Previous PageTable Of ContentsNext Page

DLAD PART 9 – CONTRACTOR QUALIFICATIONS



PART 9 – CONTRACTOR QUALIFICATIONS

(Revised November 20, 2013, through PROCLTR 2014-39)

TABLE OF CONTENTS

SUBPART 9.1 – RESPONSIBLE PROSPECTIVE CONTRACTORS

9.104-1-90 General standards.

9.104-2 Special standards.

9.105 Procedures.

9.105-1 Obtaining information.

9.105-2 Determinations and documentation.

9.106-1 Conditions for pre-award surveys (PAS).

9.106-2 Requests for pre-award surveys.

9.106-4 Reports.

9.106-90 DLA pre-award survey monitors.

SUBPART 9.2 – QUALIFICATIONS REQUIREMENTS

9.202 Policy.

9.203-90 Qualified product lists (QPLs), qualified manfacturer’s lists (QMLs), qualified bidders lists (QBLs) and qualified testing suppliers lists (QTSLs).

9.206-2-90 Contract clause.

9.207 Changes in status regarding qualification requirements.

9.207-90 Solicitation provisions and contract clauses for DLA special supplies, equipment and other items.

SUBPART 9.3 – FIRST ARTICLE TESTING AND APPROVAL

9.302 General

9.302-90 DLR First Article Requirements

9.306 Solicitation requirements.

9.308 Contract clauses.

9.308-1 Testing performed by the contractor.

9.308-2 Testing performed by the Government.

9.308-2(90) Pre-award sample(s) for medical materiel.

9.390 Compatibility testing.

9.391 Government fit verification testing.

SUBPART 9.4 – DEBARMENT, SUSPENSION, AND INELIGIBILITY

9.404 System for Award Management Exclusions.

9.404-90 Sources for clothing/textile components.

9.404-91 Identification of sources for all components for clothing/textile items.

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.

9.407-3 Procedures.

SUBPART 9.1 – RESPONSIBLE PROSPECTIVE CONTRACTORS

9.104-1-90 General standards.

(c)(1) Assuring that contracts are awarded to responsible prospective contractors necessitates the maintenance of contractor performance history and 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 applicable quality history records (e.g., Quality Evaluation Program (QEP), Supply Discrepancy Reports (SDRs)) should be included in the contracting officer's determination and documentation of contractor responsibility.

(g)(1) Standards for drugs. The Food and Drug Administration (FDA) has cognizance of all quality aspects of certain medical items (predominantly drugs) in accordance with the Memorandum of Understanding (MOU) between DoD and FDA. At the request of DLA Troop Support, FDA will review the capability of a supplier to produce drugs and biologics of an appropriate quality whenever acquisition by DLA Troop Support of such an item is pending. It is within the discretion of the contracting officer to rely upon FDA conclusions regarding the capability 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.

(h) Solicitation provisions and contract clauses.

(1) Use clause 52.209-9014 for base support acquisitions involving installation access to the Defense Logistics Agency facility located in Richmond, Virginia.

9.104-2 Special standards.

(b)(90) Contract clause. Insert the clause at 52.209-9031in DLA Energy solicitation and contracts when the offeror is required to meet special standards of responsibility, prior to award, in addition to the general standards for meeting responsibility requirements. See FAR 9.104-2 for further guidance. This clause shall not to be used to create qualification requirements as stated in FAR 9.2. Other DLA contracting activities may use this clause as needed when similar conditions exist. The contracting officer shall insert a description of the requirement, i.e., letter, permit, license, authorization, proof of capability, in paragraph (a).

9.105 Procedures.

9.105-1 Obtaining information.

(90)(a) Whenever updates are made to SAM (i.e., when contractors that have been identified as debarred, suspended, proposed for debarment, or otherwise ineligible for award), DLA Information Operations (J6) shall update the Defense Contractor Review List (DCRL) and distribute an updated version to all DCRL Monitors not less than quarterly.

(90)(b) Insert DLAD clause 52.209-9032 in all solicitations for overseas contingency operation support contracts in excess of $10 million per year. This provides authority for the contracting officer to request an offeror to provide total company ownership information prior to award of any overseas contingency operation support contract in excess of $10 million per year.

(91)(c) When making determinations of responsibility, contract specialists shall—

(2) Not more than two days prior to award, review SAM to ensure the prospective contractor is not listed, and include documentation in the file.

(ii) Federal Awardee Performance and Integrity Information System (FAPIIS).

(92) Defense contractor review list (DCRL).

(a) Entering a contractor on the DCRL.

(b) Maintenance and dissemination.

(c) Effect of the listing.

(d) Contractor performance history (CPH). When the DCRL Special Attention Treatment Code description states “review contractor performance history,” request a CPH, including specific actions recommended for the current procurement.

(e) Reviewing/updating information on DCRL.

