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									   FORCES COMMAND
     CONTRACTING
     MANAGEMENT
       REVIEWS
     “A GUIDE FOR SUCCESS”
     FORSCOM Pamphlet 715-9


      FORCES COMMAND
CONTRACTING DIVISION - DCSLOG
FORT MCPHERSON, GA 30330-1062

       31 January 1999 (Sixth Edition)
Department of the Army                                                   *FORSCOM Pamphlet 715-9
Headquarters, United States Army Forces Command
1777 Hardee Avenue, SW.
Fort McPherson, Georgia 30330-1062
31 January 1999

                                        Procurement
                        CONTRACTING MANAGEMENT REVIEW (CMR) GUIDE




History. This pamphlet was last printed in February      Users are invited to send comments/suggested
1992. This edition updates the 31 January 1998           improvements on DA Form 2028 (Recommended
electronic version and also supersedes the February      changes to Publications and Blank Forms) to DCS for
1992 printed edition.                                    Logistics, FORSCOM, 1777 Hardee Avenue, SW.,
Summary. This pamphlet provides guidance for             Fort McPherson, GA 30330-1062.
efficient and effective conduct of Contracting
Management Reviews (CMRs) within Forces                  FOR THE COMMANDER:
Command (FORSCOM).
Applicability. This pamphlet is for use by HQ            OFFICIAL:                JOHN M. PICKLER
FORSCOM for review of FORSCOM contracting                                         Lieutenant General, USA
offices and FORSCOM Installation Directorate of                                   Chief of Staff
Contracting (DOC) personnel to prepare for
FORSCOM CMRs.
Changes. Changes to this publication are not official    SIGNED
unless they are authenticated by the DCSC4,              DALE E. PEYTON
FORSCOM, 1777 Hardee Avenue, SW., Fort                   Colonel, GS
McPherson, GA 30330-1062. Users will destroy             Assistant Deputy Chief of Staff for
changes on their expiration dates unless sooner          Command, Control, Communications
superseded or rescinded.                                   and Computers
Suggested improvements. The proponent agency of
this pamphlet is the Deputy Chief of Staff for
Logistics (DCSLOG), FORSCOM, 1777 Hardee
Avenue, SW., Fort McPherson, GA 30330-1062.



DISTRIBUTION is C and E. Pass to Directorate of Contracting Personnel.

Copy furnished: HQ FORSCOM (AFCI-A) (record copy)




* This pamphlet supersedes FORSCOM Pamphlet 715-9, dated 31 January 1998.
                                               FOREWORD
FORSCOM Pamphlet 715-9




    The purpose of this guide is to standardize Command procedures for efficient conduct of CMRs. It provides a
“ready reference” for CMR teams to use while conducting reviews and measuring performance. It is also an
excellent tool for DOCs to use for internal reviews; however, users are cautioned that this pamphlet should not be
used as a source in lieu of appropriate regulations. These procedures establish standards and provide uniformity and
consistency in reviews and reports, to assure that all FORSCOM contracting organizations are measured in the same
manner.

    The objectives of the CMR are to ensure that contracting is accomplished in compliance with established laws,
regulations, policies, procedures and directives; to assess the organization's condition, capability to perform assigned
mission and customer support; and to assist managers in the development of suitable approaches to resolve problems.




                                            TABLE OF CONTENTS

CHAPTER 1                                          4            Contract Management Review (CMR)



2
                                                                       FORSCOM Pamphlet 715-9


Process                                         4      APPENDIX B-1                                  44
1-1.   General                                   4     Instructions for Completion of Rating
1-2.   Introduction                              4     Form                                          44
1-3.   Responsibilities                          4
1-4.   Notification to the Contracting Organiza-tion   APPENDIX B-2                                  45
                                                 5     FORSCOM Contracting Management
1-5.   In-Briefs                                 5     Review                                        45
1-6.   In-Process Reviews                        5
                                                       APPENDIX C-1                                  46
1-7.   Out-Briefs                                5
1-8.   Lessons Learned                           6
                                                       Contracting Management Review (CMR)
                                                       In-Brief for Garrison Commander     46
CHAPTER 2                                       6
Standards and Report Format                     6      APPENDIX C-2                                  47
2-1. General                                    6      Contracting Management Review
2-2. Purpose                                    6      In-Brief for Directorate of Contracting
2-3. Standards                                  6      (DOC)                                         47
2-4. Report Format                              6
2-5. Responsibilities                           8      APPENDIX D-1                                  48
2-6. Completion of the Contracting Manage-             Contracting Management Review (CMR)
ment Review                                     8      Out-Brief for Directorate of Contracting
2-7. Follow-Up Review                           8      (DOC)                                    48
CHAPTER 3                                       9      APPENDIX D-2                                  49
Reviewing The Contracting Organization          9      Contracting Management Review (CMR)
3-1. General                                    9      Out-Brief for Garrison Commander    49
3-2. Review of Categories                       9
3-3. Management and Administration              9      APPENDIX E                                    50
3-4. Organizational Structure/Manpower                 CMR Milestones                                50
Management                                      9
3-5. Career Program Management                 10
                                                       APPENDIX F                                    51
3-6. Office Policy and Procedure               11      Blue Print For A High Performance
3-7. DOC Special Programs                      14      DOC                                           51
3-8. Evaluation                                16
3-9. Acquisition                               17
                                                       APPENDIX G                                    52
3-10. FACNET                                   18      Centurion and the DOC                         52
3-11. Simplified Acquisitions                  18      APPENDIX H                                    54
3-12. Formal Contracts                         23
                                                       Legal Support                                 54
3-13. Contract Administration                  30
3-14. Commercial Items                         38      APPENDIX I                                    57
APPENDIX A                                     41      Areas of Special Interest for FYs 98
Sample Notification Letter                     41      and 99                                        57




                                                                                                 3
FORSCOM Pamphlet 715-9




Chapter 1                                                    (4) Determine the size and composition of the
Contract Management Review (CMR) Process                 teams.
                                                             (5) In coordination with other Team Leaders,
1-1. General                                             assign specific duties to team members.
The purpose of the CMR is to determine the                   (6) Acquire necessary subject matter experts
efficiency and effectiveness with which the DOC          from outside the PARC office if needed.
executes its responsibilities and to assess compliance       (7) Appoint a member of the Management Team
with established laws, regulations, policies,            as the Logistical Support Coordinator to handle the
procedures, and directives. The review will assist the   following:
DOC and its customers in recognizing and acting on           (a) Prepare DOC notification letter.
problems in contracting and contract administration.         (b) Prepare TDY orders.
Emphasis will be on development and improvement              (c) Make airline/lodging reservations.
of managerial controls and approaches as well as             (d) Prepare CMR packets for team members;
determination of compliance with existing                include a copy of the previous CMR report, rating
regulations, directives and procedures.           This   sheet, any applicable audit reports, logistical infor-
assessment can then be used to improve the               mation, and any other pertinent DOC information.
contracting process by ensuring that all elements            (8) Review and provide the final CMR report to
work together to provide the best contracting support    the PARC for approval not later than (NLT) 30
to the customer. The overall objective is to maximize    calendar days following a review.
contract mission performance.                                (9) No later than 30 July, provide the PARC a
                                                         complete listing of proposed CMRs for the upcoming
1-2. Introduction                                        fiscal year for review and approval. The list will be
Comprehensive pre-CMR planning is indispensable          reviewed quarterly.
to the success of the review. If planning is done            (10) Review this guide annually for additions,
properly, the review team will know about the            deletions and general changes as appropriate.
organization to be reviewed, its mission, workload,      Prepare and distribute supplements as needed.
staffing, and known strengths and weaknesses before          c. Team Chief. The Team Chief is responsible
the review begins. This reduces the need for             for the following:
extensive on-site briefings, interviews, and study of        (1) Arrange for working space and clerical
internal and external directives or instructions. The    assistance for the team.
adequacy of pre-CMR planning and preparation will            (2) Meet with the PARC at least one week prior
be reflected during the conduct of the review and in     to the review for any special issues/concerns.
the quality of the review report. Planning should            (3) Meet with team members and discuss work
include use of other reports, e.g., Inspector General,   assignments.
Internal Review, Army Audit Agency and General               (4) Conduct in-process reviews with the Director
Accounting Office.                                       of Contracting and team members.
                                                             (5) Conduct in and out-briefings with Director-
1-3. Responsibilities                                    ate of Contracting personnel and Garrison Comman-
    a.   PARC. The FORSCOM Principal Assistant           der.
Responsible for Contracting (PARC) is responsible            (6) Appoint a team member to prepare the CMR
for the conduct of all FORSCOM CMRs. The PARC            report.
delegates the primary responsibility for the CMR             (7) Prepare and transmit the final CMR report to
Program to the Team Leader, Management Team.             the installation.
    b. Management Team. The Team Leader,                     d. Team Members. Team members are respon-
Management Team, will:                                   sible for the following:
    (1) Oversee the efficient, effective operation of        (1) Assess documents sent to the Headquarters
all CMRs.                                                (J&As, POMs/PNMs, reports, etc.)
    (2) In coordination with the PARC, Chief,                (2) Perform the review in accordance with this
PARC Operations, and other Team Leaders, appoint         pamphlet and the instructions from the Team Chief.
the CMR Team Chief.                                          (3) Report on efficiencies as well as areas
    (3) Coordinate with the DOCs to see what             needing improvement.
assistance is needed before review.




4
                                                                           FORSCOM Pamphlet 715-9


    (4) Maintain objectivity; verify information.        meetings assure understanding between the team and
    e. Directorate of Contracting (DOC). The DOC         the office and enable the office to take timely action
should have the information requested in the             concerning deficiencies identified during the review.
notification letter available for the review team upon   Matters of fact are determined at this time (i.e., a
arrival.                                                 document is either in the file or not). The Director
                                                         should not be surprised at the out-brief with problems
1-4. Notification to the Contracting Organiza-tion       and criticisms that should have been revealed and
    a. The CMR schedule will be published in a           discussed during the review.
Contracting Information Letter (CIL) prior to 15             a. At the close of business each review day, the
August of each fiscal year. The PARC will notify the     Team Chief will assemble team members and assess
DOC at least 60 calendar days prior to the date the      the results of the review for that period. Team
review is to begin. A sample notification letter is at   members should relay information relative to their
Appendix A.                                              specific areas of responsibility and of use to the other
    b. The letter will give the nature, date, and        members of the team.
expected duration of the review; request sufficient          b. Prior to completion of the review and the out-
administrative work space to support the team            briefing, the Team Chief should conduct a final
members, a point of contact, and documents               meeting with the team to review the significant
necessary to conduct the review be made available.       findings and recommendations to be included in the
Information needed may include:                          report. During this meeting, evaluations and overall
    (1) Organization Charts.                             rating should be determined based on guidance
    (2) Mission Statement.                               contained in Chapter 2.
    (3) Advance Acquisition Plan.
    (4) Source of Work (Customers).                      1-7. Out-Briefs
    (5) Policies & Procedures (i.e., local regulation    Two separate out-briefs will be conducted, first with
or SOP).                                                 the Director and supervisory staff and second with the
    (6) Manpower (Required, Authorized, On-              Director and the Garrison Commander. The Director
board).                                                  has the option of extending the first out-brief to all
    (7) Training Status.                                 DOC personnel.
    c. The notification letter to the DOC should also        a. The Director of Contracting, along with the
request an orientation briefing be presented to the      supervisory staff, will be briefed on the findings,
review team on arrival. Subjects should include          observations and recommendations by the Team
organization, mission and functions, nature and scope    Chief and the full review team. The format at
of     contracting     operations,     staffing,  and    Appendix D-1 will be used.
acquisition/contracting problem , and results of the         b. The out-brief with the Garrison Commander
self-assessment.                                         will be conducted by the Team Chief. Selected team
    d. The letter will advise the DOC if the             members may accompany at the discretion of the
FORSCOM NAF Analyst will accompany the team to           Team Chief.
perform a CMR of Non-appropriated Fund (NAF)                 c. The out-brief should be carefully planned.
Contracting. Non-appropriated Fund procurement           The format for the out-brief is at Appendix D-2. The
performed by the Directorate of Personnel and            Commander is given a completed rating sheet
Community Activities is covered in FORSCOM               (Appendix B-2).
Pamphlet 215-4.                                              d. The Team Chief should thank the
                                                         Commander, his staff, and all others who contributed
1-5. In-Briefs                                           to the review. The chief should advise that the final
If requested, the Team Chief and the Director will       report will be prepared within 30 calendar days and
brief the Garrison Commander on the purpose of the       that the command’s response is due within 60 days
CMR and give him a blank rating form (Appendix B-        after receipt. Corrective action taken or planned for
2). The format at Appendix C-1 will be used for the      noted findings is expected in the command's
briefing. The Team Chief will also brief the DOC on      response.      Comments on observa-tions and
the CMR review process and procedures to be used         recommendations are optional.
by the team. The format at Appendix C-2 will be              e. It should be stressed in the out-briefs that all
used for the DOC briefing.                               evaluations are tentative and subject to change.
1-6. In-Process Reviews
During the review, the Team Chief will keep the
Director informed of progress and findings. Such


                                                                                                       5
FORSCOM Pamphlet 715-9


1-8. Lessons Learned                                      Marginal performance will be reviewed in six
    a. Information obtained from CMRs that should         months.
be shared with other contracting offices will be              (5) Unsatisfactory - Conditions do not meet
disseminated periodically using various means of          normal standards and reflect unacceptable
communication, such as the FORSCOM home page              management. Findings noted are severe including
on the Internet, email, newsletters, memoranda,           non-compliance with regulations and command
conferences, and other channels.                          guidance, violations of public law, disregard for
    b. Team members will submit a brief summary           command policy, blatant mismanagement of
of lessons learned along with the functional review       operations and/or repeated, recurring findings.
results to the team chief. Management Team leader is      Unsatisfactory performance will be reviewed in six
responsible for disseminating information.                months.
                                                              b. The overall rating will consider all functional
                                                          areas. Final results will be presented to the Director
Chapter 2                                                 and his supervisory staff by the full review team and
Standards and Report Format                               to the Garrison Commander by the Team Chief.
                                                          Rating, strengths and weaknesses will be discussed.
2-1. General                                                  c. Legal Support will be reviewed by the
This guide establishes standards for the review and       FORSCOM Staff Judge Advocate (SJA) team
provides the basis for maintaining uniformity and         representative and will not be included in the DOC
consistency in reviews and reports.                       rating. The review results will be presented to the
                                                          Installation SJA and the Garrison Commander by the
2-2. Purpose                                              FORSCOM legal representative.
The purpose of the CMR standards and report is
twofold:                                                  2-4. Report Format
   a. To effectively direct and monitor the                   a. The report must be clear, concise, easy to
implementation of accepted rules, practices and           read, and as brief as possible. The following format
procedures by all field contracting activities            will be used:
concerned.                                                    (1) Table of Contents - Identifies location of the
   b. To ensure reviews are conducted in                  major subheadings and page numbers. Use the same
accordance with adequate, written standards which         general format for each report.
will measure the qualitative aspects of performance.          (2) Executive Summary - The Executive Sum-
                                                          mary should be comprehensive enough for the reader
2-3. Standards                                            to get an overall picture of managerial and
The most critical aspect of any review is the final       operational efficiencies and inefficiencies. It shall be
result.    The review will provide the Garrison           concise, cite the purpose and authority of the review,
Commander a status of the contracting organization        and cover the mission and workload of the
as assessed by the team. The status report will be a      organization.     The summary will identify the
subjective rating based on specific areas inspected       organization reviewed, when, by whom, and key
and overall assessment of findings.                       customers contacted. It should indicate in and out
    a. Five ratings will be used to identify results:     briefings conducted and acknowledge the presence of
    (1) Outstanding - Excellent condition. Effec-tive,    representatives of the command. As a lead-in to the
efficient, management attention beyond normal             Summary of Findings, include a brief introductory
standards have been applied. No finding that violates     statement to set the stage for the report and provide
law.                                                      the overall rating of the Directorate. Appreciation
    (2) Above Average - Conditions are good and
exceed acceptable satisfactory standards.
    (3) Satisfactory - Conditions meet acceptable
standards, IAW regulations, command guidance and
policy. The DOC is functioning at an acceptable
level with some deficiencies.
    (4) Marginal - Conditions reflect findings in
management that impact on efficient operations.
Findings are serious but in the opinion of the reviewer
may be corrected with minimal oversight and are not
severe enough to warrant an unsatisfactory rating.



6
                                                                            FORSCOM Pamphlet 715-9


should be expressed to the Garrison Commander and          management,      office   management/policy       and
DOC staff for courtesies and assistance rendered as        procedures, and contracting management programs
appropriate.                                               follows.
    (3) Summary of Findings - Briefly describes all            (6) Acquisition - This section provides an
CMR team member findings. Corrective actions are           evaluation of the contracting mission and includes
addressed in subsequent sections.                          FACNET/Electronic Commerce, Micro-purchases,
    (4) Areas of Special Interest to the Deputy            Simplified Acquisition Procedures, Formal Con-
Assistant Secretary of the Army (Procurement) -            tracts, Contract Administration, and Commercial
Includes review results on DA special interest areas       Items Acquisition.
(Appendix I).                                                  (7) Non-appropriated Fund -
    (5) Management and Administration - An overall             b. The report is addressed by functional area and
evaluation of the Office of the Director and the           each category is reviewed as outlined in Chapter 3.
Support Function introduces this section. An in-           Each section of the report will be organized as
depth     evaluation     of    the    organizational       follows:
structure/manpower management, career program

AFLG-PR
Contract Management Review: Fort (installation) DOC
DD/MM/YY

V. ACQUISITION

1. FACNET/Electronic Commerce. Reviewer(s):

2. Simplified Acquisitions.           Reviewer(s):

Topics Reviewed Without Specific Comments (No significant comments warranted): Modifications, Supply
purchases.

Topics Not Reviewed: Construction purchases, Federal Supply Schedules.

   a.   Evaluation. (Brief summary of Functional Area Review).

   b.   Micro-purchases:

Finding: Cardholders are splitting requirements to remain within the micro-purchase threshold and control the
acquisition (identify two or more instances).

Corrective Action: Take appropriate action (e.g., suspend cards) to ensure cardholders comply with FAR
13.602(c). Invite legal counsel to address this area in local training classes. Include article in newsletter.

Observation: DOC exceeds the FORSCOM goal of micro-purchases made with the purchase card.


    c. Sequence all categories as they are shown in        conducted on the spot with the team member and
Chapter 3. Address all categories. Cite regulatory         Division Chief and the Director of Contracting as
references for findings noted. Findings should be          necessary.
noted for systemic problems and statutory violations.         e. Focus on mission-related work.          Avoid
Single deficiencies do not indicate systemic               comments on file neatness and organization unless it
problems. Team members should advise the DOC of
single deficiencies and write findings on two or more
occurrences of a deficiency.
    d. Brevity is essential. Provide the finding and
identify the corrective action. Discussions will be



                                                                                                       7
FORSCOM Pamphlet 715-9


is having an exceptionally positive or negative impact       d. Team Members:
on compliance.                                               (1) Provide required input (report and lessons
                                                         learned) to the CMR Team Chief through their Team
2-5. Responsibilities                                    Leader on all areas reviewed NLT l2 calendar days
The report officially transmits the review findings,     after completion of the review.
corrective actions and final assessment through              (2) Ensure comments comply with the proce-
command channels to the installation.             The    dures prescribed herein.
responsibilities associated with producing the report        (3) Edit as appropriate.
are:                                                         (4) Review DOC's reply and provide concurrence
    a. The PARC:                                         or comments to Team Chief.
    (1) Approves the report and forwards it through
command channels, as appropriate.                        2-6. Completion of the Contracting Management
    (a) When the overall rating is “outstanding”, the    Review
Commanding General of FORSCOM may be asked to            The DOC's response to the CMR report will be
sign a memorandum to the Garrison Commander              reviewed for adequacy of corrective action by the
congratulating the DOC for achieving the rating. The     team members.
memorandum to the Garrison Commander                         a. If the CMR response is determined adequate,
transmitting the report will be signed by the PARC.      no action is required. Issues requiring clarification,
    (b) When the overall rating is “marginal” or         non-concurrence of findings, and challenges to policy
below, the Chief of Staff may be asked to sign a         and procedures will be researched by the team
memorandum to the Garrison Commander advising of         member who noted the finding. A written reclama
the DOC's rating and the need for a six month follow-    addressing identified issues will be prepared by the
up.                                                      team member and given to the CMR Team Chief
    (c) The PARC will sign all other transmittal         within 10 calendar days.
letters and reports.                                         b. The CMR Team Chief will prepare a final
    (2) Briefs the Commanding General, Chief of          memorandum to the DOC within 20 calendar days
Staff and DCSLOG as necessary.                           after receipt of the DOC's response.              The
    b. Management Team Leader:                           memorandum will identify any issues and/or provide
    (1) Coordinates staffing and preparation of the      the appropriate Command guidance. The CMR Team
final report.                                            Chief will coordinate the response through the
    (2) Ensures final report is in the proper format     Management Team Leader, who will review and
and provided to the PARC within 30 calendar days         forward it to the PARC for signature.
after completion of the review. A detailed milestone         c. The HQ FORSCOM response to the DOC on
chart for preparation of the CMR report is at            identified issues is the final Command position. This
Appendix E.                                              action officially closes the review process.
    (3) Files final report, tracks receipt of DOC            d. Where appropriate, the PARC will issue
response; and coordinates reclama as needed.      c.     policy through Contracting Information Letters
    c. The CMR Team Chief:                               (CILs).
    (1) Receives all CMR input from the team
members after review and approval by the Team            2-7. Follow-Up Review
Leaders.                                                 The purpose of the six month follow-up review is to
    (2) Ensures team members' comments are edited        ensure the Directorate took appropriate action to
and in proper format.                                    correct findings noted on a marginal review, and is
    (3) Assembles report, proofreads and edits.          effectively instituting measures to improve contract-
    (4) Provides report to Management Team Leader        ing operations. Team members will validate that all
IAW milestones.                                          recommended corrective actions were implemented.
    (5) Provides copy of signed report to                The CMR Team Chief will prepare the follow-up
Management Team Chief.                                   report in the form of an Executive Summary,
    (6) Makes a written assessment to the PARC and       identifying corrective actions taken, unresolved
Management Team Leader of the CMR regarding the          shortcomings and describing the DOC's present
need for additional guidance, policy or regulatory       status.
changes by the PARC office. (NOTE: This
assessment is not part of the CMR report).
    (7) Reviews DOC's response to report and
provides any reclama to the DOC.


