Attachment_G_-_SF1408_PRE-AWARD_TEMPLATE_NOVEMBER_12_2013.docx

SF 1408 TEMPLATE

MODIFIED TEMPLATE FOR XXXXXXXXX PRE-AWARD SURVEY (SF 1408)

OF PROSPECTIVE CONTRACTOR ACCOUNTING SYSTEM

(found at http://www.dlis.dla.mil/cage_welcome.asp) Click here to enter text.

Data Universal Numbering System (DUNS) Number:

(FAR 52.204-6)

(found at http://www.dcaa.mil/office_locator.html)

(Name, Title, Phone Number, and E-mail address) Click here to enter text.

Name, Title, and Signature of Company Principal (President / VP / Controller, etc) responsible for the design of the Accounting System.

Name

Title eMail Address

For further information, please review DCAA Manual No. 7641.90, Information for Contractors, dated June 26, 2012, located at http://www.dcaa.mil/DCAAM_7641.90.pdf

For each Question, check only one box. ALL Questions must have explanatory narrative text entered in the boxes. Please provide sufficient detail to describe the process. Each Question must be complete. Do NOT refer to previous answers, ( i.e. “See Question 3 Above”).

1. Has your organization’s Accounting System ever been audited by DCAA?

|_| YES (if YES, the Offeror should attach a copy of their most recent DCAA audit report to this Modified Pre-Award Survey) or provide DCAA Report # or DCAA POC info.

|_| NO (if NO, answer N/A to Questions 1.A., 1.B., and 1.C. below)

1.A. If the answer is “Yes” to Question 1 above, when was the audit performed?

|_| Within the past 1 Year.

|_| Within the past 3 Years.

|_| Greater than 3 Years.

|_| N/A (Answer to Question 1 is NO)

1.B. If the answer is “Yes” to Question 1 above, did DCAA determine the Accounting System acceptable for award of prospective contracts?

|_| YES

|_| NO (if NO provide an explanation in the box below)

|_| N/A (Answer to Question 1 is NO)

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1.C. If the answer is “Yes” to Question 1 above, have there been any changes to the Accounting System since the DCAA audit?

|_| YES (if YES, describe the changes in the box below)

|_| NO

|_| N/A (Answer to Question 1 is NO))

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2. Is your organization subject to CAS (48 CFR Chapter 99)?

|_| YES (If YES, is it FULL or MODIFIED CAS?) |_| FULL |_| MODIFIED

(If YES (FULL or MODIFIED), the Offeror MUST attach a copy of their most recent audit reports/documentation regarding all CAS compliance or non-compliance issues to this Modified Pre-Award Survey)

|_| NO (if NO, provide an explanation in the box below why your organization is exempt and answer N/A to Questions 2.A., 2.B., and 2.C. below)

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2.A. Has your organization submitted a CASB disclosure statement (CASB DS-1) to DCAA and has it been determined adequate?

|_| YES (if YES, provide an explanation that validates your answer in the box below)

|_| NO (if NO, provide an explanation in the box below)

|_| N/A (Answer to Question 2 is NO)

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2.B. Has your organization been notified by DCAA that it is in (or may be in) noncompliance with its disclosure statement or CAS?

|_| NO (if NO, provide an explanation in the box below)

|_| N/A (N/A, if the answer to Question 2 is NO)

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2.C. Is any aspect of this proposal inconsistent with your organization’s disclosed practices or applicable CAS?

|_| NO (if NO, provide an explanation in the box below)

|_| N/A (N/A, if the answer to Question 2 is NO or if you have no current, active proposal being considered)

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Instruction: If the Contractor is planning on bidding on Cost Type Contracts, the contractor MUST answer all of the following questions:

3. Has your organization’s Accounting System been audited by an outside Certified Public Accountant/Consultant or other Cognizant Federal Agency other than DCAA?

|_| YES (If YES, the Offeror MUST attach a copy of their most recent audit report to this Modified Pre-Award Survey)

|_| NO

4. Is your organization’s Accounting System currently in full operation?

|_| YES (if YES, provide an explanation that validates your answer in the box below)

|_| NO (if NO, provide an explanation in the box below which portions are (1) in operation, (2) set up, but not yet in operation, (3) anticipated, or (4) non-existent)

|_| N/A (if N/A, provide an explanation in the box below)

