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USACE ACQUISITION INSTRUCTION (UAI)TABLE OF CONTENTSPART 1 – FEDERAL ACQUISITION REGULATION SYSTEMSUBPART 1.1 – PURPOSE, AUTHORITY, ISSUANCE1.101-100 Purpose.1.103-100 Authority.1.104-100 Applicability.1.105-2-100 Arrangement of Regulations.1.170-100 Peer Reviews.1111111111SUBPART 1.2 – ADMINISTRATION1.201-100 Maintenance of the UAI. 141.201-101 Interim Changes of the UAI. 14SUBPART 1.4 – DEVIATIONS FROM THE FAR1.402 Policy -----15SUBPART 1.6 – CAREER DEVELOPMENT, CONTRACTING AUTHORITY AND RESPONSIBILITIES1.601(5)-100 Principal Assistant Responsible for Contracting (PARC) Authority –Responsibilities.1.602-1-100 Authority – Administrative Contracting Officer (ACO).1.602-2-100 Responsibilities.1.602-2-90-100 Appointment of Ordering Officers.1.604-100 Appointment of Contracting Officer’s Representative (COR).1515151616SUBPART 1.90 – NON-APPROPRIATED FUNDS (NAF)5101.9002-100 – Contracting Authority. 19PART 2 – DEFINITIONS OF WORDS AND TERMSSUBPART 2.1 – DEFINITIONS2.101-100 Definitions. 20PART 3 — IMPROPER BUSINESS PRACTICES AND PERSONAL CONFLICTS OF INTERESTSUBPART 3.1 – SAFEGUARDS3.104-2-100 General . 21SUBPART 3.2 – CONTRACTOR GRATUITIES TO GOVERNMENT PERSONNEL3.203-100 Reporting Suspected Violations of the Gratuities Clause . 22PART 4 – ADMINISTRATIVE MATTERSSUBPART 4.8 – GOVERNMENT CONTRACT FILES4.802‐100 Contract Files . 23118 March 2013
USACE ACQUISITION INSTRUCTION (UAI)TABLE OF CONTENTSPART 5 – PUBLICIZING CONTRACT ACTIONSSUBPART 5.2 – SYNOPSES OF PROPOSED CONTRACT ACTIONS5.203-100 Publicizing and Response Time. 26SUBPART 5.4 – RELEASE OF INFORMATION5.403-100 Requests from Members of Congress. .26SUBPART 5.5 – PAID ADVERTISEMENTS5.502-100 Authority . 27PART 6 – COMPETITION REQUIREMENTSSUBPART 6.3 – OTHER THAN FULL AND OPEN COMPETITION6.302-2-100 Unusual and Compelling Urgency – SCA Approval to Proceed with anAfter-the-Fact J&A.6.304-100 Approval of the Justification.2828SUBPART 6.4 – SEALED BIDDING AND COMPETITIVE PROPOSALS6.401-100 Sealed Bidding and Competitive Proposals.28SUBPART 6.5 – COMPETITION ADVOCATES6.501-100 Requirement.29PART 7 – ACQUISITION PLANNINGSUBPART 7.1 – ACQUISITION PLANS7.102‐100 Policy.207.170-100 Consolidation of Contract Requirements.3031PART 8 – REQUIRED SOURCES OF SUPPLIES AND SERVICESSUBPART 8.4 – FEDERAL SUPPLY SCHEDULES8.404-100 Use of Federal Supply Schedules. 328.405-6-100 Limited Sources – Justification and Approval (LSJ&A). 33SUBPART 8.7 – ACQUISITION FROM NONPROFIT AGENCIES EMPLOYING PEOPLE WHO AREBLIND OR SEVERELY DISABLED8.705-100 Procedures – Mandatory Use of AbilityOne Program Contract CloseoutServices. 33SUBPART 8.74 – ENTERPRISE SOFTWARE AGREEMENTS8.7403-100 Acquisition Procedures . 32218 March 2013
USACE ACQUISITION INSTRUCTION (UAI)TABLE OF CONTENTSPART 9 – RESERVEDPART 10 – RESERVEDPART 11 – DESCRIBING AGENCY NEEDSSUBPART 11.7 – VARIATION IN QUANTITY11.703 Contract Clauses . 35PART 12 – RESERVEDPART 13 – RESERVEDPART 14 – SEALED BIDDINGSUBPART 14.2 – SOLICITATION OF BIDS14.201-100 Preparation of Invitation for Bids (IFBs) – Construction Contracts. 37PART 15 – CONTRACTING BY NEGOTIATIONSUBPART 15.2 – SOLICITATION AND RECEIPT OF PROPOSALS AND INFORMATION15.203-100 Request for Proposals. 3815.204-100 Contract Format. 