8
                                                                          FORSCOM Pamphlet 715-9


Chapter 3                                               Procedures and journeyman-level 1102’s working the
Reviewing The Contracting Organization                  more complex procurements?
                                                            d. Does the overall organizational structure
3-1. General                                            provide maximum efficiency and support to the
This Chapter divides the review process into the        customer? Does it reflect the Blueprint for a High
following major sections:                               Performance DOC? (Appendix F)
    a. Management and Administration                        e. One of the most important areas of review in
    b. Acquisition                                      any contracting organization is staffing and career
                                                        development.       No organization can function
3-2. Review of Categories                               efficiently without adequate personnel. One problem
These sections provide an explanation of how a          management faces on a continuous basis is securing
specific area should be reviewed. Team members          and retaining qualified personnel and maintaining
should not limit the review to the categories           career progression to all grade levels (e.g., gap from
addressed in the sections, but consider other           GS-12 to GS-14).
significant items of contracting interest that are          f. Observations should be made on the staffing
determined to require examination.                      level and the grade distribution pattern. Is there
                                                        evidence of over staffing, over segmentation of the
3-3. Management and Administration                      function (for support of grades), or under grading of
    a. The Office of the Director is responsible for    personnel according to responsibilities assigned?
the overall effectiveness of the Directorate in         Take care not to approach the analysis from a
providing contracting mission support to the            manpower survey or job or wage analysis point of
installation. The Director also manages and develops    view. However, pertinent information from such
personnel assigned to the DOC.             To assess    reviews may be included, if appropriate, to augment
management of the DOC and administrative support,       observations.     To some extent, an appropriate
the review team will evaluate the following:            evaluation of manpower management may result from
    - Organizational Structure/Manpower Man-            the review team's reaction to the following questions:
agement                                                     (1) What is the number of professional
    - Career Program Management                         contracting personnel at each level of management?
    - Office Policy and Procedures                          (2) How many military and civilian personnel?
    - DOC Special Programs                                  (3) How many staff or clerical personnel? Are
    b. Objective:                                       there sufficient administrative/support personnel to
To provide guidance and direction to the DOC            fulfill the needs of the entire organization (e.g.,
ensuring responsive support is provided to customers    Cost/Price Analyst, Systems Administrator, Property
through the effective, efficient implementation of      Administrator, Procurement Analyst)?
contracting practices.      To provide responsive           (4) What are the grades or ranks?
technical and administrative services to support the        (5) Are personnel requirements handled ex-
mission of the Directorate.                             peditiously by the DOC, by DCP?
                                                            (6) What is the ratio of warranted contracting
3-4. Organizational Structure/Manpower Man-             officers to total DOC size? What is Director’s
agement                                                 rationale for requesting warrants?
    a. What is the overall structure of the organiza-       g. Analyze the causes for separation for the past
tion? Is it revised to keep up with changes in          two or three fiscal years. Excessive turnover may be
procurement law, such as FASA?                          an indication of poor manpower management.
    b. Is DOC properly organized to provide                 h. For installations that have migrated to the
adequate administration of contracts?                   Business Center organizational structure, is DOC in
    c. Have the 1105 and 1106 series jobs been          compliance with the FORSCOM Chief of Staff
examined to determine the most effective way and        guidance issued 18 Sep 97?
mix to meet the mission?          Are the GS-1105           (1) Does the DOC report no lower than the
Purchasing Agents being converted to GS-1102            Deputy Garrison Commander?
series? Is the GS-1106 series being phased out? If          (2) Does the senior contracting supervisor retain
yes, how are administrative/clerical tasks handled?     functional/supervisory control over all contracting
Are the lower graded GS-1102 personnel primarily        personnel?
handling purchases under Simplified Acquisition             (3) Are collocated cells limited to $100K in
                                                        contracting authority (the SAP threshold)?



                                                                                                    9
FORSCOM Pamphlet 715-9


3-5. Career Program Management                           simplification, and mechanization, as well as
    a. Professionalizing the Workforce. (DOD             professional procurement training.
Directives 5000.23/5000.52-M)                                (3) Ascertain the amount and type of
    (1) To be productive, the organization needs         supervisory training received, including on and off-
qualified personnel. The reviewer can get good           site classes.
indications and verification of the qualifications of        (4) General Factors to Consider:
the DOC staff through interviews, consultation with          (a) Is there a local, formal policy on training?
other members of the review team, and review of              (b) What types of training are used?
work effort, personnel and training records.                 (c) On-the-job (formal or informal)?
    (2) Are personnel trained in accordance with             (d) Correspondence?
DOD Directives 5000.23 (Systems Acquisition                  (e) Departmental or DOD courses?
Management Careers), 5000.52-M (DOD-Wide                     (f) FORSCOM            training,     e.g.,     IGE,
Career Program for Acquisition Personnel), and           POMs/PNMs, Contract Administration?
ADS-93-01-GD (Acquisition Career Management,                 (g) Local educational institutions?
Mandatory Course Fulfillment Program and                     (h) To what extent is training used?
Competency Standards)?                                       (i) What is the extent of participation?
    (3) How many employees meet the require-                 (5) Formal Classroom Training.
ments of the Defense Acquisition Workforce                   (a) Does the Director ensure formal training
Improvement Act (DAWIA)? Does the Director have          documentation is reviewed semi-annually for all
an active program to prepare others to meet the          military and civilian personnel?
requirements?                                                (b) Do personnel have ready access to DOD
    (4) Have all employees been certified for their      Education and Training - DAU Mandatory Courses
current position? What plan is in place to ensure that   Catalog and Army Civilian Training, Education and
those not certified will be eligible for certification   Development System (ACTEDS)?
within 18 months of entry date to the position? Are          (c) Are mandatory formal training require-ments
copies of certification certificates kept in a central   included in Individual Development Plans (IDP)?
file? For those not certified, is there a memo present   (DOD 5000.52M)
describing what is required for certification, steps         (d) Are       DD      Forms      1556,     Request,
being taken to comply, and a target date for             Authorization, Agreement, Certification of Training
certification?                                           and Reimbursement prepared and submitted in a
    (5) Do new hires meet the education                  timely manner? (DODM 5010.16-C, 1-7)
requirements of DAWIA? How many employees                    (e) Are substitution/cancellation procedures
have a Bachelor's degree, a Master's degree? What        followed IAW CIL 95-2?
steps are being taken to enable the entire contracting       (f) Are travel orders and vouchers submitted
workforce to obtain their Bachelor’s Degree and          timely to the Research Development Acquisition
Master’s Degree?                                         Information Systems Activity (RDAISA)?
    (6) Are careerists, especially contracting               (g) Has the Director budgeted for formal
officers, given opportunity and consideration for long   training of personnel (for other than DAU courses)?
term training programs such as LOGAMP, Army                  (6) In-House Training.
Management Staff College (AMSC), Command and                 (a) Does the office maintain a master file on in-
General Staff Officer course, or DOD Executive           house training? Is there an established training plan?
Leadership Development course?                               (b) Are training topics pertinent to the
    (7) Are careerists active in professional            contracting mission? Are results of self-inspections,
organizations such as NCMA or AUSA? Are they             contract reviews, etc., being selected as topics for in-
encouraged to become certified as CPCM/CACM?             house training? Are regulatory changes (FAR,
    (8) Are certification records maintained IAW         DFARS, AFARS, ARs, etc.) discussed?
CIL 97-44?                                                   (c) Does in-house training include NAF
    b. Training Policies and Programs.                   contracting policies and procedures?
    (1) Analyze formal and in-house training                 (7) Training of specialty personnel (such as
provided to procurement personnel.                       contracting officer, property administrator, C/P
    (2) Evaluation should cover the use of both          analyst, COR, QAS, and SA) should be analyzed:
types of training, and the manner in which training is       (a) Are formal and informal training being
updated. Of particular interest is the breadth of        provided?
training such as supervisory management, work                (b) Have training plans been developed?



10
                                                                           FORSCOM Pamphlet 715-9


    (c) Does the training level of these employees        include the beneficial suggestion program, sustained
allow them to perform their functions in a satisfactory   superior performance awards, quality step increases,
manner?                                                   etc. The reviewer should determine what programs
    (8) Career Development. The reviewer should           are being used, the degree of use, and the results.
analyze the civilian career progression program by            (2) Awards. An appropriate area for review is
evaluating the following areas:                           the record of awards for above-average performance.
    (a) Is there a local plan established for civilian    Consider the records of awards by: grade, individual,
career progression? Is it well defined? What is it        year, type of award.           Superior efforts and
based on?                                                 accomplishments of others should receive appropriate
    (b) Is the plan providing for the development of      recognition.
civilian personnel to prepare them for positions of           e.   Contracting       Officer     Appointments.
greater responsibility?                                   Appointment of contracting officers should be
    (c) Has TAPES been implemented?                Are    commensurate with the volume and complexity of
performance appraisals processed timely by the            actions and the experience and qualifications of
organization?                                             appointees. Evaluation of the process should include
    (d) Do        supervisors   assist  high-potential    the following:
employees in finding a suitable mentor and help               (1) Does the office maintain a master file of
establish guidelines under which the relationship will    active contracting officer warrants and necessary
operate? (ACTEDS Section VI)                              documents supporting the appointments?
    (e) Are careerists offered developmental                  (2) Does the Director notify HQ by letter when
opportunities?                                            a contracting officer is to be reassigned or
    (9) Continuing Education.                             employment is to be terminated? Are warrants
    (a) Is DOC aware of the requirement for forty         returned to the PARC?
hours of continuing education and training for those          (3) Are contracting officers acting within the
employees who are certified and have completed all        authority of their appointment (requires input from
mandatory training for their current position? (CIL       both pre- and post-award team members)?
97-26)                                                        (4) Does the office perform a review of the
    (b) Does the Director have a method of tracking       number and authority of contracting officer warrants
and documenting that training which qualifies as          each year?
Continuing Education?
    c.    Intern Program. Interns are entrusted to        3-6. Office Policy and Procedure
installation DOCs for OJT training and mentorship to           a.    Government Regulations and Instruc-
enable them as tomorrow’s leaders.                        tions.
    (1) Is the DOC monitoring the intern program               (1) Do all employees have ready access to the
IAW Army Civilian Training, Education and                 FAR, DFARS, AFARS, FFARS, and command
Development System (ACTEDS) Plan?                         regulations? Are revisions and changes distributed,
    (2) Are interns briefed on conditions governing       implemented, explained, and filed as necessary?
the program such as length of training, mobility, and          (2) An analysis of local directives should
travel requirements?                                      determine whether they duplicate or deviate from the
    (3) Has the Director informed FORSCOM of              basic regulations. Duplication should be pointed out
the following: Name of intern; Beginning training         and discussed. Supplementing directives should be
grade (GS level); Program start date; Estimated           kept to a minimum.
program completion date.                                       (3) Do supplements implement headquarters
    (4) Does the Director or the Deputy counsel the       requirements and/or further define local responsibi-
intern at least quarterly?                                lities or approaches?
    (5) Is a performance appraisal completed and               (4) Are instructions/procedures obsolete, dupli-
discussed at least semi-annually?                         cative, inadequate, or inconsistent?
    (6) Does the intern have a mentor or other                 (5) Are procedures and instructions adequate for
specific person who is responsible for providing          use as training aids and buyer references?
technical guidance?                                            (6) Is the Federal Register reviewed regularly
    d. Personnel Incentive/Awards.                        for latest FAC/DAC information? Is this information
    (1) Incentives. Personnel incentives may be           shared?
intangible (i.e., personnel/management relations) or      (7) Are employees aware of the Defense Acquisition
tangible (i.e., local programs which management uses      Desk-book? Is it used as a resource?
to reward employees or enhance morale). Programs


                                                                                                    11
FORSCOM Pamphlet 715-9


    b. Standards of Conduct. (DoD Directive             the-shelf contracts, searching the ineligible/debarred
5500.7, 30 Aug 93 with changes 1 & 2)                   bidder lists, regulatory research, and analytical tasks?
    (1) Have required contracting personnel filed           (c) Does the DOC use scanning technology or
annual OGE Form 450, Confidential Financial             electronic means (email, file transfer protocol (ftp),
Disclosure? (Chapter 3, para 3-200)                     interface software) to the maximum extent practicable
    (2) When individuals are required to complete       for entering purchase requests, statements of work,
an OGE Form 450, are job descriptions annotated         technical exhibits, and other documents when
with that requirement? (Chapter 7, para 7-301b(2)).     provided in hard copy? (This does not apply to sub-
    (3) Is there evidence of any gift, favor,           installations.)
entertainment, hospitality, transportation, loan, any       (d) Does the automation used by the DOC allow
other tangible item, and any intangible benefit - for   users to maximize both the capabilities of the “smart
example, discounts, passes and promotional vendor       terminal” and the SAACONS computer by allowing
training - given or extended to military or civilian    for rapid switching between stand-alone and
personnel, for which fair market value is not paid by   networked modes and by allowing file transfers
the U.S. Government recipient? (Chapter 2, para 2-      between DOS/Windows and UNIX as necessary?
300)                                                    This might be accomplished through third party
    (4) Are certifications of Procurement Ethics        “bridge” software or through use of Telnet (TCP/IP).
Training (Procurement Integrity) on file? (FAR              (2) Has the Systems Administrator (SA)
3.104-12)                                               received the prescribed training for administration of
    c.    Management Control Process (Fraud,            the system? This training consists of a minimum of
Waste and Abuse). In order to support the Internal      the following:
Control Program (AR 11-2), the following indicators         (a) The UNIX operations, including commu-
of Fraud, Waste and Abuse should be checked:            nications protocols;
    (1) Has the DOC established an internal control         (b) Training in CPU operations (e.g. Sequent
program IAW AR 11-2, Item XII to AL 96-1, and this      hardware);
document? Is there evidence that the DOC monitors           (c) The SAACONS System Administration
the program?                                            (basic);
    (2) Are self-inspections being accomplished for         (d) Basic training in designing PROGRESS Ad
each division on an annual basis?                       Hoc Inquiries in SAACONS.              (Also, advanced
    (3) Is there a schedule that establishes dates of   training in designing PROGRESS Ad Hoc Inquiries is
inspection, who will conduct inspections, and due       recommended.)
dates for inspection reports and responses?                 (3) Does the DOC have a training plan for
    (4) Are Item XII to AL 96-1, the FORSCOM            training new users and refresher training for current
Contracting Management Review Guide, and                users? As a minimum, current users should receive
previous CMR findings included in the self-             refresher training whenever a new System Change
inspection checklists?                                  Package (SCP) is issued.            Scheduled periodic
    (5) Do self-inspection checklists contain out-      refresher training is preferred. New users should
dated and/or invalid items and references?
    (6) Are NAF contracts included in the self-
inspection program?
    (7) Is there evidence of improper communica-
tions or social contact between contractors and
government personnel?
    d. SAACONS/Office Automation.
    (1) Does the DOC use SAACONS and other
office automation equipment to the maximum extent
practicable? Specifically:
    (a) Have the latest SAACONS version and
latest Acquisition Regulation (AR) update been
implemented?
    (b) Does the DOC use on-line and mass storage
(e.g., CD ROM) technology to the maximum extent
practicable for tasks such as market research,
procurement coding, searching GSA and other off-



12
                                                                            FORSCOM Pamphlet 715-9


receive training within 30 - 45 days of reporting to          (17) Has the SAACONS/CAPS interface been
the DOC unless they have had previous SAACONS             implemented? If so, is the interface being utilized?
experience elsewhere.                                     If not, why not?
    (4) Are FSC codes used when entering purchase             (18) Does the SA periodically archive closed
requests into the system? Are FSC assignments up-         contracts to tape or other storage media to optimize
to-date?                                                  database size? Although there is no FORSCOM
    (5) Does management request ad hoc queries to         standard, the frequency chosen must balance database
obtain management information?                            size and growth against potential need for previous
    (6) Is the SA timely preparing ad hoc queries to      year(s) data.
obtain management information or to create                    (19) Does the DOC have a SAACONS recovery
workarounds as requested by the users and                 plan in the event of catastrophic loss of SAACONS
management?                                               software or the SAACONS database?
    (7) If local clauses are used, is there a screening       e.    Reporting.
process for local clauses? Are local clauses created          (1) The DD Forms 350, Individual Contracting
for one-time use deleted after usage? Has a deviation     Action Report/DD Form 1057, Monthly Contracting
been granted for local clauses used repetitively?         Summary of Actions (25,000 or less). Are actions
(SARD-KP msg R242200ZApr90, subject: Disposi-             under $25,000 reported on the DD Forms 1057 IAW
tion of Regulatory Relief Task Force Recommenda-          DFARS 204.670-2?
tions on Nonstandard Solicitation/`Contract Provi-            (2) Are SF Form 44, U.S. Government Pur-
sions and Clauses and AFARS 1.304(a)(4)(A)).              chase Order Invoice Voucher utility requirements,
    (8) Are procedures established for canceling or       communications service agreements, packing and
deleting requisitions that make their way into the        crating calls and service orders for non-temporary
system in error or have to be returned to the user for    storage reported on the applicable DD Form 350 or
additional information?                                   DD Form 1057?
    (9) Are specific responsibilities outlined to be          (3) Are DD Forms 350 completed timely for all
performed by each division and/or buyer (vendor file      other applicable actions?
maintenance, matrix maintenance, PR maintenance,              (4) Are other procurement reports submitted
etc.)?                                                    timely to HQ FORSCOM IAW established
    (10) Are procedures established for collection        suspense’s (Labor Standards Enforcement, Status
and validation of user recommended changes to the         Report of Specified Contract Audits, etc.)?
system software?                                              f.    Information Sharing.
    (11) Are there established schedules for system           (1) Has the DOC established a Home Page on
down time to permit backup action and mainte-             the World Wide Web (WWW)?
nance? Are daily backups being performed?                     (2) Does the DOC Home Page post current
    (12) Are procedures established for maintaining       solicitations and awards? Does the DOC post
adequate supplies to support the system, including        solicitations on the Home Page?
hardware and software maintenance?                            (3) Does the DOC Home Page share informa-
    (13) Is there a copy of the SAACONS System            tion on Acquisition Reform (e.g., initiatives, lessons
Administration Handbook readily available and is it       learned, reengineering results)?
followed in performing required SA tasks?                     (4) Does the Home Page post metrics on DOC
    (14) Is documentation being maintained on all         performance? Does it include at least the current FY?
system problems?                                          Trends?
    (15) Are vendor names and addresses current?              g.    Preparation for Standard Procurement
Are vendor files periodically purged as necessary?        System (SPS).
    (16) Customer Support                                     (1) Does the DOC have a file server and PC
    (a) Do customers of the DOC have access to            workstations meeting the minimum productive
SAACONS terminals?                                        standards, as shown on the SARDA Home Page?
    (b) Have the customers with terminals been                (2) Is the DOC part of a LAN allowing
trained by qualified personnel?                           information exchange with customers, DRM, and
    (c) Do customers transmit their requirements          access to the Internet?
and make status inquiries via the terminals?                  (3) Has the DOC had an SPS site survey? Does
    (d) Has DOC provided a terminal in a central          it have a written report of survey? Has the DOC
area for use by smaller customers to make status          taken any actions required by the report?
inquiries if they do not have compatible terminals or
PCs?


                                                                                                     13
FORSCOM Pamphlet 715-9


3-7. DOC Special Programs                                    (1) Has the DOC established a Mobilization
    a.    Competition.                                   Contracting Support SOP?
    (1) Is the installation meeting its competition          (2) Does the SOP contain an alert system?
goals? If not, why?                                          (3) Does the SOP address use of purchase cards
    (2) Are Justification and Approvals (J&A)            and/or SF44s upon mobilization?
prepared IAW AFARS 6.303-2? Are they approved                (4) Has the DOC conducted pre-mobilization
IAW FAR 6.304 and FFARS 6.304?                           training?
    (3) Are J&As accurate based on documentation             d. Unauthorized Commitments.
in contract files?                                           (1) Does the office maintain a log of all
    (4) Are reports submitted timely to the PARC?        ratification actions? Are unauthorized commitments
(FFARS 6.502)                                            properly and promptly processed?
    (5) Is a J&A log maintained? Does the DOC                (2) Is FORSCOM Form 121-R, Request For
have visibility of all non-competitive awards?           Approval Of Unauthorized Commitment, or a locally
    (6) Are market surveys conducted?            (FAR    developed form, used to process unauthorized
7.101).                                                  commitments? (FFARS 1.602-3)
    b. Advance Acquisition Planning. (AFARS                  (3) Is the interview and approval procedure by
7.1)                                                     the chain of command followed? (AFARS 1.602-3-
    (1) Has the Garrison Commander published an          90, FFARS 1.602-3 and CIL 96-19)
Advance Acquisition Plan (AAP)? (FFARS 7.104)                (4) Is DOC providing annual unauthorized
    (2) Is the AAP for the current fiscal year           commitment summary reports (broken out by dollar
published and a copy of it submitted IAW FFARS           amounts, number of actions on hand, number ratified,
7.104?                                                   and the number disapproved) to the PARC NLT 30
    (3) Has the DOC set up a reminder/follow-up          Oct for the previous year IAW FFARS 1-602-3(90)?
system designed to encourage supported activities to         (5) Did the contracting officer determine the
submit requirements timely?                              action ratifiable? (AFARS 1.602-3-90(c))
    (4) Does the installation have an Installation           (6) Is there a significant increase in UACs? If
Acquisition Planning Board (IAPB)?             (FFARS    so, why?
7.104(S-101))                                                e.    Customer Education.
    (5) Does the IAPB meet at least quarterly?               (1) Does the DOC have a customer education
Does the DOC have evidence that an IAPB meeting is       program? Is it responsive to customer's needs? Is it
being conducted at least quarterly? (FFARS 7.104(S-      aggressive or passive?
101)                                                         (2) Are the following topics covered in the
    (6) Is the IAPB chaired by a member of the           customer education program:
installation command group with the DOC as                   (a) Unauthorized Commitments.
alternate chairman? (FFARS 7.104(S-101))                     (b) Advance Acquisition Planning.
    (7) Has the DOC established standard                     (c) Emergency contract support (contingency
contracting lead times and/or firm cut-off dates for     plans).
submission of purchase requests at fiscal year end?          (d) Vendor demonstration.
(FFARS 7.104(d))                                             (e) Labor disputes/strike procedures/contin-
    (8) Is the AAP system working? Were PRs              gency plans.
received in a timely manner; and if not, was follow up       (f) Sole source/brand name procedures/re-
action timely?                                           strictive specifications.
    (9) Are contracts awarded and options                    (g) Competition in Contracting (CICA), and
processed in a timely manner?                            Justification and Approval documents.
    (10) Are solicitations for requirements type             (h) Preparation/protection/integrity    of   the
contracts issued in other than 4th quarter? Why not?     government estimate (FAR 5.401).
    (11) What has been done to relieve excessive             (i) Buy American Act (FAR 25.201 and
workload in the fourth quarter?          What is the     25.202).
percentage breakdown of contracts by quarter? Is it          (j) Customer follow-up procedures.
IAW FORSCOM Program Budget Guidance of 30                    (k) Joint review of proposed plans and specifi-
percent, 30 percent, 20 percent, and 20 percent for      cations.
the respective quarters?                                     (l) Proper government/contractor relations.
    c.    Mobilization Planning. (FORMDEPS Vol               (m) Year-end spending - Sound purchasing
III, Part 4 Installation Commanders Handbook).           practices will not be abandoned.
                                                             (n) Impact of priority abuse/walk-throughs.