(f) The Quarterly DCRL Review Board is responsible for reviewing actions of the DCRL Monitors and ensuring the contractor listing is accurate and up to date.

(4) Information in the DCRL consists of Reason/Treatment codes, the date the contractor was placed on the DCRL, and a brief recommendation/instructions narrative.

(93) The DCRL Special Attention Reason Codes and Treatment Codes

(a) Recommendations/instructions are cited for each supplier/CAGE code listed and are to provide visibility of known/potential areas of concern and actions that shall be taken to address such issues. When a PAS results in a negative DCRL recommendation for a small business, then a Certificate of Competency is required. The only instances of “do not award” involve cases of debarment, suspension, and proposed debarment except as otherwise directed by the Fraud Monitor or Business Integrity (Fraud) Counsel.

(b) Special Attention Reason codes.

(1) For DCRL Special Attention Reason Code A, the EProcurement “Debarment Status” field will be coded as: “D” for Debarment, a “P” for proposed debarment/suspension, or “S” for suspended.

DCRL Special Attention Reason Codes

Description

Help Text

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.

B

Recommended for Debarment

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.

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.

D

Termination for Default

Termination for Default. Contractors in this category have been terminated for default within the previous twelve months.

E

Financial Difficulties

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 timely completion of the contract or contractor application for reorganization under bankruptcy laws (Chapter 11). Information may include formal bankruptcy notifications, or information informally obtained from credible sources.

F

Chapter 7 Bankruptcy

Business Closings (Including Chapter 7 Bankruptcy). This category includes contractors and individuals who have ceased business operations, are in the process of liquidating under bankruptcy laws (Chapter 7), or are otherwise going out of business.

G

Negative Pre-award Survey

Negative Pre-award Survey. Contractors are included in this category when a pre-award survey (PAS) that recommends no award has been received within the last twelve months

H

DCMA Imposed Corrective Action

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

I

In DCMA Delivery Schedule Manager

DCMA Delivery Schedule Manager. DCMA has relevant information concerning contractors in this category.

J

Delinquent Performance

Delinquent Performance. This category includes contractors that have exhibited a pattern of delinquencies.

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. This code applies to contractors that: (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 notify the contracting activity that it will not perform under purchase orders just prior to due date in an apparent effort to reduce its delinquency rate. (5) Frequently fail to accept bilateral or perform unilateral purchase orders.

L

Pricing Discrepancies

Pricing Discrepancies (Excessive prices). Contractors are in this category when information indicates prices may not be fair and reasonable.

M

Fast Pay Discrepancies

Fast Pay Discrepancies/Abuse Contractors are included in this category when there is evidence that a contractor is violating or has violated the Fast Pay procedure (e.g., contractor has invoiced the Government without shipping the supplies).

N

Potentially Defective Material

Potentially Defective Material. Any DoD component has issued notifications regarding potentially defective material supplied by contracts in this category.

O

Counterfeit Material and Unauthorized Substitution

Counterfeit Material and Unauthorized Product Substitution. Contractors in this category are under surveillance by the Counterfeit Material/Unauthorized Product Substitution (CM/UPS) Team.

P

Nonconforming Supplies

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.

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.

R

Miscellaneous

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.

S

Sensitive Information

Sensitive Information. Specific instructions apply to contractors listed in this category. These instructions are not necessarily related to responsibility and the reason for placement in this category shall not be stated in the DCRL due to sensitivity. The "Remarks" section of the DCRL may contain a point of contact for information regarding these contractors. Sensitive information regarding these contractors shall not be disclosed to unauthorized persons.

T

Delinquent on Delivery Reduction

Substantially Delinquent on Delivery Reduction Incentive/Delivery Evaluation Factor Awards.

U

Work Stoppage

Work Stoppage.

V

Suspected Fraud or Collusion

Suspected Fraud or Collusion/Deceptive Business Practices.

W

Combined CAGE Codes

Combined CAGE Codes. Performance history for two or more CAGE codes have been combined for PPIRS purposes.

X

Contractor Report No Receipt of PO

Contractor Reported for Non-Receipt of Purchase Order.

Y

Affiliated Contractor

Contractor is affiliated with one or more other contractors. More than one contractor within an affiliation is participating in the same bid.

DCRL Special Attention Treatment Codes

Description

Help Text

01

Reserved

Reserved

02

Evidence of AID MFR Part Number

For Part Numbered items, get evidence item was acquired from Manufacturer (MFR) cited in the Acquisition Item Description (AID)

03

Traceability requirements

For FSGs/FSCs/NSNs requiring additional risk mitigation and the offeror is not identified as an approved source, require the offeror to submit traceability documentation.

