SUBPART 1.1--PURPOSE, AUTHORITY, ISSUANCE
The Army Federal Acquisition Regulation Supplement (AFARS) implements and supplements the Federal Acquisition Regulation (FAR) and the Department of Defense FAR Supplement (DFARS) to establish uniform policies for Army acquisition. It is not intended to restrict the exercise of good business judgment or to stifle innovation. Except as restricted by higher authority, AFARS affords HCAs maximum flexibility in executing their contracting missions.
1.290 Routing of documents and mailing addresses.
(a) Unless otherwise specifically prescribed in FAR, DFARS or AFARS, documents relating to contracting matters that are forwarded to higher authority shall be forwarded through contracting channels and shall be signed by the Head of the Contracting Activity (HCA) or the HCA's Principal Assistant Responsible for Contracting (PARC).
(b) Addresses which are used frequently follow:
(1) DEPUTY ASSISTANT SECRETARY OF THE ARMY FOR PROCUREMENT (SARD-ZP), 103 ARMY PENTAGON, WASHINGTON DC 20310-0103.
(2) DIRECTOR FOR CONTRACTING (SARD-PC), 103 ARMY PENTAGON, WASHINGTON DC 20310-0103.
(3) DIRECTOR FOR POLICY AND REFORM (SARD-PP), 103 ARMY PENTAGON, WASHINGTON, DC 20310-0103.
(4) DIRECTOR, US ARMY CONTRACTING SUPPORT AGENCY (SFAE-CSA), 5109 LEESBURG PIKE, SUITE 916, FALLS CHURCH VA 22041-3201.
(5) CHIEF, POLICY AND PROCEDURES DIVISION, US ARMY CONTRACTING SUPPORT AGENCY (SFAE-CSA-PP), 5109 LEESBURG PIKE, SUITE 916, FALLS CHURCH, VA 22041-3201.
(6) CHIEF, CONTRACT OPERATIONS DIVISION, US ARMY CONTRACTING SUPPORT AGENCY (SFAE-CSA-CO), 5109 LEESBURG PIKE, SUITE 916, FALLS CHURCH, VA 22041-3201.
(7) DIRECTOR, US ARMY PROCUREMENT RESEARCH AND ANALYSIS OFFICE (SFAE-CSA-PPR), BLDG 12500, FT LEE, VA 23801-6045.
(8) CHIEF, CONTRACT STATISTICS OFFICE, US ARMY CONTRACTING SUPPORT AGENCY (SFAE-CSE-PPS), 5109 LEESBURG PIKE, SUITE 916, FALLS CHURCH, VA 22041-3201.
(9) OFFICE OF THE ASSISTANT SECRETARY OF THE ARMY (FINANCIAL MANAGEMENT), 109 ARMY PENTAGON, ATTN: SAFM-CL, WASHINGTON, DC 20310-0109.
(10) OFFICE OF THE CHIEF OF LEGISLATIVE LIAISON (OCLL), ATTN: SALL-SPA, 1600 ARMY PENTAGON, WASHINGTON, DC 20310-1600.
(11) CHIEF, PROCUREMENT FRAUD DIVISION (DAJA-PF), OFFICE OF THE JUDGE ADVOCATE GENERAL, DEPARTMENT OF THE ARMY, SUITE 400, 901 N. STUART STREET, ARLINGTON, VA 22203-1837.
(12) OFFICE OF THE COMMAND COUNSEL, HEADQUARTERS US ARMY MATERIEL COMMAND, ATTN AMCCC-P, 5001 EISENHOWER AVENUE, ALEXANDRIA VA 22333-0001.
(13) US ARMY CORPS OF ENGINEERS, ATTN: CEPR-ZA , 20 MASSACHUSETTS AVENUE N.W., WASHINGTON, DC 20314-1000.
(14) CHIEF, ARMY POWER PROCUREMENT OFFICE, US ARMY CENTER FOR PUBLIC WORKS (CECPW-C), 7701 TELEGRAPH ROAD, ALEXANDRIA, VA 22315-3862.
(c) Unless otherwise specified in subsequent subparts, documents required to be submitted to this agency or higher authority shall be forwarded in accordance with (a) and the following matrix.
