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DARS PART 7 -- ACQUISITION PLANNING



PART 7 -- ACQUISITION PLANNING

TABLE OF CONTENTS

SUBPART 7.1 -- ACQUISITION PLANS

7.101 Definitions

7.102 Policy

7.103 Agency-head responsibilities

7.104 General procedures

7.105 Contents of written acquisition plans

207.170 Consolidation of contract requirements

207.170-3 Policies and Procedures

SUBPART 7.3 -- CONTRACTOR VERSUS GOVERNMENT PERFORMANCE

7.302 Policy

SUBPART 7.5 -- INHERENTLY GOVERNMENTAL FUNCTIONS

7.503 Policy

PART 7 -- ACQUISITION PLANNING

SUBPART 7.1 -- ACQUISITION PLANS

Acquisition Review Board (ARB). The ARB is an oversight board established and chaired by the Component Acquisition Executive (CAE). This strategic level board is chartered to implement acquisitions and provide procurement planning oversight. An ARB provides a forum for the Agency acquisition leadership to guide, direct, coordinate, and/or approve selected major acquisitions and procurements to reduce the cost, schedule, and/or performance risk. An ARB ensures expected outcomes are aligned with the mission and vision of Agency and DoD (refer to DISA Instruction 610-225-2 and CAE Guideline 005 for additional guidance).

Component Acquisition Executive (CAE). The CAE is the review authority for all acquisition matters and reports to the Director, DISA. The CAE has the authority, and is accountable, for all acquisition functions and activities in the Agency. The CAE is also the Milestone Decision Authority (MDA) for all of DISA’s Acquisition Category (ACAT) Programs, as delegated by the Assistant Secretary of Defense for Networks and Information Integration (ASD NII).

Director for Procurement (PLD). Serves as the HCA for the Agency and the approval authority for APs with a specific threshold, for classified and unclassified procurements. The PLD also serves as the Source Selection Authority (SSA) for competitive negotiated procurements at/or exceeding $50 million in value.

DISA Program/Project. A DISA funded logical grouping of requirements designed to provide a new, improved, or continuing capability in response to a validated operational capability.

DISA Program Plan. A budgetary plan of requirements supporting a specific DISA Program for any given fiscal year (FY). The Annual Program Plan Review is the forum for obtaining program plan approval.

Acquisition of Information Technology (IT) (DARS 39). Acquiring IT, including National Security System (NSS) IT, by any method including contract, grant, cooperative agreement, international agreement, interagency (Economy Act) order, or any “other transaction.”

Integrated Product Team (IPT). A cross-functional team formed for the specific purpose of delivering a capability for an external or internal customer.

Program Executive Officer (PEO). Appointed by the CAE and is responsible for all aspects of their acquisitions and will direct and implement their assigned acquisitions. The PEOs are appointed for ACAT I through ACAT III Programs, special interest items, and the project’s acquisition of services.

Program Manager or Service Manager or Project Leader (PM/SM/PL). The designated person (i.e., requirements official) or office responsible for developing and maintaining a written plan, or for the planning function in those acquisitions not requiring a written plan.

Senior Decision Authority (SDA). An SDA is appointed by the CAE and is responsible for projects and services within a defined portfolio, which may be designated as a Decision Authority (DA) for the acquisition of services.

7.102 Policy.

(a) PLD prescribes policies and procedures for acquisition planning in accordance with FAR 7.103 and DFARS 207.103 that are consistent with the guidelines provided therein. Format and content of standard and streamlined acquisition plan (AP) are located at https://www.ditco.disa.mil/DitcoContractingTemplates/doku.php?id=acquisition_plan_ap_templates. In support of the AP, the PM/SM/PL shall include a draft statement of objectives/performance work statement/statement of work, an Independent Government Cost Estimate (IGCE) or cost estimate and a report of the Market Research conducted. The template for the DISA Market Research Report can be found at the DISA Contracting and Acquisition Templates, Samples, and Guides, ENCORE II Ordering, and the DITCO IT/Ordering Requirement websites

7.103 Agency-head responsibilities.

(e) Written APs shall be prepared for FAR Parts 8, 12, 15, and 16 acquisition requirements meeting the thresholds stated below and referenced in DFARS Part 207.103(d)(i). A customer is a “DISA Customer” when the requiring office is within DISA and all others are considered “Non-DISA Customer”.