04

Withhold Fast Pay Recommended

Withholding of Fast Pay recommended

05

Recom PAS > SAT/ Verbal < SAT

Recommend Pre-award Surveys for large buys/verbal pre-award surveys for simplified buys

06

Fraud Monitor Coordination Required

Forward any proposed awards through Fraud Monitor

07

Source Inspection Recommended

Source Inspection recommended (use of source inspection evaluation factor authorized after formal notification to contractor)

08

Do not solicit or award

Do not solicit or award

09

Review Contractor Performance History

Review Contractor Performance History (CPH)

10

Report Suspect Material to Fraud Monitor

Report suspected material problems to Business Integrity (Fraud) Counsel

11

Coordinate with DCMA

Coordinate with DCMA

12

Corrective Action Report Level IV approval required

CAR Level IV, approval required for award

13

Bilateral Award Email to Fraud Monitor

Bilateral Award – email contractor’s name and CAGE, contract/purchase order no., and NSN to Fraud Monitor

14

Coordinate Mods with Fraud Monitor

Post award – Coordinate all administrative actions (modifications) with Fraud Monitor or Fraud Counsel

15

Deter Resp/Nonresp required

Prepare formal determination of responsibility/nonresponsibility

16

CAGE Combined for PPIRS Info

This CAGE Code has been combined with other CAGE codes for PPIRS purposes (For Informational Purposes Only)

17

Coordinate Cost and Price Office

Coordinate with Cost and Price Office

18

Report to Fraud Counsel

Report to Business Integrity (Fraud) Counsel

19

Coordinate with Office of Counsel

Coordinate with Office of Counsel

20

Refer to DCRL Narrative Detail

Refer to DCRL Narrative for details

21

Product Testing Requirements

For FSGs/FSCs/NSNs requiring additional risk mitigation and the offeror is not identified as an approved source or if the quality of the product is questionable, test the offered product per listed requirements.

22

Recommend no DRI/DEF awards

Recommend no delivery reduction Incentive/Delivery Evaluation Factor Awards

23

Coordinate indust prep monitor

Coordinate with industrial preparedness monitor

24

Quality Review Required

Product specialist shall validate the product quality record

25

Reserved

Reserved

26

Recommend price reasonableness

Recommend documentation of price reasonableness

27

Suspend automated awards

Suspend from automated systems (case by case basis)

9.105-2 Determinations and documentation.

(a) Determinations.

(1) If it is determined that award will be made to a contractor listed on the DCRL that has a questionable quality history but is determined responsible in accordance with FAR 9.104 and 9.105, the contract specialist shall—

(b) Support documentation.

(2)(i)(S-90)(A) Prior to executing a non-responsibility determination meeting the conditions of FAR 9.105-2(b)(2)(i), the contracting officer shall submit an undated/unsigned draft determination with relevant supporting documents to the Office of Counsel for review. After receipt of written confirmation that Counsel has reviewed the determination, the contracting officer shall execute the determination

(B) For simplified acquisitions, an annotation on Form 395, Significant Events, in the Contract File is generally sufficient to document the contract specialist’s actions.

(C) Distinguishing responsibility determination from past performance evaluation factor. Contract specialists shall not make a determination of responsibility based solely on past performance information that applies to evaluation of the contractor’s offer (e.g., PPIRS score). A contractor may have favorable PPIRS scores but could be included on the DCRL for reasons that will preclude a determination of responsibility.

(D) Data shall be input into FAPIIS as follows:

entering non-responsibility determinations into FAPIIS.

Office of Counsel on the determination, they shall notify their FAPIIS POC that they have a non-responsibility determination that is required to be reported in FAPIIS. The contracting officer or contract specialist shall provide the following information to their FAPIIS POC:

Action date (date the determination was signed by the contracting officer)

Solicitation number

NAICS code:

Product/service code

Contractor’s DUNS number

Contractor’s CAGE code

Contractor’s name

Contractor’s address

Contracting officer’s DODAAC

Contracting officer’s name, phone number, and email address

Copy of the final determination (Note: Attachments must be properly marked; e.g. “For Official Use Only/Source Selection Sensitive – FAR 2.101 and 3.104)

Written confirmation that the determination was reviewed by Office of Counsel (no privileged information should be included in the documentation provided to the FAPIIS POC).

working days from the action date. FAPIIS POCs shall notify the contracting officer when the record has been submitted. The contracting officer shall document the contract file to show that the non-responsibility determination was reported to FAPIIS.

9.106-1 Conditions for preaward surveys (PAS).

(a)(S-90)(1) A Formal PAS is a thorough evaluation of the prospective contractor's capability, experience, and performance history, which can be either an on-site (preferred) or desk survey. An Informal PAS is utilized when information is readily available and does not require a more in-depth evaluation. The following list identifies some of the situations where a survey is strongly recommended on a prospective contractor (manufacturer or non-manufacturer); contracting activities or offices may also request a survey in other situations when they deem it appropriate:

(2) To request a pre-award survey (PAS):

product specialist for a recommendation as to whether the quality portion of the PAS is required. The response from the product specialist can be used to determine whether to include or exclude the quality portion of the PAS. Product Specialist responses may include:

conducted.

be done.

documentation will be required from the product specialist’s organization.)