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5. Is your organization’s Accounting System in accord with Generally Accepted Accounting Principles (GAAP)?

|_| NO (if NO, provide an explanation in the box below)

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6. Is your organization’s Accounting System ready for a DCAA audit?

|_| NO (if NO, provide an explanation in the box below as to when you will be ready for an Audit)

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7. Are the loaded hourly labor rates proposed consistent with your established estimating and accounting principles and procedures and FAR Part 31, Cost Principles? (Answer this Question only if you have an active proposal currently submitted to SEAPORTe)

|_| NO (if NO, provide an explanation in the box below)

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8. Does the Accounting System provide for the proper segregation of Direct Costs from Indirect Costs?

|_| NO (if NO, provide an explanation in the box below)

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9. Does the Accounting System provide for the identification and accumulation of Direct Costs by contract?

|_| NO (if NO, provide an explanation in the box below)

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10. Does the Accounting System provide for a logical and consistent method for the allocation of Indirect Costs to intermediate and final cost objectives? (A contract is a final cost objective.)

|_| NO (if NO, provide an explanation in the box below)

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11. Does the Accounting System provide for the accumulation of costs under general ledger control?

|_| NO (if NO, provide an explanation in the box below)

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12. Does the Accounting System provide for a timekeeping system that identifies employees’ labor by intermediate or final cost objectives?

|_| NO (if NO, provide an explanation in the box below)

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13. Does the Accounting System provide for a labor distribution system that charges Direct and Indirect labor to the appropriate cost objectives?

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14. Does the Accounting System provide for an interim (at least monthly) determination of costs charged to a contract through routine posting of books of account?

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15. Does the Accounting System provide for an exclusion of costs charged to government contracts of amounts which are not allowable in terms of FAR 31, Contract Cost Principles and Procedures, or other contract provisions?

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16. Does the Accounting System provide for the identification of costs by contract line item and by units (as if each unit or line item were a separate contract) if required by the proposed contract?

|_| NO (if NO, provide an explanation in the box below)

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17. Does the Accounting System provide for the segregation of preproduction costs from production costs?

|_| NO (if NO, provide an explanation in the box below)

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18. Does the Accounting System provide financial information as required by contract clauses concerning Limitation of Cost (FAR 52.232-20 and 21) or Limitation on Payments (FAR 52.216-16)?

|_| NO (if NO, provide an explanation in the box below)

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19. Does the Accounting System provide financial information required to support requests for Progress Payments?

|_| NO (if NO, provide an explanation in the box below)

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20. Is the Accounting System designed, and are the records maintained, in such a manner that adequate, reliable data are developed for use in pricing follow-on acquisitions?

|_| NO (if NO, provide an explanation in the box below)

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21. Is your organization planning on submitting proposals on Cost-Type (FAR 16.3) contracts/task orders?

|_| YES

|_| NO (if NO, provide an explanation in the box below)

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NOTE: Before returning the WORD FILE to SEAPORTe, Rename file in the Following Format:

filename = Company Name _CAGE Code_ Zip Code Company eMail.

( i.e. Smith Co_ EA982_48088_j.smith@smithco_com.DOC)

In “Subject” line of return email put “Company Name _CAGE Code_ zip code _Company eMail” ( i.e. SmithCo_EA982.Doc_j.smith@smithco.com)

We have been notified by some contractors that they are receiving requests for information from DCMA as well as DCAA. Please note that responsibility for "Financial Capability" reviews was transferred from DCAA to DCMA IN 2010. DO NOT SEND ANY FINANCIAL DOCUMENTS TO SEAPORTe OR DCMA AT THIS TIME. DCMA reviews will be requested after successful completion of a DCAA Pre-Award Accounting System audit.

Please send reply emails to Pat Mika (Patrick.mika@navy.mil) . DO NOT SEND TO THE PCO. If you have any questions pertaining to this email, please contact Mr. Mika at the email address listed above (or phone @ XXX.XXX.XXXX

SEAPORTe 2014 ROLLING ADMISSIONS