Integrity - Service - Excellen ce Justification and
Integrity - Service - Excellen ce Justification and Approval (J&A) Training Date: Apr 2006 POC: 50 CONS Training Team Base: Schriever AFB, CO Phone: DSN 560-3800 Overview Objectives Terminology Purpose and Explanation
Format and Examples Conclusion Air Force Contracting: Expeditionary - Agile - Objective
When is a J&A required and is it a stand-alone document? What are the review and approval thresholds? What authorities apply? (Seven statutory authorities) What is the proper J&A format? What are some common rework reasons? Simplified Acquisition Procedures (Sole Source Justification) Why Seek Competition? Why Training? Key Players In Competition Requirements for Smart Business Decisions Air Force Contracting: Expeditionary - Agile - Terminology Full & Open Competition - FAR 6.1 10 U.S.C. 2304 requires, with certain limited exceptions, that contracting officers shall promote
and provide for full and open competition in soliciting offers and awarding Government contracts. Full and open competition means that all responsible sources are permitted to compete. Air Force Contracting: Expeditionary - Agile - Terminology (continued) Full & Open Competition After Exclusion of Sources - FAR 6.2 Agencies may exclude a particular source from a contract action in order to establish or maintain an alternative source or sources for the supplies or services being acquired if the agency head determines to do so. Every proposed contract action under the authority of this section shall be supported by a Determination and Findings (D&F) signed by the head of the agency or designee. This D&F shall not be made on a class basis.
Support Congressional Socioeconomic Programs Set-asides for small business concerns Set-asides for HUBzone small business concerns Section 8(a) competition Set-asides for Service-Disabled, Veteran-Owned Small Business Air Force Contracting: Expeditionary - Agile - Terminology (continued) Other Than Full & Open Competition - FAR 6.3 10 U.S.C. 2304(c) authorizes, under certain conditions, contracting without providing for full and open competition. When not providing for full and open competition, the contracting officer shall solicit offers from as many potential sources as is practicable
under the circumstances. J&As obtain approval for contracting without full and open competition Air Force Contracting: Expeditionary - Agile - Statutory Authority 41 United States Code (U.S.C.) 253(c) and 10 United States Code (U.S.C.) 2304(c) are the statutory authorities for contracting without providing for full and open competition. The Department of Defense (DOD) is subject to 10 U.S.C. 2304(c) as our statutory authority. Each contract awarded without providing for full and open competition shall contain a reference to the specific authority under which it was so awarded. Contracting officers shall promote and provide for full and open
competition in soliciting offers and awarding Government contracts, with certain limitations. Does not necessarily mean full and open competition exists Even if full and open competition does not exist, the CO is required to solicit offers from as many potential sources as practicable under the circumstances An approved J&A does not authorize the rejection of proposals from other offerors Competition is the rule not the exception!!!! Air Force Contracting: Expeditionary - Agile - When is a J&A Required? When using other than full and open competition Some form of written documentation is normally required J&A, D&F, IACR, Sole Source Justification
There are seven statutory exceptions to full and other competition Air Force Contracting: Expeditionary - Agile - Exceptions from J&A Requirements Simplified Acquisition Procedures Use a Sole Source Justification Use Commercial Item Procedures Within Scope Contract Modifications Changes Options
Air Force Contracting: Expeditionary - Agile - Exceptions to J&A Requirements (continued) Contracts Expressly Authorized by Statute Set Asides Small Business 8-A Program HUBZone Act Federal Supply Schedules
Orders Placed under Requirements Contracts or Definite-Quantity Contracts Placed under Indefinite-Quantity Contracts when All responsible sources were permitted to compete The J&A adequately covers all requirements of the order Placed against Task Order or Delivery Order Contracts Air Force Contracting: Expeditionary - Agile - Review and Approval Thresholds Approval authorities Under $500K - local approval
$500K to $10M - Command Competition Advocate $10M to $75M - HCA or designee (if meets criteria at FAR 6.304(a) (3) (must be GO or SES)) Over $75M - Senior Procurement Executive Submit through SAF/AQCK Allow 30 days for staffing Air Force Contracting: Expeditionary - Agile - Exceptions to full and open competition (Per FAR 6.302) Authorities
Only One Responsible Source.. (FAR 6.302-1) Unusual and Compelling Urgency (FAR 6.302-2) Industrial Mobilization; Developmental or Research Capability; or Expert Services(FAR 6.302-3) International Agreement..(FAR 6.302-4) Authorized by Statute..(FAR 6.302-5) National Security..(FAR 6.302-6) Public Interest...(FAR 6.302-7) Air Force Contracting: Expeditionary - Agile - Only One Responsible Source (or limited number) Reference 10 USC 2304(c)(1) as implemented by FAR 6.302-1