14
                                                                             FORSCOM Pamphlet 715-9


    (o) Performance Requirements Summary (PRS),                (3) Do designated appropriated fund contract-
Performance Work Statement (PWS) and Statement             ing officers solicit, award, and administer NAFI
of Work (SOW).                                             acquisitions IAW AR 215-4, 1-7a and AFARS
    (p) Customer use of the government credit card         1.9002?
for all purchases up to $2500.                                 (4) The DOC may accomplish NAF construc-
    (q) Role and responsibilities of a Contracting         tion (except design/build) which exceeds the NAF
Officer’s Representative (COR).                            contracting officer warrant for construction.
    (3) Does the customer fully understand his                 h.    Freedom of Information Act (FOIA).
responsibilities in providing requirements, including          (1) Does the DOC coordinate requests for
FSCs, to the DOC for contract execution?                   information under the FOIA with the SJA and the
    (4) Are the Installation Acquisition Planning          installation FOIA official? (AR 25-55, para 5-104
Board (IAPB) meetings used to ensure all customers         and 1-508(e))
are aware and knowledgeable of their responsibili-             (2) Does the DOC maintain a FOIA log to
ties?                                                      ensure proper handling and processing of each FOIA
    (5) What use has DOC made of the Customer              request? (AR 25-55, 1-301)
Service Handbook provided in Sep 94? Is it used to             (3) Are FOIA requests handled within the time
enhance service to customers? Has it been tailored to      constraints of AR 25-55, 1-503?
meet special needs of the installation?                        i.    Audit Tracking.
    (6) Does the DOC provide survey forms or                   (1) Who is responsible for audit tracking and
questionnaires to customers to provide feedback on         submission of reports if there is no cost/price analyst
customer satisfaction? What other methods are being        on the staff? Is this person aware of the requirements
used to identify and remove barriers to customer           for audit tracking? Is there an SOP or Desktop
satisfaction?                                              procedure available?
    f.    Secure Environment Contracting (SEC).                (2) Were DCAA audit findings resolved in a
(FORSCOM Reg 715-2, 15 Jun 90)                             timely manner? If no, why not?
    (1) The SEC applies only to installations having           (3) Is the Status Report on Specified Contract
active SEC contracts (i.e., Forts Bragg, Hood, Lewis,      Audit Reports (RCS: DD-IG(SA) 1580) submitted
and the Army Atlanta Contracting Center (AACC)).           timely and IAW DOD Directive 7640.2, AFARS
    (2) Does the DOC maintain a list of installation       15.890-3, and FFARS 15.890-3?
contracting personnel and legal advisors cleared to            j.    Centurion. Is DOC aware of the Centurion
work on SEC actions? List should include name,             program at Appendix G?
position title, organization/office symbol, DSN,               k.    Contingency Contracting.          (CASCOM
commercial and secure (STU III) telephone numbers.         Operational Concept for Contingency Contracting,
    (3) Does the DOC have a current copy of all            Mar 1997; CIL 97-18)
FORSCOM guidance on SEC? Have they issued                      (1) Are military contracting personnel assigned
supplemental guidance? Was FORSCOM furnished a             to TOE units and attached to the DOC for training
copy?                                                      and experience? Are formal training plans on file and
    (4) Does the DOC have a secure facility for            current?
performing SEC actions?           If not, is there a           (2) Do military contracting personnel maintain a
contingency plan in place for obtaining facilities         close relationship with parent units by participating in
when needed?                                               unit training activities and deployments?
    (5) Does the DOC have access to secure                     (3) Has a Contracting Support Plan (CSP) been
communication and FAX?                                     developed IAW the Contingency Contracting
    (6) Does the DOC maintain a roster of PARC             Operational Concept?          Does the plan address
personnel cleared to assist in SEC actions?                probable deployment scenarios?
    g.    Support of Non-appropriated Fund                     (4) Does the CSP provide for training and
(NAF) Procurement.                                         supervision of an Ordering Officer Network?
    (1) Does the Director of Contracting allow and             (5) Does the CSP address procedures for
encourage staff to furnish direction, advice, assistance   processing contracting requirements, legal support,
to and periodic inspections of Nonappro-priated fund       and funding procedures?
procurement activities?                                        (6) Has a contingency contracting support kit
    (2) Were appropriated fund contracting officers        been prepared? Does it contain adequate equipment,
designated in writing as Non-appropriated fund             supplies, and regulations to perform the contracting
contracting officers by the DOC IAW FFARS                  mission?
1.9001(a)(2)?


                                                                                                        15
FORSCOM Pamphlet 715-9


    l.    Acquisition Reform. What is the status of            (2) Has the DOC identified key players, roles,
acquisition reform implementation? (Memorandum,            responsibilities, milestones for accomplishment of
SFAE,CSA-COM, dated 31 Dec 96, subject: Areas              specific tasks, problem resolution techniques, and
of Special Interest for FY 97, memorandum, SARD-           metrics necessary to determine the extent of change
PR, dated 21 Aug 97, subject: Areas of Special             required at the installation, or the level of
Interest for FY 97, and memorandum, SARD-PR,               improvement necessary in the acquisition process at
dated 2 Oct 98, subject: Areas of Special Interest for     the installation?
FY 99). At a minimum, assessment of status of                  (3) Has the teaming process been incorporated
implementation should address the following areas:         into the Advanced Planning approach (i.e. has an
    (a) Use of performance based contracting.              effort been made to introduce the teaming concept at
    (b) Use of commercial item acquisition.                staff meetings, Advance Acquisition Plan meetings,
    (c) Use of task order contracting.                     etc.)? Have top level installation managers been
    (d) Use of oral presentations.                         exposed to the teaming concept and have they
    (e) Use of past performance in the source              become stakeholders?
selection process.                                             (4) For individual procurements, has the
    (f) Other local initiatives.                           teaming effort been instituted early in the acquisition
    m. Strategic Planning/Metrics.                         process?
    (1) Has DOC established a plan that outlines a             (5) Has the teaming concept been incorporated
vision, goals, objectives and appropriate metrics          into internal training and the customer education
which supports FORSCOM and installation vision             program?
and goals?                                                     (6) Have processes been examined in an attempt
    (2) Have metrics been institutionalized as part        to fit the teaming concept into the way we do
of an overall process of planning, assessment,             business?
adjustment, and reassessment?                                  (7) Is there a team focus on early identification
    (3) Does the DOC track its performance using           and resolution of problematic issues?
metrics? (Frequency: At least quarterly)                       (8) Has the teaming effort included industry
    (4) Do the metrics track progress against stated       input and support where needed?
objectives of the strategic plan?
    (5) Does the DOC track cost of performance?            3-8. Evaluation
Timeliness? Quality of output?                             Introduce the report with a brief summation
    n.    Partnering. Partnering is the establish-ment     developed from the facts and conclusions in the
of a relationship between the parties to cooperate in      review. Include suggestions for process improve-
working out problems as they arise during contract         ments. If appropriate, consider addressing one or
performance. It develops positive and mutually             more of the following issues:
beneficial relationships by creating a climate                 a.   Blueprint for a High Performance DOC.
characterized by trust and cooperation. It is a                (1) What progress has the DOC made toward
relationship that is based upon open and continuous        accomplishing the goals of the “Blueprint for a high
communication, mutual trust and respect, and the           performance DOC” presented at the FORSCOM
replacement of the “us versus them” mentality of the       Contracting Conference, June 1993 (Appendix F)?
past with a “win-win” philosophy for the future.           How has the DOC implemented new/recent programs
Assessment of this area should include a discussion of     (purchase card, JOC, Customer Service, Customer
the DOC’s efforts to foster partnering with his            Education, etc.)?
customers and government contractors.                          (2) Is the Director considered a leader with a
    o. Integrated Product Teaming: The DOC                 vision, respected by peers and subordinates? Does
must be proactive in defining what effective teaming       the DOC understand and foster change? Is the DOC
means at the installation level, what types of contracts   fully committed to implementing TQM/TAQ?
are most responsive to the teaming approach, and               (3) Is the Directorate performing consistently
what configuration of teams are both efficient and         IAW regulations? Are there few GAO protests, J&As
effective. At the installation level, it may be more       for other than full and open competition? Does DOC
appropriate to speak in terms of “process” teams.          maximize EDI, JOC, purchase, IDIQ type contracts,
    (1) What is the extent of the DOC’s cross-             Partnering and other Alternate Disputes Resolution
functional teaming effort? Is there any evidence of        (ADR) techniques, and office automation? Does the
timely coordination of support services, technology,       organization     structure    provide   full  career
and functional expertise in support of the overall         progression?      Are military KOs prepared for
contracting mission?


16
                                                                         FORSCOM Pamphlet 715-9


contingencies? Is there an established contract             b. Micro-purchases
administration program?                                     c.    Government-wide Commercial Purchase
     b. Sub-Installations.                               Card
     (1) Directors of Contracting with sub offices are      d. Standard Form 44
responsible for proper surveillance of those offices.       e.    Actions/Determinations Generally Applic-
The CMR team will examine the level of oversight         able To Simplified Acquisition
and aid given by DOCs to the sub installations.             f.    Supply Purchases
     (2) For DOCs with sub offices, the relationship        g.    Service Purchases
with and assistance provided to those subs will be          h.    Construction Purchases
considered in determining the DOC’s rating.                 i.    Blanket Purchase Agreements
     c.   Communications.                                   j.    Federal Supply Schedules
     (1) Do all DOC personnel have access to CILs,          k.    Modifications
ALs, PARC Newsletters, Procurement Alert                    l.    Close-Out
Bulletins, and other contracting information? Do            (3) Formal Contracts
supervisors inform their personnel of necessary             a.    Objective
information? Does the Director share handouts,              b. Contract File Management
information and taskers from the annual FORSCOM             c.    Pre-award Actions
Contracting Conference with Division Chiefs and             d. Service Contracts
other appropriate personnel? Is there free and open         e.    Commercial Activities
communication within the Directorate?                       f.    Construction Contracts
     (2) Is the DOC responsive to higher HQ,                g.    8(a) Contracts
customers, and the chain of command in providing            h.    Supply Contracts
information timely and effectively? Is there free and       i.    Information Technology
open communication between Director and Command             j.    Cost Type Contracts
Group? Director and customers/visitors? Director            k.    Time and Materials Contracts
and PARC?                                                   l.    Contract Administration Lead Time (CALT)
     d. Facilities.                                         m. Cost and Price Analysis
     (1) Is parking adequate? Is there a designated         n.    Non-appropriated Fund (NAF) Contracting
parking area for visitors? Is there a person assigned
to greet visitors?
     (2) Is there sufficient room and privacy for
buyers and contract administrators to conduct
business?      Is there an adequate conference/bid
opening room?
     (3) What is the general appearance of the office,
i.e., paint, office furniture, files, etc.? Is space
sufficient?
     e.   Morale. What is the climate of the DOC?
High morale increases productivity. There are many
factors that influence employee morale. Morale
problems of any significance will soon be known to
the reviewers and should be identified to
management. Suggest morale builders, such as
awards luncheons, monetary and non-monetary
incentives, time off, etc.
     f.   Findings/Repeat Findings.        Summarize
repeat findings from other reviews (CMR, AAA, IG,
DA PMR, etc.) and new findings identified by team
members.

3-9. Acquisition
The review team will evaluate the following areas:
   (1) Facnet/Electronic Commerce
   (2) Simplified Acquisitions
   a.    Objective


                                                                                                17
FORSCOM Pamphlet 715-9


  (4) Contract Administration                           the FACNET certification memorandum from DOD)?
  a.     Post-Award Actions Applicable to all           Are these class exemptions used as necessary? Do
Contract Types                                          Contracting Officers make the written determination
  b. Quality Assurance Surveillance                     that it is not practicable or cost-effective to process
  c.     Special Areas of Contract Administration       via FACNET required by FAR 4.506(a)(1)?
  d. Organization and Management of Contract                (8) Does the DOC utilize electronic means (such
Administration                                          as a terminal with EDI capability) at the contracting
  (5) Commercial Items                                  office to meet the posting requirement of FAR
                                                        5.101(a)(2)?
3-10. FACNET                                                (9) When using FACNET to process actions
Facnet/Electronic      Commerce      Applicable    to   greater than $25,000 and less than $100,000, does the
Simplified Acquisition Procedures and Pre-award         contracting file cite FAR 5.202(a)(13) as exemption
Formal Contracts.                                       from the notification requirement of FAR
    a.    Objective. To maximize use of electronic      5.101(a)(1)? Does the file cite FAR 5.301(b)(7) as
data interchange, determine that the DOC is operating   exemption when the award notification requirement
EDI/FACNET IAW the interim certification and            of FAR 5.301(a) applies?
provisions of the FAR, and assure that there is             (10) Are non-FACNET acquisitions over $25,000
adequate management control.                            being synopsized on paper or electronically, unless
    (1) Is     there    an    SOP     on    FACNET      exempt from synopsis in the Commerce Business
implementation, or is FACNET implementation             Daily IAW FAR 5.101?
incorporated in the contracting SOP?                        (11) Do contracting officers use electric/electro-
    (2) Does the DOC have a strategy for                nic means (EDI, FAX, telegram) to inform offerors of
appropriate use of FACNET? Is that strategy written     changes to solicitation closing dates where the time
and understood by buyers? Are items screened for        available until closing is insufficient (FAR 15.410)?
FACNET applicability based on clear and written             (12) When FACNET is used to process actions,
criteria?                                               do contracting officers set reasonable closing/due
    (3) Is there a plan to progress toward the full     dates for receipt of quotes so as to optimize the
FACNET goal of 75 percent of eligible small             number of quotes received?            (The U.S. Army
purchase actions being processed through Interim        Procurement Research & Analysis Office recom-
FACNET IAW FAR 4.505-2(a)(2) and 4.505-3(a)?            mends a minimum of five (5) days.)
Does the DOC track the percentage of actions                (13) Are source lists being maintained for non-
processed via Interim FACNET?              Does the     FACNET acquisitions over the micro-purchase
computation properly count out excluded (FAR            threshold IAW FAR 13.106-2(a)(9)(I)?
4.505-4), excepted and exempted actions (FAR                (14) Does the DOC post, as applicable, Blanket
4.506)? (NOTE: “Eligible actions” means those           Purchase Agreements (BPAs) and IDIQ contracts to
actions not excluded, excepted or exempted).            the Army Electronic Catalog?
    (4) For actions greater than $25,000 where
buyers issue RFQs manually, do they provide the         3-11. Simplified Acquisitions
notification required by FAR 5.101(a)(1)?                   a.    Objective. To serve the contracting custo-
    (5) For actions greater than $10,000 and not        mer by purchasing their requirements in a timely
more than $25,000 where the buyers issue RFQs           manner in compliance with simplified acquisition
manually, do they provide the public notice required    procedures in an efficient, effective and economical
by FAR 5.101(a)(2) (unless FAR 5.101(a)(2)(ii)          manner.
applies)? Are solicitations or notices posted the day       (1) Ensure that resources are used economically
issued and maintained on public view for ten (10)       for the procurement of goods and services.
days or until quotations are opened, whichever is           (2) Ensure that the government is getting what it
later?                                                  pays for in terms of price, quality and delivery.
    (6) Are Contracting Officers aware of the               b. Micro-purchases.
provision of FAR 4.506(a)(1) for excepting specific         (1) Are micro-purchases made using the
purchases from the FACNET requirement? Do they          Government-wide Commercial Purchase to the
document the file justifying exception?                 maximum extent practicable? (FAR 13. 201 and
    (7) Are Contracting Officers and buyers aware       13.301)
of the class exemptions to FACNET determined by             (2) Is micro-purchase authority delegated to
the Head of the Contracting Activity authorized by      individuals who will be using the supplies and
FAR 4.506(a)(1) (these are shown in an attachment to    services being purchased, i.e., are the end users of the


18
                                                                          FORSCOM Pamphlet 715-9


purchases being given the purchasing authority?             (8) How extensively is the card used as a
(AFLG-PR memorandum, 3 Jan 95, subject: Pur-            payment method (DD Form 1556 training, DAPS
chase Less than $2,500)                                 printing, transportation, etc.)?
     (3) What is the percentage of micro-purchases          (9) Are sufficient funds available prior to the
made using the Card? The goal is for at least 95        purchase IAW local procedures?
percent of micro-purchases to be made by customers          (10) Is competition sought by the cardholders
with the Card. (CIL 97-24)                              when (a) they determine or have reason to suspect
     (4) When micro-purchases are procured by the       that the price may not be reasonable, or, (b)
Directorate of Contracting personnel for customers,     cardholder is purchasing a supply or service for
i.e., end users, is the file documented as to why       which no comparable pricing information is readily
purchase was not made by the end user? (AFLG-PR         available? (FAR 13.)202(a)(3))
memorandum dated 3 Jan 95, subject: Purchases               (11) Are purchases made within the cardholder’s
Less Than $2,500.)                                      single purchase limit? (AFARS 13.9003(c))
     (5) Do micro-purchases comply with the                 (12) Are cardholder Statements of Account
requirements of FAR Part 8, Required Sources of         (SOAs) reconciled within 5 working days of receipt?
Supplies and Services? (FAR 13.201)                     (AFARS 13.9002(d))
     (6) Are micro-purchases equitably distributed          (13) Are Billing Officials (BO) receiving the
among qualified suppliers? (FAR 13.202)                 completed SOAs from the cardholders, reviewing,
     (7) Are requirements totaling more than the        signing and forwarding the certified billing statement
micro-purchase threshold broken down into several       within 22 days from the end of the billing cycle?
purchases that are less than the threshold merely to    (AFARS 13.9002(e)) Are questioned items reported
permit purchase under micro-purchases?         (FAR     within 60 days as required by the contract? Are BOs
13.003(d))                                              complying with “Pay and Confirm” instructions?
     (8) Has DOC established master agreements to           (14) Is the DOC performing annual surveillance
leverage buying power IAW Chief of Staff guidance       of cardholder and BO statements and records to
in AFLG-PROM memorandum, 25 Mar 97, subject:            ensure adequate controls are in place and proper
Credit Card Expansion - Establishment of Master         procedures are being followed? (FFARS 13.9002(c))
Agreements?                                                 (15) If the purchase exceeds the micro-purchase
     c.   Government-Wide Commercial Purchase           threshold, does the delegation of authority letter
Card, hereafter referred to as “the Card”.              specifically authorize use of the card as a method of
     (1) Has the Director of Contracting established    payment? (AFARS 13.9003(c))
internal operating procedures for the program?              (16) If the purchase exceeds the micro-purchase
(AFARS 13.9002(b)(i))                                   threshold, are cardholders using the card as a
     (2) Has the Director designated an agency          payment mechanism for purchase orders, orders
program coordinator? (AFARS 13.9002(b)(ii))             against BPAs or to initiate calls or orders placed
     (3) Has the Director approved the training         against existing contracts or agreements, and not as a
course content? (AFARS 13.9002(b)(iv))                  stand alone procurement document?             (AFARS
     (4) Did all cardholders receive training and       13.9001(b), 13.9003(c)(i) and (ii), and AL 96-3)
orientation covering the use of the Card prior to           (17) If the purchase exceeds the micro-purchase
receiving authority under the program? (AFARS           threshold, are statutory clauses conveyed to vendors,
13.9002(b)(v))                                          purchases publicized, reserved for small businesses,
     (5) Are the delegations of authority issued by     and competed? (AFARS 13.9001(b) and AL 96-3)
the Director? (AFARS 13.9002(b)(iii))                       (18) Are payments against contracts exceeding
     (6) Did all cardholders receive Procurement        the simplified acquisition threshold made only by
Ethics training and comply with Procurement             DOC cardholders IAW CIL 96-16 (unless delegated
Integrity requirements? (AFARS 13.9004(c) and JER
7-300(b)(2))
     (7) Did cardholders purchasing more than
$20,000 annually or any single purchase over $2,500
complete a OGE Form for that fiscal year reporting
period? (Contracting Information Letters (CILs) 96-1
and 96-5). What controls are in place to monitor this
requirement?




                                                                                                   19
FORSCOM Pamphlet 715-9


to non-procurement personnel IAW HCA delegation             (26) Are cardholder records annotated to justify
dtd 23 May 96)?                                         broad Merchant Category Code (MCC) assignments?
    (19) Are non-procurement personnel with a           (USAAA Report #AA 98-261)
single purchase limit that exceeds $2500 provided           d. Standard Form 44.
additional training IAW AFLG-PR 1st End, 28 Aug             (1) Were ordering officers appointed in writing
96, subject: AL 96-3?                                   by the Director IAW AFARS 1.603-1(2) and 1.603-1-
    (20) Are BOs appointed IAW established              90(c)?
procedures in DOD Comptroller memorandum, 17                (2) Are ordering officers used only for the
Oct 96, subject: Purchase Card Reengineering            purposes set forth at AFARS 1.602-2-91(b)?
Implementation Memorandum #1: Certifying Offi-              (3) Is there a file of appointment memoran-dums
cer Guidance? Are required documents (appoint-          and justifications IAW AFARS 1.602-2-91(d)(ii)?
ment letter, signature card) provided to the                (4) Do the appointment letters comply with
appropriate disbursing office? Are properly certified   AFARS 53.9002?
billing statements provided to the disbursing office        (5) Have ordering officers received required
within 15 calendar days of receipt as required by the   orientation and instructions IAW AFARS 1.602-2-
DFAS IMPAC SOP?                                         91(c)(1)?
    (21) Do customers comply with IMPAC supply              (6) Is the number of ordering officers exces-
policy when using the card to purchase centrally        sive? (AFARS 1.603-1(3))
managed NSN items? Are demands recorded for                 (7) Is the SF Form 44 authority limited to
purchases of repair parts? Do hand receipt holders      $2,500 (except aviation fuel and oil purchases,
prepare DD Form 250, Materiel Inspection and            overseas transactions, and purchases in support of
Receiving Report to acknowledge and report              intelligence operations which do not exceed the
purchases on nonexpendable items to the PBO?            simplified acquisition threshold)? (DFARS 213.505-
(DALO-SMP msg 261457Z Dec 96, subject: IMPAC            3(b)(1))
Rules)                                                      (8) Was the purchase made on-the-spot, over-
    (22) Have non-value added requirements (pre-        the-counter, and away from a purchasing office IAW
approvals, formal purchase requests) been elimi-        FAR 13.306?
nated? Are cardholders provided screening tools             (9) Was there one delivery and one payment
such as FEDLOG or the AMDEF to determine                IAW FAR 13.306(a)(3)?
appropriate sources of supply? Does program over-           (10) Are SF Form 44s being controlled and
sight use non-impeding audit techniques that do not     consecutively numbered using an appropriate num-
delay the reconciliation/payment process? (SFAE-        bering system in accordance with local procedures?
CSA-PPP memorandum, 28 Oct 96, subject:                     (11) Was each ordering officer inspected at least
Streamlined Purchase Card Procedures)                   once each year IAW AFARS 1.602-2-91(c)(2)?
    (23) Does the purchase card program comply              (12) Are ordering officer appointments termi-
with ASA(FM) memorandum, 24 Jan 97, subject:            nated in writing when individuals are reassigned or
Streamlined Accounting for Micro Purchases Under        employment is terminated IAW AFARS 1.602-2-
the Government Purchase Card Program (IMPAC)            91(c)(3)?
and DOD memorandum, 27 Mar 97, subject:                     e.    Actions/Determinations Generally Appli-
Purchase Card Reengineering Implementation              cable to Simplified Acquisition Procedures.
Memorandum #3? Are cards bulk-funded with a                 (1) Are simplified acquisition procedures
single line of accounting (unless waiver was            utilized for those actions between $2,500 and
approved)? Are cardholders/BOs using the Army’s         $100,000 IAW FAR 13.003(a)?
automated Purchase Card Management System                   (2) Are supplies and services acquired from
(PCMS)? Are BOs using Pay and Confirm proce-            those mandatory sources identified at FAR Part 8 and
dures?                                                  IAW FAR 13.003(a)(1)?
    (24) Are A/OPCs using First Link software and           (3) Are all actions greater than $2,500 and less
On-Line Access and/or C.A.R.E. to set up/maintain       than $100,000 set-aside for small business IAW with
accounts, obtain reports, and monitor cardholder/BO     FAR 13. 003(b)(1), unless the procedures at FAR
activity?                                               19.1006 apply?
    (25) If using Accommodation (Visa) Checks, are          (4) Was DD Form 2579, Small Business
procedures in DOD memorandum, 5 Aug 97, sub-            Coordination Record, properly completed and coor-
ject: Purchase Card Reengineering Implementation        dinated with the activity’s Small and Disadvantaged
Memorandum #5:         Accommodation Checks fol-        Business Utilization Specialist for all requirements
lowed?


