LTC Spurlock FINAL Flashcards
CCO may not accept gifts from “prohibited sources. A “prohibited source” is:
a “prohibited source” is one who does, or seeks, DOD business or one who could be substantially affected by CCO official decisions
CCO may not accept gifts because of official position as a Government official
Anti-Kickback Act of 1996 states giving or accepting a bribe is a crime punishable by
fine and/or up to 10 years in prison
Anti-Kickback Act of 1996 prohibits:
“Prohibits actual or attempted payments or offers to provide kickbacks, which include any money, fees, commission, credit, gift, gratuity, thing of value, or compensation of any kind, to include obtaining or rewarding favorable treatment”
Bribery - 18 USC 201(b)(1) states that Whoever . . . . .
(1) directly or indirectly, . . ., offers . . . anything of value to any public official . . . with intent . . . . . to influence any official act; . . . . . “shall be fined under this title or not more
“shall be fined under this title or not more than three times the monetary equivalent of the thing of value, whichever is greater, or imprisoned for not more than fifteen years, or both, and may be disqualified from holding any office of honor, trust, or profit under the United States.“
Fraud is:
the misrepresentation of a material fact with the intent to deceive
Fraud commonly includes:
Bribery, kickbacks, & gratuities – Most Common!
Making or using a false statement
Falsely making or altering a document
Making or presenting a false claim
Companies conducting business under several names
Collusive bidding
Conflicts of interest
Kickbacks can be
% of the contract
Gratuity is
TIPS
Most common fraud occurrences are:
Bribery, kickbacks, & gratuities
US Gov’t GSA/GPC cardholder and you purchase $5,000 in toner cartridges and they give you a $50 gift card, can you keep it?
NO!
When making determinations of fair/reasonable prices, can you take into account future discounts?
NO! Promises for future discounts cannot be used in price reasonableness/determinations in fair/price reasonableness.
The most basic ethical principle: 18 USC §208
An employee is prohibited from participating personally and substantially in an official capacity in any particular matter in which he (or any person whose interests are imputed to him) has a financial interest if the matter will have a direct and predictable effect on that interest
If CCO is officially involved in a matter that could affect personal financial interests, or those of someone related to or associated with, CCO must be removed from acting on that matter in an official capacity
A closely-related rule: if official involvement creates even the appearance of a conflict of interest to a reasonable person, CCO must be removed from that matter or, at a minimum, seek legal advice
Disqualification or recusal is:
stepping aside from decisions that could affect financial interests
Waivers of disqualification
is continuing involvement, but only with full disclosure and permission from Agency officials
Divestiture
is removing the financial interest that creates the conflict, which often involves selling the financial interest at issue
Common exceptions to the gift ban include:
Gifts valued at $20 or less, per occasion
Up to $50 from the same source in a calendar year
If in a foreign area, CCO may accept food, refreshments, or entertainment during meals or meetings, if:
The US market value does not exceed the Dept. of State’s maximum per diem allowance
Guests include non-US citizens or foreign diplomats
Attendance is part of official duties
The gifts are not from foreign governments (cannot award a contract to a foreign government)
Employees who must file financial disclosure reports must report travel-related cash reimbursements or gifts totaling more than
$285 from any one source, received by the employee, spouse or dependent children
Financial Disclosure reports for reporting of gifts is done on:
Reporting is done on OGE Form 450, Part V or on SF 278, Schedule B, Part II
The two types of authority are:
Contracting Authority
Command Authority
The term ‘Contingency Contracting’ means
all stages of the process of acquiring property or services by DoD during a Contingency Operation in the continental United States (CONUS) or outside the continental United States (OCONUS)
Contingency Operation’ (10 U.S.C. 101(a)(13)) means a military operation that:
DESIGNATED BY SECDEF by Secretary of Defense when armed forces used against an enemy; or
DECLARED BY PRESIDENT OR CONGRESS when Reserves activated under Title 10, U.S.C.
The purpose of the Contingency Contracting Officer (CCO) is to
acquire supplies, services, and minor construction as needed by the war fighter to support essential missions in response to a crisis, contingency, or declaration of war
to deliver supplies, services or construction, on time and on target….from the observer’s point of view”
“Contracting Authority” is
the legal authority to enter into binding contracts and obligate funds for the US government.
Command Authority” includes
the authority and responsibility for effectively using available resources and for planning the employment of, organizing, directing, coordinating, and controlling military forces for the accomplishment of assigned missions.
CCOs receive their contracting warrants from
a source of contracting authority, not command authority
Warranting CCOs is based on:
Experience
Education
Knowledge of acquisition policies and procedures
Training (meeting minimum DAWIA standards)
A CCO’s warrant is recorded on a
Recorded on SF 1402
Contracting structure flows
Flows from Joint Contracting Commander / Head of Contracting Activity
Through the Senior Contracting Official (SCO) or Principal Assistant Responsible for Contracting (PARC) – same person
Senior Contracting Official (SCO) warranting authority includes:
Selecting CCOs
Appointing CCOs
Terminating CCOs
Who selects, appoints, terminates CCOs?
