TABLE OF CONTENTS
Paragraph Title Page
As used in this part, "commencement of negotiations" means the following:
(a) For noncompetitive negotiations, the acquisition cycle may proceed up to, but not including, the start of discussions with offerors for the purpose of reaching agreement on all aspects of the proposal, including terms and conditions and the pricing arrangement. Audits and fact-finding necessary to evaluate the proposal and develop the Governments negotiation objectives may be conducted.
(b) For competitive negotiations, the acquisition cycle may proceed up to, but not including, competitive range determination if the competitive range determination will result in the elimination of an offeror; and may otherwise proceed up to, but not including, issuing the request for best and final offer (BAFO).
(a) The following officials are authorized (nondelegable) to sign the Determination and Findings (D&F) in support of proposed actions in FAR 6.202 (a):
(1) The Assistant Secretary of the Air Force (Acquisition) (ASAF(A)) for all contractual actions requiring acquisition plan (AP) approval by the Senior Procurement Executive (SPE) (see 5307.104-90);
(2) The PEO for all contractual actions for Major and Selected Programs (see 5302.101) assigned to a PEO, except for those that require ASAF(A) approval under (a)(1);
(3) The DAC for all contractual actions for Major or Other Programs (see 5302.101) assigned to a DAC, except for those that require ASAF(A) approval under (a)(1); and
(4) HCAs, as specified in 5301.601-91, for all contractual actions for programs not assigned to a PEO or DAC and Other Contracting (see 5302.101), except for those that require ASAF(A) approval under (a)(1).
(b) For contract actions under (a)(1) above, the contracting officer shall submit the proposed D&F to SAF/AQCS concurrently with the request for AP approval. The contracting officer will follow the J&A procedures in 5306.304-92 when processing the D&F. The solicitation shall not be issued until after the D&F is signed by the SPE.
(c) For AFMC PEO actions, the Senior Center Contracting Official (SCCO) shall be afforded three work days to review/comment on D&Fs prior to submission to the PEO. For AFMC DAC actions, Senior Center or Laboratory Contracting Official coordination shall be obtained on all D&Fs.
(c) Limitations. The use of this authority shall not in itself dictate the use of an Undefinitized Contractual Action (UCA), nor must this authority be cited in order to issue a UCA.
(c)(i) The document referred to in DFARS 206.302-4 (c)(i) should be titled, "International Agreement Competitive Restrictions (IACR)."
(i) For Major and Selected Programs (see 5302.101) assigned to a Program Executive Officer (PEO), the responsibility for preparing the IACR is delegated to the Buying Office Contracting Official (BOCO). The competition advocate at the respective AFMC procuring activities is delegated approval authority.
(ii) For Major Programs not assigned to a PEO and Other Programs (see 5302.101), the responsibility for preparing the IACR is delegated to the AFMC Senior Center Contracting Official (SCCO). The competition advocate at these respective locations is delegated approval authority.
(iii) For Other Contracting, the responsibility for preparing the IACR is delegated to the principal staff officer (or designee) responsible for contracting for the command, FOA, or DRU. The command, FOA, or DRU competition advocate (or designee) is delegated approval authority. For AFMC, Senior Center or Laboratory Contracting Officials are delegated the responsibility for preparing the IACR and the respective competition advocate is the approval authority.
(c) Limitations.
(3) The contracting officer shall prepare the justification to support the determination and forward it through command channels to arrive at SAF/AQCS 30 calendar days prior to the scheduled solicitation release. AFMC contracting officers will follow the J&A processing procedures in 5306.304-92. The solicitation shall not be released until after the determination has been made in writing.
(d) The contracting officer shall forward a copy of the approved J&A to SAF/AQCO for any contract action which is subject to the Trade Agreements Act (see FAR Subpart 25.4) and will be awarded using other than competitive procedures pursuant to FAR 6.302-3 (a)(2)(i) or FAR 6.302-7.
(e) If award must precede SPE approval, the contracting office shall submit the J&A to SAF/AQCS no later than 30 days after contract award.
