EFT capable. Cash payments will be made in Afghani.



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952.232-0005 – C3 WIDE AREA WORKFLOW INSTRUCTIONS

C3 CLAUSE 952.232-0005 C3 WIDE AREA WORKFLOW INSTRUCTIONS

(JUL 2010)

(a) To implement DFARS Clause 252.232-7003, "ELECTRONIC SUBMISSION OF PAYMENT REQUESTS," C3 uses Wide Area Workflow - Receipt and Acceptance (WAWF-RA) to electronically process contractor requests for payment. This application allows DOD contractors to submit and track invoices and receipt/acceptance documents electronically. (b) The contractor is required to use WAWF-RA when processing invoices and receiving reports under this procurement action. Submission of hard copy DD250/invoices will no longer be accepted for payment except as provided in paragraph 3 of this clause. (c) The Contractor may submit a payment request using other than WAWF-RA only when: (1) The Contracting Officer authorizes use of another electronic form. With such an authorization, the Contractor and the Contracting Officer shall agree to a plan, which shall include a timeline, specifying when the Contractor will transfer to WAWF-RA; (2) DoD is unable to receive a payment request in electronic form; or (3) The Contracting Officer administering the contract for payment has determined, in writing, that electronic submission would be unduly burdensome to the Contractor. In such cases, the Contractor shall include a copy of the Contracting Officer's determination with each request for payment. (d) INSTRUCTIONS: The contractor shall register to use WAWF at https://wawf.eb.mil . There is no charge to use WAWF. All questions relating to system setup and vendor training can be directed to the help desk in Ogden, UT. Their number is 1-866-618-5988. Web-based training for WAWF is also available at http://www.wawftraining.com/ . (e) DESCRIPTION OF WAWF-RA TYPES OF INVOICE/RECEIVING REPORTS: (1) Progress Payment (For use under contractually authorized Progress Payments) (2) Performance Based Payment (For use under contractually authorized Performance Based Payments) (3) "COMBO" Invoice/Receiving Report (For Supply CLINS including ammunition items and ammunition related items) (4) "2-in-1" (For Service CLINS only) (5) Cost Voucher (For use with Cost Reimbursement contracts, Time and Material or Labor Hour contracts containing FAR Clauses 52.216-7, "Allowable Cost and Payment" or 52.232-7, "Payments under Time-and-Materials and Labor-Hour Contracts") (f) CODES: THE FOLLOWING CODES ARE REQUIRED TO ROUTE CONTRACTOR INVOICES THROUGH WAWF: Contractor CAGE Code* ____________ Pay DoDAAC (Department of Defense Activity Address Code)*:

Issue DoDAAC*:

https://wawf.eb.mil/�

http://www.wawftraining.com/�


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Admin DoDAAC*:

Inspect by DoDAAC*:

Contracting Officer*

Ship to Code*: (Not Required for Services) *Required fields in WAWF. CAGE Code, Paying, Issuing, and Administering DoDAACs and the assigned Contracting Officer may be found on the face of the award document. When the contract administration is assigned to DCMA; the contractor should contact the assigned Administrative Contracting Officer to obtain the applicable "inspect by" DoDAAC. If contract administration is retained by the Issuing/Procuring Activity; the contractor should contact the assigned Procuring Contracting Officer to obtain the applicable "inspect by" DoDAAC. (g) When items are ready for shipment, the contractor shall prepare and include with each shipment, a receipt and accountability document describing the contents of the shipment. Its purpose is to ensure proper receipt and accountability is maintained for ammunition and ammunition related items. In accordance with DFARS 252.246-7000, contractor submission of the material inspection and receiving information required by Appendix F of the DFARS by using the Wide Area Work Flow (WAWF) electronic form fulfills the requirement for a material inspection and receiving report (DD Form 250). Two copies of the receiving report (paper copies of either the DD Form 250 or the WAWF report that reflect the exact contents of each conveyance) shall be distributed with each shipment, in accordance with Appendix F, Part 4, F-401, and Table 1 of the DFARS. In addition to including a copy of the receipt and accountability document with each shipment, the contractor shall send an electronic copy to the Contracting Officer within one day of shipment. (h) If the volume of the shipment precludes the use of a single car, truck, or other vehicle, a separate receipt and accountability document shall be prepared and included in the shipment. If the shipped to, marked for, shipped from, mode of shipment, contract quality assurance and acceptance data are the same for more than one shipment made on the same day under the contract, the contractor may prepare one document to cover all shipments; however, each document shall be annotated to reflect the partial of any item on a single vehicle, such as partial 1 of 3, 2 of 3, and 3 of 3 and the document accompanying each shipment shall identify the unique contents of each vehicle, i.e., lot, quantity per lot, etc. For proper receipt and accountability, the WAWF electronic document shall contain, at a minimum, the following information for each shipment: (i) The "Header Tab" of WAWF must identify the Prime contractor's name and CAGE Code. (j) Besides the financial requirements of "Unit Price", "Unit of Measure", "Qty. Shipped", the extended dollar "Amount", and the ACRN, the "Line Item" tab of WAWF must identify: Contract Number Delivery Order number (if applicable) Shipment Number Invoice Number Item Number (CLIN Number from contract) Stock Number (NSN) (k) In the "Description" field of the WAWF document, the MILSTRIP requisition document number and the ammunition LOT and serial number (if applicable) must be annotated for the quantities shipped related to this particular invoice. NOTE: If there are multiple LOT numbers or multiple MILSTRIP requisition document numbers, each LOT number and MILSTRIP requisition number must be identified separately.



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952.233-0001 – C3 AGENCY PROTEST PROGRAM

C3 PROVISION 952.233-0001 C3 AGENCY PROTEST PROGRAM

(NOV 2010) (a) This solicitation may be protested to the issuing Contracting Office for decision by the Contracting Officer or by the Chief of the Regional Contracting Center if authority has been withheld. If requested, an independent review of an Agency Protest decision is available through appeal to the Principal Assistant Responsible for Contracting (PARC)/Senior Contracting Official (SCO) in accordance with FAR 33.103. A protest to C3 is a “PROTEST TO THE AGENCY,” within the meaning of FAR 33.103. The C3 Agency Protest Program is intended to encourage interested parties to seek resolution of their concerns within C3, rather than filing a protest with the Government Accountability Office (GAO) or other external forum. After an interested party files an Agency Protest with the Contracting Officer and while that protest is pending, the protestor agrees not to file a protest with the GAO or other external forum. If a protest is filed with an external forum on the same solicitation as the Agency Protest, the Agency Protest will be dismissed. (b) An interested party may file a written protest to the Contracting Officer under the C3 Agency Protest program for contract solicitations issued by C3. Such Agency Protests are limited to objections to any of the following: (1) A solicitation or other request by an agency for offers for a contract for the procurement of property or services. (2) The cancellation of the solicitation or other request. (3) An award or proposed award of the contract. (4) A termination or cancellation of an award of the contract, if the written objection contains an allegation that the termination or cancellation is based in whole or in part on improprieties concerning the award of the contract. (c) An Executive-Level Agency protest may be filed with the Contracting Officer designated in paragraph (f) of this provision for resolution of protests. (d) For the purpose of filing a C3 Agency Protest, an interested party means an actual or prospective bidder or offeror whose direct economic interest would be affected by the award of a contract or by the failure to award a contract. (e) An Agency Protest must include the protester's name, address and telephone number, including fax number or e-mail address; the solicitation or contract number, identity of the contracting activity and the contracting officer's name; a detailed statement of all legal and factual grounds for protest (mere disagreement with the decisions of Contracting Officers does not constitute grounds for protest), including copies of all relevant documents; a request for a ruling; and, a request for relief. All protests must be signed by an authorized representative of the protester and must state it is an Agency Protest for decision by the Contracting Officer. (f) C3 Agency Protests, as defined in FAR 33.101, may be served on the Contracting Officer (addressed as follows) by obtaining written and dated acknowledgment of receipt from ______________________. [Contracting Officer designate the official or location where a protest may be served on the Contracting Officer.]



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952.236-0001 – ELECTRICAL AND STRUCTURAL BUILDING STANDARDS FOR CONSTRUCTION PROJECTS

C3 CLAUSE 952.236-0001 ELECTRICAL AND STRUCTURAL BUILDING STANDARDS FOR CONSTRUCTION

PROJECTS (JUL 2010)

(a) The standards set forth herein are the minimum requirements for the contract. These standards must be followed unless a more stringent standard is specifically included. In such case the most stringent standard shall be required for contract acceptance. (b) The contractor, in coordination with the Contracting Officer, Base Camp Mayor, Base/Unit Engineers, and requiring activity shall evaluate, upgrade, build, and/or refurbish buildings to a safe and livable condition. This work may include refurbishment, construction, alterations, and upgrades. All work shall be in accordance with accepted standards of quality. (c) As dictated by the Unified Facilities Criteria (UFC) the contract shall meet: (1) “the minimum requirements of United States’ National Fire Protection Association (NFPA) 70, (2) 2008 National Electrical Code (NEC), (3) American National Standards Institute (ANSI) C2, and (4) United States’ National Electrical Safety Code (NESC). (d) These standards must be met when it is reasonable to do so with available materials. When conditions dictate deviation, then provisions within the International Electrical Code (IEC) or British Standard (BS 7671) shall be followed. Any deviations from the above necessary to reflect market conditions, shall receive prior written approval from a qualified engineer and the Contracting Officer. (e) The following internet links provide access to some of these standards: UFC: http://65.204.17.188/report/doc_ufc.html NFPA 70: http://www.nfpa.org NESC: http://www.standards.ieee.org/nesc


http://65.204.17.188/report/doc_ufc.html�

http://www.nfpa.org/�

http://www.standards.ieee.org/nesc�


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952.245-0001 – GENERAL CONDITIONS FOR LEASED EQUIPMENT

C3 CLAUSE 952.245-0001 GENERAL CONDITIONS FOR LEASED EQUIPMENT

(JUL 2010) (a) All equipment furnished under this contract shall be in good working order. The Government reserves the right to reject equipment that is not in safe and operable condition. The Government may allow the Contractor to correct deficiencies within 24 hours. No payment for travel to an incident or point of inspection, or return to the point of hire, will be made for equipment that does not pass inspection. No payment will be made for time that the equipment was not available for use. (b) All operating supplies, except those listed below, shall be furnished by the Government Contractor [select one]. Operating supplies include fuel, oil, filters, lube/oil changes. Even though this clause specifies that all operating supplies are to be furnished by the contractor, the Government may, at its option, elect to furnish such supplies when necessary to keep the equipment operating. The cost of such supplies will be determined by the Government and deducted from payments to the contractor. Exceptions: ________________________________________________________ (c) All repairs to equipment necessary to maintain operability shall be made and paid for by the contractor. The Government may, at its option, elect to make such repairs when necessary to keep the equipment operating. The cost of such repairs will be determined by the Government and deducted from payment to the contractor. If equipment cannot be repaired and operable within ____ [insert number of days] calendar days, the contractor shall remove and replace the equipment at no additional expense to the Government. The pro-rated cost associated with the number of days the equipment was unavailable shall not be invoiced and will not be payable by the Government. (d) For payment purposes, the time for hire shall start at the time the equipment is provided at the delivery location specified in the Statement of Work and end when the equipment is available for pick up at the specified return location. The Government shall provide ____ [insert number of days] calendar days advance notice of requested contractor pick up.



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952.245-0002 – GOVERNMENT LIABILITY FOR LEASED EQUIPMENT (WITH OPERATOR)

C3 CLAUSE 952.245-0002 GOVERNMENT LIABILITY FOR LEASED EQUIPMENT

(WITH OPERATOR) (JUL 2010)

For equipment furnished by the contractor under this contract, with operator, the Government shall not be liable for any loss, damage or destruction of such equipment, except for loss, damage or destruction resulting from the negligence, or wrongful act(s) of Government employee(s) while acting within the scope of their employment. The operator is responsible for operating the equipment within its operating limits and for the safety of the equipment.

952.245-0003 – GOVERNMENT LIABILITY FOR LEASED EQUIPMENT (WITHOUT OPERATOR)

C3 CLAUSE 952.245-0003 GOVERNMENT LIABILITY FOR LEASED EQUIPMENT

(WITHOUT OPERATOR) (JUL 2010)

For equipment furnished by the contractor under this contract, without operator, the Government will assume liability for any loss, damage or destruction of such equipment, except that no reimbursement will be made for loss, damage or destruction due to (1) ordinary wear and tear, (2) mechanical failure, or (3) the fault or negligence of the contractor or the contractor’s agents or employees. 952.245-0004 – CONTRACTOR’S RESPONSIBILITY FOR PROPERTY AND PERSONAL DAMAGES

C3 CLAUSE 952.245-0004 CONTRACTOR’S RESPONSIBILITY FOR PROPERTY AND PERSONAL DAMAGES

(JUL 2010) Except as provided in C3 clauses 952.245-0002 and 952.245-0003, the contractor will be responsible for all damages to property and to persons, including third parties that occur as a result of contractor or contractor’s agents or employee fault or negligence. The term “third parties” is construed to include employees of the Government.



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PART 53 – FORMS

SUBPART 53.120 – STANDARD C3 FORMATS (a) Sample C3 formats are included in the C3 AI to provide supplemental information to enable C3 activities to accomplish their mission without the undue burden of searching various internet sites in an IT constrained environment, and to promote standardization of C3 operations across the theater of operation. Formats may be updated at any time via the issuance of an IPD to the C3 AI. (b) These formats may be tailored, where appropriate, to fit the specific acquisition or contracting action. When using these formats ensure, at the least, that the AI header information and footer page numbers are updated to fit the scenario. (c) Recommendations for additional C3 AI Formats should be submitted to the C3 Policy Directorate mailbox at [email protected]. (d) Formats are numbered with “51” designating Army, “53” designating the FAR Part, “120” designating C3, then dash (-) four-digit sequential numbers in the 5000 series for Army major commands.

FORM NUMBER

FORMAT TITLE AI

PRESCRIPTION DOCUMENT

DATE STATUS

5153.120-5000 C3 SAMPLE HCA LEVEL PEER REVIEW REQUEST FORM 1.170 NOV 2010 ACTIVE

5153.120-5001

C3 PEER REVIEW PHASE 1, SRB – SOLICITATION SAMPLE ASSESSMENT 1.170 NOV 2010 ACTIVE

5153.120-5002

C3 PEER REVIEW PHASE 2, CRB – PRIOR TO REQUESTING FPRs SAMPLE ASSESSMENT 1.170 NOV 2010 ACTIVE

5153.120-5003

C3 PEER REVIEW PHASE 3, CRB – PRIOR TO CONTRACT AWARD SAMPLE ASSESSMENT 1.170 NOV 2010 ACTIVE

5153.120-5004

C3 PEER REVIEW PHASE 4, CRB – POST AWARD REVIEW OF SERVICE CONTRACT SAMPLE ASSESSMENT 1.170 NOV 2010 ACTIVE

5153.120-5005 C3 CONTRACTING DOCUMENT REVIEW SHEET 1.170 NOV 2010 ACTIVE

5153.120-5006

C3 SAMPLE GENERIC DETERMINATION & FINDING (D&F) FORMAT 1.402 NOV 2010 ACTIVE

5153.120-5007

C3 SAMPLE REQUIRING ACTIVITY RESPONSIBILITIES FOR SERVICE CONTRACTS 1.602-2(d)(2) NOV 2010 ACTIVE

5153.120-5008 DOD STANDARD FOR CERTIFICATION OF CORs, TYPE A 1.602-2(d)(2) NOV 2010 ACTIVE 5153.120-5009 DOD STANDARD FOR CERTIFICATION OF CORs, TYPE B 1.602-2(d)(2) NOV 2010 ACTIVE 5153.120-5010 DOD STANDARD FOR CERTIFICATION OF CORs, TYPE C 1.602-2(d)(2) NOV 2010 ACTIVE

5153.120-5011

C3 RATIFICATION OF UNAUTHORIZED COMMITMENT ACTION FORM 1.602-3(b) NOV 2010 ACTIVE

5153.120-5012 C3 SAMPLE UNAUTHORIZED COMMITMENT (UAC) LOG 1.602-3(d) NOV 2010 ACTIVE 5153.120-5013 C3 SAMPLE WARRANT APPLICATION 1.603-2 NOV 2010 ACTIVE

5153.120-5014

C3 COMMANDER'S CRITICAL INFORMATION REQUIREMENTS (CCIR) REPORT 3.104-2(e) SEP 2010 ACTIVE

5153.120-5015 C3 SERVICE AND CONSTRUCTION CONTRACT FILE INDEX 4.802 NOV 2010 ACTIVE 5153.120-5016 C3 SAMPLE PURCHASE ORDER FILE INDEX 4.802 NOV 2010 ACTIVE 5153.120-5017 C3 SAMPLE TASK ORDER FILE INDEX 4.802 NOV 2010 ACTIVE

5153.120-5018

C3 CCTFO CONTRACT CLOSEOUT/ ARCHIVING PRE-SHIPPING CHECKLIST 4.804-5(a)(3) NOV 2010 ACTIVE



Page 146

FORM NUMBER FORMAT TITLE AI PRESCRIPTION DOCUMENT DATE

STATUS

5153.120-5019

C3 SAMPLE FORMAT FOR A JUSTIFICATION REVIEW DOCUMENT FOR OTHER THAN FULL AND OPEN COMPETITION 6.304 NOV 2010 ACTIVE

5153.120-5020 C3 SAMPLE COMPETITION LOG 6.502 NOV 2010 ACTIVE

5153.120-5021

C3 SAMPLE CONSOLIDATION OF CONTRACT REQUIREMENTS DETERMINATION & FINDING (D&F) 7.170 NOV 2010 ACTIVE

5153.120-5022 C3 SAMPLE LEASE VERSUS PURCHASE ANALYSIS 7.401(b) NOV 2010 ACTIVE 5153.120-5023 C3 SAMPLE D&F CONTRACTOR RESPONSIBILITY 9.105-2 NOV 2010 ACTIVE 5153.120-5024 C3 SAMPLE PAST PERFORMANCE QUESTIONAIRE 28.305 NOV 2010 ACTIVE

5153.120-5025

C3 SAMPLE APPLICATION FOR DBA INSURANCE WITH INSTRUCTIONS 28.305 NOV 2010 ACTIVE

5153.120-5026

DFAS-ROME ELECTRONIC FUNDS TRANSFER PAYMENT FORM 32.1106 NOV 2010 ACTIVE

5153.120-5027 C3 SAMPLE QASP BELOW SAT - BELOW SAT/KO RETAINS 37.604 NOV 2010 ACTIVE 5153.120-5028 C3 SAMPLE QASP BELOW SAT - COR APPOINTED 37.604 NOV 2010 ACTIVE 5153.120-5029 C3 SAMPLE QASP ABOVE SAT - COR APPOINTED 37.604 NOV 2010 ACTIVE

Page 147

5153.120-5000 C3 HCA LEVEL PEER REVIEW REQUEST FORM (When initiating a request for a C3 HCA Level Peer Review, complete the information available at the time and submit to the C3 Policy

Mailbox at [email protected] and follow up as additional information becomes available)

1.

C3 Contracting Activity Information a. Name of PARC/SCO Office:

b. Name of RCC: (If Applicable)

c. Name of Contracting Officer:

d. E-Mail Address:

e. DSN:

2.

Requiring Activity Information a. Name of Requiring Activity Command:

b. Name of Requiring Activity:

c. Name of Point of Contact:

d. E-Mail Address:

e. DSN:

3. Project Title

4. Project Description

5. Type of Acquisition

Competitive Non-Competitive

6.

Type of Peer Review Requested

Phase 1 SRB – Solicitation (Pre-Award)

Phase 4 CRB - Review of Service Contract (Post-Award)

Phase 2 CRB – Prior to Requesting Final Proposal Revisions (FPRs) (Pre-Award)

Phase 3 CRB – Prior to Contract Award (Pre-Award)

7. Total Estimated Dollar Value: (including all options) (This includes the value of FAR 52.217-8, If it is to be included in the Solicitation and Resultant Contract)

$

8.

Requested Review Dates (Length varies depending on the complexity of the acquisition and the phase of the review. Allow a minimum of 5 day from date of submission for Peer Reviews.) Date Peer Review Package Will Be Submitted: (Packages must include all required supporting documentation before reviews will commence)

Completion Date Required to Meet Next Milestone Date: (Allow 3-4 days after this date for your office to review and address Peer Review Comments)

NOTE: All appropriate internal reviews and approvals must occur prior to submitting the Peer Review.

9.

Security Clearance Is a security clearance required to review acquisition documents?

Yes No

If yes, indicate what clearance is required.

10. PARC/SCO Recommended C3 HCA Peer Review Board Members (Include name, title, DSN, and E-Mail)

11.

Special Instructions (Include any special instructions, requests or comments)

(Return to Format Index)


Page 148

5153.120-5001 PEER REVIEW PHASE 1

SOLICITATION REVIEW BOARD (SRB) (PRIOR TO SOLICITATION RELEASE)

C3 CONTRACTING OFFICE: _____________________________________________________________ SOLICITATION NUMBER: ______________________________________________________________ DATE REVIEW BOARD CONDUCTED _____________________________________________________ REVIEW BOARD MEMBERS:

____________________ ____________________ Name Title ____________________ ____________________ Name Title ____________________ ____________________ Name Title ____________________ ____________________ Name Title ____________________ ____________________ Name Title ____________________ ____________________ Name Title

REVIEW BOARD ASSESSMENT

1. Are the requirements clearly defined and stated in performance-based terms? REMARKS: 2. Are performance-based characteristics directly tied to program objectives? (These measures should include consideration of program cost.) REMARKS: 3. Are the critical program objectives reflected in the evaluation criteria? REMARKS:

Page 149

4. Is there a multi-functional support cadre in place or planned to manage the contract? (The support cadre should include trained and qualified contracting officer representatives.) REMARKS: 5. Has the acquisition team developed a tailored quality assurance surveillance plan to monitor contractor performance? REMARKS: 6. To what extent will the acquisition team rely on support contractors to perform functions that are closely associated with inherently governmental functions and have required determinations been appropriately executed. REMARKS: 7. If one contractor will provide oversight for another contractor or direct work to another contractor, what measures are planned or have been taken to reduce or eliminate potential organizational conflicts of interest. REMARKS: 8. Does the acquisition team have a sufficient number or experienced, trained/qualified personnel dedicated and assigned to accomplish the source selection? Does the contracting officer or source selection authority have a plan to provide training to the source selection evaluation team? REMARKS: 9. Is the contract type appropriate -- Does the risk analysis address and support the recommendations of contract type, pricing structure, type of source selection? REMARKS: 10. If there are special contract requirements, are they consistent with law, regulation and other terms of the solicitation? REMARKS: 11. Has the acquisition team mapped Section L to Section M to the Source Selection Plan to ensure consistency throughout? REMARKS: 12. Are minimum thresholds and maximum performance objectives clearly defined? REMARKS:

Page 150

13. Are requirements stated in certain terms such that the evaluators will be able to assess whether the offeror meets or exceeds a particular outcome? REMARKS: 14. In the development of the RFP, is there anything the acquisition team would do differently if they had it to do it over again—any lessons learned? REMARKS: 15. Has the Peer Review team observed any unique practices, procedures, techniques, clauses or other approaches that should be considered as a candidate for a best practice?


