Hickey, Jr. et al v. Chadick et al

Filing 31

ORDER denying 20 Motion for Leave to File Surreply; granting 30 Motion for Leave to File Reply to Defendants' E-mail Submission; denying 9 Motion to Dismiss for Lack of Jurisdiction; deferring ruling on 9 Motion for Summary Judgment. Signed by Judge James L Graham on August 12, 2009. (Attachments added on 8/13/2009: # 1 Defense Logistics Acquisition Directive, # 2 Excluded Parties List) (bw)

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DLAD PART 9 DLAD PART 9 SUBPART 9.1 - RESPONSIBLE PROSPECTIVE CONTRACTORS 9.104-1 General standards. 9.104-1(e)(90) Use clause 52.209-9014, Vehicle Registration and Operations, for base 9.105 Procedures. 9.105-1 Obtaining information. 9.105-2 Determinations and documentation. 9.106-1 Conditions for preaward surveys. 9.106-2 Requests for preaward surveys. 9.106-3 Interagency preaward surveys. 9.106-4 Reports. 9.106-90 DLA preaward survey monitors. 9.106-91 Capability surveys for workshops for the blind and other severely handicapped. everely hand han SUBPART 9.2 - QUALIFICATIONS REQUIREMENTS 9.202 Policy. 9.203 QPLs, QMLs, and QBLs 9.203 (a)(90) 9.203 (a)(91) 9.203 (a)(92) 9.207 Changes in status regarding qualification requirements. rding qualific q SUBPART 9.3 - FIRST ARTICLE TESTING AND APPROVAL E TESTING A T 9.306 Solicitation requirements. n requireme ts equireme 9.306-90 Solicitation requirements for production lot test. Solicita 9.307 Reserved Reserved 9.308-1 Testing performed by the contractor. 9.308-2 Testing performed by the Government. 9.308-2 (90) 9.390 Compatibility testing. 9.391 Government fit verification testing. 9.390 Compatibility testing. 9.391 Government fit verification testing. SUBPART 9.4 - DEBARMENT, SUSPENSION, AND INELIGIBILITY 9.404 Parties Excluded from Procurement Programs. 9.404-90 9.404-91 9.405 Effect of listing. 9.405-1 Continuation of current contracts. 9.406 Debarment. 9.406-3 Procedures. 9.406-90 Procedures for debarments based on poor performance. 9.407 Suspension. ast L iew V db e Gra y mC ha mb ha rs 8 e - -09 13 http://farsite.hill.af.mil/reghtml/regs/other/dlad/PART09.htm (1 of 40) [8/13/2009 9:13:11 AM] DLAD PART 9 9.407-3 Procedures. PART 9 CONTRACTOR QUALIFICATIONS TABLE OF CONTENTS Part 9 SUBPART 9.1 - RESPONSIBLE PROSPECTIVE CONTRACTORS 9.104-1 General standards. 9.105 Procedures. 9.105-1 Obtaining information 9.105-2 Determinations and documentation. 9.106-1 Conditions for preaward surveys. 9.106-2 Requests for preaward surveys. urveys. Gra 9.106-3 Interagency preawardysurveys. eaward s award db e 9.106-90 DLA preaward survey monitors. preawew reaward i ard st V surveys for workshops for the blind and other 9.106-91 La Capability Cap severely handicapped. SUBPART 9.2 - QUALIFICATIONS REQUIREMENTS 9.202 Policy. 9.203 QPLs, QMLs, and QBLs. 9.207 Changes in status regarding qualification requirements. SUBPART 9.3 - FIRST ARTICLE TESTING AND APPROVAL 9.306 Solicitation requirements. 9.306-90 mC ha mb ha rs 8 e - -09 13 http://farsite.hill.af.mil/reghtml/regs/other/dlad/PART09.htm (2 of 40) [8/13/2009 9:13:11 AM] DLAD PART 9 9.307 Government administrative procedures. 9.308 Contract Clauses. 9.390 Compatibility testing SUBPART 9.4 - DEBARMENT, SUSPENSION, AND INELIGIBILITY 9.404 Parties Excluded from Procurement Programs. 9.405 Effect of listing. 9.405-1 Continuation of current contracts. 9.406 Debarment. 9.406-3 Procedures. 9.406-90 Procedures for debarments based on poor performance. ance. 9.407 Suspension. 9.407-3 Procedures. ham SUBPART 9.1 - RESPONSIBLE PROSPECTIVE CONTRACTORS RESPONS ESPONS Gra by 9.104-1 General standards. d dards. rds. e iew contracts are awarded to responsible prospective (c)(90) Assuring that Assuring t suri V tg contractors s tora necessitates the maintenance of contractor performance history and s ne n L development of criteria for its use. Occasional quality deficiencies in contractor performance may be unavoidable, but if the defects are of a critical or repetitive nature and the contractor is not amenable to taking corrective action, such circumstances, may constitute support for finding a prospective contractor nonresponsible for award of contracts. Results, both positive and negative, from the System for the Analysis of Laboratory Testing (SALT) program, and other applicable quality history records, such as those from the Quality Evaluation Program (QEP) and from the Customer Depot Complaint System (CDCS), should be included in the contracting officer's determination and documentation of contractor responsibility. Contractor quality performance records will not be limited to product quality deficiencies, but also will include discrepancies due to inadequate packaging, improper or missing documentation, overages, shortages, misdirected or damaged shipments, and similar discrepancies. Individual and summary records of actions taken will be maintained for review by management. If there are overriding reasons for awarding a contract to a supplier who has an unsatisfactory quality history, the contract file will be documented accordingly, and a Quality Assurance Letter of Instruction (QALI) shall be submitted to the activity responsible for ham C ers b -09 3 8-1 http://farsite.hill.af.mil/reghtml/regs/other/dlad/PART09.htm (3 of 40) [8/13/2009 9:13:11 AM] DLAD PART 9 Government acquisition quality assurance at source or destination. (c)(91) Contracting offices will maintain appropriate documentation to facilitate assessment of contractor's recent delivery performance. Contracting personnel should utilize performance data on both currently active and recently closed awards (if available) in responsibility determinations and when considering contractors for placement on the DLA Contractor Alert List (CAL). Absent identifiable positive corrective action, poor past performance indicates poor future performance. Documentation of contractor-caused delinquencies should serve as sufficient evidence to substantiate a nonresponsibility determination. (For procedural consequences of that determination with regard to small businesses, see, generally, FAR 19.6 and DFARS 219.6.) A supplier's repeated refusal to perform purchase orders issued in accordance with small purchase procedures may also be used as a basis for not awarding future contracts. Since inaccuracies in delivery data may occur, performance histories should be reviewed and furnished to the contractor before serious actions are taken. Overall delivery performance data shall be based on ship dates not receipt dates, due to problems in obtaining timely receipt data. 9.104-1(e)(90) Use clause 52.209-9014, Vehicle Registration and Operations, for base tions, ions, support acquisitions involving installation access to the Defense Logistics o the Defe Agency facility located in Richmond, Virginia. C m Drug Administration (FDA) has (g)(90) Standards for drugs. The Fooda and he he an ahcertain medical items (predominantly cognizance of all quality aspects of aspects o p r drugs) in accordance with the DoD-FDA Interagency Agreement on Drugs, dated 17 with thy D eG December 1975. At the request of DSCP, FDA will review the capability of a the reques req db e supplier to produce w p oduce drugs and biologics of an appropriate quality whenever i e dr such an item is pending. It is within the discretion of acquisition by V ion t DS on s DSCP of to rely upon FDA conclusions regarding the capability the contracting officer traa i tracti Lct of such offerors to meet required quality standards. A determination by FDA of unsatisfactory quality based on regulatory action shall necessitate a mandatory rejection of the offer by the contracting officer. (90) The "Defense Logistics Agency Contractor Alert List" (CAL) is a monthly listing of suppliers who may require special evaluation before a determination of responsibility can be made. The list is provided to contracting offices by the Defense Contract Management District East (DCMDE) based on input from all Defense Contract Management Districts (DCMDs) and other contracting offices. Suppliers are added to the list when they are recommended for a preaward survey (PAS) by a contract administration office (CAO) for a particular reason. Contracting officers shall consider the DLA CAL as they would other similar data related to contractor performance. Appearance on the list (or any other indication of questionable prior performance, as set forth in 9.106-1(a)(90)(1) through (9)) does not mean a supplier is nonresponsible, but it puts the contracting officer on notice to consider carefully and deliberately the need for additional steps in making a responsibility determination in individual cases. (Any questions pertaining specifically to the Alert data should be mb ha rs 8 e - -09 13 http://farsite.hill.af.mil/reghtml/regs/other/dlad/PART09.htm (4 of 40) [8/13/2009 9:13:11 AM] DLAD PART 9 directed to the PAS monitor at the CAO that has cognizance over the contractor involved, rather than to the contracting officer.) 