RATIFICATION REQUEST PREPARATION AND PROCESSING
RATIFICATION CHECKLIST OF REQUIRED DOCUMENTATION
1. From the individual(s) who made the unauthorized commitment: A statement coordinated through the supervisor from the individual(s) who made the unauthorized commitment that explains:
_____The circumstances surrounding the commitment.
_____The bona fide Government requirement purchased.
_____Why normal procurement procedures were not followed.
_____What goods or services were received or what benefit was derived, and its value.
_____Copies of orders, invoices, or other evidence of the transaction.
2. From the individual’s supervisor: If in concurrence with the ratification, the supervisor forwards the documentation to the Cognizant contracting officer with an endorsement that
_____Verifies the accuracy and completeness of the individual’s documentation being forwarded.
_____Describes any corrective measures taken to include disciplinary action.
_____Provides a purchase funding for the ratifying action.
3. From the cognizant contracting officer: The contracting office that would have been responsible for the procurement had it gone through the proper channels shall:
_____Review the documentation/endorsements and prepare a summary statement assessing the facts and circumstances in the case to include the adequacy of the records and circumstances in the case to include the adequacy of the records and documentation provided, clarification of any doubtful questions of facts, and recommendations.
_____Prepare a determination and finding (D&F) document, addressing the following in FAR Subpart 1.602-3(c):
_____The ratifying official could have granted authority to enter or could have entered into a contractual commitment at the time it was made and still has the authority to do so FAR Subpart 1.602-3(c)(2).
_____The contract would otherwise have been proper, if it had been procured by an appropriate contracting officer FAR Subpart 1.602-3(c)(3).
_____The price is fair and reasonable FAR Subpart 1.602-3(c)(4).
_____A copy of the legal opinion FAR Subpart 1.602-3(c)(5).
_____Funds are available and were available at the time the unauthorized commitment was made FAR Subpart 1.602-3(c)(6).
_____Recommendation for ratification shall include the aforementioned.
4. Approval authority FAR Subpart 1.602-3 and DAR Subpart 1.602-3(b)(3). For DISA actions above the simplified acquisition threshold, the ratification-approving official is the SPE. For DISA actions at or below the simplified acquisition threshold and non-DISA actions above the simplified acquisition threshold, the cognizant ratification-approving official is the Head of the Contracting Activity (HCA). For non-DISA actions at or below the simplified acquisition threshold, the cognizant ratification-approving official is the respective DISA Head of the Contracting Office (HCO), with electronic mail (e-mail) notification to the DISA HCA.
REQUEST FOR APPROVAL OF UNAUTHORIZED COMMITMENT
STANDARD FORMAT
The person making the unauthorized commitment will initiate the preparation and review processing of the ratification request proposal package using the standardized “Request For Approval Of Unauthorized Commitment” format, and include all of the required content criteria identified below to document the request. The responsible individual will contact PL2 to make that office aware that a ratification request is being prepared, and to obtain a unique ratification control number for the documentation package. This information is sensitive and must be marked and controlled as part of the contract file in the appropriate manner.
SENSITIVE INFORMATION
REQUEST FOR APPROVAL OF UNAUTHORIZED COMMITMENT
Ratification Control Number: (Obtained from PL2)
In the Amount Of: ($)
To: (Company Name)
For: (Supplies/Services)
Committed: (Date)
Committing individual/organization/activity: (Name, Title, Organization/Office Symbol, Office Location, and Telephone Number)
PART I -– SECTION A -- INDIVIDUAL’S STATEMENT, AND DESCRIPTION OF COMMITMENT CIRCUMSTANCES, AND SUPERVISOR’S REVIEW
(The individual making the unauthorized commitment shall complete items 1 through 5 of Part I, Section A, provide the required documentation, sign, date, and forward to his/her immediate supervisor for completion of Item 6. These documented statements must be signed and dated by both the individual(s) making the unauthorized commitment and the immediate supervisor of the individual(s). Following the immediate supervisor’s completion of Part I, Section A, Item 6, and if the supervisor agrees that the commitment should be ratified, the supervisor coordinates with the contracting officer, a review of the ratification documentation file through the individual’s chain of command before the information is forwarded to the DISA HCA.