Page 151


REQUEST FOR FINAL PROPOSAL REVISIONS CONTRACT REVIEW BOARD (CRB) (IF REQUIRED, PRIOR TO REQUESTING FPRs)




1. Did the evaluation team follow/comply with Sections L&M of the RFP, the Source Selection Evaluation Guide (if used), and Source Selection Plan? REMARKS: 2. Was there consistency and fairness in evaluating each offer against Section M (evaluation criteria)? REMARKS: 3. Was there consistency in applying the ratings across the offerors? REMARKS:

Page 152

4. What clarifications and/or communications, if any, were conducted? 5. Were they appropriate clarifications and/or communications? REMARKS: 6. Were meaningful and open communications conducted in which the offeror and government clearly understood each other's position and assumptions? (It is not sufficient to handle discussions in a way that is it only for the benefit of the government to understand the offeror's proposal.) REMARKS: 7. Did the evaluation team apply any standards or undisclosed evaluation criteria to their evaluation of proposals or past performance? REMARKS: 8. Does the documentation memorialize deficiencies, weaknesses, significant weaknesses, and adverse past performance described in the evaluation notices? Were assumptions addressed as appropriate or acceptable? REMARKS: 9. Does the supporting documentation describe details of the evaluations? REMARKS: 10. Were discussions conducted IAW sections L & M? REMARKS: 11. Did the discussion process utilized achieve meaningful and transparent communications (and is it documented)? REMARKS: 12. Does the supporting documentation adequately describe the basis and justification for the ratings? REMARKS: 13. Do the Interim Ratings prior to final evaluation support the degree of discussions held with each offeror? (e.g. there is no misunderstanding by the offeror and GAO that the Contracting Officer clearly discussed the issues that resulted in the red or yellow ratings.) REMARKS: 14. Does the content the documentation bring the SSA up to date from approval to establish competitive range to completion of meaningful discussions (with or without releasing of Interim Ratings)?

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REMARKS: 15. If interim ratings were not released prior to Final Proposal Revision request, has the Contracting Officer clearly articulated his/her rationale? REMARKS: 16. If any offeror's proposal should no longer be in the competitive range, does the documentation support the recommendation to eliminate it from consideration for award? REMARKS: 17. In the course of proposal evaluation and in conducting discussions with offerors, is there anything the acquisition team would do differently if they had it to do it over again—any lessons learned? Were there any solicitation amendments that might indicate something that could have been addressed before the formal RFP was issued? REMARKS: 18. Has the Peer Review team observed any unique practices, procedures, techniques, clauses or other approaches that should be considered as a candidate for a best practice? REMARKS:


Page 154


CONTRACT AWARD - CONTRACT REVIEW BOARD (CRB) (PRIOR TO CONTRACT AWARD)




1. Did the SSET complete proposal evaluation, incorporate information provided through discussions and Final Proposal Revisions IAW section M? REMARKS: 2. Is the Proposal Analysis Report (PAR) (or similar document) reflective of the evaluations and justification documents? REMARKS: 3. Is the Source Selection Decision Document reflective of the SSA’s integrated assessment and own personal decision leading to the selection of a contractor(s)?

Page 155

REMARKS: 4. Does the documentation clearly summarize and justify the evaluation results? REMARKS: 5. If a Proposal Analysis Report is not used, does the documentation contain adequate details of the evaluation results and a comparative analysis (cost/price, past performance, mission capability, proposal risk, and a source selection recommendation) of the competitive offers? REMARKS: 6. Can the SSA make an integrated assessment best value decision based on the information presented in the documentation? REMARKS: 7. Can the information in the documentation be used, as applicable, for the source selection decision document? REMARKS: 8. Overall, can the acquisition team articulate to the Peer Review team their decisions/justifications? REMARKS: 9. In the course of final proposal evaluation and in preparing to execute and document the award decision, is there anything the acquisition team would do differently if they had it to do it over again—any lessons learned? REMARKS: 10. Has the Peer Review team observed any unique practices, procedures, techniques, clauses or other approaches that should be considered as a candidate for a best practice? REMARKS:


Page 156

5153.120-5004 PEER REVIEW PHASE 4 (POST AWARD)

SERVICE CONTRACT - CONTRACT REVIEW BOARD (CRB) (PRIOR TO MID-POINT OF BASE YEAR FOR 1 YEAR CONTRACTS OR PRIOR TO EXERCISE OF EACH OPTION YEAR)

C3 CONTRACTING OFFICE: _____________________________________________________________ CONTRACT NUMBER: ______________________________________________________________ DATE REVIEW BOARD CONDUCTED _____________________________________________________ REVIEW BOARD MEMBERS:



11. Contractor Performance Assessment: Does the Government team conduct a periodic review to ensure the program is on course with respect to cost, schedule and performance requirements; and any necessary adjustments are made? Does the program meet or exceed established cost, schedule and performance criteria? REMARKS: 12. Use of Contract Mechanisms and Maintaining Competition: If this service acquisition employs a multiple award IDIQ approach, is there a robust competition for orders? Is the appropriate contract type utilized? Are the requirements well defined? Are effective cost and pricing methods utilized to support negotiation and award of task orders? Are there appropriate contract oversight mechanisms in place?

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REMARKS: 13. Contractor’s Subcontract Management: Does the Government team monitor and evaluate the contractor's use, management, and oversight of subcontractors? REMARKS: 14. Contract Surveillance: Is there an appropriate level of staffing of Government contract management and oversight functions to include CORs? REMARKS: 15. Assessment of Excessive Pass-Through Charges: What is the extent of any pass-throughs, and excessive pass-through charges (as defined in section 852 of the John Warner National Defense Authorization Act for Fiscal Year 2007), by the contractor(s)? REMARKS: 16. Inherently Governmental Functions: For service acquisitions under which one contractor provides oversight for services performed by other contractors, does the Government team periodically evaluate the extent of the agency's reliance on the contractor(s) to perform acquisition functions closely associated with inherently governmental functions as defined in section 2383(b)(3) of title 10, United States Code? REMARKS: 17. Conflicts of Interest (Financial): For service acquisitions under which one contractor provides oversight for services performed by other contractors, does the Government team periodically evaluate the financial interest of any prime contractor performing acquisition functions described in paragraph six in any contract or subcontract with regard to which the contractor provided advice or recommendations to the agency? REMARKS: 18. Objective Incentives: For contracts with award and/or incentive fee, are objective criteria utilized, whenever possible, to measure contract performance? Are Award/incentive fees paid in a manner consistent with DoD policy, or with a corrective action plan in place to address past inconsistencies? REMARKS: 19. Lessons Learned: Has the acquisition team identified something they would do differently if they had it to do it over again—any lessons learned? REMARKS:

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20. Best Practices: Has the Peer Review team observed any unique practices, procedures, techniques, clauses or other approaches that should be considered as a candidate for a best practice? REMARKS:


Page 159

5153.120-5005 CONTRACTING DOCUMENT REVIEW SHEET Page ___ of ____

PARC/SCO OFFICE LEGAL REVIEW YES NO RCC OFFICE (if applicable) POLICY REVIEW YES NO

CONTRACTING OFFICER (KO) NAME PEER REVIEW YES NO

KO CONTACT INFORMATION BUSINESS CLEARANCE

REVIEW YES NO

PROJECT TITLE PROJECT DESCRIPTION TYPE OF REVIEW REQUESTED RFQ GSA IFB RFP AWARD MODIFICATION OTHER LIST: _______

TYPE OF ACQUISITION CLAUSE MATRIX USED TO DEVELOP ACQUISITION Competitive Non-Competitive SVC Non-Commercial PD2 Commercial Construction

EST DOLLAR VALUE (including all options; including FAR 52.217-8 if included in solicitation/contract)

REVIEW COMMITTEE SIGNATURE DATE

1. Buyer Review

2. Contracting Officer Review

3. RCC Review

4. SCO-__

5. LEGAL

6. C3 Policy Review:

REVIEWER COMMENTS (CONTINUED ON REVERSE SIDE)

BUYER/ADMIN COMMENTS

INITIAL WHEN

COMPLETE

Page 160

CONTRACTING DOCUMENT REVIEW SHEET CONTINUATION SHEET

(If Req'd) Page __ of ___

REVIEWER COMMENTS (CONTINUED)

BUYER/ADMIN COMMENTS

INITIAL WHEN

COMPLETE


Page 161

5153.120-5006 C3 SAMPLE GENERIC DETERMINATION & FINDING (D&F) FORMAT (Do not use Letterhead for D&Fs)

(Tailor for organizational use)

CENTCOM CONTRACTING COMMAND

[Center/Directorate of Contracting Name] DETERMINATION & FINDINGS

For [Insert nature and/or description of the action being approved and Citation of the

appropriate statute and/or regulation upon which the D&F is based.]

FINDING (Support Rationale) (Content in accordance with FAR Subpart 1.704)

[Insert findings that detail the particular circumstances, facts, or reasoning essential to support the determination. Necessary supporting documentation shall be obtained from appropriate requirements and technical personnel. Refer to applicable regulations regarding the minimum content for the specific D&F or what has to be addressed in the D&F.]

For example, for the use of a T&M contract, DFARS 216.601(d) (i) specifies: “At a minimum, the determination and findings shall—(A) Include a description of the market research conducted; (B) Establish that it is not possible at the time of placing the contract or order to accurately estimate the extent or duration of the work or to anticipate costs with any reasonable degree of certainty; (C) Establish that the requirement has been structured to minimize the use of time-and-materials requirements (e.g., limiting the value or length of the time-and-materials portion of the contract or order; establishing fixed prices for portions of the requirement); and (D) Describe the actions planned to minimize the use of time-and-materials contracts on future acquisitions for the same requirements.” Ensure findings specifically address all required elements.

DETERMINATION (Conclusion) (Contents in accordance with FAR 1.704)

[A determination is based on the findings, that the proposed action is justified under the applicable statute or regulation.]

SAMPLE: On the basis of the above findings, I hereby determine that no other contract type other than a time and materials contract is suitable for this acquisition, pursuant to Federal Acquisition Regulation (FAR) Subpart 16.601(d)(1)(i). _______________________ _______________ NAME DATE Procuring Contracting Officer Center/DOC Office Name CENTCOM Contracting Command

Page 162

(Always prepare signature block of PARC/SCO on separate pages)

[If PARC/SCO Level Approval Use]

APPROVAL

Based on foregoing findings, I hereby approve the Determination and Finding (D&F) for __[state type of D&F being approved]_______________________for the ______[Title of procurement]_____ pursuant to Federal Acquisition Regulation (FAR) Subpart _______ [Insert citation], and provided the requirement herein described has otherwise been authorized for acquisition.

_______________________ _______________ XXXXX X. XXXXX DATE Senior Contracting Official - Iraq CENTCOM Contracting Command

[If HCA Level Approval Use]

Based on foregoing justification, I hereby recommend approval of the Determination and Finding (D&F) for _[state type of D&F being approved]__________________for the ______[Title of procurement]_____ pursuant to Federal Acquisition Regulation (FAR) Subpart _______ [Insert citation], and provided the requirement herein described has otherwise been authorized for acquisition.

_______________________ _______________ XXXXX X. XXXXX DATE Senior Contracting Official - Iraq CENTCOM Contracting Command


Page 163

(Always prepare signature block of HCA on separate pages)

APPROVAL

Based on foregoing findings, I hereby approve the Determination and Finding (D&F) for a __[state type of D&F being approved]________________________for the ______[Title of procurement]_____ pursuant to Federal Acquisition Regulation (FAR) Subpart _______ [This will be the same citation that is being used on page 1], and provided the requirement herein described has otherwise been authorized for acquisition.

_______________________ _______________ BG CAMILLE M. NICHOLS DATE Commanding General, CENTCOM Contracting Command Head of Contracting Activity


Page 164

5153.120-5007 REQUIRING ACTIVITY RESPONSIBILITIES FOR CONTRACT SURVEILLANCE OF SERVICE CONTRACTS (Tailor for organizational use)

REQUIRING ACTIVITY RESPONSIBILITIES

FOR CONTRACT SURVEILLANCE OF SERVICE CONTRACTS

(a) The activity responsible for technical requirements (the “requiring activity”) is responsible for prescribing contract quality requirements. The Contracting Officer’s Representative (COR) is a representative of the requiring activity, nominated by the requiring activity, and designated by the Contracting Officer, to assist in the technical monitoring or administration of a contract. The COR should be identified early in the acquisition cycle and included in pre-award activities when appropriate. (b) When a COR is required, the Contracting Officer will provide to the requiring activity a list of proposed responsibilities for the COR and the DoD Standard for Certification of CORs applicable to the requirement. The requiring activity must submit nominations for CORs to the contracting activity. Where practicable, the requiring activity shall provide the COR nomination to the contracting office as part of the purchase request. The COR nomination package shall:

(1) Address the qualifications of the prospective COR. (2) Affirm that the COR will be afforded necessary resources (time, supplies, equipment, opportunity) to perform the designated functions. (3) Affirm that the prospective COR and the prospective COR’s supervisor understands the importance of performance of the designated functions. (4) Affirm that performance of the designated functions will be addressed as part of the COR’s performance assessments. COR supervisors are encouraged to solicit input on performance of COR duties from the contracting officer. (5) Provide current COR training certificates. (6) Affirm that the requiring activity will comply with these provisions in the assignment of successor CORs.

(c) CORs must be designated and trained prior to contract award.


Page 165

5153.120-5008 DOD STANDARDS FOR CERTIFICATION OF CONTRACTING OFFICER REPRESENTATIVES (CORs) FOR SERVICE CONTRACTS

TYPE A – FIXED PRICE, LOW PERFORMANCE RISK REQUIREMENTS

DoD STANDARD FOR CERTIFICATION OF CONTRACTING OFFICER REPRESENTATIVES FOR SERVICES ACQUISITIONS

NATURE OF TYPE A

WORK/REQUIREMENT REQUIRED COMPETENCY

TOPICS REQUIRED COMPETENCIES EXPERIENCE/TRAINING REQUIREMENTS

Fixed-Price requirements without incentives, low performance risk. Attributes of such requirements might include: lack of technical or administrative complexity, no identifiable risk factors; limited requirement for technical expertise; low likelihood of modification; effort is a follow-on to an existing contract. COR duties/responsibilities are generally limited to minimal technical and/or administrative monitoring of the contract.

General: Attention to Detail Decision Making Flexibility Oral and Written

Communication Problem Solving/Reasoning Self-management/Initiative Teamwork Technical: Business Ethics Effective Communication of

Contract Requirements Effective Contract Performance

Management Effective COR Performance

Upon completion of mandatory training, COR should be able to perform at least the following competencies in a manner consistent with the nature of Type A work/requirements: 1. Assist in acquisition planning. 2. Assist in contract award process. 3. Establish/maintain COR file with all

required documentation. 4. Identify/prevent unethical conduct and

instances of fraud/waste/abuse. 5. Perform technical/administrative

monitoring and reporting duties in accordance with letter of delegation and surveillance plan.

6. Recommend/monitor proposed changes.

7. Monitor contract expenditures/payments.

8. Monitor contract schedule compliance. 9. Perform liaison duties between the

Contracting Officer, the Requiring Activity, and the contractor for management of the contract.

10. Inspect, accept, or reject deliverables during contract performance and at close-out in conformance with contract terms and conditions.

11. Monitor the control/disposition of Government furnished assets.

12. Perform surveillance in a contingency environment, when applicable.

Experience: Agency experience: minimum of 6

months (may be waived). Relevant technical experience: As

determined by the nominating supervisor for the Contracting Officer’s consideration and appointment.

General Competencies: As determined by the nominating supervisor for the Contracting Officer’s consideration and appointment.

Training: DAU CLC 106, Contracting

Officer’s Representative (Basic) DAU COR XXX (to be

determined), COR in the Contingency Environment, when applicable (competency 12).

Minimum of 1 hour acquisition ethics training (e.g., DAU CLM 003 or agency provided training) annually.

Additional training mandated by the contracting activity (e.g., WAWF).

Refresher Training: Minimum of 8 hours COR specific

training: Every 3 years, OR Prior to assuming COR

responsibilities if the individual has not served as a COR within the previous 24 months.


Additional training mandated by the Activity.


Page 166

5153.120-5009 DOD STANDARDS FOR CERTIFICATION OF CONTRACTING OFFICER REPRESENTATIVES (CORs) FOR SERVICE CONTRACTS

TYPE B – OTHER THAN FIXED PRICE, LOW PERFORMANCE RISK REQUIREMENTS


NATURE OF TYPE B



Fixed-Price requirements without incentives, other than low performance risk. Attributes of such requirements might include: the nature of the work is more complex; effort will be performed in multiple regions/remote geographic locations, contract contains incentive arrangements or cost sharing provisions, contract is cost-type of T&M/LH type, or FP LOE. COR duties/responsibilities are of increased complexity.

General: Attention to Detail Decision Making Flexibility Influencing/Persuasive

interpersonal skills Oral and Written

Communication Planning and Evaluating Problem Solving Reasoning Self-management/Initiative Teamwork Technical: Business Ethics Defining Government

Requirements Understanding and knowledge

of contract type Effective analytical skills Effective Communication of


Management Effective COR Performance Project Management Strategic Planning Understanding the Marketplace

Upon completion of mandatory training, COR should be able to perform at least the following competencies in a manner consistent with the nature of Type B work/requirements: 1. Assist in acquisition planning. 2. Assist in contract award process. 3. Establish/maintain COR file with all


instances of fraud/waste/abuse. 5. Review technical submittals/ensure

compliance with Statement of Work/Statement of Objectives (e.g., perform technical monitoring and reporting in accordance with a Quality Surveillance plan).

6. Perform administrative monitoring and reporting duties (e.g., handle security issues, attend meetings, etc.).


8. Monitor contract expenditures/payments.

9. Monitor contract schedule compliance. 10. Perform liaison duties between the

Contracting Officer and the contractor for management of the contract.

11. Inspect, accept or reject deliverables during contract performance and at close-out in conformance with contract terms and conditions.

12. Review and validate that contractor payment requests are commensurate with performance.




months (may be waived by the requiring activity. Waiver to be addressed in nomination package).

Relevant technical experience: As determined by the nominating supervisor for the Contracting Officer’s consideration and appointment.

General Competencies: As determined by the nominating supervisor for the Contracting Officer’s consideration and appointment.

Training: DAU COR 222 or ALMC-CL, or

equivalent course. DAU COR XXX (to be










Page 167

5153.120-5010 DOD STANDARDS FOR CERTIFICATION OF CONTRACTING OFFICER

REPRESENTATIVES (CORs) FOR SERVICE CONTRACTS

TYPE C – UNIQUE REQUIREMENTS THAT NECESSITATE A PROFESSIONAL LICENSE, HIGHER EDUCATION, OR SPECIALIZED TRAINING


NATURE OF TYPE C



Unique contract requirements that necessitate a professional license, higher education or specialized training beyond the Type B requirements. Such requirements might include, for example: environmental remediation; major weapons systems; medical/dental/veterinarian services, etc. COR duties/responsibilities are of increased complexity.

General: Attention to Detail Decision Making Flexibility Influencing/Persuasive

interpersonal skills Oral and Written

Communication Planning and Evaluating Problem Solving Reasoning Self-management/Initiative Teamwork Technical: Business Ethics Defining Government

Requirements Understanding and knowledge

of contract type Effective analytical skills Effective Communication of


Management Effective COR Performance Project Management Strategic Planning Understanding the Marketplace

Upon completion of mandatory training, COR should be able to perform at least the following competencies in a manner consistent with the nature of Type C work/requirements: 1. Assist in acquisition planning. 2. Assist in contract award process. 3. Establish/maintain COR file with all


instances of fraud/waste/abuse. 5. Review technical submittals/ensure

compliance with Statement of Work/Statement of Objectives (e.g., perform technical monitoring and reporting in accordance with a Quality Surveillance plan).

6. Perform administrative monitoring and reporting duties (e.g., handle security issues, attend meetings, etc.).


8. Monitor contract expenditures. 9. Monitor contract schedule compliance. 10. Perform liaison duties between the

Contracting Officer and the contractor for management of the contract.

11. Inspect, accept or reject deliverables during contract performance and at close-out in conformance with contract terms and conditions.

12. Review and validate that contractor payment requests are commensurate with performance.



15. Other specific functions consistent with the objectives of the Activity’s mandatory specialized/technical training.


months (may be waived by the requiring activity. Waiver to be addressed in nomination package).

Relevant technical experience: As determined by the nominating supervisor for the Contracting Officer’s consideration and appointment.

General competencies: As determined by the nominating supervisor for the Contracting Officer’s consideration and appointment.

Training: DAU COR 222 or ALMC-CL, or

equivalent course DAU COR XXX (to be









Any necessary training required for maintenance of license/certification/etc.


Page 168

INSTRUCTIONS FOR COMPLETING THE RATIFICATION PACKAGE NOTICE: Before you have any signatures completed on this form, you should forward to your contracting

officer for a quick review to ensure that all applicable information has been filled out properly.

REQUEST FOR APPROVAL OF UNAUTHORIZED COMMITMENT Complete all areas Describe your actions very clearly, give a time line, have emails or memorandums attached to this form when submitting.

SECTION 1 - UNIT LEVEL

SECTION 1A – INDIVIDUAL, BLOCKS 1 THRU 5 The individual making the unauthorized commitment (UCA) will sign statements describing the circumstances, the reasons contracting procedures were not followed, what bona fide Government requirement necessitated the commitment, the benefit received and other pertinent facts and send this information to the individual’s commander or senior staff officer. Explain in detail why procedures were not followed very clearly. Not all unauthorized commitments are rectified. The employee/soldier may be held personally liable for payment to the vendor.

SECTION 1B – SUPERVISOR, BLOCKS 6 AND 7

The individual’s supervisor or senior staff officer will then sign statements describing attempts to resolve the UCA.

SECTION 1C – UNIT COMMANDER, BLOCKS 1 THRU 5 The individual’s commander will then sign statements verifying the accuracy and completeness of documentation, describing measures taken to prevent recurrence (including disciplinary actions taken) and providing a complete description and funding for ratifying the contract. SECTION 1D – APPROVALS, BLOCK 1 AND 2 To be completed by the individual identified by the Contracting Office in accordance with C3 AI.

PART II – CONTRACTING OFFICE REVIEW (PARC/SCO/HCA) SECTION IIA – ASSIGNMENT OF CONTRACTING OFFICER BY CONTRACTING OFFICE The Contracting Officer assigned for processing shall answer questions 1 thru 7. SECTION IIB – LEGAL REVIEW Completed by Legal Counsel SECTION IIC – APPROVAL PROCESS Approval based on the $ amount of the ratification.

Page 169

5153.120-5011 C3 RATIFICATION OF UNAUTHORIZED COMMITMENT FORM

Amount ($):

Vendor:

Item/Service/Construction Description:

Committed Date:

An unauthorized commitment is an agreement or purchase that is not binding solely because the Government representative who made it lacked the authority to enter into that agreement on behalf of the Government. Ratification is the act of approving an unauthorized commitment by an official who has the authority to do so, for paying for supplies or services provided to the Government because of an unauthorized commitment (FAR 1.602-3(a)). The individual who committed the unauthorized commitment may be held personally liable for all costs incurred. Further, a military member committing an unauthorized commitment may be prosecuted, under Clause 3 of Article 134 UCMJ, pursuant to 31 U.S.C. 1350. A non-military member may be prosecuted directly under 31 U.S.C. 1350. Maximum punishment for these offenses is 2 years imprisonment and/or $5,000.00. Commanders must forward to the KO the statement of facts, a description of disciplinary action taken or why none was considered necessary, and the steps being taken to prevent recurrence. Transactions cannot be ratified if they could not have been made by a properly authorized KO (illegal contracts).

AUTHORITY: FEDERAL ACQUISITION REGULATION (FAR) & ARMY FEDERAL ACQUISITION REGULATION SUPPLEMENT (AFARS), 5101.602-3. The individual making the unauthorized commitment shall complete Part I, Section IA, items 1 through 5, provide the required documentation, sign, date, and forward to his/her immediate supervisor. The immediate supervisor shall Complete Section IB then forward the file to the appropriate individual (Unit Commander, Director or Activity Chief) for completion of Part I, Section IC. Forward the complete file through command channels to the supporting Contracting Office. Complete all information in detail.

PART I UNIT LEVEL

SECTION IA – INDIVIDUAL Completed by the individual who committed the unauthorized commitment.

NAME/GRADE/TITLE:

Home Unit: Address: Phone: Email:

Deployed Unit: Address: Phone: Email:

1. STATEMENT OF FACTS. (What happened?) (Be very descriptive and provide all details.)



Page 170

2. DESCRIBE THE BONEFIDE GOVERNMENT NEED. (Why did the Government need this item? Why couldn’t you wait?) 3. EXPLAIN HOW THE GOVERNMENT RECEIVED A BENEFIT FROM THE COMMITMENT (Give value of benefit and other pertinent facts.): 4. EXPLAIN WHY PROCEDURES WERE NOT FOLLOWED. 5. LIST AND ATTACH ALL RELEVANT DOCUMENTS. (Include orders, invoices and other evidence of the transaction.)

