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SOFARS PART 5601 THE FEDERAL ACQUISITION REGULATION SYSTEM



SOFARS PART 5601 - FEDERAL ACQUISITION REGULATIONS SYSTEM
SUBPART 5601.1 - PURPOSE, AUTHORITY, ISSUANCE
5601.101 Purpose.
5601.103
Authority.
SUBPART 5601.2 - ADMINISTRATION
5601.201 Maintenance of the FAR.

5601.201-1
The Two Councils.
SUBPART 5601.3 - AGENCY ACQUISITION REGULATION
5601.301
Policy.
5601.304
Agency Control and Compliance Procedures.
SUBPART 5601.4 - DEVIATIONS FROM THE FAR
5601.402
Policy.
5601.403 Individual Deviations.
SUBPART 5601.6 - CAREER DEVELOPMENT, CONTRACTING AUTHORITY, AND RESPONSIBILITIES
5601.601 General.
5601.602
Contracting Officers.
5601.602-1
Authority.
5601.602-2 Responsibilities.
5601.602-2-70
Contract Clauses.
5601.602-2-90 Ordering Officers.
5601.602-3
Ratification of Unauthorized Commitments.
5601.602-3-90
Procedures.
5601.603 Selection, Appointment, and Termination of Appointment.

5601.603-3
Appointment.
5601.603-3-90
Appointment of Contingency Contracting Officers.
5601-604 Contracting Officer’s Representative.
5601 ATTACHMENTS:
Attachment 5601-1:
USSOCOM Review and Approval Levels.
Attachment 5601-2: Determination and Findings for Unauthorized Commitment.

SOFARS PART 5601
THE FEDERAL ACQUISITION REGULATION SYSTEM

 

SUBPART 5601.1 - PURPOSE, AUTHORITY, ISSUANCE

5601.101 Purpose.
This United States Special Operations Command Federal Acquisition Regulation Supplement (SOFARS) provides minimum essential implementation of the Federal Acquisition Regulation (FAR), and DOD FAR Supplement (DFARS).
5601.103 Authority.
The SOFARS applies to all USSOCOM contracting offices that receive contracting authority from USSOCOM, Director of Procurement (DOP).

SUBPART 5601.2 - ADMINISTRATION

5601.201 Maintenance of the FAR.


5601.201-1 The Two Councils.
(Revised April 2008)
(d)

(1) Proposed revisions to FAR or DFARS shall be presented in the format prescribed in DFARS 201.201-1(d)(i) to SOF-AT&L-KM). SOF-AT&L-KM) shall forward proposed revisions as appropriate to the Director, DAR Council. When changes to FAR or DFARS are published and make coverage in SOFARS obsolete or contradictory, FAR or DFARS provisions shall take precedence.

SUBPART 5601.3 - AGENCY ACQUISITION REGULATION

5601.301 Policy.
(a)(2)
Each contracting office may establish and maintain local contracting publications that further explain procedures for subject matters unique to its location. Office publications shall be kept to a minimum and be made available in electronic media.
5601.304 Agency Control and Compliance Procedures.
(Revised September 2014)
(4)
(a) As used in this section, the term clause includes provisions and means a term or condition of the type set forth in FAR Part 52, DFARS Part 252 and 5652.
(b) One-time use clauses must be approved by the Chief, Contracting Office. Forward a copy of approved clauses to SOF-AT&L-KM).

(1) One-time clauses may be authorized for repetitive local use if that clause is conducive to use by a single office due to unique circumstances. The Chief of the Contracting Office shall request authorization to repetitively use a local clause through the SOF-AT&L-K liaison office.
(2) Requests shall be submitted in writing and include a copy of the clause(s), sufficient justification as to why existing SOFARS clauses cannot be used, why the clause is needed, and why the clause is not suitable for inclusion in the SOFARS.
(3) Approvals granted by the Director of Procurement shall include an expiration date.