9.105 Procedures. 9.105-1 Obtaining information. (90) The Excluded Parties List System (EPLS) is the official, mandatory source for identifying contractors that are ineligible for award. DLA buying activities shall ensure that data in the EPLS and information on the Defense Contractor Review List (DCRL) are consistent. Whenever updates are made to the EPLS (i.e., when contractors that have been identified as debarred, suspended, proposed for debarment, or otherwise ineligible for award are added to (or removed from) the EPLS), notification shall be provided to the DCRL Monitor requiring identical updates to the DCRL. (91) When making determinations of responsibility, Acquisition Specialists shall -- (1) Comply with all requirements in FAR 9.105-1; (2) Review the DCRL (see 9.105-1(92) and comply with DCRL Special Attention th DCRL Sp Treatment Codes in BSM SAP; and (3) Refer to on-site procedures to determine whether application of any of the termine wh erm w following additional tools is mandatory: ndatory: (i) Contractor Performance History (CPH). (See 9.105-1(92)(3).) e History His d b Financial Reports. Acquisition Specialists e (ii) Dun and Bradstreet (D&B) radstreet adstreet (preaward) may submit requests for D&B information to the Industrial ay submi sube im w V Specialist. st ist. La Gra y mC ha mb ha rs 8 e - -09 13 (A) D&B Reference Plus provides the Acquisition Specialist (preaward) a firm's D&B rating (if D&B has rated the company). The Rating or Composite Credit Appraisal (CCA), with a brief explanation of that Rating Code, provides information relative to whether the contractor has adequate financial resources, or the ability to obtain them, to perform the contract. (B) If a contractor is not listed, or is listed but not rated, and there are financial concerns about the contractor and/or the contract is a very high dollar value and complex long-term contract, a report may be ordered in accordance with on-site procedures. (iii) Contractor General Files. Refer to on-site procedures for required content and DSC focal point responsible for maintaining file. Contractor General Files include delivery performance data on both active and recently closed awards. (iv) Pricing Branch Files. Refer to on-site procedures. http://farsite.hill.af.mil/reghtml/regs/other/dlad/PART09.htm (5 of 40) [8/13/2009 9:13:11 AM] DLAD PART 9 (v) Quality History. When a detailed review of a contractor's past quality performance is desired and a preaward survey (PAS) is not being contemplated, the Acquisition Specialist (preaward) may request a quality history from the Product Specialist in accordance with on-site procedures. If a preaward survey is being contemplated, the Acquisition Specialist (preaward) shall follow onsite procedures for requesting the quality portion of the preaward survey. (92) Defense Contractor Review List (DCRL). (1) Maintenance and dissemination. (i) The DCRL Monitor is responsible for maintaining the DCRL. The DCRL provides information to the acquisition workforce that has been collected related to a contractor's performance. A contractor listed on the DCRL has been referred to the DCRL Monitor-- (A) To be included on the DCRL as debarred, suspended, proposed for debarment, or otherwise ineligible for award, in accordance with the EPLS; or s 8 or by viewing the (ii) The DCRL is accessible through the DPACS "Vendor" icon; "Vendor" ber "DCRL" Field in DPACS and the "Choose Awardee" am rdee" screen (Functions<Plan scr Award<Choose Awardee). The DCRL Field identifies contractors by CAGE Code that d identifi iden Ch are on the DCRL. Personnel who do notam access to DPACS may request a hard do not have hav copy of the information, which will h mirror the information contained in DPACS h m ra DCRL field. Detailed information will be controlled and obtained from the DCRL f rmation rmation iG y Monitor. db e iew OFFICIAL USE ONLY." Information contained in the DCRL (iii) The DCRL V "FOR DCRL is " is shall be protected from improper disclosure. e prote (2) Effect of listing. (i) Acquisition Specialists (preaward) shall comply with BSM SAP Special Attention Treatment Codes, both "Required" and "Recommended". Acquisition Specialists (preaward) shall not make award decisions inconsistent with DCRL Treatment Code requirements; unless the DCRL Monitor is consulted, higher-level approval is obtained, and the rationale is fully documented in the contract file. (ii) The BSM DPACS DCRL includes contractors that are undergoing close scrutiny by all three Defense Supply Centers (DSCs). The BSM DCRL is enterprise-wide, with reason and treatment codes from all three DSCs. Generally, Acquisition Specialists shall apply the codes designated by the supply chain to which they are assigned, as experience has shown that vendor performance varies widely from one supply chain to another; however, Acquisition Specialists (preaward) shall consult the DCRL Monitor if clarification is needed. (B) For investigation, and the DCRL Monitor has found sufficient evidence to icient evi warrant implementation of a control action in DPACS DCRL. CRL. -09 13 http://farsite.hill.af.mil/reghtml/regs/other/dlad/PART09.htm (6 of 40) [8/13/2009 9:13:11 AM] DLAD PART 9 (iii) The DCRL includes contractors that are identified in the EPLS as debarred, suspended, proposed for debarment, or otherwise ineligible for award. In the event of an inconsistency, the EPLS data takes precedence over DCRL data. (A) For contractors identified as debarred, suspended, or proposed for debarment, consult the DSC focal point for debarred/suspended contractors (refer to on-site procedures.) (B) See 9.405(92) for policies to preclude ineligible contractors from receiving contracts. (iv) The DCRL shall not be used as a "BLACKLIST". Contractors on the DCRL shall still be considered for solicitation (except when the Special Attention Treatment Code is "08" (see 9.105(92)(6)(i)(B)). (v) Information on the DCRL may or may not be sufficient to determine a contractor nonresponsible. It is possible for a contractor that is on the DCRL to be determined responsible. (3) Contractor Performance History (CPH). When the BSM SAP Special Attention Special A Treatment Code SAP Description states "Review Contractor Performance History," Performa refer to on-site procedures for the procedures for requesting a CPH. The requesting ques completed CPH will include specific actions recommended for the current commended mmended procurement. (4) Examples of referrals to the DCRL Monitor. DCRL Monit (i) Notifications requiring that contractors be added to (or removed from) the ng ng that c DCRL, consistent with the most recent EPLS updates; h the most (ii) Notifications requiring that contractors be added to the DCRL when there cations r is suspected fraud, unauthorized product substitution, counterfeit material, ected fra fr collusion, unauthorized foreign items, etc.; and an investigation has been on, u initiated. The notification includes specific instructions for Acquisition Specialists (preaward and postaward) to follow in the event of award; (iii) Referrals for investigation of a contractor (e.g., when the contractor has had several confirmed PQDRs; when a contractor has requested multiple cancellations, etc.). (5) Reviewing/updating information on DCRL. (i) The DCRL Monitor shall periodically review each contractor listed on the DCRL to