INFORMATION (NAME AND TITLE) OF INDIVIDUAL WHO COMMITTED THE UNAUTHORIZED ACT:

PRINTED RANK AND NAME:

SIGNATURE

DATE

Page 171

SECTION IB - SUPERVISOR Completed by the immediate supervisor of the individual making the unauthorized commitment.

1. DESCRIBE ATTEMPTS TO RESOLVE UNAUTHORIZED COMMITMENT PRIOR TO REQUESTING RATIFICATION. (Such as, returning merchandise, individual paying from personal funds, etc.)

2. COMMENTS OF IMMEDIATE SUPERVISOR. (What role did you play in the unauthorized commitment (if any) and what are you going to do to prevent future occurrences?):

INFORMATION (NAME AND TITLE) OF IMMEDIATE SUPERVISOR OF THE INDIVIDUAL WHO COMMITTED THE UNAUTHORIZED ACT:


SIGNATURE

DATE

Page 172

SECTION 1C – UNIT COMMANDER Unit Commander, Director, or Activity Chief (first O5 in chain of command). Following completion of Items 1 through 3 or Item 4, as applicable. Item 5, conduct a face-to-face interview with individuals making the unauthorized commitment, forward through chain of command to concurring official as identified by the Contracting Office IAW C3 AI. A military member committing an unauthorized commitment may be prosecuted, under Clause 3 of Article 134, pursuant to 31 U.S.C. 1350. A non-military member may be prosecuted directly under 31 U.S.C. 1350. Maximum punishment for these offenses is 2 years imprisonment and/or $5,000.00.

1. DESCRIBE ATTEMPTS TO RESOLVE UNAUTHORIZED COMMITMENT PRIOR TO REQUESTING RATIFICATION AND HOW YOU WILL PREVENT REOCCURRENCE (i.e., returning merchandise, individual paying from personal funds, etc.).

2. DESCRIBE CORRECTIVE AND DISCIPLINARY ACTION TAKEN. (Include a description of any administrative action to be taken under applicable personnel authority or explain why no disciplinary action was considered necessary):

3. CONCUR WITH CONTRACTUAL RATIFICATION Complete purchase description and ensure a funding DA Form 3953 (Purchase Request & Commitment) is executed and attached (required if ratification is recommended).

4. DO NOT CONCUR WITH CONTRACTUAL RATIFICATION. (Explain)

5. Face-to-face with individual committing government was conducted on (DD/MMM/YYYY) by the undersigned.


SIGNATURE

DATE

Page 173

SECTION 1D - APPROVALS Completed by the Unit Chain of Command at the levels indicated.

Completed by individual indicated by “X” as identified by Contracting Office IAW C3 AI. When completed, forward to supporting Contracting Office of Unit committing the Government.

COMMITMENTS UP TO $10K: CHIEF OF CONTRACTING OFFICE

COMMITMENTS BETWEEN $10K AND $100K: FIRST 06 IN THE CHAIN OF COMMAND

COMMITMENTS OVER $100K: FIRST GENERAL OFFICER (GO) IN THE CHAIN OF COMMAND

1. APPROVAL OF RECOMMENDED SPECIFIC REMEDIAL ACTION AND/OR DISCIPLINARY ACTION TAKEN:

YES NO (If answer is no, explain below)

2. APPROVAL OF RECOMMENDED CORRECTIVE ACTION TO PRECLUDE RECURRENCE TAKEN:

YES NO (If answer is no, explain below)


SIGNATURE

DATE

Page 174

PART II – CONTRACTING OFFICE/PARC/SCO/HCA REVIEW

SECTION IIA – ASSIGNMENT OF CONTRACTING OFFICER BY CONTRACTING OFFICE

RANK AND NAME OF CONTRACTING OFFICER ASSIGNED FOR PROCESSING:


DATE

The contracting officer shall review the ratification criteria below in accordance with FAR 1.602-3(c) to determine ratification approval:

Supplies or services have been provided to and accepted by the Government, or the Government otherwise has obtained or will obtain a benefit resulting from performance of the unauthorized commitment. Explain:

The ratifying official has the authority to enter into a contractual commitment. Explain:

The resulting contract would otherwise have been proper if made by an appropriate contracting officer. Explain:


Page 175

The contracting officer reviewing the unauthorized commitment determines the price to be fair and reasonable. Explain:

The contracting officer recommends payment and legal counsel concurs in the recommendation, unless agency procedures expressly do not require such concurrence. Explain:

Funds are available and were available at the time the unauthorized commitment was made. Explain:

The ratification is in accordance with any other limitations prescribed under agency procedures. Explain:

SIGNATURE OF CONTRACTING OFFICER:

DATE

Page 176

SECTION IIB – LEGAL REVIEW

In accordance with FAR 1.602-3(c)(5), review for legal sufficiency.


SIGNATURE

DATE

Page 177

SECTION IIC – APPROVAL PROCESS

BASED ON THE FOREGOING, DETERMINATION REQUEST FOR APPROVAL OF UNAUTHORIZED COMMITMENT IS:

APPROVED: Return to Contracting Officer to issue award.

DISAPPROVED: Cases that are not ratifiable in accordance with FAR 1.602-3(d) may be subject to resolution as recommended by the Government Accountability Office under its claim procedure (GAO Policy and Procedures Manual for Guidance of Federal Agencies, Title 4, Chapter 2), or as authorized by FAR Subpart 50.1. Legal advice should be obtained in these cases. (a) Up to $10K approval of Chief of the Contracting Office


SIGNATURE

DATE

(b) Over $10K Up To $100K Approval of PARC/SCO; Over $100K review of PARC/SCO.


SIGNATURE

DATE

(c) Over $100K review of CJA (review attached in Part IIB)


SIGNATURE

DATE

(d) Over $100K Approval of Head of Contracting Activity


SIGNATURE

DATE


Page 178

5153.120-5012 C3 SAMPLE UAC LOG (Use Excel version)


CONTROL NO.DATE UAC PKG

RCVDACTIVITY REQUESTING

RATIFICATIONDSECRIPTION OF REQUIREMENT

DATE UAC OCCURRED

VENDORDOLLAR VALUE

UAC DECISION AUTHORITY

STATUSDATE

(Approved/ Disapproved)

REMARKSCONTRACT NO. (If Approved)

RCC/DIV APPROVEDPARC/SCO DISAPPROVED

C3 HCA

Page 179

5153.120-5013 C3 SAMPLE WARRANT APPLICATION

AUTHORITY: FAR 1.603, Selection, appointment and termination of appointment. PURPOSE: To ensure an applicant possesses the training, experience and education which meets the requirements of the Defense Acquisition Workforce Improvement Act (DAWIA) and DOD Directive 5000.52, prior to issuance of a Contracting Officer warrant.

APPLICANT DATA Attach a current SURF, ORB, ACRB, etc.

Name: [ Type in your name ] Current Rank/Grade/Position: [Rank/Grade/Position] Permanent Duty Station: [Enter Your Permanent Duty Station] Current Duty email: [Enter Current Duty E-Mail] Current Duty Phone: [Enter Phone Number] Unit of Assignment: [Enter Current Unit of Assignment] Estimated Arrival Date: [ Enter Est Arrival Date] Estimated Departure Date: [Est Departure Date]

DAWIA CERTIFICATION Submit DAWIA Certificate(s) with application

DAWIA Contracting Certification Level: [DAWIA Level] Field of Secondary Certification (if none enter “N/A”): [If Applicable, Enter Field of Secondary Certification] DAWIA Secondary Certification Level, if Applicable (or “N/A”): [DAWIA Level]

TRAINING Delete any unused fields below

DAWIA training completed for next highest level of certification (Circle N/A if Level III certified): N/A COURSE NAME DATE [ Training Course Name ] [Course Date] [ Training Course Name ] [Course Date] [ Training Course Name ] [Course Date]

EXPERIENCE Enter “N/A” if fields below are not applicable

Total years/months of contracting experience: [Years/Months] Total years/months of construction contracting experience: [Years/Months] Total years/months of services contracting experience: [Years/Months] Total years/months of commodities contracting experience: [Years/Months] Approximate Number of Source Selections: [Enter Number]

SOURCE SELECTION EXPERIENCE Explain role, complexity, etc., below.

[Enter description of source selection experience. If none, etner "N/A" in this field]

Page 180

CONTRACTING EXPERIENCE

Submit an up-to-date SURF, ORB, ACRB, Resume, or other documentation that can provide this information or complete the below (add additional lines, if necessary, or delete unused fields.)

Dates Position/Grade/Duty Location [Inclusive Dates] [ Insert Position / Grade / Duty location ] [Inclusive Dates] [ Insert Position / Grade / Duty location ] [Inclusive Dates] [ Insert Position / Grade / Duty location ] [Inclusive Dates] [ Insert Position / Grade / Duty location ] [Inclusive Dates] [ Insert Position / Grade / Duty location ] [Inclusive Dates] [ Insert Position / Grade / Duty location ]

PREVIOUS WARRANTS HELD Delete any unused fields below

Date Issuing Agency Warrant Authority/Amount [Date of Warrant] [Warrant Issued By (Agency)] [Warrant Authority Dollar Amount] [Date of Warrant] [Warrant Issued By (Agency)] [Warrant Authority Dollar Amount] [Date of Warrant] [Warrant Issued By (Agency)] [Warrant Authority Dollar Amount] [Date of Warrant] [Warrant Issued By (Agency)] [Warrant Authority Dollar Amount]

EDUCATION Enter “N/A” if fields below are not applicable

Highest Degree Obtained: [Highest Degree Obtained] Year: [Year Degree Obtained] Major Field(s) of Study: [ Enter Field Of Study ]

OR Enter “N/A” if fields below are not applicable

Total Hours Completed: [Enter Total Hours Completed and identify SEMESTER or QUARTER hours] Business Hours Completed: [Enter Total Hours Completed and identify SEMESTER or QUARTER hours] Major Field(s) of Study: [ Enter Field Of Study ]

APPLICANT CERTIFICATION I hereby certify that the information provided above is accurate and complete. Further, I certify that I have read and understand the C3 Acquisition Instruction. Signature: _________________________________ Typed/Printed Name: [ Type in your name ]

Page 181

DIVISION/REGIONAL CONTRACTING CENTER CHIEF / CCTFO ENDORSEMENT The above designated individual possesses the experience, training and education, and to the best of my knowledge, the necessary business acumen, judgment, character, and reputation necessary to be appointed as a Contracting Officer. Recommended Warrant Authority/Amount: __________________ Signature: _________________________________ Typed/Printed Name: _________________________________

OSCO / CCTFO REVIEW Mark the appropriate office

IRAQ Afghanistan CCTFO DAWIA Certification at Appropriate Level: YES NO * (If “No” provide comments below) _____________________________________________________________________________________________ Experience at Appropriate Level: YES NO * (If “No” provide comments below) _____________________________________________________________________________________________ Education at Appropriate Level: YES NO * (If “No” provide comments below) _____________________________________________________________________________________________ Staff Recommendation: ____________________________________________________________________________________________

SCO RECOMMENDATION Approved: Disapproved: * (*Provide reason for disapproval below) _____________________________________________________________________________________________ Signature: ________________________________________ Typed/Printed Name: ________________________________________

C3 HQ Policy (when required) N/A: Approved: Disapproved: * (*Provide reason for disapproval below) _____________________________________________________________________________________________ _____________________________________________________________________________________________ Signature: ________________________________________ Typed/Printed Name: ________________________________________

Warrant Issue Date: ____________________ (Return to Format Index)

Page 182

5153.120-5014 C3 COMMANDERS CRITICAL INFORMATION REQUIREMENTS REPORT (CCIR) (Use Excel version)


C3 CCIR Email Link

a.

b.

c.

d.e.f.g.h.i.j.k.

l.

m.

n.

o.

p.

a, b, c, d, e, f, g, h, j, l, o, p

This form is also referenced in the C3 Acquisition Instruction as: AI Form 5153.120-5014

Any contract awarded to a State owned Enterprise (SOE).

C3 COMMANDER'S CRITICAL INFORMATION REQUIREMENTS REPORT (CCIR)

Contractor protests at any level.

Cure Notice for contract >$1M; Show Cause Notice for contract >$1M; Termination for Default/Cause decision>$1M.

Serious injury, or death, of any C3 military or civilian; or lost accountability of sensitive items.C3 incident that deals with a potential violation of EEO, UCMJ, etc.

CCIR : Incidents involving a contract action or issue that is likely to garner General Officer, media, or Congressional level attention.

Incidents involving intimidation and/or threats to a contractor that have the potential to impact contract performance. (Update weekly until concern is resolved.)Significant Host Nation business/contracting training event conducted by C3. (Attendance by 25 or greater HNs).

CCIR Report Date:

Contracting action that demonstrates Iraqi or Afghan Ministerial proficiency or ineffectiveness.

Unauthorized commitment of funds resulting in a ratification action > $100K.

Verified or suspected fraud, waste & abuse at any level.Contractor performance issues leading to potential mission failure.

Follow on report required for the following CCIR as directed by J3 CUOPS:

Any critical or major findings assessed to an open contract during a Procurement Management Review (PMR)

Describe Event (who, what, when, where, why, how much):

Follow-Up Actions Required (Completed by CUOPS):

CCIR Form 1 - as of 1 September 2010. Previous editions are obsolete.

Award of a new contract to a Private Security Company.Any threat or attack (physical or electronic) against, or in the vicinity of a C3 operation, facility, organization or personnel.

Note: Send all CCIRs and updates viaSIPR to:

CCIR POC with Contact Information: (Include RCC info)

Violation of Personal Freedoms -- Trafficking in Person's Violation.

Information Requirements :

CCIR Title

Page 183

5153.120-5015 C3 SERVICE AND CONSTRUCTION CONTRACT FILE INDEX SOLICITATION NO: CONTRACT NUMBER: CONTRACT TYPE: PR NUMBER: TITLE: CONTRACTOR:

TAB NO.

A—SOLICITATION DOCUMENTS

INCL

N/A

DATE

COMMENTS

A1 Acquisition Plan (FAR 7.1) (DFARS 207.1) (AFARS 5107.1) & Milestones A2 SOW/PWS/SPECIFICATIONS/SALIENT CHARACTERISTICS A3 PR/MIPR/Supporting Documents/Proof of Funding/IGCE A4 Small Business Coordination Record (DD Form 2579)

(DFARS 219.5) (AFARS 5119)

A5 Source List/Solicitation Mailing List

A6 Market Research (FAR 10) A7 Government-Furnished Property List (FAR 45) A8 Determination & Findings Contract Type [Incentive: FAR 16.4; T&M: FAR 16.601(c)(1)]

Equipment Lease vs. Purchase (FAR 7.4; if >$1M, see Policy Alert 07-04))

Commerciality Determination (FAR 12)

Personal/Professional Services (DFARS 237.104)

Undefinitized Contract Action-Certification of Urgency (DFARS 217.74)

Warranties (FAR 46.7)

Liquidated Damages (FAR 36.206)

Multi-Year (DFARS 17.103-1)

Use and Evaluation of Options (FAR 17.206)

Buy American Act Determination (FAR 25)

Determination Approving Consolidation of Contract Requirements (DFARS 207.170)

Approval for Single Award To/DO Contracts >$100M (Policy Alert 08-31)

Approval for Nonperformance-Based Services Contracts (DFARS 237.170-2)

Other (include title of D&F here)

A9 Civilian Hire/Approval to Initiate a Contract for Services (Policy Alert 08-29)

A10 Synopsis (FAR 5.101 & 5.2) (OR Waiver)

A11 Justification for Other than Full and Open Competition (FAR 6.3)

A12 Presolicitation Notice/Responses (FAR 15.202) (FAR 5.204)

A13 Security Requirements (DD 254) (FAR 4.403) (AFARS 5104.403)

A14 Determination of Contractor Responsibility/Non-Responsibility ( FAR Subpart 9.4 and 9.105-1(c) http://www.epls.gov/)

A15 Contracting Officer Representative (COR) Nomination Letter(s) & COR Training Certificate(s)

A16 Legal Review (and additional reviews = i.e. Policy)

A17 Wage Rate Determination SF-98/98A (DFARS 222.1008)

A18 Army Services Strategy Panel Review/Acquisition Strategy (Services) (AFARS 5137.590)

A19 Solicitation (including Amendments) A20 Miscellaneous Correspondence/Memoranda

A21 Preproposal Conference/Site Visit/Minutes

http://contracts.navair.navy.mil/onedoc.cfm�

http://www.epls.gov/�

CONTRACT FILE INDEX

Page 184

TAB NO.

SECTION B—BID/PROPOSAL REVIEW

INCL

N/A

DATE

COMMENTS B1 Abstract of Bids or Summary of Proposals (FAR 14.4/15.4)

B2 No Proposal Correspondence/Record of Late Bids/Proposals

B3 Prenegotiation Conference/Briefing Minutes

B4 Verification of Bids/Proposals—Disposition of Mistakes in Bids/ Proposals

B5 Unsuccessful Bids/Proposals—Disposition of Mistakes in Bids/ Proposals

B6 Successful Bid/Proposal

B7 Cost/Pricing/Audit Reports

B8 Record of Technical Evaluation

B9 Source Selection Documentation (FAR 15.3) Source Selection Plan (see Army Source Selection Manual) Source Selection Appointment Letters (SSAC/SSEB) Nondisclosure Statements Competitive Range Determination [FAR 15.306(c)] Evaluation notes [FAR 15.305(a)(3)] Discussion questions and contractor responses [FAR 15.306(d)(3)] SSA Decision (FAR 15.308)

B10 Record of Negotiations (PNM/Narrative of Contracting Action)

B11 Certificate of Current Cost or Pricing Data (or waiver) (FAR 15.406-2)

B12 EEO Compliance Request & Approval (over $10M) (FAR 22.805)

B13 Correspondence Relating to EEO

B14 Request/Results of Preaward Survey

B15 SBA Certificate or Denial of Certificate of Competency (FAR 19.602)

B16 Determination of Contractor Responsibility/Non-Responsibility [FAR 9.4 and 9.105-1(c)] http://www.epls.gov/

B17 Protest before Award and Documents Relating to the Protest

B18 Miscellaneous Correspondence/Memoranda

B19

B20

B21

B22

B23

http://www.epls.gov/�

CONTRACT FILE INDEX

Page 185

TAB NO.

SECTION C—CONTRACT REVIEW AND AWARD

INCL

N/A

DATE

COMMENTS

C1 Contract Action Report (CAR)/Synopsis of Award/Notice of Award

(FAR 4.602)/(FAR 5.3) (DFARS 205.3)

C2 Post-Award Conference Minutes (FAR 42.503-3)

C3 Post-Award Contractor Debriefing Documentation (FAR 15.506)

C4 Legal Review

C5 Contract Review Committee(s)

C6 Contract Distribution List/Transmittal Notice

C7 Notice to Proceed (and Receipt)

C8 Make or Buy Program (program and evaluation) (FAR 15.407-2)

C9 Subcontracting Plan and Review (FAR 19.702) � Plan not required pursuant to _____________________________ � Plan goals less than required by regulation � Plan reviewed and approved

C10 Contract (see Section D)

C11

C12 Congressional Notification [FAR 5.303 & DFARS 205.303(a)]

C13 COR Appointment Letter(s) [DFARS 201.602-2(5)]

C14 Notification to Unsuccessful Offeror(s) (FAR 15.503)

C15 Notification to Successful Offeror(s) (FAR 15.504)

C16 CICA Override Documentation/Approval to Award a Contract Notwithstanding a Protest (AFARS 5133.104(b))

C17 Notification to DPAPSS of Protest >$1B for Services or Major Defense Acquisition Programs (Policy Alert 08-09)

C18 Protest Documentation

C19 Modifications & Supporting Documentation SEE TAB D

C20 Miscellaneous Correspondence/Memoranda

CONTRACT FILE INDEX

Page 186

TAB NO.

SECTION D—CONTRACT

INCL

N/A

DATE

COMMENTS

D1 Updated Contract

� Official File Copy � Filed separately under ___________________________________

D2 Modifications – including ACO mods & Back-up Documentation

D3 Modification Log

CONTRACT FILE INDEX

Page 187

TAB NO.

SECTION E—POST-AWARD DOCUMENTS

INCL

N/A

DATE

COMMENTS

E1 Protest after Award (FAR 33.101) SEE TAB C18

E2 Mistakes Disclosed After Award

E3 Miscellaneous Post-Award Correspondence

E4 CICA Override Documentation/Approval to Award a Contract Notwithstanding a Protest [AFARS 5133.104(b)}

SEE TAB C16

E5 Notification to DPAPSS of Protest >$1B for Services or Major Defense Acquisition Programs (Policy Alert 08-09)

SEE TAB C17

E6 Modifications & Supporting Documentation SEE TAB D

E7

CONTRACT FILE INDEX

Page 188

TAB NO.

SECTION F—SERVICES CONTRACT ADMINISTRATION

INCL

N/A

DATE

COMMENTS

F1 Contract Administrator’s Review Documentation

F2 Quality Assurance Surveillance Plan (FAR 46.103) (AFARS 5137.590)

F3 COR Reports/Schedules/Checklists & Contractor Discrepancy Reports

F4

F5

F6

F7

F8

TAB NO.

SECTION FF—CONSTRUCTION CONTRACT ADMINISTRATION

INCL

N/A

DATE

COMMENTS FF1 Notice to Proceed/Contract Receipt (FAR 36.5)

FF2 Payment & Performance Bonds/Checklist & Insurance Certification (FAR 28)

FF3 Contractor’s Safety Program/Minutes of Preconstruction Safety Conference (FAR 36.3)

FF4 Contractor Progress Reports

FF5 Government Progress Reports

FF6 Completed/Superseded Progress Schedule(s)

FF7 Inspector Historical Log

FF8 Evaluation of Construction Contracts SF 1420 & Release of Claims

FF9

FF10

CONTRACT FILE INDEX

Page 189

TAB NO.

SECTION G—GENERAL CONTRACT ADMINISTRATION

INCL

N/A

DATE

COMMENTS

G1 Preperformance Conference & Prefinal Payment Checklist

G2 Delivery/Task Orders

G3 Persons Authorized to Place Calls (FAR 16.7)

G4 Contract Progress Meetings

G5 Delinquency Documents/Actions/Responses (Cure/Show Cause Notices/Liquidated Damages Data)

G6 Site Visit Documentation

G7 Vehicle Passes/Insurance Documents

G8 Personnel Passes/Access Lists/Violations

G9 Recurring Reports (DD 250) Invoices/Payment Vouchers/ Expenditure Logs

G10 Miscellaneous Correspondence/Memoranda

G11 Contract Administration Summary Sheet

G12 Prefinal Payment/Final Acceptance

G13 Contract Closeout Documentation (FAR 4.804) (DFARS 204.804) � Final Material & Inspection Reports (DD 250) � Classified Material Disposition � Contract Completion Statement (DD 1594) � Final Performance Assessment Report � Final Patent/Royalty Reports Cleared � Contract Closeout Checklist (DD 1597) � Other Closeout Documents: ______________________________ ______________________________________________________

G14 Delegation of Contract Administration to DCMA (FAR 42.302) SEE TAB D

G15

G16

CONTRACT FILE INDEX

Page 190

TAB NO.