The Senior Contracting Official (SCO)
Head of Contracting Activity (HCA) Responsibilities include:
Provides overall guidance
Acts as the approving authority
Provides contractual policies and procedures
Responsible oversight of Contracting within AOR
Senior Contracting Official (SCO) Responsibilities
Establishes policies and procedures for developing, reviewing, and managing the contingency contracting process to include administration plans
Contracting Officer’s Representatives (CORs) are
Nominated by requiring activity
Appointed by CCO
Small-scale contingency operations:
Service Component provides own contracting support
Retains control of their own theater support authority
HCA assignment will remain within the Service channels
Large-scale contingency operations:
A lead Service or Joint Theater Support Contracting Command (JTSCC) structure is required (OCONUS)
The Joint Theater Support Contracting Command (JTSCC) provides
more oversight than typically provided through the lead Service organizational option
The JTSCC, by design, is a Joint command that has command and control authority over designated Service component theater support contracting organizations and personnel within a designated support area
Directed by and reports to the Joint Forces Command (JFC)
Materializes in larger or more complex contingency operations
J1-Manpower and Personnel Directorate:
performs personnel actions
Officer with no specific rank or contracting-related experience
J2-Intelligence Directorate, J3-Operations Directorate, and J5-Plans Directorate:
focuses on supporting the JFC commander’s intent with effective and efficient contracting actions
Normally an O-5 WITH CONTRACTING EXPERIENCE
Responsible to assist the commander and SCO
Synchronize support to on-going and future operations
Reviews daily JARB submissions and PWS validation
J4-Logistics Directorate:
performs logistics actions - The CCO woks mainly with the J4 is in contingency operations
Normally a logistics officer with no specific rank or contracting-related experience.
J6-Communications System Directorate:
performs communications support-related actions
A communications or signal officer with no specific rank or contracting-related experience
Legal Staff Function
Legal advisors to the JTSCC and JFC commander
Establishes and implements JFC acquisition legal policy
Responsible for solicitation and contract reviews
Develop and provide ethics counseling /training
Contracting Officers (KOs), pursuant to (Federal Acquisition Regulation [FAR] 1.602), are the
only personnel authorized to enter into, administer, or terminate contracts and make related determinations and findings.
Performance Work Statement (PWS)” means
a statement of work for performance-based acquisitions that describes the required results in clear, specific and objective terms with measurable outcomes.
is written incorporating measurable standards that that informs the contractor of the outcomes desired.
defines the requirements in terms of results, should include:
Description of services and general information (definitions and so forth)
Government-furnished property and services, if applicable
Measurable performance standards
Method of assessing contractor performance against performance standards
Performance incentives where appropriate
A Statement of Work (SOW)
is written in terms to direct the contractor specifically how to do the job
A purchase request must have 2 things:
Clear and detailed description of what is required of the contractor/vendor
Certification of Funds
Conversion rates should also be noted when?
at the time of funds certification
Army appropriation codes:
Military Personnel 212010
Operations and Maintenance 212020
Research, Development, Testing & Evaluation 212040
Military Construction 212050
Navy appropriation codes:
Military Personnel 171453
Operations and Maintenance 171804
Research, Development, Testing & Evaluation 171319
Military Construction 171205
Air Force appropriation codes:
Military Personnel 573500
Operations and Maintenance 573400
Research, Development, Testing & Evaluation 573600
Military Construction 573300
Fund Cite Example:
57 0 3400 310 67A2 231010 01 59290 503300 ESP 8Z
57: Agency
0: Fiscal Year
3400: Type of Appropriation
310: Fund Code and Fiscal Year
67A2: Operating Agency Code (OAC) and Operating Budget Account Number (OBAN)
231010: Responsibility Center (RC) and Cost Center (CC) Code
01: Budget Activity Code
503300: Element of Expense/Investment Code (EEIC)
ESP: Accounting and Disbursing Number
8Z: Emergency and Special Projects
US Constitution, Art. 1 Section 8 grants to Congress the power to
“lay and collect taxes, duties, imports, and excise, to pay the debts and provide for the common defense and general welfare of the United States”
US Constitution, Art. 1 Section & 9 provides that
“no money shall be drawn from the treasury but in consequence of an appropriation made by law”
Appropriations have a definite “life span”
Military Personnel: 1 Year Operations & Maintenance: 1 year Research, Development, Test & Evaluation: 2 years Procurement: 3 years Military Construction: 5 years
Bona Fide Needs Rule
Provides that fiscal year’s (FY) multi-year appropriations only be obligated to meet a bona fide need arising in (or sometimes before) the FY for which the appropriation was made
Restricts the use of existing FY’s appropriated funds on the next FY’s requirements
Bona Fide Needs Rule SEVERABLE service implies it is
continuing and recurring in nature and can be separated into components that independently provide value to customer’s needs
10 USC §2410a: permits funding for severable services using an annual appropriation for up to a total of 12 months when the contract is awarded, even if the period of performance will begin in one FY and continue into a subsequent FY (DFARS 232.703-1)
Bona Fide Needs Rule NON-SEVERABLE service implies
a single undertaking that cannot be feasibly subdivided or only produces a single or unified outcome, product, or report
Must be funded in full at the time of award with a then current appropriation
Note: lead time exception can apply to the start date of service type contracts
The Anti-Deficiency Act prohibits
obligating or spending money before it is appropriated or in amounts in excess of the amount appropriated
Violation of the Anti-Deficiency Act is punishable by
Punishable by a fine up to $5K, 2 years in prison, or both
Joint Acquisition Review Board (JARB):
a Service-unique requirements board to validate and prioritize the Service’s requests
Commander’s Emergency Response Program (CERP):
Military commanders can quickly direct money to meet humanitarian, relief, and reconstruction needs that immediately assist the indigenous population
Not subject to Contract Dispute Act – Program, not contract; programmed funds, not contracted funds
Funds Certification Officer:
J8 / G8 / Comptroller / Resource Manager
Certifies on the purchase request that funds are available prior to processing by the contracting office under peacetime conditions
During contingencies, the issue of funding becomes more involved because of the urgency and source of the requirements
Conversion rates at the time of funds certification should also be noted
Appropriated funds are subject to three basic fiscal constraints:
Time: A current fiscal year’s (FY) funds must be used for current needs
Purpose: Funds must be expended for the purpose established by Congress
Amount: The Anti-Deficiency Act (ADA) prohibits obligating or spending money before it is appropriated or in excess of a specific appropriation, the acceptance of voluntary services, and employing personal services in excess of authorized amounts (Bouncing a check)
Contingency contracting officers (CCOs) should consult
with the finance office to ensure proper use of each type of funding under their control
Are contractors on the battlefield susceptible to US Law?
