MP5301.9001(b) Clearance – Multi-Functional Independent Review

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Mandatory Procedure

MP5301.9001(b)
Clearance – Multi-Functional Independent Review

March 2009

1. Policy. The Clearance Approval Authority (CAA) will use Multi-functional Independent Review Teams (MIRT) as an integral component of the clearance process in AFFARS 5301.9001(a) by validating each critical decision point (CDP) as described in paragraph 3.2 of this mandatory procedure.

2. Applicability. This procedure is required for all competitive acquisitions meeting the requirements of AFFARS 5301.90 when contract values are $50M or more and where the CAA is the Senior Contracting Official (SCO), the Senior Center Contracting Official (SCCO), the Associate Deputy Assistant Secretary (Contracting) (ADAS(C)), or the Deputy Assistant Secretary (Contracting) (DAS(C)). This includes task orders for services issued against multiple award indefinite delivery/indefinite quantity contracts (to include GSA schedules). At the discretion of the CAA, this mandatory procedure may be applicable to competitive acquisitions below $50M or to non-competitive acquisitions at any dollar threshold.

3. Independent Review. The CAA will establish an independent and objective process, employing cross-functional subject matter experts (SME) to constitute a MIRT. The purpose of the MIRT is to review and assess CDPs within the business and contract clearance process. Ideally, the MIRT will operate in an advisory manner such that its inputs and recommendations will facilitate frank and candid discussions regarding the soundness of the business and contracting approaches employed in the particular acquisition, and that the results of these discussions (solutions, lessons-learned, etc.) may be shared with acquisition organizations across the Air Force.

3.1. Multi-functional Independent Review Team (MIRT). The MIRT will be formed at the beginning of each competitive acquisition with membership approved by the CAA. The CAA may use existing Independent Review Teams, peer reviews, Acquisition Center of Excellence (ACE) established review teams, or other established processes to satisfy this requirement. Note 1 To promote consistency, it is desirable that the same MIRT members participate in each critical decision point review for the duration of the acquisition unless otherwise approved by the CAA. The team will be comprised of government personnel to the maximum extent practicable.

The MIRT will have representation from:

The members of MIRTs shall not be members of the source selection/competitive acquisition team. Note 2 Involvement of peers from other bases, MAJCOMs, or other DoD Agencies provides a broader approach to the independent review process and facilitates the sharing of lessons-learned and best practices.IG 3.1.2.1

It is desirable for members of MIRTs to have previous acquisition/procurement or source selection experience in order to provide sound, impartial perspective which in turn produces an improved procurement validation. The MIRT does not perform, but may support, the duties of a clearance reviewer which is typically performed by a procurement analyst in direct support of the CAA.

3.1.1. Independent Review Structure. The CAA will structure the independent review in a way that best achieves the objectives of the business and contract clearance process. Notably, the review procedures employed should be commensurate with the acquisition size, complexity, personnel experience, and other applicable considerations.IG 3.1.1 The process must focus on reviewing CDPs in a thorough and substantive manner where SMEs are granted the level of access to acquisition/source selection documents necessary to provide the CAA with a clear assessment of the soundness of the approach and methodology used for the acquisition. The CAA should ensure that the established review process is not compartmentalized such that individual members of the MIRT conduct reviews independently of one another (i.e. without the benefits of cross-feed).

3.1.2. MIRT Work Product. The MIRT review process will be more useful to the particular acquisition team and to the broader Air Force acquisition community if it is characterized by transparency and openness. The MIRT should generate its work product, to include any memoranda, reports, recommendations or other documentation provided to the CAA or a source selection/procurement team, understanding this objective. To this end, as a general rule, although attorneys likely will participate in preparing any written work product, this work product should not be characterized or couched as legal advice and, therefore, should not be marked or construed as being protected from release to outside sources by the attorney-client privilege.

At a minimum, the MIRT will convene an out brief with the source selection/procurement team at the conclusion of each CDP conducted. If requested by the source selection/procurement team, written documentation will be provided to the team and handled IAW FAR 2.101 and 3.104. Documentation of MIRT review(s) is required for the official contract file IAW paragraph 4. It is desirable for the MIRT to provide on-the-spot feedback to the source selection/procurement team to generate discussions in order to understand the rationale for comments or actions to be taken. The MIRT will provide an assessment to the CAA on the state of the source selection/procurement. All comments, will be dispositioned or adjudicated by the CAA, including any unresolved comments made by an ACE. The CAA may provide feedback to the SSA or the CAA may request that the source selection team provide the feedback.

