SUBPART 9.1 – RESPONSIBLE PROSPECTIVE

CONTRACTORS

(Revised August 30,, 2022 in accordance with DEVIATION 22-03)

Parent topic: PART 9 – CONTRACTOR QUALIFICATIONS

9.100 Scope of subpart.

The Defense Contractor Review List (DCRL) is an enterprise-wide tool for use by contracting officers

to identify and communicate contractor performance, capability, and integrity issues for making

determinations of responsibility and the effective administration of contracts. The DCRL has Special

Attention Reason Codes that describe the basis for being on the list and Treatment Codes that

provide recommended actions to contracting officers for mitigating risk. The DCRL includes

contractors identified in SAM as debarred, suspended, proposed for debarment, or otherwise

ineligible for award. SAM data takes precedence over DCRL data.

9.100-90 Business Decision Analytics (BDA) dashboard.

(a) The BDA dashboard is a decision support capability tool. It is available for use on an optional

basis by contracting officers, acquisition specialists, product specialists, fraud counsel, and other

personnel involved in the acquisition process. It identifies potential item, price, and supplier risk

areas prior to award and recommends mitigation strategies to minimize these risks. It consolidates

data from multiple sources (e.g., DUN and Bradstreet, Supplier Performance Risk System SPRS

(formally PPIRS-SR NG), SAM, etc.) into one dashboard.

(b) Using the BDA dashboard does not reduce the contracting officer’s authorities or responsibilities.

For example, contracting officers shall not (1) use BDA data as the sole basis for making

determinations of responsibility or price reasonableness; or (2) use supplier risk data in place of the

SPRS Delivery Score and Quality Classification. When evaluating acquisition risk, contracting

officers should consider using the BDA dashboard as an additional source of information to help

mitigate risks of suspect suppliers, potential overpayment, and procuring counterfeit and/or nonconforming spare parts. In the event of any data inconsistencies, the originating data source takes

precedence over BDA data.

(c) Conditions when contracting officers should consider using the BDA dashboard include, but are

not limited to—

(1) First time buys;

(2) Long time between procurements;

(3) Critical items;

(4) First article;

(5) Cases when prices have drastically increased;
(6) New suppliers; and/or

(7) Suspect suppliers.

(d) Contracting officers shall notify Office of Counsel (Procurement Fraud) and the DCRL Monitor of

any suspect product or supplier activity for possible inclusion on the DCRL.

(e) Contracting officers shall document the contract file in Records Management.

9.104 Standards.

9.104-2 Special Standards.

Coordinate with the Food and Drug Administration (FDA) when developing special standards for

drugs, biologics, and other medical supplies.

9.105 Procedures.

9.105-1 Obtaining information.

(S-90) When making determinations of responsibility, review the DCRL and comply with DCRL

Special Attention Treatment Codes in Enterprise Central Component (SAP-ECC) and Supplier

Relationship Management (SAP SRM/E Procurement).

(1) For the automated simplified purchasing process, the system checks the DCRL. An offeror

debarred or suspended is deemed not qualified for award and not considered in automated

evaluation. Low evaluated offers from offerors on the DCRL (for other than debarred and suspended)

are rejected from the automated system for manual determination of responsibility.

(2) Contractors on the DCRL shall be considered for solicitation (except when the Special Attention

Reason Code is “A” or the Special Attention Treatment Code is “08”).

(3) When the DCRL Special Attention Treatment Code description states “review Contractor

Performance History,” request a Contractor Performance History.

(4) Confirm the information in SAM not more than four business days prior to award and document

the contract file; except that contracting officers at DLA Maritime at Mechanicsburg, DLA Aviation

Philadelphia DLR, DLA Land Warren, DLA Land at Aberdeen, and DLA Maritime at Norfolk Naval

Shipyard have authority to confirm information in SAM not more than seven business days prior to

releasing award in the Integrated Technical, Item Management and Procurement (ITIMP) contractwriting system in accordance with permanent DEVIATION 22-03.

(S-91) DCRL Monitors.
(1) Each Procurement Process Support Director shall designate a DCRL monitor. Referrals to the

DCRL Monitor shall be for any of the reasons identified in the DCRL Special Attention Reason Code

table below.

