TDF 76-01.6 (11/96)

Prescribed by DTAR part 1006

(Previous Edition Obsolete)

DEPARTMENT OF THE TREASURY

**JUSTIFICATION FOR OTHER THAN FULL AND OPEN COMPETITION**

**(JOFOC)**

+-------------------------+--------------------------------------------+
| I recommend that the    |                                            |
| U.S. DEPARTMENT OF THE  |                                            |
| TREASURY use other than |                                            |
| full and open           |                                            |
| competition for the     |                                            |
| acquisition of the      |                                            |
| following supplies or   |                                            |
| services. If this       |                                            |
| acquisition is to be    |                                            |
| made with only one      |                                            |
| source or a limited     |                                            |
| number of sources,      |                                            |
| negotiations will be    |                                            |
| conducted with the      |                                            |
| indicated proposed      |                                            |
| supplier(s):            |                                            |
+-------------------------+--------------------------------------------+
| 1\. DESCRIPTION OF      |                                            |
| SUPPLIES OR SERVICES    |                                            |
|                         |                                            |
| .                       |                                            |
+-------------------------+--------------------------------------------+
| 2\. REQUISITION NO.     | 4\. NAME(S) OF PROPOSED SOURCE(S)          |
+-------------------------+--------------------------------------------+
| 3\. COST ESTIMATE       |                                            |
+-------------------------+--------------------------------------------+

+--------------------------+-----------------+------------+----------+---+
| REQUESTING OFFICE        |                 |            |          |   |
| CERTIFICATION            |                 |            |          |   |
+--------------------------+-----------------+------------+----------+---+
| I certify that the       |                 |            |          |   |
| attached justification   |                 |            |          |   |
| is accurate, and         |                 |            |          |   |
| contains complete data   |                 |            |          |   |
| necessary to support the |                 |            |          |   |
| recommendation for other |                 |            |          |   |
| than full and open       |                 |            |          |   |
| competition.             |                 |            |          |   |
+--------------------------+-----------------+------------+----------+---+
| 5\. REQUESTING OFFICE    | (Signature)     | (Phone     | (Date)   |   |
| REPRESENTATIVE (Name &   |                 | No.)       |          |   |
| Title)                   | Submitted via   |            |          |   |
|                          | email for       |            |          |   |
|                          | approval.       |            |          |   |
+--------------------------+-----------------+------------+----------+---+
| SMALL BUSINESS           |                 |            |          |   |
| CERTIFICATION            |                 |            |          |   |
+--------------------------+-----------------+------------+----------+---+
|                          |                 |            |          |   |
+--------------------------+-----------------+------------+----------+---+
| 6\. SMALL BUSINESS       | (Signature)     | (Phone     | (Date)   |   |
| SPECIALIST (Name &       |                 | No.)       |          |   |
| Title)                   |                 |            |          |   |
+--------------------------+-----------------+------------+----------+---+
| PROCUREMENT OFFICE       |                 |            |          |   |
| CERTIFICATION            |                 |            |          |   |
+--------------------------+-----------------+------------+----------+---+
| **\>** This requirement  |                 |            |          |   |
| will will not provide    |                 |            |          |   |
| for a bridge contract.   |                 |            |          |   |
+--------------------------+-----------------+------------+----------+---+
| I certify that this      |                 |            |          |   |
| submission is accurate,  |                 |            |          |   |
| and that it contains     |                 |            |          |   |
| complete information     |                 |            |          |   |
| necessary to enable      |                 |            |          |   |
| Approving Officials to   |                 |            |          |   |
| make an informed         |                 |            |          |   |
| recommendation for       |                 |            |          |   |
| approval or disapproval. |                 |            |          |   |
+--------------------------+-----------------+------------+----------+---+
| 7\. ASSIGNED CONTRACTING | (Signature)     | (Phone     | (Date)   |   |
| OFFICER (Name)           |                 | No.)       |          |   |
+--------------------------+-----------------+------------+----------+---+

  -----------------------------------------------------------------------
  Before requesting this procurement, state one statutory authority for
  this procurement to be conducted under \"other than full and

  open competition\" procedures. Provide narrative justification
  associated with the respective stated authority in block number 15.

  -----------------------------------------------------------------------

**THE COMPETITION IN CONTRACTING ACT OF 1984 (P.L., 98-369)**

41 USC 253(c)(1) - *Only one responsible source*

\(8\) This authority shall be used in preference to Public Interest
justification. It shall not be used when any of the other circumstances
is applicable. (Explain what makes this contractor the only responsible
source: i.e., Does this proposed contractor have facilities or equipment
that are specialized and vital to the effort? Is the proposed contractor
the only one that can meet critical schedules? Does the proposed
contractor have prior experience of a highly specialized nature vital to
the effort? Why won\'t any other product or service satisfy the need?
Describe market survey and analysis efforts leading to this conclusion.)

