PART 1--GENERAL
DD-100 Function.
DD-101 Purpose.
DD-102 Instructions.
DD-103 Supersession.
DD-104 Comments.
PART 2--TEST QUESTIONS
DD-200 EVENT CYCLE 1: Presolicitation.
DD-201 EVENT CYCLE 2: Solicitation, Evaluation, and Award.
DD-202 EVENT CYCLE 3: Contract Administration.
DD-203 EVENT CYCLE 4: Special Acquisition Situations and Requirements.
DD-204 EVENT CYCLE 5: Management of the Acquisition Function.
PART 1--GENERAL
The function covered by this checklist is Contract Office Management.
The purpose of this checklist is to assist managers at all levels in evaluating compliance with the key management controls listed below. It is not intended to cover all controls.
Answers must be based on actual testing of key management controls (e.g., document analysis, direct observation, sampling, simulation, other). Answers which indicate deficiencies must be explained and corrective action indicated in supporting documentation. These management controls must be evaluated at least once every five years. Certification that this evaluation has been conducted must be accomplished on DA Form 11-2-R (Management Control Evaluation Certification Statement).
This checklist replaces the checklist for the Task of Contracting and Production Activities/Subtask of Contracting previously published in DA Cir 11-91-1, 16 April 1991.
Help make this a better tool for evaluating management controls. Submit comments to HQDA, U.S. Army Contracting Support Agency, SFAE-CSA-PP, 5109 Leesburg Pike, Suite 916, Falls Church, VA 22041-3201.
PART 2--TEST QUESTIONS
DD-200 EVENT CYCLE 1: Presolicitation
(a) Step 1: Initial purchase tasking receipt and review.
(1) Do the purchase requests received adequately describe the requiring activity's needs, provide for identification and accountability control, and are they adequately funded, signed, dated, and approved by those in authority?
(2) Do the purchase descriptions or performance work statements received describe needs that are appropriate for this rather than another contracting office to assume purchase responsibility for?
(3) Are Independent Government Estimates (IGE)--
(A) Furnished when required (FAR 36.203)?
(B) Accurate (i.e. within published guidelines)?
(C) Independently determined?
(4) Are blue prints and drawings--
(A) Furnished when required?
(B) Complete and accurate?
(C) Available in sufficient quantities?
(5) Are the purchase requests for items delivered after the fact (unauthorized commitments) processed according to ratification procedures (FAR and AFARS 1.602-3)?
(6) Does the chief of the contracting office regularly monitor the backlog to maintain an effective work flow?
(b) Step 2: Acquisition method selection and planning.
(1) Are requirements placed as orders against applicable, existing "open ended" agreements or contracts rather than used as the basis for creating a new solicitation or purchase order?
(2) Are "lessons learned" during the previous year(s) considered in the preparation of a new solicitation to fill recurring annual requirements? (That is, are previously erroneous estimates, descriptions, and assumptions corrected rather than repeated?)
(3) Are customer needs verified prior to exercising an option to extend contract performance?
(4) Is the type of contract selected suitable for promoting the Government's interests (FAR Subpart 16.1)?
(5) Are acquisition plans--
(A) Developed when required (DFARS 207.103)?
(B) Sufficiently complete (DFARS 207.105)?
(C) Timely updated (DFARS 207.105(a)(1)(D))?
(c) Step 3: Competition considerations.
(1) Is the urgency exception to full and open competition being properly applied and not just based on a high priority purchase request or backordered requisition (FAR 6.302-2)?
(2) Are solicitations based on the industrial mobilization exception limited to only the minimal sustaining rate for mobilization (FAR 6.302-3(b)(1)(iii))?
(3) Are justifications for other than full and open competition (including amendments to justifications) approved in writing at the appropriate level (FAR 6.304)?
(4) Are solicitations based on the national security exception to full and open competition supportable (FAR 6.302-6(c))?
(d) Step 4: Solicitation preparation and review.
(1) Do solicitation(s)--
(A) Conform with the Uniform Contract Format, if applicable (FAR 14.201-1 or FAR 15.406-1)?
(B) Forms and clauses conform to the FAR or DFARS or have deviation approval (DFARS 201.402(3))?
(C) Requiring a legal sufficiency review prior to issuance, receive the required review (AFARS 1.602-2(c)(iv))?
(2) Do (when appropriate) the Instructions, Conditions and Notices to Offerors specify in sufficient detail the format and structure (i.e. size print, numbering of pages, etc.) with which each offer is expected to comply?
(3) Do (when appropriate) solicitations notify offerors that unrealistic proposals may be rejected (DFARS 215.613-70(e)(3))?
