R3 SUPPLEMENT 6309.32-2004-1
EFFECTIVE DATE: January 25, 2004
DURATION: This supplement is effective until superseded or removed.
6309.32_4G37
Page 1 of 6
FSH 6309.32 – FEDERAL ACQUISITION REGULATION
PART 4G37 – SERVICE CONTRACTING
PART 4G37 – SERVICE CONTRACTING
Subpart 4G37.2—Advisory and Assistance Services
4G37.201-1 Submittal Dates.
(a)
Projects scheduled for award must be submitted to the Director, Acquisition
Management, 15 days prior to the due date for submittal to the Washington
Office. Following are the dates necessary to meet this schedule.
Due to Regional Office P&P
July 15
October 15
January 15
April 15
Fiscal Quarter Awards
1st Quarter
2nd Quarter
3rd Quarter
4th Quarter
All approval requests for Contracts for Advisory and Assistance Services (CAAS) must use the
format as required by Exhibit R3-37-1.
Zone Leads with minimum IIIA warrant authority are hereby redelegated approval authority for
those CAAS requirements under $100,000. Those units not having the requisite zone lead
authority must submit their requests to the regional Senior Contracting Officer for approval. For
those requests $100,000 and over, forward the CAAS request to the Washington Office, Director
AQM through Regional Office, Director AQM. Approval must be received prior to award.
If a sole source justification is needed use Exhibit R3-37-2 Sole Source Justification form,
format attached, for request. For those CAAS requests that fall within the micropurchase
threshold then no sole source justification is needed.
Note: Per WO Supplement 6309.32-4G37 12/03/2002 Environmental Impact Statements (EIS),
Environmental Analyses (EA), Routine Training Services and Facilitation services are waived
from CAAS review process. See the aforementioned supplement for a more comprehensive list.
R3 SUPPLEMENT 6309.32-2004-1
EFFECTIVE DATE: January 25, 2004
DURATION: This supplement is effective until superseded or removed.
6309.32_4G37
Page 2 of 6
FSH 6309.32 – FEDERAL ACQUISITION REGULATION
PART 4G37 – SERVICE CONTRACTING
Exhibit R3-37-1
A&A Request No. R3 - ____ - ___ - ______
Unit
Date Approved
FY
.
Number
.
ADVISORY AND ASSISTANCE SERVICE REQUEST FY 2004
(less than $100,000 to either AQM Zone Lead or RO AQM (over $100,000 to WO thru RO))
The following information should be provided for each proposed contract for advisory and
assistance services:
1. Name, agency, office address, and telephone number of person to contact about the proposed
procurement.
2. Describe the services to be performed, including any deliverables to be provided. Attach a
copy of the statement of work, if one has been prepared.
3. What is the total amount of time for completion of the project?
4. What is the total estimated cost of the project (including cost of options or out years)?
5. Is funding available for this requirement? Please provide documentation showing that funds
are available for the initial period of the requirement. If funds have not yet been made
available for the requirement, explain how the proposed contract will be funded.
6. Why can't the required services be performed by government personnel?
7. What program objectives will be served by award of the proposed contact? What negative
consequences are anticipated if the proposed contract is not awarded?
8. If similar or related work has been performed previously for the same project or program,
please describe the services performed and their relationship to the current request.
9. Is it intended that the contract is to be awarded on a sole-source basis? If so, please justify
why the contract must be awarded sole source using the attached Sole Source Rationale form.
10. If the answer to question 9 is "No," have you identified a particular company or individual
whom you are recommending to provide the services?
11. If the answer to either question 9 or question 10 is "Yes" -
R3 SUPPLEMENT 6309.32-2004-1
EFFECTIVE DATE: January 25, 2004
DURATION: This supplement is effective until superseded or removed.
6309.32_4G37
Page 3 of 6
FSH 6309.32 – FEDERAL ACQUISITION REGULATION
PART 4G37 – SERVICE CONTRACTING
a.
Please provide the name and business address of the individual or company (the vendor).
b.
Please describe any contacts which have occurred between the vendor and USDA employees
concerning the proposed contract. Such contacts include correspondence received from the
vendor as well as discussions or correspondence between the vendor and the agency or mission
area.
c.
Has the vendor already done any work on the project, such as drafting a description of the
requirement? If so, please describe the vendor's current involvement with the project.
12. If subcontracts are anticipated, will the prime contractor be required to direct work to a
particular individual or company? Directed subcontracts are not favored because they restrict
competition, may interfere with the prime contractor's independent judgment, and may
increase the Government's risk from a business standpoint. If you nevertheless intend to
direct subcontract work to a particular source or sources, please justify why you intend to do
so.
13. Is there any possibility of the appearance of a personal or organizational conflict of interest if
award is made to the recommended individual or company? If so, please explain. An
organizational conflict of interest "means that because of other activities or relationships with
other persons, a person is unable or potentially unable to render impartial assistance or advice
to the Government, or the person's objectivity in performing the contract work is or might be
otherwise impaired, or a person has an unfair competitive advantage." (Federal Acquisition
Regulation (FAR) 9.501)
14. If the proposed contract or requirement was not submitted within the schedule for quarterly
review, please also explain why this requirement was not included in the list of advisory and
assistance services contracts submitted for this fiscal quarter.
Requestor Name _______________________________________Date _____________
Signature
.
Approved by:
CO Name ___________________________________________ Date _____________
Signature
.
R3 SUPPLEMENT 6309.32-2004-1
EFFECTIVE DATE: January 25, 2004
DURATION: This supplement is effective until superseded or removed.