(a) J&As must be stand-alone documents for approving contract actions that are specifically defined. Sufficient information must exist to make a determination that the contract requirements can not be competed or that less than full and open competition is the appropriate strategy. For example, use of general terms such as "special studies" and "modification upgrades," without a more detailed description are not sufficient for making a non-competitive determination. Contract actions must be sufficiently defined to provide clear limits to the J&A authority and to permit a clear relationship to be established between the action and the circumstances cited as requiring other than full and open competition.
(2) Include the type of contract.
(6) The J&A should describe all efforts made or to be made to ensure that offers are solicited from as many potential sources as possible. A Sources Sought Synopsis should be used where practical. A Notice of Contract Action (NOCA) shall be made as required in FAR Subpart 5.2 for each contract action unless a NOCA exception applies. Where results of the Sources Sought Synopsis or NOCA are available, they should be incorporated in the J&A.
(11) As part of the statement of actions, ensure that the following subjects are addressed:
(i) Any actions taken to qualify additional sources and to obtain reprocurement data;
(ii) Applicability of system-level competition plans; and
(iii) Explanation and rationale if no actions to foster future competition are planned.
(a) A justification for a proposed contract action over $10 million shall contain a cover sheet entitled "Justification Review Document (JRD)."
(b) The JRD shall state the following information:
(1) The name of the program, if applicable, or, if not, provide a succinct description of the items(s) being bought;
(2) Whether the proposed contract action(s) is a Major or Selected Program, a Major Program not assigned to a PEO or Other Program, or Other Contracting;
(3) Whether the J&A is individual or class;
(4) The estimated dollar amount of the proposed contract(s); and
(5) The specific authority for contracting without full and open competition.
(c) The JRD shall include the typed names, titles, telephone numbers, and signatures of the following officials:
(1) The contracting officer;
(2) The program manager or other individual responsible for the requirement if there is no program manager;
(3) The local legal representative;
(4) The local competition advocate;
(5) The Chief of Contracting Office; and
(6) As applicable, the PEO, DAC, or Center Commander.
(d) For AFMC PEO actions, the Buying Office Contracting Official (BOCO) shall also sign the JRD. For AFMC DAC programs and Other Contracting within AFMC, the Senior Center or Laboratory Contracting Official shall also sign the JRD.
(e) All individuals listed on the JRD shall review the J&A and provide comments as appropriate. The contracting officer shall verify all coordinations have been obtained and all comments have been resolved before forwarding the JRD to the PEO, DAC, or Center Commander for signature. A record of the coordinations shall be maintained in the contract file.
(a) A requirement shall not be split for the purpose of reducing the justification approval level.
(b) For Other Contracting and programs not assigned to a PEO or DAC, the competition advocate of organizations listed below, which have been designated "procuring activities" pursuant to FAR 6.501, have approval authority for justifications over $500,000 but not exceeding $10 million. For justifications over $10 million and not exceeding $25 million, the commander of AFMC has approval authority which is delegable.
Assistant Secretary of the Air Force (Acquisition) (SAF/AQ)
Deputy Assistant Secretary (Contracting) (SAF/AQC)
Air Combat Command
Air Education and Training Command
Air Mobility Command
Air Force Materiel Command
- Headquarters, Air Force Materiel Command
- Aeronautical Systems Center
Aeronautical Systems Center/OL-PK
Aeronautical Systems Center/PKW
Wright Laboratory
- Air Force Development Test Center
- Air Force Flight Test Center
- Air Force Office of Scientific Research
- Arnold Engineering Development Center
- Electronic Systems Center
38th Engineering Installation Wing
Rome Laboratory
Standard Systems Group
- Human Systems Center
- Oklahoma City Air Logistics Center
- Ogden Air Logistics Center
- Sacramento Air Logistics Center
- San Antonio Air Logistics Center
- Space and Missile Systems Center
Phillips Laboratory
- Warner Robins Air Logistics Center
Air Force Space Command
Pacific Air Forces
United States Air Forces in Europe
(c) For Other Contracting and programs not assigned to a PEO or DAC, the competition advocate of organizations listed below, which have been designated "procuring activities" pursuant to FAR 6.501, have approval authority for justifications over $500,000 but not exceeding $5 million. Submit justifications over this amount to SAF/AQCS for processing or approval.
