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
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.
(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) (also located at DISA workspace https://workspaces.disa.mil/gm/Present?object=1.11.367753) templates are contained in the DISA Acquisition Planning Deskbook: http://www.ditco.disa.mil/hq/deskbooks.asp. In support of the AP, the PM/SM/PL may be asked for a draft statement of objectives and/or Independent Government Cost Estimate (IGCE) or cost estimate.
(S-90) Written APs should be prepared for requirements on a program basis, an individual contract basis, or on an individual order basis.
7.103 Agency-head responsibilities.
(d)(i) 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. The following do not require APs:
(1) Modifications within the scope of the contract;
(2) Orders under single award ID/IQs and BPAs;
(3) Communication Service Authorizations (CSAs) awarded under the IQO method or ID/IQ contracts;
(4) 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).)
(S-91) Required AP signatures/coordinations.
(1) AP Signatures. Secure the signatures of the signatories listed below when applicable
(i) PM/SM/PL
(ii) SDA, PEO, CAE or Head of the requirements office
(iii) Contracting Officer (CO)
(iv) AP Approval Authority (reference DARS 7.104 (S-90))
(2) The following individuals must coordinate on the DISA Form 9, Summary Sheet for coordinations or approvals for the HCO, HCA, and SPE.
DISA FORM 9 SUMMARY Coordination and Approval | |||
HCO Approval |
HCA Approval |
SPE Approval | |
One DISA FORM 9 |
One DISA Form 9 |
Two DISA FORM 9s: Working and Senior Level | |
PM/SM/PL |
PM/SM/PL |
PM/SM/PL |
|
SDA |
SDA |
||
PEO |
PEO |
PEO | |
CAE or Head of RO |
CAE or Head of RO |
CAE | |
Chief Information Officer (CIO)* |
CIO* |
CIO* | |
CO |
CO |
CO |
|
PL2 |
PL2 |
PL2 |
|
Director Office of Small Business Programs (OSBP) |
HCO |
HCO |
|
Legal Counsel |
Director OSBP |
Director OSBP | |
PLA*** |
Legal Counsel |
Legal Counsel |
Legal Counsel |
Deputy PLD |
PLA*** |
PLA*** |
|
HCO** |
Deputy PLD |
Deputy PLD |
|
HCA** |
HCA** |
HCA** | |
SPE |
* DISA CIO or designee must confirm Clinger Cohen compliance For MAIS programs, the DoD CIO also must confirm Clinger Cohen Act compliance (see DODI 5000.2 encl.5). .
** The CO must coordinate and concur on the DISA FORM 9 before forwarding to the HCO or HCA in all cases.
*** Agency Competition Advocate (PLA) must coordinate only if the AP is recommending other than full and open competition.
(a) The PM/SM/PL is responsible for tracking and monitoring the AP through the approval process. One of the primary functions of the PM/SM/PL is to secure the concurrence and approval signatures for the approval of the AP.
(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 PM/SM/PL 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 PM/SM/PL 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 PM/SM/PL and CO or contract specialist will use the appropriate template as designated in 7.103(d)(i) above and as provided in the Acquisition Planning Deskbook. The AP should also reference any applicable budget submission and any decision coordinating paper or program memorandum.
(4) The PM/SM/PL, in close coordination with the CO, 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 using a “DISA Form 9, Summary Sheet” (see DARS 7.103 (S-91), Required AP signatures/coordinations).
(5) The PM/SM/PL or CO shall submit the AP to PL2 via outlook mailbox “PL22 Policy Compliance Review Request” for all AP reviews that require HCA coordination or approval. PL2 will coordinate with PL4. PL2 requires three (3) business days, starting from the date and time of receipt recorded in the above referenced mailbox, to provide its AP review coordination response to the requestor. The documents submitted for PL2 review shall include at a minimum the AP, IGCE, and the SOW/ SOO or PWS.
(6) The PM/SM/PL must resolve all outstanding issues from personnel responsible for their significant aspects of the AP before its submission of the AP for approval by the HCO, HCA, or SPE. Issues that cannot be resolved by the PM/SM/PL will be raised to the CO and appropriate approval authority for final resolution.
(7) Prior to submitting the AP for approval the PM/SM/PL shall ensure that the “milestone dates for the key acquisition and contracting process cycle” documented in the AP are realistic, accurate and complete. The PM/SM/PL shall coordinate with the CO and obtain prior agreement on key milestone dates, before coordinating the AP. The PM/SM/PL will be held responsible and accountable for any variances to the approved milestone dates.
(8) After concurrence by all the stakeholders, but before AP approval, the AP is forwarded to the CO. The DISA Form 9 is to be complete, accurate and conform to the instructions and guidance of the Action Officer’s Handbook. After the CO reviews and concurs with the AP and DISA Form 9, Summary Sheet, they are forwarded to the HCO for coordination or approval.
(9) The AP, with its accompanying “DISA Form 9, Summary Sheet(s)” is then forwarded to the HCA for approval (see (12) when HCA is the SSA) or coordination for SPE. The PM/SM/PL is responsible for providing periodic status updates to involved parties including the PEO/ CAE/requirements office, and the CO when the review and approval process has commenced. The frequency of these updates is based on its mission impact and criticality.
(10) The PM/SM/PL notifies the CAE/requirements office, the CO, and others as appropriate when the AP has been approved or disapproved.
(11) After the AP is approved, the CO will provide a copy of the AP to the PM/SM/PL and retain the original in the contract file. The PM/SM/PL is responsible for distributing copies of the approved APs to the AP signatories and the organizations/individuals on the “Form 9, Summary Sheet.”
(12) A preliminary AP briefing must be held with the HCA prior to AP coordination, when the HCA ($50M or more) is the SSA for the acquisition. The preliminary briefing should be a summary of the AP, but is not HCA review of the actual written plan. A template of the preliminary AP briefing is located in the DISA Acquisition Planning Deskbook: http://www.ditco.disa.mil/hq/deskbooks.asp.
(S-90) AP approval authority and concurrence requirements..
DISA Customer | |
AP Threshold |
Approving Authority |
≥$10M to $50 M |
HCO*/*** |
>$50M |
HCA*/**/*** |
>$100M or “special interest” designated by ARB or DV. |
SPE*/**/*** |
Non-DISA Customer | |
AP Threshold |
Approving Authority |
≥$10M |
HCA |
* SPE and PEO required to concur.
** CAE Required to concur.
*** CAE required to concur on all MAIS designated programs.
(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 CO.)
(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 CO. 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 CO 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)(4) 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 contained in the DISA Acquisition Planning Deskbook: http://www.ditco.disa.mil/hq/deskbooks.asp.
207.170 Consolidation of contract requirements.
(a) A Determination and Findings (D&F) is required with supporting rationale, including a business case analysis that supports the proposed consolidation approach (see DFARS 207.170). 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. Additional guidance is provided in DFARS 207.170-3. The following approval thresholds and authorities are established for processing the D&F:
Dollar Threshold: Approval Authority:
$5.5M or greater Senior Procurement Executive (SPE)
(b) If the proposed consolidation exceeds $5.5M, 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.
SUBPART 7.3 — CONTRACTOR VERSUS GOVERNMENT PERFORMANCE
(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 CO 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 CO 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
(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 CO before the issuance of the solicitation.