9.106-2 Requests for pre-award surveys (PAS).

(90)(a) 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.

(b) For items assigned to the U.S. Department of Agriculture, the U.S. Department of Commerce, and/or the U.S. Army Veterinary Corps for source inspection, the quality assurance personnel representing the contracting officer, and other military agencies, as deemed necessary, will be requested to participate in the PAS, and their comments will be included in the quality assurance portion of the report.

9.106-4 Reports.

(a) 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.

(b) When a contracting officer's determination of contractor responsibility is inconsistent with the recommendation in the PAS report, the rationale shall be documented in the contract file. The PAS monitor shall advise the surveying facility of the contracting officer's decision.

(c) Contract specialists shall document the procurement file accordingly.

(d) When the contracting officer makes a determination regarding the prospective contractor's responsibility that is contrary to that recommended in the PAS report, the reason for not following the PAS report recommendation shall be included in the contract file. In each instance when the PAS report recommendation is not followed, the chief of the contracting office must review and concur with the rationale. The contracting officer shall provide written notice to the surveying activity that performed the PAS of the reason for not following the PAS recommendation.

9.106-90 DLA pre-award survey monitors.

(a) Each contracting activity or office will designate an organizational element to serve as the focal point for PAS 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 PAS, the contracting officer 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 contracting activity’s or office’s quality assurance personnel. The PAS Monitor shall:

(4) A register of all PAS requests and responses shall be maintained in a current status by the PAS monitor at each contracting activity or office. In addition, maintain the tracking number (e.g., PAS number) as an audit trail.

SUBPART 9.2 – QUALIFICATIONS REQUIREMENTS

9.202 Policy.

(a)(1)(S-90) The chief of the contracting office shall provide to DLA Acquisition J72 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 J72 and the Director, DLA Acquisition (J7) is not required, unless J72 or the Director 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 contracting activity or office competition advocate and the activity commercial advocate.

9.203-90 Qualified product lists (QPLs), qualified manfacturer’s lists (QMLs), qualified bidders lists (QBLs) and qualified testing suppliers lists (QTSLs).

(a) Solicitation provisions and contract clauses.

(1) QPL connector assemblies and QPL electrical contacts.

contacts listed on other QPL(s). Qualified testing suppliers list. Use clause 52.209-9002 in solicitations and awards for Federal Supply Classes (FSCs) 5961 and 5962 items, including when the acquisition is conducted using FAR Part 12. If a QPL or QML is applicable, also insert FAR clause 52.209-1.

Distributors (QSLD). Use clause 52.209-9012 in solicitations and contracts which have a QSLM and/or a QSLD requirement for the item. There must be an established QSLM/QSLD in place before inclusion of this clause.

all solicitations and contracts that contain component QPL(s)/QML(s).

awards for all FSCs 5961 and 5962 items, including when the acquisition is conducted using FAR Part 12. If a QPL/QML is applicable, also insert FAR clause 52.209-1.

9.206-2-90 Contract clause.

In accordance with FARS DEV 09-04, the contracting officer shall not insert the clause at FAR 52.209-1 when the following conditions apply:

(a) A qualification requirement in the form of a QSLD or QSLM has been established by the contracting activity or office, in accordance with the requirements in FAR and DLAD 9.2;

(b) A DLAD clause that provides notice of QSLD or QSLM requirements, instructions for obtaining provisions governing qualification, and associated contract terms and conditions has been authorized for repetitive use in accordance with 1.301-91(b); and

(c) No additional qualification requirement in the form of a QPL, QBL, or QML applies.

9.207 Changes in status regarding qualification requirements.

(b) See 11.302-90 for policy regarding notification and assistance to sources removed from the item description.

9.207-90 Solicitation provisions and contract clauses for DLA special supplies, equipment and other items.

(a) Ensure that the ALRE provision 52.209-9001 is included in the solicitation for all ALRE requirements with a Special Procedures Code (SPC) of “01” and when the Acquisition Method Suffix Code (AMSC) is B, C, K, M, N, S, V, or Y.

SUBPART 9.3 – FIRST ARTICLE TESTING AND APPROVAL

9.302 General

9.302-90 DLR First Article Requirements.

First Article requirements supporting Depot Level Repairable (DLR) items shall be solicited, evaluated, and awarded as required by the specific service requirements. Requirements, including testing requirements, disposition of first article items, and clauses associated with the first article items shall be in accordance with the service DLR specifications.