38SUBPART 15.3 – SOURCE SELECTION15.300‐100 Scope of Subpart - Department of Defense Source Selection Procedures.15.304-100 Evaluation Factors and Significant Subfactors.3840SUBPART 15.4 – CONTRACT PRICING215.404-73-100 Alternate Structured Approaches. 41215.404-73-101 Alternate Structured Approaches – Construction Contracts. 41215.404-73-102 Alternate Structured Approaches – Architect-Engineer (A-E) Contracts. 4315.406-1-100 Prenegotiation Objectives (POM). 43SUBPART 15.5 – PREAWARD, AWARD, AND POSTAWARD NOTIFICATIONS, PROTESTS,AND MISTAKES15.503-100 Notifications to Unsuccessful Offerors. 4415.504-100 Award to Successful Offeror. 4415.505-100 Preaward Debriefing of Offerors. 44318 March 2013
USACE ACQUISITION INSTRUCTION (UAI)TABLE OF CONTENTSPART 16 – TYPES OF CONTRACTSSUBPART 16.1 – SELECTING CONTRACT TYPES16.103-100 Negotiating Contract Type.45SUBPART 16.4 – INCENTIVE CONTRACTS16.405-2-100 Cost-Plus-Award Fee (CPAF) Contracts.45SUBPART 16.5 – INDEFINITE-DELIVERY CONTRACTS16.504-100 Indefinite-Quantity Contracts.16.505‐100 Ordering.4545SUBPART 16.6 – TIME-AND-MATERIALS, LABOR-HOUR, AND LETTER CONTRACTS16.603-100 – Letter Contracts.46PART 17 – SPECIAL CONTRACTING METHODSSUBPART 17.2 – OPTIONS17.200-100 Scope of Subpart.47SUBPART 17.5 – INTERAGENCY ACQUISITIONS17.500-100 Scope of Subpart – Proper Use of Non-DoD Contracts .47SUBPART 17.74 – UNDEFINITIZED CONTRACT ACTIONS217.7404-1-100 Authorization. 47217.7405-100 Plans and Reports. 48PART 18 – RESERVEDPART 19 – SMALL BUSINESS PROGRAMSSUBPART 19.2 – POLICIES19.201‐100 General Policy .49SUBPART 19.5 – SET-ASIDES FOR SMALL BUSINESS19.502‐2-100 Total Small Business Set-Asides.19.502‐4-100 Multiple-Award Contracts and Small Business Set-Asides.5050SUBPART 19.7 – THE SMALL BUSINESS SUBCONTRACTING PROGRAM19.705‐6-100 Postaward Responsibilities of the Contracting Officer. 50PART 20 – RESERVED418 March 2013
USACE ACQUISITION INSTRUCTION (UAI)TABLE OF CONTENTSPART 21 – RESERVEDPART 22 – APPLICATION OF LABOR LAWS TO GOVERNMENT ACQUISITIONSSUBPART 22.3 – CONTRACT WORK HOURS AND SAFETY STANDARDS ACT22.302-100 Liquidated Damages and Overtime Pay. 52SUBPART 22.4 – LABOR STANDARDS FOR CONTRACTS INVOLVING CONSTRUCTION22.406-6-100 Payroll and Statements. 5222.407-100 Solicitation Provisions and Contract Clauses/Special Contract Requirements. 53SUBPART 22.5 Use of Project Labor Agreements on Federal Construction Projects.22.503-100 Policy . 54PART 23 – Environment, Energy and Water Efficiency, Renewable Energy Technologies,Occupational Safety, and Drug-Free WorkplaceSUBPART 23.1 – SUSTAINABLE ACQUISITION POLICY23.103-100 Sustainable Acquisition . 55PART 24 – PROTECTION OF PRIVACY AND FREEDOM OF INFORMATIONSUBPART 24.1 – PROTECTION OF INDIVIDUAL PRIVACY24.101-100 Definitions .24.103-100 Procedures .5757SUBPART 24.2 – FREEDOM OF INFORMATION ACT24.203-100 Policy . 58PART 25 – FOREIGN ACQUISITIONSUBPART 25.2 – BUY AMERICAN ACT – CONSTRUCTION MATERIALS25.202-100 Exceptions.59PART 26 – RESERVEDPART 27 – RESERVEDPART 28 – BONDS AND INSURANCESUBPART 28.3 – INSURANCE28.305‐100 Overseas Workers Compensation and War Hazard Insurance.PART 29 – RESERVED518 March 201360