DOCUMENT FORWARDING AND APPROVAL MATRIX
CITE |
TYPE ACTION |
FORWARD TO |
APPROVED BY |
1.301(b) |
Federal Register publication |
1.290(b)(5) |
N/A |
1.304(a) |
Acquisition instructions |
1.290(b)(5) |
N/A |
1.304(a)(1)(A), (B) & (C) |
Request for approval |
1.290(b)(5) |
OUSD(A&T)/DDP Army Labor Advisor ASA(FM) |
1.304(a)(4)(C) |
Industry appeals |
1.290(b)(5) |
DIR, USACSA |
1.402 |
Request for deviation |
1.290(b)(5) |
USD(A&T)/DP or DASA(P) |
1.602-1-90(b) |
Review of proposed contracts |
1.290(b)(3) |
DASA(P) |
3.104-9(f) |
Waiver of certification |
1.290(b)(5) |
SecArmy |
3.203(c)(iii) |
Report of suspected violations of the Gratuities clause |
CDR, US Army Legal Services Agency |
N/A |
3.204(ix) |
Administrative record of hearings |
TJAG |
ASA(RDA) |
3.570-3 |
Request for waiver |
1.290(b)(5) |
ASA(RDA) |
3.804(b) |
Contractor disclosures |
1.290(b)(5) |
N/A |
3.805 |
Request for exemption |
1.290(b)(5) |
SecDef |
6.202(b)(1) |
D&F to establish or maintain alternative sources |
1.290(b)(2) |
ASA(RDA) |
206.302-5(c)(i)(B) |
Draft notice of intent |
1.290(b)(2) |
Congress |
206.302-7(c) |
D&F |
1.290(b)(2) |
SecDef |
6.303-1(d) |
Forwarding copy of J&A to Office US Trade Representative |
1.290(b)(2) |
N/A |
206.304(a)(4) |
J&A (>$50M) |
1.290(b)(2) |
ASA(RDA) |
209.104-1(g)(i)(B) |
Request for waiver |
1.290(b)(2) |
SecDef |
209.104-1(g)(ii)(C) |
Request for waiver and proposed National Interest Determination |
1.290(b)(2) |
ASD(C3I) |
9.405(a) |
Request for approval of determination |
1.290(b)(11) |
Army Debarring Official |
9.503 |
Request for OCI waiver |
1.290(b)(2) |
ASA(RDA) |
11.502(d) |
Request for remission of liquidated damages for delay |
1.290)b)(5) |
CompGen |
14.407-3(e) |
Request for advance decision - mistakes in bid |
1.290(b)(5) |
CompGen |
15.406-1(a)(7) |
Exemption from UCF |
1.290(b)(5) |
DASA(P) |
215.611(c)(iii)(C) |
BAFO summary reports |
1.290(b)(2) |
ASA(RDA) |
15.612(b)(1)(D) |
SSA Nomination |
1.290(b)(3) |
ASA(RDA) |
15.804-1(b)(5) |
Waiver of requirement for certified cost/pricing data |
1.290(b)(5) |
ASA(RDA) |
15.891-3 |
Status Report on Specified Contract Audit Reports |
1.290(b)(7) |
DoDIG |
17.102-3(d)(3) |
Request to include recurring costs in the cancellation ceiling |
1.290(b)(2) |
ASA(RDA) |
219.602-3(c)(i)(B) |
Appeal of CoC |
1.290(b)(5) |
SBA Central Office |
222.406-8(a)(iii) |
Report of investigation |
Army Labor Advisor |
Department of Labor (DOL) |
222.406-8(d) |
Contracting officer's report |
Army Labor Advisor |
DOL |
DOCUMENT FORWARDING AND APPROVAL MATRIX (CONTINUED)
22.608-2(f)(1)(ii) |
Protest of contracting officer's determination of eligibility |
Army Labor Advisor |
DOL |
22.608-6(c) |
Contracting officer's notification of breach of stipulation |
Army Labor Advisor |
DOL |
22.803(d) |
Applicability of E.O. 11246, Equal Opportunity Clause |
Army Labor Advisor |
ASA(RDA) |
222.1306(1) |
Complaints about administration of the Vietnam Era Veterans Readjustment Assistance Act of 1972 |
Army Labor Advisor |
DOL |
22.1021(a) |
Request for hearing |
Army Labor Advisor |
DOL |
222.1406(1) |
Complaints about administration of the Rehabilitation Act of 1973 |
Army Labor Advisor |
DOL |
222.7002 |
Waiver of restrictions on employment |
Army Labor Advisor |
ASA(RDA) |
23.104(c) |
Request for exemption to contract with firms proposing to use facilities that violate the Clean Air or Water Act |
1.290(b)(6) |
ASA(RDA) |
23.107 |
Contracting officer's notification of noncompliance with clean air or water standards |
1.290(b)(6) |
Environmental Protection Agency (EPA) |
223.7002(c) |
Waiver of requirement to use the "Hazardous Waste Liability" clause |
1.290(b)(6) |
ASA(RDA) |
23.7102(a)(8) |
Determination to store non-DoD owned toxic or hazardous waste materials at an industrial type DoD facility |
1.290(b)(6) |
ASA(RDA) |
23.7102(b) |
Exception to prohibition to store or dispose of non-DoD own toxic or hazardous materials on DoD installations |
1.290(b)(6) |
SecDef |
225.102(a)(3)(C)(2) |
Determination to grant a public interest exception (Buy American Act) |
1.290(b)(6) |
ASA(RDA) |
225.102(b)(ii)(D) |
Determination of non-availability (Buy American Act) |
1.290(b)(6) |
ASA(RDA) |
25.202(a)(2) |
D&F ($25K or Less) |
1.290(b)(13) |
HCA, USACE |
25.202(a)(2) |
D& F(>$25K) |
1.290(b)(6) |
DASA(P) |
25.202(a)(3) |
D&F |
1.290(b)(6) |
DASA(P) |
25.203 |
Determination that use of domestic construction materials is unreasonable |
1.290(b)(3) |
HCA, USACE |
25.204 |
Contracting officer's determination of failure to comply with "Buy American Act-Construction Materials" clause |
1.290(b)(11) |
DOCUMENT FORWARDING AND APPROVAL MATRIX (CONTINUED)
25.302(b)(3) |
Determination that a requirement can only be filled by a foreign end producer or service |
1.290(b)(6) |
ASA(RDA) |
25.302(c) |
Determination to use foreign construction materials OCONUS |
1.290(b)(6) |
