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Procurement Notice

National Aeronautics and

Space Administration

Washington, DC 20546

**PN 04-28**

**August 30, 2007**

**DEBARMENT AND SUSPENSION RESPONSIBILITIES**

***BACKGROUND*:** The NASA FAR Supplement (NFS) currently designates the
Assistant Administrator for Procurement as the NASA debarring and
suspending official. These responsibilities have been assumed by the
Deputy Administrator. This PN revises the NFS to --

1\. Delete the designation of the Assistant Administrator for
Procurement as the NASA debarring and suspending official; and

2\. Define the roles of the Chief Acquisition Officer and the recently
created Headquarters Acquisition Integrity Program in the suspension and
debarment processes.

***ACQUISITIONS AFFECTED BY CHANGES*:** None.

***ACTIONS REQUIRED BY CONTRACTING OFFICERS***: Provide copies of
information regarding potential suspension or debarment to the Director
of the Headquarters Acquisition Integrity Program, with a copy to the
Office of Procurement Operations Division, as described in the enclosed
change pages.

***CLAUSE CHANGES*:** None.

***PARTS AFFECTED*:** Part 1809.

***REPLACEMENT PAGES*:** You may use the enclosed pages to replace Part
1809 of the NFS.

***TYPE OF RULE AND PUBLICATION DATE***: These changes do not have a
significant effect beyond the internal operating procedures of NASA and
do not have a significant cost or administrative impact on contractors
or offerors, and therefore do not require codification in the Code of
Federal Regulations (CFR) or publication for public comment.

***HEADQUARTERS CONTACT***: Tom O'Toole, Contract Management Division,
202-358-0478, email: thomas.otoole@nasa.gov.

Sheryl Goddard

Acting Administrator for Procurement

Enclosures

**DISTRIBUTION:**

**PN List**

PART 1809

**CONTRACTOR QUALIFICATIONS**

# TABLE OF CONTENTS

**SUBPART 1809.1 RESPONSIBLE PROSPECTIVE** **CONTRACTORS**

1809.104-4 Subcontract responsibility.

1809.106 Preaward surveys.

1809.106-1 Conditions for preaward surveys.

1809.106-2 Requests for preaward surveys.

1809.106-3 Interagency preaward surveys.

1809.106-70 Preaward surveys performed by NASA installations.

**SUBPART 1809.2 QUALIFICATIONS REQUIREMENTS**

1809.200 Scope of subpart.

1809.202 Policy.

1809.203 QPL\'s, QML\'s, and QBL\'s.

1809.203-70 General.

1809.203-71 Waiver of qualification requirements.

1809.206 Acquisitions subject to qualification requirements.

1809.206-1 General.

1809.206-70 Small businesses.

1809.206-71 Contract clause.

**SUBPART 1809.4 DEBARMENT, SUSPENSION,** **AND INELIGIBILITY**

1809.404 Excluded Parties List System.

1809.405 Effect of listing.

1809.405-1 Continuation of current contracts.

1809.405-2 Restrictions on subcontracting.

1809.406 Debarment.

1809.406-3 Procedures.

1809.407 Suspension.

1809.407-3 Procedures.

1809.408 Certification regarding debarment, suspension, proposed
debarment,

and other responsibility matters.

1809.470 Reporting of suspected evasive actions and causes for
debarment 

or suspension.

1809.470-1 Situations requiring reports.

1809.470-2 Contents of reports.

**SUBPART 1809.5 ORGANIZATIONAL AND CONSULTANT CONFLICTS**

**OF INTEREST**

1809.500 Scope of subpart.

1809.503 Waiver.

1809.505-4 Obtaining access to sensitive information.

1809.506 Procedures.

1809.507 Solicitation provisions and contract clause.

1809.507-2 Contract clause.