SECTION H—DRAWINGS/SPECIFICATIONS/SUBMITTALS

INCL

N/A

DATE

COMMENTS

H1 Drawings/Current/Superseded

H2 Specifications

H3 Material Submittals

H4 Miscellaneous Correspondence/Memoranda

H5

H6

H7

H8


Page 191

5153.120-5016 C3 SAMPLE PURCHASE ORDER FILE INDEX

55115533..112200--55001166

PPUURRCCHHAASSEE OORRDDEERR IINNFFOORRMMAATTIIOONN

PR&C #: Project Title:

Contract #: Contractor:

KO: COR:

C3 PURCHASE ORDER FILE INDEX

TAB NUMBER DOCUMENT CHECK IF INCL

1 PURCHASE REQUEST PACKAGE (PR&C, AF FORM 9, SOW, ETC.) 2 PURCHASE REQUEST COORDINATION/JARB (AS REQUIRED) 3 MARKET RESEARCH/LEASE VS. BUY ANALYSIS 4 JUSTIFICATION & APPROVALS/SOLE SOURCE/BRAND NAME (AS REQUIRED) 5 PUBLICIZING/BA RESOURCE DATA

6 REQUEST FOR QUOTE/AMENDMENT(S)

7 UNSUCCESSFUL QUOTES 8 SUCCESSFUL QUOTE 9 CONTRACTOR RESPONSIBILITY/NON HOST NATION AWARD LETTER

10 ABSTRACT OF QUOTES/ PRICE FAIR AND REASONABLE DETERMINATION 11 POLICY/RCC REVIEW COMMENTS (POLICY/LEGAL >$1M)(RCC >$250K) 12 AWARD DOCUMENT/MODIFICATION(S)/OPTION(S) 13 COR REPORTS/COR CORRESPONDANCE/QASP (AS REQUIRED) 14 MISCELLANEOUS DOCUMENTATION (TO INCLUDE ALL MFRS) 15 TERMINATION NOTICE/LEGAL CONSULTATION (AS REQUIRED) 16 INVOICE/DD 250S/PAYMENT VOUCHER(S)/PAYMENT LOG (LEFT SIDE FOLDER) 17 CONTRACT CLOSEOUT (DD 1594)/RELEASE OF CLAIMS (ON TOP)

THIS IS A SAMPLE PAGE ONLY

Purchase Order Status / Distribution Information CONTRACT STATUS DISTRIBUTION DATES

AWARD DATE: CONTRACTOR:

ESTIMATED DELIVERY: FINANCE:

ESTIMATED COMPLETION DATE: CUSTOMER:

INVOICE RECEIVED: DATE INPUT TO JCCS:

INVOICE PAID: DATE INPUT TO PIIN LOG:

CONTRACT CLOSEOUT:

Page 192

5153.120-5017 C3 SAMPLE TASK ORDER FILE INDEX

5153.120-5017 W91GDW-10-D-XXXX Task Order No. XXXX

CONTRACT NO. AND TASK/DELIVERY ORDER NO: PROJECT TITLE: PR&C NO. & TYPE OF FUND: CONTRACTOR NAME: KO: COR NAME AND UNIT:

C3 TASK ORDER FILE INDEX TAB NUMBER DOCUMENT CHECK IFINCL

1 Purchase Request Package (PR&C, SOW, etc.) Purchase Request Coordination/JARB/Letter of Justification

2 Miscellaneous Pre-Award Documents/D&F/Correspondences

3 J&A’s & Reviews (as required)

4 Award D&F/Memo & Reviews (Legal/Policy)

5 Task/Delivery Order & Modifications

6 Contract Distro/Notice to Proceed

7 COR Appt letter/ COR Reports/ /QASP (as Required)

8 Contractor Monthly Report (Census, status etc) 9 Miscellaneous Post-Award Documentation (To include all MFRs) 10 Invoice/DD 250’s/Payment voucher(s)/Payment Log 11 Contract Closeout (DD 1594/DD1597)/Release of Claims (On Top)

THIS IS A SAMPLE ONLY

TASK/DELIVERY ORDER STATUS / DISTRIBUTION INFORMATION

Contract Status Distribution Dates and E-mail PERIOD OF PERFORMANCE: CONTRACTOR:

DBA INSURANCE DATE AND VALIDITY: C-8/RM:

LAST MOD: CUSTOMER:

Page 193

5153.120-5018 C3 CCTFO CONTRACT CLOSOUT/ARCHIVING PRE-SHIPPING CHECKLIST TAB A

(Use Excel version)

Name of Issuing Office

Firm-Fixed Price Payment Office DODAAC:

1 Yes No N/A

a

b

c

d

e

f

g

2

a

b

c

3

a

b

c

d

4

a

b

c

5

a

b

c

Notes

Complete this form in its entirety.

(a) All responses should be answered affirmatively and/or not applicable. Submission of this form indicates the issuing activity exhibited all due dil igence necessary in an attempt to locate and correct missing item(s) prior to shipment.

(c) Has the contract been screened to verify no classified information is included in the contract fi le? If classified information is found, follow established secure environment contracting requirements, to include de-classifying and

purging classified documents. Only ship non-classified fi les to the C3 CCTFO.

(b) Has contract been closed?

Do total obligations match the total disbursements?

Contract Documents

Government Property (IF APPLICABLE)

Material Receipt and Acceptance Documentation

Financial Records

(d) Complete this form in its entirety as San Antonio will be the central collection point prior to formally archiving the contract.

Is obligation history complete and contained in the fi le (i .e.: Modification Index)?

Is a letter from the contractor contained in the fi le indicating government property has been properly dispositioned?

Has all government property been dispositioned?

For contracts awarded prior to June 2007, is a DD 1662 (DOD Property in Custody of the Contractor) contained in the fi le?

Is a DD 1593 (Contract Administration contract records) contained in the fi le?

Have all deliverables and/or services been received and accepted by the government?

Are all the material, receipt and acceptance documents (DD 250s) properly completed? (DFARS Appendix F)

5153.120-5018 C3 CCTFO CONTRACT CLOSEOUT/ARCHIVING - PRE-SHIPPING CHECKLIST TAB A(Fill out this form electronically; print and place in the contract file.)

Contract Number:

Contract Type:

Contractor Name:

Are all the material, receipt and acceptance documents (DD 250s) contained in the fi le? If the receiving activity has departed the theater, please provide any available contact information. ____________________________.

Is disbursement history complete and contained in the fi le?

Is C3-I/A the issuing office of the contract?

Reviewer Initials

Conditions for NOT shipping to CCTFO: If any response to the Section 1 questions is "No" DO NOT SHIP TO CCTFO, but DO complete the entire form to identify other necessary items.

"X" Accordingly

Is the contract unclassified? IF NO, Purge, if possible, to remove Classified information.

Is the contract definitized?

Has contract administration authority been retained by an entity of C3-I/A?

Prior to shipping the basic contract/agreement, have all delivery/task orders been physically completed and accepted? (Note: All orders associated with an IDIQ must be shipped with the basic. Orders associated with a BPA may be shipped upon physical completion of each individual order, as they are contracts unto themselves.)

Are all claims and terminations settled and properly documented in the contract fi le?

Are all l itigations/appeals settled and properly documented in the contract fi le?

Is the contract, including all modifications, contained in the fi le?

Are all pre-award documents complete and contained in the fi le?

Are all post-award documents complete and contained in the fi le?

Page 194

TAB A (continued)

(Use Excel version)

6

a

b

c

d

e

f

g

h

i

j

k

l

m

7

a

b

c

d

d

e

f

g

h

i

j

k

l

m

n

8

a Mail all

boxes to:

b

Name of individual packing the box:

Name of the individual reviewing/confirming pre-shipping procedures were followed:

Phone number of individual packing the box:

Mailing InstructionsContract Closeout Task Force,

615 E Houston Street, Garcia Federal Office Building, Suite 287 Admin Branch,San Antonio, TX 78205

Upon mailing, e-mail the latest copy of the Contract Closeout/Archive Tracker to _______ TBD___________.

Use pre-printed shipping label (print/copy as needed)

Boxing Procedures

Carrier: USPS

Date shipped/picked up by carrier

Are the fi les sequentially ordered alpha/numerically (front to back and lowest to highest)?

Has the exterior of the box been labeled in accordance with box instructions?

Boxes will be tracked by Shipper's tracking number and by date shipped and box number (x of xxx) for reference purposes.

Office: (i .e.: TWR-A, RCC Baghdad, RCC Bagram)

Box X of XXX

Classify fi le and box as necessary.

Has the exterior of the box been classified properly according to box contents?

Does the box contain fi les that are "to be closed" or "contracts that are closed," but not a mixture of both?

Tracking Records

Type Names/Numbers Below

Phone number of individual reviewing/confirming pre-shipping procedures were followed:

Does the box contain fi les with the same contract type?

Is a completed and signed pre-shipping checklist included in each fi le contained in each box?

Is the box full?

Is a l ist, by contract number and number of fi le folders for each contract, contained in each box?

Is a shipping label and bar code included in the box?

Have pre-printed shipping labels and bar codes been properly affixed to box(es)?

Have the boxes been numbered properly? (i .e.: Box 1 of 10)

For each shipment, enter the following into the your local Contract Closeout/Archive Tracker spreadsheet:

Date packed

Carrier's tracking number (USPS tracking number)

5153.120-5018 C3 CCTFO CONTRACT CLOSEOUT/ARCHIVING - PRE-SHIPPING CHECKLIST TAB A(Fill out this form electronically; print and place in the contract file.)

Box contains "open" (contracts to be closed) or "closed" (contracts for archiving) fi les

Contract numbers of fi les contained in each box (no hyphens)

Has the proper box style been obtained? (Box Style: 2, Size C, NSN: 8115-00-117-8249)

Page 195

TAB B (Use Excel version)

DODAAC#:

PR & C #:

CONTRACTOR:

A1 Yes No N/A

abcd

e

fh

iB1abcdefghijk

C2acdefghijkl

mnopqr

s

D1abcdef

Conditions for NOT shipping to CCTFO: If any of your answer to the below questions is yes; do not ship to CCTFO.

Pre-solicitation documents

Contract Closeout Process

Pre-award closeout documents

Contract Documents

Contract File Index Reference (Refers to FAR and/or DFARS, unless otherwise noted.)

Are funding documents and government estimates complete and in the fi le?Are pre-sol ici taton notices and responses complete and in the fi le?

Is the contractor's clos ing s tatement complete and in the fi le?

Are plant and property clearance reports received, complete and in the fi le?Are a l l interim or disa l lowed costs settled, complete and in the fi le?

Is the advance acquis i tion plan complete and in the fi le?Is the ini tia l memorandum/project documents and related documents complete and in the fi le?

Are sol ici tation, amendments and reviews complete and in the fi le?

Is source selection documentation complete and in the fi le?

Is the termination docket complete and in the fi le?

Is the sole source justi fi cation and approval complete and in the fi le?

Are a l l waivers , determinations and findings complete in the fi le?

Are pre-bid conference, minutes , s i te vis i ts and RFIs complete and in the fi le?Is miscel laneous correspondence complete and in the fi le?

Are bids , performance, payment, or other bond documents complete and in the fi le?Are the bidder's mai l ing l i s t complete and in the fi le?

Is the purchase request, acquis i tion planning information, and other pre-sol ici tation documents in fi le?

Are price revis ions complete and in the fi le?

Has the contract been reviewed to determine i f excess funds?

Are subcontracts settled by the prime contractor complete and in the fi le?

Is the contract audit complete and in the fi le?

Is the contracting officer's determination of the the contractor's respons ibi l i ty?

Are field change documents complete and in the fi le?Is miscel laneous correspondence complete and in the fi le?Are DD 250s for contract and modi fications complete, s igned and in the fi le?Is dis tribution of contract/modi fications complete and in the fi le?

Is cost or price analys is and/or information other than cost or pricing data complete and in the fi le?Is the record of negotiation complete and in the fi le?

5153.120-5018 C3 CCTFO CONTRACT CLOSEOUT/ARCHIVING - PRE-SHIPPING CHECKLIST TAB BCONTRACT NO

CONTRACT TYPE:

FISCAL YEAR

Was the contract adminis trative delegated to DCMA? IF yes , the contract must remain with DCMA and not be shipped.Are BPA/Task order/del ivery order/GSA Orders/IDIQs individual ly completed prior to shipping the bas ic contract/agreement?

Are there outstanding cla ims and terminations to be resolved at C3-I/A prior to shipment? Is the contract under l i tigation or under appeal?

Is the contract a LOGCAP Contract?

"X" Accordingly

Is the contract awarded by another enti ty other than C3-I/A?

Is the contract complete and in the fi le?Are modi fications a long with documentation complete and in the fi le?

Is the contract class i fied? Is the contract a letter contract or UCA?

Are a l l proposa ls , including evidence of required securi ty clearnces complete and in the fi le?

If appl icable, i s the technica l eva luation of proposa l/bids & other related documents complete and in the fi le?Is the l i s t of sources sol ici ted and any denia l requests complete and in the fi le?

Is the notice to proceed and any overtime premium approvals granted at the time of award?Are any additional documents on which action was taken or that reflect actions by the contracting office pertinent to the contract complete and in the fi le?

Page 196

TAB B (continued) (Use Excel version)


E1

a

bcdef

g

h

i

j

k

F1abcdefghijk

G1abcd

H1a

b

c

Pre-Shipping File ReviewAwarded by (Organization):Contract/Purchase Order #:Task/Delivery Order/GSA Order/BPA Call#Type of Contract:

File reviewed by: (Printed Name) _______________________________ (Date) _____________

(Signature of Reviewer)________________________________________

Reviewer e-mail address: ____________________________________________________

Reviewer phone number: _____________________________________________________

__________________________________________Approval for SBranch Chief’s SignatureComments:

File: Contract FileDocument I.D.: C3 CCTFO Contract Closeout/Archiving - Pre-Shipping Checklist

Post-award Documents

Contract Performance and Payment Documents

Drawings and Submittals

Disposition of Government Property

Are funds expenditure log/invoices complete s igned and in the fi le?

If appl icable, i s the partnering agreement complete, s igned and in the fi le?

Are pre-performance conference documentation complete and in the fi le?Is the certi fi cate of insurance complete, s igned and in the fi le?

Is miscel laneous correspondence complete and in the fi le?

Are contractor progress reports and other pertinent correspondence complete and in the fi le?

Was a review performed to ascerta in whether the funds are "excess" or "remaining" to the contract requirements?

Upon completion of the review, was the funds ba lance i f excess deobl igated via modi fication or Q fina led because they are remaining funds?

Are progress schedules complete and in the fi le?

If appl icable, are debriefing documents complete and in the fi le?Are payment and performance bonds complete and in the fi le?

Is award notice complete and in the fi le?

Is synops is of award or reference complete and in the fi le?

Is contract close-out documentation complete and in the fi le?Is warranty ca l l documentation complete and in the fi le?

5153.120-5018 C3 CCTFO CONTRACT CLOSEOUT/ARCHIVING - PRE-SHIPPING CHECKLIST TAB B

Are government progress reports and other pertinent correspondence complete and in the fi le?Are inspection documents complete and in the fi le?

IF appl icable, has proper dispos i tion of government property, which include reporting of a l l government property, government reviews of the report, and speci fic ins tructions as to whether the property i s to be shipped, left in place, or scrapped?

Does the contract conta in property clauses? IF so, fol low the dispos i tion reference based on the clause.

Is materia l approval submitta l l i s t complete and in the fi le?

Are notice to proceed, s top orders , and any overtime premium approvals granted at the time of award, complete and in the fi le?

If appl icable, are warranty documents complete and in the fi le?Is pre-fina l payments checkl i s t complete and in the fi le?Is release of cla ims documents complete and in the fi le?Is miscel laneous correspondence complete and in the fi le?

If appl icable, are drawingd, both current and superseded complete and in the fi le?Are speci fications and technica l addendums complete and in the fi le?

IF appl icable, has a l l government property been dispos i tioned?

Is miscel laneous correspondence complete and in the fi le?

Page 197

5153.120-5019 C3 SAMPLE FORMAT FOR A JUSTIFICATION REVIEW DOCUMENT FOR OTHER THAN FULL AND OPEN COMPETITION


Control No:

Justification Review Document for Other Than Full and Open Competition

Program/Equipment:

Authority:

Amount:

Prepared by: Typed Name: DSN: ____________________ Title: Date: ____________________ E-mail:__________________________

Contracting Officer: Typed Name: DSN:______________________ E-Mail: Date Reviewed: _____________

Technical Representative: Typed Name: DSN:______________________ Title: Date Reviewed: _____________

Requirements Representative: Typed Name: DSN: ______________________ Title: Date Reviewed: _____________

Page 198

Control No:


Reviews: I have reviewed this justification and find it adequate to support other than full and open competition. Requiring Activity Management: Typed Name: DSN: ______________________ Signature: ____________________ Date: ____________________ Legal Counsel Typed Name: DSN: ______________________ Signature: ____________________ Date: ____________________ If over $85.5M Principal Assistant Responsible for Contracting/Senior Contracting Official: Typed Name: DSN: _______________________ Signature: ____________________ Date: _______________________ If over $85.5M C3 Special Competition Advocate: Typed Name: DSN: _______________________ Signature: ____________________ Date: _______________________ If over $85.5M C3 Head of the Contracting Activity: Typed Name: DSN: _______________________ Signature: ____________________ Date: _______________________

Page 199

Control No:

Justification and Approval for Other Than Full and

Open Competition Justification

1. Contracting Activity: Specify the contracting activity responsible for this action.

2. Description of Action: State whether approval is being requested for a new contract or a modification. Include type of contract, type of funds to be used (R&D, OPA, OMA) and, when applicable, the estimated share and ceiling arrangements, and fee or profit.

3. Description of Supplies/Services: Describe the supplies/services. Include the estimated total value, including options, if any.

4. Authority Cited: Identify the statutory authority permitting other than full and open competition, followed by the FAR citation and FAR citation title.

5. Reason for Authority Cited: Describe how this action requires the use of the authority cited. If applicable, identify the proposed or potential contractor(s), and include a discussion of the proposed contractor’s unique qualifications for fulfilling the contract requirements. If the authority is FAR 6.302-1, include the required delivery schedule and lead-time involved. If the authority is FAR 6.302-2, include the required delivery schedule and lead-time involved as well as a discussion of the serious injury to the Government which would result if award of a contract is delayed.

6. Efforts to Obtain Competition: Describe efforts to ensure that offers are solicited from as many potential sources as is practicable. Also describe the extent of effective competition anticipated for this acquisition.

7. Actions to Increase Competition: There may be instances when it is not possible to compete the current acquisition. Include a statement of the actions taken, or to be taken, to increase competition (e.g., breakout) before any subsequent acquisition of the supplies or services. If the requirement is for a repair part, address whether or not it has been screened under DFARS Appendix E. If it has been screened, provide the Acquisition Method Code (AMC) and Acquisition Method Suffix Code (AMSC). Provide the approximate date the technical data package will be available.

8. Market Research: Describe the extent and the results of the market research (FAR Part 10) conducted to identify all qualified sources. Research must have been meaningful and conducted within the previous 12 months.

9. Interested Sources: Include a listing of the sources that have written to express interest in the acquisition. If applicable, clearly state that “To date, no other sources have written to express an interest.” If 10 U.S.C.2304(c)(1) is the authority cited, explain why other sources were rejected. Also, state that the notices required by FAR 5.201 shall be or have been published, and that any bids or proposals received shall be considered. If a CBD notice will not be published, state which exception in FAR 5.202 applies.

10. Other Facts: Discuss any other facts supporting the use of other than full and open competition, such as the following:

Page 200

Control No:


a. Procurement history. Reasonable efforts to retrieve the following items from computer records, contract files, competition advocate office files or other sources are expected:

(1) Contract numbers and dates of the last several awards.

(2) Competitive status of these actions.

(3) Authority previously used for less than full and open competition.

(4) If a justification was prepared to support the procurement made before this one, a summary of the contents of paragraph 7 of the justification for that procurement and an explanation of the results.

(5) If any prior award was accomplished by full and open competition, a detailed explanation of the changed circumstances.

(6) An explanation of any unusual patterns which may be revealed by the history, e.g., several consecutive, urgent buys.

(7) If a justification was prepared to support the procurement made before this one, briefly describe the circumstances justifying the buy and whether there have been any significant changes.

b. Acquisition data availability. Explain why technical data packages, specifications, engineering descriptions, statements of work or purchase descriptions suitable for full and open competition have not been developed or are not available. Describe actions taken or planned to remedy this situation.

c. Unusual and compelling urgency. When FAR 6.302-2 is cited, provide data, estimated cost or other rationale to explain the nature and extent of the injury to the Government. If the delay associated with the requirement for first article testing is the principal reason for not awarding the contract on a full and open basis, clearly describe the reasons that first article testing is required on this procurement and why other means of assuring quality are not being used.

d. Subcontracting competition. In single source situations, address efforts to be taken by the Government to assure that the prime contractor obtains as much competition as possible in its subcontracting.


Page 201

Control No:


11. Technical Certification: Include the following statement:

I certify that the supporting data under my cognizance which are included in the justification are accurate and complete to the best of my knowledge and belief.

Typed Name: Date: ___________________ Title: Signature: _______________

12. Requirements Certification: Include the following statement:

I certify that the supporting data under my cognizance which are included in the justification are accurate and complete to the best of my knowledge and belief.


13. Fair and Reasonable Cost Determination: Include the following determination:

I hereby determine that the anticipated cost to the Government for this contract action will be fair and reasonable.

Provide the basis for this determination (e.g., describe techniques to be used to determine fair and reasonable price, such as cost analysis, price analysis, audit, should cost, independent Government estimate, etc.). As part of this basis, indicate whether certified cost or pricing data will be required or if one of the exceptions in FAR 15.403 will apply.


14. Contracting Officer Certification: This certification shall be made by the contracting officer who will sign the contract resulting from this justification and approval. Include the following statement:

I certify that this justification is accurate and complete to the best of my knowledge and belief.



Page 202

Control No:


If below $650K:

Approval

Based on the foregoing justification, I hereby approve the procurement of (state equipment/services being procured) on an other than full and open competition basis pursuant to the authority of 10 U.S.C.2304(c)(insert authority), subject to availability of funds, and provided that the services and property herein described have otherwise been authorized for acquisition.

Signature: _______________ Date: ___________________

Title: Contracting Officer

If greater than or equal to $650K but less than $12.5M:

Approval


Signature: _______________ Date: ___________________

Title: C3 Special Competition Advocate (or Alternate SCA)

If greater than or equal to $12.5M but less than $85.5M:

Approval


Signature: _______________ Date: ___________________

Title: Head of the Contracting Activity (or Designee)

Page 203

Control No:


If $85.5M or higher:

Approval


Signature: _______________ Date: ___________________

Title: Army Acquisition Executive


Page 204

5153.120-5020 C3 SAMPLE COMPETITION LOG (Use Excel version)

CONTROL NO.ACTIVITY REQUESTING

NON-COMPETITIVE ACTION

DESCRIPTION OF REQUIREMENT

TYPE OF JUSTIFICATION AUTHORITY DOLLAR VALUE

TOTAL NON-COMPETITIVE VALUE

OF THE ENTIRE CONTRACT AFTER

APPROVAL

APPROVAL LEVEL DATE APPROVED REMARKSINITIAL

CONTRACT EXPIRATION

EXPIRATION DATE AFTER APPROVAL

DATE SYNOPSIZED (IF REQUIRED)

DATE POSTED (IF REQUIRED)

FAR SUBPART 13.106 TYPE SPECIFIC KO

FAR SUBPART 13.5 AUTHORITY CITED SCA OR ASCA

FAR SUBPART 6.3 (i.e. 6.302-1) HCA

FAR SUBPART 8.4 AAE

FAR SUBPART 16.5


Page 205

5153.120-5021 SAMPLE D&F FOR CONSOLIDATION OF CONTRACT REQUIREMENTS (D&F should be tailored for organizational use)

CENTCOM CONTRACTING COMMAND

[Name of Contracting Office]

DETERMINATION & FINDINGS For

[TITLE OF PROCUREMENT]

1. I have reviewed the requirement for [description of supply or service] that [requiring activity] proposes to solicit as a consolidated procurement action under 10 USC 2382. My review resulted in the following findings: …”

FINDINGS

1. The CENTCOM Contracting Command (C3), through its [name of Contracting Office], plans to solicit offers for [describe succinctly] and has conducted market research that demonstrates that consolidation of this procurement is both necessary and justified. 2. Description of the Procurement Action: Procurement is intended to [explain optimize the efficiency of the function, mission, what the contract is intended to do] including [estimated number of contracts]. [If a portion is targeted toward SB, describe briefly the provisions.] Primary NAICS code is [#]. Estimated total value for a base and four option periods…[or whatever] is $$$$$. 3. Applicable Statutes/Regulations: 10 U.S.C. 2382 (2004) and Defense Federal Acquisition Regulation Supplement, Consolidation of Contract Requirements, 69 Fed. Reg. 55986 (Sept. 17, 2004). 4. Results of Market Research: [Describe what market research was done. Other fed agencies, public announcements, sources sought, industry day forum, analysis of existing and similar services, private sector firms, associations etc. (Executive level limited details here, but refer to enclosure for full details if appropriate. Don't get into cost and benefits issues here)] 5. Alternative Contracting Approaches Involving a Lesser Degree of Consolidation, and Rationale for Rejection: [for each alternative approach, show all the following info – need not be subparagraphs if a single short discussion will do]:

(a) Quality; [Benefits of the consolidated approach exceed those expected for this alternative … (explain)]

(b) Acquisition cycle [Benefits of the consolidated approach exceed those expected for this alternative … (explain)]

(c) Terms and conditions; [Benefits of the consolidated approach exceed those expected for this alternative … (explain)]

(d) ID other benefit(s) [Benefits of the consolidated approach exceed those expected for this alternative … (explain)]

(e) Cost [Benefits of the consolidated approach exceed those expected for this alternative … (explain)] Note that if not quantifiable explain why not and upon what bases the determination was made that the consolidated approach is better. Note that savings in admin and personnel costs alone are not enough, but they can be included]

Page 206

6. Circumstances, facts, reasoning supporting the determination: [Supporting documents should be attachments – keep the discussion here brief and positive assertions. The "business decision" discussion. You can include here the use of award fee and aggressive subcontracting if those are mitigation strategies, for example, – but make it a sentence or two, not a dissertation – refer to attachments if need be.] 7. [An assertion that Measurably Substantial Benefits (and cost greater than 5%) are expected from consolidation. If a bundling analysis was done, it can be an attachment. If a bundling analysis did not need to be done, briefly explain that the contract is not considered substantial bundling because…….. …] An assertion that the agency is taking reasonable steps to mitigate the impact on BOTH competition AND small business.]