ASA(RDA) |
225.402(c)(ii) |
Request for National Interest Waiver |
1.290(b)(2) |
USD(A&T)/DP |
225.403(d)(1)(A) |
Exception for national security or national defense purposes |
1.290(b)(2) |
USD(A&T)/DP |
25.703 |
Exception to certain foreign purchase restrictions for use OCONUS |
1.290(b)(6) |
ASA(RDA) |
225.770-4 |
Waiver of restriction - Secondary Arab Boycott of Israel |
1.290(b)(6) |
SecDef |
225.871-4 |
Determination to waive statutory provisions when awarding contracts for NATO cooperative projects |
1.290(b)(6) |
DepSecDef |
225.871-5 |
Authorization for direct subcontracting in support of NATO cooperative projects |
1.290(b)(6) |
USD(A&T)/DP |
225.871-7(a)&(b) |
Congressional notification |
25.871(a) |
USD(A&T)DP Congress |
225.872-3(f)(4) |
Request for concurrence to exclude a qualifying country source |
1.290(b)(6) |
USD(A&T) |
25.872-4(c)(1)(iv) |
Request for exemption of the BAA/BOP Program |
1.290(b)(6) |
ASA(RDA) |
25.901(c) |
D&F to Omit Examination of Records Clause |
1.290(b)(6) |
ASA(RDA) with concurrence of CompGen |
225.7002-2(a) |
Determination to exempt a proposed contract from certain statutory restrictions |
1.290(b)(6) |
ASA(RDA) |
225.7012-1(b) |
D&F to Waive Restriction on Anchor and Mooring Chain |
1.290(b)(6) |
SecArmy |
225.7012-3(b) |
Determination that domestic supplies are not available to meet requirements on a timely basis |
1.290(b)(6) |
ASA(RDA) |
225.7017-3 |
Determination to waive the Restriction on Carbon Alloy and Armor Steel Plate |
1.290(b)(6) |
SecArmy |
225.7018-2 |
Determination to waive the restriction on procuring non-domestic Four Ton Dolly Jacks |
1.290(b)(6) |
SecArmy |
225.7019-3(b) |
Waiver of restriction on using Fiscal Year 1996 funds to acquire ball and roller bearings other than those produced by a domestic source and of domestic origin |
1.290(b)(5) |
ASA(RDA) |
DOCUMENT FORWARDING AND APPROVAL MATRIX (CONTINUED)
225.7021-2 |
Determination to waive the restriction on procuring non-domestic aircraft fuel cells |
1.290(b)(6) |
SecArmy |
27.303(d)(2) |
D&F, Statement of Fact and Analysis |
1.290(b)(6) |
Dept of Commerce (DOC)/SBA |
28.203-7(d) |
Determination to accept bonds of Individual sureties who are "Parties Excluded from Procurement Programs" |
1.290(b)(11) |
CDR, US Army Legal Services Agency |
28.303(a) |
Contention that a contractor is an agent of the Government |
Chief, Contract Law Division, OTJAG |
ASA(RDA |
28.305(d) |
Request for Waiver - Overseas Workers Compensation & War Hazard Insurance |
1.290(b)(6) |
Sec Labor |
29.303 |
Determination that a contractor is an agent of the government |
Chief, Contract Law Division, OTJAG |
ASA(RDA) |
30.201-5 |
Request for CAS waiver |
1.290(b)(5) |
CASB |
32.409 |
Request for approval to make advance payments |
1.290(b)(9) |
ASA(FM) |
232.501-2(a) |
Request for Unusual Progress Payments |
1.290(b)(5) |
DDP |
32.502-2 |
Approval to deviate from customary progress payment terms |
1.290(b)(5) |
ASA(FM) |
32.606(c) |
Transfer of case file to contract finance office |
1.290(b)(9) |
DFAS |
232.617(a)(7) |
Request to exempt contracts from administrative interest charges |
1.290(b)(9) |
USD(A&T)/DP |
232.671 |
Claims in bankruptcy, insolvency, or in proceedings for reorganization |
1.290(b)(9) |
Department of Justice |
33.105(d)(2) |
Request for award in the face of protest to GSBCA |
1.290(b)(6) |
DASA(P) |
33.203(b) |
Determination to exempt a contract from CDA |
1.290(b)(6) |
ASA(RDA) |
235.002(1) |
Request for approval to exceed a ten year period of performance and proposed notice to Congress |
1.290(b)(2) |
ASA(RDA) |
235.006(b)(i)(C)(1) |
Determination to use a fixed price contract for development |
1.290(b)(2) |
USD(A&T) |
235.070-1(a) |
Request for indemnification under R&D contracts |
1.290(b)(2) |
SecArmy |
236.270(a) |
Approval to expedite the completion date of a construction contract if costs are involved |
1.290(b)(6) |
SecArmy |
236.271 |
Request for approval to use a CPFF contract for construction & A-E services |
1.290(b)(6) |
USD(A&T)DP |
37.104-90-1 |
Determination to acquire personal services |
1.290(b)(6) |
ASA(RDA) |
DOCUMENT FORWARDING AND APPROVAL MATRIX (CONTINUED)
237.171-1(a) |
Waiver of cost allowability limitation on severance payments to foreign nationals |
1.290(b)(6) |
ASA(RDA) |
237.203(d)(iii) |
Authorization of personal services for contract field services |
1.290(b)(6) |
ASA(RDA) |
39.7402(b)(4) |
Authorization to provide government facilities |
1.290(b)(5) |
ASA(RDA) |
241.004-2(a)(iii)(B) |
Approval to use a termination liability ILO a connection charge |
1.290(b)(14) |
Chief of Engineers |
241.004-2(a)(iii)(C) |
Approval for a longer refund period or to omit the refund requirement |
1.290(b)(14) |
Chief of Engineers |
45.302-1(a)(4) |
Determination to provide facilities to a contractor |
1.290(b)(5) |
ASA(RDA) or USD(A&T)/DP |
45.309(a)(3) |