11th Support Wing
Air Force Reserve
Air Force Special Operations Command
USAF Academy
(d) The PEOs and AFMC Product Center Commanders have approval authority for programs within their portfolios up to $50 million. However, if a PEO does not meet the criteria of FAR 6.304 (a)(3) (general officer or civilian equivalent), justification approval authority is the Center competition advocate for efforts exceeding $500,000 but equal to or less than $10 million (nondelegable). For efforts between $10 million and $50 million, the approval authority is PDASAF(A&M) delegable to an individual meeting the FAR 6.304 (a)(3) criteria. AFMC Logistics Center Commanders have approval for assigned programs up to $25 million. This authority may be delegated subject to the conditions in FAR 6.304 (a)(3) for actions over $10 million or to the competition advocate for actions up to $10 million. For PEO actions, the Senior Center Contracting Official (SCCO) shall be afforded three work days to review/comment on any J&A over $10 million prior to submission to the approving official. For DAC actions, the Senior Center or Laboratory Contracting Official shall coordinate on any J&A over $10 million.
(e) Except as noted in (b), (c) or (d) above, the approval authority for justifications over $10 million ($25 million for AFMC) but not exceeding $50 million has been delegated to the Principal Deputy Assistant Secretary of the Air Force (Acquisition and Management) (PDASAF(A&M)). Justifications for proposed contracts over $50 million may only be approved by the Assistant Secretary of the Air Force (Acquisition) (ASAF(A)).
(f) Competition advocates will review/coordinate on all J&As over $500,000.
(g) For a summary of the justification approvals see Attachment 5306-1.
(h) Notwithstanding any other requirements of this AFFARS subpart, review and approval of justifications by the competition advocate for AFMC Special Access Programs may be accomplished by an official described in FAR 6.304 (a)(3).
(a) Class justifications and International Agreement Competitive Restrictions (IACR) documents may be used where identical justification is to be used only to support other than full and open competition procedures for a group of related contract actions for the same or related supplies or services. Each class J&A or IACR will follow the same format in 5306.303-2 and must clearly establish for each contract:
(1) The supplies and services that may be acquired;
(2) Contractor(s) and contract type;
(3) The estimated contract value; and
(4) The time period for award and contract performance (including options);
NOTE: Information that is the same for multiple contracts need not be restated for each.
(b) Each contract action to be approved under a class J&A or IACR should be described as precisely as possible. For replenishment spares, a definite list of stock numbers or part numbers must be included or identified. Additional items cannot be acquired unless an amendment to the J&A or IACR is approved. If the NSN/part number changes due to an ECP, modification, etc. during the effective period of the J&A, reapproval is not required since these are not new items. The contracting office shall maintain a list of all approved items under the J&A or IACR. No parts should be included for which a planned competitive strategy will exist during the term of the J&A or IACR. The J&A should discuss potential for future competition for spare parts included in the list.
(c) When contracts under a class J&A or IACR will be based on demand generated requirements (e.g., indefinite-quantity and requirements contracts and level-of-effort contracts), use the best estimates of supplies and services. However, the J&A or IACR must state the maximum quantity that may be acquired.
(1) Identification of specific procedures or controls that will ensure compliance with the NOCA requirements in FAR 5.201 and CICA requirements for all actions covered.
(2) Justification as to why the particular action should be sole source.
(d) All contract actions within a class should fall within the same statutory authority. Where a different authority must be used for any contract action, a separate J&A should be prepared.
(a) General procedures.
(1) Submit justifications requiring approval by the SPE or the Principal Deputy Assistant Secretary of the Air Force (Acquisition and Management) (PDASAF(A&M)) to SAF/AQCS. SAF/AQCS transmits the approved justification to the contracting activity by memorandum entitled, "Final Acquisition Action Approval (FAAA)." Plan for 30 days for staffing and issuance of the FAAA after receipt by SAF/AQCS.
(2) The FAAA may include certain conditions on the approval, which are called FAAA exceptions. Exceptions marked with an asterisk stop the acquisition cycle until cleared by an amendment to the FAAA. Exceptions that are not marked by an asterisk do not stop the acquisition cycle and generally do not require an amended FAAA. SAF/AQCS monitors clearance of all FAAA exceptions.
(3) When an acquisition requires approval of both an acquisition plan (AP) and J&A, the documents should be submitted concurrently. For these combination actions, plan 45 days for staffing and issuance of the FAAA after receipt by SAF/AQCS.