The coordination includes the appropriate head of the individual’s cognizant organization or office for completion of Part I, Section B. For DISA personnel, this will be the cognizant organization Deputy Director (DD) or Principal Director (PD). For non-DISA personnel, this will be the appropriate head of that individual’s agency or activity. The file shall then be forwarded through the individual’s organizational head to the appropriate contracting office, contracting activity, or contracting officer for continued review and processing, as appropriate.)
1. Statement by individual describing circumstances:
2. Explain why normal procedures were not followed:
3. Describe what bona fide Government requirement necessitated the commitment:
4. Describe the benefits received/derived by the Government, if any. If none, so state. (Give value of benefit, if any, and other pertinent facts.)
5. List and attach all relevant documents (Include orders, invoices, and other documentary evidence of the transaction(s).):
Include the typed name and title of individual making unauthorized commitment, and
Signature______________________________ Date:____________________________
6. Comments of immediate supervisor of individual making unauthorized commitment. (The supervisor will complete this information, sign and date it, and if the supervisor agrees that the commitment should be ratified, the supervisor includes the supervisor’s endorsement verifying the accuracy and completeness of the documentation; describes the measures taken to prevent a recurrence of unauthorized commitments; and provides a purchase description and funding for the ratification action.):
Include the typed name, title, and organization of the supervisor, and
Signature______________________________ Date:____________________________
PART I –- SECTION B –- CONTRACTUAL RATIFICATION REQUIREMENT DOCUMENTATION –- ORGANIZATION/DEPUTY DIRECTOR/PRINCIPAL DIRECTOR REVIEW AND RECOMMENDATION
(If the individual making the unauthorized commitment is a DISA employee, this section is to be completed by the individual’s and supervisor’s appropriate organizational Deputy Director (DD) or Principal Director (PD), and forwarded to the appropriate contracting activity, contracting officer or contracting office for review and completion. If the individual making the unauthorized commitment is a non-DISA employee, this section is to be completed by the appropriate head of that individual’s and supervisor’s cognizant organization or activity, and forwarded to the appropriate contracting activity, contracting officer, or contracting office for review and completion.)
1. Describe attempts to resolve unauthorized commitment prior to request for ratification (i.e., returning merchandise, individual payment from personal funds, etc.):
2. Describe special remedial/corrective action and/or disciplinary action taken (include a description of any administrative action to be taken under applicable personnel authority or furnish an explanation of why no disciplinary action was considered necessary):
3. Describe action taken to prevent recurrence of unauthorized act:
4. Concur with contractual ratification (include a statement of concurrence with the contractual ratification; and attach complete purchase description and funding documents if ratification is recommended):
- or –
5. Do not concur with contractual ratification (include a statement of non-concurrence if ratification is not recommended):
6. The preceding statement is, to the best of my knowledge, complete and accurate (and indicate “yes” or “no”):
Include the typed name, grade, title, organization/office symbol of the cognizant organization Deputy Director (DD) or Principal Director (PD) of the DISA or non-DISA office involved, as appropriate, and
Signature______________________________ Date:____________________________
PART II -– CONTRACTING ACTIVITY/CONTRACTING OFFICE/CONTRACTING OFFICER REVIEW, LEGAL REVIEW AND OPINION, TEST OF RATIFIABILITY, PREPARATION OF DETERMINATION AND FINDINGS (D&F), AND PREPARATION OF SUMMARY RECOMMENDATION
(The appropriate contracting activity, contracting office, or contracting officer shall review the forwarded ratification request file and documentation, complete the following information, and proceed as follows. The contracting activity/office/officer review the documentation and endorsement for completeness and adequacy; ascertain the existence and obtain clarification of any doubtful questions of fact; prepare a determination and findings (D&F) addressing the limitations in FAR Subparts 1.602-3 (c)(1) through (7); prepare a recommendation to the appropriate ratification approving official: prepare the appropriate contractual documents; and submit the contract and supporting documents for local DISA legal counsel review and coordination.)
(The appropriate Legal Counsel reviews the file, provides a legal opinion, including the test of ratifiability, and returns the file to the respective contracting activity, contracting office or contracting officer for continued review, preparation, and appropriate inclusion of the D&F, Purchase Request (PR) funding in the ratification request package. Legal counsel reviews all proposed ratifications and approves all contracts as to form and legality. The legal review will result in a determination of whether or not the acquisition is ratifiable under FAR and DARS Subparts 1.602-3, whether the matter should be processed under FAR and DFAR Supplement Part 50 (Public Law 85-804) as a GAO claim, or recommend other appropriate disposition. Once the respective contracting activity, contracting office or contracting officer has received and incorporated the legal review, the contracting activity, office or contracting officer forwards the ratification request file.)
Following completion of Items 1 through 4 or Item 5, as applicable, and Item 6, the appropriate contracting activity, contracting officer, or HCO shall contact the Chief, Acquisition Strategy and Policy Division (PL2) to inform the HCA of the submission of a ratification request, obtain assignment of a unique Ratification Control Number for the request package, and ensure the appropriate data is entered in the HCA Ratification Database for the ratification request being processed. The contracting activity/contracting office/contracting officer will forward the ratification request package, with its assigned Ratification Control Number, through the chain of command to the appropriate ratification-approving official.
The ratification approving official will be the DISA Vice Director (DV), if unauthorized commitment was made by DISA personnel and is valued over the Simplified Acquisition Threshold, or the DISA HCA, if unauthorized commitment was made by DISA personnel and is valued at or below the Simplified Acquisition Threshold, or the DISA HCA if unauthorized commitment was made by non-DISA personnel and is valued above the Simplified Acquisition Threshold, or the respective DISA HCO if unauthorized commitment was made by non-DISA personnel and is valued at or below the Simplified Acquisition Threshold.)
1. Determination of the adequacy of all facts, records, and documents furnished, and obtain any additional material required.
2. Opinion from legal counsel as to whether the acquisition is ratifiable under FAR Subpart 1.602-3 and DARS Subpart 1.602-3, whether the matter should be processed under the FAR and DFARS Part 50 (Public Law 85-804), processed as a GAO claim, or otherwise handled.
3. Determination of whether the price involved is considered fair and reasonable and indication of how that determination was made.
4. Determination that sufficient funds are available to pay for the acquisition, and that funds were available at the time the unauthorized commitment was made.
5. Summary statement of facts addressing the foregoing. (The statement is to include a recommendation as to whether the transaction should be ratified stating the reasons therefore. Advice against the ratification should include a recommendation as to whether the matter should be processed under FAR and DFARS Part 50 (Public Law 85-804), as a GAO claim, or for other appropriate disposition.)
6. Determination of whether supplies or services have been provided to and accepted by the Government, or the Government otherwise has obtained a benefit resulting from performance of the unauthorized commitment.
7. Determination that the ratifying official (e.g., the contracting officer) has the authority to enter into a contractual commitment.
8. Determination of whether the resulting contract would otherwise have been proper if made by an appropriate contracting officer.
9. Determination of whether the contracting officer recommends payment and legal counsel concurs in the recommendation, unless agency procedures expressly do not require such concurrence.
10. Determination that the ratification is in accordance with any other limitations prescribed under Agency procedures.
PART III -– RATIFICATION APPROVING OFFICIAL REVIEW AND DISPOSITION
(This information will be completed by the appropriate ratification-approving official, e.g., DISA HCO, HCA, or SPE, as appropriate.)
_____I reviewed the circumstances, facts, and actions taken concerning the unauthorized procurement action and I concur with further processing and ratification by the appropriate contracting official.