(a) Local clauses used repetitively and are conducive to command-wide use may be proposed for inclusion in SOFARS and shall be submitted to SOF-AT&L--KM for approval in accordance with the format outline in DFARS 201.201-1(d)(i).
(b) SOF-AT&L-KM shall conduct an annual review of all SOFARS clauses in use. Reviews may recommend retention, deletion or modification of the existing clauses.
(c) USSOCOM Point of Contact (POC):

U.S. Special Operations Command
Director of Procurement
Mission Support Division
7701 Tampa Point Blvd.
MacDill AFB, FL 33621-5323

Phone: (813) 826-6077 or DSN: 299-6077
Fax: (813) 826-7504

(6) Changes, revisions, and policy letters shall be distributed to contracting offices electronically and posted on the SOF-AT&L-K website with the full authority of the Director of Procurement. All actions issued affecting the SOFARS shall be incorporated into the SOFARS on the SOF-AT&L-K website and made available on a software medium on a periodic basis.

SUBPART 5601.4 - DEVIATIONS FROM THE FAR

5601.402 Policy.
(2)

(i) The Director of Procurement (DOP) is the approval authority within USSOCOM for FAR and DFARS individual deviations except for the individual or class deviations at DFARS 201.402(1).

(ii) SOF-AT&L-KM shall approve deviations to SOFARS
5601.403 Individual Deviations.
(1) See approval requirements in 5601.304(4).

SUBPART 5601.6 - CAREER DEVELOPMENT, CONTRACTING AUTHORITY AND RESPONSIBILITIES

(Revised September 2014)
5601.601 General.
(1) Title 10, United States Code (U.S.C.), section 167(e)(4)(B), provides that the Commander, United States Special Operations Command, has the authority to exercise the functions of the Head Of Agency under Chapter 137 of Title 10, U.S.C., subject to the authority, direction and control of the Secretary of Defense. In addition, the Director of Defense Procurement has delegated to the Commander, USSOCOM, the authority to act as:

(i) Senior Procurement Executive (SPE) for USSOCOM, except for such actions that by terms of statute or any other delegation must be exercised by the Under Secretary of Defense (Acquisition and Technology); and,
(ii) Head of Agency (HOA) for those functions prescribed by FAR and DFARS that are in addition to those exercised under Chapter 137 of Title 10, U.S.C., pursuant to 10 U.S.C., Section 167(e)(4)(B).

(2) The Commander, USSOCOM, has delegated all delegable HOA and SPE authority to the Director, Special Operations Research, Development and Acquisition Center (SOAE). SOAE establishes policies, directs, and supervises USSOCOM activities with respect to contracting, acquisition, and related matters. The USSOCOM Staff Judge Advocate is the legal advisor to the Commander, USSOCOM, and SOAE.

(i) The SOAE has further delegated the authority to exercise certain HOA functions to the Director of Procurement (DOP) with the power of redelegation. Exceptions to this delegation include those actions reserved by FAR and DFARS for Senior Executive Service (SES) members, Flag Officers, General Officers, or the authority for the actions required by the agency head in the following:
FAR 1.404
FAR 6.501

FAR 19.201

FAR 19.505

FAR 19.812

FAR 27.203-6

FAR 27.303

FAR 34.003

FAR 34.005-6

FAR 35.014(b)

FAR 35.017-7

DFARS 201.404
DFARS 203.570-3
(ii) The following function cannot be delegated below the SES, Level IV (for USSOCOM the SPE):
FAR 32.006
(iii) In accordance with the FAR, the following functions are not delegable below the HOA:
FAR 23.506
FAR 27.306
(iv) The following function cannot be delegated below the Secretary of Defense:
DFARS 206.302-7
(v) The Director of Procurement shall maintain Head of Contracting Activity (HCA) authority as designated throughout the FAR and DFARS. This authority is delegable in the absence of the DOP as permitted by the FAR and DFARS.
(vi) The Director of Procurement shall be included in the rating chain of all USSOCOM military and civilian contracting office chiefs.