ensure the information is accurate and up to date. When conducting a review, the DCRL Monitor contacts appropriate acquisition personnel to validate that previously reported conditions still exist. If the DCRL Monitor recommends a contractor be removed from the DCRL and acquisition personnel disagree, the acquisition personnel shall provide information to justify retention of the contractor on the DCRL. (ii) Acquisition Specialists (preaward and postaward) shall contact the DCRL http://farsite.hill.af.mil/reghtml/regs/other/dlad/PART09.htm (7 of 40) [8/13/2009 9:13:11 AM] iew V db e Gra y mC ha mb ha rs 8 e - -09 13 DLAD PART 9 Monitor if they become aware of circumstances that may warrant changes to DCRL information. (iii) Contractors shall be removed from the DCRL when the DCRL Monitor determines-- (A) The conditions that warranted their inclusion on the DCRL no longer exist or have substantially improved; and/or (B) e DCRL Monitor determines that information provided by acquisition personnel is not sufficient to justify retention of the contractor on the DCRL. (6) Information in DPACS DCRL consists of reason/treatment codes, the date the contractor was placed on the DCRL, and a brief recommendation/instructions narrative. (i) BSM Reason and Treatment Codes. BSM Reason and Treatment Codes representing recommendations/instructions are ations/ins cited for each vendor/CAGE Code listed. The purpose of these recommendations/ ose th instructions is to provide visibility of known/potential areas of concern and wn/potenti actions that shall be taken to address such issues. When a preaward survey ch issues , Certi Ce results in a negative recommendation, a Certificate of Competency is required when a small business is involved. The only instances of "do not award" involve ed. on cases of debarment, suspension, and proposed debarment; except as otherwise n, p ud Monito Monitor i directed by the DSC Fraud Monitor (refer to on-site procedures). d b Codes. (A) Special Attention e tention Reason R Re iew V For DCRL Code tA -- (NOTE: In the SAP Debarment Status Column, a "D" is entered L as L for Debarment, a "P" is entered for Proposed Debarment/Suspension, and an "S" rm rm SAP Description DPACS Help Text Gra y mC ha mb ha rs 8 e - -09 13 is entered for Suspended) SAP Special Attention Reason Codes A Suspended or Debarred Debarred, Suspended or Otherwise Ineligible. This category includes firms or individuals that are ineligible for federal procurements due to a suspension, proposal for debarment or debarment pursuant to FAR 9.4. Recommended For Debarment or Suspension. This category includes contractors that have been recommended for debarment or suspension. Although these contractors are not ineligible for award, special procedures are required. B Recommended for Debarment http://farsite.hill.af.mil/reghtml/regs/other/dlad/PART09.htm (8 of 40) [8/13/2009 9:13:11 AM] DLAD PART 9 C Responsibility Matters Certification Regarding Responsibility Matters. This category includes contractors that have certified in accordance with FAR 52.209-5 that they have had a criminal conviction or civil judgment for fraud in the past three years or are currently indicted or otherwise criminally or civilly charged with fraud. Termination for Default. Contractors in this category have been terminated for default within the previous twelve months. Financial Difficulties (Including Chapter 11 Bankruptcy). Contractors are included in this category when information is received from DCMA or other sources that indicates the contractor is having financial difficulties. Such difficulties include contractor indebtedness that may jeopardize ract o timely completion of the contract or contractor application for reorganization or reorgan reorgan s (Chapter under bankruptcy laws (Chapter 11). clude fo Information may include formal bankruptcy s, inf notifications, or information informally from cre obtained from credible sources. D Termination for Default Financial Difficulties E F Chapter 7 Bankruptcy G e itiw PreAward g tNeVa ve Las Survey DCMA Imposed Corrective Action db e y mC aha Gr usiness Cl Business Closings (Including Chapter 7 Bankrup Bankruptcy). This category includes contractors and individuals who have ceased con business operations, are in the process of liquidating under bankruptcy laws (Chapter 7), or are otherwise going out of business. mb ha rs 8 e - -09 13 Negative Preaward Survey. Contractors are included in this category when a preaward survey (PAS) that recommends no award has been received within the last twelve months DCMA Has Imposed Corrective Action. Contractors are included in this category when DCMA has found deficiencies in the contractors' quality system and has imposed a Corrective Action (CAR) Level III or IV Review DCMA "Alerts" System. DCMA has relevant information concerning contractors in this category. Delinquent Performance. This category includes contractors that have exhibited a pattern of delinquencies. H I In DCMA Alert System Delinquent Performance J http://farsite.hill.af.mil/reghtml/regs/other/dlad/PART09.htm (9 of 40) [8/13/2009 9:13:11 AM] DLAD PART 9 K "Buy-Ins" or "Bid Shopping" "Buy-ins" and "Bid Shopping." This category includes contractors that have had excessive cancellations, price increases and requests for modification after award. These practices indicate a "buy-in", "bid shopping", or other unacceptable bidding practices. (1) "Bid shop after award" that result in frequent inability to furnish supplies in accordance with the quotation that led to the award. (2) Submit frequent requests for deviations or waivers, clarification, and substitution of part numbers, most of which lacks substance but prevents compliance with the original delivery date. (3) Frequently return purchase orders for price increase. (4) Frequently cancel purchase orders just prior to due date in an apparent effort to reduce its delinquency rate. (5) Take advantage of dv a purchase order that is not legally binding t legall on the contractor until acceptance or start acceptanc of performance. Pricing Discrepancies (Excessive prices). epancies ( Contractors are in this category when rs information indicates prices may not be fair rmation in ion and reasonable. nd reason reas L Pricing Discrepancies M Fast Pay Discrepancies es es N st V La Potentially iew db e a Ch am Fah Pay Discrepancies/Abuse Contractors are st Fast a Grincluded in thiscontractorwhenviolating or y evidence that a category is there is has violated the Fast Pay procedure (e.g., contractor has invoiced the government without shipping the supplies). Potentially Defective Material. The DoDIG has issued notifications regarding potentially defective material supplied by contracts in this category. Counterfeit Material and Unauthorized Product Substitution. Contractors in this category are under surveillance by the Counterfeit Material/Unauthorized Product Substitution (CM/UPS) Team. Nonconforming Supplies. This category includes contractors for which evidence has been provided that a contractor has supplied nonconforming material, has supplied surplus material without quoting surplus material, has supplied foreign material without identifying country of origin, or has other questionable quality practices. rs 8 e mb -09 -13 Defective Material O Counterfeit Material and Unauthorized Substitution Nonconforming Supplies P http://farsite.hill.af.mil/reghtml/regs/other/dlad/PART09.htm (10 of 40) [8/13/2009 9:13:11 AM] DLAD PART 9 Q Failure to Provide Approved Part Failure to Provide Approved Part. This category includes contractors that have a pattern of supplying unapproved parts or making an unauthorized substitution for CAGE code/part numbered items. Miscellaneous (Other Information). This category serves as an informational category providing contracting personnel with current status of administrative changes, business closings, transfer of ownership, change of location, change of CAGE code, multiple contractors at the same location or any other information that may assist in the decision process. See the "Remarks" section of the DCRL for instructions. Sensitive Information. Specific instructions apply to