_____I reviewed the circumstances, facts, and actions taken and I do not concur that this action should be further processed for ratification. Action should be returned to the cognizant organization/individual’s supervisor for:
_____Further documentation of circumstances.
_____Payment to vendor by individual making the unauthorized commitment.
_____Further documentation of corrective action(s) taken.
_____Other (explain).
Include the typed name, grade, and title of approving official, and
Signature______________________________ Date:____________________________
DISA FORM 9 -- INSTRUCTIONS FOR PROCESSING RATIFICATION OF AN UNAUTHORIZED COMMITMENT
Reference the DISA Action Officer’s Guide, available through the DISA Action Officer’s Homepage, for general guidance in the preparation of a DISA Form 9.
Coordination Approval Blocks
If approval authority is the SPE: Requires coordination through the DITCO field office chief/commander, PL2, PL, GC, and approval by the SPE.
If approval authority is the HCA: Requires coordination through local PL field office legal counsel, DITCO field office chief/commander, PL2 and PL, and approval by the HCA.
If approval authority is the HCO: Requires coordination through local PL field office legal counsel, and approval by the HCO.
Summary Block
1. Purpose. To request (insert title of approving official) approval of the enclosed ratification Determination and Findings (D&F) in the amount of $____________ (Tab A).
2. Background. Summarize the circumstances surrounding the unauthorized commitment. Also, identify the organization responsible for creating the unauthorized commitment, provide the name of the contractor(s) involved, identify the supplies or services provided to and accepted by the Government, provide a statement that the contracting officer determines the price to be fair and reasonable, address funding availability, and identify the contract action that will be executed to ratify the action.
3. Recommendation. Recommend the (insert title of approving official) sign the enclosed Determination & Findings (Tab A).
Enclosures:
Tab A. Determination & Findings
Tab B. (Insert agency/directorate/office symbol) Memo, Subject:
Statement of Circumstances for Unauthorized Commitment,
(insert date of memorandum)
Tab C. (Identify contract/order number and modification number, if applicable)
RATIFICATION PROCESS FLOW DIAGRAM
(DISA Personnel Actions Above Simplified Acquisition Threshold)
E N D
HCA RATIFICATION DATABASE
(Record Disposition)
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SPE and GC
(Individual and cognizant organization DD or SES Briefing)
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HCA
(Individual and cognizant organization DD or SES briefing)
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LEGAL
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CONTRACTING OFFICER
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COGNIZANT ORGANIZATION
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SUPERVISOR
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INDIVIDUAL
S T A R T
RATIFICATION PROCESS FLOW DIAGRAM
(DISA Personnel Actions At or Below Simplified Acquisition Threshold)
E N D
HCA RATIFICATION DATABASE
(Record disposition)
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SPE
(Ratification Request Disposition Summary Report from HCA)
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HCA
(Individual and cognizant organization DD or SES briefing)
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LEGAL
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CONTRACTING OFFICER
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COGNIZANT ORGANIZATION
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SUPERVISOR
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INDIVIDUAL
S T A R T
RATIFICATION PROCESS FLOW DIAGRAM
(Non-DISA Personnel Actions Above Simplified Acquisition Threshold)
E N D
DISA HCA RATIFICATION DATABASE
(Record disposition)
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SPE
(Ratification Request Disposition Summary Report from HCA)
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HCA
(Individual and cognizant organization head or representative SES briefing)
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LEGAL
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DISA CONTRACTING OFFICER
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COGNIZANT ORGANIZATION
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SUPERVISOR
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INDIVIDUAL
S T A R T
RATIFICATION PROCESS FLOW DIAGRAM
(Non-DISA Personnel Actions At Or Below Simplified Acquisition Threshold)
E N D
DISA HCA RATIFICATION DATABASE
(Record disposition)
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SPE
(Ratification Request Disposition Summary Report from HCA)
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HCA
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(Ratification Request Disposition Summary Report from HCO)
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HCO
(INDIVIDUAL AND COGNIZANT ORGANIZATION HEAD OR REPRESENTATIVE SES BRIEFING)
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LEGAL
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DISA CONTRACTING OFFICER
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COGNIZANT ORGANIZATION
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SUPERVISOR
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INDIVIDUAL
S T A R T