(1) Unless otherwise specified in SOFARS, the approval level for contracting actions shall be the Contracting Officer.
(2) The HOA authority to determine when acquisitions either support contingency operations or facilitate defense against or recovery from nuclear, biological, chemical, or radiological attack, is delegated to USSOCOM headquarters contracting divisions and field contracting office chiefs.

FAR 13.000
FAR 13.201(g)
FAR 13.500(e)
DFARS 211.274-2(b)(1)

(1) In accordance with FAR 12.102(f), contract actions facilitating defense against or recovery from nuclear, biological, chemical, or radiological attack may be acquired according to Part 12, Acquisition of Commercial Items. The HOA delegates the authority to make this determination to USSOCOM headquarters contracting divisions and field contracting office chiefs. Determinations are to be in writing and included in each file. This authority does not relieve Contracting Officers from documenting the basis upon which they determine a price is fair and reasonable. See DCG.
5601.602 Contracting Officers.
(Revised April 2015)
(a) Based upon the authority of the USSOCOM Head of Agency Contracting Authority, the Director of Procurement shall issue all contracting officer warrants for the command.

(1) Limited Warrants – Any limitations identified on the warrant are based on the individual contract action.
(2) HCD/FCO Chiefs ultimately, have responsibility to ensure that limited authorities are utilized appropriately to meet organizational needs and are in the best interest of the government

(a) The office of the contracting officer must be organizationally situated to minimize any potential for undue influence and protect contracting officers from intra-organizational pressure to perform improper acts.
(b) Personnel in the 1101 job classification series are prohibited from being appointed or serving as Contracting Officers. This requirement is not waivable on either an individual or class basis.”
(c) Commanders and others having administrative supervision over contracting officers must bear in mind that actions exceeding the authority of a contracting officer are not binding on the Government. Therefore, they shall not direct, or otherwise exert influence, upon a contracting officer(s) to take such actions.


5601.602-1 Authority.
(Revised November 2013)
(b) It is the function of the USSOCOM Directorate of Procurement (SOF-AT&L-K) to ensure that all the business decisions made in support of procurements are examined and the decisions are validated. Review and approvals will be conducted IAW Attachment 5601-1 and guidance found in the DCG. Ensure all the documents required to sustain the contracting action are included when submitting the decision for review and approval. Contracting officers shall maximize the use of electronic transmission for all documents submitted for review and approval to the appropriate SOF-AT&L-K liaison officer.
(c) All documents and working papers will be marked and safeguarded in accordance with FAR 3.1.


5601.602-2 Responsibilities.
(Removed June 2012, moved to 5601.604)


5601.602-2-70 Contract Clauses.
(e) Contracting Officers shall insert 5652.201-9001, Technical Representative, in solicitations and contracts when the Contracting Officer determines there is a need to identify a technical interface for the contractor. This clause shall not be inserted when DFARS 252.201-7000, Contracting Officer's Representative, is included. The technical representative information should not be included in the solicitation.
(f) Contracting officers shall insert 5652.201-9002, Authorized Changes Only by Contracting Officer, in all solicitations and contracts.


5601.602-2-90 Ordering Officers.
(Revised July 2013)
(a) The Contracting Officer is the appointing official for Ordering Officers. Ordering Officer authority is limited to the following:

(1) Micro-purchases in accordance with FAR 13.201(a), using the government purchase card or the SF 44;
(2) Micro-purchases in accordance with FAR 13.201(g) when approved by the Director of Procurement in accordance with 5613.306(a)(1).
(3) Placing unilateral delivery orders against pre-priced, indefinite delivery type supply and service contracts up to $25,000, provided the contract terms so permit;
(4) Placing delivery orders or verbal orders for up to $25,000 against Federal Supply Schedule, The Federal Prison Industries, Inc., or the National Industries for the Blind or other Severely Handicapped; or
(5) Placing individual orders against indefinite delivery type contracts for the preparation of personal property for shipment by the government provided the contract terms so permit.