**SUBPART 1809.6 CONTRACTOR TEAM ARRANGEMENTS**

1809.670 Contract clause.

**PART 1809**

**CONTRACTOR QUALIFICATIONS**

**Subpart** **1809.1\--Responsible Prospective Contractors**

**1809.104-4 Subcontractor responsibility.**

Generally, the Canadian Commercial Corporation\'s (CCC) proposal of a
firm as its subcontractor is sufficient basis for an affirmative
determination of responsibility. However, when the CCC determination of
responsibility is not consistent with other information available to the
contracting office, the contracting officer shall request from the CCC
and any other sources whatever information is necessary to make the
responsibility determination. Upon request, CCC shall be furnished the
rationale for any subsequent determination of nonresponsibility.

**1809.106 Preaward surveys**.

**1809.106-1 Conditions** **for** **preaward** **surveys.**

(a)**(i)** Preaward surveys are used only to assist the contracting
officer to make determinations of responsibility under FAR 9.104. They
are not to be used to obtain information useful to proposal evaluation
that does not directly relate to the responsibility determination.
Accordingly, preaward surveys shall not be used except in rare
circumstances when determination of responsibility cannot be made
without the specific information that can be provided only in a preaward
survey report and only after all other means of obtaining the required
information have been explored.

**(ii)** Surveys shall not be performed for companies of any size
performing study or research contracts.

**(iii)** The procurement officer shall approve all preaward survey
requests.

**1809.106-2 Requests for preaward surveys.**

\(a\) The \"Walsh-Healey Public Contracts Act\" block of Section I is
for information purposes only. If information is needed for a
determination on the offeror\'s eligibility under the Walsh-Healey Act,
it must be specifically requested in block 20.H. of Section III.

**1809.106-3 Interagency preaward surveys.**

If the survey will be performed for NASA by a DOD agency, the SF 1403
request is to be sent to the appropriate office shown in the DOD
Directory of Contract Administration Services Components, DLAH 4105.4,
Attn: Preaward Survey Monitor. DOD normally allows seven working days in
which to conduct a full survey and submit the report to the requesting
agency.

**1809.106-70 Preaward surveys performed by NASA installations.**

In discussions with representatives of the company being surveyed, NASA
preaward survey team members shall not refer to or comment on the
possibility of award to the prospective contractor. This does not
preclude discussion with a prospective contractor of questionable areas
that require clarification. Information obtained during the survey will
be treated in strict confidence and divulged only to those Government
representatives having a need to know.

**Subpart** **1809.2\--Qualifications Requirements**

**1809.200 Scope** **of** **subpart.**

This subpart prescribes policies and procedures to be followed in the
use of qualified products lists for acquisition of parts consistent with
the policies of NASA Policy Directive 8730.2, NASA Parts Policy.

**1809.202 Policy.**

\(a\) Authority regarding agency head actions under FAR 9.202(a) is
delegated to the cognizant technical activity, with approval by the
installation\'s competition advocate.

\(e\) The approval authority of FAR 9.202(e) is delegated to the
installation\'s competition advocate. Requests shall be prepared by the
cognizant requirements office and submitted via the procurement officer.

**1809.203 QPL\'s, QML\'s and QBL\'s.**

**1809.203-70 General.**

\(a\) The Deputy Associate Administrator for the Office of Safety and
Mission Assurance (Code Q), is responsible for justifying, determining,
and approving NASA\'s need for inclusion and continued use of
qualification requirements in specifications under the NASA EEE Parts
and Advanced Interconnect Program.

**1809.203-71 Waiver** **of** **qualification** **requirements.**

When acquiring a product under a specification that includes
qualification requirements either for the end item or for components of
the end item, the NASA installation conducting the acquisition can waive
the qualification requirements. Directing a waiver of the end item
qualification requirement constitutes adequate authorization for waiver
of product qualification requirements. When a waiver has been granted,
the solicitation shall specifically indicate that the qualification
requirement is inapplicable. Such information shall also be included in
any synopsis of the acquisition (see FAR Subpart 5.2).