contractors listed in this category. These instructions are not necessarily related to responsibility and sibili the reason for placement in this category in c may not be divulged due to sensitivity. The due to sen "Remarks" section of the DCRL may contain a n the D point of contact for information regarding ntact act these contractors. Sensitive information ntractors ntractors regarding these contractors shall not be arding the disclosed to unauthorized persons. disclose R Miscellaneous S Sensitive Information T U V W mC aha Delinquent on Substantially Delinquent on Delivery r Delivery Reduction Reduction Incentive/Delivery Evaluation ReductioG ducti n y Factor Awards. db e Stoppage Work Stoppage. Work ew Sto i Stop Vpected Fraud or Suspected Fraud or Collusion/Deceptive astSus Business Practices. L Collusion Contractor Report No Receipt of PO Reserved Reserved Contractor Reported for Non-Receipt of Purchase Order. Reserved Reserved mb ha rs 8 e - -09 13 Combined CAGE Codes Combined CAGE Codes. Performance history for two or more CAGE codes have been combined for ABVS purposes. X Y Z (B) Special Attention Treatment Codes. SAP Special Attention Treatment Codes 01 SAP Description DPACS Help Text Reserved Reserved http://farsite.hill.af.mil/reghtml/regs/other/dlad/PART09.htm (11 of 40) [8/13/2009 9:13:11 AM] DLAD PART 9 02 03 04 05 06 Evidence of AID MFR Part Number Reserved Withhold Fast Pay Recommended Recom PAS > SAT/ Verbal < SAT Fraud Monitor Coordination Required Source Inspection Recommended Do not solicit or award Review Contractor Performance History For Part Numbered items, get evidence item was acquired from Manufacturer cited in the AID Reserved Withholding of Fast Pay recommended Recommend Preaward Surveys for large buys/ verbal preaward surveys for simplified buys Forward any proposed awards through Fraud Monitor Source Inspection recommended (use of source inspection evaluation factor authorized after formal notification to contractor) Do not solicit or award Review Contractor Performance History (CPH) 07 08 09 10 11 12 13 14 -09 Business 3 Report suspected material problems to Report Suspect rial probl 8-1 Material to Fraud Integrity (Fraud) Counsel Counse ers Monitor mb a Coordinate with Coordinate with DCMA Ch DCMA m CARha Level IV, approval required for award Corrective Action Le a Report Level IV Gr IV approval required l requiry eq bed d Bilaterale Award Bilateral Award email contractor's name and A wFraud Emaile CAGE, contract/purchase order no., and NSN to Email to it tV Monitor Mo sMonitor a Coordinate Mods Fraudaward Coordinate all administrative L Post with Fraud Monitor actions (modifications) with Fraud Monitor or Fraud Counsel Deter Resp/ Nonresp required CAGE Combined for ABVS Info Coordinate Cost and Price Office Report to Fraud Counsel Coordinate with Office of Counsel Refer to DCRL Narrative Detail Prepare formal determination of responsibility/ nonresponsibility This CAGE Code has been combined with other CAGE codes for ABVS purposes (For Informational Purposes Only) Coordinate with Cost and Price Office Report to Business Integrity (Fraud) Counsel Coordinate with Office of Counsel Refer to DCRL Narrative for details 15 16 17 18 19 20 http://farsite.hill.af.mil/reghtml/regs/other/dlad/PART09.htm (12 of 40) [8/13/2009 9:13:11 AM] DLAD PART 9 21 22 23 24 25 26 27 28 29 30 Reserved Recommend no DRI/ DEF awards Coordinate Indust Prep Monitor Reserved Reserved Recommend Price Reasonableness Suspend Automated Awards Reserved Reserved Reserved Reserved Recommend no delivery reduction Incentive/ Delivery Evaluation Factor Awards Coordinate with Industrial Preparedness Monitor Reserved Reserved Recommend documentation of price reasonableness Suspend from Automated Systems (case by case basis) Reserved Reserved 9.105-2 Determinations and documentation. (a) Determinations. 8scritical/repetitive r (1)(90) If a contractor's quality deficiencies are bea of es nature and the contractor has not taken corrective action, this information may orrectim orrective ave be used as a basis for a nonresponsibility Ch bility determination. Contractor quality lity de de performance deficiencies can include product quality deficiencies, clude prod ham discrepancies due to inadequate packaging, improper or missing documentation, te packa pack ra overages, shortages, misdirected or damaged shipments, and/or other similar irect G irected y discrepancies. db e iew that award will be made to a contractor that has a (91) If it is determined is determ dVer et questionable quality history but cannot be determined non-responsible, the nable t nable q Las Acquisition Specialist (preaward) shall-- ion (A) Document the contract file; (B) Revise Inspection and Acceptance (I&A) terms to specify that I&A shall take place at source; and (C) Forward a referral to the Product Specialist in accordance with on-site procedures, requesting a Quality Assurance Letter of Instruction (QALI). The Product Specialist shall submit the QALI to the activity responsible for Government quality assurance. (92) Adverse performance history shall always be well documented. (93) Awards proposed to vendors who are designated DCMA Corrective Action Request Level IV, (DCRL Code 12), or offering the product of a Level IV firm, require higher level review and approval in accordance with on-site procedures. -09 13 http://farsite.hill.af.mil/reghtml/regs/other/dlad/PART09.htm (13 of 40) [8/13/2009 9:13:11 AM] DLAD PART 9 (94) Use working knowledge of the contractor's performance, and coordinate with Acquisition Specialist (post award) and the Product Specialist, as necessary. (b) Support documentation. (90) Determinations of responsibility or nonresponsibility shall be documented and included in the Electronic Contract File (ECF). Refer to on-site procedures for documentation and content requirements. For simplified acquisitions, an annotation on Form 395, Significant Events, in DPACS, or comparable record, is generally sufficient to document the Acquisition Specialist's actions under 9.105(a)(1) and (2). (91) Distinguishing responsibility determination from past performance evaluation factor. Acquisition Specialists (preaward) SHALL NOT make a determination of responsibility based on past performance information that applies to evaluation of the contractor's offer (e.g., an Automated Best Value System (ABVS) score). (i) Past performance information (e.g., an ABVS score supported by by substantiating backup documentation) can be used for evaluation purposes, if a ion ion purp past performance evaluation factor is included in the solicitation. The licitatio evaluation process involves a comparative assessment of offers to determine t of offer which offer represents the best value based on price, past performance, and n price, p other evaluation factors stated in the solicitation. Acquisition Specialists icitation. (preaward) must, however, determine that a prospective contractor is at prosp responsible. If a contractor cannot be determined responsible, it is ineligible t de deter for award whether or not its offer appears to represent the best value. offer appe Gra is responsible, Acquisition Specialists (ii) To determine that a contractor at conyr t db (preaward) must determine that the contractor meets all the standards in FAR termine th we 9.104 (i.e., has adequate financial resources (or ability to obtain them); has has adequ iedelivery requirements; has a satisfactory performance ability to satisfy to satiV sf stsatisfactory record of integrity and business ethics; has the record; has a haa Ls necessary organization, experience, internal controls, and technical skills; mC ha mb ha rs 8 e - -09 13 and is otherwise qualified/eligible for award). The DCRL is an essential resource for determining responsibility; because it not only includes past performance data some or all of which may have gone into the calculation of the ABVS score but it also captures data that is not included in ABVS (e.g., financial difficulties, suspected product substitution, etc.). Consequently, a contractor may have favorable ABVS scores but could be included on the DCRL for reasons that will preclude a determination of responsibility. (93) If a preaward survey is not obtained on a proposed award exceeding $100,000, the contracting officer shall include in the contract file a memorandum explaining the basis for the determination of responsibility, addressing each of the applicable standards in FAR 9.104. When the contracting officer makes a determination regarding the prospective contractor's responsibility that is contrary to that recommended in the preaward survey report, the reason for not following the preaward survey report recommendation shall be included in the contract file. In each instance where the preaward survey report recommendation is not followed, the case must be reviewed and http://farsite.hill.af.mil/reghtml/regs/other/dlad/PART09.htm (14 of 40) [8/13/2009 9:13:11 AM] DLAD PART 9 concurred in by the chief of the contracting office and at DSCP by the Commodity Business Unit Chiefs. The contracting officer shall provide written notice to the surveying activity that performed the preaward survey of the reason for not following the preaward survey recommendation. 