Attachment_7_-_Procurement_Department_SOP.pdf

PBGC Procurement Department

Standard Operating Procedures

November 2014

7.3

7.3 i November 2014

Revision History

Document

Version

Release

Date

Author Section(s)

Changed

Description/Comments

V1.0 03/15/2008 PD N/A Initial release

V2.0 12/21/2009 PD All Updated

V3.0 10/21/2010 PD/PCAD All Updated threshold increases

V4.0 03/01/2011 PD/PCAD Dept POCs Updated POCs

V5.0 06/07/2011 PD/PCAD All Updated

V6.0 01/31/2013 PD/PCAD All Updated

V6.1 05/31/2013 PD/CAD All Updated

V7.0 02/28/2014 PD All Updated

V7.1 03/19/2014 PTCSD Chap. 3.4 Updated

V7.2 08/06/2014 PTCSD Chap. 13 &

Attachments

Updated

V7.3 11/19/2014 PTCSD Chaps 15, 18, Attachments

Updated

The Revision History table is updated each time the document is updated. Document Version number should be in the format (V#.0, e.g. V1.0); Release Date in the format (mm/dd/yyyy);

Author in the format (First name, Last name; Department, or Team); list individual Section(s)

Changed or insert “All” for multiple changes to the document, insert “N/A” for the initial release of the document (do not leave the cell blank); and provide a brief description of the change(s), if any. Also remember to update the cover and footer with the document’s current version

(without the “V” preceding the number) and release date.

7.3 ii November 2014

PBGC Procurement Department

Standard Operating Procedures Manual

FOREWORD

The Pension Benefit Guaranty Corporation (PBGC), Procurement Department (PD) Standard Operating Procedures Manual (PDSOP) implements the Federal Acquisition Regulation (FAR) and other statutory authorities.

The PDSOP provides standard operating procedures for all procurement actions within PBGC except for the Office of the Inspector General, which has its own statutory authority.

The PDSOP is non-regulatory in nature and provides uniform procedures for the internal operation of acquiring supplies and services within PBGC. The PDSOP is written to conform to the FAR and is divided by chapters. It is not a standalone document and must be read in conformity with the FAR and other regulatory documents.

The PDSOP has been prepared in an electronic format, and no paper-based version is available. The PDSOP includes relevant internet links wherever external references are made, such as to Executive Orders or OMB Circulars. PBGC forms, sample documents, and additional reference material are also accessible via similar links.

It is our goal to make the PDSOP a useful and user-friendly document. This is a living document and if you have any suggestions or comments for improving it, please let us know.

Arthur S. Block Director Procurement Department

7.3 iii November 2014

PROCUREMENT DEPARTMENT POINTS OF CONTACT

Name Title Dept/Division Contact Information

Steve Block Director Procurement Department (PD)

Tel: 202-326-4000 x 3268

Fax: 202-326-4162

Block.Steve@pbgc.gov

Steven Kvalevog Chief

Policy, Training, Compliance &

Systems Division

(PTCSD)

Tel: 202-326-4000 x 6859

Kvalevog.Steven@pbgc.gov

Jeff Donahue Chief Contract

Administration Division (CAD)

Tel: 202-326-4000 x 6824

Donahue.Jeffrey@pbgc.gov

Roland Thomas Chief Acquisitions Division (AD)

Tel: 202-326-4000 x 3700

Thomas.Roland@pbgc.gov

Patrick McFarlane Team Lead Acquisitions Division (AD)

Tel: 202-326-4000 x 3334

McFarlane.Patrick@pbgc.gov

Norman Cofer Team Lead Acquisitions Division (AD)

Tel: 202-326-4000 x 3324

Cofer.Norman@pbgc.gov mailto:Block.Steve@pbgc.gov mailto:Kvalevog.Steven@pbgc.gov mailto:Donahue.Jeffrey@pbgc.gov mailto:Thomas.Roland@pbgc.gov mailto:McFarlane.Patrick@pbgc.gov mailto:Cofer.Norman@pbgc.gov

7.3 iv November 2014

Summary of Significant Changes

Purpose

The purpose of this revision is to update the August 2014 Procurement Department Standard Operating Procedures

(PDSOP)

Summary

The following changes have been incorporated into the PDSOP:

Added section 15..5 – Contractor Personnel Education and Experience Qualifications

Added section 18.7 – Onboarding and Separation of Contractors.

Renumbered pages on Table of Attachments

Revised title of COR Letter of Designation – attachment

Added COR’s Onboarding Checklist – attachment

Added COR’s Separation Checklist – attachment

7.3 v November 2014

FOREWORD ............................................................ ii PD POINTS OF CONTACT……………………....iii SUMMARY OF SIGNIFICANT CHANGES ......... iv