3.2. Critical Decision Points (CDP). CDPs are precursor actions required in order to obtain approval to support formal clearance events (i.e. to issue the solicitation, to award without discussions, to request final proposal revisions, or for the SSA to make a source selection decision). These CDPs are conducted by the MIRT prior to obtaining the appropriate business or contract clearance from the CAA. For purposes of this MP, pre-business clearance CDPs include activities associated with acquisition planning activities as required by FAR Part 7 and applicable FAR supplements. Also, CDPs should not be considered as “prerequisite”, i.e., review of Sections L and M of the RFP could be done without having had a MIRT review of the draft Acquisition Strategy Panel (ASP) or Acquisition Plan (AP), etc.

3.2.1 Mandatory CDPs.

3.2.1.1 Pre-Business Clearance CDP.

3.2.1.2. Pre-Contract Clearance CDP.

3.2.1.3. MIRT Focus Areas. CDPs are representative of milestone events, which may involve the review of supporting documentation and actions leading to CDP events. IG 3.2.1.3

3.2.1.4. Areas of Special Interest (ASI). The CAA may require the MIRT to assess ASI in addition to the CDPs discussed in the previous paragraphs. The MIRT also has the discretion to review ASIs that may impact their assessment of the CDPs. ASIs may include review of source selection plans or debriefing charts/script, the conduct of mock debriefs, review of model contracts and all attachments, etc.

4. Documentation. Documentation that independent reviews were conducted IAW this procedure will be included in the contract file under the business and contract clearance tabs. Included with the documentation are the actions taken to disposition and/or adjudicate the MIRT comments by the CAA. The documentation will be considered “Source Selection Information” and/or “For Official Use only” and will be handled IAW FAR 2.101 and 3.104, respectively.

5. Waiver. The CAA may consider waiving the use of MIRTs in support of a specific clearance action for individual acquisitions or specific CDPs based on acquisition/source selection history and procurement/source selection experience of the acquisition team (i.e. recurring nature of the requirement, no history of sustained protest in a competitive acquisition, and successful experience with evaluation criteria in a competitive acquisition).

6. Annual Assessment. The CAA will provide an assessment of its multi-functional independent review process. Each MAJCOM will submit a report to SAF/AQCP (safaqcp.workflow@pentagon.af.mil) by 1 December of each year beginning in 2009. This report will include as a minimum, the following information for each acquisition of $50M or more, or when a MIRT is otherwise used:

INFORMATIONAL GUIDANCE
for
MP5301.9001(b)
CLEARANCE – INDEPENDENT REVIEW

3.1.1 - MIRT Other Considerations

1. Operational Considerations

2. Teaming/Membership Considerations

3.1.2.1 Participation Level. It is recommended that the CAA consider the participation level of the MIRTs to be based on the program and dollar thresholds as follows:

Program and/or Threshold

Participation Level

ACAT I Programs

DoD (see note below) or SAF/AQC level or Air Force equivalent 3 letter or other Air Force MAJCOM/Center

ACAT II/III Programs

MAJCOM or Center

Services and other Contracting - $1B or more

DoD (see note below) or SAF/AQC level or Air Force equivalent 3 letter or other Air Force MAJCOM/Center

Services and other Contracting – greater than $500M and less than $1B

Other Air Force MAJCOM or Other Air Force Center

Services and other Contracting not classified in programs above - $50M to $500M

Air Force MAJCOM or Air Force Center or Air Force Operational Level

3.2.1.3 – MIRT Focus Areas. The review process may include the following focus areas:

1. Pre-Business Clearance CDP

2. Pre-Contract Clearance CDP

3. Areas of Special Interest

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Note 1: Personnel participating as members of or advisors to source selection teams or procurement teams may not be an acceptable substitute for the independent review due to their lack of objectivity and independence. However, the CAA has the discretion to use “advisors” as members of a MIRT.

Note 2: See Note 1.

Note 3: In the event the contents of ASP do not align with FAR Part 7 and its supplements or an ASP is not held, review of written AP or equivalent documentation will be conducted.

Note 4: Applicable to Life Cycle Management Plan (LCMP), Commodity Acquisition Management Plan (CAMP), Integrated Program Summary (IPS) and other similar documentation.

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