(2) DCRL Monitors shall review referrals for approval and execution of submission to add, amend, or

remove a contractor to/from the DCRL in coordination with all DCRL Monitors. DCRL Monitors are

responsible for maintaining the DCRL for their procuring organization and shall review the DCRL

every month for currency.

(3) Contracting officers, product specialists or the Office of Counsel shall provide notification of

contractor improvement and recommendation for DCRL removal to their DCRL Monitor if they

become aware of circumstances that may warrant changes to the DCRL information.

(i) The contracting officer may discuss performance information included in the DCRL with

prospective contractor(s). However, contracting officers must not discuss any information related to

ongoing investigations of matters that potentially could result in Civil or Criminal False Claims Act

litigation, or a suspension, notice of proposed debarment, or debarment action. “Investigations”

would include those conducted by the Defense Criminal Investigation Service, the respective

Military Services Investigation Agencies; the Federal Bureau of Investigation and any other Federal

Investigative Agency. contracting officers should consult with their Office of Counsel’s Procurement

Fraud Attorney if they have any doubt whether the release of information could potentially

compromise the Government’s ability to conduct a confidential investigation.

(S-92) The DCRL Review Board. The DCRL Review Board is responsible for reviewing actions of the

DCRL Monitors and ensuring the contractor listing is accurate and current.

(1) Membership consists of all DCRL Monitors, Fraud Counsel, DLA Logistics Operations Technical

and Quality Division, and the DLA Acquisition Compliance, Policy and Pricing Division. The DLA

Acquisition Programs Division will chair the board meetings. The Board shall–

(i) Meet quarterly.

(ii) Review the list of the current authorized DCRL contractor entries.

(iii) Resolve any concerns or questions pertaining to the DCRL purpose and processes for entry or

removal of a contractor from the DCRL.

(iv) Publish and provide minutes from meetings to the DLA Acquisition Director and the HCAs not

later than ten business days after the DCRL Review Board meeting.

(2) Contractors shall be removed from the DCRL when—

(i) The conditions that warranted their inclusion on the DCRL no longer exist or have substantially

improved; and/or

(ii) The DCRL Monitor determines that information provided by acquisition personnel is not

sufficient to justify retention of the contractor on the DCRL.

(S-93) The DCRL Special Attention Reason Codes and Treatment Codes.

(1) Recommendations/instructions are cited for each supplier/CAGE code listed and are to provide

visibility of known/potential areas of concern and actions that shall be taken to address such issues.

When a preaward survey (PAS) (see 9.106-2) results in a negative DCRL recommendation for a small
business who is the apparent successful offeror resulting in a negative responsibility determination,

then an SBA Certificate of Competency is required. The only instances of “do not award” involve

cases of debarment, suspension, and proposed debarment except as otherwise directed by the Fraud

Monitor or Business Integrity (Fraud) Counsel.

(2) Special Attention Reason Codes. For DCRL Special Attention Reason Code A, the EProcurement

“Debarment Status” field will be coded as: “D” for Debarment, a “P” for proposed

debarment/suspension, or “S” for suspended.

DCRL

Special

Attention

Reason

Codes

Description Help Text

A

Suspended or

Debarred

Debarred, Suspended or Otherwise Ineligible

This category includes firms or individuals that are

ineligible for federal procurements due to a suspension,

proposal for debarment or debarment pursuant to FAR

9.4.

B

Recommended for

Debarment

Recommended For Debarment or Suspension.

This category includes contractors that have been

recommended for debarment or suspension. Although

these contractors are not ineligible for award, follow

the treatment code.

C

Responsibility

Matters

Certification Regarding Responsibility Matters. This

category includes contractors that have certified in

accordance with FAR 52.209-5 that they have had a

criminal conviction or civil judgment for fraud in the

past three years or are currently indicted or otherwise

criminally or civilly charged with fraud.

D

Termination for

Default

Termination for Default. Contractors in this category

have been terminated for default within the previous

twelve months.

E

Financial

Difficulties

Financial Difficulties (Including Chapter 11

Bankruptcy). Contractors are included in this category

when information is received from DCMA or other

sources that indicates the contractor is having financial

difficulties. Such difficulties include contractor

indebtedness that may jeopardize timely completion of

the contract or contractor application for

reorganization under bankruptcy laws (Chapter 11).