(b) Specific procedures.
(1) For AFMC programs assigned to a PEO, the PEO (nondelegable) signs and submits the justification to SAF/AQCS prior to solicitation release. The SCCO shall be afforded three work days to review/comment prior to submittal to SAF/AQCS. SAF/AQCS shall begin internal review of the J&A upon receipt from the PEO. Within five work days of receiving the J&A from the PEO, SAF/AQCS shall send the PEO and MAJCOM contracting activities written authorization to release the RFP on or after the 15th calendar day after the date SAF/AQCS received the justification. The contracting officer may release the solicitation on or after the specified date, unless directed otherwise by the PEO or SPE. If necessary, SAF/AQCS shall verbally communicate SPE direction to PEO and MAJCOM contracting activities to stop release of the solicitation, followed up by written cancellation or amendment of the authorization to the PEO. In this case, the contracting officer shall not release the solicitation until the FAAA is signed or a revised release date is specified in the amendment. After release of the solicitation, negotiations shall not commence (see 5306.003) until the FAAA is signed.
(2) For AFMC programs not assigned to a PEO, the DAC shall sign the justification. Procedures for processing the J&A after signature are the same as for PEO programs, except all correspondence and documentation (e.g., authorizations to release the RFP) will be sent to the SCCO. For AFMC DAC actions, all justifications requiring SPE approval will be coordinated with the Senior Center or Laboratory Contracting Official prior to submittal to SAF/AQCS.
(3) For programs assigned to a MAJCOM other than AFMC, see 5301.601-92 (c)(3). After signature, the justification will be submitted to the MAJCOM Chief of Contracting who has been delegated the responsibility for initial reviews as a service to the ASAF(A). These justifications will be forwarded to SAF/AQCS within 30 calendar days or when issues have been resolved, whichever occurs earlier. The MAJCOMs transmittal letter will address any unresolved issues and include a recommendation regarding solicitation release. Within five work days of receiving the justification from the MAJCOM, SAF/AQCS will send the MAJCOM contracting activity a written authorization to release the solicitation immediately, unless major issues precluding solicitation release have been identified and the SPE has directed that the solicitation not be released. SAF/AQCS shall verbally communicate SPE direction to stop release of the solicitation, followed up by written cancellation or amendment of the authorization. In this case, the contracting officer shall not release the solicitation until the FAAA is signed or a revised date is specified in the amendment. After the solicitation is released, negotiations shall not commence (see 5306.003) until the FAAA is signed.
(4) For Other Contracting, the HCA (see 5301.601-91) shall designate the official authorized to sign the justification. The HCA (or designee) may authorize solicitation release after the justification is reviewed for adequacy and forwarded to SAF/AQCS. For AFMC, the procedures for processing the J&A after signature are the same as for PEO programs. After the solicitation is issued, negotiations shall not commence (see 5306.003) until the FAAA is signed.
(c) Clearing FAAA exceptions. The contracting officer is responsible for clearing the exceptions. For AFMC PEO actions, the contracting officer shall afford the SCCO three work days to review/comment on the documentation necessary to clear the exception prior to submittal. The contracting officer submits the documentation through the PEO to SAF/AQCS. For AFMC DAC actions and Other Contracting, the contracting officer is responsible for obtaining the Senior Center or Laboratory Contracting Officials coordination and submitting the clearance documentation through the DAC to SAF/AQCS.
The following procedures are applicable to J&As that exceed $10 million and require ASAF (A) approval. Procedures for processing changes to J&As less than $10 million should be developed by each MAJCOM and should be consistent with these procedures.
(a) Before FAAA approval. Changes to the J&A may be initiated by the field contracting activity when requested by SAF/AQCS, or any Secretariat office during its review. These changes will be accomplished with change pages submitted to SAF/AQCS for inclusion in the final document. SAF/AQCS will notify the PEO or DAC of major issues affecting processing and approval of the J&A. Recoordination with the original signatures of the J&A necessitated by HQ or Secretariat review is not required.
(b) After FAAA approval but before award.