Page 207

DETERMINATION

Upon the basis of the findings above I hereby recommend, pursuant to the authority of 10 USC 2382, that the proposed consolidation of the requirements for [Services] is necessary and justified. _______________________ _______________ NAME DATE Procuring Contracting Officer Center/DOC Office Name CENTCOM Contracting Command

Page 208

[If PARC/SCO Level Approval Use]

APPROVAL Upon the basis of the findings above I hereby approve, pursuant to the authority of 10 USC 2382, that the proposed consolidation of the requirements for [Services] is necessary and justified. _______________________ _______________ XXXXX X. XXXXX DATE Senior Contracting Official - Iraq CENTCOM Contracting Command

[If HCA Level Approval Use]

Upon the basis of the findings above I hereby recommend, pursuant to the authority of 10 USC 2382, that the proposed consolidation of the requirements for [Services] is necessary and justified. _______________________ _______________ XXXXX X. XXXXX DATE Senior Contracting Official - Iraq CENTCOM Contracting Command

Page 209

[If HCA Level Approval Use] (Always prepare signature block of HCA on separate pages)

APPROVAL

Upon the basis of the findings above I hereby approve, pursuant to the authority of 10 USC 2382, that the proposed consolidation of the requirements for [Services] is necessary and justified. _______________________ _______________ BG CAMILLE M. NICHOLS DATE Commanding General, CENTCOM Contracting Command Head of Contracting Activity

[If DASA(P) Level Approval Use]

Upon the basis of the findings above I hereby recommend, pursuant to the authority of 10 USC 2382, that the proposed consolidation of the requirements for [Services] is necessary and justified. _______________________ _______________ BG CAMILLE M. NICHOLS DATE Commanding General, CENTCOM Contracting Command Head of Contracting Activity

Page 210

[If DASA(P) Level Approval Use] (Always prepare signature block of HCA on separate pages)

APPROVAL

Upon the basis of the findings above I hereby approve, pursuant to the authority of 10 USC 2382, that the proposed consolidation of the requirements for [Services] is necessary and justified. ________________________________ _______________ EDWARD M. HARRINGTON DATE Deputy Assistant Secretary of the Army (Procurement)


Page 211

5153.120-5022 C3 SAMPLE LEASE VERSUS PURCHASE ANALYSIS (Use Standard C3 Letterhead)


Date: ___________

MEMORANDUM FOR RECORD SUBJECT: Non-Tactical Vehicle Lease Versus Purchase Analysis 1. Pursuant to the Federal Acquisition Regulation PART 7.4, a lease versus purchase analysis is required prior to leasing vehicles. The following data is provided to justify the requirement of leasing vehicles for use by ENTER ORGANIZATION NAME HERE. The table below shows the comparison for leasing versus purchase for more than one vehicle, if applicable. (INSERT TABLES APPLICABLE TO THE SPECIFIC PROCUREMENT)

Purchase 16 EA / 6K Rough Terrain Forklifts (adjustable forks)

Lease 16 EA / 6K Rough Terrain Forklifts (adjustable forks) 12 MONTHS LEASE

Net Purchase Price (Estimated) $$$$$ Monthly Lease Payments $$$$$ Maintenance & Service Costs (Estimated) $$$$$ Maintenance Included in lease Yes Airfreight Charges (Estimated) $$$$$ Estimated Period of Use 12month Total purchase price (Estimated) $$$$$ Total lease price $$$$$

Purchase 12EA / 10K Forklifts Non extendable boom

Lease 12 EA / 10K Forklifts Non extendable boom 12 MONTHS LEASE

Net Purchase Price (Estimated) $$$$$ Monthly Lease Payments $27,600 Maintenance & Service Costs (Estimated) $$$$$ Maintenance Included in lease Yes Airfreight Charges (Estimated) $$$$$ Estimated Period of Use 12 month Total purchase price (Estimated) $$$$$$ Total lease price $$$$$

Purchase 3 EA / 50(TON) Crane without operator

Lease 3 EA / 50(TON) Crane without operator 12 MONTH LEASE

Net Purchase Price (Estimated) $$$$$ Monthly Lease Payments $$$$$ Maintenance & Service Costs (Estimated) $$$$$ Maintenance Included in lease Yes Airfreight Charges (Estimated) $$$$$ Estimated Period of Use 12 Total purchase price (Estimated) $$$$$ Total lease price $$$$$

Purchase 5EA / RTCH (container lifter)

Lease 5EA / RTCH (container lifter) 12 MONTH LEASE

Net Purchase Price (Estimated) $$$$$ Monthly Lease Payments $$$$$ Maintenance & Service Costs (Estimated) $$$$$ Maintenance Included in lease Yes Airfreight Charges (Estimated) $$$$$ Estimated Period of Use 12 Total purchase price (Estimated) $$$$$ Total lease price $$$$$

Page 212

2. In computing this analysis, the following data was used to estimate annual costs to maintain vehicles. The in-house costs to maintain and repair non-tactical vehicles could not accurately be determined because this capability does not exist in Kabul. The table summarizes vehicle cost estimates published by the American Automobile Association, 2009 edition (www.AAA.com) for selected sizes of vehicles. American Automobile Association Vehicle Cost Estimates (AAA, 2009)

Small Sedan Medium Sedan Large Sedan SUV Minivan Gas & oil 8.21¢ 10.54¢ 11.51¢ 14.39¢ 12.16¢ Maintenance 4.26¢ 4.51¢ 4.92¢ 4.94¢ 4.87.0¢ Tires 0.61¢ 0.87¢ .82¢ 0.958¢ 0.74¢ Operating costs/mile 13.08¢ 15.92¢ 17.25¢ 20.28¢ 17.77¢ Insurance $948 $957 $1,022 $948 $897 License & registration $419 $572 $711 $727 $602 Depreciation $2,430 $3,401 $4,551 $4,519 $3,818 Financing $553 $786 $998 $1,023 $832 Ownership costs/year $5,503 $7,022 $8,677 $7,217 $6,149 Total for 15,000 annual miles

$6,312 $8,104 $9,870 $10,259 $8,815

Average cost per mile 42.1¢ 54.0¢ 65.8¢ 68.4¢ 58.8¢ 3. Based on the preceding paragraphs, it is in the government’s best interest to [ENTER “LEASE” OR “PURCHASE” AS APPLICABLE] the requested vehicles to realize a cost savings and fully execute the mission in a timely manner. The undersigned determines that leasing of such vehicles is practicable and efficient in accordance with Federal Acquisition Regulations and published guidance. _________________________ Requesting Official


Page 213

5153.120-5023 SAMPLE C3 D&F FOR CONTRACTOR RESPONSIBILITY (D&F should be tailored for organizational use

CENTCOM CONTRACTING COMMAND [Name of Contracting Office]

DETERMINATION & FINDINGS

For [TITLE OF PROCUREMENT]

Pursuant to FAR 9.103, purchases shall be made from, and contracts shall be awarded to, responsible prospective offerors only. No purchase or award shall be made unless the Contracting Officer makes an affirmative determination of responsibility. I have reviewed the requirements outlined in FAR 9.103, which resulted in the following findings:

FINDINGS

1. The prospective offeror, [insert company name and address] has adequate financial resources to perform the contract, as depicted by [insert information relied upon to make this statement]. 2. The prospective offeror is coded “Eligible” for award in JCCS as of [date/time] (Encl 1). 3. The prospective offer is not prohibited from being awarded Government contracts based on review of the Excluded Parties List System (EPLS). (Encl 2). 4. The prospective offeror meets the definition of a Host Nation (HN) firm Iraq/Afghanistan as defined in C3 AI 2.101. This is based upon [insert criteria reviewed, results, and coordination done with HN Business Advisor]. 5. Contractor’s Integrity and Business Ethics. Review of local data base did not reveal evidence of non-performance on any previous contracts awarded to the firm. 6. Previous contracts awarded to the firm show satisfactory performance. 7. The offeror is able to comply with the required delivery/performance schedule taking into consideration existing commercial and governmental business commitments. 8. [Include assessment of any other information deemed relevant by the Contracting Officer.]

DETERMINATION

Based upon information evidenced within this determination the contractor has demonstrated the capability, technical knowledge, equipment, materials, facilities, and financial capability needed to execute their contractual responsibilities, while being otherwise qualified and eligible to receive an award under applicable rules and regulations. Upon the basis of the findings above, pursuant to FAR 9.103, I hereby determine [insert name of firm] to be responsive. _______________________ _______________ NAME DATE Procuring Contracting Officer Center/DOC Office Name CENTCOM Contracting Command


Page 214

5153.120-5024 SAMPLE C3 PAST PERFORMACE QUESTIONAIRE (Tailored for organizational use)

CENTCOM CONTRACTING COMMAND [Name of Contracting Office]

PAST PERFORMANCE QUESTIONARE For

[TITLE OF PROCUREMENT]

Date:_________

PAST PERFORMANCE QUESTIONAIRE FOR: Company Name: _____________________ Contract #: __________________________ COMPLETED BY: Firm (If Applicable): _____________________________

Name: _____________________________ Email: _____________________________ Phone #: _____________________________

Description of Commodity, Service, or Supply obtained: __________________________________________________________________________________________________________________________________________________________________________________________________________________________________________ A. Complete this section if requirement was a commodity/supply requirement. The Contractor:

Delivered on time Delivered late by _______ days/weeks/months Delivered the required product Delivered wrong product

If the product was delivered late or the wrong product was delivered:

The contractor took adequate action to correct the problem and prevent reoccurrence. Mission requirements were or were not affected as a result of the delay. Contractor was/ was not proactive in correcting the incorrect shipment Contractor failed to cure the deficiency and the contract was terminated for cause.

B. Complete this section if requirement was for a service requirement. The Contractor:

Performed on time Performed late by _______ days/weeks/months Performance met contract requirements Delivered wrong product Would use the contractor again Would not use the contractor again

If the service was performed late or was not performed to the contract requirements:

The contractor took adequate action to correct the problem and prevent reoccurrence. Mission requirements were or were not affected as a result of the delay. Contractor was/ was not proactive in correcting the defective service. Contractor failed to cure the deficiency and the contract was terminated for cause.

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PAST PERFORMANCE QUESTIONAIRE (Con’t): C. Future Contracts: I would / would not award another contract to this contractor. D. Additional comments: __________________________________________________________________________________________________________________________________________________________________________________________________________________________________________ _______________________________ _______________ (Signed by person completing review) DATE Title Distribution: Contractor Contracting


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5153.120-5025 INSTRUCTIONS FOR COMPLETING THE US ARMY CORPS OF ENGINEERS / CENTCOM CONTRACTING COMMAND (C3)

DEFENSE BASE ACT (DBA) INSURANCE APPLICATION PAGE 1 OF 2

Full Name of Insured or Company and Complete Mailing Address: This is whoever has the contract with USACE or CENTCOM Contracting Command (C3). Generally, it is a company name, but it could be an Independent Consultant, hence asking for the full name of the insured or company. It should be as it is shown on your contract from USACE / C3 (or the contract from the prime contractor if you are a subcontractor). If you are a subcontractor, you would indicate your name and address, not that of the prime contractor. You do not need to list the names of the employees (or consultants, if hired by a company) who are actually going to be doing the work overseas as the policy will be in the name of the contract holder. Telephone Number and Fax Number Contact Person: This is the person we send the complete policy and invoice to (generally the person who contacts Rutherfoord for the coverage, but may be someone else in your company—if so, please be sure they are aware that they will be receiving this policy from Rutherfoord). Email: This should be the email address for the contact person. Coverage Effective Date: This is generally the date the contract starts or becomes effective. All initial policies will be open for 1 year from this date, with renewal an option, if needed. If you need to add or increase coverage during the policy period, please indicate a new effective date for the change, as the policy period will remain the same based on the original effective date. Contract Number: This is your specific contract number issued by USACE or C3. If you are a subcontractor, please indicate the prime contractor’s contract number on the application and not your subcontract number. Total Payroll: There should be only one (1) figure on the application for payroll, regardless of how many people are traveling to do the work. Payroll should be direct salary (plus overseas recruitment incentive, danger/hazard pay, and post differential) but excluding per diem, travel expenses, housing allowance, temporary quarters allowance, education allowance and other miscellaneous post allowance. To calculate, you would take the daily rate of each worker multiplied by the number of working days only and this would equal the payroll. For example, you have 5 people working overseas on the contract for $500 per day, for 15 days. The total payroll you would indicate on the application would be $37,500. We would then take the $37,500 and multiply it by the rate for the coverage and that would equal the premium we would charge. The current rates are Service $4.00 per $100 of payroll; Construction $7.50 per $100 of payroll; Security $12.50 per $100 of payroll and Aviation $20.00 per $100 of payroll. So the premium based on the above example would be $1,500; $2,813; $4,688 and $7,500 respectively. We round all payrolls and premiums to the nearest whole dollar. You can also include the payroll for consultants here to be covered under your policy. **We can no longer allow you to include subcontractor’s payroll in your USACE / C3 DBA policy. Subcontractors must obtain a USACE /

C3DBA policy in their own name. Subcontractors must provide the “prime” contract number when completing an application.**

Brief Description of Work to be performed Principal Country(ies) in which contract will be performed


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INSTRUCTIONS FOR COMPLETING THE US ARMY CORPS OF ENGINEERS / CENTCOM CONTRACTING COMMAND (C3)

DEFENSE BASE ACT (DBA) INSURANCE APPLICATION PAGE 2 OF 2

Date, Signature and Title: We have an e-mail version of our application (a word version document) which can be completed, saved and e-mailed back to [email protected] or Sara Payne at [email protected]. This method is preferred, and the date, signature and title should also be typed on the application even if you do not have an electronic signature. Only return one copy; you do not need to fax a signed copy or send the original by mail. Notes: • Please do not complete and return the application to us if you have not actually been awarded a contract. If you need to know the cost for bidding purposes, please use the example above under payroll to calculate the cost. • All of the policies we issue for this coverage are annual (1 year policies) however, we only bill premiums based on the time overseas for the workers. Unless the workers will be overseas for at least 1 year where you can give an annual payroll, the policy can be endorsed as needed during the policy year for additional trips or new contracts to add, etc. at that time. • This policy is renewable, if needed, with a renewal sheet being sent to you approximately 1 month prior to your policy expiration. • This policy is audited at the end of your policy year, which is basically a worksheet that we will send indicating the contract number(s) and payroll(s) that were given to us during the year. You would then indicate the actual payroll for the contract and we would adjust the payrolls accordingly.




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5153.120-5025 THE US ARMY CORPS OF ENGINEERS / CENTCOM CONTRACTING COMMAND (C3) DEFENSE BASE ACT (DBA) INSURANCE APPLICATION

FULL NAME OF INSURED OR COMPANY:________________________________________________________________________ (as it appears on contract with C3) COMPLETE ADDRESS: ____________________________________________________________________________________ ________________________________________________________________________________________________________ TELEPHONE NUMBER: ____________________________________ FAX NUMBER: ____________________________________ CONTACT PERSON: ____________________________________ EMAIL: ____________________________________ COVERAGE EFFECTIVE DATE: ____________________________________ COUNTRY OF INCORPORATION ____________________________________ TYPE OF CONTRACT: CONSTRUCTION ____ $7.50/$100 SECURITY____$12.50/$100 SERVICE ____ $4.00/$100 AVIATION____$20.00/$100 CONTRACT NUMBER: TOTAL PAYROLL 1. _____________________________________Task Order #________ _______________________ 2. _____________________________________Task Order #________ _______________________ 3. _____________________________________Task Order #________ _______________________ (Attach a separate sheet or copy application for more than 3 contracts) BRIEF DESCRIPTION OF WORK TO BE PERFORMED UNDER THIS CONTRACT: ________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________ CONTRACTING OFFICER: ___________________________ PRINCIPAL COUNTRY (IES) IN WHICH CONTRACT WILL BE PERFORMED: ________________________________________________________________________ IS APPLICANT THE PRIMARY CONTRACTOR? ______ If No, PROVIDE NAME OF THE PRIMARY CONTRACTOR:__________________________ (Please provide a separate estimate for each contract. You may provide an annual estimate, if applicable, or shorter term estimate if contract is less than one year. This estimate is for the overseas portion of the contract only. You will be billed based on your payroll estimate.

DATE: _____________ SIGNATURE/TITLE: ________________________ (Return to Format Index)

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5153.120-5026 DFAS-ROME ELECTRONIC FUNDS TRANSFER PAYMENT FORM (Use Excel version)


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5153.120-5027 SAMPLE QUALITY ASSURANCE SURVEILLANCE PLAN (QASP) QASP – Below SAT/KO Retain

(Plans should be tailored for organizational use)

QUALITY ASSURANCE SURVEILLANCE PLAN (QASP) FOR

Contract: ___________________________ Contractor: __________________________

1. PURPOSE. This QASP is a Government developed and applied document used to ensure that the Contractor performs all requirements of the Contract/Order, that the Government receives quality services, and that the Government pays only for services actually provided. The QASP provides a systematic method to evaluate the services the contractor is required to furnish.

2. SCOPE. The Contractor is responsible for management and quality control necessary to perform the required services. The QASP provides for the Government’s oversight of the Contractor’s quality control efforts to assure timely, responsive services are provided IAW the Contract/Order. The contractor is responsible for management and quality control actions to meet the terms of the contract. The role of the Government is to perform quality assurance to ensure contract standards are achieved.

3. ROLES AND RESPONSIBILITIES. Contracting Officer (KO): A duly appointed individual with the authority to enter into, administer and terminate contracts on behalf of the Government. Only the KO can legally commit the Government and, as the Government’s agent, modify the Contract/Order. The KO is the final authority for determining adequacy of the Contractor’s performance. KO decisions arising under or relating to the contact are final. The KO has not appointed a Contracting Officer’s Representative (COR); the function is “retained”. The KO will ensure performance of all necessary services. A Technical Point of Contact (TPOC) in the requiring activity will support the KO by ensuring services are provided IAW the Contract/Order. The TPOC must advise the KO of any/all performance deficiencies. Technical Point of Contact (TPOC): A government employee designated by the requiring activity to provide oversight of the Contractor’s performance and to accept services on the activity’s behalf. 4. METHODS OF SURVEILLANCE. Simplified methods of surveillance will be used by the Government to evaluate contractor performance. The primary methods of surveillance are periodic assessments of service and/or customer feedback. Periodic Assessment of Services – Periodic assessment of services will be conducted. For services that occur over a number of months, the TPOC will evaluate services on a monthly basis and upon completion of the services. Customer Feedback – Customer feedback is typically obtained via telephone or email. Telephonic customer complaints must be followed up in writing/email. To be considered valid, the customer complaint must clearly articulate the nature of the complaint, time, date, etc. The TPOC will investigate

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the complaint; if determined valid, the TPOC will advise the KO to notify the Contractor of the deficiency. Copies of valid complaints and the resolution must be retained in the official contract file. 5. QUALITY ASSURANCE (QA) SURVEILLANCE TASKS. a. The TPOC will evaluate and assess the contractor’s performance measured against contract performance standards as defined in the PWS, and will ensure all services of the Contract/Order are properly performed. b. The TPOC will immediately report any noted deficiencies to the KO to include date, type of deficiency, and the KO will request corrective action from the Contractor. c. The TPOC will re-examine services that were found deficient. Failure to complete corrective actions will be reported immediately to the KO for further action. d. Upon satisfactory completion of the work, the TPOC will accept the services provided and authorize payment, by approving the Contractor’s invoice in Wide Area Workflow. 8. DOCUMENTATION. Based on the low dollar value and the low complexity and/or duration of the Contract/Order, documentation will be kept to a minimum. No documentation is expected when services are provided IAW the Contract/Order. It is not uncommon for a low dollar value and low complexity and/or duration service to be performed without any remedial actions required by the Government. In such cases, only approval of the invoice is required, signifying satisfactory completion of the Contract/Order. Should performance problems be encountered, documentation is required, to include, notes of surveillance, notification to the Contractor of performance problems, and re-examination/final resolution. The TPOC must forward any records they maintained to the KO after accepting the Contractor’s services for use in the event of a future contract claim/dispute.


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5153.120-5028 SAMPLE QUALITY ASSURANCE SURVEILLANCE PLAN (QASP) QASP – Below SAT/COR Appointed

(Plans should be tailored for organizational use)

QUALITY ASSURANCE SURVEILLANCE PLAN (QASP) FOR

Contract: ___________________________ Contractor: __________________________

1. PURPOSE. This QASP is a Government developed and applied document used to ensure that the Contractor performs all requirements of the Contract/Order, that the Government receives quality services, and that the Government pays only for services actually provided. The QASP provides a systematic method to evaluate the services the contractor is required to furnish.

2. SCOPE. The Contractor is responsible for management and quality control necessary to perform the required services. The QASP provides for the Government’s oversight of the Contractor’s quality control efforts to assure timely, responsive services are provided IAW the Contract/Order. The contractor is responsible for management and quality control actions to meet the terms of the contract. The role of the Government is to perform quality assurance to ensure contract standards are achieved.