9.306 Solicitation requirements.

(c)(1) Insert 52.209-9019 in solicitations and contracts for items that require first article testing, including when acquiring items using FAR Part 12; unless—

(i) The information provided by the product specialist in the Material Master (Classification section > Product Assurance tab) indicates the specification requires submission of drawings for Government approval prior to production of first article test units; for this exception, insert 52.209-9019 with its Alternate I and 52.209-9021;

(ii) The acquisition is for DLA Aviation DLR items managed by Army Aviation and Missile Command (AMCOM); for this exception, insert 52.209-9019 with its Alternate II; or

(iii) The acquisition is for DLA Land and Maritime DLR items managed by Logistics Command (LOGCOM); for this exception, insert 52.209-9029.

(S-90)(1) When acquiring items that require FAT (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 SAT, clause 52.209-9015 may be used if—

(i) One or more sources are identified as having been previously approved for waiver of the FAT requirements, and the contracting officer has confirmed with the product specialist that the sources are still eligible for a waiver;

(ii) The file is thoroughly documented with the rationale for considering only items produced by sources eligible for waiver of the FAT requirements; and

(iii) The price can be determined fair and reasonable.

(2) When clause 52.209-9015 is used, the contracting officer shall—

(i) Delete from the solicitation any clauses other than 52.209-9015 that reference FAT; and

(ii) Correct the item description by—

(A) Deleting any reference to FAT requirements ; and

(B) Adding the following statement “This procurement is limited to consideration of quotes/offers for items produced by sources that are eligible for waiver of first article testing requirements (see 52.209-9015).”

(f) Insert clause 52.211-9019, Reduced Delivery Schedule Applies when First Article Testing Requirements are Waived, in all solicitations and contracts for items that require FAT, including when acquiring items using FAR Part 12.

(i)(S-90)(A) When FAR 52.209-3 applies and the Government’s cost to review the contractor’s FAT report will be used as a factor in evaluating offers, insert the provision at 52.209-9016 with its Alternate I, in solicitations, including when acquiring items using FAR Part 12.

(B) When FAR 52.209-4 applies and the Government’s testing cost will be used as a factor in evaluating offers, insert provision 52.209-9016 in solicitations, including when acquiring items using FAR Part 12.

(i)(S-91) First article evaluation factors, Logistics Command (LOGCOM) DLA Land and Maritime.

(A) Insert the provision at 52.209-9030, First Article Evaluation Factors (LOGCOM DLR – DLA Land and Maritime) in solicitations for DLA Land and Maritime acquisitions of depot level repairable items managed by LOGCOM when first article testing is required.

(B) Use the provision with its Alternate I when the first article testing will be performed by the Government.

9.308 Contract clauses. .

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 FAT 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(S-90)(1));

(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 prepare and submit the test report; and

(ii) Use two-party, negotiated acquisition procedures when acquiring items that require first article testing. Micro-purchase procedures and simplified acquisition procedures that solicit and/or award automatically shall not be used.

(91) Solicitation.

(i)(A) Insert the clause at FAR 52.209-3 with its Alternate I. Complete the fill-ins, including the actual number of units required for testing, with information in the Material Master (Classification section > Product Assurance tab);

(B) Ensure the delivery schedule specified in the solicitation includes the number of calendar days allotted to the contractor for FAT 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 Service Material Number S00000053 (Additive CLIN) for ““Contractor first article test (FAT) (including test report).” Within the Additive CLIN insert:

(i) The inspection and acceptance points;

(ii) 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 below, including when acquisitions are conducted using FAR Part 12:

(A) 52.209-9017, First Article - Contractor Test – Additional Requirements; 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 the awardee will be required to perform contractor FAT;

(2) Use Alternate II for clothing and textile (C&T) items;

(3) Use Alternate III when the Material Master (Classification section > 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 shall be thoroughly documented in the contract file.

(5) Use Alternate V when the product specialist has communicated to the contracting officer that the item requires in-process verification of the first article manufacture by the cognizant quality assurance representative (QAR).

(92) Evaluation of offers. Review the price offered for the “Contractor First Article Test (FAT) (including test report). The price offered must be determined fair and reasonable as well as the price offered for the production units. Evaluation shall be based in part on the terms for disposition of the first article units.

(93) Award of contract.

(i) When award is made for an item that requires Contractor FAT, the following requirements apply:

(A) Ensure the appropriate Service Material Numbers (Additive CLIN) are established for Contractor FAT in the award document and in SAP, upon funding of the award. 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) Ensure all appropriate documents are placed in the electronic contract file (ECF).

(1) Outline agreements. When awarding outline agreements that include items with FAT requirements, lock the Service Material line item on the delivery order, to prevent payment of the line prior to receipt of the testing/approval certification; and lock the “FAT” row in SAP.