**1809.206  Acquisitions subject to qualification requirements.**

**1809.206-1 General.**

(b)**(i)** The authority to determine that an emergency exists is
delegated to the installation\'s competition advocate. Requests for
determination shall be prepared by the cognizant requirements office and
submitted through the procurement officer.

**(ii)** Requests not to enforce a qualification requirement in a
nonemergency situation shall be prepared by the cognizant requirements
office and approved by the Headquarters Office of Safety and Mission
Assurance (Code Q).

\(c\) If an offeror seeks to demonstrate its capability, both the
product and the producer must meet the established standards.

**1809.206-70**  **Small** **businesses.**

If a small business otherwise eligible for award has been placed in a
special status on a Qualified Products List (Mil-Bul-103) or the
Qualified Manufacturers List (QML-38510) established as a part of the
NASA Microelectronics Reliability Program and the contracting officer
determines that the small business does not appear to have the capacity
to perform, the certificate of competency procedures in FAR Subpart 19.6
are applicable.

**1809.206-71 Contract** **clause.**

When qualified products (end items or components of end items) are being
procured, the contracting officer shall insert the clause at
1852.209-70, Product Removal from Qualified Products List, in the
solicitation and in the resulting contract.

**Subpart** **1809.4\--Debarment, Suspension, and Ineligibility**

**1809.404** Excluded Parties List Systems.

\(c\) The Chief Acquisition Officer is responsible for taking the
actions listed in FAR 9.404(c).

**1809.405 Effect** **of** **listing.**

\(a\) The Chief Acquisition Officer is the NASA official responsible for
making the determination in FAR 9.405(a). If it is believed that a new
contract or subcontract must be awarded to a firm included in the
Excluded Parties List System, the procurement officer shall prepare a
request for a determination with all necessary supporting information
and forward it to the Director, Headquarters Acquisition Integrity
Program, with a copy to the Office of Procurement (Program Operations
Division) for approval.

**1809.405-1** **Continuation** **of** **current** **contracts.**

(c) Approval of contract renewals or extensions shall be requested in
    accordance with 1809.405.

**1809.405-2 Restrictions on subcontracting.**

\(a\) Approval of consent to subcontract shall be requested in
accordance with 1809.405.

**1809.406 Debarment.**

**1809.406-3 Procedures.**

\(a\) The report required by FAR 9.406-3(a) shall be prepared in
accordance with 1809.470.

**1809.407 Suspension.**

**1809.407-3**  **Procedures.**

\(a\) Reports shall be prepared in accordance with 1809.470.

**1809.408 Certification regarding debarment, suspension, proposed
debarment, and other responsibility matters.**

(a)(2)**(A)** If the offeror indicates that it has been indicted,
charged, convicted, or had a civil judgment rendered against it, the
contracting officer shall immediately notify the Director, Headquarters
Acquisition Integrity Program, with a copy to the Office of Procurement
(Program Operations Division), providing details as known, and shall
await a response before awarding the contract.

**(B)** If the offeror discloses information that indicates a need for a
debarment or suspension determination, the contracting officer shall
report the facts to the Director, Headquarters Acquisition Integrity
Program, with a copy to the Office of Procurement (Program Operations
Division), in accordance with 1809.470.

**1809.470 Reporting of suspected evasive** **actions and causes for
debarment or** **suspension.**

**1809.470-1 Situations requiring reports.**

A report incorporating the information required by 1809.470-2 of this
section shall be forwarded by the procurement officer to the Director,
Headquarters Acquisition Integrity Program, with a copy to the Office of
Procurement (Program Operations Division), when a contractor \--

\(a\) Has committed, or is suspected of having committed, any of the
acts described in FAR 9.406-2 and 9.407-2; or

\(b\) Is suspected of attempting to evade the prohibitions of a
debarment or suspension imposed under the FAR by changes of address,
multiple addresses, formation of new companies, or other devices.