20
                                                                             FORSCOM Pamphlet 715-9


estimated over $10,000 if not set aside for small              (21) Are the clauses/provisions required by FAR
business concerns IAW DFARS 219.201(c)(9)?                 22.8 for Equal Opportunity, FAR 22.13 for Special
    (5) Where the requirements of FAR 17.2 are             Disabled and Vietnam Era Veterans, and FAR 22.6
met, are options being included in Requests for            for Walsh-Healey Public Contracts Act included as
Quotation (RFQ) and Purchase Orders (PO) where             applicable for purchases over $10,000?
they would result in lower costs to the Government?            (22) Are the clauses required by FAR 22.1408,
Does the aggregate value of the options remain at or       Affirmative Action for Handicapped Workers,
below the simplified acquisition threshold IAW FAR         included when the PO is expected to exceed $2,500?
13.106(1)(e)?                                                  (23) If the quote was oral, does the file contain
    (6) Are contingency statements (Subject to             the names of the other vendors that were contacted
Availability of Funds (SAF)) being removed or does         and the prices, terms and conditions that they quoted?
the file contain certification of funds prior to receipt   (FAR 13.106-3(b)(i))
of supplies/services IAW FAR 32.703-2(c)?                      (24) If the quote was written, does the file contain
    (7) Are deadlines for submission of responses to       an abstract that shows prices, delivery, references to
solicitations considered reasonable IAW FAR                printed price lists, the vendors contacted and other
5.203(b)?                                                  pertinent data? (FAR 13.106-3(b)(2))
    (8) Does the file contain documentation to                 (25) Was notification to unsuccessful suppliers
support the basis of the contract award decision IAW       given when requested IAW FAR 13.106-3(c)?
FAR 13.106-3(b)(3) (only one source and/or other               (26) Has termination or cancellation of POs been
than price)?                                               accomplished IAW FAR 13.302-4(a)(2) and FAR
    (9) Have Government property clauses been              Part 49?
excluded where the cost of the item to be repaired             f.    Supply Purchases.
does not exceed the simplified acquisition threshold           (1) Is the item available from Federal Prison
IAW FAR 45.106(e)?                                         Industries (UNICOR) (FAR 8.001(a)(1)(iii)) or
    (10) Has the clause FAR 52.213-1, Fast Payment         Committee for Purchase From People Who are Blind
Procedure, been included in the solicitations/con-         or Severely Disabled (FAR 8.001(a)(1)(iv)), and is
tracts when conditions at FAR 13.402?                      the Schedule of Products Made in Federal Penal and
    (11) Are the POs issued on a fixed price basis         Correctional Institutions on hand? (FAR 8.602(a))
IAW FAR 13.302-1(a)?                                           (a) Does the price exceed current open market
    (12) Have specific quantities been cited on the        prices? (FAR 8.604(c) and 8.605(b))
POs for supplies and services ordered IAW FAR                  (b) Does the file contain a clearance from
13.302-1(b)?                                               UNICOR when supplies are acquired from other
    (13) Does the PO have a definite calendar date         sources IAW FAR 8.605(a)?
for delivery or contain a determinable date by which           (2) Do orders authorizing a quantity variation
performance of services is required? (FAR 13.302-          contain the clause at FAR 52.211-16? Is the item
1(b)(2))                                                   something that can have a variation in quantity?
    (14) Have unpriced POs been issued only when               g.    Service Purchases.
they do not exceed the simplified acquisition                  (1) Does the PO contain the applicable clauses
threshold ?                                                required by FAR 22.1006?
    (15) Does the unpriced PO indicate either a                (2) Was an SF 98 prepared IAW FAR 22.1008
monetary limitation for each line item or for the total    if the installation was not under Blanket Wage
order IAW FAR 13.302-2(c)?                                 Program for services estimated to exceed $2,500:
    (16) Was a discount offered and included on the            (a) Was Notice of Intent SF Form 98, Notice of
PO but not considered for evaluation? (FAR 13.302-         Intention to make a Service Contract and Response to
1(b)(5))                                                   Notice, submitted timely to the U. S. Department of
    (17) Are the conditions applicable at FAR              Labor IAW FAR 22.1008-7?
13.302-1(c) present to allow unsigned electronic               (b) Were the incumbent contractor and its
POs?                                                       employees’ collective bargaining agent both given
    (18) Are POs being awarded within CALT                 notification IAW FAR 22.1010(a)?
guidelines established by the DOC?                             (c) Was SF Form 99, Notice of Award Con-
    (19) Are standard industry classification codes        tract, submitted when required IAW FAR 22.1017?
and small business size standards included IAW FAR             (d) Was the SF 98 a part of the PO file and the
19.303(a)?                                                 wage rate included in the PO?
    (20) Have DD Forms 350 been completed for all              (3) Does the PO cross fiscal years? (FAR
actions exceeding $25,000 IAW DFARS 204.670-3?             37.106 and FAR 32.703-3)


                                                                                                        21
FORSCOM Pamphlet 715-9


    (4) Does the PO contain the clauses required by             (1) Was the DD Form 1155, Order For Supplies
FAR 37.110, when applicable?                                Or Service used to place delivery orders (DO) against
    (a) FAR 52.237-1 Site Visit                             Federal Supply Schedules? (DFARS 208.405-2(1))
    (b) FAR 52.237-2 Protection of Government                   (2) Were oral orders placed within the
Buildings, Equipment, and Vegetation                        simplified purchase threshold? (DFARS 208.405-
    (c) FAR 52.237-3 Continuity of Services                 2(2)(i))
    (5) Does the agency have specific statutory                 (3) Did the contractor agree to provide a
authority to acquire personal services?                     delivery ticket for each shipment IAW DFARS
    (6) Do POs for lease of motor vehicles comply           208.405-2(2)(ii)?
with FAR 8.11?                                                  (4) Was inspection of supplies done at
    (7) Are performance specifications being                destination unless an exception was made IAW FAR
implemented in lieu of military specifications and          8.405-3(a)?
standards where practicable IAW Secretary of                    (5) In a case of nonperformance, did the
Defense memorandum dated 29 Jun 94, subject:                contracting officer proceed IAW FAR 8.405-4?
Performance-Based Service Contracting (PBSC)                    (6) When an order was terminated for default,
Implementation?                                             was the schedule contracting officer notified? (FAR
    h.    Construction Purchases.                           8.405-5(a)(1) or FAR Part 49)
    (1) Does the Purchase Request exceed $2,000?                (7) Was repurchase effected and excess costs, if
If so, was the solicitation issued electronically or by a   applicable, assessed on the defaulted schedule
written solicitation IAW FAR 13.106-1(d)?                   contractor? (FAR 8.405-5(a)(3))
    (2) If more than $2,000, were the instructions in           (8) Prior to termination for convenience under
FAR Part 36 followed?                                       FAR Part 49, was an effort made to enter into a “no-
    (3) Are the clauses required by FAR 36.5                cost” cancellation agreement with the contractor?
included in the PO?                                         (FAR 8.405-6(b))
    (4) Are the labor clauses required by FAR                   k.   Modifications (MODS).
22.407 included in the PO?                                      (1) Does the aggregate amount of all mods and
    (5) Are the wage rates included in the PO if over       the PO exceed the simplified acquisition threshold?
$2,000?                                                         (2) When the required clauses were not included
    i.    Blanket Purchase Agreements (BPA).                in the PO, were they incorporated by bilateral
    (1) Did the contracting officer review a                modification?        (DFARS 213.503(d)(ii) and
sufficient random sample of the BPA files at least          213.507(a)(ii))
annually to ensure authorized procedures are being              (3) For mod actions which resulted in an
followed? (FAR 13.303-6(a))                                 increase in price, were adequate funds certified
    (2) Were the names of individuals authorized to         available prior to the contracting officer's execution
purchase under the BPA identified by organization           of the mod? (FAR 43.105(a))
and the dollar limitations for each individual                  (4) Was appropriate authority for the mod cited
furnished to suppliers? (FAR 13.303-3(a)(4))                in block 13 of the SF 30?                     (DFARS
    (3) Are requirements split to preclude exceeding        213.503(d)(i)(B)(4))
the monetary limitations? (AFARS 13.205 (b)(ii))                (5) Is the mod issued IAW the Changes clause
    (4) Does the BPA identify the commodity being           at FAR 52.243-1 for fixed-price supplies? FAR
purchased in general terms, reference a specific            52.243-1, Alt I for services? FAR 52.243-5, for
period (not to exceed three (3) years) and stipulate an     construction contracts not expected to exceed the
aggregate amount IAW FFARS 13.203-1(j)(1)?                  applicable simplified acquisition threshold at FAR
    (5) Are calls equitably distributed among               Part 13? If so, is there a supplemental agreement to
suppliers with BPAs ?                                       finalize the equitable adjustment required by the
    (6) Are clauses referenced at DFARS 213.507             change? (FAR 52.243-1)
included?                                                       (6) If the mod was bilateral, was it signed by
    (7) Is there a statement informing the supplier         both the contractor and the contracting officer IAW
how to submit invoices? (FAR 13.303-3(a)(6))                FAR 43.103(a)?
    (8) Have the individuals authorized to place                (7) If the mod was unilateral, did it include the
calls under BPAs been trained and oriented IAW              contractor's verbal or written agreement in lieu of
AFARS 13.204-90(b)?                                         signature IAW DFARS 213.503(d)(i)(B)?
    j.    Federal Supply Schedules.                             (8) Are administrative mods used to correct
                                                            typographical mistakes, change the paying office, or



22
                                                                            FORSCOM Pamphlet 715-9


change the accounting and appropriation data IAW          (AFARS 7.104-90(d)) Does the DOC take adequate
FAR 43.101?                                               corrective action when the customer doesn't comply?
    (9) If the mod increased or decreased funds was           (3) Are there any indications that contrac-
the mod a supplemental agreement?                  (FAR   tors/offerors are not receiving impartial, fair and
43.103(a)(1))                                             equitable treatment to include professional courtesy?
    (10) If the mod is notifying the contractor of a      (FAR 1.602-2(b))
partial or total termination, is the mod unilateral IAW       (4) Is the Contracting Division querying the
FAR 43.103(b)(4)?                                         Contract Administration Division for lessons learned
    l.    Close-Out.                                      and applying them prior to resoliciting recurring
    (1) Does the file contain only one copy of each       requirements?
document? (DFARS 204.805-(4))                                 (5) Are the customers generally satisfied that the
    (2) Is there evidence of final payment and/or         contracts as awarded reflect their requirements?
receipt of property? (FAR 4.804-1(a)(1) and AR 25-            (6) Do contracts comply with applicable
400-2, Table B-102)                                       laws/statutes, regulations? If not, have appropriate
    (3) Are files stored, handled, and disposed of        approvals/deviations been obtained, or for
IAW FAR 4.805?                                            administrative requirements, has the file been
    m. Test Program for Certain Commercial                appropriately documented?
Items. (Subpart 13.5) (Authority expires on 1                 (7) For solicitations subject to availability of
January 2000)                                             funds (SAF): (FAR 37.106 and 32.703-2)
    (1) Did the results of market research indicate           (a) Was the fund citation on the purchase
that there is a reasonable expectation that only          request restricted by the statement “SUBJECT TO
commercial items will be offered? (FAR 13.500(a))         AVAILABILITY OF FY--FUNDS,” and did the
    (2) Are the simplified procedures authorized by       solicitation contain the clause at FAR 52.232-18,
FAR 13.500(b) being used to the maximum extent            Availability of Funds IAW FAR 32.705-1/AFARS
practicable?                                              1.602-2?
    (3) Are sole source acquisitions justified in             (b) Was the SAF statement removed from the
writing and approved at appropriate levels:               fund citation by authorized Resource Management
    (a) Proposed contracts exceeding $100,000 up          personnel prior to the contracting officer giving the
to $500,000 certified by the contracting officer (FAR     contractor written notice that funds had become
13.501(a)(2))                                             available? (AFARS 1.602-2)
    (b) Proposed contracts exceeding $500,000                 (c) Is there indication that the government
approved by the competition advocate for the              accepted supplies or services before the contracting
procuring activity (FAR 13.501(a)(2)(ii))                 officer gave the contractor written notice that funds
    (4) Does the file contain a brief description of      were available IAW FAR 32.703-2(c)?
the procedures used in awarding the contract? (FAR            b. Contract File Management.
13.501(b))                                                    (1) Do contract files contain the original of the
                                                          signed contract and other pertinent documentation?
3-12. Formal Contracts                                    (FAR 4.803)
    a.    Objective. To assess contracts to ensure            (2) Does documentation in the file constitute a
delivery of the best value product or service to the      complete history of the transaction? (FAR 4.801(b)
customer on a timely basis. Ensure the customer is            (3) Is there a file for canceled solicitations?
satisfied in terms of cost, quality, and timeliness of    (FAR 4.801(c))
delivered     products    and     services,   promote         c.    Pre-award Actions/Determinations Gene-
competition, conduct business with integrity, fairness,   rally Applicable to All Types of Contracts.
and openness, and fulfill public policy objectives.           (1) Does the file contain a citation of funds?
(FAR 1.102)                                               (FAR 4.803)
    (1) Did the DOC submit an Installation Advance            (2) Was the acquisition package received IAW
Acquisition Plan to HQ FORSCOM not later than 15          Advance Acquisition Plan, if applicable?          Did
September of each year. Are contracts awarded             acquisition lead time allow sufficient time to
within the contract administrative lead times (CALT)      satisfactorily complete the acquisition process?
established by the DOC? (FFARS 7.190)                     (AFARS 7.104-90(c))
    (2) Have the customers been advised/educated              (3) Were purchase requests and supporting
regarding when and what they are required to submit       documents adequate when received by the DOC (i.e.,
to the DOC for effective and timely contracting?          adequate description of the government's minimum
                                                          essential need; local purchase authority; support for


                                                                                                     23
FORSCOM Pamphlet 715-9


urgent or restricted (noncompetitive) procurement;            (11) Is a copy of the publication of synopsis or
required approvals; justification for bid samples,        reference thereto in the file IAW FAR 4-803(a)(4)
descriptive literature, etc.)? Were inadequate pur-       and was the solicitation issued no sooner than 15
chase requests corrected or returned timely?              calendar days after that date IAW FAR 5.203(a)?
    (4) Were mandatory sources of supply consi-               (12) Does the contract file contain a solicitation
dered IAW FAR Part 8?                                     mailing list (FAR 4.803(a)(5)) and evidence that the
    (5) Is there an approved acquisition plan in the      List of Parties Excluded from Procurement Programs
contract file if required? Was the acquisition plan       has been checked to preclude soliciting listed firms
submitted at least 45 calendar days, or 60 calendar       IAW FAR 9.405(a) and (d)(i)?
days if multifunction CA, prior to issuance of                (13) Was DD Form 2579, Small Business
synopsis IAW AFARS 7.103, DFARS 207.103, and              Coordination Record, prepared and coordinated for
FFARS 7.103?                                              the following:
    (6) Is there adequate documentation to show               (a) Supply and service requirements estimated
why the particular contract type was selected? (FAR       between $10,000 and $25,000 if not set aside for
16.103(d))                                                small business concerns? (FAR 19.502-2)
    (7) Does the file contain an approved J&A IAW             (b) All requirements greater than $25,000?
FAR 6.304? Other areas of compliance if procure-              (14) For acquisitions requiring synopsis, was the
ment was accomplished using other than full and           DD Form 2579 approved prior to transmitting the
open competition:                                         CBD synopsis notice? Is the solicitation mailing list
    (a) Does the format comply with AFARS 6.303-          attached to the DD Form 2579 and is there an
2-90?      Was it certified and approved at the           indication of the size and disadvantaged status of the
appropriate level(s) IAW FAR 6.304, 6.303-1(b), and       firms listed IAW AFARS 19.201(c)(9)(B)(1)?
FFARS 6.3?                                                    (15) If oral solicitation, has approval above the
    (b) If only one source was solicited, was that        contracting officer been obtained as required by
limitation justified in the Justification and Approval    FFARS 15.402?
(J&A) document? The items in FAR 6.303-2(a)(6),               (16) Does the contract file contain adequate
(8), (9), and (11) must be addressed even when the        justification to substantiate the amount of the
exception cited is other than 10 U.S.C. 2304(c)(1).       liquidated damages assessment IAW FAR 11.502(b)?
    (c) When using 10 U.S.C. 2304(c)(1) (only one             (17) Is use of options adequately justified IAW
responsible source), was synopsis published and were      FAR 17.205? If options are included in a sealed bid
bids and proposals received considered? (FAR              solicitation, is there an intent to exercise the option
6.302-1)                                                  IAW DFARS 217.208?
    (d) Was a J&A prepared when acquiring brand
name products IAW FAR 6.302-1(c)?
    (e) When using 10 U.S.C. 2304(c)(2) (unusual
and compelling urgency), was the J&A forwarded to
the appropriate approving authority within 10 work
days of contract award? Was verbal approval
requested, received, and documented IAW FFARS
6.303-1(e)(ii)?
    (8) If the estimated requirement was over
$100,000, was it properly synopsized? (FAR 5.201
and 5.207)
    (9) If the requirement was estimated over
$100,000 and not synopsized, does the file reflect
which exception is applicable to the action IAW FAR
5.202(a)?
    (l0) If the requirement was synopsized, were at
least 30 calendar days allowed for receipt of bids or
proposals from the date of issuance of the solicitation
IAW FAR 5.203(c) and 36-213-3(a)? If using EDI,
was a reasonable amount of time allowed for receipt
of bids or proposals? (U.S. Army Procurement
Research and Analysis Office currently recommends
5 days.)


24
                                                                             FORSCOM Pamphlet 715-9


    (18) Are the appropriate size standards and                (32) Are bidders given proper notice of suspected
standard industrial classification codes included in all   mistakes and required to verify their bids IAW FAR
solicitations above the micro-purchase threshold IAW       14.407-1?
FAR 19.303(a)?                                                 (33) Were clerical mistakes apparent on the face
    (19) Was the solicitation prepared IAW FAR             of the bid corrected IAW FAR 14.407-2?
14.201 or 15.204?                                              (34) Are other alleged mistakes-in-bids before
    (20) Was the clause at FAR 52.219-6, Notice of         award handled IAW FAR 14.407-3, DFARS
Total Small Business Set-Aside, included in the            214.407-3, and AFARS 14.407-3?
solicitation when the solicitation was synopsized as           (35) Did the contracting officer document the file
restricted to small businesses IAW FAR 19.508(c)?          to clearly establish the reason(s) for rejecting bid(s)
    (21) For set asides other than construction and        IAW FAR 14.404-2?
services, was waiver obtained if the contractor did not        (36) In determining that prices offered are fair
manufacture the product or provide a product from a        and reasonable, is consideration given to whether or
small business IAW FAR 19.502.2?                           not bids/offers are materially unbalanced IAW FAR
    (22) If government-furnished property (GFP) was        14.408-2(b) and FAR 15.404-1(g)
provided, was the appropriate government property              (37) For negotiated actions exceeding $100,000:
clause included and was the GFP identified in the              (a) Did the appropriate authority approve the
solicitation? (FAR 45.106 and 45.302-1)                    Pre-negotiation Objective Memorandum (POM) and
    (23) If the solicitation involved material of a        Price Negotiation Memorandum (PNM)
hazardous nature, was the solicitation prepared IAW            (b) Does the POM show that the contracting
the following:                                             officer/negotiator was adequately prepared to enter
    (a) Radioactive materials, FAR 23.601                  into negotiations?
    (b) Environmental objectives, FAR 23.704                   (c) Does the POM show that the contracting
    (c) Ozone Depleting substances, FAR 23.803             officer conducted negotiations on all important
    (d) Toxic chemicals, FAR 23.906                        issues?
    (24) Did solicitations receive legal review IAW            (d) Does the POM show a clear understanding
AFARS 1.602-2(c)? (Examples of actions for which           of the development of Most Probable Cost Estimate
legal counsel should be sought: Determinations of          (MPCE) for cost reimbursement contracts? Was the
minor informalities/irregularities, determinations to      selection decision based on the MPCE in the context
reject individual bids, determinations allowing            of the contractor's offered price?
withdrawal based on mistake, proposed award                    (e) Does the PNM show clearly the trade-off
documents, J&A, Acquisition Plans.)                        analysis used and the rationale for selecting the best
    (25) Did the requesting activity review the            value for the government when evaluation is based on
solicitation for technical adequacy as part of the         other than low cost technically acceptable?
Solicitation Review Board (SRB) process? (FFARS                (f) Has DOC established POM and PNM
1.602-1-90)                                                procedures for all actions approved at DOC level?
    (26) Is the contract file documented to show that          (g) Were the evaluation factors and their relative
solicitations requiring review at HQ FORSCOM were          importance clearly stated in the solicitation IAW FAR
forwarded as required IAW FFARS 1.602-1-90?                15.304? Is there a clear trail showing that the
    (27) Are bids/proposals which are received prior       evaluation factors listed in the solicitation were
to bid opening/solicitation closing kept secure IAW        followed through source selection plan to source
FAR 14.401 and 15.207?                                     selection statement?
    (28) Is the SF Form 1409, Abstract of Offers, or           (1) Is past performance an evaluation factor in
the OF 1419, Abstract of Offers - Construction             all competitively negotiated acquisitions expected to
completed and certified IAW FAR 14.403(a)?                 exceed $1M? (FAR 15.304(c)(3)(i)) Assess how
    (29) Are bids/offers received after opening/clos-      contracting officers use past performance in the
ing correctly determined to be late and were the           source selection process.
contract files documented to reflect the disposition           (2) Does the contract file contain a determina-
and handling of late bids/offers IAW FAR 14.304 and        tion if past performance is not an evaluation factor?
15.208?                                                    (FAR 15.605(ii))
    (30) Do contracts contain contractor signatures            (3) Does the solicitation clearly alert offerors
IAW FAR 4.102?                                             that their assessment of previous past performance
    (31) Were minor informalities/irregularities in the    will be made from input of past customers?
low responsive bid processed IAW FAR 14.405?                   (4) Is pre-award resolution of performance
                                                           record discrepancies handled during negotiations?