Information may include formal bankruptcy

notifications, or information informally obtained from

credible sources.
DCRL

Special

Attention

Reason

Codes

Description Help Text

F

Chapter 7

Bankruptcy

Business Closings (Including Chapter 7 Bankruptcy).

This category includes contractors and individuals who

have ceased business operations, are in the process of

liquidating under bankruptcy laws (Chapter 7), or are

otherwise going out of business.

G

Negative Preaward

Survey

Negative Preaward Survey. Contractors are included in

this category when a preaward survey (PAS) that

recommends no award has been received within the

last twelve months.

H

DCMA Imposed

Corrective Action

DCMA Has Imposed Corrective Action. Contractors are

included in this category when DCMA has found

deficiencies in the contractors' quality system and has

imposed a Corrective Action (CAR) Level III or IV

Review.

I

In DCMA Delivery

Schedule Manager

DCMA Delivery Schedule Manager. DCMA has relevant

information concerning contractors in this category.

J

Delinquent

Performance

Delinquent Performance. This category includes

contractors that have exhibited a pattern of

delinquencies.

K

“Buy-Ins” or “Bid

Shopping”

"Buy-ins" and "Bid Shopping." This category includes

contractors that have had excessive cancellations, price

increases and requests for modification after award.

These practices indicate a "buy-in", "bid shopping", or

other unacceptable bidding practices. This code applies

to contractors that: (1) "Bid shop after award" that

result in frequent inability to furnish supplies in

accordance with the quotation that led to the award.

(2) Submit frequent requests for deviations or waivers,

clarification, and substitution of part numbers, most of

which lacks substance but prevents compliance with

the original delivery date. (3) Frequently return

purchase orders for price increase. (4) Frequently

notify the contracting activity that it will not perform

under purchase orders just prior to due date in an

apparent effort to reduce its delinquency rate. (5)

Frequently fail to accept bilateral or perform unilateral

purchase orders.
DCRL

Special

Attention

Reason

Codes

Description Help Text

L

Pricing

Discrepancies

Pricing Discrepancies (Excessive prices). Contractors

are in this category when information indicates prices

may not be fair and reasonable.

M

Fast Pay

Discrepancies

Fast Pay Discrepancies/Abuse Contractors are included

in this category when there is evidence that a

contractor is violating or has violated the Fast Pay

procedure (e.g., contractor has invoiced the

Government without shipping the supplies).

N

Potentially

Defective Material

Potentially Defective Material. Any DoD component has

issued notifications regarding potentially defective

material supplied by contracts in this category.

O

Counterfeit

Material and

Unauthorized

Substitution

DO NOT

DISCUSS

Counterfeit Material and Unauthorized Product

Substitution. Contractors in this category are under

surveillance by the Counterfeit Material/Unauthorized

Product Substitution (CM/UPS) Team.

DO NOT DISCUSS

P

Nonconforming

Supplies

DO NOT

DISCUSS

Nonconforming Supplies. This category includes

contractors for which evidence has been provided that

a contractor has supplied nonconforming material, has

supplied surplus material without quoting surplus

material, has supplied foreign material without

identifying country of origin, or has other questionable

quality practices.

DO NOT DISCUSS

Q

Failure to Provide

Approved Part

Failure to Provide Approved Part. This category

includes contractors that have a pattern of supplying

unapproved parts or making an unauthorized

substitution for CAGE code/part numbered items.

R Miscellaneous

Miscellaneous (Other Information). This category

serves as an informational category providing

contracting personnel with current status of

administrative changes, business closings, transfer of

ownership, change of location, change of CAGE code,

multiple contractors at the same location or any other

information that may assist in the decision process. See

the "Remarks" section of the DCRL for instructions.
DCRL

Special

Attention

Reason

Codes

Description Help Text

S

Sensitive

Information

DO NOT

DISCUSS

Sensitive Information. Specific instructions apply to

contractors listed in this category. These instructions

are not necessarily related to responsibility and the

reason for placement in this category shall not be

stated in the DCRL due to sensitivity. The "Remarks"

section of the DCRL may contain a point of contact for

information regarding these contractors. Sensitive

information regarding these contractors shall not be

disclosed to unauthorized persons.