(2) When FAR clause 52.209-3 was included in the solicitation, and it has been determined that the FAT and approval requirements will be waived for the awardee, the contracting officer shall reflect this in the award by taking the following actions:

(i) Insert the clause at 52.209-9020 in the award; and

(ii) Correct the item description by—

(A) Deleting any reference to first article testing in the purchase order test (POT); and

(B) Add the following statement: FAT 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 are clearly stated;

(B) Sources currently waived for Government FAT 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(S-90)(1)); and

(C) The number of calendar days allotted for the contractor to produce and deliver the first article units to the Government testing facility is commensurate with the amount of time it will take the contractor to obtain materials, produce the first article units, perform all the required tests, and deliver the first article units to the testing facility.

(ii) Use two-party, negotiated acquisition procedures when acquiring items that require Government FAT. FAT acquisitions can be Auto Solicited but not Auto Evaluated or Auto Awarded.

(91) Solicitation. Insert the clauses as prescribed below, with alternates, as applicable:

(i)(A) Insert the clause at FAR 52.209-4, First Article Approval – Government Testing, with its Alternate I;

(B) Complete the fill-ins in FAR 52.209-4 with information in the Material Master (Classification section > Product Assurance tab); and

(C) Ensure the delivery schedule specified in the solicitation includes the number of calendar days allotted to the contractor to produce and deliver the first article units; and the number of calendar days allotted to the Government to test the first article units and provide disposition to the contractor; and

(D) Select the Service Material Number S00000052 (Additive CLIN) for “Government First Article Test (FAT).” Within the Additive CLIN insert:.

(1) The inspection and acceptance points.

(2) The quantity and unit of issue as “1 EA.”

(ii) Insert the clauses in solicitations and contracts as prescribed below; including when acquisitions are conducted using FAR Part 12:

(A) 52.209-9018 with its alternate(s) as prescribed below, if applicable—

(1) Use Alternate I when the product specialist has communicated to the contracting officer that the item requires in-process verification of the first article manufacture by the cognizant quality assurance representative (QAR).

(2) Use Alternate II for clothing and textile (C&T) items;

(3) Use Alternate III for Medical and Subsistence items. The contracting officer shall complete the appropriate fill-in in paragraph (a)(2)(ii) with information in the Material Master (Classification section > Product Assurance tab); or, if no alternative direction appears, mark “Other,” and insert “in accordance with contract terms.”

(4) Use Alternate IV for meal, ready-to-eat (MRE) and tray pack items;

(5) Use Alternate V when the item description cites that MIL-STD-1525B applies;

(6) Use Alternate VI when the Material Master (Classification section > Product Assurance tab) specifies terms for disposition of the first article units that differ from the terms in FAR 52.209-4. The contracting officer shall complete the appropriate fill-in;

(7) Use Alternate VII when progress payments for the first article units are authorized in the contract. Circumstances justifying the need for progress payments (e.g., when exceptionally high start-up costs are anticipated, etc.) and the basis for determining the maximum dollar value and/or percentage of total contract price shall be thoroughly documented in the contract file.

(8) Use Alternate VIII in requests for quotes when Government FAT requirements apply, and the contracting officer determines its use is appropriate (e.g., if prior quoters for the item are known to have submitted unbalanced quotes in the past, etc.).

(92) Evaluation of offers.

(i) Review the price offered for the Government FAT. The price offered must be determined fair and reasonable, as well as the price offered for the production units. Evaluation shall be based in part on the terms for disposition of the first article units.

(ii) If provision 52.209-9016 was included in the solicitation, the Government’s estimated testing costs shall be used as a factor in evaluating offers.

(93) Award.

(i) When award is made for an item that requires Government FAT, the following requirements apply:

(A) Ensure the Service Material Numbers (Additive CLIN) are established for Government FAT in the award document and in SAP, upon funding of the award. Whether separately priced or not, a FAT 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 a payable.

(B) Ensure all appropriate documents are placed in the electronic contract file (ECF).

(C) The FAT/Testing Monitor (or the contracting officer, when serving as the FAT/Testing Monitor) is responsible for providing notice to the testing facility upon receipt of the notice required from the contractor prior to the date when the contractor will present the first articles to the QAR for inspection.

(D) Outline agreements. When awarding outline agreements that include items that require “Government First Article Test (FAT),” lock the Service Material line item on the delivery order, to prevent payment of the line prior to receipt of test/approval certificate; and lock the FAT row in SAP.

(ii) Waiver of Government FAT. When clause 52.209-4 was included in the solicitation, and it has been determined that the FAT 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 clause 52.209-9020 in the award;

(B) Reduce the delivery schedule specified in the solicitation by the number of calendar days allotted to the contractor to produce and deliver the first article units; and the number of calendar days allotted to the Government to test the first article units and provide disposition to the contractor; and

(C) Correct the item description by –

(1) Deleting any reference to FAT; and

(2) Adding the following statement “FAT requirements are waived for this procurement.”