Request for Approval of Alternate Provision |
1.290(b)(5) |
ASA(RDA) |
45.403(a) |
Determination to charge rent on basis of use rather than rental period or on some other equitable basis |
1.290(b)(5) |
ASA(RDA) |
245.405(3)(ii) |
Request for Waivers or Reduction of Charges for Use of Government Facilities on Work for Foreign Governments or International Organizations |
1.290(b)(5) |
Director , Defense Security Assistance Agency |
45.608-6 |
Request for exception from screening requirements |
1.290(b)(5) |
ASA(RDA) |
46.770-8 |
Determination to waive warranty requirements for weapon systems |
1.290(b)(2) |
ASA(RDA) |
247.571(c)(2) |
Determination to waive requirement to perform reflagging or repair work in the U.S. or territories |
1.290(b)(6) |
SecDef |
249.501-70(a) |
Approval of "Special Termination Costs" clause |
1.290(b)(5) |
ASA(RDA) |
50.403-2(b) |
Memorandum of Decision to include the "Indemnification" clause |
1.290(b)(2) |
SecArmy |
53.108 |
Recommendation to change, revise, eliminate or consolidate forms |
1.290(b)(3) |
FAR Council |
SUBPART 1.3--AGENCY ACQUISITION REGULATIONS
(a) The AFARS is issued under the authority of FAR 1.301 and DFARS 201.304 by the Assistant Secretary of the Army (Research, Development and Acquisition) (ASA(RDA)).
(b) When a proposed policy, procedure, clause or form must be published in the Federal Register, format the proposed notice and forward it with the request for approval (1.304(a)(2)) or the request for deviation (1.402).
(I) The U.S. Army Contracting Support Agency (USACSA) shall designate a point of contact to coordinate the proposed notice, forward it to the Federal Register, answer questions and receive public comments. At the close of the public comment period, the USACSA shall forward all comments received to the originator of the notice for analysis.
(ii) When the analysis is completed, the originator shall--
(A) Submit an updated request for deviation in accordance with 1.402; or
(B) Submit an updated request for approval (which does not involve a deviation) in accordance with 1.304(a)(2); and
(C) Include the results of publication and analysis under the heading "IV. COLLATERALS."
1.303 Publication and codification.
(a)(iii) Subsection numbers 90-99 are reserved for AFARS supplementary material with no FAR or DFARS counterpart, and numbers 9000 and above are reserved for supplementary clauses. HCAs implementing the FAR, DFARS or AFARS shall follow the rules of the FAR System except that numbers 100-199 are reserved for major command (MACOM) unique implementing material with no counterpart in higher-level regulations, and numbers 200 and above are reserved for Army Materiel Command (AMC) major subordinate command unique implementing material with no counterpart in higher-level regulations. For numbering provisions and clauses, see 52.101.
1.304 Agency control and compliance procedures.
(a) There shall be no supplementation of the FAR except as provided herein. HCAs shall ensure that all contracting activity acquisition instructions and regulations are in compliance with FAR Part 1. PARCs shall forward one copy of all HCA acquisition instructions (basic and changes) to the addressee in 1.290(b)(5) at the time they are issued.
(1) HCAs may issue acquisition instructions as necessary to implement FAR, DFARS and AFARS without prior approval by HQDA with the exception of--
(A) Those which require the approval of the Director, Defense Procurement, in accordance with DFARS 201.304;
(B) Any implementation of FAR or AFARS Part 22 or DFARS Part 222 unless the AFARS specifically provides otherwise; and
(C) Any implementation of FAR or AFARS Part 32 or DFARS Part 232.
(2) Format the request for approval in accordance with DFARS 201.201-1(d)(i), I through IV, adapting the language as necessary to apply to implementing coverage instead of revisions. See 1.301(b) also.
(3) See 1.402 for procedures for processing a request for class deviation.
(4)(A) Requests for approval of nonstandard clauses or provisions which are deviations, one time and recurring, shall be processed in accordance with 1.402. See 1.301(b) for guidance concerning clauses which must be published in the Federal Register.
(B) When clauses or provisions are tailored as permitted by FAR or DFARS to be "substantially the same as" those prescribed, the PARC or designee shall approve the tailored clause or provision prior to use to validate the need for tailoring, to ensure that the tailored clause or provision does not contain material differences from the original and to ensure that any new circumstances for use of the clauses or provisions are appropriate.
(C) Direct industry appeals concerning Army clauses to the addressee at 1.290(b)(5).
(6) AFARS revisions are published in Army Acquisition Circulars (AACs) which contain replacement pages and in numbered Acquisition Letters (ALs).