Yes!
In addition to domestic US Laws and International Agreements, contractor employees are subject to the UCMJ in time of war, as declared by Congress
Contractors who are retired US military personnel may be subject to charges under UCMJ during non-declared wars and other contingency operations as well as peace time
Operational Contract Support defined:
Orchestrate and synchronize provision of integrated
contract support and management of the contractor personnel providing that support to the joint force in a designated operational area
Purchase request is:
The document that communicates the customer’s requirement and provides the funds for that requirement
Allows the vendor to quote properly and deliver the correct item
Utilized to request supplies/services or construction
Purchase request is submitted on what forms?
AF Form 9 • DA Form 3953
AF Form 4009 • AF Form 616
DD Form 1348 • Navy Supplement Form 1250-2
DD Form 448-2 - Military Interdepartmental Purchase Request
Book used to list/maintain private/public property seized is:
Property Control Record Book
Property Control Record Book is
Book used to list/maintain private/public property seized
SF 1442
Solicitation, Offer and Award (Construction, Alteration or Repair)
SF 1449
Solicitation/Contract/Order for Commercial Items
DD 1155
is used by the government as an order for supplies or services.
Blanket Purchase Agreement
Iraq/Afghan micro purchase agreement limit is
$30,000
Domestic Emergency Micro purchase limit increases to
$15,000 CONUS
$30,000 OCONUS
Domestic Emergency Simplified Acquisition Threshold increases to
$300,000 CONUS
$1 Million OCONUS
Who maintains ethical responsibility for the US Government?
All government representatives
CCOs must not avoid:
A particular matter without a direct financial impact
For companies that offer product incentives with a purchase, the CCO may keep the item since the government did not necessarily pay for it.
False
You may accept gifts from a prohibited source with a face value up to a total of $________ per calendar year, but any gifts on a single occasion may not exceed $_______ in value.
$50 and $20
Which of the following is considered fraud?
Suppression of truth
A gesture or innuendo
Misleading representation
All of the above
When in a foreign area, the CCO may accept food, refreshments, or entertainment during meals or meetings so long as which of the following conditions are met:
The US market value does not exceed the DoS per diem rate for the foreign area, when converted to US Dollars
Guests include non-U.S. citizens or foreign representatives
Attendance at the meeting or event is part of the employee’s official duties
The gifts are not from foreign governments
All of the above
If you have any doubt about what you should or should not accept, who should you consult?
Legal Office or Ethics Advisor
As the CCO, you know that offices order supplies at the end of the month. However, you noticed that a specific office has also been randomly ordering every two weeks. What is your first thought:
This could be an indication of fraud; further investigation is needed
If a gratuity is delivered to you (e.g., left on your desk or car), what should you NOT do?
Keep it because the giver is unknown
Always
Return it to the person who left it immediately
Pay the fair market value
Donate it to charity
As a last resort, if the contractor appears to be offended, accept the gratuity and perform which of the following steps?
Have your finance officer safeguard the gratuity by placing it in a safe and ask for a receipt
Turn the gratuity over to —–Consult with the legal office
Write a memo for record (MFR) explaining the circumstances/approx value of the item and mention legal advice was obtained
All of the above
The Anti-Kickback Act of 1996 does NOT apply to:
Money, fees, commissions, gifts, gratuities
Things of value
Compensation of any kind
Favorable treatment
None of the above
Any person who knowingly and willfully engages in conduct prohibited by the Anti-Kickback Act shall be imprisoned for not more than _____ years or shall be subject to a fine or both.
Ten years
The DoD does not tolerate any form of trafficking in persons (TIP). When should a TIP-related situation be reported to the appropriate officials?
Always, it is a CCO responsibility
As the CCO, if I am offered an “escort” by a local vendor, which of the following should I do?
Immediately inform counsel
Inform your chain of command
Take immediate action to impose suitable remedies, including termination, on contractors that support or promote trafficking or fail to monitor the conduct of their employees or subcontractors with regard to trafficking.
All of the above
Contracting and procurement fraud schemes involve which of the following:
Product substitution
Government employee collusion
Bribes, gratuities and kick-backs
All of the above
Professional friendships with contractors or subcontractors are prohibited.
False
A “prohibited source” is defined as ___________.
Company doing business/seeking to do business with the Federal gov
Many foreign business cultures do NOT expect kick-backs, finders fees, exchange of gifts, or other gratuities.
False
Which of the following does the CCO not have the authority to do?
Grant home leave to a supporting contractor
Has the authority to:
Use judgment to protect the warfighter and taxpayer
Assist contractors finding experts since none are available in the DoD
Encourage personnel to speak up if ethics are not being upheld
Command Authority vs Contracting Authority
Command Authority:
Combatant Commander
Service Component Commander
Joint Task Force Commander
Contracting Authority:
Agency Heads
Head of Contracting Authority
Senior Contracting Officer
Both streamline down to:
Chief of Contracting Office
Contingency Contracting Officers and Appointed Reps
A CCO’s warrant is derived from which of the following?
Contracting Authority
What is the term also identified with the SCO?
Principal Authority Responsible for Contracting (PARC)
The SCO establishes policies and procedures for developing, reviewing and managing the contingency contracting process.
True
Contracting Authority is the authority to
enter into binding contracts
Command Authority is the authority to
effectively use available resources
Who plans, directs and supervises purchasing and contracting for supplies, services and construction for assigned customers?
COCO
RCC
The HCA is responsible for
Oversight of contracting
Compliance with statutes and regulations
Appoints SCO
The only personnel authorized to enter into, administer, or terminate contracts is:
The CCO
Contingency Contracting Officers have which of the following duties and responsibilities?
Maintain contract oversight with respect to contract performance by the contractor.
Ensure contracts are competed and awarded to the local populace to the fullest extent possible in order to aid the development of the local economy while ensuring fair and reasonable prices.
