UAC 26-15-HQE_OCPS-DNS-J.E. Federal (Ratified 01172026).pdf

IHS-975 (10/24) PAGE 1 of 10

DEPARTMENT OF HEALTH AND HUMAN SERVICES

Indian Health Service

REQUEST FOR RATIFICATION OF UNAUTHORIZED COMMITMENT (UAC)

Federal Acquisition Regulation (FAR) 1.602-3

HHS Acquisition Regulation (HHSAR) 301.602.-3

HQ UAC #

Amount ($) Area Office/Service Unit/Program Office or Headquarters (HQ) Office/Division

For (Item or Service) Date of Commitment (mm/dd/yyyy)

To (Vendor/Contractor Name and Address)

The following section are to be completed by

Part I - Description of Commitment and Service Unit/Area or HQ Review

Section A, to be completed by individual who committed UAC or Immediate Supervisor

Section B, to be completed by Funds Certifying Official

Section C, to be completed by Immediate Supervisor

Section D, to be completed by Second Level Supervisor - Review and Concurrence

Section E, to be completed by Area Director; for HQ: Office Director - Review and Concurrence

Part II - Area or HQ Division of Acquisition's Review/Recommendation

Section A, to be completed by Contracting Officer

Section B, to be completed by Chief of the Contracting Office

Part III - Legal Review, Office of The General Counsel (OGC), Required for over Simplified

Acquisition Threshold (SAT).

Part IV - Approval, Head of the Contracting Activity (HCA)

PART I - SECTION A - COMMITMENT CIRCUMSTANCES

1.Describe circumstances that led to the unauthorized commitment The individual who made the unauthorized commitment shall complete items 1 thru 5 of Part I, Section A, provide detailed facts, required documentation, electronically sign, date, and forward to the immediate supervisor for completion of Part I - Section C. If the individual is no longer available, the immediate supervisor shall complete both Part I – Sections A & C.

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IHS-975 (10/24) PAGE 2 of 10

PART I - SECTION A - COMMITMENT CIRCUMSTANCES (Continued)

2. Explain why appropriate acquisition mechanism was not followed and why vendor was selected

3. Statement that funds are and were available at time of unauthorized commitment

4. Describe the benefits received by the government (Give value of benefit and other pertinent facts) and if service or goods have been received

5. List below and attach all relevant documents (Include orders, invoices, fund availability, requisition and other evidence of the transaction. Verify accuracy and completeness of documentation)

Name and Title of Individual Who Made the Unauthorized Commitment or Immediate Supervisor

Signature Date (mm/dd/yyyy)

IHS-975 (10/24) PAGE 3 of 10

PART I - SECTION B – FUNDS CERTIFICATION

The funds certifying official will complete items 6 thru 7 of Part I, Section B, electronically sign, date, and return the form to the individual who committed UAC.

6. Availability of Funds

Are unobligated funds presently available for the amount of the unauthorized commitment?

Yes No

If yes, identify the CAN or approved requisition number

7. Funds Certification

I have reviewed the acquisition and certify that funds were available at the time of the occurrence and remain available for the project.

Yes No

Name and Title of Funds Certifying Official

IHS-975 (10/24) PAGE 4 of 10

PART I - SECTION C – IMMEDIATE SUPERVISOR REVIEW

The Immediate Supervisor Will Complete Items 8 thru 10 of Part I, Section C, Electronically Sign, Date, and Forward to Service Unit CEO or Area/HQ Office Program Director.

8. Describe attempts to resolve unauthorized commitment prior to requesting ratification (Such as, returning merchandise, individual paying from personal funds, etc.)

9. Describe corrective action taken. (Include a description of any administrative action taken under applicable personnel authority)

10. Describe measures taken to prevent recurrence of unauthorized commitments.

Name and Title of Immediate Supervisor

PART I - SECTION D – SECOND LEVEL SUPERVISOR

IHS-975 (10/24) PAGE 5 of 10

11. Completed purchase description and funding document is executed and attached (required if ratification is recommended).

Funding document must specifically state that funds were available at the time the unauthorized commitment was made and these funds are still available.

Yes No (action will not be ratified)

12. The Second Level Supervisor will complete Section D of Part I. (Section A & C, in some instances, may be the same person.)