6309.32_4G37
Page 4 of 6
FSH 6309.32 – FEDERAL ACQUISITION REGULATION
PART 4G37 – SERVICE CONTRACTING
Exhibit R3-37-2
Sole Source Rationale
(Justification for other than full and open competition)
Requestor is to fill out items 1 through 11. Contracting Officer Signature signifies
concurrence with requestor’s rationale.
Each justification shall contain sufficient facts and rationale to justify the use of the specific
authority cited. As a minimum, each justification shall include the following information:
(1) Identification of your unit with your name and title:
(2) Nature and/or description of the action being approved.
(3) A description of the supplies or services required to meet the agency's needs (including the
estimated value).
(4) An identification of the statutory authority permitting other than full and open competition.
(Select one of the following exemptions, A – G, that fits your request. A full explanation is
required for your exemption. The evidence you submit in this section must be clear and
convincing that a sole source justification is warranted):
A - Only one responsible source and no other supplies or services will satisfy agency
requirements.
(1) Citations: 41 U.S.C. 253(c)(1).
(2) When the supplies or services required by the agency are available from only one
responsible source and no other type of supplies or services will satisfy agency
requirements, full and open competition need not be provided for.
B - Unusual and compelling urgency.
(1) Citations: 41 U.S.C. 253(c)(2).
(2) When the agency's need for the supplies or services is of such an unusual and
compelling urgency that the Government would be seriously injured unless the agency is
permitted to limit the number of sources from which it solicits bids or proposals, full and
open competition need not be provided for
C - Industrial mobilization; engineering, developmental, or research capability; or
expert services.
(1) Citations: 41 U.S.C. 253(c)(3).
R3 SUPPLEMENT 6309.32-2004-1
EFFECTIVE DATE: January 25, 2004
DURATION: This supplement is effective until superseded or removed.
6309.32_4G37
Page 5 of 6
FSH 6309.32 – FEDERAL ACQUISITION REGULATION
PART 4G37 – SERVICE CONTRACTING
(2) Full and open competition need not be provided for when it is necessary to award the
contract to a particular source or sources in order(i) To maintain a facility, producer, manufacturer, or other supplier available for
furnishing supplies or services in case of a national emergency or to achieve industrial
mobilization;
(ii) To establish or maintain an essential engineering, research, or development capability
to be provided by an educational or other nonprofit institution or a federally funded
research and development center; or
(iii) To acquire the services of an expert or neutral person for any current or anticipated
litigation or dispute.
D - International agreement.
(1) Citations: 41 U.S.C. 253(c)(4).
(2) Full and open competition need not be provided for when precluded by the terms of
an international agreement or a treaty between the United States and a foreign
government or international organization, or the written directions of a foreign
government reimbursing the agency for the cost of the acquisition of the supplies or
services for such government.
E - Authorized or required by statute.
(1) Citations: 41 U.S.C. 253(c)(5).
(2) Full and open competition need not be provided for when(i) A statute expressly authorizes or requires that the acquisition be made through another
agency or from a specified source; or
(ii) The agency's need is for a brand name commercial item for authorized resale.
F - National security.
(1) Citations: 41 U.S.C. 253(c)(6).
(2) Full and open competition need not be provided for when the disclosure of the
agency's needs would compromise the national security unless the agency is permitted to
limit the number of sources from which it solicits bids or proposals.
G - Public interest.
(1) Citations: 41 U.S.C. 253(c)(7).
(2) Full and open competition need not be provided for when the agency head determines
that it is not in the public interest in the particular acquisition concerned.
(5) A demonstration that the proposed contractor's unique qualifications or the nature of the
acquisition requires use of the authority cited.
R3 SUPPLEMENT 6309.32-2004-1
EFFECTIVE DATE: January 25, 2004
DURATION: This supplement is effective until superseded or removed.
6309.32_4G37
Page 6 of 6
FSH 6309.32 – FEDERAL ACQUISITION REGULATION
PART 4G37 – SERVICE CONTRACTING
(6) A description of efforts made to ensure that offers are solicited from as many potential
sources as is practicable, including whether a notice was or will be publicized as required by
Subpart 5.2 and, if not, which exception under 5.202 applies.
(7) A determination by the contracting officer that the anticipated cost to the Government will be
fair and reasonable. This requires a full explanation from the requestor – how is the price
considered fair and reasonable? What is the methodology for determining fair and reasonable?
(8) A description of the market research conducted (see Part 10) and the results or a statement of
the reason market research was not conducted.
(9) Any other facts supporting the use of other than full and open competition, such as:
(i) Explanation of why technical data packages, specifications, engineering descriptions,
statements of work, or purchase descriptions suitable for full and open competition have
not been developed or are not available.
(ii) When 6.302-1 is cited for follow-on acquisitions as described in 6.302-1(a)(2)(ii), an
estimate of the cost to the Government that would be duplicated and how the estimate
was derived.
(iii) When 6.302-2 is cited, data, estimated cost, or other rationale as to the extent and
nature of the harm to the Government.
(10) A listing of the sources, if any, that expressed, in writing, an interest in the acquisition.
(11) A statement of the actions, if any, the agency may take to remove or overcome any barriers
to competition before any subsequent acquisition for the supplies or services required.
(12) Contracting officer certification that the justification is accurate and complete to the best of
the contracting officer's knowledge and belief.
CO Name ___________________________________________ Date _____________
Signature
.
Each justification shall include evidence that any supporting data that is the responsibility
of technical or requirements personnel (e.g., verifying the Government's minimum needs or
schedule requirements or other rationale for other than full and open competition) and
which form a basis for the justification have been certified as complete and accurate by the
technical or requirements personnel.
Requestor Name _______________________________________Date _____________
Signature
.