INTRODUCTION

CHAPTER 1 – ADMINISTRATIVE MATTERS

1.0 PDSOP Maintenance/Deviations

1.1 Contract Execution/Distribution

1.2 Electronic Commerce in Contracting

1.3 Contract Reporting

1.4 Contract Files

1.5 System for Award Management

1.6 Public Release of Information

1.7 Procurement Approval

CHAPTER 2 – CAREER DEVELOPMENT,

CONTRACTING AUTHORITY AND

RESPONSIBILITIES

2.0 General

2.1 Career Development Roles

2.2 PBGC Acquisition Workforce

2.3 FAC-C Contracting Certification

2.4 CO Warrant Program

2.5 Warrant Levels Matrix

CHAPTER 3 – IMPROPER BUSINESS

PRACTICES AND PERSONAL CONFLICTS OF

INTEREST

3.0 Standards of Conduct

3.1 Procurement Integrity and Ethics

3.2 Violations or Possible Violations

3.3 Contractor Gratuities

3.4 Disclosing Source Selection Info

CHAPTER 4 – PUBLICIZING CONTRACT

ACTIONS

4.0 References

4.1 General

4.2 Policy

4.3 Steps and Guidelines

4.4 Posting Synopsis

4.5 Sources Sought Notices

4.6 SB Approval – Synopsis

4.7 Exceptions to Synopsizing

CHAPTER 5 – COMPETITION

REQUIREMENTS

5.0 General

5.1 J&A Requirements

5.2 J&A Approval Threshold

5.3 Requirements Needing a J&A

5.4 J&A Not Required

5.5 J&A Increase

5.6 Content of J&A

CHAPTER 6 – REQUIREMENTS PACKAGES ...22

6.0 General

6.1 Acquisition Planning

6.2 Market Research

6.3 Requests for Information (RFI)

6.4 Preparing Requirements Packages

6.5 Technical Evaluation Panel

6.6 CO’s Review

6.7 Customer Communication

6.8 Green Procurement Program

CHAPTER 7 – ACQUISITION PLANNING

7.0 General

7.1 IGCE

7.2 Advance Procurement Planning

7.3 Acquisition Lead Times

7.4 Procurement Thresholds

CHAPTER 8 – CONTRACTING OPPORTUNITIES

8.1 Identify your product or service

8.2 Register in the System for Award Management28

8.3 Explore SBA Programs

8.4 Identify Procurement Opportunities

8.6 PBGC Director of the Office of Small and

Disadvantaged Business Utilization

8.7 Market your Product or Service

CHAPTER 9 – RATIFACATION

9.0 General

9.1 Actions Required

9.2 Request for Ratification

CHAPTER 10 – PWS & QASP

10.0 Definitions Related to PBSA

10.1 PBSA Requirements

10.2 PWS Outline

10.3 Performance Requirements Summary

10.4 PRS Matrix

10.5 Statement of Objectives

10.6 QASP

10.7 Incentives

10.8 Acceptable Quality Level

10.9 Non-Performance Remedies

10.10 PWS and QASP Steps

10.11 Document Review Checklist

CHAPTER 11 – EXERCISING OPTIONS

11.0 General

11.1 Use of Options

11.2 Option Clauses

11.3 Exercise of Options

11.4 Analyzing Options

11.5 Exercising Option Determination

11.6 Past Performance

11.7 Examining Market Prices

11.8 Sequential Options

11.9 System for Award Management (SAM)

11.10 The Option Timeline

11.11 Exercise of Option Notice of Intent Checklist51

11.12 Option Intent Letter Sample

11.13 Option Checklist Sample

11.14 Option D&F Sample

CHAPTER 12 – SIMPLIFIED ACQUISITION

12.0 General

12.1 Presolicitation Phase

7.3 vi November 2014

12.2 Solicitation Phase

12.3 Evaluation Phase

12.4 Pre-Award and Award

CHAPTER 13 – FORMAL CONTRACTING

13.0 General

13.1 Pre-solicitation Phase

13.2 Solicitation Phase

13.3 Evaluation Phase

13.4 Pre-Award Phase

13.5 Reviews

13.6 Peer Review

13.7 Management Review

13.8 Policy Review

13.9 Legal Review

13.10 Review Matrix

13.11 Award Phase

13.12 Debriefings

CHAPTER 14 – INDEFINITE DELIVERY

CONTRACTS – ORDERING PROCEDURES

14.0 Ordering Procedures

14.1 Multiple Award Indefinite Delivery Contracts66

14.2 Single Award Indefinite Delivery Contracts ...66

CHAPTER 15 – CONTRACT

ADMINISTRATION

15.0 Contract Administration

15.1 Post Award Conferences

15.2 Security

15.3 Modifications to Contracts

15.4 Subcontracting

15.5 Contractor Personnel Education and Experience

Qualifications …….69

15.5 Termination Procedures

CHAPTER 16 – ORAL PROPOSALS

16.0 General

16.1 Advantages of Orals

16.2 Conducting Orals

16.3 Oral Presentation Material (SAMPLE)

16.4 Sections L & M (SAMPLES)

CHAPTER 17 – PRICE NEGOTIATION

17.0 General

17.1 Pre-negotiation Objective Memorandum

17.2 Price Negotiation Memorandum

17.3 Cost and Pricing Data

17.4 Certificate of Current Cost or Pricing Data

CHAPTER 18 – CONTRACTING OFFICERS

REPRESENTATIVE (COR)

18.0 General

18.1 Qualifications

18.2 Selection

18.3 Delegation of Authority

18.4 Training

18.5 Waivers

18.6 Revocation/Termination of Appointment

18.7 Onboarding and Separation of Contractors

CHAPTER 19 – SMALL BUSINESS PROGRAM...85

19.0 General

19.1 Small Business Program

19.2 Small Business Goals

19.3 Contract Bundling

19.4 SB Review Form

19.5 Subcontracting Plan Review

19.6 SB Set Asides

19.7 Total SB Set-Asides

CHAPTER 20 – CONTRACT CLOSEOUT

20.0 General

20.1 Closeout Responsibilities

20.2 Record Management

20.3 Pre-Exit Clearance - KTRs

20.4 Storage, Handling, and Disposal of Contract Files

20.5 Checklist & Documents

TABLE OF ATTACHMENTS

7.3 1 November 2014

INTRODUCTION

Authority and Purpose

The PBGC Procurement Department Standard Operating Procedures (PDSOP) is issued by the Senior Procurement Executive (SPE). Authority to issue acquisition policy has been delegated from the Agency Head to the SPE. The PDSOP establishes the PBGC uniform internal operating acquisition procedures, which implement the Federal Acquisition Regulation (FAR), PBGC Directives, and statutory laws and regulations. Contracting Officers (COs) must consult all the above sources to ascertain the total acquisition policy in any area. PBGC employees, without delegated contracting authority, who enter into, modify, and terminate contracts are acting outside the scope of their authority and may be subject to disciplinary action.