9.106-1 Conditions for preaward surveys. (a)(90) Although a formal PAS is not normally requested for acquisitions valued at $100,000 or less, there are circumstances which justify conducting a PAS (formal or informal), regardless of the dollar value of the acquisition under consideration. (An informal PAS is one in which the contracting officer's request for information is able to be fulfilled by a phone call to the CAO component, and may not necessitate contacting the firm or individual in question. A formal PAS, on the other hand, requires, at a minimum, the CAO PAS monitor to conduct a telephone survey, and may require one or more site visits to the prospective contractor's location. A formal PAS always incorporates an informal survey.) Because the survey is the primary means by which the responsibility of some contractors can be determined, its performance is strongly recommended on a prospective contractor (manufacturer or nonmanufacturer) that: (1) Has been listed on the GSA List of Parties Excluded from Federal ed from F Procurement Programs within the past 3 years (or other locally determined time other lo period); (2) Is (to the extent determinable from local records) a first-time Government om local contractor, or has had a performance break from Government business of 3 or mance bre more years' duration (or other locally determined time period); ther local (3) Is undergoing or has undergone reorganization under bankruptcy laws within or und the past 3 years (or other locally-determined time period); rs rs o ot (4) Has been terminated within the past 3 years (or other locally determined time period) for default; i (5) Has negative quality records (PQDRs, RODs, etc.) in the Quality Evaluation Program (QEP), is on the Contractor Alert List (CAL), has a poor Product Verification Record (PVR) as indicated by ICP PVR, or is otherwise known to the contracting officer to have a poor or marginal performance history; (6) Has, within the past year (or other locally-determined time period), received a negative PAS for any item within the same Federal Supply Class (FSC), or for the same type of service, as the item or service being purchased; (7) Has failed to liquidate indebtedness to DLA (the extent of the indebtedness that would normally dictate a PAS shall be determined locally); (8) Is a transferee in interest of a former Government contractor; or (9) Is the subject of information that is not sufficient on which to base a ast L iew V db e Gra y mC ha mb ha rs 8 e - -09 13 http://farsite.hill.af.mil/reghtml/regs/other/dlad/PART09.htm (15 of 40) [8/13/2009 9:13:11 AM] DLAD PART 9 responsibility determination, or is a current contractor about whom the historical capability data, in terms of productive capacity, quality assurance, financial ability, etc., is unavailable to the contracting officer or is inconclusive. (a)(91) When an offer received from a prospective contractor described in (a) (90)(1) through (9) above is proposed for award, and the contracting officer decides that actual performance of the PAS is in the best interests of the Government, the contracting officer shall request the survey, and provide the rationale for that request in the "Remarks" section of the SF 1403, Pre-award Survey of Prospective Contractor (General). When a PAS is requested with respect to an offeror described in (a)(90)(1) above, the contracting officer shall identify integrity as a factor about which information is needed and shall ask that the PAS team specifically identify the corrective actions undertaken by the prospective contractor to address the problems that resulted in the contractor's being listed on the GSA List of Parties Excluded from Federal Procurement Programs. (a)(92) When a preaward survey (PAS) is contemplated, the Acquisition tio Specialist (preaward) shall first obtain as much information as feasible from as feas DSC records and use this information to determine if a preaward survey is reaward su required. If the Acquisition Specialist (preaward) cannot make a determination annot of responsibility or nonresponsibility based on DSC records and requires more DSC recor information, the Acquisition Specialist (preaward) shall consider a preaward eaward) sh survey. For simplified acquisitions, the Acquisition Specialist (preaward) Acquisit shall use informal (verbal) PAS procedures. For acquisitions other than cedures. F edures simplified, the Acquisition Specialist (preaward) shall use either informal or cialist (p formal PAS procedures, depending on the situation. ending ing (93) To request a preaward survey: preaward su iew survey (PAS): When limited information is desired, the (i) Informal preaward rmal prVw al t ea Acquisition s tioa Specialist (preaward) shall use an informal PAS. This will preclude n Sp S L the administrative effort and time of a formal survey. The Acquisition Specialist (preaward) shall not use an informal PAS if there is sufficient data to indicate that a formal PAS is required. Request an informal PAS in accordance with on-site procedures. The result of the survey will include performance history information and a recommendation for award or no award. The contracting officer makes the final responsibility determination. (ii) Formal preaward survey (PAS): A formal PAS is used to get detailed information regarding key performance areas (e.g., technical, production, quality, etc.). (Defense Contract Audit Agency (DCAA) requires 30 days to respond to a request for financial data.) If a formal PAS is requested for a simplified acquisition, the request shall be justified in writing. (A) Before requesting a formal PAS, the Acquisition Specialist (preaward) shall submit an email, or process a DPACS referral, to the Product Specialist for a recommendation as to whether the quality portion of the preaward survey is required. The response from the Product Specialist can be used to determine whether to include or exclude the quality portion of the preaward survey. http://farsite.hill.af.mil/reghtml/regs/other/dlad/PART09.htm (16 of 40) [8/13/2009 9:13:11 AM] db e Gra y mC ha mb ha rs 8 e - -09 13 DLAD PART 9 Product Specialist responses may include: (1) Quality history indicates quality portion of the preaward survey is not required. (If highlights are provided by the Product Specialist, document in accordance with on-site procedures.) (2) No quality history exists. Recommend quality portion of preaward survey be conducted. (3) Unique characteristics or manufacturing process require quality portion be done. (Document this response in accordance with on-site procedures.) (4) Product Specialist desires to participate in the PAS. (Document ument ment in accordance with on-site procedures.) (B) Written requests for formal preaward surveys. (Refer to on-site procedures). veys. (Ref eys. 9.106-2 Requests for preaward surveys. (90) Generally, a preaward survey shall be requested only when award is survey sh rvey contemplated to a firm from which a bid or proposal has been received. However, from whi w a preaward survey may be requested of the facilities or firms supplying may requ perishable food items before receipt of a bid or proposal when the time between d b losing an sin opening/closing and award would not be sufficient for a survey following receipt of an offer. Concurrent requests for preaward surveys may be made in of emergency situations and/or when multiple awards are contemplated. The need to y request concurrent preaward surveys will depend upon the circumstances of the individual acquisition. Contracting officers shall obtain the agreement of the appropriate CAO preaward survey monitor prior to the submission of such requests. Although FAR 9.106-2(d) specifies a norm of 7 working days for conducting preaward surveys, except for FDA determinations, contracting offices should provide for the maximum allowable time, particularly if a negative finding is anticipated or a secondary survey will be required. When the contracting office needs a response in less than 7 working days, the surveying activity should be provided with the reason for the expedited survey. Surveying activities should notify contracting officers of survey results by telephone or electronically transmitted message on the day the survey is mailed. ast L iew V db e Gra y mC ha mb ha rs 8 e - -09 13 (a) Additional factors would include the need for special facilities (e.g., tools, machines, test facilities) required to produce the item. Failure to liquidate indebtedness indicates a lack of responsibility. Therefore, if it is proposed to contract with firms indebted to DLA, and the proposed contract would otherwise require a preaward survey, an annotation should be made in the http://farsite.hill.af.mil/reghtml/regs/other/dlad/PART09.htm (17 of 40) [8/13/2009 9:13:11 AM] DLAD PART 9 "Remarks" section of the SF 1403. (a)(ii) Evaluation of a contractor as a planned producer will not affect the outcome of the PAS for other than industrial preparedness purposes. Any prospective contractor receiving a negative PAS for production or quality assurance capability with regard to an existing/potential Industrial Preparedness Planning List (IPPL) item should neither be solicited nor enrolled as a planned producer. (e) Contracting officers shall restrict their requests for preaward survey information to that which is not already available to the contracting office. The contracting officer must determine the scope of the preaward survey to be performed. (Preaward survey requests on sole source suppliers will be limited to partial surveys.) The only factors to be investigated (e.g., production backlog, finances, and quality history) are those which actually affect or indicate the contractor's ability to perform under the contract and for which the contracting officer does not have sufficient knowledge to make a responsibility determination. (i) When limited information is required, it can often be obtained through ained t telephonic contact with the PAS monitor at the cognizant contract contract administration office (CAO), precluding the administrative effort associated ative eff ve with a formal PAS request. b mAgriculture, the U.S. (ii) For items assigned to the U.S. Department a artment of Ch Department of Commerce, and/or the U.S. Army Veterinary Corps for source U.S. Army inspection, the quality assurance personnel representing the contracting ce person hamdeemed necessary, will be requested to officer, and other military agencies, as y agencies Gra participate in the PAS, and y ei comments will be included in the quality , and their t th assurance portion of the report. of rb o ep d we Vie 9.106-3 Interagency preaward surveys. nteragt ncy ency Lasshall be retained with the contract file. (b) The list l 9.106-4 Reports. (a) Refer to on-site procedures for actions required when a negative preaward survey report is received. (b) When a Contracting Officer's determination of contractor responsibility is inconsistent with the recommendation in the preaward survey report, the rationale shall be documented in the contract file. This decision shall be reviewed and approved in accordance with on-site procedures. The Preaward Survey Monitor shall advise the surveying facility of the Contracting Officer's decision. (c) Acquisition Specialists (preaward) shall document the procurement file and ensure all documents are scanned into the electronic contract file (ECF). 9.106-90 DLA preaward survey monitors. http://farsite.hill.af.mil/reghtml/regs/other/dlad/PART09.htm (18 of 40) [8/13/2009 9:13:11 AM] rs 8 e - -09 13 DLAD PART 9 (a) Each DSC will designate an organizational element to serve as the focal point for preaward surveys and to be the principal point of contact with PAS monitors at surveying activities. The focal point will review PAS requests for completeness and accuracy before forwarding these requests to surveying activities. Upon receipt of completed preaward surveys, the focal point will review the reports and shall consult with available technicians in particular areas, such as Cost and Price Analysts, when there are doubts as to the validity of the information in the survey report. If the PAS contains information questioning a company's quality control, then the survey report shall be reviewed with the DSC Quality Assurance personnel. The on-site PAS Monitor shall: (1) Send one copy of the completed report to the Acquisition Specialist (preaward) for placement in the contract file. (2) Send one copy of all formal preaward survey documentation regarding a company's quality control to the Product Specialist. (Refer to on-site procedures.) (3) Maintain one copy of each survey for a period of one year. year. s 8 and informal, (b) A register of all PAS requests and responses, bothrformal s, be f at each DSC. As a shall be maintained in a current status by the PAS monitor the m m a minimum, this register shall include: Ch am (1) PAS or FDA number (to provide an audit trail). vide vide hau a Gra Note: If the request is made by phone and (2) Date of Preaward Survey y Surveb re Survey request. d y r the SF 1403 must follow by mail on the same day a written report is requested, is reque e as the telephone request. phone requ h iew st V report to be returned (Block 10). (This is the date by which (3) Date La e completed com the surveying activity is to mail the completed report.) (4) Extended date when extension is granted. (5) Date telephonic or electronically transmitted report is received by DSC. (6) Date Preaward Survey report is received by DSC. (7) Prospective contractor's name and location. (8) Surveying activity's location. (9) Solicitation number (RFP/IFB/PR Number). (10) Buyer or contracting officer name. http://farsite.hill.af.mil/reghtml/regs/other/dlad/PART09.htm (19 of 40) [8/13/2009 9:13:11 AM] -09 13 DLAD PART 9 (11) Dollar amount of proposed award. (12) Brief identification of item to be acquired. (13) Recommended action, whether "A," "P," or "N" (Affirmative, Partial, or Negative). (14) Remarks. Indicate whether recommendation was overturned, and add any other pertinent comments. (See 9.105-2(b).) (15) Date of award, if any. 9.106-91 Capability surveys for workshops for the blind and other severely handicapped. (a) The contracting office, upon request from the Committee for Purchase from People who are Blind or Severely Disabled, shall request a capability survey to determine the capability of the workshop(s) to produce specific items being considered for addition to the Procurement List. -09 make the (b) The contracting office, when requesting a capability survey, shall y surve3 survey, y request on Standard Form (SF) 1403, Preaward Survey of Prospective Contractor of Prosp 8-1 (General). The contracting office should emphasize factors concerned primarily size facto ers being requested, the with production capabilities. When a capability mb ility survey is asurv form shall clearly indicate the request is for a "Capability Survey" only. t is h C mrequests for capability surveys to the (c) The contracting office shall forward all forwa aha DFARS 209.106-2. The contracting office appropriate office, in accordance with cordance cordance Gr survey to the Executive Director, shall furnish a copy of the y t e co c dhb completed are Blind or Severely