The ___________________ provides overall contracting oversight throughout the contingency and ensures compliance with law, regulation, policy, and good business practice.
Head of Contracting Activity
Who would assist the commander and SCO(s) to synchronize support to on-going and planning future operations?
J2/3/5
The J-1 office normally performs what functions?
Joint personnel actions to include working personnel assignments, JMD related actions, awards & ratings
Who would perform normal joint communications support?
J6
The J-3 would normally perform joint logistic actions.
False
In general, a Joint Theater Support Contracting Command will only be stood up for what type of operations?
Major sustained operations
General responsibilities of the SCO include:
Managing and executing the Procurement Management Reviews
Within contingency operations, who does the CCO mainly work with?
J-4 officer
Who provides quality inspections on contractor performance?
COR
What are the three basic fiscal constraints appropriated funds are subjected to?
Time, amount, purpose
The Bona Fide Needs rule provides for what?
Funds are available only to satisfy requirements during period of availability
Fill in the period of availability for the following funds:
MILCON 5 years RDT&E 2 years Procurement 3 years O&M 1 year MILPER 1 year
The Bona Fide Need for supplies exists when:
The Government actually will be able to use such item(s)
The funds are presumed to be available
The Bona Fide Needs for severable services pertains to the:
Period in which the services are performed
The Bona Fide Needs for non-severable services generally apply to the:
Year in which a contract is executed
Construction contracts obligated and awarded late in the fiscal year must have a performance start within how many days?
90
The “Purpose Statute” prohibits what?
Spending money on objects other than those for which appropriations have been made
At what point must the Bona Fide Need exist?
At time of award, not performance
A knowing and willful violation of the “Anti-Deficiency Act” is punishable by:
Up to $5K fine and two years in prison, or both
What are the three parts of the “Necessary Expense Doctrine” for expenditures?
Logically related to the appropriation, not prohibited by law, and not otherwise provided for
What type of funds are used for the day-to-day expenses incurred during training exercises and deployments?
Operation and Maintenance (O&M)
Commanders may use O&M funds to purchase unit coins for the purpose of:
Recognizing excellence in accomplishments
What funding may only be used for providing official courtesies to authorized guests?
Official Representation Funds (ORF)
What funding can be spent on unanticipated, short notice construction, but cannot exceed $500K without the Secretary of Defense notifying Congress?
Emergency and Extraordinary Expenses (E&EE)
Who may direct Foreign Disaster Assistance (FDA) be used outside the United States to respond to manmade or natural disasters when necessary to prevent loss of life?
President of the United States (POTUS)
All purchase requests must meet two requirements:
Good item description, certified funds
The principal features of a purchase description may be determined by answering questions such as:
What is it?
What is it used for?
What does it do?
All of the above
When defining and specifying requirements, contracting activities and their customer will consider:
Technical needs and business strategies
A generic purchase description is written in simple language with one exception:
Brand names are prohibited without a separate written justification
The purchase description should clearly describe:
Essential physical and functional characteristics
Which of the following documentation may accompany purchase requests as required for construction projects?
Cost Breakdown
Schedule of Material Submittals
Government Estimate of Completion Costs and Bidding Schedule
All of the above
The Joint Acquisition Review Board (JARB) is normally chaired by the:
JFC Deputy Commander or J4
What is the primary purpose of the Joint Contracting Support Board (JCSB)?
To function as a coordination/deconfliction activity for contracting in joint operations
For bulk funding purchase requests:
The CO is responsible for maintaining a record of obligations and monitoring the remaining balance of funds
The CCO or the Customer should contact the accounting and finance office for procedures to fund which of the following?
Medical supplies
Food, Goods and Services
Vehicle rentals for recreational activities
All of the above
In a fund cite or line of accounting, what are the agency codes of the Services?
Navy 17
Marines 17 (Same as Navy)
Army 21
Air Force 57
Nonappropriated Funds: cash and other assets received from sources ____ those appropriated by Congress.
Other than
Within the Overseas Humanitarian Disaster and Civic Assistance (OHDACA) program, Congress must be notified how many days in advance before defense articles or services are transferred to another nation or UN peace-related operation?
15
Conversion rates should be noted at the time of funds certification.
True
The Annex W of COCOM’s Deliberate and Crisis Action Planning has which of the following documents:
Contractor Support Integration Plan (CSIP)
Legally, there are two types of contingencies: _________ contingencies and ____________ contingencies. Of the two types, a(n) ____________ contingency has fewer legal flexibilities.
declared
undeclared
undeclared
Military exercises such as Joint Dawn and Foal Eagle are able to provide the participant with an exact replica of contingency contracting conditions.
False
What is the regular micro-purchase threshold amount?
$3,000
What is the SAT threshold for declared contingencies outside of the US?
$1,000,000
Host Nation Support Agreements (HNSA), Status of Forces Agreements (SOFA), or Assistance in Kind Agreements (AIK) are normally negotiated through:
U.S. Department of State
There are several sources of contracting expertise geographically separated from the deployed CCO. Which of the following sources could be used?
Defense Logistics Agency
The nearest permanent military installation contracting office
The American Embassy or Consulate
All of the above
HNS Team
Team that helps the CCO connect with
host nation authorities and personnel
designated to offer support
Advon Team
Team deploying within the first 30 days
of a contingency that usually conducts a site
survey
JOCST Team
Team offering support during the initial
phases of a declared contingency
When an American CCO is deployed to support a NATO operation, they are only required to follow the procurement policies of the United States.
False
ACSA
Bilateral international agreements that
allow for the provision of cooperative
logistics support
SOFA
Clarifies terms under which the foreign
military is allowed to operate
Bilateral Agreement
Govern the status of contractors and
employees, criminal jurisdiction, and
taxation
The Navy’s Global Contingency Services Contract (GCSC) is designed to provide:
Short term facilities support services with incidental construction at various locations (including remote locations) throughout the world
Supply Class _____ Items consist of the following: construction materials, including installed equipment and all fortification and barrier materials.