Scope

The PDSOP is issued to provide controls for the acquisition of supplies and services and to provide operational direction for staff responsible for contracting functions. Supplemental instruction and reference material are also contained in the PDSOP which covers areas where internal procedures are required by the PDSOP. The PDSOP establishes a set of procedures for procuring goods and services on behalf of PBGC and identifies the roles and responsibilities for all PBGC employees involved in the pre-solicitation, proposal evaluation, award, and contract administration phases of the procurement process.

Applicability

When acquiring supplies or services, all PD employees are to follow the PDSOP. Noting the OIG exception, the PDSOP is applicable to all PBGC procurement processes and personnel including:

COs and other acquisition personnel involved with procuring goods and services on behalf of PBGC;

CORs and Task Monitors involved with monitoring contractor performance; and, PBGC Departments and Offices that participate in the procurement process.

http://www.acquisition.gov/far/index.html

7.3 2 November 2014

CHAPTER 1 – Administrative Matters

1.0 PDSOP Maintenance/Deviations

The PD Director will issue revisions to the PDSOP as necessary. Suggestions for revisions must be submitted to the PD Director. Adherence to the PDSOP promotes procedural consistency and protects the integrity of PBGC’s contracting process. When departures from PDSOP requirements are necessary or desirable, the PD Director, may authorize deviations. If a recurring need for a deviation is foreseen, a revision to the PDSOP should be proposed for consideration.

a. Submission and Content for Proposed Changes. Suggested changes to the PDSOP must be transmitted to the PD Director, after the review and approval of the Department Director of the office requesting the change. Those recommended changes determined appropriate by PD will be incorporated in the next revision. Proposed changes will be sent in writing to the PD Director, and include the following information:

1) Identification of the PD requirement from which the change is sought;

2) Full description of the change and the period of time and circumstances under which it will be used;

3) Explanation of why the change is necessary or desirable;

4) Copies of any documents involved, such as forms, clauses, memoranda, or correspondence;

5) Effect of the proposed revision in terms of price and personnel resources;

6) Reference to the procedures or experience of other agencies or organizations, if applicable;

and,

7) Suggested draft of the proposed revision.

b. Approval. The PD Director will approve all PDSOP deviations and revisions. The requester will be notified in writing of the decision.

c. Consideration. PD may obtain comments and advice on proposed revisions from other PBGC functional areas, when appropriate.

1.1 Contract Execution/Distribution

Only COs may sign contracts on behalf of the United States. The CO normally signs the contract after it has been signed by the contractor. Distribution of contracts will be in accordance with PBGC Order FM 15-2. Contract distribution will be made by email. PBGC must limit additional distribution requirements to the minimum necessary for proper performance of essential functions.

1.2 Electronic Commerce in Contracting

PBGC must use electronic commerce whenever practicable or cost-effective per FAR 4.502. COs may supplement electronic transactions by using other media to meet the requirements of any contract action governed by the FAR (e.g., transmit hard copy of drawings). Before using electronic commerce, the PBGC must ensure that the agency systems are capable of ensuring authentication and confidentiality commensurate with the risk and magnitude of the harm from loss, misuse, or unauthorized access to or modification of the information. PBGC may accept electronic signatures and records in connection with Government contracts.

1.3 Contract Reporting

a. General. PBGC is responsible for collecting and reporting procurement data to Federal Procurement Data System (FPDS) through PBGC’s electronic procurement system, as required by and in accordance with FAR Part 4.6. The FPDS website, https://www.fpds.gov, provides https://www.fpds.gov/

7.3 3 November 2014 instructions for submitting data. It is extremely important that data contained in FPDS is accurate, complete, and submitted in a timely manner. FPDS will be used to provide:

1) A basis for recurring and special reports to the President, the Congress, the Government

Accountability Office, Federal executive agencies, and the general public;

2) A means of measuring and assessing the impact of Federal contracting on the Nation’s economy and the extent to which small, veteran-owned small, service-disabled veteran-owned small, HUBZone small, small disadvantaged, and women-owned small business concerns are sharing in Federal contracts;

3) The impact of full and open competition on the acquisition process; and,

4) Information for other policy and management control purposes, and for public access.

b. FPDS Point of Contact. The PD Policy Chief serves as the primary FPDS point of contact and may designate additional reviewers. The FPDS POCs will handle FPDS agency specific issues and determine the users’ privileges, including the electronic procurement system privileges.

c. FPDS Validation and Verification. The PD Policy Chief, or designee, will review the procurement data for accuracy, completeness and timeliness. The reviewers shall not be the CO of the contract action being reviewed, with the exception of $0 modifications, which may be self-certified by the CO. The process flowchart for FPDS-NG Validation and Verification Flowchart is attached. The following process will ensure the data is accurately validated and verified:

1) Prior to award or modification, the Contract Specialist forwards the contract package to the reviewer.

2) The reviewer will review the data entered into FPDS.

3) If no errors are found, the contract package will be forwarded to the CO for signature.