Disabled. Committee for Purchasee rchase from People who w fr ie (d) Capability V ability s ability surveys will be executed by the cognizant contract t s administration office in accordance with DLAM 8300.1, Defense Contract traa trati i LtAgency Industrial Support Manual, Section 1-102(i). Management SUBPART 9.2 - QUALIFICATIONS REQUIREMENTS 9.202 Policy. (a)(1) The chief of the contracting office shall provide to HQ DLA, ATTN: J-72 and J-7, a brief summary of the proposed plan to establish a Qualified Products List (QPL), Qualified Manufacturers List (QML), or Qualified Bidders List (QBL) requirement. Approval by HQ DLA is not required, unless HQ DLA requests a review of the plan. The chief of the contracting office shall approve the establishment of a qualification requirement, subject to the requirements of FAR Subpart 9.2 and after considering any comments of the activity Competition Advocate and the activity Commercial Advocate. When a qualification requirement is proposed for application to an item described by a document that is subject to the Defense Standardization Program, the procedures in DoD 4120.3-M, Appendix B, apply, including the requirement for OASD approval. http://farsite.hill.af.mil/reghtml/regs/other/dlad/PART09.htm (20 of 40) [8/13/2009 9:13:11 AM] DLAD PART 9 9.203 QPLs, QMLs, and QBLs 9.203 (a)(90) Use 52.209-9000, QPL Connector Assemblies and QPL Electrical Contacts, in solicitations and awards when purchasing QPL connectors with contacts listed on other QPL(s). The purpose of this clause is to increase competition and reduce the unit price of the assembled item. This can be achieved when assemblers are able to pass along cost savings they have realized by purchasing the connector from one QPL manufacturer and the contacts from another. 9.203 (a)(91) Use 52.209-9012, Qualified List for Manufacturers/Qualified Suppliers List for Distributors, in solicitations and contracts which have a Qualified Suppliers List for Manufacturers (QSLM) and/or a Qualified Suppliers List for Distributors (QSLD) requirement for the item. There must be an established QSLM/ QSLD in place before inclusion of this clause. 9.203 (a)(92) mC 9.207 Changes in status regarding qualification requirements. ualification r lificatan io ah r (b) See 11.302-90 for policyyregarding notification and assistance to sources policy re icy G cquisitiob i removed from an acquisition identification description (AID). ed n w iePROVISIONS AND CONTRACT CLAUSES FOR AIRCRAFT LAUNCH AND ICITATVN ITA IO 9.290 SOLICITATION t RECOVERY as Y L EQUIPMENT (ALRE) 9.290(a) Ensure the ALRE provision 52.209-9001 is included in the solicitation for all ALRE requirements with an SPC code of "01" and the AMSC is B, C, K, M, N, S, V, or Y. SUBPART 9.3 - FIRST ARTICLE TESTING AND APPROVAL 9.306 Solicitation requirements. (c)(1) Insert 52.209-9019, Requests for Waiver of First Article Testing Requirements, in all solicitations and contracts for items that require first article testing, including when acquiring items using FAR Part 12; unless-- (2) Information provided by the Product Specialist in the Material Master, Product Assurance tab, indicates the specification requires submission of drawings for Government approval prior to production of first article test units, in which case insert the following clauses: http://farsite.hill.af.mil/reghtml/regs/other/dlad/PART09.htm (21 of 40) [8/13/2009 9:13:11 AM] Use 52.209-9013, Component QPL/QML Items, with FAR 52.209-1 (I09A01), 52.209 1 Qualification Requirements, in all solicitations and contracts that contain ions c component QPL(s)/QML(s). rs 8 e mb ha - -09 13 DLAD PART 9 (i) 52.209-9019 with its Alternate I; and (ii) 52.209-9021, Drawing approval prior to production. (90)(i) When acquiring items that require first article testing (either in accordance with FAR 52.209-3 or 52.209-4) and the dollar value of the procurement is not expected to exceed the simplified acquisition threshold, the clause at 52.209-9015, Waiver First Article Test Simplified Acquisitions, may be used if-- (A) One or more sources are identified as having been previously approved for waiver of the first article testing requirements, and the Contracting Officer has confirmed with the Product Specialist that the sources are still eligible for a waiver; (B) The file is thoroughly documented with the rationale for considering only items produced by sources eligible for waiver of the first article testing requirements; and s 8 officer shall-- (ii) When the clause at 52.209-9015 is used, the contracting he contrac e contra ber am (A) Delete from the solicitation any clauses h clauses other than 52.209-9015 that lau C ot o reference first article testing; and and ham ra (B) Use "Data Maintenance" to-- G " to-- to by dto first article testing requirements in the Purchase (1) Delete any reference referene wc Order Text (POT);ie (POT); and PO a an st V La (2) Free-type the following statement in the POT: -ty THIS PROCUREMENT IS LIMITED TO CONSIDERATION OF QUOTES FOR ITEMS PRODUCED BY SOURCES THAT ARE ELIGIBLE FOR WAIVER OF FIRST ARTICLE TESTING REQUIREMENTS (SEE 52.209-9015). (f)(2) Insert 52.211-9019, Reduced Delivery Schedule Applies When First Article Testing Requirements Are Waived, in all solicitations and contracts for items that require first article testing, including when acquiring items using FAR Part 12. i)(90) When FAR 52.209-4 applies and the Government's testing cost will be used as a factor in evaluating offers, insert the provision at 52.209-9016, Evaluation of Offers First Article Testing, in solicitations, including when acquiring items using FAR Part 12. (C) The price can be determined fair and reasonable. -09 13 http://farsite.hill.af.mil/reghtml/regs/other/dlad/PART09.htm (22 of 40) [8/13/2009 9:13:11 AM] DLAD PART 9 (91) When FAR 52.209-3 applies and the Government's cost to review the contractor's First Article Test Report will be used as a factor in evaluating offers, insert the provision at 52.209-9016, Evaluation of Offers First Article Testing, with its Alternate I, in solicitations, including when acquiring items using FAR Part 12. 9.306-90 Solicitation requirements for production lot test. (a) Policy. The product specialist determines whether Production Lot Test (PLT) will be required. (1) The acquisition specialist shall establish PLT as a separate, no-charge CLIN in the solicitation. This will preclude paying for the items twice, when they are delivered with the production quantity. (2) The acquisition specialist shall refer any requests for waivers or deviations from PLT requirements to the product specialist, who will evaluate the request and furnish recommendations to the acquisition specialist. (3) Upon receipt from the testing facility of the testing results and the esults an recommendation of approval or disapproval, the acquisition specialist shall on specia speci provide a copy of the results/recommendation to the product specialist, in e product product addition to providing written notification to the contractor. the contra (b) Clause. Insert the clause at 52.209-9026, Production Lot Test (PLT), in solicitations 026, Prod Pro and awards, including when the acquisition is conducted using FAR Part 12, when n the ac ac the procurement item description (PID) includes the statement: "Production Lot m descripti desc Test Required." (1) Complete the fill-ins in 52.209-9026 with information in the Material plete th th Master, Product Assurance tab, under Classification. Pro (2) Whenever PLT is required, the product specialist is responsible for adequately defining the required quality requirements. These requirements shall, at a minimum, include the following: (i) Specific production lot tests and evaluations to be conducted; including sequence of processes, testing procedures, and evaluation; (ii) Reporting requirements (e.g., due date, number, distribution of Production Lot Test reports); and (iii) Criteria for determining conformance to Production Lot Test requirements. 