(1) If a change in circumstances impacts the basis for the J&A, the contracting officer, except for the conditions listed in (2), (3), and (4) below, shall submit an amended J&A. The amended J&A transmittal letter shall include a statement assessing the impact. Changes from the approved J&A shall be identified by striking out existing words and inserting revised words and using change bars in the right margin. An example of such a change would be if the user changed its requirements and now several responsible sources existed; or if the deployment strategy changed and instead of only one source existing that could meet worldwide requirements many regional sources were now capable of satisfying the requirements.
(2) An amended J&A is not required where there is a decrease in the estimated value of the effort and no change in scope.
(3) An amended J&A is not required where there is a decrease in the scope of the requirement but the reduction does not impact the basis for the J&A.
(4) An amended J&A is not required where there is an increase in the estimated value of the effort but no increase in scope, however, see (5) below.
(5) An amended J&A is required where there is an increase in the estimated value of the effort which causes the dollar value to exceed the authority of the approving official or the increase is due to a change in the scope of the requirement. In either case, an amendment to the J&A shall be submitted through the original approval authority to the appropriate approving official with the previously approved document attached. Changes from the approved J&A shall be identified by change bars in the right margin.
(6) For PEO and DAC programs, amendments will be submitted to SAF/AQCS.
(c) After award.
(1) If a proposed in-scope change to a contract is expected to exceed the approved dollar value of the original J&A, an amended J&A will be required where the total value of the effort will exceed the authority of the original J&A approving official. An amendment to the J&A shall be submitted to the appropriate approving official with the previously approved document attached. Changes from the approved J&A shall be identified by change bars in the right margin.
(2) If a proposed change to a contract is to provide for new effort outside the scope of the original J&A, a new J&A shall be prepared as a stand-alone document except when the value of the new work plus original effort exceed an approved threshold (for example, $10 million and $50 million). In that case an amendment to the J&A shall be submitted to the appropriate approving official. For those cases that do not involve an approval threshold, the approval authority for the J&A shall be based on the estimated value of the new work.
(3) When a contract is awarded with an estimated dollar value (requirements, time-and-materials, cost type, etc.) and the amount obligated approaches the estimated value shown on the approved J&A, the contracting officer shall assess whether a J&A is required. If required, the contracting officer shall assess whether an amended J&A or new J&A is required.
(4) If the estimated value of the total contract (no change in scope) increases by 50 percent or more above the approved J&A amount, an amended J&A shall be submitted to the appropriate approving official with the previously approved document. Attached changes shall be identified by change bars in the right margin.
(5) For PEO and DAC programs and AFMC Other Contracting efforts, amendments will be submitted to SAF/AQCS. Except for AFMC, for Other Contracting, the amendment should be submitted through MAJCOM Chief of Contracting in the same manner as the original J&A.
(d) Scope.
(1) For IDIQ contracts for supplies, the value of the total estimated orders shall be used as the estimated value for the J&A. Additional quantities in excess of the maximum require an amendment or new stand-alone J&A for the additional quantities.
(2) The test of whether a particular action is within the scope or outside the scope of the contract action and the J&A should consider the following:
(i) For hardware/supplies contract actions, the quantity of the item covered by the J&A bounds an area of the scope. Additionally, the description of the synopsis, the SOW, and identification of exactly what is to be priced provides another boundary to scope. For example, when acquiring new aircraft, it is not unusual to also acquire data, support equipment, training, and price these items during initial negotiations. However, additional quantities, spares, and major upgrades are generally outside the scope of the initial contract action;
(ii) For service contracts actions, the period of performance or quantity of hours required covered by the J&A bounds the scope. If the number of hours is unknown, a dollar estimate can be used to define the scope of the action. The description of the synopsis, the SOW, and the effort to be priced and negotiated provides a second boundary to the scope. For example, task orders within the SOW using the correct labor categories at agreed rates generally will be in-scope and no additional J&A approval is necessary. However, use of labor categories not synopsized nor covered within the contract will generally be viewed as outside of the scope. Additionally, extensions beyond the period of performance would be an out of scope action;
(iii) Where contracts have a mix of hardware deliverables and service functions such as Interim Contracting Support (ICS) and logistics support, the contracting officer must periodically compare the contract to the approved J&A to make sure all actions are covered by the authority of the J&A. In making scope determinations the considerations in (i) should be applied to the hardware portion of the contract and the considerations in (ii) should be applied to the services function; and
(iv) Caution is advised to avoid associating the scope of the program with the scope of the J&A. Contracts may contain CLINS that have been set aside for future negotiations, some of which may be covered by the approved J&A and some may require a stand-alone J&A before they can be incorporated into the contract. Simply because a CLIN or SOW paragraph exists may not be determinative of whether an action is in-scope or out of scope. Contracting officers should seek legal advice before making these determinations.
