(90) The Excluded Parties List System (EPLS) is the official, mandatory source for identifying contractors that are ineligible for award. DLA buying activities shall ensure that data in the EPLS and information on the Defense Contractor Review List (DCRL) are consistent. Whenever updates are made to the EPLS (i.e., when contractors that have been identified as debarred, suspended, proposed for debarment, or otherwise ineligible for award are added to (or removed from) the EPLS), notification shall be provided to the DCRL Monitor requiring identical updates to the DCRL.
(91) When making determinations of responsibility, Acquisition Specialists shall-
(1) Comply with all requirements in FAR 9.105-1;
(2) Review the DCRL (see 9.105-1(92) and comply with DCRL Special Attention Treatment Codes in BSM SAP; and
(3) Refer to on-site procedures to determine whether application of any of the following additional tools is mandatory:
(i) Contractor Performance History (CPH). (See 9.105-1(92)(3).)
(ii) Dun and Bradstreet (D&B) Financial Reports. Acquisition Specialists (preaward) may submit requests for D&B information to the Industrial Specialist.
(A) D&B Reference Plus provides the Acquisition Specialist (preaward) a firm’s D&B rating (if D&B has rated the company). The Rating or Composite Credit Appraisal (CCA), with a brief explanation of that Rating Code, provides information relative to whether the contractor has adequate financial resources, or the ability to obtain them, to perform the contract.
(B) If a contractor is not listed, or is listed but not rated, and there are financial concerns about the contractor and/or the contract is a very high dollar value and complex long-term contract, a report may be ordered in accordance with on-site procedures.
(iii) Contractor General Files. Refer to on-site procedures for required content and DSC focal point responsible for maintaining file. Contractor General Files include delivery performance data on both active and recently closed awards.
(iv) Pricing Branch Files. Refer to on-site procedures.
(v) Quality History. When a detailed review of a contractor's past quality performance is desired and a preaward survey (PAS) is not being contemplated, the Acquisition Specialist (preaward) may request a quality history from the Product Specialist in accordance with on-site procedures. If a preaward survey is being contemplated, the Acquisition Specialist (preaward) shall follow on-site procedures for requesting the quality portion of the preaward survey.
(92) Defense Contractor Review List (DCRL).
(1) Maintenance and dissemination.
(i) The DCRL Monitor is responsible for maintaining the DCRL. The DCRL provides information to the acquisition workforce that has been collected related to a contractor’s performance. A contractor listed on the DCRL has been referred to the DCRL Monitor-
(A) To be included on the DCRL as debarred, suspended, proposed for debarment, or otherwise ineligible for award, in accordance with the EPLS; or
(B) For investigation, and the DCRL Monitor has found sufficient evidence to warrant implementation of a control action in DPACS DCRL.
(ii) The DCRL is accessible through the DPACS “Vendor” icon; or by viewing the “DCRL” Field in DPACS and the “Choose Awardee” screen (Functions<Plan Award<Choose Awardee). The DCRL Field identifies contractors by CAGE Code that are on the DCRL. Personnel who do not have access to DPACS may request a hard copy of the information, which will mirror the information contained in DPACS DCRL field. Detailed information will be controlled and obtained from the DCRL Monitor.
(iii) The DCRL is “FOR OFFICIAL USE ONLY.” Information contained in the DCRL shall be protected from improper disclosure.
(2) Effect of listing.
(i) Acquisition Specialists (preaward) shall comply with BSM SAP Special Attention Treatment Codes, both “Required” and “Recommended”. Acquisition Specialists (preaward) shall not make award decisions inconsistent with DCRL Treatment Code requirements; unless the DCRL Monitor is consulted, higher-level approval is obtained, and the rationale is fully documented in the contract file.
(ii) The BSM DPACS DCRL includes contractors that are undergoing close scrutiny by all three Defense Supply Centers (DSCs). The BSM DCRL is enterprise-wide, with reason and treatment codes from all three DSCs. Generally, Acquisition Specialists shall apply the codes designated by the supply chain to which they are assigned, as experience has shown that vendor performance varies widely from one supply chain to another; however, Acquisition Specialists (preaward) shall consult the DCRL Monitor if clarification is needed.