4) If errors are identified, they will be noted and the contract package returned to the Contract

Specialist for correction.

5) After the Contract Specialist corrects the errors, the contract package will be forwarded to the CO for signature. The CO will ensure all comments have been addressed.

6) CO will print the final FPDS report for the file.

1.4 Contract Files

The PD must establish files containing the records of all contractual actions. The documentation in the files (see FAR Part 4.803) must be sufficient to constitute a complete history of the transaction.

PBGC may retain contract files in any medium (paper, electronic, etc.) or any combination of media, as long as the requirements of FAR Part 4.8 are satisfied.

1.5 System for Award Management

Unless the acquisition is exempt under FAR 4.1102, the CO must verify that the prospective contractor is registered in the System for Award Management (SAM) database before awarding a contract or agreement. COs are encouraged to check the SAM early in the acquisition process, after the competitive range has been established, and then communicate to the unregistered offerors that they must register. Prospective contractors must be registered in the SAM database prior to award of a contract or agreement, except for—

Purchases that use a Government-wide commercial purchase card as both the purchasing and payment mechanism, as opposed to using the purchase card only as a payment method;

Contracts awarded by COs in the conduct of emergency operations, such as responses to natural or environmental disasters or national or civil emergencies;

Contracts to support unusual or compelling needs (see FAR 6.302-2);

http://www.acquisition.gov/far/current/html/Subpart%204_8.html https://acquisition.gov/far/current/html/Subpart%204_11.html http://www.sam.gov/ https://acquisition.gov/far/current/html/Subpart%206_3.html

7.3 4 November 2014

Awards made to foreign vendors for work performed outside the United States, if it is impractical to obtain SAM registration; and, Micro-purchases that do not use the electronic funds transfer (EFT) method for payment and are not required to be reported (see FAR 4.6).

1.6 Public Release of Information

a. Availability of Information. The PBGC will make records, data, and information available to the public to the fullest extent possible, consistent with its interests, privacy rights of individuals, ownership of rights in the data requested, and the need to protect the PBGC and other confidential business information from disclosure.

b. Confidential Information. PBGC employees must not disclose confidential contract information. Maintaining confidential information includes:

1) Taking reasonable measures to avoid disclosure of confidential information to any unauthorized person; and,

2) Not disclosing procurement sensitive information, such as price, proprietary or financial information.

c. Ensuring Confidentiality of Information with Contractors. PBGC employees must forward all requests for information regarding a contract to the CO. If a request to the CO is submitted pursuant to the Freedom of Information Act (FOIA), the CO must forward the request directly to OGC.

d. Privacy Act Compliance. A contractor who designs, develops, or operates a system of records regarding personal information, in order to accomplish a PBGC function, must comply with the Privacy Act. The CO will ensure that the Privacy Act is included in all contracts, as appropriate.

1.7 Procurement Approval

The CO must ensure that all solicitations, contract awards, and contract modification awards are coordinated with the responsible technical/program office prior to issuance or award. Additionally, all solicitations, contract awards, and contract modification awards expected to exceed certain thresholds, must be reviewed for legal sufficiency in accordance with PBGC Order FM 15-1.

http://www.acquisition.gov/Far/current/html/Subpart%204_6.html

7.3 5 November 2014

CHAPTER 2 – Career Development, Contracting Authority and

Responsibilities

2.0 General

The PBGC Director is authorized to establish the contracting activity and has delegated broad authority to manage the agency’s contracting functions to the Director, Procurement Department, as the Head of the Contracting Activity (HCA). The PD Director is also the SPE and must be considered a CO within PBGC by virtue of his/her position; no Certificate of Appointment is required. All other PBGC COs must be selected and appointed. The Clinger-Cohen Act, P.L. 104- 106, and the Office of Federal Procurement Policy, Policy Letter 05-01, direct the implementation of mandatory training, education, and experience requirements for entry and accession in the acquisition career field. Review and/or advice by the Office of General Counsel (OGC) are understood to be an integral part of the entire acquisition process.

2.1 Career Development Roles

a. Senior Procurement Executive (SPE). The SPE is responsible for:

1) Developing and maintaining an acquisition career management program to ensure PBGC has a competent, professional workforce to accomplish its mission;

2) Appointing an Acquisition Career Manager;

3) Ensuring that, to the maximum extent practicable, acquisition workforce policies and procedures established are uniform in their implementation throughout the PBGC;

4) Delegating authorities as appropriate to effectively administer the acquisition workforce career development program;

5) Establishing mandatory warrant and training requirements;

6) Defining the members of the PBGC acquisition workforce;

7) Providing input to PBGC’s Human Capital Strategic Plan regarding the acquisition workforce;

8) Assessing the current skills inventory of the workforce;

9) Issuing any changes to this policy as necessary; and,

10) Issuing any waivers, as appropriate, as a condition of hiring in accordance with the Office of

Personnel Management (OPM) qualification standard for the GS-1102 series.

b. Acquisition Career Manager (ACM). The ACM function must be located within the PBGC. The ACM is responsible for:

1) Managing the acquisition workforce, including identifying training requirements and other workforce development strategies;

2) Administering the agency’s certification program;

3) Serving on the Interagency Acquisition Career Management Committee (IACMC) and ensuring that workforce development policies and opportunities meet the needs of the acquisition workforce.