(3) Some examples of changes and actions required:
(i) A J&A estimated and approved at $8 million results in a contract award of $9.5 million but scope of original J&A (quantity and/or effort) is unchanged. No amended or stand-alone J&A is required;
(ii) A J&A estimated and approved at $8 million is resulting in a contract for $11 million and the scope has not changed. Prior to award, an amended J&A must be submitted to the appropriate approving official. (The approving official authority was breached.);
(iii) The J&A, for a cost type contract, cites an estimate of $7 million. The contracting officer issues a change or increases the obligated funds to $9 million with no change in the scope of the contract. No action required;
(iv) The J&A, for a cost type contract cites, an estimate of $7 million. The contracting officer previously increased the obligated contract amount to $9.5 million. The contracting officer plans two actions, one for $3 million with no change in scope and another action six months in the future for $5 million which will add new work. The contracting officer must submit an amended J&A to the appropriate approval official for the $3 million action before obligating additional funds because the previous approving officials authority has been breached. However, for the $5 million new effort, a stand-alone J&A is appropriate because it is outside the scope of the original J&A and does not involve an approval threshold;
(v) A contract was awarded for $8 million (the amount of approved J&A). The contracting officer anticipates issuing a change to add work outside the scope of the contract for $4 million. Because the value of the new effort causes the total effort to exceed an approval threshold, an amended J&A must be submitted by the contracting officer to the appropriate approving official; and
(vi) The J&A was estimated and approved for $55 million. A contract was issued for this amount but two years after award, the contracting officer expects to issue a change raising the contract amount to $90 million, and there has been no change in scope. The contracting officer needs to submit an amended J&A and explain the 50 percent increase in value.
(a) Pursuant to FAR 17.207, a NTE option is not considered a priced option. Therefore, a synopsis in accordance with FAR 5.201 and a J&A are required before a NTE option is exercised.
(b) For sole source procurements, a NTE option can be exercised without processing a new J&A provided it meets the following conditions:
(1) The option was synopsized with the basic contract;
(2) The previous J&A was a Class J&A which covered the basic contract action and NTE option exercise;
(3) The option was included in the contract action at the time of basic contract award; and
(4) The effort is the same at option exercise date as it was at the time of synopsis, exclusive of in-scope changes.
(a) For information resources requirements that are subject to the Brooks Act (40 U.S.C. 759), use of specific make and model specifications must be justified and approved in accordance with FAR 6.302 and FAR 6.304 prior to solicitation release.
(b) Technical and requirements personnel must provide and certify as complete and accurate data necessary to support their recommendations to use specific make and model purchase descriptions for information resources requirements. The justification must address why no other type of supplies will satisfy the requirement.
AUTHORITY LEVELS
J&A Est. Value |
Programs Assigned to PEO or AFMC Product Center |
Programs Assigned to AFMC Logistics Center |
Other Contracting and Programs Not Assigned in AFMC |
Up to $500K |
Contracting Officer |
Contracting Officer |
Contracting Officer |
$500K(+) to $10M |
PEO*/DAC* |
DAC* |
Competition Advocate*** |
$10M(+) to $25M |
PEO**/DAC** |
DAC** |
PDASAF(A&M)** or AFMC/CC** |
$25M(+) to $50M |
PEO**/DAC** |
PDASAF(A&M)** |
PDASAF(A&M)** |
Over $50M |
ASAF(A) |
ASAF(A) |
ASAF(A) |
NOTES:
* Delegable to Center or MAJCOM Competition Advocate.
** Delegable to an official meeting the criteria in FAR 6.304 (a)(3).
*** Limited to $5 million for organizations listed in 5306.304-90 (c). SAF/AQC approves justifications between $5 million and $10 million.
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