Approval of corrective action taken

Yes No

If no, explain non-concurrence

13. Approval of action(s) to prevent recurrence of unauthorized commitments

Yes No

If no, explain non-concurrence

14. I have reviewed Sections A and B of Part I, verified that the information is accurate and complete, that the Government received a benefit and associated value from the unauthorized commitment, that certified funds were available at the time of UAC and

I concur with the ratification of the unauthorized commitment

I do not concur with the ratification of the unauthorized commitment

If no, explain non-concurrence

Name and Title of Second Level Supervisor

PART I - SECTION E – AREA DIRECTOR REVIEW; FOR HQ: OFFICE DIRECTOR REVIEW

IHS-975 (10/24) PAGE 6 of 10

15. The Area Director; for HQ: Office Director will complete Section E of Part I.

Approval of corrective action taken

Yes No

If no, explain non-concurrence

16. Approval of action(s) to prevent recurrence of unauthorized commitments

Yes No

If no, explain non-concurrence

17. I have reviewed sections A and B of Part I, verified that the information is accurate and complete, that the Government received a benefit and associated value from the unauthorized commitment, that certified funds were available at the time of UAC and

I concur with the ratification of the unauthorized commitment

I do not concur with the ratification of the unauthorized commitment

If no, explain non-concurrence

18. Completed purchase description and funding document is executed and attached (required if ratification is recommended).

Funding document must specifically state that funds were available at the time the unauthorized commitment was made and these funds are still available.

Yes No (action will not be ratified)

Name and Title of Area Director; for HQ: Office Director

PART II - SECTION A - CONTRACTING OFFICER'S REVIEW

IHS-975 (10/24) PAGE 7 of 10

FAR 1.602.3 AND HHSAR 301.602-3

THE CONTRACTING OFFICER SHALL INCLUDE A NARRATIVE THAT ADDRESSES THE FOLLOWING:

1. Determine the adequacy of all facts, records, and documents furnished, and obtain any additional material required.

2. Prepare a summary of facts to include a recommendation as to whether or not the transaction should be ratified and reasons for the recommendation. A recommendation not to ratify must include a recommendation as to whether or not the matter should be processed under FAR part 50 and (Pub. L. 85-804) as a Government Accountability Office (GAO) claim or in some other appropriate way.

3. State whether the ratification is in accordance with any other limitations prescribed under agency procedures.

4. Determine whether supplies or services have been provided to and accepted by the Government, or the Government otherwise has obtained or will obtain as a result from performance of the unauthorized commitment.

The ratifying official has the authority to enter into a contractual commitment.

5. The ratifying official has the authority to enter into a contractual commitment.

6. Determine whether the resulting contract would otherwise have been proper if made by an appropriate Contracting Officer.

7. State whether the price is considered fair and reasonable and indicate how that determination was made.

8. Indicate whether or not the Contracting Officer recommends payment and legal counsel concurs in the recommendation, unless Agency procedures expressly do not require such concurrence.

9. Determine that sufficient funds are available, and were available at the time the unauthorized commitment was made.

Contracting Officer's Review

If more space is required, CO's statement may be attached; signature and date required below and on attachment).

Name of Contracting Officer

PART II – CCO’S REVIEW

PAGE 8 of 10 IHS-975 (IHS-975 (010/24)) PAGE 8 of 10

(Completed by the Chief of the Contracting Office)

ACTION VALUED AT ANY VALUE

Based on the foregoing determination, ratification of unauthorized commitment is recommended for approval.

Based on the foregoing determination, ratification of unauthorized commitment is recommended for disapproval (Explain below).

Name Chief of the Contracting Office

PART III - LEGAL REVIEW

IHS-975 (10/24) PAGE 9 of 10

To be completed by Office of the General Counsel for all requests at or exceeding the Simplified Acquisition Threshold, per HSAR 301.602-3(d))

Determine whether the acquisition is ratifiable under FAR 1.602-3 and HHSAR 301.602-3 or whether the matter should be processed under (Public Law 85-804), as a GAO Claim, or recommend other appropriate disposition. (Return to the Head of the Contracting Activity for final approval or non-approval).