Most Common Exception Only Available from one or a limited number of responsible sources Unsolicited research proposal Follow-on for continued development or production of highly specialized equipment Follow-on for continued provision of highly specialized services Are there limited data rights, patents, copyrights, secret processes? Is there sole control of basic raw material? Air Force Contracting: Expeditionary - Agile - Only One Responsible Source (continued) Brand Name Does not provide for full & open competition
Brand name must be justified and approved To do otherwise would harm the Government Key points for justification Ability to validate assumptions regarding the specified sources unique capabilities Identify all sources that expressed interest in the requirement, and details regarding the evaluation of their capabilities Thoroughly describe unique capabilities or qualifications that form basis of the justification If absence of required data or limited rights data involved: Document
the actions taken to obtain missing data or to validate, challenge or otherwise remove the impediment Air Force Contracting: Expeditionary - Agile - Unusual and Compelling Urgency Reference 10 USC 2304(c)(2) as implemented by FAR 6.302-2 Most Scrutinized Unusual and compelling urgency precludes full and open competition Award delay would result in serious injury, financial or otherwise to the Government Must identify harm to Government Applies when the need for supplies or services is of such an unusual and compelling urgency that the government would be seriously injured unless the number of sources solicited is limited to those specified Appropriate when an unusual urgency precludes full and open competition, and delay of the award would result in serious injury, financial or other, to the government
Initial response to crisis (e.g. Hurricane Katrina & 9/11) Air Force Contracting: Expeditionary - Agile - Unusual and Compelling Urgency (Continued) Key points for justification Quantify the nature of the serious injury Identify financial obligations of the government Estimate the costs Identify basis of the estimate Identify potential personnel injuries or loss of life
Describe the conditions creating the situation Why no other action than the planned acquisition could avert the situation Explain the impaired defensive capability if the posture of the U.S. would be seriously jeopardized Extent to which competition is limited Demonstrate how competition was obtained, given the circumstances If circumstances are similar to those cited under exception 1 (only one responsible source), detail these impediments Air Force Contracting: Expeditionary - Agile - Industrial Mobilization; Engineering, Developmental, or Research Capability; or Expert Services Reference 10 USC 2304(c)(3) as implemented by FAR 6.302-3
Maintain facility, producer, manufacturer, or supplier in case of emergency/mobilization Establish/maintain essential capabilities by educational, non-profit institution, or federally-funded R&D center Acquire expert services for litigation/dispute Key points for justification Demonstrate the need to maintain the capability possessed by the identified source(s) - Some form of market survey may be critical in demonstrating the uniqueness of this capability FFRDC the need to maintain the capability is inherent in the sources designation as an FFRDC Explain why no actions are planned or underway are planned to pursue future competition, if applicable Air Force Contracting: Expeditionary - Agile - International Agreement Reference 10 USC 2304(c)(4) as implemented by FAR 6.302-4
No Competition Advocate review Procurement is on behalf of foreign country or international organization for non-U.S. customers Written direction such as Letter of Offer and Acceptance (LOA), or Services performed or supplies used in countrys sovereign territory Foreign country directs the source Key points for justification International Agreement Competitive Restrictions (IACR) used rather than a J&A Copy of pertinent parts of the documentation that restricts competition FAR 5.202(a)(3) permits an exception to the requirement to publicize the proposed contract action Air Force Contracting: Expeditionary - Agile - Authorized by Statute
Reference 10 USC 2304(c)(5) as implemented by FAR 6.302-5 Mandatory sources: i.e., UNICOR (Federal Prison Industries) Qualified Nonprofit agencies for Blind or Severely Handicapped Government Printing and Binding 8a Awards Disaster Relief and Emergency Assistance Applies when a statute expressly authorizes that the acquisition be made through another agency, or from a specified source, or the agencys need is for a brand name or commercial item for authorized resale, the government may limit competition A J&A is not required Qualified non-profit agencies for the blind or severely handicapped (FAR 8.7) Sole source awards under 8(A) (FAR 19.8)
Commercial items for authorized resale at a commissary or similar facility Statute expressly requires the procurement to be made from a specified source J&A required Federal Prison Industries (Unicor) (FAR I.6) Government Printing and Binding (FAR 8.8) Air Force Contracting: Expeditionary - Agile - National Security Reference 10 USC 2304(c)(5) as implemented by FAR 6.302-5 Disclosure would compromise national security violate security requirements Key points for justification Documentation