                                                                                                       25
FORSCOM Pamphlet 715-9


    (5) If an agreement is not reached on rebutting       developing a pre-negotiation position and conducting
statements, is the decision reviewed by one level         negotiations? If not, was the rationale for not doing so
above the contracting officer (FAR 42.1503(b))?           adequately documented in the contract file?
    (h) Does the file contain Contract Review Board           (40) If applicable, were contractor's “make or
(CRB) comments IAW FFARS 15.890-(d)(101)?                 buy” program and proposed subcontracts reviewed
    (38) For each acquisition, was some form of cost      IAW FAR 44.202?
or price analysis performed to determine reason-              (41) Are prompt payment discounts offered made
ableness of price IAW FAR 14.408-2 and FAR                a part of the award IAW FAR 14.408-3(a)?
15.805?                                                       (42) Were economic price adjustment clauses,
    (39) For negotiated actions:                          when proposed, evaluated in accordance with FAR
    (a) Was cost/price data obtained IAW FAR              14.408-4(a)?
15.403?                                                       (43) For other than construction, was EEO
    (b) Was cost and pricing data obtained ade-           clearance obtained IAW FAR 22.805 for award of
quately evaluated? Is documentation included in the       contracts and subcontracts over $1 million?
contract file?)                                               (44) Does the file contain documentation to
    (c) Was a Certificate of Current Cost or Pricing      support affirmative determination of responsibility by
Data obtained?) If not, was exemption granted? If         the contracting officer IAW FAR 9.103(b)?
exemption was obtained, was price analysis                    (45) Are files documented so that it is clear how
performed to determine reasonableness of price and        and why a particular source was selected for award
need for further negotiation?                             IAW FAR 14.408-7?
    (d) Are lessons learned reports resulting from            (46) On awards over $3 million, is the file
formal source selection acquisitions being forwarded      documented to show that Congressional notification
IAW AFARS, Appendix AA, Formal Source Selec-              was made IAW FAR 5.303 and DFARS 205.303?
tion, paragraph AA-107?                                       (47) Prior to award, were unsuccessful offerors
    (e) In negotiated acquisitions where award was        participating in a negotiated small business set-aside
made without written or oral discussions, does the file   informed in writing of the name and location of the
document the reason? If the solicitation states the       apparent successful offeror IAW FAR 15.1003(a)(2)?
intent to award without discussion and the decision is        (48) Was award withheld to allow five business
reversed, is there documented rationale for the           days from receipt of notification to unsuccessful
reversal)? Was a combined POM/PNM developed               offerors for small business size protest IAW FAR
IAW FFARS 15.807(c)?                                      19.302(d)(1)?
    (f) In negotiated acquisitions, are all offerors in       (49) Are contract awards exceeding $25,000 that
the competitive range given an opportunity to submit      are likely to result in award of subcontracts
a final proposal revision IAW FAR 15.307(b)?              synopsized in the Commerce Business Daily IAW
    (g) On negotiated procurements, is the file           FAR 5.301?
documented why sealed bidding was not used IAW                (50) Were DD Forms 350 prepared timely and
FAR 6.401?                                                accurately on all actions in excess of $25,000 IAW
    (h) Is quality stated as an evaluation factor in      DFARS 204.670-2 and 204.670-3?
every negotiated acquisition?                                 (51) Were amendments to IFBs/RFPs issued in
    (i) For procurements exceeding $100,000 using         sufficient time to be considered by offerors/bidders in
other than sealed bidding procedures, were procure-       submitting or modifying their bids/offers IAW FAR
ment integrity certificates requested?                    14.208(b) and 15.206(f)?
    (j) Are pre-award and post-award notices to
unsuccessful offerors provided ?
    (k) For negotiated actions of $100,000 or less,
does the file contain price negotiation memoran-
dums?
    (l) Was field pricing support requested for
fixed-price proposals exceeding $500,000, for cost-
type proposals exceeding $500,000 from offerors
with significant estimating system deficiencies, or
cost-type proposals exceeding $1M from offerors
without significant estimating system deficiencies?
    (m) Were the recommendations of the cost/price
analyst and auditors used by the contracting officer in


26
                                                                           FORSCOM Pamphlet 715-9


    Were procurement integrity clauses included in           (6) Were utility solicitations prepared IAW
solicitations/contracts if the value exceeded the        FAR Part 41?
simplified acquisition threshold? (FAR 3-104-9)              (7) When severable contracts for services are
    (52) Does the contract file contain the required     funded by annual appropriations, does the contract
lease versus purchase analysis IAW FAR 7.4 and           period exceed one year (without regard to any
DFARS 207.401?                                           option to extend the period of the contract)? (98-
    (53) If bid samples/descriptive literature were      DEV-1 to FAR 32.703)
required by the solicitation, does the file contain          (8) Does the solicitation include a complete
justification? (FAR 14.202-4(d) and 14.202-5(c))         copy of the provision that requires offerors to identify
Are waivers of descriptive literature IAW FAR            their taxpayer identification number, corporate status,
14.202-5(e)?                                             and common parent IAW FAR 4.203?
    (54) Is FAR 52.204-3, Taxpayer Identification,           (9) Are performance specifications imple-
included in the solicitation and provided to the         mented instead of military specifications and
payment office IAW FAR 4.203?                            standards where practicable IAW Secretary of
    d. Service Contracts.                                Defense memorandum dated 29 Jun 94, subject:
    (1) Did the contracting officer determine the        Performance-Based Service Contracting (PBSC)
services to be non-personal, IAW FAR 37.101 and          Implementation?
37.104? In doubtful cases, did the contracting officer       e.    Commercial Activities.
obtain legal review and document the file IAW FAR            (1) For cost competition studies, was the sealed,
37.103?                                                  dated, in-house cost estimate submitted to the
    (2) In contracting for services estimated to         contracting officer by the time established for receipt
exceed $2,500:                                           of initial proposals or by bid opening IAW FAR
    (a) Was Notice of Intent SF Form 98 submitted        7.304(b)(3)?
timely to the U.S. Department of Labor (DOL) IAW             (2) For cost competition studies, was the
FAR 22.1008-7, DOL’s schedule for the Blanket            requirement synopsized at least three times in a 90-
Wage Program, or Wage Determination On Line              day period with a minimum interval of 30 calendar
program instructions?                                    days between each synopsis or, for urgent
    (b) Were the incumbent contractor and its            requirements, at least two times in a 30-day period
employees’ collective bargaining agent both given        with a minimum interval of 15 calendar days between
notification IAW FAR 22.1010(a)?                         each synopsis IAW FAR 7.303(b)(1)?
    (c) Was SF 99, Notice of Award, submitted                (3) Do acquisition procedures comply with FAR
when required IAW FAR 22.1017?                           7.304 and AR 5-20, Chapter 4, Section II?
    (d) Are solicitations rated under the Defense            (a) Do Acquisition Plans comply with FFARS
Priorities and Allocations System IAW FAR 11.603?        7.103(a), and FAR 7.3?
    (3) Mortuary Services.                                   (b) Are solicitation documents prepared and
    (a) Were solicitation provisions and contract        submitted IAW FFARS 1.6O2-1-90(s-100), (S-
clauses set forth in DFARS 237.7004 included?            102(i)), and FAR 7.3?
    (b) Is the area of performance clearly defined           (c) Are Acquisition Plans for multifunction
IAW DFARS 237.7002?                                      CAs, including resolicitation of functions previously
    (c) Was the mortuary contract distributed IAW        converted to contract, submitted to the HCA 45 days
DFARS 237.7003?                                          prior to synopsis IAW FFARS 7.103(a)?
    (d) Was the contractor's facility inspected by the       (4) Are formal Source Selection procedures
contracting officer and the mortuary officer prior to    proposed for complex negotiated requirements?
award IAW AR 638-2?                                      (FFARS 15.612(a)(100))
    (4) Laundry and Dry Cleaning Services. Did the           (5) Is a DOC representative actively involved in
solicitation include the clauses and provisions          the planning/IPR for each CA requirement?
prescribed by DFARS 237.7102?                                (6) Were problems experienced with CA pro-
    (5) Direct Health Care Services.                     jects identified as lessons learned and forwarded to
    (a) Was the requirement approved IAW DFARS           the PARC?
237.104(b)(ii)?
    (b) Was the solicitation prepared IAW FAR
37.401 ?
    (c) Were applicable compensation pay caps
observed IAW guidance at FAR 31.205-6 and
DFARS 231.205-6?


                                                                                                      27
FORSCOM Pamphlet 715-9


    f.    Construction Contracts.                             (14) Was an SF 1442 used for award IAW FAR
    (1) Did the acquisition include the following:        36.701(b)?
    (a) Purchase request, funded or inscribed and             (15) Is the file documented that performance
signed by the comptroller or his designee IAW             evaluations of construction contractors were used as
AFARS 1.602-2?                                            required by DFARS 236.201(c)(2) before selecting
    (b) If a high priority requirement, does the          fully qualified responsible contractor for award above
solicitation contain the statement at AFARS 1.602-2?      $1 million?
    (c) Adequate copies of specifications and                 (16) If any part of the project is subject to a
drawings and a list of GFM/GFE?                           statutory limitation, does the bid schedule reflect
    (d) Information regarding statutory cost limita-      those items subject to statutory limitations IAW FAR
tions IAW FAR 36.205?                                     36.205(b)?
    (e) Suggested bid schedule? Do bid schedule               (17) If separate performance periods apply to
deliverables and the IGE agree?                           various parts of the work, is it clear if liquidated
    (2) Were sealed bid procedures used IAW FAR           damages will be assessed on the total performance
36.103?                                                   period or separately IAW FAR 52.211-12, Alt I?
    (3) For requirements exceeding $100,000, does             (18) Were JOC solicitations prepared IAW
the file contain detailed IGEs IAW FAR 36.203(a)?         AFARS 17.90?
    (4) Are sealed IGEs filed with unopened bids              g.    8(a) Contracts.
until bid opening IAW DFARS 236.203?                          (1) Do 8(a) contracts contain written certifica-
    (5) Are IGEs marked “For Official Use Only,”          tion from the SBA of the 8(a)'s competency to
and are the designations properly removed prior to        perform IAW FAR 19.800(c)?
the estimates being read and recorded IAW DFARS               (2) Do 8(a) contract formats comply with FAR
236.203?                                                  19.811? Do they contain required special clauses
    (6) If a warranty other than that contained in        (FAR/DFARS 19.811-3)?
federal, military or construction guide specifications        (3) Were awards based on competition, as
applicable to a given construction project was            applicable, IAW FAR 19.805-1?
included, did the Director approve use of the                 h.    Supply Contracts.
warranty? (DFARS 246.704)                                     (1) Were required Buy American Act and
    (7) Are liquidated damages included in all            Balance of Payments Program evaluated properly
contracts over $500,000, except cost-plus fixed fee       IAW DFARS 225.105 and 225.302 respectively?
contracts or where contractor cannot control the pace         (2) If electronics bids are authorized, does the
of work IAW DFARS 211.504(b)?                             solicitation specify electronic commerce methods
    (8) Does the file contain justification and a         IAW FAR 14.202-8?
detailed formula showing how liquidated damages are           (3) Are supply requirements estimated to exceed
determined IAW FAR 11.503?                                $100,000 solicited as total small business set-asides
    (9) Does the advance notice (synopsis) and the        only when offers are expected from two or more
IFB/RFP contain the appropriate magnitude of the          small business concerns offering the products of
range of the construction project IAW FAR and             different small business concerns? (FAR 19.502-
DFARS 36.204?                                             2)(b))
    (10) If additive or deductive items were included,        i.    Information Technology (IT) Procure-
did the contracting officer determine and record in the   ments (FAR Part 39).
contract file the firm amount of funds available for          (1) Were all purchase requests certified by the
the project prior to bid opening IAW DFARS                IMO of the applicability of 10.U.S.C. 2315 and one
236.303-70?                                               or more of the specific exemptions? (AFARS
    (11) Were all bids evaluated on the basis of the      39.001-70)
same additive or deductive bid items IAW DFARS                (2) Is the certification supported by a written
236.303-70(C)(2)?                                         determination describing the rationale for the
    (12) For construction projects expected to exceed     certification? (AFARS 39-110-70)
$1 million, except those awarded under FAR 19.5 and           (3) Is the certification endorsed by the DOIM or
19.8, does the solicitation contain the clause at FAR     DCSIM? (AFARS 39.001-70)
52.236-1, Performance of Work by the Contractor,              j.    Cost Type Contracts (Cost Plus Award
IAW FAR 36.501(b)?                                        Fee).
    (13) Is there evidence in the file that bid bonds         (1) Has the contracting officer made the
were reviewed for adequacy and acceptability of           required determination IAW FAR 16.301-3 and
surety IAW FAR 28.102?                                    DFARS 216.301-3?


28
                                                                               FORSCOM Pamphlet 715-9


    (2) Was appointment of the Award Fee Deter-                  (5) Is the price/cost analyst submitting the
mining Official made IAW AFARS 16.404-2?                     pricing report in a timely manner? Is the report
    k.    Time and Material Contracts.                       complete, accurate and comprehensible? Are all
    (1) Was the required determination executed by           findings and recommendations supported by data
the Director or chief of the office IAW FAR                  and/or reasonable assumptions? Does the report
16.601(c)?                                                   consolidate the findings and recommendations from
    (2) Does the contract contain a ceiling price,           the other reports such as audit and technical reports
and is the contractor advised that he exceeds the            into a single, integrated advisory report? Are tables
ceiling price at his own risk IAW FAR 16.601(c)?             and schedules included as appropriate to aid in
Did the contracting officer justify any subsequent           developing the negotiation position(s)?
changes in the ceiling price IAW FAR 16.601(c)?                  (6) Is the price/cost analyst assisting customers
    (3) Does the contract file document justification        in the development of independent government
for reducing or waiving the five percent withholding         estimates (IGEs)? Is the analyst assisting the con-
of payments as required by FAR 52.232-7(a)(2)?               tracting officer in evaluating IGEs for effectiveness?
    l.    Contracting Administrative Lead Time                   (7) On the basis of the above evaluations, is
(CALT). Is the contracting activity meeting the              overall price/cost analyst support adequate?
CALT goals established by the Director of                        n.    NAF Contracting.
Contracting IAW FFARS 7.104(d)?                                  (1) Are NAF contracts for Architect and
    m. Cost and Price Analysis. The price/cost               Engineering services accomplished IAW (AR 215-4,
analyst supports the contracting officer in all aspects      5-14a), AFARS 1.9003, and DODI 4105.67?
of acquisition planning, solicitation formation, and             (2) With the exception of merchandise for
the evaluation and/or negotiation process. The               resale, was the garrison commander or designee's
responsibilities of this position include actively           signature on NAF procurement requests when the
participating in evaluation of offers and contract           cost was estimated in excess of $25,000? (AR 215-4,
negotiations when deemed necessary by the                    1-12)
contracting officer. For those DOCs that do not have             (3) Are APF contracting officers using the
a cost/price analyst, has DOC established procedures         policies and procedures in AR 215-4 to accomplish
describing how cost, price, and cost realism analyses        NAF procurements? (AR 215-4, 1-7a)
will be performed?                                               (4) Is competitive negotiation being used to the
    (1) Is the price/cost analyst reviewing those            maximum extent practicable when accomplishing
portions of solicitations and evaluation plans that          NAF procurements? (AR 215-4, 1-10 and DODI
impact evaluations and negotiations, and providing           4105.67)
input/recommendations to the contracting officer?                (5) Are sealed bidding procedures used only
This should include not only solicitation provisions         when the conditions at AR 215-4, 4-43, exist or when
but also contract type selection, extent of certifiability   documented as being more advantageous to the
of cost and pricing data required, extent of field           NAFI? (DODI 4105.67)
pricing required, weighting schema for source                    (6) Is the Buy American Act applied to NAF
selections, and the adequacy of any technical exhibits       purchases for use in the continental United States?
which impact contract pricing.                               (AR 215-4, 1-17)
    (2) Is the price/cost analyst participating as an            (7) In accordance with AR 215-4, 1-18, were
active member of the evaluation/negotiation team?            the provisions of the Walsh-Healey Public Contracts
    (3) Is the price/cost analyst performing thorough        Act (41 USC 35-45) applied to applicable NAF
evaluation of proposals, addressing each of the cost         contracts?
elements and/or price as appropriate in their analysis?          (8) In accordance with AR 215-4, 1-19, was the
Is cost, price, or cost realism analysis used as             Davis-Bacon Act (40 USC 276a) applied to NAF
appropriate to the situation? Does the analyst make          construction contracts?
logical, well-supported recommendations on the basis             (9) In accordance with AR 215-4, 1-20, was the
of the evaluation? (FAR 15.8 and DFARS 215.8)                Copeland Act (Anti-Kickback, 18 USC 874 and 40
    (4) When the price/cost analyst performs cost            USC 276c) applied to NAF construction prime
analysis, is profit evaluated in accordance with             contracts and subcontracts?
DFARS 215.9? If profit or fee is evaluated using                 (10) In accordance with AR 215-4, 1-21, was the
Weighted Guidelines methodology, are the weights             International Balance of Payments Program applied
assigned appropriate for the type of contract, risk and      to NAF contracts located outside the United States,
other factors?                                               its possessions and Puerto Rico, as defined in DODD
                                                             7060.3?


                                                                                                        29
FORSCOM Pamphlet 715-9


    (11) In accordance with AR 215-4, 1-22, was the          (25) In accordance with AR 215-1, 15-7 and AR
Trade Agreements Act (PL 96-39) applied to               215-4, 1-23, did NAF acquisitions receive the same
applicable NAF acquisitions?                             immunity from state and local taxation as the
    (12) In accordance with AR 215-4, 4-2, were the      appropriated fund contracts?
provisions of FAR 8.6 and 8.7 (which require, with           (26) In accordance with AR 215-4, 7-3b, was an
limited exceptions, the purchase of specified supplies   option clause used and justified in service contracts?
from Federal Prison Industries, Inc., and from the           (27) In accordance with AR 215-4, 7-3g(1), did
Blind and other Severely Handicapped) applied to         the contracting officer include the “Option For
NAF acquisitions?                                        Increased Quantity” clause in solicitations and
    (13) In accordance with AR 215-4, 4-3, did APF       contracts for increased quantity when quantity was
contracting officers incorrectly enter into contracts    expressed as a percentage of the basic contract
with government/NAFI personnel (military or              quantity or as an additional quantity of a specific line
civilians) except where there is a compelling reason     item?
and with approval of the Garrison Commander?                 (28) In accordance with AR 215-4, 7-3g(2), did
    (14) In accordance with AR 215-4, 4-6, is a          the contracting officer include the “Option to Extend
synopsis used when the contracting officer determines    the Term of the Contract Services” clause in
it necessary to obtain additional sources to ensure      solicitations and contracts for services when written
adequate competition?                                    notice to the contractor was required?
    (15) In accordance with AR 215-4, 2-1, are
separate registers being established and maintained      3-13. Contract Administration
by APF contracting officers for each of the various          a.    General. To assess the effectiveness of
NAF procurement instruments?                             management, administration and surveillance of
    (16) In accordance with AR 215-4, 2-1, are APF       awarded contracts, the review team will consider the
contracting officers using the procurement instru-       following:
ment identification numbers (PIIN) found in AR 215-          (1) Post-award actions applicable to all contract
1, Appendix F, Table F-1 for NAF acquisitions?           types
    (17) In accordance with AR 215-4, 2-1, are APF           Contract File Management
contracting officers using the number “2” in the sixth       Subcontracts
position of the NAF PIIN when they award a NAF               Documentation
acquisition?                                                 Invoices and Payment
    (18) In accordance with AR 215-4, 2-10, in               Post-award Conferences
negotiated procurements of $100,000 or more when             Labor Compliance
cost or pricing data is submitted by offerors, is the        Bonds and Insurance
Defense Contract Audit Agency being requested to             Claims/ADR
assist in the evaluation of proposals?                       Modifications
    (19) In accordance with AR 215-4, 2-14a, is DA           Contract Completion
Form 4074-R (Contract Clauses – Non-appropriated             Options
Fund Supply and Services Contracts) attached to              Contractor Performance Evaluation
supply and service acquisitions?                             (2) Quality Assurance Surveillance
    (20) In accordance with AR 215-4, 2-14b, is DA           Appointment, Review, and Training of Contract-
Form 4075-R (Contract Clauses – Non-appropriated         ing Officer Representatives (CORs)
Fund Construction) attached to acquisitions for              Surveillance Plans
construction, alterations and repairs?                       Progress and Performance Reports (Construction)
    (21) In accordance with AR 215-4, 2-15, are              Quality Deficiency Reports
NAF acquisitions accomplished using NAF contract             Quality Assurance Files and Documentation
forms?                                                       (3) Special Areas of Contract Administration
    (22) In accordance with AR 215-4, 3-14, were         Delivery Orders (Indefinite Delivery Contracts)
incomplete purchase requests returned within two             Cost Plus Award Fee Contracts
work days for correction of deficiencies?                    Government Property
    (23) In accordance with AR 215-4, 3-14, was              Termination Actions
action being taken on NAF purchase requests within           Administration of NAF Contracts
10 calendar days after receipt in the DOC?                   (4) Organization & Management of Contract
    (24) In accordance with AR 215-4, 1-16, the          Administration
Small Business Act (15 USC 631 et seq.) does not             Contract Administration Team
apply to NAF acquisitions.                                   Internal Procedures


30
                                                                           FORSCOM Pamphlet 715-9


    Plans, Forms, and Automation                             (1) Was a pre-construction or post-award
    b. Post-Award Actions Applicable to all              orientation conference (PAOC) held? (FAR 42.5,
Contract Types. The administration of contracts          FAR 36.212 and FAR 36.522)
entails several fundamental practices and procedures         (2) Was DD Form 1484, Post-award Confe-
which are intended to ensure acceptance of a product     rence Record, or similar locally developed form, used
or service which complies with the delivery, cost and    in conducting the conference? (DFARS 242.503-2)
quality requirements of the contract and the customer;       (3) Was a summary report of the conference
and which result in an accurate, complete record of      prepared, signed, and distributed IAW FAR 42.503-1
contractual activity, business transactions and          and FAR 42.503-3?
contractor performance. The areas covered below              (4) Did the report cover all items discussed,
represent common aspects of contract administration      including areas requiring resolution, controversial
and apply to all types of contracts, regardless of       matters, the names of participants responsible for
contracting method.                                      further actions, and the due dates for the actions?
    c.    Contract File Management.                      (FAR 42.503-3)
    (1) Are contract files and folders properly set up       (5) Were changes to the contract resulting from
and identified? (FAR 4.802)                              the Postaward conference finalized by a contract
    (2) Does the file contain a copy of the contract     modification? (FAR 42.503-2)
distribution list showing offices that should receive        (6) If a letter was used in lieu of a PAOC, does
copies of modifications? (FAR 4.201)                     the file contain a copy of the letter acknowledging
    (3) Does the file contain the original, authen-      receipt and understanding by the contractor? (FAR
ticated or conformed copies of official contractual      42.504)
documents? Are record copies of correspondence or            f.    Bonds and Insurance.
memoranda signed? (DFARS 204.802)                            (1) Are performance and payment bonds
    (4) Are contract files readily accessible to         received from the contractor in the proper form and
principal users? (FAR 4.802)                             amount before issuance of a Notice to Proceed or
    (5) Were completed contracts closed out IAW          start of work? (FAR 28.102-1)
FAR 4.804 and DFARS 204.804-l, and within the                (2) Are surety bonds reviewed by counsel IAW
specified time frames?                                   AFARS 28.106-90?
    (6) Are completed contract files held in the             (3) Is the consent of surety obtained when the
office for a period of 12 months after completion?       contract is modified to increase the contract price by
(DFARS 204.805)                                          more than 25% or $50,000? Is the consent of surety
    d. Documentation.                                    obtained when a novation agreement is executed for
    (1) Does the contract file contain evidence of
the contractor's receipt of contract/Notice of Award?
    (2) Were notices, contracting officer decisions,
and other time-sensitive documents sent certified
mail, return receipt requested? (FAR 9.406-3, FAR
11.403, FAR 33.211)
    (3) Were contractor submittals required by
contract (material submittals, ENG Form 4025-R;
Shop Drawings; Progress Charts, FORSCOM Form
59-R, Contract Progress Schedule and FORSCOM
Form 59-1-R, Contract Progress Report; identifica-
tion of subcontractor, identification of superinten-
dent/manager, veteran's program; quality control plan,
etc.) received and approved and the file so
documented? (FFARS 36.505(100))
    (4) Is documentation of contractor performance
being provided to the contracting officer by the COR
as required by AFARS 53.9001.2(d), if applicable?
    (5) Does the file contain sufficient documenta-
tion in support of each contractual action? (FAR
4.801)
    e.    Post-Award Conferences.