DISA CUSTOMER

Acquisition Type

Threshold

Required AP Template

Development**

≥ $10M*,

Standard

Production or Services

≥ $10M to $50M (All FYs)*;

≥ $10M to $25M (Any FY)*

Streamlined

Production or Services

≥ $50M (All FYs)*;

≥ $25M (Any FY)*

Standard

NON-DISA CUSTOMER

Acquisition Type

Threshold

Required AP

Template

Development (FAR Part 15)**

≥ $10M*

Standard

Development

(TO/DO against Multiple Award Indefinite Delivery Contract)**

≥ $10M*

Streamlined

Production or Services (FAR Part 15)

≥ $50M (All FYs)*

≥ $25M (Any FY)*

Standard

Production or Services (TO/DO against Multiple Award Indefinite Delivery Contract)

≥ $50M (All FYs)*

≥ $25M (Any FY)*

Streamlined

* For estimated total cost of contract or order.

** Defined in FAR 35.001

(S-90) Exceptions.

(1) The following acquisitions do not require either a Streamlined AP or a Standard AP:

(i) Modifications within the scope of the contract;

(ii) Orders under single award ID/IQs and BPAs;

(iii) Basic research efforts in which the emphasis is on achieving specified objectives and knowledge rather than on achieving predetermined end results prescribed in a statement of specific performance characteristics. (This emphasis applies particularly during the early or conceptual phases of the research effort which includes Joint Capability Technology Demonstrations (JCTDs) and Advanced Concept Technology Demonstrations (ACTDs).)

(2) The following acquisitions do not require a Streamlined AP if the total value of the acquisition, including options, is at or below the DFARS AP thresholds. However, these acquisitions do require a Standard AP if the total value of the acquisition, including options, is at or above the DFARS AP thresholds.

Telecommunications service requirements submitted via a TSR or TSO that will result in the award of a Communication Service Authorization (CSA) either through the IQO process or placed against an indefinite delivery contract.

(S-91) Required AP signatures/coordination.

(1) DITCO processing of Streamlined APs for DISA Customer.

(i) After coordination through their respective DITCO Section/Branch chiefs, the contracting officer (KO) shall prepare the email located at https://www.ditco.disa.mil/DitcoContractingTemplates/doku.php?id=acquisition_plan_ap_templates to obtain concurrent coordination on the Streamlined AP from Legal, the Small Business Office and, if applicable, the Procuring Activity Competition Advocate (PACA). The Disposition of Comments Document at https://www.ditco.disa.mil/DitcoContractingTemplates/doku.php?id=acquisition_plan_ap_templates shall also be attached to the email.

Table 7-1.

Office Symbol

Email Address

Legal

“DITCO Legal Office” for PL5, PL7 and PL8

“Acquisition Law Team” for PL6

DITCO Small Business Specialist (SBS)

“DITCO Small Business Office”

*PACA

“DITCO Competition Advocate Review”

* Procuring Activity Competition Advocate (PACA) must coordinate only if the AP is recommending an exception to competition.

A DISA Form 9 is not required to obtain this concurrent coordination. The Streamlined AP for DISA customers is signed by the requirer, KO and HCO.

(ii) The coordinating offices shall either non-concur, concur or concur with comments. If the coordinating office non-concurs or concurs with comments, the comments shall be inserted in the Disposition of Comments document which can be located at https://www.ditco.disa.mil/DitcoContractingTemplates/doku.php?id=acquisition_plan_ap_templates or into the AP using track changes and returned to the contract specialist/KO.

(iii) Upon receipt of the email and Disposition of Comments documents from the concurrent reviewers, the contract specialist/KO shall first determine if any offices non-concurred with the AP. If non-concurrence is received, the contract specialist/KO shall notify their immediate supervisor. The contract specialist/KO along with their immediate supervisor will contact the office that non-concurred and determine the next steps.

(iv) If all offices concurred or concurred with comments, then the contract specialist/KO shall file the emails in Tab 5 (IT) and Tab A05 (IQO) in EDMS and then consolidate all comments into a single Disposition of Comments document and insert the contract specialist/KO disposition of each comment in Column E and incorporate any necessary changes into the AP and forward the Streamlined AP and Disposition of Comments document to the HCO for approval.

(2) Standard Acquisition Plans (DISA and non-DISA Customers) and Streamlined Acquisition Plans for non-DISA Customers.

(i) The following signatures are required on the acquisition plan:

(ii) Although the requiring office will work with the KO and PL4 in preparing and finalizing the acquisition plan, the requiring office is responsible for obtaining the signatures and required coordination of the acquisition plan from the following offices: SDA, PEO, CAE, Head of the Requirements Office and DISA and/or DOD Chief Information Officer (CIO).