(e) Step 5: Solicitation public notices and announcements.
Are solicitation notices publicized--
(1) Using the appropriate method (Commerce Business Daily, public posting, etc.)?
(2) For the appropriate number of days?
DD-201 EVENT CYCLE 2: Solicitation, Evaluation, and Award
(a) Step 1: Solicitation distribution, amendment, and cancellation.
(1) Are solicitation mailing lists established and maintained (FAR 14.205)?
(2) Is the publication, "Lists of Parties Excluded from Federal Procurement or Nonprocurement Programs," checked before placing vendors on the solicitation mailing list?
(b) Step 2: Bid opening and proposal closing.
(1) Are bids received prior to bid opening kept secure in a locked bid box or safe (FAR 14.401)?
(2) Are the withdrawals of a bid before the exact time set for opening bids accomplished according to FAR requirements (FAR 14.303(b))?
(3) Are bid opening postponements limited to only justifiable situations (FAR 14.402-3)?
(4) Do bid opening officers follow bid opening rules and procedures (FAR 14.402)?
(5) Are procedures followed on the receipt and handling of proposals and quotations (FAR 15.411)?
(6) Are procedures followed on the disclosure and use of information in the proposals (FAR 3.104-3(c))?
(c) Step 3: Responsiveness and certifications.
(1) Are only those bids that comply in all material respects with the Invitation for Bids (IFB) considered for award (FAR 14.301(a))?
(2) Are appropriate certification and representations required by the solicitation provided by the offeror prior to award?
(d) Step 4. Mistakes and protest resolution.
Do contracting officers consider, resolve, or forward, as appropriate, all protests filed that relate to either their solicitations or procedures (FAR subpart 33.1)?
(e) Step 5: Technical evaluation.
(1) Are technical evaluations (beyond ensuring minimal requirements are met) adequately documented to support any analysis and/or recommendation (FAR 15.608(a)(3))?
(2) Do contracting officers generally request a technical analysis of the proposals when cost or pricing data are required (FAR 15.805-4)?
(f) Step 6: Pricing evaluation.
(1) Do contracting officers obtain independent Government estimates (IGE) when needed or appropriate?
(2) Is a Price Negotiation Memorandum (PNM) or Post Business Clearance Memorandum (PostBCM) prepared and placed in the contract file for each price negotiation (FAR 15.808, DFARS 215.808 and AFARS 15.808)?
(3) Are audit report differences between the contracting officer and the auditor reconciled according to regulations?
(4) Is a properly executed Certification of Current Cost or Pricing Data obtained when required (FAR 15.804-4)?
(g) Step 7: Responsibility determination and certification of competency.
(1) Do contracting officers place the required written determination of nonresponsibility in the contract file when rejecting prospective offerors as nonresponsible (FAR 9.105-2(a))?
(2) Do contracting officers comply with procedures regarding consideration for a certificate of competency when rejecting responsive small business offerors as nonresponsible (FAR subpart 19.6)?
(h) Step 8: Obtaining approvals, Congressional notices, and business clearances prior to award.
(1) Do the contract files reflect the obtainment of appropriate award approvals and signature authorities?
(2) Are public announcements and the release of contract award information in compliance with regulatory requirements (FAR/DFARS/AFARS 5.303)?
(3) Do contract files contain the necessary business clearance memorandum (BCM), when required (AFARS 15.890-1)?
(i) Step 9: Contract distribution, synopsis, and notice of award.
(1) Are contract awards synopsized as required in the Commerce Business Daily (FAR 5.301)?
(2) Are successful offerors given the time promised in the solicitation to "mobilize" subcontractors and equipment prior to commencing work (FAR 52.211-10)?
DD-202 EVENT CYCLE 3: Contract Administration
(a) Step 1: Functional representatives' responsibilities and limitations.
(1) Are qualified individuals selected as CORs?
(2) Do CORs' written designations clearly indicate their authority and limitations?
(3) Are inspectors, functional managers, and others routinely involved in performing contract administration functions, advised of their duties and responsibilities in contract administration.
(b) Step 2: Postaward orientation conferences.
Is consideration given to the need for postaward orientation conferences to foster a mutual understanding of the contractual agreement and the responsibilities assigned (FAR 42.502)?
(c) Step 3: Contract modifications.
(1) Is legal counsel requested to make a legal sufficiency determination prior to effecting a supplemental agreement?
(2) Is legal counsel requested to assist in clause preparation and a deviation approval requested when a clause other than a standard clause is to be incorporated into a supplemental agreement?
(3) Are requiring activities precluded from making changes to contracts and retroactively processing them through the contracting officer?