3. ROLES AND RESPONSIBILITIES. Contracting Officer (KO): A duly appointed individual with the authority to enter into, administer and terminate contracts on behalf of the Government. Only the KO can legally commit the Government and, as the Government’s agent, modify the Contract/Order. The KO is the final authority for determining adequacy of the Contractor’s performance. KO decisions arising under or relating to the contact are final. Contracting Officer’s Representative (COR) – An individual designated in writing by the KO to perform specific technical and administrative functions within the scope and limitations of their written appointment (e.g., surveillance of Contractor’s performance, accept services). The COR is not empowered to make any contractual commitments or authorize any changes to the order/contract or in any way obligate additional funds by the Government; such authority rests solely with the KO. 4. METHODS OF SURVEILLANCE. Simplified methods of surveillance will be used by the Government to evaluate contractor performance. The primary methods of surveillance are periodic inspections and/or customer feedback. Periodic Inspections – Periodic Inspections could be a onetime evaluation of contractor performance for short duration contracts or for services that occur over a number of months, the COR will perform an inspection on a monthly basis and upon completion of the services. Periodic Inspection could be COR on-site inspection or the use of objective quality evidence such as customer feedback or trusted contractor supplied performance data. Customer Feedback – Customer feedback is typically obtained via telephone or email. Telephonic customer complaints must be followed up in writing/email. The customer complaint must clearly articulate the nature of the complaint, time, date, etc. The COR will investigate the complaint; if

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determined valid, the COR will advise the KO and the Contractor of the deficiency. Copies of valid complaints and the resolution must be retained in the official contract file. 5. QUALITY ASSURANCE (QA) SURVEILLANCE TASKS. a. The COR will perform surveillance on all services required of the contractor either through periodic inspection or the use of objective quality evidence (i.e. customer feedback or evaluation of contractor supplied performance data), and will ensure all required services of the Contract/Order are properly executed. b. The COR will immediately report any noted contractual deficiencies to the Contractor and the KO, to include date, specific contract requirement, deficiency, request for contractor corrective action and suspense date. When Contractor contractual performance deficiencies are noted increased periodic inspections will take place to assure contract compliance. c. The COR will re-inspect services that were found deficient. Failure to complete corrective actions will be reported immediately to the KO for further action. d. Upon satisfactory completion of the work, the COR will accept the services provided and authorize payment, by approving the Contractor’s invoice in Wide Area Workflow. 6. DOCUMENTATION. When services are provided IAW the Contract/Order it is not uncommon for a low dollar value and low complexity and/or duration service to be performed without any remedial actions required by the Government. Based on the low dollar value and the low complexity and/or duration of the Contract/Order, documentation will be kept to a minimum. Documentation of COR surveillance of contractor performance can be as simple as a memo for record as long as it includes date, type of surveillance, what was observed and results. The COR must forward all records they maintained to the KO after accepting the Contractor’s services for use in the event of a future contract claim/dispute.


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5153-120-5029 SAMPLE QUALITY ASSURANCE SURVEILLANCE PLAN (QASP) QASP – Above SAT/COR Appointed (Plans should be tailored for organizational use)

Quality Assurance Surveillance Plan

For

XXXXXXXXX SERVICES

Solicitation #: WXXXXX-08-C-0005

Multi-Functional Team (MFT)

_________________________________ ________________________________ Contracting Officer’s Representative Quality Assurance Personnel _________________________________ ________________________________ Quality Assurance Program Coordinator Contract Specialist _________________________________ ______________________________ Functional Commander Contracting Officer _________________________________ _______________________________ Contractor Representative Contractor Representative

Deployed Location X, Iraq/Afghanistan

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5153-120-5029 SAMPLE QUALITY ASSURANCE SURVEILLANCE PLAN (QASP) QASP – Above SAT/COR Appointed (Plans should be tailored for organizational use)

This quality assurance surveillance plan (QASP) is provided as an attachment to the solicitation for information purposes only. It is an evolving document and is not a contractual document.

1. OVERVIEW. This QASP details how the <insert title of service> contract will be managed upon award by the multi-functional team throughout its life cycle. This plan will focus on the level of performance required by the Performance-based Work Statement (PWS), and the methodology or processes used for surveillance. This QASP is a living document and shall be revised or modified by members of the multi-functional team as circumstances warrant, throughout the life of the contract, to ensure adequate oversight of contractor performance is maintained. 2. OBJECTIVE. The objective of the <insert title of service> contract is to provide all management, tools, equipment, and labor necessary to perform <briefly describe service> at <Insert Location of Service>. The Contractor shall perform all required services identified in this Performance Work Statement (PWS) in accordance with local commercial standards. <Add additional language as necessary> 3. GOALS. By virtue of this QASP, the multi-functional team will manage this contract and strive to achieve efficiencies, improved customer service and contractor performance, and cost savings. Additional goals are as follows:

Maximize performance Encourage innovation Promote performance-based services Increase awareness that performance-based services require participation from all team members

4. MULTI-FUNCTIONAL TEAM MEMBERS AND RESPONSIBILITIES. 4.1 Contracting Officer/Contract Administrator

4.1.1 Ensures open communication is maintained between all parties, pre- and post-award. 4.1.2 Delegates authority for inspection and/or acceptance to the Contracting Officer’s

Representative (COR) in accordance with the terms and conditions of the contract.

4.1.3 Informs the contractor of the names, duties, and limitations of authority for all CORs assigned to the contract.

4.1.4 Periodically assesses the CORs performance and advises the COR on any problems.

4.1.5 Manages contractor performance assessment data that may include submitting

Contractor Performance Assessment Reporting System (CPARS). 4.1.6 Issues contract modifications as necessary.

4.1.7 Takes appropriate action should unacceptable contract performance occur.

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4.2 Functional Director/Functional Commander (FD/FC)

4.2.1 Ensures requirements documents developed by the multi-functional team satisfy mission requirements, are performance-based, foster innovation, and define metrics. Assists in preparation of Performance Work Statements (PWS) and QASPs and obtains Contracting Officer coordination on the final product.

4.2.2 Nominates qualified individuals as COR. Ensures all personnel within the functional area who may have contact with contractor employees are aware of the contractual working relationship and the necessity to avoid any conduct that may constitute a real or perceived conflict of interest. 4.2.3 Reviews the COR’s contractor performance documentation on a regular basis to help ensure contract compliance. 4.3 Contracting Officer’s Representative

4.3.1 Assists in the development of technical requirements and independent

cost/Government estimates for contract services.

4.3.2 Evaluates and documents the contractor’s performance in accordance with the procedures set forth in this QASP.

4.3.3 Immediately notifies the Contracting Officer of any significant performance

deficiencies. 4.3.4 Maintains assessment documentation throughout the life of the contract.

4.3.5 Certifies acceptance of services.

4.3.6 Promotes business decisions to meet customer requirements by researching the

marketplace to remain current with the most efficient and effective performance assessment methods and techniques. Performs market research throughout the life of the requirement to ensure the team is knowledgeable of the commercial marketplace.

4.3.7 Fosters partnerships with industry to ensure exchanges of information with the

<insert type of service> service industry and other business experts.

4.3.8 Identifies opportunities to improve performance throughout the life of the contract, Including benchmarking against industry, identifying initiatives, assessing the risk associated with these initiatives, using the QASP for implementing initiatives brought forward, and monitoring the success of implementation.

4.3.9 Recommends any changes necessary to the contract, PWS, QASP, or other

requirements to provide more effective operations or eliminate unnecessary costs. 4.3.10 Submits monthly reports on contractor performance to the contracting officer.

4.4 Quality Assurance Program Coordinator

4.4.1 Coordinates all aspects of the quality assurance program

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4.4.2 Participates in the Multi-Functional Team.

4.4.3 Reviews and coordinates all SOW and QASPs.

4.4.4 Provides training for the FD/FC and all COR.

4.4.5 Reviews and coordinates on all changes to the PWS and QASP.

4.5 Contractor

4.5.1 Complies fully with the terms and conditions of the contract.

4.5.2 Participates as a member of the multi-functional team in the post-award management

phase.

4.5.3 Maintains and implements a Quality Control Plan (QCP) that compliments the QASP.

4.5.4 Ensures that non-conforming contract services are identified, and corrected. QCP is

revised to prevent recurrence.

4.5.5 Tenders to the Government for acceptance only those services that conform to Contract requirements.

4.5.6 Recommends any changes to the contract that will provide more effective operations

or eliminate unnecessary costs. 5. PERFORMANCE ASSESSMENT. This section identifies the process that measures success towards achieving defined performance objectives or goals defined within the performance thresholds in the Service Summary, or the process of assessing progress towards achieving the objectives/goals developed in this QASP. 5.1. Surveillance Approach: The intent of this plan is to primarily rely on the contractor’s internal quality control processes, changing the government’s role from “oversight” to “insight”. The team’s original surveillance approach may not stay the same throughout the duration of the contract, therefore, all government evaluators should be prepared to periodically update the surveillance approach when necessary. The goal of our surveillance approach is to gain confidence in the contractor’s way of doing business and then adjust the level of insight to a point that maintains that confidence. 5.1.1. Quality assurance shall be based on the Government’s evaluation of contractor demonstrated results. All services performed must meet the prescribed performance objectives stated in the Services Summary to be regarded as acceptable. 5.1.2. Surveillance will be accomplished by Customer Feedback, Customer Survey, Contractor and Government Data and Documentation Review, Periodic Surveillance, and Government/Contractor Meetings. <Tailor this section to match the surveillance needs of the contract. Keep in mind that surveillance will be more intense at the beginning of the contract and tapper off as the contractor demonstrates understanding of the requirement.>

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5.1.3. The following is a list of the key performance objectives that will be verified as contractually compliant by government personnel; however, inspection of any contract requirement in the Performance-based Work Statement is authorized. 5.1.4. Each performance objective includes a government determined performance threshold and the procedures used to ensure these standards are met.

6 SERVICES SUMMARY (SS)

6.1 The purpose of the SS is to set contractor performance objectives and to provide measurable objectives of the contractor’s performance.

6.2 The SS must cite the performance objective (or service required) and the threshold (specific standard) required. The SS should align the Contractor’s performance with the contract performance objectives and focus on critical factors in meeting those objectives. The goal of the SS is to promote continuous improvement in cost and performance.

6.3 The SS is at the contract level and is relevant to the Contractor’s management of the overall contract as well as at service level for individual performance objectives. 6.4 Non-Services Summary Items: the government reserves the right to inspect all items not called for under the Services Summary.

6.5 Services Summary <This is an example for custodial services---Tailor to reflect critical performance objectives of your performance work statement.>

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PERFORMANCE OBJECTIVE PWS

PARA PERFORMANCE

THRESHOLD SURVEILLANCE

METHOD Youth Center: performed IAW PWS requirements

1.2 Not to exceed 3 customer complaints per month.

Customer Complaint, Periodic

DoDDS : performed IAW PWS requirements .



Medical/Clinic Treatment Facilities: performed IAW PWS requirements



Commissary (DECA) Cleaning Services.: performed IAW PWS requirements Bakery : performed IAW PWS requirements Meat Market performed IAW PWS requirements Warehouse Cleaning Services: performed IAW PWS requirements

1.5 Not to exceed 4 customer complaints per month. 100% of all areas receiving services are without customer complaints for the reporting period for Bakery Cleaning Services. 100% of all areas receiving services are without customer complaints for the reporting period for Meat Market Cleaning Services.


Fitness Center.: performed IAW PWS requirements



ROICC 1.7 Not to exceed 3 customer complaints per month.


Hourly/Emergency/Special Event Services Custodial Services performed IAW PWS requirements.

1.8 100% for each call Customer Complaint, Periodic

Child Development Center: performed IAW PWS requirements



Periodic Cleaning Services. Custodial Services performed IAW PWS requirements.

1.1.4 Not to exceed 3 customer complaints per month.


6.6 Quality Control Program: The contractor shall utilize its own internal Quality Control processes in the performance of this contract. In order to supplement the contractor’s quality control program, government personnel will verify contractor compliance with mission essential performance requirements. The Contracting Officer’s Representative (COR) will verify the key performance objectives. It is the responsibility of the Functional

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Commander/Functional Director (FC/FD) <Insert applicable terminology to describe the position of the responsible commander> and COR to review these key objectives to assess their applicability and recommend the addition or subtraction as conditions warrant.

6.2 Customer Feedback/Survey Program.

6.2.1 Anyone that observes unacceptable, incomplete, incorrect or unperformed services for any of the above service items should immediately contact the COR by telephone, email, letter, or fax. The feedback should complete appropriate documentation to record the feedback and provide their phone number or e-mail for follow up contacts. The COR will document receipt of and validate the customer feedback upon receipt. The COR shall deliver the validated negative customer feedback to the Contractor or the Contractor's Quality Control representative via e-mail or other appropriate correspondence. The contractor will be given a reasonable time to respond to the negative feedback. The contractor shall return the customer negative feedback document, properly completed with actions taken, to the COR, who will file the feedback. If this same situation occurs again and exceeds the Performance Threshold during the contract period, a defect would be recorded (CAR – Corrective Action Report) and reported to the Contracting Officer (CO) for appropriate action in accordance with FAR 52.212-4, Contract Terms and Conditions. If the negative feedback is determined to be invalid, the COR will document the feedback, notify the customer, and file the annotated copy of the feedback. The COR will consider negative customer feedback to be resolved unless otherwise notified by the customer.

6.2.2 If the contractor challenges the validity of the negative feedback and the COR and contractor cannot come to agreement, the negative customer feedback will be forwarded to the Contracting Officer (CO) for resolution. If the performance threshold is exceeded, action will be taken by the CO in accordance with the applicable Inspection/Acceptance and/or Remedies for Unacceptable Performance clauses. 6.2.3 If the COR identifies recurring instances of unsatisfactory performance, they may request to review the contractor’s internal quality control processes to ensure that they are sufficient. 6.2.4 Customer Surveys may be distributed periodically to assess customer satisfaction with contractor performance (Attachment 1). 6.2.5 Customer Feedback Training. After award, the COR will train the facility managers on the requirements of this contract. Training shall include:

(1) Name of Contractor (2) Identification of areas within their facility covered by the contract (3) Services to be performed within those areas (4) Service schedule for their facility (5) How and when to submit customer complaints (6) Actions expected of contractor upon receipt of customer complaint, and (7) Government point of contact to report unresolved customer complaints

Follow-on Customer Feedback Training will be conducted when a new facility manager is appointed and as COR and contracting officer determine necessary.

7. PERFORMANCE MANAGEMENT. This section identifies the use of performance measurement information to effect positive change in organizational culture, systems, and

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processes, by helping to set agreed upon performance goals, allocating and prioritizing resources, informing managers to either confirm or change current policy or program directions to meet those goals, and sharing results of performance in pursuing those goals. 7.1 COR Records Review: The contract administrator and/or the Functional Commander/Functional Director (FC/FD) will review the COR’s surveillance files no less than semi-annually to ensure surveillance is properly conducted and documented, and contractor performance is within acceptable levels. This review will be documented and acknowledged by the CO or FC/FD. This acknowledgement will be maintained in both the COR surveillance file and CO’s contract file.

a. Surveillance Files: A surveillance file must be developed and maintained by the primary COR. This folder is typically contained in hard copy, but may be maintained in a computer database provided there is adequate back up of the data to preclude accidental loss. The surveillance folder should contain the following information, not in any required order, but may contain any other sections or information that the COR finds useful.

TAB 1 COR, Appointment Letter

TAB 2 COR Training, DAU CLC 066, Combating Trafficking in Persons, Local

Training

TAB 3 COR Delegation of Duties letter (May be contained in appointment letter)

TAB 4 Functional Commander/Functional Commander (FC/FD) Designation letter

TAB 5 Functional Commander/Functional Commander (FC/FD) Training

TAB 6 Contract, Performance-based Work Statement (PWS), Services Summary (SS), Technical Requirements Document

(TRD) Contract Data Requirements List (CDRL) as applicable (For Reference Only)

TAB 7 Contractor Quality Control Plan (QCP)

TAB 8 QASP

TAB 9 Performance Evaluation Report, i.e. end of month report

TAB 10 Contractor notification of COR(s) TAB 11 Corrective Action Reports (CARs) TAB 12 Continuous Improvement Opportunities TAB 13 Incentive/Award Fee Program (if applicable) TAB 14 Miscellaneous Documentation

7.2 Performance Feedback: Documentation is required to record, evaluate, and report contractor’s performance. On a monthly basis, the COR will complete the monthly performance report (attachment 1) and provide a narrative summary of contractor

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performance that includes the following assessment elements. The COR will also keep the FC/FD informed of all performance assessments. This information is strictly a tool to provide the contractor a snapshot of their performance. This information will be forwarded to the Contractor and contracting officer. Performance

Element Description

Quality of Service Assess the contractor’s conformance to contract requirements,

specifications, and standards of good workmanship (e.g., commonly accepted technical, professional, environmental, or safety health standards).

Schedule Assess the timeliness of the contractor against the completion of the contract, task orders, milestones, delivery schedule, administrative requirements (e.g., efforts that contribute to or effect the schedule variance).

Business Relations Assess the integration and coordination of all activities needed to execute the contract, specifically the timeliness, completeness and quality of problem identification, corrective action plans, proposal submittals, the contractor’s history or reasonable and cooperative behavior, customer satisfaction, timely award and management of subcontracts, and whether the contractor met small/small disadvantaged and woman owned business participation goals.

Management of Key Personnel

Assess the contractor’s performance in selecting, retaining, supporting, and replacing, when necessary, key personnel

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7.2.1 Performance Ratings. Contractor ratings and criteria are described below: Performance

Rating Criteria

Exceptional Performance meets all contractual requirements and exceeds most to the

government’s benefit. The contractual performance of the element or sub-element being assessed was accomplished with almost no minor problems for which corrective actions were taken by the contractor, and the corrective actions were highly effective.

Very Good Performance meets all contractual requirements and exceeds some to the government’s benefit. The contractual performance element or sub-element being assessed was accomplished with very few minor problems for which corrective actions taken by the contractor were highly effective.

Satisfactory Performance meets contractual requirements. The contractual performance of the element or sub-element contains some minor problems for which corrective actions taken by the contractor appear or were satisfactory.

Marginal Performance does not meet some contractual requirements. The contractual performance of the element or sub-element being assessed reflects a serious problem for which the contractor has not yet identified corrective actions. The contractor’s proposed actions appear only marginally effective or were not fully implemented.

Unsatisfactory Performance does not meet most contractual requirements and recovery is not likely in a timely manner. The contractual performance of the element or sub-element contains serious problem(s) for which the contractor’s corrective actions appear or were ineffective.

7. UNACCEPTABLE PERFORMANCE

7.1 When the contractor’s performance is deemed unacceptable, COR will determine the

cause of the unacceptable performance. If any Government action, or lack of action, caused or contributed to the unacceptable performance, the unacceptable performance will not be counted against the contractor. The COR will take action to ensure Government action, or lack of action, does not interfere with the Contractor’s performance in the future. The COR will completely document the circumstance.

7.2 If the unacceptable performance is not the result of Government action, or lack of action,

COR shall promptly notify the contractor and issue a Corrective Action Report (CAR) to the contractor to assure corrective action is taken. By initialing and dating the CAR, the contractor is only acknowledging that s/he has been informed of the unacceptable performance, and is not agreeing or disagreeing with the performance assessment. The COR, with CO approval, shall direct the contractor to re-perform the service, if possible, without additional cost to the Government. If the contractor challenges the validity of the COR’s assessment and the COR and contractor cannot come to an agreement, the matter shall be referred to the Contracting Officer for resolution. The contractor shall be required to return all completed CARs to the COR no later than the suspense date indicated on the CAR. Unacceptable performance that is re-performed satisfactorily by the Contractor shall still count as unacceptable performance.

7.3 The COR shall maintain a CAR log of all CARs issued to the Contractor (a locally

234

devised form may be used). The CAR log shall contain the CAR number, date issued, contractor, description of unacceptable performance, suspense date, and closeout date. All CARs and CAR logs shall be maintained by the COR for the life of the contract.

8. REMEDIES FOR UNACCEPTABLE PERFORMANCE. In accordance with the

contract Inspection of Services clause, if any of the services do not conform with contract requirements; the Government may require the Contractor to perform the services again in conformity with contract requirements, at no increase in contract amount. This includes but is not limited to termination of Contractor personnel and recruitment of substitute personnel that are equally qualified within established timeframes. When the defects in services cannot be corrected by re-performance, the Government may:

a. Require the Contractor to take necessary action to ensure that future performance conforms to contract requirements; and

b. Reduce the contract price to reflect the reduced value of the services performed. This may include a reduction in the number of paid hours to reflect the total non-performance period.

8.1 If the Contractor fails to promptly perform the services again or to take the necessary action to ensure future performance in conformity with contract requirements, the Government may

a. By contract or otherwise, perform the services and charge to the Contractor any

cost incurred by the Government that is directly related to the performance of such service; or

b. Decrement invoice as stated in the SOW related to performance; or

c. Terminate the contract.

9. CONTRACTING OFFICER NOTIFICATION

9.1 Major Finding (CAR). If at any time COR identifies a condition as having a significant adverse effect on the quality of the activity, such as those stated below, COR shall document their findings and notify the Contracting Officer immediately in writing. Email is acceptable.

a. Contractor failure to meet a Performance Threshold.

b. Failure to provide adequate corrective action to preclude reoccurrence of Government identified findings.

c. Failure to provide corrective action to deficiencies identified by the contractor within a prescribed suspense period.

d. Any failure to adhere to security regulations that results in a security incident.

9.2 Minor Finding (Verbal CAR). A departure from established standards having little bearing on the service provided. When COR identify a minor finding, the COR shall document the findings, but is not required to notify the Contracting Officer. However, if the same minor finding is identified two months in a row, it may be an indication that a major

235

finding is occurring or has occurred because the Contractor has not taken proper steps to prevent recurrence. In this case, the COR shall notify the Contracting Officer in writing. 10. CERTIFICATION/ACCEPTANCE OF SERVICES COR will certify receipt of acceptable contractor services at intervals determined by the contract. The COR will certify that acceptable services were received, in accordance with the terms and conditions of the contract. The COR will certify receipt of contractor services via the Wide Area Workflow (WAWF) website . Certification of services shall be accomplished on the first workday following the completion of the contract payment period, to avoid payment of interest penalties. CORs are responsible for obtaining, scheduling, and completing WAWF training from the base Accounting and Finance Office.

236

ATTACHMENT 1

MONTHLY PERFORMANCE REPORT/CERTIFICATE OF SERVICE MODIFY THIS FORM AS APPROPRIATE FOR YOUR ACQUISITION

COR: Report Month:

Organization: Date Submitted:

Contract No.: Contractor: Contractor Representative: Method of Performance Evaluation

• At least every month, performance will be evaluated by using one or more of the methods checked below. Check all that apply or may be used if deeper levels of scrutiny is required.

A. Review of Contractor Data B. Meetings, Conferences with

Contractor.

C. Periodic Assessment/Inspection D. Customer Feedback

E. 100% Inspections

F. Other: (explain)

RATING: (Double click on selected box and check Default Value) Exceptional Very Good Satisfactory Marginal Unsatisfactory TRAVEL: Date______ Destination________________ INVOICE APPROVAL: ________ Hours and travel billed under Invoice # __________ are accepted. ________ Invoice not yet received for this service period. ________________________ (COR signature)

237

NARRATIVE 1. SPECIAL CONDITIONS: (Describe any special conditions, which may have influenced contractor monthly performance. Special conditions may include aspects of the technical, economic, and schedule environment under which the contractor was required or unable to perform and the effect they had on contractor performance). 2. PERFORMANCE ELEMENT (PARA 7.2): THESE ARE SAMPLE NARRATIVE ITEMS. EDIT AS NECESSARY. ENSURE THESE ITEMS MATCH THE ITEMS IN PARA 7.2 OF THIS QASP. Technical Performance: Program Management: Personnel Attraction/Retention: Security: Cost Management: Special Interest (if applicable): 3. DEFICIENCIES: 4. AREAS FOR IMPROVEMENT: 5. ADDITIONAL COMMENTS:

238

INSTRUCTIONS

1. Special Conditions. Describe any special conditions which may have influenced contractor monthly performance. Special conditions may include aspects of the technical, economic, and schedule environment under which the Contractor was required to perform and the effect they had on contractor performance. If any action initiated by the Government or outside source results in the Contractor’s inability to perform requirements of the PWS it shall be considered a special condition. The Contractor shall not be held accountable for conditions that are outside of their control. 2. Criteria. Describe the Contractor’s performance relative to each of the Services Summary areas (as applicable). Include strengths, weaknesses, and performance trends (i.e. worsening, steady, improving). Describe any corrective actions that are being planned or taken, as appropriate. 3. Deficiencies. Identify contractor performance deficiencies. Discuss any areas where repeated government intervention was required, particularly if such intervention still failed to resolve the problem. 4. Areas Needing Improvement. Describe any areas where the Contractor needs improvement, follow-up, etc. Be specific; cite areas that could result in potential negative impact to the task order execution if not appropriately addressed. Indicate the Contractor’s progress in showing demonstrated performance improvement, as applicable, from previous monthly reports. 5. Additional Comments. Identify any areas of notable achievement or areas where the Contractor exceeds contract requirements, particularly if resulting in cost, time, energy, or process-related savings to the government. Rate the task output and not the individual contractor employee to avoid any appearance of personal services or individual preference on the part of the government. Document the Contractor’s performance against the contract/task order requirements only, not status, employee names, individual employee accomplishments or your “opinion” as a government COR. Use the “insight” approach to performance assessment unless a deeper level of scrutiny is warranted.