is limited to the minimum essential information to establish the validity of the justification. The J&A could be a classified document Special handling procedures could exist for process the documentation to the approval authority Air Force Contracting: Expeditionary - Agile - Public Interest Reference 10 USC 2304(c)(7) as implemented by FAR 6.302-7 Extremely rare Requires written determination by Secretary of Defense or Secretary of Air Force to be in Governments best interest May only use if no other authority appropriate
Notify Congress not less than 30 days prior to award Key points for justification Describe the reasons full and open competition is not in the public interest Describe why no other authority is appropriate Air Force Contracting: Expeditionary - Agile - J&A Format Justification Review Document(JRD) Signature Cover Page JRD and Justification comprise the J&A Final Acquisition Action Approval (FAAA) (Removed from AFFARS) Justification Parts I-XIII
Identify heading as: Justification for Other Than Full and Open Competition Air Force Contracting: Expeditionary - Agile - Doing a Good J&A - A Comparison Overall: Bad J&A Thrown together at last minute and reflected in quality of document. Doesnt fit together No market research or other homework versus
Good J&A Well thought out and organized. Fills all categories from guide and template Customer and buyer got together as user began work on J&A to make sure preliminary work done properly Adequate market research Air Force Contracting: Expeditionary - Agile - I. Contracting Organization Identify
the Contracting Officers name and office symbol Identify the Contracting Officers address DSN Number Identify PR Number Air Force Contracting: Expeditionary - Agile - II. Description of Action Upon approval to use other than full and open competition procedures, the Air Force will procure ? from ? In support of ? State if PEO, DAC, or Other Contracting State if action is new contract, modification or extension State if action is Individual or Class Identify the type contract planned Air Force Contracting: Expeditionary - Agile -
II. Description of Action (continued) Bad J&A versus Whatever the heck we can get someone to sign off on Good J&A Firm, fixed price modification to contract F33601-96-C-1234 to extend existing contract for a period of one year to ensure
support while working follow-on buy delayed at Congressional request. Air Force Contracting: Expeditionary - Agile - III. Description of Supplies/Services Specifically describe the supplies or services to be acquired Total estimated cost and quantity including options. Provide acquisition history Air Force Contracting: Expeditionary - Agile - III. Description of
Supplies/Services (continued) Bad J&A versus Service to keep some computer program thing from breaking. Gonna cost us $400K Dont know if was competitive last time, so dont know if can make competitive
Good J&A Non-personal service for maint/improvement of proprietary software developed at vendor expense. Estimates based on objective analysis or prior costs and market research Competitive package to develop new system in process Air Force Contracting: Expeditionary - Agile - IV. Authority 10 USC 2304(c)(_) as implemented by FAR 6.302-_ For exception 1 there are two alternatives:
- Only one responsible source - Limited number of responsible sources Air Force Contracting: Expeditionary - Agile - Applicability of Authority Bad J&A versus We think hes the only one who could do it and itd be convenient to just give them a new contract Good J&A
The proposed contractor is the only source with available expertise to support the one year remaining on this program. Failure would cause the program to fail with total collapse of the specific aircraft ability to support the mission until replacement one year later Air Force Contracting: Expeditionary - Agile - V. Applicability of Authority Narrative discussion fully supporting the authority cited. Most detailed part of J&A Air Force Contracting: Expeditionary - Agile - VI. Efforts to Obtain Competition
Describe efforts made to ensure offers are solicited from as many potential sources as practicable. Sources sought synopsis results. Statement that the proposed contract action will be synopsized. Air Force Contracting: Expeditionary - Agile - VI. Efforts to Obtain Competition (continued) Bad J&A versus
None. we like the incumbent I could have chosen to compete, but it would be easier not to. Good J&A Sources sought synopsis conducted (copy enclosed) to find out if there might be existing product or expertise available - no responses received Reviewed requirement to determine if could compete with different specifications - still no luck Air Force Contracting: Expeditionary - Agile -
VII. Fair and Reasonable Costs Contracting Officer Statement -Cost will be fair and reasonable. -Steps to ensure final contract price will be fair and reasonable. -Extent of cost or price analysis anticipated. -Certified cost or pricing data requirements Air Force Contracting: Expeditionary - Agile - Fair and Reasonable Price Bad J&A versus Yep, its good - the incumbent told us so
Good J&A Anticipated contract price will be considered fair and reasonable. Conducted other than cost and price analysis review of historical records and compared to as near a comparison as can be made of similar work. Air Force Contracting: Expeditionary - Agile - VIII. Market Research Discuss market research conducted and describe results.