9.308-2(90) Pre-award sample(s) for medical materiel. Use 52.209-9003 in solicitations for medical materiel.

If the contracting officer determines that routine PAS techniques are inadequate or have failed to result in a conclusive determination of the prospective contractor’s responsibility, the clause allows the contracting officer to request a sample to verify responsibility.

(a) Preaward samples may be required only when the contracting officer has included in the file written documentation detailing the reasons that a conclusive determination of the prospective contractor’s responsibility is not possible unless preaward samples are submitted for evaluation.

(b) The clause shall not be used when any of the following conditions exist:

(1) Sole source items

(2) Rapid entry items

(3) Military unique items

(4) Repair parts

(5) Customer Direct purchases

(6) Bid samples are required

(7) First article testing is required

(c) Insert in paragraph (a) the item number(s) and number of units required; insert in paragraph (c)(2) the number of days, not to exceed 20 days, needed to evaluate the samples.

9.390 Compatibility testing.

When the Material Master indicates compatibility testing is required, insert clauses 52.209-9022 and 52.209-9023 in solicitations and awards, including when acquisitions are conducted using FAR Part 12. Complete the fill-ins in 52.209-9023 with information shown in the Material Master (Classification section > Product Assurance tab).

9.391 Government fit verification testing.

When acquiring DLA Aviation items and the Material Master indicates Government fit verification testing is required, insert clauses at 52.209-9024 and 52.209-9025 in solicitations and awards, including when acquisitions are conducted using FAR Part 12. Complete the fill-ins in 52.209-9025 with information shown in the Material Master (Classification section > Product Assurance tab).

SUBPART 9.4 – DEBARMENT, SUSPENSION, AND INELIGIBILITY

9.404 System for Award Management Exclusions.

The records required by FAR 9.404(b) are maintained for DLA by the Special Assistant for Contracting Integrity (SACI).

9.404-90 Sources for clothing/textile components.

Use 52.209-9004 in all orders for National Industries for the Blind (NIB) and SourceAmerica clothing and equipment items which are to be fabricated in whole or in part from a cloth or textiles subcontractor.

9.404-91 Identification of sources for all components for clothing/textile items.

Use 52.209-9005 in solicitations for clothing/textile items which are to be fabricated in whole or in part from cloth or textiles.

9.405 Effect of listing.

(a) In order to take one of the contracting actions identified in FAR 9.405, 9.405-1(b), or 9.405-2, the activity Commander or Director (or the CCO for contracting offices for which the Director, DLA Acquisition, is the HCA) shall forward a written request, including supporting information and rationale that has been reviewed and approved by the HCA, to the SACI via the Office of Counsel for a determination that there is a compelling reason to make an exception. The proposed contracting action may not be taken until the SACI notifies the affected contracting activity or office that an exception has been approved. Upon approval of the exception, the SACI is responsible for providing a copy of the determination to the General Services Administration as required by DFARS 209.405(a).

(S-90)(a) From the time a report recommending debarment or suspension is forwarded to the General Counsel, until determination is made whether to initiate debarment or suspension action, the recommending activity or office and any other affected contracting activity or office that is aware of the recommendation will coordinate with the DLA General Counsel, before taking any of the following actions with respect to the subject contractor:

(1) Awarding a contract, issuing a purchase order, or entering the contractor's name in an automated purchase system.

(2) Renewing or otherwise extending an existing contract or subcontract.

(3) Consenting to or approving a subcontract to be awarded by or to the contractor.

(4) Authorizing novation of a contract or agreeing to change of name for the contractor.

(b) Upon submission to the DLA General Counsel of a report recommending debarment or suspension, contracting officers, in coordination with Office of Counsel, will consider removing the subject contractor's name from all automated purchase systems. If the removal is accomplished, one contracting officer at each affected contracting activity or office shall notify the contractor that the contractor has been removed from the systems and a report recommending the contractor's suspension or debarment has been submitted to DLA Suspension and Debarment Official. The notice shall include a brief summary of the reasons for the recommendation. Through Counsel, each affected activity or office shall notify the DLA General Counsel, by telephone when the contractor is removed from automated purchase systems. For simplified acquisition purchase procedures, for other than automated purchase systems see subparagraph (c)(3) below.

(c) Prior to a determination whether to suspend or debar a contractor recommended for debarment or suspension, if the subject contractor submits an offer that is otherwise in line for an award, the cognizant contracting officer will review the fact sheet furnished pursuant to 9.406-3(a)(S-90)(iv)(A) below and any other supporting data that the contracting officer deems relevant.

(1) After review of the fact sheet and supporting data, if the contracting officer proposes to award the contract to the subject contractor, the contracting officer, through the Office of Counsel, shall coordinate with the DLA General Counsel, prior to making the award.