                                                                                                    31
FORSCOM Pamphlet 715-9


contracts that require bonds? (FAR 28.106-5 and               (12) For efforts designed by A-E firms, did the
FAR 42.1204(c)(10))                                       contracting officer determine if changes to
    (4) Is a current insurance certificate in the file    construction contracts were due to an A-E design
for the prime contractor IAW FAR 28.301 and               deficiency? (FAR 36.608 and FAR 36.609-2)
52.228-5?                                                     (13) If the contract contains an assignment of
    (5) Is insurance maintained at dollar levels          claims, was it processed IAW FAR 32.805 and
required by the contract? (FAR 28.307-2)                  DFARS 232.805?
    (6) Does the insurance certificate contain an             h.   Options.
endorsement that cancellation or any material changes         (1) Did the contracting officer issue a determi-
in the policies require 30 days written notice to the     nation stating that exercising the option was in the
contracting officer? (FAR 52.228-5)                       best interest of the government and consider all
    g.    Modifications.                                  appropriate factors IAW FAR 17.207(c)? Was legal
    (1) Is the appropriate authority for the modifi-      review obtained IAW AFARS 1.602-2?
cation (mod) cited in Block 13 of SF Form 30,                 (2) Were preliminary and final notices issued to
Amendment Of Solicitation/Modification Of Con-            the contractor indicating the intent of the govern-ment
tract?                                                    to exercise the option IAW option provisions of the
    (2) For mods resulting in contract price              contract?
increases, are adequate funds certified available prior       (3) Was an SF Form 98 requested for extension
to the contracting officer's execution of the mod?        or exercise of option over $2,500? (FAR 22.1007(b))
(FAR 43.105(a))                                               (4) Did the contracting officer give notice to
    (3) Do mods exceeding $100,000 receive legal          interested parties IAW FAR 22.1008-3(c) if
review IAW AFARS 1.602-2(c)?                              incumbent contractor's or subcontractor's service
    (4) Is field pricing support requested prior to       employees performing on the contract are represented
negotiating a mod resulting from a proposal in excess     by a collective bargaining agreement?
of $500,000? (FAR 15.403-4)                                   (5) Was new Wage Determination incorporated
    (5) Where technical or complicated issues are         into the contract for option period(s)?           (FAR
involved, is the contractor's proposal submitted to the   22.1007(b))
requesting activity for review and comment? (FAR              (6) Does the file show the List of Parties
15.305(a)(3))                                             Excluded from Federal Procurement and Non-
    (6) Do supplemental agreements contain a              procurement Programs was checked prior to
release statement as required by FAR 43.204(c)?           exercising option? (FAR 9.405)
    (7) Was the contingency statement removed by              i.   Sub-Contracts.
mod when funds were made available? (FAR 32.703-              (1) Did the contractor submit SF Form 1413,
2(c)).                                                    Statement and Acknowledgment, for identification of
    (8) Was DD Form 350 accurately and timely             subcontractors IAW FAR 52.222-11(b)?
prepared for every mod obligating/deobligating                (2) Did the contracting officer provide written
$25,000 or more? (DFARS 204.670-2)                        consent to the subcontract IAW FAR 44.202-1 and
    (9) For mods outside the scope of an existing         FAR 52.244-1?
contract:                                                     (3) Does the file show screening of the Lists of
    (a) Was a Justification & Approval (J&A)              Parties excluded from Federal Procurement or Non-
prepared if required? Was the J&A certified and           procurement Programs for subcontractors? (FAR
approved at appropriate levels? (FAR 6.303; FAR           44.202-2(a)(13))
6.304; FFARS 6.3)                                             (4) Was certified cost or pricing data obtained
    (b) Was mod action synopsized if required IAW         when required prior to the contracting officer
FAR 5.201(b)(3)?                                          consenting to subcontracts? (FAR 15.804-2)
    (c) Was DD Form 2579, Small Business                      (5) Does the file show that the contracting
Coordination Record, prepared for new work over           officer ensured subcontracts were placed IAW the
$10,000? (DFARS 219.201)                                  prime contract clauses and provisions related thereto,
    (10) Was a Pre-negotiation Objective Memoran-         including flow-down requirements?
dum (POM) and Price Negotiation Memorandum                    (6) Do contracts valued in excess of $500,000
(PNM) prepared as required? (FAR 15.808)                  for supplies and services and $1,000,000 for
    (11) Did the contracting officer obtain clearance     construction contain the clause at FAR 52.219-9,
from the Office of Federal Contract Compliance            Small, Small Disadvantaged and Women-Owned
Programs (OFCCP) prior to issuing a change order of       Small Business Subcontracting Plan, or a
at least $1 million? (FAR 22.805)


32
                                                                             FORSCOM Pamphlet 715-9


determination by the contracting officer that there are        (2) Are payrolls examined to ensure compli-
no subcontracting opportunities?                           ance with contract labor classifications and rates,
    (7) In CPAF contracts, is the contractor’s             fringe benefits, and hours worked? (FAR 22.406-
compliance/noncompliance with his subcontracting           6(c))
plan reflected in the award fee?                               (3) Are apprentices in an approved program and
    j.    Invoices and Payment.                            is the ratio of journeymen to apprentices satisfied?
    (1) Are customers providing evidence of                (FAR 52.222-9)
receipt/non-receipt of supplies/services to the DOC in         (4) Are overtime premiums at government
a timely manner?                                           expense approved IAW FAR 22.103-4 and DFARS
    (2) Do invoices or payment estimates for               222.103-4? If so, does the file document quarterly
construction contracts contain the contracting officer's   contracting officer reviews of overtime use to assure
approval for payment IAW FAR 52.232-5(e)?                  the continuing validity of the reasons justifying the
    (3) Is there evidence in the payment file that         need for overtime and to support the allowability of
interest charges were incurred due to a breakdown in       the overtime? Is overtime paid for hours over 40 per
the acceptance and approval process?                       week at least 1-1/2 times the basic wage rate, IAW
    (4) Was a release of claims statement received         FAR 52.222-4?
prior to final payment as required by FAR 52.232-              (5) Has a labor compliance check been made
5(h) for construction contracts?                           on-site by the contracting officer, administrator or
    (5) Prior to approving initiation of progress          COR? (FAR 22.406-7(b))
payments, has the contracting officer determined that          (6) Was an SF 98 requested for changes
the contractor’s accounting system and controls are        affecting the scope of service contracts over $2,500?
adequate for proper administration of progress             (FAR 22.1007(b))
payments? (FAR 32.503-3)                                       l.    Claims/Alternate Disputes Resolution
    (6) Does the contracting officer verify percent-       (ADR).
ages completed prior to certifying invoices for                (1) Do claims over $100,000 include the
payment?                                                   contractor certification required by the Contract
    (7) For cost-reimbursement contracts:                  Disputes Act? (FAR 33.207)
    (a) Is the contractor required to submit invoices          (2) Was the contractor's claim processed IAW
or vouchers in sufficient detail to allow the              the “Disputes” clause (FAR 52.233-1) or an
contracting officer to determine the allowability,         alternative method as prescribed at FAR 33.207?
reasonableness and allocability of costs claimed?              (3) Did the contracting officer obtain legal
(FAR 52.216-7; FAR 31.201-2, 31.201-3, 31.201-4)           review of the proposed response to the contractor's
    (b) Are contracts to which Cost Accounting             claim? (AFARS 1.602-2)
Standards (CAS) apply assigned to Defense Contract             (4) Did the contracting officer issue a final
Management Command (DCMC) for CAS adminis-                 decision within the statutory time limitations, IAW
tration only, IAW FAR 30.601?                              FAR 33.211(c)? Does the final decision contain
    (c) Are only items prescribed by the contract          information substantially IAW FAR 33.211(a)(4)(v)?
being claimed by the contractor for reimbursement?             (5) Was the final decision sent by certified mail,
(FAR 16.301-1)                                             return receipt requested? (FAR 33.211(b))
    (d) Has the contractor exceeded the cost ceiling           (6) Have ADR procedures been established for
in the contract without prior contracting officer          post-award disputes and claims?
approval? (FAR 16.301-1)                                       (7) Are after-action reports submitted to HQ
    (e) Is the contractor notifying the government         FORSCOM within 20 days after completion or
when it is expected that costs will exceed 75% of the      termination of ADR proceeding? (CIL 96-10 dated
estimated contract amount during the next 60 days?         20 Dec 95)
(FAR 52.232-20)                                                (8) If the contracting officer rejects a request for
    (f) Are other than small business concerns being       ADR from a small business contractor, is the file
paid no more than once every two weeks for amounts         documented with the reason for non-use IAW FAR
approved by the contracting officer? (FAR 52.216-7)        33.214(b)?
    k.    Labor Compliance.                                    m. Contract Completion.
    (1) Are payrolls submitted within 7 days after             (1) Was final inspection and acceptance made
the regular payment date of the work covered by            by the government for construction contracts? (FAR
prime and subcontractors? (FAR 22.406-6 and FAR            52.246-12)
52.222.8)                                                      (2) Was a DD Form 1594, Contract Completion
                                                           Statement, or local equivalent, used to close out


                                                                                                        33
FORSCOM Pamphlet 715-9


completed contracts? Was the completed form                     (3) Have acknowledgments of COR appoint-
signed by the contracting officer and made a part of        ment notices been returned from the COR and the
the official contract file? (DFARS 204.804-1)               contractor? (AFARS 1.602-2-90)
    (3) Did the COR or technical monitor (TM)                   (4) Are terminations of COR appointments
provide all inspection records to the contracting           issued in writing IAW AFARS 1.602-2-90?
officer upon completion of the contract?                        (5) Does the COR have a copy of the
    (4) Was a copy of the SF 1420, Performance              contractor’s quality control (QC) plan and contractor
Evaluation (Construction Contracts), sent to the Army       staff roster with their duties and responsibilities?
Corps of Engineers for contracts greater than                   (6) Has the COR received formal COR training?
$500,000 or defaulted over $10,000?                 (FAR    Does the contracting officer provide adequate
36.201(a)(i) and (ii) and DFARS 236.201(c)(1)(a))           supplemental or follow-up training to the COR
    n.    Contractor Performance Evaluation.                tailored to the assigned contract(s)?            (FFARS
    (1) Are procedures in place for the preparation         Appendix BBB, BBB-201(d))
of     annual     performance        evaluations     IAW        (7) Does the file reflect that the contracting
FAR/AFARS 42.1502? Are the evaluations being                officer instructed the COR on types of records to be
prepared?                                                   maintained and their distribution? (AFARS 53.9001)
    (2) Has responsibility for performing evalua-               (8) Is the contracting officer or contract
tions been assigned to appropriate personnel? Have          administrator providing guidance to the COR and/or
these personnel been given adequate instructions for        surveillance team on the desired format, content, and
preparing the evaluations?                                  quality of documentation they prepare to ensure that
    (3) Are appropriate measures in place to protect        an adequate record of performance is provided?
access to evaluation information? Are evaluation                (9) Is there a sufficient number of properly
documents marked “Source Selection Information”             trained personnel on hand to perform inspection and
IAW FAR 42.1503?                                            acceptance functions?
    (4) Was the contractor advised of the govern-               q. Surveillance Plans.
ment’s intent to prepare performance evaluations?               (1) Has a quality assurance surveillance plan
Are evaluations provided to the contractor, and has         (QASP) been prepared for the contract IAW DFARS
the contractor been given a minimum of 30 days to           246.102, DFARS 246.470-1, FFARS 46.201 and
submit comments, rebutting statements or additional         Appendix BBB-200?
information? (FAR 42.1503)                                      (2) Did the contracting officer submit the
    (5) Are evaluations and supporting documents            contractor's proposed QC plan to the functional chief
retained for a period of three years? (FAR 42.1503)         for evaluation and approval?
    o. Quality Assurance Surveillance. Appro-                   (3) Did the contracting officer formally approve,
priate measures should be taken on every contract to        in writing to the contractor, the QC plan/program
ensure the government receives complete, timely, and        IAW terms of the contract?
quality contract performance/delivery of its specified          (4) Did the COR/TM monitor any required
requirements at the minimum acceptable cost. To             change to the contractor's QC plan/program. Was the
meet this objective, the contract administration            contractor timely?
activity must effectively utilize its resources to ensure       (5) Does the COR effectively review contractor
that monitoring, surveillance, inspections and              performance to ensure contract compliance? Is the
acceptance are performed commen-surate with the             review IAW the QASP?
importance and/or complexity of the acquisition. The            (6) Are on-site inspections performed in
paragraphs below consider those areas which directly        sufficient frequency and duration to protect the
affect the quality of this function.                        government's interests?
    p. Appointment, Review, and Training of                     (7) Did the COR, TM and/or other functional
Contracting Officer Representatives (CORS).                 personnel review the QASP prior to inclusion in the
    (1) Are CORs appointed in writing IAW                   solicitation? Did the COR review/evaluate the QC
AFARS 1.602-2-90?                                           plan or assist the contracting officer in the plans'
    (2) Did the contracting officer furnish to the          approval? Was the review documented?
contractor the names, duties, responsibilities and              (8) Does the COR/TM recommend revision of
limitations of the COR? Did notification require a          surveillance schedules based upon analysis of
signed acknowledgment of receipt? (AFARS 1.602-             contractor performance and need to increase or
2-90)                                                       decrease surveillance activity?
                                                                r.    Progress and Performance Reports (Con-
                                                            struction).


34
                                                                            FORSCOM Pamphlet 715-9


    (1) Has the contractor submitted a contract               (1) Are delivery orders issued IAW contract
progress schedule IAW contract provisions?                terms? Do delivery order item numbers match the
    (2) Are revised progress schedules obtained           item numbers on the contract schedule?
when performance periods are extended 60 or more              (2) Do files contain a copy of each delivery
days?                                                     order issued? (FAR 4.803(b))
    (3) Do elements of work accurately reflect the            (3) Do files contain a cumulative record of
percentage of contractor effort to do the job?            delivery orders issued so that the total estimated value
    (4) Did the contractor start work within the time     of each year is available for review?
frame specified in the contract or as authorized by the       (4) Were delivery order mods numbered IAW
contracting officer?                                      DFARS 204.7004(d)?
    (5) Did all maintenance and repair work                   (5) Are contract ordering officers used only for
commence prior to 1 Jan of the next year on all           the purposes set forth at AFARS 1.602-2-91?
contracts/delivery orders/calls issued at fiscal year         w. Cost Plus Award Fee Contracts.
end?                                                          (1) Has an Award Fee Plan (AFP) been
    s.   Quality Deficiency Reports.                      established for conducting evaluations and determin-
    (1) Are COR contract discrepancy reports              ing award fee? Has it been signed by appropriate
(CDRs) or quality deficiency reports (QDRs)               functional and contracting representatives?
prepared as required?        Are they supported by            (2) Has an Award Fee Evaluation Board
schedule inspection sheets, Surveillance Activity         (AFEB) been appointed? (AFARS 16.404-2)
Checklist and Tally Checklists?                               (3) Is the AFEB meeting within prescribed time
    (2) For construction contracts, was the               frames of the AFP?
contractor advised in writing that an unsatisfactory          (4) Is the amount of the award fee to be paid
performance evaluation report (SF Form 1420) was          based on a subjective evaluation by knowledgeable
being prepared? (FAR 36.201(a)(3))                        government personnel? (DFARS 216.404-2)
    (3) Does the contracting officer act upon                 (5) Was the file documented with rationale for
adverse COR reports (including CDRs/QDRs)? Is             use of selected conversion chart and copy of HQ
the action taken timely to alleviate or resolve           FORSCOM notification thereof?
discrepancies? Are deductions taken or considera-             (6) Are AFEB meetings and records of
tion received for all improper, poor or failed            contractor debriefings maintained and areas discussed
performance?                                              thoroughly documented for adequate tracking of
    (4) When the contractor is at fault, does the         contractor performance?
contracting officer assure that adequate consideration        x.   Government Property.
is obtained for revising the delivery schedule or other       (1) Has a property administrator (PA) been
contract terms?                                           assigned for every contract involving government-
    t.   Quality Assurance Files and Documenta-           furnished property (GFP)? (FFARS 45.104(a))
tion.                                                         (2) Does the PA maintain a listing of all
    (1) Is the QASP maintained current in the             assigned active and completed contracts? Does the
contract file?                                            PA maintain a contract file or have ready access to all
    (2) Are COR/QAS inspections scheduled on              contracts which are assigned for administration, IAW
COR/QAS Surveillance Schedule?                 Marked     FORSCOM Pamphlet (Pam) 716-6?
“FOUO”? Are inspections documented?                           (3) Has the PA established a Contract Property
    (3) Did the COR document the review/in-               Control Data File and a Property Summary Data
spection of the contractor's QC plan/program?             Record for each assigned contract? Does the file
    (4) Is the file documented to show that the           contain the minimum data required by FORSCOM
contractor's performance was consistently moni-tored      Pam 716-6?
by the COR or other surveillance personnel IAW                (4) Have all contractors with new contracts been
FAR 46.4?                                                 required to submit a written property control system
    u.   Special Areas of Contract Administra-            plan? Was the plan staffed with the appro-priate
tion. The areas below cover contract administration       functional directorates, and their comments
topics which require some measure of specialized          considered prior to approving or disapproving the
knowledge, expertise and/or procedures to ensure          system? (FORSCOM Pam 716-6)
proper consideration and management during the life           (5) Did the PA advise the contractor in writing
of the contract.                                          that the property control system was approved,
    v.   Delivery Orders (Indefinite Delivery             subject to subsequent reviews of the procedures in
Contracts).                                               actual practice? (FORSCOM Pam 716-6)


                                                                                                       35
FORSCOM Pamphlet 715-9


    (6) Is the contractor required to update or revise        (1) For contracts terminated for default, were
the property control system when surveillance             Show Cause/Cure Notices issued IAW FAR 49.607,
indicates weak or nonexistent controls? (FORSCOM          with copy to SBA when small business is involved
Pam 716-6; FAR 45.502)                                    IAW FAR 49.402-3?
    (7) Do the contractor's procedures cover pro-             (2) Was the surety promptly notified of any
perty at secondary locations of the prime contractor,     failure by the contractor to perform? (FAR 49.402-
or at subcontractor locations? (FORSCOM Pam 716-          3(h))
6)                                                            (3) Prior to terminating a contract with
    (8) Did the PA participate in the last contractor     outstanding guaranteed loans, progress or advance
physical inventory to verify that the approved            payments, or small business with Certificate of
procedures were actually used, and spot checking          Competency (COC) or small business loan, was Head
contractor inventory counts? Did the contractor           of Contracting Activity (HCA) approval obtained
provide the results of physical inventories to the PA,    IAW AFARS 49.402-3?
in the prescribed manner? (FAR 45.508-2)                      (4) Was a notice of termination issued to the
    (9) Has the PA reviewed the contractor's actual       contractor IAW FAR 49.102?
usage of government furnished materials, and taken            (5) Was a no-cost settlement agreement
appropriate action when reviews indicate excessive or     executed if conditions at FAR 49.109-4 existed?
unusual consumption?                                          (6) If the settlement proposal totals $100,000 or
    (10) Has the PA discussed DD Form 1662, DOD           more, was it referred to the appropriate audit agency
Property in the Custody of Contractors, with the          for review and recommendations IAW FAR
contractor and provided necessary assistance for its      49.107(a)?
completion?       (FAR/AFARS 45.505-14; DFARS                 (7) If subcontract settlements received for
245.505-14; FORSCOM Pam 716-6)                            approval exceeded $100,000, were they referred to
    (11) Property Control System Surveillance.            the appropriate audit agency for review and
    (a) Has the PA established a schedule for             recommendations IAW FAR 49.107(b)?
conducting a complete system survey for each                  (8) Was a settlement memorandum and PNM
assigned contract, and is the survey being performed      prepared at the conclusion of settlement? (FAR
as scheduled? (FORSCOM Pam 716-6)                         49.110)
    (b) Upon completion of each category or                   (9) Was the settlement agreement executed on
functional area survey, are the critical findings and     Standard Form 30 IAW FAR 49.109 and FAR
recommendations provided to the contractor in             49.602-5?
writing, to include correction target dates? Are              (10) Did the proposal by the surety concerning
follow-up surveys scheduled and conducted in those        completion of the work receive careful consideration
areas found to be deficient, NLT 30 days following        by the contracting officer? (FAR 49.404(b))
the initial finding? (FORSCOM Pam 716-6)                      (11) Did the contracting officer arrange for
    (c) Was the effectiveness of the prime contrac-       completion of the work by awarding a new contract
tor's control over GFP located at secondary sites or at   based on the same plans and specifications,
subcontractor locations evaluated in the system           exercising reasonable diligence to obtain the lowest
survey? (FORSCOM Pam 716-6)                               price available for completion? (FAR 49.405)
    (12) Contractor Liability for GFP.                        (12) Were other courses of action considered in
    (a) Does the PA require the contractor to report      lieu of termination for default when in the
all loss, damage or destruction of GFP as soon as the     government's interest? (FAR 49.402-4)
facts become known to the contractor? (FORSCOM                (13) Did the contracting officer prepare the
Pam 716-6)                                                memorandum required by FAR 49.402-5 explaining
    (b) Does the PA maintain a system which               the reasons for the action taken when a contract was
identifies all loss, damage or destruction of property    terminated for default?
and which reflects the status of the PA's assessment of       (14) Did the contracting officer make written
the contractor's liability? Does the PA initiate an       demand for excess re-procurement cost from the
immediate investigation of each case of loss, damage      defaulted firm upon repurchase? (FAR 49.402-6)
or destruction of property? (FORSCOM Pam 716-6)               (15) If the government is entitled to liquidated
    (c) Does the system require referral of liability     damages under the terms of the defaulted contract,
assessments to the contracting officer for determina-     did the contracting officer promptly ascertain and
tion of contractor liability? (FORSCOM Pam 716-6)         make demand for any such damages? (FAR 49.402-
    y.    Termination Actions.                            7)
                                                              z.   Administration of NAF Contracts.