(4) Are change orders only issued for work within the scope of the contract?
(d) Step 4: Government property administration.
(1) Are contractors required to publish a property control system describing the procedures and techniques to be used in managing Government property (unless the Government Property Administrator determines it unnecessary)?
(2) Is regulatory guidance followed to determine contractor liability should Government property become lost, damaged, destroyed or unreasonably consumed (FAR 45.504)?
(3) Has it been determined to be in the best interest of the Government to provide additional Government property beyond that required under contract?
(e) Step 5: Quality assurance.
(1) Are nonconforming supplies or services offered to the Government rejected except as provided in applicable regulations (FAR 46.407)?
(2) Is contractor performance of service or commercial activity contracts monitored according to established surveillance plans?
(f) Step 6: Damages and delinquency actions.
(1) Do contracting officers take timely action to alleviate or resolve delinquencies?
(2) Do contracting officers obtain legal counsel and technical advice prior to taking action when a default termination is being considered (FAR 49.402-3)?
(g) Step 7: Defense Contracting Audit Agency (DCAA) audits on reimbursement contracts.
(1) Are determinations regarding allowability of incurred costs on cost reimbursement contracts consistent with the factors to be considered in determining allowability (FAR 31.201-2(a))?
(2) Are final cost determinations that are inconsistent with the auditor's advice supported by a memorandum in the contract file describing the pertinent events and factors considered in reaching the decision?
(3) Are the reimbursements due the Government after final audit promptly processed for collection?
(h) Step 8: Receiving reports, acceptance, final payment, contract completion and contractor evaluation.
(1) Are decisions to accept or reject supplies offered or services performed documented and distributed in a timely manner?
(2) Are all contractual claims and obligations satisfied on physically completed contracts prior to contract closeout?
(3) Are evaluations (when appropriate) prepared of contractor performance (FAR 42.302(b)(11) and 42.1502)?
DD-203 EVENT CYCLE 4: Special Acquisition Situations and Requirements
(a) Step 1: Simplified acquisition procedures.
(1) Are solicitations distributed without regard to personal or brand preference (FAR 13.106-1(a)(5))?
(2) Are simplified acquisitions reviewed to ensure that--
(A) Requirements are not split or manipulated to avoid the use of a formal solicitation (FAR 13.103(c))?
(B) Related items are consolidated when practical and advantageous (FAR 13.104(b))?
(C) Unpriced orders contain appropriate monetary limitations (FAR 13.502(c))?
(D) Supporting data is adequate for management review purposes (FAR 13.106-2)?
(3) Is consideration given to using existing agreements (i.e. Federal Supply Schedules, Blanket Purchase Agreements, etc.) before selecting a simplified acquisition procedure?
(4) Are recurring orders evaluated at least annually to determine the appropriateness of either establishing, modifying or canceling blanket purchase agreements (FAR 13.205(b))?
(5) Is there a procedure in place to accomplish postaward simplified acquisition price verification (AFARS 13.190)?
(6) Are ordering officers--
(A) Appointments limited to those situations essential for the efficient operation of the contracting mission (AFARS 1.603-1-90(b))?
(B) Activities physically inspected or reviewed, at least once each year (AFARS 1.603-1-90(e)(2))?
(7) Are Government Credit Card --
(A) Purchases controlled by established internal operating procedures (AFARS 3.9002(a))?
(B) Purchases in compliance with restrictions and controls (AFARS 13.9003)?
(C) Abuses promptly reported to and acted on by the contracting office (e.g. recover abused cards)?
(8) Are there periodic reviews to determine if imprest funds should be continued and funding does not exceed actual needs (FAR 13.402(a))?
(b) Step 2: Construction requirements.
(1) Are bid guarantee and bonding requirements in compliance with the guidance at FAR 28.101 and DFARS 28.102?
(2) Are on-site inspections by qualified personnel, of sufficient frequency and duration to protect Government interests regarding workmanship and progress?
(3) Is the construction material the contractor proposes to use inspected according to the specifications and approved by the contracting officer's Facility Engineer representative?
(4) Is legal guidance obtained prior to assessing liquidated damages for contractor delinquency?
(5) Are all "punch list" deficiencies corrected prior to final payment?
(6) Is a release of all claims or liens against the Government obtained prior to final payment (FAR 52.232-5)?
(c) Step 3: Job Order Contracting (JOC)
(1) Is the Unit Price Book (UPB) incorporated in the JOC solicitation, derived from the U.S. Army Corps of Engineers Computer Aided Cost Estimating Support (CACES) UPB?
(2) Are JOC UPB prices less than comparable, local prices for in-place, finished construction?