IV
Contingency Contracting Support Phase I; Mobilization/Initial deployment is normally the first ______days of deployment and is characterized by an extremely high operation tempo, confusion and controlled chaos
30 – 45
Pre-arranged contracts awarded by Service acquisition program management offices that provide technical support, maintenance support and, in some cases, Class IX support for selected military weapons and support systems are:
System support contracts
Pre-arranged contracts, or contracts awarded during contingency, from contracting organizations whose contracting authority does not derive directly from the theater support contracting heads of contracting activity or from system support contracting authorities are:
External support contracts
When is UCMJ applicable to contractors accompanying the force?
Contractor employees are subject to military law under the UCMJ when accompanying U. S. forces during a declared war.
Competition requirements are waived by using simplified acquisition procedures.
False
_______________ is the preferred method of purchasing supplies and services within the micro-purchase threshold.
Government Purchase Card
DoD has been instructed to reduce the use of noncompetitive contracts, cost reimbursable contracts, and _______________ because they pose special risks of overspending.
Time and materials contracts
In a contingency environment, time and materials and labor hours may be appropriate contract types to use when:
The need for services is clearly understood
The particular parameters of required materials cannot be established at the award of contract
When determining the appropriate contract type to use, you should consider the following:
Commerciality of the requirement
Cost risk
Acquisition method
All of the above
What document must the CCO fill out to accompany an Urgent and Compelling request?
Justification and Approval (J&A)
A J&A is needed when awarding Contracts using:
Other than full and open competition
If a CCO needs a Nontactical Vehicle for 2 years, which is generally the most cost effective acquisition method?
GSA Lease
Contract files for oral solicitations or request for proposals should include:
A justification for use of an oral solicitation
Item description, quantity, and delivery schedule
Sources solicited and prices quoted.
The solicitation number provided to the prospective offerors
All of the above
For most acquisitions conducted overseas in support of a foreign contingency operation, they will not be subject to:
Buy American Act
An influx of US dollars on the local economy often times:
Hurts by further devaluating the local currency
Contracts entered into and performed outside the US with local foreign firms will be priced and paid in local currency, unless a(n) _________ provides for payment in dollars or the contracting officer determines the use of local currency to be inequitable or inappropriate.
International agreement
All contract requirements over the Simplified Acquisition Threshold (SAT) require:
An independent government estimate
Contracting officers are not required to obtain certified cost or pricing data from offerors:
When prices are based on adequate price competition
When a CCO negotiates a contract, all negotiation results must be documented in a:
Pricing Negotiation Memorandum
The 3-in-1 Tool automates the following form:
SF 44
The following are all guidelines for establishing a BPA EXCEPT:
Shall be prepared and issued on SF 1449, Solicitation Contract/Order for Commercial Items.
In extreme cases, the CCO is dual-hatted as the CCO and the _____?
Paying agent
The full spectrum of government financing should be considered to facilitate business partnerships and economic growth. Which form of payment presents the highest risk?
Advance payments
For a Field Ordering Officers (FOO) to use an SF44, the FOO must:
Have written authorization from the CCO, been trained by the CCO, and teamed with a trained paying agent
The FOO must maintain the original purchase request document, a copy of the SF 44 used for the purchase, logbook, original receipt of the purchase, and the Receipt for Property Received. If the vendor cannot provide an automated receipt the FOO must:
Substitute with a hand written receipt
Unauthorized commitments may be ratified for the following reasons except
Funds are available and were available at the time the unauthorized commitment was made
The individual that made the unauthorized commitment determines the price to be fair and reasonable
Where are the vast majority of protests filed by contractors
GAO
What is the first thing a CCO should do upon notification of a protest?
Contact Legal Counsel
How long does the Government have to submit a report to a GAO protest?
30 days
How long does the GAO have to formulate a decision in response to a protest?
100 days
When the agency has received notice of a protest filed directly with the GAO, a contract may be awarded under the following circumstances except…
Untimely award would delay project completion date
A CCO shall immediately suspend performance or terminate the awarded contract when…
The agency received notice of a protest from the GAO within 10 days after the contract award or within 5 days after a debriefing date
The HCA may authorize contract performance notwithstanding a protest…
On a nondelegable basis upon written finding that contract performance will be in the best interest of the United States and urgent and compelling circumstances exist
When performance has been suspended or terminated, the contracting officer should attempt to negotiate
Mutual agreement on a no-cost basis
To whom must the government submit its agency report to during the first 30 days?
GAO and Protestor
When responding to a protest, all of the following documents are required in an agency report to the GAO with the exception of:
CCOs Statement of Relevant Facts
The solicitation
Evaluation documentation
All are required
A written demand or assertion seeking payment of money, the adjustment or interpretation of contract terms, or relief arising under a contract is a:
Claim
A claim exceeding $100,000 should be
Certified by the contractor
Within the period specified by the FAR for certified claims exceeding $100,000, the CCO must:
Issue a final decision or notify the contractor when a final decision will be issued
How long after receipt of a certified claim exceeding $100,000 must a CCO issue a final decision or notify the contractor when a final decision will be issued?
60 Days
What may result, as a result of the CCO final decision to deny (either in part or in total) from a contractors claim?
A dispute by the contractor under the applicable contract disputes clause
What is the key to success in prosecuting any contract dispute?
Availability of supporting contract documents
ADR procedures
Can be applied to all or a portion of a claim
Can be used anytime
Does not constitute a reconsideration of the final decision
All of the above
When participating in ADR, a CCO should:
Be professional and observe local customs at all times
Be prepared, develop an appreciation for the other sides view and use simple clear and concise language focusing on the objective
What options do CCOs have available to compensate for seized property?
Claims adjudication, retroactive leases, and ratification
What is a highly effective tool that can help understand issues?