239

ATTACHMENT 2 PERFORMANCE EVALUATION REPORT

Contract Number ______________________ Customer’s Organization ___________ TASK ORDER (TO) NUMBER: ___________________________ Task Order Title__________________________________________________________ Review Type (circle one) QUARTERLY END OF TASK 1. This report is used to evaluate the contractor quarterly during and at the end of each task. In addition to providing verification that performance thresholds are being met, the ratings and comments provided on this checklist help to determine the contractor’s annual CPARS ratings. 2. The ratings used will be as follows: Exceptional (E), Very Good (VG), Satisfactory (SAT), Marginal (MAR) and Unsatisfactory (UNSAT). Ratings will be in accordance with the definitions described in the QASP section 4.4.3.1. N/A (not applicable) should be used if the ratings are not going to be applied to a particular area for evaluation. AREA OF EVALUATION: QUALITY OF PRODUCT OR SERVICE. Assess the contractor’s conformance to task order requirements, specifications and standards of good workmanship 1. Did the work performed satisfy technical requirements/stated objectives? Was the work professional and did it meet standards? E VG SAT MAR UNSAT N/A Comments: 2. Were written deliverables clear, concise, correctly formatted and did they meet grammatical, spelling and punctuation standards? Were reports/data accurate? E VG SAT MAR UNSAT N/A Comments: AREA OF EVALUATION: SCHEDULE. Assess the timeliness of the contractor against the completion of the task order, milestones, delivery schedules and administrative requirements. 1. Was the work timely? Did the contractor meet deadlines and scheduled milestones? E VG SAT MAR UNSAT N/A Comments: 2. How does the contractor rate in terms of quick response to tight deadlines and/or contingencies? E VG SAT MAR UNSAT N/A Comments: 3. Are deliverables completed in a timely manner? E VG SAT MAR UNSAT N/A Comments: AREA OF EVALUATION: COST CONTROL. Assess the contractor’s effectiveness in forecasting, managing and controlling task order cost. 1. Does the contractor keep within the total estimated cost? E VG SAT MAR UNSAT N/A Comments:

240

2. Did the contractor do anything innovative that resulted in cost savings? E VG SAT MAR UNSAT N/A Comments: 3. Were billings current, accurate and complete? E VG SAT MAR UNSAT N/A Comments: AREA OF EVALUATION: BUSINESS RELATIONS. Assess the integration and coordination of all activity needed to execute the task order, specifically the timeliness, completeness and quality of problem identification, corrective action plans and the contractor’s history of reasonable and cooperative behavior. 1. Is the contractor oriented towards the customer? Was the contractor responsive to customer/QAE requirements? E VG SAT MAR UNSAT N/A Comments: 2. Is the contractor proactive in problem identification and resolution? E VG SAT MAR UNSAT N/A Comments: AREA OF EVALUATION: MANAGEMENT OF KEY PERSONNEL. Assess the contractor’s performance in selecting, retaining, supporting and replacing, when necessary, key personnel. 1. Did the contractor provide key personnel that demonstrate leadership, initiative and technical expertise for successful task order completion? E VG SAT MAR UNSAT N/A Comments: 2. Did the contractor provide guidance and support key personnel so they were able to work effectively? E VG SAT MAR UNSAT N/A Comments: 3. If a replacement for a key person was necessary did the replacement meet or exceed the qualifications needed for the position? E VG SAT MAR UNSAT N/A Comments: 4. Did the contractor comply with applicable portions of the DD Form 254? YES NO N/A _______________________________ COR Signature

241

ATTACHMENT 3 CORRECTIVE ACTION

1. DATES: (For Government Use Only) 2. CAR #:

REPORT DATE ISSUED:

RESPONSE DUE DATE:

CAR DUE DATE:

CAR DUE DATE SLIPS:

3. TO: 4. FROM:

5. NONCONFORMANCE: (Describe in detail:)

6. CAUSE OF NONCONFORMANCE:

7. CONTRACTOR CORRECTIVE ACTION:

8. CONTRACTOR CAUSE ELIMINATION:

9. GOVERNMENT EVALUATION: (Acceptance, rejection)

10. CONTRACTOR ACTION COMPLETED: 11. GOVERNMENT VERIFICATION: Department

Code

NAME

DATE (A)pprove (R)eject

NAME

DATE

242

Instructions for Completing Corrective Action Report (CAR)

This CAR form is used to document and request corrective action from the contractor, when contract requirements are not met or found to be inadequate. Remember to discuss all potential CARs with the contractor prior to issuing a written CAR. --------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- QA Personnel STEPS: Block 1. DATES. DATE ISSUED: Enter the date that the CAR was provided to the contractor (lowest level of supervision of where the violation occurred.). RESPONSE DUE DATE: Conduct a meeting with the contractor and negotiate a reasonable date for returning with the proposed or actual corrective and cause elimination action (Blocks 6, 7, & 8). CAR DUE DATE: Enter the date of when the contractor is to complete and close the requested corrective and cause elimination action. The CAR DUE DATE should be negotiated with the contractor to facilitate a reasonable closure period. Remember, you can grant due date extensions to the contractor when you deem necessary. CAR DUE DATE SLIPS: If the contractor misses a negotiated CAR DUE DATE, enter the number of times the date was missed. Block 2. CAR#: Sequential numbers from your CAR log, e.g., LGPQ7001V or LGPQ7001W. Block 3. TO: Enter contract number and title; contractor organization, supervisor name, title and phone number. Block 4. FROM: Enter your name, organization, title and phone number. Block 5. NONCONFORMANCE: Enter the contract nonconformance in a clear and concise manner, and identify the specific product, process, test examined, etc., that didn’t meet contract requirements. Also include and describe the requirement not met, e.g., the SOW paragraph, CDRL number and title, contractor procedures. After completing Blocks 1-5, deliver the completed CAR to the contractor’s representative identified in Block 3, and a copy to the Contractor Quality Manager. --------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- CONTRACTOR STEPS: Block 6. CAUSE OF NONCONFORMANCE: Address the contract nonconformance and describe what caused the nonconformance to occur (investigation). (Cause “Unknown” is not acceptable). Block 7. CONTRACTOR CORRECTIVE ACTION: Enter the action taken to correct the nonconformance. This information should be detailed enough to enable the Government COR to verify that the corrective action has been taken and can be verified. Corrective action is defined in ANSI/ASQC Q9001-1994, paragraph 4.14.2, and in ISO 8402-1994 paragraph 4.14. Block 8. CONTRACTOR CAUSE ELIMINATION: Enter the cause elimination action taken to ensure that the nonconformance will not occur again. Identify the action and or change in policy, procedures or work instructions that will prevent reoccurrence of the nonconformance. Cause elimination action is defined in ANSI/ASQC Q9001-1994, paragraph 4.14.2, and in ISO 8402-1994 paragraph 4.14. Block 10. CONTRACTOR ACTION COMPLETED: The contractor representative identified in Block 3 is to enter his or her department code, name and date when Blocks 6, 7, and 8 are completed. The same information is to be entered again on the next line for all subsequent replies if original actions were unacceptable. The contractor representative identified in Block 3 is to deliver the completed CAR to the Government representative identified in Block 4, and to provide a copy to the contractor’s quality office. --------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- QA Personnel STEPS: Block 9. GOVERNMENT EVALUATION: Enter the results of your verification of the contractor’s corrective and cause elimination action. If the actions are acceptable, state so in this block. If contractor actions do not correct the nonconformance(s) and or eliminated its cause, state so in this block and indicate why the actions do not correct the nonconformance(s) and or eliminates its cause. If the contractor’s corrective and cause elimination actions do not correct the nonconformance(s) and or eliminates its cause, conduct a meeting with the contractor to discuss the reasons for rejection and address resolving your concerns found during your evaluation. Remember to maintain a good documented trail leading to the final acceptance of the contractor’s corrective action. Block 11. GOVERNMENT VERIFICATION: Enter approval or rejection of the contractor’s actions, your name and date. Enter (A) for approved or (R) for rejected. Remember to send the completed CAR to the contractor’s representative identified in Block 3, and to provide a copy to the contractor’s quality office. IMPASSE RESOLUTION: If the the parties in Blocks 3 and 4 can not agree on the nonconformance identified, action dates, or the corrective and cause elimination action proposed or taken, both parties are to immediately elevate the CAR disagreement to the next level of management in their respective organization. If the disagreement continues at the next elevated level management, the CAR is to be elevated to the next level until the disagreement is resolved. The parties in Blocks 3 and 4 are to generate a memo describing the disagreement and identify the management member that the disagreement was elevated to. This memo shall be given to the elevated management member and provide a copy to the contractor’s quality office. Also provide a copy to your Program Manager and Contracting Officer.

243

CONTINUOUS IMPROVEMENT OPPORTUNITY (CIO)

1.TO:

2. FROM:

3. CIO #: 4. DATE ISSUED: 5. ACCEPTED: (Y or N)

6. RESPONSE DATE:

7. IMPROVEMENT OPPORTUNITY: (PROVIDE SUPPORTING DATA) 8. ADOPTED: (Y or N)

244

Instructions for completing the CIO

This CIO form is used to document suggested improvements for the following: 1) The contract 2) The QASP (PP) improvements to the MFT. 3) To notify the contractor of opportunities for process improvements which could affect cost, schedule or performance. NOTE: To be effective, deliver the CIO to the proper management/process owner. COR STEPS Block 1. To: Enter contract number and title, contractor or organization name, title and phone number of person presented the CIO. Block 2. From: Enter your name, organization, title and phone number. Block 3. CIO #: Use the sequential number from your CIO Log. Block 4. Date Issued: Enter the date the CIO was issued. Block 5. Accepted: Circle Yes or No. NOTE: File a copy no matter what the response. Block 6. Response Date: If accepted, conduct a meeting with the party receiving the CIO and negotiate a reasonable date for a response. Block 7. Improvement Opportunity: List the Improvement Opportunity, remember to provide supporting data that fully explains the CIO. Update the CIO log with the results and maintain the original. Provide a copy to the Contract Officer and Program Manager. NOTE: Remember, the person receiving the CIO determines whether to accept/act on it. If needed, put in a disclaimer statement i.e, “ This information is for your use solely and completely at your discretion and shall not be considered as direction by the United States Government”. Block 8. IF ADOPTED, State the specifics of the improvement in as much detail as possible. Attach supporting documents if they are provided. IF NOT, Enter “Not Adopted” and file in CIO Log book.



245

C3 APPENDICES

(a) Appendices are included in the C3 AI to provide supplemental information to enable C3 activities to accomplish their mission without the undue burden of searching various internet sites in an IT constrained environment, and to promote standardization of C3 operations across the theater of operation. C3 AI Appendices are posted online and are subject to change without republication of this AI. (b) Recommendations for additional C3 AI Appendices should be submitted to the C3 Policy Directorate at [email protected].

APPENDIX TITLE AI PRESCRIPTION DOCUMENT

DATE STATUS

1 C3 Review and Approval Thresholds Matrix 1.170 NOV 2010 ACTIVE 2 C3 Recurring Reports List VARIOUS NOV 2010 ACTIVE

3

Coalition Provisional Authority (CPA) Contracts Transferred to C3 for Administration 4.804-5(e)

NOV 2010 ACTIVE

4 C3 Active DoDAAC and DoD Order Codes 4.7003 NOV 2010 ACTIVE

5

C3 Inactive DoDAAC and DoD Order Codes (Historical) 4.7003

NOV 2010 ACTIVE

6

Contracting Officer’s Guide for Theater Business Clearance (TBC) – Iraq/Afghanistan 25.7700(d)(1)

NOV 2010 ACTIVE

7

Contracting Officer’s Guide for Theater Business Clearance (TBC) - Kuwait 25.7700(d)(2)

NOV 2010 ACTIVE

8

Contracting Officer’s Guide for Theater Business Clearance (TBC) - Pakistan 25.7700(d)(3)

NOV 2010 ACTIVE



246

APPENDIX 1 – C3 REVIEW AND APPROVAL THRESHOLDS

DESCRIPTION REFERENCE(S) THRESHOLD DECISION /APPROVAL

AUTHORITY

ACQUISITION PLANS

Approve Written Acquisition Plans for Development (as defined in FAR 35.001)

AFARS 5107.1 AI 7.103

> $10M

PARC-CONUS

SCO-I

SCO-A

Approve Written Acquisition Plans for Production or Services

AFARS 5107.1 AI 7.103

> $25M (Any Fiscal Year) PARC-CONUS

> $50M (For All Years) SCO-I

SCO-A

Approve Written Acquisition Plans for Job Order Contracts (JOC)

AFARS 5117.90 AI 7.103

> $15M (Any Fiscal Year) PARC-CONUS

> $30M (For All Years) SCO-I

SCO-A

ACQUISITION STRATEGY PLANS

Army Service Strategy Panel (ASSP) Review and Approval of Acquisition Strategies (or Combined Acquisition Plan/Acquisition Strategies Below $500M)

AFARS 5137.590-6 AI 37.590-4

> $1B DPAP

> $500M < $1B DASA(P) with OSBP Pre-Brief

> $250M < $500M C3 HCA

> $10M < $250M

PARC-CONUS

SCO-I

SCO-A

> $100M < $10M RCC Chief

BUSINESS CLEARANCE

Solicitation Business Clearance AI 1.602-1-90

> $1B DPAP

> $250M < $1B All CERP/ICERP > $1M ALL CONSTR > $1.5M

C3 HCA

> $12M < $250M

PARC-CONUS

SCO-I

SCO-A

> $750K < $12M RCC Chief

>$30K < $750K Contracting Officer (Not PCO)

Pre-Negotiation Objective Memorandums (POMs) PRE-AWARD

AI 1.602-1-90 AI 15.406-1

> $1B DPAP

> $250M < $1B C3 HCA

> $12M < $250M

PARC-CONUS

SCO-I

SCO-A



(Return to Appendix)







247


AUTHORITY

Pre-Negotiation Objective Memorandums (POMs) POST-AWARD (MODS)

FAR 15.406-1 AI 15.406-1

> $12M

PARC-CONUS

SCO-I

SCO-A


>$30K < $750K Contracting Officer (Not ACO)

Price Negotiation Memorandums (PNMs) PRE-AWARD

AI 1.602-1-90

> $1B DPAP

> $250M < $1B All CERP/ICERP > $1M ALL CONSTR > $1.5M

C3 HCA

> $12M < $250M

PARC-CONUS

SCO-I

SCO-A



Price Negotiation Memorandums (PNMs) POST-AWARD (MODS)

FAR 15.406-2 AI 15.406-2

> $12M

PARC-CONUS

SCO-I

SCO-A



COMPETITION

Justification & Approval (J&As) for Other Than Full and Open Competition

FAR 6.304 AI 6.304

> $85.5M AAE

> $12.5M < $85.5M

C3 HCA

HCA Designee for PARC-CONUS: Chief Counsel, U.S. Army Sustainment Command

> $650K < $12.5M C3 SCA or PARC-CONUS Alt. SCA, SCO-I Alt. SCA, SCO-A Alt. SCA

< $650K Contracting Officer

Limited Source Justifications (LSJs) to approve Exceptions to Fair Opportunity for Consideration

FAR 8.405-6 AI 8.405-6

> $85.5M AAE

> $12.5M < $85.5M

C3 HCA




Determination for Sole Source (Including Brand Name) Acquisitions under FAR Subpart 13.1

FAR 13.106-1 AI 13.106-1

> $650K < $1M C3 SCA or PARC-CONUS Alt. SCA, SCO-I Alt. SCA, SCO-A Alt. SCA

< $650K

Contracting Officer










248


AUTHORITY

Justifications for Sole Source (Including Brand Name) Acquisitions under FAR Subpart 13.5

FAR 13.501(e) AI 13.501(b)


< $650K

Contracting Officer

Limited Source Justifications (LSJs) to approve Exceptions to Fair Opportunity for Consideration

DFARS 216.505-70 AI 16.505

> $85.5M AAE

> $12.5M < $85.5M

C3 HCA




DETERMINATION & FINDINGS

Deviations DFARS 201.402(1) & (2)

AI 1.402 All ASA (AL&T)

Local non-standard provisions and clauses that will be used on a repetitive basis and will have significant cost or administrative impact.

DFARS 201.402 AFARS 5101.402

All USD (AT&L)

AI 1.402

Determination & Findings (D&F): Deviations – Individual

DFARS 201.403 AI 1.403

All, except those in 201.402(1)&(2) or where higher than HCA approval is required, or to any provision based upon statute or Executive Order unless authority provides for waiver

PARC-CONUS

SCO-I

SCO-A

Approve local non-standard provisions and clauses that will be used on a repetitive basis and will not have significant cost or administrative impact

DFARS 201.402 AI 1.402

Applicable to all C3 Activities

C3 HCA

Applicable only to the individual PARC/SCO Office

PARC-CONUS

SCO-I

SCO-A

Applicable only to the individual RCC Office

RCC Chief

Determination & Finding (D&F): Enter Contracts For Studies, Analysis, Or Consulting Services On The Basis Of An Unsolicited Proposal Without Providing Full And Open Competition

FAR 15.606

All

PARC-CONUS

DFARS 206.302-1 AI 6.302-1

SCO-I

AI 15.606 SCO-A

Determination & Finding (D&F): Consolidation of Contract Requirements

> $500M DASA(P)

DFARS 207.170-3 > $100M < $500M C3 HCA

AFARS 5107.170

> $5.5M < $100m

PARC-CONUS

AI 7.170 SCO-I

SCO-A

(return to appendix table)













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249


AUTHORITY

Determination & Finding (D&F): Limitation on Equipment Lease or Purchase with Terms of 18 Months or More

DFARS 207.470(a) AI 7.470

All C3 HCA

Determination & Findings (D&F): Determine That A Single Process Initiative (SPI) Is Not Acceptable For A Specific Procurement

DFARS PGI 211.273-3 AI 11.273-3

All C3 HCA

Determination & Finding (D&F): Determine Commerciality For Any Commercial Item Acquisition Expected To Exceed $1M (Including actions under FAR 13.5)

DFARS 212.102 AI 12.102

All Contracting Officer

Determination & Finding (D&F): Determination at FAR 14.407-3(c) to Permit the Bidder to Withdraw the Bid

FAR 14.407-3(c)

All RCC Chief AFARS 5114.407-3(c) AI 14.407-3

Determination & Finding (D&F): Determination at FAR 14.407-3(a), (b), and (d) to Permit the Bidder to Withdraw the Bid

FAR 14.407-3(e)

All

PARC-CONUS

AFARS 5114.407-3(e) SCO-I

AI 14.407-3 SCO-A

Determination & Finding (D&F): Determination To Make Award Without The Offeror Submitting Required Information Other Than Cost Or Pricing Data

FAR 15.403-3(a)(4) AI 15.403-1

All

PARC-CONUS

SCO-I

SCO-A

Determination & Finding (D&F): Use of Award Fee Contract

FAR 16.401(d)

All

PARC-CONUS

AFARS 5116.405-2 SCO-I

AI 16.401 SCO-A

Determination & Finding (D&F): Use of Incentive Fee Contract

FAR 16.401(d) AI 16.401

All RCC Chief

Determination & Finding (D&F): Award of a Task/Delivery Order Contract Vehicle exceeding $100M to a Single Source

FAR 16.504(c)(1)(ii)(D)(1)(i)-(iii) > $100 M C3 HCA

FAR 16.504(c)(1)(ii)(D)(1)(iv) AI 16.504

> $100 M AAE

Determination & Finding (D&F): Use of Time and Material (T&M) Contract when base year and option years exceeds 3 years

FAR 16.601(d) AI 16.601

All, including Task/Delivery Orders

PARC-CONUS

SCO-I

SCO-A























250


AUTHORITY

Determination & Finding (D&F): Use of Labor-Hour (LH) Contract when base year and option years exceeds 3 years

FAR 16.601(d) AI 16.602

All, including Task/Delivery Orders

PARC-CONUS

SCO-I

SCO-A

Determination & Finding (D&F): Reasonable Price or Fee

FAR 16.603-2(c)(3)

All Letter Contracts or Other Undefinitized Contract Actions that the KO is unable to definitize within 180 calendar days after issuance

PARC-CONUS

DFARS 217.7404-3 SCO-I

AI 16.603-2 SCO-A

Determination & Finding (D&F): Determines a letter contract may be used if no other contract type is suitable

FAR 16.603-3 AI 16.603-2

All

PARC-CONUS

SCO-I

SCO-A

Determination & Finding (D&F): Task/Delivery Order Contract Ordering Period Exceeding 10 Years

DFARS 217.204(e)(i) AI 17.204

All AAE

Determination & Finding (D&F): Task/Delivery Order Period of Performance More than One Year Beyond the End of the 10 Year Ordering Period

DFARS 217.204(e)(iv)(i) AI 17.204

All C3 HCA

Determination & Finding (D&F): Consolidation of Contract Requirements not Set-Aside for Preference Programs

AFARS 5119.202-1 AI 19.202

All C3 HCA

Determination & Finding (D&F): Determine That The Product Or Service To Used Only By The Military Forces, Police, Or Other Security Personnel Of Iraq Or Afghanistan Is In The National Security Interest Of The United States

DFARS 225.7703-2(a) AI 25.7703

> $30M C3 HCA

> $1M < $30M

PARC-CONUS

SCO-I

SCO-A



Determination & Finding (D&F): Determine That The Product Or Service Is Not Limited To Use By The Military Forces, Police, Or Other Security Personnel Of Iraq Or Afghanistan Is In The National Security Interest Of The United States

DFARS 225.7703-2(b)(2) AI 25.7703

All C3 HCA

Determination & Findings (D&F): Determination Not to Allow the Contractor to Buy Insurance for War-Hazard Losses

DFARS 228.370(a) AI 28.370

All C3 HCA

Determination & Finding (D&F): Use of Fixed Price Incremental Funding for Base Services or Hazardous/Toxic Waste Remediation Contracts

DFARS 232-703-1 /

All

PARC-CONUS

DFARS 252.232-7007 SCO-I

AI 32.703-1 SCO-A















251


AUTHORITY

Determination & Findings (D&F): Determination To Take Any Action On A Protest That Could Have Been Recommended By The Comptroller General Had The Protest Been Filed With The GAO; Pay Appropriate Costs As Stated In FAR 33.104(H), And Require The Awardee To Reimburse The Government’s Cost Where A Post-Award Protest Is Sustained As The Result Of An Awardee’s Intentional Or Negligent Misstatement, Misrepresentation, Or Miscertification

FAR 33.102(b)(1) and (b)(2) AI 33.102

All Contracting Officer or RCC Chief with Concurrence of CJA

Determination & Findings (D&F): Determination To Make Contract Award On The Basis Of Urgent And Compelling Circumstances Which Significantly Affect The Interest Of The United States Will Not Permit Awaiting The Decision Of The GAO And Award Is Likely To Occur Within 30 Days Of The Written Finding

All C3 HCA FAR 33.104(b)(1)

AFARS 5133.104(b)

DASA(P) Class Deviation Dated 24 Dec 2009

AI 33.104

Determination & Findings (D&F): Determination To Authorize Contract Performance, Notwithstanding The Protest, Upon Written Finding That Contract Performance Will Be In The Best Interest Of The United States Or Urgent And Compelling Circumstances That Significantly Affect The Interest Of The United States Will Not Permit Waiting For The GAO’s Decision

DFARS 33.104(c)(2)

All C3 HCA AFARS 5133.104(c)

DASA(P) Class Deviation Dated 24 Dec 2009

AI 33.104

Determination & Findings (D&F): Determine that cost limitations are secondary to performance considerations and additional project funding can be expected, if necessary.