36
                                                                             FORSCOM Pamphlet 715-9


    (1) Is DA Form 4073 used to modify or amend                (17) Were     terminations     for   convenience
an acquisition? (AR 215-4, 4-26a)                          attempted on a no-cost to either party basis IAW AR
    (2) Are Cure Notices sent IAW AR 215-4, 7-             215-4, 7-24?
26?                                                            (18) Were terminations for default accom-plished
    (3) Are Change Orders issued IAW AR 215-4,             IAW AR 215-4, 7-25?
7-5?                                                           aa. Organization and Management of
    (4) Are Constructive Changes issued IAW AR             Contract Administration. Effective and efficient
215-4, 7-6?                                                contract administration is usually the result of a
    (5) Does the contracting officer provide written       planned, systematic approach that successfully
notice to the contractor of the decision to exercise the   organizes and integrates the various elements of post-
option clause? (AR 215-4, 7-3)                             award contracting. It includes the practice and
    (6) Does the contracting officer make a                promotion of the team concept, open communica-
determination to exercise the option based on price,       tions, cooperation and coordination. It includes the
failure to produce a better price or a more                use of sound business practices and procedures;
advantageous offer, informal analysis of current           labor, cost and time saving tools and mechanisms;
market prices and other factors? (AR 215-4, 7-3f(2))       and flexibility and innovation in obtaining quality
    (7) If the decision was made to reject the item,       performance or delivery that meets the needs of
did the contracting officer notify the contractor of the   customer. The topics covered below are indicative,
reason for rejection and give him the opportunity to       but not all inclusive, of methods that enhance the
correct the problem, if correction could be made           effectiveness and efficiency of post-award contract
within the required delivery schedule? (AR 215-4, 5-       management. Other effective methods observed
66b)                                                       during the CMR should be noted.
    (8) Is the contract file documented to reflect that
a rejection occurred, the basis on which the items
were rejected, and the corrective action taken? (AR
215-4, 5-67b)
    (9) If the decision was made to accept the item,
did the contracting officer seek an equitable
adjustment and negotiate any other adjustment
necessary? (AR 215-4, 5-66b)
    (10) Is the determination to accept or reject non-
conforming items based on reason and extent of
nonconformance, advice and recommendation from
the receiving activity, the nature and extent of the
contractual adjustment? (AR 215-4, 5-66a)
    (11) Are contract disputes and appeals accom-
plished IAW AR 215-4, Section II, 7-11 through 7-
20?
    (12) Are NAF protests handled by an Appropri-
ated Funds contracting officer accomplished in
accordance with FAR, Subpart 33.1 and its supple-
ments? (AR 215-4, 4-40a(2))
    (13) Are contractor’s requests for correction of a
mistake in bid after award accomplished IAW AR
215-4, 4.46.2?
    (14) Are performance evaluations for NAF
entertainment contracts accomplished IAW AR 215-
2, 3-29?
    (15) Are ratification of NAF unauthorized
commitments accomplished in accordance with AR
215-4, 1-24?
    (16) Do NAFIs remain impartial and refrain from
conciliation, mediation, or arbitration in labor
disputes between the contractor and its employees?
(AR 215-4, 2-7)


                                                                                                      37
FORSCOM Pamphlet 715-9


     bb. Contract Administration Team.                    the contract file? Are they being followed? Are
     (1) Has the contracting officer formed a contract    CAPs updated as necessary?
administration team (CAT) to administer each                  (3) Have checklists been developed and are they
complex/high cost contract? Is the contracting officer    in use in the COR and QAS activities?
ensuring that contract administrators establish               (4) Do self-inspection checklists contain out-
systematic review schedules and procedures for            dated and/or invalid items and references?
assigned contracts?                                           (5) Are procedures established to enable the
     (2) Does the CAT meet to discuss contract            Director to closely monitor the status of unpriced
problems/status? Are minutes prepared and signed by       change orders? (FAR 43.204(b)(3))
the contracting officer? Does the DOC attend critical         (6) Are milestones established for monitoring
CAT meetings?                                             unpriced change orders, to include: (a) obtaining a
     (3) Does the contracting officer hold progress       claim or proposal for an equitable adjustment from
meetings with the contractor when this is called for by   the contractor; (b) preparing a negotiation objective
the contract? Were minutes prepared and distri-           memorandum; (c) completing negotiations; (d)
buted?                                                    preparing a negotiation memorandum; and (e)
     (4) Does the contracting officer meet with or        executing a supplemental agreement?
otherwise communicate with the functional user to             (7) How many contract claims were filed during
assess the customer’s satisfaction with contract          the past quarter and past fiscal year? What issues
performance or progress? Are procedures in place to       were involved and what, if any, remedial measures
receive, evaluate, and follow-up on customer (end-        were undertaken? To what extent was the SJA
user) comments or complaints?                             involved?
     (5) Did the contracting officer conduct a quality        (8) How many Contracting Officer's Final
assurance (QA) orientation with surveillance              Decisions were issued during the past quarter and
personnel before start of contract performance? Did       fiscal year? What issues were involved? How many
it include a review of the QASP, QA contract clauses,     were appealed to the ASBCA or Court of Federal
quality audit trail, quality control (QC) plan, report    Claims?
format and frequency, and other guidance as                   (9) Is workload data being analyzed in relation
appropriate? (FFARS Appendix BBB-201)                     to original estimates? Are contract adjustments being
     cc. Internal Procedures.                             implemented?
     (1) Are internal office procedures established           (10) Is a roster of CORs maintained?
which promote efficient contract management and
administration?                                           3-14. Commercial Items
     (2) Have SOPs, responsibility matrices, internal         a.   objective. To maximize the use of custo-
control (job) checklists and lines of communications      mary commercial marketplace practices in the
been developed by/for the CAT members? Are they           acquisition of commercial items IAW the provisions
each knowledgeable of their team members and              of FAR/DFARS Part 12.
responsibilities? Do contract administrators have             (1) Was the description of the government’s
individual plans which indicate monthly perfor-mance      needs stated in terms sufficient to allow the conduct
by them of “scheduled on-site” inspections, results       of market research? (FAR 10.002(a))
and follow-up action required?           Analyze the          (2) Was market research conducted to deter-
availability and suitability of SOPs and flow charts in   mine if commercial items or non-developmental items
contract administration and quality assurance             were available to meet the government’s needs or
surveillance.                                             could be modified to meet the government’s needs?
     (3) Are cross references, checklists and/or          (FAR 10.002)
similar aids used to facilitate organization, location        (3) Did market research identify the customary
and accessibility of contract documents?                  business practices relating to the item/service being
     dd. Plans, Forms, and Automation.                    procured? (FAR 10.002)
     (1) Is a contract administration plan (CAP)              (4) Were the results of market research used for
prepared for every contract in excess of $100,000?        the appropriate determinations in accordance with
(FFARS Appendix BBB-101) Is it tailored to the
contract? Has the plan been fully implemented?
(FFARS Appendix BBB)
     (2) Where CAPs exist, did the ACO approve
prior to award of contract? Are CAPs maintained in



38
                                                                           FORSCOM Pamphlet 715-9


FAR 10.001(a)(3)? Does the file contain docu-            clauses delineating the rights in technical data
mentation of the market research?                        included as an addenda to the solicitation and
    (5) Did market research cover the information at     contract? (FAR 12.211)
FAR 10.002 and any other information specific to the         (18) Were the following provisions and clauses
item being acquired? (FAR 10.002(b)(1))                  included in the solicitation and resultant contract
    (6) If market research established that the          IAW FAR 12.301(a) and (b):
government’s needs could be met by a type of item            (a) 52.212-1, Instructions to Offerors-Commer-
available in the commercial marketplace, were the        cial Items
policies and procedures at FAR Part 12 used? (FAR            (b) 52.212-3, Offeror Representations and
10.002(d)(1))                                            Certifications-Commercial Items
    (7) Were the results of the market research              (c) 52.212-4, Contract Terms and Conditions-
documented in a manner appropriate to the size and       Commercial Items
complexity of the acquisition? (FAR 10.002(e))               (d) 52.212-5, Contract Terms and Conditions
    (8) If market research established that the          Required to Implement Statutes or Executive Orders-
government’s needs could not be met by a type of         Commercial Items
item or service available in the commercial                  (19) When use of evaluation factors was
marketplace and publication of the notice at FAR         appropriate did the contracting officer include the
5.201 is required, did the contracting officer include   provision at 52.212-2, Evaluation-Commercial Items
the notice to prospective offerors that the government   or a similar provision containing all evaluation factors
does not intend to use Part 12 for the acquisition?      required by 13.106-1, Subpart 14.2 or 15.6 as an
(FAR 10.002(d)(2))                                       addendum? (FAR 12.301(c))
    (9) If it is determined that an item or service          (20) Were other FAR provisions and clauses used
available in the commercial marketplace can satisfy      consistent with the limitations contained in FAR
the government’s needs, did the contracting officer      12.301(e)?
use FAR Part 12 for the acquisition?             (FAR        (a) The FAR 16.505 clauses included when an
12.102(a))                                               indefinite-delivery type contract is contemplated?
    (10) Was the SF 1449 used by the contracting             (b) Provisions and clauses prescribed in FAR
officer when issuing written solicitations and           17.208 or paragraph (b) of 52.212-2 included when
awarding contracts for commercial items expected to      the use of options is in the government’s interest?
exceed the simplified acquisition threshold? (FAR            (c) Provisions and clauses contained in Part 23
12.204)                                                  included when the use of recovered material may be
    (11) Where technical information is necessary for    appropriate?
evaluation of offers was existing product literature         (21) Were the appropriate DFARS clauses used
used in lieu of unique technical proposals? (FAR         as prescribed? (DFARS 212.301)
12.205)                                                      (22) Was the provision at 52.212-1, Instructions
    (12) Were offerors allowed to propose more than      to Offerors - Commercial Items, and the clause at
one product in response to solicitations for             52.212-4, Contract Terms and Conditions -
commercial items? Was each product evaluated as a        Commercial Items tailored IAW results of market
separate offer? (FAR 12.205(b))                          research? Was tailoring to adapt the acquisition to
    (13) Was past performance (from a wide variety       the market conditions within limitations of FAR
of sources both inside and outside the government)       12.302(a)?
considered in the evaluation and award? (FAR                 (23) Were the following paragraphs of the clause
12.206)                                                  at 52.212-4, Contract Terms and Conditions not
    (14) Was either a firm-fixed-price or fixed-price    tailored IAW FAR 12.302(b):               Assignments;
with economic price adjustment contract used to          Disputes; Payment; Invoice; Other Compliance’s; and
acquire commercial items? (FAR 12.207)                   Compliance with laws unique to government
    (15) Was the contractor’s existing quality           contracts?
assurance system relied on as a substitute for               (24) Was a waiver approved by the HCA IAW
government inspection and testing before tendering       FAR 12.302 (c) and DFARS 212.302(c) to include
items for acceptance? (FAR 12.208)                       tailored clauses or additional terms and conditions in
    (16) Were the policies and procedures in Part 15     a solicitation or contract that were inconsistent with
used to establish reasonableness of price? (FAR          customary commercial practices for the item being
12.209)                                                  acquired?
    (17) Where the contract required the delivery of         (25) Was tailoring accomplished by addenda to
technical data, were the appropriate provisions and      the solicitation/contract IAW FAR 12.302(d)?


                                                                                                      39
FORSCOM Pamphlet 715-9


    (26) Does block 27(a) of the SF 1449 indicate if         (31) Was legal counsel consulted prior to
addenda are attached IAW FAR 12.302(d)?                  terminating for cause IAW FAR 12.403(b)?
    (27) To the maximum extent practicable, were             (32) Was a cure notice sent to the contractor prior
solicitations and contracts assembled using the format   to terminating a contract other than for late delivery?
at FAR 12.303?                                           (FAR 12.403(c))
    (28) Was the acceptance paragraph in FAR                 (33) When a termination for cause was used, did
52.212-4 generally used when acquiring noncomplex        the contracting officer send the contractor written
commercial items? (FAR 12.402(a))                        notification to comply with FAR 12.403(c)(3)?
    (29) Were other acceptance procedures used as            (34) Were the procedures at FAR 12.403(d) used
appropriate for complex commercial items? Were           when terminating for the government’s con-venience?
commercial items used in critical applications               (35) Were offers evaluated IAW evaluation
included as an addendum to ensure adequate               factors contained in the solicitation? (FAR 12.602)
protection of the government’s interest? (FAR                (36) If using a written solicitation, was a
12.402(b))                                               combined synopsis/solicitation used to reduce the
    (30) Were the procedures at FAR 12.403 used          time required to solicit and award the contract IAW
when terminating contracts?                              FAR 12.603? Did the established response time
                                                         allow a reasonable opportunity for the prospective
                                                         offeror to respond?




40
                                                                                  FORSCOM Pamphlet 715-9




APPENDIX A
Sample Notification Letter




AFLG-PR (715)                                                                           <date>


MEMORANDUM FOR Commander, <installation>, <address>

SUBJECT: Contracting Management Review (CMR)


1. The FORSCOM PARC Office will conduct a CMR of the Fort <installation> Directorate of Contracting (DOC)
during the period <dates>. Reviewers will use FORSCOM Pamphlet 715-9, “A Guide for Success”, <date> for the
review.

2. The Director of Contracting should brief the CMR Team on <date> using relevant topics at enclosure. The Team
will conduct an out-brief for your staff at <time> on <date>. Attendance at both briefings is open to any/all members
of the DOC staff that you wish to include.

3. For the CMR Team to be of maximum assistance to your office, we need to have available a copy of the current
organization chart showing office structure and staffing (job titles, grades, incumbent names), and the following (for
FY xx and FY xx):

   a. Number and dollar total of Simplified Acquisitions by type, e.g., blanket purchase agreement calls, purchase
orders, delivery orders, and purchase cards.

   b. Number and dollar total of contracts executed, broken out by quarter and type, e.g., services, supplies,
construction.

   c. The IFB/RFP and Contract registers which include, at a minimum, the solicitation/contract number,
description/nomenclature for each contract, dollar amount, and contractor name.

   d. Summary of unauthorized commitments brought to the attention of the Director Of Contracting. Summary
should include nature of UAC, dollar value, unit involved, and final disposition.

   e. Listing of blanket purchase agreements, authorized callers, and ordering officers.




                                                                                                            41
FORSCOM Pamphlet 715-9


AFLG-PR
SUBJECT: Contracting Management Review (CMR)


4. The FORSCOM Non-appropriated Fund (NAF) Analyst will accompany the team to perform a CMR of NAF
Contracting. For NAF actions performed in the DOC, please have available the applicable data listed in paragraph 3.

5. We recommend you take advantage of our visit to seek help on any contracting-related problem(s)/issue(s) you
may have. Please describe the problem(s)/issues(s) in writing and fax to us (FAX DSN 367-6247) or email <email
address> by <date>.

6. We will need sufficient work space for six people and access to a current set of acquisition regulations. Please
schedule an out-brief with the Garrison Commander or designee for the morning of <date>, following the out-brief to
your staff, if possible. We will also in-brief your Commander on <date> if he desires. We request you schedule
courtesy visits for the Team Chief with your major customers and provide us with the name and phone number of a
major off-post customer prior to the CMR. Team chief will be <name>.

7. <Name/DSN> can provide additional information on the CMR.




Encl                                                  <Name>
as                                                    Colonel, AC
                                                      Chief, Contracting Division
                                                      Principal Assistant Responsible
                                                       for Contracting




42
                                                                               FORSCOM Pamphlet 715-9


                                           TOPICS FOR DOC IN-BRIEF
                                           TO FORSCOM CMR TEAM


I.         Mission                                             - $ and % of Small Business
           - Mission Statement                                 - Use of Purchase Card
           - Supported Units
                                                         V. Deputy Assistant Secretary of the Army
II.       Organization                                   (Procurement Areas of Interest
       - Current Structure                                  - Strategic Planning
       - Turnover                                           - Metrics
       - Overtime                                           - Performance Based Contracting
       - Training Status                                    - Contracting Career Management
       - Intern Program                                     - Acquisition Reform Initiatives
       - Contingency Contracting Program                    - Best Value Contracting
                                                            - Automation of Contracting Offices
III.       Customer Relations                               - Undefinitized Contractual Actions
       -   Customer Education
       -   Customer Service Initiatives                  VI.       Miscellaneous (As applicable)
       -   Advance Acquisition Planning                        -   Commercial Activities
       -   Unauthorized Commitments                            -   Significant Events/Projects (Present & Planned)
                                                               -   Problem Areas/Successes
IV. Statistics                                                 -   What PARC/FORSCOM Can Do for You
   - Monthly Obligations (Current or most recent
FY)                                                      VII Self -Assessment
   - Workload (Broken out by Simplified                     - Methodology
acquisitions and Formal Contracts)                          - Findings/Observations
   - Average PALT/CALT for SAP and Contract                 - Recommendations
Actions                                                     - Plan for implementation of recommendations
   - Competition Program
   - Percentage for current or most recent FY




                                                                                                        43
FORSCOM Pamphlet 715-9



APPENDIX B-1
Instructions for Completion of Rating Form


1. Prior to the out-briefs, each team member will provide the Team Chief two to five strengths/weaknesses (ups
and down) along with their overall rating for the functional area reviewed. Any special laudatory comments should
also be noted.

2. The Team Chief is responsible for completing the Rating Form and including bullet type assessments of
strengths and weaknesses. The bullet assessments should be brief and entered on the form for each area rated.

3.   The form should be typed, if possible. Handwritten is acceptable if neat and legible.

4.   The Team Chief should sign and date the form.




44
                                                           FORSCOM Pamphlet 715-9



APPENDIX B-2
FORSCOM Contracting Management Review


                         FORSCOM CONTRACTING MANAGEMENT REVIEW
                                  Fort xxxxxxxx, -DD/MM/YY

OVERALL RATING: OUTSTANDING/ABOVE AVERAGE/SATISFACTORY/MARGINAL/UNSATISFACTORY
*****************************************************************
I. MANAGEMENT AND ADMINISTRATION:

     UPS             DOWNS




II. SIMPLIFIED ACQUISITIONS:

     UPS             DOWNS




III. FORMAL CONTRACTS:

     UPS             DOWNS




IV. CONTRACT ADMINISTRATION:

     UPS             DOWNS




V. NON-APPROPRIATED FUND PROCUREMENTS:(Accomplished by the DPCA)

     UPS             DOWNS




                                              TEAM CHIEF
                                              (Name)




                                                                             45
FORSCOM Pamphlet 715-9



APPENDIX C-1
Contracting Management Review (CMR) In-Brief for Garrison Commander



                             CONTRACTING MANAGEMENT REVIEW (CMR)

                                                    IN-BRIEF

                                                       FOR

                                          GARRISON COMMANDER


This is a courtesy call and occurs only if the Garrison Commander wishes.

Attendees: Garrison Commander, Director of Contracting and the Team Chief

Discuss the following:

1. The purpose and objectives of the CMR.

2. The composition of the CMR Team.

3. That the CMR will be conducted IAW FORSCOM Pamphlet 715-9, Forces Command Contracting Management
Review Guide.

4. Discuss the rating scheme (Outstanding, Above Average, Satisfactory, Marginal, Unsatisfactory).

5. Advise the Commander that three separate ratings will be given: Overall DOC rating, NAF Procurement
accomplished by DPCA, and Legal Support (optional).

6. It will basically be a compliance review. However, assistance will be provided on an as needed basis and if
requested.

7. We will be looking for innovation and good business practices as well as systemic problems.

8. Emphasis is on assistance to the DOC; not a witch hunt for findings.

9. We will visit key customers such as the DOL and DPW.

10. We will out-brief the Garrison Commander on the last day of the CMR and provide a one page rating summary.
Leave him a blank of the one page summary at this time (Appendix B-2).




46
                                                                                    FORSCOM Pamphlet 715-9



APPENDIX C-2
Contracting Management Review In-Brief for Directorate of Contracting (DOC)


                                  CONTRACTING MANAGEMENT REVIEW

                                                   IN-BRIEF FOR

                                  DIRECTORATE OF CONTRACTING (DOC)


This in-brief is held upon arrival of the CMR Team at the DOC

Attendees: Full CMR Team and the Director of Contracting and his/her supervisory staff


1. DOC presents briefing to CMR Team.

2. Team Chief introduces team members and states the area each will work in.

3. Conduct of CMR:

    a. Advise that CMR has no hidden agenda and will be conducted as outlined in CMR Guide. Reiterate the
items discussed with the Garrison Commander.

    b. State purpose and objectives of the CMR.