Reachback
What document maintains a list of private and public property obtained during hostilities?
Property Control Record Book
CCOs are authorized to enter into agreements with foreign governments under what condition?
CCOs cannot enter into agreements with foreign governments
The establishment of agreements with foreign governments can be requested through the local:
Host Nation Support Office
Which factor is NOT a part of the determination of price “fair & reasonable” for acquisitions overseas?
Discounts offered for future purchases
Understanding the local customs and culture of a country may help the CCO do which?
Establish a rapport with local nationals
Avoid adverse safety and security incidents
Receive possible warnings of pending terror attacks
All of the above
When considering Anti-terrorism and Security measures, the term “target selection” refers to:
An individual’s awareness of vulnerability to attacks
OPSEC is simply defined as:
The process used to deny our adversaries information about military capabilities and intentions
When considering threat factors in a foreign duty location, the term “surveillance” refers to:
Secretly watching a target to identify patterns or gather information
While overseas, if you find yourself near any civil disturbance, it is your duty as an American Serviceman to render assistance in any way possible.
False
DoDR 5500.7-R, Joint Ethics Regulation applies to:
CCOs only
Commanders and Appointed Representatives only
Requirements personnel only
All of the above
Elicitation, espionage, and subversion are all techniques used to obtain:
Unit specific information
Information about military capabilities and intentions
ISOPREP (DD Form 1833) and Evasion Plans of Action (EPA) are required for contractors in the following threat environments
All threat levels
OPSEC is a ________ process involving security and common sense.
Continuous, systematic
From where should you gather information about terrorist groups?
Department of State
Intelligence Officer
Chain of Command
All of the above
Personnel recovery is the sum of military, ______, and civil efforts to prepare for and execute the recovery and reintegration of isolated personnel
Diplomatic
Commanders must plan for the possible _______ of contractors by adversarial organizations or governments:
Isolation
Capture
Detention
All of the above
Who is the lead federal agency in domestic support operations?
Federal Emergency Management Agency
The chief of the contracting activity is responsible for ensuring that local contingency plans requiring contracting support for the installation are reviewed and coordinated.
True
What list should be included in the buying procedures?
Vendors listing for goods/services, phone #, physical address, 24-hour point of contact
In the first 24 hours of recovery, what is the first thing that a contracting officer should do before things gets too intense?
Set up a PR tracking list and ensure all personnel are aware of procedures
During a disaster recovery, for which types of commodities should you consider establishing a BPA?
Purchasing ice, paper products and other common items
What clause is highly recommended in construction solicitation and pre-construction meeting in areas susceptible to natural disasters?
Permits and Responsibilities Clause
A Bid Bond cannot be waived during an emergency procurement.
False
Consider assigning more contract administrators than normal to the affected parts of the contracting office for complex service contracts and seek assistance from:
Defense Contract Management Agency
CCO’s have a direct impact on saving people’s lives.
True
The Robert T. Stafford Disaster Relief and Emergency Assistance Act, authorizes the federal government to help ______governments alleviate the suffering and damage caused by disasters
State and local
Federal agencies or state governors can request _______ capabilities to support their emergency response efforts by using a formal Request for Assistance process.
Department of Defense
The Incident Command System allows responders to adopt an integrated organizational structure.
True
Emergency acquisition flexibilities are available for:
Contingency operations
Defense or recovery from nuclear, biological, chemical or radiological attack
If a solution is not offered in the FAR, then it cannot be used as it would be considered illegal.
False
When planning for emergencies, what must the CCO include?
Contracting’s role during contingency conditions
How contracting can support base recovery efforts
Tools (kits) required to carry out this support
All of the above
Which of the following offers CO training for emergencies?
Defense Acquisition University
Emergency Management Institute
Federal Acquisition Institute
All of the above
An alternate location must be established within the continuity of operations plan.
True
Ethics are vitally important, particularly in the contingency environment because of the cultural differences
True
Strictly avoid any conflict of interest, or
apparent conflict of interest
CCO must not forget duty is to the US Government, DoD and customer…
not the contractor
CCO may not accept any gift because of official position and may not accept any gift from
a contractor, a potential contractor, or a partnering contractor
There are very limited exceptions to the gift prohibition; unavoidable violations must be
documented and reported to counsel immediately
DoD will not tolerate any form of human trafficking or forced labor by any of its contractors or contractor personnel
True
If ever in doubt, contact the
legal advisor
Contracting Officers (KOs), pursuant to (Federal Acquisition Regulation [FAR] 1.602), are the only
personnel authorized to enter into, administer, or terminate contracts and make related determinations and findings.
KOs may bind the government only to the
extent of the authority delegated to them.
KOs shall receive from the appointing authority
clear instructions in writing regarding the limits of their authority.
In operational area, contracting authority flows from Congress to the President, then to the Secretary of Defense, through the
Service Agency Head, to the Head of Contracting Activity (HCA) and then to Senior Contracting Official (SCO) to the Contracting Officer.