USACE ACQUISITION INSTRUCTION (UAI)TABLE OF CONTENTSPART 30 – RESERVEDPART 31 – CONTRACT COST PRINCIPLES AND PROCEDURESSUBPART 31.1 – APPLICABILITY31.105‐100 Construction and Architect-Engineer Contracts.31.105‐101 Special Contract Requirements.6161PART 32 – CONTRACT FINANCINGSUBPART 32.1 – NON-COMMERICAL ITEM PURCHASE FINANCING32.102-100 Description of Contracting Financing Methods.62SUBPART 32.7 – CONTRACT FUNDING32.703-2-100 Contracts Conditioned Upon Availability of Funds – Civil Works – ContinuingContracts.32.705-2-100 Contract Clauses.6262PART 33 – PROTESTS, DISPUTES, AND APPEALSSUBPART 33.1 – PROTESTS33.102‐100 General.33.102‐101 USACE Automated Legal System Matter Tracking System.33.103‐100 Protests to the Agency.33.103‐101 Disclosure of Government Estimate.33.103‐90-100 Annual Agency Bid Protest Report.33.104-100 Protests to GAO.33.190-100 Contracting Officer’s Reports on GAO and Agency Protests.33.190-1-100 Bid Protest Action Report.6363636464656667SUBPART 33.2 – DISPUTES AND APPEALS33.203‐100 Applicability - Agency Board of Contract Appeals for Civil Works Contracts. 67PART 34 – RESERVEDPART 35 – RESERVEDPART 36 – CONSTRUCTION AND ARCHITECT‐ENGINEER CONTRACTSSUBPART 36.1 – GENERAL36.102-100 Definitions. 6836.104-100 Policy. 68618 March 2013
USACE ACQUISITION INSTRUCTION (UAI)TABLE OF CONTENTSSUBPART 36.2 ‐ SPECIAL ASPECTS OF CONTRACTING FOR CONSTRUCTION36.201-100 Evaluation of Contractor Performance.36.203-100 Government Estimate of Construction Costs.36.203-101 Civil Works Contracts.36.203-102 Revision of Government Estimate.36.205-100 Statutory Cost Limitations – Civil Works Contracts.36.205-101 Cost Limitations – Military Construction Contracts.686970707070SUBPART 36.3 – TWO-PHASE DESIGN-BUILD SELECTION PROCEDURES36.303-100 Procedures. 71SUBPART 36.5 – CONTRACT CLAUSES36.516-100 Quantity Surveys - Hydrographic . 7136.570-100 Additional Solicitation Provision and Contract Clauses. 71SUBPART 36.6 – ARCHITECT-ENGINEER SERVICES36.600-100 Scope of Subpart. 7236.601-3-100 Applicable Contracting Procedures. 7236.601-3-90-100 Limitations. 7236.601-4-100 Implementation. 7336.602-2-100 Evaluation Boards. 7336.602-4-100 Selection Authority. 7336.602-5-100 Short Selection Process for Contracts Not-to-Exceed the SimplifiedAcquisition Threshold. 7336.603-100 Collecting Data on and Appraising Firms’ Qualifications. 7436.604-100 Performance Evaluation. 7436.605-100 Government Cost Estimate for Architect-Engineer Work. 7436.606-70-100 Statutory Fee Limitation. 7436.609-1-100 Design Within Funding Limitations. 74PART 37 – SERVICE CONTRACTINGSUBPART 37.1 – SERVICE CONTRACTS – GENERAL37.104-100 Personal Services Contracts.75SUBPART 37.5 – MANAGEMENT OVERSIGHT OF SERVICE CONTRACTS37.590-100 Army Management and Oversight of the Acquisition of Services. 7537.590-6-100 Army Services Strategy Panel (ASSP) Procedures. 75PART 38 – RESERVED718 March 2013
USACE ACQUISITION INSTRUCTION (UAI)TABLE OF CONTENTSPART 39 – RESERVEDPART 40 – RESERVEDPART 41 – RESERVEDPART 42 – CONTRACT ADMINISTRATION AND AUDIT SERVICESSUBPART 42.1 – CONTRACT AUDIT SERVICES5142.1-90-100 Responsibilities. 77SUBPART 42.2 – ASSIGNMENT OF CONTRACT ADMINISTRATION42.202-100 Assignment of Contract Administration.77SUBPART 42.3 – CONTRACT ADMINISTRATION OFFICE FUNCTIONS42.302‐100 Contract Administration Functions – Administrative Contracting Officer (ACO). 77SUBPART 42.490 – FOLLOW-UP ON CONTRACT AUDIT REPORTS5142.490-4-100 Overage Audit Review Boards. 78PART 43 – CONTRACT MODIFICATIONSSUBPART 43.1 – GENERAL43.102-100 Policy. 79PART 44 – RESERVEDPART 45 – GOVERNMENT PROPERTYSUBPART 45.1 – GENERAL45.103-100 General. 80PART 46 – QUALITY ASSURANCESUBPART 46.7 – WARRANTIES46.710-100 Contract Clauses. 81PART 47 – RESERVEDPART 48 – RESERVED818 March 2013