4) Providing coordinated input to the SPE and Chief Human Capital Officer regarding short and long term human capital strategic planning for training, competency fulfillment, career development, accession, recruitment and retention, and other facets of human capital management affecting the acquisition workforce;

5) Developing and maintaining agency policies and procedures for workforce management consistent with those established by OFPP;

6) Coordinating with functional advisors to ensure fulfillment of the requirements of OFPP Policy Letter 05-01; and, http://www.whitehouse.gov/omb/procurement_policy_letter_05-01 http://www.whitehouse.gov/omb/procurement_policy_letter_05-01

7.3 6 November 2014

7) Coordinating with representatives to ensure accurate and consistent department wide data on those serving in PBGC’s acquisition workforce is maintained in the Federal Acquisition Institute Training Application System (FAITAS).

c. Supervisors of Acquisition Workforce Members. Supervisors are responsible for:

1) Assessing and approving achievement of competencies developed by the Federal Acquisition

Institute (FAI) and Defense Acquisition University (DAU);

2) Scheduling employees in accordance with training prioritization policy;

3) Approving data entered into the FAITAS; and,

4) Ensuring the fulfillment of the continuous learning requirements are met for their employees.

d. Acquisition Workforce Members. Workforce members are responsible for:

1) Career development that incorporates core competencies, education, training, experience and continuous learning requirements;

2) Improving their core acquisition, functional, and leadership competencies throughout their careers through education, training, and experience. Attaining and remaining current in core competencies, education, training, experience and continuous learning requirements; and,

3) Ensuring that education, training, and skills currency requirements are accurately reflected in their FAITAS file

2.2 PBGC Acquisition Workforce

OFPP Policy Letter 05-01, Developing and Managing the Acquisition Workforce, issued April 15, 2005, establishes the government-wide framework for creating a federal acquisition workforce with the skills necessary to deliver best value supplies and services, find the best business solutions, and provide strategic business advice to accomplish agency missions. The PBGC Acquisition workforce is defined as:

All positions in the Contracting Series (GS-1102);

All warranted Contracting Officers;

All positions in the Purchasing Series (GS-1106);

Contracting Officer Representatives (CORs);

Project and Program Managers (PM); and, Other positions designated by the PD Director performing significant acquisition-related functions.

a. CO Responsibilities. Only the CO has authority to enter into contracts on behalf of the government. This authority applies to all modification and termination of existing contracts as well as the award of new contracts. The program office must make sure that all direction to the contractor is processed through the CO. The program office has no authority to give direction to the contractor or enter into agreements with the contractor that would affect the contract’s terms or conditions. Any such “unauthorized commitment” is a very serious matter that invokes a formal ratification process. FAR 1.6 provides details relating to ratification and other matters relating to government contracting authority. CO’s responsibilities include:

1) COs must be warranted to obligate the Government;

2) COs may not exceed the scope of their authority stated on their warrant;

3) COs may appoint a COR or other subject matter expert(s) to represent the technical or administrative interests of the contract;

http://farsite.hill.af.mil/reghtml/regs/far2afmcfars/fardfars/far/01.htm#P1415_44310

7.3 7 November 2014

4) COs may not further delegate their warrant authority. They must not “sign for” or over the name of another CO; and,

5) Availability of Funding. Pursuant to the Anti-Deficiency Act, 31 U.S.C. 1341, the CO cannot award a contract unless adequate funds are available (See FAR 32.7- Contract Funding).

b. Program Personnel Responsibilities. Responsibility for describing agency requirements generally rests with the program office. Responsibility for determining how to buy, the conduct of the buying process, and execution of the contract rests with the CO. Program personnel, using the contracting process to accomplish their programs, must support the CO by ensuring that:

Requirements are clearly defined and specified;

Competitive sources are solicited, evaluated, and selected;

Quality standards are prescribed and met;

Performance or delivery is timely;

Prices, estimated costs, and fees are reasonable; and, Files are documented to substantiate the judgments, decisions, and actions taken.

2.3 FAC-C Contracting Certification

The goal of the certification program is to standardize the education, training, and experience requirements for contracting professionals in civilian agencies, which will improve workforce competencies and increase career opportunities. The certification will be accepted by, at minimum, all civilian agencies as evidence that an employee meets the core education, training, and experience requirements to be a contracting professional (generally the GS-1102 series). The FAC-C Certification Program will be in accordance with the OMB Memorandum dated January 20, 2006.

The FAC-C certification requirements are identified below. These certifications will generally serve as one means to demonstrate that an employee meets the core education, training, and experience requirements.

a. FAC-C Requirements for Education, Training and Experience. Achievement of the FAC-C is based on three requirements: education, training, and experience and the requirements are cumulative, (i.e., a person must meet the requirements of each previous certification level). The FAC-C requirements do not change the education requirements in the OPM Qualification Standard for GS-1102. Maintenance of a FAC-C is a function of continuous learning. Federal certification levels are directly associated with warrant limits.

1) Education and Experience Exception (Grandfathering). Individuals in GS-1102 positions will be considered to have met the education and experience standards for the positions they occupied on January 1, 2000. This also applies to positions at the same grade level in the same agency or other agencies if the specialized experience requirements are met.

2) Training Completion. In order to become FAC-C certified, every acquisition professional must document satisfactory completion (training certificates and/or school transcripts) of core training classes (DAU/FAI training, DAU/FAI-equivalent courses or fulfillment). A full list of the core (required) courses and their predecessor courses are available on www.dau.miland www.fai.gov. See the list of approved training courses.