(iii) The table below lists the offices that must coordinate via email or on the DISA Form 9. Column 1 applies when the HCO is the approving official (no form 9 required) and Column 2 applies when the HCA or SPE is the approving official. When the SPE is the approving official, a second DISA Form 9 is required as described in (c) below.

Table 7-2.

Coordination for HCO/HCA Approval

HCO Approval

Column 1 via email

HCA/SPE Approval

Column 2 via DISA Form 9

Requirer routes for coordination

Requirer (PM/SM/PL)

Requirer (PM/SM/PL)

Head of Requirements Office (RO)

Head of Requirements Office (RO)

SDA

SDA

PEO

PEO

CIO/CAE*

CIO/CAE*

Contracting Officer (KO) routes for concurrent coordination

KO

KO

PL2

PL2

PL4

PL4

DITCO Small Business Specialist (SBS)

DITCO Small Business Specialist (SBS)

Legal Counsel

Legal Counsel

PACA**

PACA**

 

ACA**

Contracting Officer (KO) routes sequentially to the following for coordination and approval

HCO

HCO

 

HCA

* DISA CIO or designee must coordinate whenever Clinger Cohen compliance is required. For MAIS programs, the DOD CIO and CAE must also coordinate.

** Procuring Activity Competition Advocate (PACA) and Agency Competition Advocate (ACA) must coordinate only if the AP is recommending an exception to competition.

When CIO, CAE, PACA or ACA coordination is required, those offices must be added to the email coordination or the DISA Form 9 templates in the order listed in Table 7-2 above. The DISA Form 9 template to obtain HCA approval of an AP is located at

https://www.ditco.disa.mil/DitcoContractingTemplates/doku.php?id=acquisition_plan_ap_templates.

(iv) KO concurrent coordination process:

(A) After coordination through the KO’s section/branch chiefs, the KO shall send the “AP Concurrent Coord E-mail Standard DISA & NonDISA – Streamlined NonDISA Customers” email located at https://www.ditco.disa.mil/DitcoContractingTemplates/doku.php?id=acquisition_plan_ap_templates with the AP, Disposition of Comments Document and DISA Form 9 (if applicable) concurrently to the following:

Table 7-3.

Office Symbol

Email Address

PL2

“PL22 Policy Compliance Review Requests”

PL41

“PL41”

Legal

“DITCO Legal Office” for PL5, PL7 and PL8

“Acquisition Law Team” for PL6

DITCO Small Business Specialist (SBS)

“DITCO Small Business Office”

*PACA

“DITCO Competition Advocate Review”

*ACA

ACA Personal email address

* PACA and ACA must coordinate only if the AP is recommending an exception to competition.

(B) The coordinating offices shall either non-concur, concur or concur with comments. If the coordinating office non-concurs or concurs with comments, the comments shall be inserted in the Disposition of Comments document (https://www.ditco.disa.mil/DitcoContractingTemplates/doku.php?id=acquisition_plan_ap_templates) or into the AP using track changes and returned to the contract specialist/KO along with the DISA Form 9 (if applicable).

(C) Upon receipt of the email and Disposition of Comments documents from the concurrent reviewers, the contract specialist/KO shall first determine if any offices non-concurred with the AP. If non-concurrence is received, the contract specialist/KO shall notify their immediate supervisor. The contract specialist/KO along with their immediate supervisor will contact the office that non-concurred and determine the next steps.

(D) If all offices concurred or concurred with comments, then the contract specialist/KO shall file the emails and DISA Form 9s (if applicable) in Tab 5 (IT) and Tab A05 (IQO) in EDMS and then consolidate all comments into a single Disposition of Comments document and insert the contract specialist/KO disposition of each comment in Column E and incorporate any necessary changes into the AP.

(E) The contract specialist/KO will then follow one of the three processes below to obtain approval of the AP.

(1) HCO approves. Send the AP and Disposition of Comments to the HCO via email for review and approval.

(2) HCA approves. Send the ”AP HCA Approval Email” to the HCO to obtain HCA review and approval and attach the AP, DISA Form 9 and the consolidated Disposition of Comments document. The HCO will then forward the email and attachments to the PLD Front Office staff, including the Director, Deputy Director and administrative staff.

(3) SPE approval of an AP.

Table 7-4.

