PGI 209.1 -RESPONSIBLE PROSPECTIVE

CONTRACTORS

Parent topic: PGI Part 209 - CONTRACTOR QUALIFICATIONS

PGI 209.105 RESERVED

PGI 209.105-1 Obtaining information.

(1) GSA's System for Award Management (SAM), which is available at https://sam.gov , identifies

entities excluded throughout the U.S. Government (unless otherwise noted) from receiving Federal

contracts or certain subcontracts and from certain types of Federal financial and non-financial

assistance and benefits. The SAM website provides useful documents and online training to assist

with SAM navigation and data entry. User Guides and Demonstration Videos can be found in the

User Help section after clicking the HELP link at the top of the website homepage. The former

Excluded Parties List System (EPLS) information is within the Performance Information functional

area of SAM, and is maintained as “Exclusions” data. Exclusions are located in the Data Access area

of SAM which can be accessed by navigating the following path after logging into the SAM website.

Select Tab – MYSAM, Tab - Data Access, and Tab – Exclusions.

(i) Multiple agencies have the authority to suspend or debar entities from “doing business” with the

Government. There are approximately 71 separate cause and treatment codes under which entities

have been suspended or debarred or excluded. New exclusion records created in SAM will no longer

be identified with cause and treatment codes. Exclusions will be associated with one of four

exclusion types: Preliminarily Ineligible (Proceedings Pending), Ineligible (Proceedings Completed),

Prohibition/Restriction, Voluntary Exclusion. Each cause and treatment code is linked to one

exclusion type.

(ii) The exclusion type advises readers of the nature of the exclusion, debarment, or suspension and

how those listed in the SAM Exclusions should be treated. However, the fact that an entity is listed

in the SAM Exclusions does not necessarily mean the entity is ineligible for contract award. Review

of the exclusion type is crucial in ensuring that listed entities are not deprived of their “liberty

interest” in conducting business with the Government.

(iii) When the Department of Justice Bureau of Justice Assistance debars individuals under 10 U.S.C.

4656, they are placed in the SAM Exclusions under cause and treatment code FF (Reciprocal), which

is now linked to exclusion type, Ineligible (Proceedings Completed). The records for individuals

currently entered into EPLS and listed under this cause and treatment code can be found in the SAM

Exclusions. Records created in EPLS have both a cause and treatment code and an exclusion type

listed.

(2) The contracting officer shall consider the information available in the Supplier Performance Risk

System during the evaluation of quotations and offers received in response to a solicitation and in

the determination of the contractor’s responsibility. In addition, the contracting officer shall

document the contract file regarding any action taken as a result of information obtained from the

Supplier Performance Risk System.
PGI 209.106 Preaward surveys.

PGI 209.106-1 Conditions for preaward surveys.

(a) If a preaward survey is requested, include the rationale in Block 23 of the SF 1403, Preaward

Survey of Prospective Contractor (General).

PGI 209.106-2 Requests for preaward surveys.

(1) The surveying activity is the cognizant contract administration office as listed in the Federal

Directory of Contract Administration Services Components, available at

https://pubapp.dcma.mil/CASD/main.jsp. When information is required as part of the survey on the

adequacy of the contractor's accounting system or its suitability for administration of the proposed

type of contract, the surveying activity will obtain the information from the auditor.

(2) Limited information may be requested by telephone.

(3) The contracting officer may request a formal survey by telephone but must confirm immediately

with SF 1403, Preaward Survey of Prospective Contractor (General). For a formal survey, send

original and three copies of SF 1403, including necessary drawings and specifications.

(i) List additional factors in Item H, Section III of the SF 1403 and explain them in Block 23. For

example—

(A) Information needed to determine a prospective contractor's eligibility under the Walsh-Healey

Public Contracts Act. (Note that the Walsh-Healey Public Contracts Act, Block 12 of Section I, only

indicates what the contractor has represented its classification to be under Walsh-Healey.)

(B) Evaluation of a contractor as a planned producer when the offered item is or may appear on the

Industrial Preparedness Planning List (IPPL). When the preaward survey results in a

recommendation for award, ask the office responsible for industrial preparedness planning to

consider designating the prospective contractor as a planned producer. If the item is already on the

IPPL or the prospective contractor is already a planned producer, note the information in Block 23.

(C) Evaluation of the prospective contractor’s performance against small business subcontracting

plans.

(4) On base level preaward surveys, technical personnel from the requiring installation should

participate when there is concern about the ability of a prospective contractor to perform a base

level service or construction contract.

(5) Allow more time for—

(i) Complex items;

(ii) New or inexperienced DoD contractors; and

(iii) Surveys with time-consuming requirements, e.g., secondary survey, accounting system review,

financial capability analysis, or purchasing office participation.
(6) Only request those factors essential to the determination of responsibility. See DFARS

253.209-1(a) for an explanation of the factors in Section III, Blocks 19 and 20 of the SF 1403.

PGI 209.170 Reserved.

PGI 209.170-3 Waiver of restriction.

For information on the roles of requiring activities and the Confucius Institute Waiver Program in

the waiver process, see the Confucius Institute Waiver Program Guidance to U.S. Institutions of

Higher Education, issued by the Office of the Under Secretary of Defense (Research and

Engineering), Confucius Institute Waiver Program and available at

https://rt.cto.mil/wp-content/uploads/Confucius-Institute-Waiver-Program-Guidance-28Mar2023.pdf .