41 USC 253(c)(2) *-Unusual and compelling urgency*

\(9\) This authority applies in those situations where (1) an unusual
and compelling urgency precludes full and open competition, and (2)
delay in award of contract would result in serious injury, financial or
other, to the Government. (Explain why 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 it limited the number
of sources. Solicitation from as many potential sources as is
practicable under the circumstances is required.)

41 USC 253(c)(3) *- Industrial mobilization; engineering, developmental,
or research capability; or expert services*

\(10\) This authority applies when it is necessary to award the contract
to a particular source or sources in order (1) 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, or (2) 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 (3) to acquire the services of an
expert for any current or anticipated litigation or dispute. (Does the
proposed contractor have facilities and equipment that are vital in the
event of a national emergency? Is the proposed contract to maintain
properly balanced sources of supply for meeting the requirements of
acquisition of programs in the interest of industrial mobilization? Is
the proposed contract to create or maintain the required domestic
capability for production of critical supplies by limiting competition
to items manufactured in the United States or the United States and
Canada?)

41 US 253(c)(4) *-International agreement*

\(11\) This authority may be used when the acquisition is to be
reimbursed by a foreign country that requires the product to be obtained
from a particular firm as specified in official written direction such
as a Letter of Offer and Acceptance; or, when services are to be
performed, or supplies are to be used in the sovereign territory of
another country and the terms of a treaty or agreement specify or limit
the sources to be solicited. (Cite the international agreement or treaty
between the United States and the foreign government or international
organization that precludes full and open competition. Provide the
written-directions of the foreign government reimbursing the agency for
the cost of the acquisition, which precludes full and open competition.)

41 US 253(c)(5) *- Authorized or required by statute*

\(12\) This authority may be used when a statute expressly authorizes
that the acquisition be made through another agency or from a specified
source. (Cite the authority that expressly authorizes that the
acquisition be made through another agency or from a specified source,
and attach a copy of the statute.) Note: While this statutory exception
includes the small disadvantaged business 8(a) set-aside program, a
JOFOC is not required for this type of procurement.

41 USC 253(c)(6) *- National Security*

\(13\) This authority may be used for any acquisition when disclosure of
the Government\'s needs would compromise na­tional security. It shall not
be used merely because the acquisition is classified, or merely because
access to classified matter will be necessary to submit a proposal or to
perform the contract. (Explain why the disclosure of the Govern­ment\'s
needs would compromise the national security or violate security
requirements.)

41 USC 253(c)(7) *- Public Interest*

\(14\) This authority may be used when none of the other authorities
above apply. Individual justification, Secretarial ap­proval, and
Congressional notification 30 days before award of contract are
required.