Discuss if commercial item can satisfy requirement. Air Force Contracting: Expeditionary - Agile - Market Research Bad J&A versus Talked to incumbent who said no one else could do it. Looked at internet for ten minutes (mostly Dilbert cartoons)
Good J&A User and buyer talked to named experts in the specific field Talked with other possible users of similar items Performed internet search with stated parameters Reviewed named journals and technical magazines Publicized in CBD Air Force Contracting: Expeditionary - Agile - IX. Other Facts Give any other facts supporting the use of Other Than Full and Open Competition (OTFOC). Air Force Contracting: Expeditionary - Agile -
X. Interested Sources Identify sources that have expressed written interest Air Force Contracting: Expeditionary - Agile - XI. Steps to Foster Competition Action taken or to be taken for future acquisitions. Address efforts to ensure competition for future spare parts and maintenance. Air Force Contracting: Expeditionary - Agile - XII. COs Certification
CO determination the document is both accurate and complete See guide and FAR 6.303-2(a)12 Air Force Contracting: Expeditionary - Agile - XIII. Technical/Requirements Personnels Certification Certification that any supporting data in J&A is accurate and complete See guide and FAR 6.303-2(b) Air Force Contracting: Expeditionary - Agile - Common Rework Reasons
Description (III) unclear Authority (IV) doesnt match Applicability of Authority (V) PR not provided Attachments referenced Market Research results not included Air Force Contracting: Expeditionary - Agile - Requirements for Smart Business Decisions Contracting officer must: Learn the marketplace The decision to compete is based upon market research, not your customers desire to retain the incumbent Seek the advice of your competition advocate
Emphasize minimum requirements Design an acquisition strategy that supports competition Understand the authorities at FAR 6.3 (Other Than Full and Open competition) Coding the DD350 and reporting the contract award correctly in J001 (FPDS-NG future) is critical! Information reported to congress Official source for AF data Air Force Contracting: Expeditionary - Agile - FY 06 Competition Goals MAJCOM/FOA/DRU ASSIGNED GOAL ACC 97%
AIR FORCE GOAL 55% Air Force Contracting: Expeditionary - Agile - Detailed Look AFFARS AFFARS 5306 5306 (5306.303-2) Deletes old MP 5306.3 on Justification & Approval (J&A) content. Adds new IG 5306 to cover content & adds list of recommended coordinating officials, by MAJCOM. NEW IG 5306 is now a J&A guide/template similar to AFMC J&A guide/template.
Air Force Contracting: Expeditionary - Agile - Detailed Look AFFARS AFFARS 5306(continued) 5306(continued) Highlight Highlight New New IG IG 5306 5306 -- J&A J&AGuide/Template Guide/Template Guide/template based with six chapters to include General info & J&A authorities Procedures for J&A changes & Class J&As Definitions Templates by dollar value
Under $500K $500K to $10M $10M to $75M Over $75M Template section includes additional MAJCOM unique coordinations and statement allowing for additional MAJCOM requirements
In addition to the officials listed in the samples provided in this chapter, MAJCOM and local procedures may require additional coordination on J&As. For example: Air Force Contracting: Expeditionary - Agile - Detailed Look AFFARS AFFARS 5306(continued) 5306(continued) (5306.304) Adds new MP 5306.304 on J&A approval levels. New MP takes old AFFARS language. (5306.304-93) Deletes IG 5306.304-93.
General concepts moved to new IG 5306 Reminder: AFAC 2006-0329 changed the legal review threshold for J&As to $500K! Air Force Contracting: Expeditionary - Agile - Summary Competition is important & remains on SAF/AQCs radar scope Each MAJCOM has a competition goal & is measured against that goal
Contracting workforce is the first line of defense Market research is the key Know the marketplace Exemptions to competition are the exception, not the rule!!! Challenge your customer to think outside the paradigm Recommend alternative sources Offer solutions to getting the product/service your customer desires Coding the DD350 and reporting the contract award in J001 (FPDS-NG future) is critical!!! Air Force Contracting: Expeditionary - Agile - Pending Changes When the pending AFAC gets published, MP & IG numbers will change The new AFAC will formally incorporating most of the current AFMC J&A guide at the AF level into the new IG
Some MAJCOMS may deviate from new $500K legal review threshold Air Force Contracting: Expeditionary - Agile - SAP Memo For actions under $100K a sole source justification can be used versus a J&A. See the notes section of this slide for an example. Air Force Contracting: Expeditionary - Agile - Questions? Air Force Contracting: Expeditionary - Agile -
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