(i) Determine the effective dates for use of revisions made by AACs and ALs in accordance with DFARS 201.304(6)(i)(D) and 201.304(6)(ii)(B) respectively.
(ii) ALs are used to publish time sensitive AFARS revisions as well as notices of Army policy, regulatory changes or guidance.
(iii) Acquisition Policy Alert Bulletins are used to transmit interim changes to FAR and DFARS and class deviations which affect all Services when no AFARS implementation is contemplated. These Bulletins are transmitted electronically.
SUBPART 1.4--DEVIATIONS FROM THE FAR
(1)(ii) The DASA(P) has been delegated authority to approve class deviations to the FAR and DFARS. This authority expires 30 September 1996 and does not extend to--
(A) Deviations that have a significant cost or administrative impact on contractors or offerors, or have a significant effect beyond the internal operating procedures of the Army;
(B) Deviations identified in DFARS 201.402(1)(i); or
(C) Requirements imposed by statute or directives of other agencies such as the Small Business Administration and the Department of Labor that have statutory or executive regulatory authority.
(3)(A) Prepare all requests for deviation, including deviations from AFARS, in accordance with DFARS 201.402(3) and in the format at DFARS 201.201-1(d)(i). When the deviation must be published in the Federal Register, follow the procedures at 1.301(b).
(1) PARCs are authorized, without power of redelegation, to approve individual deviations to FAR, DFARS and AFARS. This authority does not extend to areas set forth in DFARS 201.402(1)(i); any provisions which limit approval authority to a level higher than a Head of Contracting Activity, to a specific level of authority to approve an action, or the level of authority to make a determination; and to any provision based on upon statute or Executive Order unless such authority provides for waiver.
(2) Forward one copy of each deviation to the addressee at 1.290(b)(5) at the time the deviation is granted, and place one copy in the contract file.
(3) The contracting activity shall assign a control number to each deviation authorized.
See 1.402.
SUBPART 1.6--CAREER DEVELOPMENT, CONTRACTING AUTHORITY AND RESPONSIBILITIES
(1) Army contracting activities are listed in DFARS 202.101.
(2) HCAs and other contracting officials may redelegate their contracting authority when not inconsistent with higher-level regulations and directives.
(3) Secretarial delegations of authority and redelegations. The essential language of the delegation or redelegation is incorporated in the applicable AFARS part. Expiration dates are included when they apply; otherwise, the delegations and redelegations are effective until superseded or canceled. The official record copies of the delegations and redelegations are on file in the office of the Deputy Assistant Secretary of the Army (Procurement). Copies may be obtained from the addressee at 1.290(b)(3).
(4) HCA responsibilities.
(i) Each HCA shall ensure that all purchases subject to provisions of FAR, DFARS and AFARS made within the contracting activity or by offices for which the HCA exercises the functions of HCA (see (iii)) are made only by contracting officers selected and appointed in accordance with 1.603.
(ii) Each HCA shall appoint a Principal Assistant Responsible for Contracting (PARC). When selecting the PARC, the HCA must comply with the requirements of DoDI 5000.58 governing selection of senior contracting officials.
(A) The PARC shall be the senior staff official of the contracting function within the contracting activity.
(B) The PARC shall head an organizational element reporting directly to the HCA unless an exception has been approved by HQDA.
(C) The PARC shall be assigned, or have direct access to, the personnel and other resources necessary to perform all the functions assigned or delegated by the HCA.
(iii) The following HCAs shall perform the functions of an HCA for the additional offices designated:
(A) Deputy Chief of Staff for Acquisition, Headquarters, U.S. Army Materiel Command, for the Office of the Program Manager, Saudi Arabia National Guard Modernization Program (PM SANG).
(B) Commander, U.S. Army Training and Doctrine Command for The Judge Advocate General's School.
(C) Commander, U.S. Army Military District of Washington for the National Defense University.
(D) Commander, U.S. Army Communications-Electronics Command for the U.S. Military Academy.
(E) Commander, U.S. Army Missile Command for the U.S. Army Research Office.
(5) PARC responsibilities. The PARC shall--
(i) Carry out those delegable authorities of the HCA described in the FAR, DFARS and AFARS or directed by DoD or HQDA except when the HCA elects to exercise selected authorities; and
(ii) Oversee and administer the contracting function within the contracting activity.
(b) The HCA shall establish appropriate business clearance procedures to ensure compliance with AFARS 15.808.
1.602-1-90 Departmental review and Secretarial approval.
(a) Awards may require review and notation at the HQDA level. Preaward or postaward review or both will be directed by the Office of the ASA(RDA) on an individual basis.
(b) Awards forwarded for Secretarial review and notation shall bear the appropriate security classification and include--
(1) The solicitation;
(2) The Price Negotiation Memorandum;
(3) The contract; and
(4) The following, as appropriate:
(i) The budget line item number as shown on the President's Budget, Exhibit P-1, if Army Procurement Appropriations; or the approved project title and number, if RDT&E.
(ii) The type and source of funds.
(iii) The location of work performance.
(iv) The contractor's designation as a large or small business and the amount of any set-aside, including labor surplus area set-aside with the labor surplus area classification.
(v) If a multi-year contract, a discussion of any cancellation provision.