+-----------------------------------+----------------------------------+
| 15\. JUSTIFICATION (Attach        |                                  |
| additional pages if needed)       |                                  |
+-----------------------------------+----------------------------------+
| (A) DEMONSTRATION THAT THE        |                                  |
|     PROPOSED CONTRACTOR'S UNIQUE  |                                  |
|     QUALIFICATIONS OR THE NATURE  |                                  |
|     OF THE ACQUISITION REQUIRES   |                                  |
|     USE OF THE AUTHORITY CITED.   |                                  |
|                                   |                                  |
| > .                               |                                  |
+-----------------------------------+----------------------------------+
| \(B\) DESCRIBE THE EFFORTS TAKEN  |                                  |
| TO ENSURE OFFERS WERE SOLICITED   |                                  |
| FROM AS MANY POTENTIAL SOURCES AS |                                  |
| IS PRACTICABLE. INCLUDING WHETHER |                                  |
| A COMMERCE BUSINESS DAILY (EPS)   |                                  |
| NOTICE WAS OR WILL BE PUBLISHED   |                                  |
| AS REQUIRED BY SUBPART 5.2 AND,   |                                  |
| IF NOT, WHICH EXCEPTION UNDER     |                                  |
| 5.202 APPLIES.                    |                                  |
+-----------------------------------+----------------------------------+
| \(C\) DEMONSTRATION THAT THE      |                                  |
| ANTICIPATED COST TO THE           |                                  |
| GOVERNMENT WILL BE REASONABLE.    |                                  |
+-----------------------------------+----------------------------------+
| (D) DESCRIBE THE MARKET SURVEY    |                                  |
|     THAT WAS CONDUCTED AND THE    |                                  |
|     RESULTS OF THAT SURVEY, IF    |                                  |
|     ACTIONS WERE TAKEN BY         |                                  |
|     PROCUREMENT PERSONNEL TO      |                                  |
|     SUPPORT THIS REQUIREMENT SUCH |                                  |
|     AS A CBD SOURCES SOUGHT       |                                  |
|     SYNOPSIS, PLEASE SPECIFY.     |                                  |
+-----------------------------------+----------------------------------+
| > \(E\) DESCRIBE ANY OTHER        |                                  |
| > DOCUMENTATION TO SUPPORT THE    |                                  |
| > JOFOC.                          |                                  |
+-----------------------------------+----------------------------------+
| > \(F\) LIST SOURCES, IF ANY,     |                                  |
| > THAT EXPRESSED, IN WRITING, AN  |                                  |
| > INTEREST IN THE ACQUISITION.    |                                  |
|                                   |                                  |
| .                                 |                                  |
+-----------------------------------+----------------------------------+
| 15\. JUSTIFICATION CONTINUED      |                                  |
| (Attach additional pages if       |                                  |
| needed)                           |                                  |
+-----------------------------------+----------------------------------+
| (G). LIST THE ACTIONS THE BUREAU  |                                  |
| WILL TAKE TO PROMOTE COMPETITION  |                                  |
| ON ANY SUBSEQUENT ACQUISITIONS    |                                  |
| FOR SUPPLIES OR SERVICES.         |                                  |
+-----------------------------------+----------------------------------+
| (H) STATEMENT THAT REQUIREMENT    |                                  |
|     DOES NOT RESULT FROM A LACK   |                                  |
|     OF PLANNING OR THE EXPIRATION |                                  |
|     OF FUNDS.                     |                                  |
|                                   |                                  |
| > The requirement does not result |                                  |
| > from a lack of planning or      |                                  |
| > expiration of funds.            |                                  |
+-----------------------------------+----------------------------------+

<table>
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<col style="width: 33%" />
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<tbody>
<tr class="odd">
<td colspan="10">16. COMPETITION REVIEW BOARD RECOMMENDATION
(OPTIONAL)</td>
</tr>
<tr class="even">
<td colspan="4"> APPROVE</td>
<td colspan="5"> DISAPPROVE</td>
<td></td>
</tr>
<tr class="odd">
<td colspan="2">(Name &amp; Title)</td>
<td colspan="4">(Signature)</td>
<td>(Phone No.)</td>
<td colspan="2">(Date)</td>
<td></td>
</tr>
<tr class="even">
<td colspan="2">(Name &amp; Title)</td>
<td colspan="4">(Signature)</td>
<td>(Phone No.)</td>
<td colspan="2">(Date)</td>
<td></td>
</tr>
<tr class="odd">
<td colspan="2">(Name &amp; Title)</td>
<td colspan="4">(Signature)</td>
<td>(Phone No.)</td>
<td colspan="2">(Date)</td>
<td></td>
</tr>
<tr class="even">
<td colspan="9">ADDITIONAL APPROVALS</td>
<td></td>
</tr>
<tr class="odd">
<td></td>
<td colspan="2"><p>17. BUREAU COMPETITION ADVOCATE <em>(Name &amp;
Title)</em></p>
<p>Denise Hofmann</p></td>
<td colspan="2"> APPROVE</td>
<td colspan="3"><em>(Signature)</em></td>
<td><p><em>(Phone No.)</em></p>
<p><em>304-480-8402</em></p></td>
<td></td>
</tr>
<tr class="even">
<td></td>
<td colspan="2">Bureau Competition Advocate</td>
<td colspan="2"> DISAPPROVE</td>
<td colspan="3"></td>
<td><em>(Date)</em></td>
<td></td>
</tr>
<tr class="odd">
<td></td>
<td colspan="2"><p>18. BUREAU HEAD OR SENIOR EXECUTIVE SERVICE</p>
<p>DESIGNEE <em>(Name &amp; Title</em>)</p></td>
<td colspan="2"> APPROVE</td>
<td colspan="3"><em>(Signature)</em></td>
<td><em>(Phone No.)</em></td>
<td></td>
</tr>
<tr class="even">
<td></td>
<td colspan="2"></td>
<td colspan="2"> DISAPPROVE</td>
<td colspan="3"></td>
<td><em>(Date)</em></td>
<td></td>
</tr>
<tr class="odd">
<td></td>
<td colspan="2">19. Senior Procurement Executive <em>(Name &amp;
Title)</em></td>
<td colspan="2"> APPROVE</td>
<td colspan="3"><em>(Signature)</em></td>
<td><em>(Phone No.)</em></td>
<td></td>
</tr>
<tr class="even">
<td></td>
<td colspan="2"></td>
<td colspan="2"> DISAPPROVE</td>
<td colspan="3"></td>
<td><em>(Date)</em></td>
<td></td>
</tr>
<tr class="odd">
<td colspan="9">NOTE: Each review must be preceded by lower level
approval(s), e.g., over $50 million all approvals are required. IN NO
CASE WILL AN INDIVIDUAL SIGN MORE THAN ONE APPROVAL LEVEL.</td>
<td></td>
</tr>
</tbody>
</table>