(3) Do JOC UPB prices (including contractual changes to UPB prices) exclude contractor mobilization, overhead, administration and profit?
(4) Are negotiated prices for non-prepriced items fair and reasonable?
(d) Step 4: Architect-Engineers (AE) requirements.
(1) Are the qualification data files on AE firms kept current (to include review and update at least once a year) (FAR 36.603(d))?
(2) Are the required clauses included in AE contracts to protect the interests of the Government (FAR 36.609)?
(3) Are the reasons for recovering or not recovering costs from an AE firm whose design deficiencies contributed to a construction contract modification, in writing and in the contract file (FAR 36.608)?
(e) Step 5: Service and commercial activity requirements.
(1) Is an appropriate determination of nonpersonal service approved at the proper level (to include legal review) and placed in the contract file?
(2) Are surveillance plans developed to monitor the services to be performed?
(3) Are contractor employee complaints regarding wage rates, overtime, and related matters, under the Service Contract Act of 1965 referred to the Department of Labor for investigation?
(f) Step 6: ADP equipment (ADPE) requirements.
(1) Are requests for ADPE systems, components, and services reviewed to determine if the policy exceptions (that is, Warner Amendment) under section 2315, title 10, United States Code (10 USC 2315) are applicable (DFARS 239.001-70)?
(2) Is the following order of preference a factor in determining the type of specification or purchase description prepared and used to acquire or lease ADPE: (1) functional specifications, (2) equipment performance requirements, (3) plug compatible, (4) brand name or equal, or (5) specific make and model (FIRMR 201-20.103-3(b), 201-20.103-4 and -5)?
(3) Is the ADPE portion broken out when feasible and a separate purchase made, when purchase requests for supplies or services also include ADPE items or services (FIRMR 201-20.305(b)(3))?
(4) Are proposals to purchase or lease ADPE evaluated to determine the lowest overall cost or life-cycle cost to the Government (FIRMR 201-20.203-2(a))?
(5) Are certification requirements for ADPE specifications in compliance with DOD and Army security regulations (DFARS subpart 239.71)?
(6) Are Agency Procurement Requests (APRs) adequately justified and documented (FIRMR 201-20.103-5)?
(7) Are solicitations and contracts resulting from the receipt of a GSA delegation (in response to an APR) in compliance with the terms of the GSA delegation (DFARS 239.002(2))?
(8) Are the required ADPE contract clauses included in the terms and conditions of ADPE solicitations and contracts (FIRMR subpart 201-39.52)?
(g) Step 7: Major system acquisitions.
(1) Does the system acquisition objective promote innovation and full and open competition (FAR 34.002(a))?
(2) Is effective competition between alternative system concepts and sources sustained for as long as it is beneficial (FAR 34.002(b))?
(3) Are the applicable provisions and clauses included in solicitations and contracts for major systems acquisitions (DFARS 234.005-70)?
(4)d. Are the Formal Source Selection procedures described in AFARS Manual No. 1, being applied?
(h) Step 8: Research and development requirements.
(1) Are recommendations of technical personnel considered by the contracting officer prior to selection of a contract type to fit the research work required (FAR 35.006(b))?
(2) Are work statements adequately tailored by technical and contracting personnel to obtain the desired degree of flexibility for contractor creativity and the objectives of the research and development (FAR 35.005(a))?
(3) Do those research contracts with educational institutions or nonprofit organizations requiring a named principal; investigator or project leader, contain sufficient controls to ensure an adequate degree of involvement by the named individual (FAR 35.015(a)(1))?
(4) Does the evaluation and award of research contracts consider the prohibition against obtaining capabilities that exceed those needed for successful performance (FAR 35.008(a))?
(i) Step 9: Undefinitized Contract Actions (UCA).
(1) Is the approval given to enter into a UCA adequately justified (e.g. documented both as to urgency and adverse mission impact) and properly authorized (DFARS 217.7404-1)?
(2) Does the UCA definitization schedule contain all appropriate requirements, a ceiling/not to exceed price, and appropriate contract clauses (FAR 16.603, DFARS 216.603-4 and Subpart 217.74)?
(3) Are obligations and expenditures against a UCA, prior to definitization, in compliance with statutory limitations (DFARS 217.7404-4)?
(4) Are UCAs definitized in a timely manner (FAR 16.603-2(c) and DFARS 217.7404-3(a))?
(5) Is appropriate action taken (e.g. progress payments suspended or reduced) if a qualifying proposal was not submitted in accordance with the definitization schedule (FAR 32.503-6 and DFARS 217.7404-3)?
(6) Is profit awarded under a UCA--
(A) Commensurate with contractor risk (DFARS 217.7404-6(a))?