USACE ACQUISITION INSTRUCTION (UAI)TABLE OF CONTENTSPART 49 – TERMINATION OF CONTRACTSSUBPART 49.113 – COST PRINCIPLES49.113-100 Cost Principles - Construction Equipment Costs - Contract Clauses. 82PART 50 – RESERVEDPART 51 – RESERVEDPART 52 – USACE PROVISIONS AND CONTRACT CLAUSESSUBPART 52.1 – INSTRUCTIONS FOR USING PROVISIONS AND CLAUSES52.101‐100 Using Part 52.SUBPART 52.2 – TEXTS OF PROVISIONS AND CLAUSES52.211-5001 Variation in Estimated Quantities – Subdivided Items.52.232-5000 Payment for Materials Delivered Off-Site.52.232-5001 Continuing Contracts – Special Continuing Contract for Civil Works ProjectManaged by the United States Army Corps of Engineers [DEVIATION].52.236-5000 Design-Build Contract Order of Precedence .52.236-5001 Personnel, Subcontractors, and Outside Associates or Consultants.52.236-5002 Government-Furnished Drawings, Surveys, and Specifications in theRequest for Proposal.52.236-5003 Government-Furnished Specifications and Drawings for Construction.52.236-5004 Responsibility of the Contractor for Design.52.236-5005 Warranty of Design.52.236-5006 Deviating from the Accepted Design.52.236-5007 Contractor’s Role During Design Process.52.236-5008 Value Engineering after Award.52.236-5009 Partnering.52.236-5010 Government Re-Use of Design.52.249-5000 Basis for Settlement of ESAPPENDIX 1-1 – PROCESS CHART FOR USACE ACQUISITION PEER REVIEW POLICY.APPENDIX 1-2 – TIMELINE FLOWCHART FOR USACE HCA PEER REVIEW PROCESS .APPENDIX 1-3 – HQ USACE CECT REVIEW & APPROVAL PROCESS (DOC/HCA & HIGHER).APPENDIX 1-4 – PEER REVIEW TOOLKITS .APPENDIX 1-6 – COR FILE REVIEW CHECKLIST.APPENDIX 2-1 – DOC DOCUMENT REVIEW AND APPROVAL MATRIX .APPENDIX 6-1 – AFTER-THE-FACT J&A UPWARD REPORTING FORM.APPENDIX 6-2 – JUSTIFICATION OF PROCUREMENT METHOD TEMPLATE.918 March 2013929698100112116128129
USACE ACQUISITION INSTRUCTION (UAI)TABLE OF CONTENTSAPPENDIX 6-3 – J&A CHECKLIST AND LINK TO DASA(P) J&A SOP.APPENDIX 8-1 – LIMITED SOURCES J&A (LSJ&A).APPENDIX 15-1 – SAMPLE DETERMINATION & FINDINGS (D&F).APPENDIX 15-2 – NAVFAC / USACE PAST PERFORMANCE QUESTIONAIRE (PPQ) FORM ANDINSTRUCTIONS.APPENDIX 16-1 – AFDO FOR CPAF CHECKLIST.APPENDIX 17-1 – D&F FOR CERTIFICATION OF REQUIREMENTS FOR PROPER USE OFNON-DOD CONTRACTS ASSISTED ACQUISITION TEMPLATE.APPENDIX 17-2 – D&F FOR CERTIFICATION OF REQUIREMENTS FOR PROPER USE OFNON-DOD CONTRACTS DIRECTED ACQUISITION TEMPLATE.APPENDIX 24-1 – SAMPLE PERSONALLY IDENTIFIABLE INFORMATION (PII) LANGUAGE.APPENDIX 24-2 – SAMPLE PERSONALLY IDENTIFIABLE (PII) BREACH CONTRACTUALLANGUAGE.APPENDIX 33-1 – CONTRACT REQUESTS, CLAIMS & APPEALS.APPENDIX 36-1 – DEVELOPMENT, REVIEW AND APPROVAL OF GOVERNMENT ESTIMATESMATRIX.APPENDIX 37-1 – SERVICES ACQUISITION STRATEGIES GUIDE/CHECKLIST.1018 March 2013132136139145152155159163165167187190