3) Fulfillment. Fulfillment is the process by which acquisition workforce members may satisfy mandatory training requirements based on alternative training, previous experience, education, certification by another recognized organization, or other developmental activities. The FAC-C fulfillment process will follow the fulfillment process for DOD agencies so that the DAWIA certification and FAC-C programs are closely aligned.

http://farsite.hill.af.mil/reghtml/regs/far2afmcfars/fardfars/far/32.htm#P1074_166684 http://farsite.hill.af.mil/reghtml/regs/far2afmcfars/fardfars/far/32.htm#P1074_166684 http://www.whitehouse.gov/sites/default/files/omb/procurement/acq_wk/fac_contracting_program.pdf http://www.dau.mil/default.aspx http://www.fai.gov/drupal/ http://www.fai.gov/drupal/training/find-and-register-for-courses

7.3 8 November 2014

Individuals must submit evidence to their supervisor as to how the required competencies for a particular certification level were attained.

4) Alternative training. In order for an individual to be certified based on competencies obtained through courses that were not DAU/FAI or DAU-equivalent, the individual must provide for each competency the dates of training, course descriptions, provider names, and competencies achieved.

5) Experience. If the individual is using job experience, he or she must provide the agency name, dates, location, position title, and the duties performed that provided the relevant competencies.

6) Education. If the individual obtained competencies through academic courses provided at an accredited institution, he or she must provide the dates of each class, course descriptions, provider names, and competencies achieved.

7) Electives. Electives may be any training opportunity related to the employee’s job or necessary for career development or for cross training. Electives may include no cost distance learning or other training opportunities, inclusive of assignment-specific courses.

Employees are encouraged to take courses that add to their knowledge base or enhance existing skills; electives should generally be increasingly more complex throughout an employee’s career progression. There are no DAU equivalency requirements for electives.

b. FAC-C Certification Requirements

1) DAWIA Certification. Individuals who have attained a Defense Acquisition Workforce

Improvement Act (DAWIA) certification at any time during their careers are eligible for a FAC-C at the same certification level provided that continuous learning requirements have been maintained and can be documented. The employee is responsible for providing the necessary documentation of the DAWIA certification and the appropriate continuous learning history to ensure validity and currency of the DAWIA certification.

2) Certification Application Process. Individuals meeting the federal acquisition certification requirements may apply for certification through their immediate supervisor using the appropriate checklist/application. The individual is responsible for producing certificates, transcripts, and records that provide evidence that he or she satisfies the requirements for the program. The supervisor should take this opportunity to assess the skills and competencies of the employee and develop a plan for enhancing or adding to the employee’s competencies, if appropriate. The immediate supervisor must review and validate each application for certification prior to submission to the ACM. Final approval and certification decision will be made by the SPE. Once approved, the SPE will provide a certificate indicating the achieved level of government-wide standards.

3) Certification Waivers. The SPE may waive the requirement for obtaining a certification on a case-by-case basis. A certification waiver allows a person who does not meet the certification requirements of the position to remain in that position. This is an assignment waiver and is only valid for the particular position to which assigned. Certification waivers are not transferable to another agency. Further, a certification waiver does not negate the responsibility of management and the employee to continue to pursue certification.

4) Changes to Certification Requirements. Once acquisition workforce members are certified, they remain certified even if the certification requirements change. However, acquisition workforce members are encouraged to complete any new certification requirements.

Individuals who have not yet been certified for the positions they hold are expected to focus their development plans on completing the mandatory education and training requirements for certification.

http://www.fai.gov/drupal/certification/fac-c-certification-requirements-table

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2.4 CO Warrant Program

FAR 1.603 sets forth requirements for the selection, appointment, and termination of COs. The purpose of the CO Warrant Program is to establish agency- wide standards, which an employee must meet before the individual can be appointed as a CO. PBGC is committed to ensuring that only fully qualified employees are delegated the authority to obligate the PBGC in the expenditure of public funds through the acquisition system. All new warrants must be issued in accordance with the procedures stated in this policy.

a. Exemptions. No warrant is necessary for the following:

1) Purchase Card transactions;

2) Acquisition of training services; and,

3) Acquisition of Government printing services through the Government Printing Office.

b. Qualification Standards - Warranted COs. In order to qualify to serve in an acquisition position as a CO with authority to award or administer contracts valued above the micro-purchase threshold, a person must meet the FAC-C requirements for education, training and experience at an appropriate level to support their warrant obligations.

c. CO Warrant Levels. The PBGC CO Warrant Program consists of three warrant levels which apply to contracts. These levels are aligned with FAC-C requirements.

d. Procedures for Obtaining Warrants. The request for a warrant is submitted to the individual’s immediate supervisor through the Policy Chief to the PD Director. It is the responsibility of the nominee’s supervisor to forward the warrant nomination package and ensure that the nominee meets the certification requirements commensurate with the proposed warrant threshold. The

Policy Chief reviews the request and the supporting documentation for completeness, evaluates the applicant’s acquisition experience, training, evidence of certification, prepares the Certificate of Appointment and forwards the entire package to the PD Director for signature. The certificate (warrant), SF 1402, is issued to the individual applicant stating the warrant number, the level of warrant authority, and any other applicable restrictions, including whether the warrant authority is based on the aggregate value of the acquisition or single obligation authority. The

CO must display the warrant in an easily seen location. (Application for PBGC Contracting

Officer Warrant)

e. Warrant Authority Increases. Before any increase in an individual’s warrant authority, the reason for the increase (e.g., an increase in the number of contract actions, complexity of requisitions, or other operational necessity) must be documented. Any change in the dollar value or scope of an individual’s warrant requires the issuance of a new warrant and cancellation of the old.

f. Continuous Learning and Skills Currency (Maintenance). To maintain the warrant authority, individuals must maintain their appropriate federal acquisition certification level. To maintain