2nd DISA Form 9 (Senior Level) Coordination

Requirer routes for coordination

PEO

CAE

HQ Legal Counsel

Office of Small Business Programs (OSBP)

Contracting Officer (KO) routes sequentially to the following for coordination and approval

HCA

SPE

(i) A second DISA Form 9 (Senior Level) (https://www.ditco.disa.mil/DitcoContractingTemplates/doku.php?id=acquisition_plan_ap_templates) is required when the SPE is the approving official. After coordination is obtained on the first DISA Form 9 in Table 7-2, Colum 2 up through the ACA, if applicable, the Requirer shall route the DISA Form 9 non-concurrently to obtain coordination from the offices listed in Table 7-4. After coordination is obtained from the PEO, CAE and HQ Legal Counsel, the requirer shall then send the DISA Form 9 to the KO along with the acquisition plan. If the proposed contract action is a single award indefinite delivery indefinite quantity (IDIQ) contract above $103M, the Determination & Finding (D&F) for the award of a single-award task or delivery order contract exceeding $103 million and the Congressional notifications required by FAR 16.504(c)(1)(ii)(D) shall be forwarded to the SPE along with the AP using the DISA Form 9 (Senior Level) located at https://www.ditco.disa.mil/DitcoContractingTemplates/doku.php?id=j_a_templates .

(ii) The KO will then send the “AP SPE Approval Email” located at https://www.ditco.disa.mil/DitcoContractingTemplates/doku.php?id=acquisition_plan_ap_templates or the “DISA Form 9 – Single Award IDIQ over $103M” email located at https://www.ditco.disa.mil/DitcoContractingTemplates/doku.php?id=d_f_for_single_award_task_or_delivery_order_contract_exceeding_103m, as applicable, to the HCO to obtain HCA review/coordination and SPE approval. Attach the AP, both DISA Form 9s and the consolidated Disposition of Comments document along with the D&F and congressional notification letters (if required). The HCO will then forward the email and attachments to the PLD Front Office staff, including the Director, Deputy Director and administrative staff.

7.104 General procedures (Applicable to Standard APs only)

(a) The requirer is responsible for obtaining concurrence and approval, as well as tracking and monitoring the AP through the process until it is submitted to the KO.

(1) Projects and services that could result in acquisition plans equal to or greater than $100 million must have the acquisition strategy approved by CAE. The ARB (required for $100M or more) may request a briefing on any DISA acquisition to assess its overall acquisition strategy and approach. The criteria for this review will be based on the dollar value and its importance to the Agency’s mission. For additional guidance on the ARB refer to DISA Instruction 610-225-2, Information Systems - Acquisition Oversight and Management and CAE Guideline 001, 004, and 005.

(2) The requirer should use an IPT, Groupware, or other collaborative approaches to obtain stakeholders buy-in. Inviting stakeholders responsible for significant aspects of the AP will ensure that the Agency’s interests are fully represented. The requirer should commence the development of the AP when the need has been identified, preferably well in advance of the FY in which contract award is necessary.

(3) When drafting the AP the requirer, PL41 and KO or contract specialist will use the template(s) located at https://www.ditco.disa.mil/DitcoContractingTemplates/doku.php?id=acquisition_plan_ap_templates. The AP should also reference any applicable budget submission and any decision coordinating paper or program memorandum.

(4) The requirer, in close coordination with the PL41 and the KO, directs the development of the AP with personnel responsible for significant aspects of the plan, (e.g., contracting, fiscal, legal, technical, small business, competition advocate, and logistics). The staffing and coordination will be completed via email for HCO approval, or using one “DISA Form 9, Summary Sheet” for HCA approval, or two “DISA Form 9, Summary Sheets” for SPE approval (see DARS 7.103 (S-91), Required AP signatures/coordinations).

(5) The Requirer must resolve all outstanding issues from personnel responsible for their significant aspects of the AP before its submission to the KO. PL4 and the KO will assist as necessary. Issues that cannot be resolved by the Requirer will be raised to the KO for final resolution.

(6) The Requirer and KO will work together to resolve all outstanding issues from personnel responsible for their significant aspects after submission of the AP to the KO and before its submission for approval by the HCO, HCA, or SPE.

(7) Prior to submitting the AP for approval the Requirer and KO shall ensure that the “milestone dates for the key acquisition and contracting process cycle” documented in the AP are realistic, accurate and complete. The Requirer shall coordinate with the KO and obtain prior agreement on key milestone dates, before coordinating the AP. The Requirer will be held responsible and accountable for any variances to the approved milestone dates.

(8) The requirer notifies the CAE/requirements office and others as appropriate when the AP has been approved or disapproved.

(9) After the AP is approved, the KO will provide a copy of the AP to the requirer and retain the original in the contract file. The requirer is responsible for distributing copies of the approved APs to the AP signatories and the organizations/individuals on the “Form 9, Summary Sheet.”