If more space is required, legal opinion may be attached; signature and date required below and on attachment)

Name, Title, and Organization of Legal Advisor

PART IV - APPROVAL

IHS-975 (10/24) PAGE 10 of 10

(Completed by the IHS, Head of the Contracting Activity)

ALL ACTIONS REGARDLESS OF DOLLAR VALUE

Based on the foregoing determination, ratification of unauthorized commitment is approved.

Based on the foregoing determination, ratification of unauthorized commitment is disapproved. (Explain below).

Name of Head of the Contracting Activity (HCA)

On 6/25/2024 – The vendor submitted 3 invoices for payment for a total of $29,362.23 for the following date ranges: 24 Mar 2024 – 9 Apr 2024 (unpaid); 27 Apr 2024 – 13 May 2024 (unpaid); and,14 May 2024 – 30 May 2024 (unpaid). The Vendor also provided usage reports which confirmed IHS nurses used the service during the "unpaid" time frames.

Funding was available in the PHN CAN J940484 for FY2024 in June2024. The J94PY22 balance was $104,739; however, price quotes were NOT requested for services during the 3 time frames and no financial commitments were made to the Vendor for payment during the "unpaid" time frames in FY2024.

CO advised UAC as the services were accessed and used by the nurses for the time frames identified in the 3 invoices.

4 Describe the benefits received by the government Give value of benefit and other pertinent facts and if service or goods have: The online nurse training service provided an avenue to support excellence and quality in the Indian health system as a resource for staff education to support comprehensive and public health services were available and accessible to American Indian and Alaska Native people.

The services provided an option for nurses to access continuing nurse education credits by the American Nurses Credentialing Center (ANCC) Commission on Accreditation and by state licensing boards and certification which met the requirements of hospital and health care organization accrediting bodies. The resource provided nurses an option to maintain certification and licensure, meet continuing education requirements and enhance baseline clinical knowledge and skill-sets to improve services.

5 List below and attach all relevant documents Include orders invoices fund availability requisition and other evidence of the: Attached are 4 folders/attachments:

1. Government Purchase Card and 4 quotes - this file contains the email communication between CO and COR for request for services, price quotes and paid invoices (including table of these activities when services were requested by the CO).

2. Vendors 3 invoices for unpaid invoices and emails - this file contains the Invoices for unpaid time frames submitted by Vendor and email with table of CO communication to COR for price quotes and payments.

3. See attached email from OFA for funds available in J94PY22 FY25 balance, email is dated 05/15/2025.

4. DNS Weekly at a glance report for May 2024 to July 2024 - this file contains the weekly reports of the pending AP, concern of purchasing incremental services and request for AP award updates.

OCPS leadership in collaboration with Tina Tah, COR and this writer, have initiated a root cause analysis and are working with DAP on a corrective action plan..

10 Describe measures taken to prevent recurrence of unauthorized commitments: To prevent recurrence of this is to ensure the responsible parties have the knowledge and skills to perform duties as the CO and COR. Also to improve communications with the vendor to ensure they are aware of the current status of approved services.

The other measure is to ensure timely completion of contract/requirements for services that have been identified as needed services that support the mission of IHS and to improve communication between all stakeholders of said contract.

OCPS Acting Director

To (Vendor/Contractor Name and Address): James E. Elwell, CEO J.E. Federal Enterprises, LLC 1455 Reynolds Drive Auburn, AL 36830-1869 Office: 866-515-9123, ext 101

The AP was submitted in January2024, not posted until June2024, and awarded in September2024. In June2024, DNS/COR decided to discontinue the use of GPC as this process was becoming cumbersome and confusing to follow with CO requesting quotes and COR coordinating the payment with GPC holder. Reports that the AP would be posted soon also became burdensome to follow.

When services were discontinued in June2024, the Vendor submitted 3 invoices for payment. A detailed review of price quotes with related time frames revealed that services for the 3 invoices were not requested by CO or COR; however, the Vendor submitted usage reports to demonstrate that nurses did use this service during the time frames of the 3 invoices. CO advised UAC as services were used by the IHS nurses for the time period of the 3 invoices.

Name of HCA: CHANTEL A. SMITH