(c) Whenever personnel in the Office of the ASA(RDA) or in the Office of the USD(A&T) are to be briefed on an award, submit all documents not less than five working days prior to scheduled briefings.
(d) When the Office of the ASA(RDA) directs an abbreviated Secretarial review and notation for certain aspects of an acquisition which are of special interest, that office will identify the areas of special interest and the information required and advise whether or not a briefing is required.
(a)(i) Except as authorized in FAR Subparts 17.1 and 32.7 and in (ii) and (iii), before issuing a solicitation, the contracting officer shall have a statement in writing that sufficient funds are available, unless funding procedures are automated and a positive accounting trail from the purchase request to the solicitation and purchase instrument (contract, purchase order, etc.) to an obligation record is provided. (See AR 37-1 and AR 37-42.)
(ii) Solicitations may be issued for high priority requirements and RDT&E incrementally funded contracts before ensuring availability of funds when there is a high probability that the requirement will not be canceled. For foreign military sales cases, solicitations may be issued after the submission of an offer, but before assurance of funds availability when the initiating and approving authorities determine that the offer appears certain to be accepted.
(A) The contracting officer shall not issue a solicitation under the circumstances in (a)(ii) unless the comptroller or designee has signed the following statement on the purchase request:
"This requirement is included or provided for in the financial plan for FY ____. The accounting classification will be ______. This statement is not a commitment of funds."
(B) The contracting officer shall include the following statement in all solicitations issued pursuant to this authority when the clause at FAR 52.232-18, Availability of Funds, is not used.
"Funds are not presently available for this acquisition. No contract award will be made until appropriated funds are made available."
(C) No contract shall be awarded nor shall a prospective contractor be notified of a pending award until funds have been certified to be available by the operating official designated by local regulations or by a "delegation of authority" letter as the official authorized to certify to funds availability.
(D) No solicitation shall be issued for a contract for research and development which is to be incrementally funded over successive years unless planned funds (Future Years Defense Plan (FYDP)) are sufficient to accomplish it. An exception may be approved by the HCA, provided the approval identifies steps to be taken to revise the approved FYDP to include adequate resources.
(iii) Industrial-funded public activities need not comply with (i) and (ii) when issuing solicitations to support offers they will submit under the Defense Depot Maintenance Competition Program (Pub. L. 102-396), the Partnership Program (10 U.S.C. 2208(j)) or competition under the Arsenal Act (10 U.S.C. 4532(a)). See 17.9101.
(c) Legal Participation. Contracting officers' use of legal specialists shall be guided by the following:
(i) Legal counsel participates as a member of the contracting officer's team throughout the acquisition process, from acquisition planning through completion and close out of contracts.
(ii) Legal counsel reviews proposed contracting actions consistent with the availability of legal counsel and the complexity of the legal issues involved, in accordance with procedures established by the HCA, and as otherwise required by law, regulation or policy.
(iii) Legal counsel shall inform the contracting officer whether the proposed action is legally sufficient, give the details of any insufficiency, and provide a recommended course of action to overcome any insufficiency. Contracting officers should take steps to overcome legal objections related to the legal sufficiency of the proposed action.
(iv) Examples of actions normally requiring legal review may include, but are not limited to:
(A) Acquisition plans;
(B) Part 6 Justifications and Approvals and related Determinations and Findings;
(C) Determinations and Findings;
(D) Competitive source selections (FAR Subpart 15.6; also see FAR 15.805-1); and
(E) Proposed deviations, and novel or experimental contracting approaches.
1.602-2-90 Contracting Officer's Representative.
This subsection supplements DFARS 201.602-2.
(5) See 53.9001 for a sample COR designation letter. The COR and the contractor shall be required to acknowledge receipt of the letter by signing in the designated block and returning the original copy to the contracting officer for retention in the contract file. This requirement also applies to terminations and amendments of COR designations. A copy shall be provided to the cognizant administrative contracting officer(s).
(5)(i) When one COR is to act for the contracting officer on more than one contract and the scope and limitations of authority are the same for all contracts, then one designation may be issued which references each contract under the designation.
(iii)(1) The designation of a COR shall remain in effect throughout the life of the contract concerned unless--
(i) Sooner revoked by the contracting officer; or
(ii) Automatically revoked upon separation of the COR from Government service.
(2) Terminations of designations of CORs shall be in writing and shall specify the effective date of the termination.
1.602-2-91 Appointment of ordering officers.
(a) Policy. The authority appointing the ordering officer shall state in the appointment letter that the ordering officer's authority may not be redelegated. See 53.9002 for a sample appointment letter.
(b) Appointment and termination authority. Ordering officers may be appointed pursuant to 1.603-1(2) for the purposes in (1) through (6), provided the authority appointing the ordering officer determines that the appointment is essential for the efficient operation of the contracting mission. The purposes for which ordering officers may be appointed and references to limitations of their authority are--
(1) To make purchases using imprest funds (FAR 13.405);
(2) To make over-the-counter purchases not exceeding $2,500 using Standard Form 44 (FAR 13.505-3);
(3) To place delivery orders or oral calls against Brand Name Contracts published in Defense Personnel Support Center Supply Bulletins in the 10-500 or 10-600 series;
(4) To place orders against indefinite-delivery contracts awarded by contracting officers of the Military Departments for the preparation of personal property for shipment, Government storage and performing intra-city or intra-area movement, provided contract terms permit (see 47.271-4(f));
(5) To place Service Orders for Household Goods (DD Forms 1164) against Commercial Warehousing and Related Services for Household Goods contracts for military and civilian personnel subject to the criteria and procedures prescribed in Chapter 2, DoD 4500.34-R, provided that no service order shall be in excess of $10,000; and
(6) To place delivery orders against indefinite-delivery contracts, in addition to those in (4), which are awarded by contracting officers of the Military Departments, provided the contract terms permit and provided all orders placed are within monetary limitations specified in the contract.