INSTRUCTIONS FOR COMPLETING FORM

Block No.

5 Requesting Office Representative

6 Small Business Specialist

7 Assigned Contracting Officer

16 Competition Review Board (optional)

17 Bureau Competition Advocate (over \$500,000)

18 Bureau Head or Designee (over \$10 Million)

19 Senior procurement Executive (over \$50 Million)

GUIDANCE ON COMPLETING CERTAIN BLOCKS

3 The cost estimate shall include all options/system life costs (as
applicable).

4 Be sure to include more than one source as a proposed contractor,
unless you are citing 41 USC 253(c)(1). For example, if the procurement
is based on unusual and compelling urgency, you must still solicit from
as many potential sources as is practicable unless the justification for
urgency contains detailed documentation to show that it is not
practicable under the circumstances to solicit additional sources (see
FAR 6.302-2(c)(2)).

GENERAL, CERTIFICATION, AND REVIEW REQUIREMENTS

5 The Requesting Office Representative is responsible for completing
Blocks 1 through 5, checking only one block on Page 2 (Blocks 8 through
14), and completing Block 15. Send the JOFOC, complete with all required
information to support the justification, to the procurement office.

STATUTORY AUTHORITY

8-14 For Information Technology procurements of specific make and model
items, the statutory authority generally will be 41 USC 253(c)(1) only
one responsible source. For all procurements, the specific authority
shall be cited, and the justification on Pages 3 to 5 must be clear and
concise as to how that authority is related to the requested
procurement. [However, in all cases only one statutory authority is to
be used.]{.underline}

JUSTIFICATION

15 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.

\(A\) A demonstration that the proposed contractor's unique
qualifications or the nature of the acquisition requires use of the
authority cited.

\(B\) A description of efforts made to ensure that offers are solicited
from as many potential sources as is practicable, including whether a
CBD notice was or will be publicized as required by FAR Subpart 5.2 and,
if not, which exception under FAR 5.202 applies.

\(C\) A determination by the Contracting Officer that the anticipated
cost to the Government will be fair and reasonable.

\(D\) A description of the market research conducted (see FAR Part 10)
and the results or a statement of the reason market research was not
conducted.

\(E\) 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 FAR 6.302-1 is cited for a follow-0n acquisition as
described in FAR 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 FAR 6.302-2 is cited, data, estimated cost, or other
rationale as to the extent and nature of the harm to the Government.

\(F\) A listing of the sources, if any, that expressed, in writing, an
interest in the acquisition.

\(G\) A statement of the actions, if any, the agency will take to remove
or overcome any barriers to compete before any subsequent acquisition
for the supplies or services is required.

\(H\) A statement that the requirement does not result from a lack of
planning or the expiration of funds.

OTHER APPROVAL REQUIREMENTS

16-19 If any person required to sign in these blocks does not approve,
the procurement shall not proceed any further and the JOFOC shall be
returned to the requisitioner with a written determination as to why the
JOFOC was not approved. When appropriate, an informational copy of this
determination is to be forwarded to the Contracting Officer and Bureau
Competition Advocate. All signatures required on the form (as applicable
to the particular procurement) must appear in order for the procurement
to be valid.

NOTE: ANY SIGNIFICANT CHANGE TO THE REQUIREMENTS OR COST ESTIMATE MUST
BE APPROVED BY ALL REVIEWERS (THIS CAN BE ACCOMPLISHED BY HAVING EACH
PERSON INITIAL AND DATE NEXT TO HIS/HER SIGNATURE, OR BY SEPARATE
MEMORANDUM/ADDENDUM).

DISTRIBUTION:

ORIGINAL - CONTRACT FILE

COPY - BUREAU COMPETITION ADVOCATE.