FAC-C, acquisition professionals are required to earn 80 continuous learning points (CLPs) of skills currency training every two years.

g. Appointment. The delegation of contracting authority is by formal CO appointments under a

Certificate of Appointment, SF 1402. The extent of authority granted must be clearly stated on

7.3 10 November 2014 the certificate. The appointing authority must maintain information on the limits of CO authority.

h. Termination/Revocation of Warrants. Warrants may be terminated or revoked at any time at the discretion of the SPE. Patterns of negligent use of warrant authority need not be prerequisite to suspension or termination of a warrant for cause. Typical reasons for terminating warrants are that the need for the warrant no longer exists, maintenance training/certification requirements have not been met, or that the warrant holder has retired or transferred to another Government agency. Warrants may be revoked when there is evidence of misconduct; unethical behavior;

failure to comply with statutes, procurement integrity, PBGC Directives, PDSOP, or failure to exercise good business judgment; failure to comply with delegated responsibilities (i.e. exceeding warrant authority); failure to complete continuing education and training requirements after appointment; or blatant disregard for procurement regulations.

i. Suspension of Warrants. The SPE may suspend warrant authority pending completion of corrective actions or while investigating procurement abuses or other potential causes for termination.

j. Review. The Appointing Official must perform a review of all warrants issued to determine if

COs have maintained professional proficiency and otherwise remain qualified and to validate the continued need for the warrant. Contracting Level I, II, and III warrants must be reviewed at least annually. Warrant authority must be terminated or reduced in scope, when appropriate.

Contracting Officer Warrant Board. Contracting Officer Warrant Board shall be established at the beginning of each calendar quarter for the purpose of reviewing the qualifications for all new Contracting Officer applicants, and to evaluate the qualifications of current

Contracting Officers on a biennial basis, or at the request of the PD Director. The board shall consist of 2 senior PD managers, and, may include 1 attorney from the Office of

General Counsel (OGC/GLPG). Interviews shall be oral and consist of questions designed to examine the candidate’s knowledge of federal acquisition statutes, regulations, policies and procedures, and to determine the candidate’s business acumen, judgment, and problem resolution ability. Based on the candidate performance, the board will make its recommendation to the PD Director. The PD Director shall have final authority on issuance of a Certificate of Appointment. In the event that a Certificate of Appointment is denied, the applicant shall be briefed on the areas in which he/she under-performed, given guidance on how to improve his/her performance, and afforded an opportunity for reexamination at a date to be set by the board.

2.5 Warrant Levels Matrix

The warrant level matrix defines the career paths for the contracting series and incorporates the OPM Qualification Standard for GS-1102 (Contract Specialist), Federal Acquisition Certification in Contracting (FAC-C) and PBGC warrant requirements. Grades used here are typical and should not imply a direct correlation with timing for promotion or completing the experience, education, and training standards. The Warrant Level Matrix is attached.

http://www.fai.gov/drupal/certification/contracting-fac-c

7.3 11 November 2014

CHAPTER 3 – Improper Business Practices and Personal Conflicts of Interest

3.0 Standards of Conduct

In order to maintain the public confidence in the federal procurement process, PBGC and contractor employees must follow exemplary standards of conduct. There are numerous statutory and regulatory provisions outlining the standards to be followed and the stringent penalties for noncompliance. Contractors are subject to a rescission of their contract and debarment and PBGC employees are subject to suspension or dismissal for violations of standards of conduct.

One of the most serious threats to the integrity of the procurement process is the possibility of conduct by contractors that will improperly influence the decisions of COs and other PBGC employees. To protect against this threat, there are a number of very strict criminal statutes.

a. Kickbacks. PBGC personnel must report suspected violations of the Anti-Kickback Act (41

U.S.C. §§ 51-58) through the PD to the SPE who must consult with the Office of General Counsel.

b. Bribery. 18 U.S.C. § 201(b) makes it a criminal offense to offer or give a bribe to a Government official or for a Government official to solicit or receive a bribe. To constitute bribery, the statute requires that something “of value” be given, offered, promised, solicited, or received. To establish a violation of the provision, a specific “corrupt” intent (an expectation of a favorable official act in return for the bribe) on the part of the giver or receiver of the bribe must be proved.

c. Gratuities. 18 U.S.C. § 201(c) makes it a crime to offer or give a gratuity (anything of value) to a Government official or for a Government official to solicit or receive a gratuity. The federal standards of conduct in 5 C.F.R. § 2635 contain extensive guidance on “gifts” to federal employees.

3.1 Procurement Integrity and Ethics

PBGC Procurement Officials must comply with FAR Part 3, which addresses Improper Business Practices and Personal Conflicts of Interest. Procurement Ethics Training is required for Procurement Officials. Because of the nature of their duties, the following individuals are deemed “Procurement Officials” and must receive the appropriate ethics training in accordance with agency procedures:

Cost Center Managers and Assistant Cost Center Managers;

Government Purchase Cardholders;

Contracting Officer’s Representatives;

Any additional employees designated to serve as Procurement Officials;

Non-Procurement Officials due to the nature of their duties; and, Any additional employees involved in acquisition issues.

Persons having questions regarding the Procurement Integrity Act, post-employment restrictions, gratuities, or ethics must contact the PBGC Ethics Officer, Office of General Counsel.