(iii) The DCRL includes contractors that are identified in the EPLS as debarred, suspended, proposed for debarment, or otherwise ineligible for award. In the event of an inconsistency, the EPLS data takes precedence over DCRL data.
(A) For contractors identified as debarred, suspended, or proposed for debarment, consult the DSC focal point for debarred/suspended contractors (refer to on-site procedures.)
(B) See 9.405(92) for policies to preclude ineligible contractors from receiving contracts.
(iv) The DCRL shall not be used as a “BLACKLIST”. Contractors on the DCRL shall still be considered for solicitation (except when the Special Attention Treatment Code is “08” (see 9.105(92)(6)(i)(B)).
(v) Information on the DCRL may or may not be sufficient to determine a contractor nonresponsible. It is possible for a contractor that is on the DCRL to be determined responsible.
(3) Contractor Performance History (CPH). When the BSM SAP Special Attention Treatment Code SAP Description states “Review Contractor Performance History,” refer to on-site procedures for the procedures for requesting a CPH. The completed CPH will include specific actions recommended for the current procurement.
(4) Examples of referrals to the DCRL Monitor.
(i) Notifications requiring that contractors be added to (or removed from) the DCRL, consistent with the most recent EPLS updates;
(ii) Notifications requiring that contractors be added to the DCRL when there is suspected fraud, unauthorized product substitution, counterfeit material, collusion, unauthorized foreign items, etc.; and an investigation has been initiated. The notification includes specific instructions for Acquisition Specialists (preaward and postaward) to follow in the event of award;
(iii) Referrals for investigation of a contractor (e.g., when the contractor has had several confirmed PQDRs; when a contractor has requested multiple cancellations, etc.).
(5) Reviewing/updating information on DCRL.
(i) The DCRL Monitor shall periodically review each contractor listed on the DCRL to ensure the information is accurate and up to date. When conducting a review, the DCRL Monitor contacts appropriate acquisition personnel to validate that previously reported conditions still exist. If the DCRL Monitor recommends a contractor be removed from the DCRL and acquisition personnel disagree, the acquisition personnel shall provide information to justify retention of the contractor on the DCRL.
(ii) Acquisition Specialists (preaward and postaward) shall contact the DCRL Monitor if they become aware of circumstances that may warrant changes to DCRL information.
(iii) Contractors shall be removed from the DCRL when the DCRL Monitor determines-
(A) The conditions that warranted their inclusion on the DCRL no longer
exist or have substantially improved; and/or
(B) e DCRL Monitor determines that information provided by acquisition
personnel is not sufficient to justify retention of the contractor on the DCRL.
(6) Information in DPACS DCRL consists of reason/treatment codes, the date the contractor was placed on the DCRL, and a brief recommendation/instructions narrative.
(i) BSM Reason and Treatment Codes.
BSM Reason and Treatment Codes representing recommendations/instructions are cited for each vendor/CAGE Code listed. The purpose of these recommendations/instructions is to provide visibility of known/potential areas of concern and actions that shall be taken to address such issues. When a preaward survey results in a negative recommendation, a Certificate of Competency is required when a small business is involved. The only instances of “do not award” involve cases of debarment, suspension, and proposed debarment; except as otherwise directed by the DSC Fraud Monitor (refer to on-site procedures).
(A) Special Attention Reason Codes.
For DCRL Code A - (NOTE: In the SAP Debarment Status Column, a “D” is entered for Debarment, a “P” is entered for Proposed Debarment/Suspension, and an “S” is entered for Suspended)
SAP Special Attention Reason Codes
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SAP Description
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DPACS Help Text
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A
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Suspended or Debarred
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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.
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B
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Recommended for Debarment
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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, special procedures are required.
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C
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Responsibility Matters
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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.
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D
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Termination for Default
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Termination for Default. Contractors in this category have been terminated for default within the previous twelve months.
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E
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Financial Difficulties
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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.