(2) After review of the fact sheet and supporting data, if the contracting officer determines that the contractor is not responsible, the contracting officer shall notify the contractor of the determination in writing, advise the contractor that a recommendation to suspend or debar the contractor has been forwarded to the DLA Suspension and Debarment Official, and provide to the contractor a brief summary of the reasons for the recommendation and for the determination of nonresponsibility. If the contractor is a large business, the contracting officer shall proceed with award to the next low responsible offeror that has submitted a responsive bid or technically acceptable proposal.

(3) If a contractor inquires as to the status of a quote it submitted under simplified acquisition procedures other than by automated purchase systems, advise the contractor that a recommendation to suspend or debar the contractor has been forwarded to the DLA Suspension and Debarment Official whenever the facts supporting the recommendation are the basis for rejecting the contractor's quotation. Provide the contractor a brief summary of the reasons for the recommendation.

(4) The contracting officer, through the Office of Counsel, shall coordinate by telephone with DLA General Counsel, actions to be taken under subparagraphs (2) and (3) above.

(S-91) Review of files for potential claims and additional remedies.

(1) When a DLA contracting activity or office learns that a contractor has been suspended, debarred or proposed for debarment, or a report has been submitted pursuant to DFARS 209.406-3(a) recommending debarment or suspension, the contracting activity's or office’s records shall be reviewed to determine whether the activity or office has current or has had past contractual relationships with the contractor or its affiliates and, if so, whether the Government may have any basis pursuant to those relationships for recovery of damages from, or other claims against, the contractor.

(2) If a contracting activity or office determines that there may be such a basis, information stating the factual basis in as much detail as practical shall be forwarded promptly toDLA General Counsel.

(S-92) Procedures and responsibilities. To preclude contractors that are debarred, suspended, or proposed for debarment from receiving contracts, contracting activities and offices shall ensure that procedures are in place—

(1) To notify the DCRL monitor when contractors that are identified as debarred, suspended, or proposed for debarment have been added to the System for Award Management (SAM) Exclusions;

(2) To preclude awards of automated delivery orders for long-term contracts (LTCs) to contractors that are debarred, suspended, or proposed for debarment;

(3) To block the automated processing of all purchase requests (PRs) in SAP when a contractor that is suspended, debarred, or proposed for debarment is identified as a sole source, and refer the PR for manual review by the contract specialist.

9.405-1 Continuation of current contracts.

(S-90) Authorization for novation of a contract or change of name agreement held by a contractor debarred or suspended by any Federal executive agency or proposed for debarment by any DoD component shall be coordinated with the DLA SACI through Office of Counsel, prior to such authorization.

9.406 Debarment.

9.406-3 Procedures.

(a)(S-90) Reports based on indictments or convictions.

(i) Submit reports recommending suspension based upon an indictment or criminal information to the General Counsel, within 2 weeks of the date of indictment or information and include a copy of the indictment (signed, with docket number and date).

(ii) For purposes of recommending debarment based on a conviction, submit the report within 2 weeks of the date of sentencing. Include a copy of the judgment or conviction order.

(iii) The contracting activity’s or office’s point of contact shall be an attorney in the Office of Counsel.

(iv) The report required by DFARS and DFARS PGI 209.406-3 shall be signed by the contracting officer, reviewed and approved by the contracting activity’s HCA (Director, DLA Acquisition for contracting offices) and submitted by the Commander or Director of the contracting activity recommending to the DLA General Counsel. Designate the report “For Official Use Only,” unless the contents of the report warrant a security classification.

(v) When a report recommending debarment or suspension is forwarded to DLA General Counsel, provide notice of this action to contracting personnel at the recommending activity or office assigned to commodities for which solicitations are likely to result in offers from the contractor identified in the report and to other DLA contracting offices.

(c)(6) The effect includes the possibility that a PAS evaluation factor may be applied to offers from the debarred source for the period of time specified in 9.106-1(a)(S-90)(1) after the debarment is no longer in effect (see 15.605-90).

9.406-90 Procedures for debarments based on poor performance.

(a) Policy. Where poor performance is to be relied upon as a basis for debarment in accordance with FAR 9.406-2(b), the responsibility for ensuring that action is taken to initiate debarment proceedings lies primarily with the cognizant contracting officer.

(b) Referral. In accordance with the procedures contained in subparagraph (c) below, the cognizant contracting officer will refer to the Office of Counsel those instances of contractor nonperformance that are so serious as to justify consideration of possible debarment action.

(c) Decision-making process.

9.407 Suspension.

9.407-3 Procedures.

(c)(4) The effect includes the possibility that a preaward survey evaluation factor may be applied to offers from the suspended source for the period of time specified in 9.106-1(a)(S-90)(1) after the suspension is no longer in effect (see 15.304(c)(95)).

Previous PageTop Of PageTable Of ContentsNext Page