**1809.470-2 Contents** **of** **reports.**

Each report shall be coordinated with local counsel and shall include
substantially the following information, if available:

\(a\) Name and address of the contractor.

\(b\) Names of the principal officers, partners, owners, or managers.

\(c\) All known affiliates, subsidiaries, or parent firms, and the
nature of the affiliation.

\(d\) A description of the contract or contracts concerned, including
the contract number and office identifying numbers or symbols, the
amount of each contract, the amounts paid the contractor and still due,
and the percentage of work completed and to be completed.

\(e\) The status of vouchers.

\(f\) Whether the contract has been assigned pursuant to the Assignment
of Claims Act, and, if so, the name and address of the assignee and a
copy of the assignment.

\(g\) Whether any other contracts are outstanding with the contractor or
any affiliates, and, if so, their amount, whether they are assigned
pursuant to the Assignment of Claims Act, and the amounts paid or due on
them.

\(h\) A complete summary of all pertinent evidence. If a request for
debarment or suspension is based on an indictment or a conviction,
provide the evidence upon which the indictment or conviction is based.

\(i\) An estimate of any damages, sustained by the Government as a
result of the contractor\'s action, including an explanation of the
method used in making the estimate.

\(j\) Recommendation as to (1) whether the contractor should be
suspended or debarred, (2) whether any limitations should be applied to
such action, (3) whether current contracts should be terminated, and (4)
the period of any debarment.

\(k\) As an enclosure, a copy of the contract(s) or pertinent excerpts,
appropriate exhibits, testimony or statements of witnesses, copies of
assignments, and other relevant documentation.

## Subpart 1809.5\--Organizational and Consultant Conflicts of Interest

**1809.500 Scope** **of** **subpart.**

The Assistant Administrator for Procurement has authorized the
procurement officer to take those actions reserved in FAR Subpart 9.5
for the head of the contracting activity. However, see 1809.503
regarding waivers.

**1809.503**  **Waiver.**

The Administrator has designated the Assistant Administrator for
Procurement as the approval authority for waivers under FAR 9.503. The
procurement officer shall forward requests for waivers under FAR 9.503
to the Assistant Administrator for Procurement (Code HS) for action.

**1809.505-4 Obtaining access to sensitive information.**

\(b\) In accordance with FAR 9.503, the Assistant Administrator for
Procurement has determined that it would not be in the Government's
interests for NASA to comply strictly with FAR 9.505-4(b) when acquiring
services to support management activities and administrative functions.
The Assistant Administrator for Procurement has, therefore, waived the
requirement that before gaining access to other companies' proprietary
or sensitive (see 1837.203-70) information contractors must enter
specific agreements with each of those other companies to protect their
information from unauthorized use or disclosure. Accordingly, NASA will
not require contractors and subcontractors and their employees in
procurements that support management activities and administrative
functions to enter into separate, interrelated third party agreements to
protect sensitive information from unauthorized use or disclosure. As an
alternative to numerous, separate third party agreements, 1837.203-70
prescribes detailed policy and procedures to protect contractors from
unauthorized use or disclosure of their sensitive information. Nothing
in this section waives the requirements of FAR 37.204 and 1837.204.

**1809.506 Procedures.**

\(b\) The approving official is the procurement officer when the
installation has source selection authority and the Assistant
Administrator for Procurement (Code HS) when NASA Headquarters has that
authority.

**1809.507 Solicitation** **provisions** **and** **contract**
**clause.**

**1809.507-2 Contract** **clause.**

The contracting officer may insert a clause substantially the same as
the clause at 1852.209-71, Limitation of Future Contracting, in
solicitations and contracts.

**Subpart** **1809.6\--Contractor Team Arrangements**

**1809.670 Contract clause.**

The contracting officer shall insert the clause at 1852.209-72,
Composition of the Contractor, in all construction invitations for bids
and resulting contracts. The clause may be used in other

solicitations and contracts to clarify a contractor team arrangement
where the prime contractor consists of more than one legal entity, such
as a joint venture.