(b) Contracting officers must develop and conduct advanced ordering officer training sufficient to prepare the ordering officer for the increased responsibilities when authorized to purchase single actions greater that $3,000. Training must include but is not limited to:

(1) How to conduct FAR compliant competition;
(2) Proper documentation of competition results;
(3) Reporting actions in accordance with DFARS 204.670;
(4) Maintaining the order file.

(c) Contracting officers must conduct one hundred percent (100%) surveillance on all transactions over $3,000. Perform surveillance within thirty (30) days of transaction when such action will not compromise the mission of the deployment, organization, or unit.


5601.602-3 Ratification of Unauthorized Commitments. DCG
Per the requirements of FAR 1.602-3(b)(2) and (3), ratification authority for all actions shall be reviewed and approved per Attachment 5601-1.


5601.602-3-90 Procedures.
(Revised February 2015)
(c)

(1) The USSOCOM Determination and Findings Documentation of Unauthorized Commitment (D&F) template shall be completed by the appropriate individuals, as stated in the following paragraphs.
(2) The individual making an unauthorized commitment shall forward to their supervisor all available documentation about the transaction, which shall include as a minimum:
(i) A signed statement describing the circumstances, including A) why normal acquisition procedures were not followed, B) what bona fide Government need caused the commitment, C) whether any benefit was received and its value, and D) any other pertinent facts.
(ii) All other documents pertaining to the transaction, including but not limited to receipts, invoices, purchase requests, funding documents.
(1) The supervisor shall review the documentation to verify its accuracy and completeness. Furthermore, the supervisor is required to:
(i) Provide his/her own statement describing the measures taken to prevent a recurrence of unauthorized commitments.
(ii) Provide a complete purchase description and funding for ratifying the commitment.
(iii) Obtain a preliminary decision from the Contracting Officer that it appears a commitment by the Government would have been legal had the proper procedure been followed.
(iv) Provide a statement from the Comptroller that funds are available and the expenditure is proper.
(v) The ratification file shall include documentation of any disciplinary action taken/to be taken as a result of the unauthorized commitment. If no disciplinary action was/is to be taken, the file shall document the rationale.
(vi) Supervisor’s may request HCA exception to the policy at paragraph (c)(2)(v) for specific ratification actions by addressing their rationale in writing to be followed by direct communication (e.g. meeting, telecom, etc.) with the HCA. Requests for exception will be processed solely by the supervisor of the individual responsible for the ratification and not by any USSOCOM contracting office.
(vii) After obtaining supervisory endorsement, the D&F should then be forwarded to USSOCOM Center Director/Component Commander or Deputy for endorsement.
(1) The Contracting Officer shall:
(i) Review the documentation and verify that the supervisor's endorsement has been obtained.
(ii) Determine whether there is any doubt as to questions of fact.
(iii) Perform price analysis and determine if the price paid was fair and reasonable.
(iv) Make a recommendation to the ratifying official.
(v) Prepare the appropriate contractual documents.
(vi) Forward the completed document and all supporting documentation to the appropriate approval authority IAW Attachment 5601-1. Electronic transmittal is encouraged.
(1) An annual report of all ratification actions during the fiscal year shall be sent to SOF AT&L-KM and forwarded to the DOP no later than 30 October annually. Each contracting office is required to provide their input for the report to SOF AT&L-KM no later than 10 October. This report shall include 1) the identification of the Contracting Officer performing each ratification, 2) the dollar value of each ratification action, 3) the name the activity that caused the unauthorized commitment to occur. Reports shall be submitted electronically when the capability is available. Negative reports are required.

5601.603 Selection, Appointment, and Termination of Appointment.


5601.603-3 Appointment.
(Revised March 2009) (Revised September 2013-reorganization)
The Chief, Contracting Office, will forward nominations for Contracting Officer Appointment to SOF AT&L-KM or SOF AT&L-KX as appropriate.