DO NOT DISCUSS

T NIST SP 800-171

Contractors in this category have failed to upload a

NIST SP 800-171 basic self-assessment score in the

Supplier Performance Risk System (SPRS) in

accordance with DFARS clause 252.204–7012,

Safeguarding Covered Defense Information and Cyber

Incident Reporting, DFARS Provision 252.204-7019,

Notice of NIST SP 800-171 DoD Assessment

Requirements, and DFARS Clause 252.204-7020, NIST

SP 800-171 DoD Assessment Requirements.

V

Suspected Fraud

or Collusion

Suspected Fraud or Collusion/Deceptive Business

Practices.

W

Combined CAGE

Codes

DO NOT

DISCUSS

Combined CAGE Codes. Performance history for two or

more CAGE codes have been combined for PPIRS

purposes.

DO NOT DISCUSS

(3) Special Attention Treatment codes.

DCRL

Special

Attention

Treatment

Codes

Description Help Text

01 Reserved Reserved

02 Evidence of PID MFR

Part Number

For Part Numbered items, get evidence item

was acquired from Manufacturer (MFR) cited in

the Product Item Description (PID).
DCRL

Special

Attention

Treatment

Codes

Description Help Text

03 Traceability

requirements

For FSGs/FSCs/NSNs requiring additional risk

mitigation and the offeror is not identified as an

approved source, require the offeror to submit

traceability documentation.

04 Withhold Fast Pay

Recommended. Withholding of Fast Pay recommended.

05

Recom PAS > SAT/

Verbal PAS or Vendor

Capability Questionnaire

(VCQ) < SAT.

Recommend Preaward Surveys for large

buys/verbal preaward surveys and/or VCQ for

simplified buys.

06 Fraud Monitor

Coordination Required.

Forward any proposed awards through Fraud

Monitor.

07 Source Inspection

Recommended.

Source Inspection recommended (use of source

inspection evaluation factor authorized after

formal notification to contractor).

08 Do not solicit or award. Do not solicit or award.

09 Review Contractor

Performance History. Review Contractor Performance History (CPH).

10 Report Suspect Material

to Fraud Monitor.

Report suspected material problems to

Business Integrity (Fraud) Counsel.

11 Coordinate with DCMA. Coordinate with DCMA.

12

Corrective Action Report

Level IV approval

required.

CAR Level IV, approval required for award.

13 Bilateral Award Email to

Fraud Monitor.

Bilateral Award – email contractor’s name and

CAGE, contract/purchase order no., and NSN to

Fraud Monitor.
DCRL

Special

Attention

Treatment

Codes

Description Help Text

14 Coordinate Mods with

Fraud Monitor.

Post award – Coordinate all administrative

actions (modifications) with Fraud Monitor or

Fraud Counsel.

15 Deter Resp/Nonresp

required.

Prepare formal determination of

responsibility/nonresponsibility.

16 CAGE Combined for

SPRS Info.

This CAGE Code has been combined with other

CAGE codes for SPRS purposes (For

Informational Purposes Only).

17 Coordinate Cost and

Price Office Coordinate with Cost and Price Office

18 Report to Fraud

Counsel. Report to Business Integrity (Fraud) Counsel.

19 Coordinate with Office

of Counsel. Coordinate with Office of Counsel.

20 Refer to DCRL Narrative

Detail. Refer to DCRL Narrative for details.

26 Recommend price

reasonableness.

Recommend documentation of price

reasonableness.

27 Suspend automated

awards.

Suspend from automated systems (case by case

basis).

(S-94) Other Risk Indicators: Obtain additional information to make responsibility/nonresponsibility

determination.

(1) Supplier Risk Indicators:

(i) No DLA history (new vendor);

(ii) Poor SPRS Score or no SPRS Score;

(iii) Poor Delivery Performance;

(iv) Poor Quality Performance (excessive PQDRs/SDRs);
(v) Negative Preaward Survey (PAS) within 12 months;

(vi) History of fraud or collusion;

(vii) History of providing non-conforming, defective products, or counterfeit items;

(viii) Terminated for Default for the same FSC/NIIN within 3 years;

(ix) Bankruptcy within last 3 years;

(x) DCMA Corrective Action Requests (CAR);

(xi) The offeror is on the SAM Excluded Parties List System (EPLS) within the last 3 years;

(xii) The offeror is currently showing signs of financial distress, or has a history of delinquent

payments and /or financial difficulty;

(xiii) Manufacturer’s CAGE identified in offer differs from CAGE code of the approved manufacturing

source in solicitation;

(xiv) The offeror is reluctant or unable to provide traceability documentation;

(xv) The offeror’s phone number, address, e-mail, or other vital information is missing, invalid, or

suspicious;

(xvi) The offeror is a dealer but identifies itself as the manufacturer; and/or

(xvii) The offeror is a manufacturer, but its place of business is in a residential neighborhood.