KOs must understand the difference between command and
contracting lines of authority
Appropriated funds are subject to three basic fiscal constraints:
Time: A current fiscal year’s (FY) funds must be used for current needs
Purpose: Funds must be expended for the purpose established by Congress
Amount: The Anti-Deficiency Act (ADA) prohibits obligating or spending money before it is appropriated or in excess of a specific appropriation, the acceptance of voluntary services, and employing personal services in excess of authorized amounts (Bouncing a check)
Contingency contracting officers (CCOs) should consult with the ____________ to ensure proper use of each type of funding under their control
the finance office
Along with the J-4, the contracting office has the ability to
influence and affect the tactical/operational outcome
Advance planning and preparation are critical for success
CCOs need to understand the four phases of
contracting support
CCOs must be familiar with the statutes, directives, treaties, and
agreements that will affect contracting operations when deployed
Get information about the country, or domestic disaster area before you deploy
Always be prepared to forward deploy should the mission change
Locate business sources and become familiar with local conditions, security, and force protection
Seek guidance from the host nation support team,
Command J4, and the US embassy
The CCO should coordinate for redeployment and the drawdown of equipment, personnel, and services with their
operational planners, DCMA, and DLA
CCOs should submit an After Action Report ______ days after deployment
30 days
In any contingency operation, quality acquisition support to the commander is
critical to mission accomplishment
The absence of direction should be interpreted as
permitting innovation and the use of sound business judgment
A wide selection of contract types are available in order to provide needed flexibility in acquiring the supplies and services required. Most contingency purchases can be accomplished with
Simplified Acquisition Procedures
CCOs should put more of an emphasis on price negotiations, even if you have
competition, at sustained/established locations
The type of contract selected determines both
the clauses to be included and the degree of risk accepted by the government
The objective is to select the contract type that places a reasonable degree of
risk upon the contractor and provides the contractor with the greatest incentive to perform efficiently and economically
Upon receipt of a protest, the contingency contracting officer (CCO) needs to
act quickly and contact supporting legal counsel
To avoid distracting, time-consuming litigation, strive to
resolve contract performance issues by mutual agreement with the contractor
Interests of the government can often be best protected when vendor concerns are
resolved quickly and at the lowest level
All FAR and DFARS administrative recordkeeping and file management requirements continue under
contingency conditions
Contract files must be organized and sufficiently annotated to
document the actions taken and the supporting rationale for the entire procurement process
Contracting does not end with contract award. Contract administration
completes the cycle and assures the customer’s needs are satisfied
Fast and accurate reporting is
key to satisfactory contract performance.
Timely identification and documentation of _________ is critical.
deficient contractor perfomrance
CORs must be
properly appointed and trained
The contract file should be closed once
the contractor has satisfactorily completed performance of the contract and final payment has been made
Coordinate with operational planners, DCMA, and DLA in the reduction and
and demobilization of equipment, personnel and services
Contingency Contracting Officers (CCOs) must be familiar with
the statutes, directives, treaties, and agreements that will affect contracting operations when deployed
Much of the business conducted by contractors overseas is by
negotiation; negotiating for lower prices should be considered a normal business practice
Be aware of
anti-terrorism countermeasures and security
Maintain information operations
security in all your activities
CCOs must be aware of
the risks associated with contracting in an austere or contingency situation
Many domestic support operations are handled at the _____ level
state
in these cases, Army and Air National Guard units provide military support under state active duty or Title 32 USC control
__________________________ is the lead federal agency responsible for coordinating contracting support for domestic emergencies
Federal Emergency Management Agency (FEMA)
DoD does not augment FEMA or other federal agencies with contracting staff, but can
support specific contracting tasks as directed by the President or SECDEF
Military forces operating in domestic support operations should keep __________ to a minimum to avoid competing with other support efforts for limited local resources
contracted support of the deployed force
Acquisition and emergency acquisition flexibilities are identified in
FAR Part 18 and DFARS Part 218.1 and 218.2
Contracting Officers are fully authorized to
innovate and use sound business judgment that is otherwise consistent with law and within their authority
Three types of contractors which accompany US Armed Forces
Theater Support Contractors
System Contractors
External Support Contractors
Theater Support Contractors
Support deployed operational forces under prearranged contracts or contracts awarded from the mission area. Provide goods, services, and minor construction, usually through local vendors, to meet the immediate needs of operational commanders
System Contractors
Support deployed operational forces under pre-arranged contracts awarded by Program Executive Officers, Program Managers, or Service Component Materiel Commands. Provide specific support to specific systems throughout their life cycle, during both peacetime and contingency operations
External Support Contractors
Provide support to deployed operational forces separate and distinct from either theater support or support provided by system contractors. Perform according to pre-arranged contracts or contracts awarded during the contingency itself
Contract administration involves record keeping and ensuring adequate documentation exists to provide
An audit trail
High risk areas of contract administration include all of the following except:
Working with a COR
Both manual and automated logs should be utilized to maintain proper documentation of identifying purchase requests that are open, completed, and closed.
True
The ______________ must accompany the invoice in order for the vendor to be paid in a timely manner.
Receiving Report
If the customer needs to obtain an increase in funding and the amount exceeds the percentage deviation authority from the deployed commander, the CCO will needs to work with the __________________ to process a request for an increase in funds letter:
Requiring activity
Although LDs are commonly used on ____________ contracts, they can also be used on other contracts except ______________ contracts.
Construction, CPFF
In between a construction contract award and _________________, the contractor will use this time to provide bonds, insurance and other administrative requirements.
Notice to Proceed
There are two kinds of government property: _________ and __________.
government furnished property
contractor acquired property
CORs receive different types of training dependent on the contracts they monitor.
True
A change is any alteration within the scope of the contract, which could be made in the:
Specifications, drawings, and designs
Method of packing or place of delivery
Quantity or type of government-provided material
All of the above
What actions should a CCO perform before initiating a T4D?
The CCO should not delay in a contingency environment
Issue a cure notice and give minimum of 10 days to cure
Interview subcontractors about the extent of the problem
None of the above
If contemplating terminating for ‘cause’ or ‘default’ and if the time remaining in the contract delivery schedule is not sufficient to permit a realistic ‘cure’ period of ______ days or more, a __________ should be issued immediately upon expiration of the delivery period.
10 days
show cause notice
Federal Procurement Data System
System allowing government procurement transactions to be tracked and recorded real-time
Wide Area Work Flow
Allows government and vendors to submit and track invoices and receipts online
Joint Contingency Contracting System
Produces reports that support the warfighters’ acquisition forecasting
Contractor Performance Assessment Reporting System
System allowing government procurement transactions to be tracked and recorded real-time
If faced with a situation involving sex trafficking,
CCOs should
immediately inform the relevant chain of command and
legal counsel.