5601.603-3-90 Appointment of Contingency Contracting Officers.
(Revised September 2013-reorganization)
(a) All Contingency Contracting Officer (CCO) warrants are subject to the limitations of USSOCOM business and contract clearance procedures. Contingency warrants are further limited to the duration of the contingency or deployment and are only valid while actually deployed in support of a contingency operation. Selection procedures shall comply with 5601.603-3.
(b) All CCOs shall attend the Defense Acquisition University (DAU) Contingency Contracting Course (CON 234) prior to deployment. A waiver may be requested from the DOP if this requirement cannot be met due to the urgency and immediacy of the mission.
(c) All contracting office chiefs shall notify SOF AT&L-KX of the deployment and redeployment of contingency contracting officers to overseas locations when contracting authority is granted by a USSOCOM issued warrant.
5601.604 Contracting Officer’s Representative.
(Added June 2012, moved from 5601.602-2) (Revised December 2014)
(a) The requiring office for each service contract (i.e., each Center, Component, and/or Theater Special Operations Command (TSOC)), must assign one or more of the following to assist the contracting officer in implementing, monitoring, and complying with the reporting of the respective organization’s acquisition of services as well as evaluating contractor performance once a services contract is awarded. A sample nomination letter can be found in the DCG.

(1) Primary Contracting Officer’s Representative (PCOR) – PCORs are assigned by the KO to the Command’s large-dollar or highly complex service contracts with performance requirements that cut across multiple Centers and Components. Moreover, PCOR responsibilities are assigned to the Center with the most full-time equivalent contractor personnel performing tasks under these contracts. The PCOR cannot transfer his or her responsibilities to another individual. The PCOR will serve as the senior advisor to the KO and will execute KO designated contract management responsibilities via a network of CORs. The PCOR may be responsible for functional oversight of CO-designated CORs but does not have any supervisory authority over the CORs.
(2) Contracting Officer’s Representative (COR) – Defined by the Defense Federal Acquisition Regulation Supplement (DFARS) 201.602-2. A COR designation cannot be redelegated, and a COR cannot transfer his or her responsibilities to another individual. The COR will serve as an advisor to the KO and may be responsible for functional oversight for a set of TRs, but will not have supervisory authority over the designated TRs. When a PCOR is designated on a contract, a COR will functionally report to the PCOR instead of reporting directly to the KO. However, this does not preclude collective communication relationships among the KO, PCOR, and COR(s). Depending on the dollar value of the contract, scope, complexity, and need for contract oversight, a COR is not required for every service contract.
(3) Technical Representative (TR) – Previously referred to as a Performance Monitor (PM). The TR is designated by the COR via the TR letter of appointment and is accountable to the COR for performance of his or her designated duties and responsibilities.

(a) Each contracting officer shall be responsible for establishing COR Awareness Training. The Contracting Officer is responsible for ensuring the mandatory training (see DCG) is completed prior to PCOR or COR appointment, and prior to contract award. This training requirement cannot be waived.
(b) At the direction of the USSOCOM Acquisition Executive (AE) Acquisition Policy Memorandum 10-01, Monitoring Contract Performance in Contracts for Services, dated January 2, 2010, performance of PCOR/COR/TR duties will be addressed in the individual’s performance assessment. For individuals evaluated under the National Security Personnel System (NSPS), objectives specific to PCOR/COR/TR duties will be established. A USSOCOM COR Review Checklist can be used as part of the review the operations and records maintained by the COR. See DCG Part 1, item 5.
(c) The CORs responsibilities for Enterprise-wide Contractor Manpower Reporting Application (eCMRA) reporting can be found at DCG Part 37, Item 2.

Attachment 5601-1: USSOCOM REVIEW PROCESS AND APPROVAL LEVELS
Attachment 5601-2: DETERMINATION AND FINDINGS OF UNAUTHORIZED COMMITMENT

HQ, United States Special Operations Command
Special Operations Forces Acquisition, Technology, and Logistics (SOF AT&L)
SOFARS 5601
February 2007

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