USACE ACQUISITION INSTRUCTION (UAI)PART 1 – FEDERAL ACQUISITION REGULATIONS SYSTEMSUBPART 1.1 — PURPOSE, AUTHORITY, ISSUANCE1.101-100 Purpose.The United States Army Corps of Engineers (USACE) Acquisition Instruction (UAI) establishes uniformpolicies and procedures to ensure that business practices are consistent throughout USACE, providesinternal guidance, delegations of authority, assignments of responsibilities, work‐flow procedures,procedures that are required by regulation to be established by the Head of the Contracting Activity(HCA), procedures that implement policies, and internal reporting requirements. It does not restrict theexercise of good business judgment or stifle innovation. The UAI is not intended to repeat, paraphrase,or otherwise restate material contained in the Federal Acquisition Regulation (FAR), the Defense FederalAcquisition Regulation Supplement (DFARS), the Army Federal Acquisition Regulation Supplement(AFARS), or higher-level agency regulations. The information in the UAI will not conflict or beinconsistent with FAR content as prescribed in FAR 1.304(b). The UAI is not a stand-alone document.The Engineering Federal Acquisition Regulation Supplement (EFARS) is hereby rescinded and supersededby the issuance of this acquisition instruction.1.103-100 Authority.The UAI is issued by the HCA, pursuant to the FAR 1.301, DFARS 201.304, and under the authority of theSecretary of the Army, pursuant to AFARS 5101.304.1.104-100 Applicability.The UAI applies to all USACE Districts and Centers and the Defense Microelectronics Activity (DMEA) aslong as USACE serves as the HCA for DMEA. Wherever District/Center is stated, DMEA is included.1.105-2-100 Arrangement of Regulations.(a) General. The arrangement and numbering of the UAI conforms to the FAR, DFARS and the AFARS.(b) Numbering. Numbered divisions (parts, subparts, sections, or paragraphs, etc. and numberedappendices) of the UAI correspond to the same numbered division in the FAR, DFARS and AFARS.Numbered divisions of the UAI with a suffix in the "100" series (e.g. 1.601-100) contain subject matterrelated to but not contained in an FAR, DFARS, or AFARS numbered division. Omission from the UAI of anumbered division that appears in FAR, DFARS or AFARS denotes that there is no additional guidanceprovided in the UAI.(c) References and Citations. This guidance shall be referred to as the UAI. Any numbered division maybe cited as "UAI" followed by the division number. Thus, this section would be cited as "UAI 1.105-2100," but within this guidance, it would be cited as "1.105-2-100."1.170-100 Peer Reviews.(a) This guidance applies to all acquisitions (regardless of type) above the micro-purchase threshold.Peer review procedures are available at UAI Appendix 1-1. Approval thresholds by the type and dollarvalue are outlined in UAI Appendix 2-1.1118 March 2013
USACE ACQUISITION INSTRUCTION (UAI)(b) Administration of Peer Reviews.(1) Peer reviews are not compliance reviews (i.e. Solicitation Review Boards (SRB)/Contract ReviewBoards (CRB)). Refer to Defense Procurement and Acquisition Policy (DPAP) Deputy Director peerreview slides, dated 13 May 2010, presented at the Department of Defense (DoD) ProcurementConference and Training Symposium. These slides highlight that peer reviews are intended to beadvisory in nature.