(S-90) AP approval authority. (See the table at 7.103(d)(i) for dollar thresholds requiring written APs).

Table 7-5.

(S-91) AP revisions.

(1) Revised APs are required to contain strikeouts, underlined new language, and revised vertical lines bars to highlight changes.

(2) Major revisions:

(i) Major revisions require a new signature page/approval, and depending on the magnitude of the revision may result in developing a new AP.

(ii) The PM/SM/PL shall follow the AP approval process for major revisions. Examples of major revisions follow:

(A) Funding increase/shortfall (above the AP thresholds under DARS 7.103. In addition include modifications that breach AP thresholds (which include engineering change proposals)).

(B) Change of scope (Decision on scope change will be made by the KO.)

(C) Change in acquisition or technical strategy

(D) Change in funding types

(E) Key milestone slippage (one quarter or more)

(F) Any significant breach and/or variance of an IT investment cost/schedule/performance baseline/agreement established in compliance with Clinger-Cohen Act and the Government Performance Results Act (GPRA).

(3) Minor revisions:

(i) Minor revisions do not require a new signature page/approval; however, the PM/SM/PL shall provide copies of the revised AP to the original AP signatories.

(ii) The PM/SM/PL shall submit minor revisions as an enclosure to an interoffice memorandum, signed by the PM/SM/PL, to the KO. Examples of minor revisions include:

(A) Funding increase/shortfall (below the AP thresholds under DARS 7.103)

(B) Milestone slippage (less than one quarter)

(C) Change in key points of contact

(D) Recording historical information (e.g., after the award of a planned contract, revise the historical portion of the AP to document the award date, contractor, dollars obligated to date, etc.).

(S-92) AP files.

(1) The PM/SM/PL shall maintain a copy of the AP and any subsequent revisions.

(2) The KO shall ensure the original approved AP and all subsequent revisions become part of the official contract file.

7.105 Contents of written acquisition plans.

(b)(5) Acquisition considerations. The AP should address the minimum guarantee (dollars to be obligated at contract award for the base period) and the maximum dollar amount to be ordered. (See DARS 16.504(a)(2)).

(S-90) The standard AP and streamlined AP templates are located at https://www.ditco.disa.mil/DitcoContractingTemplates/doku.php?id=acquisition_plan_ap_templates.

207.170 Consolidation of contract requirements.

207-170-3 Policies and procedures.

(a) If the proposed consolidation exceeds $6M, any AP must include: (1) results of the market research, (2) consideration of alternatives requiring less consolidation, and (3) a determination by the HCA or the SPE that the consolidation is necessary and justified.

(3) The required Determination and Findings (D&F) should be a standalone document that supports the proposed consolidation approach (see DFARS 207.170 Consolidation of contract requirements). The D&F shall accompany any AP through the approval process. The consolidation of requirements shall also be addressed in any AP. Any AP discussion of consolidation of requirements shall be addressed under the paragraph on Sources, as required at FAR 7.105(b)(1) and shall reference the D&F and provide a brief summary thereof. The determination shall include the acquisition strategy information required in DFARS 207.170-3. The following approval thresholds and authorities are established for processing the D&F:

Dollar Threshold: Approval Authority:

$6M to $100M Head of Contracting Activity (HCA)

$100M or greater Senior Procurement Executive (SPE)

SUBPART 7.3 — CONTRACTOR VERSUS GOVERNMENT PERFORMANCE

7.302 Policy.

(S-90) The PM/SM/PL shall examine all options and perform all mission responsibilities and functions using their own resources to the maximum extent practicable.

(S-91) Evaluation. Upon completion of the final Government review of the cost comparison, the HCA makes the final determination for performance by the Government or by a contractor.

(S-92) Upon completion of the public review period and resolution of any questions, the HCA shall provide the KO a written notification of the final cost comparison decision.

(S-93) Appeals. The SPE provides informal administrative review of the initial cost comparison result.

(S-94) The KO shall forward requests to the Director for Procurement (PLD), who will coordinate the review with DISA’s Chief Financial Executive (CFE) and the SPE.

SUBPART 7.5 -- INHERENTLY GOVERNMENTAL FUNCTIONS

7.503 Policy.

(e) The PM/SM/PL may satisfy this requirement by including a written statement (FAR 7.503) in the AP or providing the statement as an attachment to the specification, (i.e., statement of work (SOW), statement of objectives (SOO) or performance work statement (PWS)). Disagreements regarding the determination shall be resolved by a contracting official one level above the KO before the issuance of the solicitation.

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