4. Advise that team members will update appropriate supervisor each day and Team Chief will update the Director.

5. Verify who to see for files and if team members talk to workers with or without the supervisor present.

6. Identify customers to be visited and ask the Director to arrange the time for each visit.

7. Administrative Matters. If not covered in DOC briefing to the team, clarify the following:

    -   Office Hours
    -   Location of Rest Rooms
    -   Availability of Coffee and Cost
    -   Statement of non-availability of government housing
    -   Any information requested in our notification letter




                                                                                                             47
FORSCOM Pamphlet 715-9



APPENDIX D-1
Contracting Management Review (CMR) Out-Brief for Directorate of Contracting (DOC)


                              CONTRACTING MANAGEMENT REVIEW (CMR)

                                                  OUT-BRIEF FOR

                                  DIRECTORATE OF CONTRACTING (DOC)

This out-brief is usually held on the morning of the last day of the CMR and, if possible, prior to the out-brief for the
Garrison Commander.

Attendees: Full CMR Team, the Director of Contracting and his/her Supervisory Staff, other staff at option of the
Director.


1. Advise attendees of overall DOC rating. It should be stressed in the out-brief that the rating is tentative and
subject to change either up or down.

2. Provide Director the one page assessment to be provided to the Garrison Commander.

3. Each team member will identify any special laudatory comments and major areas deserving recognition and
discuss the major strengths/weaknesses of the functional area evaluated.

4. Depending on the overall rating, each sub-element need not be addressed unless specifically requested by the
Director. For example, if the overall rating is satisfactory, only those sub-elements receiving greater or less than
satisfactory should be addressed.

5. Any finding/observation that will be addressed in the final CMR report should be discussed briefly. No major
discussion is necessary because the team member should have previously advised and discussed the finding with the
Division Chief/Supervisor of the functional area being reviewed.

6. If during the conduct of the CMR any issues arise which require policy/training by the PARC office, these issues
will be identified to the attendees.

7. Advise attendees that the CMR report will be completed within 30 calendar days and forwarded to their Garrison
Commander with a response required 60 calendar days after receipt, unless otherwise specified in the report.




48
                                                                                 FORSCOM Pamphlet 715-9



APPENDIX D-2
Contracting Management Review (CMR) Out-Brief for Garrison Commander


                             CONTRACTING MANAGEMENT REVIEW (CMR)

                                                OUT-BRIEF FOR

                                          GARRISON COMMANDER

The out-brief will be held at the convenience of the Garrison Commander, preferably on the last day of the CMR
following the out brief to the Directorate of Contracting.

Attendees: Garrison Commander, Director of Contracting, and the Team Chief. The PARC will attend if on-site.


1. Advise the Garrison Commander of the overall rating given the DOC. Advise him also of the rating for NAF
Procurement accomplished by DPCA and Legal Support. It should be stressed in the out brief that all ratings are
tentative and subject to change either up or down.

2. Make any special laudatory comments and any specific areas deserving recognition.

3. Describe the major strengths/weaknesses (ups and downs).

4. Provide the one page written assessment and results of the CMR (Appendix B-2).

5. Advise the Garrison Commander that the CMR report will be completed within 30 calendar days and forwarded
to the installation with response required 60 calendar days after receipt unless otherwise specified in the report.




                                                                                                           49
FORSCOM Pamphlet 715-9




APPENDIX E                                      CMR + 22 Days    Draft Report Due to Mgmt
CMR Milestones                                                   TL

30 July FYxx     Submit Schedule to PARC        CMR + 24 Days    Mgmt TL Returns Report for
                 for FYx+1                                       Corrections or Final

15 August FYxx   Publish CMR Schedule           CMR + 27 Days    TC/AO Makes Final
                                                                 Corrections and Submits
CMR - 60 Days    Send Notification to DOC                        Report Thru Mgmt TL to
                                                                 PARC
CMR - 14 Days    Finalize Team Composition
                                                CMR + 30 Days    Report Approved and
CMR - 7 Days     Team Chief (TC)Meets with                       Released
                 PARC and Team Members
                                                CMR +40 Days     Lessons Learned due to
CMR +4           SIGACT due                                      Mgmt Team Leader

CMR + 7          KCI Due                        DOC Receipt +    DOC Response Due to PARC
                                                60 Days          (Mgmt Team tracks)
CMR + 12 Days    Team Member (TM) Input
                 Due to Team Leader (TL)        PARC Receipt +   Team Member Reclama to
                                                10 Days          TC
CMR + 14 Days    TL Submits to CMR TC
                                                PARC Receipt +   TC Submits Reclama Thru
CMR + 16 Days    Input to Action Officer (AO)   20 Days          Mgmt TL to PARC for
                 for Preparation of Report                       Release

CMR + 19 Days    Draft Report to TC             CMR + 180 Days   Follow-up CMR, if Required




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                                                                                                FORSCOM Pamphlet 715-9




APPENDIX F
Blue Print For A High Performance DOC

            Blue Print for a High Performance DOC


            Director of High                                                       High Performance DOC
             Performance DOC                                                   is A Certain Kind of Employer


                        Leader                                                                Consider
                vs.                                                                          Well-Being
                      Manager                                                                    of             Provide
                                        Shared                                                Employees           Good
                                        Vision                                                                    Work
          Has                                                                     Create                      Environment
                             DOC                                                                     DOC
        Measurable                                                                 High
          Goals                                      High Performance             Morale
                                                                                                       Aggressively
                                         Cares       DOCs Relate Well                                     Pursue
                     Strives             about
                       for              People         to Customers                    Professionalize   Training

                    Continual                                                               Their
                   Improvement                                                            Workforce


                                                                Educate
                                                               Customers



                                                 Implement
                                                    TQM       DOC
                                                 Principles


                                                                    Customer

         High Performance DOCs                                      Focused

          Have A Certain Kind                                                      High Performance DOCs
             of Organization                                                        Do Smart Contracting

                                                                                         Maximum
                                                                                                           Credit
                                                                                       Competition
                                     Offers                                                                Card
                  NAF                                                                       (Few           Program
                                     Maximum                                                 J&As)
           Procurement                                                              High
                                     Career                                                                          Meet or
                under                                                              Review                            Exceed
                  DOC              Progression
                                                                                   Results                           All Goals
                             DOC                                                                     DOC
                                                                                  Minimum                        Actions
            Totally                                                                                              IAW
                                     Have                                        Protests and                    Regulations
           Automated               Trained                                         Claims               Active
                and                                                                            Use
                                   Military                                                             Contract
            Use EDI                   KOs                                                      JOC
                                                                                                        Admin
                                                                                            Contracts
                                                                                                        Program




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FORSCOM Pamphlet 715-9



APPENDIX G
Centurion and the DOC

The “Centurion” program was inaugurated in 1995 by             (2) Customer Satisfaction and Relationship
the FORSCOM Inspector General as the primary              Enhancement.
Command tool for assessing the effectiveness by each           c. The DOC’s Input: Contract partnerships and
FORSCOM installation in performing its mission and        councils; collocation of employees in customer
meeting the needs of its customers. The total             organization; customer education and support
installation is evaluated by self-assessment; separate    programs; acquisition teams (contracting, legal, and
functional activities are evaluated only to the extent    functional); customer surveys (including feedback
that they contribute to performance of the overall        and response); DOC Contracting Workshops; Process
mission.      Centurion uses seven major criteria         Improvement Procedures (internal and external);
categories adapted from the Malcolm Baldrige              terminals for contractors in bid rooms; SAACONS
National Quality Award. The seven categories              terminals in customer activities.
integrate each organization’s overall customer and        Category 4.0 - Information and Analysis:
operational performance requirements, and are                  a. Criteria: Management and use of data and
applicable to virtually any size, type of mission or      information.
scope of activities. The following matrix is provided          b. Subcategories:
as a guide for identifying those acquisition processes,        (1) Selection and Use of Information and Data.
actions, and measurement approaches which is used              (2) Selection and Use of Comparative Informa-
by leadership and plays an integral part in the           tion and Data.
installation’s mission, and where they may be                  (3) Analysis and Review of Company Perfor-
addressed under the seven (7) Centurion performance       mance.
criteria categories and subcategories.                         c. The DOC Input: SAACONS - what data is
Category 1.0 - Leadership.                                collected, what the data is used for, who the data is
     a. Criteria.     Organization’s senior leaders’      shared with; quality checks to determine value of
support and participation in quality efforts.             collected data, both internal and external; use,
     b. Subcategories:                                    coordination, measurement and benefits of all data to
     (1) Leadership System                                determine the outcome of the desired product or
     (2) Company Responsibility and Citizenship           service.
     c. The DOC Input. Installation Acquisition           Category 5.0 - Human Resource Development &
Planning Board chaired by senior leadership;              Management.
leadership involvement in DOC sponsored activities             a. Criteria: Management and development of
with business and community activities; DOCs role in      people.
supporting leadership’s goal and objectives.                   b. Sub-categories:
Category 2.0 - Strategic Planning.                             (1) Work Systems.
     a. Criteria: Planning process for long and short          (2) Employee Education, Training and Deve-
terms goals, objectives, requirements.                    lopment.
     b. Subcategories:                                         (3) Employee Well-Being and Satisfaction
     (1) Strategy Development Process                     c. The DOC Input: DAWIA – Training/Certifica-
     (2) Company Strategy                                 tion Program; Awards Program; internal quality
     c. DOC Input: Processes and products that            checks for improvement of employee perfor-
support the command’s mission, including                  mance/well being; cross-training and professional
Contingency Plans; Mobilization Plans; Contractor         development of employees.
Strike Plans; Advanced Acquisition Plans;                 Category 6.0 - Process Management.
Acquisition Reform Strategic Plans; and Major                  a. Criteria:    Organization’s overall process
Contract Transition Plans (BASOPS and Total               management.
Contracted Functions).                                         b. Sub-categories:
Category 3 - Customer and Market Focus.                        (1) Management of Product and Service Pro-
     a. Criteria: All facets of external customer         cesses
contacts: surveys, requirements development,                   (2) Management of Support Processes
feedback, and products and services.                           (3) Management of Supplier and Partnering
     b. Sub-categories:                                   Processes
     (1) Customer and Market Knowledge.


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                                                                       FORSCOM Pamphlet 715-9


    c. The DOCs Input: Internal review process            a. Criteria: Reporting, comparing and bench
(“CMR Guide”); Contract Management Review             marking of organization’s key products or services.
process; Reengineering Initiatives/Issues; contract       b. Sub-categories:
management and services; oversight processes/             (1) Customer Satisfaction Results.
procedures; Pre-award Plans (Formal Source                (2) Financial and Market Results.
Selections, Pre-negotiation Objective Memorandum,         (3) Human Resource Results.
and Price Negotiation Memorandum); Post Award             (4) Supplier and Partner Results.
Plans (Award Fee Plans, Property Administration           (5) Company-Specific Results.
Plans, Contract Administration Plans, Quality             c. The DOC’s Input: Number of success-fully
Assurance Surveillance Plans); collocation of         competed contracts; tracking of CALT/PALT;
employees in customer organizations; benchmark of     savings tracked and reported on contract actions;
processes performed in other DOCs; management of      costs procedures and results of how tracked; trend
contractor Past Performance Information System;       analysis of awards, protests, Congressionals;
description of qualifications process for major       procurement reporting; contractor performance
contract suppliers; integrity and fairness of         evaluations; contractor past performance reports; any
competitive process.                                  procurement status reporting.
Category 7 - Business Results.




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FORSCOM Pamphlet 715-9



APPENDIX H
Legal Support

GENERAL. This section describes the areas the                 b. The following topics should be covered with
FORSCOM legal representative will review:                the Principal Attorney:
     a. Article 6 Oversight                                   (1) Is there backup and continuity in contract
     b. Legal Reviews                                    legal support?
     c. Written Communications                                (2) What acquisition law advice is planned for
     d. Procurement Fraud                                pre-deployment and deployment?
     e. Legal Research Assets                                 (3) Has the OSJA provided instruction for
     f. Training                                         members of the command on irregular acquisitions
     g. DOC Staff Interviews                             and fiscal law matters?
ARTICLE 6 OVERSIGHT: In conducting the                        (4) Has the OSJA briefed procurement officials
CMR, the team will include a FORSCOM attorney,           on Procurement Integrity?
who will assess the provision of acquisition legal            (5) How many bid protests were filed during the
support (ALS) following the most recent Article 6        past quarter and fiscal year? How many sus-tained?
checklist promulgated by the Judge Advocate              What issues were involved and what remedial
General.      Specifically the working relationship      measures were undertaken? To what extent was the
between the contracting office and its principal         OSJA consulted and involved?
assigned attorney(s) will be assessed, as well as the         (6) How many contract claims were filed during
frequency and quality of ALS as evidenced by the         the past quarter and past fiscal year? What issues
participation of legal counsel in the procurement        were involved and what, if any, remedial measures
process. The Staff Judge Advocate (SJA) should be        were undertaken? To what extent was the OSJA
interviewed to determine the emphasis on ALS, the        consulted and involved?
working relationship between the SJA and both the             (7) How many Contracting Officer's Final
principal contract law attorney(s) and the contracting   Decisions were issued during the past quarter and
office.                                                  fiscal year? What issues were involved? How many
     a. The following topics should be covered with      were appealed to the ASBCA or Court of Federal
the SJA:                                                 Claims? To what extent was the OSJA involved or
     (1) Is the SJA involved in acquisition issues?      consulted?
     (2) Is the SJA comfortable that adequate legal           (8) What is the general attitude of the com-mand
support is available?                                    group and staff concerning acquisition law issues?
     (3) Is the SJA prepared to discuss contract types   What actions has the SJA taken to foster sensitivity to
with his commander?                                      acquisition law issues?
     (4) Does the SJA generally take an interest in           c. The following topics should be covered with
procurement matters?                                     the Contracting Office:
     (5) Has the SJA visited the contracting office?          (1) Is there an active Commercial Activities
     (6) Is there backup and continuity in contract      (CA) Program at the installation? What is the status
legal support?                                           of the program? How is it organized? Does the
     (7) How is the Acquisition Law Specialty            contracts lawyer participate fully?
Program viewed by the SJA and other JAs? What                 (2) Does the SJA generally take an interest in
interest is expressed in the specialty, the LL.M         procurement matters?
program?                                                      (3) Does the contracting officer know who his
     (8) How closely does the SJA monitor acquisi-       lawyer is? (In this regard, does the contracting
tion law advice?                                         officer view “his” lawyer as part of the contracting
     (9) Has the Office of the SJA (OSJA) provided       team or merely another obstacle to overcome? How
instruction for members of the command on irregular      often does the lawyer visit the contracting office?
acquisitions and fiscal law matters?                     How well do contracting office personnel get along
     (10) Has the SJA briefed procurement officials      with the lawyer?)
on Procurement Integrity?                                     (4) Is the installation anticipating any signifi-
     (11) What is the general attitude of the            cant procurement of Information Technology (IT)
command group and staff concerning acquisition law       within the coming year?
issues? What actions has the SJA taken to foster              (5) Has the SJA office briefed procurement
sensitivity to acquisition law issues?                   officials on Procurement Integrity?


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                                                                             FORSCOM Pamphlet 715-9


     (6) How many contracts, and what percent-age          (services, supplies, construction, and IT) expected to
of annual contract dollars, were awarded during the        exceed $100,000?.
last quarter of the fiscal year? Could any have been            c. Does the OSJA review significant decisions
awarded earlier with advance planning?                     during the acquisition process involving legal issues,
     (7) How many bid protests were filed during the       e.g., determinations of non-responsiveness or non-
past quarter and fiscal year? How many sustained?          responsibility, determinations regarding alleged
What issues were involved and what remedial                mistakes in bids, and any other issues potentially
measures were undertaken? To what extent was the           affecting the propriety of the proposed award?
OSJA consulted and involved?                                    d. Does the OSJA review solicitations in
     (8) How many contract claims were filed during        amounts under $100,000?
the past quarter and past fiscal year? What issues              e. Are clauses reviewed for compliance with
were involved and what, if any, remedial measures          DFARS 201.304?
were undertaken? To what extent was the OSJA                    f. Are acquisitions for leasing, operation and
consulted and involved?                                    maintenance or repair of motor vehicles and aircraft
     (9) How many Contracting Officer's Final              reviewed?
Decisions were issued during the past quarter and               g. Are acquisition plans reviewed? (AFARS
fiscal year? What issues were involved? How many           1.602-2(c)(iv)(A))
were appealed to the ASBCA or Court of Federal                  h. Are J&As reviewed?            (AFARS 1.602-
Claims? To what extent was the OSJA involved or            2(c)(iv)(B)).
consulted?                                                      i. Does the lawyer tell the contracting officer
     (10) What is the general attitude of the              how to correct legally insufficient contract actions?
command group and staff concerning acquisition law         (AFARS 1.602-2(c)(iii)).
issues? What actions has the SJA taken to foster                j. Does the SJA review Non-appropriated fund
sensitivity to acquisition law issues?                     contracts? (AR 215-4, 1-4c and 1-13(a)).
     (11) Has the acquisition portion of the mobili-            (1) Solicitations/contracts expected to exceed
zation plan been reviewed and revised?                     $100,000.
     (12) How many contracts were awarded during                (2) Awards that may result from unsolicited
the past quarter and past fiscal year other than by full   proposals.
and open competition? What percentage of total                  (3) Decisions on disputes, protests, appeals and
contracts awarded and total dollars were involved in       termination’s.
these awards?                                                   (4) Suspension and debarments.
LEGAL REVIEWS. It is Army policy that lawyers                   (5) Blanket Purchase Agreements.
will be fully involved in the procurement process. In           (6) The FOIA requests.
some instances legal review is mandatory; at other              (7) Concessionaire, professional service, and
times, the OSJA should be consulted to the extent that     amusement company contracts.
legal counsel is available.          Most FORSCOM               (8) Ratification’s.
installations will have at least two procurement                (9) All requests for use of other than firm-fixed
qualified lawyers who can assist the contracting staff.    price contracts.
Lawyers should encourage contracting officers to                k. Does the OSJA participate on contract
seek their advice even if there is no regulatory           writing teams?
requirement that they do so for the issue concerned.            l. Does the OSJA review all actions that
(AFARS 1.602-2).                                           require HCA approval?
     a. Is the OSJA involved in procurement                     m. Does the OSJA participate in POM/PNM
planning? (AFARS 1.602-2(c)(i)).                           preparation and review completed POMs/PNMs?
     b. Does the OSJA review solicitations                      n. Does the OSJA participate fully in all steps
                                                           of a negotiated contract?
                                                                o. What is the extent of legal participation in
                                                           the administration of contracts?
                                                                p. Are there local government contract train-
                                                           ing programs? Does the OSJA participate?




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FORSCOM Pamphlet 715-9


WRITTEN COMMUNICATIONS:                                          h. The DA Pam 27-154, Contract Law.
      a. Are files indexed and well-organized?                   i. The Army Lawyer.
      b. Are opinions clear and concise? Does the                j. The Military Law Review.
attorney provide helpful advice in addition to                   k. The FFARS.
commenting on strictly legally insufficient matters.             l. The DFAS-IN 37-1, Army Accounting and
      c. Are briefs for Trial Attorneys Litigation          Fund Control.
Files and Bid Protest Files thorough (facts, issues,             m. Army regulation 415-35, Minor Construc-
law) and well-written? (This brief will usually be the      tion, Emergency Construction, and Replacement of
first thing the Contract Appeals Division (USALSA)          Facilities Damaged or Destroyed.
or Contract Law Division (OTJAG) Attorney reads).                n. Army regulation 215-4, Non-appropriated
      d. Is legal advice correct?                           Fund Contracting (MWR Update Pam).
      e. Is legal advice provided in a timely manner?            o. Most recent DOD Authorization Act,
(There are no strict guidelines on this, but five work      Appropriations Act, and Military Construction Act
days per routine action is a reasonable goal.)              (U.S. Code Cong'l and Admin. News).
      f. How many actions, requiring written                     p. The DOD IG Publications, Indicators of
responses, are generally filed per quarter?                 Fraud in DOD Procurement and Handbook on Labor
PROCUREMENT FRAUD PROGRAM. The SJA                          Fraud Indicators.
should be aware of the following areas of concern:               q. The WESTLAW and LEXIS access.
      a. Does the installation have a designated                 r. Are loose leaf-bound FAR/DFARS/AFARS
Procurement Fraud Advisor?                                  sets up to date?
      b. Has this person received training?                      s. Are Acquisition Letters and Contract
      c. Has the SJA conducted training for the             Information Letters filed?
DOC?                                                        TRAINING. All lawyers must keep abreast of the
      d. Does CID have agents trained in the                latest developments in the law. Whether it is to meet
investigation of economic crimes?                           State CLE requirements or to keep current, lawyers
      e. How are relations between the CID/FBI and          should regularly attend courses. The JAG School
the local U.S. Attorney?                                    provides procurement courses throughout the year.
      f. Are procurement personnel sensitive to             The ABA, State and Federal Bars, Federal
procurement fraud indicators?                               Publications, Inc., and other organizations also
      g. Are there any on-going investigations and          provide useful courses. The courses listed below are
are any suspensions or debarments proposed?                 representative. All contract lawyers should have
      h. Is there a procurement fraud SOP?                  completed at least the 2-week contract course offered
LEGAL RESEARCH ASSETS. In addition to the                   by the JAG School. We strongly encourage attending
procurement regulations (FAR/DFARS/AFARS),                  the following courses (particularly Fiscal Law):
SJA offices should have secondary legal research                 a. Contract Lawyers Course.
sources. The SJA offices do not need all of the                  b. Contract Claims, Litigation, and Remedies.
following resources, but all of them are useful. Of              c. Procurement Fraud.
particular importance are the titles at a, c, e, h, k, l,        d. Government Contract Law Symposium.
and m:                                                           e. Advanced Acquisition Course.
      a. United States Code.                                     f. Fiscal Law.
      b. Federal Register.                                  CONTRACTING STAFF INTERVIEWS. The
      c. Comptroller General Procurement Deci-              FORSCOM lawyer will be working with other
sions (CPD).                                                members of the FORSCOM CMR Team during its
      d. Federal Procurement Decisions (FPD).               visit. The FORSCOM legal representative will ask
      e. Boards of Contract Appeals Decisions               various members of the DOC staff (and possibly
(BCA).                                                      DOC customers, such as DOL) about the quality of
      f. Government Contracts Reporter (CCH).               legal support. The FORSCOM lawyer will out brief
      g. Formation of Government Contracts and              the SJA.
Administration of Government Contracts by Nash and
Cibinic.




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                                              FORSCOM Pamphlet 715-9


APPENDIX I
Areas of Special Interest for FYs 98 and 99




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