(B) Separated for incurred costs and costs yet to be incurred (DFARS 217.7404-6(b))?
DD-204 EVENT CYCLE 5: Management of the Acquisition Function
(a) Step 1: Acquisition activity procedures and functions.
(1) Are mission and function statements clear and accurate?
(2) Is there a local regulation implementing applicable DoD, DA and MACOM policies?
(3) Is there a current published standard operating procedure (SOP) that governs operations of the organization (i.e. security, visitors, etc.)?
(b) Step 2: Requiring activity coordination.
(1) Are requiring activities advised of the lead times necessary to initiate and complete the contractual obligation of funds?
(2) Is economic purchase quantity data obtained and shared (when appropriate) with requiring activities (FAR 7.204)?
(3) Is the Contracting Officer who would normally provide contracting support, consulted prior to any determination by the requiring activity to:
(A) Transfer or accept contracting support via an Intra-Service Support Agreement?
(B) Place an interagency order under the Economy Act (DFARS 217.502)?
(c) Step 3: Office automation.
(1) Are all purchasing and contracting actions (except credit card transactions) accomplished by the Standard Army Automated Contracting System (SAACONS)?
(2) Is there a single point of contact in the office for managing and resolving SAACONS functional questions?
(3) Are procedures established regarding the--
(A) Use and approval of local SAACONS clauses?
(B) Documentation, reporting and resolution of SAACONS problems?
(C) Need for SAACONS backups and maintenance?
(d) Step 4: Staffing, facilities, and training.
(1) Is the contracting office located at a level in the organization where undue pressure will not be placed on contracting personnel (AFARS 1.601-93)?
(2) Is the staffing in contracting offices adequate to support the mission without excessive use of overtime or the addition of temporary employees?
(3) Are job descriptions in the contracting office sufficient to ensure the recruitment and retention of employees with adequate skill levels?
(4) Is the contracting office working environment (for example, office space, conference room space, heating, cooling, ventilation, lighting, and noise level) adequate?
(5) Is the number and condition of contracting office business machines (for example, copiers, datafax, computers, and class "A" telephone lines) adequate?
(6) Are the Individual Development Plans (IDPs), job descriptions and standards current and appropriate for the mission?
(7) Is the training received by employees (both formal classroom training and informal on-the-job training) timely, adequate, and appropriate?
(8) Are personnel with responsibilities related to contracting, such as personnel assigned as contracting officer representatives or ordering officers, held accountable for their actions either through the performance appraisal process or by some other means?
(e) Step 5: Acquisition reports and reviews.
(1) Do management and contracting functions of the organization and its activities receive management reviews?
(2) Are DD Forms 350, Individual Contracting Action Report (over $25,000), prepared in a timely manner, verified, and submitted for each applicable contractual action (DFARS 204.670-3(a))?
(3) Are DD Forms 1057, Monthly Contracting Summary of Actions ($25,000 or less), prepared in a timely manner, verified, and submitted (DFARS 204.670-3(b))?
(4) Are DD form 1547, Record of Weighted Guidelines Application ($500,000 or more), prepared in a timely manner, verified, and submitted (DFARS 215.975)?
(5) Are Status Reports on Specified Contract Audit Reports, required by DODD 7640.2, prepared in a timely manner, verified, and submitted (AFARS 15.891-3)?
(f) Step 6: Social and economic goals.
(1) Does the contract file reflect the timely receipt, evaluation, and approval of required subcontracting plans?
(2) Do contracting officers make a reasonable effort to assist SADBUs in identifying requirements suitable for possible award under the 8(a) Program (AFARS Subpart 19.8)?
(3) Are contracting officer decisions or recommendations on a particular acquisition coordinated with the SADBU specialist on DD Form 2579 (DFARS 219.201(c)(9)(B))?
(g) Step 7: Standards of conduct.
(1) Are the required standard of conduct brought to the attention of DA personnel at least semiannually (AFARS 3.101-3(a))?
(2) Are suspected violations of the gratuities clause forwarded by management for appropriate evaluation and action (AFARS 3.203)?
(3) Are contractors made aware of their responsibility to maintain a suitable system of internal controls to avoid improper business practices (DFARS 203.7000)?
(4) Are contracting officers made aware of those indicators of fraud that have been identified by the Office of the Inspector General (DODD 4075.1-H)?
(5) Are procurement official certificates of procurement integrity (e.g. Optional Form 333) completed and executed when required (FAR 3.104-12(a)(3))?
(6) Are contracting officer certificates of procurement integrity completed, executed and maintained in the contract file (FAR 3.104-9(c))?