3.2 Violations or Possible Violations

The PD Director is the reviewing official for processing violations. As SPE, the PD Director is the individual authorized to determine that the contractor, or someone acting for the contractor, has engaged in conduct constituting an offense punishable under subsection 27(e) of the Procurement http://www.acquisition.gov/far/05-61-1/html/FARTOCP03.html#wp265938

7.3 12 November 2014

Integrity Act, as amended, (41 U.S.C. 423), for the purpose of voiding or rescinding the contract. If the PD Director believes that a violation has occurred, the information should be disclosed to the

OIG.

3.3 Contractor Gratuities

As required, the CO shall insert clause FAR 52.203-3, Gratuities, in solicitations and contracts.

Agency personnel must report suspected violations of the Gratuities clause to the CO or other designated official in accordance with FAR Subpart 3.203.

3.4 Disclosing Source Selection Info

a. Safeguarding Source Selection Information. FAR 2.101 defines “source selection information” as any of the following information that is prepared for use by an agency for the purpose of evaluating a bid or proposal to enter into an agency procurement contract, if that information has not been previously made available to the public or disclosed publicly.

Source Selection members shall read and sign the Conflict of Interest and Procurement Integrity forms upon assignment to a Technical Evaluation Panel (TEP). The signed forms are filed in the contract file.

Any individual who prepares, makes, or controls contractor bid or proposal information and source selection information must:

1) Provide physical security for documents in the office environment during, and after, duty hours;

2) Maintain strict control over oral communications about the acquisition;

3) Ensure that the information is marked as required by FAR 2.101 (under the definition for

“Source selection information”) and comply also with the requirements of FAR 3.104- 4(c) with respect to the marking of pages, to notify the recipient that the document contains source selection information;

4) Ensure strict control over where discussions regarding the information or related acquisition are held; and,

5) Technical Evaluation Panel (TEP) members requesting to take proposals out of the building for review must first obtain permission from the PD Director and must provide a statement indicating they accept personal liability for the proposal. The proposals must be transported in a secure bag obtained from PD.

6) The workspaces used for the evaluation must be secured in terms of privacy and controlled access, and;

7) All working papers/rough drafts that are not required for retention in the official contract file must be placed in the document destruction bin.

b. Disclosure of Information. The Clinger-Cohen Act of 1996 amended the Procurement Integrity Act, 41 U.S.C. 423, to streamline the provision on disclosure of information. The Act prohibits a “person” from knowingly disclosing “contractor bid or proposal information” or “source selection information” before award of a contract. The “person” is defined as a present or former official of the United States, or a person who is acting or has acted for or on behalf of, or who is advising or has advised the United States with respect to, a Federal agency procurement;

and by virtue of that office, employment, or relationship has or had access to contractor bid or proposal information or source selection information. The OGC will determine whether contractor bid or proposal information or source selection information (SSI) may be disclosed.

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c. Access to Source Selection Information. Only designated personnel who have signed the Conflict of Interest and Procurement Integrity forms will have access to source selection information. Passwords for all password-protected documents associated with the procurement, including vendor proposals, shall be recorded in a table or spreadsheet similar to the one below and included in the contract award file.

PASSWORD RECORD

Solicitation No: _______________________________

# Document Title Password

7.3 14 November 2014

CHAPTER 4 – Publicizing Contract Actions

4.0 References

FAR SUBJECT

5.1 Dissemination of information

5.2 Synopses of proposed contract actions

5.5 Paid advertisements

12.603(3)(i)(ii) Combined Synopsis Solicitations

13.104 Promoting competition

13.105 Synopsis and posting requirements

13.106-1 Soliciting competition

14.203 Methods of soliciting bids

14.211(a) Release of acquisition information before solicitation

15.201 Exchanges with industry before receipt of proposals

35.007(a-b) Soliciting proposals from technically qualified sources

35.016 Broad agency announcements proposals

4.1 General

The CO publicizes contract actions in order to increase competition, broaden industry participation in government contracting, and help small businesses and other such concerns to obtain contracts and subcontracts (See FAR Part 5- Publicizing Contract Actions). If the CO determines that synopsis of award is unnecessary, the rationale must be documented in writing and included in the contract file. When applicable, the synopsis of contract award must include a statement identifying the contract as one containing Pub. L. 95-507 FAR 19.702 subcontracting plans and goals. When a requirement is publicized through FedBizOpps, and an award announcement is required, the award announcement must also be publicized through FedBizOpps in accordance with FAR 5.3.

4.2 Policy

FAR Part 5, Publicizing Contract Actions, requires that proposed contract actions and actual contract awards be transmitted/posted to the Government-wide point of entry (GPE), known as FedBizOpps. The FAR also requires that solicitations and any other pertinent information related to that solicitation determined necessary by the CO be posted on FBO. GSA Schedules have been synopsized in FedBizOpps and satisfy the requirements of the Competition in Contracting Act (Pub.

Law 98-369) and Federal Acquisition Regulation (FAR) Part 5, Publicizing Contract Actions. The Procurement Department will post all proposed contract actions and actual contract awards on FBO in accordance with FAR Subpart 5.2 and 5.3. Solicitations will be posted in FBO.

4.3 Steps and Guidelines

Tasks Related Standards

1. Determine whether it is necessary to synopsize a proposed acquisition

1. Correctly interprets FAR policies on whether a synopsis is required (e.g. FAR 5.101(a) and 5.201).

Questions to consider include the following.

Is a synopsis required?

Is the proposed procurement eligible for an exception to the synopsis requirement identified in FAR 5.202?

If not required, would synopsizing nonetheless http://www.acquisition.gov/far/current/html/FARTOCP05.html http://www.acquisition.gov/Far/current/html/Subpart%2019_7.html…