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F
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Chapter 7 Bankruptcy
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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.
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G
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Negative PreAward Survey
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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
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H
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DCMA Imposed Corrective Action
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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
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I
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In DCMA Alert System
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DCMA "Alerts" System. DCMA has relevant information concerning contractors in this category.
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J
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Delinquent Performance
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Delinquent Performance. This category includes contractors that have exhibited a pattern of delinquencies.
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K
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“Buy-Ins” or “Bid Shopping”
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"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. (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 cancel purchase orders just prior to due date in an apparent effort to reduce its delinquency rate. (5) Take advantage of a purchase order that is not legally binding on the contractor until acceptance or start of performance.
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L
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Pricing Discrepancies
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Pricing Discrepancies (Excessive prices). Contractors are in this category when information indicates prices may not be fair and reasonable.
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M
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Fast Pay Discrepancies
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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).
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N
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Potentially Defective Material
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Potentially Defective Material. The DoDIG has issued notifications regarding potentially defective material supplied by contracts in this category.
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O
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Counterfeit Material and Unauthorized Substitution
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Counterfeit Material and Unauthorized Product Substitution. Contractors in this category are under surveillance by the Counterfeit Material/Unauthorized Product Substitution (CM/UPS) Team.
|
P
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Nonconforming Supplies
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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.
|
Q
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Failure to Provide Approved Part
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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
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Miscellaneous
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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.
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S
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Sensitive Information
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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 may not be divulged 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.
|
T
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Delinquent on Delivery Reduction
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Substantially Delinquent on Delivery Reduction Incentive/Delivery Evaluation Factor Awards.
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U
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Work Stoppage
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Work Stoppage.
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V
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Suspected Fraud or Collusion
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Suspected Fraud or Collusion/Deceptive Business Practices.
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W
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Combined CAGE Codes
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Combined CAGE Codes. Performance history for two or more CAGE codes have been combined for ABVS purposes.
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X
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Contractor Report No Receipt of PO
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Contractor Reported for Non-Receipt of Purchase Order.
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Y
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Reserved
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Reserved
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Z
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Reserved
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Reserved
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SAP Special Attention Treatment Codes
|
SAP Description
|
DPACS Help Text
|
01
|
Reserved
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Reserved
|
02
|
Evidence of AID MFR Part Number
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For Part Numbered items, get evidence item was acquired from Manufacturer cited in the AID
|
03
|
Reserved
|
Reserved
|
04
|
Withhold Fast Pay Recommended
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Withholding of Fast Pay recommended
|
05
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Recom PAS > SAT/ Verbal < SAT
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Recommend Preaward Surveys for large buys/verbal preaward surveys 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
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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
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12
|
Corrective Action Report Level IV approval required
|
CAR Level IV, approval required for award
|
13
|
Bilateral Award Email to Fraud Monitor
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Bilateral Award - email contractor’s name and CAGE, contract/purchase order no., and NSN to Fraud Monitor
|
14
|
Coordinate Mods with Fraud Monitor
|
Post award - Coordinate all administrative actions (modifications) with Fraud Monitor or Fraud Counsel
|
15
|
Deter Resp/Nonresp required
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Prepare formal determination of responsibility/nonresponsibility
|
16
|
CAGE Combined for ABVS Info
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This CAGE Code has been combined with other CAGE codes for ABVS 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
|
21
|
Reserved
|
Reserved
|
22
|
Recommend no DRI/DEF awards
|
Recommend no delivery reduction Incentive/Delivery Evaluation Factor Awards
|
23
|
Coordinate Indust Prep Monitor
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Coordinate with Industrial Preparedness Monitor
|
24
|
Reserved
|
Reserved
|
25
|
Reserved
|
Reserved
|
26
|
Recommend Price Reasonableness
|
Recommend documentation of price reasonableness
|
27
|
Suspend Automated Awards
|
Suspend from Automated Systems (case by case basis)
|
28
|
Reserved
|
Reserved
|
29
|
Reserved
|
Reserved
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30
|
Reserved
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|