(c) Responsibilities of appointing authority.
(1) Training and orientation. The appointing authority or designee shall orient and instruct ordering officers either personally or in writing about--
(i) The proper use of the procedure(s) the ordering officer will be authorized to use;
(ii) The standards of conduct for Army personnel prescribed in DoD 5500.7-R and Procurement Integrity provisions of FAR 3.104; and
(iii) The preparation and submission of information for contracting action reporting purposes.
(2) Surveillance. The appointing authority shall provide technical supervision of ordering officers. At least once each year, physically review activities of ordering officers by examination of purchase documents and records. Any individual designated to perform this review must be well qualified in the contracting procedures used by ordering officers.
(i) Inspection or review findings shall be written and shall include specific comments as to whether or not the ordering officer is--
(A) Operating within the scope and limitations of authority delegated and FAR Subpart 3.1;
(B) Maintaining the standards of conduct prescribed in DoD 5500.7-R;
(C) Splitting purchase transactions to avoid monetary limitations;
(D) Delegating authority to others; and
(E) Submitting correct and timely information for reporting purposes.
(ii) Copies of inspection and review findings shall be retained for one year in the files of ordering officers and of inspectors or reviewers.
(iii) If an appointing authority finds that an ordering officer is not properly performing assigned duties or is failing to take prompt action to correct deficiencies noted in inspections or reviews, the appointing authority shall terminate the appointment of the ordering officer.
(3) Termination.
(i) The appointment of an ordering officer shall remain in effect until the ordering officer is reassigned or until the ordering officer's employment is terminated unless sooner revoked by the appointing authority or successor. No revocation shall be made to take effect retroactively.
(ii) Terminations of appointments shall be in writing except for terminations which result when the contracts expire.
(d) Procedures.
(1) Appointing authorities shall--
(i) Appoint ordering officers by a letter of appointment substantially in the format in Figure 1-2, but tailored to fit the circumstances of the appointment;
(ii) Maintain a file of appointments and justification for the appointments;
(iii) Require individuals appointed as ordering officers to acknowledge receipt of their letters of appointment and termination in writing;
(iv) Distribute letters of appointment to ordering officers, imprest fund cashiers, disbursing officers and other interested personnel as necessary; and
(v) Notify contractors of the names of ordering officers appointed to place delivery orders against their contracts unless the ordering officers are named in the contracts. Notifications to contractors may be accomplished by furnishing contractors with copies of the letters appointing ordering officers.
(2) Appointing authorities shall also notify contractors, imprest fund cashiers, disbursing officers and other interested personnel of terminations of appointments of ordering officers in writing. This notification may be accomplished by furnishing copies of the termination of appointment letter.
1.602-3 Ratification of unauthorized commitments.
(b) Policy.
(3) Each HCA may delegate, without power of redelegation, the authority to approve ratification actions with respect to amounts of--
(A) $100,000 or less to a PARC; and
(B) $10,000 or less to chiefs of contracting offices.
(c)(7) See 1.602-3-90.
1.602-3-90 Ratification procedures.
(a) The individual making the unauthorized commitment shall forward documentation concerning the transaction to the individual's commander or agency head (or senior staff officer designated for this purpose). The documentation shall include--
(1) A signed statement describing the circumstances, the reason normal contracting procedures were not followed, what bona fide Government requirement necessitated the commitment, the benefit received and its value and any other pertinent facts; and
(2) All other relevant documents, including orders, invoices or other evidence of the transaction.
(b) If the commander or agency head (or senior staff officer designated for this purpose) concurs that the commitment should be ratified, the documentation described in paragraph (a) shall be forwarded to the chief of the contracting office with an endorsement that--
(1) Verifies the accuracy and completeness of the documentation;
(2) Describes the measures taken to prevent a recurrence of unauthorized commitments, including a description of any disciplinary action to be taken; and
(3) Provides a complete purchase description and funding for the ratifying contract.
(c) The chief of the contracting office to which a proposed ratification action has been forwarded shall assign the action to an individual contracting officer for processing. The contracting officer assigned shall be responsible for--
(1) Reviewing the case and determining the adequacy of all facts, records and documents furnished and obtaining any additional material required; and
(2) Preparing a summary of facts to include a recommendation as to whether or not the transaction should be ratified and reasons for the recommendation. A recommendation not to ratify should include a recommendation as to whether or not the matter should be processed under FAR Part 50 and DFARS Part 250 (Pub. L. 85-804), as a GAO claim or in some other appropriate way.
(d) Upon receipt and review of the complete file, the individual responsible for approving the ratification (see 1.602-3(b)(3)) may approve the ratification if it is considered to be in the best interest of the Government, or may direct other disposition. Acquisitions which have been approved for ratification shall be forwarded to the appropriate contracting office for issuance of purchase orders or other contractual documents for payment purposes.