9.307 Reserved 9.308 Contractor Clauses ast L iew V db e Gra y mC ha mb ha rs 8 e - -09 13 http://farsite.hill.af.mil/reghtml/regs/other/dlad/PART09.htm (23 of 40) [8/13/2009 9:13:11 AM] DLAD PART 9 9.308-1 Testing performed by the contractor. (a) When it has been determined that first article approval is required and the testing will be performed by the contractor, the contracting officer shall follow the policies in 9.308-1(a)(90)-(93): (90) Pre-solicitation. (i) Ensure that-- (A) First article inspection and testing requirements are clearly stated; (B) Sources currently waived for first article testing are identified, or a statement is present indicating there are no waived sources, when the clause at 52.209-9015 will be used (see 9.306(c)(90)(i)); (C) The number of calendar days allotted for the contractor to produce and test the samples is commensurate with the amount of time it will take the contractor to obtain materials, produce the samples, perform all the required tests, and red t prepare and submit the test report; and (ii) Use two-party, negotiated acquisition procedures when acquiring items that res when a require first article testing. Micro-purchase procedures and simplified procedure acquisition procedures that solicit and/or award automatically shall not be r au used. (91) Solicitation. (i) (A) Insert the clause at FAR 52.209-3, First Article Approval, with its clause at F lause Alternate I. Complete the fill-ins with information in the Material Master, omplete th t Product Assurance tab; surance t ra ta st athe delivery schedule specified in the solicitation includes the L (B) Ensure ure iew V db e Gra y mC ha mb ha rs 8 e - -09 13 number of calendar days allotted to the contractor for first article testing and submission of the test report; and the number of calendar days allotted to the Government to evaluate the First Article Test Report and provide disposition to the contractor; and (C) (1) Select the Additive CLIN number for ""Contractor First Article Test (FAT) (including test report)." Insert the Inspection and Acceptance points under the Additive CLIN and in SAP. (2) Identify the "Contractor First Article Test (FAT) (including test report)" quantity as "1 TE (TEST);" and (ii) Insert the clauses in solicitations and contracts as prescribed at 9.308-1 (a)(91)(ii)(A)-(C) below, including when acquisitions are conducted using FAR Part 12: (A) 52.209-9017, First Article - Contractor Test Additional Requirements; http://farsite.hill.af.mil/reghtml/regs/other/dlad/PART09.htm (24 of 40) [8/13/2009 9:13:11 AM] DLAD PART 9 with its alternates as prescribed below, when applicable: (1) Use Alternate I when the product specialist has communicated to the contracting officer that first article approval authority shall be delegated to the Defense Contract Management Agency (DCMA) Administrative Contracting Officer (ACO) whenever awardee will be required to perform contractor first article testing; (2) Use Alternate II for clothing and textile (C&T) items; (3) Use Alternate III when the Material Master, Product Assurance tab specifies terms for disposition of approved first article units that differ from the terms in FAR 52.209-3. The contracting officer shall complete the appropriate fill-in; (4) Use Alternate IV when progress payments are authorized for the first article. Circumstances that justify the need for progress payments (such as when exceptionally high start-up costs are anticipated) and the basis for determining the maximum dollar value and/or percentage of total contract price cont shall be thoroughly documented in the contract file. (5) Use Alternate V when the product specialist has communicated to the communica ommu contracting officer that the item requires in-process verification of the first process ve ty Assuran article manufacture by the cognizant Quality Assurance Representative (QAR). (92) Evaluation of offers. Review the price the pric test repo rep Article Test (FAT) (including test report)" Article T for the Contractor First Article Test (FAT) reasonable determined fair and reasonable, in addition . Evaluati Evaluat production units. Evaluation shall be based disposition of the first article units. f fi fir (93) Award of contract. ard o (i) When award is made for an item that requires "Contractor First Article Test (FAT)," the following requirements apply: (A) Ensure the appropriate Additive CLIN numbers are established for "Contractor First Article Test (FAT) (including test report)" in the award document; and in SAP, upon funding of the award. Additive CLINs must be established for all FAT requirements (e.g., CLIN 9906, FAT Samples; CLIN 9907, FAT Report; etc.). Whether separately priced or not, a FAT Additive CLIN is a deliverable and must be accounted for. An Additive CLIN that was not separately priced in the quote/offer is still a deliverable, but it is not payable.) (B) Provide notification by e-mail, including award number, NSN, and Additive CLIN number; and provide copy of award, if not available in Electronic Document Access (EDA), to the contracting officer and to: (1) For awards issued by Defense Supply Center Columbus (DSCC): "Contractor First m Coffered for theThe price offered a Additive CLIN. h (including test report) must be to the price offered for the in part on the terms for mb ha rs 8 e - -09 13 ast L iew V db e Gra y http://farsite.hill.af.mil/reghtml/regs/other/dlad/PART09.htm (25 of 40) [8/13/2009 9:13:11 AM] DLAD PART 9 DSCC FAT Monitor Defense Supply Center Columbus DSCC-BPI P. O. Box 3990 Columbus, OH 43218-3990; (2) For awards issued by Defense Supply Center Philadelphia (DSCP): (i) Defense Supply Center Philadelphia ATTN: First Article/Testing Monitor Bldg. 3 NASA 700 Robbins Avenue Philadelphia, PA 19111; or (ii) For acquisitions of Clothing and Textile (C&T) items; Medical and le Subsistence items; and Meal, Ready-To-Eat (MRE) and Tray Pack eal, Read Items, the contracting officer, who acts as FAT/Testing Monitor; ract racting of o (3) For awards issued by Defense Supply Center Richmond (DSCR): Defense Supply Center Richmond Su Test Coordinator Office DSCR.Test&EvaluationOffice@dla.mil; (4) For awards issued by Naval Surface Warfare Center, Carderock Division: Commanding Officer Naval Surface Warfare Center Code 954, BLDG 77L Philadelphia Business Center Carderock Division http://farsite.hill.af.mil/reghtml/regs/other/dlad/PART09.htm (26 of 40) [8/13/2009 9:13:11 AM] iew V db e Gra y mC ha mb ha rs 8 e - -09 13 DLAD PART 9 Philadelphia, PA 19112-5083 ATTN: Long Nguyen Tel: (215) 897-1146 (5) For awards issued by Naval Sea Systems Command, Washington Navy Yard: Commander Naval Sea Systems Command Sea 05M3 1333 ISAAC Hull Avenue SE Stop 5160 Washington Navy Yard, DC 20376-5160 ATTN: John Kallinikos Tel: (202) 781-3729 Gra are placed in the Electronic Contract File (C) Ensure all appropriateby priate documents at doc do d (ECF). e iew When awarding outline agreements that include items (ii) Outline agreements. tline agV st re with firsta rst article testing requirements, lock the Service Material line item on a L the delivery order, to prevent payment of the line prior to receipt of the testing/approval certification; and lock the "FAT" row in SAP. (iii) When the clause at 52.209-3 was included in the solicitation, and it has been determined that the first article test and approval requirements will be waived for the awardee, the Contracting Officer shall reflect this in the award by taking the following actions: (A) Insert the clause at 52.209-9020, First Article Testing Requirements Are Waived, in the award; and (B) Use "Data Maintenance" to-- (1) Delete any reference to First Article Testing in the Purchase Order Test (POT); and (2) Free-type the following statement in the POT: mC ha mb ha rs 8 e - -09 13 http://farsite.hill.af.mil/reghtml/regs/other/dlad/PART09.htm (27 of 40) [8/13/2009 9:13:11 AM] DLAD PART 9 FIRST ARTICLE TESTING REQUIREMENTS ARE WAIVED FOR THIS PROCUREMENT. 9.308-2 Testing performed by the Government. (a) When it has been determined that first article approval is required and the testing will be performed by the Government, the contracting officer shall follow the policies in 9.308-2(a)(90)-(93): (90) Pre-solicitation. (i) Ensure that-- (A) First article inspection and testing requirements a

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