(2) Price Risk Indicators:

(i) The price offered is lower than price of approved source or its authorized distributor;

(ii) The price offered is out of line with other offers or past pricing history; and/or

(iii) The price offered for new product is lower than price offered for surplus material.

(3) High Risk Item with technical data package (TDP) and no record of successful performance in the

FSC (e.g., critical safety, ALRE, complex TDP, FAT).

(S-95) Consider contract risk mitigation when a contractor can be determined responsible but risk

factors are present.

(1) No Fast Pay.

(2) Bilateral Purchase Order.

(3) Code and Part Number Buy: Request Traceability Preaward and Post-Award.

(4) Specification/Standard/Drawing buy: Require source inspection (if appropriate), no COC, require

PVT.

(5) Super Key Item Drivers with FAT: Split award between proven (waived) and unproven sources.

(6) Request the product specialist to prepare a Quality Assurance Letter of Instruction (QALI) when
additional instructions or guidance are required on source inspection.

(S-96)(1) Business decision analytics (BDA) job aids. The following job aids and training material can

be viewed online:

BDA Item Model Job Aid

BDA Price Model Job Aid

BDA Supplier Model Job Aid

CAGE Compromised Job Aid (General Counsel and other designated users only)

(2) Select the following:

(i) DLA Enterprise Business Portal ( https://pep1.bsm.dla.mil/irj/portal );

(ii) DLA Enterprise Business Portal ( https://pep1.bsm.dla.mil/irj/portal );

(iii) ( EBS Online Help ),( https://dlamil.dps.mil/sites/P1/ebs/Pages/ONLINEHELP.aspx );

(iv) EProcurement (

https://dlamil.dps.mil/sites/InfoOps/Shared%20Documents/Forms/AllItems.aspx?RootFolder=%2Fsit

es%2FInfoOps%2FShared%20Documents%2FEBS%20ONLINE%20HELP%2FePROCUREMENT&Fol

derCTID=0x012000D3D259D71343A94E992AA17310CB0231 );

(v) Business Decision Analytics (BDA) (

https://dlamil.dps.mil/sites/InfoOps/Shared%20Documents/Forms/AllItems.aspx?FolderCTID=0x0120

00D3D259D71343A94E992AA17310CB0231&viewid=bb1b25a6%2D56d8%2D4398%2Dac48%2D5f9

87c946cca&id=%2Fsites%2FInfoOps%2FShared%20Documents%2FEBS%20ONLINE%20HELP%2F

ePROCUREMENT%2FBDA ); and

(iv) BDA Supplier Risk Analysis by CAGE Code Model Job Aid (

https://dlamil.dps.mil/:w:/r/sites/InfoOps/_layouts/15/Doc.aspx?sourcedoc=%7BAA99BEB2-862B-42F

2-A7E5-4DE86099455E%7D&file=BDA%20Supplier%20by%20CAGE%20Job%20Aid%20-

%20Procurement.doc&action=default&mobileredirect=true ).

9.106 Preaward surveys.

9.106-2 Requests for preaward surveys (PAS).

(a) Requests for a formal PAS shall be forwarded to the PAS monitor. Informal PAS may be

requested by telephone or email to the DCMA PAS Manager/Quality Assurance Representative

(QAR). Procuring organizations that use PAS will designate an organizational element to serve as the

focal point for PAS and to be the principal point of contact with PAS monitors at surveying activities.

The focal point will review formal PAS requests for completeness and accuracy before forwarding

these requests to surveying activities. The PAS Monitor shall:

(1) Send the completed report to the contracting officer for placement in Records Management.
(2) Send all formal PAS documentation regarding a company's quality control (if information is

included in the survey results) to the product specialist.