(e) HCAs shall monitor compliance with 1.602-3-90 and shall take all necessary corrective action.
1.603 Selection, appointment, and termination of appointment.
(1) In addition to the Secretary of the Army, the following individuals, or the designees of the individuals in (i), (ii) or (iii), may select, appoint and terminate the appointment of contracting officers:
(i) The ASA(RDA).
(ii) The Deputy Assistant Secretary of the Army for Procurement (DASA(P)).
(iii) HCAs.
(iv) An attache.
(v) A chief of foreign mission (Army).
(vi) A chief of an Army element of a joint military mission not operating under the cognizance of a major overseas command.
(vii) The Superintendent, United States Military Academy.
(2) HCAs may redelegate their authority under (1)(iv) only to PARCs. Individuals identified at (1)(v) through (viii) shall exercise this authority without power of redelegation, except they may redelegate to chiefs of contracting offices under their jurisdiction, without power of further redelegation, the authority to appoint ordering officers.
(3) The number of contracting officers appointed shall be kept to the minimum essential for efficient operation.
1.603-1-90 Other individuals authorized to make purchases.
(a) Individuals in (b)(1), (2) and (3) shall prepare and submit information for reporting purposes to the supporting contracting office as specified by that office. Individuals in (b)(4) shall normally report to the contracting office supporting the Mobilization Base.
(b) In addition to individuals identified in 1.602-2-90 and 1.603, other individuals may be authorized to make purchases as specified in (1) through (6).
(1) Individuals may be authorized by a contracting officer to place calls under blanket purchase agreements (see FAR and AFARS Subparts 13.2 and DFARS Subpart 213.2).
(2) Army aviators and masters of Army owned or operated vessels may make emergency purchases of supplies (e.g., fuels, oils, parts) and services (e.g., mechanical services, hangar storage, landing and docking fees and employment of civilian guards or watchmen to safeguard Government property) using Standard Form 44 (see 13.505-3) or provisions of AR 710-2 and DA PAM 710-2-2 under any of the following conditions:
(i) Authorized flights or voyages during which mechanical or meteorological conditions prevent obtaining required supplies and services from Government facilities.
(ii) Conditions under which continuation of flight, voyage or mission would constitute a hazard to safety or endanger public property.
(iii) Conditions under which procurement of supplies and services from Government facilities would interfere with approved flight plans or voyages.
(3) Individuals to whom International Merchant Purchase Authorization Cards (I.M.P.A.C.) are issued may use them in accordance with Subpart 13.90.
(4) Individuals in Reserve Components may make purchases in event of mobilization using Standard Form 44 and FORSCOM Mobilization and Deployment System (FORMDEPS), Volume III, as authorized by (c).
(5) Individuals to whom U.S. Government National Credit Cards are issued may use them while on official travel.
(6) Individuals authorized by AR 725-50 may order supplies from General Services Administration Stores Depots using MILSTRIP procedures.
(c) Reserve Component unit commanders are authorized to make over-the-counter type purchases not exceeding $2,500 per transaction using Standard Form 44 in the event of receipt of a Federal Mobilization Order requiring movement of the unit to a mobilization station or site or where procurement support is not readily available from a supporting installation. This temporary authority shall expire upon resumption of procurement support by the contracting office at the mobilization station or supporting installation. Reserve Component unit commanders may delegate this authority to an individual or position (any commissioned officer or warrant officer--or senior noncommissioned officer if these are not available--other than the Class A Agent or Property Book Officer) under their command. To the extent practicable, multiple units moving in a group should have one individual or position preassigned to accomplish this function for the group. Fund citations to be used on the Standard Form 44 will normally be obtained from the supporting home station installation and be updated as necessary. (See FORMDEPS, Volume III, for other conditions of use and procedures.) All pertinent instructions for the individuals authorized to make such purchases should be prepared in advance and placed with the Standard Form 44 in a mobilization package.
DFARS 201.603-2 establishes minimum qualification requirements for contracting officers. Prior to appointing any individual as a contracting officer, the HCA or other appointing official shall ensure that the individual has the requisite knowledge and experience as well as a track record of qualitative performance appropriate to the dollar value and complexity of the prospective contracting responsibilities.
1.690 Procurement management reviews.
HQDA will conduct procurement management reviews (PMRs) in accordance with AR 715-11. HCAs should conduct PMRs of their contracting offices and conduct follow-up reviews to ensure satisfactory resolution of all PMR recommendations.
1.690-1 Management Control Evaluation Checklist.
Appendix DD, Management Control Evaluation Checklist, is provided to assist managers at all levels in evaluating compliance with key management controls.
SUBPART 1.7--DETERMINATIONS AND FINDINGS
Each request for a Secretarial determination shall be forwarded by letter of transmittal, signed by the contracting officer, and endorsed by the HCA. See Figure 53.9003 for a sample D&F.
SUBPART 1.90--NONAPPROPRIATED FUNDS
DoD policy for contract actions using nonappropriated funds is in DoDI 4105.67. Implementing policies and procedures for Army nonappropriated fund acquisitions are established by the Assistant Chief of Staff for Installation Management in AR 215-1 and AR 215-4.
Appropriated fund contracting officers may also be designated by separate warrant as nonappropriated fund contracting officers.