FAR 36.609-1(c)(1) AI 36.609-1

All

PARC-CONUS

SCO-I

SCO-A

Determination & Finding (D&F): Approval of Contracts and Task/Delivery Orders for Non-Performance Base Service Acquisitions

DFARS 237.170-2

AFARS 5137.170-2 AI 37.170-2

> $85.5M AAE

> $12.5M < $85.5M C3 HCA

<$12.5M

PARC-CONUS

SCO-I

SCO-A

Determination & Finding (D&F): Determine If The Cost Of Calculating And Tracking Collateral Savings Will Exceed The Benefits

FAR 48.104-3(a) AI 48.104-3

All C3 HCA PARC-CONUS













252


AUTHORITY

FREEDOM OF INFORMATION ACT REQUESTS (FOIAs)

C3 FOIA Initial Denial Authority Determinations

AFARS 5124.203(b)(i) and (II) AI 24.203

All

PARC-CONUS

SCO-I

SCO-A

OTHER ACTIONS REQUIRING REVIEW AND APPROVAL - APPROVALS

Requests for Ratification of Unauthorized Commitment Actions (UCA)

AFARS 5101.602-3 AI 1.602-3

> $100K C3 HCA

> $10K < $100K

PARC-CONUS

SCO-I

SCO-A

< $10K RCC Chief

Exception to Policy in FAR 3.601 FAR 3.602 AI 3.602

All C3 HCA

Release of Long Range Acquisition Estimates

AFARS 5105-404-1 AI 5.404

All

PARC-CONUS

SCO-I

SCO-A

Publication of Paid Advertisements DFARS 205.502(a)

AI 5.502 All

PARC-CONUS

SCO-I

SCO-A

Cost Benefit Analysis for Bundled Requirements

FAR 7.107 AI 7.170

All, Except requirements conducted under OMB Circular A-76

C3 HCA

Approve The Exemption Of Individual Contracts From The Use Of The Uniform Contract Format

AFARS 5115.303(a)(i) AI 15.204

All

PARC-CONUS

SCO-I

SCO-A

Approve the Contracting Officer to Obtain Cost or Pricing Data for Actions Below the Simplified Acquisition Threshold (SAT)

FAR 15.403-4(a)(2) AI 15.403-1

All C3 HCA

Approve the use of the alternate structured approach for profit when the weighted guidelines method does not produce a reasonable overall profit objective

DFARS 215.404-4(c)(2)(C)(2) AI 15.404-4

All

PARC-CONUS

SCO-I

SCO-A

Approve the Requirements and Format for the Program Should-Cost Team Report

AFARS 5115.407-4(b) AI 15.407-4(a)

All

PARC-CONUS

SCO-I

SCO-A















253


AUTHORITY

Approve the Use of a Fixed-Ceiling-Price Contract with Retroactive Price Redetermination

DFARS PGI 215.407-4(c)(2)(B) AI 15.407-4(b)

All

PARC-CONUS

SCO-I

SCO-A

Appoint Award Fee Determining Officials AFARS 5116.405-2(b)(2)(C)

AI 16.405-2 All

PARC-CONUS

SCO-I

SCO-A

Approve an Additional Period than Specified in DFARS 217.7404-3 for Definitization of an Undefinitized Contract Action (UCA) (Including Letter Contracts)

AFARS 5116.603-2 AI 16.603-2

All

PARC-CONUS

SCO-I

SCO-A

Approve the Use of Options That Extend Contracts Beyond the Five-Year Regulatory Limit

AFARS 5117.204(e) AI 17.204

All

PARC-CONUS

SCO-I

SCO-A

Approve A Undefinitized Contract Action (UCA) or Modifying The Scope Of A UCA When Performance Has Already Begun

DFARS 217.7404-1 AI 17.7404-1

All

PARC-CONUS

SCO-I

SCO-A

Approve the Contracting Officer’s Decision that Data Containing Markings are Not Authorized per FAR clause 52.227-14, Rights in Data, with Regard to the Appropriateness of the Markings

FAR 27.404-5(a)(2)(ii)(B) AI 27.404-5

All

PARC-CONUS

SCO-I

SCO-A

Approve the Use of Contract Financing Arrangements Not in Accord with the Requirements of Agency Regulations or FAR Subpart 32.2. Advance Approval is Required

FAR 32.202-1(d) AI 32.202-1

All

PARC-CONUS

SCO-I

SCO-A

Approve the Contractors Request for Unusual Progress Payment Arrangements

FAR 32.501-2

All DPAP DFARS PGI 232.501-2 AI 32.501-2

Approve Concurrent Performance Of Cost-Plus-Fixed-Fee, Price-Incentive, Or Other Types Of Contracts With Cost Variation Or Cost Adjustment Features Concurrently, At The Same Work Site, With Firm-Fixed-Price, Lump Sum, Or Unit Price Contracts

FAR 36.208 AI 36.208

All

PARC-CONUS

SCO-I

SCO-A
















254


AUTHORITY

Approve The Use Of Prequalification That A Construction Project Is Of An Urgency Or Complexity That Requires Prequalification And Approve The Prequalification Procedures

DFARS 236.272(b) AI 36.272

All

PARC-CONUS

SCO-I

SCO-A

Approve Other Criteria For Use By The Contracting Officer When Determining Whether The Two-Phase Design-Build Process

FAR 36.301(b)(3)(vi) AI 36.301

All C3 HCA

Approve The Use Of A Separate Bid Item For Mobilization And Preparatory Work

FAR 36.602-3 AI 36.570

All

PARC-CONUS

SCO-I

SCO-A

Approve The General Direction To The Evaluation Boards To Perform The Functions In FAR 36.602-3 For A&E Contracts

FAR 36.602-3 AI 36.602-3

All

PARC-CONUS

SCO-I

SCO-A

Approve Hiring and Contract Action Certifications for C3 (i.e. Where C3 is the requiring activity/customer) Covered by the Army Policy for Civilian Workforce Management and Services Contracts

DFARS 237.503

All C3 HCA

DFARS PGI 237.503 AI 37.503

Approve The Delegation In The Case Of Authority To Issue Orders Under Provisioning Procedures In Existing Contracts And Under Basic Ordering Agreements

FAR 42.202(c)(2) AI 42.202

All

PARC-CONUS

SCO-I

SCO-A

Approve Solicitation Of Voluntary Refunds From A Contractor

DFARS PGI 242.7100(4) AI 42.7100

All

PARC-CONUS

SCO-I

SCO-A

Approve The Use Of Government Property For Commercial Use When Non-Government Use Is Expected To Exceed 25 Percent Of The Total Use Of Government And Commercial Work Performed

FAR 45.301(f) AI 45.301

All

PARC-CONUS

SCO-I

SCO-A

Approve The Contracting Officers Decision To Terminate For Default Any Contract With A Small Business Firm To Whom A Certificate Of Competency Was Issued, Or To Whom Loans Were Made With SBA’s Participation

AFARS 5149.402-3 AI 49.402-3

All

PARC-CONUS

SCO-I

SCO-A

Approve The Submission Of The Clearance Request

AFARS 5149.7001 AI 49.7001

All C3 HCA















255


AUTHORITY

OTHER ACTIONS REQUIRING REVIEW AND APPROVAL - WAIVERS

Waive any General Rule or Procedure in FAR Subpart 9.5, Organizational and Consultant Conflicts of Interest

FAR 9.503 AI 9.503

All C3 HCA

Waive The Tailoring Of Provisions And Clauses For Commercial Items Inconsistent With Customary Commercial Practice

DFARS 212.302(c) AI 12.302

All C3 HCA

Waive The Inclusion Of FAR Clause 52.214-27 And FAR 52.214-28 In A Contract With A Foreign Government

FAR 14.201-7(b)(2) and (c)(2) AI 14.201-7

All C3 HCA

Waive The Requirement For Submission Of Cost Or Pricing Data In Exceptional Cases (TINA Waiver)

FAR 15.403-1(c)(4) AI 15.403-1

All C3 HCA

Waive the Use of Forward Pricing Rate Agreement (FPRA) Rates

DFARS 215.407-3(b)(i) AI 15.407-3

All

PARC-CONUS

SCO-I

SCO-A

Waive Restrictions of 10 U.S.C. 2534 DFARS 225.7008(a)(2)

AI 25.7008 All C3 HCA

Waive the Requirement for the Use of FAR Clause 52.228-7, Liability to Third Persons

DFARS 228.311-1 AI 28.311-1

All

PARC-CONUS

SCO-I

SCO-A

Waive The Requirement For Presolicitation Notices For Construction Equal To Or Exceeding The Simplified Acquisition Threshold (SAT)

FAR 36.213-2(a) AI 36.213

All

PARC-CONUS

SCO-I

SCO-A

PEER REVIEWS

PHASE 1: SRB - PRIOR TO RELEASE OF SOLICITATION PHASE 2: CRB - PRIOR TO ENTERING DISCUSSIONS PHASE 3: CRB - PRIOR TO AWARD

> $1B DPAP

> $250M < $1B C3 HCA

DFARS 201.170

> $12M < $250M

PARC-CONUS

AFARS 5101.170 AI 1.170

SCO-I

SCO-A



PHASE 4: CRB - POST AWARD REVIEW OF SERVICE CONTRACTS

> $1B DPAP

> $250M < $1B C3 HCA

DFARS 201.170

> $12M < $250M

PARC-CONUS

AFARS 5101.170 SCO-I

AI 1.170 SCO-A


>$30K < $750K Contracting Officer (Not ACO) (Return to Appendix)






















256


AUTHORITY

PHASE 1: SRB - PRIOR TO RELEASE OF SOLICITATION WAIVER PHASE 2: CRB - PRIOR TO ENTERING DISCUSSIONS WAIVER PHASE 3: CRB - PRIOR TO AWARD WAIVER

> $1B DPAP

> $250M < $1B C3 HCA

DFARS 201.170

> $12M < $250M

PARC-CONUS


AI 1.170 SCO-A



PHASE 4: CRB - POST AWARD REVIEW OF SERVICE CONTRACT WAIVER

> $1B DPAP

> $250M < $1B C3 HCA

DFARS 201.170

> $12M < $250M

PARC-CONUS


AI 1.170 SCO-A



USE OF NON-DOD CONTRACT CERTIFICATIONS

Use of Non-DoD Contract Certification – Direct Acquisitions (Issued by C3)

AFARS 5117.7802 AI 17.7802

All Contracting Officer

Use of Non-DoD Contract Certification – Assisted Acquisitions (Issued by Non-DoD Contracting Officer)

AFARS 5117.7802 AI 17.7802

> $500M C3 HCA

> $12M < $500M

PARC-CONUS

SCO-I

SCO-A

< $12M RCC Chief









257

APPENDIX 2 – RECURRING REPORTS LIST

OCT NOV DEC JAN FEB MAR APR MAY JUN JUL AUG SEP

Peer Reviews of Contracts for Supplies and Services DPAPSS Memo 29 Sep 08 201 Yes Manual Spreadsheet Yes 10 10 10 10First Level Evaluation of Contracting Officer in Contracting Career Chain

USD Memo 27 Aug 08; DODI 5000.66 201.6 Yes Manual Spreadsheet/Word Yes 15

Separation of Duties of Senior Contracting Leadership Positions DPAPSS Memo 17 Sep 08 201.6 Yes Manual Spreadsheet/Word Yes 10C3 UAC Log Submission C3 AI 1.602-3(f) 1.6 Yes Manual Spreadsheet/Word Yes 15Federal Procurement Data Verification and Validation; Annual Statement of Verification and Validation results

Executive Office of the President Memo 9 Mar 08 204 Yes Automated ADVDT Yes 10

Report on Procurement Management Reviews DPAPSS Memo 16 Jul 08 5104 Yes Manual Spreadsheet Yes 1

Special Competition Advocate Report

OFPP Memo 31 May 2007; USD Memo 26 Jul 2007; AFARS 5106.502(b)(2) 5106 Yes Automated FPDS Yes 15

Contracting Manpower Reporting Requirements

Sec. Army Memo, dated 07 Jan 05 7.5 Yes Manual Spreadsheet Yes 10

IUID Contractor No Bid Threats Policy Alert 08-12-A 211 Yes Manual Spresdsheet Yes 25 25 25 25 25 25 25 25 25 25 25 25

Weighted Guidelines Quarterly Report (WGL)

DFARS 215.404-76 & 70; PGI 215.404-76; DoDD 7640.2 215 Yes Automated TBD Yes 25 25 25 25

Exception and waiver to the Truth in Negotiation Act Report - Annual

DPAP Memo 23 Mar 07; USD Memo 8 Jun 07; Section 813 NDAA 2003; DFARS 215.403-1(c)(3)(B) 215 Yes Manual Spreadsheet Yes 25

Quarterly Summary Report of Exceptional Case Waivers from TINA/CAS

OUSD AT&L Memo 3 Nov 09 Annual Report to Congress for Commercial Item Exceptions from TINA DFARS 215 and 230 Yes Manual Spreadsheet Yes 25 25 25 25

Secure Environment Contracting Oversight Schedules AR 715-30 5115 Yes Manual Spreadsheet Yes 1Economic Price Adjustment - Multi-Year Contracts

DPAP Memo, dated 09 Sep 09 216 Yes Manual Spreadsheet Yes 25

Award and Incentive Fees - Data Collection

USD memo 24 Apr 2007; DASA(P&P) memo 31 May 2007; Sect 814 NDAA 2007 216 Yes Manual Spreadsheet Yes 25 25

Extension of ordering period for task or delivery order beyond 10 years

DFARS PGI 217.204(e) Section 813(b) NDAA 2005 217 Yes Automated FPDS Yes 5

Consolidated UCA Management Report for UCAs >$5M

DPAPSS Memo 29 Aug 08; Section 809, FY 08 NDAA 217.74 Yes Manual Spreadsheet Yes 25 25

NOTE: Submit all reports to the C3 Policy mailbox at [email protected] AND to the J3 mailbox at [email protected] on or before the date specified.

PARC/SCO Report Due Dates to the Policy and J3 Mailbox

Report Title Regulation Reference Accq. Reg. Part

Negative Report

Required from Field (Y/N)

Automated (A) Database or

Manual (M) Data Call

For automated list system (i.e., FPDS-NG)

Field Input Required (Yes/No)


258

OCT NOV DEC JAN FEB MAR APR MAY JUN JUL AUG SEP

Peer Reviews of Contracts for Supplies and Services DPAPSS Memo 29 Sep 08 201 Yes Manual Spreadsheet Yes 10 10 10 10First Level Evaluation of Contracting Officer in Contracting Career Chain

USD Memo 27 Aug 08; DODI 5000.66 201.6 Yes Manual Spreadsheet/Word Yes 15

Separation of Duties of Senior Contracting Leadership Positions DPAPSS Memo 17 Sep 08 201.6 Yes Manual Spreadsheet/Word Yes 10C3 UAC Log Submission C3 AI 1.602-3(f) 1.6 Yes Manual Spreadsheet/Word Yes 15Federal Procurement Data Verification and Validation; Annual Statement of Verification and Validation results

Executive Office of the President Memo 9 Mar 08 204 Yes Automated ADVDT Yes 10

Report on Procurement Management Reviews DPAPSS Memo 16 Jul 08 5104 Yes Manual Spreadsheet Yes 1

Special Competition Advocate Report

OFPP Memo 31 May 2007; USD Memo 26 Jul 2007; AFARS 5106.502(b)(2) 5106 Yes Automated FPDS Yes 15

Contracting Manpower Reporting Requirements

Sec. Army Memo, dated 07 Jan 05 7.5 Yes Manual Spreadsheet Yes 10

IUID Contractor No Bid Threats Policy Alert 08-12-A 211 Yes Manual Spresdsheet Yes 25 25 25 25 25 25 25 25 25 25 25 25

Weighted Guidelines Quarterly Report (WGL)

DFARS 215.404-76 & 70; PGI 215.404-76; DoDD 7640.2 215 Yes Automated TBD Yes 25 25 25 25

Exception and waiver to the Truth in Negotiation Act Report - Annual

DPAP Memo 23 Mar 07; USD Memo 8 Jun 07; Section 813 NDAA 2003; DFARS 215.403-1(c)(3)(B) 215 Yes Manual Spreadsheet Yes 25

Quarterly Summary Report of Exceptional Case Waivers from TINA/CAS

OUSD AT&L Memo 3 Nov 09 Annual Report to Congress for Commercial Item Exceptions from TINA DFARS 215 and 230 Yes Manual Spreadsheet Yes 25 25 25 25

Secure Environment Contracting Oversight Schedules AR 715-30 5115 Yes Manual Spreadsheet Yes 1Economic Price Adjustment - Multi-Year Contracts

DPAP Memo, dated 09 Sep 09 216 Yes Manual Spreadsheet Yes 25

Award and Incentive Fees - Data Collection

USD memo 24 Apr 2007; DASA(P&P) memo 31 May 2007; Sect 814 NDAA 2007 216 Yes Manual Spreadsheet Yes 25 25

Extension of ordering period for task or delivery order beyond 10 years

DFARS PGI 217.204(e) Section 813(b) NDAA 2005 217 Yes Automated FPDS Yes 5

Consolidated UCA Management Report for UCAs >$5M

DPAPSS Memo 29 Aug 08; Section 809, FY 08 NDAA 217.74 Yes Manual Spreadsheet Yes 25 25

NOTE: Submit all reports to the C3 Policy mailbox at [email protected] AND to the J3 mailbox at [email protected] on or before the date specified.

PARC/SCO Report Due Dates to the Policy and J3 Mailbox

Report Title Regulation Reference Accq. Reg. Part

Negative Report

Required from Field (Y/N)

Automated (A) Database or

Manual (M) Data Call

For automated list system (i.e., FPDS-NG)

Field Input Required (Yes/No)


259

APPENDIX 3 – COALITION PROVISION AUTHORITY (CPA) CONTRACTS TRANSFERRED TO C3 FOR ADMINISTRATION The following is a list of cost reimbursable contracts awarded by the original Coalition Provisional Authority (CPA) then transferred to C3 for administration. These contracts are nearing closeout and DCMA SE has accepted responsibility for "overall" administration and must have all of the basic files except the ones that C3 has active task order administration. C3 shall work with the DCMA SE to retain partial administration. Contact info for DCMA SE is: DSN: 314-336-2071 / COMM: 011-49-611-816-2071 / Cell: 011-49-160-9390-9756.

Ship all of the files listed below to DCMA SE, not the CCTFO. For the following contracts, send postage paid certified mail receipt requested to the following address:

DCMA-SE Team Leader, Reachback Closeout CMR 410 Box 761 APO AE 09049

CAGE VENDOR NAME CONTRACT NO TASK/DELIVERY ORDER NUMBER 07PJ4 Kellogg Brown & Root W9126G04D0001 0002, 0005, 0007, 0008, 0009,

0011, thru 0017, 0020, 0021, 0026, 0028 thru 0030

3G3Y8 Parsons Iraq Joint Venture W9126G04D0002 001 thru 0022

3MLX5 Fluor AMEC W914NS04D0003 0001, 0002, 0004 thru 0006 3GSQ0 Lucent Technologies W914NS04D0005 0001 thru 0006 1R1K2 Parsons Delaware (Global) W914NS04D0006 0001, 0002, 0005, 0007, 0010, 0014 3X6H5 Washington International W914NS04D0007 001, 0004 thru 0017 3MLX5 Fluor AMEC W914NS04D0008 0001, 0003, 0008 thru 0012 1R1K2

Parsons Delaware (Global) W914NS04D0009 0001 thru 0003, 0005, 0010, 0011,

0012 0014, 0021, 0032, 0034, 0036, 0050, 0052, 0054 thru 0056

3ZPC0 Washington International W914NS04D0010 0001 thru 0009, 0011 thru 0019 3MLX5 Fluor AMEC W914NS04D0022 0001, 0003 and 0004 3Q0KD AECOM W914NS04C0001 3QGH3 CH2MHill/Parsons W914NS04C0003 3QVF3 Berger URS W914NS04C0004 3QVF3 Berger URS W914NS04C0005 3QVF3 Berger URS W914NS04C0006 KCN19 Foster Wheeler W914NS04C0007 KCNJ2 Aegis Defence Services

Limited W911SO04C0003

W91GDW08C4003

3ZPC0 Washington International W91GXY06C0066 3MPJ5 Parsons Electrical & Chemical

International & Parsons Brinckerhoff Joint Venture

W914NS04C0002



260

APPENDIX 4 – C3 ACTIVE DODAAC AND DOD ORDER CODES

COUNTRY DoDAAC OFFICE/LOCATION DoD ORDER

CODES Afghanistan W90U42 RCC Sharana 3Q Afghanistan W91B4K RCC Fenty (Jalalabad) 3B Afghanistan W91B4L RCC Kandahar 3D Afghanistan W91B4M RCC Kabul 3E Afghanistan W91JA4 RCC Phoenix 7B Afghanistan W91B4N RCC Bagram 3F Afghanistan W91B4P RCC Salerno 3L Afghanistan W90YVD RCC Shank L1 Afghanistan W5K9FH RCC Leatherneck L2 Afghanistan W5K9UR RCC Dwyer L4 Afghanistan W5KA4N RCC Herat LJ Afghanistan W919QC RCC Delaram II LK Afghanistan W919QA RCC North (Mazar E Sharif) LM

Iraq W91GDW RCC Central, Camp Liberty 7A Iraq W91GEY RCC Kalsu 4W Iraq W91GF5 RCC Balad 7V Iraq W91GFB RCC Mosul 8D Iraq W91GFL RCC Tikrit 8G Iraq W91GXE RCC Tallil 8T

Iraq W91GY0 Contracting Support

Division, Baghdad (IZ) LL Iraq W91GY3 RCC Basrah LN

United States W560MY PARC-CONUS, Rock Island

IL D6 (Return to Appendix)


261

APPENDIX 5 – C3 INACTIVE DODAAC AND DOD ORDER CODES (HISTORICAL)

COUNTRY DoDAAC OFFICE/LOCATION DoD ORDER CODES Afghanistan W913TY RCC Bagram N/A Afghanistan W919Q5 RCC Shindand N/A Afghanistan W91QUZ RCC Phoenix N/A

Iraq M20133 RCC Fallujah N/A

Iraq M68450 RCC Fallujah N/A

Iraq W90U3Z RCC Bucca N/A Iraq W90U41 RCC Delta N/A Iraq W91GET Baghdad RCC N/A Iraq W91GEU Victory RCC N/A Iraq W90WH9 TFBSO (TWR), Baghdad N/A

Iraq W91GXX Oil Sector (TWR) N/A

Iraq W91GXY Electrical Sector (TWR) N/A

Iraq W91GXZ Facilities/Services Sector (TWR) N/A

Iraq W91GY1 Public Works/Water Sector (TWR) N/A

Iraq W914NS MSD/TWR N/A

Iraq W917VW RCC Al Asad N/A

Iraq W90VCM RCC Al Asad N/A Iraq W91GER Specialized Contracts Div. N/A

Iraq W91GF9 Kirkuk RCC N/A Iraq W91GFP RCC Kirkuk N/A Iraq W91GXS RCC Kirkuk N/A

Iraq W91GXN RCC Hillah N/A

Iraq W91GFC RCC Taji N/A

Qatar F38604 ECONS N/A (Return to Appendix)


262

APPENDIX 6 – CONTRACTING OFFICER’S GUIDE FOR THEATER BUSINESS CLEARANCE (TBC) IRAQ/AFGHANISTAN This TBC Guide, along with its associated TBC Request and Tracker, is located on the CENTCOM INFORMATION PORTAL at http://www.acq.osd.mil/dpap/pacc/cc/areas_of_responsibility.html Click on the CENTCOM area of the map to access this page.




263

APPENDIX 7 – CONTRACTING OFFICER’S GUIDE FOR THEATER BUSINESS CLEARANCE (TBC) KUWAIT This TBC Guide, along with its associated TBC Request and Tracker, is located on the CENTCOM INFORMATION PORTAL at http://www.acq.osd.mil/dpap/pacc/cc/areas_of_responsibility.html Click on the CENTCOM area of the map to access this page.




264

APPENDIX 8 – CONTRACTING OFFICER’S GUIDE FOR THEATER BUSINESS CLEARANCE (TBC) PAKISTAN This TBC Guide, along with its associated TBC Request and Tracker, is located on the CENTCOM INFORMATION PORTAL at http://www.acq.osd.mil/dpap/pacc/cc/areas_of_responsibility.html Click on the CENTCOM area of the map to access this page.