CCOs should take immediate action to impose suitable
remedies (including termination) on contractors that support or promote trafficking or that fail to monitor the conduct of their employees and subcontractors with regard to trafficking in persons (TIP).
JTSCC Staff to CCO chain of command is
Commander CoS w/J-Staff (J2/3/5 has CCO) Directly under Commander is SCO RCC RCOs
The bona fide needs rule is an appropriations
and fiscal law. USC what?
(31 U.S.C. Section 1502(a))
In 31 U.S.C. Section 1301(a), commonly referred to as the purpose statute, the expenditure of funds …….
on objects other than those specified in the appropriations is prohibited. Funds must be expended for the purpose established by Congress.
3 prong test that states that expenditures must have the following characteristics:
Be logically related to the appropriation.
Not be prohibited by law.
Not be otherwise provided.
Unit deployment kit must include a __________ even for local disasters.
global positioning system (GPS)
In the JOPP, contingency contracting is addressed in Annex W to Combatant Command (COCOM) deliberate and crisis action planning products. Annex W includes two primary plans, the
contract support integration plan (CSIP) and the contractor management plan (CMP).
A mature contracting environment is characterized by
a sophisticated distribution system that can rapidly respond to changing requirements and priorities; sufficient vendors that can comply with FAR requirements to meet contingency contracting
demands and have previous experience contracting with the US government; and, in the best case, an in-place DoD contracting office or structure. Examples of mature contracting environments include Kuwait, Saudi Arabia, Qatar, Korea, and Western Europe.
An immature contracting environment is an
area with little or no built-up infrastructure and few vendors. Moreover, of the available vendors, few if any have previous experience contracting with the US government. An example of an immature contracting
environment is the Horn of Africa.
Once the CCO’s feet hit the ground, the next task is to learn how to plug in to the new environment. The CCO must quickly find the support structure (J4) and meet with the onsite commander to accomplish the following:
Discuss purchase request (PR) control procedures, including funds accountability, PR validation and approval, inspection, acceptance,
quality assurance procedures, and disposition of purchased assets
Inform the onsite commander that additional duties might impede contracting responsibilities or create a conflict of interest
Advise the onsite commander that only the CCO is authorized to obligate the US government for local purchases, and offer to present
a briefing on this topic at the first commander’s call
Have the onsite commander create policy that no one should place undue pressure or command influence on CCOs to purchase any goods and services that violate laws or regulations.
The four phases of contracting support that typically occur during contingencies are
mobilization and initial deployment
buildup,
sustainment,
and termination and redeployment
DCMA’s major role and responsibilities in contingency operations are to
furnish contingency contract administration services (CCAS) for delegated external support contracts, selected weapons system support contracts
with place of performance in the operational area, and theater support contracts when CCAS is delegated by the PCO.
DCAA is under the authority, direction, and control of the Under Secretary of Defense (Comptroller). DCAA shall perform
all necessary contract audits for DoD and shall provide accounting and financial advisory services regarding contracts and subcontracts to all DoD components responsible for procurement and contract administration.
Determinations and Findings (D&F) means
a special form of written approval by an authorized official that is required by stature or regulation as a prerequisite to taking certain contracting actions. The “determination” is a conclusion or decision supported by the “findings.” The findings are statements of fact or rationale essential to support the determination and must cover each requirement or the stature or regulation.
Competition requirements are __________ by use of the Simplified Acquisition Procedures (SAP)
not waived
With price reasonableness,
micro-purchases may be awarded without soliciting competitive quotations if the CCO considers the price to be reasonable
Blanket Purchase Agreements are
A simplified method of filling anticipated repetitive needs for supplies or services by establishing charge accounts with qualified sources
Designed to reduce administrative costs and time in conducting simplified acquisitions
Individual purchases using BPAs shall not exceed the SAT
BPAs shall contain all clauses required in accordance with FAR 13.303-4 and 13.303-8, statutes, and executive orders
BPAs are not contracts, they are agreements
Individual purchases using BPAs shall not
exceed the SAT
Change order is
unilateral order signed by the CO directing the contractor to make changes under the various change clauses
If the change order increases or decreases the cost or time of the work under the contract, the CO must make an equitable adjustment in the contract price, the delivery schedule, or both.
Contracts may be modified by use of a change order
Clear distinction must be made between the terms “change,” “change order,” “in scope,” and “out of scope.”
Changes can be made in the specifications, drawings, designs, method of packing or shipment, time or place of delivery, and quantity or type of government provided materiel
3 ways to terminate a contract
Termination for Convenience (T4C)-FAR Part 49.3
Termination for Default (T4D) –FAR Part 49.4
Terminations for Cause - FAR Part 12.403 (Commercial)
(FAR 49 does not apply)
Issue “Suspension of Work” or Stop Work as applicable”
Key in our ability to prevent a protest is with
DOCUMENTATION
Alternate Disputes Resolution
If necessary, KO shall use the Dispute Clause at FAR 52.233-1 with its Alternate I
Breach of Contract Claim at FAR 52.233-4
ADR Can be applied to all or part of a Claim
Can someone be compelled in an alternate dispute resolution?
No
Which factors are a part of the determination of price “fair & reasonable” for acquisitions overseas?
Delivery of goods within the requested timeframe
Stability of the local economy
Availability of supply/service in the local marketplace
SF44 and the 3-in-1 tool
Immediately available; one delivery and payment; purchase amount is below micro-purchase threshold (but up to the SAT for a warranted CCO)
Primarily for on-the-spot, over-the-counter purchases of supplies and non-personnel services
The National Response Framework (NRF) is
applicable to all federal departments and agencies that have primary jurisdiction for, or participate in, operations requiring coordinated federal response; coordinated and managed by FEMA
Robert T. Stafford Disaster Relief and Emergency Assistance Act states that
Preference shall be given, to the extent feasible and practicable, to local firms
Preference may be given through a local area set-aside or an evaluation preference