(2) Actions 250M: Regional Principal Assistant Responsible for Contracting (PARC) shall ensureall internal compliance reviews and approvals (i.e. pre-negotiation objective memorandums (POMs),price negotiation memorandums (PNMs), determination & findings, justification and approvals, legalsufficiency reviews, etc.) are completed prior to scheduling a peer review.(c) Peer Review Required Documents and Elements, Suggested Questions, Tenets and Toolkits:(1) Peer Review minimum required documents and elements to address during pre- and post-awardpeer reviews are available in DFARS Procedures, Guidance and Instruction (PGI) 201.170-4.(2) Utilize the list of suggested questions formulated by DPAP for peer review team members as aguide for peer review discussion.(3) The following references provide the tenets and review criteria for pre- and post-award peerreviews for the acquisition of services: DFARS PGI 201.170 and 237.102-76Memorandum, Director, Defense Procurement and Acquisition Policy (DPAP), subject:Review Criteria for the Acquisition of Services, 18 February 2009(4) Peer review toolkits are available in UAI Appendix 1-4. Toolkits are provided as a self-check foruse in preparing for peer reviews.(d) Peer reviews are independent reviews conducted outside the purview of the District/Center ProjectDelivery Team (PDT) of the particular action being reviewed. For actions valued at 50M and greater,the peer review should be a multi-functional team comprised of senior level experts, which will at aminimum, include representatives from the acquisition center, small business office, office of counsel,requirements community and in the case of non-competitive actions, the competition advocate. Foractions valued up to 50M, the team composition should be commensurate with the scope andcomplexity of the requirement. While legal counsel participates in the peer review process, separatelegal sufficiency reviews are required in accordance with AFARS 5101.602-2(c). To avoid any conflict ofinterest and maintain the integrity of the advisory nature of the peer review, the Peer Review Chairshould not be in the supervisory chain of the source selection authority (SSA).(1) Business Oversight Branch (BOB)/Contracting Officer: BOB’s/Contracting Officers will identifyand perform a random sampling of peer reviews for stand-alone contract actions, task/delivery/Federal Supply Schedule orders and Blanket Purchase Agreement calls above the micro-purchasethreshold to less than 500K. The Regional Contracting Chief (RCC) will specify in writing, with acopy furnished to the USACE Headquarters (HQ) Directorate of Contracting (DOC) ProgramEvaluation Division, the random sampling minimum quantity of contract actions for peer review foreach District/Center within their area of responsibility (AOR). The peer review can be conducted by1218 March 2013
USACE ACQUISITION INSTRUCTION (UAI)Contracting 1102 peers with commensurate knowledge, skills, abilities and warrant thresholds asthe Procuring Contracting Officer (PCO). (Peers should not be subordinate to the PCO).(2) RCC and District/Center Contracting Chief (DCC/CCC) Pee
SUBPART 37.5 - MANAGEMENT OVERSIGHT OF SERVICE CONTRACTS . 37.590-100 Army Management and Oversight of the Acquisition of Services. 75 . 37.590-6-100 Army Services Strategy Panel (ASSP) Procedures.7 . 5 . PART 38 - RESERVED . USACE ACQUISITION INSTRUCTION (UAI) .
